Title 27 Alcohol, Tobacco Products and Firearms Part 400 to End

Revised as of April 1, 2020

Containing a codification of documents of general applicability and future effect

As of April 1, 2020

Published by the Office of the Federal Register National Archives and Records Administration as a Special Edition of the Federal Register

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Legal Status and Use of Seals and Logos The seal of the National Archives and Records Administration (NARA) authenticates the Code of Federal Regulations (CFR) as the official codification of Federal regulations established under the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the contents of the CFR, a special edition of the Federal Register, shall be judicially noticed. The CFR is prima facie evidence of the original documents published in the Federal Register (44 U.S.C. 1510). It is prohibited to use NARA’s official seal and the stylized Code of Federal Regulations logo on any republication of this material without the express, written permission of the Archivist of the United States or the Archivist’s designee. Any person using NARA’s official seals and logos in a manner inconsistent with the provisions of 36 CFR part 1200 is subject to the penalties specified in 18 U.S.C. 506, 701, and 1017.

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 Publishing Office Official Edi- tions only. The Superintendent of Documents of the U.S. Govern- ment Publishing Office requests that any reprinted edition clearly be labeled as a copy of the authentic work with a new ISBN.

U.S. GOVERNMENT PUBLISHING OFFICE U.S. Superintendent of Documents • Washington, DC 20402–0001 http://bookstore.gpo.gov Phone: toll-free (866) 512-1800; DC area (202) 512-1800

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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 ...... 191

Alphabetical List of Agencies Appearing in the CFR ...... 211

List of CFR Sections Affected ...... 221

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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, 2020), 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.

VerDate Sep<11>2014 15:19 Jun 12, 2020 Jkt 250113 PO 00000 Frm 00005 Fmt 8008 Sfmt 8092 Q:\27\27V3.TXT PC31 kpayne on VMOFRWIN702 with $$_JOB Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements. PAST PROVISIONS OF THE CODE Provisions of the Code that are no longer in force and effect as of the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on any given date in the past by using the appropriate List of CFR Sections Affected (LSA). For the convenience of the reader, a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume. For changes to the Code prior to the LSA listings at the end of the volume, consult previous annual editions of the LSA. For changes to the Code prior to 2001, consult the List of CFR Sections Affected compilations, published for 1949- 1963, 1964-1972, 1973-1985, and 1986-2000. ‘‘[RESERVED]’’ TERMINOLOGY The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ location at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that a portion of the CFR was left vacant and not dropped in error. INCORPORATION BY REFERENCE What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law. What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are: (a) The incorporation will substantially reduce the volume of material published in the Federal Register. (b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process. (c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51. What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010. CFR INDEXES AND TABULAR GUIDES A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume. An index to the text of ‘‘Title 3—The President’’ is carried within that volume.

VerDate Sep<11>2014 15:19 Jun 12, 2020 Jkt 250113 PO 00000 Frm 00006 Fmt 8008 Sfmt 8092 Q:\27\27V3.TXT PC31 kpayne on VMOFRWIN702 with $$_JOB The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg- ister. A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles. 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, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail [email protected]. SALES The Government Publishing 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 202-512-2104, 24 hours a day. For payment by check, write to: US Government Publishing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. 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 of the Presidents of the United States, Compilation of Presi- dential Documents and the Privacy Act Compilation are available in electronic format via www.govinfo.gov. For more information, contact the GPO Customer Contact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866- 512-1800 (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) website for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s website at www.archives.gov/federal-register. The e-CFR is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments, produced by the Office of the Federal Register and the Government Publishing Office. It is available at www.ecfr.gov.

OLIVER A. POTTS, Director, Office of the Federal Register April 1, 2020

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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, 2020.

For this volume, Gabrielle E. Burns was Chief Editor. The Code of Federal Regulations publication program is under the direction of John Hyrum Martinez, assisted by Stephen J. Frattini.

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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 ...... 81

SUBCHAPTER C—EXPLOSIVES 555 Commerce in explosives ...... 112

SUBCHAPTER D—MISCELLANEOUS REGULATIONS RELATING TO ALCOHOL AND TOBACCO 646 Contraband cigarettes...... 168 647–699 [Reserved]

SUBCHAPTER E—EXPLOSIVE LICENSE AND PERMIT PROCEEDINGS 700–770 [Reserved] 771 Rules of practice in explosive license and permit proceedings ...... 171 772–799 [Reserved]

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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 MENTS OF WAR facts. 447.63 Seizure and forfeiture. Subpart A—Scope AUTHORITY: 22 U.S.C. 2778; E.O. 13637, 78 FR 16129 (Mar. 8, 2013). Sec. 447.1 General. SOURCE: T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, unless otherwise noted. Redesignated 447.2 Relation to other laws and regula- by T.D. ATF–487, 68 FR 3747, Jan. 24, 2003. tions. EDITORIAL NOTE: Nomenclature changes to Subpart B—Definitions part 447 appear by T.D. ATF–487, 68 FR 3748, Jan. 24, 2003. 447.11 Meaning of terms.

Subpart C—The U.S. Munitions Import List Subpart A—Scope

447.21 The U.S. Munitions Import List. § 447.1 General. 447.22 Forgings, castings, and machined The regulations in this part relate to bodies. that portion of section 38 of the Arms Subpart D—Registration Export Control Act of 1976, as amended, authorizing the President to designate 447.31 Registration requirement. defense articles and defense services as 447.32 Application for registration and re- part of the United States Munitions fund of fee. List (USML) for purposes of import and 447.33 Notification of changes in informa- export controls. To distinguish the list tion furnished by registrants. of defense articles and defense services 447.34 Maintenance of records by persons re- controlled in this part for purposes of quired to register as importers of Import List articles. permanent import from the list of de- 447.35 Forms prescribed. fense articles and defense services controlled by the Secretary of State for Subpart E—Permits purposes of export and temporary import, this part shall refer to the defense 447.41 Permit requirement. articles and defense services controlled 447.42 Application for permit. for purposes of permanent import as 447.43 Terms of permit. the U.S. Munitions Import List 447.44 Permit denial, revocation or suspen- (USMIL) and shall refer to the export sion. and temporary import control list set 447.45 Importation. 447.46 Articles in transit. out by the Department of State in its International Traffic in Arms Regula- Subpart F—Miscellaneous Provisions tions as the USML. Part 447 contains the USMIL and includes procedural and 447.51 Import certification and delivery administrative requirements relating verification. to registration of importers, permits, 447.52 Import restrictions applicable to cer- articles in transit, import certifi- tain countries. cation, delivery verification, import re- 447.53 Exemptions. strictions applicable to certain coun- 447.54 Administrative procedures inappli- cable. tries, exemptions, U.S. military fire- 447.55 Departments of State and Defense arms and ammunition, penalties, sei- consulted. zures, and forfeitures. The President’s 447.56 Authority of Customs officers. delegation of permanent import con- 447.57 U.S. military defense articles. trol authorities to the Attorney Gen- 447.58 Delegations of the Director. eral provides the Attorney General the

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authority to assess whether controls import controls of 27 CFR Part 478 but are justified, but in designating the de- are not exempt from control under Sec- fense articles and defense services set tion 38, Arms Export Control Act of out in the USMIL the Attorney Gen- 1976, unless imported by the United eral shall be guided by the views of the States or any agency thereof. All such Secretary of State on matters affecting importations not imported by the world peace and the external security United States or any agency thereof and foreign policy of the United States. shall be subject to the import permit All designations and changes in des- procedures of subpart E of this part. ignations of defense articles and de- (d) For provisions requiring the reg- fense services subject to permanent im- istration of persons engaged in the port control under this part must have business of brokering activities with the concurrence of the Secretary of respect to the importation of any de- State and the Secretary of Defense, fense article or defense service, see De- with notice given to the Secretary of partment of State regulations in 22 Commerce. CFR part 129. [ATF–50F, 78 FR 23676, Apr. 22, 2013] [T.D. ATF–215, 50 FR 42158, Oct. 18, 1985, as amended by T.D. ATF–426, 65 FR 38197, June § 447.2 Relation to other laws and reg- 20, 2000] ulations. (a) All of those items on the U.S. Mu- Subpart B—Definitions nitions Import List (see § 447.21) which are ‘‘firearms’’ or ‘‘ammunition’’ as de- § 447.11 Meaning of terms. fined in 18 U.S.C. 921(a) are subject to the interstate and foreign commerce When used in this part and in forms controls contained in Chapter 44 of prescribed under this part, where not Title 18 U.S.C. and 27 CFR Part 478 and otherwise distinctly expressed or mani- if they are ‘‘firearms’’ within the defi- festly incompatible with the intent nition set out in 26 U.S.C. 5845(a) are thereof, terms shall have the meanings also subject to the provisions of 27 CFR ascribed in this section. Words in the Part 479. Any person engaged in the plural form shall include the singular, business of importing firearms or am- and vice versa, and words imparting munition as defined in 18 U.S.C. 921(a) the masculine gender shall include the must obtain a license under the provi- feminine. The terms ‘‘includes’’ and sions of 27 CFR Part 478, and if he im- ‘‘including’’ do not exclude other ports firearms which fall within the things not enumerated which are in the definition of 26 U.S.C. 5845(a) must also same general class or are otherwise register and pay special tax pursuant within the scope thereof. to the provisions of 27 CFR Part 479. Appropriate ATF officer. An officer or Such licensing, registration and special employee of the Bureau of Alcohol, To- tax requirements are in addition to bacco, Firearms, and Explosives (ATF) registration under subpart D of this specified by ATF Order 1130.34, Delega- part. tion of the Director’s Authorities in 27 (b) The permit procedures of subpart CFR Part 447, Importation of Arms, E of this part are applicable to all im- Ammunition and Implements of War. portations of articles on the U.S. Muni- Article. Any of the defense articles tions Import List not subject to con- enumerated in the U.S. Munitions Im- trols under 27 CFR Part 478 or 479. U.S. port List (USMIL). Munitions Import List articles subject Bureau. Bureau of Alcohol, Tobacco, to controls under 27 CFR Part 478 or 27 Firearms, and Explosives, the Depart- CFR Part 479 are subject to the import ment of Justice. 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

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chemical action, produces a powerful Import List. The list of articles con- physiological effect. tained in § 447.21 and identified therein Defense articles. Any item designated as ‘‘The U.S. Munitions Import List’’. in § 447.21 or § 447.22. This term includes Machinegun. A ‘‘machinegun’’, ‘‘ma- models, mockups, and other such items chine pistol’’, ‘‘submachinegun’’, or which reveal technical data directly re- ‘‘automatic rifle’’ is a firearm which lating to § 447.21 or § 447.22. shoots, is designed to shoot, or can be Defense services. (a) The furnishing of readily restored to shoot, automati- assistance, including training, to for- cally more than one shot, without eign persons in the design, engineering, manual reloading, by a single function development, production, processing, of the trigger. The term shall also in- manufacture, use, operation, overhaul, clude the frame or receiver of any such repair, maintenance, modification, or weapon, any part designed and in- reconstruction of defense articles, tended solely and exclusively, or com- whether in the United States or bination of parts designed and in- abroad; or tended, for use in converting a weapon (b) The furnishing to foreign persons into a machinegun, and any combina- of any technical data, whether in the tion of parts from which a machinegun United States or abroad. can be assembled if such parts are in Director. The Director, Bureau of Al- the possession or under the control of a cohol, Tobacco, Firearms, and Explo- person. For purposes of this definition, sives, the Department of Justice, the term ‘‘automatically’’ as it modi- Washington, DC 20226. fies ‘‘shoots, is designed to shoot, or Executed under the penalties of perjury. can be readily restored to shoot,’’ Signed with the prescribed declaration means functioning as the result of a under the penalties of perjury as pro- self-acting or self-regulating mecha- vided on or with respect to the applica- nism that allows the firing of multiple tion, form, or other document or, rounds through a single function of the where no form of declaration is pre- trigger; and ‘‘single function of the scribed, with the declaration: ‘‘I de- trigger’’ means a single pull of the trig- clare under the penalties of perjury ger and analogous motions. The term that this llllll (insert type of ‘‘machinegun’’ includes a bump-stock- document such as statement, certifi- type device, i.e., a device that allows a cate, application, or other document), semi-automatic firearm to shoot more including the documents submitted in than one shot with a single pull of the support thereof, has been examined by trigger by harnessing the recoil energy me and, to best of my knowledge and of the semi-automatic firearm to which belief, is true, correct, and complete.’’ it is affixed so that the trigger resets Firearms. A weapon, and all compo- and continues firing without additional nents and parts therefor, not over .50 physical manipulation of the trigger by caliber which will or is designed to or the shooter. may be readily converted to expel a projectile by the action of an explosive, Permit. The same as ‘‘license’’ for but shall not include BB and pellet purposes of 22 U.S.C. 1934(c). guns, and muzzle loading (black pow- Person. A partnership, company, as- der) firearms (including any firearm sociation, or corporation, as well as a with a matchlock, flintlock, percussion natural person. cap, or similar type of ignition system) Pistol. A hand-operated firearm hav- or firearms covered by Category I(a) ing a chamber integral with, or perma- established to have been manufactured nently aligned with, the bore. in or before 1898. Revolver. A hand-operated firearm Import or importation. Bringing into with a revolving cylinder containing the United States from a foreign coun- chambers for individual cartridges. try any of the articles on the Import Rifle. A shoulder firearm discharging List, but shall not include intransit, bullets through a rifled barrel at least temporary import or temporary export 16 inches in length, including combina- transactions subject to Department of tion and drilling guns. State controls under Title 22, Code of Sporting type sight including optical. A Federal Regulations. telescopic sight suitable for daylight

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use on a rifle, shotgun, pistol, or re- NOTE: Rifles, carbines, revolvers, and pis- volver for hunting or target shooting. tols, to caliber .50 inclusive, combat shot- This chapter. Title 27, Code of Federal guns, and shotguns with barrels less than 18 inches in length are included under Category Regulations, Chapter II (27 CFR Chap- I(a). Machineguns, submachineguns, machine ter II). pistols and fully automatic rifles to caliber United States. When used in the geo- .50 inclusive are included under Category graphical sense, includes the several I(b). States, the Commonwealth of Puerto CATEGORY II—ARTILLERY PROJECTORS Rico, the insular possessions of the United States, the District of Colum- (a) Guns over caliber .50, howitzers, mor- bia, and any territory over which the tars, and recoiless rifles. United States exercises any powers of (b) Military flamethrowers and projectors. (c) Components, parts, accessories, and at- administration, legislation, and juris- tachments for the articles in paragraphs (a) diction. and (b) of this category, including but not limited to mounts and carriages for these ar- (26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 ticles. Stat. 981 as amended), 18 U.S.C. 926 (82 Stat. 959), and sec. 38, Arms Export Control Act (22 CATEGORY III—AMMUNITION U.S.C. 2778, 90 Stat. 744)) (a) Ammunition for the arms in Categories [T.D. ATF–48, 43 FR 13535, Mar. 31, 1978; 44 I and II of this section. FR 55840, Sept. 28, 1979, as amended by T.D. (b) Components, parts, accessories, and at- ATF–202, 50 FR 14382, Apr. 12, 1985; T.D. ATF– tachments for articles in paragraph (a) of 215, 50 FR 42158, Oct. 18, 1985; T.D. ATF–484, this category, including but not limited to 67 FR 64526, Oct. 21, 2002; ATF–9F, 72 FR cartridge cases, powder bags, bullets, jack- 72938, Dec. 26, 2007; ATF–50F, 78 FR 23677, ets, cores, shells (excluding shotgun shells), Apr. 22, 2013; ATF 2013R–9F, 79 FR 46692, Aug. projectiles, boosters, fuzes and components 11, 2014; ATF 2018R–22F, 83 FR 66553, Dec. 26, therefor, primers, and other detonating de- 2018] vices for such ammunition. (c)–(d) [Reserved] Subpart C—The U.S. Munitions NOTE: Cartridge and shell casings are included under Category III unless, prior to Import List their importation, they have been rendered useless beyond the possibility of restoration § 447.21 The U.S. Munitions Import for use as a cartridge or shell casing by List. means of heating, flame treatment, man- The following defense articles and de- gling, crushing, cutting, or popping. fense services, designated pursuant to CATEGORY IV—LAUNCH VEHICLES, GUIDED MIS- section 38(a) of the Arms Export Con- SILES, BALLISTIC MISSILES, ROCKETS, TOR- trol Act, 22 U.S.C. 2778(a), and E.O. PEDOES, BOMBS AND MINES 13637 are subject to controls under this part. For purposes of this part, the list (a) Rockets (including but not limited to meteorological and other sounding rockets), shall be known as the U.S. Munitions bombs, grenades, torpedoes, depth charges, Import List (USMIL): land and naval mines, as well as launchers for such defense articles, and demolition THE U.S. MUNITIONS IMPORT LIST blocks and blasting caps. CATEGORY I—FIREARMS (b) Launch vehicles and missile and anti- missile systems including but not limited to (a) Nonautomatic and semiautomatic fire- guided, tactical and strategic missiles, arms, to caliber .50 inclusive, combat shot- launchers, and systems. guns, and shotguns with barrels less than 18 (c) Apparatus, devices, and materials for inches in length, and all components and the handling, control, activation, moni- parts for such firearms. toring, detection, protection, discharge, or (b) Automatic firearms and all components detonation of the articles in paragraphs (a) and parts for such firearms to caliber .50 in- and (b) of this category. Articles in this cat- clusive. egory include, but are not limited to, the fol- (c) Insurgency-counterinsurgency type lowing: Fuses and components for the items firearms of other weapons having a special in this category, bomb racks and shackles, military application (e.g. close assault weap- bomb shackle release units, bomb ejectors, ons systems) regardless of caliber and all torpedo tubes, torpedo and guided missile components and parts for such firearms. boosters, guidance system equipment and (d) Firearms silencers and suppressors, in- parts, launching racks and projectors, pistols cluding flash suppressors. (exploders), igniters, fuze arming devices, (e) [Reserved] intervalometers, guided missile launchers

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and specialized handling equipment, and (i) Patrol Combatants (PC, PHM) hardened missile launching facilities. (ii) Amphibious Helicopter/Landing Craft (d) Missile and space vehicle powerplants. Carriers (LHA, LPD, LPH) (e) Military explosive excavating devices. (iii) Amphibious Landing Craft Carriers (f) [Reserved] (LKA, LPA, LSD, LST) (g) Non/nuclear warheads for rockets and (iv) Amphibious Command Ships (LCC) guided missiles. (v) Mine Warfare Ships (MSO). (h) All specifically designed components or (b) Auxiliaries: modified components, parts, accessories, at- (1) Mobile Logistics Support: tachments, and associated equipment for the (i) Under way Replenishment (AD, AF, articles in this category. AFS, AO, AOE, AOR) (ii) Material Support (AD, AR, AS). NOTE: Military demolition blocks and blasting caps referred to in Category IV(a) do (2) Support Ships: not include the following articles: (i) Fleet Support Ships (ARS, ASR, ATA, (a) Electric squibs. ATF, ATS) (b) No. 6 and No. 8 blasting caps, including (ii) Other Auxiliaries (AG, AGDS, AGF, electric ones. AGM, AGOR, AGOS, AGS, AH, AK, AKR, (c) Delay electric blasting caps (including AOG, AOT, AP, APB, ARC, ARL, AVM, No. 6 and No. 8 millisecond ones). AVT). (d) Seismograph electric blasting caps (in- (c) Combatant Craft: (1) Patrol Craft: cluding SSS, Static-Master, Vibrocap SR, (i) Coastal Patrol Combatants (PB, PCF, and SEISMO SR). PCH, PTF) (e) Oil well perforating devices. (ii) River, Roadstead Craft (ATC, PBR). CATEGORY V [Reserved] (2) Amphibious Warfare Craft: (i) Landing Craft (AALC, LCAC, LCM, CATEGORY VI—VESSELS OF WAR AND SPECIAL LCPL, LCPR, LCU, LWT, SLWT) NAVAL EQUIPMENT (ii) Special Warfare Craft (LSSC, MSSC, SDV, SWCL, SWCM). (a) Vessels of War, if they are armed and (3) Mine Warfare Craft: equipped with offensive or defensive weapon (i) Mine Countermeasures Craft (MSB, systems, including but not limited to am- MSD, MSI, MSM, MSR). phibious warfare vessels, landing craft, mine (d) Support and Service Craft: warfare vessels, patrol vessels, auxiliary ves- (1) Tugs (YTB, YTL, YTM) sels, service craft, experimental types of (2) Tankers (YO, YOG, YW) naval ships, and any vessels specifically de- (3) Lighters (YC, YCF, YCV, YF, YFN, signed or modified for military purposes or YFNB, YFNX, YFR, YFRN, YFU, YG, YGN, other surface vessels equipped with offensive YOGN, YON, YOS, YSR, YWN) or defensive military systems. (4) Floating Dry Docks (AFDB, AFDL, (b) Turrets and gun mounts, special weap- AFDM, ARD, ARDM, YFD) ons systems, protective systems, and other (5) Miscellaneous (APL, DSRV, DSV, IX, components, parts, attachments, and acces- NR, YAG, YD, YDT, YFB, YFND, YEP, sories specifically designed or modified for YFRT, YHLC, YM, YNG, YP, YPD, YR, YRB, such articles on combatant vessels. YRBN, YRDH, YRDM, YRR, YRST, YSD). (c)–(d) [Reserved] (e) Coast Guard Patrol and Service Vessels (e) Naval nuclear propulsion plants, their and Craft: land prototypes and special facilities for (1) Coast Guard Cutters (CGC, WHEC, their construction, support and mainte- WMEC) nance. This includes any machinery, device, (2) Patrol Craft (WPB) component, or equipment specifically devel- (3) Icebreakers (WAGB) oped or designed or modified for use in such (4) Oceanography Vessels (WAGO) plants or facilities. (5) Special Vessels (WIX) NOTE: The term ‘‘vessels of war’’ includes, (6) Buoy Tenders (WLB, WLM, WLI, WLR, but is not limited to, the following, if armed WLIC) and equipped with offensive or defensive (7) Tugs (WYTM, WYTL) weapons systems:’’. (8) Light Ships (WLV). (a) Combatant vessels: CATEGORY VII—TANKS AND MILITARY VEHICLES (1) Warships (including nuclear-powered 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, (b) Military tanks, combat engineer vehi- SSAG). cles, bridge launching vehicles, halftracks (2) Other Combatant Classifications: and gun carriers.

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(c) Self-propelled guns and howitzers. CATEGORY VIII—AIRCRAFT AND ASSOCIATED (d)–(e) [Reserved] EQUIPMENT (f) Amphibious vehicles. (a) Aircraft, including but not limited to (g) [Reserved] helicopters, non-expansive balloons, drones (h) Tank and military vehicle parts, com- and lighter-than-air aircraft, which are spe- ponents, accessories, attachments, and asso- cifically designed, modified, or equipped for ciated equipment for offensive or defensive military purposes. This includes but is not systems for the articles in this category, as limited to the following military purposes: follows: gunnery, bombing, rocket or missile launch- (1) Armored hulls, armored turrets and turing, electronic and other surveillance, recon- ret support rings; naissance, refueling, aerial mapping, mili- (2) Active protection systems (i.e., defen- tary liaison, cargo carrying or dropping, per- sive systems that actively detect and track sonnel dropping, airborne warning and con- incoming threats and launch a ballistic, ex- trol, and military training. plosive, energy or electromagnetic counter- (b) [Reserved] measure(s) to neutralize the threat prior to NOTE: In Category VIII, ‘‘aircraft’’ means contact with a vehicle); aircraft designed, modified, or equipped for a (3) Composite armor parts and components; military purpose, including aircraft de- (4) Spaced armor components and parts, in- scribed as ‘‘demilitarized.’’ All aircraft bear- cluding slat armor parts and components; ing an original military designation are in- (5) Reactive armor and components; cluded in Category VIII. However, the fol- (6) Electromagnetic armor parts and com- lowing aircraft are not so included so long as ponents, including pulsed power; they have not been specifically equipped, re- (7) Gun mount, stabilization, turret drive, equipped, or modified for military oper- and automatic elevating systems; ations: (8) Kits specifically designed to convert a (a) Cargo aircraft bearing ‘‘C’’ designations vehicle in this category into either an un- and numbered C–45 through C–118 inclusive, manned or a driver-optional vehicle. For a and C–121 through C–125 inclusive, and C–131, kit to be controlled by this paragraph it using reciprocating engines only. must include all of the following: (b) Trainer aircraft bearing ‘‘T’’ designa- (i) Remote or autonomous steering; tions and using reciprocating engines or tur- (ii) Acceleration and braking; and boprop engines with less than 600 horsepower (iii) A control system; (s.h.p.). (9) Fire control computers, stored manage- (c) Utility aircraft bearing ‘‘U’’ designa- ment systems, armaments control proc- tions and using reciprocating engines only. essors, vehicle weapon interface units and (d) All liaison aircraft bearing an ‘‘L’’ des- computers; ignation. (e) All observation aircraft bearing ‘‘O’’ (10) Electro-optical sighting systems; and designations and using reciprocating en- (11) Laser rangefinder or target desig- gines. nating devices. (i) Other ground vehicles having all of the CATEGORIES IX–XIII [Reserved] following: (1) Manufactured or fitted with materials CATEGORY XIV—TOXICOLOGICAL AGENTS AND or components to provide ballistic protec- EQUIPMENT AND RADIOLOGICAL EQUIPMENT tion to level III (NIJ 0108.01, September 1985) (a) Chemical agents, including but not lim- or better; ited to lung irritants, vesicants, (2) A transmission to provide drive to both lachrymators, and tear gases (except tear front and rear wheels simultaneously, in- gas formulations containing 1% or less CN or cluding those vehicles having additional CS), sternutators and irritant smoke, and wheels for load bearing purposes whether nerve gases and incapacitating agents. driven or not; (b) [Reserved] (3) Gross Vehicle Weight Rating (GVWR) (c) All specifically designed or modified greater than 4,500 kg; and equipment, including components, parts, ac- (4) Designed or modified for off-road use. cessories, and attachments for disseminating NOTE: An ‘‘amphibious vehicle’’ in Cat- the articles in paragraph (a) of this category. egory VII(f) is a vehicle or chassis that is (d)–(e)[Reserved] equipped to meet special military require- NOTE: A chemical agent in Category XIV(a) ments, and that is designed or adapted for is a substance having military application operation on or under water, as well as on which by its ordinary and direct chemical land. action produces a powerful physiological ef- NOTE: Engines and engine parts are not in- fect. The term ‘‘chemical agent’’ includes, cluded in paragraph (h) of Category VII. but is not limited to, the following chemical NOTE: Paragraph (i) of Category VII does compounds: not apply to civil vehicles designed or modi- (a) Lung irritants: fied for transporting money or valuables. (1) Diphenylcyanoarsine (DC).

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(2) Fluorine (but not fluorene). part from technology developed by or for the (3) Trichloronitro methane (chloropicrin U.S. Armed Forces. PS). (c) Any of the articles in Category VI and (b) Vesicants: elsewhere in this part specifically designed (1) B-Chlorovinyldichloroarsine (Lewisite, or modified for use with submersible vessels, L). and oceanographic or associated equipment (2) Bis(dichlorethyl) sulphide (Mustard assigned a military designation. Gas, HD or H). (d) Equipment, components, parts, acces- (3) Ethyldichloroarsine (ED). (4) Methyldichloroarsine (MD). sories, and attachments specifically designed (c) Lachrymators and tear gases: for any of the articles in paragraphs (a) and (1) A-Brombenzyl cyanide (BBC). (b) of this category. (2) Chloroacetophenone (CN). (3) Dibromodimethyl ether. CATEGORY XXI—MISCELLANEOUS ARTICLES (4) Dichlorodimethyl ether (ClCi). Any defense article or defense service not (5) Ethyldibromoarsine. specifically enumerated in the other cat- (6) Phenylcarbylamine chloride. egories of the USMIL that has substantial (7) Tear gas solutions (CNB and CNS). military applicability and that has been spe- (8) Tear gas cifically designed or modified for military orthochlorobenzalmalononitrile (CS). (d) Sternutators and irritant smokes: purposes. The decision as to whether any ar- (1) Diphenylamine chloroarsine (Adamsite, ticle may be included in this category shall DM). be made by the Attorney General with the (2) Diphenylchloroarsine (BA). concurrence of the Secretary of State and (3) Liquid pepper. the Secretary of Defense. (e) Nerve agents, gases, and aerosols. These [T.D. ATF–215, 50 FR 42158, Oct. 18, 1985; 50 are toxic compounds which affect the nerv- FR 46647, Nov. 12, 1985, as amended by T.D. ous system, such as: ATF–426, 65 FR 38197, June 20, 2000; ATF–9F, (1) Dimethylaminoethoxycyanophosphine oxide (GA). 72 FR 72938, Dec. 26, 2007; ATF–50F, 78 FR (2) Methylisopropoxyfluorophosphine oxide 23677, Apr. 22, 2013; ATF–25I, 79 FR 17028, Mar. (GB). 27, 2014] (3) Methylpinacolyloxyfluoriphosphine oxide (GD). § 447.22 Forgings, castings, and ma- (f) Antiplant chemicals, such as: Butyl 2- chined bodies. chloro-4-fluorophenoxyacetate (LNF). Articles on the U.S. Munitions Im- CATEGORY XV [Reserved] port List include articles in a partially completed state (such as forgings, cast- CATEGORY XVI—NUCLEAR WEAPONS DESIGN AND ings, extrusions, and machined bodies) TEST EQUIPMENT which have reached a stage in manu- (a)[Reserved] facture where they are clearly identifi- (b) Modeling or simulation tools that able as defense articles. If the end-item model or simulate the environments gen- erated by nuclear detonations or the effects is an article on the U.S. Munitions Im- of these environments on systems, sub- port List, (including components, ac- systems, components, structures, or humans. cessories, attachments and parts) then NOTE: Category XVI does not include the particular forging, casting, extru- equipment, technical data, or services con- sion, machined body, etc., is considered trolled by the Department of Energy pursu- a defense article subject to the controls ant to the Atomic Energy Act of 1954, as of this part, except for such items as amended, and the Nuclear Non-Proliferation Act of 1978, as amended, or are government are in normal commercial use. transfers authorized pursuant to these Acts. [T.D. ATF–215, 50 FR 42160, Oct. 18, 1985] CATEGORY XVII–XIX [Reserved] Subpart D—Registration CATEGORY XX—SUBMERSIBLE VESSELS, OCEANOGRAPHIC AND ASSOCIATED EQUIPMENT § 447.31 Registration requirement. (a) Submersible vessels, manned and un- manned, designed or modified for military Persons engaged in the business, in purposes or having independent capability to the United States, of importing arti- maneuver vertically or horizontally at cles enumerated on the U.S. Munitions depths below 1,000 feet, or powered by nu- Import List must register by making clear propulsion plants. an application on ATF Form 4587. (b) Submersible vessels, manned or un- manned, designed or modified in whole or in [T.D. ATF–484, 67 FR 64526, Oct. 21, 2002]

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§ 447.32 Application for registration cles subject to controls under 27 CFR and refund of fee. Parts 478 and 479 shall maintain (a) Application for registration must records in accordance with the applica- be filed on ATF Form 4587 and must be ble provisions of those parts. accompanied by the registration fee at (b) Registrants under this part en- the rate prescribed in this section. The gaged in importing articles on the U.S. appropriate ATF officer will approve Munitions Import List subject to the the application and return the original permit procedures of subpart E of this to the applicant. part must maintain for a period of 6 (b) Registration may be effected for years records bearing on such articles periods of from 1 to 5 years at the op- imported, including records concerning tion of the registrant by identifying on their acquisition and disposition, in- Form 4587 the period of registration de- cluding Forms 6 and 6A. The appro- sired. The registration fees are as fol- priate ATF officer may prescribe a lows: longer or shorter period in individual 1 year ...... $250 cases as such officer deems necessary. 2 years ...... 500 See § 478.129 of this chapter for articles 3 years ...... 700 subject to import control under part 4 years ...... 850 478 of this chapter. 5 years ...... 1,000 (Approved by the Office of Management and (c) Fees paid in advance for whole fu- Budget under control number 1140–0032) ture years of a multiple year registra- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as tion will be refunded upon request if amended by T.D. ATF–172, 49 FR 14941, Apr. the registrant ceases to engage in im- 16, 1984; T.D. ATF–215, 50 FR 42161, Oct. 18, porting articles on the U.S. Munitions 1985; T.D. ATF–426, 65 FR 38197, June 20, 2000; Import List. A request for a refund T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; ATF– must be submitted to the appropriate 11F, 73 FR 57240, Oct. 2, 2008] ATF officer at the Bureau of Alcohol, § 447.35 Forms prescribed. Tobacco, Firearms, and Explosives, Martinsburg, WV 25405, prior to the be- (a) The appropriate ATF officer is au- ginning of any year for which a refund thorized to prescribe all forms required is claimed. by this part. All of the information called for in each form shall be fur- (Approved by the Office of Management and nished as indicated by the headings on Budget under control number 1140–0009) the form and the instructions on or [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as pertaining to the form. In addition, in- amended by T.D. ATF–215, 50 FR 42161, Oct. formation called for in each form shall 18, 1985; T.D. ATF–484, 67 FR 64526, Oct. 21, be furnished as required by this part. 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008; ATF 2013R–9F, 79 FR 46692, Aug. 11, 2014] The form will be filed in accordance with the instructions for the form. § 447.33 Notification of changes in in- (b) Forms may be requested from the formation furnished by registrants. ATF Distribution Center (http:// Registered persons shall notify the www.atf.gov) or by calling (202) 648–6420. appropriate ATF officer in writing, in [T.D. ATF–92, 46 FR 46914, Sept. 23, 1981, as duplicate, of significant changes in the amended by T.D. ATF–249, 52 FR 5961, Feb. information set forth in their registra- 27, 1987; T.D. ATF–426, 65 FR 38197, June 20, tion 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008; ATF (Approved by the Office of Management and 2013R–9F, 79 FR 46692, Aug. 11, 2014] Budget under control number 1140–0009) [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as Subpart E—Permits amended by T.D. ATF–215, 50 FR 42161, Oct. 18, 1985; ATF–11F, 73 FR 57240, Oct. 2, 2008] § 447.41 Permit requirement. § 447.34 Maintenance of records by (a) Articles on the U.S. Munitions persons required to register as im- Import List will not be imported into porters of Import List articles. the United States except pursuant to a (a) Registrants under this part en- permit under this subpart. For articles gaged in the business of importing arti- subject to control under parts 478 or 479

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of this chapter, a separate permit is (E) The length of barrel, if any (in not necessary. inches); (b) Articles on the U.S. Munitions (F) The overall length, if a firearm Import List intended for the United (in inches); States or any State or political sub- (G) The serial number, if known; division thereof, or the District of Co- (H) Whether the defense article is lumbia, which are exempt from import new or used; controls of 27 CFR 478.115 shall not be (I) The quantity; imported into the United States, ex- (J) The unit cost of the firearm, fire- cept by the United States or agency arm barrel, ammunition, or other de- thereof, without first obtaining a per- fense article to be imported; mit under this subpart. (K) The category of U.S. Munitions (c) A permit is not required for the Import List under which the article is importation of— regulated; (1)(i) The U.S. Munitions Import List (v) The specific purpose of importa- articles from Canada, except articles tion, including final recipient informa- enumerated in Categories I, II, III, IV, tion if different from the importer; and VI(e), VIII(a), XVI, and XX; and (vi) Certification of origin. (ii) Nuclear weapons strategic deliv- (2)(i) If the appropriate ATF officer ery systems and all specifically de- approves the application, such ap- signed components, parts, accessories, proved application will serve as the attachments, and associated equipment permit to import the defense article thereof (see Category XXI); or described therein, and importation of (2) Minor components and parts for such defense article may continue to be Category I(a) and I(b) firearms, except made by the licensed/registered im- barrels, cylinders, receivers (frames) or porter (if applicable) under the ap- complete breech mechanisms, when the proved application (permit) during the total value does not exceed $100 whole- period specified thereon. The appro- sale in any single transaction. priate ATF officer will furnish the approved application (permit) to the ap- [T.D. ATF–215, 50 FR 42161, Oct. 18, 1985, as plicant and retain two copies thereof amended by T.D. ATF–426, 65 FR 38197, June 20, 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, for administrative use. 2002] (ii) If the Director disapproves the application, the licensed/registered im- § 447.42 Application for permit. porter (if applicable) will be notified of (a)(1) Persons required to obtain a the basis for the disapproval. permit as provided in § 447.41 must file (b) For additional requirements re- a Form 6—Part I. The application must lating to the importation of plastic ex- be signed and dated and must contain plosives into the United States on or the information requested on the form, after April 24, 1997, see § 555.183 of this including: title. (i) The name, address, telephone (Approved by the Office of Management and number, license and registration num- Budget under control number 1140–0005) ber, if any (including expiration date) [T.D. ATF–215, 50 FR 42161, Oct. 18, 1985, as of the importer; amended by T.D. ATF–387, 62 FR 8376, Feb. (ii) The country from which the de- 25, 1997; 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- § 447.43 Terms of permit. cle to be imported, including— (a) Import permits issued under this (A) The name and address of the subpart are valid for two years from manufacturer; their issuance date unless a different (B) The type (e.g., rifle, shotgun, pis- period of validity is stated thereon. tol, revolver, aircraft, vessel, and in They are not transferable. the case of ammunition only, ball, (b) If shipment cannot be completed wadcutter, shot, etc.); during the period of validity of the per- (C) The caliber, gauge, or size; mit, another application must be sub- (D) The model; mitted for permit to cover the

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unshipped balance. Such an application not require issuance of an export li- shall make reference to the previous cense, the importer must submit a cer- permit and may include materials in tification, under penalty of perjury, to addition to the unshipped balance. that effect. (c) No amendments or alteration of a (1) In obtaining the release from Cus- permit may be made, except by the ap- toms custody of an article imported propriate ATF officer. pursuant to a permit, the permit hold- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as er will prepare and file Form 6A ac- amended by T.D. ATF–325, 57 FR 29787, July cording to its instructions. 7, 1992; T.D. ATF–426, 65 FR 38197, June 20, (2) The ATF Form 6A must contain 2000; ATF–26F, 79 FR 7396, Feb. 7, 2014] the information requested on the form, including: § 447.44 Permit denial, revocation or suspension. (i) The name, address, and license number (if any) of the importer; (a) Import permits under this subpart (ii) The name of the manufacturer of may be denied, revoked, suspended or the defense article; revised without prior notice whenever (iii) The country of manufacture; the appropriate ATF officer finds the proposed importation to be incon- (iv) The type; sistent with the purpose or in violation (v) The model; of section 38, Arms Export Control Act (vi) The caliber, gauge, or size; of 1976 or the regulations in this part. (vii) The serial number in the case of (b) Whenever, after appropriate con- firearms, if known; and sideration, a permit application is de- (viii) The number of defense articles nied or an outstanding permit is re- released. voked, suspended, or revised, the appli- (b) Within 15 days of the date of their cant or permittee shall be promptly ad- release from Customs custody, the im- vised in writing of the appropriate ATF porter of the articles released will for- officer’s decision and the reasons there- ward to the address specified on the for. form a copy of Form 6A on which will (c) Upon written request made within be reported any error or discrepancy 30 days after receipt of an adverse deci- appearing on the Form 6A certified by sion, the applicant or permittee shall Customs and serial numbers if not pre- be accorded an opportunity to present viously provided on ATF Form 6A. additional information and to have a full review of his case by the appro- (Approved by the Office of Management and priate ATF officer. Budget under control number 1140–0007) (d) Unused, expired, suspended, or re- [T.D. ATF–215, 50 FR 42161, Oct. 18, 1985, as voked permits must be returned imme- amended by T.D. ATF–426, 65 FR 38197, June diately to the appropriate ATF officer. 20, 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008] [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF–215, 50 FR 42161, Oct. § 447.46 Articles in transit. 18, 1985] Articles subject to the import permit § 447.45 Importation. procedures of this subpart which enter (a) Articles subject to the import per- the United States for temporary de- mit procedures of this subpart im- posit pending removal therefrom and ported into the United States may be such articles which are temporarily released from Customs custody to the taken out of the United States for re- person authorized to import same upon turn thereto shall be regarded as in his showing that he has a permit for transit and will be considered neither the importation of the article or arti- imported nor exported under this part. cles to be released. For articles in Cat- Such transactions are subject to the egories I and III imported by a reg- Intransit or Temporary Export License istered importer, the importer will also procedures of the Department of State submit to Customs a copy of the export (see 22 CFR Part 123). license authorizing the export of the [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as article or articles from the exporting amended by T.D. ATF–215, 50 FR 42161, Oct. country. If the exporting country does 18, 1985]

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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 NOTE: Changes in foreign policy may result United States, certain foreign coun- in additions to and deletions from the above tries are entitled to request certifi- list of countries. The ATF will publish changes to this list in the FEDERAL REG- cation of legality of importation of ar- ISTER. Contact the Firearms and Explosives ticles on the U.S. Munitions Import Imports Branch at (304) 616–4550 for current List. Upon request of a foreign govern- information. ment, the appropriate ATF officer will (b) Notwithstanding paragraph (a) of certify the importation, on Form ITA– this section, the appropriate ATF offi- 645P/ATF–4522/DSP53, for the U.S. im- cer shall deny applications to import porter. Normally, the U.S. importer into the United States the following will submit this form at the time he firearms and ammunition: applies for an import permit. This doc- (1) Any firearm located or manufac- ument will serve as evidence to the tured in Georgia, Kazakstan, government of the exporting company Kyrgyzstan, Moldova, Russian Federa- that the U.S. importer has complied tion, Turkmenistan, Ukraine, or with import regulations of the U.S. Uzbekistan, and any firearm previously Government and is prohibited from di- manufactured in the Soviet Union, verting, transshipping, or reexporting that is not one of the models listed the material described therein without below: the approval of the U.S. Government. (i) Pistols/Revolvers: Foreign governments may also require (A) German Model P08 Pistol. documentation attesting to the deliv- (B) IZH 34M, .22 caliber Target Pistol. ery of the material into the United (C) IZH 35M, .22 caliber Target Pistol. States. When such delivery certifi- (D) Mauser Model 1896 Pistol. cation is requested by a foreign govern- (E) MC–57–1 Pistol. ment, the U.S. importer may obtain di- (F) MC–1–5 Pistol. rectly from the U.S. District Director (G) Polish Vis Model 35 Pistol. of Customs the authenticated Delivery (H) Soviet Nagant Revolver. Verification Certificate (U.S. Depart- (I) TOZ 35, .22 caliber Target Pistol. ment of Commerce Form ITA–647P) for (ii) Rifles: this purpose. (A) BARS–4 Bolt Action Carbine. (B) Biathlon Target Rifle, .22LR cal- (Approved by the Office of Management and Budget under control number 0625–0064) iber. (C) British Enfield Rifle. [T.D. ATF–215, 50 FR 42162, Oct. 18, 1985, as (D) CM2, .22 caliber Target Rifle (also amended by T.D. ATF–484, 67 FR 64526, Oct. known as SM2, 22 caliber). 21, 2002] (E) German Model 98K Rifle. (F) German Model G41 Rifle. § 447.52 Import restrictions applicable to certain countries. (G) German Model G43 Rifle. (H) IZH–94. (a) It is the policy of the United (I) LOS–7 Bolt Action Rifle. States to deny licenses and other ap- (J) MC–7–07. provals with respect to defense articles (K) MC–18–3. and defense services originating in cer- (L) MC–19–07. tain countries or areas. This policy ap- (M) MC–105–01. plies to Afghanistan, Belarus (one of (N) MC–112–02. the states composing the former Soviet (O) MC–113–02. Union), Cuba, Iran, Iraq, Libya, Mon- (P) MC–115–1. golia, North Korea, Sudan, Syria, and (Q) MC–125/127. Vietnam. This policy applies to coun- (R) MC–126. tries or areas with respect to which the (S) MC–128. United States maintains an arms em- (T) Saiga Rifle. bargo (e.g., Burma, China, the Demo- (U) Soviet Model 38 Carbine. cratic Republic of the Congo, Haiti, Li- (V) Soviet Model 44 Carbine.

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(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 Kyrgyzstan, Moldova, Russian Federa- five year period immediately prior to tion, Turkmenistan, Ukraine, or importation. Such information may, Uzbekistan, and ammunition pre- for example, include a verifiable state- viously manufactured in the Soviet ment in the English language of a gov- Union, that is 7.62 × 25mm caliber (also ernment official or any other person known as 7.63 × 25mm caliber or .30 having knowledge of the date and place Mauser); or of manufacture and/or the place of (3) A type of firearm the manufacture storage; a warehouse receipt or other of which began after February 9, 1996. document which provides the required (c) The provisions of paragraph (b) of history of storage; and any other docu- this section shall not affect the fulfill- ment that the applicant believes sub- ment of contracts with respect to fire- stantiates the place and date of manu- arms or ammunition entered or with- facture and the place of storage. The drawn from warehouse for consumption appropriate ATF officer, however, rein the United States on or before Feb- serves the right to determine whether ruary 9, 1996. documentation is acceptable. Appli- (d) A defense article authorized for cants shall, when required by the ap- importation under this part may not be propriate ATF officer, furnish addi- shipped on a vessel, aircraft or other tional documentation as may be nec- means or conveyance which is owned or essary to determine whether an import operated by, or leased to or from, any permit application should be approved. of the countries or areas covered by [T.D. ATF–202, 50 FR 14382, Apr. 12, 1985, as paragraph (a) of this section. amended by T.D. ATF–215, 50 FR 42162, Oct. (e) Applications for permits to im- 18, 1985; T.D. ATF–287, 54 FR 13681, Apr. 5, port articles that were manufactured 1989; T.D. ATF–323, 57 FR 24189, June 8, 1992; in, or have been in, a country or area T.D. ATF–349, 58 FR 47831, Sept. 13, 1993; T.D. ATF–367, 60 FR 47866, Sept. 15, 1995; T.D. proscribed under this section may be ATF–396, 62 FR 61234, Nov. 17, 1997; T.D. approved where the articles are covered ATF–484, 67 FR 64526, Oct. 21, 2002; ATF–9F, by Category I(a) of the Import List 72 FR 72938, Dec. 26, 2007] (other than those subject to the provisions of 27 CFR Part 479), are import- § 447.53 Exemptions. able as curios or relics under the provi- (a) The provisions of this part are not sions of 27 CFR 478.118, and meet the applicable to: following criteria: (1) Importations by the United States (1) The articles were manufactured in or any agency thereof; a proscribed country or area prior to (2) Importation of components for the date, as established by the Depart- items being manufactured under con- ment of State, the country or area be- tract for the Department of Defense; or came proscribed, or, were manufac- (3) Importation of articles (other tured in a non-proscribed country or than those which would be ‘‘firearms’’ area; and as defined in 18 U.S.C. 921(a)(3) manu- (2) The articles have been stored for factured in foreign countries for per- the five year period immediately prior sons in the United States pursuant to to importation in a non-proscribed Department of State approval. country or area. (b) Any person seeking to import ar- (f) Applicants desiring to import arti- ticles on the U.S. Munitions Import cles claimed to meet the criteria speci- List as exempt under paragraph (a)(2) fied in paragraph (e) of this section or (3) of this section may obtain release

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of such articles from Customs custody lists, shipping documents, correspond- by submitting, to the Customs officer ence, and instructions. with authority to release, a statement [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as claiming the exemption accompanied amended by T.D. ATF–215, 50 FR 42162, Oct. by satisfactory proof of eligibility. 18, 1985] Such proof may be in the form of a letter from the Department of Defense or § 447.57 U.S. military defense articles. State, as the case may be, confirming (a)(1) Notwithstanding any other pro- that the conditions of the exemption vision of this part or of parts 478 or 479 are met. of this chapter, no military defense article of United States manufacture [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as may be imported into the United amended by T.D. ATF–215, 50 FR 42162, Oct. 18, 1985] States if such article was furnished to a foreign government under a foreign § 447.54 Administrative procedures in- assistance or foreign military sales applicable. program of the United States. (2) The restrictions in paragraph The functions conferred under sec- (a)(1) of this section cover defense arti- tion 38, Arms Export Control Act of cles which are advanced in value or im- 1976, as amended, are excluded from the proved in condition in a foreign coun- operation of Chapter 5, Title 5, United try, but do not include those which States Code, with respect to Rule Mak- have been substantially transformed as ing and Adjudication, 5 U.S.C. 553 and to become, in effect, articles of foreign 554. manufacture. [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as (b) Paragraph (a) of this section will amended by T.D. ATF–215, 50 FR 42162, Oct. not apply if: 18, 1985] (1) The applicant submits with the ATF Form 6—Part I application writ- § 447.55 Departments of State and De- ten authorization from the Department fense consulted. of State to import the defense article; The administration of the provisions and of this part will be subject to the guid- (2) In the case of firearms, such fire- ance of the Secretaries of State and arms are curios or relics under 18 Defense on matters affecting world U.S.C. 925(e) and the person seeking to import such firearms provides a certifi- peace and the external security and cation of a foreign government that foreign policy of the United States. the firearms were furnished to such § 447.56 Authority of Customs officers. government under a foreign assistance or foreign military sales program of (a) Officers of the U.S. Customs Serv- the United States and that the fire- ice are authorized to take appropriate arms are owned by such foreign govern- action to assure compliance with this ment. (See § 478.118 of this chapter pro- part and with 27 CFR Parts 478 and 479 viding for the importation of certain as to the importation or attempted im- curio or relic handguns, rifles and shot- portation of articles on the U.S. Muni- guns.) tions Import List, whether or not au- (c) For the purpose of this section, thorized by permit. the term ‘‘military defense article’’ in- (b) Upon the presentation to him of a cludes all defense articles furnished to permit or written approval authorizing foreign governments under a foreign importation of articles on the U.S. Mu- assistance or foreign military sales nitions Import List, the Customs offi- program of the United States as set cer who has authority to release same forth in paragraph (a) of this section. may require, in addition to such docu- (Approved by the Office of Management and ments as may be required by Customs Budget under OMB Control No. 1140–0005) regulations, the production of other [T.D. ATF–287, 54 FR 13681, Apr. 5, 1989, as relevant documents relating to the pro- amended by T.D. ATF–393, 62 FR 61235, Nov. posed importation, including, but not 17, 1997; T.D. ATF–426, 65 FR 38198, June 20, limited to, invoices, orders, packing 2000; ATF–11F, 73 FR 57240, Oct. 2, 2008]

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§ 447.58 Delegations of the Director. or receives, conceals, buys, sells, or in The regulatory authorities of the Di- any manner facilitates its transpor- rector contained in this part are dele- tation, concealment, or sale after im- gated to appropriate ATF officers. portation, knowing the same to have These ATF officers are specified in been imported contrary to law, shall be ATF O 1130.34, Delegation of the Direc- fined not more than $10,000 or impris- tor’s Authorities in 27 CFR Part 447. oned not more than 5 years, or both; ATF delegation orders, such as ATF O and the merchandise so imported, or 1130.34, are available to any interested the value thereof shall be forfeited to party by submitting a request to the the United States. ATF Distribution Center (http:// (18 U.S.C. 545) www.atf.gov) or by calling (202) 648–6420 [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as [T.D. ATF–484, 67 FR 64526, Oct. 21, 2002, as amended by T.D. ATF–215, 50 FR 42162, Oct. amended by ATF–11F, 73 FR 57240, Oct. 2, 18, 1985] 2008; ATF 2013R–9F, 79 FR 46692, Aug. 11, 2014] PART 478—COMMERCE IN Subpart G—Penalties, Seizures FIREARMS AND AMMUNITION and Forfeitures Subpart A—Introduction § 447.61 Unlawful importation. Sec. Any person who willfully: 478.1 Scope of regulations. (a) Imports articles on the U.S. Muni- 478.2 Relation to other provisions of law. tions Import List without a permit; (b) Engages in the business of import- Subpart B—Definitions ing articles on the U.S. Munitions Im- port List without registering under 478.11 Meaning of terms. this part; or Subpart C—Administrative and (c) Otherwise violates any provisions Miscellaneous Provisions of this part; Shall upon conviction be fined not 478.21 Forms prescribed. more than $1,000,000 or imprisoned not 478.22 Alternate methods or procedures; more than 10 years, or both. emergency variations from requirements. [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as 478.23 Right of entry and examination. amended at 39 FR 4760, Feb. 7, 1974; T.D. 478.24 Compilation of State laws and pub- ATF–215, 50 FR 42162, Oct. 18, 1985; T.D. ATF– lished ordinances. 287, 54 FR 13681, Apr. 5, 1989] 478.25 Disclosure of information. 478.25a Responses to requests for informa- § 447.62 False statements or conceal- tion. ment of facts. 478.26 Curio and relic determination. Any person who willfully, in a reg- 478.27 Destructive device determination. 478.28 Transportation of destructive devices istration or permit application, makes and certain firearms. any untrue statement of a material 478.29 Out-of-State acquisition of firearms fact or fails to state a material fact re- by nonlicensees. quired to be stated therein or nec- 478.29a Acquisition of firearms by non- essary to make the statements therein residents. not misleading, shall upon conviction 478.30 Out-of-State disposition of firearms be fined not more than $1,000,000, or im- by nonlicensees. prisoned not more than 10 years, or 478.31 Delivery by common or contract carrier. both. 478.32 Prohibited shipment, transportation, [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as possession, or receipt of firearms and am- amended by T.D. ATF–215, 50 FR 42162, Oct. munition by certain persons. 18, 1985; T.D. ATF–287, 54 FR 13681, Apr. 5, 478.33 Stolen firearms and ammunition. 1989] 478.33a Theft of firearms. 478.34 Removed, obliterated, or altered se- § 447.63 Seizure and forfeiture. rial number. 478.35 Skeet, trap, target, and similar Whoever knowingly imports into the shooting activities. United States contrary to law any arti- 478.36 Transfer or possession of machine cle on the U.S. Munitions Import List; guns.

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478.37 Manufacture, importation and sale of Subpart G—Importation armor piercing ammunition. 478.38 Transportation of firearms. 478.111 General. 478.39 Assembly of semiautomatic rifles or 478.112 Importation by a licensed importer. shotguns. 478.113 Importation by other licensees. 478.39a Reporting theft or loss of firearms. 478.113a Importation of firearm barrels by 478.40 [Reserved] nonlicensees. 478.114 Importation by members of the U.S. Subpart D—Licenses Armed Forces. 478.115 Exempt importation. 478.41 General. 478.116 Conditional importation. 478.42 License fees. 478.117 Function outside a customs terri- 478.43 License fee not refundable. tory. 478.44 Original license. 478.118 Importation of certain firearms clas- 478.45 Renewal of license. sified as curios and relics. 478.46 Insufficient fee. 478.119 [Reserved] 478.47 Issuance of license. 478.120 Firearms or ammunition imported 478.48 Correction of error on license. by or for a nonimmigrant alien. 478.49 Duration of license. 478.50 Locations covered by license. Subpart H—Records 478.51 License not transferable. 478.52 Change of address. 478.121 General. 478.53 Change in trade name. 478.122 Records maintained by importers. 478.54 Change of control. 478.123 Records maintained by manufactur- 478.55 Continuing partnerships. ers. 478.56 Right of succession by certain per- 478.124 Firearms transaction record. sons. 478.125 Record of receipt and disposition. 478.57 Discontinuance of business. 478.125a Personal firearms collection. 478.58 State or other law. 478.126 Furnishing transaction information. 478.59 Abandoned application. 478.126a Reporting multiple sales or other 478.60 Certain continuances of business. disposition of pistols and revolvers. 478.127 Discontinuance of business. Subpart E—License Proceedings 478.128 False statement or representation. 478.71 Denial of an application for license. 478.129 Record retention. 478.72 Hearing after application denial. 478.131 Firearms transactions not subject to 478.73 Notice of revocation, suspension, or a NICS check. imposition of civil fine. 478.132 [Reserved] 478.74 Request for hearing after notice of 478.133 Records of transactions in semiauto- suspension, revocation, or imposition of matic assault weapons. civil fine. 478.134 Sale of firearms to law enforcement 478.75 Service on applicant or licensee. officers. 478.76 Representation at a hearing. 478.77 Designated place of hearing. Subpart I—Exemptions, Seizures, and 478.78 Operations by licensee after notice. Forfeitures

Subpart F—Conduct of Business 478.141 General. 478.142 Effect of pardons and expunctions of 478.91 Posting of license. convictions. 478.92 Identification of firearms and armor 478.143 Relief from disabilities incurred by piercing ammunition by licensed manu- indictment. facturers and licensed importers. 478.144 Relief from disabilities under the 478.93 Authorized operations by a licensed Act. collector. 478.145 Research organizations. 478.94 Sales or deliveries between licensees. 478.146 Deliveries by mail to certain per- 478.95 Certified copy of license. sons. 478.96 Out-of-State and mail order sales. 478.147 Return of firearm. 478.97 Loan or rental of firearms. 478.148 Armor piercing ammunition in- 478.98 Sales or deliveries of destructive de- tended for sporting or industrial pur- vices and certain firearms. poses. 478.99 Certain prohibited sales or deliveries. 478.149 Armor piercing ammunition manu- 478.100 Conduct of business away from li- factured or imported for the purpose of censed premises. testing or experimentation. 478.101 Record of transactions. 478.150 Alternative to NICS in certain geo- 478.102 Sales or deliveries of firearms on and graphical locations. after November 30, 1998. 478.151 Semiautomatic rifles or shotguns for 478.103 Posting of signs and written notifi- testing or experimentation. cation to purchasers of handguns. 478.152 Seizure and forfeiture.

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478.153 [Reserved] (8) Restrictions on armor piercing ammunition. Subpart J [Reserved] [T.D. ATF–270, 53 FR 10490, Mar. 31, 1988, as Subpart K—Exportation amended by T.D. ATF–354, 59 FR 7112, Feb. 14, 1994; T.D. ATF–363, 60 FR 17450, Apr. 6, 478.171 Exportation. 1995; T.D. ATF–401, 63 FR 35522, June 30, 1998; T.D. ATF–471, 67 FR 5425, Feb. 5, 2002] AUTHORITY: 5 U.S.C. 552(a); 18 U.S.C. 921– 931; 44 U.S.C. 3504(h). § 478.2 Relation to other provisions of SOURCE: 33 FR 18555, Dec. 14, 1968, unless law. otherwise noted. Redesignated at 40 FR 16835, The provisions in this part are in ad- Apr. 15, 1975, and further redesignated by dition to, and are not in lieu of, any T.D. ATF–487, 68 FR 3750, Jan. 24, 2003. other provision of law, or regulations, EDITORIAL NOTE: Nomenclature changes to respecting commerce in firearms or part 478 appear by T.D. ATF–411, 64 FR 17291, ammunition. For regulations applica- Apr. 9, 1999, T.D. ATF–487, 68 FR 3750, Jan. 24, ble to traffic in machine guns, destruc- 2003, and ATF–11F, 73 FR 57240, Oct. 2, 2008. tive devices, and certain other firearms, see Part 479 of this chapter. For Subpart A—Introduction statutes applicable to the registration and licensing of persons engaged in the § 478.1 Scope of regulations. business of manufacturing, importing (a) General. The regulations con- or exporting arms, ammunition, or im- tained in this part relate to commerce plements of war, see section 38 of the in firearms and ammunition and are Arms Export Control Act (22 U.S.C. promulgated to implement Title I, 2778) and regulations thereunder and State Firearms Control Assistance (18 Part 447 of this chapter. For statutes U.S.C. Chapter 44), of the Gun Control applicable to nonmailable firearms, see Act of 1968 (82 Stat. 1213) as amended 18 U.S.C. 1715 and regulations thereby Pub. L. 99–308 (100 Stat. 449), Pub. L. under. 99–360 (100 Stat. 766), Pub. L. 99–408 (100 [T.D. ATF–270, 53 FR 10490, Mar. 31, 1988] Stat. 920), Pub. L. 103–159 (107 Stat. 1536), Pub. L. 103–322 (108 Stat. 1796), Subpart B—Definitions Pub. L. 104–208 (110 Stat. 3009), and Pub. L. 105–277 (112 Stat. 2681). § 478.11 Meaning of terms. (b) Procedural and substantive require- When used in this part and in forms ments. This part contains the proce- prescribed under this part, where not dural and substantive requirements otherwise distinctly expressed or mani- relative to: festly incompatible with the intent (1) The interstate or foreign com- thereof, terms shall have the meanings merce in firearms and ammunition; ascribed in this section. Words in the (2) The licensing of manufacturers plural form shall include the singular, and importers of firearms and ammuni- and vice versa, and words importing tion, collectors of firearms, and dealers the masculine gender shall include the in firearms; feminine. The terms ‘‘includes’’ and (3) The conduct of business or activ- ‘‘including’’ do not exclude other ity by licensees; things not enumerated which are in the (4) The importation of firearms and same general class or are otherwise ammunition; within the scope thereof. (5) The records and reports required Act. 18 U.S.C. Chapter 44. of licensees; Adjudicated as a mental defective. (a) A (6) Relief from disabilities under this determination by a court, board, com- part; mission, or other lawful authority that a person, as a result of marked sub- (7) Exempt interstate and foreign normal intelligence, or mental illness, commerce in firearms and ammuni- incompetency, condition, or disease: tion; and (1) Is a danger to himself or to oth- ers; or

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(2) Lacks the mental capacity to con- shotgun shot or pellet not designed for tract or manage his own affairs. use as the single, complete projectile (b) The term shall include— load for one shotgun hull or casing, nor (1) A finding of insanity by a court in (b) any unloaded, non-metallic shotgun a criminal case; and hull or casing not having a primer. (2) Those persons found incompetent Antique firearm. (a) Any firearm (in- to stand trial or found not guilty by cluding any firearm with a matchlock, reason of lack of mental responsibility flintlock, percussion cap, or similar pursuant to articles 50a and 72b of the type of ignition system) manufactured Uniform Code of Military Justice, 10 in or before 1898; and (b) any replica of U.S.C. 850a, 876b. any firearm described in paragraph (a) Admitted to the United States for lawful of this definition if such replica (1) is hunting or sporting purposes. (a) Is en- not designed or redesigned for using tering the United States to participate rimfire or conventional centerfire fixed in a competitive target shooting event ammunition, or (2) uses rimfire or con- sponsored by a national, State, or local ventional centerfire fixed ammunition organization, devoted to the competi- which is no longer manufactured in the tive use or other sporting use of fire- United States and which is not readily arms; or available in the ordinary channels of (b) Is entering the United States to commercial trade. display firearms at a sports or hunting Armor piercing ammunition. Projec- trade show sponsored by a national, tiles or projectile cores which may be State, or local firearms trade organiza- used in a handgun and which are con- tion, devoted to the competitive use or structed entirely (excluding the pres- other sporting use of firearms. ence of traces of other substances) Alien. Any person not a citizen or na- from one or a combination of tungsten tional of the United States. alloys, steel, iron, brass, bronze, beryl- Alien illegally or unlawfully in the lium copper, or depleted uranium; or United States. Aliens who are unlaw- full jacketed projectiles larger than .22 fully in the United States are not in caliber designed and intended for use in valid immigrant, nonimmigrant or pa- a handgun and whose jacket has a role status. The term includes any weight of more than 25 percent of the alien— total weight of the projectile. The term (a) Who unlawfully entered the does not include shotgun shot required United States without inspection and by Federal or State environmental or authorization by an immigration offi- game regulations for hunting purposes, cer and who has not been paroled into frangible projectiles designed for tar- the United States under section get shooting, projectiles which the Di- 212(d)(5) of the Immigration and Na- rector finds are primarily intended to tionality Act (INA); be used for sporting purposes, or any (b) Who is a nonimmigrant and whose other projectiles or projectile cores authorized period of stay has expired or which the Director finds are intended who has violated the terms of the non- to be used for industrial purposes, in- immigrant category in which he or she cluding charges used in oil and gas well was admitted; perforating devices. (c) Paroled under INA section ATF officer. An officer or employee of 212(d)(5) whose authorized period of pa- the Bureau of Alcohol, Tobacco, Fire- role has expired or whose parole status arms, and Explosives (ATF) authorized has been terminated; or to perform any function relating to the (d) Under an order of deportation, ex- administration or enforcement of this clusion, or removal, or under an order part. to depart the United States volun- Business premises. The property on tarily, whether or not he or she has left which the manufacturing or importing the United States. of firearms or ammunition or the deal- Ammunition. Ammunition or car- ing in firearms is or will be conducted. tridge cases, primers, bullets, or pro- A private dwelling, no part of which is pellent powder designed for use in any open to the public, shall not be recog- firearm other than an antique firearm. nized as coming within the meaning of The term shall not include (a) any the term.

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Chief, Federal Firearms Licensing Cen- fense classified by the laws of the State ter (FFLC). The ATF official respon- as a misdemeanor and punishable by a sible for the issuance and renewal of li- term of imprisonment of 2 years or censes under this part. less. What constitutes a conviction of Collector. Any person who acquires, such a crime shall be determined in ac- holds, or disposes of firearms as curios cordance with the law of the jurisdic- or relics. tion in which the proceedings were Collection premises. The premises de- held. Any conviction which has been scribed on the license of a collector as expunged or set aside or for which a the location at which he maintains his person has been pardoned or has had collection of curios and relics. civil rights restored shall not be con- Commerce. Travel, trade, traffic, com- sidered a conviction for the purposes of merce, transportation, or communica- the Act or this part, unless such par- tion among the several States, or be- don, expunction, or restoration of civil tween the District of Columbia and any rights expressly provides that the per- State, or between any foreign country son may not ship, transport, possess, or or any territory or possession and any receive firearms, or unless the person State or the District of Columbia, or is prohibited by the law of the jurisdic- between points in the same State but tion in which the proceedings were held through any other State or the District from receiving or possessing any fire- of Columbia or a foreign country. arms. Committed to a mental institution. A Curios or relics. Firearms which are of formal commitment of a person to a special interest to collectors by reason mental institution by a court, board, of some quality other than is associ- commission, or other lawful authority. ated with firearms intended for sport- The term includes a commitment to a ing use or as offensive or defensive mental institution involuntarily. The weapons. To be recognized as curios or term includes commitment for mental relics, firearms must fall within one of defectiveness or mental illness. It also the following categories: includes commitments for other rea- (a) Firearms which were manufac- sons, such as for drug use. The term tured at least 50 years prior to the cur- does not include a person in a mental rent date, but not including replicas institution for observation or a vol- thereof; untary admission to a mental institution. (b) Firearms which are certified by Controlled substance. A drug or other the curator of a municipal, State, or substance, or immediate precursor, as Federal museum which exhibits fire- defined in section 102 of the Controlled arms to be curios or relics of museum Substances Act, 21 U.S.C. 802. The term interest; and includes, but is not limited to, mari- (c) Any other firearms which derive a juana, depressants, stimulants, and substantial part of their monetary narcotic drugs. The term does not in- value from the fact that they are clude distilled spirits, wine, malt bev- novel, rare, bizarre, or because of their erages, or tobacco, as those terms are association with some historical figure, defined or used in Subtitle E of the In- period, or event. Proof of qualification ternal Revenue Code of 1986, as amend- of a particular firearm under this cated. egory may be established by evidence Crime punishable by imprisonment for a of present value and evidence that like term exceeding 1 year. Any Federal, firearms are not available except as State or foreign offense for which the collector’s items, or that the value of maximum penalty, whether or not im- like firearms available in ordinary posed, is capital punishment or impris- commercial channels is substantially onment in excess of 1 year. The term less. shall not include (a) any Federal or Customs officer. Any officer of U.S. State offenses pertaining to antitrust Customs and Border Protection, any violations, unfair trade practices, re- commissioned, warrant, or petty offi- straints of trade, or other similar of- cer of the Coast Guard, or any agent or fenses relating to the regulation of other person authorized by law to per- business practices or (b) any State of- form the duties of a customs officer.

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Dealer. Any person engaged in the ations division responsible for admin- business of selling firearms at whole- istering regulations in this part. sale or retail; any person engaged in Discharged under dishonorable condi- the business of repairing firearms or of tions. Separation from the U.S. Armed making or fitting special barrels, Forces resulting from a dishonorable stocks, or trigger mechanisms to fire- discharge or dismissal adjudged by a arms; or any person who is a pawn- general court-martial. The term does broker. The term shall include any per- not include any separation from the son who engages in such business or oc- Armed Forces resulting from any other cupation on a part-time basis. discharge, e.g., a bad conduct dis- Destructive device. (a) Any explosive, charge. incendiary, or poison gas (1) bomb, (2) Division. A Bureau of Alcohol, To- grenade, (3) rocket having a propellant bacco, Firearms, and Explosives Divi- charge of more than 4 ounces, (4) mission. sile having an explosive or incendiary Engaged in the business—(a) Manufac- charge of more than one-quarter ounce, turer of firearms. A person who devotes (5) mine, or (6) device similar to any of time, attention, and labor to manufac- the devices described in the preceding turing firearms as a regular course of paragraphs of this definition; (b) any trade or business with the principal ob- type of weapon (other than a shotgun jective of livelihood and profit through or a shotgun shell which the Director the sale or distribution of the firearms finds is generally recognized as par- manufactured; (b) Manufacturer of ammunition. A ticularly suitable for sporting pur- person who devotes time, attention, poses) by whatever name known which and labor to manufacturing ammuni- will, or which may be readily converted tion as a regular course of trade or to, expel a projectile by the action of business with the principal objective of an explosive or other propellant, and livelihood and profit through the sale which has any barrel with a bore of or distribution of the ammunition more than one-half inch in diameter; manufactured; and (c) any combination of parts either (c) Dealer in firearms other than a gun- designed or intended for use in con- smith or a pawnbroker. A person who de- verting any device into any destructive votes time, attention, and labor to device described in paragraph (a) or (b) dealing in firearms as a regular course of this section and from which a de- of trade or business with the principal structive device may be readily assem- objective of livelihood and profit bled. The term shall not include any through the repetitive purchase and re- device which is neither designed nor resale of firearms, but such a term shall designed for use as a weapon; any de- not include a person who makes occa- vice, although originally designed for sional sales, exchanges, or purchases of use as a weapon, which is redesigned firearms for the enhancement of a per- for use as a signalling, pyrotechnic, sonal collection or for a hobby, or who line throwing, safety, or similar device; sells all or part of his personal collec- surplus ordnance sold, loaned, or given tion of firearms; by the Secretary of the Army pursuant (d) Gunsmith. A person who devotes to the provisions of section 4684(2), time, attention, and labor to engaging 4685, or 4686 of title 10, United States in such activity as a regular course of Code; or any other device which the Di- trade or business with the principal ob- rector finds is not likely to be used as jective of livelihood and profit, but a weapon, is an antique, or is a rifle such a term shall not include a person which the owner intends to use solely who makes occasional repairs of fire- for sporting, recreational, or cultural arms or who occasionally fits special purposes. barrels, stocks, or trigger mechanisms Director. The Director, Bureau of Al- to firearms; cohol, Tobacco, Firearms, and Explo- (e) Importer of firearms. A person who sives, the Department of Justice, devotes time, attention, and labor to Washington, DC. importing firearms as a regular course Director of Industry Operations. The of trade or business with the principal principal ATF official in a Field Oper- objective of livelihood and profit

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through the sale or distribution of the or any person who leaves the State to firearms imported; and, avoid giving testimony in any criminal (f) Importer of ammunition. A person proceeding. The term also includes any who devotes time, attention, and labor person who knows that misdemeanor to importing ammunition as a regular or felony charges are pending against course of trade or business with the such person and who leaves the State principal objective of livelihood and of prosecution. profit through the sale or distribution Handgun. (a) Any firearm which has of the ammunition imported. a short stock and is designed to be held Executed under penalties of perjury. and fired by the use of a single hand; Signed with the prescribed declaration and under the penalties of perjury as pro- (b) Any combination of parts from vided on or with respect to the return which a firearm described in paragraph form, or other document or, where no (a) can be assembled. form of declaration is prescribed, with Hunting license or permit lawfully the declaration: issued in the United States. A license or ‘‘I declare under the penalties of perjury permit issued by a State for hunting that this—(insert type of document, such as, which is valid and unexpired. statement, application, request, certificate), Identification document. A document including the documents submitted in sup- containing the name, residence ad- port thereof, has been examined by me and, dress, date of birth, and photograph of to the best of my knowledge and belief, is the holder and which was made or true, correct, and complete.’’ issued by or under the authority of the Federal Firearms Act. 15 U.S.C. Chap- United States Government, a State, po- ter 18. litical subdivision of a State, a foreign Firearm. Any weapon, including a government, political subdivision of a starter gun, which will or is designed foreign government, an international to or may readily be converted to expel governmental or an international a projectile by the action of an explo- quasi- governmental organization sive; the frame or receiver of any such which, when completed with informa- weapon; any firearm muffler or firearm tion concerning a particular indi- silencer; or any destructive device; but vidual, is of a type intended or com- the term shall not include an antique monly accepted for the purpose of iden- firearm. In the case of a licensed col- tification of individuals. lector, the term shall mean only curios Importation. The bringing of a firearm and relics. or ammunition into the United States; Firearm frame or receiver. That part of except that the bringing of a firearm or a firearm which provides housing for ammunition from outside the United the hammer, bolt or breechblock, and States into a foreign-trade zone for firing mechanism, and which is usually storage pending shipment to a foreign threaded at its forward portion to re- country or subsequent importation ceive the barrel. into this country, pursuant to this Firearm muffler or firearm silencer. Any part, shall not be deemed importation. device for silencing, muffling, or di- Importer. Any person engaged in the minishing the report of a portable fire- business of importing or bringing firearm, including any combination of arms or ammunition into the United parts, designed or redesigned, and in- States. The term shall include any per- tended for use in assembling or fabri- son who engages in such business on a cating a firearm silencer or firearm part-time basis. muffler, and any part intended only for Indictment. Includes an indictment or use in such assembly or fabrication. information in any court, under which Friendly foreign government. Any gov- a crime punishable by imprisonment ernment with whom the United States for a term exceeding 1 year (as defined has diplomatic relations and whom the in this section) may be prosecuted, or 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,

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differing from an indictment in that it the possession or under the control of a is made by a prosecuting attorney and person. For purposes of this definition, not a grand jury. the term ‘‘automatically’’ as it modi- Interstate or foreign commerce. In- fies ‘‘shoots, is designed to shoot, or cludes commerce between any place in can be readily restored to shoot,’’ a State and any place outside of that means functioning as the result of a State, or within any possession of the self-acting or self-regulating mecha- United States (not including the Canal nism that allows the firing of multiple Zone) or the District of Columbia. The rounds through a single function of the term shall not include commerce be- trigger; and ‘‘single function of the tween places within the same State but trigger’’ means a single pull of the trig- through any place outside of that ger and analogous motions. The term State. ‘‘machine gun’’ includes a bump-stock- Intimate partner. With respect to a type device, i.e., a device that allows a person, the spouse of the person, a semi-automatic firearm to shoot more former spouse of the person, an indi- than one shot with a single pull of the vidual who is a parent of a child of the trigger by harnessing the recoil energy person, and an individual who cohabi- of the semi-automatic firearm to which tates or has cohabitated with the per- it is affixed so that the trigger resets son. and continues firing without additional Large capacity ammunition feeding de- physical manipulation of the trigger by vice. A magazine, belt, drum, feed strip, the shooter. or similar device for a firearm manu- Manufacturer. Any person engaged in factured after September 13, 1994, that the business of manufacturing firearms has a capacity of, or that can be read- or ammunition. The term shall include ily restored or converted to accept, any person who engages in such busi- more than 10 rounds of ammunition. ness on a part-time basis. The term does not include an attached Mental institution. Includes mental tubular device designed to accept, and health facilities, mental hospitals, capable of operating only with, .22 cal- sanitariums, psychiatric facilities, and iber rimfire ammunition, or a fixed de- other facilities that provide diagnoses vice for a manually operated firearm, by licensed professionals of mental re- or a fixed device for a firearm listed in tardation or mental illness, including a 18 U.S.C. 922, appendix A. psychiatric ward in a general hospital. Licensed collector. A collector of cu- Misdemeanor crime of domestic violence. rios and relics only and licensed under (a) Is a Federal, State or local offense the provisions of this part. that: Licensed dealer. A dealer licensed (1) Is a misdemeanor under Federal under the provisions of this part. or State law or, in States which do not Licensed importer. An importer li- classify offenses as misdemeanors, is censed under the provisions of this an offense punishable by imprisonment part. for a term of one year or less, and in- Licensed manufacturer. A manufac- cludes offenses that are punishable turer licensed under the provisions of only by a fine. (This is true whether or this part. not the State statute specifically de- Machine gun. Any weapon which fines the offense as a ‘‘misdemeanor’’ shoots, is designed to shoot, or can be or as a ‘‘misdemeanor crime of domes- readily restored to shoot, automati- tic violence.’’ The term includes all cally more than one shot, without such misdemeanor convictions in In- manual reloading, by a single function dian Courts established pursuant to 25 of the trigger. The term shall also in- CFR part 11.); clude the frame or receiver of any such (2) Has, as an element, the use or at- weapon, any part designed and in- tempted use of physical force (e.g., as- tended solely and exclusively, or com- sault and battery), or the threatened bination of parts designed and in- use of a deadly weapon; and tended, for use in converting a weapon (3) Was committed by a current or into a machine gun, and any combina- former spouse, parent, or guardian of tion of parts from which a machine gun the victim, by a person with whom the can be assembled if such parts are in victim shares a child in common, by a

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person who is cohabiting with or has 101(a)(15) of the Immigration and Na- cohabited with the victim as a spouse, tionality Act (8 U.S.C. 1101(a)(15)). parent, or guardian, (e.g., the equiva- Nonimmigrant visa. A visa properly lent of a ‘‘common law’’ marriage even issued to an alien as an eligible non- if such relationship is not recognized immigrant by a competent officer as under the law), or a person similarly provided in the Immigration and Na- situated to a spouse, parent, or guard- tionality Act, 8 U.S.C. 1101 et seq. ian of the victim (e.g., two persons who Pawnbroker. Any person whose busi- are residing at the same location in an ness or occupation includes the taking intimate relationship with the intent or receiving, by way of pledge or pawn, to make that place their home would of any firearm as security for the pay- be similarly situated to a spouse). ment or repayment of money. The term (b) A person shall not be considered shall include any person who engages to have been convicted of such an of- in such business on a part-time basis. fense for purposes of this part unless: Permanently inoperable. A firearm (1) The person is considered to have which is incapable of discharging a been convicted by the jurisdiction in shot by means of an explosive and in- which the proceedings were held. capable of being readily restored to a (2) The person was represented by firing condition. An acceptable method counsel in the case, or knowingly and of rendering most firearms perma- intelligently waived the right to coun- nently inoperable is to fusion weld the sel in the case; and chamber closed and fusion weld the (3) In the case of a prosecution for barrel solidly to the frame. Certain un- which a person was entitled to a jury usual firearms require other methods trial in the jurisdiction in which the to render the firearm permanently in- case was tried, either operable. Contact ATF for instruc- (i) The case was tried by a jury, or tions. (ii) The person knowingly and intel- Person. Any individual, corporation, ligently waived the right to have the company, association, firm, partner- case tried by a jury, by guilty plea or ship, society, or joint stock company. otherwise. Pistol. A weapon originally designed, (c) A person shall not be considered made, and intended to fire a projectile to have been convicted of such an of- (bullet) from one or more barrels when fense for purposes of this part if the held in one hand, and having (a) a conviction has been expunged or set chamber(s) as an integral part(s) of, or aside, or is an offense for which the permanently aligned with, the bore(s); person has been pardoned or has had and (b) a short stock designed to be civil rights restored (if the law of the gripped by one hand and at an angle to jurisdiction in which the proceedings and extending below the line of the were held provides for the loss of civil bore(s). rights upon conviction for such an of- Principal objective of livelihood and fense) unless the pardon, expunction, profit. The intent underlying the sale or restoration of civil rights expressly or disposition of firearms is predomi- provides that the person may not ship, nantly one of obtaining livelihood and transport, possess, or receive firearms, pecuniary gain, as opposed to other in- and the person is not otherwise prohib- tents such as improving or liquidating ited by the law of the jurisdiction in a personal firearms collection: Pro- which the proceedings were held from vided, That proof of profit shall not be receiving or possessing any firearms. required as to a person who engages in National Firearms Act. 26 U.S.C. Chap- the regular and repetitive purchase and ter 53. disposition of firearms for criminal NICS. The National Instant Criminal purposes or terrorism. For purposes of Background Check System established this part, the term ‘‘terrorism’’ means by the Attorney General pursuant to 18 activity, directed against United U.S.C. 922(t). States persons, which— Nonimmigrant alien. An alien in the (a) Is committed by an individual United States in a nonimmigrant clas- who is not a national or permanent sification as defined by section resident alien of the United States;

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(b) Involves violent acts or acts dan- (1) Norinco, Mitchell, and Poly Tech- gerous to human life which would be a nologies Avtomat Kalashnikovs (all criminal violation if committed within models), the jurisdiction of the United States; (2) Action Arms Israeli Military In- and dustries UZI and Galil, (c) Is intended— (3) Beretta Ar70 (SC–70), (1) To intimidate or coerce a civilian (4) Colt AR–15, population; (5) Fabrique National FN/FAL, FN/ (2) To influence the policy of a gov- LAR, and FNC, ernment by intimidation or coercion; (6) SWD M–10, M–11, M–11/9, and M–12, or (7) Steyr AUG, (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, incorporated by reference in the FED- (2) A pistol grip that protrudes con- ERAL REGISTER, revised annually, and spicuously beneath the action of the furnished to licensees under this part. weapon, Renounced U.S. citizenship. (a) A per- (3) A bayonet mount, son has renounced his U.S. citizenship (4) A flash suppressor or threaded if the person, having been a citizen of barrel designed to accommodate a flash the United States, has renounced citi- suppressor, and zenship either— (5) A grenade launcher; (1) Before a diplomatic or consular (c) A semiautomatic pistol that has officer of the United States in a foreign an ability to accept a detachable maga- state pursuant to 8 U.S.C. 1481(a)(5); or zine and has at least 2 of— (2) Before an officer designated by (1) An ammunition magazine that at- the Attorney General when the United taches to the pistol outside of the pis- States is in a state of war pursuant to tol grip, 8 U.S.C. 1481(a)(6). (2) A threaded barrel capable of ac- (b) The term shall not include any re- cepting a barrel extender, flash sup- nunciation of citizenship that has been pressor, forward handgrip, or silencer, reversed as a result of administrative (3) A shroud that is attached to, or or judicial appeal. partially or completely encircles, the barrel and that permits the shooter to Revolver. A projectile weapon, of the hold the firearm with the nontrigger pistol type, having a breechloading hand without being burned, chambered cylinder so arranged that (4) A manufactured weight of 50 the cocking of the hammer or move- ounces or more when the pistol is un- ment of the trigger rotates it and loaded, and brings the next cartridge in line with (5) A semiautomatic version of an the barrel for firing. automatic firearm; and Rifle. A weapon designed or rede- (d) A semiautomatic shotgun that signed, made or remade, and intended has at least 2 of— to be fired from the shoulder, and de- (1) A folding or telescoping stock, signed or redesigned and made or re- (2) A pistol grip that protrudes con- made to use the energy of the explosive spicuously beneath the action of the in a fixed metallic cartridge to fire weapon, only a single projectile through a rifled (3) A fixed magazine capacity in ex- bore for each single pull of the trigger. cess of 5 rounds, and Semiautomatic assault weapon. (a) Any (4) An ability to accept a detachable of the firearms, or copies or duplicates magazine. of the firearms in any caliber, known Semiautomatic pistol. Any repeating as: pistol which utilizes a portion of the

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energy of a firing cartridge to extract following are examples that illustrate the fired cartridge case and chamber this definition: the next round, and which requires a Example 1. A maintains a home in State X. separate pull of the trigger to fire each A travels to State Y on a hunting, fishing, cartridge. business, or other type of trip. A does not be- Semiautomatic rifle. Any repeating come a resident of State Y by reason of such rifle which utilizes a portion of the en- trip. Example 2. A maintains a home in State X ergy of a firing cartridge to extract the and a home in State Y. A resides in State X fired cartridge case and chamber the except for weekends or the summer months next round, and which requires a sepa- of the year and in State Y for the weekends rate pull of the trigger to fire each car- or the summer months of the year. During tridge. the time that A actually resides in State X, Semiautomatic shotgun. Any repeating A is a resident of State X, and during the shotgun which utilizes a portion of the time that A actually resides in State Y, A is a resident of State Y. energy of a firing cartridge to extract Example 3. A, an alien, travels to the the fired cartridge case and chamber United States on a three-week vacation to the next round, and which requires a State X. A does not have a state of residence separate pull of the trigger to fire each in State X because A does not have the in- cartridge. tention of making a home in State X while Short-barreled rifle. A rifle having one on vacation. This is true regardless of the length of the vacation. or more barrels less than 16 inches in Example 4. A, an alien, travels to the length, and any weapon made from a United States to work for three years in rifle, whether by alteration, modifica- State X. A rents a home in State X, moves tion, or otherwise, if such weapon, as his personal possessions into the home, and modified, has an overall length of less his family resides with him in the home. A than 26 inches. intends to reside in State X during the 3- Short-barreled shotgun. A shotgun year period of his employment. A is a resident of State X. having one or more barrels less than 18 Unlawful user of or addicted to any inches in length, and any weapon made controlled substance. A person who uses from a shotgun, whether by alteration, a controlled substance and has lost the modification, or otherwise, if such power of self-control with reference to weapon as modified has an overall the use of controlled substance; and length of less than 26 inches. any person who is a current user of a Shotgun. A weapon designed or rede- controlled substance in a manner other signed, made or remade, and intended than as prescribed by a licensed physi- to be fired from the shoulder, and de- cian. Such use is not limited to the use signed or redesigned and made or re- of drugs on a particular day, or within made to use the energy of the explosive a matter of days or weeks before, but in a fixed shotgun shell to fire through rather that the unlawful use has oc- a smooth bore either a number of ball curred recently enough to indicate that shot or a single projectile for each sin- the individual is actively engaged in gle pull of the trigger. such conduct. A person may be an un- State. A State of the United States. lawful current user of a controlled sub- The term shall include the District of stance even though the substance is Columbia, the Commonwealth of Puer- not being used at the precise time the to Rico, and the possessions of the person seeks to acquire a firearm or re- United States (not including the Canal ceives or possesses a firearm. An infer- Zone). ence of current use may be drawn from State of residence. The State in which evidence of a recent use or possession an individual resides. An individual re- of a controlled substance or a pattern sides in a State if he or she is present of use or possession that reasonably in a State with the intention of mak- covers the present time, e.g., a convic- ing a home in that State. If an indi- tion for use or possession of a con- vidual is on active duty as a member of trolled substance within the past year; the Armed Forces, the individual’s multiple arrests for such offenses with- State of residence is the State in which in the past 5 years if the most recent his or her permanent duty station is lo- arrest occurred within the past year; or cated, as stated in 18 U.S.C. 921(b). The persons found through a drug test to

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use a controlled substance unlawfully, the Director as provided in this para- provided that the test was adminis- graph, may use an alternate method or tered within the past year. For a cur- procedure in lieu of a method or proce- rent or former member of the Armed dure specifically prescribed in this Forces, an inference of current use may part. The Director may approve an al- be drawn from recent disciplinary or ternate method or procedure, subject other administrative action based on to stated conditions, when it is found confirmed drug use, e.g., court-martial that: conviction, nonjudicial punishment, or (1) Good cause is shown for the use of an administrative discharge based on the alternate method or procedure; drug use or drug rehabilitation failure. (2) The alternate method or proce- Unserviceable firearm. A firearm which dure is within the purpose of, and con- is incapable of discharging a shot by sistent with the effect intended by, the means of an explosive and is incapable specifically prescribed method or proof being readily restored to a firing cedure and that the alternate method condition. or procedure is substantially equiva- U.S.C. The United States Code. lent to that specifically prescribed method or procedure; and (5 U.S.C. 552(a), 80 Stat. 383, as amended; 18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. (3) The alternate method or proce- 1226)) dure will not be contrary to any provision of law and will not result in an in- [T.D. ATF–48, 43 FR 13536, Mar. 31, 1978; 44 crease in cost to the Government or FR 55842, Sept. 28, 1979] hinder the effective administration of EDITORIAL NOTE: For FEDERAL REGISTER ci- this part. Where the licensee desires to tations affecting § 478.11, see the List of CFR employ an alternate method or proce- Sections Affected, which appears in the dure, a written application shall be Finding Aids section of the printed volume and at www.govinfo.gov. submitted to the appropriate Director of Industry Operations, for transmittal to the Director. The application shall Subpart C—Administrative and specifically describe the proposed al- Miscellaneous Provisions ternate method or procedure and shall set forth the reasons for it. Alternate § 478.21 Forms prescribed. methods or procedures may not be em- (a) The Director is authorized to pre- ployed until the application is ap- scribe all forms required by this part. proved by the Director. The licensee All of the information called for in shall, during the period of authoriza- each form shall be furnished as indi- tion of an alternate method or proce- cated by the headings on the form and dure, comply with the terms of the ap- the instructions on or pertaining to the proved application. Authorization of form. In addition, information called any alternate method or procedure for in each form shall be furnished as may be withdrawn whenever, in the required by this part. judgment of the Director, the effective (b) Requests for forms should be sub- administration of this part is hindered mitted to the ATF Distribution Center by the continuation of the authoriza- (http://www.atf.gov) or made by calling tion. (202) 648–6420. (b) Emergency variations from require- (5 U.S.C. 552(a); 80 Stat. 383, as amended) ments. The Director may approve a method of operation other than as [T.D. ATF–92, 46 FR 46915, Sept. 23, 1981, as specified in this part, where it is found amended by T.D. ATF–249, 52 FR 5962, Feb. that an emergency exists and the pro- 27, 1987; T.D. ATF–270, 53 FR 10492, Mar. 31, 1988; T.D. 372, 61 FR 20724, May 8, 1996; ATF– posed variation from the specified re- 11F, 73 FR 57240, Oct. 2, 2008; ATF 2013R–9F, quirements are necessary and the pro- 79 FR 46692, Aug. 11, 2014] posed variations (1) will not hinder the effective administration of this part, § 478.22 Alternate methods or proce- and (2) will not be contrary to any pro- dures; emergency variations from visions of law. Variations from require- requirements. ments granted under this paragraph (a) Alternate methods or procedures. are conditioned on compliance with the The licensee, on specific approval by procedures, conditions, and limitations

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set forth in the approval of the applica- ammunition kept or stored by any li- tion. Failure to comply in good faith censed collector at such premises. with the procedures, conditions, and (b) Any ATF officer, without having limitations shall automatically termi- reasonable cause to believe a violation nate the authority for the variations, of the Act has occurred or that evi- and the licensee shall fully comply dence of the violation may be found with the prescribed requirements of and without demonstrating such cause regulations from which the variations before a Federal magistrate or obtain- were authorized. Authority for any ing from the magistrate a warrant au- variation may be withdrawn whenever, thorizing entry, may enter during busi- in the judgment of the Director, the ef- ness hours the premises, including fective administration of this part is places of storage, of any licensed man- hindered by the continuation of the ufacturer, licensed importer, or li- variation. Where the licensee desires to censed dealer for the purpose of in- employ an emergency variation, a writ- specting or examining the records, doc- ten application shall be submitted to uments, ammunition and firearms re- the appropriate Director of Industry ferred to in paragraph (a) of this sec- Operations for transmittal to the Di- tion: rector. The application shall describe (1) In the course of a reasonable in- the proposed variation and set forth quiry during the course of a criminal the reasons for it. Variations may not investigation of a person or persons be employed until the application is other than the licensee, approved. (2) For insuring compliance with the (c) Retention of approved variations. recordkeeping requirements of this The licensee shall retain, as part of the part: licensee’s records, available for exam- (i) Not more than once during any 12- ination by ATF officers, any applica- month period, or tion approved by the Director under (ii) At any time with respect to this section. records relating to a firearm involved in a criminal investigation that is [T.D. ATF–270, 53 FR 10492, Mar. 31, 1988] traced to the licensee, or (3) When such inspection or examina- § 478.23 Right of entry and examination may be required for determining tion. the disposition of one or more par- (a) Except as provided in paragraph ticular firearms in the course of a bona (b), any ATF officer, when there is rea- fide criminal investigation. sonable cause to believe a violation of (c) Any ATF officer, without having the Act has occurred and that evidence reasonable cause to believe a violation of the violation may be found on the of the Act has occurred or that evi- premises of any licensed manufacturer, dence of the violation may be found licensed importer, licensed dealer, or and without demonstrating such cause licensed collector, may, upon dem- before a Federal magistrate or obtain- onstrating such cause before a Federal ing from the magistrate a warrant au- magistrate and obtaining from the thorizing entry, may enter during magistrate a warrant authorizing hours of operation the premises, in- entry, enter during business hours (or, cluding places of storage, of any li- in the case of a licensed collector, the censed collector for the purpose of in- hours of operation) the premises, inspecting or examining the records, doc- cluding places of storage, of any such uments, firearms, and ammunition re- licensee for the purpose of inspecting ferred to in paragraph (a) of this sec- or examining: tion (1) for ensuring compliance with (1) Any records or documents re- the recordkeeping requirements of this quired to be kept by such licensee part not more than once during any 12- under this part and month period or (2) when such inspec- (2) Any inventory of firearms or am- tion or examination may be required munition kept or stored by any li- for determining the disposition of one censed manufacturer, licensed im- or more particular firearms in the porter, or licensed dealer at such prem- course of a bona fide criminal inves- ises or any firearms curios or relics or tigation. At the election of the licensed

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collector, the annual inspection per- § 478.25 Disclosure of information. mitted by this paragraph shall be per- The Director of Industry Operations formed at the ATF office responsible may make available to any Federal, for conducting such inspection in clos- State or local law enforcement agency est proximity to the collectors prem- any information which is obtained by ises. reason of the provisions of the Act with (d) The inspections and examinations respect to the identification of persons provided by this section do not author- prohibited from purchasing or receiv- ize an ATF officer to seize any records ing firearms or ammunition who have or documents other than those records purchased or received firearms or am- or documents constituting material munition, together with a description evidence of a violation of law. If an of such firearms or ammunition. Upon ATF officer seizes such records or doc- the request of any Federal, State or uments, copies shall be provided the li- local law enforcement agency, the Di- censee within a reasonable time. rector of Industry Operations may pro- [T.D. ATF–270, 53 FR 10492, Mar. 31, 1988, as vide such agency any information con- amended by T.D. ATF–363, 60 FR 17450, Apr. tained in the records required to be 6, 1995] maintained by the Act or this part. § 478.24 Compilation of State laws and [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988] published ordinances. § 478.25a Responses to requests for in- (a) The Director shall annually revise formation. and furnish Federal firearms licensees with a compilation of State laws and Each licensee shall respond imme- published ordinances which are rel- diately to, and in no event later than evant to the enforcement of this part. 24 hours after the receipt of, a request The Director annually revises the com- by an ATF officer at the National pilation and publishes it as ‘‘State Tracing Center for information con- Laws and Published Ordinances—Fire- tained in the records required to be arms’’ which is furnished free of charge kept by this part for determining the to licensees under this part. Where the disposition of one or more firearms in compilation has previously been fur- the course of a bona fide criminal in- nished to licensees, the Director need vestigation. The requested information only furnish amendments of the rel- shall be provided orally to the ATF of- evant laws and ordinances to such li- ficer within the 24-hour period. censees. Verification of the identity and em- (b) ‘‘State Laws and Published Ordi- ployment of National Tracing Center nances—Firearms’’ is incorporated by personnel requesting information may reference in this part. It is ATF Publi- be established at the time the re- cation 5300.5, revised yearly. The cur- quested information is provided by rent edition is available from the Su- telephoning the toll-free number 1–800– perintendent of Documents, U.S. Gov- 788–7132 or using the toll-free facsimile ernment Printing Office, Washington, (FAX) number 1–800–788–7133. DC 20402. It is also available for inspec- (Approved by the Office of Management and tion at the National Archives and Budget under control number 1140–0032) Records Administration (NARA). For [T.D. ATF–363, 60 FR 17451, Apr. 6, 1996, as information on the availability of this amended by T.D. ATF–396, 63 FR 12646, Mar. material at NARA, call 202–741–6030, or 16, 1998; ATF–11F, 73 FR 57240, Oct. 2, 2008] go to: http://www.archives.gov/fed- erallregister/ § 478.26 Curio and relic determination. codeloflfederallregulations/ Any person who desires to obtain a ibrllocations.html. This incorporation determination whether a particular by reference was approved by the Di- firearm is a curio or relic shall submit rector of the Federal Register. a written request, in duplicate, for a [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988, as ruling thereon to the Director. Each amended by 69 FR 18803, Apr. 9, 2004] such request shall be executed under

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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; (6) The mode of transportation to be § 478.27 Destructive device determina- used (including, if by common or con- tion. tract carrier, the name and address of The Director shall determine in ac- such carrier); and cordance with 18 U.S.C. 921(a)(4) wheth- (7) Evidence that the transportation er a device is excluded from the defini- or possession of such device or weapon tion of a destructive device. A person is not inconsistent with the laws at the who desires to obtain a determination place of destination. under that provision of law for any de- (b) No person shall transport any device which he believes is not likely to structive device, machine gun, short- be used as a weapon shall submit a barreled shotgun, or short-barreled written request, in triplicate, for a rul- rifle in interstate or foreign commerce ing thereon to the Director. Each such under the provisions of this section request shall be executed under the until he has received specific author- penalties of perjury and contain a com- ization so to do from the Director. Au- plete and accurate description of the thorization granted under this section device, the name and address of the does not carry or import relief from manufacturer or importer thereof, the any other statutory or regulatory pro- purpose of and use for which it is in- vision relating to firearms. tended, and such photographs, dia- (c) This section shall not be con- grams, or drawings as may be nec- strued as requiring licensees to obtain essary to enable the Director to make authorization to transport destructive his determination. The Director may devices, machine guns, short-barreled require the submission to him, of a shotguns, and short-barreled rifles in sample of such device for examination interstate or foreign commerce: Pro- and evaluation. If the submission of vided, That in the case of a licensed im- such device is impracticable, the per- porter, licensed manufacturer, or li- son requesting the ruling shall so ad- censed dealer, such a licensee is quali- vise the Director and designate the fied under the National Firearms Act place where the device will be available (see also Part 479 of this chapter) and for examination and evaluation. this part to engage in the business with respect to the device or weapon to be § 478.28 Transportation of destructive transported, and that in the case of a devices and certain firearms. licensed collector, the device or weap- (a) The Director may authorize a per- on to be transported is a curio or relic. son to transport in interstate or for- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 eign commerce any destructive device, FR 16385, Apr. 15, 1975, and amended by T.D. machine gun, short-barreled shotgun, ATF–138, 48 FR 35399, Aug. 4, 1983] or short-barreled rifle, if he finds that such transportation is reasonably nec- § 478.29 Out-of-State acquisition of essary and is consistent with public firearms by nonlicensees. safety and applicable State and local No person, other than a licensed im- law. A person who desires to transport porter, licensed manufacturer, licensed in interstate or foreign commerce any dealer, or licensed collector, shall

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transport into or receive in the State succession of a firearm by, a person where the person resides (or if a cor- who is permitted to acquire or possess poration or other business entity, a firearm under the laws of the State of where it maintains a place of business) his residence; and any firearm purchased or otherwise ob- (b) shall not apply to the loan or tained by such person outside that rental of a firearm to any person for State: Provided, That the provisions of temporary use for lawful sporting pur- this section: poses. (a) Shall not preclude any person who [T.D. ATF–313, 56 FR 32508, July 17, 1991; 57 lawfully acquires a firearm by bequest FR 1205, Jan. 10, 1992] or intestate succession in a State other than his State of residence from trans- § 478.31 Delivery by common or con- porting the firearm into or receiving it tract carrier. in that State, if it is lawful for such (a) No person shall knowingly deliver person to purchase or possess such fire- or cause to be delivered to any common arm in that State, or contract carrier for transportation (b) Shall not apply to the transpor- or shipment in interstate or foreign tation or receipt of a rifle or shotgun commerce to any person other than a obtained from a licensed manufacturer, licensed importer, licensed manufac- licensed importer, licensed dealer, or turer, licensed dealer, or licensed col- licensed collector in a State other than lector, any package or other container the transferee’s State of residence in in which there is any firearm or ammu- an over-the-counter transaction at the nition without written notice to the licensee’s premises obtained in con- carrier that such firearm or ammuni- formity with the provisions of tion is being transported or shipped: § 478.96(c) and Provided, That any passenger who owns (c) Shall not apply to the transpor- or legally possesses a firearm or am- tation or receipt of a firearm obtained munition being transported aboard any in conformity with the provisions of common or contract carrier for move- §§ 478.30 and 478.97. ment with the passenger in interstate or foreign commerce may deliver said [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988] firearm or ammunition into the cus- § 478.29a Acquisition of firearms by tody of the pilot, captain, conductor or nonresidents. operator of such common or contract carrier for the duration of that trip No person, other than a licensed im- without violating any provision of this porter, licensed manufacturer, licensed part. dealer, or licensed collector, who does (b) No common or contract carrier not reside in any State shall receive shall require or cause any label, tag, or any firearms unless such receipt is for other written notice to be placed on lawful sporting purposes. the outside of any package, luggage, or [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995] other container indicating that such package, luggage, or other container § 478.30 Out-of-State disposition of contains a firearm. firearms by nonlicensees. (c) No common or contract carrier No nonlicensee shall transfer, sell, shall transport or deliver in interstate trade, give, transport, or deliver any or foreign commerce any firearm or firearm to any other nonlicensee, who ammunition with knowledge or reason- the transferor knows or has reasonable able cause to believe that the ship- cause to believe does not reside in (or if ment, transportation, or receipt there- the person is a corporation or other of would be in violation of any provi- business entity, does not maintain a sion of this part: Provided, however, place of business in) the State in which That the provisions of this paragraph the transferor resides: Provided, That shall not apply in respect to the trans- the provisions of this section: portation of firearms or ammunition in (a) shall not apply to the transfer, in-bond shipment under Customs laws transportation, or delivery of a firearm and regulations. made to carry out a bequest of a fire- (d) No common or contract carrier arm to, or any acquisition by intestate shall knowingly deliver in interstate or

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foreign commerce any firearm without its headquarters in the United States obtaining written acknowledgement of or is en route to or from another coun- receipt from the recipient of the pack- try to which that alien is accredited. age or other container in which there This exception only applies if the fire- is a firearm: Provided, That this para- arm or ammunition is shipped, trans- graph shall not apply with respect to ported, possessed, or received in the the return of a firearm to a passenger representative’s official capacity; who places firearms in the carrier’s (C) An official of a foreign govern- custody for the duration of the trip. ment or a distinguished foreign visitor who has been so designated by the De- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16385, Apr. 15, 1975, and amended by T.D. partment of State. This exception only ATF–354, 59 FR 7112, Feb. 14, 1994; T.D. ATF– applies if the firearm or ammunition is 361, 60 FR 10786, Feb. 27, 1995] shipped, transported, possessed, or received in the official’s or visitor’s offi- § 478.32 Prohibited shipment, trans- cial capacity, except if the visitor is a portation, possession, or receipt of private individual who does not have firearms and ammunition by cer- an official capacity; or tain persons. (D) A foreign law enforcement officer (a) No person may ship or transport of a friendly foreign government enter- any firearm or ammunition in inter- ing the United States on official law state or foreign commerce, or receive enforcement business, any firearm or ammunition which has (6) Has been discharged from the been shipped or transported in inter- Armed Forces under dishonorable con- state or foreign commerce, or possess ditions, any firearm or ammunition in or af- (7) Having been a citizen of the fecting commerce, who: United States, has renounced citizen- (1) Has been convicted in any court of ship, a crime punishable by imprisonment (8) Is subject to a court order that— for a term exceeding 1 year, (i) Was issued after a hearing of (2) Is a fugitive from justice, which such person received actual no- (3) Is an unlawful user of or addicted tice, and at which such person had an to any controlled substance (as defined opportunity to participate; in section 102 of the Controlled Sub- (ii) Restrains such person from stances Act, 21 U.S.C. 802), harassing, stalking, or threatening an (4) Has been adjudicated as a mental intimate partner of such person or defective or has been committed to a child of such intimate partner or per- mental institution, son, or engaging in other conduct that (5) Being an alien— would place an intimate partner in rea- (i) Is illegally or unlawfully in the sonable fear of bodily injury to the United States; or partner or child; and (ii) Except as provided in paragraph (iii)(A) Includes a finding that such (f) of this section, has been admitted to person represents a credible threat to the United States under a non- the physical safety of such intimate immigrant visa: Provided, That the pro- partner or child; or visions of this paragraph (a)(5)(ii) do (B) By its terms explicitly prohibits not apply to any alien who has been the use, attempted use, or threatened lawfully admitted to the United States use of physical force against such inti- under a nonimmigrant visa, if that mate partner or child that would rea- alien is— sonably be expected to cause bodily in- (A) Admitted to the United States for jury, or lawful hunting or sporting purposes or (9) Has been convicted of a mis- is in possession of a hunting license or demeanor crime of domestic violence. permit lawfully issued in the United (b) No person who is under indict- States; ment for a crime punishable by impris- (B) An official representative of a onment for a term exceeding one year foreign government who is either ac- may ship or transport any firearm or credited to the United States Govern- ammunition in interstate or foreign ment or the Government’s mission to commerce or receive any firearm or an international organization having ammunition which has been shipped or

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

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place of abode with some person of § 478.34 Removed, obliterated, or al- suitable age and discretion residing tered serial number. therein; or proof that the party signed No person shall knowingly transport, a return receipt for a hearing notice ship, or receive in interstate or foreign which had been mailed to the party. It commerce any firearm which has had does not include notice published in a the importer’s or manufacturer’s serial newspaper. number removed, obliterated, or al- (f) Pursuant to 18 U.S.C. 922(y)(3), any tered, or possess or receive any firearm individual who has been admitted to which has had the importer’s or manu- the United States under a non- facturer’s serial number removed, ob- immigrant visa may receive a waiver literated, or altered and has, at any from the prohibition contained in para- time, been shipped or transported in graph (a)(5)(ii) of this section if the At- interstate or foreign commerce. torney General approves a petition for the waiver. [T.D. ATF–313, 56 FR 32508, July 17, 1991] [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988, as § 478.35 Skeet, trap, target, and similar amended by T.D. ATF–363, 60 FR 17451, Apr. shooting activities. 6, 1995; T.D. ATF–391, 62 FR 34639, June 27, 1997; T.D. ATF–401, 63 FR 35522, June 30, 1998; Licensing and recordkeeping require- T.D. ATF–471, 67 FR 5425, Feb. 5, 2002; ATF– ments, including permissible alternate 24F, 77 FR 33629, June 7, 2012] records, for skeet, trap, target, and similar organized activities shall be de- § 478.33 Stolen firearms and ammuni- termined by the Director of Industry tion. Operations on a case by case basis. No person shall transport or ship in interstate or foreign commerce any § 478.36 Transfer or possession of ma- stolen firearm or stolen ammunition chine guns. knowing or having reasonable cause to No person shall transfer or possess a believe that the firearm or ammuni- machine gun except: tion was stolen, and no person shall re- (a) A transfer to or by, or possession ceive, possess, conceal, store, barter, by or under the authority of, the sell, or dispose of any stolen firearm or United States, or any department or stolen ammunition, or pledge or accept agency thereof, or a State, or a depart- as security for a loan any stolen fire- ment, agency, or political subdivision arm or stolen ammunition, which is thereof. (See Part 479 of this chapter); moving as, which is a part of, which or constitutes, or which has been shipped (b) Any lawful transfer or lawful pos- or transported in, interstate or foreign session of a machine gun that was law- commerce, either before or after it was fully possessed before May 19, 1986 (See stolen, knowing or having reasonable Part 479 of this chapter). cause to believe that the firearm or [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] ammunition was stolen. [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995] § 478.37 Manufacture, importation and sale of armor piercing ammunition. § 478.33a Theft of firearms. No person shall manufacture or im- No person shall steal or unlawfully port, and no manufacturer or importer take or carry away from the person or shall sell or deliver, armor piercing the premises of a person who is li- ammunition, except: censed to engage in the business of im- (a) The manufacture or importation, porting, manufacturing, or dealing in or the sale or delivery by any manufac- firearms, any firearm in the licensee’s turer or importer, of armor piercing business inventory that has been ammunition for the use of the United shipped or transported in interstate or States or any department or agency foreign commerce. thereof or any State or any department, agency or political subdivision [T.D. ATF–354, 59 FR 7112, Feb. 14, 1994] thereof;

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(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 [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] term imported parts are: (1) Frames, receivers, receiver castings, § 478.38 Transportation of firearms. forgings or stampings (2) Barrels Notwithstanding any other provision (3) Barrel extensions of any law or any rule or regulation of a State or any political subdivision (4) Mounting blocks (trunions) thereof, any person who is not other- (5) Muzzle attachments wise prohibited by this chapter from (6) Bolts transporting, shipping, or receiving a (7) Bolt carriers firearm shall be entitled to transport a (8) Operating rods firearm for any lawful purpose from (9) Gas pistons any place where such person may law- (10) Trigger housings fully possess and carry such firearm to (11) Triggers any other place where such person may (12) Hammers lawfully possess and carry such firearm (13) Sears if, during such transportation the fire- (14) Disconnectors arm is unloaded, and neither the fire- (15) Buttstocks arm nor any ammunition being trans- (16) Pistol grips ported is readily accessible or is di- (17) Forearms, handguards rectly accessible from the passenger (18) Magazine bodies compartment of such transporting ve- (19) Followers hicle: Provided, That in the case of a (20) Floorplates vehicle without a compartment sepa- [T.D. ATF–346, 58 FR 40589, July 29, 1993] rate from the driver’s compartment the firearm or ammunition shall be con- § 478.39a Reporting theft or loss of tained in a locked container other than firearms. the glove compartment or console. (a)(1) Each licensee shall report the [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] theft or loss of a firearm from the licensee’s inventory (including any fire- § 478.39 Assembly of semiautomatic ri- arm which has been transferred from fles or shotguns. the licensee’s inventory to a personal (a) No person shall assemble a semi- collection and held as a personal fire- automatic rifle or any shotgun using arm for at least 1 year), or from the more than 10 of the imported parts list- collection of a licensed collector, with- ed in paragraph (c) of this section if the in 48 hours after the theft or loss is dis- assembled firearm is prohibited from covered. importation under section 925(d)(3) as (2) When a firearm is stolen or lost in not being particularly suitable for or transit on a common or contract car- readily adaptable to sporting purposes. rier (which for purposes of this para- (b) The provisions of this section graph includes the U.S. Postal Serv- shall not apply to: ice), it is considered stolen or lost from (1) The assembly of such rifle or shot- the transferor/sender licensee’s inven- gun for sale or distribution by a li- tory for reporting purposes. Therefore, censed manufacturer to the United the transferor/sender of the stolen or States or any department or agency lost firearm shall report the theft or thereof or to any State or any depart- loss of the firearm within 48 hours ment, agency, or political subdivision after the transferor/sender discovers thereof; or the theft or loss.

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(b) Each licensee shall report the cense required by this subpart for the theft or loss by telephoning ATF at 1– business to be operated. Each person 888–930–9275 (nationwide toll-free num- who desires to obtain a license as a col- ber), and by preparing and submitting lector of curios or relics may obtain to ATF a Federal Firearms Licensee such a license under the provisions of Theft/Loss Report, ATF Form 3310.11, this subpart. in accordance with the instructions on (b) Each person intending to engage the form. The original of the report in business as a firearms or ammuni- shall be retained by the licensee as tion importer or manufacturer, or deal- part of the licensee’s required records. er in firearms shall file an application, (c) When a licensee submits to ATF a with the required fee (see § 478.42), with Federal Firearms Licensee Theft/Loss ATF in accordance with the instruc- Report, ATF Form 3310.11, for the theft tions on the form (see § 478.44), and, or loss of a firearm registered under pursuant to § 478.47, receive the license the National Firearms Act, this report required for such business from the also satisfies the notification require- Chief, Federal Firearms Licensing Cen- ment under § 479.141 of this chapter. ter. Except as provided in § 478.50, a li- (d) Theft or loss of any firearm shall cense must be obtained for each busi- also be reported to the appropriate ness and each place at which the appli- local authorities. If the location of the cant is to do business. A license as an theft or loss is known, the local law en- importer or manufacturer of firearms forcement agency at that location or ammunition, or a dealer in firearms would be the appropriate local author- shall, subject to the provisions of the ity. Otherwise, the report should be Act and other applicable provisions of made to the local law enforcement au- law, entitle the licensee to transport, thorities at the licensee’s location or ship, and receive firearms and ammuni- business premises. tion covered by such license in inter- (e) Licensees shall reflect the theft or state or foreign commerce and to en- loss of a firearm as a disposition entry gage in the business specified by the li- in the Record of Acquisition and Dis- cense, at the location described on the position required by subpart H of this license, and for the period stated on part not later than 7 days following the license. However, it shall not be discovery of the theft or loss. The dis- necessary for a licensed importer or a position entry shall record whether the licensed manufacturer to also obtain a incident is a theft or loss, the ATF- dealer’s license in order to engage in Issued Incident Number, and the Inci- business on the licensed premises as a dent Number provided by the local law dealer in the same type of firearms au- enforcement agency. thorized by the license to be imported (f) Licensees who report the theft or or manufactured. Payment of the li- loss of a firearm and later discover its cense fee as an importer or manufac- whereabouts shall advise ATF at 1–888– turer of destructive devices, ammuni- 930–9275 (nationwide toll-free number) tion for destructive devices or armor that the firearm has been located, and piercing ammunition or as a dealer in shall re-enter the firearm in the Record destructive devices includes the privi- of Acquisition and Disposition as an lege of importing or manufacturing acquisition or disposition entry as ap- firearms other than destructive devices propriate. and ammunition for other than de- [ATF 40F, 81 FR 1318, Jan. 12, 2016] structive devices or ammunition other than armor piercing ammunition, or § 478.40 [Reserved] dealing in firearms other than destructive devices, as the case may be, by Subpart D—Licenses such a licensee at the licensed premises. § 478.41 General. (c) Each person seeking the privi- (a) Each person intending to engage leges of a collector licensed under this in business as an importer or manufac- part shall file an application, with the turer of firearms or ammunition, or a required fee (see § 478.42), with ATF in dealer in firearms shall, before com- accordance with the instructions on mencing such business, obtain the li- the form (see § 478.44), and pursuant to

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

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corporation, partnership, or associa- § 478.45 Renewal of license. tion) is an alien who has been admitted If a licensee intends to continue the to the United States under a non- business or activity described on a li- immigrant visa, applicable documenta- cense issued under this part during any tion demonstrating that the alien falls portion of the ensuing year, the li- within an exception specified in 18 censee shall, unless otherwise notified U.S.C. 922(y)(2) (e.g., a hunting license in writing by the Chief, Federal Fire- or permit lawfully issued in the United States) or has obtained a waiver as arms Licensing Center, execute and file specified in 18 U.S.C. 922(y)(3); and with ATF prior to the expiration of the (iv) Include the appropriate fee in the license an application for a license re- form of money order or check made newal, ATF Form 8 Part II, in accord- payable to the ‘‘Bureau of Alcohol, To- ance with the instructions on the form, bacco, Firearms, and Explosives’’. and the required fee. If the applicant is (2) ATF Form 7 may be obtained by an alien who has been admitted to the contacting the ATF Distribution Cen- United States under a nonimmigrant ter (See § 478.21). visa, the application must include ap- (b) Any person who desires to obtain plicable documentation demonstrating a license as a collector under the Act that the alien falls within an exception and this part, or who has not timely specified in 18 U.S.C. 922(y)(2) (e.g., a submitted an application for renewal of hunting license or permit lawfully the previous license issued under this issued in the United States) or has ob- part, shall file an application, ATF tained a waiver as specified in 18 U.S.C. Form 7CR (Curios and Relics), with 922(y)(3). The Chief, Federal Firearms ATF in accordance with the instruc- Licensing Center may, in writing, re- tions on the form. If the applicant (inquire the applicant for license renewal cluding, in the case of a corporation, to also file completed ATF Form 7 or partnership, or association, any indi- ATF Form 7CR in the manner required vidual possessing, directly or indi- by § 478.44. In the event the licensee rectly, the power to direct or cause the does not timely file an ATF Form 8 direction of the management and poli- Part II, the licensee must file an ATF cies of the corporation, partnership, or Form 7 or ATF Form 7CR as required association) is an alien who has been by § 478.44, and obtain the required li- admitted to the United States under a cense before continuing business or col- nonimmigrant visa, the application lecting activity. If an ATF Form 8 Part must include applicable documentation II is not timely received through the demonstrating that the alien falls mails, the licensee should so notify the within an exception specified in 18 Chief, Federal Firearms Licensing Cen- U.S.C. 922(y)(2) (e.g., a hunting license ter. or permit lawfully issued in the United (Approved by the Office of Management and States) or has obtained a waiver as Budget under control number 1140–0060) specified in 18 U.S.C. 922(y)(3). The ap- [ATF–11F, 73 FR 57241, Oct. 2, 2008, as amend- plication must be executed under the ed by ATF–24F, 77 FR 33629, June 7, 2012] penalties of perjury and the penalties imposed by 18 U.S.C. 924. The applica- § 478.46 Insufficient fee. tion shall include the appropriate fee If an application is filed with an in- in the form of a money order or check sufficient fee, the application and any made payable to the Bureau of Alcohol, fee submitted will be returned to the Tobacco, Firearms, and Explosives. applicant. ATF Form 7CR (Curios and Relics) may be obtained by contacting the ATF Dis- (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 tribution Center (See § 478.21). Stat. 1226)) (Paragraphs (a) and (b) approved by the Of- [T.D. ATF–200, 50 FR 10498, Mar. 15, 1985] fice of Management and Budget under control number 1140–0060) § 478.47 Issuance of license. [T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as (a) Upon receipt of a properly exe- amended by T.D. ATF–471, 67 FR 5425, Feb. 5, cuted application for a license on ATF 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008; ATF– Form 7, ATF Form 7CR, or ATF Form 24F, 77 FR 33629, June 7, 2012] 8 Part II, the Chief, Federal Firearms

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Licensing Center, shall, upon finding who is, pursuant to the provisions of through further inquiry or investiga- § 478.78, § 478.143, or § 478.144, conducting tion, or otherwise, that the applicant is business or collecting activity under a qualified, issue the appropriate license. previously issued license, action re- Each license shall bear a serial number garding the application will be held in and such number may be assigned to abeyance pending the completion of the licensee to whom issued for so long the proceedings against the applicant’s as the licensee maintains continuity of existing license or license application, renewal in the same location (State). final determination of the applicant’s (b) The Chief, Federal Firearms Li- criminal case, or final action by the Di- censing Center, shall approve a prop- rector on an application for relief sub- erly executed application for license on mitted pursuant to § 478.144, as the case ATF Form 7, ATF Form 7CR, or ATF may be. Form 8 Part II, if: (d) When the Director of Industry Op- (1) The applicant is 21 years of age or erations or the Chief, Federal Firearms over; Licensing Center fails to act on an ap- (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 prohibited under the provisions of the (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Act from shipping or transporting in Stat. 1226)) 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. firearm or ammunition, or from receiv- ATF–135, 48 FR 24068, May 31, 1983; T.D. ATF– ing any firearm or ammunition which 241, 51 FR 39619, Oct. 29, 1986; T.D. ATF–270, has been shipped or transported in 53 FR 10495, Mar. 31, 1988; T.D. ATF–290, 54 interstate or foreign commerce; FR 53054, Dec. 27, 1989; T.D. ATF–363, 60 FR (3) The applicant has not willfully 17453, Apr. 6, 1995; ATF–11F, 73 FR 57241, Oct. 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 failed to disclose any material infor- (a) Upon receipt of a license issued mation required, or has not made any under the provisions of this part, each false statement as to any material licensee shall examine same to ensure fact, in connection with his applica- that the information contained thereon tion; and is accurate. If the license is incorrect, (5) The applicant has in a State (i) the licensee shall return the license to premises from which he conducts busi- the Chief, Federal Firearms Licensing ness subject to license under the Act or Center, with a statement showing the from which he intends to conduct such nature of the error. The Chief, Federal business within a reasonable period of Firearms Licensing Center, shall cor- time, or (ii) in the case of a collector, rect the error, if the error was made in premises from which he conducts his his office, and return the license. How- collecting subject to license under the ever, if the error resulted from infor- Act or from which he intends to con- mation contained in the licensee’s ap- duct such collecting within a reason- plication for the license, the Chief, able period of time. Federal Firearms Licensing Center, (c) The Chief, Federal Firearms Li- shall require the licensee to file an censing Center, shall approve or the Di- amended application setting forth the rector of Industry Operations shall correct information and a statement deny an application for a license within explaining the error contained in the the 60-day period beginning on the date application. Upon receipt of the the properly executed application was amended application and a satisfactory received: Provided, That when an appli- explanation of the error, the Chief, cant for license renewal is a person Federal Firearms Licensing Center,

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shall make the correction on the li- license is held and the disposition is cense and return same to the licensee. made; (b) When the Chief, Federal Firearms (c) A licensee may conduct business Licensing Center, finds through any at a gun show pursuant to the provi- means other than notice from the li- sion of § 478.100; or censee that an incorrect license has (d) A licensed importer, manufac- been issued, the Chief, Federal Fire- turer, or dealer may engage in the arms Licensing Center, may require business of dealing in curio or relic the holder of the incorrect license to firearms with another licensee at any (1) return the license for correction, location pursuant to the provisions of and (2) if the error resulted from infor- § 478.100. mation contained in the licensee’s ap- [T.D. ATF–191, 49 FR 46890, Nov. 29, 1984, as plication for the license, the Chief, amended by T.D. ATF–401, 63 FR 35523, June Federal Firearms Licensing Center, 30, 1998] shall require the licensee to file an amended application setting forth the § 478.51 License not transferable. correct information, and a statement Licenses issued under this part are explaining the error contained in the not transferable. In the event of the application. The Chief, Federal Fire- lease, sale, or other transfer of the op- arms Licensing Center, then shall erations authorized by the license, the make the correction on the license and successor must obtain the license re- return same to the licensee. quired by this part prior to com- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 mencing such operations. However, for FR 16835, Apr. 15, 1975, and amended by T.D. rules on right of succession, see § 478.56. ATF–290, 54 FR 53054, Dec. 27, 1989] § 478.52 Change of address. § 478.49 Duration of license. (a) Licensees may during the term of The license entitles the person to their current license remove their busi- whom issued to engage in the business ness or activity to a new location at or activity specified on the license, which they intend regularly to carry within the limitations of the Act and on such business or activity by filing the regulations contained in this part, an Application for an Amended Federal for a three year period, unless termi- Firearms License, ATF Form 5300.38, in nated sooner. duplicate, not less than 30 days prior to such removal with the Chief, Federal [T.D. ATF–270, 53 FR 10495, Mar. 31, 1988] Firearms Licensing Center. The ATF Form 5300.38 shall be completed in ac- § 478.50 Locations covered by license. cordance with the instructions on the The license covers the class of busi- form. The application must be exe- ness or the activity specified in the li- cuted under the penalties of perjury cense at the address specified therein. and penalties imposed by 18 U.S.C. 924. A separate license must be obtained for The application shall be accompanied each location at which a firearms or by the licensee’s original license. The ammunition business or activity re- Chief, Federal Firearms Licensing Cen- quiring a license under this part is con- ter Center, may, in writing, require the ducted except: applicant for an amended license to (a) No license is required to cover a also file completed ATF Form 7 or ATF separate warehouse used by the li- Form 7CR, or portions thereof, in the censee solely for storage of firearms or manner required by § 478.44. ammunition if the records required by (b) Upon receipt of a properly exe- this part are maintained at the li- cuted application for an amended licensed premises served by such ware- cense, the Chief, Federal Firearms Li- house; censing Center, shall, upon finding (b) A licensed collector may acquire through further inquiry or investiga- curios and relics at any location, and tion, or otherwise, that the applicant is dispose of curios or relics to any li- qualified at the new location, issue the censee or to other persons who are resi- amended license, and return it to the dents of the State where the collector’s applicant. The license shall be valid for

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the remainder of the term of the origi- ing up of the partnership affairs is nal license. The Chief, Federal Fire- completed, and the surviving partner arms Licensing Center, shall, if the ap- has the exclusive right to the control plicant is not qualified, refer the appli- and possession of the partnership as- cation for amended license to the Di- sets for the purpose of liquidation and rector of Industry Operations for denial settlement, such surviving partner in accordance with § 478.71. may continue to operate the business (Approved by the Office of Management and under the license of the partnership. If Budget under control number 1140–0040) such surviving partner acquires the [T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as business on completion of the settle- amended by ATF–11F, 73 FR 57241, Oct. 2, ment of the partnership, he shall ob- 2008] tain a license in his own name from the date of acquisition, as provided in § 478.53 Change in trade name. § 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 new trade name. current license. Such persons are: (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– 290, 54 FR 53055, Dec. 27, 1989] and (2) A receiver or trustee in bank- § 478.54 Change of control. ruptcy, or an assignee for benefit of In the case of a corporation or asso- creditors. ciation holding a license under this (b) In order to secure the right pro- part, if actual or legal control of the vided by this section, the person or per- corporation or association changes, di- sons continuing the business shall fur- rectly or indirectly, whether by reason nish the license for that business for of change in stock ownership or control endorsement of such succession to the (in the licensed corporation or in any Chief, Federal Firearms Licensing Cen- other corporation), by operations of ter, within 30 days from the date on law, or in any other manner, the li- which the successor begins to carry on censee shall, within 30 days of such the business. change, give written notification thereof, executed under the penalties of per- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 jury, to the Chief, Federal Firearms Li- FR 16835, Apr. 15, 1975, and amended by T.D. censing Center. Upon expiration of the ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– license, the corporation or association 290, 54 FR 53055, Dec. 27, 1989; ATF 2013R–9F, must file a Form 7 (Firearms) as re- 79 FR 46692, Aug. 11, 2014] quired by § 478.44. § 478.57 Discontinuance of business. [33 FR 18555, Dec. 14, 1968. Redesignated at 40 Where a firearm or ammunition busi- FR 16835, Apr. 15, 1975, and amended by T.D. ATF–290, 54 FR 53054, Dec. 27, 1989] ness is either discontinued or succeeded by a new owner, the owner of § 478.55 Continuing partnerships. the business discontinued or succeeded Where, under the laws of the par- shall within 30 days thereof furnish to ticular State, the partnership is not the Chief, Federal Firearms Licensing terminated on death or insolvency of a partner, but continues until the wind-

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Center notification of the discontinu- visions of § 478.47, he may issue a notice ance or succession. (See also § 478.127.) 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; ATF 2014R–42, 84 FR ceipt of the notice in which to request 12094, Apr. 1, 2019] a hearing to review the denial. If no re- § 478.58 State or other law. quest for a hearing is filed within such time, the application shall be dis- A license issued under this part confers 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 shall be considered as having been ing and advise the applicant of the abandoned and the license fee returned. date, time, location, and the name of the officer before whom the hearing [T.D. ATF–135, 48 FR 24068, May 31, 1983] will be held. Such notification shall be made not less than 10 days in advance § 478.60 Certain continuances of business. of the date set for the hearing. During the hearing the applicant will have the A licensee who furnishes his license opportunity to submit facts and argu- to the Chief, Federal Firearms Licens- ments for review and consideration; of- ing Center for correction or endorse- fers of settlement will not be enter- ment in compliance with the provisions tained at the hearing but may be made contained in this subpart may continue his operations while awaiting its re- before or after the hearing. On conclu- turn. sion of the hearing and consideration of all relevant facts and circumstances [33 FR 18555, Dec. 14, 1968. Redesignated at 40 presented by the applicant or his rep- FR 16835, Apr. 15, 1975, and amended by T.D. resentative, the Director shall render ATF–290, 54 FR 53054, Dec. 27, 1989] his decision confirming or reversing the denial of the application. A copy of Subpart E—License Proceedings the application, marked ‘‘Dis- § 478.71 Denial of an application for li- approved,’’ will be returned to the ap- cense. plicant. If the decision is that the li- Whenever the Director has reason to cense applied for should be issued, the believe that an applicant is not qualified to receive a license under the pro-

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applicant shall be so notified, in writ- § 478.74 Request for hearing after no- ing, and the license shall be issued as tice of suspension, revocation, or provided by § 478.47. imposition of civil fine. [33 FR 18555, Dec. 14, 1968, as amended by If a licensee desires a hearing after ATF–27P, 74 FR 1878, Jan. 14, 2009; ATF receipt of a notice of suspension or rev- 2013R–9F, 79 FR 46692, Aug. 11, 2014; ATF ocation of a license, or imposition of a 2008R–15P; 81 FR 32235, May 23, 2016] civil fine, the licensee shall file a request, in duplicate, with the Director § 478.73 Notice of revocation, suspen- of Industry Operations within 15 days sion, or imposition of civil fine. after receipt of the notice of suspension (a) Basis for action. Whenever the Di- or revocation of a license, or imposi- rector has reason to believe that a li- tion of a civil fine. On receipt of such censee has willfully violated any provi- request, the Director of Industry Oper- sion of the Act or this part, a notice of ations shall, as expeditiously as pos- revocation of the license, ATF Form sible, make necessary arrangements for 4500, may be issued. In addition, pursu- the hearing and advise the licensee of ant to 18 U.S.C. 922(t)(5) and 18 U.S.C. the date, time, location and the name 924(p), a notice of revocation, suspen- of the officer before whom the hearing sion, or imposition of a civil fine may will be held. Such notification shall be be issued on ATF Form 4500 whenever made no less than 10 days in advance of the Director has reason to believe that the date set for the hearing. On conclu- a licensee has knowingly transferred a sion of the hearing and consideration firearm to an unlicensed person and of all the relevant presentations made knowingly failed to comply with the by the licensee or the licensee’s rep- requirements of 18 U.S.C. 922(t)(1) with resentative, the Director shall render a respect to the transfer and, at the time decision and shall prepare a brief sum- that the transferee most recently pro- mary of the findings and conclusions posed the transfer, the national instant on which the decision is based. If the criminal background check system was decision is that the license should be operating and information was avail- revoked, or, in actions under 18 U.S.C. able to the system demonstrating that 922(t)(5) or 924(p), that the license the transferee’s receipt of a firearm should be revoked or suspended, or that would violate 18 U.S.C. 922(g) or 922(n) a civil fine should be imposed, a cer- or State law; or that a licensee has vio- tified copy of the summary shall be lated 18 U.S.C. 922(z)(1) by selling, de- furnished to the licensee with the final livering, or transferring any handgun notice of revocation, suspension, or im- to any person other than a licensee, position of a civil fine on ATF Form unless the transferee was provided with 5300.13. If the decision is that the li- a secure gun storage or safety device cense should not be revoked, or in ac- for that handgun. tions under 18 U.S.C. 922(t)(5) or 924(p), (b) Issuance of notice. The notice shall that the license should not be revoked set forth the matters of fact consti- or suspended, and a civil fine should tuting the violations specified, dates, not be imposed, the licensee shall be places, and the sections of law and reg- notified in writing. During the hearing ulations violated. The Director shall the licensee will have the opportunity afford the licensee 15 days from the to submit facts and arguments for re- date of receipt of the notice in which to view and consideration; offers of settle- request a hearing prior to suspension ment will not be entertained at the or revocation of the license, or imposi- hearing but may be made before or tion of a civil fine. If the licensee does after the hearing. not file a timely request for a hearing, [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as the Director shall issue a final notice amended by ATF–27P, 74 FR 1878, Jan. 14, of suspension or revocation and/or im- 2009; ATF 2013R–9F, 79 FR 46692, Aug. 11, 2014; position of a civil fine on ATF Form ATF 2008R–15P, 81 FR 32235, May 23, 2016] 5300.13, as provided in § 478.74. § 478.75 Service on applicant or li- [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as censee. amended by ATF–27P, 74 FR 1878, Jan. 14, 2009; ATF 2013R–9F, 79 FR 46692, Aug. 11, 2014; All notices and other documents re- ATF 2008R–15P, 81 FR 32235, May 23, 2016] quired to be served on an applicant or

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licensee under this subpart shall be denial, suspension, or revocation has served by certified mail or by personal been served on the licensee and he has delivery. Where service is by certified filed timely request for a hearing, the mail, a signed duplicate original copy license in the possession of the licensee of the formal document shall be shall remain in effect even though such mailed, with return receipt requested, license has expired, or the suspension to the applicant or licensee at the ad- or revocation date specified in the no- dress stated in his application or li- tice of revocation on Form 4500 served cense, or at his last known address. on the licensee has passed: Provided, Where service is by personal delivery, a That with respect to a license that has signed duplicate original copy of the expired, the licensee has timely filed formal document shall be delivered to an application for the renewal of his li- the applicant or licensee, or, in the cense. If a licensee is dissatisfied with case of a corporation, partnership, or a posthearing decision revoking or sus- association, by delivering it to an offi- pending the license or denying the ap- cer, manager, or general agent thereof, plication or imposing a civil fine, as or to its attorney of record. the case may be, he may, pursuant to 18 U.S.C. 923(f)(3), within 60 days after [33 FR 18555, Dec. 14, 1968. Redesignated at 40 receipt of the final notice denying the FR 16835, Apr. 15, 1975, and further redesignated by T.D. ATF–241, 51 FR 39619, Oct. 29, application or revoking or suspending 1986; T.D. ATF–270, 53 FR 10496, Mar. 31, 1988] the license or imposing a civil fine, file a petition for judicial review of such § 478.76 Representation at a hearing. action. Such petition should be filed Applicants or licensees may rep- with the U.S. district court for the dis- resent themselves or be represented by trict in which the applicant or licensee an attorney, a certified public account- resides or has his principal place of ant, or any other person, specifically business. In such case, when the Direc- designated in a duly executed power of tor finds that justice so requires, he attorney that shall be filed in the pro- may postpone the effective date of sus- ceeding by the applicant or licensee. pension or revocation of a license or The applicant or licensee shall file authorize continued operations under waivers, if applicable, under the Pri- the expired license, as applicable, pend- vacy Act of 1974 and 26 U.S.C. 6103(c) ing judicial review. (confidentiality and disclosure of re- [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as turns and return information). The Di- amended by ATF–27P, 74 FR 1878, Jan. 14, rector of Industry Operations may be 2009; ATF 2013R–9F, 79 FR 46692, Aug. 11, 2014] represented in proceedings under §§ 478.72 and 478.74 by an attorney in the Subpart F—Conduct of Business Office of Chief Counsel who is authorized to execute and file motions, briefs, § 478.91 Posting of license. and other papers in the proceeding, on Any license issued under this part behalf of the Director of Industry Oper- shall be kept posted and kept available ations, in the attorney’s own name as for inspection on the premises covered ‘‘Attorney for the Government.’’ by the license. [ATF 33F, 84 FR 64743, Nov. 25, 2019] § 478.92 Identification of firearms and § 478.77 Designated place of hearing. armor piercing ammunition by licensed manufacturers and licensed The designated place of the hearing importers. shall be a location convenient to the (a)(1) Firearms. You, as a licensed aggrieved party. manufacturer or licensed importer of [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988] firearms, must legibly identify each firearm manufactured or imported as § 478.78 Operations by licensee after follows: notice. (i) By engraving, casting, stamping In any case where denial, suspension, (impressing), or otherwise conspicu- or revocation proceedings are pending ously placing or causing to be en- before the Bureau of Alcohol, Tobacco, graved, cast, stamped (impressed) or Firearms, and Explosives, or notice of placed on the frame or receiver thereof

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an individual serial number. The serial showing that such other identification number must be placed in a manner is reasonable and will not hinder the not susceptible of being readily obliter- effective administration of this part. ated, altered, or removed, and must not (ii) Destructive devices. In the case of duplicate any serial number placed by a destructive device, the Director may you on any other firearm. For firearms authorize other means of identifying manufactured or imported on and after that weapon upon receipt of a letter January 30, 2002, the engraving, cast- application from you, submitted in du- ing, or stamping (impressing) of the se- plicate, showing that engraving, cast- rial number must be to a minimum ing, or stamping (impressing) such a depth of .003 inch and in a print size no weapon would be dangerous or imprac- smaller than 1⁄16 inch; and ticable. (ii) By engraving, casting, stamping (iii) Machine guns, silencers, and parts. (impressing), or otherwise conspicu- Any part defined as a machine gun, ously placing or causing to be en- firearm muffler, or firearm silencer in graved, cast, stamped (impressed) or § 478.11, that is not a component part of placed on the frame, receiver, or barrel a complete weapon at the time it is thereof certain additional information. sold, shipped, or otherwise disposed of This information must be placed in a by you, must be identified as required manner not susceptible of being readily by this section. The Director may au- obliterated, altered, or removed. For thorize other means of identification of firearms manufactured or imported on parts defined as machine guns other and after January 30, 2002, the engrav- than frames or receivers and parts de- ing, casting, or stamping (impressing) fined as mufflers or silencers upon re- of this information must be to a min- ceipt of a letter application from you, imum depth of .003 inch. The additional submitted in duplicate, showing that information includes: such other identification is reasonable (A) The model, if such designation and will not hinder the effective ad- has been made; ministration of this part. (B) The caliber or gauge; (5) Measurement of height and depth of (C) Your name (or recognized abbre- markings. The depth of all markings re- viation) and also, when applicable, the quired by this section will be measured name of the foreign manufacturer; from the flat surface of the metal and (D) In the case of a domestically not the peaks or ridges. The height of made firearm, the city and State (or serial numbers required by paragraph recognized abbreviation thereof) where (a)(1)(i) of this section will be measured you as the manufacturer maintain as the distance between the latitudinal your place of business; and ends of the character impression bot- (E) In the case of an imported fire- toms (bases). arm, the name of the country in which (b) Armor piercing ammunition—(1) it was manufactured and the city and Marking of ammunition. Each licensed State (or recognized abbreviation manufacturer or licensed importer of thereof) where you as the importer armor piercing ammunition shall iden- maintain your place of business. For tify such ammunition by means of additional requirements relating to im- painting, staining or dying the exterior ported firearms, see Customs regula- of the projectile with an opaque black tions at 19 CFR part 134. coloring. This coloring must com- (2) Firearm frames or receivers. A fire- pletely cover the point of the projectile arm frame or receiver that is not a and at least 50 percent of that portion component part of a complete weapon of the projectile which is visible when at the time it is sold, shipped, or other- the projectile is loaded into a cartridge wise disposed of by you must be identi- case. fied as required by this section. (2) Labeling of packages. Each licensed (3) [Reserved] manufacturer or licensed importer of (4) Exceptions. (i) Alternate means of armor piercing ammunition shall identification. The Director may au- clearly and conspicuously label each thorize other means of identification package in which armor piercing am- upon receipt of a letter application munition is contained, e.g., each box, from you, submitted in duplicate, carton, case, or other container. The

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label shall include the words ‘‘ARMOR § 478.94 Sales or deliveries between li- PIERCING’’ in block letters at least 1⁄4 censees. inch in height. The lettering shall be A licensed importer, licensed manu- located on the exterior surface of the facturer, or licensed dealer selling or package which contains information otherwise disposing of firearms, and a concerning the caliber or gauge of the licensed collector selling or otherwise ammunition. There shall also be placed disposing of curios or relics, to another on the same surface of the package in licensee shall verify the identity and block lettering at least 1⁄8 inch in licensed status of the transferee prior height the words ‘‘FOR GOVERN- to making the transaction. MENTAL ENTITIES OR EXPOR- Verification shall be established by the TATION ONLY.’’ The statements re- transferee furnishing to the transferor quired by this subparagraph shall be on a certified copy of the transferee’s li- a contrasting background. cense and by such other means as the transferor deems necessary: Provided, (Approved by the Office of Management and That it shall not be required (a) for a Budget under control number 1140–0050) transferee who has furnished a certified [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988, as copy of its license to a transferor to amended by T.D. ATF–363, 60 FR 17454, Apr. again furnish such certified copy to 6, 1995; T.D. ATF–383, 61 FR 39321, July 29, that transferor during the term of the 1996; T.D. ATF–396, 63 FR 12646, Mar. 16, 1998; transferee’s current license, (b) for a li- T.D. ATF–461, 66 FR 40600, Aug. 3, 2001; ATF– censee to furnish a certified copy of its 11F, 73 FR 57241, Oct. 2, 2008; ATF 2014R–42, 84 license to another licensee if a firearm FR 12094, Apr. 1, 2019] is being returned either directly or through another licensee to such li- § 478.93 Authorized operations by a licensee and (c) for licensees of multi- censed collector. licensed business organizations to fur- The license issued to a collector of nish certified copies of their licenses to curios or relics under the provisions of other licensed locations operated by this part shall cover only transactions such organization: Provided further, by the licensed collector in curios and That a multilicensed business organi- relics. The collector’s license is of no zation may furnish to a transferor, in force or effect and a licensed collector lieu of a certified copy of each license, is of the same status under the Act and a list, certified to be true, correct and this part as a nonlicensee with respect complete, containing the name, ad- to (a) any acquisition or disposition of dress, license number, and the date of firearms other than curios or relics, or license expiration of each licensed lo- any transportation, shipment, or re- cation operated by such organization, ceipt of firearms other than curios or and the transferor may sell or otherwise dispose of firearms as provided by relics in interstate or foreign com- this section to any licensee appearing merce, and (b) any transaction with a on such list without requiring a cer- nonlicensee involving any firearm tified copy of a license therefrom. A other than a curio or relic. (See also transferor licensee who has the cer- § 478.50.) A collectors license is not nec- tified information required by this sec- essary to receive or dispose of ammunition may sell or dispose of firearms to tion, and a licensed collector is not a licensee for not more than 45 days 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 dispose of any ammunition to a person (Approved by the Office of Management and 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, 2008] piercing ammunition must record the 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

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part contains a purchasing certifi- prior to shipment or delivery of the cation statement. This original license firearm, forward by registered or cer- may be reproduced and the reproduc- tified mail (return receipt requested) a tion then certified by the licensee for copy of the record, Form 4473, to the use pursuant to § 478.94. If the licensee chief law enforcement officer named on desires an additional copy of the li- such record, and delay shipment or de- cense for certification (instead of mak- livery of the firearm for a period of at ing a reproduction of the original li- least 7 days following receipt by the license), the licensee may submit a re- censee of the return receipt evidencing quest, in writing, for a certified copy or delivery of the copy of the record to copies of the license to the Chief, Fed- such chief law enforcement officer, or eral Firearms Licensing Center. The the return of the copy of the record to request must set forth the name, trade him due to the refusal of such chief law name (if any) and address of the li- enforcement officer to accept same in censee, and the number of license cop- accordance with U.S. Postal Service ies desired. There is a charge of $1 for regulations. The original Form 4473, each copy. The fee paid for copies of and evidence of receipt or rejection of the license must accompany the re- delivery of the copy of the Form 4473 quest for copies. The fee may be paid sent to the chief law enforcement offi- by cash, or money order or check made cer shall be retained by the licensee as payable to the Bureau of Alcohol, To- a part of the records required of him to bacco, Firearms, and Explosives. be kept under the provisions of subpart (Approved by the Office of Management and H of this part. Budget under control number 1140–0032) (c)(1) A licensed importer, licensed [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as manufacturer, or licensed dealer may amended by T.D. ATF–290, 54 FR 53055, Dec. sell or deliver a rifle or shotgun, and a 27, 1989; ATF–11F, 73 FR 57241, Oct. 2, 2008; licensed collector may sell or deliver a ATF 2014R–42, 84 FR 12094, Apr. 1, 2019] rifle or shotgun that is a curio or relic to a nonlicensed resident of a State § 478.96 Out-of-State and mail order sales. other than the State in which the licensee’s place of business is located if— (a) The provisions of this section (i) The purchaser meets with the li- shall apply when a firearm is purchased censee in person at the licensee’s prem- by or delivered to a person not other- ises to accomplish the transfer, sale, wise prohibited by the Act from pur- and delivery of the rifle or shotgun; chasing or receiving it. (b) A licensed importer, licensed (ii) The licensed importer, licensed manufacturer, or licensed dealer may manufacturer, or licensed dealer com- sell a firearm that is not subject to the plies with the provisions of § 478.102; provisions of § 478.102(a) to a non- (iii) The purchaser furnishes to the licensee who does not appear in person licensed importer, licensed manufac- at the licensee’s business premises if turer, or licensed dealer the firearms the nonlicensee is a resident of the transaction record, Form 4473, required same State in which the licensee’s by § 478.124; and business premises are located, and the (iv) The sale, delivery, and receipt of nonlicensee furnishes to the licensee the rifle or shotgun fully comply with the firearms transaction record, Form the legal conditions of sale in both 4473, required by § 478.124. The non- such States. licensee shall attach to such record a (2) For purposes of paragraph (c) of true copy of any permit or other infor- this section, any licensed manufac- mation required pursuant to any stat- turer, licensed importer, or licensed ute of the State and published ordi- dealer is presumed, in the absence of nance applicable to the locality in evidence to the contrary, to have had which he resides. The licensee shall actual knowledge of the State laws and

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published ordinances of both such purchase or otherwise acquire the de- States. vice or weapon; and (b) That such person’s receipt or pos- (Approved by the Office of Management and Budget under control number 1140–0021) session of the device or weapon would be consistent with public safety. Such [33 FR 18555, Dec. 14, 1968. Redesignated at 40 sworn statement shall be made on the FR 16835, Apr. 15, 1975, and amended by T.D. application to transfer and register the ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– 241, 51 FR 39620, Oct. 29, 1986; T.D. ATF–270, firearm required by Part 479 of this 53 FR 10497, Mar. 31, 1988; T.D. ATF–354, 59 chapter. The sale or delivery of the de- FR 7112, Feb. 14, 1994; T.D. ATF–415, 63 FR vice or weapon shall not be made until 58278, Oct. 29, 1998; ATF–11F, 73 FR 57241, Oct. the application for transfer is approved 2, 2008] by the Director and returned to the licensee (transferor) as provided in Part § 478.97 Loan or rental of firearms. 479 of this chapter. (a) A licensee may lend or rent a fire- [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988] arm to any person for temporary use off the premises of the licensee for law- § 478.99 Certain prohibited sales or de- ful sporting purposes: Provided, That liveries. the delivery of the firearm to such per- (a) Interstate sales or deliveries. A li- son is not prohibited by § 478.99(b) or censed importer, licensed manufac- § 478.99(c), the licensee complies with turer, licensed dealer, or licensed col- the requirements of § 478.102, and the li- lector shall not sell or deliver any fire- censee records such loan or rental in arm to any person not licensed under the records required to be kept by him this part and who the licensee knows under Subpart H of this part. or has reasonable cause to believe does (b) A club, association, or similar or- not reside in (or if a corporation or ganization temporarily furnishing fire- other business entity, does not main- arms (whether by loan, rental, or oth- tain a place of business in) the State in erwise) to participants in a skeet, trap, which the licensee’s place of business target, or similar shooting activity for or activity is located: Provided, That use at the time and place such activity the foregoing provisions of this para- is held does not, unattended by other graph (1) shall not apply to the sale or circumstances, cause such club, asso- delivery of a rifle or shotgun (curio or ciation, or similar organization to be relic, in the case of a licensed col- engaged in the business of a dealer in lector) to a resident of a State other firearms or as engaging in firearms than the State in which the licensee’s transactions. Therefore, licensing and place of business or collection premises recordkeeping requirements contained is located if the requirements of in this part pertaining to firearms § 478.96(c) are fully met, and (2) shall transactions would not apply to this not apply to the loan or rental of a temporary furnishing of firearms for firearm to any person for temporary use on premises on which such an ac- use for lawful sporting purposes (see tivity is conducted. § 478.97). [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998] (b) Sales or deliveries to underaged persons. A licensed importer, licensed § 478.98 Sales or deliveries of destruc- manufacturer, licensed dealer, or li- tive devices and certain firearms. censed collector shall not sell or de- The sale or delivery by a licensee of liver (1) any firearm or ammunition to any destructive device, machine gun, any individual who the importer, man- short-barreled shotgun, or short-bar- ufacturer, dealer, or collector knows or reled rifle, to any person other than has reasonable cause to believe is less another licensee who is licensed under than 18 years of age, and, if the fire- this part to deal in such device or firearm, or ammunition, is other than a arm, is prohibited unless the person to shotgun or rifle, or ammunition for a receive such device or firearm fur- shotgun or rifle, to any individual who nishes to the licensee a sworn state- the importer, manufacturer, dealer, or ment setting forth collector knows or has reasonable (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

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any State where the purchase or pos- possessed, or received in the represent- session by such person of such firearm ative’s official capacity; would be in violation of any State law (iii) An official of a foreign govern- or any published ordinance applicable ment or a distinguished foreign visitor at the place of sale, delivery, or other who has been so designated by the De- disposition, unless the importer, manu- partment of State. This exception only facturer, dealer, or collector knows or applies if the firearm or ammunition is has reasonable cause to believe that shipped, transported, possessed, or re- the purchase or possession would not ceived in the official’s or visitor’s offi- be in violation of such State law or cial capacity, except if the visitor is a such published ordinance. private individual who does not have (c) Sales or deliveries to prohibited cat- an official capacity; or egories of persons. A licensed manufac- (iv) A foreign law enforcement officer turer, licensed importer, licensed deal- of a friendly foreign government enter- er, or licensed collector shall not sell ing the United States on official law or otherwise dispose of any firearm or enforcement business; ammunition to any person knowing or (6) Has been discharged from the having reasonable cause to believe that Armed Forces under dishonorable con- such person: ditions; (1) Is, except as provided by § 478.143, (7) Who, having been a citizen of the under indictment for, or, except as pro- United States, has renounced citizen- vided by § 478.144, has been convicted in ship; any court of a crime punishable by im- (8) Is subject to a court order that re- prisonment for a term exceeding 1 strains such person from harassing, year; stalking, or threatening an intimate partner of such person or child of such (2) Is a fugitive from justice; intimate partner or person, or engag- (3) Is an unlawful user of or addicted ing in other conduct that would place to any controlled substance (as defined an intimate partner in reasonable fear in section 102 of the Controlled Sub- of bodily injury to the partner or child, stance Act, 21 U.S.C. 802); except that this paragraph shall only (4) Has been adjudicated as a mental apply to a court order that— defective or has been committed to any (i) Was issued after a hearing of mental institution; which such person received actual no- (5) Is an alien illegally or unlawfully tice, and at which such person had the in the United States or, except as pro- opportunity to participate; and vided in § 478.32(f), is an alien who has (ii)(A) Includes a finding that such been admitted to the United States person represents a credible threat to under a nonimmigrant visa: Provided, the physical safety of such intimate That the provisions of this paragraph partner or child; or (c)(5) do not apply to any alien who has (B) By its terms explicitly prohibits been lawfully admitted to the United the use, attempted use, or threatened States under a nonimmigrant visa if use of physical force against such inti- that alien is— mate partner or child that would rea- (i) Admitted to the United States for sonably be expected to cause bodily in- lawful hunting or sporting purposes or jury, or is in possession of a hunting license or (9) Has been convicted of a mis- permit lawfully issued in the United demeanor crime of domestic violence. States; (d) Manufacture, importation, and sale (ii) An official representative of a of armor piercing ammunition by licensed foreign government who is either ac- importers and licensed manufacturers. A credited to the United States Govern- licensed importer or licensed manufac- ment or the Government’s mission to turer shall not import or manufacture an international organization having armor piercing ammunition or sell or its headquarters in the United States deliver such ammunition, except: or en route to or from another country (1) For use of the United States or to which that alien is accredited. This any department or agency thereof or exception only applies if the firearm or any State or any department, agency, ammunition is shipped, transported, or political subdivision thereof;

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(2) For the purpose of exportation; or business of dealing in curio or relic (3) For the purpose of testing or ex- firearms with another licensee at any perimentation authorized by the Direc- location. tor under the provisions of § 478.149. (b) A gun show or an event is a func- (e) Transfer of armor piercing ammunition sponsored by any national, State, tion by licensed dealers. A licensed deal- or local organization, devoted to the er shall not willfully transfer armor collection, competitive use, or other piercing ammunition: Provided, That sporting use of firearms, or an organi- armor piercing ammunition received zation or association that sponsors and maintained by the licensed dealer functions devoted to the collection, as business inventory prior to August competitive use, or other sporting use 28, 1986, may be transferred to any de- of firearms in the community. partment or agency of the United (c) Licensees conducting business at States or any State or political sub- locations other than the premises spec- division thereof if a record of such am- ified on their license under the provi- munition is maintained in the form sions of paragraph (a) of this section and manner prescribed by § 478.125(c). shall maintain firearms records in the Any licensed dealer who violates this form and manner prescribed by subpart paragraph is subject to license revoca- H of this part. In addition, records of tion. See subpart E of this part. For firearms transactions conducted at purposes of this paragraph, the Direc- such locations shall include the loca- tor shall furnish each licensed dealer tion of the sale or other disposition, be information defining which projectiles entered in the acquisition and disposi- are considered armor piercing. Such in- tion records of the licensee, and re- formation may not be all-inclusive for tained on the premises specified on the purposes of the prohibition on manu- license. facture, importation, or sale or delivery by a manufacturer or importer of [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF–401, 63 FR 35523, June such ammunition or 18 U.S.C. 929 relat- 30, 1998] ing to criminal misuse of such ammunition. § 478.101 Record of transactions. [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as Every licensee shall maintain fire- amended by T.D. ATF–363, 60 FR 17454, Apr. arms and armor piercing ammunition 6, 1995; T.D. ATF–401, 63 FR 35523, June 30, records in such form and manner as is 1998; T.D. ATF–471, 67 FR 5426, Feb. 5, 2002; prescribed by subpart H of this part. ATF–24F, 77 FR 33629, June 7, 2012] [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988] § 478.100 Conduct of business away from licensed premises. § 478.102 Sales or deliveries of fire- (a)(1) A licensee may conduct busi- arms on and after November 30, ness temporarily at a gun show or 1998. event as defined in paragraph (b) if the (a) Background check. Except as pro- gun show or event is located in the vided in paragraph (d) of this section, a same State specified on the license: licensed importer, licensed manufac- Provided, That such business shall not turer, or licensed dealer (the licensee) be conducted from any motorized or shall not sell, deliver, or transfer a towed vehicle. The premises of the gun firearm to any other person who is not show or event at which the licensee licensed under this part unless the li- conducts business shall be considered censee meets the following require- part of the licensed premises. Accord- ments: ingly, no separate fee or license is re- (1) Before the completion of the quired for the gun show or event loca- transfer, the licensee has contacted tions. However, licensees shall comply NICS; with the provisions of § 478.91 relating (2)(i) NICS informs the licensee that to posting of licenses (or a copy there- it has no information that receipt of of) while conducting business at the the firearm by the transferee would be gun show or event. in violation of Federal or State law and (2) A licensed importer, manufac- provides the licensee with a unique turer, or dealer may engage in the identification number; or

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(ii) Three business days (meaning 1999. The licensee must conduct another days on which State offices are open) NICS check before transferring the firearm have elapsed from the date the licensee to the purchaser. contacted NICS and NICS has not noti- Example 2 for paragraph (c). A purchaser completes the Form 4473 on January 25, 1999, fied the licensee that receipt of the and arranges for the purchase of a single firearm by the transferee would be in firearm. A NICS check is initiated by the li- violation of law; and censee on that date. The licensee is informed (3) The licensee verifies the identity by NICS that the information available to of the transferee by examining the the system does not indicate that receipt of identification document presented in the firearm by the transferee would be in accordance with the provisions of violation of law, and a unique identification § 478.124(c). number is provided. The State imposes a 7- day waiting period on all firearms trans- Example for paragraph (a). A licensee con- actions, and the purchaser returns to pick up tacts NICS on Thursday, and gets a ‘‘de- the firearm on February 15, 1999. Before the layed’’ response. The licensee does not get a licensee executes the Form 4473, and the fire- further response from NICS. If State offices arm is transferred, the purchaser decides to are not open on Saturday and Sunday, 3 busi- purchase an additional firearm. The transfer ness days would have elapsed on the fol- of these two firearms is considered a single lowing Tuesday. The licensee may transfer transaction; accordingly, the licensee may the firearm on the next day, Wednesday. add the second firearm to the Form 4473, and transfer that firearm without conducting an- (b) Transaction number. In any trans- other NICS check. action for which a licensee receives a Example 3 for paragraph (c). A purchaser transaction number from NICS (which completes a Form 4473 on February 15, 1999. shall include either a NICS transaction The licensee receives a unique identification number or, in States where the State is number from NICS on that date, the Form recognized as a point of contact for 4473 is executed by the licensee, and the firearm is transferred. On February 20, 1999, the NICS checks, a State transaction num- purchaser returns to the licensee’s premises ber), such number shall be recorded on and wishes to purchase a second firearm. The a firearms transaction record, Form purchase of the second firearm is a separate 4473, which shall be retained in the transaction; thus, a new NICS check must be records of the licensee in accordance initiated by the licensee. with the provisions of § 478.129. This ap- (d) Exceptions to NICS check. The pro- plies regardless of whether the trans- visions of paragraph (a) of this section action is approved or denied by NICS, shall not apply if— and regardless of whether the firearm (1) The transferee has presented to is actually transferred. the licensee a valid permit or license (c) Time limitation on NICS checks. A that— NICS check conducted in accordance (i) Allows the transferee to possess, with paragraph (a) of this section may acquire, or carry a firearm; be relied upon by the licensee only for (ii) Was issued not more than 5 years use in a single transaction, and for a earlier by the State in which the trans- period not to exceed 30 calendar days fer is to take place; and from the date that NICS was initially (iii) The law of the State provides contacted. If the transaction is not that such a permit or license is to be completed within the 30-day period, the issued only after an authorized govern- licensee shall initiate a new NICS ment official has verified that the in- check prior to completion of the trans- formation available to such official fer. does not indicate that possession of a Example 1 for paragraph (c). A purchaser firearm by the transferee would be in completes the Form 4473 on December 15, violation of Federal, State, or local 1998, and a NICS check is initiated by the li- law: Provided, That on and after No- censee on that date. The licensee is informed vember 30, 1998, the information avail- by NICS that the information available to able to such official includes the NICS; the system does not indicate that receipt of (2) The firearm is subject to the pro- the firearm by the transferee would be in visions of the National Firearms Act violation of law, and a unique identification number is provided. However, the State im- and has been approved for transfer poses a 7-day waiting period on all firearms under 27 CFR part 479; or transactions, and the purchaser does not re- (3) On application of the licensee, in turn to pick up the firearm until January 22, accordance with the provisions of

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§ 478.150, the Director has certified that (B) ammunition that is suitable for use compliance with paragraph (a)(1) of only in a handgun. this section is impracticable. (2) It shall be unlawful for any person who (e) The document referred to in para- is a juvenile to knowingly possess— (A) a handgun; or graph (d)(1) of this section (or a copy (B) ammunition that is suitable for use thereof) shall be retained or the re- only in a handgun. quired information from the document (3) This subsection does not apply to— shall be recorded on the firearms trans- (A) a temporary transfer of a handgun or action record in accordance with the ammunition to a juvenile or to the posses- provisions of § 478.131. sion or use of a handgun or ammunition by a juvenile if the handgun and ammunition (Approved by the Office of Management and are possessed and used by the juvenile— Budget under control number 1140–0045) (i) in the course of employment, in the [T.D. ATF–415, 63 FR 58279, Oct. 29, 1998, as course of ranching or farming related to ac- amended by ATF–11F, 73 FR 57241, Oct. 2, tivities at the residence of the juvenile (or on property used for ranching or farming at 2008] which the juvenile, with the permission of § 478.103 Posting of signs and written the property owner or lessee, is performing notification to purchasers of hand- activities related to the operation of the guns. farm or ranch), target practice, hunting, or a course of instruction in the safe and lawful (a) Each licensed importer, manufac- use of a handgun; turer, dealer, or collector who delivers (ii) with the prior written consent of the a handgun to a nonlicensee shall pro- juvenile’s parent or guardian who is not provide such nonlicensee with written no- hibited by Federal, State, or local law from possessing a firearm, except— tification as described in paragraph (b) (I) during transportation by the juvenile of of this section. an unloaded handgun in a locked container (b) The written notification (ATF I directly from the place of transfer to a place 5300.2) required by paragraph (a) of this at which an activity described in clause (i) is section shall state as follows: to take place and transportation by the juve- (1) The misuse of handguns is a lead- nile of that handgun, unloaded and in a ing contributor to juvenile violence locked container, directly from the place at and fatalities. which such an activity took place to the (2) Safely storing and securing fire- transferor; or (II) with respect to ranching or farming ac- arms away from children will help pre- tivities as described in clause (i) a juvenile vent the unlawful possession of hand- may possess and use a handgun or ammuni- guns by juveniles, stop accidents, and tion with the prior written approval of the save lives. juvenile’s parent or legal guardian and at the (3) Federal law prohibits, except in direction of an adult who is not prohibited certain limited circumstances, anyone by Federal, State, or local law from pos- under 18 years of age from knowingly sessing a firearm; possessing a handgun, or any person (iii) the juvenile has the prior written consent in the juvenile’s possession at all times from transferring a handgun to a per- when a handgun is in the possession of the son under 18. juvenile; and (4) A knowing violation of the prohi- (iv) in accordance with State and local law; bition against selling, delivering, or (B) a juvenile who is a member of the otherwise transferring a handgun to a Armed Forces of the United States or the person under the age of 18 is, under cer- National Guard who possesses or is armed tain circumstances, punishable by up with a handgun in the line of duty; (C) a transfer by inheritance of title (but to 10 years in prison. not possession) of a handgun or ammunition FEDERAL LAW to a juvenile; or (D) the possession of a handgun or ammu- The Gun Control Act of 1968, 18 U.S.C. nition by a juvenile taken in defense of the Chapter 44, provides in pertinent part as fol- juvenile or other persons against an intruder lows: into the residence of the juvenile or a residence in which the juvenile is an invited 18 U.S.C. 922(x) guest. (x)(1) It shall be unlawful for a person to (4) A handgun or ammunition, the posses- sell, deliver, or otherwise transfer to a per- sion of which is transferred to a juvenile in son who the transferor knows or has reason- circumstances in which the transferor is not able cause to believe is a juvenile— in violation of this subsection shall not be (A) a handgun; or subject to permanent confiscation by the

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Government if its possession by the juvenile companying the handgun; a manufac- subsequently becomes unlawful because of turer’s or importer’s operational man- the conduct of the juvenile, but shall be re- ual accompanying the handgun; or a turned to the lawful owner when such handgun or ammunition is no longer required by sales receipt or invoice applied to the the Government for the purposes of inves- handgun package or container deliv- tigation or prosecution. ered to a nonlicensee. Any written no- (5) For purposes of this subsection, the tification delivered to a nonlicensee term ‘‘juvenile’’ means a person who is less other than on ATF I 5300.2 shall include than 18 years of age. the language set forth in paragraph (b) (6)(A) In a prosecution of a violation of this of this section in its entirety. Any subsection, the court shall require the presence of a juvenile defendant’s parent or legal written notification other than ATF I guardian at all proceedings. 5300.2 shall be legible, clear, and con- (B) The court may use the contempt power spicuous, and the required language to enforce subparagraph (A). shall appear in type size no smaller (C) The court may excuse attendance of a than 10-point type. parent or legal guardian of a juvenile defendant at a proceeding in a prosecution of a vio- (d) Except as provided in paragraph lation of this subsection for good cause (f) of this section, each licensed im- shown. porter, manufacturer, or dealer who delivers a handgun to a nonlicensee shall 18 U.S.C. 924(a)(6) display at its licensed premises (includ- (6)(A)(i) A juvenile who violates section ing temporary business locations at 922(x) shall be fined under this title, impris- gun shows) a sign as described in para- oned not more than 1 year, or both, except graph (e) of this section. The sign shall that a juvenile described in clause (ii) shall be displayed where customers can read- be sentenced to probation on appropriate conditions and shall not be incarcerated un- ily see it. Licensed importers, manu- less the juvenile fails to comply with a con- facturers, and dealers will be provided dition of probation. with such signs by ATF. Replacement (ii) A juvenile is described in this clause signs may be requested from the ATF if— Distribution Center. (I) the offense of which the juvenile is (e) The sign (ATF I 5300.1) required charged is possession of a handgun or ammu- by paragraph (d) of this section shall nition in violation of section 922(x)(2); and state as follows: (II) the juvenile has not been convicted in any court of an offense (including an offense (1) The misuse of handguns is a leading under section 922(x) or a similar State law, contributor to juvenile violence and fatali- but not including any other offense con- ties. sisting of conduct that if engaged in by an (2) Safely storing and securing firearms adult would not constitute an offense) or ad- away from children will help prevent the un- judicated as a juvenile delinquent for con- lawful possession of handguns by juveniles, duct that if engaged in by an adult would stop accidents, and save lives. constitute an offense. (3) Federal law prohibits, except in certain (B) A person other than a juvenile who limited circumstances, anyone under 18 knowingly violates section 922(x)— years of age from knowingly possessing a (i) shall be fined under this title, impris- handgun, or any person from transferring a oned not more than 1 year, or both; and (ii) if the person sold, delivered, or other- handgun to a person under 18. wise transferred a handgun or ammunition (4) A knowing violation of the prohibition to a juvenile knowing or having reasonable against selling, delivering, or otherwise cause to know that the juvenile intended to transferring a handgun to a person under the carry or otherwise possess or discharge or age of 18 is, under certain circumstances, otherwise use the handgun or ammunition in punishable by up to 10 years in prison. the commission of a crime of violence, shall NOTE: ATF I 5300.2 provides the complete be fined under this title, imprisoned not language of the statutory prohibitions and more than 10 years, or both. exceptions provided in 18 U.S.C. 922(x) and (c) This written notification shall be the penalty provisions of 18 U.S.C. 924(a)(6). delivered to the nonlicensee on ATF I The Federal firearms licensee posting this 5300.2, or in the alternative, the same sign will provide you with a copy of this publication upon request. Requests for addi- written notification may be delivered tional copies of ATF I 5300.2 should be sub- to the nonlicensee on another type of mitted to the ATF Distribution Center written notification, such as a manu- (http://www.atf.gov) or made by calling (202) facturer’s or importer’s brochure ac- 648–6420.

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(f) The sign required by paragraph (d) (2) Abandon such firearm, firearm of this section need not be posted on barrel, or ammunition to the U.S. Gov- the premises of any licensed importer, ernment; or manufacturer, or dealer whose only (3) Export such firearm, firearm bar- dispositions of handguns to non- rel, or ammunition. licensees are to nonlicensees who do (c) Any inquiry relative to the provi- not appear at the licensed premises and sions or procedures under this subpart, the dispositions otherwise comply with other than that pertaining to the pay- the provisions of this part. ment of customs duties or the release from Customs custody of firearms, fire- [T.D. ATF–402, 63 FR 37742, July 13, 1998, as arm barrels, or ammunition authorized amended by ATF 2013R–9F, 79 FR 46692, Aug. 11, 2014] by the Director to be imported, shall be directed to the Director of Industry Op- erations for reply. Subpart G—Importation [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988] § 478.111 General. § 478.112 Importation by a licensed im- (a) Section 922(a)(3) of the Act makes porter. it unlawful, with certain exceptions (a) No firearm, firearm barrel, or am- not pertinent here, for any person munition shall be imported or brought other than a licensee to transport into into the United States by a licensed or receive in the State where the per- importer (as defined in § 478.11) unless son resides any firearm purchased or the Director has authorized the impor- otherwise obtained by the person out- tation of the firearm, firearm barrel, or side of that State. However, section ammunition. 925(a)(4) provides a limited exception (b)(1) An application for a permit, for the transportation, shipment, re- ATF Form 6—Part I, to import or bring ceipt or importation of certain fire- a firearm, firearm barrel, or ammuni- arms and ammunition by certain mem- tion into the United States or a posses- bers of the United States Armed sion thereof under this section must be Forces. Section 922(1) of the Act makes filed, in triplicate, with the Director. it unlawful for any person knowingly The application must be signed and to import or bring into the United dated and must contain the informa- States or any possession thereof any tion requested on the form, including: firearm or ammunition except as pro- (i) The name, address, telephone vided by section 925(d) of the Act, number, and license number (including which section provides standards for expiration date) of the importer; importing or bringing firearms or am- (ii) The country from which the fire- munition into the United States. Sec- arm, firearm barrel, or ammunition is tion 925(d) also provides standards for to be imported; importing or bringing firearm barrels (iii) The name and address of the for- into the United States. Accordingly, no eign seller and foreign shipper; firearm, firearm barrel, or ammunition (iv) A description of the firearm, fire- may be imported or brought into the arm barrel, or ammunition to be im- United States except as provided by ported, including: this part. (A) The name and address of the (b) Where a firearm, firearm barrel, manufacturer; or ammunition is imported and the au- (B) The type (e.g., rifle, shotgun, pis- thorization for importation required by tol, revolver and, in the case of ammu- this subpart has not been obtained by nition only, ball, wadcutter, shot, etc.); the person importing same, such per- (C) The caliber, gauge, or size; son shall: (D) The model; (1) Store, at the person’s expense, (E) The barrel length, if a firearm or such firearm, firearm barrel, or ammu- firearm barrel (in inches); nition at a facility designated by U.S (F) The overall length, if a firearm Customs or the Director of Industry (in inches); Operations to await the issuance of the (G) The serial number, if known; required authorization or other disposi- (H) Whether the firearm is new or tion; or used;

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(I) The quantity; (ii) If the Director disapproves the (J) The unit cost of the firearm, fire- application, the licensed importer will arm barrel, or ammunition to be im- be notified of the basis for the dis- ported; approval. (v) The specific purpose of importa- (c) A firearm, firearm barrel, or am- tion, including final recipient informa- munition imported or brought into the tion if different from the importer; United States or a possession thereof (vi) Verification that if a firearm, it under the provisions of this section by will be identified as required by this a licensed importer may be released part; and from Customs custody to the licensed (vii)(A) If a firearm or ammunition importer upon showing that the im- imported or brought in for scientific or porter has obtained a permit from the research purposes, a statement describ- Director for the importation of the firearm, firearm barrel, or ammunition ing such purpose; or to be released. The importer will also (B) If a firearm or ammunition for submit to Customs a copy of the export use in connection with competition or license authorizing the export of the training pursuant to Chapter 401 of firearm, firearm barrel, or ammunition Title 10, U.S.C., a statement describing from the exporting country. If the ex- such intended use; or porting country does not require (C) If an unserviceable firearm (other issuance of an export license, the im- than a machine gun) being imported as porter must submit a certification, a curio or museum piece, a description under penalty of perjury, to that effect. of how it was rendered unserviceable (1) In obtaining the release from Cus- and an explanation of why it is a curio toms custody of a firearm, firearm bar- or museum piece; or rel, or ammunition authorized by this (D) If a firearm other than a surplus section to be imported through the use military firearm, of a type that does of a permit, the licensed importer will not fall within the definition of a fire- prepare ATF Form 6A, in duplicate, arm under section 5845(a) of the Inter- and furnish the original ATF Form 6A nal Revenue Code of 1986, and is for to the Customs officer releasing the sporting purposes, an explanation of firearm, firearm barrel, or ammuni- why the firearm is generally recognized tion. The Customs officer will, after as particularly suitable for or readily certification, forward the ATF Form adaptable to sporting purposes; or 6A to the address specified on the form. (E) If ammunition being imported for (2) The ATF Form 6A must contain sporting purposes, a statement why the the information requested on the form, ammunition is particularly suitable for including: or readily adaptable to sporting pur- (i) The name, address, and license poses; or number of the importer; (F) If a firearm barrel for a handgun, (ii) The name of the manufacturer of an explanation why the handgun is the firearm, firearm barrel, or ammu- generally recognized as particularly nition; suitable for or readily adaptable to (iii) The country of manufacture; sporting purposes. (iv) The type; (2)(i) If the Director approves the ap- (v) The model; plication, such approved application (vi) The caliber, gauge, or size; will serve as the permit to import the (vii) The serial number in the case of firearm, firearm barrel, or ammunition firearms, if known; and described therein, and importation of (viii) The number of firearms, fire- such firearms, firearm barrels, or am- arm barrels, or rounds of ammunition munition may continue to be made by released. the licensed importer under the ap- (d) Within 15 days of the date of re- proved application (permit) during the lease from Customs custody, the li- period specified thereon. The Director censed importer must: will furnish the approved application (1) Forward to the address specified (permit) to the applicant and retain on the form a copy of ATF Form 6A on two copies thereof for administrative which must be reported any error or use. discrepancy appearing on the ATF

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Form 6A certified by Customs and se- (ii) The country from which the fire- rial numbers if not previously provided arm, firearm barrel, or ammunition is on ATF Form 6A; to be imported; (2) Pursuant to § 478.92, place all re- (iii) The name and address of the for- quired identification data on each im- eign seller and foreign shipper; ported firearm if same did not bear (iv) A description of the firearm, fire- such identification data at the time of arm barrel, or ammunition to be im- its release from Customs custody; and ported, including: (3) Post in the records required to be (A) The name and address of the maintained by the importer under sub- manufacturer; part H of this part all required infor- (B) The type (e.g., rifle, shotgun, pis- mation regarding the importation. tol, revolver and, in the case of ammu- (Paragraph (b) approved by the Office of nition only, ball, wadcutter, shot, etc.); Management and Budget under control num- (C) The caliber, gauge, or size; ber 1140–0005; paragraphs (c) and (d) approved (D) The model; by the Office of Management and Budget (E) The barrel length, if a firearm or under control number 1140–0007) firearm barrel (in inches); [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988, as (F) The overall length, if a firearm amended by T.D. ATF–426, 65 FR 38198, June (in inches); 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] (G) The serial number, if known; (H) Whether the firearm is new or § 478.113 Importation by other licens- used; ees. (I) The quantity; (a) No person other than a licensed (J) The unit cost of the firearm, fire- importer (as defined in § 478.11) shall arm barrel, or ammunition to be im- engage in the business of importing ported; firearms or ammunition. Therefore, no (v) The specific purpose of importa- firearm or ammunition shall be im- tion, including final recipient informa- ported or brought into the United tion if different from the applicant; States or a possession thereof by any and licensee other than a licensed importer (vi)(A) If a firearm or ammunition unless the Director issues a permit au- imported or brought in for scientific or thorizing the importation of the fire- research purposes, a statement describ- arm or ammunition. No barrel for a ing such purpose; or handgun not generally recognized as (B) If a firearm or ammunition for particularly suitable for or readily use in connection with competition or adaptable to sporting purposes shall be training pursuant to Chapter 401 of imported or brought into the United Title 10, U.S.C., a statement describing States or a possession thereof by any such intended use; or person. Therefore, no firearm barrel (C) If an unserviceable firearm (other shall be imported or brought into the than a machine gun) being imported as United States or possession thereof by a curio or museum piece, a description any licensee other than a licensed im- of how it was rendered unserviceable porter unless the Director issues a per- and an explanation of why it is a curio mit authorizing the importation of the or museum piece; or firearm barrel. (D) If a firearm other than a surplus (b)(1) An application for a permit, military firearm, of a type that does ATF Form 6—Part I, to import or bring not fall within the definition of a fire- a firearm, firearm barrel, or ammuni- arm under section 5845(a) of the Inter- tion into the United States or a posses- nal Revenue Code of 1986, and is for sion thereof by a licensee, other than a sporting purposes, an explanation of licensed importer, must be filed, in why the firearm is generally recognized triplicate, with the Director. The appli- as particularly suitable for or readily cation must be signed and dated and adaptable to sporting purposes; or must contain the information re- (E) If ammunition being imported for quested on the form, including: sporting purposes, a statement why the (i) The name, address, telephone ammunition is particularly suitable for number, and license number (including or readily adaptable to sporting pur- expiration date) of the applicant; poses; or

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

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(2)(i) If the Director approves the ap- § 478.114 Importation by members of plication, such approved application the U.S. Armed Forces. will serve as the permit to import the (a) The Director may issue a permit firearm barrel, and importation of such authorizing the importation of a fire- firearm barrels may continue to be arm or ammunition into the United made by the applicant under the ap- States to the place of residence of any proved application (permit) during the military member of the U.S. Armed period specified thereon. The Director Forces who is on active duty outside will furnish the approved application the United States, or who has been on (permit) to the applicant and retain active duty outside the United States two copies thereof for administrative within the 60-day period immediately use. preceding the intended importation: (ii) If the Director disapproves the Provided, That such firearm or ammu- application, the applicant will be noti- nition is generally recognized as par- fied of the basis for the disapproval. ticularly suitable for or readily adapt- (c) A firearm barrel imported or able to sporting purposes and is in- brought into the United States or a tended for the personal use of such possession thereof under the provisions member. of this section may be released from (1) An application for a permit, ATF Customs custody to the person import- Form 6—Part II, to import a firearm or ing the firearm barrel upon showing ammunition into the United States that the person has obtained a permit under this section must be filed, in from the Director for the importation triplicate, with the Director. The appli- of the firearm barrel to be released. cation must be signed and dated and (1) In obtaining the release from Cus- must contain the information re- toms custody of a firearm barrel au- quested on the form, including: thorized by this section to be imported (i) The name, current address, and through the use of a permit, the person telephone number of the applicant; importing the firearm barrel will pre- (ii) Certification that the transpor- pare ATF Form 6A, in duplicate, and tation, receipt, or possession of the furnish the original ATF Form 6A to firearm or ammunition to be imported the Customs officer releasing the fire- would not constitute a violation of any arm barrel. The Customs officer will, provision of the Act or of any State after certification, forward the ATF law or local ordinance at the place of Form 6A to the address specified on the the applicant’s residence; form. (iii) The country from which the fire- (2) The ATF Form 6A must contain arm or ammunition is to be imported; the information requested on the form, (iv) The name and address of the for- including: eign seller and foreign shipper; (i) The name and address of the per- (v) A description of the firearm or son importing the firearm barrel; ammunition to be imported, including: (ii) The name of the manufacturer of (A) The name and address of the the firearm barrel; manufacturer; (iii) The country of manufacture; (B) The type (e.g., rifle, shotgun, pis- (iv) The type; tol, revolver and, in the case of ammu- (v) The model; nition only, ball, wadcutter, shot, etc.); (vi) The caliber or gauge of the fire- (C) The caliber, gauge, or size; arm barrel so released; and (D) The model; (vii) The number of firearm barrels (E) The barrel length, if a firearm (in released. inches); (Paragraph (b) approved by the Office of (F) The overall length, if a firearm Management and Budget under control num- (in inches); ber 1140–0005; paragraph (c) approved by the (G) The serial number; Office of Management and Budget under con- (H) Whether the firearm is new or trol number 1140–0007) used; [T.D. ATF–270, 53 FR 10499, Mar. 31, 1988, as (I) The quantity; amended by T.D. ATF–426, 65 FR 38200, June (J) The unit cost of the firearm or 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] ammunition to imported;

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(vi) The specific purpose of importa- ammunition. The Customs officer will, tion, that is— after certification, forward the ATF (A) That the firearm or ammunition Form 6A to the address specified on the being imported is for the personal use form. of the applicant; and (2) The ATF Form 6A must contain (B) If a firearm, a statement that it the information requested on the form, is not a surplus military firearm, that including: it does not fall within the definition of (i) The name and address of the mili- a firearm under section 5845(a) of the tary member; Internal Revenue Code of 1986, and an (ii) The name of the manufacturer of explanation of why the firearm is gen- the firearm or ammunition; erally recognized as particularly suit- (iii) The country of manufacture; able for or readily adaptable to sport- (iv) The type; ing purposes; or (v) The model; (C) If ammunition, a statement why (vi) The caliber, gauge, or size; it is generally recognized as particu- (vii) The serial number in the case of larly suitable for or readily adaptable firearms; and to sporting purposes; and (viii) If applicable, the number of (vii) The applicant’s date of birth; firearms or rounds of ammunition re- (viii) The applicant’s rank or grade; leased. (ix) The applicant’s place of resi- (3) When such military member is on dence; active duty outside the United States, (x) The applicant’s present foreign the military member may appoint, in duty station or last foreign duty sta- writing, an agent to obtain the release tion, as the case may be; of the firearm or ammunition from (xi) The date of the applicant’s reas- Customs custody for such member. signment to a duty station within the Such agent will present sufficient iden- United States, if applicable; and tification of the agent and the written (xii) The military branch of which authorization to act on behalf of such the applicant is a member. military member to the Customs offi- (2)(i) If the Director approves the ap- cer who is to release the firearm or am- plication, such approved application munition. will serve as the permit to import the (c) Firearms determined by the De- firearm or ammunition described partment of Defense to be war sou- therein. The Director will furnish the venirs may be imported into the United approved application (permit) to the States by the military members of the applicant and retain two copies thereof U.S. Armed Forces under such provi- for administrative use. sions and procedures as the Depart- (ii) If the Director disapproves the ment of Defense may issue. application, the applicant will be noti- (Paragraph (a) approved by the Office of fied of the basis for the disapproval. Management and Budget under control num- (b) Except as provided in paragraph ber 1140–0006; paragraph (b) approved by the (b)(3) of this section, a firearm or am- Office of Management and Budget under con- munition imported into the United trol number 1140–0007) States under the provisions of this sec- [T.D. ATF–270, 53 FR 10500, Mar. 31, 1988, as tion by the applicant may be released amended by T.D. ATF–426, 65 FR 38200, June from Customs custody to the applicant 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] upon showing that the applicant has obtained a permit from the Director for § 478.115 Exempt importation. the importation of the firearm or am- (a) Firearms and ammunition may be munition to be released. brought into the United States or any (1) In obtaining the release from Cus- possession thereof by any person who toms custody of a firearm or ammuni- can establish to the satisfaction of Cus- tion authorized by this section to be toms that such firearm or ammunition imported through the use of a permit, was previously taken out of the United the military member of the U.S. Armed States or any possession thereof by Forces will prepare ATF Form 6A and such person. Registration on Customs furnish the completed form to the Cus- Form 4457 or on any other registration toms officer releasing the firearm or document available for this purpose

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may be completed before departure exclusive use while on official duty in from the United States at any U.S. cus- the United States, and such firearms tomhouse or any office of an Director and unexpended ammunition are taken of Industry Operations. A bill of sale or back out of the territorial limits of the other commercial document showing United States by such foreign military transfer of the firearm or ammunition personnel when they leave the United in the United States to such person States; also may be used to establish proof (3) Official representatives of foreign that the firearm or ammunition was governments who are accredited to the taken out of the United States by such U.S. Government or are en route to or person. Firearms and ammunition fur- from other countries to which accred- nished under the provisions of section ited, and such firearms and unexpended 925(a)(3) of the Act to military mem- ammunition are taken back out of the bers of the U.S. Armed Forces on ac- territorial limits of the United States tive duty outside of the United States by such official representatives of for- also may be imported into the United eign governments when they leave the States or any possession thereof by United States; such military members upon estab- (4) Officials of foreign governments lishing to the satisfaction of Customs and distinguished foreign visitors who that such firearms and ammunition have been so designated by the Depart- were so obtained. ment of State, and such firearms and (b) Firearms, firearm barrels, and unexpended ammunition are taken ammunition may be imported or back out of the territorial limits of the brought into the United States by or United States by such officials of for- for the United States or any depart- eign governments and distinguished ment or agency thereof, or any State foreign visitors when they leave the or any department, agency, or political United States; and subdivision thereof. A firearm, firearm (5) Foreign law enforcement officers barrel or ammunition imported or of friendly foreign governments enter- brought into the United States under ing the United States on official law this paragraph may be released from enforcement business, and such fire- Customs custody upon a showing that arms and unexpended ammunition are the firearm, firearm barrel or ammuni- taken back out of the territorial limits tion is being imported or brought into of the United States by such foreign the United States by or for such a gov- law enforcement officers when they ernmental entity. leave the United States. (c) The provisions of this subpart (e) Notwithstanding the provisions of shall not apply with respect to the im- paragraphs (d) (1), (2), (3), (4) and (5) of portation into the United States of any this section, the Secretary of the antique firearm. Treasury or his delegate may in the in- (d) Firearms and ammunition are not terest of public safety and necessity re- imported into the United States, and quire a permit for the importation or the provisions of this subpart shall not bringing into the United States of any apply, when such firearms and ammu- firearms or ammunition. nition are brought into the United [33 FR 18555, Dec. 14, 1968. Redesignated at 40 States by: FR 16835, Apr. 15, 1975, and amended by T.D. (1) A nonresident of the United ATF–58, 44 FR 32367, June 6, 1979; T.D. ATF– States for legitimate hunting or lawful 270, 53 FR 10500, Mar. 31, 1988; T.D. ATF–471, sporting purposes, and such firearms 67 FR 5426, Feb. 5, 2002] and such ammunition as remains following such shooting activity are to be § 478.116 Conditional importation. taken back out of the territorial limits The Director shall permit the condi- of the United States by such person tional importation or bringing into the upon conclusion of the shooting activ- United States or any possession thereof ity; of any firearm, firearm barrel, or am- (2) Foreign military personnel on of- munition for the purpose of examining ficial assignment to the United States and testing the firearm, firearm barrel, who bring such firearms or ammuni- or ammunition in connection with tion into the United States for their making a determination as to whether

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the importation or bringing in of such particularly suitable for or readily firearm, firearm barrel, or ammunition adaptable to sporting purposes. The will be authorized under this part. An importation of such curio or relic fire- application on ATF Form 6 for such arms must be in accordance with the conditional importation shall be filed, applicable importation provisions of in duplicate, with the Director. The Di- this part and the importation provi- rector may impose conditions upon any sions of 27 CFR part 447. Curios or rel- importation under this section includ- ics which fall within the definition of ing a requirement that the firearm, ‘‘firearm’’ under 26 U.S.C. 5845(a) must firearm barrel, or ammunition be also meet the importation provisions of shipped directly from Customs custody 27 CFR part 479 before they may be im- to the Director and that the person imported. porting or bringing in the firearm, firearm barrel, or ammunition must agree [T.D. ATF–202, 50 FR 14383, Apr. 12, 1985] to either export the firearm, firearm barrel, or ammunition or destroy same § 478.119 [Reserved] if a determination is made that the § 478.120 Firearms or ammunition im- firearm, firearm barrel, or ammunition ported by or for a nonimmigrant may not be imported or brought in alien. under this part. A firearm, firearm barrel, or ammunition imported or (a) General. A nonimmigrant alien brought into the United States or any temporarily importing or bringing fire- possession thereof under the provisions arms or ammunition into the United of this section shall be released from States for lawful hunting or sporting Customs custody upon the payment of purposes must first obtain an approved customs duties, if applicable, and in ATF Form 6NIA (5330.3D). the manner prescribed in the condi- (b) Aliens admitted to the United States tional authorization issued by the Di- under a nonimmigrant visa. (1) Any alien rector. lawfully admitted to the United States under a nonimmigrant visa who com- [T.D. ATF–383, 61 FR 39321, July 29, 1996, as amended by ATF 2014R–42, 84 FR 12094, Apr. pletes an ATF Form 6NIA to import 1, 2019] firearms or ammunition into the United States, or any licensee who § 478.117 Function outside a customs completes an ATF Form 6 to import territory. firearms or ammunition for such non- In the insular possessions of the immigrant alien, must attach applica- United States outside customs terri- ble documentation to the Form 6NIA tory, the functions performed by U.S. or Form 6 establishing the non- Customs officers under this subpart immigrant alien falls within an excep- within a customs territory may be per- tion specified in 18 U.S.C. 922(y)(2) (e.g., formed by the appropriate authorities a hunting license or permit lawfully of a territorial government or other of- issued in the United States) or has ob- ficers of the United States who have tained a waiver as specified in 18 U.S.C. been designated to perform such func- 922(y)(3). tions. For the purpose of this subpart, (2) Aliens admitted to the United the term customs territory means the States under a nonimmigrant visa im- United States, the District of Colum- porting or bringing firearms or ammu- bia, and the Commonwealth of Puerto nition into the United States must pro- Rico. vide the United States Customs and Border Protection with applicable doc- § 478.118 Importation of certain fire- umentation (e.g., a hunting license or arms classified as curios or relics. permit lawfully issued in the United Notwithstanding any other provision States) establishing the nonimmigrant of this part, a licensed importer may alien falls within an exception speci- import all rifles and shotguns classified in 18 U.S.C. 922(y)(2) or has ob- fied by the Director as curios or relics, tained a waiver as specified in 18 U.S.C. and all handguns classified by the Di- 922(y)(3) before the firearm or ammuni- rector as curios or relics that are de- tion may be imported. This provision termined to be generally recognized as applies in all cases, whether or not a

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Form 6 is needed to bring the firearms (d) For recordkeeping requirements or ammunition into the United States. for sales by licensees at gun shows see § 478.100(c). (Approved by the Office of Management and Budget under control number 1140–0060) (Information collection requirements in [ATF–24F, 77 FR 33629, June 7, 2012] paragraph (a) approved by the Office of Man- agement and Budget under control number 1140–0020; information collection require- Subpart H—Records ments in paragraphs (b) and (c) approved by the Office of Management and Budget under § 478.121 General. control number 1140–0032) (a) The records pertaining to fire- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 arms transactions prescribed by this FR 16835, Apr. 15, 1975, and amended by T.D. part shall be retained on the licensed ATF–191, 49 FR 46891, Nov. 29, 1984; T.D. premises in the manner prescribed by ATF–208, 50 FR 26703, June 28, 1985; T.D. this subpart and for the length of time ATF–270, 53 FR 10501, Mar. 31, 1988; ATF–11F, prescribed by § 478.129. The records per- 73 FR 57241, Oct. 2, 2008] taining to ammunition prescribed by § 478.122 Records maintained by im- this part shall be retained on the li- porters. censed premises in the manner prescribed by § 478.125. (a) Each licensed importer shall, (b) ATF officers may, for the pur- within 15 days of the date of importa- poses and under the conditions pre- tion or other acquisition, record the scribed in § 478.23, enter the premises of type, model, caliber or gauge, manufac- any licensed importer, licensed manu- turer, country of manufacture, and the facturer, licensed dealer, or licensed serial number of each firearm imported collector for the purpose of examining or otherwise acquired, and the date or inspecting any record or document such importation or other acquisition required by or obtained under this was made. part. Section 923(g) of the Act requires (b) A record of firearms disposed of licensed importers, licensed manufac- by a licensed importer to another li- turers, licensed dealers, and licensed censee and a separate record of armor collectors to make such records avail- piercing ammunition dispositions to able for such examination or inspection governmental entities, for exportation, during business hours or, in the case of or for testing or experimentation au- licensed collectors, hours of operation, thorized under the provisions of as provided in § 478.23. § 478.149 shall be maintained by the li- (c) Each licensed importer, licensed censed importer on the licensed prem- manufacturer, licensed dealer, and li- ises. For firearms, the record shall censed collector shall maintain such show the quantity, type, manufacturer, records of importation, production, country of manufacture, caliber or shipment, receipt, sale, or other dis- gauge, model, serial number of the fire- position, whether temporary or perma- arms so transferred, the name and li- nent, of firearms and such records of cense number of the licensee to whom the disposition of ammunition as the the firearms were transferred, and the regulations contained in this part pre- date of the transaction. For armor scribe. Section 922(m) of the Act makes piercing ammunition, the record shall it unlawful for any licensed importer, show the date of the transaction, man- licensed manufacturer, licensed dealer, ufacturer, caliber or gauge, quantity of or licensed collector knowingly to projectiles, and the name and address make any false entry in, to fail to of the purchaser. The information re- make appropriate entry in, or to fail to quired by this paragraph shall be en- properly maintain any such record. tered in the proper record book not later than the seventh day following the date of the transaction, and such information shall be recorded under the following formats:

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

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letter application, in duplicate, to the place of birth; height, weight and race Director of Industry Operations and of the transferee; the transferee’s coun- shall describe the proposed alternate try of citizenship; the transferee’s INS- record and the need therefor. Such al- issued alien number or admission num- ternate records shall not be employed ber; the transferee’s State of residence; by the licensed manufacturer until ap- and certification by the transferee that proval in such regard is received from the transferee is not prohibited by the the Director of Industry Operations. Act from transporting or shipping a (d) Each licensed manufacturer shall firearm in interstate or foreign com- maintain separate records of the sales merce or receiving a firearm which has or other dispositions made of firearms been shipped or transported in inter- to nonlicensees. Such records shall be state or foreign commerce or pos- maintained in the form and manner as sessing a firearm in or affecting com- prescribed by §§ 478.124 and 478.125 in re- merce. gard to firearms transaction records (2) In order to facilitate the transfer and records of acquisition and disposi- of a firearm and enable NICS to verify tion of firearms. the identity of the person acquiring the (Approved by the Office of Management and firearm, ATF Form 4473 also requests Budget under control number 1140–0067) certain optional information. This information includes the transferee’s so- [T.D. ATF–270, 53 FR 10501, Mar. 31, 1988, as amended by ATF–11F, 73 FR 57241, Oct. 2, cial security number. Such information 2008] may help avoid the possibility of the transferee being misidentified as a § 478.124 Firearms transaction record. felon or other prohibited person. (a) A licensed importer, licensed (3) After the transferee has executed manufacturer, or licensed dealer shall the Form 4473, the licensee: not sell or otherwise dispose, tempo- (i) Shall verify the identity of the rarily or permanently, of any firearm transferee by examining the identifica- to any person, other than another li- tion document (as defined in § 478.11) censee, unless the licensee records the presented, and shall note on the Form transaction on a firearms transaction 4473 the type of identification used; record, Form 4473: Provided, That a (ii) [Reserved] firearms transaction record, Form 4473, (iii) Must, in the case of a transferee shall not be required to record the dis- who is an alien admitted to the United position made of a firearm delivered to States under a nonimmigrant visa who a licensee for the sole purpose of repair states that he or she falls within an ex- or customizing when such firearm or a ception to, or has a waiver from, the replacement firearm is returned to the prohibition in section 922(g)(5)(B) of person from whom received. the Act, have the transferee present (b) A licensed manufacturer, licensed applicable documentation establishing importer, or licensed dealer shall re- the exception or waiver, note on the tain in alphabetical (by name of pur- Form 4473 the type of documentation chaser), chronological (by date of dis- provided, and attach a copy of the doc- position), or numerical (by transaction umentation to the Form 4473; and serial number) order, and as a part of (iv) Shall comply with the require- the required records, each Form 4473 ments of § 478.102 and record on the obtained in the course of transferring form the date on which the licensee custody of the firearms. contacted the NICS, as well as any re- (c)(1) Prior to making an over-the- sponse provided by the system, includ- counter transfer of a firearm to a non- ing any identification number provided licensee who is a resident of the State by the system. in which the licensee’s business prem- (4) The licensee shall identify the ises is located, the licensed importer, firearm to be transferred by listing on licensed manufacturer, or licensed the Form 4473 the name of the manu- dealer so transferring the firearm shall facturer, the name of the importer (if obtain a Form 4473 from the transferee any), the type, model, caliber or gauge, showing the transferee’s name, sex, and the serial number of the firearm. residence address (including county or (5) The licensee shall sign and date similar political subdivision), date and the form if the licensee does not know

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or have reasonable cause to believe arm which has been shipped or trans- that the transferee is disqualified by ported in interstate or foreign com- law from receiving the firearm and merce or possessing a firearm in or af- transfer the firearm described on the fecting commerce; and the transferee’s Form 4473. receipt of the firearm would not be in (d) Prior to making an over-the- violation of any statute of the State or counter transfer of a shotgun or rifle published ordinance applicable to the under the provisions contained in locality in which the transferee re- § 478.96(c) to a nonlicensee who is not a sides. Upon receipt of such Forms 4473, resident of the State in which the li- the licensee shall identify the firearm censee’s business premises is located, to be transferred by listing in the the licensee so transferring the shot- Forms 4473 the name of the manufac- gun or rifle, and such transferee, shall turer, the name of the importer (if comply with the requirements of para- any), the type, model, caliber or gauge, graph (c) of this section. and the serial number of the firearm to (e) Prior to making a transfer of a be transferred. The licensee shall prior firearm to any nonlicensee who is not a to shipment or delivery of the firearm resident of the State in which the li- to such transferee, forward by reg- censee’s business premises is located, istered or certified mail (return receipt and such nonlicensee is acquiring the requested) a copy of the Form 4473 to firearm by loan or rental from the li- the principal law enforcement officer censee for temporary use for lawful named in the Form 4473 by the trans- sporting purposes, the licensed im- feree, and shall delay shipment or de- porter, licensed manufacturer, or li- livery of the firearm to the transferee censed dealer so furnishing the firearm, for a period of at least 7 days following and such transferee, shall comply with receipt by the licensee of the return re- the provisions of paragraph (c) of this ceipt evidencing delivery of the copy of section. the Form 4473 to such principal law en- (f) Form 4473 shall be submitted, in forcement officer, or the return of the duplicate, to a licensed importer, li- copy of the Form 4473 to the licensee censed manufacturer, or licensed deal- due to the refusal of such principal law er by a transferee who is purchasing or enforcement officer to accept same in otherwise acquiring a firearm by other accordance with U.S. Postal Service than an over-the-counter transaction, regulations. The original Form 4473, who is not subject to the provisions of and evidence of receipt or rejection of § 478.102(a), and who is a resident of the delivery of the copy of the Form 4473 State in which the licensee’s business sent to the principal law enforcement premises are located. The Form 4473 officer, shall be retained by the li- shall show the name, address, date and censee as a part of the records required place of birth, height, weight, and race to be kept under this subpart. of the transferee; and the title, name, (g) A licensee who sells or otherwise and address of the principal law en- disposes of a firearm to a nonlicensee forcement officer of the locality to who is other than an individual, shall which the firearm will be delivered. obtain from the transferee the informa- The transferee also must date and exe- tion required by this section from an cute the sworn statement contained on individual authorized to act on behalf the form showing, in case the firearm of the transferee. In addition, the li- to be transferred is a firearm other censee shall obtain from the individual than a shotgun or rifle, the transferee acting on behalf of the transferee a is 21 years or more of age; in case the written statement, executed under the firearm to be transferred is a shotgun penalties of perjury, that the firearm is or rifle, the transferee is 18 years or being acquired for the use of and will more of age; whether the transferee is be the property of the transferee, and a citizen of the United States; the showing the name and address of that transferee’s State of residence; the transferee. transferee is not prohibited by the pro- (h) The requirements of this section visions of the Act from shipping or shall be in addition to any other rec- transporting a firearm in interstate or ordkeeping requirement contained in foreign commerce or receiving a fire- this part.

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(i) A licensee may obtain, upon resale or other disposition of armor quest, an emergency supply of Forms piercing ammunition by licensed col- 4473 from any Director of Industry Op- lectors shall be recorded in a bound erations. For normal usage, a licensee record at the time a transaction is should request a year’s supply from the made. The bound record shall be main- ATF Distribution Center (See § 478.21). tained in chronological order by date of (Paragraph (c) approved by the Office of sale or disposition of the armor pierc- Management and Budget under control num- ing ammunition, and shall be retained bers 1140–0045, 1140–0020, and 1140–0060; para- on the licensed premises of the licensee graph (f) approved by the Office of Manage- for a period not less than two years fol- ment and Budget under control number 1140– 0021; all other recordkeeping approved by the lowing the date of the recorded sale or Office of Management and Budget under con- disposition of the armor piercing am- trol number 1140–0020) munition. The bound record entry shall [33 FR 18555, Dec. 14, 1968, as amended by show: T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; T.D. (1) The date of the transaction; ATF–241, 51 FR 39625, Oct. 29, 1986; T.D. ATF– (2) The name of the manufacturer; 270, 53 FR 10502, Mar. 31, 1988; T.D. ATF–389, (3) The caliber or gauge; 62 FR 19444, Apr. 21, 1997; T.D. ATF–415, 63 FR 58279, Oct. 29, 1998; T.D. ATF–471, 67 FR 5426, (4) The quantity of projectiles; Feb. 5, 2002; ATF–11F, 73 FR 57241, Oct. 2, (5) The name, address, and date of 2008; ATF–24F and 22I, 77 FR 33630, 33634, birth of the nonlicensee; and June 7, 2012] (6) The method used to establish the identity of the armor piercing ammu- § 478.125 Record of receipt and disposition. nition purchaser. The format required for the bound (a) Armor piercing ammunition sales by 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 you. Other- Caliber or Quantity of wise, establish the purchaser’s identifica- Date Manufacturer gauge projectiles Name and Date of tion address birth Driver’s li- Other type Known cense (specify)

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

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years following the date of the re- the close of the next business day fol- corded sale or disposition of the armor lowing the date of such purchase or ac- piercing ammunition. quisition. The record shall show the (d) Commercial records of armor pierc- date of receipt, the name and address ing ammunition transactions. When a or the name and license number of the commercial record is made at the time person from whom received, the name of sale or other disposition of armor of the manufacturer and importer (if piercing ammunition, and such record any), the model, serial number, type, contains all information required by and the caliber or gauge of the firearm. the bound record prescribed by para- The sale or other disposition of a fire- graph (a) of this section, the licensed arm shall be recorded by the licensed collector transferring the armor pierc- dealer not later than 7 days following ing ammunition may, for a period not the date of such transaction. When exceeding 7 days following the date of such disposition is made to a non- such transfer, delay making the re- licensee, the firearms transaction quired entry into such bound record: record, Form 4473, obtained by the li- Provided, That the commercial record censed dealer shall be retained, until pertaining to the transfer is: (1) Maintained by the licensed col- the transaction is recorded, separate lector separate from other commercial from the licensee’s Form 4473 file and documents maintained by such li- be readily available for inspection. censee, and When such disposition is made to a li- (2) Is readily available for inspection censee, the commercial record of the on the licensed premises until such transaction shall be retained, until the time as the required entry into the transaction is recorded, separate from bound record is made. other commercial documents main- (e) Firearms receipt and disposition by tained by the licensed dealer, and be dealers. Each licensed dealer shall enter readily available for inspection. The into a record each receipt and disposi- record shall show the date of the sale tion of firearms. In addition, before or other disposition of each firearm, commencing or continuing a firearms the name and address of the person to business, each licensed dealer shall in- whom the firearm is transferred, or the ventory the firearms possessed for such name and license number of the person business and shall record same in the to whom transferred if such person is a record required by this paragraph. The licensee, or the firearms transaction record required by this paragraph shall record, Form 4473, serial number if the be maintained in bound form under the licensed dealer transferring the firearm format prescribed below. The purchase serially numbers the Forms 4473 and or other acquisition of a firearm shall, files them numerically. The format re- except as provided in paragraph (g) of quired for the record of receipt and dis- this section, be recorded not later than position of 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 importer Model Serial No. Type Caliber or Date address or Date Name Form 4473 Serial (if any) 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. (1) 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- disposition of each firearm curio or ber of the person from whom received, relic, the name and address of the per- the name of the manufacturer and im- son to whom the firearm curio or relic porter (if any), the model, serial num- is transferred, or the name and license ber, type, and the caliber or gauge of number of the person to whom trans- the firearm curio or relic. The sale or ferred if such person is a licensee, and other disposition of a curio or relic the date of birth of the transferee if shall be recorded by the licensed col- other than a licensee. In addition, the lector not later than 7 days following licensee shall cause the transferee, if the date of such transaction. When other than a licensee, to be identified such disposition is made to a licensee, in any manner customarily used in the commercial record of the transaction shall be retained, until the commercial transactions (e.g., a driv- transaction is recorded, separate from er’s license), and note on the record the other commercial documents main- method used. tained by the licensee, and be readily (2) The format required for the record available for inspection. The record of receipt and disposition of firearms shall show the date of the sale or other by collectors is as follows:

FIREARMS COLLECTORS ACQUISITION AND DISPOSITION RECORD

Description of firearm Receipt Disposition Driver’s li- Manufac- Name and Name and cense No. turer and Serial Caliber address or address or Date of birth or other importer Model No. Type or Date name and li- Date name and li- if non-li- identification (if any) gauge cense No. cense No. censee if non-licensee

(g) Commercial records of firearms regarding the firearm or firearm curio or ceived. When a commercial record is relic in the bound record at the time held by a licensed dealer or licensed such transfer or disposition is made. collector showing the acquisition of a (h) Alternate records. Notwithstanding firearm or firearm curio or relic, and the provisions of paragraphs (a), (e), such record contains all acquisition in- and (f) of this section, the Director of formation required by the bound record Industry Operations may authorize al- prescribed by paragraphs (e) and (f) of ternate records to be maintained by a this section, the licensed dealer or li- licensed dealer or licensed collector to censed collector acquiring such firearm record the acquisition and disposition or curio or relic, may, for a period not of firearms or curios or relics and the exceeding 7 days following the date of disposition of armor piercing ammuni- such acquisition, delay making the re- tion when it is shown by the licensed quired entry into such bound record: dealer or the licensed collector that Provided, That the commercial record such alternate records will accurately is, until such time as the required and readily disclose the required infor- entry into the bound record is made, (1) mation. A licensed dealer or licensed maintained by the licensed dealer or li- collector who proposes to use alternate censed collector separate from other records shall submit a letter applica- commercial documents maintained by tion, in duplicate, to the Director of In- such licensee, and (2) readily available dustry Operations and shall describe for inspection on the licensed premises: the proposed alternate records and the Provided further, That when disposition need therefor. Such alternate records is made of a firearm or firearm curio or shall not be employed by the licensed relic not entered in the bound record dealer or licensed collector until ap- under the provisions of this paragraph, proval in such regard is received from the licensed dealer or licensed collector the Director of Industry Operations. making such disposition shall enter all (i) Requirements for importers and man- required acquisition information re- ufacturers. Each licensed importer and

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licensed manufacturer selling or other- otherwise acquired as a personal fire- wise disposing of firearms or armor arm, piercing ammunition to nonlicensees (2) The licensee recorded in the bound shall maintain such records of such record prescribed by § 478.125(e) the re- transactions as are required of licensed ceipt of the firearm into the business dealers by this section. inventory or other acquisition, (3) The licensee recorded the firearm (Approved by the Office of Management and as a disposition in the bound record Budget under control number 1140–0032) prescribed by § 478.125(e) when the fire- [T.D. ATF–270, 53 FR 10503, Mar. 31, 1988, as arm was transferred from the business amended by T.D. ATF–273, 53 FR 24687, June inventory into the personal firearms 30, 1988; T.D. ATF–313, 56 FR 32508, July 17, collection or otherwise acquired as a 1991; T.D. ATF–389, 62 FR 19445, Apr. 21, 1997; personal firearm, and ATF–11F, 73 FR 57241, Oct. 2, 2008; ATF–22I, (4) The licensee enters the sale or 77 FR 33634, June 7, 2012; ATF–19 F, 79 FR other disposition of the firearm from 45092, Aug. 4, 2014; ATF 2015R–26, 81 FR 38071, the personal firearms collection into a June 13, 2016] bound record, under the format pre- § 478.125a Personal firearms collec- scribed below, identifying the firearm tion. transferred by recording the name of the manufacturer and importer (if (a) Notwithstanding any other provi- any), the model, serial number, type, sion of this subpart, a licensed manu- and the caliber or gauge, and showing facturer, licensed importer, or licensed the date of the sale or other disposi- dealer is not required to comply with tion, the name and address of the the provisions of § 478.102 or record on a transferee, or the name and business firearms transaction record, Form 4473, address of the transferee if such person the sale or other disposition of a fire- is a licensee, and the date of birth of arm maintained as part of the licens- the transferee if other than a licensee. ee’s personal firearms collection: Pro- In addition, the licensee shall cause the vided, That transferee, if other than a licensee, to (1) The licensee has maintained the be identified in any manner custom- firearm as part of such collection for 1 arily used in commercial transactions year from the date the firearm was (e.g., a drivers license). The format re- transferred from the business inven- quired for the disposition record of per- tory into the personal collection or sonal firearms is as follows:

DISPOSITION RECORD OF PERSONAL FIREARMS

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

(b) Any licensed manufacturer, li- licensed manufacturers, licensed im- censed importer, or licensed dealer porters, and licensed dealers. 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 [T.D. ATF–270, 53 FR 10504, Mar. 31, 1988, as by the Act and this part on the disposi- amended by T.D. ATF–313, 56 FR 32509, July 17, 1991; T.D. ATF–415, 63 FR 58280, Oct. 29, tions of firearms by persons other than 1998; ATF–11F, 73 FR 57242, Oct. 2, 2008; ATF 2015R–26, 81 FR 38071, June 13, 2016]

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§ 478.126 Furnishing transaction infor- Multiple Sale or Other Disposition of mation. Pistols and Revolvers. Not later than (a) Each licensee shall, when required the close of business on the day that by letter issued by the Director of In- the multiple sale or other disposition dustry Operations, and until notified to occurs, the licensee shall forward two the contrary in writing by such officer, copies of Form 3310.4 to the ATF office submit on Form 5300.5, Report of Fire- specified thereon and one copy to the arms Transactions, for the periods and State police or to the local law en- at the times specified in the letter forcement agency in which the sale or issued by the Director of Industry Op- other disposition took place. Where the erations, all record information re- State or local law enforcement officials quired by this subpart, or such lesser have notified the licensee that a par- record information as the Director of ticular official has been designated to Industry Operations in his letter may receive Forms 3310.4, the licensee shall specify. forward such forms to that designated (b) The Director of Industry Oper- official. The licensee shall retain one ations may authorize the information copy of Form 3310.4 and attach it to the to be submitted in a manner other than firearms transaction record, Form 4473, that prescribed in paragraph (a) of this executed upon delivery of the pistols or section when it is shown by a licensee revolvers. that an alternate method of reporting Example. 1. A licensee sells a pistol and re- is reasonably necessary and will not volver in a single transaction to an unli- unduly hinder the effective administra- censed person. This is a multiple sale and tion of this part. A licensee who pro- must be reported not later than the close of poses to use an alternate method of re- business on the date of the transaction. porting shall submit a letter applica- Example. 2. A licensee sells a pistol on Mon- tion, in duplicate, to the Director of In- day and sells a revolver on the following Fri- dustry Operations and shall describe day to the same unlicensed person. This is a multiple sale and must be reported not later the proposed alternate method of re- than the close of business on Friday. If the porting and the need therefor. An al- licensee sells the same unlicensed person an- ternate method of reporting shall not other pistol or revolver on the following be employed by the licensee until ap- Monday, this would constitute an additional proval in such regard is received from multiple sale and must also be reported. the Director of Industry Operations. Example 3. A licensee maintaining business hours on Monday through Saturday sells a (Approved by the Office of Management and revolver to an unlicensed person on Monday Budget under control number 1140–0032) and sells another revolver to the same per- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 son on the following Saturday. This does not FR 16835, Apr. 15, 1975, and amended by T.D. constitute a multiple sale and need not be ATF–172, 49 FR 14942, Apr. 16, 1984; ATF–11F, reported since the sales did not occur during 73 FR 57242, Oct. 2, 2008; ATF 2013R–9F, 79 FR five consecutive business days. 46692, Aug. 11, 2014] (Approved by the Office of Management and Budget under control number 1140–0003) § 478.126a Reporting multiple sales or other disposition of pistols and re- [T.D. ATF–16, 40 FR 19202, May 2, 1975, as volvers. amended by T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; T.D. ATF–270, 53 FR 10505, Mar. 31, Each licensee shall prepare a report 1988; T.D. ATF–354, 59 FR 7113, Feb. 14, 1994; of multiple sales or other disposition T.D. ATF–361, 60 FR 10787, Feb. 27, 1995; ATF– whenever the licensee sells or other- 11F, 73 FR 57242, Oct. 2, 2008] wise disposes of, at one time or during any five consecutive business days, two § 478.127 Discontinuance of business. or more pistols, or revolvers, or any Where a licensed business is discon- combination of pistols and revolvers tinued and succeeded by a new licensee, totaling two or more, to an unlicensed the records prescribed by this subpart person: Provided, That a report need shall appropriately reflect such facts not be made where pistols or revolvers, and shall be delivered to the successor. or any combination thereof, are re- Where discontinuance of the business is turned to the same person from whom absolute, the records shall be delivered they were received. The report shall be within 30 days following the business prepared on Form 3310.4, Report of discontinuance to the ATF Out-of-

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Business Records Center, 244 Needy § 478.129 Record retention. Road, Martinsburg, West Virginia (a) Records prior to Act. Licensed im- 25405, or to any ATF office in the divi- porters and licensed manufacturers sion in which the business was located: may dispose of records of sale or other Provided, however, Where State law or disposition of firearms prior to Decem- local ordinance requires the delivery of ber 16, 1968. Licensed dealers and li- records to other responsible authority, censed collectors may dispose of all the Chief, Federal Firearms Licensing records of firearms transactions that Center may arrange for the delivery of occurred prior to December 16, 1968. the records required by this subpart to (b) Firearms transaction record. Licens- such authority: Provided further, That ees shall retain each Form 4473 and where a licensed business is discon- Form 4473(LV) for a period of not less tinued and succeeded by a new licensee, than 20 years after the date of sale or the records may be delivered within 30 disposition. Where a licensee has initi- days following the business discontinu- ated a NICS check for a proposed fire- ance to the ATF Out-of-Business arms transaction, but the sale, delivery, or transfer of the firearm is not Records Center or to any ATF office in made, the licensee shall record any the division in which the business was transaction number on the Form 4473, located. and retain the Form 4473 for a period of [T.D. ATF–290, 54 FR 53055, Dec. 27, 1989, as not less than 5 years after the date of amended by T.D. ATF–363, 60 FR 17455, Apr. the NICS inquiry. Forms 4473 shall be 6, 1995; ATF–11F, 73 FR 57242, Oct. 2, 2008] retained in the licensee’s records as provided in § 478.124(b): Provided, That § 478.128 False statement or represen- Forms 4473 with respect to which a tation. sale, delivery or transfer did not take (a) Any person who knowingly makes place shall be separately retained in al- any false statement or representation phabetical (by name of transferee) or in applying for any license or exemp- chronological (by date of transferee’s certification) order. tion or relief from disability, under the (c) Statement of intent to obtain a provisions of the Act, shall be fined not handgun, reports of multiple sales or more than $5,000 or imprisoned not other disposition of pistols and revolvers, more than 5 years, or both. and reports of theft or loss of firearms. Li- (b) Any person other than a licensed censees shall retain each Form 5300.35 manufacturer, licensed importer, li- (Statement of Intent to Obtain a Hand- censed dealer, or licensed collector who gun(s)) for a period of not less than 5 knowingly makes any false statement years after notice of the intent to ob- or representation with respect to any tain the handgun was forwarded to the information required by the provisions chief law enforcement officer, as de- of the Act or this part to be kept in the fined in § 478.150(c). Licensees shall re- records of a person licensed under the tain each copy of Form 3310.4 (Report Act or this part shall be fined not more of Multiple Sale or Other Disposition than $5,000 or imprisoned not more of Pistols and Revolvers) for a period of than 5 years, or both. not less than 5 years after the date of (c) Any licensed manufacturer, li- sale or other disposition. Licensees censed importer, licensed dealer, or li- shall retain each copy of Form 3310.11 censed collector who knowingly makes (Federal Firearms Licensee Theft/Loss any false statement or representation Report) for a period of not less than 5 years after the date the theft or loss with respect to any information re- was reported to ATF. quired by the provisions of the Act or (d) Records of importation and manu- this part to be kept in the records of a facture. Licensees will maintain perma- person licensed under the Act or this nent records of the importation, manu- part shall be fined not more than $1,000 facture, or other acquisition of fire- or imprisoned not more than 1 year, or arms, including ATF Forms 6 and 6A as both. required by subpart G of this part. Li- [T.D. ATF–270, 53 FR 10505, Mar. 31, 1988] censed importers’ records and licensed manufacturers’ records of the sale or

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other disposition of firearms after De- number, the date of issuance, and the cember 15, 1968, shall be retained expiration date (if provided) from the through December 15, 1988, after which permit or license. records of transactions over 20 years of (3) If the transfer is pursuant to a age may be discarded. certification by ATF in accordance (e) Records of dealers and collectors with §§ 478.102(d)(3) and 478.150, the li- under the Act. The records prepared by censee shall maintain the certification licensed dealers and licensed collectors as part of the records required to be under the Act of the sale or other dis- kept under this subpart and for the pe- position of firearms and the cor- riod prescribed for the retention of responding record of receipt of such Form 5300.35 in § 478.129(c). firearms shall be retained through De- (b) The requirements of this section cember 15, 1988, after which records of shall be in addition to any other rec- transactions over 20 years of age may ordkeeping requirements contained in be discarded. this part. (f) Retention of records of transactions in semiautomatic assault weapons. The (Approved by the Office of Management and Budget under control number 1140–0045) documentation required by §§ 478.40(c) and 478.132 shall be retained in the li- [T.D. ATF–415, 63 FR 58280, Oct. 29, 1998, as censee’s permanent records for a period amended by ATF–11F, 73 FR 57242, Oct. 2, of not less than 5 years after the date 2008] of sale or other disposition. § 478.132 [Reserved] (Paragraph (b) approved by the Office of Management and Budget under control num- § 478.133 Records of transactions in ber 1512–0544; Paragraph (c) approved by the semiautomatic assault weapons. Office of Management and Budget under con- The evidence specified in § 478.40(c), trol numbers 1512–0520, 1512–0006, and 1512– relating to transactions in semiauto- 0524; Paragraph (f) approved by the Office of Management and Budget under control num- matic assault weapons, shall be re- ber 1512–0526; all other recordkeeping ap- tained in the permanent records of the proved by the Office of Management and manufacturer or dealer and in the Budget under control number 1512–0129) records of the licensee to whom the [T.D. ATF–208, 50 FR 26704, June 28, 1985 and weapons are transferred. correctly designated at 50 FR 35081, Aug. 29, (Approved by the Office of Management and 1985, as amended by T.D. ATF–273, 53 FR Budget under control number 1140–0041) 24687, June 30, 1988; T.D. ATF–361, 60 FR 10787, Feb. 27, 1995; T.D. ATF–363, 60 FR 17455, [T.D. ATF–363, 60 FR 17455, Apr. 6, 1995, as Apr. 6, 1995; T.D. ATF–415, 63 FR 58280, Oct. amended by ATF–11F, 73 FR 57242, Oct. 2, 29, 1998; T.D. ATF–426, 65 FR 38201, June 20, 2008] 2000] § 478.134 Sale of firearms to law en- § 478.131 Firearms transactions not forcement officers. subject to a NICS check. (a) Law enforcement officers pur- (a)(1) A licensed importer, licensed chasing firearms for official use who manufacturer, or licensed dealer whose provide the licensee with a certifi- sale, delivery, or transfer of a firearm cation on agency letterhead, signed by is made pursuant to the alternative a person in authority within the agen- provisions of § 478.102(d) and is not sub- cy (other than the officer purchasing ject to the NICS check prescribed by the firearm), stating that the officer § 478.102(a) shall maintain the records will use the firearm in official duties required by paragraph (a) of this sec- and that a records check reveals that tion. the purchasing officer has no convic- (2) If the transfer is pursuant to a tions for misdemeanor crimes of do- permit or license in accordance with mestic violence are not required to § 478.102(d)(1), the licensee shall either complete Form 4473 or Form 5300.35. retain a copy of the purchaser’s permit The law enforcement officer pur- or license and attach it to the firearms chasing the firearm may purchase a transaction record, Form 4473, or firearm from a licensee in another record on the firearms transaction State, regardless of where the officer record, Form 4473, any identifying resides or where the agency is located.

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(b)(1) The following individuals are ceived such firearm or ammunition considered to have sufficient authority from the Secretary of the Army, to en- to certify that law enforcement offi- gage in military training or in com- cers purchasing firearms will use the petitions. firearms in the performance of official (c) The shipment, unless otherwise duties: prohibited by the Act or any other Fed- (i) In a city or county police depart- eral law, by a licensed importer, li- ment, the director of public safety or censed manufacturer, or licensed deal- the chief or commissioner of police. er to a member of the U.S. Armed (ii) In a sheriff’s office, the sheriff. Forces on active duty outside the (iii) In a State police or highway pa- United States or to clubs, recognized trol department, the superintendent or by the Department of Defense, whose the supervisor in charge of the office to entire membership is composed of such which the State officer or employee is members of the U.S. Armed Forces, and assigned. such members or clubs may receive a (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

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other proceeding rendering a convic- (c) Any record or document of a court tion nugatory, or a restoration of civil or other government entity or official rights shall remove any disability required by this paragraph to be fur- which otherwise would be imposed by nished by an applicant in support of an the provisions of this part with respect application for relief shall be certified to the conviction, unless: by the court or other government enti- (1) The pardon, expunction, setting ty or official as a true copy. An appli- aside, or other proceeding rendering a cation shall include: conviction nugatory, or restoration of (1) In the case of an applicant who is civil rights expressly provides that the an individual, a written statement person may not ship, transport, possess from each of 3 references, who are not or receive firearms; or related to the applicant by blood or (2) The pardon, expunction, setting marriage and have known the appli- aside, or other proceeding rendering a cant for at least 3 years, recommending conviction nugatory, or restoration of the granting of relief; 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 that sought to have the applicant so § 478.144 Relief from disabilities under adjudicated or committed, any medical the Act. records reflecting the reasons for com- (a) Any person may make application mitment and diagnoses of the appli- for relief from the disabilities under cant, and any court order or finding of section 922 (g) and (n) of the Act (see a court, board, commission, or other § 478.32). lawful authority showing the appli- (b) An application for such relief cant’s discharge from commitment, shall be filed, in triplicate, with the Di- restoration of mental competency and rector. It shall include the information the restoration of rights; required by this section and such other (6) In the case of an applicant who supporting data as the Director and the has been discharged from the Armed applicant deem appropriate. Forces under dishonorable conditions,

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a copy of the applicant’s summary of (f) Upon receipt of an incomplete or service record (Department of Defense improperly executed application for re- Form 214), charge sheet (Department of lief, the applicant shall be notified of Defense Form 458), and final court mar- the deficiency in the application. If the tial order; application is not corrected and re- (7) In the case of an applicant who, turned within 30 days following the having been a citizen of the United date of notification, the application States, has renounced his or her citi- shall be considered as having been zenship, a copy of the formal renunci- abandoned. ation of nationality before a diplo- (g) Whenever the Director grants re- matic or consular officer of the United lief to any person pursuant to this sec- States in a foreign state or before an tion, a notice of such action shall be officer designated by the Attorney promptly published in the FEDERAL General when the United States was in REGISTER, together with the reasons a state of war (see 8 U.S.C. 1481(a) (5) therefor. and (6)); and (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 of the application. A licensee who does granted to an applicant who is prohibited 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

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must be filed in order to continue li- who, pursuant to the provisions of sec- censed operations. Such license appli- tion 1715 of title 18, U.S.C., is eligible cation shall show that the applicant is to receive through the mails pistols, subject to Federal firearms disabilities, revolvers, and other firearms capable shall describe the event giving rise to of being concealed on the person, for such disabilities, and shall state when use in connection with his official du- the disabilities were incurred. ties. (3) A licensee shall not continue licensed operations beyond 30 days fol- § 478.147 Return of firearm. lowing the date the Director issues notification that the licensee’s applica- A person not otherwise prohibited by tions for removal of disabilities has Federal, State or local law may ship a been denied. firearm to a licensed importer, licensed (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 amended by T.D. ATF–313, 56 FR 32509, July quirements of a Form 4473 prior to re- 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, The provisions of § 478.98 with respect and, notwithstanding any other provi- to the sale or delivery of destructive sion of this part, the licensed collector devices, machine guns, short-barreled may return in interstate or foreign shotguns, and short-barreled rifles commerce to that person the firearm shall not apply to the sale or delivery curio or relic. of such devices and weapons to any research organization designated by the [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] Director to receive same. A research organization desiring such designation § 478.148 Armor piercing ammunition intended for sporting or industrial shall submit a letter application, in du- purposes. plicate, to the Director. Such application shall contain the name and ad- The Director may exempt certain dress of the research organization, the armor piercing ammunition from the names and addresses of the persons di- requirements of this part. A person recting or controlling, directly or indi- who desires to obtain an exemption rectly, the policies and management of under this section for any such ammu- such organization, the nature and pur- nition which is primarily intended for pose of the research being conducted, a sporting purposes or intended for in- description of the devices and weapons dustrial purposes, including charges to be received, and the identity of the used in oil and gas well perforating de- person or persons from whom such devices, shall submit a written request to vices and weapons are to be received. the Director. Each request shall be exe- [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] cuted under the penalties of perjury and contain a complete and accurate § 478.146 Deliveries by mail to certain description of the ammunition, the persons. name and address of the manufacturer The provisions of this part shall not or importer, the purpose of and use for be construed as prohibiting a licensed which it is designed and intended, and importer, licensed manufacturer, or li- any photographs, diagrams, or draw- censed dealer from depositing a firearm ings as may be necessary to enable the for conveyance in the mails to any offi- Director to make a determination. The cer, employee, agent, or watchman Director may require that a sample of

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the ammunition be submitted for ex- (b) A licensee who desires to obtain a amination and evaluation. certification under this section shall [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] submit a written request to the Direc- tor. Each request shall be executed § 478.149 Armor piercing ammunition under the penalties of perjury and con- manufactured or imported for the tain information sufficient for the Di- purpose of testing or experimen- rector to make such certification. Such tation. information shall include statistical The provisions of §§ 478.37 and data, official reports, or other state- 478.99(d) with respect to the manufac- ments of government agencies per- ture or importation of armor piercing taining to the ratio of law enforcement ammunition and the sale or delivery of officers to the number of square miles armor piercing ammunition by manu- of land area of a State and statements facturers and importers shall not apply of government agencies and private to the manufacture, importation, sale or delivery of armor piercing ammuni- utility companies regarding the ab- tion for the purpose of testing or ex- sence of telecommunications facilities perimentation as authorized by the Di- in the geographical area in which the rector. A person desiring such author- licensee’s business premises are lo- ization to receive armor piercing am- cated. munition shall submit a letter applica- (c) For purposes of this section and tion, in duplicate, to the Director. § 478.129(c), the ‘‘chief law enforcement Such application shall contain the officer’’ means the chief of police, the name and addresses of the persons di- sheriff, or an equivalent officer or the recting or controlling, directly or indi- designee of any such individual. rectly, the policies and management of the applicant, the nature or purpose of (Approved by the Office of Management and the testing or experimentation, a de- Budget under control number 1140–0045) scription of the armor piercing ammu- [T.D. ATF–415, 63 FR 58280, Oct. 29, 1998, as nition to be received, and the identity amended by ATF–11F, 73 FR 57242, Oct. 2, of the manufacturer or importer from 2008] whom such ammunition is to be received. The approved application shall § 478.151 Semiautomatic rifles or shot- be submitted to the manufacturer or guns for testing or experimentation. 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 [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] of testing or experimentation as authorized 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 which the transfer is to occur to the sembled, and such diagrams or draw- number of square miles of land area of ings as may be necessary to enable the the State does not exceed 0.0025; Director to make a determination. The (2) The business premises of the li- Director may require the submission of censee at which the transfer is to occur the firearm parts for examination and are extremely remote in relation to the evaluation. If the submission of the chief law enforcement officer; and firearm parts is impractical, the person (3) There is an absence of tele- requesting the authorization shall so communications facilities in the geo- advise the Director and designate the graphical area in which the business place where the firearm parts will be premises are located.

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available for examination and evalua- intended to be used in any offense re- tion. ferred to in paragraph (c) of this section, where such intent is dem- (Paragraph (b) approved by the Office of Management and Budget under control num- onstrated by clear and convincing evi- ber 1140–0037) dence, shall be subject to seizure, forfeiture and disposition. [T.D. ATF–346, 58 FR 40590, July 29, 1993, as (c) The offenses referred to in para- amended by ATF–11F, 73 FR 57242, Oct. 2, 2008] graphs (a) and (b) of this section for which firearms and ammunition in- § 478.152 Seizure and forfeiture. tended to be used in such offenses are (a) Any firearm or ammunition in- subject to seizure and forfeiture are: volved in or used in any knowing viola- (1) Any crime of violence, as that tion of subsections (a)(4), (a)(6), (f), (g), term is defined in section 924(c)(3) of (h), (i), (j), or (k) of section 922 of the the Act; 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 the return of the firearms or ammuni- § 478.153 [Reserved] tion would place the owner or possessor or the delegate of the owner or pos- Subpart J [Reserved] sessor in violation of law. Any action or proceeding for the forfeiture of fire- Subpart K—Exportation arms or ammunition shall be commenced within 120 days of such seizure. § 478.171 Exportation. (b) Only those firearms or quantities Firearms and ammunition shall be of ammunition particularly named and exported in accordance with the appli- individually identified as involved in or cable provisions of section 38 of the used in any violation of the provisions Arms Export Control Act (22 U.S.C. of the Act or this part, or any other 2778) and regulations thereunder. How- criminal law of the United States or as ever, licensed manufacturers, licensed

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importers, and licensed dealers export- CHANGE OF OWNERSHIP ing firearms shall maintain records 479.42 Changes through death of owner. showing the manufacture or acquisi- 479.43 Changes through bankruptcy of tion of the firearms as required by this owner. part and records showing the name and 479.44 Change in partnership or unincor- address of the foreign consignee of the porated association. firearms and the date the firearms 479.45 Changes in corporation. were exported. Licensed manufacturers CHANGE OF BUSINESS LOCATION and licensed importers exporting armor 479.46 Notice by taxpayer. piercing ammunition shall maintain records showing the name and address CHANGE OF TRADE NAME of the foreign consignee and the date 479.47 Notice by taxpayer. the armor piercing ammunition was exported. PENALTIES AND INTEREST [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988; T.D. 479.48 Failure to pay special (occupational) ATF–363, 60 FR 17456, Apr. 6, 1995; ATF 2014R– tax. 42, 84 FR 12094, Apr. 1, 2019; ATF 2019R–03, 84 479.49 Failure to register change or re- FR 60334, Nov. 8, 2019] moval. 479.50 Delinquency. 479.51 Fraudulent return. PART 479—MACHINE GUNS, DE- 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 479.61 Rate of tax. Sec. 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. 479.68 Qualified manufacturer. 479.23 Restrictive use of required informa- 479.69 Making a firearm for the United tion. States. 479.24 Destructive device determination. 479.70 Certain government entities. 479.25 Collector’s items. 479.26 Alternate methods or procedures; REGISTRATION emergency variations from require- 479.71 Proof of registration. ments.

Subpart D—Special (Occupational) Taxes Subpart F—Transfer Tax 479.81 Scope of tax. 479.31 Liability for tax. 479.82 Rate of tax. 479.32 Special (occupational) tax rates. 479.83 Transfer tax in addition to import 479.32a Reduced rate of tax for small im- duty. porters and manufacturers. 479.33 Special exemption. APPLICATION AND ORDER FOR TRANSFER OF 479.34 Special tax registration and return. FIREARM 479.35 Employer identification number. 479.36 The special tax stamp, receipt for 479.84 Application to transfer. special (occupational) taxes. 479.85 Identification of transferee. 479.37 Certificates in lieu of stamps lost or 479.86 Action on application. destroyed. 479.87 Cancellation of stamp. 479.38 Engaging in business at more than EXEMPTIONS RELATING TO TRANSFERS OF one location. FIREARMS 479.39 Engaging in more than one business at the same location. 479.88 Special (occupational) taxpayers. 479.40 Partnership liability. 479.89 Transfers to the United States. 479.41 Single sale. 479.90 Certain government entities.

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479.90a Estates. 479.163 Reuse of stamps prohibited. 479.91 Unserviceable firearms. 479.92 Transportation of firearms to effect Subpart M—Redemption of or Allowance transfer. for Stamps or Refunds

OTHER PROVISIONS 479.171 Redemption of or allowance for 479.93 Transfers of firearms to certain per- stamps. 479.172 Refunds. sons.

Subpart G—Registration and Identification Subpart N—Penalties and Forfeitures 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. 5812; 26 U.S.C. 5822; 26 guns. U.S.C. 7801; 26 U.S.C. 7805. Subpart H—Importation and Exportation SOURCE: 36 FR 14256, Aug. 3, 1971, unless otherwise noted. Redesignated at 40 FR 16835, IMPORTATION Apr. 15, 1975, and further redesignated by T.D. ATF–487, 68 FR 3752, Jan. 24, 2003. 479.111 Procedure. 479.112 Registration of imported firearms. EDITORIAL NOTE: Nomenclature changes to 479.113 Conditional importation. part 479 appear by T.D. ATF–487, 68 FR 3752, Jan. 24, 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. 479.117 Action by Customs. This part contains the procedural 479.118 Proof of exportation. and substantive requirements relative 479.119 Transportation of firearms to effect to the importation, manufacture, mak- exportation. ing, exportation, identification and 479.120 Refunds. registration of, and the dealing in, ma- 479.121 Insular possessions. chine guns, destructive devices and cer- ARMS EXPORT CONTROL ACT tain other firearms under the provisions 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] Subpart J—Stolen or Lost Firearms or Documents Subpart B—Definitions 479.141 Stolen or lost firearms. § 479.11 Meaning of terms. 479.142 Stolen or lost documents. When used in this part and in forms prescribed under this part, where not Subpart K—Examination of Books and otherwise distinctly expressed or mani- Records festly incompatible with the intent 479.151 Failure to make returns: Substitute thereof, terms shall have the meanings returns. ascribed in this section. Words in the 479.152 Penalties (records and returns). plural form shall include the singular, and vice versa, and words importing Subpart L—Distribution and Sale of Stamps the masculine gender shall include the 479.161 National Firearms Act stamps. feminine. The terms ‘‘includes’’ and 479.162 Stamps authorized. ‘‘including’’ do not exclude other

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things not enumerated which are in the grenade, (3) rocket having a propellent same general class or are otherwise charge of more than 4 ounces, (4) mis- within the scope thereof. sile having an explosive or incendiary Antique firearm. Any firearm not de- charge of more than one-quarter ounce, signed or redesigned for using rim fire (5) mine, or (6) similar device; (b) any or conventional center fire ignition type of weapon by whatever name with fixed ammunition and manufac- known which will, or which may be tured in or before 1898 (including any readily converted to, expel a projectile matchlock, flintlock, percussion cap, by the action of an explosive or other or similar type of ignition system or propellant, the barrel or barrels of replica thereof, whether actually man- which have a bore of more than one- ufactured before or after the year 1898) half inch in diameter, except a shotgun and also any firearm using fixed am- or shotgun shell which the Director munition manufactured in or before finds is generally recognized as par- 1898, for which ammunition is no ticularly suitable for sporting pur- longer manufactured in the United poses; and (c) any combination of parts States and is not readily available in either designed or intended for use in the ordinary channels of commercial converting any device into a destruc- trade. tive device as described in paragraphs Any other weapon. Any weapon or de- (a) and (b) of this definition and from vice capable of being concealed on the which a destructive device may be person from which a shot can be dis- readily assembled. The term shall not charged through the energy of an ex- include any device which is neither de- plosive, a pistol or revolver having a signed or redesigned for use as a weap- barrel with a smooth bore designed or on; any device, although originally de- redesigned to fire a fixed shotgun shell, signed for use as a weapon, which is re- weapons with combination shotgun and designed for use as a signaling, pyro- rifle barrels 12 inches or more, less technic, line throwing, safety, or simi- than 18 inches in length, from which lar device; surplus ordnance sold, only a single discharge can be made loaned, or given by the Secretary of from either barrel without manual re- the Army under 10 U.S.C. 4684(2), 4685, loading, and shall include any such or 4686, or any device which the Direc- weapon which may be readily restored tor finds is not likely to be used as a to fire. Such term shall not include a weapon, or is an antique or is a rifle pistol or a revolver having a rifled which the owner intends to use solely bore, or rifled bores, or weapons de- for sporting purposes. signed, made, or intended to be fired Director. The Director, Bureau of Al- from the shoulder and not capable of cohol, Tobacco, Firearms, and Explo- firing fixed ammunition. sives, the Department of Justice, ATF officer. An officer or employee of Washington, DC. the Bureau of Alcohol, Tobacco, Fire- Director, Industry Operations. The arms, and Explosives (ATF) authorized principal regional official responsible to perform any function relating to the for administering regulations in this administration or enforcement of this part. part. Director of the Service Center. A direc- Customs officer. Any officer of U.S. tor of an Internal Revenue Service Cen- Customs and Border Protection, any ter in an internal revenue region. commissioned, warrant, or petty offi- District director. A district director of cer of the Coast Guard, or any agent or the Internal Revenue Service in an in- other person authorized by law to per- ternal revenue district. form the duties of a customs officer. Executed under penalties of perjury. Dealer. Any person, not a manufac- Signed with the prescribed declaration turer or importer, engaged in the busi- under the penalties of perjury as pro- ness of selling, renting, leasing, or vided on or with respect to the return, loaning firearms and shall include form, or other document or, where no pawnbrokers who accept firearms as form of declaration is prescribed, with collateral for loans. the declaration: Destructive device. (a) Any explosive, ‘‘I declare under the penalties of perjury incendiary, or poison gas (1) bomb, (2) that this—(insert type of document, such as,

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statement, application, request, certificate), threaded at its forward portion to re- including the documents submitted in sup- ceive the barrel. port thereof, has been examined by me and, Importation. The bringing of a firearm to the best of my knowledge and belief, is true, correct, and complete.’’ within the limits of the United States or any territory under its control or ju- Exportation. The severance of goods risdiction, from a place outside thereof from the mass of things belonging to (whether such place be a foreign coun- this country with the intention of unit- try or territory subject to the jurisdic- ing them to the mass of things belong- tion of the United States), with intent ing to some foreign country. to unlade. Except that, bringing a fire- Exporter. Any person who exports arm from a foreign country or a terri- firearms from the United States. tory subject to the jurisdiction of the Firearm. (a) A shotgun having a bar- United States into a foreign trade zone rel or barrels of less than 18 inches in for storage pending shipment to a for- length; (b) a weapon made from a shot- eign country or subsequent importa- gun if such weapon as modified has an tion into this country, under Title 26 of overall length of less than 26 inches or the United States Code, and this part, a barrel or barrels of less than 18 shall not be deemed importation. 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) a destructive device. The term shall weapon, any part designed and in- not include an antique firearm or any tended solely and exclusively, or com- device (other than a machine gun or bination of parts designed and in- destructive device) which, although de- tended, for use in converting a weapon signed as a weapon, the Director finds into a machine gun, and any combina- by reason of the date of its manufac- tion of parts from which a machine gun ture, value, design, and other charac- can be assembled if such parts are in teristics is primarily a collector’s item the possession or under the control of a and is not likely to be used as a weap- person. For purposes of this definition, on. For purposes of this definition, the the term ‘‘automatically’’ as it modi- length of the barrel having an integral fies ‘‘shoots, is designed to shoot, or chamber(s) on a shotgun or rifle shall can be readily restored to shoot,’’ be determined by measuring the dis- means functioning as the result of a tance between the muzzle and the face self-acting or self-regulating mecha- of the bolt, breech, or breech block nism that allows the firing of multiple when closed and when the shotgun or rounds through a single function of the rifle is cocked. The overall length of a trigger; and ‘‘single function of the weapon made from a shotgun or rifle is trigger’’ means a single pull of the trig- the distance between the extreme ends ger and analogous motions. The term of the weapon measured along a line ‘‘machine gun’’ includes a bump-stock- parallel to the center line of the bore. type device, i.e., a device that allows a Fixed ammunition. That self-contained semi-automatic firearm to shoot more unit consisting of the case, primer, pro- than one shot with a single pull of the pellant charge, and projectile or pro- trigger by harnessing the recoil energy jectiles. of the semi-automatic firearm to which Frame or receiver. That part of a fire- it is affixed so that the trigger resets arm which provides housing for the and continues firing without additional hammer, bolt or breechblock and firing physical manipulation of the trigger by mechanism, and which is usually the shooter.

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Make. This term and the various de- possess, ship, transport, deliver, trans- rivatives thereof shall include manu- fer, or otherwise dispose of a firearm facturing (other than by one qualified for, or on behalf of, the trust. Examples to engage in such business under this of who may be considered a responsible part), putting together, altering, any person include settlors/grantors, trust- combination of these, or otherwise pro- ees, partners, members, officers, direc- ducing a firearm. tors, board members, or owners. An ex- Manual reloading. The inserting of a ample of who may be excluded from cartridge or shell into the chamber of a this definition of responsible person is firearm either with the hands or by the beneficiary of a trust, if the bene- means of a mechanical device con- ficiary does not have the capability to trolled and energized by the hands. exercise the powers or authorities enu- Manufacturer. Any person who is en- merated in this section. gaged in the business of manufacturing firearms. Revolver. A projectile weapon, of the Muffler or silencer. Any device for si- pistol type, having a breechloading lencing, muffling, or diminishing the chambered cylinder so arranged that report of a portable firearm, including the cocking of the hammer or move- any combination of parts, designed or ment of the trigger rotates it and redesigned, and intended for the use in brings the next cartridge in line with assembling or fabricating a firearm si- the barrel for firing. lencer or firearm muffler, and any part Rifle. A weapon designed or rede- intended only for use in such assembly signed, made or remade, and intended or fabrication. to be fired from the shoulder and de- Person. A partnership, company, assigned or redesigned and made or re- sociation, trust, corporation, including made to use the energy of the explosive each responsible person associated with in a fixed cartridge to fire only a single such an entity; an estate; or an indi- projectile through a rifled bore for vidual. each single pull of the trigger, and Pistol. A weapon originally designed, shall include any such weapon which made, and intended to fire a projectile may be readily restored to fire a fixed (bullet) from one or more barrels when cartridge. held in one hand, and having (a) a Shotgun. A weapon designed or rede- chamber(s) as an integral part(s) of, or signed, made or remade, and intended permanently aligned with, the bore(s); and (b) a short stock designed to be to be fired from the shoulder and de- gripped by one hand and at an angle to signed or redesigned and made or re- and extending below the line of the made to use the energy of the explosive bore(s). in a fixed shotgun shell to fire through Responsible person. In the case of an a smooth bore either a number of pro- unlicensed entity, including any trust, jectiles (ball shot) or a single projectile partnership, association, company (infor each pull of the trigger, and shall cluding any Limited Liability Com- include any such weapon which may be pany (LLC)), or corporation, any indi- readily restored to fire a fixed shotgun vidual who possesses, directly or indi- shell. rectly, the power or authority to direct Transfer. This term and the various the management and policies of the derivatives thereof shall include sell- trust or entity to receive, possess, ship, ing, assigning, pledging, leasing, loan- transport, deliver, transfer, or other- ing, giving away, or otherwise dis- wise dispose of a firearm for, or on be- posing of. half of, the trust or legal entity. In the United States. The States and the Dis- case of a trust, those persons with the trict of Columbia. power or authority to direct the man- U.S.C. The United States Code. agement and policies of the trust include any person who has the capa- Unserviceable firearm. A firearm which bility to exercise such power and pos- is incapable of discharging a shot by sesses, directly or indirectly, the power means of an explosive and incapable of or authority under any trust instru- ment, or under State law, to receive,

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being readily restored to a firing condi- to determine any liability for tax tion. under 26 U.S.C. Chapter 53, or the ob- servance of 26 U.S.C. Chapter 53, and (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. this part. 959), and sec. 38, Arms Export Control Act (22 [36 FR 14256, Aug. 3, 1971. Redesignated at 40 U.S.C. 2778, 90 Stat. 744)) FR 16835, Apr. 15, 1975, and amended by T.D. [T.D. ATF–48, 43 FR 13538, Mar. 31, 1978; 44 ATF–48, 44 FR 55842, Sept. 28, 1979; ATF FR 55842, Sept. 28, 1979; T.D. ATF–241, 51 FR 2013R–9F, 79 FR 46693, Aug. 11, 2014] 39630, Oct. 29, 1986; T.D. ATF–270, 53 FR 10492, Mar. 31, 1988; T.D. ATF–396, 63 FR 12647, Mar. § 479.23 Restrictive use of required in- 16, 1998; ATF 2013R–9F, 79 FR 46692, Aug. 11, formation. 2014; ATF–41F, 81 FR 2721, Jan. 15, 2016; ATF No information or evidence obtained 2018R–22F, 83 FR 66554, Dec. 26, 2018] from an application, registration, or record required to be submitted or re- Subpart C—Administrative and tained by a natural person in order to Miscellaneous Provisions comply with any provision of 26 U.S.C. Chapter 53, or this part or section 207 of § 479.21 Forms prescribed. the Gun Control Act of 1968 shall be (a) The Director is authorized to pre- used, directly or indirectly, as evidence scribe all forms required by this part. against that person in a criminal pro- All of the information called for in ceeding with respect to a violation of each form shall be furnished as indi- law occurring prior to or concurrently cated by the headings on the form and with the filing of the application or the instructions on or pertaining to the registration, or the compiling of the form. In addition, information called record containing the information or for in each form shall be furnished as evidence: Provided, however, That the required by this part. Each form re- provisions of this section shall not pre- quiring that it be executed under pen- clude the use of any such information alties of perjury shall be executed or evidence in a prosecution or other under penalties of perjury. action under any applicable provision (b) Requests for forms should be sub- of law with respect to the furnishing of mitted to the ATF Distribution Center false information. (http://www.atf.gov) or made by calling [36 FR 14256, Aug. 3, 1971. Redesignated at 40 (202) 648–6420. FR 16835, Apr. 15, 1975, and amended by T.D. (5 U.S.C. 552(a); 80 Stat. 383, as amended) ATF–48, 44 FR 55842, Sept. 28, 1979] [T.D. ATF–92, 46 FR 46916, Sept. 23, 1981, as § 479.24 Destructive device determina- amended by T.D. ATF–241, 51 FR 39630, Oct. tion. 29, 1986; T.D. ATF–270, 53 FR 10508, Mar. 31, 1988; T.D. 372, 61 FR 20725, May 8, 1996; ATF– The Director shall determine in ac- 11F, 73 FR 57242, Oct. 2, 2008; ATF 2013R–9F, cordance with 26 U.S.C. 5845(f), whether 79 FR 46693, Aug. 11, 2014] a device is excluded from the definition of a destructive device. A person who § 479.22 Right of entry and examina- desires to obtain a determination tion. under that provision of law for any de- Any ATF officer or employee of the vice which he believes is not likely to Bureau of Alcohol, Tobacco, Firearms, be used as a weapon shall submit a and Explosives duly authorized to per- written request, in triplicate, for a rul- form any function relating to the ad- ing thereon to the Director. Each such ministration or enforcement of this request shall be executed under the part may enter during business hours penalties of perjury and contain a com- the premises (including places of stor- plete and accurate description of the age) of any importer or manufacturer device, the name and address of the of or dealer in firearms, to examine manufacturer or importer thereof, the any books, papers, or records required purpose of and use for which it is in- to be kept pursuant to this part, and tended, and such photographs, dia- any firearms kept by such importer, grams, or drawings as may be nec- manufacturer or dealer on such prem- essary to enable the Director to make ises, and may require the production of his determination. The Director may any books, papers, or records necessary require the submission to him, of a

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sample of such device for examination (3) The alternate method or proce- and evaluation. If the submission of dure will not be contrary to any provi- such device is impracticable, the per- sion of law and will not result in an in- son requesting the ruling shall so ad- crease in cost to the Government or vise the Director and designate the hinder the effective administration of place where the device will be available this part. Where such person desires to for examination and evaluation. employ an alternate method or proce- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 dure, a written application shall be FR 16835, Apr. 15, 1975, and amended by T.D. submitted to the appropriate Director, ATF–48, 44 FR 55842, Sept. 28, 1979] Industry Operations, for transmittal to the Director. The application shall spe- § 479.25 Collector’s items. cifically describe the proposed alter- The Director shall determine in ac- nate method or procedure and shall set cordance with 26 U.S.C. 5845(a), wheth- forth the reasons for it. Alternate er a firearm or device, which although methods or procedures may not be em- originally designed as a weapon, is by ployed until the application is ap- reason of the date of its manufacture, proved by the Director. Such person value, design, and other characteristics shall, during the period of authoriza- primarily a collector’s item and is not tion of an alternate method or proce- likely to be used as a weapon. A person dure, comply with the terms of the ap- who desires to obtain a determination proved application. Authorization of under that provision of law shall follow any alternate method or procedure the procedures prescribed in § 479.24 re- may be withdrawn whenever, in the lating to destructive device determina- judgment of the Director, the effective tions, and shall include information as administration of this part is hindered to date of manufacture, value, design by the continuation of the authoriza- and other characteristics which would tion. sustain a finding that the firearm or (b) Emergency variations from require- device is primarily a collector’s item ments. The Director may approve a and is not likely to be used as a weap- method of operation other than as on. specified in this part, where it is found [36 FR 14256, Aug. 3, 1971. Redesignated at 40 that an emergency exists and the pro- FR 16835, Apr. 15, 1975, and amended by T.D. posed variation from the specified re- ATF–48, 44 FR 55842, Sept. 28, 1979] quirements are necessary and the proposed variations (1) will not hinder the § 479.26 Alternate methods or procedures; emergency variations from effective administration of this part, requirements. and (2) will not be contrary to any provisions of law. Variations from require- (a) Alternate methods or procedures. ments granted under this paragraph Any person subject to the provisions of this part, on specific approval by the are conditioned on compliance with the Director as provided in this paragraph, procedures, conditions, and limitations may use an alternate method or proce- set forth in the approval of the applica- dure in lieu of a method or procedure tion. Failure to comply in good faith specifically prescribed in this part. The with the procedures, conditions, and Director may approve an alternate limitations shall automatically termi- method or procedure, subject to stated nate the authority for the variations, conditions, when it is found that: and the person granted the variance (1) Good cause is shown for the use of shall fully comply with the prescribed the alternate method or procedure; requirements of regulations from (2) The alternate method or proce- which the variations were authorized. dure is within the purpose of, and con- Authority for any variation may be sistent with the effect intended by, the withdrawn whenever, in the judgment specifically prescribed method or proof the Director, the effective adminis- cedure and that the alternate method tration of this part is hindered by the or procedure is substantially equiva- continuation of the variation. Where a lent to that specifically prescribed person desires to employ an emergency method or procedure; and variation, a written application shall

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be submitted to the appropriate Direc- § 479.32 Special (occupational) tax tor, Industry Operations for trans- rates. mittal to the Director. The application Except as provided in § 479.32a, the shall describe the proposed variation special (occupational) tax rates effec- and set forth the reasons for it. Vari- tive January 1, 1988, are as follows: ations may not be employed until the application is approved. Per year or fraction (c) Retention of approved variations. thereof The person granted the variance shall retain and make available for examina- Class 1—Importer of firearms (including an importer only of weapons classified as ‘‘any tion by ATF officers any application other weapon’’) ...... $1,000 approved by the Director under this Class 2—Manufacturer of firearms (including a section. manufacturer only of weapons classified as ‘‘any other weapon’’) ...... 1,000 [T.D. ATF–270, 53 FR 10508 Mar. 31, 1988, as Class 3—Dealer in firearms (including a dealer amended by ATF 2013R–9F, 79 FR 46693, Aug. only of weapons classified as ‘‘any other weapon’’) ...... 500 11, 2014]

[T.D. ATF–271, 53 FR 17550, May 17, 1988; ATF Subpart D—Special 2014R–42, 84 FR 12094, Apr. 1, 2019] (Occupational) Taxes § 479.32a Reduced rate of tax for small § 479.31 Liability for tax. importers and manufacturers. (a) General. Every person who en- (a) General. Effective January 1, 1988, gages in the business of importing, 26 U.S.C. 5801(b) provides for a reduced manufacturing, or dealing in (including rate of special tax with respect to any pawnbrokers) firearms in the United importer or manufacturer whose gross States shall pay a special (occupa- receipts (for the most recent taxable tional) tax at a rate specified by year ending before the first day of the § 479.32. The tax shall be paid on or be- taxable period to which the special tax fore the date of commencing the tax- imposed by § 479.32 relates) are less able business, and thereafter every than $500,000. The rate of tax for such year on or before July 1. Special (occu- an importer or manufacturer is $500 per pational) tax shall not be prorated. The year or fraction thereof. The ‘‘taxable tax shall be computed for the entire year’’ to be used for determining gross tax year (July 1 through June 30), re- receipts is the taxpayer’s income tax gardless of the portion of the year dur- year. All gross receipts of the taxpayer ing which the taxpayer engages in busi- shall be included, not just the gross re- ness. Persons commencing business at ceipts of the business subject to special any time after July 1 in any year are tax. Proprietors of new businesses that liable for the special (occupational) tax have not yet begun a taxable year, as for the entire tax year. well as proprietors of existing busi- (b) Each place of business taxable. An nesses that have not yet ended a tax- importer, manufacturer, or dealer in able year, who commence a new activ- firearms incurs special tax liability at ity subject to special tax, quality for each place of business where an occupa- the reduced special (occupational) tax tion subject to special tax is con- rate, unless the business is a member ducted. A place of business means the of a ‘‘controlled group’’; in that case, entire office, plant or area of the busi- the rules of paragraph (b) of this sec- ness in any one location under the tion shall apply. same proprietorship. Passageways, (b) Controlled group. All persons streets, highways, rail crossings, wa- treated as one taxpayer under 26 U.S.C. terways, or partitions dividing the 5061(e)(3) shall be treated as one tax- premises are not sufficient separation payer for the purpose of determining to require additional special tax, if the gross receipts under paragraph (a) of divisions of the premises are otherwise this section. ‘‘Controlled group’’ means contiguous. See also §§ 479.38–479.39. a controlled group of corporations, as defined in 26 U.S.C. 1563 and imple- (26 U.S.C. 5143, 5801, 5846) menting regulations in 26 CFR 1.1563–1 [T.D. ATF–271, 53 FR 17550, May 17, 1988] through 1.1563–4, except that the words

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‘‘at least 80 percent’’ shall be replaced § 479.34 Special tax registration and by the words ‘‘more than 50 percent’’ in return. each place they appear in subsection (a) General. Special tax shall be paid (a) of 26 U.S.C. 1563, as well as in the by return. The prescribed return is implementing regulations. Also, the ATF Form 5630.7, Special Tax Registra- rules for a ‘‘controlled group of cor- tion and Return. Special tax returns, porations’’ apply in a similar fashion with payment of tax, shall be filed with to groups which include partnerships ATF in accordance with instructions and/or sole proprietorships. If one enti- on the form. Properly completing, sign- ty maintains more than 50% control ing, and timely filing of a return (Form over a group consisting of corporations 5630.7) constitutes compliance with 26 and one, or more, partnerships and/or U.S.C. 5802. sole proprietorships, all of the mem- (b) Preparation of ATF Form 5630.7. All bers of the controlled group are one of the information called for on Form taxpayer for the purpose of this sec- 5630.7 shall be provided, including: tion. (1) The true name of the taxpayer. (c) Short taxable year. Gross receipts for any taxable year of less than 12 (2) The trade name(s) (if any) of the months shall be annualized by multi- business(es) subject to special tax. plying the gross receipts for the short (3) The employer identification num- period by 12 and dividing the result by ber (see § 479.35). the number of months in the short pe- (4) The exact location of the place of riod, as required by 26 U.S.C. 448(c)(3). business, by name and number of build- (d) Returns and allowances. Gross re- ing or street, or if these do not exist, ceipts for any taxable year shall be re- by some description in addition to the duced by returns and allowances made post office address. In the case of one 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 taxpayer’s principal place of business (or (26 U.S.C. 448, 5061, 5801) principal office, in the case of a cor- [T.D. ATF–271, 53 FR 17550, May 17, 1988] porate taxpayer). (5) The class(es) of special tax to § 479.33 Special exemption. 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 policies with respect to the activity of, the United States or any depart- subject to special tax. ‘‘Owner of the ment, independent establishment, or business’’ shall include every partner, agency thereof. The Director may re- if the taxpayer is a partnership, and lieve any person manufacturing fire- every person owning 10% or more of its arms for or on behalf of the United stock, if the taxpayer is a corporation. States from compliance with any pro- However, the ownership and control in- vision of this part in the conduct of the formation required by this paragraph business with respect to such firearms. need not be stated if the same informa- (b) The exemption in this section tion has been previously provided to may be obtained by filing with the Di- ATF in connection with a license appli- rector an application, in letter form, cation under Part 478 of this chapter, setting out the manner in which the and if the information previously pro- applicant conducts his business, the vided is still current. type of firearm to be manufactured, (c) Multiple locations and/or classes of and proof satisfactory to the Director tax. A taxpayer subject to special tax of the existence of the contract with for the same period at more than one the United States, department, inde- location or for more than one class of pendent establishment, or agency tax shall— thereof, under which the applicant in- (1) File one special tax return, ATF tends to operate. Form 5630.7, with payment of tax, to

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cover all such locations and classes of bare, with the distance from the top of tax; and the head to the point of the chin ap- (2) Prepare, in duplicate, a list identi- proximately 11⁄4 inches, and which shall fied with the taxpayer’s name, address have been taken within 6 months prior (as shown on ATF Form 5630.7), em- to the date of completion of the return. ployer identification number, and pe- The individual shall also attach to the riod covered by the return. The list return a properly completed FBI Form shall show, by States, the name, ad- FD–258 (Fingerprint Card). The finger- dress, and tax class of each location for prints must be clear for accurate clas- which special tax is being paid. The sification and should be taken by some- original of the list shall be filed with one properly equipped to take them: ATF in accordance with instructions Provided, That the provisions of this on the return, and the copy shall be re- paragraph shall not apply to individ- tained at the taxpayer’s principal place uals who have filed with ATF a prop- of business (or principal office, in the erly executed Application for License case of a corporate taxpayer) for not under 18 U.S.C. Chapter 44, Firearms, less than 3 years. ATF Form 7 (5310.12), as specified in (d) Signing of ATF Forms 5630.7—(1) § 478.44(a). Ordinary returns. The return of an individual proprietor shall be signed by the (26 U.S.C. 5142, 5802, 5846, 6061, 6065, 6151) individual. The return of a partnership [T.D. ATF–271, 53 FR 17551, May 17, 1988, as shall be signed by a general partner. amended by T.D. ATF–363, 60 FR 17456, Apr. The return of a corporation shall be 6, 1995; ATF 2013R–9F, 79 FR 46693, Aug. 11, signed by any officer. In each case, the 2014] person signing the return shall designate his or her capacity as ‘‘indi- § 479.35 Employer identification num- vidual owner,’’ ‘‘member of firm,’’ or, ber. in the case of a corporation, the title of (a) Requirement. The employer identi- the officer. fication number (defined in 26 CFR (2) Fiduciaries. Receivers, trustees, 301.7701–12) of the taxpayer who has assignees, executors, administrators, been assigned such a number shall be and other legal representatives who shown on each special tax return, in- continue the business of a bankrupt, cluding amended returns, filed under insolvent, deceased person, etc., shall this subpart. Failure of the taxpayer to indicate the fiduciary capacity in include the employer identification which they act. number may result in the imposition of (3) Agent or attorney in fact. If a re- the penalty specified in § 70.113 of this turn is signed by an agent or attorney chapter. in fact, the signature shall be preceded by the name of the principal and fol- (b) Application for employer identifica- lowed by the title of the agent or attor- tion number. Each taxpayer who files a ney in fact. A return signed by a person special tax return, who has not already as agent will not be accepted unless been assigned an employer identifica- there is filed, with the ATF office with tion number, shall file IRS Form SS–4 which the return is required to be filed, to apply for one. The taxpayer shall a power of attorney authorizing the apply for and be assigned only one em- agent to perform the act. ployer identification number, regard- (4) Perjury statement. ATF Forms less of the number of places of business 5630.7 shall contain or be verified by a for which the taxpayer is required to written declaration that the return has file a special tax return. The employer been executed under the penalties of identification number shall be applied perjury. for no later than 7 days after the filing (e) Identification of taxpayer. If the of the taxpayer’s first special tax re- taxpayer is an individual, with the ini- turn. IRS Form SS–4 may be obtained tial return such person shall securely from the director of an IRS service cen- attach to Form 5630.7 a photograph of ter or from any IRS district director. the individual 2 × 2 inches in size, (c) Preparation and filing of IRS Form clearly showing a full front view of the SS–4. The taxpayer shall prepare and features of the individual with head file IRS Form SS–4, together with any

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supplementary statement, in accord- place of business if no such firearms, ance with the instructions on the form except samples, are kept at such office or issued in respect to it. or place of business. When a person (26 U.S.C. 6109) changes the location of a business for which he has paid the special (occupa- [T.D. ATF–271, 53 FR 17551, May 17, 1988, as tional) tax, he will be liable for another amended by T.D. ATF–301, 55 FR 47657, Nov. 14, 1990] such tax unless the change is properly registered with the Chief, National § 479.36 The special tax stamp, receipt Firearms Act Branch for the region in for special (occupational) taxes. which the special tax stamp was issued, Upon filing a properly completed and as provided in § 479.46. executed return (Form 5630.7) accom- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 panied by remittance of the full FR 16835, Apr. 15, 1975, and amended by T.D. amount due, the taxpayer will be ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– issued a special tax stamp as evidence 251, 52 FR 19334, May 22, 1987; T.D. ATF–271, of payment of the special (occupa- 53 FR 17551, May 17, 1988; ATF 2013R–9F, 79 tional) tax. FR 46693, Aug. 11, 2014] [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. § 479.39 Engaging in more than one ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– business at the same location. 363, 60 FR 17456, Apr. 6, 1995] If more than one business taxable under 26 U.S.C. 5801, is carried on at § 479.37 Certificates in lieu of stamps lost or destroyed. the same location during a taxable year, the special (occupational) tax im- When a special tax stamp has been posed on each such business must be lost or destroyed, such fact should be paid. This section does not require a reported immediately to the Chief, Na- qualified manufacturer or importer to tional Firearms Act Branch who issued the stamp. A certificate in lieu of the qualify as a dealer if such manufac- lost or destroyed stamp will be issued turer or importer also engages in busi- to the taxpayer upon the submission of ness on his qualified premises as a deal- an affidavit showing to the satisfaction er. However, a qualified manufacturer of the Chief, National Firearms Act who engages in business as an importer Branch that the stamp was lost or de- must also qualify as an importer. Fur- stroyed. ther, a qualified dealer is not entitled to engage in business as a manufac- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 turer or importer. FR 16835, Apr. 15, 1975, and amended by T.D. ATF–251, 52 FR 19334, May 22, 1987; ATF [36 FR 14256, Aug. 3, 1971. Redesignated at 40 2013R–9F, 79 FR 46693, Aug. 11, 2014] FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– § 479.38 Engaging in business at more 271, 53 FR 17551, May 17, 1988] than one location. A person shall pay the special (occu- § 479.40 Partnership liability. pational) tax for each location where Any number of persons doing busi- he engages in any business taxable ness in partnership at any one location under 26 U.S.C. 5801. However, a person shall be required to pay but one special paying a special (occupational) tax covering his principal place of business (occupational) tax. may utilize other locations solely for § 479.41 Single sale. storage of firearms without incurring special (occupational) tax liability at A single sale, unattended by cir- such locations. A manufacturer, upon cumstances showing the one making the single payment of the appropriate the sale to be engaged in business, does special (occupational) tax, may sell not create special (occupational) tax li- firearms, if such firearms are of his ability. own manufacture, at the place of manufacture and at his principal office or

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CHANGE OF OWNERSHIP business at the same location for the balance of the taxable period for which § 479.42 Changes through death of special (occupational) tax was paid, owner. provided any such change shall be reg- Whenever any person who has paid istered in the same manner as required special (occupational) tax dies, the sur- by § 479.42. Where new member(s) are viving spouse or child, or executors or taken into a partnership or an unincor- administrators, or other legal rep- porated association, the new firm so resentatives, may carry on this busi- constituted may not carry on business ness for the remainder of the term for under the special tax stamp of the old which tax has been paid and at the firm. The new firm must file a return, place (or places) for which the tax was pay the special (occupational) tax and paid, without any additional payment, subject to the following conditions. If register in the same manner as a per- the surviving spouse or child, or execu- son who first engages in business is re- tor or administrator, or other legal quired to do under § 479.34 even though representative of the deceased tax- the name of the new firm may be the payer continues the business, such per- same as that of the old. Where the son shall, within 30 days after the date members of a partnership or an unin- on which the successor begins to carry corporated association, which has paid on the business, file a new return, special (occupational) tax, form a cor- Form 5630.7, with ATF in accordance poration to continue the business, a with the instructions on the form. The new special tax stamp must be taken return thus executed shall show the out in the name of the corporation. name of the original taxpayer, together with the basis of the succession. (As to § 479.45 Changes in corporation. liability in case of failure to register, Additional special (occupational) tax see § 479.49.) is not required by reason of a mere [T.D. ATF–70, 45 FR 33979, May 21, 1980, as change of name or increase in the cap- amended by T.D. ATF–251, 52 FR 19334, May ital stock of a corporation if the laws 22, 1987; T.D. ATF–363, 60 FR 17456, Apr. 6, of the State of incorporation provide 1995] for such change or increase without the formation of a new corporation. A § 479.43 Changes through bankruptcy of owner. stockholder in a corporation who after its dissolution continues the business, A receiver or referee in bankruptcy incurs new special (occupational) tax may continue the business under the liability. stamp issued to the taxpayer at the 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 without incurring additional special Whenever during the taxable year a (occupational) tax liability. In such taxpayer intends to remove his busi- cases, the change shall be registered ness to a location other than specified with ATF in a manner similar to that in his last special (occupational) tax required by § 479.42. return (see § 479.34), he shall file with ATF (a) a return, Form 5630.7, bearing [36 FR 14256, Aug. 3, 1971. Redesignated at 40 the notation ‘‘Removal Registry,’’ and FR 16835, Apr. 15, 1975, and amended by T.D. ATF–251, 52 FR 19334, May 22, 1987] showing the new address intended to be used, (b) his current special tax stamp, § 479.44 Change in partnership or un- and (c) a letter application requesting incorporated association. the amendment of his registration. The When one or more members withdraw Chief, National Firearms Act Branch, from a partnership or an unincor- upon approval of the application, shall porated association, the remaining return the special tax stamp, amended member, or members, may, without in- to show the new business location. curring additional special (occupa- Firearms operations shall not be com- tional) tax liability, carry on the same menced at the new business location by

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the taxpayer prior to the required ap- moving his business with respect to proval of his application to so change which special (occupational) tax has his business location. been paid to a place other than that for which tax was paid without obtaining [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. approval therefor (see § 479.46), will ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– incur liability to an additional pay- 363, 60 FR 17456, Apr. 6, 1995; ATF 2013R–9F, 79 ment of the tax, addition to tax and in- FR 46693, Aug 11, 2014] terest, as provided in sections 5801, 6651, and 6601, respectively, I.R.C., for CHANGE OF TRADE NAME failure to make return (see § 479.50) or pay tax, as well as criminal penalties § 479.47 Notice by taxpayer. for carrying on business without pay- Whenever during the taxable year a ment of special (occupational) tax (see taxpayer intends to change the name of section 5871 I.R.C.). his business, he shall file with ATF (a) a return, Form 5630.7, bearing the nota- § 479.50 Delinquency. tion ‘‘Amended,’’ and showing the Any person liable for special (occupa- trade name intended to be used, (b) his tional) tax under section 5801, I.R.C., current special tax stamp, and (c) a let- who fails to file a return (Form 5630.7), ter application requesting the amend- as prescribed, will be liable for a delin- ment of his registration. The Chief, Na- quency penalty computed on the tional Firearms Act Branch, upon ap- amount of tax due unless a return proval of the application, shall return (Form 5630.7) is later filed and failure the special tax stamp, amended to to file the return timely is shown to show the new trade name. Firearms op- the satisfaction of the Chief, National erations shall not be commenced under Firearms Act Branch, to be due to rea- the new trade name by the taxpayer sonable cause. The delinquency penalty prior to the required approval of his ap- to be added to the tax is 5 percent if plication to so change the trade name. the failure is for not more than 1 [36 FR 14256, Aug. 3, 1971. Redesignated at 40 month, with an additional 5 percent for FR 16835, Apr. 15, 1975, and amended by T.D. each additional month or fraction ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– thereof during which failure continues, 363, 60 FR 17456, Apr. 6, 1995; ATF 2013R–9F, 79 not to exceed 25 percent in the aggre- FR 46693, Aug. 11, 2014] gate (section 6651, I.R.C.). However, no delinquency penalty is assessed where PENALTIES AND INTEREST the 50 percent 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 Any person who engages in a business FR 16835, Apr. 15, 1975, and amended by T.D. taxable under 26 U.S.C. 5801, without ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– 363, 60 FR 17453, Apr. 6, 1996; ATF 2013R–9F, 79 timely payment of the tax imposed FR 46693, Aug. 11, 2014] with respect to such business (see § 479.34) shall be liable for such tax, § 479.51 Fraudulent return. plus the interest and penalties thereon If any part of any underpayment of (see 26 U.S.C. 6601 and 6651). In addi- tax required to be shown on a return is tion, such person may be liable for due to fraud, there shall be added to criminal penalties under 26 U.S.C. 5871. the tax an amount equal to 50 percent [36 FR 14256, Aug. 3, 1971. Redesignated at 40 of the underpayment, but no delin- FR 16835, Apr. 15, 1975, and amended by T.D. quency penalty shall be assessed with ATF–48, 44 FR 55842, Sept. 28, 1979] respect to the same underpayment (section 6653, I.R.C.). § 479.49 Failure to register change or removal. APPLICATION OF STATE LAWS Any person succeeding to and carrying on a business for which special § 479.52 State regulations. (occupational) tax has been paid with- Special tax stamps are merely re- out registering such change within 30 ceipts for the tax. Payment of tax days thereafter, and any taxpayer re- under Federal law confers no privilege

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to act contrary to State law. One to nished for each responsible person of whom a special tax stamp has been the applicant issued may still be punishable under a (b) Preparation of ATF Form 1. All of State law prohibiting or controlling the information called for on Form 1 the manufacture, possession or transfer shall be provided, including: of firearms. On the other hand, compli- (1) The type of application, i.e., tax ance with State law confers no immu- paid or tax exempt. If the making of nity under Federal law. Persons who the firearm is taxable, the applicant engage in the business of importing, shall submit a remittance in the manufacturing or dealing in firearms, amount of $200 with the application in in violation of the law of a State, are accordance with the instructions on nevertheless required to pay special the form; (occupational) tax as imposed under (2) The identity of the applicant. If the internal revenue laws of the United an individual, the applicant shall pro- States. For provisions relating to re- vide the applicant’s name, address, and strictive use of information furnished date of birth, and also comply with the to comply with the provisions of this identification requirements prescribed part see § 479.23. in § 479.63(a). If other than an individual, the applicant shall provide its name, address, and employer identi- Subpart E—Tax on Making fication number, if any, as well as the Firearms name and address of each responsible person. Each responsible person of the § 479.61 Rate of tax. applicant also shall comply with the Except as provided in this subpart, identification requirements prescribed there shall be levied, collected, and in § 479.63(b); paid upon the making of a firearm a (3) A description of the firearm to be tax at the rate of $200 for each firearm made by type; caliber, gauge, or size; made. This tax shall be paid by the per- model; length of barrel; serial number; son making the firearm. Payment of other marks of identification; and the the tax on the making of a firearm name and address of the original manu- shall be represented by a $200 adhesive facturer (if the applicant is not the stamp bearing the words ‘‘National original manufacturer); Firearms Act.’’ The stamps are main- (4) The applicant’s Federal firearms tained by the Director. license number (if any); (5) The applicant’s special (occupa- [T.D. ATF–270, 53 FR 10508, Mar. 31, 1988] tional) tax stamp (if applicable); and (6) If the applicant (including, if APPLICATION TO MAKE A FIREARM other than an individual, any respon- § 479.62 Application to make. sible person) is an alien admitted under a nonimmigrant visa, applicable docu- (a) General. No person shall make a mentation demonstrating that the non- firearm unless the person has filed with immigrant alien falls within an excep- the Director a completed application tion to 18 U.S.C. 922(g)(5)(B) under 18 on ATF Form 1 (5320.1), Application to U.S.C. 922(y)(2), or has obtained a waiv- Make and Register a Firearm, in dupli- er of that provision under 18 U.S.C. cate, executed under the penalties of 922(y)(3). perjury, to make and register the fire- (c) Notification of chief law enforcement arm and has received the approval of officer. Prior to the submission of the the Director to make the firearm, application to the Director, all appli- which approval shall effectuate reg- cants and responsible persons shall for- istration of the firearm to the appli- ward a completed copy of Form 1 or a cant. If the applicant is not a licensed completed copy of Form 5320.23, respec- manufacturer, importer, or dealer tively, to the chief law enforcement of- qualified under this part and is a part- ficer of the locality in which the appli- nership, company (including a Limited cant or responsible person is located. Liability Company (LLC)), association, The chief law enforcement officer is trust, or corporation, all information the local chief of police, county sheriff, on the Form 1 application shall be fur- head of the State police, or State or

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local district attorney or prosecutor. If of business (or principal office, in the the applicant is not a licensed manu- case of a corporation) or, in the case of facturer, importer, or dealer qualified a trust, the primary location at which under this part and is a partnership, the firearm will be maintained; company, association, or corporation, (2) Except as provided in paragraph for purposes of this section, it is con- (c) of this section, attach to the appli- sidered located at its principal office or cation— principal place of business; if a trust, (i) Documentation evidencing the ex- for purposes of this section, it is con- istence and validity of the entity, sidered located at the primary location which includes complete and at which the firearm will be main- unredacted copies of partnership agree- tained. ments, articles of incorporation, cor- (d) Approval of Form 1. If the applica- porate registration, and declarations of tion is approved, the Director will affix trust, with any trust schedules, attach- a National Firearms Act stamp to the ments, exhibits, and enclosures; original application in the space pro- (ii) A completed ATF Form 5320.23 for vided therefor and properly cancel the each responsible person. Form 5320.23 stamp (see § 479.67). The approved appli- requires certain identifying informa- cation will then be returned to the ap- tion, including each responsible per- plicant. son’s full name, position, home ad- [ATF–41F, 81 FR 2721, Jan. 15, 2016] dress, date of birth, and country of citizenship if other than the United § 479.63 Identification of applicant. States; (a) If the applicant is an individual, (iii) In the space provided on Form the applicant shall: 5320.23, a 2 x 2-inch photograph of each (1) Securely attach to each copy of responsible person, clearly showing a the Form 1, in the space provided on full front view of the features of the re- the form, a 2 x 2-inch photograph of the sponsible person with head bare, with applicant, clearly showing a full front the distance from the top of the head view of the features of the applicant to the point of the chin approximately with head bare, with the distance from 11⁄4 inches, and which shall have been the top of the head to the point of the taken within 1 year prior to the date of chin approximately 11⁄4 inches, and the application; which shall have been taken within 1 (iv) Two properly completed FBI year prior to the date of the applica- Forms FD–258 (Fingerprint Card) for tion; and each responsible person. The finger- (2) Attach to the application two prints must be clear for accurate clas- properly completed FBI Forms FD–258 sification and should be taken by some- (Fingerprint Card). The fingerprints one properly equipped to take them. must be clear for accurate classifica- (c) If the applicant entity has had an tion and should be taken by someone application approved as a maker or properly equipped to take them. transferee within the preceding 24 (b) If the applicant is not a licensed months, and there has been no change manufacturer, importer, or dealer to the documentation previously pro- qualified under this part and is a part- vided, the entity may provide a certifi- nership, company (including a Limited cation that the information has not Liability Company (LLC)), association, been changed since the prior approval trust, or corporation, the applicant and shall identify the application for shall: which the documentation had been sub- (1) Be identified on the Form 1 by the mitted by form number, serial number, name and exact location of the place of and date approved. business, including the name and number of the building and street, and the [ATF–41F, 81 FR 2721, Jan. 15, 2016] name of the county in which the business is located or, in the case of a § 479.64 Procedure for approval of ap- trust, the primary location at which plication. the firearm will be maintained. In the The application to make a firearm, case of two or more locations, the ad- Form 1 (Firearms), must be forwarded dress shown shall be the principal place directly, in duplicate, by the maker of

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the firearm to the Director in accord- EXCEPTIONS TO TAX ON MAKING ance with the instructions on the form. FIREARMS The Director will consider the application for approval or disapproval. If the § 479.68 Qualified manufacturer. application is approved, the Director A manufacturer qualified under this will return the original thereof to the part to engage in such business may maker of the firearm and retain the du- make firearms without payment of the plicate. Upon receipt of the approved making tax. However, such manufac- application, the maker is authorized to turer shall report and register each make the firearm described therein. firearm made in the manner prescribed The maker of the firearm shall not, by this part. under any circumstances, make the [36 FR 14256, Aug. 3, 1971. Redesignated at 40 firearm until the application, satisfac- FR 16835, Apr. 15, 1975, and amended by T.D. torily executed, has been forwarded to ATF–271, 53 FR 17551, May 17, 1988] the Director and has been approved and returned by the Director with the Na- § 479.69 Making a firearm for the tional Firearms Act stamp affixed. If United States. the application is disapproved, the A firearm may be made by, or on be- original Form 1 (Firearms) and the re- half of, the United States or any de- mittance submitted by the applicant partment, independent establishment, for the purchase of the stamp will be or agency thereof without payment of returned to the applicant with the rea- the making tax. However, if a firearm son for disapproval stated on the form. is to be made on behalf of the United States, the maker must file an applica- [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988] tion, in duplicate, on Form 1 (Fire- arms) and obtain the approval of the § 479.65 Denial of application. Director in the manner prescribed in An application to make a firearm § 479.62. shall not be approved by the Director if the making or possession of the fire- § 479.70 Certain government entities. arm would place the person making the A firearm may be made without pay- firearm in violation of law. ment of the making tax by, or on behalf of, any State, or possession of the § 479.66 Subsequent transfer of fire- United States, any political subdivi- arms. sion 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.

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Subpart F—Transfer Tax (1) The type of firearm being transferred. If the firearm is other than one § 479.81 Scope of tax. classified as ‘‘any other weapon,’’ the Except as otherwise provided in this applicant shall submit a remittance in part, each transfer of a firearm in the the amount of $200 with the application United States is subject to a tax to be in accordance with the instructions on represented by an adhesive stamp of the form. If the firearm is classified as the proper denomination bearing the ‘‘any other weapon,’’ the applicant words ‘‘National Firearms Act’’ to be shall submit a remittance in the affixed to the Form 4 (Firearms), Ap- amount of $5; plication for Transfer and Registration (2) The identity of the transferor by of Firearm, as provided in this subpart. name and address and, if the transferor is other than a natural person, the title § 479.82 Rate of tax. or legal status of the person executing The transfer tax imposed with re- the application in relation to the spect to firearms transferred within transferor; the United States is at the rate of $200 (3) The transferor’s Federal firearms for each firearm transferred, except license number (if any); that the transfer tax on any firearm (4) The transferor’s special (occupa- classified as ‘‘any other weapon’’ shall tional) tax stamp (if any); be at the rate of $5 for each such fire- (5) The identity of the transferee by arm transferred. The tax imposed on name and address and, if the transferee the transfer of the firearm shall be paid is a person not qualified as a manufac- by the transferor. turer, importer, or dealer under this part, the transferee shall be further § 479.83 Transfer tax in addition to im- identified in the manner prescribed in port duty. § 479.85; The transfer tax imposed by section (6) The transferee’s Federal firearms 5811, I.R.C., is in addition to any im- license number (if any); port duty. (7) The transferee’s special (occupational) tax stamp (if applicable); and APPLICATION AND ORDER FOR TRANSFER OF FIREARM (8) A description of the firearm to be transferred by name and address of the § 479.84 Application to transfer. manufacturer or importer (if known); caliber, gauge, or size; model; serial (a) General. Except as otherwise pro- number; in the case of a short-barreled vided in this subpart, no firearm may be transferred in the United States un- shotgun or a short-barreled rifle, the less an application, Form 4 (5320.4), Ap- length of the barrel; in the case of a plication for Tax Paid Transfer and weapon made from a rifle or shotgun, Registration of Firearm, in duplicate, the overall length of the weapon and executed under the penalties of per- the length of the barrel; and any other jury, to transfer the firearm and reg- identifying marks on the firearm. In ister it to the transferee has been filed the event the firearm does not bear a with and approved by the Director. The serial number, the applicant shall ob- application shall be filed by the trans- tain a serial number from ATF and feror. If the transferee is not a licensed shall stamp (impress) or otherwise con- manufacturer, importer, or dealer spicuously place such serial number on qualified under this part and is a part- the firearm in a manner not suscep- nership, company (including a Limited tible of being readily obliterated, al- Liability Company (LLC)), association, tered, or removed. trust, or corporation, all information (9) If the transferee (including, if on the Form 4 application shall be fur- other than an individual, any respon- nished for each responsible person of sible person) is an alien admitted under the transferee. a nonimmigrant visa, applicable docu- (b) Preparation of ATF Form 4. All of mentation demonstrating that the non- the information called for on Form 4 immigrant alien falls within an excep- shall be provided, including: tion to 18 U.S.C. 922(g)(5)(B) under 18

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U.S.C. 922(y)(2), or has obtained a waiv- (b) If the transferee is not a licensed er of that provision under 18 U.S.C. manufacturer, importer, or dealer 922(y)(3). qualified under this part and is a part- (c) Notification of chief law enforcement nership, company, association, trust, officer. Prior to the submission of the or corporation, such person shall: application to the Director, all trans- (1) Be identified on the Form 4 by the ferees and responsible persons shall for- name and exact location of the place of ward a completed copy of Form 4 or a business, including the name and num- completed copy of Form 5320.23, respec- ber of the building and street, and the tively, to the chief law enforcement of- name of the county in which the busi- ficer of the locality in which the trans- ness is located or, in the case of a feree or responsible person is located. The chief law enforcement officer is trust, the primary location at which the local chief of police, county sheriff, the firearm will be maintained. In the head of the State police, State or local case of two or more locations, the ad- district attorney or prosecutor. If the dress shown shall be the principal place transferee is not a licensed manufac- of business (or principal office, in the turer, importer, or dealer qualified case of a corporation) or, in the case of under this part and is a partnership, a trust, the primary location at which company, association, or corporation, the firearm will be maintained; for purposes of this section, it is con- (2) Except as provided in paragraph sidered located at its principal office or (c) of this section, attach to the appli- principal place of business; if the trans- cation— feree is not a licensed manufacturer, (i) Documentation evidencing the ex- importer, or dealer qualified under this istence and validity of the entity, part and is a trust, for purposes of this which includes complete and section, it is considered located at the unredacted copies of partnership agree- primary location at which the firearm ments, articles of incorporation, cor- will be maintained. porate registration, and declarations of (d) Approval of Form 4. If the applica- trust, with any trust schedules, attach- tion is approved, the Director will affix ments, exhibits, and enclosures; a National Firearms Act stamp to the original application in the space pro- (ii) A completed ATF Form 5320.23 for vided therefor and properly cancel the each responsible person. Form 5320.23 stamp (see § 479.87). The approved appli- requires certain identifying informa- cation will then be returned to the tion, including the responsible person’s transferor. full name, position, home address, date of birth, and country of citizenship if [ATF–41F, 81 FR 2722, Jan. 15, 2016] other than the United States; § 479.85 Identification of transferee. (iii) In the space provided on Form 5320.23, a 2 x 2-inch photograph of each (a) If the transferee is an individual, responsible person, clearly showing a such person shall: full front view of the features of the re- (1) Securely attach to each copy of sponsible person with head bare, with the Form 4, in the space provided on the distance from the top of the head the form, a 2 x 2-inch photograph of the to the point of the chin approximately applicant, clearly showing a full front 1 view of the features of the applicant 1 ⁄4 inches, and which shall have been with head bare, with the distance from taken within 1 year prior to the date of the top of the head to the point of the the application; and chin approximately 11⁄4 inches, and (iv) Two properly completed FBI which shall have been taken within 1 Forms FD–258 (Fingerprint Card) for year prior to the date of the applica- each responsible person. The finger- tion; and prints must be clear for accurate clas- (2) Attach to the application two sification and should be taken by some- properly completed FBI Forms FD–258 one properly equipped to take them. (Fingerprint Card). The fingerprints (c) If the applicant entity has had an must be clear for accurate classifica- application approved as a maker or tion and should be taken by someone transferee within the preceding 24 properly equipped to take them. months, and there has been no change

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to the documentation previously pro- § 479.87 Cancellation of stamp. vided, the entity may provide a certifi- The method of cancellation of the cation that the information has not stamp required by this subpart as pre- been changed since the prior approval scribed in § 479.67 shall be used. and shall identify the application for which the documentation had been sub- EXEMPTIONS RELATING TO TRANSFERS mitted by form number, serial number, OF FIREARMS and date approved. § 479.88 Special (occupational) tax- [ATF–41F, 81 FR 2722, Jan. 15, 2016] payers. § 479.86 Action on application. (a) A firearm registered to a person qualified under this part to engage in The Director will consider a com- business as an importer, manufacturer, pleted and properly executed applica- or dealer may be transferred by that tion, Form 4 (Firearms), to transfer a person without payment of the transfer firearm. If the application is approved, tax to any other person qualified under the Director will affix the appropriate this part to manufacture, import, or National Firearms Act stamp, cancel deal in firearms. it, and return the original application (b) The exemption provided in para- showing approval to the transferor who graph (a) of this section shall be ob- may then transfer the firearm to the tained by the transferor of the firearm transferee along with the approved ap- filing with the Director an application, plication. The approval of an applica- Form 3 (Firearms), Application for tion, Form 4 (Firearms), by the Direc- Tax-exempt Transfer of Firearm and tor will effectuate registration of the Registration to Special (Occupational) firearm to the transferee. The trans- Taxpayer, in duplicate, executed under feree shall not take possession of a fire- the penalties of perjury. The applica- arm until the application, Form 4 tion, Form 3 (Firearms), shall (1) show (Firearms), for the transfer filed by the the name and address of the transferor transferor has been approved by the Di- and of the transferee, (2) identify the rector and registration of the firearm Federal firearms license and special is effectuated to the transferee. The (occupational) tax stamp of the trans- transferee shall retain the approved ap- feror and of the transferee, (3) show the plication as proof that the firearm de- name and address of the manufacturer scribed therein is registered to the and the importer of the firearm, if transferee, and shall make the ap- 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 person not qualified may subject the transferor to civil and as a manufacturer, importer, or dealer criminal liabilities. (See 26 U.S.C. 5852, under this part, the transferee shall be 5861, and 5871.) further identified in the manner pre- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 scribed in § 479.85. If the Director ap- FR 16835, Apr. 15, 1975, and amended by T.D. proves an application, Form 5 (Fire- ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– arms), the original Form 5 (Firearms) 271, 53 FR 17551, May 17, 1988] shall be returned to the transferor with the approval noted thereon. Approval § 479.89 Transfers to the United States. of an application, Form 5 (Firearms), A firearm may be transferred to the by the Director shall effectuate the United States or any department, inde- registration of that firearm to the pendent establishment or agency there- transferee. Upon receipt of the ap- of without payment of the transfer tax. proved 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 Paid Transfer and Registration of Fire- section. Therefore, before engaging in arm, in accordance with § 479.84. The transfer negotiations with the trans- executor, administrator, personal rep- feree, the transferor should satisfy resentative, or other authorized person himself of the claimed exempt status of must also provide documentation pre- the transferee and the bona fides of the scribed in paragraph (c) of this section. transaction. If not fully satisfied, the (c) The executor, administrator, per- transferor should communicate with sonal representative, or other person the Director, report all circumstances authorized under State law to dispose regarding the proposed transfer, and of property in an estate shall submit await the Director’s advice before with the transfer application docu- making application for transfer. An un- mentation of the person’s appointment approved transfer or a transfer to an unauthorized person may subject the as executor, administrator, personal transferor to civil and criminal liabil- representative, or as an authorized per- ities. (See 26 U.S.C. 5852, 5861, and 5871.) son, a copy of the decedent’s death certificate, a copy of the will (if any), any [36 FR 14256, Aug. 3, 1971. Redesignated at 40 other evidence of the person’s author- FR 16835, Apr. 15, 1975, and amended by T.D. ity to dispose of property, and any ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– 241, 51 FR 39632, Oct. 29, 1986; T.D. ATF–270, other document relating to, or affect- 53 FR 10510, Mar. 31, 1988; ATF–41F, 81 FR ing the disposition of firearms from the 2723, Jan. 15, 2016] estate.

§ 479.90a Estates. [ATF–41F, 81 FR 2723, Jan. 15, 2016] (a) The executor, administrator, per- § 479.91 Unserviceable firearms. sonal representative, or other person authorized under State law to dispose An unserviceable firearm may be of property in an estate (collectively transferred as a curio or ornament ‘‘executor’’) may possess a firearm reg- without payment of the transfer tax. istered to a decedent during the term However, the procedures for the trans- of probate without such possession fer of a firearm as provided in § 479.90 being treated as a ‘‘transfer’’ as defined shall be followed in a tax-exempt in § 479.11. No later than the close of transfer of a firearm under this sec- probate, the executor must submit an tion, except a statement shall be en- application to transfer the firearm to tered on the transfer application, Form beneficiaries or other transferees in ac- 5 (Firearms), by the transferor that he cordance with this section. If the is entitled to the exemption because transfer is to a beneficiary, the execu- the firearm to be transferred is tor shall file an ATF Form 5 (5320.5), unservicable and is being transferred as Application for Tax Exempt Transfer a curio or ornament. An unapproved and Registration of Firearm, to reg- transfer, the transfer of a firearm ister a firearm to any beneficiary of an under the provisions of this section estate in accordance with § 479.90. The which is in fact not an unserviceable executor will identify the estate as the firearm, or the transfer of an unserv- transferor, and will sign the form on behalf of the decedent, showing the ex- iceable firearm as something other ecutor’s title (e.g., executor, adminis- than a curio or ornament, may subject trator, personal representative, etc.) the transferor to civil and criminal li- and the date of filing. The executor abilities. (See 26 U.S.C. 5811, 5852, 5861, must also provide the documentation and 5871.) prescribed in paragraph (c) of this sec- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 tion. FR 16835, Apr. 15, 1975, and amended by T.D. (b) If there are no beneficiaries of the ATF–48, 44 FR 55843, Sept. 28, 1979] estate or the beneficiaries do not wish to possess the registered firearm, the § 479.92 Transportation of firearms to executor will dispose of the property effect transfer. outside the estate (i.e., to a non-bene- Notwithstanding any provision of ficiary). The executor shall file an ATF § 478.28 of this chapter, it shall not be Form 4 (5320.4), Application for Tax

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required that authorization be ob- on October 31, 1968, shall be considered tained from the Director for the trans- to have registered the firearms in his portation in interstate or foreign com- possession which are disclosed by that merce of a firearm in order to effect record as being in his possession on Oc- the transfer of a firearm authorized tober 31, 1968. under the provisions of this subpart. (d) The National Firearms Registra- [T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] tion and Transfer Record shall include firearms registered to the possessors OTHER PROVISIONS thereof under the provisions of section 207 of the Gun Control Act of 1968. § 479.93 Transfers of firearms to cer- (e) A person possessing a firearm reg- tain persons. istered to him shall retain proof of reg- Where the transfer of a destructive istration which shall be made available device, machine gun, short-barreled to any ATF officer upon request. shotgun, or short-barreled rifle is to be (f) A firearm not identified as remade by a person licensed under the quired by this part shall not be reg- provisions of Title I of the Gun Control istered. Act of 1968 (82 Stat. 1213) to a person not so licensed, the sworn statement [36 FR 14256, Aug. 3, 1971. Redesignated at 40 required by § 478.98 of this chapter shall FR 16835, Apr. 15, 1975, and amended by T.D. be attached to and accompany the ATF–48, 44 FR 55843, Sept. 28, 1979] transfer application required by this subpart. § 479.102 How must firearms be identified? Subpart G—Registration and (a) You, as a manufacturer, importer, Identification of Firearms or maker of a firearm, must legibly identify the firearm as follows: § 479.101 Registration of firearms. (1) By engraving, casting, stamping (a) The Director shall maintain a (impressing), or otherwise conspicu- central registry of all firearms in the ously placing or causing to be en- United States which are not in the pos- graved, cast, stamped (impressed) or session of or under the control of the placed on the frame or receiver thereof United States. This registry shall be an individual serial number. The serial known as the National Firearms Reg- number must be placed in a manner istration and Transfer Record and shall not susceptible of being readily obliter- include: ated, altered, or removed, and must not (1) Identification of the firearm as re- duplicate any serial number placed by quired by this part; you on any other firearm. For firearms (2) Date of registration; and manufactured, imported, or made on (3) Identification and address of per- and after January 30, 2002, the engrav- son entitled to possession of the fire- ing, casting, or stamping (impressing) arm as required by this part. of the serial number must be to a min- (b) Each manufacturer, importer, and imum depth of .003 inch and in a print maker shall register each firearm he size no smaller than 1⁄16 inch; and manufactures, imports, or makes in (2) By engraving, casting, stamping the manner prescribed by this part. (impressing), or otherwise conspicu- Each firearm transferred shall be reg- ously placing or causing to be en- istered to the transferee by the trans- graved, cast, stamped (impressed), or feror in the manner prescribed by this placed on the frame, receiver, or barrel part. No firearm may be registered by thereof certain additional information. a person unlawfully in possession of This information must be placed in a the firearm except during an amnesty manner not susceptible of being readily period established under section 207 of obliterated, altered or removed. For the Gun Control Act of 1968 (82 Stat. firearms manufactured, imported, or 1235). made on and after January 30, 2002, the (c) A person shown as possessing fire- engraving, casting, or stamping (im- arms by the records maintained by the pressing) of this information must be Director pursuant to the National Fire- to a minimum depth of .003 inch. The arms Act (26 U.S.C. Chapter 53) in force additional information includes:

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(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 (iii) Your name (or recognized abbre- receivers and parts defined as mufflers viation) and also, when applicable, the or silencers upon receipt of a letter ap- name of the foreign manufacturer or plication from you, submitted in dupli- maker; cate, showing that such other identi- (iv) In the case of a domestically fication is reasonable and will not made firearm, the city and State (or hinder the effective administration of recognized abbreviation thereof) where this part. you as the manufacturer maintain your place of business, or where you, as (Approved by the Office of Management and the maker, made the firearm; and Budget under control number 1140–0050) (v) In the case of an imported fire- [T.D. ATF–461, 66 FR 40601, Aug. 3, 2001, as arm, the name of the country in which amended by ATF–11F, 73 FR 57242, Oct. 2, it was manufactured and the city and 2008] State (or recognized abbreviation thereof) where you as the importer § 479.103 Registration of firearms man- maintain your place of business. For ufactured. additional requirements relating to im- Each manufacturer qualified under ported firearms, see Customs regula- this part shall file with the Director an tions at 19 CFR part 134. accurate notice on Form 2 (Firearms), (b) The depth of all markings re- Notice of Firearms Manufactured or quired by this section will be measured Imported, executed under the penalties from the flat surface of the metal and not the peaks or ridges. The height of of perjury, to show his manufacture of serial numbers required by paragraph firearms. The notice shall set forth the (a)(1) of this section will be measured name and address of the manufacturer, as the distance between the latitudinal identify his special (occupational) tax ends of the character impression bot- stamp and Federal firearms license, toms (bases). and show the date of manufacture, the (c) The Director may authorize other type, model, length of barrel, overall means of identification upon receipt of length, caliber, gauge or size, serial a letter application from you, sub- numbers, and other marks of identi- mitted in duplicate, showing that such fication of the firearms he manufac- other identification is reasonable and tures, and the place where the manu- will not hinder the effective adminis- factured firearms will be kept. All fire- tration of this part. arms manufactured by him during a (d) In the case of a destructive de- single day shall be included on one no- vice, the Director may authorize other tice, Form 2 (Firearms), filed by the means of identifying that weapon upon manufacturer no later than the close of receipt of a letter application from the next business day. The manufac- you, submitted in duplicate, showing turer shall prepare the notice, Form 2 that engraving, casting, or stamping (Firearms), in duplicate, file the origi- (impressing) such a weapon would be nal notice as prescribed herein and dangerous or impracticable. keep the copy with the records re- (e) A firearm frame or receiver that quired by subpart I of this part at the is not a component part of a complete weapon at the time it is sold, shipped, premises covered by his special (occu- or otherwise disposed of by you must pational) tax stamp. Receipt of the no- be identified as required by this sec- tice, Form 2 (Firearms), by the Direc- tion. tor shall effectuate the registration of (f)(1) Any part defined as a machine the firearms listed on that notice. The gun, muffler, or silencer for the pur- requirements of this part relating to poses of this part that is not a compo- the transfer of a firearm are applicable nent part of a complete firearm at the to transfers by qualified manufactur- time it is sold, shipped, or otherwise ers. disposed of by you must be identified as required by this section.

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§ 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 registered to it, such as by abandon- a machine gun will be approved except ment or by forfeiture, will register as provided by this section. such firearm with the Director by fil- (b) Machine guns lawfully possessed ing Form 10 (Firearms), Registration of prior to May 19, 1986. A machine gun Firearms Acquired by Certain Govern- possessed in compliance with the provi- mental Entities, and such registration sions of this part prior to May 19, 1986, shall become a part of the National may continue to be lawfully possessed Firearms Registration and Transfer by the person to whom the machine Record. The application shall identify gun is registered and may, upon com- the applicant, describe each firearm pliance with the provisions of this part, covered by the application, show the be lawfully transferred to and pos- location where each firearm usually sessed by the transferee. will be kept, and, if the firearm is un- (c) Importation and manufacture. Sub- serviceable, the application shall show ject to compliance with the provisions how the firearm was made unservice- of this part, importers and manufactur- able. This section shall not apply to a ers qualified under this part may im- firearm merely being held for use as port and manufacture machine guns on evidence in a criminal proceeding. The or after May 19, 1986, for sale or dis- Form 10 (Firearms) shall be executed in tribution to any department or agency duplicate in accordance with the in- of the United States or any State or structions thereon. Upon registering political subdivision thereof, or for use the firearm, the Director shall return by dealers qualified under this part as the original Form 10 (Firearms) to the sales samples as provided in paragraph registrant with notification thereon (d) of this section. The registration of that registration of the firearm has such machine guns under this part and been made. The registration of any their subsequent transfer shall be con- firearm under this section is for offi- ditioned upon and restricted to the sale cial use only and a subsequent transfer or distribution of such weapons for the will be approved only to other govern- official use of Federal, State or local mental entities for official use. governmental entities. Subject to compliance with the provisions of this part, [36 FR 14256, Aug. 3, 1971. Redesignated at 40 manufacturers qualified under this FR 16835, Apr. 15, 1975, and amended by T.D. ATF–241, 51 FR 39633, Oct. 29, 1986; T.D. ATF– part may manufacture machine guns 270, 53 FR 10510, Mar. 31, 1988] on or after May 19, 1986, for exportation in compliance with the Arms Export MACHINE GUNS Control Act (22 U.S.C. 2778) and regulations prescribed thereunder by the De- § 479.105 Transfer and possession of partment of State. machine guns. (d) Dealer sales samples. Subject to (a) General. As provided by 26 U.S.C. compliance with the provisions of this 5812 and 26 U.S.C. 5822, an application part, applications to transfer and reg- to make or transfer a firearm shall be ister a machine gun manufactured or denied if the making, transfer, receipt, imported on or after May 19, 1986, to or possession of the firearm would dealers qualified under this part will be place the maker or transferee in viola- approved if it is established by specific tion of law. Section 922(o), Title 18, information the expected govern- U.S.C., makes it unlawful for any per- mental customers who would require a son to transfer or possess a machine demonstration of the weapon, informa- gun, except a transfer to or by, or pos- tion as to the availability of the ma- session by or under the authority of, chine gun to fill subsequent orders, and the United States or any department letters from governmental entities ex- or agency thereof or a State, or a de- pressing a need for a particular model

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or interest in seeing a demonstration ment, or agency thereof or any State of a particular weapon. Applications to or possession or any political subdivi- transfer more than one machine gun of sion thereof; or a particular model to a dealer must (2) Scientific or research purposes; or also establish the dealer’s need for the (3) Testing or use as a model by a quantity of samples sought to be trans- registered manufacturer or solely for ferred. use as a sample by a registered im- (e) The making of machine guns on or porter or registered dealer. after May 19, 1986. Subject to compliance with the provisions of this part, The burden of proof is affirmatively on applications to make and register ma- any person importing or bringing the chine guns on or after May 19, 1986, for firearm into the United States or any the benefit of a Federal, State or local territory under its control or jurisdic- governmental entity (e.g., an invention tion to show that the firearm is being for possible future use of a govern- imported or brought in under one of mental entity or the making of a weap- the above paragraphs. Any person de- on in connection with research and desiring to import or bring a firearm into velopment on behalf of such an entity) the United States under this paragraph will be approved if it is established by shall file with the Director an applica- specific information that the machine tion on Form 6 (Firearms), Application gun is particularly suitable for use by and Permit for Importation of Fire- Federal, State or local governmental arms, Ammunition and Implements of entities and that the making of the War, in triplicate, executed under the weapon is at the request and on behalf penalties of perjury. The application of such an entity. shall show the information required by (f) Discontinuance of business. Since subpart G of Part 478 of this chapter. A section 922(o), Title 18, U.S.C., makes it detailed explanation of why the impor- unlawful to transfer or possess a ma- tation of the firearm falls within the chine gun except as provided in the standards set out in this paragraph law, any qualified manufacturer, im- shall be attached to the application. porter, or dealer intending to dis- The person seeking to import or bring continue business shall, prior to going in the firearm will be notified of the out of business, transfer in compliance approval or disapproval of his applica- with the provisions of this part any tion. If the application is approved, the machine gun manufactured or im- original Form 6 (Firearms) will be reported after May 19, 1986, to a Federal, turned to the applicant showing such State or local governmental entity, approval and he will present the ap- qualified manufacturer, qualified im- proved application, Form 6 (Firearms), porter, or, subject to the provisions of to the Customs officer at the port of paragraph (d) of this section, dealer importation. The approval of an appli- qualified to possess such, machine gun. cation to import a firearm shall be [T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] automatically terminated at the expiration of two years from the date of ap- Subpart H—Importation and proval unless, upon request, it is fur- Exportation ther extended by the Director. If the firearm described in the approved ap- IMPORTATION plication is not imported prior to the expiration of the approval, the Director § 479.111 Procedure. shall be so notified. Customs officers (a) No firearm shall be imported or will not permit release of a firearm brought into the United States or any from Customs custody, except for ex- territory under its control or jurisdic- portation, unless covered by an appli- tion unless the person importing or cation which has been approved by the bringing in the firearm establishes to Director and which is currently effec- the satisfaction of the Director that tive. The importation or bringing in of the firearm to be imported or brought a firearm not covered by an approved in is being imported or brought in for: application may subject the person re- (1) The use of the United States or sponsible to civil and criminal liabil- any department, independent establish- ities. (26 U.S.C. 5861, 5871, and 5872.)

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(b) Part 478 of this chapter also con- premises covered by the special (occu- tains requirements and procedures for pational) tax stamp. The timely re- the importation of firearms into the ceipt by the Director of the notice, United States. A firearm may not be Form 2 (Firearms), and the timely re- imported into the United States under ceipt by the Director of the copy of this part unless those requirements Form 6A (Firearms), Release and Re- and procedures are also complied with ceipt of Imported Firearms, Ammuni- by the person importing the firearm. tion and Implements of War, required (c) The provisions of this subpart by § 478.112 of this chapter, covering the shall not be construed as prohibiting weapon reported on the Form 2 (Fire- the return to the United States or any arms) by the qualified importer, shall territory under its control or jurisdic- effectuate the registration of the fire- tion of a firearm by a person who can arm to the importer. establish to the satisfaction of Cus- (b) The requirements of this part re- toms that (1) the firearm was taken lating to the transfer of a firearm are out of the United States or any terri- applicable to the transfer of imported tory under its control or jurisdiction firearms by a qualified importer or any by such person, (2) the firearm is reg- other person. istered to that person, and (3) if appro- (c) Subject to compliance with the priate, the authorization required by provisions of this part, an application, Part 478 of this chapter for the trans- Form 6 (Firearms), to import a firearm portation of such a firearm in inter- by an importer or dealer qualified state or foreign commerce has been ob- under this part, for use as a sample in tained by such person. connection with sales of such firearms to Federal, State or local govern- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. mental entities, will be approved if it ATF–48, 44 FR 55843, Sept. 28, 1979; ATF–325, is established by specific information 57 FR 29787, July 7, 1992; ATF–26F, 79 FR 7396, attached to the application that the Feb. 7, 2014] firearm is suitable or potentially suitable for use by such entities. Such in- § 479.112 Registration of imported fire- formation must show why a sales sam- arms. ple of a particular firearm is suitable (a) Each importer shall file with the for such use and the expected govern- Director an accurate notice on Form 2 mental customers who would require a (Firearms), Notice of Firearms Manu- demonstration of the firearm. Informa- factured or Imported, executed under tion as to the availability of the fire- the penalties of perjury, showing the arm to fill subsequent orders and let- importation of a firearm. The notice ters from governmental entities ex- shall set forth the name and address of pressing a need for a particular model the importer, identify the importer’s or interest in seeing a demonstration special (occupational) tax stamp and of a particular firearm would establish Federal firearms license, and show the suitability for governmental use. Ap- import permit number, the date of re- plications to import more than one lease from Customs custody, the type, firearm of a particular model for use as model, length of barrel, overall length, a sample by an importer or dealer must caliber, gauge or size, serial number, also establish the importer’s or dealer’s and other marks of identification of need for the quantity of samples the firearm imported, and the place sought to be imported. where the imported firearm will be (d) Subject to compliance with the kept. The Form 2 (Firearms) covering provisions of this part, an application, an imported firearm shall be filed by Form 6 (Firearms), to import a firearm the importer no later than fifteen (15) by an importer or dealer qualified days from the date the firearm was re- under this part, for use as a sample in leased from Customs custody. The im- connection with sales of such firearms porter shall prepare the notice, Form 2 to Federal, State or local govern- (Firearms), in duplicate, file the origi- mental entities, will be approved if it nal return as prescribed herein, and is established by specific information keep the copy with the records re- attached to the application that the quired by subpart I of this part at the firearm is particularly suitable for use

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by such entities. Such information tax must file with the Director an ap- must show why a sales sample of a par- plication on Form 9 (Firearms), Appli- ticular firearm is suitable for such use cation and Permit for Exportation of and the expected governmental cus- Firearms, in quadruplicate, for a per- tomers who would require a demonstra- mit providing for deferment of tax li- tion of the firearm. Information as to ability. Part 1 of the application shall the availability of the firearm to fill show the name and address of the for- subsequent orders and letters from gov- eign consignee, number of firearms ernmental entities expressing a need covered by the application, the infor a particular model or interest in tended port of exportation, a complete seeing a demonstration of a particular description of each firearm to be ex- firearm would establish suitability for ported, the name, address, State De- governmental use. Applications to im- partment license number (or date of port more than one firearm of a par- application if not issued), and identi- ticular model for use as a sample by an fication of the special (occupational) importer or dealer must also establish tax stamp of the transferor. Part 1 of the importer’s or dealer’s need for the the application shall be executed under quantity of samples sought to be im- the penalties of perjury by the transported. feror and shall be supported by a cer- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 tified copy of a written order or con- FR 16835, Apr. 15, 1975, and amended by T.D. tract of sale or other evidence showing ATF–241, 51 FR 39633, Oct. 29, 1986; T.D. ATF– that the firearm is to be shipped to a 270, 53 FR 10511, Mar. 31, 1988] foreign designation. Where it is desired to make a transfer free of tax to an- § 479.113 Conditional importation. other person who in turn will export The Director shall permit the condi- the firearm, the transferor shall like- tional importation or bringing into the wise file an application supported by United States of any firearm for the evidence that the transfer will start purpose of examining and testing the the firearm in course of exportation, firearm in connection with making a except, however, that where such determination as to whether the im- transferor and exporter are registered portation or bringing in of such fire- special-taxpayers the transferor will arm will be authorized under this sub- not be required to file an application part. An application under this section on Form 9 (Firearms). shall be filed on Form 6 (Firearms), in triplicate, with the Director. The Di- § 479.115 Action by Director. rector may impose conditions upon any If the application is acceptable, the importation under this section includ- Director will execute the permit, Part ing a requirement that the firearm be 2 of Form 9 (Firearms), to export the shipped directly from Customs custody firearm described on the form and re- to the Director and that the person im- turn three copies thereof to the appli- porting or bringing in the firearm must cant. Issuance of the permit by the Di- agree to either export the weapon or rector will suspend assertion of tax li- destroy it if a final determination is ability for a period of six (6) months made that it may not be imported or from the date of issuance. If the appli- brought in under this subpart. A fire- cation is disapproved, the Director will arm so imported or brought into the indicate thereon the reason for such United States may be released from action and return the forms to the ap- Customs custody in the manner pre- plicant. scribed by the conditional authorization of the Director. § 479.116 Procedure by exporter. [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] Shipment may not be made until the permit, Form 9 (Firearms), is received EXPORTATION from the Director. If exportation is to be made by means other than by parcel § 479.114 Application and permit for post, two copies of the form must be exportation of firearms. addressed to the District Director of Any person desiring to export a fire- Customs at the port of exportation, arm without payment of the transfer and must precede or accompany the

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shipment in order to permit appro- exportation under this section will re- priate inspection prior to lading. If ex- lieve the actual exporter and the per- portation is to be made by parcel post, son selling to the exporter for expor- one copy of the form must be presented tation from transfer tax liability. to the postmaster at the office receiv- Where satisfactory evidence of expor- ing the parcel who will execute Part 4 tation of a firearm is not furnished of such form and return the form to the within the stated period, the transfer exporter for transmittal to the Direc- tax will be assessed. tor. In the event exportation is not effected, all copies of the form must be § 479.119 Transportation of firearms to immediately returned to the Director effect exportation. for cancellation. Notwithstanding any provision of § 478.28 of this chapter, it shall not be § 479.117 Action by Customs. required that authorization be ob- Upon receipt of a permit, Form 9 tained from the Director for the trans- (Firearms), in duplicate, authorizing portation in interstate or foreign com- the exportation of firearms, the Dis- merce of a firearm in order to effect trict Director of Customs may order the exportation of a firearm authorized such inspection as deemed necessary under the provisions of this subpart. prior to lading of the merchandise. If [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] satisfied that the shipment is proper and the information contained in the § 479.120 Refunds. permit to export is in agreement with Where, after payment of tax by the information shown in the shipper’s ex- manufacturer, a firearm is exported, port declaration, the District Director and satisfactory proof of exportation of Customs will, after the merchandise (see § 479.118) is furnished, a claim for has been duly exported, execute the refund may be submitted on Form 843 certificate of exportation (Part 3 of (see § 479.172). If the manufacturer Form 9 (Firearms)). One copy of the waives all claim for the amount to be form will be retained with the shipper’s refunded, the refund shall be made to export declaration and the remaining the exporter. A claim for refund by an copy thereof will be transmitted to the exporter of tax paid by a manufacturer Director. should be accompanied by waiver of the manufacturer and proof of tax payment § 479.118 Proof of exportation. by the latter. Within a six-month’s period from date of issuance of the permit to export § 479.121 Insular possessions. firearms, the exporter shall furnish or Transfers of firearms to persons in cause to be furnished to the Director the insular possessions of the United (a) the certificate of exportation (Part States are exempt from transfer tax, 3 of Form 9 (Firearms)) executed by the provided title in cases involving District Director of Customs as pro- change of title (and custody or control, vided in § 479.117, or (b) the certificate in cases not involving change of title), of mailing by parcel post (Part 4 of does not pass to the transferee or his Form 9 (Firearms)) executed by the agent in the United States. However, postmaster of the post office receiving such exempt transactions must be cov- the parcel containing the firearm, or ered by approved permits and sup- (c) a certificate of landing executed by porting documents corresponding to a Customs officer of the foreign coun- those required in the case of firearms try to which the firearm is exported, or exported to foreign countries (see (d) a sworn statement of the foreign §§ 479.114 and 479.115), except that the consignee covering the receipt of the Director may vary the requirements firearm, or (e) the return receipt, or a herein set forth in accordance with the reproduced copy thereof, signed by the requirements of the governing author- addressee or his agent, where the ship- ity of the insular possession. Ship- ment of a firearm was made by insured ments to the insular possessions will or registered parcel post. Issuance of a not be authorized without compliance permit to export a firearm and fur- with the requirements of the governing nishing of evidence establishing such authorities thereof. In the case of a

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nontaxable transfer to a person in such tion at all reasonable times by ATF of- insular possession, the exemption ex- ficers. tends only to such transfer and not to (Approved by the Office of Management and prior transfers. Budget under control number 1140–0032) [36 FR 14256, Aug. 3, 1971. Redesignated by 40 ARMS EXPORT CONTROL ACT FR 16835, Apr. 15, 1975, and amended by T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; ATF–11F, § 479.122 Requirements. 73 FR 57242, Oct. 2, 2008] (a) Persons engaged in the business of importing firearms are required by the Subpart J—Stolen or Lost Firearms Arms Export Control Act (22 U.S.C. or Documents 2778) to register with the Director. (See Part 447 of this chapter.) § 479.141 Stolen or lost firearms. (b) Persons engaged in the business of Whenever any registered firearm is exporting firearms caliber .22 or larger stolen or lost, the person losing posses- are subject to the requirements of a li- sion thereof will, immediately upon cense issued by the Secretary of State. discovery of such theft or loss, make a Application for such license should be report to the Director showing the fol- made to the Office of Munitions Con- lowing: trol, Department of State, Washington, (a) Name and address of the person in DC 20502, prior to exporting firearms. whose name the firearm is registered, (b) kind of firearm, (c) serial number, [36 FR 14256, Aug. 3, 1971. Redesignated at 40 (d) model, (e) caliber, (f) manufacturer FR 16835, Apr. 15, 1975, and amended by T.D. of the firearm, (g) date and place of ATF–241, 51 FR 39634, Oct. 29, 1986; T.D. ATF– theft or loss, and (h) complete state- 270, 53 FR 10511, Mar. 31, 1988] ment of facts and circumstances surrounding such theft or loss. Subpart I—Records and Returns § 479.142 Stolen or lost documents. § 479.131 Records. When any Forms 1, 2, 3, 4, 5, 6A, or 10 For the purposes of this part, each (Firearms) evidencing possession of a manufacturer, importer, and dealer in firearm is stolen, lost, or destroyed, firearms shall keep and maintain such the person losing possession will imme- records regarding the manufacture, im- diately upon discovery of the theft, portation, acquisition (whether by loss, or destruction report the matter making, transfer, or otherwise), re- to the Director. The report will show in ceipt, and disposition of firearms as are detail the circumstances of the theft, prescribed, and in the manner and loss, or destruction and will include all place required, by part 478 of this chap- known facts which may serve to identify the document. Upon receipt of the ter. In addition, each manufacturer, report, the Director will make such in- importer, and dealer shall maintain, in vestigation as appears appropriate and chronological order, at his place of may issue a duplicate document upon business a separate record consisting of such conditions as the circumstances the documents required by this part warrant. showing the registration of any firearm to him. If firearms owned or possessed Subpart K—Examination of Books by a manufacturer, importer, or dealer and Records are stored or kept on premises other than the place of business shown on his § 479.151 Failure to make returns: Sub- special (occupational) tax stamp, the stitute returns. record establishing registration shall If any person required by this part to show where such firearms are stored or make returns shall fail or refuse to kept. The records required by this part make any such return within the time shall be readily accessible for inspec- prescribed by this part or designated by the Director, then the return shall be made by an ATF officer upon inspection of the books, but the making of

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such return by an ATF officer shall not Subpart M—Redemption of or relieve the person from any default or Allowance for Stamps or Refunds penalty incurred by reason of failure to make such return. § 479.171 Redemption of or allowance for stamps. (53 Stat. 437; 26 U.S.C. 6020) Where a National Firearms Act § 479.152 Penalties (records and re- stamp is destroyed, mutilated or ren- turns). dered useless after purchase, and before Any person failing to keep records or liability has been incurred, such stamp make returns, or making, or causing may be redeemed by giving another the making of, a false entry on any ap- stamp in lieu thereof. Claim for re- plication, return or record, knowing demption of the stamp should be filed such entry to be false, is liable to fine on ATF Form 2635 (5620.8) with the Di- and imprisonment as provided in sec- rector. Such claim shall be accom- tion 5871, I.R.C. panied by the stamp or by a satisfactory explanation of the reasons why the stamp cannot be returned, and Subpart L—Distribution and Sale of shall be filed within 3 years after the Stamps purchase of the stamp. § 479.161 National Firearms Act (68A Stat. 830; 26 U.S.C. 6805) stamps. [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] ‘‘National Firearms Act’’ stamps evidencing payment of the transfer tax or § 479.172 Refunds. tax on the making of a firearm are As indicated in this part, the transfer maintained by the Director. The remit- tax or tax on the making of a firearm tance for purchase of the appropriate is ordinarily paid by the purchase and tax stamp shall be submitted with the affixing of stamps, while special tax application. Upon approval of the ap- stamps are issued in payment of special plication, the Director will cause the (occupational) taxes. However, in ex- appropriate tax to be paid by affixing ceptional cases, transfer tax, tax on the appropriate stamp to the applica- the making of firearms, and/or special tion. (occupational) tax may be paid pursu- [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] ant to assessment. Claims for refunds of such taxes, paid pursuant to assess- § 479.162 Stamps authorized. ment, shall be filed on ATF Form 2635 (5620.8) within 3 years next after pay- Adhesive stamps of the $5 and $200 ment of the taxes. Such claims shall be denomination, bearing the words ‘‘Na- filed with the Chief, National Firearms tional Firearms Act,’’ have been pre- Act Branch serving the region in which pared and only such stamps shall be the tax was paid. (For provisions relat- used for the payment of the transfer ing to hand-carried documents and tax and for the tax on the making of a manner of filing, see 26 CFR 301.6091– firearm. 1(b) and 301.6402–2(a).) When an appli- [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] cant to make or transfer a firearm wishes a refund of the tax paid on an § 479.163 Reuse of stamps prohibited. approved application where the firearm A stamp once affixed to one docu- was not made pursuant to an approved ment cannot lawfully be removed and Form 1 (Firearms) or transfer of the firearm did not take place pursuant to affixed to another. Any person willfully an approved Form 4 (Firearms), the ap- reusing such a stamp shall be subject plicant shall file a claim for refund of to the penalty prescribed by 26 U.S.C. the tax on ATF Form 2635 (5620.8) with 7208. the Director. The claim shall be ac- [36 FR 14256, Aug. 3, 1971. Redesignated by 40 companied by the approved application FR 16835, Apr. 15, 1975, and amended by T.D. bearing the stamp and an explanation ATF–48, 44 FR 55843, Sept. 28, 1979] why the tax liability was not incurred.

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Such claim shall be filed within 3 years Subpart O—Other Laws next after payment of the tax. Applicable (68A Stat. 808, 830; 26 U.S.C. 6511, 6805) § 479.191 Applicability of other provi- [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988,as amended by ATF 2013R–9F, 79 FR 46693, Aug. sions of internal revenue laws. 11, 2014] All of the provisions of the internal revenue laws not inconsistent with the Subpart N—Penalties and provisions of 26 U.S.C. Chapter 53 shall Forfeitures be applicable with respect to the taxes imposed by 26 U.S.C. 5801, 5811, and 5821 § 479.181 Penalties. (see 26 U.S.C. 5846). Any person who violates or fails to comply with the requirements of 26 [T.D. ATF–48, 44 FR 55843, Sept. 28, 1979] U.S.C. Chapter 53 shall, upon convic- § 479.192 Commerce in firearms and tion, be subject to the penalties im- ammunition. posed under 26 U.S.C. 5871. For provisions relating to commerce [T.D. ATF–48, 44 FR 55843, Sept. 28, 1979] in firearms and ammunition, including § 479.182 Forfeitures. the movement of destructive devices, machine guns, short-barreled shotguns, Any firearm involved in any viola- or short-barreled rifles, see 18 U.S.C. tion of the provisions of 26 U.S.C. Chap- Chapter 44, and Part 478 of this chapter ter 53, shall be subject to seizure, and forfeiture under the internal revenue issued pursuant thereto. laws: Provided, however, That the dis- [36 FR 14256, Aug. 3, 1971. Redesignated by 40 position of forfeited firearms shall be FR 16835, Apr. 15, 1975, and amended by T.D. in conformance with the requirements ATF–48, 44 FR 55843, Sept. 28, 1979] of 26 U.S.C. 5872. In addition, any vessel, vehicle or aircraft used to trans- § 479.193 Arms Export Control Act. port, carry, convey or conceal or pos- For provisions relating to the reg- sess any firearm with respect to which istration and licensing of persons en- there has been committed any viola- gaged in the business of manufac- tion of any provision of 26 U.S.C. Chap- turing, importing or exporting arms, ter 53, or the regulations in this part ammunition, or implements of war, see issued pursuant thereto, shall be subject to seizure and forfeiture under the the Arms Export Control Act (22 U.S.C. Customs laws, as provided by the act of 2778), and the regulations issued pursu- August 9, 1939 (49 U.S.C. App., Chapter ant thereto. (See also Part 447 of this 11). chapter.) [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988] [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988]

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PART 555—COMMERCE IN 555.60 Certain continuances of business or operations. EXPLOSIVES 555.61 Discontinuance of business or operations. Subpart A—Introduction 555.62 State or other law. 555.63 Explosives magazine changes. Sec. 555.1 Scope of regulations. Subpart E—License and Permit 555.2 Relation to other provisions of law. Proceedings Subpart B—Definitions 555.71 Opportunity for compliance. 555.72 Denial of initial application. 555.11 Meaning of terms. 555.73 Hearing after initial application is denied. Subpart C—Administrative and 555.74 Denial of renewal application or rev- Miscellaneous Provisions ocation of license or permit. 555.75 Hearing after denial of renewal appli- 555.21 Forms prescribed. cation or revocation of license or permit. 555.22 Alternate methods or procedures; 555.76 Action by Director, Industry Oper- emergency variations from require- ations. ments. 555.77 Designated place of hearing. 555.23 List of explosive materials. 555.78 Representation at a hearing. 555.24 Right of entry and examination. 555.79 Appeal on petition to the Director. 555.25 Disclosure of information. 555.80 Court review. 555.26 Prohibited shipment, transportation, 555.81 Service on applicant, licensee, or per- receipt, possession, or distribution of ex- mittee. plosive materials. 555.82 Rules of practice in license and per- 555.27 [Reserved] mit proceedings. 555.28 Stolen explosive materials. 555.83 Operations by licensees or permittees 555.29 Unlawful storage. after notice of denial or revocation. 555.30 Reporting theft or loss of explosive materials. Subpart F—Conduct of Business or 555.31 Inspection of site of accidents or Operations fires; right of entry. 555.32 Special explosive devices. 555.101 Posting of license or user permit. 555.33 Background checks and clearances. 555.102 Authorized operations by permit- 555.34 Replacement of stolen or lost ATF tees. Form 5400.30 (Intrastate Purchase of Ex- 555.103 Transactions among licensees/per- plosives Coupon (IPEC)). mittees and transactions among licensees and holders of user permits. Subpart D—Licenses and Permits 555.104 Certified copy of license or permit. 555.105 Distributions to limited permittees. 555.41 General. 555.106 Certain prohibited distributions. 555.42 License fees. 555.107 Record of transactions. 555.43 Permit fees. 555.108 Importation. 555.44 License or permit fee not refundable. 555.109 Identification of explosive materials. 555.45 Original license or permit. 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. 555.121 General. 555.50 Correction of error on license or per- 555.122 Records maintained by licensed im- mit. porters. 555.51 Duration of license or permit. 555.123 Records maintained by licensed 555.52 Limitations on license or permit. manufacturers. 555.53 License and permit not transferable. 555.124 Records maintained by licensed deal- 555.54 Change of address. ers. 555.56 Change in trade name. 555.125 Records maintained by permittees. 555.57 Change of control, change in respon- 555.126 Limited Permittee Transaction Re- sible persons, and change of employees. port for distribution of explosive mate- 555.58 Continuing partnerships. rials. 555.59 Right of succession by certain per- 555.127 Daily summary of magazine trans- sons. actions.

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555.128 Discontinuance of business. 555.223 Table of distances between fireworks 555.129 Exportation. process buildings and other specified 555.130 [Reserved] areas. 555.224 Table of distances for the storage of Subpart H—Exemptions display fireworks (except bulk salutes). 555.141 Exemptions. AUTHORITY: 18 U.S.C. 847. 555.142 Relief from disabilities. 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 by T.D. ATF–487, 68 FR 3748, cense. Jan. 24, 2003. 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 plastic explosives. Regulation of Explosives (18 U.S.C. 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. (b) Procedural and substantive require- 555.186 Seizure or forfeiture. ments. This part contains the proce- Subpart K—Storage dural and substantive requirements relative to: 555.201 General. (1) The interstate or foreign com- 555.202 Classes of explosive materials. merce in explosive materials; 555.203 Types of magazines. (2) The licensing of manufacturers 555.204 Inspection of magazines. and importers of, and dealers in, explo- 555.205 Movement of explosive materials. 555.206 Location of magazines. sive materials; 555.207 Construction of type 1 magazines. (3) The issuance of permits; 555.208 Construction of type 2 magazines. (4) The conduct of business by licens- 555.209 Construction of type 3 magazines. ees and operations by permittees; 555.210 Construction of type 4 magazines. (5) The storage of explosive mate- 555.211 Construction of type 5 magazines. rials; 555.212 Smoking and open flames. (6) The records and reports required 555.213 Quantity and storage restrictions. 555.214 Storage within types 1, 2, 3, and 4 of licensees and permittees; magazines. (7) Relief from disabilities under this 555.215 Housekeeping. part; 555.216 Repair of magazines. (8) Exemptions, unlawful acts, pen- 555.217 Lighting. alties, seizures, and forfeitures; and 555.218 Table of distances for storage of ex- (9) The marking of plastic explosives. plosive materials. 555.219 Table of distances for storage of low [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as explosives. amended by T.D. ATF–363, 60 FR 17449, Apr. 555.220 Table of separation distances of am- 6, 1995; T.D. ATF–387, 62 FR 8376, Feb. 25, monium nitrate and blasting agents from 1997; ATF No. 1, 68 FR 13780, Mar. 20, 2003] explosives or blasting agents. 555.221 Requirements for display fireworks, § 555.2 Relation to other provisions of pyrotechnic compositions, and explosive law. materials used in assembling fireworks The provisions in this part are in ad- or articles pyrotechnic. 555.222 Table of distances between fireworks dition to, and are not in lieu of, any process buildings and between fireworks other provision of law, or regulations, process and fireworks nonprocess build- respecting commerce in explosive ma- ings. terials. For regulations applicable to

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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 war, see section 38 of the Arms Export of residence, telephone numbers (home Control Act (22 U.S.C. 2778), and regula- and work), country or countries of citi- tions of Part 447 of this chapter and in zenship, and position at the employer’s Parts 121 through 128 of Title 22, Code business or operations of responsible of Federal Regulations. For statutes persons and employees authorized to applicable to nonmailable materials, possess explosive materials; see 18 U.S.C. 1716 and implementing (b) The business name, address, and regulations. For statutes applicable to license or permit number with which water quality standards, see 33 U.S.C. the responsible person or employee is 1341. affiliated; (c) If an alien, INS-issued alien num- Subpart B—Definitions ber or admission number; and (d) Social security number, as op- § 555.11 Meaning of terms. tional information (this information is When used in this part, terms are de- not required but is helpful in avoiding fined as follows in this section. Words misidentification when a background in the plural form include the singular, check is conducted). and vice versa, and words indicating Approved storage facility. A place the masculine gender include the femi- where explosive materials are stored, nine. The terms ‘‘includes’’ and ‘‘in- consisting of one or more approved cluding’’ do not exclude other things magazines, conforming to the require- not named which are in the same gen- ments of this part and covered by a li- eral class or are otherwise within the cense or permit issued under this part. scope of the term defined. Articles pyrotechnic. Pyrotechnic de- Act. 18 U.S.C. Chapter 40. Adjudicated as a mental defective. (a) A vices for professional use similar to determination by a court, board, com- consumer fireworks in chemical commission, or other lawful authority that position and construction but not in- a person, as a result of marked sub- tended for consumer use. Such articles normal intelligence, or mental illness, meeting the weight limits for con- incompetency, condition, or disease: sumer fireworks but not labeled as (1) Is a danger to himself or to oth- such and classified by U.S. Department ers; or of Transportation regulations in 49 (2) Lacks the mental capacity to con- CFR 172.101 as UN0431 or UN0432. tract or manage his own affairs. Artificial barricade. An artificial (b) The term will include— mound or revetted wall of earth of a (1) A finding of insanity by a court in minimum thickness of three feet, or a criminal case; and any other approved barricade that of- (2) Those persons found incompetent fers equivalent protection. to stand trial or found not guilty by ATF. The Bureau of Alcohol, To- reason of lack of mental responsibility bacco, Firearms and Explosives, De- by any court or pursuant to articles 50a partment of Justice. and 76b of the Uniform Code of Military Justice, 10 U.S.C. 850a, 876b. ATF officer. An officer or employee of Alien. Any person who is not a citizen the Bureau of Alcohol, Tobacco, Fire- or national of the United States. arms and Explosives (ATF), Depart- Ammunition. Small arms ammunition ment of Justice authorized to perform or cartridge cases, primers, bullets, or any function relating to the adminis- smokeless propellants designed for use tration or enforcement of this part.

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Authority having jurisdiction for fire materials are manufactured, imported, safety. The fire department having ju- stored or distributed. The premises in- risdiction over sites where explosives clude the property where the records of are manufactured or stored. a manufacturer, importer, or dealer are Barricaded. The effective screening of kept if different than the premises a magazine containing explosive mate- where explosive materials are manu- rials from another magazine, a build- factured, imported, stored or distrib- ing, a railway, or a highway, either by uted. When used with respect to a user a natural barricade or by an artificial of explosive materials, the property on barricade. To be properly barricaded, a which the explosive materials are re- straight line from the top of any side- ceived or stored. The premises includes wall of the magazine containing explo- the property where the records of the sive materials to the eave line of any users are kept if different than the other magazine or building, or to a premises where explosive materials are point 12 feet above the center of a rail- received or stored. way or highway, will pass through the Chief, Firearms and Explosives Licens- natural or artificial barricade. ing Center. The ATF official responsible Blasting agent. Any material or mix- for the issuance and renewal of licenses ture, consisting of fuel and oxidizer, and permits under this part. that is intended for blasting and not Committed to a mental institution. A otherwise defined as an explosive; if formal commitment of a person to a the finished product, as mixed for use mental institution by a court, board, or shipment, cannot be detonated by commission, or other lawful authority. means of a number 8 test blasting cap The term includes a commitment to a when unconfined. A number 8 test mental institution involuntarily. The blasting cap is one containing 2 grams term includes commitment for mental of a mixture of 80 percent mercury ful- defectiveness or mental illness. It also minate and 20 percent potassium chlo- includes commitments for other rea- rate, or a blasting cap of equivalent sons, such as for drug use. The term strength. An equivalent strength cap does not include a person in a mental comprises 0.40–0.45 grams of PETN base institution for observation or a vol- charge pressed in an aluminum shell with bottom thickness not to exceed to untary admission to a mental institu- 0.03 of an inch, to a specific gravity of tion. not less than 1.4 g/cc., and primed with Common or contract carrier. Any indi- standard weights of primer depending vidual or organization engaged in the on the manufacturer. business of transporting passengers or Bulk salutes. Salute components prior goods. to final assembly into aerial shells, and Consumer fireworks. Any small fire- finished salute shells held separately work device designed to produce visible prior to being packed with other types effects by combustion and which must of display fireworks. comply with the construction, chem- Bullet-sensitive explosive materials. Ex- ical composition, and labeling regula- plosive materials that can be exploded tions of the U.S. Consumer Product by 150-grain M2 ball ammunition hav- Safety Commission, as set forth in title ing a nominal muzzle velocity of 2700 16, Code of Federal Regulations, parts fps (824 mps) when fired from a .30 cal- 1500 and 1507. Some small devices de- iber rifle at a distance of 100 ft (30.5 m), signed to produce audible effects are measured perpendicular. The test ma- included, such as whistling devices, terial is at a temperature of 70 to 75 de- ground devices containing 50 mg or less grees F (21 to 24 degrees C) and is of explosive materials, and aerial de- placed against a 1⁄2 inch (12.4 mm) steel vices containing 130 mg or less of ex- backing plate. plosive materials. Consumer fireworks Bureau. The Bureau of Alcohol, To- are classified as fireworks UN0336, and bacco, Firearms and Explosives, De- UN0337 by the U.S. Department of partment of Justice. Transportation at 49 CFR 172.101. This Business premises. When used with re- term does not include fused setpieces spect to a manufacturer, importer, or containing components which together dealer, the property on which explosive exceed 50 mg of salute powder.

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Controlled substance. A drug or other Display fireworks. Large fireworks de- substance, or immediate precursor, as signed primarily to produce visible or defined in section 102 of the Controlled audible effects by combustion, defla- Substances Act, 21 U.S.C. 802. The term gration, or detonation. This term in- includes, but is not limited to, mari- cludes, but is not limited to, salutes juana, depressants, stimulants, and containing more than 2 grains (130 mg) narcotic drugs. The term does not in- of explosive materials, aerial shells clude distilled spirits, wine, malt bev- containing more than 40 grams of pyro- erages, or tobacco, as those terms are technic compositions, and other dis- defined or used in Subtitle E of the In- play pieces which exceed the limits of ternal Revenue Code of 1986, as amend- explosive materials for classification ed. as ‘‘consumer fireworks.’’ Display fire- Crime punishable by imprisonment for a works are classified as fireworks term exceeding one year. Any offense for UN0333, UN0334 or UN0335 by the U.S. which the maximum penalty, whether Department of Transportation at 49 or not imposed, is capital punishment CFR 172.101. This term also includes or imprisonment in excess of one year. fused setpieces containing components The term does not include (a) any Fed- which together exceed 50 mg of salute eral or State offenses pertaining to powder. antitrust violations, unfair trade prac- Distribute. To sell, issue, give, trans- tices, restraints of trade, or (b) any fer, or otherwise dispose of. The term State offense (other than one involving does not include a mere change of pos- a firearm or explosive) classified by the session from a person to his agent or laws of the State as a misdemeanor and employee in connection with the agen- punishable by a term of imprisonment cy or employment. of two years or less. Executed under penalties of perjury. Customs officer. Any officer of U.S. Signed with the required declaration Customs and Border Protection, any under the penalties of perjury as pro- commissioned, warrant, or petty offi- vided on or with respect to the return, cer of the Coast Guard, or any agent or form, or other document or, where no other person authorized by law to perform of declaration is required, with form the duties of a customs officer. the declaration: Dealer. Any person engaged in the 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 support thereof, has been examined by me and, tiating detonation in an explosive. The to the best of my knowledge and belief, is term includes, but is not limited to, true, correct, and complete’’. electric blasting caps of instantaneous and delay types, blasting caps for use Explosive actuated device. Any tool or with safety fuses, detonating-cord special mechanized device which is ac- delay connectors, and nonelectric in- tuated by explosives, but not a propel- stantaneous and delay blasting caps. lent actuated device. Director. The Director, Bureau of Al- Explosive materials. Explosives, blast- cohol, Tobacco, Firearms and Explo- ing agents, water gels and detonators. sives, Department of Justice. Explosive materials include, but are Director, Industry Operations. The not limited to, all items in the ‘‘List of principal field division official respon- Explosive Materials’’ provided for in sible for administering regulations in § 555.23. this part. Explosives. Any chemical compound, Discharged under dishonorable condi- mixture, or device, the primary or tions. Separation from the U.S. Armed common purpose of which is to func- Forces resulting from a dishonorable tion by explosion. The term includes, discharge or dismissal adjudged by gen- but is not limited to, dynamite and eral court-martial. The term does not other high explosives, black powder, include any separation from the Armed pellet powder, initiating explosives, Forces resulting from any other dis- detonators, safety fuses, squibs, deto- charge, e.g., a bad conduct discharge. nating cord, igniter cord, and igniters.

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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 stored. quasi-governmental organization Fireworks plant. All land and build- which, when completed with informa- ings thereon used for or in connection tion concerning a particular indi- with the assembly or processing of fire- vidual, is of a type intended or com- works, including warehouses used with monly accepted for the purpose of iden- or in connection with fireworks plant tification of individuals. operations. Importer. Any person engaged in the Fireworks plant warehouse. Any build- business of importing or bringing ex- ing or structure used exclusively for plosive materials into the United the storage of materials which are nei- States for purposes of sale or distribu- ther explosive materials nor pyro- tion. technic compositions used to manufac- Indictment. Includes an indictment or ture or assemble fireworks. information in any court under which a Fireworks process building. Any mix- crime punishable by imprisonment for ing building; any building in which py- a term exceeding one year may be pros- rotechnic compositions or explosive ecuted. materials is pressed or otherwise pre- Inhabited building. Any building regu- pared for finished and assembly; or any larly occupied in whole or in part as a finishing or assembly building. habitation for human beings, or any Fireworks shipping building. A build- church, schoolhouse, railroad station, ing used for the packing of assorted store, or other structure where people display fireworks into shipping cartons are accustomed to assemble, except for individual public displays and for any building occupied in connection the loading of packaged displays for with the manufacture, transportation, shipment to purchasers. storage, or use of explosive materials. Flash powder. An explosive material Interstate or foreign commerce. Com- intended to produce an audible report merce between any place in a State and and a flash of light when ignited which any place outside of that State, or includes but is not limited to oxidizers within any possession of the United such as potassium chlorate or potas- States or the District of Columbia, and sium perchlorate, and fuels such as sul- fur or aluminum powder. commerce between places within the Fugitive from justice. Any person who same State but through any place out- has fled from the jurisdiction of any side of that State. court of record to avoid prosecution for Licensed dealer. A dealer licensed any crime or to avoid giving testimony under this part. in any criminal proceeding. The term Licensed importer. An importer li- also includes any person who has been censed under this part. convicted of any crime and has fled to Licensed manufacturer. A manufac- avoid imprisonment. turer licensed under this part to en- Hardwood. Oak, maple, ash, hickory, gage in the business of manufacturing or other hard wood, free from loose explosive materials for purposes of sale knots, spaces, or similar defects. or distribution or for his own use.

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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 Limited permit. A permit issued to a 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, Firearms, distribution or for his own use. and Explosives, Department of Justice. Mass detonation (mass explosion). Ex- Renounced U.S. citizenship. (a) A per- plosive materials mass detonate (mass son has renounced his U.S. citizenship explode) when a unit or any part of a if the person, having been a citizen of larger quantity of explosive material the United States, has renounced citi- explodes and causes all or a substantial zenship either— part of the remaining material to deto- (1) Before a diplomatic or consular nate or explode. officer of the United States in a foreign Mental institution. Includes mental state pursuant to 8 U.S.C. 1481(a)(5); or health facilities, mental hospitals, (2) Before an officer designated by sanitariums, psychiatric facilities, and the Attorney General when the United other facilities that provide diagnoses States is in a state of war pursuant to by licensed professionals of mental re- 8 U.S.C. 1481(a)(6). tardation or mental illness, including a (b) The term will not include any re- psychiatric ward in a general hospital. nunciation of citizenship that has been Natural barricade. Natural features of reversed as a result of administrative the ground, such as hills, or timber of or judicial appeal. sufficient density that the surrounding Responsible person. An individual who exposures which require protection has the power to direct the manage- cannot be seen from the magazine ment and policies of the applicant per- when the trees are bare of leaves. taining to explosive materials. Gen- Number 8 test blasting cap. (See defini- erally, the term includes partners, sole tion of ‘‘blasting agent.’’) proprietors, site managers, corporate Permittee. Any user of explosives for a officers and directors, and majority lawful purpose who has obtained either shareholders. a user permit or a limited permit under Salute. An aerial shell, classified as a this part. display firework, that contains a Person. Any individual, corporation, charge of flash powder and is designed company, association, firm, partner- to produce a flash of light and a loud ship, society, or joint stock company. report as the pyrotechnic effect. Plywood. Exterior, construction Screen barricade. Any barrier that grade (laminated wood) plywood. will contain the embers and debris Propellant actuated device. (a) Any from a fire or deflagration in a process tool or special mechanized device or building, thus preventing propagation gas generator system that is actuated of fire to other buildings or areas. Such by a propellant or which releases and barriers shall be constructed of metal directs work through a propellant roofing, 1⁄4 to 1⁄2 inch (6 to 13 mm) mesh charge. screen, or equivalent material. The (b) The term does not include— barrier extends from floor level to a

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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- lumbia, the Commonwealth of Puerto tive discharge based on drug use or Rico, and the possessions of the United drug rehabilitation failure. States. U.S.C. The United States Code. State of residence. The State in which User-limited permit. A user permit an individual regularly resides or valid only for a single purchase trans- maintains his home. Temporary stay in action, a new permit being required for a State does not make the State of a subsequent purchase transaction. temporary stay the State of residence. User permit. A permit issued to a per- Theatrical flash powder. Flash powder son authorizing him (a) to acquire for commercially manufactured in his own use explosive materials from a premeasured kits not exceeding 1 ounce licensee in a State other than the and mixed immediately prior to use State in which he resides or from a for- and intended for use in theatrical eign country, and (b) to transport ex- shows, stage plays, band concerts, plosive materials in interstate or for- magic acts, thrill shows, and clown eign commerce. acts in circuses. Water gels. Explosives or blasting Unlawful user of or addicted to any agents that contain a substantial pro- controlled substance. A person who uses portion of water. a controlled substance and has lost the power of self-control with reference to (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 the use of a controlled substance; and Stat. 1226) any person who is a current user of a [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981] controlled substance in a manner other than as prescribed by a licensed physi- EDITORIAL NOTE: For FEDERAL REGISTER ci- cian. Such use is not limited to the use tations affecting § 555.11, see the List of CFR of drugs on a particular day, or within Sections Affected, which appears in the a matter of days or weeks before pos- Finding Aids section of the printed volume session of the explosive materials, but and at www.govinfo.gov. rather that the unlawful use has occurred recently enough to indicate that Subpart C—Administrative and the individual is actively engaged in Miscellaneous Provisions such conduct. A person may be an unlawful current user of a controlled sub- § 555.21 Forms prescribed. stance even though the substance is (a) The Director is authorized to pre- not being used at the precise time the scribe all forms required by this part. person seeks to acquire explosive mate- All of the information called for in rials or receives or possesses explosive each form shall be furnished as indi- materials. An inference of current use cated by the headings on the form and may be drawn from evidence of a re- the instructions on or pertaining to the cent use or possession of a controlled substance or a pattern of use or posses- form. In addition, information called sion that reasonably covers the present for in each form shall be furnished as time, e.g., a conviction for use or pos- required by this part. session of a controlled substance with- (b) Requests for forms should be sub- in the past year; multiple arrests for mitted to the ATF Distribution Center

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(http://www.atf.gov) or made by calling used in this paragraph, alternate meth- (202) 648–6420. ods or procedures include alternate [T.D. ATF–92, 46 FR 46916, Sept. 23, 1981, as construction or equipment. amended by T.D. ATF–249, 52 FR 5961, Feb. (b) Emergency variations from require- 27, 1987; T.D. 372, 61 FR 20724, May 8, 1996; ments. The Director may approve con- ATF–11F, 73 FR 57242, Oct. 2, 2008; ATF struction, equipment, and methods of 2013R–9F, 79 FR 46693, Aug. 11, 2014] operation other than as specified in this part, where he finds that an emer- § 555.22 Alternate methods or procedures; emergency variations from gency exists and the proposed vari- requirements. ations from the specified requirements are necessary and the proposed vari- (a) Alternate methods or procedures. ations: The permittee or licensee, on specific approval by the Director as provided by (1) Will afford security and protec- this paragraph, may use an alternate tion that are substantially equivalent method or procedure in lieu of a meth- to those prescribed in this part; od or procedure specifically prescribed (2) Will not hinder the effective ad- in this part. The Director may approve ministration of this part; and an alternate method or procedure, sub- (3) Will not be contrary to any provi- ject to stated conditions, when he finds sions of law. that: Variations from requirements granted (1) Good cause is shown for the use of under this paragraph are conditioned the alternate method or procedure; on compliance with the procedures, (2) The alternate method or proce- conditions, and limitations set forth in dure is within the purpose of, and con- the approval of the application. Failure sistent with the effect intended by, the to comply in good faith with the proce- specifically prescribed method or pro- dures, conditions, and limitations shall cedure and that the alternate method or procedure is substantially equiva- automatically terminate the authority lent to that specifically prescribed for the variations and the licensee or method or procedure; and permittee shall fully comply with the (3) The alternate method or proce- prescribed requirements of regulations dure will not be contrary to any provi- from which the variations were author- sion of law and will not result in an in- ized. Authority for any variation may crease in cost to the Government or be withdrawn whenever, in the judg- hinder the effective administration of ment of the Director, the effective ad- this part. ministration of this part is hindered by Where the permittee or licensee desires the continuation of the variation. to employ an alternate method or pro- Where the licensee or permittee desires cedure, he shall submit a written appli- to employ an emergency variation, he cation to the Director, Industry Oper- shall submit a written application to ations, for transmittal to the Director. the Director, Industry Operations for The application shall specifically de- transmittal to the Director. The appli- scribe the proposed alternate method cation shall describe the proposed vari- or procedure and shall set forth the ation and set forth the reasons for it. reasons for it. Alternate methods or Variations may not be employed until procedures may not be employed until the application is approved, except the application is approved by the Di- when the emergency requires imme- rector. The permittee or licensee shall, diate action to correct a situation that during the period of authorization of is threatening to life or property. Cor- an alternate method or procedure, rective action may then be taken con- comply with the terms of the approved current with the filing of the applica- application. Authorization of any al- tion and notification of the Director ternate method or procedure may be via telephone. withdrawn whenever, in the judgment (c) Retention of approved variations. of the Director, the effective adminis- The licensee or permittee shall retain, tration of this part is hindered by the continuation of the authorization. As

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as part of his records available for ex- ceived explosive materials, together amination by ATF officers, any appli- with a description of the explosive ma- cation approved by the Director under terials. this section. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R–9F, 79 FR 46693, Aug. amended by ATF 2013R–9F, 79 FR 46693, Aug. 11, 2014] 11, 2014] § 555.26 Prohibited shipment, trans- § 555.23 List of explosive materials. portation, receipt, possession, or distribution of explosive materials. The Director shall compile a list of explosive materials, which shall be (a) General. No person, other than a published and revised at least annually licensee or permittee knowingly may in the FEDERAL REGISTER. The ‘‘List of transport, ship, cause to be trans- Explosive Materials’’ (ATF Publication ported, or receive any explosive mate- 5400.8) is available at no cost upon re- rials: Provided, That the provisions of quest from the ATF Distribution Cen- this paragraph (a) do not apply to the ter (See § 555.21). lawful purchase by a nonlicensee or nonpermittee of commercially manu- [T.D. ATF–290, 54 FR 53054, Dec. 27, 1989, as factured black powder in quantities not amended by T.D. ATF–446, 66 FR 16602, Mar. to exceed 50 pounds, if the black pow- 27, 2001; ATF–11F, 73 FR 57242, Oct. 2, 2008] der is intended to be used solely for § 555.24 Right of entry and examina- sporting, recreational, or cultural pur- tion. poses in antique firearms as defined in (a) Any ATF officer may enter during 18 U.S.C. 921(a)(16), or in antique de- business hours the premises, including vices as exempted from the term ‘‘de- places of storage, of any licensee or structive device’’ in 18 U.S.C. 921(a)(4). holder of a user permit for the purpose (b) Holders of a limited permit. No per- of inspecting or examining any records son who is a holder of a limited permit or documents required to be kept under may— this part, and any facilities in which (1) Transport, ship, cause to be trans- explosive materials are kept or stored. ported, or receive in interstate or for- (b) Any ATF officer may inspect the eign commerce any explosive mate- places of storage for explosive materials; rials of an applicant for a limited per- (2) Receive explosive materials from mit or, in the case of a holder of a lim- a licensee or permittee, whose premises ited permit, at the time of renewal of are located outside the State of resi- such permit. dence of the limited permit holder; or (c) The provisions of paragraph (b) of (3) Receive explosive materials on this section do not apply to an appli- more than 6 separate occasions, during cant for the renewal of a limited per- the period of the permit, from one or mit if an ATF officer has, within the more licensees or permittees whose preceding 3 years, verified by inspec- premises are located within the State tion that the applicant’s place of stor- of residence of the limited permit hold- age for explosive materials meets the er. (See § 555.105(b) for the definition of requirements of subpart K of this part. ‘‘6 separate occasions.’’) (c) Possession by prohibited persons. No [ATF No. 1, 68 FR 13781, Mar. 20, 2003] person may ship or transport any explosive material in or affecting inter- § 555.25 Disclosure of information. state or foreign commerce or receive or Upon receipt of written request from possess any explosive materials which any State or any political subdivision have been shipped or transported in or of a State, the Director, Industry Oper- affecting interstate or foreign com- ations may make available to the merce who: State or political subdivision any in- (1) Is under indictment or informa- formation which the Director, Industry tion for, or who has been convicted in Operations may obtain under the Act any court of, a crime punishable by im- with respect to the identification of prisonment for a term exceeding one persons within the State or political year; subdivision, who have purchased or re- (2) Is a fugitive from justice;

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(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 any court of, a crime punishable by im- (ii) Is in lawful nonimmigrant status, prisonment for a term exceeding one is a refugee admitted under section 207 year; of the Immigration and Nationality (3) Is a fugitive from justice; Act (8 U.S.C. 1157), or is in asylum sta- (4) Is an unlawful user of or addicted tus under section 208 of the Immigra- to any controlled substance (as defined tion and Nationality Act (8 U.S.C. in section 102 of the Controlled Sub- 1158), and— stances Act (21 U.S.C. 802) and § 555.11); (A) Is a foreign law enforcement offi- (5) Has been adjudicated as a mental cer of a friendly foreign government, as defective or has been committed to a determined by the Attorney General in mental institution; consultation with the Secretary of (6) Is an alien, other than an alien State, entering the United States on who— official law enforcement business, and (i) Is lawfully admitted for perma- the shipping, transporting, possession, nent residence (as that term is defined or receipt of explosive materials is in in section 101(a)(20) of the Immigration furtherance of this official law enforce- and Nationality Act (8 U.S.C. 1101)); or ment business; (ii) Is in lawful nonimmigrant status, (B) Is a person having the power to is a refugee admitted under section 207 direct or cause the direction of the of the Immigration and Nationality management and policies of a corpora- Act (8 U.S.C. 1157), or is in asylum station, partnership, or association li- tus under section 208 of the Immigra- censed pursuant to section 843(a) of the tion and Nationality Act (8 U.S.C. Act, and the shipping, transporting, 1158), and— possession, or receipt of explosive ma- (A) Is a foreign law enforcement offi- terials is in furtherance of such power; cer of a friendly foreign government, as (C) Is a member of a North Atlantic determined by the Attorney General in Treaty Organization (NATO) or other consultation with the Secretary of friendly foreign military force, as de- State, entering the United States on termined by the Attorney General in official law enforcement business, and consultation with the Secretary of De- the shipping, transporting, possession, fense, (whether or not admitted in a or receipt of explosive materials is in nonimmigrant status) who is present in furtherance of this official law enforce- the United States under military or- ment business; ders for training or other military pur- (B) Is a person having the power to pose authorized by the United States, direct or cause the direction of the and the shipping, transporting, posses- management and policies of a corpora- sion, or receipt of explosive materials tion, partnership, or association li- is in furtherance of the military pur- censed pursuant to section 843(a) of the pose; or Act, and the shipping, transporting, (D) Is lawfully present in the United possession, or receipt of explosive ma- States in cooperation with the Director terials is in furtherance of such power; of Central Intelligence, and the ship- (C) Is a member of a North Atlantic ment, transportation, receipt, or pos- Treaty Organization (NATO) or other session of the explosive materials is in friendly foreign military force, as de- furtherance of such cooperation; termined by the Attorney General in

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consultation with the Secretary of De- (b) Any other person, except a carrier fense, (whether or not admitted in a of explosive materials, who has knowl- nonimmigrant status) who is present in edge of the theft or loss of any explo- the United States under military or- sive materials from his stock shall, ders for training or other military pur- within 24 hours of discovery, report the pose authorized by the United States, theft or loss by telephoning 1–800–461– and the shipping, transporting, posses- 8841 (nationwide toll free number) and sion, or receipt of explosive materials in writing to the nearest ATF office. is in furtherance of the military pur- Theft or loss shall be reported to ap- pose; or propriate local authorities. (D) Is lawfully present in the United (c) Reports of theft or loss of explo- States in cooperation with the Director sive materials under paragraphs (a) and of Central Intelligence, and the ship- (b) of this section must include the fol- ment, transportation, receipt, or pos- lowing information, if known: session of the explosive materials is in (1) The manufacturer or brand name. furtherance of such cooperation; (2) The manufacturer’s marks of (7) Has been discharged from the identification (date and shift code). armed forces under dishonorable condi- (3) Quantity (applicable quantity tions; or units, such as pounds of explosives, (8) Having been a citizen of the number of detonators, etc.). United States, has renounced citizen- (4) Description (dynamite, blasting ship. agents, detonators, etc.) and United (e) See § 555.180 for regulations con- Nations (UN) identification number, cerning the prohibited manufacture, hazard division number, and classifica- importation, exportation, shipment, tion letter, e.g., 1.1D, as classified by transportation, receipt, transfer, or the U.S. Department of Transportation possession of plastic explosives that do at 49 CFR 172.101 and 173.52. not contain a detection agent. (5) Size (length and diameter). [ATF No. 1, 68 FR 13781, Mar. 20, 2003] (d) A carrier of explosive materials who has knowledge of the theft or loss § 555.27 [Reserved] of any explosive materials shall, within 24 hours of discovery, report the theft § 555.28 Stolen explosive materials. or loss by telephoning 1–800–461–8841 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 cause to believe that the explosive ma- carriers shall include the following in- terials were stolen. formation, if known: (1) The manufacturer or brand name. § 555.29 Unlawful storage. (2) Quantity (applicable quantity No person shall store any explosive units, such as pounds of explosives, materials in a manner not in con- number of detonators, etc.). formity with this part. (3) Description (United Nations (UN) identification number, hazard division § 555.30 Reporting theft or loss of ex- number, and classification letter, e.g., plosive materials. 1.1D) as classified by the U.S. Depart- (a) Any licensee or permittee who has ment of Transportation at 49 CFR knowledge of the theft or loss of any 172.101 and 173.52. explosive materials from his stock [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as shall, within 24 hours of discovery, re- amended by T.D. ATF–400, 63 FR 45002, Aug. port the theft or loss by telephoning 1– 24, 1998; ATF 2017R–21, 84 FR 13799, Apr. 8, 800–461–8841 (nationwide toll free num- 2019] ber) and on ATF F 5400.5 in accordance with the instructions on the form. § 555.31 Inspection of site accidents or Theft or loss of any explosive materials fires; right of entry. shall also be reported to appropriate Any ATF officer may inspect the site local authorities. of any accident or fire in which there is

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reason to believe that explosive mate- is not one of the persons described in rials were involved. Any ATF officer any paragraph of section 842(i) of the may enter into or upon any property Act (see § 555.26), the Director will no- where explosive materials have been tify 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 name and address of the manufacturer determination may be appealed. The or importer, the purpose of and use for employer will retain the notification which it is intended, and any photo- as part of his permanent records in ac- graphs, diagrams, or drawings as may cordance with § 555.121. The employer be necessary to enable the Director to will take immediate steps to remove make a determination. The Director the responsible person from his posi- may require that a sample of the de- tion directing the management or poli- vice be submitted for examination and cies of the business or operations as evaluation. If it is not possible to sub- they relate to explosive materials or, mit the device, the person requesting as the case may be, to remove the em- the exemption shall advise the Director ployee from a position requiring the and designate the place where the de- possession of explosive materials. Also, vice will be available for examination if the employer has listed the employee and evaluation. as a person authorized to accept delivery of explosive materials, as specified § 555.33 Background checks and clear- in § 555.103 or § 555.105, the employer ances. must remove the employee from such (a) Background checks. (1) If the Di- list and immediately, and in no event rector receives from a licensee or per- later than the second business day mittee the names and appropriate iden- after such change, notify distributors tifying information of responsible per- of such change. sons and employees who will be author- (b) Appeals and correction of erroneous ized by the employer to possess explo- system information—(1) In general. A re- sive materials in the course of employ- sponsible person or employee may ment with the employer, the Director challenge the adverse determination will conduct a background check in ac- set out in the letter of denial, in writ- cordance with this section. ing and within 45 days of issuance of (2) The Director will determine the determination, by directing his or whether the responsible person or em- her challenge to the basis for the ad- ployee is one of the persons described verse determination, or to the accu- in any paragraph of section 842(i) of the racy of the record upon which the ad- Act (see § 555.26). In making such deter- verse determination is based, to the Di- mination, the Director may take into rector. The appeal request must in- account a letter or document issued clude appropriate documentation or under paragraph (a)(3) of this section. record(s) establishing the legal and/or (3)(i) If the Director determines that factual basis for the challenge. Any the responsible person or the employee record or document of a court or other

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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 time, and where appropriate, an em- (Approved by the Office of Management and Budget under control number 1140–0081) ployee is encouraged to apply to the originating agency to challenge the ac- [ATF No. 1, 68 FR 13783, Mar. 20, 2003, as curacy of the record(s) upon which the amended by ATF 2017R–21, 84 FR 13799, Apr. denial is based. The originating agency 8, 2019] may respond to the individual’s appli- § 555.34 Replacement of stolen or lost cation by addressing the individual’s ATF Form 5400.30 (Intrastate Pur- specific reasons for the challenge, and chase of Explosives Coupon by indicating whether additional infor- (IPEC)). mation or documents are required. If the record is corrected as a result of When any Form 5400.30 is stolen, lost, the application to the originating or destroyed, the person losing posses- agency, the individual may so notify sion will, upon discovery of the theft, ATF which will, in turn, verify the loss, or destruction, immediately, but record correction with the originating in all cases before 24 hours have agency and take all necessary steps to elapsed since discovery, report the contact the agency responsible for the matter to the Director by telephoning record system and correct the record. 1–888–ATF-BOMB (nationwide toll free The employee may provide to ATF ad- number). The report will explain in de- ditional and appropriate documenta- tail the circumstances of the theft, tion or record(s) establishing the legal loss, or destruction and will include all and/or factual basis for the challenge known facts that may serve to identify to ATF’s decision to uphold the initial the document. Upon receipt of the re- denial. If ATF does not receive such ad- port, the Director will make such in- ditional documentation or record(s) vestigation as appears appropriate and within 45 days of the date of the deci- may issue a duplicate document upon sion upholding the initial denial, ATF such conditions as the circumstances will close the appeal. warrant. (3) Responsible persons. The letter of (Approved by the Office of Management and denial, among other things, will advise Budget under control number 1140–0077) a responsible person of the agency [ATF No. 1, 68 FR 13783, Mar. 20, 2003] name and address which originated the record containing the information causing the adverse determination Subpart D—Licenses and Permits (‘‘originating agency’’). A responsible person who elects to challenge the ad- § 555.41 General. verse determination, where appro- (a) [Reserved]

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(b) Licenses and permits issued on and (i) A separate license will not be re- after May 24, 2003—(1) In general. (i) quired for storage facilities operated Each person intending to engage in by the licensee as an integral part of business as an importer or manufac- one business premises or to cover a lo- turer of, or a dealer in, explosive mate- cation used by the licensee solely for rials, including black powder, must, be- maintaining the records required by fore commencing business, obtain the this part. license required by this subpart for the (ii) A separate license will not be re- business to be operated. quired of a licensed manufacturer with (ii) Each person who intends to ac- respect to his on-site manufacturing. quire for use explosive materials with- (iii) It will not be necessary for a li- in the State in which he resides on no censed importer or a licensed manufac- more than 6 separate occasions during turer (for purposes of sale or distribu- the 12-month period in which the per- tion) to also obtain a dealer’s license in mit is valid must obtain a limited per- order to engage in business on his limit under this subpart. (See § 555.105(b) censed premises as a dealer in explo- for definition of ‘‘6 separate occa- sive materials. No licensee will be re- sions.’’) quired to obtain a user permit to law- (iii) Each person who intends to ac- fully transport, ship, or receive explo- quire for use explosive materials from sive materials in interstate or foreign a licensee or permittee in a State other commerce. than the State in which he resides, or (iv) A separate license will not be re- from a foreign country, or who intends quired of licensed manufacturers with to transport explosive materials in respect to their on-site manufacture of interstate or foreign commerce, or who theatrical flash powder. intends to acquire for use explosive materials within the State in which he (3) Users of explosive materials. (i) A resides on more than 6 separate occa- limited permit will, subject to law, en- sions during a 12-month period, must title the holder of such permit to re- obtain a user permit under this sub- ceive for his use explosive materials part. from a licensee or permittee in his (iv) It is not necessary to obtain a state of residence on no more than 6 permit if the user intends only to law- separate occasions during the 12-month fully purchase commercially manufac- period in which the permit is valid. A tured black powder in quantities not to limited permit does not authorize the exceed 50 pounds, intended to be used receipt or transportation of explosive solely for sporting, recreational, or cul- materials in interstate or foreign com- tural purposes in antique firearms or in merce. Holders of limited permits who antique devices. need to receive explosive materials on (2) Importers, manufacturers, and deal- more than 6 separate occasions during ers. Each person intending to engage in a 12-month period must obtain a user business as an explosive materials im- permit in accordance with this subpart. porter, manufacturer, or dealer must (ii) Each person intending to acquire file an application, with the required explosive materials from a licensee in a fee (see § 555.42), with ATF in accord- State other than a State in which he ance with the instructions on the form resides, or from a foreign country, or (see § 555.45). A license will, subject to who intends to transport explosive ma- law, entitle the licensee to transport, terials in interstate or foreign com- ship, and receive explosive materials in merce, must file an application for a interstate or foreign commerce, and to user permit, with the required fee (see engage in the business specified by the § 555.43), with ATF in accordance with license, at the location described on the instructions on the form (see the license. A separate license must be § 555.45). A user permit will, subject to obtained for each business premises at law, entitle the permittee to transport, which the applicant is to manufacture, ship, and receive in interstate or for- import, or distribute explosive mate- eign commerce explosive materials. rials except under the following cir- Only one user permit per person is re- cumstances: quired under this part, irrespective of

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the number of locations relating to ex- (c) Licenses and permits issued on and plosive materials operated by the hold- after May 24, 2003—(1) License. Any per- er of the user permit. son who intends to engage in the busi- (Approved by the Office of Management and ness as an importer of, manufacturer Budget under control number 1140–0083) of, or dealer in explosive materials, or who has not timely submitted an appli- [ATF No. 1, 68 FR 13783, Mar. 20, 2003, as amended by ATF 5F, 70 FR 30633, May 27, cation for renewal of a previous license 2005; ATF 2017R–21, 84 FR 13799, Apr. 8, 2019] issued under this part, must file an application for License, Explosives, ATF § 555.42 License fees. F 5400.13, with ATF in accordance with (a) Each applicant shall pay a fee for the instructions on the form. ATF obtaining a three year license, a sepa- Form 5400.13 may be obtained by con- rate fee being required for each busi- tacting any ATF office. The applica- ness premises, as follows: tion must: (1) Manufacturer—$200. (i) Be executed under the penalties of (2) Importer—$200. perjury and the penalties imposed by 18 (3) Dealer—$200. U.S.C. 844(a); (b) Each applicant for a renewal of a (ii) Include appropriate identifying license shall pay a fee for a three year information concerning each respon- license as follows: sible person; (1) Manufacturer—$100. (2) Importer—$100. (iii) Include a photograph and finger- (3) Dealer—$100. prints for each responsible person; (iv) Include the names of and appro- [T.D. ATF–400, 63 FR 45002, Aug. 24, 1998] priate identifying information regard- § 555.43 Permit fees. ing all employees who will be authorized by the applicant to possess explo- (a) Each applicant must pay a fee for sive materials by submitting ATF F obtaining a permit as follows: 5400.28 for each employee; and (1) User—$100 for a three-year period. (2) User-limited (nonrenewable)—$75. (v) Include the appropriate fee in the (3) Limited—$25 for a one-year pe- form of money order or check made riod. payable to the Bureau of Alcohol, To- (b)(1) Each applicant for renewal of a bacco, Firearms and Explosives. user permit must pay a fee of $50 for a (2) User permit and limited permit. Ex- three-year period. cept as provided in § 555.41(b)(1)(iv), any (2) Each applicant for renewal of a person who intends to acquire explo- limited permit must pay a fee of $12 for sive materials in the State in which a one-year period. that person resides or acquire explosive materials from a licensee or holder of a [ATF No. 1, 68 FR 13785, Mar. 20, 2003] user permit in a State other than the § 555.44 License or permit fee not re- State in which that person resides, or fundable. from a foreign country, or who intends No refund of any part of the amount to transport explosive materials in paid as a license or permit fee will be interstate or foreign commerce, or who made where the operations of the li- has not timely submitted an applica- censee or permittee are, for any reason, tion for renewal of a previous permit discontinued during the period of an issued under this part, must file an ap- issued license or permit. However, the plication for Permit, Explosives, ATF license or permit fee submitted with an F 5400.16 or Permit, User Limited Dis- application for a license or permit will play Fireworks, ATF F 5400.21 with be refunded if that application is de- ATF in accordance with the instruc- nied, withdrawn, or abandoned, or if a tions on the form. ATF Form 5400.16 license is cancelled subsequent to hav- and ATF Form 5400.21 may be obtained ing been issued through administrative by contacting any ATF office. The ap- error. plication must: (i) Be executed under the penalties of § 555.45 Original license or permit. perjury and the penalties imposed by 18 (a)–(b) [Reserved] U.S.C. 844(a);

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(ii) Include a photograph, finger- (b) A user-limited permit is not re- prints, and appropriate identifying in- newable and is valid for a single pur- formation for each responsible person; chase transaction. Applications for all (iii) Include the names of and appro- user-limited permits must be filed on priate identifying information regard- ATF F 5400.16 or ATF F 5400.21, as re- ing all employees who will be author- quired by § 555.45. ized 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 (iv) Include the appropriate fee in the [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as form of money order or check made amended by T.D. ATF–200, 50 FR 10497, Mar. 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. ATF 2013R–9F, 79 FR 46693, Aug. 11, 2014] (3) The Chief, Federal Explosives Li- censing Center, will conduct back- § 555.47 Insufficient fee. ground checks on responsible persons If an application is filed with an in- and employees authorized by the appli- sufficient fee, the application and fee cant to possess explosive materials in submitted will be returned to the appli- accordance with § 555.33. If it is deter- cant. mined that any responsible person or employee is described in any paragraph (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 of section 842(i) of the Act, the appli- Stat. 1226)) cant must submit an amended applica- [T.D. ATF–200, 50 FR 10498, Mar. 15, 1985] tion indicating removal or reassign- ment of that person before the license § 555.48 Abandoned application. or permit will be issued. Upon receipt of an incomplete or im- (Approved by the Office of Management and properly executed application, the ap- Budget under control number 1140–0083) plicant will be notified of the defi- (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 ciency in the application. If the appli- Stat. 1226)) cation is not corrected and returned within 30 days following the date of no- [T.D. ATF–200, 50 FR 10497, Mar. 15, 1985, as tification, the application will be con- amended by T.D. ATF–400, 63 FR 45002, Aug. sidered as having been abandoned and 24, 1998; ATF No. 1, 68 FR 13785, Mar. 20, 2003; ATF 2013R–9F, 79 FR 46693, Aug. 11, 2014; ATF the license or permit fee returned. 2017R–21, 84 FR 13799, Apr. 8, 2019] § 555.49 Issuance of license or permit. § 555.46 Renewal of license or permit. (a) [Reserved] (a) If a licensee or permittee intends (b) Issuance of license or permit on and to continue the business or operation after May 24, 2003. (1) The Chief, Federal described on a license or permit issued Explosives Licensing Center, will issue under this part after the expiration a license or permit if: date of the license or permit, he shall, (i) A properly executed application unless otherwise notified in writing by for the license or permit is received; the Chief, Federal Explosives Licensing and Center, execute and file prior to the ex- (ii) Through further inquiry or inves- piration of his license or permit an ap- tigation, or otherwise, it is found that plication for license renewal, ATF F the applicant is entitled to the license 5400.14 (Part III), or an application for or permit. permit renewal, ATF F 5400.15 (Part (2) The Chief, Federal Explosives Li- III), accompanied by the required fee, censing Center, will approve a properly with ATF in accordance with the in- executed application for a license or structions on the form. In the event permit, if: the licensee or permittee does not (i) The applicant (or, if the applicant timely file a renewal application, he is a corporation, partnership, or asso- shall file an original application as re- ciation, each responsible person with quired by § 555.45, and obtain the re- respect to the applicant) is not a per- quired license or permit in order to son described in any paragraph of sec- continue business or operations. tion 842(i) of the Act;

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(ii) The applicant has not willfully mitted under § 555.142, as the case may violated any provisions of the Act or be. this part; (4) The license or permit and one (iii) The applicant has not knowingly copy will be forwarded to the appli- withheld information or has not made cant, except that in the case of a user- any false or fictitious statement in- limited permit, the original only will tended or likely to deceive, in connec- be issued. tion with his application; (5) Each license or permit will bear a (iv) The applicant has in a State, serial number and this number may be premises from which he conducts busi- assigned to the licensee or permittee to ness or operations subject to license or whom issued for as long as he main- permit under the Act or from which he tains continuity of renewal in the same intends to conduct business or oper- region. ations; (Approved by the Office of Management and (v) The applicant has storage for the Budget under control number 1140–0082) class (as described in § 555.202) of explo- [ATF No. 1, 68 FR 13785, Mar. 20, 2003, as sive materials described on the applica- amended by ATF 2013R–9F, 79 FR 46693, Aug. tion; 11, 2014; ATF 2017R–21, 84 FR 13799, Apr. 8, (vi) The applicant has certified in 2019] writing that he is familiar with and un- derstands all published State laws and § 555.50 Correction of error on license local ordinances relating to explosive or permit. materials for the location in which he (a) Upon receipt of a license or per- intends to do business; mit issued under this part, each li- (vii) The applicant for a license has censee or permittee shall examine the submitted the certificate required by license or permit to insure that the in- section 21 of the Federal Water Pollu- formation on it is accurate. If the li- tion Control Act, as amended (33 U.S.C. cense or permit is incorrect, the li- 1341); censee or permittee shall return the li- (viii) None of the employees of the cense or permit to the Chief, Federal applicant who will be authorized by the Explosives Licensing Center, with a applicant to possess explosive mate- statement showing the nature of the rials is a person described in any para- error. The Chief, Federal Explosives Li- graph of section 842(i) of the Act; and censing Center, shall correct the error, (ix) In the case of an applicant for a if the error was made in his office, and limited permit, the applicant has cer- return the license or permit. However, tified in writing that the applicant will if the error resulted from information not receive explosive materials on contained in the licensee’s or permit- more than 6 separate occasions during tee’s application for the license or per- the 12-month period for which the lim- mit, the Chief, Federal Explosives Li- ited permit is valid. censing Center, shall require the li- (3) The Chief, Federal Explosives Li- censee or permittee to file an amended censing Center, will approve or the Di- application setting forth the correct rector, Industry Operations will deny information and a statement explain- any application for a license or permit ing the error contained in the applica- within the 90-day period beginning on tion. Upon receipt of the amended ap- the date a properly executed applica- plication and a satisfactory expla- tion was received. However, when an nation of the error, the Chief, Federal applicant for license or permit renewal Explosives Licensing Center, shall is a person who is, under the provisions make the correction on the license or of § 555.83 or § 555.142, conducting busi- permit and return it to the licensee or ness or operations under a previously permittee. issued license or permit, action regard- (b) When the Chief, Federal Explo- ing the application will be held in sives Licensing Center, finds through abeyance pending the completion of any means other than notice from the the proceedings against the applicant’s licensee or permittee that an incorrect existing license or permit, or renewal license or permit has been issued, (1) application, or final action by the Di- the Chief, Federal Explosives Licensing rector on an application for relief sub- Center, may require the holder of the

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incorrect license or permit to return license or permit required by this part the license or permit for correction, before commencing business or oper- and (2) if the error resulted from infor- ations. However, for rules on right of mation contained in the licensee’s or succession, see § 555.59. permittee’s application for the license or permit, the Chief, Federal Explo- § 555.54 Change of address. sives Licensing Center, shall require (a) During the term of a license or the licensee or permittee to file an amended application setting forth the permit, a licensee or permittee may correct information, and a statement move his business or operations to a satisfactorily explaining the error con- new address at which he intends to reg- tained in the application. The Chief, ularly carry on his business or oper- Federal Explosives Licensing Center, ations, without procuring a new license then shall make the correction on the or permit. However, in every case, the license or permit and return it to the licensee or permittee shall— licensee or permittee. (1) Give notification of the new loca- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as tion of the business or operations to amended by T.D. ATF–290, 54 FR 53054, Dec. the Chief, Federal Explosives Licensing 27, 1989; ATF 2013R–9F, 79 FR 46693, Aug. 11, Center at least 10 days before the 2014] move; and (2) Submit the license or permit to § 555.51 Duration of license or permit. the Chief, Federal Explosives Licensing (a) [Reserved] Center. The Chief, Federal Explosives (b) On and after May 24, 2003. (1) An Licensing Center will issue an amended original license or user permit is issued license or permit, which will contain for a period of three years. A renewal the new address (and new license or license or user permit is also issued for permit number, if any). a period of three years. However, a user-limited permit is valid only for a (b) Licensees and permittees whose single purchase transaction. mailing address will change must no- (2) A limited permit is issued for a tify the Chief, Federal Explosives Li- period of one year. A renewal limited censing Center, at least 10 days before permit is also issued for a period of one the change. year. (Paragraph (b) approved by the Office of [ATF No. 1, 68 FR 13786, Mar. 20, 2003, as Management and Budget under control num- amended by ATF 2017R–21, 84 FR 13799, Apr. ber 1140–0080) 8, 2019] [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as § 555.52 Limitations on license or per- amended by T.D. ATF–290, 54 FR 53054, Dec. mit. 27, 1989; ATF No. 1, 68 FR 13786, Mar. 20, 2003; ATF 2013R–9F, 79 FR 46693, Aug. 11, 2014] (a) The license covers the business of explosive materials specified in the li- § 555.56 Change in trade name. cense at the licensee’s business premises (see § 555.41(b)). A licensee or permittee continuing to (b) The permit is valid with respect conduct business or operations at the to the type of operations of explosive location shown on his license or permit materials specified in the permit. is not required to obtain a new license or permit by reason of a mere change [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–387, 62 FR 8376, Feb. in trade name under which he conducts 25, 1997; ATF 5F, 70 FR 30633, May 27, 2005] his business or operations. However, the licensee or permittee shall furnish § 555.53 License and permit not trans- his license or permit and any copies ferable. furnished with the license or permit for Licenses and permits issued under endorsement of the change to the this part are not transferable to an- Chief, Federal Explosives Licensing other person. In the event of the lease, Center, within 30 days from the date sale, or other transfer of the business the licensee or permittee begins his or operations covered by the license or permit, the successor must obtain the

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business or operations under the new manent records for the period specified trade name. in § 555.121. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as (Approved by the Office of Management and amended by T.D. ATF–290, 54 FR 53054, Dec. Budget under control number 1140–0074) 27, 1989; ATF 2013R–9F, 79 FR 46693, Aug. 11, [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as 2014] amended by T.D. ATF–290, 54 FR 53054, Dec. 27, 1989; ATF No. 1, 68 FR 13786, Mar. 20, 2003; § 555.57 Change of control, change in ATF 2013R–9F, 79 FR 46693, Aug. 11, 2014; ATF responsible persons, and change of 2017R–21, 84 FR 13799, Apr. 8, 2019] employees. (a) In the case of a corporation or as- § 555.58 Continuing partnerships. sociation holding a license or permit Where, under the laws of the par- under this part, if actual or legal con- ticular State, the partnership is not trol of the corporation or association terminated on death or insolvency of a changes, directly or indirectly, wheth- partner, but continues until the wind- er by reason of change in stock owner- ing up of the partnership affairs is ship or control (in the corporation completed, and the surviving partner holding a license or permit or in any has the exclusive right to the control other corporation), by operation of law, and possession of the partnership as- or in any other manner, the licensee or sets for the purpose of liquidation and permittee shall, within 30 days of the settlement, the surviving partner may change, give written notification exe- continue to conduct the business or op- cuted under the penalties of perjury, to erations under the license or permit of the Chief, Federal Explosives Licensing the partnership. If the surviving part- Center. Upon expiration of the license ner acquires the business or operations or permit, the corporation or associa- on completion of settlement of the tion shall file an ATF F 5400.13 or an partnership, he shall obtain a license ATF F 5400.16 as required by § 555.45, or permit in his own name from the and pay the fee prescribed in § 555.42(b) date of acquisition, as provided in or § 555.43(b). § 555.45. The rule set forth in this sec- (b) Each person holding the license or tion will also apply where there is permit must report to the Chief, Fed- more than one surviving partner. eral Explosives Licensing Center, any change in responsible persons or em- § 555.59 Right of succession by certain persons. ployees authorized to possess explosive materials. Such report must be sub- (a) Certain persons other than the li- mitted within 30 days of the change censee or permittee may secure the and must include appropriate identi- right to carry on the same explosive fying information for each responsible materials business or operations at the person. Reports relating to newly hired same business premises for the remain- employees authorized to possess explo- der of the term of license or permit. sive materials must be submitted on These persons are: ATF F 5400.28 for each employee. (1) The surviving spouse or child, or (c) Upon receipt of a report, the executor, administrator, or other legal Chief, Federal Explosives Licensing representative of a deceased licensee or permittee; and Center, will conduct a background check, if appropriate, in accordance (2) A receiver or trustee in bank- with § 555.33. ruptcy, or an assignee for benefit of creditors. (d) The reports required by paragraph (b) In order to secure the right of suc- (b) of this section must be retained as cession, the person or persons con- part of a licensee’s or permittee’s per- tinuing the business or operations shall submit the license or permit and all copies furnished with the license or permit for endorsement of the succession to the Chief, Federal Explosives Licensing Center, within 30 days from

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the date on which the successor begins zines used for other than temporary to carry on the business or operations. (under 24 hours) storage of explosives. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as (2) A magazine is considered suitable amended by T.D. ATF–290, 54 FR 53054, Dec. for the storage of explosives if the con- 27, 1989; ATF 2013R–9F, 79 FR 46693, Aug. 11, struction requirements of this part are 2014] met during the time explosives are stored in the magazine. § 555.60 Certain continuances of busi- (3) A magazine is considered suitable ness or operations. for the storage of explosives if posi- A licensee or permittee who furnishes tioned in accordance with the applica- his license or permit to the Chief, Fed- ble table of distances as specified in eral Explosives Licensing Center, for this part during the time explosives are correction, amendment, or endorse- stored in the magazine. ment, as provided in this subpart, may (4) For the purposes of this section, continue his business or operations notification of the Director, Industry while awaiting its return. Operations may be by telephone or in [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as writing. However, if notification of the amended by T.D. ATF–290, 54 FR 53054, Dec. Director, Industry Operations is in 27, 1989; ATF 2013R–9F, 79 FR 46694, Aug. 11, writing it must be at least three busi- 2014] ness days in advance of making § 555.61 Discontinuance of business or changes in construction to an existing operations. magazine or constructing a new magazine, and at least five business days in Where an explosive materials business or operations is either discon- advance of using any reconstructed tinued or succeeded by a new owner, magazine or added magazine for the the owner of the business or operations storage of explosives. discontinued or succeeded shall, within (b) Exception. Mobile or portable type 30 days, furnish notification of the dis- 5 magazines are exempt from the re- continuance or succession and submit quirements of paragraphs (c) and (d) of his license or permit and any copies this section, but must otherwise be in furnished with the license or permit to compliance with paragraphs (a) (2) and the Chief, Federal Explosives Licensing (3) of this section during the time ex- Center. (See also § 555.128.) plosives are stored in such magazines. (c) Changes in magazine construction. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–290, 54 FR 53054, Dec. A licensee or permittee who intends to 27, 1989; ATF 2013R–9F, 79 FR 46694, Aug. 11, make changes in construction of an ex- 2014] isting magazine shall notify the Direc- tor, Industry Operations describing the § 555.62 State or other law. proposed changes prior to making any A license or permit issued under this changes. Unless otherwise advised by part confers no right or privilege to the Director, Industry Operations, conduct business or operations, includ- changes in construction may coming storage, contrary to State or other mence after explosives are removed law. The holder of a license or permit from the magazine. Explosives may not issued under this part is not, by reason be stored in a reconstructed magazine of the rights and privileges granted by before the Director, Industry Oper- that license or permit, immune from ations has been notified in accordance punishment for conducting an explo- with paragraph (a)(4) of this section sive materials business or operations in that the changes have been completed. violation of the provisions of any State (d) Magazines acquired or constructed or other law. Similarly, compliance after permit or license is issued. A li- with the provisions of any State or censee or permittee who intends to other law affords no immunity under construct or acquire additional maga- Federal law or regulations. zines shall notify the Director, Indus- try Operations in accordance with § 555.63 Explosives magazine changes. paragraph (a)(4) of this section describ- (a) General. (1) The requirements of ing the additional magazines and the this section are applicable to maga- class and quantity of explosives to be

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stored in the magazine. Unless other- on ATF F 5400.11. The notice will set wise advised by the Director, Industry forth the matters of fact and law relied Operations, additional magazines may upon in determining that the applica- be constructed, or acquired magazines tion should be denied, and will afford may be used for the storage of explo- the applicant 15 days from the date of sives. Explosives must not be stored in receipt of the notice in which to re- a magazine under construction. The Di- quest a hearing to review the denial. If rector, Industry Operations must be no request for a hearing is filed within notified that construction has been that time, a copy of the application, completed. marked ‘‘Disapproved’’, will be returned to the applicant. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–400, 63 FR 45002, Aug. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as 24, 1998; ATF 2013R–9F, 79 FR 46694, Aug. 11, amended by ATF 2013R–9F, 79 FR 46694, Aug. 2014] 11, 2014] § 555.73 Hearing after initial applica- Subpart E—License and Permit tion is denied. Proceedings If the applicant for an original li- § 555.71 Opportunity for compliance. cense or permit desires a hearing, he shall file a request with the Director, Except in cases of willfulness or Industry Operations within 15 days those in which the public interest re- after receipt of the notice of denial. quires otherwise, and the Director, In- The request should include a statement dustry Operations so alleges in the no- of the reasons for a hearing. On receipt tice of denial of an application or rev- of the request, the Director, Industry ocation of a license or permit, no li- Operations shall refer the matter to an cense or permit will be revoked or re- administrative law judge who shall set newal application denied without first a time and place (see § 555.77) for a calling to the attention of the licensee hearing and shall serve notice of the or permittee the reasons for the con- hearing upon the applicant and the Di- templated action and affording him an rector, Industry Operations at least 10 opportunity to demonstrate or achieve days in advance of the hearing date. compliance with all lawful require- The hearing will be conducted in ac- ments and to submit facts, arguments, cordance with the hearing procedures or proposals of adjustment. The notice prescribed in part 771 of this chapter of contemplated action, ATF F 5400.12, (see § 555.82). Within a reasonable time will afford the licensee or permittee 15 after the conclusion of the hearing, and days from the date of receipt of the no- as expeditiously as possible, the admin- tice to respond. If no response is re- istrative law judge shall render his rec- ceived within the 15 days, or if after ommended decision. He shall certify to consideration of relevant matters pre- the complete record of the proceedings sented by the licensee or permittee, the before him and shall immediately for- Director, Industry Operations finds ward the complete certified record, to- that the licensee or permittee is not gether with four copies of his rec- likely to abide by the law and regula- ommended decision, to the Director, tions, he will proceed as provided in Industry Operations for decision. § 555.74. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as [T.D. ATF–87, 46 FR 40384, Aug. 7 1981, as amended by ATF 2013R–9F, 79 FR 46694, Aug. amended by T.D. ATF–446, 66 FR 16602, Mar. 11, 2014; ATF 33F, 84 FR 64744, Nov. 25, 2019] 27, 2001; ATF 2013R–9F, 79 FR 46694, Aug. 11, 2014] § 555.74 Denial of renewal application or revocation of license or permit. § 555.72 Denial of initial application. If following the opportunity for com- Whenever the Director, Industry Op- pliance under § 555.71, or without oppor- erations has reason to believe that an tunity for compliance under § 555.71, as applicant for an original license or per- circumstances warrant, the Director, mit is not eligible to receive a license Industry Operations finds that the li- or permit under the provisions of censee or permittee is not likely to § 555.49, he shall issue a notice of denial comply with the law or regulations or

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is otherwise not eligible to continue law judge who shall set a date and operations authorized under his license place for a hearing, which date shall be or permit, the Director, Industry Oper- no later than 10 days from the date the ations shall issue a notice of denial of licensee or permittee requested an im- the renewal application or revocation mediate hearing. The hearing will be of the license or permit, ATF F 5400.11 held in accordance with the applicable or ATF F 5400.10, as appropriate. In ei- provisions of part 771 of this chapter. ther case, the notice will set forth the Within a reasonable time after the con- matters of fact constituting the viola- clusion of the hearing, and as expedi- tions specified, dates, places, and the tiously as possible, the administrative sections of law and regulations vio- law judge shall render his decision. He lated. The notice will, in the case of shall certify to the complete record of revocation of a license or permit, speci- the proceeding before him and shall fy the date on which the action is effec- immediately forward the complete cer- tive, which date will be on or after the tified record, together with two copies date the notice is served on the li- of his decision, to the Director, Indus- censee or permittee. The notice will try Operations, serve one copy of his also advise the licensee or permittee decision on the licensee or permittee or that he may, within 15 days after re- his counsel, and transmit a copy to the ceipt of the notice, request a hearing attorney for the Government. and, if applicable, a stay of the effec- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as tive date of the revocation of his li- amended by ATF 2013R–9F, 79 FR 46694, Aug. cense or permit. 11, 2014; ATF 33F, 84 FR 64744, Nov. 25, 2019]

[T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as § 555.76 Action by Director, Industry amended by ATF 2013R–9F, 79 FR 46694, Aug. Operations. 11, 2014] (a) Initial application proceedings. If, § 555.75 Hearing after denial of re- upon receipt of the record and the rec- newal application or revocation of ommended decision of the administra- license or permit. tive law judge, the Director, Industry If a licensee or permittee whose re- Operations decides that the license or newal application has been denied or permit should be issued, the Director, whose license or permit has been re- Industry Operations shall cause the ap- voked desires a hearing, he shall file a plication to be approved, briefly stat- request for a hearing with the Director, ing, for the record, his reasons. If he Industry Operations. In the case of the contemplates that the denial should revocation of a license or permit, he stand, he shall serve a copy of the ad- may include a request for a stay of the ministrative law judge’s recommended effective date of the revocation. On re- decision on the applicant, informing ceipt of the request the Director, In- the applicant of his contemplated ac- dustry Operations shall advise the li- tion and affording the applicant not censee or permittee whether the stay more than 10 days in which to submit of the effective date of the revocation proposed findings and conclusions or is granted. If the stay of the effective exceptions to the recommended deci- date of the revocation is granted, the sion with supporting reasons. If the Di- Director, Industry Operations shall rector, Industry Operations, after con- refer the matter to an administrative sideration of the record of the hearing law judge who shall set a time and and of any proposed findings, conclu- place (see § 555.77) for a hearing and sions, or exceptions filed with him by shall serve notice of the hearing upon the applicant, approves the findings, the licensee or permittee and the Di- conclusions and recommended decision rector, Industry Operations at least 10 of the administrative law judge, the Di- days in advance of the hearing date. If rector, Industry Operations shall cause the stay of the effective date of the the license or permit to be issued or revocation is denied, the licensee or disapproved the application accord- permittee may request an immediate ingly. If he disapproves the findings, hearing. In this event, the Director, In- conclusions, and recommendation of dustry Operations shall immediately the administrative law judge, in whole refer the matter to an administrative or in part, he shall by order make such

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findings and conclusions as in his opin- permittee, the Director, Industry Oper- ion are warranted by the law and the ations shall: facts in the record. Any decision of the (1) If renewal application was timely Director, Industry Operations 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 Director, Industry Oper- fective date. If, after approval of a re- ations 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 Director, Industry Op- proceedings. Upon receipt of the com- erations finds that it is contrary to the plete certified records of the hearing, public interest for the licensee or per- the Director, Industry Operations shall mittee to continue the operations or enter an order confirming the revoca- activities covered by his license or per- tion of the license or permit, or dis- mit, the Director, Industry Operations approving the application, in accord- may issue a notice of withdrawal of the ance with the administrative law approval, effective on the date of judge’s findings and decision, unless he issuance. Notice of withdrawal will be disagrees with the findings and deci- served upon the licensee or permittee sion. A signed duplicate original of the in the manner provided in § 555.81. order, ATF F 5400.9, will be served upon [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as the licensee or permittee and the origi- amended by T.D. ATF–290, 54 FR 53054, Dec. nal copy containing certificate of serv- 27, 1989; ATF 2013R–9F, 79 FR 46694, Aug. 11, ice will be placed in the official record 2014] of the proceedings. If the Director, In- dustry Operations 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 represent himself, or be rep- plicant. If the renewal application de- resented by an attorney, a certified nial is reversed, a license or permit public accountant, or any other person, will be issued to become effective on specifically designated in a duly exe- expiration of the license or permit cuted power of attorney that shall be being renewed, or on the date of filed in the proceeding by the appli- issuance, whichever is later. If the pro- cant, licensee, or permittee. The appli- ceedings involve the revocation of a li- cant, licensee, or permittee shall file cense or permit which expired before a waivers, if applicable, under the Pri- decision is in favor of the licensee or vacy Act of 1974 and 26 U.S.C. 6103(c)

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(confidentiality and disclosure of re- judge or the final order of the Director, turns and return information). The Di- Industry Operations or the Director, rector of Industry Operations may be file a petition for a judicial review of represented in proceedings under the decision, with the U.S. Court of Ap- §§ 555.73 and 555.75 by an attorney in the peals for the district in which he re- Office of Chief Counsel who is author- sides or has his principal place of busi- ized to execute and file motions, briefs ness. The Director, upon notification and other papers in the proceeding, on that a petition has been filed, shall behalf of the Director of Industry Oper- have prepared a complete transcript of ations, in the attorney’s own name as the record of the proceedings. The Di- ‘‘Attorney for the Government.’’ rector, Industry Operations or the Di- [ATF 33F, 84 FR 64744, Nov. 25, 2019] rector, as the case may be, shall certify to the correctness of the transcript of § 555.79 Appeal on petition to the Di- the record, forward one copy to the at- rector. torney for the Government in the re- An appeal to the Director is not review of the case, and file the original quired prior to filing an appeal with record of the proceedings with the the U.S. Court of Appeals for judicial original certificate in the U.S. Court of review. An appeal may be taken by the Appeals. applicant, licensee, or permittee to the [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as Director from a decision resulting from amended by ATF 2013R–9F, 79 FR 46694, Aug. a hearing under § 555.73 or § 555.75. An 11, 2014] appeal may also be taken by a Direc- tor, Industry Operations from a deci- § 555.81 Service on applicant, licensee, sion resulting from a hearing under or permittee. § 555.75 as provided in § 555.76(b). The ap- All notices and other formal docu- peal shall be taken by filing a petition ments required to be served on an ap- for review on appeal with the Director plicant, licensee, or permittee under within 15 days of the service of an ad- this subpart will be served by certified ministrative law judge’s decision or an mail or by personal delivery. Where order. The petition will set forth facts service is by personal delivery, the tending to show action of an arbitrary signed duplicate original copy of the nature, action without reasonable war- formal document will be delivered to rant in fact, or action contrary to law the applicant, licensee, or permittee, and regulations. A copy of the petition or, in the case of a corporation, part- will be filed with the Director, Indus- nership, or association, by delivering it try Operations or served on the appli- to an officer, manager, or general cant, licensee, or permittee, as the case agent, or to its attorney of record. may be. In the event of appeal, the Di- rector, Industry Operations shall im- § 555.82 Rules of practice in license mediately forward the complete origi- and permit proceedings. nal record, by certified mail, to the Di- rector for his consideration, review, Regulations governing the procedure and disposition as provided in subpart I and practice for disapproval of applica- of part 771 of this chapter. When, on ap- tions for explosives licenses and per- peal, the Director affirms the initial mits and for the denial of renewal or decision of the Director, Industry Oper- revocation of such licenses and permits ations or the administrative law judge, under the Act are contained in part 771 as the case may be, the initial decision of this chapter. will be final. [ATF 33F, 84 FR 64744, Nov. 25, 2019] [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R–9F, 79 FR 46694, Aug. § 555.83 Operations by licensees or 11, 2014; ATF 33F, 84 FR 64744, Nov. 25, 2019] permittees after notice of denial or revocation. § 555.80 Court review. In any case where a notice of revoca- An applicant, licensee, or permittee tion has been issued and a request for a may, within 60 days after receipt of the stay of the effective date of the revoca- decision of the administrative law tion has not been granted, the licensee

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or permittee shall not engage in the ac- tees may dispose of surplus stocks of tivities covered by the license or per- explosive materials to other licensees mit pending the outcome of pro- or permittees in accordance with ceedings under this subpart. In any § 555.103 and § 555.105. case where notice of revocation has been issued but a stay of the effective [T.D. ATF–400, 63 FR 45002, Aug. 24, 1998, as date of the revocation has been grant- amended by ATF No. 1, 68 FR 13787, Mar. 20, 2003; ATF 2017R–21, 84 FR 13799, Apr. 8, 2019] ed, the licensee or permittee may continue to engage in the activities cov- § 555.103 Transactions among licens- ered by his license or permit unless, or ees/permittees and transactions until, formally notified to the con- among licensees and holders of user trary: Provided, That in the event the permits. license or permit would have expired (a) [Reserved] before proceedings under this subpart are completed, timely renewal applica- (b) Transactions among licensees/per- tion must have been filed to continue mittees on and after May 24, 2003—(1) the license or permit beyond its expira- General. (i) A licensed importer, li- tion date. In any case where a notice of censed manufacturer or licensed dealer denial of a renewal application has selling or otherwise distributing explo- been issued, the licensee or permittee sive materials (or a holder of a user may continue to engage in the activi- permit disposing of surplus stock to a ties covered by the existing license or licensee; a holder of a user permit; or a permit after the date of expiration of holder of a limited permit who is with- the license or permit until proceedings in the same State as the distributor) under this subpart are completed. who has the certified information required by this section may sell or dis- Subpart F—Conduct of Business or tribute explosive materials to a li- Operations censee or permittee for not more than 45 days following the expiration date of § 555.101 Posting of license or user the distributee’s license or permit, un- permit. less the distributor knows or has rea- A license or user permit issued under son to believe that the distributee’s au- this part, or a copy of a license or user thority to continue business or oper- permit, will be posted and available for ations under this part has been termi- inspection on the business premises at nated. each place where explosive materials (ii) A licensed importer, licensed are manufactured, imported, or distrib- manufacturer or licensed dealer selling uted. or otherwise distributing explosive materials (or a holder of a user permit dis- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981. Re- posing of surplus stock to another li- designated by T.D. ATF–487, 68 FR 3748, Jan. 24, 2003, as amended by ATF No. 1, 68 FR censee or permittee) must verify the li- 13786, Mar. 20, 2003] cense or permit status of the distributee prior to the release of explo- § 555.102 Authorized operations by sive materials ordered, as required by permittees. this section. (a) In general. A permit issued under (iii) Licensees or permittees desiring this part does not authorize the per- to return explosive materials to a li- mittee to engage in the business of censed manufacturer may do so with- manufacturing, importing, or dealing out obtaining a certified copy of the in explosive materials. Accordingly, if manufacturer’s license. a permittee’s operations bring him (2) Verification of license/user permit. within the definition of manufacturer, (i) Prior to or with the first order of ex- importer, or dealer under this part, he plosive materials, the distributee must shall qualify for the appropriate li- provide the distributor a certified copy cense. (or, in the case of a user-limited, the (b) Distributions of surplus stocks. Per- original) of the distributee’s license or mittees are not authorized to engage in user permit. However, licensees or the business of sale or distribution of holders of user permits that are busi- explosive materials. However, permit- ness organizations may (in lieu of a

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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. current list of names of persons au- (4) User-limited permit transactions. A thorized to accept delivery of explosive user-limited permit issued under the materials on behalf of the distributee. provisions of this part is valid for only Except as provided in paragraph (b)(3) a single purchase transaction and is of this section, in all instances the dis- not renewable (see § 555.51). Accord- tributor must verify the identity of the ingly, at the time a user-limited per- distributee, or the employee of the dis- mittee orders explosive materials, the tributee accepting possession of explo- licensed distributor must write on the sive materials on behalf of the dis- front of the user-limited permit the tributee, by examining an identifica- transaction date, his signature, and the tion document (as defined in § 555.11) distributor’s license number prior to before relinquishing possession. returning the permit to the user-lim- (iii) A licensee or holder of a user ited permittee. permit ordering explosive materials (Approved by the Office of Management and from another licensee or permittee Budget under control number 1140–0079) must provide to the distributor a cur- [ATF No. 1, 68 FR 13787, Mar. 20, 2003, as rent, certified statement of the in- amended by ATF No. 2, 68 FR 53512, Sept. 11, tended use of the explosive materials, 2003; ATF 2017R–21, 84 FR 13799, Apr. 8, 2019] e.g., resale, mining, quarrying, agriculture, construction, sport rocketry, § 555.104 Certified copy of license or road building, oil well drilling, seis- permit. mographic research, etc. Except as provided in § 555.49(a), each (A) For individuals, the certified person issued a license or permit under statement of intended use must specify this part shall be furnished together the name, address, date and place of with his license or permit a copy for birth, and social security number of his certification. If a person desires an the distributee. additional copy of his license or permit (B) For business organizations, the for certification and for use under certified statement of intended use § 555.103, he shall: must specify the taxpayer identifica- (a) Make a reproduction of the copy tion number, the identity and the prin- of his license or permit and execute the cipal and local places of business. certification on it; (C) The licensee or holder of a user (b) Make a reproduction of his license permit purchasing explosive materials or permit, enter on the reproduction must revise the furnished copy of the the statement: ‘‘I certify that this is a certified statement only when the in- true copy of a (insert the word license or formation is no longer current. permit) issued to me to engage in the (3) Delivery of explosive materials by specified business or operations’’, and common or contract carrier. When a com- sign his name next to the statement; or mon or contract carrier will transport (c) Submit a request, in writing, for explosive materials from a distributor certified copies of his license or permit

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to the Chief, Federal Explosives Li- sions during the one-year period of the censing Center. The request will show permit. For purposes of this section, the name, trade name (if any), and ad- the term ‘‘6 separate occasions’’ means dress of the licensee or permittee and six deliveries of explosive materials. the number of copies of the license or Each delivery must— permit desired. There is a fee of $1 for (i) Relate to a single purchase trans- each copy of a license or permit issued action made on one ATF F 5400.4; by the Chief, Federal Explosives Li- (ii) Be referenced on one commercial censing Center under this paragraph. invoice or purchase order; and Fee payment must accompany each re- (iii) Be delivered to the holder of the quest for additional copies of a license limited permit in one shipment deliv- or permit. The fee must be paid by (1) ered at the same time. cash, or (2) money order or check made (4) A holder of a user permit may dis- payable to the Bureau of Alcohol, To- pose of surplus stocks of explosive ma- bacco, Firearms, and Explosives. terials to a licensee or holder of a user [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as permit, or a holder of a limited permit amended by T.D. ATF–290, 54 FR 53054, Dec. who is a resident of the same State in 27, 1989; ATF 2013R–9F, 79 FR 46694, Aug. 11, which the premises of the holder of the 2014] user permit are located. A holder of a § 555.105 Distributions to limited per- limited permit may dispose of surplus mittees. stocks of explosive materials to another holder of a limited permit who is (a) [Reserved] a resident of the same State in which (b) Distributions to holders of limited the premises of the distributor are lo- permits on and after May 24, 2003. (1) 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.) in which the licensee’s business prem- (5) Each holder of a limited permit ises are located, the holder of the lim- ordering explosive materials must fur- ited permit presents in person or by nish the distributing licensee prior to mail ATF Form 5400.4, Limited Per- or with the first order of the explosive mittee Transaction Report (LPTR), materials a current list of the names of and the licensee completes Form 5400.4 employees authorized to accept deliv- in accordance with § 555.126(b). In no ery of explosive materials on behalf of event will a licensee distribute explo- the limited permittee. The distributee sive materials to a holder of a limited ordering explosive materials must keep permit unless the holder presents a the list current and provide updated Form 5400.4 with an original unaltered lists to licensees and holders of user and unexpired Intrastate Purchase of permits on a timely basis. A licensed Explosives Coupon (IPEC), ATF Form importer, licensed manufacturer, li- 5400.30, affixed. The coupon must bear censed dealer, or permittee, selling or the name, address, permit number, and otherwise distributing explosive mate- the coupon number of the limited per- rials to a holder of a limited permit mittee seeking distribution of the ex- must, prior to delivering the explosive plosives. materials, obtain from the limited per- (3) A holder of a limited permit is au- mittee a current list of persons who are thorized to receive explosive materials authorized to accept deliveries of ex- from a licensee or permittee whose plosive materials on behalf of the lim- premises are located in the same State ited permittee. A licensee or permittee of residence in which the premises of may not deliver explosive materials to the holder of the limited permit are lo- a person whose name does not appear cated on no more than 6 separate occa- on the list.

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(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 possession of explosive materials is trans- (A) The limited permittee must, ferred by the distributor to the dis- prior to delivery of the explosive mate- tributee away from the distributor’s rials, complete the appropriate section premises, the distributor must obtain on Form 5400.4, affix to the Form 5400.4 an executed Form 5400.4 in accordance one of the six IPECs he has been issued, with § 555.126(b) and must in all in- and provide the form to the distributor stances verify the identity of the per- in person or by mail. son accepting possession on behalf of (B) Before the delivery at the dis- the distributee by examining an identi- tributor’s premises to the common or fication document (as defined in contract carrier who will transport ex- § 555.11) before relinquishing possession. plosive materials to the holder of a (iii) Delivery by common or contract limited permit, the distributor must: carrier hired by the distributor. Where a (1) Verify the identity of the person common or contract carrier hired by accepting possession for the common the distributor will transport explosive or contract carrier by examining such materials from the distributor to a person’s valid, unexpired driver’s li- holder of a limited permit: cense issued by any State, Canada, or (A) The limited permittee must, Mexico; and prior to delivery of the explosive mate- ( ) Record the name of the common rials, complete the appropriate section 2 on Form 5400.4, affix to the Form 5400.4 or contract carrier (i.e., the name of one of the six IPECs he has been issued, the driver’s employer) and the full and provide the form to the distributor name of the driver. This information in person or by mail. must be maintained in the distributor’s (B) The distributor must, before re- permanent records in accordance with linquishing possession of the explosive § 555.121. materials to the common or contract (7) A licensee or permittee disposing carrier: of surplus stock may sell or distribute (1) Verify the identity of the person commercially manufactured black accepting possession for the common powder in quantities of 50 pounds or or contract carrier by examining such less to a holder of a limited permit, person’s valid, unexpired driver’s li- nonlicensee, or nonpermittee if the cense issued by any State, Canada, or black powder is intended to be used Mexico; and solely for sporting, recreational, or cul- (2) Record the name of the common tural purposes in antique firearms as or contract carrier (i.e., the name of defined in 18 U.S.C. 921(a)(16), or in an- the driver’s employer) and the full tique devices as exempted from the name of the driver. This information term ‘‘destructive device’’ in 18 U.S.C. must be maintained in the distributor’s 921(a)(4). permanent records in accordance with § 555.121. (Approved by the Office of Management and (C) At the time of delivery of the ex- Budget under control number 1140–0075) plosive materials, the common or con- [ATF No. 1, 68 FR 13788, Mar. 20, 2003, as tract carrier, as agent for the dis- amended by ATF No. 2, 68 FR 53513, Sept. 11, tributor, must verify the identity of 2003; ATF 2017R–21, 84 FR 13799, Apr. 8, 2019] the person accepting delivery on behalf

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§ 555.106 Certain prohibited distribu- (ii) Is in lawful nonimmigrant status, tions. is a refugee admitted under section 207 (a) A licensee or permittee may not of the Immigration and Nationality distribute explosive materials to any Act (8 U.S.C. 1157), or is in asylum sta- person except— tus under section 208 of the Immigra- (1) A licensee; tion and Nationality Act (8 U.S.C. (2) A holder of a user permit; or 1158), and— (3) A holder of a limited permit who (A) Is a foreign law enforcement offi- is a resident of the State where dis- cer of a friendly foreign government, as tribution is made and in which the determined by the Attorney General in premises of the transferor are located. consultation with the Secretary of (b) A licensee shall not distribute any State, entering the United States on explosive materials to any person: official law enforcement business, and (1) Who the licensee knows is less the shipping, transporting, possession, than 21 years of age; or receipt of explosive materials is in (2) In any State where the purchase, furtherance of this official law enforce- possession, or use by a person of explo- ment business; sive materials would be in violation of (B) Is a person having the power to any State law or any published ordi- direct or cause the direction of the nance applicable at the place of dis- management and policies of a corpora- tribution; tion, partnership, or association li- (3) Who the licensee has reason to be- censed pursuant to section 843(a), and lieve intends to transport the explosive the shipping, transporting, possession, materials into a State where the pur- or receipt of explosive materials is in chase, possession, or use of explosive furtherance of such power; materials is prohibited or which does (C) Is a member of a North Atlantic not permit its residents to transport or Treaty Organization (NATO) or other ship explosive materials into the State friendly foreign military force, as de- or to receive explosive materials in the termined by the Attorney General in State; or consultation with the Secretary of De- (4) Who the licensee has reasonable fense, (whether or not admitted in a cause to believe intends to use the ex- nonimmigrant status) who is present in plosive materials for other than a law- the United States under military or- ful purpose. ders for training or other military pur- (c) A licensee shall not distribute any pose authorized by the United States, explosive materials to any person and the shipping, transporting, posses- knowing or having reason to believe sion, or receipt of explosive materials that the person: (1) Is, except as provided under is in furtherance of the military pur- § 555.142 (d) and (e), under indictment or pose; or information for, or was convicted in (D) Is lawfully present in the United any court of, a crime punishable by im- States in cooperation with the Director prisonment for a term exceeding 1 of Central Intelligence, and the ship- year; ment, transportation, receipt, or pos- (2) Is a fugitive from justice; session of the explosive materials is in (3) Is an unlawful user of marijuana, furtherance of such cooperation; or any depressant or stimulant drug, or (6) Has been discharged from the narcotic drug (as these terms are de- armed forces under dishonorable condi- fined in the Controlled Substances Act, tions; or 21 U.S.C. 802); (7) Having been a citizen of the (4) Was adjudicated as a mental de- United States, has renounced citizen- fective or was committed to a mental ship. institution; (d) The provisions of this section do (5) Is an alien, other than an alien not apply to the purchase of commer- who— cially manufactured black powder in (i) Is lawfully admitted for perma- quantities not to exceed 50 pounds, in- nent residence (as that term is defined tended to be used solely for sporting, in section 101(a)(20) of the Immigration recreational, or cultural purposes in and Nationality Act (8 U.S.C. 1101)); antique firearms or in antique devices,

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if the requirements of § 555.105(a)(7) or § 555.109 Identification of explosive (b)(7) are fully met. materials. [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981. Re- (a) General. Explosive materials, designated by T.D. ATF–487, 68 FR 3748, Jan. whether manufactured in the United 24, 2003, as amended by ATF No. 1, 68 FR States or imported, must contain cer- 13790, Mar. 20, 2003] tain marks of identification. (b) Required marks—(1) Licensed manu- § 555.107 Record of transactions. facturers. Licensed manufacturers who Each licensee and permittee shall manufacture explosive materials for keep records of explosive materials as sale or distribution must place the fol- required by subpart G of this part. lowing marks of identification on explosive materials at the time of manu- § 555.108 Importation. facture: (i) The name of the manufacturer; (a) Explosive materials imported or and brought into the United States by a li- (ii) The location, date, and shift of censed importer or holder of a user per- manufacture. Where a manufacturer mit may be released from customs cus- operates his plant for only one shift tody to the licensed importer or holder during the day, he does not need to of a user permit upon proof of his sta- show the shift of manufacture. tus as a licensed importer or holder of (2) Licensed importers. (i) Licensed im- a user permit. Proof of status must be porters who import explosive materials made by the licensed importer or hold- for sale or distribution must place the er of a user permit furnishing to the following marks of identification on customs officer a certified copy of his the explosive materials they import: license or permit (see § 555.103). (A) The name and address (city and (b) A nonlicensee or nonpermittee state) of the importer; and may import or bring into the United (B) The location (city and country) States commercially manufactured where the explosive materials were black powder in quantities not to ex- manufactured, date, and shift of manu- ceed 50 pounds. Upon submitting to the facture. Where the foreign manufac- customs officer completed ATF F turer operates his plant for only one 5400.3, certifying that the black powder shift during the day, he does not need is intended to be used solely for sport- to show the shift of manufacture. ing, recreational, or cultural purposes (ii) Licensed importers must place in antique firearms or in antique de- the required marks on all explosive vices, black powder may be released materials imported prior to distribu- from customs custody. The disposition tion or shipment for use, and in no of the executed ATF F 5400.3 will be in event later than 15 days after the date accordance with the instructions on of release from Customs custody. the form. (c) General requirements. (1) The required marks prescribed in this section (c) The provisions of this section are must be permanent and legible. in addition to, and are not in lieu of, (2) The required marks prescribed in any applicable requirement under 27 this section must be in the English lan- CFR Part 447. guage, using Roman letters and Arabic (d) For additional requirements re- numerals. lating to the importation of plastic ex- (3) Licensed manufacturers and li- plosives into the United States on or censed importers must place the re- after April 24, 1997, see § 555.183. quired marks on each cartridge, bag, or (e) For requirements relating to the other immediate container of explosive marking of imported explosive mate- materials that they manufacture or rials, see § 555.109. import, as well as on any outside container used for the packaging of such [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–387, 62 FR 8376, Feb. explosive materials. 25, 1997; ATF No. 1, 68 FR 13790, Mar. 20, 2003; (4) Licensed manufacturers and li- ATF 5F, 70 FR 30633, May 27, 2005] censed importers may use any method, or combination of methods, to affix the

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required marks to the immediate con- rials or to identification of the ammo- tainer of explosive materials, or out- nium nitrate. side containers used for the packaging (b) Reimbursement. The Director will thereof, provided the identifying marks reimburse the fair market value of are legible, permanent, show all the re- samples furnished pursuant to para- quired information, and are not ren- graph (a) of this section, as well as rea- dered unreadable by extended periods sonable costs of shipment. of storage. (5) If licensed manufacturers or li- (Approved by the Office of Management and censed importers desire to use a coding Budget under control number 1140–0073) system and omit printed markings on [ATF No. 1, 68 FR 13790, Mar. 20, 2003] the container that show all the required information specified in para- Subpart G—Records and Reports graphs (b)(1) and (2) of this section, they must file with ATF a letterhead § 555.121 General. application displaying the coding that they plan to use and explaining the (a)(1) Licensees and permittees shall manner of its application. The Director keep records pertaining to explosive must approve the application before materials in permanent form (i.e., com- the proposed coding can be used. mercial invoices, record books) and in (d) Exceptions—(1) Blasting caps. Li- the manner required in this subpart. censed manufacturers or licensed im- (2) Licensees and permittees shall porters are only required to place the keep records required by this part on identification marks prescribed in this the business premises for five years section on the containers used for the from the date a transaction occurs or packaging of blasting caps. until discontinuance of business or op- (2) Alternate means of identification. erations by the licensee or permittee. The Director may authorize other (See also § 555.128 for discontinuance of means of identifying explosive mate- business or operations.) rials, including fireworks, upon receipt (b) ATF officers may enter the prem- of a letter application from the li- ises of any licensee or holder of a user censed manufacturer or licensed im- permit for the purpose of examining or porter showing that such other identi- inspecting any record or document re- fication is reasonable and will not quired by or obtained under this part hinder the effective administration of (see § 555.24). Section 843(f) of the Act this part. requires licensees and holders of user (Approved by the Office of Management and permits to make all required records Budget under control numbers 1140–0055 and available for examination or inspection 1140–0062) at all reasonable times. Section 843(f) [ATF 5F, 70 FR 30633, May 27, 2005, as amend- of the Act also requires licensees and ed by ATF–11F, 73 FR 57242, Oct. 2, 2008] permittees (including holders of limited permits) to submit all reports and § 555.110 Furnishing of samples (Effec- information relating to all required tive on and after January 24, 2003). records and their contents, as the regu- (a) In general. Licensed manufactur- lations in this part prescribe. ers and licensed importers and persons (c) Each licensee and permittee shall who manufacture or import explosive maintain all records of importation, materials or ammonium nitrate must, production, shipment, receipt, sale, or when required by letter issued by the other disposition, whether temporary Director, furnish— or permanent, of explosive materials as (1) Samples of such explosive mate- the regulations in this part prescribe. rials or ammonium nitrate; Sections 842(f) and 842(g) of the Act (2) Information on chemical composi- make it unlawful for any licensee or tion of those products; and permittee knowingly to make any false (3) Any other information that the entry in, or fail to make entry in, any Director determines is relevant to the identification of the explosive mate-

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record required to be kept under the number of detonators, number of dis- Act and the regulations in this part. 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), 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; ATF No. 1, 68 FR 13790, Mar. 20, 2003; of display fireworks). ATF–11F, 73 FR 57242, Oct. 2, 2008] (c) Each licensed importer shall, not 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 an- (a) Each licensed importer shall take other licensee or a permittee, enter in true and accurate physical inventories a separate record the following infor- which will include all explosive mate- mation: rials on hand required to be accounted (1) Date of disposition. for in the records kept under this part. The licensed importer shall take a spe- (2) Name or brand name of manufac- cial inventory turer and country of manufacture. (1) At the time of commencing busi- (3) Manufacturer’s marks of identi- ness, which is the effective date of the fication. license issued upon original qualifica- (4) Quantity (applicable quantity tion under this part; units, such as pounds of explosives, (2) At the time of changing the loca- number of detonators, number of dis- tion of his business to another region; play fireworks, etc.). (3) At the time of discontinuing busi- (5) Description (dynamite (dyn), ness; and blasting agents (ba), detonators (det), (4) At any time the Director, Indus- display fireworks (df), etc.) and size try Operations may in writing require. (length and diameter or diameter only Each special inventory is to be pre- of display fireworks). pared in duplicate, the original of (6) License or permit number of li- which is submitted to the Director, In- censee or permittee to whom the explo- dustry Operations, and the duplicate sive materials are distributed. retained by the licensed importer. If a (d) The Chief, Explosives Industry special inventory specified by paragraphs (a) (1) through (4) of this section Programs Branch may authorize alter- has not been taken during the calendar nate records to be maintained by a li- year, at least one physical inventory censed importer to record his distribu- will be taken. However, the record of tion of explosive materials when it is the yearly inventory, other than a spe- shown by the licensed importer that al- cial inventory required by paragraphs ternate records will accurately and (a) (1) through (4) of this section, will readily disclose the information re- remain on file for inspection instead of quired by paragraph (c) of this section. being sent to the Director, Industry A licensed importer who proposes to Operations. (See also § 555.127.) use alternate records shall submit a (b) Each licensed importer shall, not letter application to the Chief, Explo- later than the close of the next busi- sives Industry Programs Branch and ness day following the date of importa- shall describe the proposed alternate tion or other acquisition of explosive records and the need for them. Alter- materials, enter the following informa- nate records are not to be employed by tion in a separate record: the licensed importer until approval is (1) Date of importation or other ac- received from the Chief, Explosives In- quisition. dustry Programs Branch. (2) Name or brand name of manufac- (e) Each licensed importer shall turer and country of manufacture. maintain separate records of the sales (3) Manufacturer’s marks of identi- or other distribution made of explosive fication. (4) Quantity (applicable quantity units, such as pounds of explosives,

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materials to nonlicensees or non- number of detonators, number of dis- permittees. These records are main- play fireworks, etc.). tained as prescribed by § 555.126. (4) Name, brand name or description (dynamite (dyn), blasting agents (ba), (Approved by the Office of Management and Budget under control number 1140–0030) detonators (det), display fireworks (df), etc.) and size (length and diameter or [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as diameter only of display fireworks). amended by T.D. ATF–172, 49 FR 14941, Apr. (c) Each licensed manufacturer shall, 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; ATF–11F, 73 FR 57242, Oct. 2, 2008; ATF business day following the date of dis- 2013R–9F, 79 FR 46694, Aug. 11, 2014] 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 Director, of display fireworks). Industry Operations 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 Director, In- (d) Each licensed manufacturer who dustry Operations, 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 Director, Industry blasting agents (ba), detonators (det), Operations. (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 man- Exception: A licensed manufacturer is exempt ufacture or other acquisition of explo- from the recordkeeping requirements of this sive materials, enter the following in- subsection if the explosive materials are formation in a separate record: manufactured for his own use and used with- (1) Date of manufacture or other ac- in a 24 hour period at the same site. quisition. (e) The Chief, Explosives Industry (2) Manufacturer’s marks of identi- Programs Branch may authorize alter- fication. nate records to be maintained by a li- (3) Quantity (applicable quantity censed manufacturer to record his dis- units, such as pounds of explosives, tribution or use of explosive materials

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when it is shown by the licensed manu- the yearly inventory, other than a spe- facturer that alternate records will ac- cial inventory required by paragraphs curately and readily disclose the infor- (a) (1) through (4) of this section, will mation required by paragraph (c) of remain on file for inspection instead of this section. A licensed manufacturer being sent to the Director, Industry who proposes to use alternate records Operations. (See also § 555.127.) shall submit a letter application to the (b) Each licensed dealer shall, not Chief, Explosives Industry Programs later than the close of the next busi- Branch and shall describe the proposed ness day following the date of purchase alternate records and the need for or other acquisition of explosive mate- them. Alternate records are not to be rials (except as provided in paragraph employed by the licensed manufacturer (d) of this section), enter the following until approval is received from the information in a separate record: Chief, Explosives Industry Programs (1) Date of acquisition. Branch. (2) Name or brand name of manufac- (f) Each licensed manufacturer shall turer and name of importer (if any). maintain separate records of the sales or other distribution made of explosive (3) Manufacturer’s marks of identi- materials to nonlicensees or non- fication. permittees. These records are main- (4) Quantity (applicable quantity tained as prescribed by § 555.126. units, such as pounds of explosives, number of detonators, number of dis- (Approved by the Office of Management and play fireworks, etc.). Budget under control number 1140–0030) (5) Description (dynamite (dyn), [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as blasting agents (ba), detonators (det), amended by T.D. ATF–172, 49 FR 14941, Apr. display fireworks (df), etc.) and size 16, 1984; T.D. ATF–293, 55 FR 3721, Feb. 5, 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; (length and diameter or diameter only ATF–11F, 73 FR 57242, Oct. 2, 2008; ATF of display fireworks). 2013R–9F, 79 FR 46694, Aug. 11, 2014] (6) Name, address, and license or permit 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 (a) Each licensed dealer shall take later than the close of the next busi- true and accurate physical inventories ness day following the date of use (if which will include all explosive mate- the explosives are used by the dealer) rials on hand required to be accounted or the date of distribution of any explo- for in the records kept under this part. sive materials to another licensee or a The licensed dealer shall take a special permittee (except as provided in para- inventory graph (d) of this section), enter in a (1) At the time of commencing busi- separate record the following informa- ness, which is the effective date of the tion: 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) At the time of discontinuing busi- (3) Manufacturer’s marks of identi- ness; and fication. (4) At any other time the Director, (4) Quantity (applicable quantity Industry Operations may in writing re- units, such as pounds of explosives, quire. Each special inventory is to be number of detonators, number of dis- prepared in duplicate, the original of play fireworks, etc.). which is submitted to the Director, In- (5) Description (dynamite (dyn), dustry Operations, and the duplicate blasting agents (ba), detonators (det), retained by the licensed dealer. If a display fireworks (df), etc.) and size special inventory required by para- (length and diameter or diameter only graphs (a) (1) through (4) of this section of display fireworks). has not been taken during the calendar (6) License or permit number of li- year, at least one physical inventory censee or permittee to whom the explo- will be taken. However, the record of sive materials are distributed.

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(d) When a commercial record is kept § 555.125 Records maintained by per- by a licensed dealer showing the pur- mittees. chase or other acquisition information (a) [Reserved] required for the permanent record pre- (b) Records maintained by permittees on scribed by paragraph (b) of this section, and after May 24, 2003. (1) Each holder or showing the distribution informa- of a user permit must take true and action required for the permanent record curate physical inventories that will prescribed by paragraph (c) of this sec- include all explosive materials on hand tion, the licensed dealer acquiring or required to be accounted for in the distributing the explosive materials records kept under this part. The per- may, for a period not exceeding seven mittee must take a special inventory— days following the date of acquisition (i) At the time of commencing busi- of distribution of the explosive mate- ness, which is the effective date of the rials, delay making the required entry permit issued upon original qualifica- into the permanent record of acquisition under this part; tion or distribution. However, until the (ii) At the time of changing the loca- required entry of acquisition or dis- tion of his premises; position is made in the permanent (iii) At the time of discontinuing record, the commercial record must be business; and (1) kept by the licensed dealer separate (iv) At any other time the Director, from other commercial documents Industry Operations may in writing re- kept by the licensee, and (2) readily quire. Each special inventory is to be available for inspection on the licensed prepared in duplicate, the original of premises. which is submitted to the Director, In- (e) The Chief, Explosives Industry dustry Operations and the duplicate retained by the permittee. If a special in- Programs Branch may authorize alter- ventory required by paragraphs (b)(1)(i) nate records to be maintained by a li- through (iv) of this section has not censed dealer to record his acquisition been taken during the calendar year, a or disposition of explosive materials, permittee is required to take at least when it is shown by the licensed dealer one physical inventory. The record of that alternate records will accurately the yearly inventory, other than a spe- and readily disclose the required infor- cial inventory required by paragraphs mation. A licensed dealer who proposes (b)(1)(i) through (iv) of this section, to use alternate records shall submit a will remain on file for inspection in- letter application to the Chief, Explo- stead of being sent to the Director, In- sives Industry Programs Branch and dustry Operations. (See also § 555.127.) shall describe the proposed alternate (2) Each holder of a limited permit records and the need for them. Alter- must take true and accurate physical nate records are not to be employed by inventories, at least annually, that will the licensed dealer until approval is re- include all explosive materials on hand ceived from the Chief, Explosives In- required to be accounted for in the dustry Programs Branch. records kept under this part. (f) Each licensed dealer shall main- (3) Each holder of a user permit or a tain separate records of the sales or limited permit must, not later than the other distribution made of explosive close of the next business day following materials to nonlicensees or non- the date of acquisition of explosive ma- permittees. These records are main- terials, enter the following information tained as prescribed by § 555.126. in a separate record: (i) Date of acquisition; (Approved by the Office of Management and (ii) Name or brand name of manufac- Budget under control number 1140–0030) turer; [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as (iii) Manufacturer’s marks of identi- amended by T.D. ATF–172, 49 FR 14941, Apr. fication; 16, 1984; T.D. ATF–293, 55 FR 3721, Feb. 5, (iv) Quantity (applicable quantity 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; units, such as pounds of explosives, ATF–11F, 73 FR 57242, Oct. 2, 2008; ATF number of detonators, number of dis- 2013R–9F, 79 FR 46694, Aug. 11, 2014] play fireworks, etc.);

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(v) Description (dynamite (dyn), § 555.126 Limited Permittee Trans- blasting agents (ba), detonators (det), action Report for distribution of ex- display fireworks (df), etc., and size plosive materials. (length and diameter or diameter only (a) [Reserved] of display fireworks)); and (b) Limited Permittee Transaction Re- (vi) Name, address, and license num- port for distribution of explosive materials ber of the persons from whom the ex- on and after May 24, 2003. (1) A licensee plosive materials are received. or permittee may not distribute explo- (4) Each holder of a user permit or a sive materials to any person who is not limited permit must, not later than the a licensee or permittee. A licensee or close of the next business day following permittee may not distribute explosive the date of disposition of surplus explo- materials to a limited permittee unless sive materials to another permittee or the distributor records the transaction a licensee, enter in a separate record on ATF Form 5400.4, Limited Per- the information prescribed in mittee Transaction Report. § 555.124(c). (2) Before distributing explosive ma- (5) When a record book is used as a terials to a limited permittee, the li- permittee’s permanent record the per- censee or permittee must obtain an ex- mittee may delay entry of the required ecuted Form 5400.4 from the limited information for a period not to exceed permittee with an original unaltered seven days if the commercial record and unexpired Intrastate Purchase of contains all of the required informa- Explosives Coupon (IPEC) affixed. Ex- tion prescribed by paragraphs (b)(3) and cept when delivery of explosive mate- (b)(4) of this section. However, the rials is made by a common or contract commercial record may be used instead carrier who is an agent of the limited of a record book as a permanent record permittee, the licensee, permittee, or provided that the record contains all of an agent of the licensee or permittee, the required information prescribed by must verify the identity of the holder paragraphs (b)(3) and (b)(4) of this sec- of the limited permit by examining an tion. identification document (as defined in (6) Each holder of a user permit or a § 555.11) and noting on the Form 5400.4 limited permit must maintain separate the type of document presented. The li- records of disposition of surplus stocks censee or permittee must complete the of explosive materials to holders of a appropriate section on Form 5400.4 to limited permit as prescribed in § 555.126. indicate the type and quantity of ex- (7) The Chief, Explosives Industry plosive materials distributed, the li- Programs Branch may authorize alter- cense or permit number of the seller, nate records to be maintained by a and the date of the transaction. The li- holder of a user permit or a limited censee or permittee must sign and date permit to record his acquisition of ex- the form and include any other infor- plosive materials, when it is shown by mation required by the instructions on the permittee that alternate records the form and the regulations in this will accurately and readily disclose the part. required information. A permittee who (3) One copy of Form 5400.4 must be proposes to use alternate records must retained by the distributor as part of submit a letter application to the his permanent records in accordance Chief, Explosives Industry Programs with paragraph (b)(4) of this section Branch and must describe the proposed and for the period specified in § 555.121. alternate records and the need for The distributor must mail the other them. Alternate records are not to be copy of Form 5400.4 to the Bureau of employed by the permittee until ap- Alcohol, Tobacco, Firearms and Explo- proval is received from the Chief, Ex- sives in accordance with the instruc- plosives Industry Programs Branch. tions on the form. (Approved by the Office of Management and (4) Each Form 5400.4 must be retained Budget under control number 1140–0030) in chronological order by date of dis- [ATF No. 1, 68 FR 13790, Mar. 20, 2003, as position, or in alphabetical order by amended by ATF 2013R–9F, 79 FR 46694, Aug. name of limited permittee. A licensee 11, 2014; ATF 2017R–21, 84 FR 13799, Apr. 8, may not, however, use both methods in 2019] a single recordkeeping system. Where

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there is a change in proprietorship by a mittee, the records prescribed by this limited permittee, the forms may con- subpart shall appropriately reflect such tinue to be filed together after such facts and shall be delivered to the suc- change. cessor. Where discontinuance of the (5) The requirements of this section business or operations is absolute, the are in addition to any other record- records required by this subpart must keeping requirement contained in this be delivered within 30 days following part. the business or operations discontinu- (Approved by the Office of Management and ance to any ATF office located in the Budget under control number 1140–0078) region in which the business was located, or to the ATF Out-of-Business [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF–93, 46 FR 50787, Oct. Records Center, 244 Needy Road, Mar- 15, 1981; T.D. ATF–172, 49 FR 14941, Apr. 16, tinsburg, West Virginia 25405. Where 1984; T.D. ATF–446, 66 FR 16602, Mar. 27, 2001; State law or local ordinance requires ATF No. 1, 68 FR 13791, Mar. 20, 2003; ATF the delivery of records to other respon- 2013R–9F, 79 FR 46694, Aug. 11, 2014; ATF sible authority, the Chief, Federal Ex- 2017R–21, 84 FR 13800, Apr. 8, 2019] plosives Licensing Center may arrange for the delivery of the records required § 555.127 Daily summary of magazine by this subpart to such authority. (See transactions. also, § 555.61.) In taking the inventory required by §§ 555.122, 555.123, 555.124, and 555.125, a [T.D. ATF–290, 54 FR 53054, Dec. 27, 1989, as licensee or permittee shall enter the amended by T.D. ATF–446a, 66 FR 19089, Apr. inventory in a record of daily summary 13, 2001; ATF No. 1, 68 FR 13792, Mar. 20, 2003; ATF–11F, 73 FR 57242, Oct. 2, 2008; ATF transactions to be kept at each maga- 2013R–9F, 79 FR 46694, Aug. 11, 2014] zine of an approved storage facility; however, these records may be kept at § 555.129 Exportation. one central location on the business 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 provisions of section 38 of the Arms Ex- next business day, each licensee and port Control Act (22 U.S.C. 2778) and permittee shall record by manufactur- implementing regulations. However, a er’s name or brand name, the total licensed importer, licensed manufac- quantity received in and removed from turer, or licensed dealer exporting ex- each magazine during the day, and the plosive materials shall maintain total remaining on hand at the end of records showing the manufacture or ac- the day. Quantity entries for display quisition of explosive materials as re- fireworks may be expressed as the quired by this part and records showing number and size of individual display the quantity, the manufacturer’s name fireworks in a finished state or as the or brand name of explosive materials, number of packaged display segments the name and address of the foreign or packaged displays. Information as to consignee of the explosive materials, the number and size of display fire- and the date the explosive materials works contained in any one packaged were exported. See § 555.180 for regula- display segment or packaged display tions concerning the exportation of shall be provided to any ATF officer on plastic explosives. request. Any discrepancy which might [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as indicate a theft or loss of explosive ma- amended by T.D. ATF–387, 62 FR 8377, Feb. terials is to be reported in accordance 25, 1997] with § 555.30. § 555.130 [Reserved] [T.D. ATF–293, 55 FR 3722, Feb. 5, 1990, as amended by T.D. ATF–400, 63 FR 45003, Aug. 24, 1998] Subpart H—Exemptions

§ 555.128 Discontinuance of business. § 555.141 Exemptions. Where an explosive materials busi- (a) General. Except for the provisions ness or operations is discontinued and of §§ 555.180 and 555.181, this part does succeeded by a new licensee or new per- not apply to:

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(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 Ex- tors or as reload kits capable of reload- plosives Industry Program Branch in ing no more than 62.5 grams of propel- Washington, 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 amended by T.D. ATF–87, 46 FR 46916, Sept. (5) The manufacture under the regu- 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; ATF 2013R–9F, 79 FR or naval services or other agencies of 46694, Aug. 11, 2014] the United States. (6) Arsenals, navy yards, depots, or § 555.142 Relief from disabilities. other establishments owned by, or op- (a) Any person prohibited from ship- erated by or on behalf of, the United ping or transporting any explosive in States. or affecting interstate or foreign com- (7) The importation, distribution, and merce or from receiving or possessing storage of fireworks classified as any explosive which has been shipped UN0336, UN0337, UN0431, or UN0432 ex- or transported in or affecting inter- plosives by the U.S. Department of state or foreign commerce may make Transportation at 49 CFR 172.101 and application for relief from disabilities generally known as ‘‘consumer fire- under section 845(b) of the Act . works’’ or ‘‘articles pyrotechnic.’’ (b) An application for relief from dis- (8) Gasoline, fertilizers, propellant abilities must be filed with the Direc- actuated devices, or propellant actu- tor by submitting ATF Form 5400.29,

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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 receiving or possessing explosive mate- which his conviction becomes final or rials. while his application for relief is pend- (3)(i) The Director may grant relief ing, he shall file a timely application to aliens who have been lawfully ad- for renewal of his license or permit in mitted to the United States or to per- order to continue licensed or permit sons who have not been discharged operations. The license or permit appli- from parole or probation for a period of cation is to show that the applicant at least 2 years if he determines that has been indicted or under information the applicant has a compelling need to for, or convicted of, a crime punishable possess explosives, such as for purposes by imprisonment for a term exceeding of employment. one year. (ii) The Director may grant relief to (3) A licensee or permittee shall not the persons identified in paragraph continue licensed or permit operations (c)(2) of this section in extraordinary beyond 30 days following the date the

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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 Director, (vii) In the case of an applicant who Industry Operations. 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; able by imprisonment for a term ex- certification from an appropriate law ceeding one year, a copy of the indict- enforcement agency of the applicant’s ment or information on which the ap- country of citizenship stating that the plicant was convicted, the judgment of applicant does not have a criminal conviction or record of any plea of nolo record; and, if applicable, certification contendere or plea of guilty or finding from a Federal explosives licensee or of guilt by the court; permittee or other employer stating (v) In the case of an applicant under that the applicant is employed by the indictment, a copy of the indictment or employer and must possess explosive information; materials for purposes of employment. (vi) In the case of an applicant who These certifications must be submitted has been adjudicated a mental defec- in English. tive or committed to a mental institu- (2) Any record or document of a court tion, a copy of the order of a court, or other government entity or official

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required by paragraph (f)(1) of this sec- § 555.165 Failure to report theft or tion must be certified by the court or loss. other government entity or official as (a) Any person who has knowledge of a true copy. the theft or loss of any explosive mate- (Approved by the Office of Management and rials from his stock and fails to report Budget under control number 1140–0076) the theft or loss within 24 hours of dis- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981. Re- covery in accordance with § 555.30, shall designated by T.D. ATF–487, 68 FR 3748, Jan. be fined not more than $1,000 or impris- 24, 2003, as amended by ATF No. 1, 68 FR oned not more than one year, or both. 13792, Mar. 20, 2003; ATF 2013R–9F, 79 FR (b) Any licensee or permittee who 46694, Aug. 11, 2014; ATF 2017R–21, 84 FR fails to report a theft of explosive ma- 13800, Apr. 8, 2019] terials in accordance with § 555.30 will be fined under title 18 U.S.C., impris- Subpart I—Unlawful Acts, oned not more than 5 years, or both. Penalties, Seizures and Forfeitures [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as § 555.161 Engaging in business without amended by ATF No. 1, 68 FR 13793, Mar. 20, a license. 2003; ATF 2017R–21, 84 FR 13800, Apr. 8, 2019] Any person engaging in the business § 555.166 Seizure or forfeiture. of importing, manufacturing, or deal- Any explosive materials involved or ing in explosive materials without a li- used or intended to be used in any vio- cense issued under the Act, shall be lation of the Act or of this part or in fined not more than $10,000 or impris- any violation of any criminal law of oned not more than 10 years, or both. the United States are subject to seizure § 555.162 False statement or represen- and forfeiture, and all provisions of tation. title 26, U.S.C. relating to the seizure, forfeiture, and disposition of firearms, Any person who knowingly withholds as defined in 26 U.S.C. 5845(a), will, so information or makes any false or fic- far as applicable, extend to seizures titious oral or written statement or and forfeitures under the Act. (See furnishes or exhibits any false, ficti- § 72.27 of this title for regulations on tious, or misrepresented identification, summary destruction of explosive ma- intended or likely to deceive for the terials which are impracticable or un- purpose of obtaining explosive mate- safe to remove to a place of storage.) rials, or a license, permit, exemption, or relief from disability under the Act, [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as shall be fined not more than $10,000 or amended by T.D. ATF–363, 60 FR 17449, Apr. imprisoned not more than 10 years, or 6, 1995] both. Subpart J—Marking of Plastic § 555.163 False entry in record. Explosives Any licensed importer, licensed manufacturer, licensed dealer, or permittee § 555.180 Prohibitions relating to un- who knowingly makes any false entry marked plastic explosives. in any record required to be kept under (a) No person shall manufacture any subpart G of this part, shall be fined plastic explosive that does not contain not more than $10,000 or imprisoned not a detection agent. more than 10 years, or both. (b) No person shall import or bring [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as into the United States, or export from amended by T.D. ATF–400, 63 FR 45003, Aug. the United States, any plastic explo- 24, 1998] sive that does not contain a detection agent. This paragraph does not apply § 555.164 Unlawful storage. to the importation or bringing into the Any person who stores any explosive United States, or the exportation from material in a manner not in con- the United States, of any plastic explo- formity with this part, shall be fined sive that was imported or brought into, not more than $1,000 or imprisoned not or manufactured in the United States more than one year, or both. prior to April 24, 1996, by or on behalf

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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), C6H12(NO2)2, molecular weight 21, 2013. 176, when the minimum concentration (c) No person shall ship, transport, in the finished explosive is 0.1 percent transfer, receive, or possess any plastic by mass; explosive that does not contain a de- (iii) Para-Mononitrotoluene (p-MNT), tection agent. This paragraph does not C7H7NO2, molecular weight 137, when apply to: the minimum concentration in the fin- (1) The shipment, transportation, ished explosive is 0.5 percent by mass; transfer, receipt, or possession of any (iv) Ortho-Mononitrotoluene (o- plastic explosive that was imported or MNT), C7H7NO2, molecular weight 137, brought into, or manufactured in the when the minimum concentration in United States prior to April 24, 1996, by the finished explosive is 0.5 percent by any person during the period beginning mass; and on that date and ending on April 24, (v) Any other substance in the con- 1999; or centration specified by the Director, (2) The shipment, transportation, after consultation with the Secretary transfer, receipt, or possession of any of State and Secretary of Defense, that plastic explosive that was imported or has been added to the table in Part 2 of brought into, or manufactured in the the Technical Annex to the Convention United States prior to April 24, 1996, by on the Marking of Plastic Explosives. or on behalf of any agency of the (4) Plastic explosive means an explo- United States performing a military or sive material in flexible or elastic police function (including any military sheet form formulated with one or reserve component) or by or on behalf more high explosives which in their of the National Guard of any State, not pure form has a vapor pressure less later than 15 years after the date of than 10¥4 Pa at a temperature of 25 °C, entry into force of the Convention on is formulated with a binder material, the Marking of Plastic Explosives with and is as a mixture malleable or flexi- respect to the United States, i.e., not ble at normal room temperature. High later than June 21, 2013. explosives, as defined in § 555.202(a), are (d) When used in this subpart, terms explosive materials which can be are defined as follows: caused to detonate by means of a blast- (1) Convention on the Marking of Plas- ing cap when unconfined. tic Explosives means the Convention on [T.D. ATF–387, 62 FR 8376, Feb. 25, 1997, as the Marking of Plastic Explosives for amended by T.D. ATF–419, 64 FR 55628, Oct. the Purposes of Detection, Done at 14, 1999] Montreal on 1 March 1991. (2) ‘‘Date of entry into force’’ of the § 555.181 Reporting of plastic explo- Convention on the Marking of Plastic sives. Explosives means that date on which All persons, other than an agency of the Convention enters into force with the United States (including any mili- respect to the U.S. in accordance with tary reserve component) or the Na- the provisions of Article XIII of the tional Guard of any State, possessing Convention on the Marking of Plastic any plastic explosive on April 24, 1996, Explosives. The Convention entered shall submit a report to the Director into force on June 21, 1998. no later than August 22, 1996. The re- (3) Detection agent means any one of port shall be in writing and mailed by the substances specified in this para- certified mail (return receipt re- graph when introduced into a plastic quested) to the Director at P.O. Box explosive or formulated in such explo- 50204, Washington, DC 20091–0204. The sive as a part of the manufacturing report shall include the quantity of

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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 (a) ‘‘I declare under the penalties of of the manufacturer or importer; the perjury that the plastic explosive to be storage location of such explosives, in- imported contains a detection agent as cluding the city and State; and the required by 27 CFR 555.180(b)’’; or name and address of the person pos- (b) ‘‘I declare under the penalties of sessing the plastic explosives. perjury that the plastic explosive to be [T.D. ATF–382, 61 FR 38085, July 23, 1996, as imported is a ‘‘small amount’’ to be amended by T.D. ATF–387, 62 FR 8377, Feb. used for research, training, or testing 25, 1997; ATF–11F, 73 FR 57242, Oct. 2, 2008] purposes and is exempt from the detection agent requirement pursuant to 27 § 555.182 Exceptions. CFR 555.182.’’ It is an affirmative defense against [T.D. ATF–387, 62 FR 8377, Feb. 25, 1997] any proceeding involving §§ 555.180 and 555.181 if the proponent proves by a pre- § 555.184 Statements of process and ponderance of the evidence that the samples. plastic explosive— (a) Consisted of a small amount of (a) A complete and accurate state- plastic explosive intended for and uti- ment of process with regard to any lized solely in lawful— plastic explosive or to any detection (1) Research, development, or testing agent that is to be introduced into a of new or modified explosive materials; plastic explosive or formulated in such (2) Training in explosives detection plastic explosive shall be submitted by or development or testing of explosives a licensed manufacturer or licensed im- detection equipment; or porter, upon request, to the Director. (3) Forensic science purposes; or (b) Samples of any plastic explosive (b) Was plastic explosive that, by or detection agent shall be submitted April 24, 1999, will be or is incorporated by a licensed manufacturer or licensed in a military device within the terri- importer, upon request, to the Direc- tory of the United States and remains tor. an integral part of such military de- (Paragraph (a) approved by the Office of vice, or is intended to be, or is incor- Management and Budget under control num- porated in, and remains an integral ber 1140–0042) part of a military device that is in- [T.D. ATF–387, 62 FR 8378, Feb. 25, 1997, as tended to become, or has become, the amended by ATF–11F, 73 FR 57242, Oct. 2, property of any agency of the United 2008] States performing military or police functions (including any military re- § 555.185 Criminal sanctions. serve component) or the National Any person who violates the provi- Guard of any State, wherever such device is located. For purposes of this sions of 18 U.S.C. 842(l)–(o) shall be paragraph, the term ‘‘military device’’ fined under title 18, U.S.C., imprisoned includes, but is not restricted to, for not more than 10 years, or both. shells, bombs, projectiles, mines, mis- [T.D. ATF–387, 62 FR 8378, Feb. 25, 1997] siles, rockets, shaped charges, grenades, perforators, and similar devices § 555.186 Seizure or forfeiture. lawfully manufactured exclusively for Any plastic explosive that does not military or police purposes. contain a detection agent in violation [T.D. ATF–387, 62 FR 8377, Feb. 25, 1997] of 18 U.S.C. 842(l)–(n) is subject to seizure and forfeiture, and all provisions § 555.183 Importation of plastic explo- of 19 U.S.C. 1595a, relating to seizure, sives on or after April 24, 1997. forfeiture, and disposition of merchan- Persons filing Form 6 applications dise introduced or attempted to be infor the importation of plastic explo- troduced into the U.S. contrary to law, sives on or after April 24, 1997, shall at- shall extend to seizures and forfeitures tach to the application the following under this subpart. See § 72.27 of this written statement, prepared in trip- chapter for regulations on summary

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destruction of plastic explosives that each site where such explosive mate- do not contain a detection agent. rials are stored. Such notification shall be made orally before the end of the [T.D. ATF–387, 62 FR 8378, Feb. 25, 1997] day on which storage of the explosive materials commenced and in writing Subpart K—Storage within 48 hours from the time such storage commenced. § 555.201 General. (a) Section 842(j) of the Act and (Paragraph (f) approved by the Office of Man- § 555.29 of this part require that the agement and Budget under control number 1140–0071) storage of explosive materials by any person must be in accordance with the [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as regulations in this part. Further, sec- amended by T.D. ATF–293, 55 FR 3722, Feb. 5, tion 846 of this Act authorizes regula- 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; ATF–11F, 73 FR 57242, Oct. 2, 2008; ATF tions to prevent the recurrence of acci- 2013R–9F, 79 FR 46694, Aug. 11, 2014; ATF dental explosions in which explosive 2017R–21, 84 FR 13800, Apr. 8, 2019] materials were involved. The storage standards prescribed by this subpart § 555.202 Classes of explosive mate- confer no right or privileges to store rials. explosive materials in a manner con- For purposes of this part, there are trary to State or local law. three classes of explosive materials. (b) The Director may authorize alter- These classes, together with the de- nate construction for explosives stor- scription of explosive materials com- age magazines when it is shown that prising each class, are as follows: the alternate magazine construction is (a) High explosives. Explosive mate- substantially equivalent to the stand- rials which can be caused to detonate ards of safety and security contained in by means of a blasting cap when this subpart. Any alternate explosive unconfined, (for example, dynamite, magazine construction approved by the flash powders, and bulk salutes). Director prior to August 9, 1982, will (b) Low explosives. Explosive mate- continue as approved unless notified in rials which can be caused to deflagrate writing by the Director. Any person in- when confined (for example, black pow- tending to use alternate magazine con- der, safety fuses, igniters, igniter struction shall submit a letter applica- cords, fuse lighters, and ‘‘display fire- tion to the Director, Industry Oper- works’’ classified as UN0333, UN0334, or ations for transmittal to the Director, UN0335 by the U.S. Department of specifically describing the proposed Transportation regulations at 49 CFR magazine. Explosive materials may not 172.101, except for bulk salutes). be stored in alternate magazines before the applicant has been notified that (c) Blasting agents. (For example, am- the application has been approved. monium nitrate-fuel oil and certain (c) A licensee or permittee who in- water-gels (see also § 555.11). tends to make changes in his maga- [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as zines, or who intends to construct or amended by T.D. ATF–293, 55 FR 3722, Feb. 5, acquire additional magazines, shall 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998; comply with § 555.63. ATF 2017R–21, 84 FR 13800, Apr. 8, 2019] (d) The regulations set forth in §§ 555.221 through 555.224 pertain to the § 555.203 Types of magazines. storage of display fireworks, pyro- For purposes of this part, there are technic compositions, and explosive five types of magazines. These types, materials used in assembling fireworks together with the classes of explosive and articles pyrotechnic. materials, as defined in § 555.202, which (e) [Reserved] will be stored in them, are as follows: (f) Any person who stores explosive (a) Type 1 magazines. Permanent mag- materials shall notify the authority azines for the storage of high explo- having jurisdiction for fire safety in sives, subject to the limitations pre- the locality in which the explosive ma- scribed by §§ 555.206 and 555.213. Other terials are being stored of the type, classes of explosive materials may also magazine capacity, and location of be stored in type 1 magazines.

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(b) Type 2 magazines. Mobile and port- § 555.206 Location of magazines. able 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. (2) Ammonium nitrate and magazines § 555.204 Inspection of magazines. in which blasting agents are stored Any person storing explosive mate- must be located no closer to magazines rials shall inspect his magazines at in which high explosives or other blast- least every seven days. This inspection ing agents are stored than the min- need not be an inventory, but must be imum distances specified in the table sufficient to determine whether there of distances for the separation of am- has been unauthorized entry or at- monium nitrate and blasting agents in tempted entry into the magazines, or § 555.220. However, the minimum dis- unauthorized removal of the contents tances for magazines in which explo- of the magazines. sives and blasting agents are stored from inhabited buildings, etc., may not § 555.205 Movement of explosive mate- be less than the distances specified in rials. the table of distances for storage of ex- All explosive materials must be kept plosives materials in § 555.218. in locked magazines meeting the [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as standards in this subpart unless they amended by T.D. ATF–293, 55 FR 3722, Feb. 5, are: 1990; T.D. ATF–400, 63 FR 45003, Aug. 24, 1998] (a) In the process of manufacture; (b) Being physically handled in the § 555.207 Construction of type 1 maga- operating process of a licensee or user; zines. (c) Being used; or A type 1 magazine is a permanent (d) Being transported to a place of structure: a building, an igloo or storage or use by a licensee or per- ‘‘Army-type structure’’, a tunnel, or a mittee or by a person who has lawfully dugout. It is to be bullet-resistant, fire- acquired explosive materials under resistant, weather-resistant, theft-re- § 555.106. sistant, and ventilated.

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(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 walls. Interior walls are to be con- be attached to the doors by welding, structed of, or covered with, a non- riveting or bolting (nuts on inside of sparking material. door). They are to be installed in such (3) Wood frame wall construction. The a manner that the hinges and hasps exterior of outer wood walls is to be cannot be removed when the doors are covered with iron or aluminum not less closed and locked. than number 26-gauge. An inner wall (9) Locks. Each door is to be equipped of, or covered with nonsparking mate- with (i) two mortise locks; (ii) two pad- rial will be constructed so as to provide lock fastened in separate hasps and a space of not less than six inches be- staples; (iii) a combination of a mortise tween the outer and inner walls. The lock and a padlock; (iv) a mortise lock space is to be filled with coarse, dry that requires two keys to open; or (v) a sand or weak concrete. three-point lock. Padlocks must have (4) Floors. Floors are to be con- at least five tumblers and a case- structed of, or covered with, a non- hardened shackle of at least 3⁄8 inch di- sparking material and shall be strong ameter. Padlocks must be protected enough to bear the weight of the max- with not less than 1⁄4 inch steel hoods imum quantity to be stored. Use of pal- constructed so as to prevent sawing or lets covered with a nonsparking mate- lever action on the locks, hasps, and rial is considered equivalent to a floor staples. These requirements do not constructed of or covered with a non- apply to magazine doors that are ade- sparking material. quately secured on the inside by means (5) Foundations. Foundations are to of a bolt, lock, or bar that cannot be be constructed of brick, concrete, ce- actuated from the outside. ment block, stone, or wood posts. If (10) Ventilation. Ventilation is to be piers or posts are used, in lieu of a con- provided to prevent dampness and tinuous foundation, the space under heating of stored explosive materials.

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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 material is to be exposed to contact with stalled so that they cannot be removed the stored explosive materials. All fer- when the doors are closed and locked. rous metal nails in the floor and side (4) Locks. Each door is to be equipped walls, which might be exposed to con- with (i) two mortise locks; (ii) two pad- tact with explosive materials, must be locks fastened in separate hasps and blind nailed, countersunk, or covered staples; (iii) a combination of a mortise with a nonsparking lattice work or lock and a padlock; (iv) a mortise lock other nonsparking material. that requires two keys to open; or (v) a (b) Igloos, ‘‘Army-type structures’’, tun- three-point lock. Padlocks must have nels, and dugouts. Igloo, ‘‘Army-type at least five tumblers and a case-hard- structure’’, tunnel, and dugout maga- ened shackle of at least 3⁄8-inch diame- zines are to be constructed of rein- ter. Padlocks must be protected with forced concrete, masonry, metal, or a not less than 1⁄4-inch steel hoods con- combination of these materials. They structed so as to prevent sawing or must have an earthmound covering of lever action on the locks, hasps, and not less than 24 inches on the top, sides staples. These requirements do not and rear unless the magazine meets the apply to magazine doors that are ade- requirements of paragraph (a)(7) of this quately secured on the inside by means section. Interior walls and floors must of a bolt, lock, or bar that cannot be be constructed of, or covered with, a actuated from the outside. nonsparking material. Magazines of (b) Indoor magazines—(1) General. In- this type are also to be constructed in door magazines are to be fire-resistant conformity with the requirements of and theft-resistant. They need not be paragraph (a)(4) and paragraphs (a)(8) bullet-resistant and weather-resistant through (11) of this section. if the buildings in which they are § 555.208 Construction of type 2 maga- stored provide protection from the zines. weather and from bullet penetration. A type 2 magazine is a box, trailer, No indoor magazine is to be located in semitrailer, or other mobile facility. a residence or dwelling. The indoor (a) Outdoor magazines—(1) General. storage of high explosives must not ex- Outdoor magazines are to be bullet-re- ceed a quantity of 50 pounds. More sistant, fire-resistant, weather-resist- than one indoor magazine may be lo- ant, theft-resistant, and ventilated. cated in the same building if the total They are to be supported to prevent di- quantity of explosive materials stored rect contact with the ground and, if does not exceed 50 pounds. Detonators less than one cubic yard in size, must must be stored in a separate magazine be securely fastened to a fixed object. (except as provided in § 555.213) and the The ground around outdoor magazines total quantity of detonators must not must slope away for drainage or other exceed 5,000. adequate drainage provided. When un- (2) Exterior construction. Indoor maga- attended, vehicular magazines must zines are to be constructed of wood or have wheels removed or otherwise ef- metal according to one of the following fectively immobilized by kingpin lock- specifications:

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(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 A type 3 magazine is a ‘‘day-box’’ or the interior of magazines must be other portable magazine. It must be countersunk. fire-resistant, weather-resistant, and (ii) Metal indoor magazines are to theft-resistant. A type 3 magazine is to have sides, bottoms and doors con- be constructed of not less than number structed of not less than number 12- 12-gauge (.1046 inches) steel, lined with gauge (.1046 inches) metal and be lined at least either 1⁄2-inch plywood or 1⁄2- inside with a nonsparking material. inch Masonite-type hardboard. Doors Edges of metal covers must overlap must overlap sides by at least one inch. sides at least one inch. Hinges and hasps are to be attached by (3) Hinges and hasps. Hinges and hasps welding, riveting or bolting (nuts on are to be attached to doors by welding, inside). One steel padlock (which need riveting, or bolting (nuts on inside of not be protected by a steel hood) hav- door). Hinges and hasps must be in- ing at least five tumblers and a case- stalled so that they cannot be removed hardened shackle of at least 3⁄8-inch di- when the doors are closed and locked. ameter is sufficient for locking pur- (4) Locks. Each door is to be equipped poses. Explosive materials are not to with (i) two mortise locks; (ii) two pad- be left unattended in type 3 magazines locks fastened in separate hasps and and must be removed to type 1 or 2 staples; (iii) a combination of a mortise magazines for unattended storage. lock and a padlock; (iv) a mortise lock that requires two keys to open; or (v) a § 555.210 Construction of type 4 maga- three-point lock. Padlocks must have zines. at least five tumblers and a case-hard- A type 4 magazine is a building, igloo ened shackle of at least 3⁄8-inch diame- or ‘‘Army-type structure’’, tunnel, dug- ter. Padlocks must be protected with out, box, trailer, or a semitrailer or not less than 1⁄4-inch steel hoods con- other mobile magazine. structed so as to prevent sawing or (a) Outdoor magazines—(1) General. lever action on the locks, hasps, and Outdoor magazines are to be fire-resist- staples. Indoor magazines located in se- ant, weather-resistant, and theft-re- cure rooms that are locked as provided sistant. The ground around outdoor in this subparagraph may have each magazines must slope away for drain- door locked with one steel padlock age or other adequate drainage be pro- (which need not be protected by a steel vided. When unattended, vehicular hood) having at least five tumblers and magazines must have wheels removed a case-hardened shackle of at least 3⁄8- or otherwise be effectively immobilized inch diameter, if the door hinges and by kingpin locking devices or other lock hasp are securely fastened to the methods approved by the Director. magazine. These requirements do not (2) Construction. Outdoor magazines apply to magazine doors that are ade- are to be constructed of masonry, quately secured on the inside by means metal-covered wood, fabricated metal, of a bolt, lock, or bar that cannot be or a combination of these materials. actuated from the outside. Foundations are to be constructed of (c) Detonator boxes. Magazines for brick, concrete, cement block, stone, detonators in quantities of 100 or less or metal or wood posts. If piers or posts are to have sides, bottoms and doors are used, in lieu of a continuous foun- constructed of not less than number 12- dation, the space under the building is gauge (.1046 inches) metal and lined to be enclosed with fire-resistant mate- with a nonsparking material. Hinges rial. The walls and floors are to be con- and hasps must be attached so they structed of, or covered with, a non- cannot be removed from the outside. sparking material or lattice work. The One steel padlock (which need not be doors must be metal or solid wood cov- protected by a steel hood) having at ered with metal.

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(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 50 pounds. More than one indoor maga- ground around magazines must slope zine may be located in the same build- away for drainage or other adequate ing if the total quantity of explosive drainage be provided. When unat- materials stored does not exceed 50 tended, vehicular magazines must have pounds. Detonators that will not mass wheels removed or otherwise be effec- detonate must be stored in a separate tively immobilized by kingpin locking magazine and the total number of elec- devices or other methods approved by tric detonators must not exceed 5,000. the Director. (2) Construction. Indoor magazines are (2) Construction. The doors are to be to be constructed of masonry, metal- constructed of solid wood or metal. covered wood, fabricated metal, or a (3) Hinges and hasps. Hinges and hasps combination of these materials. The are to be attached to doors by welding, walls and floors are to be constructed riveting, or bolting (nuts on inside of of, or covered with, a nonsparking ma- door). Hinges and hasps must be in- terial. The doors must be metal or stalled so that they cannot be removed solid wood covered with metal. when the doors are closed and locked. (3) Hinges and hasps. Hinges and hasps (4) Locks. Each door is to be equipped are to be attached to doors by welding, with (i) two mortise locks; (ii) two pad- riveting, or bolting (nuts on inside of locks fastened in separate hasps and door). Hinges and hasps must be in- staples; (iii) a combination of a mortise stalled so that they cannot be removed lock and a padlock; (iv) a mortise lock when the doors are closed and locked. that requires two keys to open; or (v) a (4) Locks. Each door is to be equipped three-point lock. Padlocks must have with (i) two mortise locks; (ii) two pad- at least five tumblers and a case-hard- locks fastened in separate hasps and ened shackle of at least 3⁄8 inch diame- staples; (iii) a combination of a mortise ter. Padlocks must be protected with

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not less than 1⁄4 inch steel hoods con- hood) having at least five tumblers and structed so as to prevent sawing or a case-hardened shackle of at least 3⁄8 lever action on the locks, hasps, and inch diameter, if the door hinges and staples. Trailers, semitrailers, and lock hasps are securely fastened to the similar vehicular magazines may, for magazine and to the door frame. These each door, be locked with one steel requirements do not apply to magazine padlock (which need not be protected doors that are adequately secured on by a steel hood) having at least five the inside by means of a bolt, lock, or tumblers and a case-hardened shackle bar that cannot be actuated from the of at least 3⁄8 inch diameter, if the door outside. hinges and lock hasp are securely fastened 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 30, 1990] apply to magazine doors that are adequately secured on the inside by means § 555.212 Smoking and open flames. of a bolt, lock, or bar that cannot be 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 (a) In any magazine; the transportation of blasting agents (b) Within 50 feet of any outdoor shall be displayed on all magazines. magazine; or (b) Indoor magazines—(1) General. In- (c) Within any room containing an door magazines are to be theft-resist- indoor magazine. ant. They need not be weather-resistant if the buildings in which they are § 555.213 Quantity and storage restric- stored provide protection from the tions. weather. No indoor magazine is to be (a) Explosive materials in excess of located in a residence or dwelling. In- 300,000 pounds or detonators in excess door magazines containing quantities of 20 million are not to be stored in one of blasting agents in excess of 50 magazine unless approved by the Direc- pounds are subject to the requirements tor. of § 555.206 of this subpart. (b) Detonators are not to be stored in (2) Construction. The doors are to be the same magazine with other explo- constructed of wood or metal. sive materials, except under the fol- (3) Hinges and hasps. Hinges and hasps lowing circumstances: are to be attached to doors by welding, (1) In a type 4 magazine, detonators riveting, or bolting (nuts on inside). that will not mass detonate may be Hinges and hasps must be installed so stored with electric squibs, safety fuse, that they cannot be removed when the shock tube, igniters, and igniter cord. doors are closed and locked. (2) In a type 1 or type 2 magazine, (4) Locks. Each door is to be equipped detonators may be stored with delay with (i) two mortise locks; (ii) two pad- devices and any of the items listed in locks fastened in separate hasps and paragraph (b)(1) of this section. staples; (iii) a combination of a mortise lock and a padlock; (iv) a mortise lock [T.D. ATF–487, 68 FR 3748, Jan. 24, 2003, as that requires two keys to open; or (v) a amended by ATF 15F, 75 FR 3163, Jan. 20, three-point lock. Padlocks must have 2010] at least five tumblers and a case-hardened shackle of at least 3⁄8 inch diame- § 555.214 Storage within types 1, 2, 3, ter. Padlocks must be protected with and 4 magazines. not less than 1⁄4 inch steel hoods con- (a) Explosive materials within a mag- structed so as to prevent sawing or azine are not to be placed directly lever action on the locks, hasps, and against interior walls and must be staples. Indoor magazines located in se- stored so as not to interfere with ven- cure rooms that are locked as provided tilation. To prevent contact of stored in this subparagraph may have each explosive materials with walls, a non- door locked with one steel padlock sparking lattice work or other non- (which need not be protected by a steel sparking material may be used.

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(b) Containers of explosive materials directions. Volatile materials are to be are to be stored so that marks are visi- kept a distance of not less than 50 feet ble. Stocks of explosive materials are from outdoor magazines. Living foliage to be stored so they can be easily which is used to stabilize the earthen counted and checked upon inspection. covering of a magazine need not be re- (c) Except with respect to fiberboard moved. or other nonmetal containers, containers of explosive materials are not § 555.216 Repair of magazines. to be unpacked or repacked inside a Before repairing the interior of mag- magazine or within 50 feet of a maga- azines, all explosive materials are to be zine, and must not be unpacked or re- removed and the interior cleaned. Be- packed close to other explosive mate- fore repairing the exterior of maga- rials. Containers of explosive materials zines, all explosive materials must be must be closed while being stored. removed if there exists any possibility (d) Tools used for opening or closing that repairs may produce sparks or containers of explosive materials are flame. Explosive materials removed to be of nonsparking materials, except from magazines under repair must be that metal slitters may be used for (a) placed in other magazines appro- opening fiberboard containers. A wood priate for the storage of those explo- wedge and a fiber, rubber, or wooden sive materials under this subpart, or mallet are to be used for opening or (b) placed a safe distance from the closing wood containers of explosive magazines under repair where they are materials. Metal tools other than non- to be properly guarded and protected sparking transfer conveyors are not to until the repairs have been completed. be stored in any magazine containing high explosives. § 555.217 Lighting. § 555.215 Housekeeping. (a) Battery-activated safety lights or Magazines are to be kept clean, dry, battery-activated safety lanterns may and free of grit, paper, empty packages be used in explosives storage maga- and containers, and rubbish. Floors are zines. to be regularly swept. Brooms and (b) Electric lighting used in any ex- other utensils used in the cleaning and plosives storage magazine must meet maintenance of magazines must have the standards prescribed by the ‘‘Na- no spark-producing metal parts, and tional Electrical Code,’’ (National Fire may be kept in magazines. Floors Protection Association, NFPA 70–81), stained by leakage from explosive ma- for the conditions present in the maga- terials are to be cleaned according to zine at any time. All electrical switch- instructions of the explosives manufac- es are to be located outside of the mag- turer. When any explosive material has azine and also meet the standards pre- deteriorated it is to be destroyed in ac- scribed by the National Electrical cordance with the advice or instruc- Code. tions of the manufacturer. The area (c) Copies of invoices, work orders or surrounding magazines is to be kept similar documents which indicate the clear of rubbish, brush, dry grass, or lighting complies with the National trees (except live trees more than 10 Electrical Code must be available for feet tall), for not less than 25 feet in all 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

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Quantity of explosives Distances in feet

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 2,000 235 470 150,000 160,000 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

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Quantity of explosives Distances in feet

275,000 300,000 2,275 2,275 690 1,380 2,000 2,000 385 770

TABLE: AMERICAN TABLE OF DISTANCES FOR § 555.219 Table of distances for storage STORAGE OF EXPLOSIVES (DECEMBER 1910), of low explosives. AS REVISED AND APPROVED BY THE INSTI- TUTE OF MAKERS OF EXPLOSIVES—JUNE Pounds From in- From pub- From 1991. habited lic railroad above building and high- ground Over Not over distance way dis- magazine Notes to the Table of Distances for Storage of (feet) tance (feet) Explosives (feet) (1) Terms found in the table of distances 0 1,000 75 75 50 for storage of explosive materials are defined 1,000 5,000 115 115 75 5,000 10,000 150 150 100 in § 555.11. 10,000 20,000 190 190 125 (2) When two or more storage magazines 20,000 30,000 215 215 145 are located on the same property, each mag- 30,000 40,000 235 235 155 azine must comply with the minimum dis- 40,000 50,000 250 250 165 50,000 60,000 260 260 175 tances specified from inhabited buildings, 60,000 70,000 270 270 185 railways, and highways, and, in addition, 70,000 80,000 280 280 190 they should be separated from each other by 80,000 90,000 295 295 195 not less than the distances shown for ‘‘Sepa- 90,000 100,000 300 300 200 ration of Magazines,’’ except that the quan- 100,000 200,000 375 375 250 200,000 300,000 450 450 300 tity of explosives contained in cap magazines shall govern in regard to the spacing of said TABLE: DEPARTMENT OF DEFENSE AMMUNI- cap magazines from magazines containing TION AND EXPLOSIVES STANDARDS, TABLE 5– other explosives. If any two or more maga- 4.1 EXTRACT; 4145.27 M, MARCH 1969 zines are separated from each other by less than the specified ‘‘Separation of Maga- [T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as zines’’ distances, then such two or more amended by ATF 2017R–21, 84 FR 13800, Apr. magazines, as a group, must be considered as 8, 2019] one magazine, and the total quantity of explosives stored in such group must be treated § 555.220 Table of separation distances as if stored in a single magazine located on of ammonium nitrate and blasting the site of any magazine of the group, and agents from explosives or blasting must comply with the minimum of distances agents. specified from other magazines, inhabited buildings, railways, and highways. Donor weight (pounds) Minimum separation distance of acceptor (3) All types of blasting caps in strengths Minimum from donor when barri- thickness 1 caded (ft.) through No. 8 cap should be rated at 1 ⁄2 lbs. of artificial (1.5 lbs.) of explosives per 1,000 caps. For Over Not over barricades Ammo- Blasting (in.) strengths higher than No. 8 cap, consult the nium ni- agent manufacturer. trate (4) For quantity and distance purposes, ...... 100 3 11 12 detonating cord of 50 or 60 grains per foot 100 300 4 14 12 should be calculated as equivalent to 9 lbs. of 300 600 5 18 12 high explosives per 1,000 feet. Heavier or 600 1,000 6 22 12 1,000 1,600 7 25 12 lighter core loads should be rated propor- 1,600 2,000 8 29 12 tionately. 2,000 3,000 9 32 15 3,000 4,000 10 36 15 [T.D. ATF–87, 46 FR 40384, Aug. 7, 1981, as 4,000 6,000 11 40 15 amended by T.D. ATF–400, 63 FR 45003, Aug. 6,000 8,000 12 43 20 24, 1998; T.D. ATF–446, 66 FR 16602, Mar. 27, 8,000 10,000 13 47 20 2001; T.D. ATF–446a, 66 FR 19089, Apr. 13, 2001; 10,000 12,000 14 50 20 ATF 2017R–21, 84 FR 13800, Apr. 8, 2019] 12,000 16,000 15 54 25 16,000 20,000 16 58 25 20,000 25,000 18 65 25

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Donor weight (pounds) Minimum separation § 555.11 are subject to the table of distances distance of acceptor for storage of explosive materials in § 555.218 from donor when barri- Minimum caded (ft.) thickness and to the table of separation distances of of artificial ammonium nitrate and blasting agents from Over Not over barricades Ammo- explosives or blasting agents in this section. nium ni- Blasting (in.) trate agent (4) These distances apply to blasting agents which pass the insensitivity test pre- 25,000 30,000 19 68 30 scribed in regulations of the U.S. Depart- 30,000 35,000 20 72 30 ment of Transportation (49 CFR part 173). 35,000 40,000 21 76 30 40,000 45,000 22 79 35 (5) Earth or sand dikes, or enclosures filled 45,000 50,000 23 83 35 with the prescribed minimum thickness of 50,000 55,000 24 86 35 earth or sand are acceptable artificial barri- 55,000 60,000 25 90 35 cades. Natural barricades, such as hills or 60,000 70,000 26 94 40 timber of sufficient density that the sur- 70,000 80,000 28 101 40 80,000 90,000 30 108 40 rounding exposures which require protection 90,000 100,000 32 115 40 cannot be seen from the ‘‘donor’’ when the 100,000 120,000 34 122 50 trees are bare of leaves, are also acceptable. 120,000 140,000 37 133 50 (6) For determining the distances to be 140,000 160,000 40 144 50 160,000 180,000 44 158 50 maintained from inhabited buildings, pas- 180,000 200,000 48 173 50 senger railways, and public highways, use 200,000 220,000 52 187 60 the table in § 555.218. 220,000 250,000 56 202 60 250,000 275,000 60 216 60 [T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as 275,000 300,000 64 230 60 amended by ATF 2017R–21, 84 FR 13800, Apr. 8, 2019; ATF 2002R–226F, 84 FR 12097, Apr. 1, TABLE: NATIONAL FIRE PROTECTION ASSOCIA- 2019] TION (NFPA) OFFICIAL STANDARD NO. 492, 1968 § 555.221 Requirements for display fireworks, pyrotechnic composi- Notes of Table of Separation Distances of Am- tions, and explosive materials used monium Nitrate and Blasting Agents From Ex- in assembling fireworks or articles plosives or Blasting Agents pyrotechnic. (1) This table specifies separation distances to prevent explosion of ammonium nitrate (a) Display fireworks, pyrotechnic and ammonium nitrate-based blasting agents compositions, and explosive materials by propagation from nearby stores of high used to assemble fireworks and articles explosives or blasting agents referred to in pyrotechnic shall be stored at all times the table as the ‘‘donor.’’ Ammonium ni- as required by this Subpart unless they trate, by itself, is not considered to be a are in the process of manufacture, as- donor when applying this table. Ammonium nitrate, ammonium nitrate-fuel oil or com- sembly, packaging, or are being trans- binations thereof are acceptors. If stores of ported. ammonium nitrate are located within the (b) No more than 500 pounds (227 kg) sympathetic detonation distance of explo- of pyrotechnic compositions or explosives or blasting agents, one-half the mass of sive materials are permitted at one the ammonium nitrate is to be included in time in any fireworks mixing building, the mass of the donor. (2) When the ammonium nitrate and/or any building or area in which the pyro- blasting agent is not barricaded, the dis- technic compositions or explosive ma- tances shown in the table must be multiplied terials are pressed or otherwise pre- by six. These distances allow for the possi- pared for finishing or assembly, or any bility of high velocity metal fragments from finishing or assembly building. All py- mixers, hoppers, truck bodies, sheet metal rotechnic compositions or explosive structures, metal containers, and the like materials not in immediate use will be which may enclose the ‘‘donor.’’ Where explosives storage is in bullet-resistant maga- stored in covered, non-ferrous con- zines or where the storage is protected by a tainers. bullet-resistant wall, distances and barricade (c) The maximum quantity of flash thicknesses in excess of those prescribed in powder permitted in any fireworks the table in § 555.218 are not required. process building is 10 pounds (4.5 kg). (3) These distances apply to all ammonium (d) All dry explosive powders and nitrate with respect to its separation from stores of high explosives and blasting agents. mixtures, partially assembled display Ammonium nitrate explosive mixtures that fireworks, and finished display fire- are high explosives pursuant to § 555.202(a) or works shall be removed from fireworks are defined as a blasting agent pursuant to process buildings at the conclusion of a

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day’s operations and placed in ap- DISTANCE FROM PASSENGER RAILWAYS, PUBLIC proved magazines. HIGHWAYS, FIREWORKS PLANT BUILDINGS [T.D. ATF–293, 55 FR 3722, Feb. 5, 1990, as USED TO STORE CONSUMER FIREWORKS AND amended by T.D. ATF–400, 63 FR 45004, Aug. ARTICLES PYROTECHNIC, MAGAZINES AND 24, 1998] FIREWORKS SHIPPING BUILDINGS, AND INHAB- ITED BUILDINGS. 345—Continued § 555.222 Table of distances between Net weight of fire- Display fireworks 1 Consumer fire- fireworks process buildings and be- 1 2 tween fireworks process and fireworks (pounds) (feet) works (feet) works nonprocess buildings. Above 500 ...... Not permitted ...... Not permitted. 1 Net weight is the weight of all pyrotechnic compositions, Net weight of 2 1 Display fireworks Consumer fire- and exposive materials and fuse only. fireworks 3 (pounds) (feet) works (feet) 2 While consumer fireworks or articles pyrotechnic in a finished state are not subject to regulation, explosive materials 0–100 ...... 57 ...... 37 used to manufacture or assemble such fireworks or articles are subject to regulation. Thus, fireworks process buildings 101–200 ...... 69 ...... 37 where consumer fireworks or articles pyrotechnic are being 201–300 ...... 77 ...... 37 processed shall meet these requirements. 301–400 ...... 85 ...... 37 3 This table does not apply to the separation distances be- 401–500 ...... 91 ...... 37 tween fireworks process buildings (see § 555.222) and be- Above 500 ...... Not permitted 45 .... Not permitted 45 tween magazines (see §§ 555.218 and 555.224). 4 The distances in this table apply with or without artificial or 1 Net weight is the weight of all pyrotechnic compositions, natural barricades or screen barricades. However, the use of and explosive materials and fuse only. barricades is highly recommended. 2 The distances in this column apply only with natural or ar- 5 No work of any kind, except to place or move items other tificial barricades. If such barricades are not used, the dis- than explosive materials from storage, shall be conducted in tances must be doubled. any building designated as a warehouse. A fireworks plant 3 While consumer fireworks or articles pyrotechnic in a fin- warehouse is not subject to § 555.222 or this section, tables ished state are not subject to regulation, explosive materials of distances. 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 [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as processed shall meet these requirements. amended by T.D. ATF–400, 63 FR 45004, Aug. 4 A maximum of 500 pounds of in-process pyrotechnic compositions, either loose or in partially-assembled fireworks, is 24, 1998] permitted in any fireworks process building. Finished display fireworks may not be stored in a fireworks process building. § 555.224 Table of distances for the 5 A maximum of 10 pounds of flash powder, either in loose form or in assembled units, is permitted in any fireworks proc- storage of display fireworks (except ess building. Quantities in excess of 10 pounds must be kept bulk salutes). in an approved magazine. Distance between Distance [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as magazine and inhab- between Net weight of firework 1 ited building, pas- amended by T.D. ATF–400, 63 FR 45004, Aug. (pounds) senger railway, or magazines 23 24, 1998] public highway 34 (feet) (feet) § 555.223 Table of distances between fireworks process buildings and 0–1000 ...... 150 ...... 100 1001–5000 ...... 230 ...... 150 other specified areas. 5001–10000 ...... 300 ...... 200 Above 10000 ...... Use table § 555.218 ...... DISTANCE FROM PASSENGER RAILWAYS, PUBLIC 1 Net weight is the weight of all pyrotechnic compositions, HIGHWAYS, FIREWORKS PLANT BUILDINGS and explosive materials and fuse only. USED TO STORE CONSUMER FIREWORKS AND 2 For the purposes of applying this table, the term ‘‘magazine’’ also includes fireworks shipping buildings for display ARTICLES PYROTECHNIC, MAGAZINES AND fireworks. FIREWORKS SHIPPING BUILDINGS, AND INHAB- 3 For fireworks storage magazines in use prior to March 7, 345 1990, the distances in this table may be halved if properly ITED BUILDINGS. barricaded between the magazine and potential receptor sites (55 FR 3717). Net weight of fire- Display fireworks 1 Consumer fire- 4 This table does not apply to the storage of bulk salutes. works 1 (pounds) (feet) works 2 (feet) Use table at § 555.218.

0–100 ...... 200 ...... 25 [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as 101–200 ...... 200 ...... 50 201–300 ...... 200 ...... 50 amended by T.D. ATF–400, 63 FR 45004, Aug. 301–400 ...... 200 ...... 50 24, 1998; ATF 2017R–21, 84 FR 13800, Apr. 8, 401–500 ...... 200 ...... 50 2019]

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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 employee of the Bureau of Alcohol, To- GENERAL bacco, Firearms, and Explosives (ATF) Sec. authorized to perform any functions re- 646.141 Scope of part. lating to the administration or en- 646.142 Territorial extent. forcement of this part by ATF Order 646.143 Meaning of terms. 1130.28, Delegation of the Director’s RECORDS Authorities in 27 CFR Parts 45 and 646. Business premises. When used with re- 646.146 General requirements. spect to a distributor, the property on 646.147 Required information. 646.150 Retention of records. which the cigarettes are kept or stored. The business premises includes the OTHER PROVISIONS RELATING TO THE property where the records of a dis- DISTRIBUTION OF CIGARETTES tributor are kept. 646.153 Authority of appropriate ATF offi- Common or contract carrier. A carrier cers 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 equiva- AUTHORITY: 18 U.S.C. 2341–2346, unless oth- lent operating authority from a regu- erwise 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– 487, 68 FR 3753, Jan. 24, 2003. of cigarettes in excess of 60,000, if— (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; GENERAL (b) The State in which the cigarettes 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 posses- § 646.142 Territorial extent. sion of any person other than an exempted 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- tributor shall include the information house pursuant to section 311 or 555 of prescribed in § 646.147 in his commercial the Tariff Act of 1930 (19 U.S.C. 1311 or records of disposition. 1555); (c) An agent of a tobacco products § 646.147 Required information. manufacturer, an export warehouse (a) Distributors who are exempted per- proprietor, or an operator of a customs sons. Each distributor who is an ex- bonded warehouse; empted person as defined in § 646.143 (d) A common or contract carrier shall show the following information in transporting the cigarettes involved his commercial records. under a proper bill of lading or freight (1) For each disposition of more than bill which states the quantity, source, 60,000 cigarettes to an exempted per- and destination of the cigarettes; son; or for each disposition of more (e) Licensed or otherwise authorized than 60,000 cigarettes to a person who by the State, in which he possesses is not an exempted person and which is cigarettes, to account for and pay ciga- delivered by the distributor to the re- rette taxes imposed by that State; and cipient’s place of business, the dis- who has complied with the accounting tributor shall show on dated records— and payment requirements relating to (i) The full name of the purchaser (or his license or authorization with re- the recipient if there is no purchaser); spect to the cigarettes involved; or (ii) The street address (including city (f) An agent of the United States, of and state) to which the cigarettes are an individual State, or of a political destined; and subdivision of a State and having pos- (iii) The quantity of cigarettes dis- session of cigarettes in connection with posed of. the performance of official duties. (2) For each disposition of more than (g) Operating within a foreign-trade 60,000 cigarettes, other than the dis- zone established under 19 U.S.C., sec- positions specified in paragraph (a)(1) tion 81b, when the cigarettes involved of this section, the distributor shall have been entered into the zone under show on dated records— zone-restricted status or, in respect to (i) The full name of the purchaser (if foreign cigarettes, have been admitted any); into the zone but have not been entered (ii) The name, address (including city in the United States. and state), and signature of the person Person. Any individual, corporation, receiving the cigarettes; company, association, firm, partner- (iii) The street address (including ship, society, or joint stock company. city and state) to which the cigarettes State. A State of the United States, are destined; the District of Columbia, the Common- (iv) The quantity of cigarettes dis- wealth of Puerto Rico, or the Virgin Is- posed of; lands. (v) The driver’s license number of the [45 FR 48612, July 21, 1980, as amended by individual receiving the cigarettes; T.D. ATF–472, 67 FR 8881, Feb. 27, 2002; ATF (vi) The license number of the vehicle 2013R–9F, 79 FR 46694, Aug. 11, 2014] 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

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records the information specified in records required by §§ 646.146 through 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 part or makes any false statement or shorter retention period is an agent of misrepresentation with respect to the a tobacco products manufacturer; information required to be recorded by (2) The tobacco products manufac- this part shall be fined not more than turer will keep the required record for $5,000 or imprisoned not more than each disposition of more than 60,000 three years, or both. cigarettes from the agent’s premises for the full retention period specified § 646.155 Forfeitures. in paragraph (a) of this section; and (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 (b) Any vessel, vehicle or aircraft proposed retention period and should used to transport, carry, convey, or include the information required by conceal or possess any contraband paragraph (b) of this section. 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 or the regulations in this subpart shall OTHER PROVISIONS RELATING TO THE be subject to seizure and forfeiture DISTRIBUTION OF CIGARETTES under the Customs laws, as provided by the Act of August 9, 1939 (49 U.S.C. 781– § 646.153 Authority of appropriate ATF 788). officers to enter business premises. 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 PARTS 647–699 [RESERVED] 170

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PARTS 700–770 [RESERVED] 771.56 Forms. 771.57 Execution and disposition. 771.58 Designated place of hearing. PART 771—RULES OF PRACTICE IN EXPLOSIVE LICENSE AND PERMIT REQUEST FOR HEARING PROCEEDINGS 771.59 Initial application proceedings. 771.60 Revocation or denial of renewal pro- Subpart A—Scope and Construction of ceedings. Regulations 771.61 Notice of hearing.

Sec. NON-REQUEST FOR HEARING 771.1 Scope of part. 771.62 Initial application. 771.2 Liberal construction. 771.3 Forms prescribed. 771.63 Revocation or denial of renewal. RESPONSES TO NOTICES Subpart B—Definitions 771.64 Answers. 771.5 Meaning of terms. 771.65 Responses admitting facts. 771.66 Initial conferences. Subpart C—General FAILURE TO APPEAR 771.25 Communications and pleadings. 771.26 Service on applicant, licensee, or per- 771.67 Initial applications. mittee. 771.68 Revocation or denial of renewal. 771.27 Service on the Director of Industry Operations or Director. WAIVER OF HEARING

TIME 771.69 Withdrawal of request for hearing. 771.70 Adjudication based upon written sub- 771.28 Computation. missions. 771.29 Continuances and extensions. SURRENDER OF LICENSE OR PERMIT REPRESENTATION AT HEARINGS 771.71 Before citation. 771.30 Personal representation. 771.72 After citation. 771.31 Attorneys and other representatives. MOTIONS Subpart D—Compliance and Settlement 771.73 General. 771.35 Opportunity for compliance. 771.74 Prior to hearing. 771.36 Settlement. 771.75 At hearing. 771.37 Notice of contemplated action. 771.38 Licensee’s or permittee’s failure to HEARING meet requirements within reasonable time. 771.76 General. 771.39 Authority of Director of Industry Op- 771.77 Initial applications. erations to proceed with revocation or 771.78 Revocation or denial of renewal. denial action. BURDEN OF PROOF Subpart E—Revocation or Denial 771.79 Initial applications. 771.80 Revocation or denial of renewal. 771.40 Denial of initial application. 771.41 Denial of renewal application or rev- GENERAL ocation of license or permit. 771.42 Grounds for revocation of licenses or 771.81 Stipulations at hearing. permits. 771.82 Evidence. 771.43 Grounds for denial of applications for 771.83 Closing of hearings; arguments, licenses or permits. briefs, and proposed findings. 771.84 Reopening of the hearing. Subpart F—Hearing Procedure RECORD OF TESTIMONY NOTICES 771.85 Stenographic record. 771.55 Content. 771.86 Oath of reporter.

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Subpart G—Administrative Law Judges § 771.2 Liberal construction. 771.95 Responsibilities of administrative Regulations in this part shall be lib- law judges. erally construed to secure just, expedi- 771.96 Disqualification. tious, and efficient determination of 771.97 Powers. the issues presented. The Rules of Civil 771.98 Separation of functions. Procedure for the U.S. District Courts 771.99 Conduct of hearing. (28 U.S.C. appendix) are not control- 771.100 Unavailability of administrative law ling, but may act as a guide in any sit- judge. uation not provided for or controlled by this part and shall be liberally con- Subpart H—Decisions strued or relaxed when necessary. 771.105 Administrative law judge’s findings and recommended decision. § 771.3 Forms prescribed. 771.106 Certification and transmittal of (a) The Director is authorized to pre- record and decision. scribe all forms required by this part. ACTION BY DIRECTOR OF INDUSTRY All of the information called for in OPERATIONS each form shall be furnished as indicated by the headings on the form and 771.107 Initial application proceedings. the instructions on or pertaining to the 771.108 Director of Industry Operations’ decision. form. In addition, information called 771.109 Revocation or denial of renewal pro- for in each form shall be furnished as ceedings. required by this part. 771.110 Revocation or denial of renewal. (b) Requests for forms should be 771.111 Proceedings involving violations not made to the ATF Distribution Center within the division of issuance of license or through the ATF website at http:// or permit. www.atf.gov.

Subpart I—Review Subpart B—Definitions 771.120 Appeal on petition to the Director. 771.121 Review by Director. § 771.5 Meaning of terms. 771.122 Denial of renewal or revocation. When used in this part and in forms 771.123 Court review. prescribed under this part, where not otherwise distinctly expressed or mani- Subpart J—Miscellaneous festly incompatible with the intent 771.124 Depositions. thereof, terms shall have the meaning 771.125 Witnesses and fees. provided in this subpart. Words in the 771.126 Discovery. plural form shall include the singular, 771.127 Privileges. and vice versa, and words importing the masculine gender shall include the RECORD feminine. 771.135 What constitutes record. Administrative law judge. The person 771.136 Availability. appointed pursuant to 5 U.S.C. 3105, designated to preside over any adminis- AUTHORITY: 18 U.S.C. 843, 847. trative proceedings under this part. SOURCE: 84 FR 64744, Nov. 25, 2019, unless Applicant. Any person who has filed otherwise noted. an application for a license or permit under 18 U.S.C. chapter 40. Subpart A—Scope and Application. Any application for a li- Construction of Regulations cense or permit, including renewal applications, under 18 U.S.C. chapter 40. § 771.1 Scope of part. ATF. The Bureau of Alcohol, To- Regulations in this part govern pro- bacco, Firearms, and Explosives, De- cedures and practices for disapproving partment of Justice. applications for licenses and permits Attorney for the Government. An attor- and denying renewal of or revocation of ney in the ATF Office of Chief Counsel such licenses or permits under 18 authorized to represent the Director of U.S.C. chapter 40. Industry Operations in the proceeding.

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CFR. The Code of Federal Regula- part, shall have the meaning assigned tions. to it therein. Contemplated notice. Includes any no- Permittee. Any user of explosives for a tice contemplating the revocation or lawful purpose who has obtained either denial of renewal of a license or per- a user permit or a limited permit under mit. 18 U.S.C. chapter 40 and 27 CFR part Director. The Director, Bureau of Al- 555. cohol, Tobacco, Firearms, and Explo- Person. Any individual, corporation, sives, Department of Justice. company, association, firm, partner- Director of Industry Operations. The ship, society, or joint stock company. principal ATF official in a Field Oper- Recommended decision. The advisory ations division responsible for admin- decision of the administrative law istering regulations in this part. judge in any proceeding regarding the Ex parte communication. An oral or revocation of, denial of renewal of, or written communication not on the pub- denial of application for a license or lic record with respect to which reason- permit. ATF must act on a rec- able prior notice to all parties is not ommended decision with its own initial given, but not including requests for or final decision. status reports. User-limited permit. A user permit Initial decision. The decision of the valid only for a single purchase trans- Director of Industry Operations in a action. Recipients of a user-limited proceeding concerning the revocation permit must obtain a new permit for of, denial of renewal of, or denial of ap- any subsequent purchase transaction. plication for a license or permit. This User permit. A permit issued to a per- decision becomes the agency’s final de- son authorizing him to— cision in the absence of an appeal. (1) Acquire for his own use explosive Final decision. The definitive decision materials from a licensee in a State of ATF, e.g., the agency’s decision in other than the State in which he re- the absence of an appeal or the Direc- sides or from a foreign country; and tor’s decision following an appeal to (2) Transport explosive materials in the Director. interstate or foreign commerce. License. Subject to applicable law, en- Willfulness. The plain indifference to, titles the licensee to transport, ship, or purposeful disregard of, a known and receive explosive materials in legal duty. Willfulness may be dem- interstate or foreign commerce, and to onstrated by, but does not require, re- engage in the business specified by the peat violations involving a known legal license, at the location described on duty. the license. Licensee. Any importer, manufac- Subpart C—General turer, or dealer licensed under the provisions of 18 U.S.C. chapter 40 and 27 § 771.25 Communications and plead- CFR part 555. ings. Limited permit. A permit issued to a (a) All communications to the Gov- person authorizing him to receive for ernment regarding the procedures set his use explosive materials from a li- forth in this part and all pleadings, censee or permittee in his State of resi- such as answers, motions, requests, or dence on no more than six occasions other papers or documents required or during the 12-month period in which permitted to be filed under this part, the permit is valid. A limited permit relating to a proceeding pending before does not authorize the receipt or trans- an administrative law judge, shall be portation of explosive materials in addressed to the administrative law interstate or foreign commerce. judge at his post of duty and the Attor- Other term. Any other term defined in ney for the Government. Communica- the Federal explosives laws (18 U.S.C. tions concerning proceedings not pend- chapter 40), the regulations promul- ing before an administrative law judge gated thereunder (27 CFR part 555), or should be addressed to the Director of the Administrative Procedure Act (5 Industry Operations or Director, as the U.S.C. 551 et seq.), where used in this case may be.

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(b) Except to the extent required for § 771.27 Service on the Director of In- the disposition of ex parte matters as dustry Operations or Director. authorized by law, no ex parte commu- Pleadings, motions, notices, and nications shall be made to or from the other formal documents may be served administrative law judge concerning by certified mail, by personal service, the merits of the adjudication. If the or as otherwise agreed to by the par- administrative law judge receives or ties, on the Director of Industry Oper- makes an ex parte communication not ations (or upon the Attorney for the authorized by law, the administrative Government on behalf of the Director law judge shall place on the record of of Industry Operations), or on the Di- the proceeding: rector, if the proceeding is before him (1) All such written communications; for review on appeal. (2) Memoranda stating the substance of all such oral communications; and TIME (3) All written responses and memo- § 771.28 Computation. randa stating the substance of all oral responses to paragraphs (b)(1) and (2) of In computing any period of time pre- this section. scribed or allowed by this part, the day of the act, event, or default after which § 771.26 Service on applicant, licensee, the designated period of time is to run or permittee. is not to be included. The last day of the period to be computed is to be in- All orders, notices, motions, and cluded, unless it is a Saturday, Sunday, other formal documents required to be or Federal holiday, in which event the served under the regulations in this period runs until the next day that is part may be served by mailing a not a Saturday, Sunday, or Federal signed, original copy thereof to the holiday. Pleadings, requests, or other designated representative of the appli- papers or documents required or per- cant, licensee, or permittee by certified mitted to be filed under this part must mail, with request for return receipt be received for filing at the appropriate card, at the representative’s business office within the time limits, if any, address, by personal service, or as oth- for such filing. erwise agreed to by the parties. If the applicant, licensee, or permittee has § 771.29 Continuances and extensions. not yet designated a representative, all For good cause shown, the adminis- orders, notices, motions, and other for- trative law judge, Director, or Director mal documents required to be served of Industry Operations, as the case under the regulations in this part may may be, may grant continuances and, be served by mailing a signed, original as to all matters pending before him, copy thereof to the applicant, licensee, extend any time limit prescribed by or permittee at the address stated on the regulations in this part (except his application, license, or permit, or where the time limit is statutory). at his last known address, or by delivery of such original copy to the appli- REPRESENTATION AT HEARINGS cant, licensee, or permittee personally, or in the case of a corporation, partner- § 771.30 Personal representation. ship, or other unincorporated associa- Any individual or member of a part- tion, by delivering the same to an offi- nership may appear for himself, or for cer, or manager, or general agent such partnership, and a corporation or thereof, or to its attorney of record. association may be represented by a Such personal service may be made by bona fide officer of such corporation or any employee of the Department of association, upon showing of adequate Justice designated by the Attorney authorization. General or by any employee of ATF. A certificate of mailing and the return § 771.31 Attorneys and other rep- receipt card, or certificate of service resentatives. signed by the person making such serv- An applicant, licensee, or permittee ice, shall be filed as a part of the may represent himself, or be rep- record. resented by an attorney, a certified

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public accountant, or any other person, and may, either directly or through the specifically designated in a duly exe- Attorney for the Government, inform cuted power of attorney that shall be the licensee or permittee of any condi- filed in the proceeding by the appli- tions on which the alleged violations cant, licensee, or permittee. The appli- may be settled. If the proposals of set- cant, licensee, or permittee shall file tlement are considered satisfactory to waivers, if applicable, under the Pri- the Director of Industry Operations, vacy Act of 1974 and 26 U.S.C. 6103(c) the licensee or permittee shall be noti- (confidentiality and disclosure of re- fied thereof and the proceeding shall be turns and return information). The Di- dismissed. rector of Industry Operations may be represented in proceedings by an attor- § 771.37 Notice of contemplated action. ney in the Office of Chief Counsel who is authorized to execute and file mo- Where the Director of Industry Oper- tions, briefs, and other papers in the ations has not ascertained whether the proceeding on behalf of the Director of licensee or permittee has willfully vio- Industry Operations, in the attorney’s lated the Federal explosives laws and own name as ‘‘Attorney for the Gov- where he believes the matter has the ernment.’’ potential to be settled informally, i.e., without formal administrative pro- Subpart D—Compliance and ceedings, he shall, in accordance with section 5(b) of the Administrative Pro- Settlement cedure Act, prior to the issuance of a § 771.35 Opportunity for compliance. notice of revocation or denial of renewal, give the licensee or permittee a No license or permit shall be revoked contemplated notice of such action and or denied renewal unless, prior to the an opportunity to show why the license institution of proceedings, facts or con- or permit should not be revoked or de- duct warranting such action shall have nied renewal. The notice should inform been called to the attention of the li- the licensee or permittee of the censee or permittee by the Director of Industry Operations in writing in a charges on which the notice would be contemplated notice, and the licensee based, if issued, and afford him a period or permittee shall have been accorded of 15 days from the date of the notice, an opportunity to demonstrate or or such longer period as the Director of achieve compliance with all lawful re- Industry Operations deems necessary, quirements as set forth in section 9(b) in which to submit proposals of settle- of the Administrative Procedure Act. ment to the Director of Industry Oper- In cases in which the Director of Indus- ations. Where informal settlement is try Operations alleges in his con- not reached promptly because of inac- templated notice, with supporting rea- tion by the applicant, licensee, or persons, willful violations or that the pub- mittee or proposals are made for the lic interest requires otherwise, this purpose of delay, a notice shall be section does not apply and the issuance issued in accordance with § 771.42 or of a contemplated notice is unneces- § 771.43, as appropriate. The issuance of sary. a notice of contemplated action does not entitle the recipient to a hearing § 771.36 Settlement. before an administrative law judge. Any proposals of settlement should be made to the Director of Industry Op- § 771.38 Licensee’s or permittee’s fail- erations, but may be made through the ure to meet requirements within reasonable time. Attorney for the Government. Where necessary, the date of the hearing may If the licensee or permittee fails to be postponed pending consideration of meet the requirements of applicable such proposals when they are made in laws and regulations in this part with- good faith and not for the purpose of in such reasonable time as may be delay. If proposals of settlement are specified by the Director of Industry submitted, and they are considered un- Operations, proceedings for revocation satisfactory, the Director of Industry or denial of renewal of the license or Operations may reject the proposals permit shall be initiated.

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§ 771.39 Authority of Director of Indus- rector of Industry Operations shall try Operations to proceed with rev- issue a notice of denial of the renewal ocation or denial action. application or revocation of the license Where the evidence is conclusive and or permit, ATF F 5400.11 (Notice of De- the nature of the violation is such as to nial of Application for License or Per- preclude any settlement, the violation mit) or ATF Form 5400.10 (Notice of is of a continuing character that neces- Revocation of License or Permit) (F sitates immediate action to protect the 5400.10), as appropriate. The notice will public interest, or the Director of In- set forth the matters of fact consti- dustry Operations believes that any in- tuting the violations specified, dates, formal settlement of the alleged viola- places, and the sections of law and reg- tion will not ensure future compliance ulations violated. In the case of the with applicable laws and regulations in revocation of a license or permit, the this part, or in any similar case where notice will specify the date on which the circumstances are such as to clear- the action is effective, which date will ly preclude informal settlement, and be on or after the date the notice is the Director of Industry Operations so served on the licensee or permittee. finds and states the reasons therefor in The notice will also advise the licensee the notice, the Director of Industry Op- or permittee that he may, within 15 erations may proceed with the revoca- days after receipt of the notice, request tion or denial of renewal. a hearing and, if applicable, a stay of the effective date of the revocation of Subpart E—Revocation or Denial his license or permit. § 771.40 Denial of initial application. § 771.42 Grounds for revocation of licenses or permits. Whenever the Director of Industry Operations has reason to believe that Whenever the Director of Industry an applicant for an original license or Operations has reason to believe that permit is not eligible to receive a li- any holder of a license or permit has cense or permit under the provisions of willfully violated any provision of 18 § 555.49 of this chapter, the Director of U.S.C. chapter 40 or 27 CFR part 555 or Industry Operations shall issue a no- has become ineligible to continue oper- tice of denial on ATF Form 5400.11 (No- ations authorized under the license or tice of Denial of Application for Li- permit, the Director of Industry Oper- cense or Permit) (F 5400.11). The notice ations shall issue a notice for the rev- will set forth the matters of fact and ocation of such license or permit, as law relied upon in determining that the the case may be. application should be denied and will afford the applicant 15 days from the § 771.43 Grounds for denial of applica- date of receipt of the notice in which to tions for licenses or permits. request a hearing to review the denial. If, upon examination of any applica- If no request for a hearing is filed with- tion (including a renewal application) in that time, a copy of the application, for a license or permit, the Director of marked ‘‘Disapproved,’’ will be re- Industry Operations has reason to be- turned to the applicant. lieve that the applicant is not entitled to such license or permit, the Director § 771.41 Denial of renewal application of Industry Operations shall issue a de- or revocation of license or permit. nial of the application. An applicant is If, following the opportunity for com- not eligible for a license or permit if he pliance under § 555.71 of this chapter, or fails to meet the requirements of 18 without opportunity for compliance U.S.C. 843(b) and § 555.49 of this chapter. under § 555.71 of this chapter as circumstances warrant, the Director of Subpart F—Hearing Procedure Industry Operations finds that the licensee or permittee is not likely to NOTICES comply with applicable laws or regulations in this part or is otherwise not el- § 771.55 Content. igible to continue operations author- (a) Notices for the revocation or de- ized under his license or permit, the Di- nial of renewal of a license or permit

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shall be promptly issued by the Direc- cense or Permit,’’ for the contemplated tor of Industry Operations and shall set revocation or denial of renewal appli- forth: cation of licenses or permits pursuant (1) The sections of law and regula- to 18 U.S.C. chapter 40; or tions relied upon for authority and ju- (e) Such other forms as the Director risdiction; may prescribe. (2) The specific grounds upon which the revocation or denial is based, i.e., § 771.57 Execution and disposition. the matters of fact constituting the A signed original of the applicable violations specified, dates, places, and form shall be served on the licensee or sections of law and regulations vio- permittee. If a hearing is requested, a lated; copy shall be sent to the administra- (3) In the case of a revocation, the tive law judge designated to conduct date on which the action is effective; the hearing. Any remaining copies and shall be retained for the office of the (4) That the licensee or permittee has Director of Industry Operations. 15 days from receipt of the notice within which to request a hearing before an § 771.58 Designated place of hearing. administrative law judge. (b) Notices for the denial of an initial The designated place of hearing shall application for a license or permit be determined by the administrative shall set forth: law judge, taking into consideration (1) The sections of law and regula- the convenience and necessity of the tions relied upon for authority and ju- parties and their representatives. risdiction; (2) The specific grounds upon which REQUEST FOR HEARING the denial is based, i.e., the matters of § 771.59 Initial application pro- fact and law relied upon for the dis- ceedings. approval of the application; and (3) That the application will be dis- (a) If the applicant for an initial li- approved unless a hearing is requested cense or permit desires a hearing, he within 15 days from receipt of the no- shall file a request in writing with the tice. Director of Industry Operations within 15 days after receipt of notice of the § 771.56 Forms. disapproval, in whole or in part, of the Notices shall be issued on the fol- application. lowing forms: (b) On receipt of the request, the Di- (a) ATF Form 5400.9, ‘‘Order After rector of Industry Operations shall for- Denial or Revocation Hearing,’’ for all ward a copy of the request, together revocations or denials of renewal of li- with a copy of the notice, to the Office censes or permits pursuant to 18 U.S.C. of Chief Counsel for the assignment of chapter 40 after a hearing has been held an administrative law judge. and a Recommended Decision has been (c) After the Office of Chief Counsel issued by the administrative law judge; notifies the Director of Industry Oper- (b) Form 5400.10, ‘‘Notice of Revoca- ations or the Attorney for the Govern- tion for License or Permit,’’ for all rev- ment of the assignment of an adminis- ocations of licenses or permits pursu- trative law judge, the Director of In- ant to 18 U.S.C. chapter 40, except as dustry Operations shall notify the li- provided for in paragraph (a) of this censee or permittee of the assignment, section; if the administrative law judge has not (c) Form 5400.11, ‘‘Notice of Denial of already done so. Application for License or Permit,’’ for the denial of renewal or original appli- § 771.60 Revocation or denial of re- cations for licenses or permits pursu- newal proceedings. ant to 18 U.S.C. chapter 40, except as (a) If the licensee or permittee de- provided for in paragraph (a) of this sires a hearing, he shall file a request, section; in writing, with the Director of Indus- (d) Form 5400.12, ‘‘Notice of Con- try Operations within 15 days after re- templated Denial or Revocation of Li- ceipt of the notice or within such time

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as the Director of Industry Operations additional time as the Director of In- may allow. dustry Operations may in his discre- (b) Where a licensee or permittee re- tion allow, the Director of Industry Op- quests a hearing, the Director of Indus- erations will return a copy of the appli- try Operations shall forward a copy of cation, marked ‘‘Disapproved,’’ to the the request, together with a copy of applicant, accompanied by a brief the notice, to the Office of Chief Coun- statement including the findings upon sel for the assignment of an adminis- which the denial is based. trative law judge. (c) After the Office of Chief Counsel § 771.63 Revocation or denial of re- notifies the Director of Industry Oper- newal. ations or the Attorney for the Govern- In the case of a revocation or denial ment of the assignment of an adminis- of renewal of an application, if the li- trative law judge, the Director of In- censee or permittee does not request a dustry Operations shall notify the li- hearing within 15 days, or within such censee or permittee of the assignment, additional time as the Director of In- if the administrative law judge has not dustry Operations may in his discre- already done so. tion allow, the Director of Industry Op- (d) In the case of a revocation, a li- erations shall make the initial decision censee or permittee may include a rein the case pursuant to § 771.78(b). quest for a stay of the effective date of revocation with the request for a hear- RESPONSES TO NOTICES ing. (e) On receipt of a request for a stay § 771.64 Answers. of the effective date of a revocation, (a) Where the licensee or permittee the Director of Industry Operations requests a hearing in accordance with shall timely advise the licensee or per- §§ 771.59 and 771.60, a written response mittee whether the stay is granted. to the relevant notice may be filed (1) If the stay is granted, the matter with the administrative law judge and shall be referred to an administrative served on the Director of Industry Op- law judge pursuant to paragraph (b) of erations within 15 days after the li- this section. censee or permittee receives service of (2) If the stay is denied, the licensee the designation of the administrative or permittee may request an imme- law judge. diate hearing. In this event, the Direc- (b) Where no hearing is requested, tor of Industry Operations shall imme- the licensee or permittee may file a diately refer the matter to the Office of written answer to the relevant notice Chief Counsel for the assignment of an with the Director of Industry Oper- administrative law judge, who shall set ations within 15 days after service of a date and place for hearing, which the notice. date shall be no later than 10 days from the date the licensee or permittee re- (c) An answer shall contain a concise quested the immediate hearing. statement of the facts that constitute the grounds for defense. A hearing, if § 771.61 Notice of hearing. requested, may be limited to the issues contained in the notice and the answer. Once a request for a hearing has been The administrative law judge or Direc- referred to the administrative law tor of Industry Operations, as the case judge, the administrative law judge may be, may, as a matter of discretion, shall set a time and place for a hearing waive any requirement of this section. and shall serve notice thereof upon the parties at least 10 days in advance of (d) Answers need not be filed in ini- the hearing date. tial application proceedings.

NON-REQUEST FOR HEARING § 771.65 Responses admitting facts. If the licensee or permittee desires to § 771.62 Initial application. waive the hearing on the allegations of In the case of an initial application, fact set forth in the notice and does if the applicant does not request a not contest the facts, the answer may hearing within 15 days, or within such consist of a statement that the licensee

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or permittee admits all material alle- FAILURE TO APPEAR gations of fact charged in the notice to be true. The Director of Industry Oper- § 771.67 Initial applications. ations shall base the decision on the Where the applicant on an initial ap- notice and such answer, although such plication for a license or permit has re- an answer shall not affect the licens- quested a hearing and does not appear ee’s or permittee’s right to submit pro- at the appointed time and place, evi- posed findings of fact and conclusions dence has not been offered to refute or of law or right to appeal. explain the grounds upon which disapproval of the application is con- § 771.66 Initial conferences. templated, and no good cause has been (a) In any proceeding, the adminis- shown for the failure to appear, the ap- trative law judge, upon his own motion plicant shall be considered to have or upon the motion of one of the par- waived the hearing. When such waiver ties or their qualified representatives, occurs, a default judgment against the may in the administrative law judge’s applicant will be entered and the ad- discretion direct the parties or their ministrative law judge shall rec- qualified representatives to appear at a ommend disapproval of said applica- specified time and place for a con- tion. ference to consider: (1) Simplification of the issues; § 771.68 Revocation or denial of re- (2) The necessity of amendments to newal. the pleadings; If, on the date set for a hearing con- (3) The possibility of obtaining stipu- cerning the revocation or denial of relations, admissions of facts, and docu- newal of a license or permit, the li- ments; censee or permittee does not appear, no (4) The possibility of both parties ex- evidence has been offered, and no good changing information or scheduling cause has been shown for the failure to discovery; appear, the Attorney for the Govern- (5) A date on which both parties will ment will proceed ex parte and offer for simultaneously submit lists of pro- the record sufficient evidence to make posed hearing exhibits; a prima facie case. At such hearing, doc- (6) Limiting the number of expert uments, statements, and affidavits witnesses; may be submitted in lieu of testimony (7) Identifying and, if practicable, of witnesses. scheduling all witnesses to be called; however, there is no requirement in WAIVER OF HEARING these proceedings for the parties to submit pre-hearing statements or § 771.69 Withdrawal of request for statements of proposed testimony by hearing. witnesses; and At any time prior to the assignment (8) Such other matters as may aid in of an administrative law judge, the li- the disposition of the proceeding. censee or permittee may, by filing (b) As soon as practicable after such written notice with the Director of In- conference, the administrative law dustry Operations, withdraw his re- judge shall issue an order that recites quest for a hearing. If such a notice is the action taken, the amendments al- filed after assignment to the adminis- lowed to the pleadings, and the agree- trative law judge and prior to issuance ments made by the parties or their of his recommended decision the Direc- qualified representatives as to any of tor of Industry Operations shall move the matters considered. The order shall the administrative law judge to dismiss also limit the issues for hearing to the proceedings as moot. If such a no- those not disposed of by admission or tice is filed either after issuance of a agreement. Such order shall control notice of denial or notice of revocation the subsequent course of the pro- and before assignment of the adminis- ceedings, unless modified for good trative law judge, or after issuance by cause by a subsequent order. After dis- the administrative law judge of his rec- covery is complete, the order may be ommended decision and prior to the Di- amended or supplemented if necessary. rector of Industry Operations’ order

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disapproving the application or deny- after notice and after the referral to ing the renewal of or revoking the li- the administrative law judge, but prior cense or permit, the Director of Indus- to the issuance of a recommended deci- try Operations shall, by order, dismiss sion, the Director of Industry Oper- the proceeding. ations may accept the surrender of the license or permit and shall move the § 771.70 Adjudication based upon writ- administrative law judge to dismiss the ten submissions. proceedings as moot. In either case, if, The licensee or permittee may waive in the opinion of the Director of Indus- the hearing before the administrative try Operations, the evidence is such as law judge and stipulate that the mat- to warrant revocation or denial of re- ter will be adjudicated by the Director newal, as the case may be, the sur- of Industry Operations based upon render of the license or permit shall be written submissions. Written submissions may include stipulations of law refused, and the proceeding shall con- or facts, proposed findings of fact and tinue. conclusions of law, briefs, or any other MOTIONS documentary material. The pleadings, together with the written submissions § 771.73 General. of both the licensee or permittee and the attorney for the Government, shall All motions shall be made and ad- constitute the record on which the ini- dressed to the administrative law judge tial decision shall be based. The elec- before whom the proceeding is pending, tion to contest the denial or revocation and copies of all motion papers shall be without a hearing under this section served upon the other party or parties. does not affect the licensee’s or permit- The administrative law judge may dis- tee’s right to appeal to the Director pose of any motion without oral argu- pursuant to § 555.79 of this chapter or to ment, but he may, if he so desires, set the United States Court of Appeals for it down for hearing and request argu- the circuit in which the licensee or per- ment. The administrative law judge mittee resides or has his principle may dispose of such motion prior to place of business pursuant to § 555.80 of the hearing on the merits or he may this chapter. postpone the disposition until the hearing on the merits. No appeal may be SURRENDER OF LICENSE OR PERMIT taken from any ruling on a motion § 771.71 Before citation. until the whole record is certified for If a licensee or permittee surrenders review. Examples of typical motions the license or permit before the notice may be found in the Rules of Civil Pro- of revocation or denial of renewal, the cedure referred to in § 771.2. Director of Industry Operations may accept the surrender. But if the evi- § 771.74 Prior to hearing. dence, in the opinion of the Director of All motions that should be made Industry Operations, warrants issuance prior to the hearing, such as a motion of a notice for revocation or denial of directed to the sufficiency of the plead- renewal, the surrender shall be refused ings or of preliminary orders, shall be and the Director of Industry Oper- filed in writing with the Director of In- ations shall issue the notice. dustry Operations or the administrative law judge if the matter has been § 771.72 After citation. referred to him, and shall briefly state If a licensee or permittee surrenders the order or relief applied for and the the license or permit after notice, but grounds for such motion. prior to the referral to an administrative law judge and prior to an initial § 771.75 At hearing. decision, the Director of Industry Oper- Motions at the hearing may be made ations may accept the surrender of the license or permit and dismiss the pro- in writing to the administrative law ceeding as moot. If a licensee or per- judge or stated orally on the record. mittee surrenders the license or permit

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HEARING the initial decision as provided in § 771.109. § 771.76 General. (b) If no hearing is requested, the Di- If a hearing is requested, it shall be rector of Industry Operations shall held at the time and place stated in the make the initial decision. notice of hearing unless otherwise ordered by the administrative law judge. BURDEN OF PROOF

§ 771.77 Initial applications. § 771.79 Initial applications. (a) The administrative law judge who In hearings on the initial denial of presides at the hearing on initial appli- applications, the burden of proof is on cations shall recommend a decision to the Government to show by a prepon- the Director of Industry Operations. derance of the evidence that the Direc- The administrative law judge shall cer- tor of Industry Operations had reason tify the complete record of the pro- to believe that the applicant is not en- ceedings before him and shall imme- titled to a permit or license. diately forward the complete certified record to the Director of Industry Op- § 771.80 Revocation or denial of re- erations. The administrative law judge newal. shall also send one copy of his rec- In hearings on the revocation or de- ommended decision to the applicant or nial of renewal of a license or permit, the applicant’s representative, one the burden of proof is on the Govern- copy to the Attorney for the Govern- ment to show that the Director of In- ment, and one copy to the Director of dustry Operations had reason to be- Industry Operations, who shall make lieve that the licensee or permittee is the initial decision as provided in not entitled to a permit or license, as § 771.107. The applicant may be directed may be the case. The Government must by the Director of Industry Operations meet this proof by a preponderance of to produce such records as may be the evidence. deemed necessary for examination. All hearings on applications shall be open GENERAL to the public subject to such restric- § 771.81 Stipulations at hearing. tions and limitations as may be consistent with orderly procedure. If there has been no initial con- (b) If no hearing is requested, the reference under § 771.66, the administra- turn of the application marked ‘‘Dis- tive law judge may at the beginning of approved’’ is the Director of Industry the hearing require that the parties at- Operations’ initial decision. tempt to arrive at such stipulations as will eliminate the necessity of taking § 771.78 Revocation or denial of re- evidence with respect to allegations of newal. fact about which there is no substan- (a) The administrative law judge who tial dispute. The administrative law presides at the hearing in proceedings judge should take similar action, where for the revocation or denial of renewal appropriate, throughout the hearing of licenses or permits shall make a rec- and should call and conduct any con- ommended decision to the Director of ferences that he deems advisable with a Industry Operations. The administra- view to the simplification, clarifica- tive law judge shall certify the com- tion, and disposition of any of the plete record of the proceedings before issues involved in the hearing. him and shall immediately forward the complete certified record to the Direc- § 771.82 Evidence. tor of Industry Operations. The admin- The Federal Rules of Evidence are istrative law judge shall also send one not binding on these proceedings. How- copy of his recommended decision to ever, any relevant evidence that would the licensee or permittee or the licens- be admissible under the rules of evi- ee’s or permittee’s representative, one dence governing civil proceedings in copy to the Attorney for the Govern- matters not involving trial by jury in ment, and one copy to the Director of the Courts of the United States shall Industry Operations, who shall make be admissible. The administrative law

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judge may relax such rules in any hear- ceedings will thereby be expedited, and ing when in his judgment such relax- if the material upon which they are ation would not impair the rights of ei- based is available for examination by ther party and would more speedily the parties. Objections to the evidence conclude the hearing or would better shall be in short form, stating the serve the ends of justice. However, the grounds relied upon. The transcript administrative law judge shall provide shall not include argument or debate for the exclusion of irrelevant, imma- on objections, except as ordered by the terial, or unduly repetitious evidence. administrative law judge, but shall in- Every party shall have the right to clude the rulings thereon. Where offi- present his case or defense by oral or cial notice is taken of a material fact documentary evidence, depositions, or not appearing in the evidence in the duly authenticated copies of records record, any party shall, on timely re- and documents; to submit rebuttal evi- quest, be afforded an opportunity to dence; and to conduct such reasonable controvert such fact. cross-examination as may be required (c) Hearsay. Probative, material, and for a full and true disclosure of the reliable hearsay evidence is admissible facts. in proceedings under this subpart. (a) Witnesses. The administrative law judge shall have the right in his discre- § 771.83 Closing of hearings; argu- tion to limit the number of witnesses ments, briefs, and proposed find- whose testimony may be merely cumu- ings. lative and shall, as a matter of policy, Before closing a hearing, the admin- not only exclude irrelevant, immate- istrative law judge shall inquire of rial, or unduly repetitious evidence but each party whether the party has any shall also limit the cross-examination further evidence to offer, which inquiry of witnesses to that required for a full and the response thereto shall be and true disclosure of the facts so as shown in the record. The administra- not to unnecessarily prolong the hear- tive law judge may hear arguments of ing and unduly burden the record. counsel and the administrative law Opinion or expert testimony shall be judge may limit the time of such argu- admitted when the administrative law ments at his discretion. The adminis- judge is satisfied that the witness is trative law judge may, in his discre- properly qualified as defined by Fed- tion, allow briefs to be filed on behalf eral Rules of Evidence 701 or 702. of either party but shall closely limit (b) Documentary evidence. Material the time within which the briefs for and relevant evidence shall not be ex- both parties shall be filed, so as to cluded because it is not the best evi- avoid unreasonable delay. The adminis- dence unless its authenticity is chal- trative law judge shall also ascertain lenged, in which case reasonable time whether the parties desire to submit shall be given to establish its authenticity. When only portions of a docu- proposed findings and conclusions, to- ment are to be relied upon, the offering gether with supporting reasons, and, if party shall prepare the pertinent ex- so, a period of not more than 15 days cerpts, adequately identified, and shall (unless extended by the administrative supply copies of such excerpts, to- law judge)—after the close of the hear- gether with a statement indicating the ing or receipt of a copy of the record, if purpose for which such materials will one is requested—will be allowed for be offered, to the administrative law such purpose. judge and to the other parties. Only § 771.84 Reopening of the hearing. the excerpts, so prepared and submitted, shall be received in the record. The Director, the Director of Indus- However, the whole of the original doc- try Operations, or the administrative ument should be made available for ex- law judge, as the case may be, may, as amination and for use by opposing to all matters pending before him, in counsel for purposes of cross-examina- his discretion reopen a hearing— tion. Compilations, charts, summaries (a) In case of default under § 771.67 or of data, and photocopies of documents § 771.68 where the applicant, licensee, or may be admitted in evidence if the pro- permittee failed to request a hearing or

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to appear after one was set, upon peti- § 771.96 Disqualification. tion setting forth reasonable grounds An administrative law judge shall, at for such failure; and any time, withdraw from any pro- (b) Where any party desires leave to ceeding if he deems himself disquali- adduce additional evidence upon peti- fied. Upon the filing in good faith by tion summarizing such evidence, estab- the applicant, licensee, permittee, or lishing its materiality, and stating rea- Attorney for the Government of a sonable grounds why such party with timely and sufficient affidavit of facts due diligence was unable to produce showing personal bias or otherwise such evidence at the hearing. warranting the disqualification of any administrative law judge, if the admin- RECORD OF TESTIMONY istrative law judge fails to disqualify himself, the Director shall upon appeal, § 771.85 Stenographic record. as provided in § 771.120, determine the A stenographic record shall be made matter as a part of the record and deci- of the testimony and proceedings, in- sion in the proceeding. If the Director cluding stipulations, admissions of decides the administrative law judge fact, and arguments of counsel in all should have deemed himself disquali- proceedings. A transcript of the evi- fied, the Director will remand the dence and proceedings at the hearing record for hearing de novo before an- shall be made in all cases. other administrative law judge. If the Director should decide against the dis- § 771.86 Oath of reporter. qualification of the administrative law The reporter making the steno- judge, the proceeding will be reviewed graphic record shall subscribe an oath on its merits by the original adminis- before the administrative law judge, to trative law judge. The burden is upon be filed in the record of the case, that the party seeking disqualification to set forth evidence sufficient to over- he will truly and correctly report the come the presumption of the adminis- oral testimony and proceedings at such trative law judge’s honesty and integ- hearing and accurately transcribe the rity. same to the best of his ability. § 771.97 Powers. Subpart G—Administrative Law Administrative law judges shall have Judges authority to: (a) Administer oaths and affirma- § 771.95 Responsibilities of administra- tions; tive law judges. (b) Issue subpoenas as authorized by In hearings under this subpart, ad- law; ministrative law judges must apply all (c) Rule upon offers of proof and re- governing agency rulings and gov- ceive relevant evidence; erning agency precedent. They shall be (d) Take or cause depositions to be responsible for the conduct of hearings taken whenever the ends of justice and shall render their decisions as soon would be served thereby; as is reasonably possible after the hear- (e) Regulate the course of the hearing is closed. Administrative law ing; judges shall also be responsible for the (f) Hold conferences for the settle- preparation, certification, and for- ment or simplification of the issues by warding of the complete record of pro- consent of the parties; ceedings and the administrative work (g) Require the attendance at such relating thereto and, by arrangement conferences of at least one representa- with Directors of Industry Operations tive of each party who has the author- and representatives of the Office of ity to negotiate concerning resolution Chief Counsel shall have access to fa- of issues in controversy; cilities and temporary use of personnel (h) Dispose of procedural requests or at such times and places as are needed similar matters; in the prompt dispatch of official busi- (i) Render recommended decisions in ness. proceedings on applications for licenses

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and permits and on revocation or de- and obtain instructions from the Direc- nial of renewal of licenses or permits; tor on questions of law and policy. Fur- (j) Call, examine, and cross-examine thermore, it is not a violation of the witnesses, including hostile or adverse separation of functions for the admin- witnesses, when the administrative law istrative law judge to participate in judge deems such action to be nec- the questioning of witnesses, where the essary to a just disposition of the case, questioning is for clarification or to and introduce into the record documen- move the proceedings along, and where tary or other evidence; and the questioning is not so extensive as (k) Take any other action authorized to place the administrative law judge by rule of the Bureau of Alcohol, To- in the position of a prosecuting officer. bacco, Firearms, and Explosives consistent with the Administrative Proce- § 771.99 Conduct of hearing. dure Act. See 5 U.S.C. 556(c) and 18 U.S.C. 843. The administrative law judge is charged with the duty of conducting a § 771.98 Separation of functions. fair and impartial hearing and of maintaining order in form and manner con- Administrative law judges shall per- sistent with the dignity of a court pro- form no functions inconsistent with their duties and responsibilities. The ceeding. In the event that counsel or Director may assign administrative any person or witness in any pro- law judges duties not inconsistent with ceeding shall refuse to obey the orders the performance of their functions as of the administrative law judge, or be administrative law judges. Except to guilty of disorderly or contemptuous the extent required for the disposition language or conduct in connection with of ex parte matters as required by law, any hearing, the administrative law no administrative law judge shall con- judge may, for good cause stated in the sult any person or party as to any fact record, suspend the hearing, and, in the in issue unless there has been notice case of disorderly or contemptuous lan- and opportunity for all parties to par- guage or conduct by an attorney, re- ticipate. The functions of the adminis- port the matter to the Department of trative law judge shall be entirely sep- Justice, Office of Professional Respon- arated from the general investigative sibility. See 28 CFR 0.39a(a)(9). The re- functions of the agency. No officer, em- fusal of a witness to answer any ques- ployee, or agent engaged in the per- tion that has been ruled to be proper formance of investigative or pros- shall be considered by the administra- ecuting functions in any proceeding tive law judge in determining the shall, in that proceeding or a factually weight to be given all the testimony of related proceeding, participate or ad- that witness. vise in the administrative law judge’s or Director’s decision, or in the agency § 771.100 Unavailability of administra- review on appeal, except as a witness tive law judge. or counsel in the proceedings. The administrative law judge may not infor- In the event that the administrative mally obtain advice or opinions from law judge designated to conduct a hear- the parties or their counsel, or from ing becomes unavailable before the fil- any officer or employee of the ATF, as ing of his findings and recommended to the facts or the weight or interpre- decision, the Director may assign the tation to be given to the evidence. The case to another administrative law administrative law judge may, how- judge for the continuance of the pro- ever, informally obtain advice on mat- ceeding, in accordance with the regula- ters of law or procedure in a proceeding tions in this part in the same manner from officers or employees who were as if he had been designated adminis- not engaged in the performance of in- trative law judge at the commence- vestigative or prosecuting functions in ment of the proceeding. that proceeding or a factually related proceeding. The administrative law judge may, at any time, consult with

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Subpart H—Decisions the administrative law judge, the Di- rector of Industry Operations shall by § 771.105 Administrative law judge’s order approve or disapprove of the ap- findings and recommended deci- plication in accordance with the rec- sion. ommended decision. If the Director of Within a reasonable time after the Industry Operations approves the ap- conclusion of the hearing, and as expe- plication, he shall briefly state for the ditiously as possible, the administra- record his reasons therefor. However, if tive law judge shall render his rec- the Director of Industry Operations ommended decision. All decisions shall disapproves of the applications, he become a part of the record and, if pro- shall serve a copy of the administrative posed findings and conclusions have law judge’s recommended decision on been filed, shall show the administra- the applicant, informing the applicant tive law judge’s ruling upon each of of the Director of Industry Operations’ such proposed findings and conclusions. contemplated action and affording the Decisions shall consist of: applicant not more than 10 days in (a) A brief statement of the issues of which to submit proposed findings and fact involved in the proceeding; conclusions or exceptions to the rec- (b) The administrative law judge’s ommended decision with reasons in findings and conclusions, as well as the support thereof. reasons or basis therefor with record (b) Rejecting the recommended decision. references, upon all the material issues If, after such consideration referenced of fact, law, or discretion presented on in paragraph (a) of this section, the Di- the record (including, when appro- rector of Industry Operations rejects priate, comment as to the credibility the recommended decision of the ad- and demeanor of the witnesses); and ministrative law judge, in whole or in (c) The administrative law judge’s part, the Director of Industry Oper- recommended determination as to the ations shall by order make such find- revocation or denial at issue. ings and conclusions as in his opinion are warranted by the law and facts in § 771.106 Certification and transmittal the record. Any decision of the Direc- of record and decision. tor of Industry Operations ordering the After reaching his decision, the ad- disapproval of an application for a per- ministrative law judge shall certify the mit shall state the findings and conclu- complete record of the proceeding be- sions upon which it is based, including fore him and shall immediately for- his ruling upon each proposed finding, ward the complete certified record to- conclusion, and exception to the ad- gether with one copy of the adminis- ministrative law judge’s recommended trative law judge’s recommended deci- decision, together with a statement of sion to the Director of Industry Oper- the administrative law judge’s find- ations for initial decision, one copy of ings, conclusions, and reasons or basis the recommended decision to the appli- therefor, upon all material issues of cant or the applicant’s representative, fact, law, or discretion presented on and one copy of the recommended deci- the record. A signed original of the de- sion to the Attorney for the Govern- cision of the Director of Industry Oper- ment. ations shall be served upon the applicant and the original copy containing a ACTION BY DIRECTOR OF INDUSTRY certificate of service shall be placed in OPERATIONS the official record of the proceeding.

§ 771.107 Initial application pro- § 771.108 Director of Industry Oper- ceedings. ations’ decision. (a) Accepting the recommended deci- When the Director of Industry Oper- sion. If the Director of Industry Oper- ations issues an initial decision in ac- ations, after consideration of the cordance with § 771.77 or § 771.107 the de- record of the hearing and of any pro- cision shall become a part of the posed findings, conclusions, or excep- record. The decision shall consist of: tions filed with him by the applicant, (a) A brief statement of the issues in- accepts the recommended decision of volved in the proceedings;

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(b) The Director of Industry Oper- § 771.110 Revocation or denial of re- ations’ findings and conclusions, as newal. well as the reasons therefor; and Pursuant to § 771.109(a), when the Di- (c) The Director of Industry Oper- rector of Industry Operations issues an ations’ determination on the record. order revoking or denying the renewal of a license or permit, he shall furnish § 771.109 Revocation or denial of renewal proceedings. a copy of the order and of the recommended decision on which it is (a) Accepting the recommended deci- based to the Director. Should such sion. After consideration of the com- order be subsequently set aside on re- plete certified record of the hearing, if view by the courts, the Director of In- the Director of Industry Operations dustry Operations will so advise the Di- agrees with the recommended decision rector. of the administrative law judge, the Di- rector of Industry Operations shall § 771.111 Proceedings involving viola- enter an order revoking or denying the tions not within the division of renewal of the license or permit or dis- issuance of license or permit. missing the proceedings in accordance In the event violations occurred at a with the administrative law judge’s place not within the field division recommended decision. where the licensee or permittee is lo- (b) Rejecting the recommended decision. cated, the Director of Industry Oper- After consideration of the complete ations of the field division where the li- certified record of the hearing, if the censee or permittee is located will take Director of Industry Operations dis- jurisdiction over any proceeding and agrees with the recommended decision will take appropriate action in accord- of the administrative law judge, he ance with this subpart, including may file a petition with the Director issuing the relevant notice. for review of the recommended decision, as provided in § 771.120. If the Di- Subpart I—Review rector of Industry Operations files such a petition, he shall withhold issuance § 771.120 Appeal on petition to the Di- of the order pending the decision of the rector. Director, upon receipt of which he shall (a) An appeal to the Director may be issue the order in accordance with the made by the applicant, licensee, or per- Director’s decision. A signed original of mittee, or by the Director of Industry the order of the Director of Industry Operations (DIO). For the applicant, li- Operations shall be served upon the licensee, or permittee, such appeal shall censee or permittee or his representa- be made by filing a petition for review tive and the original copy containing a on appeal with the Director within 15 certificate of service shall be placed in days of the service of the adverse ini- the official record of the proceeding. tial decision by the Director of Indus- (c) Decisions pursuant to § 771.78(b). In try Operations. For the Director of In- a case where the initial decision is dustry Operations, such appeal shall be made by the Director of Industry Oper- taken by filing a petition for review on ations in accordance with § 771.78(b), appeal with the Director within 15 days the Director of Industry Operations of the issuance of the administrative shall also issue an order revoking or law judge’s decision recommending denying the renewal of the license or against revocation or denial of re- permit, or dismissing the proceedings newal. The petitioning applicant, li- in accordance with his initial decision. censee, or permittee must submit argu- A signed original of the decision and ments showing that the Director of In- order of the Director of Industry Oper- dustry Operations’ initial decision, and ations shall be served upon the licensee if applicable the underlying adminis- or permittee or his representative and trative law judge’s recommended deci- the original copy placed in the official sion, was without reasonable warrant record of the proceeding.

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in fact or contrary to law and regula- the Deputy Director’s principal aides tions. The petitioning DIO must sub- to consider any proceeding instead of mit arguments showing the adminis- the Director. The original copy of the trative law judge’s recommended deci- decision on review shall be placed in sion was without reasonable warrant in the official record of the proceeding, a fact or contrary to law and regula- signed duplicate original shall be tions. Nothing in this part shall limit served upon the applicant, licensee, or the authority of the Director to review permittee, and a copy shall be trans- the administrative law judge’s decision mitted to the Director of Industry Op- exercising all the powers that he would erations. have in making the recommended decision. § 771.122 Denial of renewal or revoca- (b) A copy of the petition shall be tion. filed with the Director of Industry Op- If the Director orders the denial of an erations or served on the applicant, li- application, a copy of the application censee, or permittee, as the case may marked ‘‘Disapproved’’ will be returned be. In the event of an appeal, the Direc- to the applicant by the Director of In- tor of Industry Operations shall imme- dustry Operations. If the Director or- diately certify and forward the com- ders a revocation of a license of permit, plete original record, by certified mail, any stay of revocation will be with- to the Director, for his consideration drawn and the revocation will become and review. effective upon the order of the Director of Industry Operations. After the § 771.121 Review by Director. issuance of a denial of a renewal appli- (a) Modification or reversal. On appeal, cation or a revocation, and pending the the Director shall afford a reasonable final determination of a timely appeal, opportunity for the submission of pro- the licensee or permittee may continue posed findings, conclusions, or excep- operations, if at all, pursuant to § 555.83 tions with reasons in support thereof of this chapter. and an opportunity for oral argument. The Director may alter or modify any § 771.123 Court review. finding of the administrative law judge (a) If an applicant, licensee, or per- (or of the Director of Industry Oper- mittee files an appeal in the United ations as the case may be) and may af- States Court of Appeals for the circuit firm, reverse, or modify the rec- in which he resides or has his principle ommended decision of the administra- place of business, within 60 days after tive law judge, or the initial decision of the receipt of the Director’s decision, the Director of Industry Operations, or the Director, upon notification that an may remand the case for further hear- appeal has been taken, shall prepare ing, but shall not consider evidence the record for submission to the court that is not a part of the record. in accordance with applicable court (b) Affirmance. Except in the case of a rules. remand, when, on appeal, the Director (b) If an applicant, licensee, or per- affirms the initial decision of the Di- mittee does not seek review with the rector of Industry Operations or the Director, but instead seeks review recommended decision of the adminis- within 60 days after the receipt of the trative law judge, as the case may be, initial decision of the Director of In- such decision shall be the agency’s dustry Operations pursuant to § 771.109, final decision. the Director of Industry Operations, (c) Recusal. Appeals and petitions for upon notification that an appeal has review shall not be decided by the Di- been taken, shall prepare the record for rector in any proceeding in which the submission to the court in accordance Director has engaged in an investiga- with applicable court rules. The Direc- tion or prosecution and in such event tor of Industry Operations shall notify the Director shall so state his disquali- the Director if such an appeal is taken. fication in writing and refer the record (c) The Director, or the Director of to the Deputy Director for appropriate Industry Operations, as the case may action. The Deputy Director may des- be, shall certify the correctness of the ignate an Assistant Director or one of transcript of the record, forward one

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copy to the attorney for the Govern- However, fundamental fairness requires ment in the review of the case, and file a party be given the opportunity to the original record of the proceedings know what evidence is offered and a with the original certificate in the ap- chance to rebut such evidence. Either propriate United States Court of Ap- party may petition the administrative peals. law judge for non-burdensome discovery if the party can demonstrate Subpart J—Miscellaneous that the interests of justice require disclosure of these materials. § 771.124 Depositions. The administrative law judge may § 771.127 Privileges. take or order the taking of depositions The Administrative Procedure Act, 5 by either party to the proceeding at U.S.C. 559, provides that, except as oth- such time and place as the administra- erwise required by law, privileges re- tive law judge may designate before a lating to procedure or evidence apply person having the power to administer equally to agencies and persons. There- oaths, upon application therefor and fore, an agency may rely on judicially- notice to the parties to the action. The approved privileges to resist produc- testimony shall be reduced to writing tion of its files where appropriate. by the person taking the deposition, or a person under his direction, and the RECORD deposition shall be subscribed by the deponent unless subscribing thereof is § 771.135 What constitutes record. waived in writing by the parties. The transcript of testimony, plead- § 771.125 Witnesses and fees. ings, exhibits, all papers and requests filed in the proceeding, and all find- Witnesses summoned before the ad- ings, decisions, and orders, shall con- ministrative law judge may be paid the stitute the exclusive record. Where the same fees and mileage that are paid decision rests on official notice of ma- witnesses in the courts of the United terial fact not appearing in the record, States, and witnesses whose deposi- the administrative law judge shall so tions are taken and the persons taking state in his findings and any party the same shall severally be entitled to shall, on timely request, be afforded an the same fees as are paid for like serv- opportunity to show facts to the con- ices in the courts of the United States. trary. Witness fees and mileage shall be paid by the party at whose instance the wit- § 771.136 Availability. nesses appear and the person taking the deposition shall be paid by the A copy of the record shall be avail- party at whose instance the deposition able for inspection or copying by the is taken. parties to the proceedings during business hours at the office of the adminis- § 771.126 Discovery. trative law judge or the Director of In- The discovery provisions of the Fed- dustry Operations or, pending adminis- eral Rules of Civil Procedure and the trative review, at the Office of the Di- Federal Rules of Criminal Procedure rector. are not controlling with respect to agency proceedings under this part. PARTS 772–799 [RESERVED]

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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) III Administrative Conference of the United States (Parts 300—399) IV Miscellaneous Agencies (Parts 400—599) VI National Capital Planning Commission (Parts 600—699)

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 2—199) II Office of Management and Budget Guidance (Parts 200—299) SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND AGREEMENTS III Department of Health and Human Services (Parts 300—399) IV Department of Agriculture (Parts 400—499) VI Department of State (Parts 600—699) VII Agency for International Development (Parts 700—799) VIII Department of Veterans Affairs (Parts 800—899) IX Department of Energy (Parts 900—999) X Department of the Treasury (Parts 1000—1099) 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 1800— 1899) XX United States Nuclear Regulatory Commission (Parts 2000—2099) XXII Corporation for National and Community Service (Parts 2200— 2299) XXIII Social Security Administration (Parts 2300—2399) XXIV Department of Housing and Urban Development (Parts 2400— 2499) XXV National Science Foundation (Parts 2500—2599) XXVI National Archives and Records Administration (Parts 2600—2699)

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XXVII Small Business Administration (Parts 2700—2799) XXVIII Department of Justice (Parts 2800—2899) XXIX Department of Labor (Parts 2900—2999) 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) XXXIV Department of Education (Parts 3400—3499) XXXV Export-Import Bank of the United States (Parts 3500—3599) XXXVI Office of National Drug Control Policy, Executive Office of the President (Parts 3600—3699) XXXVII Peace Corps (Parts 3700—3799) LVIII Election Assistance Commission (Parts 5800—5899) LIX Gulf Coast Ecosystem Restoration Council (Parts 5900—5999)

Title 3—The President

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

Title 4—Accounts

I Government Accountability Office (Parts 1—199)

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) IV Office of Personnel Management and Office of the Director of National Intelligence (Parts 1400—1499) 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) 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)

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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 U.S. International Development Finance Corporation (Parts 4300—4399) XXXIV Securities and Exchange Commission (Parts 4400—4499) XXXV Office of Personnel Management (Parts 4500—4599) XXXVI Department of Homeland Security (Parts 4600—4699) XXXVII Federal Election Commission (Parts 4700—4799) 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) 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) XLIX Federal Labor Relations Authority (Parts 5900—5999) 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) LXX Court Services and Offender Supervision Agency for the District of Columbia (Parts 8000—8099) LXXI Consumer Product Safety Commission (Parts 8100—8199) LXXIII Department of Agriculture (Parts 8300—8399)

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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) LXXX Federal Housing Finance Agency (Parts 9000—9099) LXXXIII Special Inspector General for Afghanistan Reconstruction (Parts 9300—9399) LXXXIV Bureau of Consumer Financial Protection (Parts 9400—9499) LXXXVI National Credit Union Administration (Parts 9600—9699) XCVII Department of Homeland Security Human Resources Manage- ment System (Department of Homeland Security—Office of Personnel Management) (Parts 9700—9799) XCVIII Council of the Inspectors General on Integrity and Efficiency (Parts 9800—9899) XCIX Military Compensation and Retirement Modernization Commis- sion (Parts 9900—9999) C National Council on Disability (Parts 10000—10049) CI National Mediation Board (Part 10101)

Title 6—Domestic Security

I Department of Homeland Security, Office of the Secretary (Parts 1—199) X Privacy and Civil Liberties Oversight Board (Parts 1000—1099)

Title 7—Agriculture

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 Agricultural Marketing Service (Federal Grain Inspection Serv- ice, Fair Trade Practices Program), Department of Agri- culture (Parts 800—899)

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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 [Reserved] 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 [Reserved] XXV Office of Advocacy and Outreach, Department of Agriculture (Parts 2500—2599) 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) 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 National Institute of Food and 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)

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I Department of Homeland Security (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 Agricultural Marketing Service (Federal Grain Inspection Serv- ice, Fair Trade Practices Program), 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 1300—1399) XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799) 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 (Parts 500—599) [Reserved] 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) X Bureau of Consumer Financial Protection (Parts 1000—1099) XI Federal Financial Institutions Examination Council (Parts 1100—1199) XII Federal Housing Finance Agency (Parts 1200—1299) XIII Financial Stability Oversight Council (Parts 1300—1399)

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XIV Farm Credit System Insurance Corporation (Parts 1400—1499) XV Department of the Treasury (Parts 1500—1599) XVI Office of Financial Research (Parts 1600—1699) 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—1199) 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 National Technical Information Service, Department of Com- merce (Parts 1100—1199)

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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) [Reserved]

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)

Title 18—Conservation of Power and Water Resources

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) [Reserved]

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)

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IV Employees’ Compensation Appeals Board, Department of Labor (Parts 500—599) V Employment and Training Administration, Department of Labor (Parts 600—699) VI Office of Workers’ Compensation Programs, 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) 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 Millennium 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)

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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 Housing Com- missioner, Department of Housing and Urban Development (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) 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) XII Office of Inspector General, Department of Housing and Urban Development (Parts 2000—2099) XV Emergency Mortgage Insurance and Loan Programs, Depart- ment of Housing and Urban Development (Parts 2700—2799) [Reserved] 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) [Reserved] XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)

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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—899) V Bureau of Indian Affairs, Department of the Interior, and Indian Health Service, Department of Health and Human Services (Part 900—999) 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— End)

Title 27—Alcohol, Tobacco Products and Firearms

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—799)

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)

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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)

Title 30—Mineral Resources

I Mine Safety and Health Administration, Department of Labor (Parts 1—199) II Bureau of Safety and Environmental Enforcement, Department of the Interior (Parts 200—299) IV Geological Survey, Department of the Interior (Parts 400—499) V Bureau of Ocean Energy Management, Department of the Inte- rior (Parts 500—599) VII Office of Surface Mining Reclamation and Enforcement, Depart- ment of the Interior (Parts 700—999) XII Office of Natural Resources Revenue, Department of the Interior (Parts 1200—1299)

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)

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VIII Office of Investment Security, Department of the Treasury (Parts 800—899) IX Federal Claims Collection Standards (Department of the Treas- ury—Department of Justice) (Parts 900—999) X Financial Crimes Enforcement Network, Department of the Treasury (Parts 1000—1099)

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 Department of Defense, 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) 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, Department of De- fense (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)

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III Office of Special Education and Rehabilitative Services, Depart- ment of Education (Parts 300—399) IV Office of Career, Technical and Adult Education, Department of Education (Parts 400—499) V Office of Bilingual Education and Minority Languages Affairs, Department of Education (Parts 500—599) [Reserved] VI Office of Postsecondary Education, Department of Education (Parts 600—699) VII Office of Educational Research and Improvement, Department of Education (Parts 700—799) [Reserved] SUBTITLE C—REGULATIONS RELATING TO EDUCATION XI (Parts 1100—1199) [Reserved] 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) 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 U.S. Copyright Office, Library of Congress (Parts 200—299) III Copyright Royalty Board, Library of Congress (Parts 300—399) IV National Institute of Standards and Technology, Department of Commerce (Parts 400—599)

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I Department of Veterans Affairs (Parts 0—199) II Armed Forces Retirement Home (Parts 200—299)

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) VIII Gulf Coast Ecosystem Restoration Council (Parts 1800—1899)

Title 41—Public Contracts and Property Management

SUBTITLE A—FEDERAL PROCUREMENT REGULATIONS SYSTEM [NOTE] 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) 61 Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 61–1—61–999) 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) 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) 129—200 [Reserved] SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE- MENT [RESERVED]

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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—699) V Office of Inspector General-Health Care, Department of Health and Human Services (Parts 1000—1099)

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 400— 999) II Bureau of Land Management, Department of the Interior (Parts 1000—9999) III Utah Reclamation Mitigation and Conservation Commission (Parts 10000—10099)

Title 44—Emergency Management and Assistance

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)

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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) IX Denali Commission (Parts 900—999) 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 Administration for Children and Families, 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 of Fine Arts (Parts 2100—2199) XXIII Arctic Research Commission (Parts 2300—2399) 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) 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)

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IV National Telecommunications and Information Administration, Department of Commerce, and National Highway Traffic Safe- ty Administration, Department of Transportation (Parts 400— 499) V The First Responder Network Authority (Parts 500—599)

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 Department of 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) 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) [Reserved] 52 Department of the Navy Acquisition Regulations (Parts 5200— 5299) 53 Department of the Air Force Federal Acquisition Regulation Supplement (Parts 5300—5399) [Reserved]

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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) 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 (Parts 1000—1399) XI Research and Innovative Technology Administration, Depart- ment of Transportation (Parts 1400—1499) [Reserved] XII Transportation Security Administration, Department of Home- land Security (Parts 1500—1699)

Title 50—Wildlife and Fisheries

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)

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VI Fishery Conservation and Management, National Oceanic and Atmospheric Administration, Department of Commerce (Parts 600—699)

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CFR Title, Subtitle or Agency Chapter Administrative Conference of the United States 1, III Advisory Council on Historic Preservation 36, VIII Advocacy and Outreach, Office of 7, XXV Afghanistan Reconstruction, Special Inspector General for 5, LXXXIII African Development Foundation 22, XV Federal Acquisition Regulation 48, 57 Agency for International Development 2, VII; 22, II Federal Acquisition Regulation 48, 7 Agricultural Marketing Service 7, I, VIII, IX, X, XI; 9, II Agricultural Research Service 7, V Agriculture, Department of 2, IV; 5, LXXIII Advocacy and Outreach, Office of 7, XXV Agricultural Marketing Service 7, I, VIII, IX, X, XI; 9, II 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 Economic Research Service 7, XXXVII Energy Policy and New Uses, 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 Information Resources Management, Office of 7, XXVII Inspector General, Office of 7, XXVI National Agricultural Library 7, XLI National Agricultural Statistics Service 7, XXXVI National Institute of Food and Agriculture 7, XXXIV 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 Rural Development Administration 7, XLII Rural Housing Service 7, XVIII, XXXV Rural Utilities Service 7, XVII, XVIII, XLII Secretary of Agriculture, Office of 7, Subtitle A Transportation, Office of 7, XXXIII World Agricultural Outlook Board 7, XXXVIII Air Force, Department of 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 Architectural and Transportation Barriers Compliance Board 36, XI

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2015 2017 27 CFR 80 FR (No regulations published) Page Chapter II 2018 447.21 Regulation at 79 FR 17028 27 CFR 83 FR confirmed...... 30617 Page 555.11 Amended...... 59581 Chapter II 447.11 Amended...... 66553 2016 478.11 Amended...... 66554 27 CFR 81 FR 479.11 Amended...... 66554 Page Chapter II 2019 478 Authority citation revised...... 1318 27 84 FR 478.39a Revised...... 1318 Page 478.72 Amended...... 32235 Chapter II 478.73 (a) amended ...... 32235 447 Policy statement...... 9239 478.74 Amended...... 32235 478 Policy statement...... 9239 478.125 (e) and (f)(2) amended ...... 38071 478.40 Removed...... 12094 478.125a (a)(4) amended ...... 38071 478.40a Removed...... 12094 479 Authority citation revised...... 2721 478.57 (b) and (c) removed; (a) re- 479.11 Amended; eff. 7-13-16 ...... 2721 designated as undesignated 479.62 Revised; eff. 7-13-16 ...... 2721 text ...... 12094 478.76 Revised ...... 64743 479.63 Revised; eff. 7-13-16 ...... 2721 478.92 Heading revised; (a)(3) and 479.84 Revised; eff. 7-13-16 ...... 2722 (c) removed...... 12094 479.85 Revised; eff. 7-13-16 ...... 2722 478.95 Amended...... 12094 479.90 (b) amended; eff. 7-13-16 ...... 2723 478.116 Amended ...... 12094 479.90a Added; eff. 7-13-16 ...... 2723 478.119 Removed ...... 12094 478.132 Removed ...... 12094 478.153 Removed ...... 12094 478.171 Amended ...... 12094, 60334 479 Policy statement...... 9239

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27—Continued 84 FR 27—Continued 84 FR Page Page Chapter II—Continued Chapter II—Continued 479.32 (a) and (c) removed; (b) re- 555.105 Heading amended; (a) redesignated as undesignated moved ...... 13799 text ...... 12094 555.125 (a) removed...... 13799 555.11 Amended...... 13799 555.126 Heading amended; (a) re- 555.27 Removed...... 13799 moved ...... 13800 555.30 (a), (b), and (d) introduc- 555.142 Heading amended ...... 13800 tory text amended ...... 13799 555.165 (b) amended ...... 13800 555.33 Heading amended...... 13799 555.201 (e) removed...... 13800 555.41 (a) removed ...... 13799 555.202 (a) amended ...... 13800 555.45 (a) and (b) removed ...... 13799 555.218 Table amended ...... 13800 555.49 (a) removed ...... 13799 555.219 Table amended ...... 13800 555.51 (a) removed ...... 13799 555.220 Table amended; eff. 5-31- 19...... 12097 555.57 (b) amended ...... 13799 555.220 Table amended ...... 13800 555.73 Amended...... 64744 555.224 Table amended ...... 13800 555.75 Amended...... 64744 771.1—771.136 (Subchapter E) 555.78 Revised ...... 64744 Added ...... 64744 555.79 Amended...... 64744 555.82 Revised ...... 64744 555.102 (b)(1), (2) designation, and 2020 (b)(2) heading removed...... 13799 (No regulations published from 555.103 (a) removed...... 13799 January 1, 2020, through April 1, 2020) Æ

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