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

Revised as of April 1, 2014

Containing a codification of documents of general applicability and future effect

As of April 1, 2014

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

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Page Explanation ...... v

Title 27:

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

Finding Aids:

Table of CFR Titles and Chapters ...... 183

Alphabetical List of Agencies Appearing in the CFR ...... 203

List of CFR Sections Affected ...... 213

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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, 2014), 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 Mar<15>2010 13:19 May 07, 2014 Jkt 232111 PO 00000 Frm 00005 Fmt 8008 Sfmt 8092 Y:\SGML\232111.XXX 232111 pmangrum on DSK3VPTVN1PROD with CFR 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 accidentally dropped due to a printing or computer 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.

VerDate Mar<15>2010 13:19 May 07, 2014 Jkt 232111 PO 00000 Frm 00006 Fmt 8008 Sfmt 8092 Y:\SGML\232111.XXX 232111 pmangrum on DSK3VPTVN1PROD with CFR An index to the text of ‘‘Title 3—The President’’ is carried within that volume. 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 Printing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202- 512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hours a day. For payment by check, write to: US Government Printing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. 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.ofr.gov. For more information, contact the GPO Customer Con- tact Center, U.S. Government Printing 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) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s web site at www.archives.gov/federal-register. The 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 Printing Office. It is available at www.ecfr.gov.

CHARLES A. BARTH, Director, Office of the Federal Register. April 1, 2014.

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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, 2014.

For this volume, Michele Bugenhagen was Chief Editor. The Code of Federal Regulations publication program is under the direction of the Managing Editor, assisted by Ann Worley.

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(This book contains part 400 to End)

Part

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

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

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SUBCHAPTER A [RESERVED]

SUBCHAPTER B—FIREARMS AND AMMUNITION

Part Page 400–446 [Reserved] 447 Importation of arms, ammunition and implements of war ...... 5 478 Commerce in firearms and ammunition ...... 19 479 Machine guns, destructive devices, and certain other firearms ...... 88

SUBCHAPTER C—EXPLOSIVES 555 Commerce in explosives ...... 117

SUBCHAPTER D—MISCELLANEOUS REGULATIONS RELATING TO ALCOHOL AND TOBACCO 646 Contraband cigarettes...... 178

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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 and Firearms (ATF) specified by registration under subpart D of this ATF Order 1130.34, Delegation of the part. Director’s Authorities in 27 CFR Part (b) The permit procedures of subpart 447, Importation of Arms, Ammunition E of this part are applicable to all im- and Implements of War. portations of articles on the U.S. Muni- Article. Any of the 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 and Firearms, the Department of the CFR Part 479 are subject to the import Treasury. permit procedures of those regulations Carbine. A short-barrelled rifle whose if imported into the United States barrel is generally not longer than 22 (within the meaning of 27 CFR Parts inches and is characterized by light 478 and 479). weight. (c) Articles on the U.S. Munitions CFR. The Code of Federal Regula- Import List imported for the United tions. States or any State or political sub- Chemical agent. A substance useful in division thereof are exempt from the war which, by its ordinary and direct

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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 origi- lating to § 447.21 or § 447.22. nally designed to fire, or capable of Defense services. (a) The furnishing of being fired fully automatically by a assistance, including training, to for- single pull of the trigger. eign persons in the design, engineering, Permit. The same as ‘‘license’’ for development, production, processing, purposes of 22 U.S.C. 1934(c). manufacture, use, operation, overhaul, Person. A partnership, company, as- repair, maintenance, modification, or sociation, or corporation, as well as a reconstruction of defense articles, natural person. whether in the United States or Pistol. A hand-operated firearm hav- abroad; or ing a chamber integral with, or perma- (b) The furnishing to foreign persons nently aligned with, the bore. of any technical data, whether in the Revolver. A hand-operated firearm United States or abroad. with a revolving cylinder containing Director. The Director, Bureau of Al- chambers for individual cartridges. cohol, Tobacco and Firearms, the De- Rifle. A shoulder firearm discharging partment of the Treasury, Washington, bullets through a rifled barrel at least DC 20226. 16 inches in length, including combina- Executed under the penalties of perjury. tion and drilling guns. Signed with the prescribed declaration Sporting type sight including optical. A under the penalties of perjury as pro- telescopic sight suitable for daylight vided on or with respect to the applica- use on a rifle, shotgun, pistol, or re- tion, form, or other document or, volver for hunting or target shooting. where no form of declaration is pre- This chapter. Title 27, Code of Federal scribed, with the declaration: ‘‘I de- Regulations, Chapter II (27 CFR Chap- clare under the penalties of perjury ter II). that this llllll (insert type of United States. When used in the geo- document such as statement, certifi- graphical sense, includes the several cate, application, or other document), States, the Commonwealth of Puerto including the documents submitted in Rico, the insular possessions of the support thereof, has been examined by United States, the District of Colum- me and, to best of my knowledge and bia, and any territory over which the belief, is true, correct, and complete.’’ United States exercises any powers of Firearms. A weapon, and all compo- administration, legislation, and juris- nents and parts therefor, not over .50 diction. caliber which will or is designed to or (26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 may be readily converted to expel a Stat. 981 as amended), 18 U.S.C. 926 (82 Stat. projectile by the action of an explosive, 959), and sec. 38, Arms Export Control Act (22 but shall not include BB and pellet U.S.C. 2778, 90 Stat. 744)) guns, and muzzle loading (black pow- [T.D. ATF–48, 43 FR 13535, Mar. 31, 1978; 44 der) firearms (including any firearm FR 55840, Sept. 28, 1979, as amended by T.D. with a matchlock, flintlock, percussion ATF–202, 50 FR 14382, Apr. 12, 1985; T.D. ATF– cap, or similar type of ignition system) 215, 50 FR 42158, Oct. 18, 1985; T.D. ATF–484, or firearms covered by Category I(a) 67 FR 64526, Oct. 21, 2002; T.D. ATF–9F, 72 FR established to have been manufactured 72938, Dec. 26, 2007; ATF–50F, 78 FR 23677, in or before 1898. Apr. 22, 2013] Import or importation. Bringing into the United States from a foreign coun- Subpart C—The U.S. Munitions try any of the articles on the Import Import List List, but shall not include intransit, temporary import or temporary export § 447.21 The U.S. Munitions Import transactions subject to Department of List. State controls under Title 22, Code of The following defense articles and de- Federal Regulations. fense services, designated pursuant to

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section 38(a) of the Arms Export Con- NOTE: Cartridge and shell casings are in- trol Act, 22 U.S.C. 2778(a), and E.O. cluded under Category III unless, prior to 13637 are subject to controls under this their importation, they have been rendered part. For purposes of this part, the list useless beyond the possibility of restoration for use as a cartridge or shell casing by shall be known as the U.S. Munitions means of heating, flame treatment, man- Import List (USMIL): gling, crushing, cutting, or popping.

THE U.S. MUNITIONS IMPORT LIST CATEGORY IV—LAUNCH VEHICLES, GUIDED MIS- SILES, BALLISTIC MISSILES, ROCKETS, TOR- CATEGORY I—FIREARMS PEDOES, BOMBS AND MINES (a) Rockets (including but not limited to (a) Nonautomatic and semiautomatic fire- meteorological and other sounding rockets), arms, to caliber .50 inclusive, combat shot- bombs, grenades, torpedoes, depth charges, guns, and shotguns with barrels less than 18 land and naval mines, as well as launchers inches in length, and all components and for such defense articles, and demolition parts for such firearms. blocks and blasting caps. (b) Automatic firearms and all components (b) Launch vehicles and missile and anti- and parts for such firearms to caliber .50 inclusive. missile systems including but not limited to guided, tactical and strategic missiles, (c) Insurgency-counterinsurgency type launchers, and systems. firearms of other weapons having a special military application (e.g. close assault weap- (c) Apparatus, devices, and materials for ons systems) regardless of caliber and all the handling, control, activation, moni- components and parts for such firearms. toring, detection, protection, discharge, or (d) Firearms silencers and suppressors, in- detonation of the articles in paragraphs (a) cluding flash suppressors. and (b) of this category. Articles in this cat- (e) Riflescopes manufactured to military egory include, but are not limited to, the fol- specifications and specifically designed or lowing: Fuses and components for the items modified components therefor. in this category, bomb racks and shackles, bomb shackle release units, bomb ejectors, NOTE: Rifles, carbines, revolvers, and pis- torpedo tubes, torpedo and guided missile tols, to caliber .50 inclusive, combat shot- boosters, guidance system equipment and guns, and shotguns with barrels less than 18 parts, launching racks and projectors, pistols inches in length are included under Category (exploders), igniters, fuze arming devices, I(a). Machineguns, submachineguns, machine intervalometers, guided missile launchers pistols and fully automatic rifles to caliber and specialized handling equipment, and .50 inclusive are included under Category hardened missile launching facilities. I(b). (d) Missile and space vehicle powerplants. CATEGORY II—ARTILLERY PROJECTORS (e) Military explosive excavating devices. (f) Ablative materials fabricated or semi- (a) Guns over caliber .50, howitzers, mor- fabricated from advanced composites (e.g., tars, and recoiless rifles. silica, graphite, carbon, carbon/carbon, and (b) Military flamethrowers and projectors. boron filaments) for the articles in this cat- (c) Components, parts, accessories, and at- egory that are derived directly from or spe- tachments for the articles in paragraphs (a) cifically developed or modified for defense and (b) of this category, including but not articles. limited to mounts and carriages for these ar- (g) Non/nuclear warheads for rockets and ticles. guided missiles. CATEGORY III—AMMUNITION (h) All specifically designed components or modified components, parts, accessories, at- (a) Ammunition for the arms in Categories tachments, and associated equipment for the I and II of this section. articles in this category. (b) Components, parts, accessories, and at- NOTE: Military demolition blocks and tachments for articles in paragraph (a) of blasting caps referred to in Category IV(a) do this category, including but not limited to not include the following articles: cartridge cases, powder bags, bullets, jack- ets, cores, shells (excluding shotgun shells), (a) Electric squibs. projectiles, boosters, fuzes and components (b) No. 6 and No. 8 blasting caps, including therefor, primers, and other detonating de- electric ones. vices for such ammunition. (c) Delay electric blasting caps (including (c) Ammunition belting and linking ma- No. 6 and No. 8 millisecond ones). chines. (d) Seismograph electric blasting caps (in- (d) Ammunition manufacturing machines cluding SSS, Static-Master, Vibrocap SR, and ammunition loading machines (except and SEISMO SR). handloading ones). (e) Oil well perforating devices.

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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, (a) Warships, amphibious warfare vessels, SDV, SWCL, SWCM). landing craft, mine warfare vessels, patrol (3) Mine Warfare Craft: vessels, auxiliary vessels and service craft, (i) Mine Countermeasures Craft (MSB, experimental types of naval ships and any MSD, MSI, MSM, MSR). vessels specifically designed or modified for (d) Support and Service Craft: military purposes. (1) Tugs (YTB, YTL, YTM) (b) Turrets and gun mounts, arresting gear, special weapons systems, protective systems, (2) Tankers (YO, YOG, YW) submarine storage batteries, catapults and (3) Lighters (YC, YCF, YCV, YF, YFN, other components, parts, attachments, and YFNB, YFNX, YFR, YFRN, YFU, YG, YGN, accessories specifically designed or modified YOGN, YON, YOS, YSR, YWN) for combatant vessels. (4) Floating Dry Docks (AFDB, AFDL, (c) Mine sweeping equipment, components, AFDM, ARD, ARDM, YFD) parts, attachments and accessories specifi- (5) Miscellaneous (APL, DSRV, DSV, IX, cally designed or modified therefor. NR, YAG, YD, YDT, YFB, YFND, YEP, (d) Harbor entrance detection devices YFRT, YHLC, YM, YNG, YP, YPD, YR, YRB, (magnetic, pressure, and acoustic ones) and YRBN, YRDH, YRDM, YRR, YRST, YSD). controls and components therefor. (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 developed or designed or modified for use in such (3) Icebreakers (WAGB) plants or facilities. (4) Oceanography Vessels (WAGO) (5) Special Vessels (WIX) NOTE: The term ‘‘vessels of war’’ includes, but is not limited to the following: (6) Buoy Tenders (WLB, WLM, WLI, WLR, (a) Combatant vessels: WLIC) (1) Warships (including nuclear-powered (7) Tugs (WYTM, WYTL) versions): (8) Light Ships (WLV). (i) Aircraft carriers (CV, CVN) (ii) Battleships (BB) CATEGORY VII—TANKS AND MILITARY VEHICLES (iii) Cruisers (CA, CG, CGN) (a) Military type armed or armored vehi- (iv) Destroyers (DD, DDG) cles, military railway trains, and vehicles (v) Frigates (FF, FFG) specifically designed or modified to accom- (vi) Submarines (SS, SSN, SSBN, SSG, modate mountings for arms or other special- SSAG). (2) Other Combatant Classifications: ized military equipment or fitted with such (i) Patrol Combatants (PC, PHM) items. (ii) Amphibious Helicopter/Landing Craft (b) Military tanks, combat engineer vehi- Carriers (LHA, LPD, LPH) cles, bridge launching vehicles, halftracks (iii) Amphibious Landing Craft Carriers and gun carriers. (LKA, LPA, LSD, LST) (c) Self-propelled guns and howitzers. (iv) Amphibious Command Ships (LCC) (d)–(e) [Reserved] (v) Mine Warfare Ships (MSO). (f) Amphibious vehicles. (b) Auxiliaries: (g) Engines specifically designed or modi- (1) Mobile Logistics Support: fied for the vehicles in paragraphs (a), (b), (i) Under way Replenishment (AD, AF, (c), and (f) of this category. AFS, AO, AOE, AOR) (h) All specifically designed or modified (ii) Material Support (AD, AR, AS). components and parts, accessories, attach- (2) Support Ships: ments, and associated equipment for the ar- (i) Fleet Support Ships (ARS, ASR, ATA, ticles in this category, including but not ATF, ATS) limited to military bridging and deep water (ii) Other Auxiliaries (AG, AGDS, AGF, fording kits. AGM, AGOR, AGOS, AGS, AH, AK, AKR, AOG, AOT, AP, APB, ARC, ARL, AVM, NOTE: An ‘‘amphibious vehicle’’ in Cat- AVT). egory VII(f) is an automotive vehicle or (c) Combatant Craft: chassis which embodies all-wheel drive, (1) Patrol Craft: which is equipped to meet special military (i) Coastal Patrol Combatants (PB, PCF, requirements, and which has sealed elec- PCH, PTF) trical systems and adaptation features for (ii) River, Roadstead Craft (ATC, PBR). deep water fording.

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CATEGORY VIII—AIRCRAFT AND ASSOCIATED action produces a powerful physiological ef- EQUIPMENT fect. The term ‘‘chemical agent’’ includes, but is not limited to, the following chemical (a) Aircraft, including but not limited to compounds: helicopters, non-expansive balloons, drones (a) Lung irritants: and lighter-than-air aircraft, which are spe- (1) Diphenylcyanoarsine (DC). cifically designed, modified, or equipped for (2) Fluorine (but not fluorene). military purposes. This includes but is not (3) Trichloronitro methane (chloropicrin limited to the following military purposes: PS). gunnery, bombing, rocket or missile launch- (b) Vesicants: ing, electronic and other surveillance, recon- (1) B-Chlorovinyldichloroarsine (Lewisite, naissance, refueling, aerial mapping, mili- L). tary liaison, cargo carrying or dropping, per- (2) Bis(dichlorethyl) sulphide (Mustard sonnel dropping, airborne warning and con- Gas, HD or H). trol, and military training. (3) Ethyldichloroarsine (ED). (b) [Reserved] (4) Methyldichloroarsine (MD). NOTE: In Category VIII, ‘‘aircraft’’ means (c) Lachrymators and tear gases: aircraft designed, modified, or equipped for a (1) A-Brombenzyl cyanide (BBC). military purpose, including aircraft de- (2) Chloroacetophenone (CN). scribed as ‘‘demilitarized.’’ All aircraft bear- (3) Dibromodimethyl ether. ing an original military designation are in- (4) Dichlorodimethyl ether (ClCi). cluded in Category VIII. However, the fol- (5) Ethyldibromoarsine. lowing aircraft are not so included so long as (6) Phenylcarbylamine chloride. they have not been specifically equipped, re- (7) Tear gas solutions (CNB and CNS). equipped, or modified for military oper- (8) Tear gas ations: orthochlorobenzalmalononitrile (CS). (a) Cargo aircraft bearing ‘‘C’’ designations (d) Sternutators and irritant smokes: and numbered C–45 through C–118 inclusive, (1) Diphenylamine chloroarsine (Adamsite, and C–121 through C–125 inclusive, and C–131, DM). using reciprocating engines only. (2) Diphenylchloroarsine (BA). (b) Trainer aircraft bearing ‘‘T’’ designa- (3) Liquid pepper. tions and using reciprocating engines or tur- (e) Nerve agents, gases, and aerosols. These boprop engines with less than 600 horsepower are toxic compounds which affect the nerv- (s.h.p.). ous system, such as: (c) Utility aircraft bearing ‘‘U’’ designa- (1) Dimethylaminoethoxycyanophosphine tions and using reciprocating engines only. oxide (GA). (d) All liaison aircraft bearing an ‘‘L’’ des- (2) Methylisopropoxyfluorophosphine oxide ignation. (GB). (e) All observation aircraft bearing ‘‘O’’ (3) Methylpinacolyloxyfluoriphosphine designations and using reciprocating en- oxide (GD). gines. (f) Antiplant chemicals, such as: Butyl 2- chloro-4-fluorophenoxyacetate (LNF). CATEGORIES IX–XIII [Reserved] CATEGORY XV [Reserved] CATEGORY XIV—TOXICOLOGICAL AGENTS AND EQUIPMENT AND RADIOLOGICAL EQUIPMENT CATEGORY XVI—NUCLEAR WEAPONS DESIGN AND (a) Chemical agents, including but not lim- TEST EQUIPMENT ited to lung irritants, vesicants, (a) Any article, material, equipment, or de- lachrymators, and tear gases (except tear vice, which is specifically designed or modi- gas formulations containing 1% or less CN or fied for use in the design, development, or CS), sternutators and irritant smoke, and fabrication of nuclear weapons or nuclear ex- nerve gases and incapacitating agents. plosive devices. (b) Biological agents. (b) Any article, material, equipment, or de- (c) Equipment for dissemination, detec- vice, which is specifically designed or modi- tion, and identification of, and defense fied for use in the devising, carrying out, or against, the articles in paragraphs (a) and (b) evaluating of nuclear weapons tests or any of this category. other nuclear explosions, except such items (d) Nuclear radiation detection and meas- as are in normal commercial use for other uring devices manufactured to military spec- purposes. ification. (e) Components, parts, accessories, attach- CATEGORY XVII–XIX [Reserved] ments, and associated equipment specifically designed or modified for the articles in para- CATEGORY XX—SUBMERSIBLE VESSELS, graphs (c) and (d) of this category. OCEANOGRAPHIC AND ASSOCIATED EQUIPMENT NOTE: A chemical agent in Category XIV(a) (a) Submersible vessels, manned and un- is a substance having military application manned, designed or modified for military which by its ordinary and direct chemical purposes or having independent capability to

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maneuver vertically or horizontally at CATEGORY III—AMMUNITION depths below 1,000 feet, or powered by nuclear propulsion plants. * * * * * (b) Submersible vessels, manned or un- manned, designed or modified in whole or in (c) [Reserved] part from technology developed by or for the (d) [Reserved] U.S. Armed Forces. (c) Any of the articles in Category VI and * * * * * elsewhere in this part specifically designed or modified for use with submersible vessels, CATEGORY IV—LAUNCH VEHICLES, and oceanographic or associated equipment GUIDED MISSILES, BALLISTIC MIS- assigned a military designation. SILES, ROCKETS, TORPEDOES, BOMBS (d) Equipment, components, parts, acces- AND MINES sories, and attachments specifically designed for any of the articles in paragraphs (a) and (b) of this category. * * * * * (f) [Reserved] CATEGORY XXI—MISCELLANEOUS ARTICLES Any defense article or defense service not specifically enumerated in the other cat- * * * * * egories of the USMIL that has substantial CATEGORY VI—VESSELS OF WAR AND military applicability and that has been spe- SPECIAL NAVAL EQUIPMENT cifically designed or modified for military purposes. The decision as to whether any ar- (a) Vessels of War, if they are armed and ticle may be included in this category shall equipped with offensive or defensive weapon be made by the Attorney General with the systems, including but not limited to am- concurrence of the Secretary of State and phibious warfare vessels, landing craft, mine the Secretary of Defense. warfare vessels, patrol vessels, auxiliary vessels, service craft, experimental types of [T.D. ATF–215, 50 FR 42158, Oct. 18, 1985; 50 naval ships, and any vessels specifically de- FR 46647, Nov. 12, 1985, as amended by T.D. signed or modified for military purposes or ATF–426, 65 FR 38197, June 20, 2000; T.D. other surface vessels equipped with offensive ATF–9F, 72 FR 72938, Dec. 26, 2007; ATF–50F, or defensive military systems. 78 FR 23677, Apr. 22, 2013] (b) Turrets and gun mounts, special weap- EFFECTIVE DATE NOTE: By ATF–25I 79 FR ons systems, protective systems, and other 17028, Mar. 27, 2014, § 447.21 was amended in components, parts, attachments, and acces- Category I, remove and reserve paragraph sories specifically designed or modified for (e), in Category III, remove and reserve para- such articles on combatant vessels. graphs (c) and (d), in Category IV, remove (c) [Reserved] and reserve paragraph (f), in Category VI, re- (d) [Reserved] vise paragraphs (a) and (b); remove and re- (e) * * * serve paragraphs (c) and (d), revise the intro- NOTE: The term ‘‘vessels of war’’ includes, ductory text of the ‘‘Note’’ after paragraph but is not limited to, the following, if armed (e), in Category VII, remove and reserve and equipped with offensive or defensive paragraph (g), revise paragraph (h), add a weapons systems:’’. new paragraph (i) after paragraph (h); revise the ‘‘Note’’ that now appears after the newly * * * * * inserted paragraph (i); and add a second ‘‘Note’’ and a third ‘‘Note’’ after the newly CATEGORY VII—TANKS AND MILITARY inserted paragraph (i), in Category XIV, re- VEHICLES move and reserve paragraphs (b), (d) and (e), revise paragraph (c), in Category XVI, re- * * * * * move and reserve paragraph (a); revise paragraph (b); and add a ‘‘Note’’ after paragraph (g) [Reserved] (b), effective Apr. 28, 2014. For the conven- (h) Tank and military vehicle parts, com- ience of the user, the added and revised text ponents, accessories, attachments, and asso- is set forth as follows: ciated equipment for offensive or defensive systems for the articles in this category, as § 447.21 The U.S. Munitions Import List. follows: (1) Armored hulls, armored turrets and tur- CATEGORY I—FIREARMS ret support rings; (2) Active protection systems (i.e., defen- * * * * * sive systems that actively detect and track incoming threats and launch a ballistic, ex- (e) [Reserved] plosive, energy or electromagnetic counter- measure(s) to neutralize the threat prior to * * * * * contact with a vehicle);

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(3) Composite armor parts and components; CATEGORY XVI—NUCLEAR WEAPONS (4) Spaced armor components and parts, in- DESIGN AND TEST EQUIPMENT cluding slat armor parts and components; (a) [Reserved] (5) Reactive armor and components; (b) Modeling or simulation tools that (6) Electromagnetic armor parts and com- model or simulate the environments gen- ponents, including pulsed power; erated by nuclear detonations or the effects (7) Gun mount, stabilization, turret drive, of these environments on systems, sub- and automatic elevating systems; systems, components, structures, or humans. (8) Kits specifically designed to convert a NOTE: Category XVI does not include vehicle in this category into either an un- equipment, technical data, or services con- manned or a driver-optional vehicle. For a trolled by the Department of Energy pursu- kit to be controlled by this paragraph it ant to the Atomic Energy Act of 1954, as must include all of the following: amended, and the Nuclear Non-Proliferation (i) Remote or autonomous steering; Act of 1978, as amended, or are government (ii) Acceleration and braking; and transfers authorized pursuant to these Acts. (iii) A control system; (9) Fire control computers, stored management systems, armaments control proc- * * * * * essors, vehicle weapon interface units and computers; § 447.22 Forgings, castings, and ma- (10) Electro-optical sighting systems; and chined bodies. (11) Laser rangefinder or target desig- Articles on the U.S. Munitions Im- nating devices. (i) Other ground vehicles having all of the port List include articles in a partially following: completed state (such as forgings, cast- (1) Manufactured or fitted with materials ings, extrusions, and machined bodies) or components to provide ballistic protec- which have reached a stage in manu- tion to level III (NIJ 0108.01, September 1985) facture where they are clearly identifi- or better; able as defense articles. If the end-item (2) A transmission to provide drive to both is an article on the U.S. Munitions Im- front and rear wheels simultaneously, including those vehicles having additional port List, (including components, ac- wheels for load bearing purposes whether cessories, attachments and parts) then driven or not; the particular forging, casting, extru- (3) Gross Vehicle Weight Rating (GVWR) sion, machined body, etc., is considered greater than 4,500 kg; and a defense article subject to the controls (4) Designed or modified for off-road use. of this part, except for such items as NOTE: An ‘‘amphibious vehicle’’ in Cat- are in normal commercial use. egory VII(f) is a vehicle or chassis that is equipped to meet special military require- [T.D. ATF–215, 50 FR 42160, Oct. 18, 1985] ments, and that is designed or adapted for operation on or under water, as well as on Subpart D—Registration land. NOTE: Engines and engine parts are not in- § 447.31 Registration requirement. cluded in paragraph (h) of Category VII. NOTE: Paragraph (i) of Category VII does Persons engaged in the business, in not apply to civil vehicles designed or modi- the United States, of importing arti- fied for transporting money or valuables. cles enumerated on the U.S. Munitions Import List must register by making * * * * * an application on ATF Form 4587. CATEGORY XIV—TOXICOLOGICAL [T.D. ATF–484, 67 FR 64526, Oct. 21, 2002] AGENTS AND EQUIPMENT AND RADIO- LOGICAL EQUIPMENT § 447.32 Application for registration and refund of fee. * * * * * (a) Application for registration must be filed on ATF Form 4587 and must be (b) [Reserved] (c) All specifically designed or modified accompanied by the registration fee at equipment, including components, parts, ac- the rate prescribed in this section. The cessories, and attachments for disseminating appropriate ATF officer will approve the articles in paragraph (a) of this category. the application and return the original (d) [Reserved] to the applicant. (e) [Reserved] (b) Registration may be effected for periods of from 1 to 5 years at the op- * * * * * tion of the registrant by identifying on

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Form 4587 the period of registration de- longer or shorter period in individual sired. The registration fees are as fol- cases as such officer deems necessary. lows: See § 478.129 of this chapter for articles 1 year ...... $250 subject to import control under part 2 years ...... 500 478 of this chapter. 3 years ...... 700 (Approved by the Office of Management and 4 years ...... 850 Budget under control number 1140–0032) 5 years ...... 1,000 [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as (c) Fees paid in advance for whole fu- amended by T.D. ATF–172, 49 FR 14941, Apr. ture years of a multiple year registra- 16, 1984; T.D. ATF–215, 50 FR 42161, Oct. 18, tion will be refunded upon request if 1985; T.D. ATF–426, 65 FR 38197, June 20, 2000; the registrant ceases to engage in im- T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; ATF– 11F, 73 FR 57240, Oct. 2, 2008] porting articles on the U.S. Munitions Import List. A request for a refund § 447.35 Forms prescribed. must be submitted to the appropriate (a) The appropriate ATF officer is au- ATF officer at the Bureau of Alcohol, thorized to prescribe all forms required Tobacco and Firearms, Martinsburg, by this part. All of the information WV 25405, prior to the beginning of any called for in each form shall be fur- year for which a refund is claimed. nished as indicated by the headings on (Approved by the Office of Management and the form and the instructions on or Budget under control number 1140–0009) pertaining to the form. In addition, in- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as formation called for in each form shall amended by T.D. ATF–215, 50 FR 42161, Oct. be furnished as required by this part. 18, 1985; T.D. ATF–484, 67 FR 64526, Oct. 21, The form will be filed in accordance 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008] with the instructions for the form. (b) Forms may be requested from the § 447.33 Notification of changes in in- ATF Distribution Center, P.O. Box formation furnished by registrants. 5950, Springfield, Virginia 22150–5950, or Registered persons shall notify the by accessing the ATF Web site http:// appropriate ATF officer in writing, in www.atf.gov/. duplicate, of significant changes in the [T.D. ATF–92, 46 FR 46914, Sept. 23, 1981, as information set forth in their registra- amended by T.D. ATF–249, 52 FR 5961, Feb. tion 27, 1987; T.D. ATF–426, 65 FR 38197, June 20, (Approved by the Office of Management and 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, 2002; Budget under control number 1140–0009) 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. Subpart E—Permits 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 cles subject to controls under 27 CFR of this chapter, a separate permit is Parts 478 and 479 shall maintain not necessary. records in accordance with the applica- (b) Articles on the U.S. Munitions ble provisions of those parts. Import List intended for the United (b) Registrants under this part en- States or any State or political sub- gaged in importing articles on the U.S. division thereof, or the District of Co- Munitions Import List subject to the lumbia, which are exempt from import permit procedures of subpart E of this controls of 27 CFR 478.115 shall not be part must maintain for a period of 6 imported into the United States, ex- years records bearing on such articles cept by the United States or agency imported, including records concerning thereof, without first obtaining a per- their acquisition and disposition, in- mit under this subpart. cluding Forms 6 and 6A. The appro- (c) A permit is not required for the priate ATF officer may prescribe a importation of—

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(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. (b) For additional requirements re- permit as provided in § 447.41 must file lating to the importation of plastic ex- a Form 6—Part I. The application must plosives into the United States on or be signed and dated and must contain after April 24, 1997, see § 555.183 of this the information requested on the form, title. including: (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; § 447.43 Terms of permit. (iv) A description of the defense article to be imported, including— (a) Import permits issued under this (A) The name and address of the subpart are valid for one year 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 (E) The length of barrel, if any (in unshipped balance. Such an application inches); shall make reference to the previous (F) The overall length, if a firearm permit and may include materials in (in inches); addition to the unshipped balance. (G) The serial number, if known; (c) No amendments or alteration of a (H) Whether the defense article is permit may be made, except by the ap- new or used; propriate ATF officer. (I) The quantity; [By T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as (J) The unit cost of the firearm, fire- amended by T.D. ATF–325, 57 FR 29787, July arm barrel, ammunition, or other de- 7, 1992; T.D. ATF–426, 65 FR 38197, June 20, fense article to be imported; 2000] (K) The category of U.S. Munitions EFFECTIVE DATE NOTE: By ATF–26F 79 FR Import List under which the article is 7396, Feb. 7, 2014, § 447.43(a) was amended by regulated; removing the phrase ‘‘one year’’ and adding

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in its place the phrase ‘‘two years’’, effective (2) The ATF Form 6A must contain Apr. 8, 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 may be denied, revoked, suspended or (ii) The name of the manufacturer of revised without prior notice whenever the defense article; the appropriate ATF officer finds the (iii) The country of manufacture; 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 30 days after receipt of an adverse deci- be reported any error or discrepancy sion, the applicant or permittee shall appearing on the Form 6A certified by be accorded an opportunity to present Customs and serial numbers if not pre- additional information and to have a viously provided on ATF Form 6A. 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 revoked permits must be returned imme- [T.D. ATF–215, 50 FR 42161, Oct. 18, 1985, as diately to the appropriate ATF officer. amended by T.D. ATF–426, 65 FR 38197, June 20, 2000; T.D. ATF–484, 67 FR 64526, Oct. 21, [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008] amended by T.D. ATF–215, 50 FR 42161, Oct. 18, 1985] § 447.46 Articles in transit. § 447.45 Importation. Articles subject to the import permit 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 released from Customs custody to the such articles which are temporarily person authorized to import same upon taken out of the United States for re- his showing that he has a permit for turn thereto shall be regarded as in the importation of the article or arti- transit and will be considered neither cles to be released. For articles in Cat- imported nor exported under this part. egories I and III imported by a reg- Such transactions are subject to the istered importer, the importer will also Intransit or Temporary Export License submit to Customs a copy of the export procedures of the Department of State license authorizing the export of the (see 22 CFR Part 123). article or articles from the exporting [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as country. If the exporting country does amended by T.D. ATF–215, 50 FR 42161, Oct. not require issuance of an export li- 18, 1985] cense, the importer must submit a certification, under penalty of perjury, to that effect. (1) In obtaining the release from Cus- toms custody of an article imported pursuant to a permit, the permit holder will prepare and file Form 6A according to its instructions.

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

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(V) Soviet Model 44 Carbine. shall explain, and certify to, how the (W) Soviet Model 91/30 Rifle. firearms meet the criteria. The certifi- (X) TOZ 18, .22 caliber Bolt Action cation statement will be prepared in Rifle. letter form, executed under the pen- (Y) TOZ 55. alties of perjury, and should be sub- (Z) TOZ 78. mitted with the application for an im- (AA) Ural Target Rifle, .22LR caliber. port permit. The certification state- (BB) VEPR Rifle. ment must be accompanied by docu- (CC) Winchester Model 1895, Russian mentary information on the country or Model Rifle; area of original manufacture and on (2) Ammunition located or manufac- the country or area of storage for the tured in Georgia, Kazakstan, five year period immediately prior to Kyrgyzstan, Moldova, Russian Federa- importation. Such information may, tion, Turkmenistan, Ukraine, or Uz- for example, include a verifiable state- bekistan, and ammunition previously ment in the English language of a gov- manufactured in the Soviet Union, ernment official or any other person that is 7.62×25mm caliber (also known having knowledge of the date and place as 7.63×25mm caliber or .30 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; T.D. ATF– by Category I(a) of the Import List 9F, 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. § 447.63 Seizure and forfeiture. The regulatory authorities of the Di- Whoever knowingly imports into the rector contained in this part are dele- United States contrary to law any arti- gated to appropriate ATF officers. cle on the U.S. Munitions Import List; These ATF officers are specified in or receives, conceals, buys, sells, or in ATF O 1130.34, Delegation of the Direc- any manner facilitates its transpor- tor’s Authorities in 27 CFR Part 447. tation, concealment, or sale after im- ATF delegation orders, such as ATF O portation, knowing the same to have 1130.34, are available to any interested been imported contrary to law, shall be party by mailing a request to the ATF fined not more than $10,000 or imprisoned not more than 5 years, or both; Distribution Center, PO Box 5950, and the merchandise so imported, or Springfield, VA 22150–5950, or by access- the value thereof shall be forfeited to ing the ATF Web site http:// the United States. www.atf.gov/. (18 U.S.C. 545) [T.D. ATF–484, 67 FR 64526, Oct. 21, 2002, as amended by ATF–11F, 73 FR 57240, Oct. 2, [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as 2008] amended by T.D. ATF–215, 50 FR 42162, Oct. 18, 1985]

Subpart G—Penalties, Seizures PART 478—COMMERCE IN and Forfeitures FIREARMS AND AMMUNITION § 447.61 Unlawful importation. Subpart A—Introduction Any person who willfully: (a) Imports articles on the U.S. Muni- Sec. tions Import List without a permit; 478.1 Scope of regulations. 478.2 Relation to other provisions of law. (b) Engages in the business of importing articles on the U.S. Munitions Im- Subpart B—Definitions port List without registering under this part; or 478.11 Meaning of terms. (c) Otherwise violates any provisions Subpart C—Administrative and of this part; Miscellaneous Provisions Shall upon conviction be fined not more than $1,000,000 or imprisoned not 478.21 Forms prescribed. 478.22 Alternate methods or procedures; more than 10 years, or both. emergency variations from require- [T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as ments. amended at 39 FR 4760, Feb. 7, 1974; T.D. 478.23 Right of entry and examination. ATF–215, 50 FR 42162, Oct. 18, 1985; T.D. ATF– 478.24 Compilation of State laws and pub- 287, 54 FR 13681, Apr. 5, 1989] lished ordinances. 478.25 Disclosure of information. § 447.62 False statements or conceal- 478.25a Responses to requests for informa- ment of facts. tion. 478.26 Curio and relic determination. Any person who willfully, in a reg- 478.27 Destructive device determination. istration or permit application, makes 478.28 Transportation of destructive devices any untrue statement of a material and certain firearms. fact or fails to state a material fact re- 478.29 Out-of-State acquisition of firearms quired to be stated therein or nec- by nonlicensees. 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 car- both. rier. 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.

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478.34 Removed, obliterated, or altered se- 478.98 Sales or deliveries of destructive de- rial number. vices and certain firearms. 478.35 Skeet, trap, target, and similar 478.99 Certain prohibited sales or deliveries. shooting activities. 478.100 Conduct of business away from li- 478.36 Transfer or possession of machine censed premises. guns. 478.101 Record of transactions. 478.37 Manufacture, importation and sale of 478.102 Sales or deliveries of firearms on and armor piercing ammunition. after November 30, 1998. 478.38 Transportation of firearms. 478.103 Posting of signs and written notifi- 478.39 Assembly of semiautomatic rifles or cation to purchasers of handguns. shotguns. 478.39a Reporting theft or loss of firearms. Subpart G—Importation 478.40 Manufacture, transfer, and possession of semiautomatic assault weapons. 478.111 General. 478.40a Transfer and possession of large ca- 478.112 Importation by a licensed importer. pacity ammunition feeding devices. 478.113 Importation by other licensees. 478.113a Importation of firearm barrels by Subpart D—Licenses nonlicensees. 478.114 Importation by members of the U.S. 478.41 General. Armed Forces. 478.42 License fees. 478.115 Exempt importation. 478.43 License fee not refundable. 478.116 Conditional importation. 478.44 Original license. 478.117 Function outside a customs terri- 478.45 Renewal of license. tory. 478.46 Insufficient fee. 478.118 Importation of certain firearms clas- 478.47 Issuance of license. sified as curios and relics. 478.48 Correction of error on license. 478.119 Importation of ammunition feeding 478.49 Duration of license. devices. 478.50 Locations covered by license. 478.120 Firearms or ammunition imported 478.51 License not transferable. by or for a nonimmigrant alien. 478.52 Change of address. 478.53 Change in trade name. 478.54 Change of control. Subpart H—Records 478.55 Continuing partnerships. 478.121 General. 478.56 Right of succession by certain per- 478.122 Records maintained by importers. sons. 478.123 Records maintained by manufactur- 478.57 Discontinuance of business. ers. 478.58 State or other law. 478.124 Firearms transaction record. 478.59 Abandoned application. 478.124a Firearms transaction record in lieu 478.60 Certain continuances of business. of record of receipt and disposition. 478.125 Record of receipt and disposition. Subpart E—License Proceedings 478.125a Personal firearms collection. 478.71 Denial of an application for license. 478.126 Furnishing transaction information. 478.72 Hearing after application denial. 478.126a Reporting multiple sales or other 478.73 Notice of revocation, suspension, or disposition of pistols and revolvers. imposition of civil fine. 478.127 Discontinuance of business. 478.74 Request for hearing after notice of 478.128 False statement or representation. suspension, revocation, or imposition of 478.129 Record retention. civil fine. 478.131 Firearms transactions not subject to 478.75 Service on applicant or licensee. a NICS check. 478.76 Representation at a hearing. 478.132 Dispositions of semiautomatic as- 478.77 Designated place of hearing. sault weapons and large capacity ammu- 478.78 Operations by licensee after notice. nition feeding devices to law enforcement officers for official use and to em- Subpart F—Conduct of Business ployees or contractors of nuclear facilities. 478.91 Posting of license. 478.133 Records of transactions in semiauto- 478.92 How must licensed manufacturers matic assault weapons. and licensed importers identify firearms, 478.134 Sale of firearms to law enforcement armor piercing ammunition, and large officers. capacity ammunition feeding devices? 478.93 Authorized operations by a licensed Subpart I—Exemptions, Seizures, and collector. Forfeitures 478.94 Sales or deliveries between licensees. 478.95 Certified copy of license. 478.141 General. 478.96 Out-of-State and mail order sales. 478.142 Effect of pardons and expunctions of 478.97 Loan or rental of firearms. convictions.

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478.143 Relief from disabilities incurred by (1) The interstate or foreign com- indictment. merce in firearms and ammunition; 478.144 Relief from disabilities under the (2) The licensing of manufacturers Act. and importers of firearms and ammuni- 478.145 Research organizations. tion, collectors of firearms, and dealers 478.146 Deliveries by mail to certain persons. in firearms; 478.147 Return of firearm. (3) The conduct of business or activ- 478.148 Armor piercing ammunition in- ity by licensees; tended for sporting or industrial pur- (4) The importation of firearms and poses. ammunition; 478.149 Armor piercing ammunition manu- (5) The records and reports required factured or imported for the purpose of of licensees; testing or experimentation. (6) Relief from disabilities under this 478.150 Alternative to NICS in certain geo- part; graphical locations. (7) Exempt interstate and foreign 478.151 Semiautomatic rifles or shotguns for testing or experimentation. commerce in firearms and ammuni- 478.152 Seizure and forfeiture. tion; and 478.153 Semiautomatic assault weapons and (8) Restrictions on armor piercing large capacity ammunition feeding de- ammunition. vices manufactured or imported for the [T.D. ATF–270, 53 FR 10490, Mar. 31, 1988, as purposes of testing or experimentation. amended by T.D. ATF–354, 59 FR 7112, Feb. Subpart J Reserved 14, 1994; T.D. ATF–363, 60 FR 17450, Apr. 6, [ ] 1995; T.D. ATF–401, 63 FR 35522, June 30, 1998; T.D. ATF–471, 67 FR 5425, Feb. 5, 2002] Subpart K—Exportation 478.171 Exportation. § 478.2 Relation to other provisions of law. AUTHORITY: 5 U.S.C. 552(a); 18 U.S.C. 847, 921–931; 44 U.S.C. 3504(h). The provisions in this part are in addition to, and are not in lieu of, any SOURCE: 33 FR 18555, Dec. 14, 1968, unless other provision of law, or regulations, otherwise noted. Redesignated at 40 FR 16835, respecting commerce in firearms or Apr. 15, 1975, and further redesignated by T.D. ATF–487, 68 FR 3750, Jan. 24, 2003. ammunition. For regulations applicable to traffic in machine guns, destruc- EDITORIAL NOTE: Nomenclature changes to tive devices, and certain other fire- part 478 appear by T.D. ATF–411, 64 FR 17291, arms, see Part 479 of this chapter. For Apr. 9, 1999, and T.D. ATF–487, 68 FR 3750, statutes applicable to the registration Jan. 24, 2003, and ATF–11F, 73 FR 57240–57242, Oct. 2, 2008. and licensing of persons engaged in the business of manufacturing, importing or exporting arms, ammunition, or im- Subpart A—Introduction plements of war, see section 38 of the Arms Export Control Act (22 U.S.C. § 478.1 Scope of regulations. 2778) and regulations thereunder and (a) General. The regulations con- Part 447 of this chapter. For statutes tained in this part relate to commerce applicable to nonmailable firearms, see in firearms and ammunition and are 18 U.S.C. 1715 and regulations there- promulgated to implement Title I, under. State Firearms Control Assistance (18 U.S.C. Chapter 44), of the Gun Control [T.D. ATF–270, 53 FR 10490, Mar. 31, 1988] Act of 1968 (82 Stat. 1213) as amended by Pub. L. 99–308 (100 Stat. 449), Pub. L. Subpart B—Definitions 99–360 (100 Stat. 766), Pub. L. 99–408 (100 Stat. 920), Pub. L. 103–159 (107 Stat. § 478.11 Meaning of terms. 1536), Pub. L. 103–322 (108 Stat. 1796), When used in this part and in forms Pub. L. 104–208 (110 Stat. 3009), and Pub. prescribed under this part, where not L. 105–277 (112 Stat. 2681). otherwise distinctly expressed or mani- (b) Procedural and substantive require- festly incompatible with the intent ments. This part contains the proce- thereof, terms shall have the meanings dural and substantive requirements ascribed in this section. Words in the relative to: plural form shall include the singular,

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and vice versa, and words importing immigrant category in which he or she the masculine gender shall include the was admitted; feminine. The terms ‘‘includes’’ and (c) Paroled under INA section ‘‘including’’ do not exclude other 212(d)(5) whose authorized period of pa- things not enumerated which are in the role has expired or whose parole status same general class or are otherwise has been terminated; or within the scope thereof. (d) Under an order of deportation, ex- Act. 18 U.S.C. Chapter 44. clusion, or removal, or under an order Adjudicated as a mental defective. (a) A to depart the United States volun- determination by a court, board, com- tarily, whether or not he or she has left mission, or other lawful authority that the United States. a person, as a result of marked sub- Ammunition. Ammunition or car- normal intelligence, or mental illness, tridge cases, primers, bullets, or pro- incompetency, condition, or disease: pellent powder designed for use in any (1) Is a danger to himself or to oth- firearm other than an antique firearm. ers; or The term shall not include (a) any (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 reason of lack of mental responsibility cluding any firearm with a matchlock, pursuant to articles 50a and 72b of the flintlock, percussion cap, or similar Uniform Code of Military Justice, 10 type of ignition system) manufactured U.S.C. 850a, 876b. in or before 1898; and (b) any replica of Admitted to the United States for lawful any firearm described in paragraph (a) hunting or sporting purposes. (a) Is en- of this definition if such replica (1) is tering the United States to participate not designed or redesigned for using in a competitive target shooting event rimfire or conventional centerfire fixed sponsored by a national, State, or local ammunition, or (2) uses rimfire or con- organization, devoted to the competi- ventional centerfire fixed ammunition tive use or other sporting use of fire- which is no longer manufactured in the arms; or United States and which is not readily (b) Is entering the United States to available in the ordinary channels of display firearms at a sports or hunting commercial trade. trade show sponsored by a national, Armor piercing ammunition. Projec- State, or local firearms trade organiza- tiles or projectile cores which may be tion, devoted to the competitive use or used in a handgun and which are con- other sporting use of firearms. structed entirely (excluding the pres- Alien. Any person not a citizen or na- ence of traces of other substances) tional of the United States. from one or a combination of tungsten Alien illegally or unlawfully in the alloys, steel, iron, brass, bronze, beryl- United States. Aliens who are unlaw- lium copper, or depleted uranium; or fully in the United States are not in full jacketed projectiles larger than .22 valid immigrant, nonimmigrant or pa- caliber designed and intended for use in role status. The term includes any a handgun and whose jacket has a alien— weight of more than 25 percent of the (a) Who unlawfully entered the total weight of the projectile. The term United States without inspection and does not include shotgun shot required authorization by an immigration offi- by Federal or State environmental or cer and who has not been paroled into game regulations for hunting purposes, the United States under section frangible projectiles designed for tar- 212(d)(5) of the Immigration and Na- get shooting, projectiles which the Di- tionality Act (INA); rector finds are primarily intended to (b) Who is a nonimmigrant and whose be used for sporting purposes, or any authorized period of stay has expired or other projectiles or projectile cores who has violated the terms of the non- which the Director finds are intended

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to be used for industrial purposes, in- erages, or tobacco, as those terms are cluding charges used in oil and gas well defined or used in Subtitle E of the In- perforating devices. ternal Revenue Code of 1986, as amend- ATF officer. An officer or employee of ed. the Bureau of Alcohol, Tobacco and Crime punishable by imprisonment for a Firearms (ATF) authorized to perform term exceeding 1 year. Any Federal, any function relating to the adminis- State or foreign offense for which the tration or enforcement of this part. maximum penalty, whether or not im- Business premises. The property on posed, is capital punishment or impris- which the manufacturing or importing onment in excess of 1 year. The term of firearms or ammunition or the deal- shall not include (a) any Federal or ing in firearms is or will be conducted. State offenses pertaining to antitrust A private dwelling, no part of which is violations, unfair trade practices, re- open to the public, shall not be recog- straints of trade, or other similar of- nized as coming within the meaning of fenses relating to the regulation of the term. business practices or (b) any State of- 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 institu- (b) Firearms which are certified by tion. the curator of a municipal, State, or Controlled substance. A drug or other Federal museum which exhibits fire- substance, or immediate precursor, as arms to be curios or relics of museum defined in section 102 of the Controlled interest; and Substances Act, 21 U.S.C. 802. The term (c) Any other firearms which derive a includes, but is not limited to, mari- substantial part of their monetary juana, depressants, stimulants, and value from the fact that they are narcotic drugs. The term does not in- novel, rare, bizarre, or because of their clude distilled spirits, wine, malt bev- association with some historical figure,

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

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(d) Gunsmith. A person who devotes minishing the report of a portable fire- time, attention, and labor to engaging arm, including any combination of in such activity as a regular course of parts, designed or redesigned, and in- trade or business with the principal ob- tended for use in assembling or fabri- jective of livelihood and profit, but cating a firearm silencer or firearm such a term shall not include a person muffler, and any part intended only for who makes occasional repairs of fire- use in such assembly or fabrication. arms or who occasionally fits special Friendly foreign government. Any gov- barrels, stocks, or trigger mechanisms ernment with whom the United States to firearms; has diplomatic relations and whom the (e) Importer of firearms. A person who United States has not identified as a devotes time, attention, and labor to State sponsor of terrorism. importing firearms as a regular course Fugitive from justice. Any person who of trade or business with the principal has fled from any State to avoid pros- objective of livelihood and profit ecution for a felony or a misdemeanor; 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 of the ammunition imported. Handgun. (a) Any firearm which has Executed under penalties of perjury. a short stock and is designed to be held Signed with the prescribed declaration and fired by the use of a single hand; under the penalties of perjury as pro- and vided on or with respect to the return (b) Any combination of parts from form, or other document or, where no which a firearm described in paragraph form of declaration is prescribed, with (a) can be assembled. the declaration: Hunting license or permit lawfully 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, statement, application, request, certificate), which is valid and unexpired. including the documents submitted in sup- Identification document. A document port thereof, has been examined by me and, containing the name, residence ad- to the best of my knowledge and belief, is dress, date of birth, and photograph of true, correct, and complete.’’ the holder and which was made or Federal Firearms Act. 15 U.S.C. Chap- issued by or under the authority of the ter 18. United States Government, a State, po- Firearm. Any weapon, including a litical subdivision of a State, a foreign starter gun, which will or is designed government, political subdivision of a to or may readily be converted to expel foreign government, an international a projectile by the action of an explo- governmental or an international sive; the frame or receiver of any such quasi- governmental organization weapon; any firearm muffler or firearm which, when completed with informa- silencer; or any destructive device; but tion concerning a particular indi- the term shall not include an antique vidual, is of a type intended or com- firearm. In the case of a licensed col- monly accepted for the purpose of iden- lector, the term shall mean only curios tification of individuals. and relics. Importation. The bringing of a firearm Firearm frame or receiver. That part of or ammunition into the United States; a firearm which provides housing for except that the bringing of a firearm or the hammer, bolt or breechblock, and ammunition from outside the United firing mechanism, and which is usually States into a foreign-trade zone for threaded at its forward portion to re- storage pending shipment to a foreign ceive the barrel. country or subsequent importation Firearm muffler or firearm silencer. Any into this country, pursuant to this device for silencing, muffling, or di- part, shall not be deemed importation.

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

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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 barrel solidly to the frame. Certain un- (3) In the case of a prosecution for usual firearms require other methods which a person was entitled to a jury to render the firearm permanently in- trial in the jurisdiction in which the operable. Contact ATF for instruc- case was tried, either tions. (i) The case was tried by a jury, or Person. Any individual, corporation, (ii) The person knowingly and intel- company, association, firm, partner- ligently waived the right to have the ship, society, or joint stock company. case tried by a jury, by guilty plea or Pistol. A weapon originally designed, otherwise. made, and intended to fire a projectile (c) A person shall not be considered (bullet) from one or more barrels when to have been convicted of such an of- held in one hand, and having (a) a fense for purposes of this part if the chamber(s) as an integral part(s) of, or conviction has been expunged or set permanently aligned with, the bore(s); aside, or is an offense for which the and (b) a short stock designed to be person has been pardoned or has had gripped by one hand and at an angle to civil rights restored (if the law of the and extending below the line of the jurisdiction in which the proceedings bore(s). were held provides for the loss of civil Principal objective of livelihood and rights upon conviction for such an of- profit. The intent underlying the sale fense) unless the pardon, expunction, or disposition of firearms is predomi- or restoration of civil rights expressly nantly one of obtaining livelihood and provides that the person may not ship, pecuniary gain, as opposed to other in- transport, possess, or receive firearms, tents such as improving or liquidating and the person is not otherwise prohib- a personal firearms collection: Pro- ited by the law of the jurisdiction in vided, That proof of profit shall not be which the proceedings were held from required as to a person who engages in receiving or possessing any firearms. the regular and repetitive purchase and National Firearms Act. 26 U.S.C. Chap- disposition of firearms for criminal ter 53. purposes or terrorism. For purposes of NICS. The National Instant Criminal this part, the term ‘‘terrorism’’ means Background Check System established activity, directed against United by the Attorney General pursuant to 18 States persons, which— U.S.C. 922(t). (a) Is committed by an individual Nonimmigrant alien. An alien in the who is not a national or permanent United States in a nonimmigrant clas- resident alien of the United States; sification as defined by section (b) Involves violent acts or acts dan- 101(a)(15) of the Immigration and Na- gerous to human life which would be a tionality Act (8 U.S.C. 1101(a)(15)). criminal violation if committed within

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the jurisdiction of the United States; (3) Beretta Ar70 (SC–70), and (4) Colt AR–15, (c) Is intended— (5) Fabrique National FN/FAL, FN/ (1) To intimidate or coerce a civilian LAR, and FNC, population; (6) SWD M–10, M–11, M–11/9, and M–12, (2) To influence the policy of a gov- (7) Steyr AUG, ernment by intimidation or coercion; (8) INTRATEC TEC–9, TEC-DC9 and or TEC-22, and (3) To affect the conduct of a govern- (9) Revolving cylinder shotguns, such ment by assassination or kidnapping. as (or similar to) the Street Sweeper Published ordinance. A published law and Striker 12; of any political subdivision of a State (b) A semiautomatic rifle that has an which the Director determines to be ability to accept a detachable maga- relevant to the enforcement of this zine and has at least 2 of— part and which is contained on a list (1) A folding or telescoping stock, compiled by the Director, which list is (2) A pistol grip that protrudes con- incorporated by reference in the FED- spicuously beneath the action of the ERAL REGISTER, revised annually, and weapon, furnished to licensees under this part. (3) A bayonet mount, Renounced U.S. citizenship. (a) A per- (4) A flash suppressor or threaded son has renounced his U.S. citizenship barrel designed to accommodate a flash if the person, having been a citizen of suppressor, and the United States, has renounced citi- (5) A grenade launcher; zenship either— (c) A semiautomatic pistol that has (1) Before a diplomatic or consular an ability to accept a detachable maga- officer of the United States in a foreign zine and has at least 2 of— state pursuant to 8 U.S.C. 1481(a)(5); or (1) An ammunition magazine that at- (2) Before an officer designated by taches to the pistol outside of the pis- the Attorney General when the United tol grip, States is in a state of war pursuant to (2) A threaded barrel capable of ac- 8 U.S.C. 1481(a)(6). cepting a barrel extender, flash sup- (b) The term shall not include any re- pressor, forward handgrip, or silencer, nunciation of citizenship that has been (3) A shroud that is attached to, or reversed as a result of administrative partially or completely encircles, the or judicial appeal. 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 (1) Norinco, Mitchell, and Poly Tech- energy of a firing cartridge to extract nologies Avtomat Kalashnikovs (all the fired cartridge case and chamber models), the next round, and which requires a (2) Action Arms Israeli Military In- separate pull of the trigger to fire each dustries UZI and Galil, cartridge.

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Semiautomatic rifle. Any repeating come a resident of State Y by reason of such rifle which utilizes a portion of the en- trip. ergy of a firing cartridge to extract the Example 2. A maintains a home in State X 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 energy of a firing cartridge to extract a resident of State Y. 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 or more barrels less than 16 inches in length of the vacation. 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 resi- having one or more barrels less than 18 dent of State X. inches in length, and any weapon made Unlawful user of or addicted to any from a shotgun, whether by alteration, controlled substance. A person who uses modification, or otherwise, if such a controlled substance and has lost the weapon as modified has an overall power of self-control with reference to length of less than 26 inches. the use of controlled substance; and 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 following are examples that illustrate use a controlled substance unlawfully, this definition: provided that the test was adminis- Example 1. A maintains a home in State X. tered within the past year. For a cur- A travels to State Y on a hunting, fishing, rent or former member of the Armed business, or other type of trip. A does not be- Forces, an inference of current use may

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be drawn from recent disciplinary or to stated conditions, when it is found other administrative action based on that: confirmed drug use, e.g., court-martial (1) Good cause is shown for the use of conviction, nonjudicial punishment, or the alternate method or procedure; an administrative discharge based on (2) The alternate method or proce- drug use or drug rehabilitation failure. dure is within the purpose of, and con- Unserviceable firearm. A firearm which sistent with the effect intended by, the is incapable of discharging a shot by specifically prescribed method or pro- means of an explosive and is incapable cedure and that the alternate method of being readily restored to a firing or procedure is substantially equiva- condition. lent to that specifically prescribed U.S.C. The United States Code. method or procedure; and (3) The alternate method or proce- (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. dure will not be contrary to any provi- 1226)) sion of law and will not result in an increase in cost to the Government or [T.D. ATF–48, 43 FR 13536, Mar. 31 1978; 44 FR hinder the effective administration of 55842, Sept. 28, 1979] this part. Where the licensee desires to EDITORIAL NOTE: For FEDERAL REGISTER ci- employ an alternate method or proce- tations affecting § 478.11, see the List of CFR dure, a written application shall be Sections Affected, which appears in the submitted to the appropriate Director Finding Aids section of the printed volume and at www.fdsys.gov. of Industry Operations, for transmittal to the Director. The application shall specifically describe the proposed al- Subpart C—Administrative and ternate method or procedure and shall Miscellaneous Provisions set forth the reasons for it. Alternate methods or procedures may not be em- § 478.21 Forms prescribed. ployed until the application is ap- (a) The Director is authorized to pre- proved by the Director. The licensee scribe all forms required by this part. shall, during the period of authoriza- All of the information called for in tion of an alternate method or proce- each form shall be furnished as indi- dure, comply with the terms of the ap- cated by the headings on the form and proved application. Authorization of the instructions on or pertaining to the any alternate method or procedure form. In addition, information called may be withdrawn whenever, in the for in each form shall be furnished as judgment of the Director, the effective required by this part. administration of this part is hindered (b) Requests for forms should be by the continuation of the authoriza- mailed to the ATF Distribution Center, tion. 7664 K Fullerton Road, Springfield, Vir- (b) Emergency variations from require- ginia 22150. ments. The Director may approve a (5 U.S.C. 552(a); 80 Stat. 383, as amended) method of operation other than as specified in this part, where it is found [T.D. ATF–92, 46 FR 46915, Sept. 23, 1981, as that an emergency exists and the pro- amended by T.D. ATF–249, 52 FR 5962, Feb. 27, 1987; T.D. ATF–270, 53 FR 10492, Mar. 31, posed variation from the specified re- 1988; T.D. 372, 61 FR 20724, May 8, 1996; ATF– quirements are necessary and the pro- 11F, 73 FR 57240, Oct. 2, 2008] 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 the Director as provided in this para- set forth in the approval of the applica- graph, may use an alternate method or tion. Failure to comply in good faith procedure in lieu of a method or proce- with the procedures, conditions, and dure specifically prescribed in this limitations shall automatically termi- part. The Director may approve an al- nate the authority for the variations, ternate method or procedure, subject and the licensee shall fully comply

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with the prescribed requirements of before a Federal magistrate or obtain- regulations from which the variations ing from the magistrate a warrant au- were authorized. Authority for any thorizing entry, may enter during busi- variation may be withdrawn whenever, ness hours the premises, including in the judgment of the Director, the ef- places of storage, of any licensed man- fective administration of this part is ufacturer, licensed importer, or li- hindered by the continuation of the censed dealer for the purpose of in- variation. Where the licensee desires to specting or examining the records, doc- employ an emergency variation, a writ- uments, ammunition and firearms reten application shall be submitted to ferred to in paragraph (a) of this sec- the appropriate Director of Industry tion: Operations for transmittal to the Di- (1) In the course of a reasonable in- rector. The application shall describe quiry during the course of a criminal the proposed variation and set forth investigation of a person or persons the reasons for it. Variations may not other than the licensee, be employed until the application is (2) For insuring compliance with the approved. recordkeeping requirements of this (c) Retention of approved variations. part: The licensee shall retain, as part of the 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 § 478.23 Right of entry and examina- (3) When such inspection or examination. tion may be required for determining (a) Except as provided in paragraph the disposition of one or more par- (b), any ATF officer, when there is rea- ticular firearms in the course of a bona sonable cause to believe a violation of fide criminal investigation. the Act has occurred and that evidence (c) Any ATF officer, without having of the violation may be found on the reasonable cause to believe a violation premises of any licensed manufacturer, of the Act has occurred or that evi- licensed importer, licensed dealer, or dence of the violation may be found licensed collector, may, upon dem- and without demonstrating such cause onstrating such cause before a Federal before a Federal magistrate or obtain- magistrate and obtaining from the ing from the magistrate a warrant au- magistrate a warrant authorizing thorizing entry, may enter during entry, enter during business hours (or, hours of operation the premises, in- in the case of a licensed collector, the cluding places of storage, of any li- hours of operation) the premises, in- censed collector for the purpose of including places of storage, of any such specting or examining the records, doc- licensee for the purpose of inspecting uments, firearms, and ammunition re- or examining: ferred to in paragraph (a) of this sec- (1) Any records or documents re- tion (1) for ensuring compliance with quired to be kept by such licensee the recordkeeping requirements of this under this part and part not more than once during any 12- (2) Any inventory of firearms or am- month period or (2) when such inspec- munition kept or stored by any li- tion or examination may be required censed manufacturer, licensed im- for determining the disposition of one porter, or licensed dealer at such prem- or more particular firearms in the ises or any firearms curios or relics or course of a bona fide criminal inves- ammunition kept or stored by any li- tigation. At the election of the licensed censed collector at such premises. collector, the annual inspection per- (b) Any ATF officer, without having mitted by this paragraph shall be per- reasonable cause to believe a violation formed at the ATF office responsible of the Act has occurred or that evi- for conducting such inspection in clos- dence of the violation may be found est proximity to the collectors prem- and without demonstrating such cause ises.

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(d) The inspections and examinations ing firearms or ammunition who have provided by this section do not author- purchased or received firearms or am- ize an ATF officer to seize any records munition, together with a description or documents other than those records of such firearms or ammunition. Upon or documents constituting material the request of any Federal, State or evidence of a violation of law. If an local law enforcement agency, the Di- ATF officer seizes such records or doc- rector of Industry Operations may pro- uments, copies shall be provided the li- vide such agency any information con- censee within a reasonable time. tained in the records required to be [T.D. ATF–270, 53 FR 10492, Mar. 31, 1988; as maintained by the Act or this part. amended by T.D. ATF–363, 60 FR 17450, Apr. 6, 1995] [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988]

§ 478.24 Compilation of State laws and § 478.25a Responses to requests for in- published ordinances. formation. (a) The Director shall annually revise Each licensee shall respond imme- and furnish Federal firearms licensees diately to, and in no event later than with a compilation of State laws and 24 hours after the receipt of, a request published ordinances which are rel- by an ATF officer at the National evant to the enforcement of this part. Tracing Center for information con- The Director annually revises the com- tained in the records required to be pilation and publishes it as ‘‘State kept by this part for determining the Laws and Published Ordinances—Fire- disposition of one or more firearms in arms’’ which is furnished free of charge to licensees under this part. Where the the course of a bona fide criminal in- compilation has previously been fur- vestigation. The requested information nished to licensees, the Director need shall be provided orally to the ATF of- only furnish amendments of the rel- ficer within the 24-hour period. evant laws and ordinances to such li- Verification of the identity and em- censees. ployment of National Tracing Center (b) ‘‘State Laws and Published Ordi- personnel requesting information may nances—Firearms’’ is incorporated by be established at the time the re- reference in this part. It is ATF Publi- quested information is provided by cation 5300.5, revised yearly. The cur- telephoning the toll-free number 1–800– rent edition is available from the Su- 788–7132 or using the toll-free facsimile perintendent of Documents, U.S. Gov- (FAX) number 1–800–788–7133. ernment Printing Office, Washington, 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/ federallregister/ § 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 at 69 FR 18803, Apr. 9, 2004] such request shall be executed under the penalties of perjury and shall con- § 478.25 Disclosure of information. tain a complete and accurate descrip- The Director of Industry Operations tion of the firearm, and such photo- may make available to any Federal, graphs, diagrams, or drawings as may State or local law enforcement agency be necessary to enable the Director to any information which is obtained by make a determination. The Director reason of the provisions of the Act with respect to the identification of persons may require the submission of the fire- prohibited from purchasing or receiv- arm for examination and evaluation. If

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the submission of the firearm is im- (2) A statement whether such trans- practical, the person requesting the deportation involves a transfer of title; termination shall so advise the Direc- (3) The need for such transportation; tor and designate the place where the (4) The approximate date such trans- firearm will be available for examina- portation is to take place; tion and evaluation. (5) The present location of such de- [T.D. ATF–270, 53 FR 10493, Mar. 31, 1988] vice or weapon and the place to which it is to be transported; § 478.27 Destructive device determina- (6) The mode of transportation to be tion. used (including, if by common or con- The Director shall determine in ac- tract carrier, the name and address of cordance with 18 U.S.C. 921(a)(4) wheth- such carrier); and er a device is excluded from the defini- (7) Evidence that the transportation tion of a destructive device. A person or possession of such device or weapon who desires to obtain a determination is not inconsistent with the laws at the under that provision of law for any de- place of destination. vice which he believes is not likely to (b) No person shall transport any de- be used as a weapon shall submit a structive device, machine gun, short- written request, in triplicate, for a rul- barreled shotgun, or short-barreled ing thereon to the Director. Each such rifle in interstate or foreign commerce request shall be executed under the under the provisions of this section penalties of perjury and contain a com- until he has received specific author- plete and accurate description of the ization so to do from the Director. Au- device, the name and address of the thorization granted under this section manufacturer or importer thereof, the does not carry or import relief from purpose of and use for which it is in- any other statutory or regulatory pro- tended, and such photographs, dia- vision relating to firearms. grams, or drawings as may be nec- (c) This section shall not be con- essary to enable the Director to make strued as requiring licensees to obtain his determination. The Director may authorization to transport destructive require the submission to him, of a devices, machine guns, short-barreled sample of such device for examination shotguns, and short-barreled rifles in and evaluation. If the submission of interstate or foreign commerce: Pro- such device is impracticable, the per- vided, That in the case of a licensed im- son requesting the ruling shall so ad- porter, licensed manufacturer, or li- vise the Director and designate the censed dealer, such a licensee is quali- place where the device will be available fied under the National Firearms Act for examination and evaluation. (see also Part 479 of this chapter) and this part to engage in the business with § 478.28 Transportation of destructive respect to the device or weapon to be devices and certain firearms. transported, and that in the case of a (a) The Director may authorize a per- licensed collector, the device or weap- son to transport in interstate or for- on to be transported is a curio or relic. eign commerce any destructive device, [33 FR 18555, Dec. 14, 1968. Redesignated at 40 machine gun, short-barreled shotgun, FR 16385, Apr. 15, 1975, and amended by T.D. or short-barreled rifle, if he finds that ATF–138, 48 FR 35399, Aug. 4, 1983] such transportation is reasonably necessary and is consistent with public § 478.29 Out-of-State acquisition of safety and applicable State and local firearms by nonlicensees. law. A person who desires to transport No person, other than a licensed im- in interstate or foreign commerce any porter, licensed manufacturer, licensed such device or weapon shall submit a dealer, or licensed collector, shall written request so to do, in duplicate, transport into or receive in the State to the Director. The request shall con- where the person resides (or if a cor- tain: poration or other business entity, (1) A complete description and identi- where it maintains a place of business) fication of the device or weapon to be any firearm purchased or otherwise ob- transported; tained by such person outside that

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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 succession of a firearm by, a person foreign commerce any firearm without who is permitted to acquire or possess obtaining written acknowledgement of a firearm under the laws of the State of receipt from the recipient of the pack- his residence; and age or other container in which there (b) shall not apply to the loan or is a firearm: Provided, That this para- rental of a firearm to any person for graph shall not apply with respect to

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the return of a firearm to a passenger ported, possessed, or received in the who places firearms in the carrier’s representative’s official capacity; custody for the duration of the trip. (C) An official of a foreign govern- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 ment or a distinguished foreign visitor FR 16385, Apr. 15, 1975, and amended by T.D. who has been so designated by the De- ATF–354, 59 FR 7112, Feb. 14, 1994; T.D. ATF– partment of State. This exception only 361, 60 FR 10786, Feb. 27, 1995] applies if the firearm or ammunition is shipped, transported, possessed, or re- § 478.32 Prohibited shipment, trans- ceived in the official’s or visitor’s offi- portation, possession, or receipt of cial capacity, except if the visitor is a firearms and ammunition by certain persons. private individual who does not have an official capacity; or (a) No person may ship or transport (D) A foreign law enforcement officer any firearm or ammunition in inter- of a friendly foreign government enter- state or foreign commerce, or receive ing the United States on official law any firearm or ammunition which has enforcement business, been shipped or transported in interstate or foreign commerce, or possess (6) Has been discharged from the any firearm or ammunition in or af- Armed Forces under dishonorable con- fecting commerce, who: ditions, (1) Has been convicted in any court of (7) Having been a citizen of the a crime punishable by imprisonment United States, has renounced citizen- for a term exceeding 1 year, ship, (2) Is a fugitive from justice, (8) Is subject to a court order that— (3) Is an unlawful user of or addicted (i) Was issued after a hearing of to any controlled substance (as defined which such person received actual no- in section 102 of the Controlled Sub- tice, and at which such person had an stances Act, 21 U.S.C. 802), opportunity to participate; (4) Has been adjudicated as a mental (ii) Restrains such person from defective or has been committed to a harassing, stalking, or threatening an mental institution, intimate partner of such person or (5) Being an alien— child of such intimate partner or per- (i) Is illegally or unlawfully in the son, or engaging in other conduct that United States; or would place an intimate partner in rea- (ii) Except as provided in paragraph sonable fear of bodily injury to the (f) of this section, has been admitted to partner or child; and the United States under a non- (iii)(A) Includes a finding that such immigrant visa: Provided, That the pro- person represents a credible threat to visions of this paragraph (a)(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 foreign government who is either ac- (b) No person who is under indict- credited to the United States Govern- ment for a crime punishable by impris- ment or the Government’s mission to onment for a term exceeding one year an international organization having may ship or transport any firearm or its headquarters in the United States ammunition in interstate or foreign or is en route to or from another coun- commerce or receive any firearm or try to which that alien is accredited. ammunition which has been shipped or This exception only applies if the fire- transported in interstate or foreign arm or ammunition is shipped, trans- commerce.

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(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 (C) An official of a foreign govern- place of abode with some person of ment or a distinguished foreign visitor suitable age and discretion residing

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

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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 Notwithstanding any other provision (2) Barrels of any law or any rule or regulation of (3) Barrel extensions 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 if, during such transportation the fire- (13) Sears arm is unloaded, and neither the fire- (14) Disconnectors arm nor any ammunition being trans- (15) Buttstocks ported is readily accessible or is di- (16) Pistol grips rectly accessible from the passenger (17) Forearms, handguards compartment of such transporting ve- (18) Magazine bodies hicle: Provided, That in the case of a (19) Followers vehicle without a compartment sepa- (20) Floorplates rate from the driver’s compartment the firearm or ammunition shall be con- [T.D. ATF–346, 58 FR 40589, July 29, 1993] tained in a locked container other than the glove compartment or console. § 478.39a Reporting theft or loss of firearms. [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] Each licensee shall report the theft § 478.39 Assembly of semiautomatic ri- or loss of a firearm from the licensee’s fles or shotguns. inventory (including any firearm which has been transferred from the licens- (a) No person shall assemble a semi- ee’s inventory to a personal collection automatic rifle or any shotgun using and held as a personal firearm for at more than 10 of the imported parts list- least 1 year), or from the collection of ed in paragraph (c) of this section if the a licensed collector, within 48 hours assembled firearm is prohibited from after the theft or loss is discovered. Li- importation under section 925(d)(3) as censees shall report thefts or losses by not being particularly suitable for or telephoning 1–888–930–9275 (nationwide readily adaptable to sporting purposes. toll free number) and by preparing ATF (b) The provisions of this section Form 3310.11, Federal Firearms Li- shall not apply to: censee Theft/Loss Report, in accord- (1) The assembly of such rifle or shot- ance with the instructions on the form. gun for sale or distribution by a li- The original of the report shall be for- censed manufacturer to the United warded to the office specified thereon, States or any department or agency and Copy 1 shall be retained by the li- thereof or to any State or any depart- censee as part of the licensee’s perma- ment, agency, or political subdivision nent records. Theft or loss of any fire- thereof; or arm shall also be reported to the appro- (2) The assembly of such rifle or shot- priate local authorities. gun for the purposes of testing or experimentation authorized by the Direc- (Approved by the Office of Management and tor under the provisions of § 478.151; or Budget under control number 1140–0039) (3) The repair of any rifle or shotgun [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995, as which had been imported into or as- amended by ATF–11F, 73 FR 57240, Oct. 2, sembled in the United States prior to 2008]

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§ 478.40 Manufacture, transfer, and (9) The manufacture, transfer, or pos- possession of semiautomatic assault session of a semiautomatic assault weapons. weapon by a licensed manufacturer or (a) Prohibition. No person shall manu- licensed importer for the purposes of facture, transfer, or possess a semi- testing or experimentation as author- automatic assault weapon. ized by the Director under the provi- (b) Exceptions. The provisions of para- sions of § 478.153; or graph (a) of this section shall not apply (10) The manufacture, transfer, or to: possession of a semiautomatic assault (1) The possession or transfer of any weapon by a licensed manufacturer, li- semiautomatic assault weapon other- censed importer, or licensed dealer for wise lawfully possessed in the United the purpose of exportation in compli- States under Federal law on September ance with the Arms Export Control Act 13, 1994; (22 U.S.C. 2778). (2) Any of the firearms, or replicas or duplicates of the firearms, specified in (c) Manufacture and dealing in semi- 18 U.S.C. 922, appendix A, as such fire- automatic assault weapons. Subject to arms existed on October 1, 1993; compliance with the provisions of this (3) Any firearm that— part, licensed manufacturers and li- (i) Is manually operated by bolt, censed dealers in semiautomatic as- pump, lever, or slide action; sault weapons may manufacture and (ii) Has been rendered permanently deal in such weapons manufactured inoperable; or after September 13, 1994: Provided, The (iii) Is an antique firearm; licensee obtains evidence that the (4) Any semiautomatic rifle that can- weapons will be disposed of in accord- not accept a detachable magazine that ance with paragraph (b) of this section. holds more than 5 rounds of ammuni- Examples of acceptable evidence in- tion; clude the following: (5) Any semiautomatic shotgun that (1) Contracts between the manufac- cannot hold more than 5 rounds of am- turer and dealers stating that the munition in a fixed or detachable mag- weapons may only be sold to law en- azine; forcement agencies, law enforcement (6) The manufacture for, transfer to, officers, or other purchasers specified or possession by the United States or a in paragraph (b) of this section; department or agency of the United States or a State or a department, (2) Copies of purchase orders sub- agency, or political subdivision of a mitted to the manufacturer or dealer State, or a transfer to or possession by by law enforcement agencies or other a law enforcement officer employed by purchasers specified in paragraph (b) of such an entity for purposes of law en- this section; forcement; (3) Copies of letters submitted to the (7) The transfer to a licensee under manufacturer or dealer by government title I of the Atomic Energy Act of 1954 agencies, law enforcement officers, or (42 U.S.C. 2011 et seq.) for purposes of other purchasers specified in paragraph establishing and maintaining an on- (b) of this section expressing an inter- site physical protection system and se- est in purchasing the semiautomatic curity organization required by Fed- assault weapons; eral law, or possession by an employee (4) Letters from dealers to the manu- or contractor of such licensee on-site facturer stating that sales will only be for such purposes or off-site for pur- made to law enforcement agencies, law poses of licensee-authorized training or enforcement officers, or other pur- transportation of nuclear materials; chasers specified in paragraph (b) of (8) The possession, by an individual this section; and who is retired from service with a law enforcement agency and is not other- (5) Letters from law enforcement of- wise prohibited from receiving a fire- ficers purchasing in accordance with arm, of a semiautomatic assault weapon transferred to the individual by the agency upon such retirement;

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paragraph (b)(6) of this section and or importer for the purpose of expor- § 478.132. tation in accordance with the Arms Ex- port Control Act (22 U.S.C. 2778). (Paragraph (c) approved by the Office of Management and Budget under control num- (c) Importation, manufacture, and deal- ber 1140–0041) ing in large capacity ammunition feeding devices. Possession and transfer of large [T.D. ATF–363, 60 FR 17451, Apr. 6, 1995], as capacity ammunition feeding devices amended by ATF–11F, 73 FR 57240, Oct. 2, 2008] by persons who manufacture, import, or deal in such devices will be pre- § 478.40a Transfer and possession of sumed to be lawful if such persons large capacity ammunition feeding maintain evidence establishing that devices. the devices are possessed and trans- (a) Prohibition. No person shall transferred for sale to purchasers specified fer or possess a large capacity ammuni- in paragraph (b) of this section. Exam- tion feeding device. ples of acceptable evidence include the (b) Exceptions. The provisions of para- following: graph (a) of this section shall not apply (1) Contracts between persons who to: import or manufacture such devices (1) The possession or transfer of any and persons who deal in such devices large capacity ammunition feeding de- stating that the devices may only be vice otherwise lawfully possessed on sold to law enforcement agencies or September 13, 1994; other purchasers specified in paragraph (2) The manufacture for, transfer to, (b) of this section; or possession by the United States or a (2) Copies of purchase orders sub- department or agency of the United mitted to persons who manufacture, States or a State or a department, import, or deal in such devices by law agency, or political subdivision of a enforcement agencies or other pur- State, or a transfer to or possession by chasers specified in paragraph (b) of a law enforcement officer employed by this section; such an entity for purposes of law en- (3) Copies of letters submitted to persons who manufacture, import, or deal forcement; (3) The transfer to a licensee under in such devices by government agencies or other purchasers specified in para- title I of the Atomic Energy Act of 1954 graph (b) of this section expressing an for purposes of establishing and main- interest in purchasing the devices; taining an on-site physical protection (4) Letters from persons who deal in system and security organization re- such devices to persons who import or quired by Federal law, or possession by manufacture such devices stating that an employee or contractor of such li- sales will only be made to law enforce- censee on-site for such purposes or off- ment agencies or other purchasers site for purposes of licensee-authorized specified in paragraph (b) of this sec- training or transportation of nuclear tion; and materials; (5) Letters from law enforcement of- (4) The possession, by an individual ficers purchasing in accordance with who is retired from service with a law paragraph (b)(2) of this section and enforcement agency and is not other- § 478.132. wise prohibited from receiving ammunition, of a large capacity ammunition (Paragraph (c) approved by the Office of feeding device transferred to the indi- Management and Budget under control num- vidual by the agency upon such retire- ber 1140–0041) ment; [T.D. ATF–363, 60 FR 17452, Apr. 6, 1995, as (5) The manufacture, transfer, or pos- amended by T.D. ATF–383, 61 FR 39321, July session of any large capacity ammuni- 29, 1996; ATF–11F, 73 FR 57240, Oct. 2, 2008] tion feeding device by a manufacturer or importer for the purposes of testing Subpart D—Licenses or experimentation in accordance with § 478.153; or § 478.41 General. (6) The manufacture, transfer, or pos- (a) Each person intending to engage session of any large capacity ammuni- in business as an importer or manufac- tion feeding device by a manufacturer turer of firearms or ammunition, or a

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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 cense required by this subpart for the § 478.47, receive from the Chief, Federal business to be operated. Each person Firearms Licensing Center, the license who desires to obtain a license as a col- covering the collection of curios and lector of curios or relics may obtain relics. A separate license may be ob- such a license under the provisions of tained for each collection premises, this subpart. and such license shall, subject to the (b) Each person intending to engage provisions of the Act and other applica- in business as a firearms or ammuni- ble provisions of law, entitle the li- tion importer or manufacturer, or deal- censee to transport, ship, receive, and er in firearms shall file an application, acquire curios and relics in interstate with the required fee (see § 478.42), with or foreign commerce, and to make dis- ATF in accordance with the instruc- position of curios and relics in inter- tions on the form (see § 478.44), and, state or foreign commerce, to any pursuant to § 478.47, receive the license other person licensed under the provi- required for such business from the sions of this part, for the period stated Chief, Federal Firearms Licensing Cen- on the license. ter. Except as provided in § 478.50, a li- (d) The collector license provided by cense must be obtained for each busi- this part shall apply only to trans- ness and each place at which the appli- actions related to a collector’s activity cant is to do business. A license as an in acquiring, holding or disposing of importer or manufacturer of firearms curios and relics. A collector’s license or ammunition, or a dealer in firearms does not authorize the collector to en- shall, subject to the provisions of the gage in a business required to be li- Act and other applicable provisions of censed under the Act or this part. law, entitle the licensee to transport, Therefore, if the acquisitions and dis- ship, and receive firearms and ammuni- positions of curios and relics by a col- tion covered by such license in inter- lector bring the collector within the state or foreign commerce and to en- definition of a manufacturer, importer, gage in the business specified by the li- or dealer under this part, he shall qual- cense, at the location described on the ify as such. (See also § 478.93 of this license, and for the period stated on part.) the license. However, it shall not be necessary for a licensed importer or a (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226)) licensed manufacturer to also obtain a dealer’s license in order to engage in [33 FR 18555, Dec. 14, 1968. Redesignated at 40 business on the licensed premises as a FR 16835, Apr. 15, 1975, and amended by T.D. dealer in the same type of firearms au- ATF–270, 53 FR 10494, Mar. 31, 1988; T.D. ATF–290, 54 FR 53054, Dec. 27, 1989] thorized by the license to be imported or manufactured. Payment of the li- § 478.42 License fees. cense fee as an importer or manufacturer of destructive devices, ammuni- Each applicant shall pay a fee for ob- tion for destructive devices or armor taining a firearms license or ammuni- piercing ammunition or as a dealer in tion license, a separate fee being re- destructive devices includes the privi- quired for each business or collecting lege of importing or manufacturing activity at each place of such business firearms other than destructive devices or activity, as follows: and ammunition for other than de- (a) For a manufacturer: structive devices or ammunition other (1) Of destructive devices, ammuni- than armor piercing ammunition, or tion for destructive devices or armor dealing in firearms other than destruc- piercing ammunition—$1,000 per year. tive devices, as the case may be, by (2) Of firearms other than destructive such a licensee at the licensed prem- devices—$50 per year. ises. (3) Of ammunition for firearms other (c) Each person seeking the privi- than ammunition for destructive de- leges of a collector licensed under this vices or armor piercing ammunition— part shall file an application, with the $10 per year. required fee (see § 478.42), with ATF in (b) For an importer:

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(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 (2) Of firearms other than destructive corporation, partnership, or associa- devices or ammunition for firearms tion) is an alien who has been admitted other than destructive devices or am- to the United States under a non- munition other than armor piercing immigrant visa, applicable documenta- ammunition—$50 per year. tion demonstrating that the alien falls (c) For a dealer: within an exception specified in 18 (1) In destructive devices—$1,000 per U.S.C. 922(y)(2) (e.g., a hunting license year. or permit lawfully issued in the United (2) Who is not a dealer in destructive States) or has obtained a waiver as devices—$200 for 3 years, except that specified in 18 U.S.C. 922(y)(3); and the fee for renewal of a valid license shall be $90 for 3 years. (iv) Include the appropriate fee in the (d) For a collector of curios and rel- form of money order or check made ics—$10 per year. payable to the ‘‘Bureau of Alcohol, To- bacco, Firearms, and Explosives’’. [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988, as (2) ATF Form 7 may be obtained by amended by T.D. ATF–354, 59 FR 7112, Feb. 14, 1994] contacting the ATF Distribution Cen- ter (See § 478.21). § 478.43 License fee not refundable. (b) Any person who desires to obtain No refund of any part of the amount a license as a collector under the Act paid as a license fee shall be made and this part, or who has not timely where the operations of the licensee submitted an application for renewal of are, for any reason, discontinued dur- the previous license issued under this ing the period of an issued license. part, shall file an application, ATF However, the license fee submitted Form 7CR (Curios and Relics), with with an application for a license shall ATF in accordance with the instruc- be refunded if that application is de- tions on the form. If the applicant (in- nied or withdrawn by the applicant cluding, in the case of a corporation, prior to being acted upon. partnership, or association, any indi- [T.D. ATF–270, 53 FR 10494, Mar. 31, 1988] vidual possessing, directly or indirectly, the power to direct or cause the § 478.44 Original license. direction of the management and poli- (a)(1) Any person who intends to en- cies of the corporation, partnership, or gage in business as a firearms or am- association) is an alien who has been munition importer or manufacturer, or admitted to the United States under a firearms dealer, or who has not pre- nonimmigrant visa, the application viously been licensed under the provi- must include applicable documentation sions of this part to so engage in busi- demonstrating that the alien falls ness, or who has not timely submitted within an exception specified in 18 an application for renewal of the pre- U.S.C. 922(y)(2) (e.g., a hunting license vious license issued under this part, or permit lawfully issued in the United must file an application for license, States) or has obtained a waiver as ATF Form 7 (Firearms), in duplicate, specified in 18 U.S.C. 922(y)(3). The ap- with ATF in accordance with the in- plication must be executed under the structions on the form. The application penalties of perjury and the penalties must: imposed by 18 U.S.C. 924. The applica- (i) Be executed under the penalties of tion shall include the appropriate fee perjury and the penalties imposed by 18 in the form of a money order or check U.S.C. 924; made payable to the Bureau of Alcohol, (ii) Include a photograph and finger- Tobacco, Firearms, and Explosives. prints as required in the instructions ATF Form 7CR (Curios and Relics) may on the form; (iii) If the applicant (including, in the case of a corporation, partnership, or association, any individual pos-

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be obtained by contacting the ATF Dis- fee submitted will be returned to the tribution Center (See § 478.21). applicant. (Paragraphs (a) and (b) approved by the Of- (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 fice of Management and Budget under con- Stat. 1226)) trol number 1140–0060) [T.D. ATF–200, 50 FR 10498, Mar. 15, 1985] [T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as amended by T.D. ATF–471, 67 FR 5425, Feb. 5, § 478.47 Issuance of license. 2002; ATF–11F, 73 FR 57240, Oct. 2, 2008; T.D. (a) Upon receipt of a properly exe- ATF–24F, 77 FR 33629, June 7, 2012] cuted application for a license on ATF Form 7, ATF Form 7CR, or ATF Form § 478.45 Renewal of license. 8 Part II, the Chief, Federal Firearms If a licensee intends to continue the Licensing Center, shall, upon finding business or activity described on a li- through further inquiry or investiga- cense issued under this part during any tion, or otherwise, that the applicant is portion of the ensuing year, the li- qualified, issue the appropriate license. censee shall, unless otherwise notified Each license shall bear a serial number in writing by the Chief, Federal Fire- and such number may be assigned to arms Licensing Center, execute and file the licensee to whom issued for so long with ATF prior to the expiration of the as the licensee maintains continuity of license an application for a license re- renewal in the same location (State). newal, ATF Form 8 Part II, in accord- (b) The Chief, Federal Firearms Li- ance with the instructions on the form, censing Center, shall approve a prop- and the required fee. If the applicant is erly executed application for license on an alien who has been admitted to the ATF Form 7, ATF Form 7CR, or ATF United States under a nonimmigrant Form 8 Part II, if: (1) The applicant is 21 years of age or visa, the application must include ap- over; plicable documentation demonstrating (2) The applicant (including, in the that the alien falls within an exception case of a corporation, partnership, or specified in 18 U.S.C. 922(y)(2) (e.g., a association, any individual possessing, hunting license or permit lawfully directly or indirectly, the power to di- issued in the United States) or has ob- rect or cause the direction of the man- tained a waiver as specified in 18 U.S.C. agement and policies of the corpora- 922(y)(3). The Chief, Federal Firearms tion, partnership, or association) is not Licensing Center may, in writing, re- prohibited under the provisions of the quire the applicant for license renewal Act from shipping or transporting in to also file completed ATF Form 7 or interstate or foreign commerce, or pos- ATF Form 7CR in the manner required sessing in or affecting commerce, any by § 478.44. In the event the licensee firearm or ammunition, or from receiv- does not timely file an ATF Form 8 ing any firearm or ammunition which Part II, the licensee must file an ATF has been shipped or transported in Form 7 or ATF Form 7CR as required interstate or foreign commerce; by § 478.44, and obtain the required li- (3) The applicant has not willfully cense before continuing business or col- violated any of the provisions of the lecting activity. If an ATF Form 8 Part Act or this part; II is not timely received through the (4) The applicant has not willfully mails, the licensee should so notify the failed to disclose any material infor- Chief, Federal Firearms Licensing Cen- mation required, or has not made any ter. false statement as to any material fact, in connection with his applica- (Approved by the Office of Management and Budget under control number 1140–0060) tion; and (5) The applicant has in a State (i) [ATF–11, 73 FR 57241, Oct. 2, 2008, as amended premises from which he conducts busi- by T.D. ATF–24F, 77 FR 33629, June 7, 2012] ness subject to license under the Act or from which he intends to conduct such § 478.46 Insufficient fee. business within a reasonable period of If an application is filed with an in- time, or (ii) in the case of a collector, sufficient fee, the application and any premises from which he conducts his

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collecting subject to license under the mation contained in the licensee’s ap- Act or from which he intends to con- plication for the license, the Chief, duct such collecting within a reason- Federal Firearms Licensing Center, able period of time. shall require the licensee to file an (c) The Chief, Federal Firearms Li- amended application setting forth the censing Center, shall approve or the Di- correct information and a statement rector of Industry Operations shall explaining the error contained in the deny an application for a license within application. Upon receipt of the the 60-day period beginning on the date amended application and a satisfactory the properly executed application was explanation of the error, the Chief, received: Provided, That when an appli- Federal Firearms Licensing Center, cant for license renewal is a person shall make the correction on the li- who is, pursuant to the provisions of cense and return same to the licensee. § 478.78, § 478.143, or § 478.144, conducting (b) When the Chief, Federal Firearms business or collecting activity under a Licensing Center, finds through any previously issued license, action regarding the application will be held in means other than notice from the li- abeyance pending the completion of censee that an incorrect license has the proceedings against the applicant’s been issued, the Chief, Federal Fire- existing license or license application, arms Licensing Center, may require final determination of the applicant’s the holder of the incorrect license to criminal case, or final action by the Di- (1) return the license for correction, rector on an application for relief sub- and (2) if the error resulted from infor- mitted pursuant to § 478.144, as the case mation contained in the licensee’s ap- may be. plication for the license, the Chief, (d) When the Director of Industry Op- Federal Firearms Licensing Center, erations or the Chief, Federal Firearms shall require the licensee to file an Licensing Center fails to act on an ap- amended application setting forth the plication for a license within the 60-day correct information, and a statement period prescribed by paragraph (c) of explaining the error contained in the this section, the applicant may file an application. The Chief, Federal Fire- action under section 1361 of title 28, arms Licensing Center, then shall United States Code, to compel ATF to make the correction on the license and act upon the application. return same to the licensee. (18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 [33 FR 18555, Dec. 14, 1968. Redesignated at 40 Stat. 1226)) FR 16835, Apr. 15, 1975, and amended by T.D. [33 FR 18555, Dec. 14, 1968. Redesignated at 40 ATF–290, 54 FR 53054, Dec. 27, 1989] FR 16835, Apr. 15, 1975, and amended by T.D. ATF–135, 48 FR 24068, May 31, 1983; T.D. ATF– § 478.49 Duration of license. 241, 51 FR 39619, Oct. 29, 1986; T.D. ATF–270, The license entitles the person to 53 FR 10495, Mar. 31, 1988; T.D. ATF–290, 54 FR 53054, Dec. 27, 1989; T.D. ATF–363, 60 FR whom issued to engage in the business 17453, Apr. 6, 1995; ATF–11F, 73 FR 57241, Oct. or activity specified on the license, 2, 2008] within the limitations of the Act and the regulations contained in this part, § 478.48 Correction of error on license. for a three year period, unless termi- (a) Upon receipt of a license issued nated sooner. under the provisions of this part, each licensee shall examine same to ensure [T.D. ATF–270, 53 FR 10495, Mar. 31, 1988] that the information contained thereon § 478.50 Locations covered by license. is accurate. If the license is incorrect, the licensee shall return the license to The license covers the class of busi- the Chief, Federal Firearms Licensing ness or the activity specified in the li- Center, with a statement showing the cense at the address specified therein. nature of the error. The Chief, Federal A separate license must be obtained for Firearms Licensing Center, shall cor- each location at which a firearms or rect the error, if the error was made in ammunition business or activity re- his office, and return the license. How- quiring a license under this part is con- ever, if the error resulted from infor- ducted except:

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(a) No license is required to cover a Form 7CR, or portions thereof, in the separate warehouse used by the li- manner required by § 478.44. censee solely for storage of firearms or (b) Upon receipt of a properly exe- ammunition if the records required by cuted application for an amended li- this part are maintained at the license, the Chief, Federal Firearms Li- censed premises served by such ware- censing Center, shall, upon finding house; through further inquiry or investiga- (b) A licensed collector may acquire tion, or otherwise, that the applicant is curios and relics at any location, and qualified at the new location, issue the dispose of curios or relics to any li- amended license, and return it to the censee or to other persons who are resi- applicant. The license shall be valid for dents of the State where the collector’s the remainder of the term of the origi- license is held and the disposition is nal license. The Chief, Federal Fire- made; arms Licensing Center, shall, if the ap- (c) A licensee may conduct business plicant is not qualified, refer the appli- at a gun show pursuant to the provi- cation for amended license to the Di- sion of § 478.100; or rector of Industry Operations for denial (d) A licensed importer, manufac- in accordance with § 478.71. turer, or dealer may engage in the business of dealing in curio or relic (Approved by the Office of Management and firearms with another licensee at any Budget under control number 1140–0040) location pursuant to the provisions of [T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as § 478.100. amended by ATF–11F, 73 FR 57241, Oct. 2, 2008] [T.D. ATF–191, 49 FR 46890, Nov. 29, 1984, as amended by T.D. ATF–401, 63 FR 35523, June § 478.53 Change in trade name. 30, 1998] A licensee continuing to conduct § 478.51 License not transferable. business at the location shown on his Licenses issued under this part are license is not required to obtain a new not transferable. In the event of the license by reason of a mere change in lease, sale, or other transfer of the op- trade name under which he conducts erations authorized by the license, the his business: Provided, That such li- successor must obtain the license re- censee furnishes his license for en- quired by this part prior to com- dorsement of such change to the Chief, mencing such operations. However, for Federal Firearms Licensing Center rules on right of succession, see § 478.56. within 30 days from the date the licensee begins his business under the § 478.52 Change of address. new trade name. (a) Licensees may during the term of [33 FR 18555, Dec. 14, 1968. Redesignated at 40 their current license remove their busi- FR 16835, Apr. 15, 1975, and amended by T.D. ness or activity to a new location at ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– which they intend regularly to carry 290, 54 FR 53055, Dec. 27, 1989] on such business or activity by filing an Application for an Amended Federal § 478.54 Change of control. Firearms License, ATF Form 5300.38, in In the case of a corporation or asso- duplicate, not less than 30 days prior to ciation holding a license under this such removal with the Chief, Federal part, if actual or legal control of the Firearms Licensing Center. The ATF corporation or association changes, di- Form 5300.38 shall be completed in ac- rectly or indirectly, whether by reason cordance with the instructions on the of change in stock ownership or control form. The application must be exe- (in the licensed corporation or in any cuted under the penalties of perjury other corporation), by operations of and penalties imposed by 18 U.S.C. 924. law, or in any other manner, the li- The application shall be accompanied censee shall, within 30 days of such by the licensee’s original license. The change, give written notification there- Chief, Federal Firearms Licensing Cen- of, executed under the penalties of per- ter Center, may, in writing, require the jury, to the Chief, Federal Firearms Li- applicant for an amended license to censing Center. Upon expiration of the also file completed ATF Form 7 or ATF license, the corporation or association

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must file a Form 7 (Firearms) as re- § 478.57 Discontinuance of business. quired by § 478.44. (a) Where a firearm or ammunition [33 FR 18555, Dec. 14, 1968. Redesignated at 40 business is either discontinued or suc- FR 16835, Apr. 15, 1975, and amended by T.D. ceeded by a new owner, the owner of ATF–290, 54 FR 53054, Dec. 27, 1989] the business discontinued or succeeded shall within 30 days thereof furnish to § 478.55 Continuing partnerships. the Chief, Federal Firearms Licensing Where, under the laws of the par- Center notification of the discontinu- ticular State, the partnership is not ance or succession. (See also § 478.127.) terminated on death or insolvency of a (b) Since section 922(v), Title 18, partner, but continues until the wind- U.S.C., makes it unlawful to transfer ing up of the partnership affairs is or possess a semiautomatic assault completed, and the surviving partner weapon, except as provided in the law, has the exclusive right to the control any licensed manufacturer, licensed and possession of the partnership as- importer, or licensed dealer intending sets for the purpose of liquidation and to discontinue business shall, prior to going out of business, transfer in com- settlement, such surviving partner pliance with the provisions of this part may continue to operate the business any semiautomatic assault weapon under the license of the partnership. If manufactured or imported after Sep- such surviving partner acquires the tember 13, 1994, to a person specified in business on completion of the settle- § 478.40(b), or, subject to the provisions ment of the partnership, he shall ob- of §§ 478.40(c) and 478.132, a licensed tain a license in his own name from the manufacturer, a licensed importer, or a date of acquisition, as provided in licensed dealer. § 478.44. The rule set forth in this sec- (c) Since section 922(w), Title 18, tion shall also apply where there is U.S.C., makes it unlawful to transfer more than one surviving partner. or possess a large capacity ammunition feeding device, except as provided in § 478.56 Right of succession by certain the law, any person who manufactures, persons. imports, or deals in such devices and (a) Certain persons other than the li- who intends to discontinue business censee may secure the right to carry shall, prior to going out of business, on the same firearms or ammunition transfer in compliance with the provi- business at the same address shown on, sions of this part any large capacity and for the remainder of the term of, a ammunition feeding device manufac- current license. Such persons are: tured after September 13, 1994, to a per- (1) The surviving spouse or child, or son specified in § 478.40a(b), or, subject executor, administrator, or other legal to the provisions of §§ 478.40a(c) and representative of a deceased licensee; 478.132, a person who manufactures, imports, or deals in such devices. and (2) A receiver or trustee in bank- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 ruptcy, or an assignee for benefit of FR 16835, Apr. 15, 1975, and amended by T.D. creditors. ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– 290, 54 FR 53055, Dec. 27, 1989; T.D. ATF–363, (b) In order to secure the right pro- 60 FR 17453, Apr. 6, 1995; T.D. ATF–383, 61 FR vided by this section, the person or per- 39321, July 29, 1996] sons continuing the business shall furnish the license for that business for § 478.58 State or other law. endorsement of such succession to the A license issued under this part con- Chief, Federal Firearms Licensing Cen- fers no right or privilege to conduct ter , within 30 days from the date on business or activity contrary to State which the successor begins to carry on or other law. The holder of such a li- the business. cense is not by reason of the rights and [33 FR 18555, Dec. 14, 1968. Redesignated at 40 privileges granted by that license im- FR 16835, Apr. 15, 1975, and amended by T.D. mune from punishment for operating a ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– firearm or ammunition business or ac- 290, 54 FR 53055, Dec. 27, 1989] tivity in violation of the provisions of

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any State or other law. Similarly, com- § 478.72 Hearing after application de- pliance with the provisions of any nial. State or other law affords no immunity If the applicant for an original or re- under Federal law or regulations. newal license desires a hearing to review the denial of his application, he § 478.59 Abandoned application. shall file a request therefor, in dupli- Upon receipt of an incomplete or im- cate, with the Director of Industry Op- properly executed application on ATF erations within 15 days after receipt of form 7 (5310.12), or ATF Form 8 (5310.11) the notice of denial.The request should Part II, the applicant shall be notified include a statement of the reasons of the deficiency in the application. If therefor. On receipt of the request, the the application is not corrected and re- Director of Industry Operations shall, as expeditiously as possible, make the turned within 30 days following the necessary arrangements for the hear- date of notification, the application ing and advise the applicant of the shall be considered as having been date, time, location, and the name of abandoned and the license fee returned. the officer before whom the hearing [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 busi- of the date set for the hearing. On con- ness. clusion of the hearing and consideration of all relevant facts and cir- A licensee who furnishes his license cumstances presented by the applicant to the Chief, Federal Firearms Licens- or his representative, the Director ing Center for correction or endorse- shall render his decision confirming or ment in compliance with the provisions reversing the denial of the application. contained in this subpart may continue If the decision is that the denial should his operations while awaiting its re- stand, a certified copy of the Director’s turn. findings and conclusions shall be fur- [33 FR 18555, Dec. 14, 1968. Redesignated at 40 nished to the applicant with a final no- FR 16835, Apr. 15, 1975, and amended by T.D. tice of denial, Form 4501.A copy of the ATF–290, 54 FR 53054, Dec. 27, 1989] application, marked ‘‘Disapproved,’’ will be returned to the applicant. If the decision is that the license applied for Subpart E—License Proceedings should be issued, the applicant shall be so notified, in writing, and the license § 478.71 Denial of an application for li- shall be issued as provided by § 478.47. cense. Whenever the Director has reason to [33 FR 18555, Dec. 14, 1968, as amended by ATF–27P, 74 FR 1878, Jan. 14, 2009] believe that an applicant is not qualified to receive a license under the pro- § 478.73 Notice of revocation, suspen- visions of § 478.47, he may issue a notice sion, or imposition of civil fine. of denial, on Form 4498, to the appli- (a) Basis for action. Whenever the Di- cant. The notice shall set forth the rector has reason to believe that a li- matters of fact and law relied upon in censee has willfully violated any provi- determining that the application sion of the Act or this part, a notice of should be denied, and shall afford the revocation of the license, ATF Form applicant 15 days from the date of re- 4500, may be issued. In addition, a no- ceipt of the notice in which to request tice of revocation, suspension, or impo- a hearing to review the denial. If no re- sition of a civil fine may be issued on quest for a hearing is filed within such ATF Form 4500 whenever the Director time, the application shall be dis- has reason to believe that a licensee approved and a copy, so marked, shall has knowingly transferred a firearm to be returned to the applicant. an unlicensed person and knowingly failed to comply with the requirements [33 FR 18555, Dec. 14, 1968. Redesignated at 40 of 18 U.S.C. 922(t)(1) with respect to the FR 16835, Apr. 15, 1975, and amended by T.D. transfer and, at the time that the ATF–270, 53 FR 10495, Mar. 31, 1988; ATF–27P, transferee most recently proposed the 74 FR 1878, Jan. 14, 2009] transfer, the national instant criminal

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background check system was oper- the licensee with the final notice of ating and information was available to revocation, suspension, or imposition the system demonstrating that the of a civil fine on ATF Form 4501. If the transferee’s receipt of a firearm would decision is that the license should not violate 18 U.S.C. 922(g) or 922(n) or be revoked, or in actions under 18 State law. U.S.C. 922(t)(5), that the license should (b) Issuance of notice. The notice shall not be revoked or suspended, and a set forth the matters of fact consti- civil fine should not be imposed, the li- tuting the violations specified, dates, censee shall be notified in writing. places, and the sections of law and reg- [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as ulations violated. The Director shall amended by ATF–27P, 74 FR 1878, Jan. 14, afford the licensee 15 days from the 2009] date of receipt of the notice in which to request a hearing prior to suspension § 478.75 Service on applicant or li- or revocation of the license, or imposi- censee. tion of a civil fine. If the licensee does All notices and other documents re- not file a timely request for a hearing, quired to be served on an applicant or the Director shall issue a final notice licensee under this subpart shall be of suspension or revocation and/or im- served by certified mail or by personal position of a civil fine on ATF Form delivery. Where service is by certified 4501, as provided in § 478.74. mail, a signed duplicate original copy of the formal document shall be [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as amended by T.D. ATF–27P, 74 FR 1878, Jan. mailed, with return receipt requested, 14, 2009] to the applicant or licensee at the address stated in his application or li- § 478.74 Request for hearing after no- cense, or at his last known address. tice of suspension, revocation, or Where service is by personal delivery, a imposition of civil fine. signed duplicate original copy of the If a licensee desires a hearing after formal document shall be delivered to receipt of a notice of suspension or rev- the applicant or licensee, or, in the ocation of a license, or imposition of a case of a corporation, partnership, or civil fine, the licensee shall file a re- association, by delivering it to an offi- quest, in duplicate, with the Director cer, manager, or general agent thereof, of Industry Operations within 15 days or to its attorney of record. after receipt of the notice of suspension [33 FR 18555, Dec. 14, 1968. Redesignated at 40 or revocation of a license, or imposi- FR 16835, Apr. 15, 1975, and further redesig- tion of a civil fine. On receipt of such nated by T.D. ATF–241, 51 FR 39619, Oct. 29, request, the Director of Industry Oper- 1986; T.D. ATF–270, 53 FR 10496, Mar. 31, 1988] ations shall, as expeditiously as possible, make necessary arrangements for § 478.76 Representation at a hearing. the hearing and advise the licensee of An applicant or licensee may be rep- the date, time, location and the name resented by an attorney, certified pub- of the officer before whom the hearing lic accountant, or other person recog- will be held. Such notification shall be nized to practice before the Bureau of made no less than 10 days in advance of Alcohol, Tobacco and Firearms as pro- the date set for the hearing. On conclu- vided in 31 CFR Part 8 (Practice Before sion of the hearing and consideration the Bureau of Alcohol, Tobacco and of all the relevant presentations made Firearms), if he has otherwise complied by the licensee or the licensee’s rep- with the applicable requirements of 26 resentative, the Director shall render a CFR 601.521 through 601.527 (conference decision and shall prepare a brief sum- and practice requirements for alcohol, mary of the findings and conclusions tobacco, and firearms activities) of this on which the decision is based. If the chapter. The Director may be rep- decision is that the license should be resented in proceedings by an attorney revoked, or, in actions under 18 U.S.C. in the office of the Assistant Chief 922(t)(5), that the license should be re- Counsel or Division Counsel who is au- voked or suspended, and/or that a civil thorized to execute and file motions, fine should be imposed, a certified copy briefs and other papers in the proof the summary shall be furnished to ceeding, on behalf of the Director , in

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his own name as ‘‘Attorney for the Subpart F—Conduct of Business Government.’’ § 478.91 Posting of license. [33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. Any license issued under this part ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– shall be kept posted and kept available 92, 46 FR 46916, Sept. 23, 1981. Further redes- for inspection on the premises covered ignated by T.D. ATF–241, 51 FR 39619, Oct. 29, by the license. 1986; T.D. ATF–270, 53 FR 10496, Mar. 31, 1988; ATF–27P, 74 FR 1878, Jan. 14, 2009] § 478.92 How must licensed manufacturers and licensed importers iden- § 478.77 Designated place of hearing. tify firearms, armor piercing ammu- The designated place of the hearing nition, and large capacity ammuni- shall be a location convenient to the tion feeding devices? aggrieved party. (a)(1) Firearms. You, as a licensed 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 notice. follows: (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 and Firearms, or notice of denial, sus- placed on the frame or receiver thereof pension, or revocation has been served an individual serial number. The serial on the licensee and he has filed timely number must be placed in a manner request for a hearing, the license in the not susceptible of being readily obliter- possession of the licensee shall remain ated, altered, or removed, and must not in effect even though such license has duplicate any serial number placed by expired, or the suspension or revoca- you on any other firearm. For firearms tion date specified in the notice of rev- manufactured or imported on and after ocation on Form 4500 served on the li- January 30, 2002, the engraving, cast- censee has passed: Provided, That with ing, or stamping (impressing) of the se- respect to a license that has expired, rial number must be to a minimum the licensee has timely filed an appli- depth of .003 inch and in a print size no cation for the renewal of his license. If smaller than 1⁄16 inch; and a licensee is dissatisfied with a (ii) By engraving, casting, stamping posthearing decision revoking or sus- (impressing), or otherwise conspicu- pending the license or denying the ap- ously placing or causing to be en- plication or imposing a civil fine, as graved, cast, stamped (impressed) or the case may be, he may, pursuant to placed on the frame, receiver, or barrel 18 U.S.C. 923(f)(3), within 60 days after thereof certain additional information. receipt of the final notice denying the This information must be placed in a application or revoking or suspending manner not susceptible of being readily the license or imposing a civil fine, file obliterated, altered, or removed. For a petition for judicial review of such firearms manufactured or imported on action. Such petition should be filed and after January 30, 2002, the engrav- with the U.S. district court for the dis- ing, casting, or stamping (impressing) trict in which the applicant or licensee of this information must be to a min- resides or has his principal place of imum depth of .003 inch. The additional business. In such case, when the Direc- information includes: tor finds that justice so requires, he (A) The model, if such designation may postpone the effective date of sus- has been made; pension or revocation of a license or (B) The caliber or gauge; authorize continued operations under (C) Your name (or recognized abbre- the expired license, as applicable, pend- viation) and also, when applicable, the ing judicial review. name of the foreign manufacturer; [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as (D) In the case of a domestically amended by ATF–27P, 74 FR 1878, Jan. 14, made firearm, the city and State (or 2009] recognized abbreviation thereof) where

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you as the manufacturer maintain thorize other means of identification of your place of business; and parts defined as machine guns other (E) In the case of an imported fire- than frames or receivers and parts de- arm, the name of the country in which fined as mufflers or silencers upon re- it was manufactured and the city and ceipt of a letter application from you, State (or recognized abbreviation submitted in duplicate, showing that thereof) where you as the importer such other identification is reasonable maintain your place of business. For and will not hinder the effective ad- additional requirements relating to im- ministration of this part. ported firearms, see Customs regula- (5) Measurement of height and depth of tions at 19 CFR part 134. markings. The depth of all markings re- (2) Firearm frames or receivers. A fire- quired by this section will be measured arm frame or receiver that is not a from the flat surface of the metal and component part of a complete weapon not the peaks or ridges. The height of at the time it is sold, shipped, or other- serial numbers required by paragraph wise disposed of by you must be identi- (a)(1)(i) of this section will be measured fied as required by this section. as the distance between the latitudinal (3) Special markings for semiautomatic ends of the character impression bot- assault weapons, effective July 5, 1995. In toms (bases). the case of any semiautomatic assault (b) Armor piercing ammunition—(1) weapon manufactured after September Marking of ammunition. Each licensed 13, 1994, you must mark the frame or manufacturer or licensed importer of receiver ‘‘RESTRICTED LAW EN- armor piercing ammunition shall iden- FORCEMENT/GOVERNMENT USE tify such ammunition by means of ONLY’’ or, in the case of weapons man- painting, staining or dying the exterior ufactured for export, ‘‘FOR EXPORT of the projectile with an opaque black ONLY,’’ in a manner not susceptible of coloring. This coloring must com- being readily obliterated, altered, or pletely cover the point of the projectile removed. For weapons manufactured or and at least 50 percent of that portion imported on and after January 30, 2002, of the projectile which is visible when the engraving, casting, or stamping the projectile is loaded into a cartridge (impressing) of the special markings prescribed in this paragraph (a)(3) must case. be to a minimum depth of .003 inch. (2) Labeling of packages. Each licensed (4) Exceptions. (i) Alternate means of manufacturer or licensed importer of identification. The Director may au- armor piercing ammunition shall thorize other means of identification clearly and conspicuously label each upon receipt of a letter application package in which armor piercing am- from you, submitted in duplicate, munition is contained, e.g., each box, showing that such other identification carton, case, or other container. The is reasonable and will not hinder the label shall include the words ‘‘ARMOR effective administration of this part. PIERCING’’ in block letters at least 1⁄4 (ii) Destructive devices. In the case of inch in height. The lettering shall be a destructive device, the Director may located on the exterior surface of the authorize other means of identifying package which contains information that weapon upon receipt of a letter concerning the caliber or gauge of the application from you, submitted in du- ammunition. There shall also be placed plicate, showing that engraving, cast- on the same surface of the package in ing, or stamping (impressing) such a block lettering at least 1⁄8 inch in weapon would be dangerous or imprac- height the words ‘‘FOR GOVERN- ticable. MENTAL ENTITIES OR EXPOR- (iii) Machine guns, silencers, and parts. TATION ONLY.’’ The statements re- Any part defined as a machine gun, quired by this subparagraph shall be on firearm muffler, or firearm silencer in a contrasting background. § 478.11, that is not a component part of (c) Large capacity ammunition feeding a complete weapon at the time it is devices manufactured after September 13, sold, shipped, or otherwise disposed of 1994. (1) Each person who manufactures by you, must be identified as required or imports any large capacity ammuni- by this section. The Director may au- tion feeding device manufactured after

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September 13, 1994, shall legibly iden- hinder the effective administration of tify each such device with a serial this part. number. Such person may use the same (Approved by the Office of Management and serial number for all large capacity Budget under control number 1140–0050) ammunition feeding devices produced. [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988, as (i) Additionally, in the case of a do- amended by T.D. ATF–363, 60 FR 17454, Apr. mestically made large capacity ammu- 6, 1995; T.D. ATF–383, 61 FR 39321, July 29, nition feeding device, such device shall 1996; T.D. ATF–396, 63 FR 12646, Mar. 16, 1998; be marked with the name, city and T.D. ATF–461, 66 FR 40600, Aug. 3, 2001; ATF– State (or recognized abbreviation 11F, 73 FR 57241, Oct. 2, 2008] thereof) of the manufacturer; § 478.93 Authorized operations by a li- (ii) And in the case of an imported censed collector. large capacity ammunition feeding de- The license issued to a collector of vice, such device shall be marked: curios or relics under the provisions of (A) With the name of the manufac- this part shall cover only transactions turer, country of origin, and, by the licensed collector in curios and (B) Effective July 5, 1995, the name, relics. The collector’s license is of no city and State (or recognized abbrevia- force or effect and a licensed collector tion thereof) of the importer. is of the same status under the Act and (iii) Further, large capacity ammuni- this part as a nonlicensee with respect tion feeding devices manufactured to (a) any acquisition or disposition of after September 13, 1994, shall be firearms other than curios or relics, or marked ‘‘RESTRICTED LAW EN- any transportation, shipment, or re- FORCEMENT/GOVERNMENT USE ceipt of firearms other than curios or relics in interstate or foreign com- ONLY’’ or, in the case of devices manu- merce, and (b) any transaction with a factured or imported for export, effec- nonlicensee involving any firearm tive July 5, 1995, ‘‘FOR EXPORT other than a curio or relic. (See also ONLY.’’ § 478.50.) A collectors license is not nec- (2) All markings required by this essary to receive or dispose of ammuni- paragraph (c) shall be cast, stamped, or tion, and a licensed collector is not engraved on the exterior of the device. precluded by law from receiving or dis- In the case of a magazine, the mark- posing of armor piercing ammunition. ings shall be placed on the magazine However, a licensed collector may not body. dispose of any ammunition to a person (3) Exceptions—(i) Metallic links. Per- prohibited from receiving or possessing sons who manufacture or import me- ammunition (see § 478.99(c)). Any li- tallic links for use in the assembly of censed collector who disposes of armor belted ammunition are only required to piercing ammunition must record the place the identification marks pre- disposition as required by § 478.125 (a) scribed in paragraph (c)(1) of this sec- and (b). tion on the containers used for the [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988] packaging of the links. (ii) Alternate means of identification. § 478.94 Sales or deliveries between licensees. The Director may authorize other means of identifying large capacity A licensed importer, licensed manu- ammunition feeding devices upon re- facturer, or licensed dealer selling or ceipt of a letter application, in dupli- otherwise disposing of firearms, and a licensed collector selling or otherwise cate, from the manufacturer or im- disposing of curios or relics, to another porter showing that such other identi- licensee shall verify the identity and fication is reasonable and will not licensed status of the transferee prior to making the transaction. Verification shall be established by the transferee furnishing to the transferor a certified copy of the transferee’s license and by such other means as the transferor deems necessary: Provided,

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That it shall not be required (a) for a each copy. The fee paid for copies of transferee who has furnished a certified the license must accompany the re- copy of its license to a transferor to quest for copies. The fee may be paid again furnish such certified copy to by (a) cash, or (b) money order or that transferor during the term of the check made payable to the Bureau of transferee’s current license, (b) for a li- Alcohol, Tobacco, Firearms, and Explo- censee to furnish a certified copy of its sives. license to another licensee if a firearm (Approved by the Office of Management and is being returned either directly or Budget under control number 1140–0032) through another licensee to such licensee and (c) for licensees of multi- [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as licensed business organizations to fur- amended by T.D. ATF–290, 54 FR 53055, Dec. 27, 1989; ATF–11F, 73 FR 57241, Oct. 2, 2008] nish certified copies of their licenses to other licensed locations operated by § 478.96 Out-of-State and mail order such organization: Provided further, sales. That a multilicensed business organi- (a) The provisions of this section zation may furnish to a transferor, in shall apply when a firearm is purchased lieu of a certified copy of each license, by or delivered to a person not other- a list, certified to be true, correct and wise prohibited by the Act from pur- complete, containing the name, ad- chasing or receiving it. dress, license number, and the date of (b) A licensed importer, licensed license expiration of each licensed lo- manufacturer, or licensed dealer may cation operated by such organization, sell a firearm that is not subject to the and the transferor may sell or other- provisions of § 478.102(a) to a non- wise dispose of firearms as provided by licensee who does not appear in person this section to any licensee appearing at the licensee’s business premises if on such list without requiring a cer- the nonlicensee is a resident of the tified copy of a license therefrom. A same State in which the licensee’s transferor licensee who has the cer- business premises are located, and the tified information required by this sec- nonlicensee furnishes to the licensee tion may sell or dispose of firearms to the firearms transaction record, Form a licensee for not more than 45 days 4473, required by § 478.124. The non- following the expiration date of the licensee shall attach to such record a transferee’s license. true copy of any permit or other infor- (Approved by the Office of Management and mation required pursuant to any stat- Budget under control number 1140–0032) ute of the State and published ordi- [T.D. ATF–270, 53 FR 10496, Mar. 31, 1988, as nance applicable to the locality in amended by ATF–11F, 73 FR 57241, Oct. 2, which he resides. The licensee shall 2008] prior to shipment or delivery of the firearm, forward by registered or cer- § 478.95 Certified copy of license. tified mail (return receipt requested) a The license furnished to each person copy of the record, Form 4473, to the licensed under the provisions of this chief law enforcement officer named on part contains a purchasing certifi- such record, and delay shipment or de- cation statement. This original license livery of the firearm for a period of at may be reproduced and the reproduc- least 7 days following receipt by the li- tion then certified by the licensee for censee of the return receipt evidencing use pursuant to § 178.94. If the licensee delivery of the copy of the record to desires an additional copy of the li- such chief law enforcement officer, or cense for certification (instead of mak- the return of the copy of the record to ing a reproduction of the original li- him due to the refusal of such chief law cense), the licensee may submit a re- enforcement officer to accept same in quest, in writing, for a certified copy or accordance with U.S. Postal Service copies of the license to the Chief, Fed- regulations. The original Form 4473, eral Firearms Licensing Center. The and evidence of receipt or rejection of request must set forth the name, trade delivery of the copy of the Form 4473 name (if any) and address of the li- sent to the chief law enforcement offi- censee, and the number of license cop- cer shall be retained by the licensee as ies desired. There is a charge of $1 for a part of the records required of him to

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be kept under the provisions of subpart arms (whether by loan, rental, or oth- H of this part. erwise) to participants in a skeet, trap, (c)(1) A licensed importer, licensed target, or similar shooting activity for manufacturer, or licensed dealer may use at the time and place such activity sell or deliver a rifle or shotgun, and a is held does not, unattended by other licensed collector may sell or deliver a circumstances, cause such club, asso- rifle or shotgun that is a curio or relic ciation, or similar organization to be to a nonlicensed resident of a State engaged in the business of a dealer in other than the State in which the li- firearms or as engaging in firearms censee’s place of business is located if— transactions. Therefore, licensing and (i) The purchaser meets with the li- recordkeeping requirements contained censee in person at the licensee’s prem- in this part pertaining to firearms ises to accomplish the transfer, sale, transactions would not apply to this and delivery of the rifle or shotgun; temporary furnishing of firearms for (ii) The licensed importer, licensed use on premises on which such an ac- manufacturer, or licensed dealer com- tivity is conducted. plies with the provisions of § 478.102; [T.D. ATF–415, 63 FR 58278, Oct. 29, 1998] (iii) The purchaser furnishes to the licensed importer, licensed manufac- § 478.98 Sales or deliveries of destruc- turer, or licensed dealer the firearms tive devices and certain firearms. transaction record, Form 4473, required The sale or delivery by a licensee of by § 478.124; and any destructive device, machine gun, (iv) The sale, delivery, and receipt of short-barreled shotgun, or short-bar- the rifle or shotgun fully comply with reled rifle, to any person other than the legal conditions of sale in both another licensee who is licensed under such States. this part to deal in such device or fire- (2) For purposes of paragraph (c) of arm, is prohibited unless the person to this section, any licensed manufac- receive such device or firearm fur- turer, licensed importer, or licensed nishes to the licensee a sworn state- dealer is presumed, in the absence of ment setting forth evidence to the contrary, to have had (a) The reasons why there is a rea- actual knowledge of the State laws and sonable necessity for such person to published ordinances of both such purchase or otherwise acquire the de- States. vice or weapon; and (Approved by the Office of Management and (b) That such person’s receipt or pos- Budget under control number 1140–0021) session of the device or weapon would [33 FR 18555, Dec. 14, 1968. Redesignated at 40 be consistent with public safety. Such FR 16835, Apr. 15, 1975, and amended by T.D. sworn statement shall be made on the ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– application to transfer and register the 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. 2, 2008] the application for transfer is approved by the Director and returned to the li- § 478.97 Loan or rental of firearms. censee (transferor) as provided in Part 479 of this chapter. (a) A licensee may lend or rent a firearm to any person for temporary use [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988] off the premises of the licensee for lawful sporting purposes: Provided, That § 478.99 Certain prohibited sales or de- the delivery of the firearm to such per- liveries. son is not prohibited by § 478.99(b) or (a) Interstate sales or deliveries. A li- § 478.99(c), the licensee complies with censed importer, licensed manufac- the requirements of § 478.102, and the li- turer, licensed dealer, or licensed col- censee records such loan or rental in lector shall not sell or deliver any fire- the records required to be kept by him arm to any person not licensed under under Subpart H of this part. this part and who the licensee knows (b) A club, association, or similar or- or has reasonable cause to believe does ganization temporarily furnishing fire- not reside in (or if a corporation or

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other business entity, does not main- (3) Is an unlawful user of or addicted tain a place of business in) the State in to any controlled substance (as defined which the licensee’s place of business in section 102 of the Controlled Sub- or activity is located: Provided, That stance Act, 21 U.S.C. 802); the foregoing provisions of this para- (4) Has been adjudicated as a mental graph (1) shall not apply to the sale or defective or has been committed to any delivery of a rifle or shotgun (curio or mental institution; relic, in the case of a licensed col- (5) Is an alien illegally or unlawfully lector) to a resident of a State other in the United States or, except as pro- than the State in which the licensee’s vided in § 478.32(f), is an alien who has place of business or collection premises been admitted to the United States is located if the requirements of under a nonimmigrant visa: Provided, § 478.96(c) are fully met, and (2) shall That the provisions of this paragraph not apply to the loan or rental of a (c)(5) do not apply to any alien who has firearm to any person for temporary been lawfully admitted to the United use for lawful sporting purposes (see States under a nonimmigrant visa if § 478.97). that alien is— (b) Sales or deliveries to underaged per- (i) Admitted to the United States for sons. A licensed importer, licensed lawful hunting or sporting purposes or manufacturer, licensed dealer, or li- is in possession of a hunting license or censed collector shall not sell or de- permit lawfully issued in the United liver (1) any firearm or ammunition to States; any individual who the importer, manufacturer, dealer, or collector knows or (ii) An official representative of a has reasonable cause to believe is less foreign government who is either ac- than 18 years of age, and, if the fire- credited to the United States Govern- arm, or ammunition, is other than a ment or the Government’s mission to shotgun or rifle, or ammunition for a an international organization having shotgun or rifle, to any individual who its headquarters in the United States the importer, manufacturer, dealer, or or en route to or from another country collector knows or has reasonable to which that alien is accredited. This cause to believe is less than 21 years of exception only applies if the firearm or age, or (2) any firearm to any person in ammunition is shipped, transported, 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 (2) Is a fugitive from justice; partner of such person or child of such

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intimate partner or person, or engag- facture, importation, or sale or deliv- ing in other conduct that would place ery by a manufacturer or importer of an intimate partner in reasonable fear such ammunition or 18 U.S.C. 929 relat- of bodily injury to the partner or child, ing to criminal misuse of such ammu- except that this paragraph shall only nition. apply to a court order that— (i) Was issued after a hearing of [T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as which such person received actual no- amended by T.D. ATF–363, 60 FR 17454, Apr. tice, and at which such person had the 6, 1995; T.D. ATF–401, 63 FR 35523, June 30, 1998; T.D. ATF–471, 67 FR 5426, Feb. 5, 2002; opportunity to participate; and T.D. ATF–24F, 77 FR 33629, June 7, 2012] (ii)(A) Includes a finding that such person represents a credible threat to § 478.100 Conduct of business away the physical safety of such intimate from licensed premises. partner or child; or (B) By its terms explicitly prohibits (a)(1) A licensee may conduct busi- the use, attempted use, or threatened ness temporarily at a gun show or use of physical force against such inti- event as defined in paragraph (b) if the mate partner or child that would rea- gun show or event is located in the sonably be expected to cause bodily in- same State specified on the license: jury, or Provided, That such business shall not (9) Has been convicted of a mis- be conducted from any motorized or demeanor crime of domestic violence. towed vehicle. The premises of the gun (d) Manufacture, importation, and sale show or event at which the licensee of armor piercing ammunition by licensed conducts business shall be considered importers and licensed manufacturers. A part of the licensed premises. Accord- licensed importer or licensed manufac- ingly, no separate fee or license is re- turer shall not import or manufacture quired for the gun show or event loca- armor piercing ammunition or sell or tions. However, licensees shall comply deliver such ammunition, except: with the provisions of § 478.91 relating (1) For use of the United States or to posting of licenses (or a copy there- any department or agency thereof or of) while conducting business at the any State or any department, agency, gun show or event. or political subdivision thereof; (2) A licensed importer, manufac- (2) For the purpose of exportation; or turer, or dealer may engage in the (3) For the purpose of testing or experimentation authorized by the Direc- business of dealing in curio or relic tor under the provisions of § 478.149. firearms with another licensee at any (e) Transfer of armor piercing ammuni- location. tion by licensed dealers. A licensed deal- (b) A gun show or an event is a func- er shall not willfully transfer armor tion sponsored by any national, State, piercing ammunition: Provided, That or local organization, devoted to the armor piercing ammunition received collection, competitive use, or other and maintained by the licensed dealer sporting use of firearms, or an organi- as business inventory prior to August zation or association that sponsors 28, 1986, may be transferred to any de- functions devoted to the collection, partment or agency of the United competitive use, or other sporting use States or any State or political sub- of firearms in the community. division thereof if a record of such am- (c) Licensees conducting business at munition is maintained in the form locations other than the premises spec- and manner prescribed by § 478.125(c). ified on their license under the provi- Any licensed dealer who violates this sions of paragraph (a) of this section paragraph is subject to license revoca- shall maintain firearms records in the tion. See subpart E of this part. For form and manner prescribed by subpart purposes of this paragraph, the Direc- H of this part. In addition, records of tor shall furnish each licensed dealer firearms transactions conducted at information defining which projectiles are considered armor piercing. Such in- such locations shall include the loca- formation may not be all-inclusive for tion of the sale or other disposition, be purposes of the prohibition on manu-

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entered in the acquisition and disposi- transaction number from NICS (which tion records of the licensee, and re- shall include either a NICS transaction tained on the premises specified on the number or, in States where the State is license. recognized as a point of contact for NICS checks, a State transaction num- [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF–401, 63 FR 35523, June ber), such number shall be recorded on 30, 1998] a firearms transaction record, Form 4473, which shall be retained in the § 478.101 Record of transactions. records of the licensee in accordance Every licensee shall maintain fire- with the provisions of § 478.129. This ap- arms and armor piercing ammunition plies regardless of whether the trans- records in such form and manner as is action is approved or denied by NICS, prescribed by subpart H of this part. and regardless of whether the firearm is actually transferred. [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988] (c) Time limitation on NICS checks. A NICS check conducted in accordance § 478.102 Sales or deliveries of firearms on and after November 30, with paragraph (a) of this section may 1998. be relied upon by the licensee only for use in a single transaction, and for a (a) Background check. Except as pro- period not to exceed 30 calendar days vided in paragraph (d) of this section, a from the date that NICS was initially licensed importer, licensed manufac- contacted. If the transaction is not turer, or licensed dealer (the licensee) completed within the 30-day period, the shall not sell, deliver, or transfer a licensee shall initiate a new NICS firearm to any other person who is not check prior to completion of the trans- licensed under this part unless the li- fer. censee meets the following requirements: Example 1 for paragraph (c). A purchaser (1) Before the completion of the completes the Form 4473 on December 15, transfer, the licensee has contacted 1998, and a NICS check is initiated by the li- NICS; censee on that date. The licensee is informed by NICS that the information available to (2)(i) NICS informs the licensee that the system does not indicate that receipt of it has no information that receipt of the firearm by the transferee would be in the firearm by the transferee would be violation of law, and a unique identification in violation of Federal or State law and number is provided. However, the State im- provides the licensee with a unique poses a 7-day waiting period on all firearms identification number; or transactions, and the purchaser does not re- (ii) Three business days (meaning turn to pick up the firearm until January 22, days on which State offices are open) 1999. The licensee must conduct another 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 fied the licensee that receipt of the completes the Form 4473 on January 25, 1999, firearm by the transferee would be in and arranges for the purchase of a single violation of law; and firearm. A NICS check is initiated by the li- (3) The licensee verifies the identity censee on that date. The licensee is informed of the transferee by examining the by NICS that the information available to identification document presented in the system does not indicate that receipt of accordance with the provisions of the firearm by the transferee would be in violation of law, and a unique identification § 478.124(c). number is provided. The State imposes a 7- Example for paragraph (a). A licensee con- day waiting period on all firearms trans- tacts NICS on Thursday, and gets a ‘‘de- actions, and the purchaser returns to pick up layed’’ response. The licensee does not get a the firearm on February 15, 1999. Before the further response from NICS. If State offices licensee executes the Form 4473, and the fire- are not open on Saturday and Sunday, 3 busi- arm is transferred, the purchaser decides to ness days would have elapsed on the fol- purchase an additional firearm. The transfer lowing Tuesday. The licensee may transfer of these two firearms is considered a single the firearm on the next day, Wednesday. transaction; accordingly, the licensee may add the second firearm to the Form 4473, and (b) Transaction number. In any trans- transfer that firearm without conducting an- action for which a licensee receives a other NICS check.

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Example 3 for paragraph (c). A purchaser a handgun to a nonlicensee shall pro- completes a Form 4473 on February 15, 1999. vide such nonlicensee with written no- The licensee receives a unique identification tification as described in paragraph (b) number from NICS on that date, the Form 4473 is executed by the licensee, and the fire- of this section. arm is transferred. On February 20, 1999, the (b) The written notification (ATF I purchaser returns to the licensee’s premises 5300.2) required by paragraph (a) of this and wishes to purchase a second firearm. The section shall state as follows: purchase of the second firearm is a separate (1) The misuse of handguns is a lead- transaction; thus, a new NICS check must be ing contributor to juvenile violence initiated by the licensee. and fatalities. (d) Exceptions to NICS check. The pro- (2) Safely storing and securing fire- visions of paragraph (a) of this section arms away from children will help pre- shall not apply if— vent the unlawful possession of hand- (1) The transferee has presented to guns by juveniles, stop accidents, and the licensee a valid permit or license save lives. that— (3) Federal law prohibits, except in (i) Allows the transferee to possess, certain limited circumstances, anyone acquire, or carry a firearm; under 18 years of age from knowingly (ii) Was issued not more than 5 years possessing a handgun, or any person earlier by the State in which the trans- from transferring a handgun to a per- fer is to take place; and son under 18. (iii) The law of the State provides (4) A knowing violation of the prohi- that such a permit or license is to be bition against selling, delivering, or issued only after an authorized govern- otherwise transferring a handgun to a ment official has verified that the in- person under the age of 18 is, under cer- formation available to such official tain circumstances, punishable by up does not indicate that possession of a to 10 years in prison. firearm by the transferee would be in violation of Federal, State, or local FEDERAL LAW law: Provided, That on and after No- The Gun Control Act of 1968, 18 U.S.C. vember 30, 1998, the information avail- Chapter 44, provides in pertinent part as fol- able to such official includes the NICS; lows: (2) The firearm is subject to the provisions of the National Firearms Act 18 U.S.C. 922(x) and has been approved for transfer (x)(1) It shall be unlawful for a person to under 27 CFR part 479; or sell, deliver, or otherwise transfer to a per- (3) On application of the licensee, in son who the transferor knows or has reason- accordance with the provisions of able cause to believe is a juvenile— § 478.150, the Director has certified that (A) a handgun; or compliance with paragraph (a)(1) of (B) ammunition that is suitable for use 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— graph (d)(1) of this section (or a copy (A) a handgun; or thereof) shall be retained or the re- (B) ammunition that is suitable for use quired information from the document only in a handgun. shall be recorded on the firearms trans- (3) This subsection does not apply to— action record in accordance with the (A) a temporary transfer of a handgun or provisions of § 478.131. ammunition to a juvenile or to the possession or use of a handgun or ammunition by (Approved by the Office of Management and a juvenile if the handgun and ammunition Budget under control number 1140–0045) are possessed and used by the juvenile— [T.D. ATF–415, 63 FR 58279, Oct. 29, 1998, as (i) in the course of employment, in the amended by ATF–11F, 73 FR 57241, Oct. 2, course of ranching or farming related to ac- 2008] tivities at the residence of the juvenile (or on property used for ranching or farming at § 478.103 Posting of signs and written which the juvenile, with the permission of notification to purchasers of hand- the property owner or lessee, is performing guns. activities related to the operation of the farm or ranch), target practice, hunting, or a (a) Each licensed importer, manufac- course of instruction in the safe and lawful turer, dealer, or collector who delivers use of a handgun;

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(ii) with the prior written consent of the 18 U.S.C. 924(a)(6) juvenile’s parent or guardian who is not pro- (6)(A)(i) A juvenile who violates section hibited by Federal, State, or local law from 922(x) shall be fined under this title, impris- possessing a firearm, except— oned not more than 1 year, or both, except (I) during transportation by the juvenile of that a juvenile described in clause (ii) shall an unloaded handgun in a locked container be sentenced to probation on appropriate directly from the place of transfer to a place conditions and shall not be incarcerated unat which an activity described in clause (i) is less the juvenile fails to comply with a con- to take place and transportation by the juve- dition of probation. nile of that handgun, unloaded and in a (ii) A juvenile is described in this clause locked container, directly from the place at if— which such an activity took place to the (I) the offense of which the juvenile is transferor; or charged is possession of a handgun or ammu- (II) with respect to ranching or farming ac- nition in violation of section 922(x)(2); and tivities as described in clause (i) a juvenile (II) the juvenile has not been convicted in may possess and use a handgun or ammuni- any court of an offense (including an offense tion with the prior written approval of the under section 922(x) or a similar State law, juvenile’s parent or legal guardian and at the but not including any other offense con- direction of an adult who is not prohibited sisting of conduct that if engaged in by an by Federal, State, or local law from pos- adult would not constitute an offense) or ad- sessing a firearm; judicated as a juvenile delinquent for con- (iii) the juvenile has the prior written conduct that if engaged in by an adult would sent in the juvenile’s possession at all times constitute an offense. when a handgun is in the possession of the (B) A person other than a juvenile who juvenile; and knowingly violates section 922(x)— (iv) in accordance with State and local law; (i) shall be fined under this title, impris- (B) a juvenile who is a member of the oned not more than 1 year, or both; and Armed Forces of the United States or the (ii) if the person sold, delivered, or other- National Guard who possesses or is armed wise transferred a handgun or ammunition with a handgun in the line of duty; to a juvenile knowing or having reasonable (C) a transfer by inheritance of title (but cause to know that the juvenile intended to not possession) of a handgun or ammunition carry or otherwise possess or discharge or to a juvenile; or otherwise use the handgun or ammunition in (D) the possession of a handgun or ammu- the commission of a crime of violence, shall nition by a juvenile taken in defense of the be fined under this title, imprisoned not juvenile or other persons against an intruder more than 10 years, or both. into the residence of the juvenile or a resi- (c) This written notification shall be dence in which the juvenile is an invited delivered to the nonlicensee on ATF I guest. 5300.2, or in the alternative, the same (4) A handgun or ammunition, the possession of which is transferred to a juvenile in written notification may be delivered circumstances in which the transferor is not to the nonlicensee on another type of in violation of this subsection shall not be written notification, such as a manu- subject to permanent confiscation by the facturer’s or importer’s brochure ac- 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 hand- sales receipt or invoice applied to the gun or ammunition is no longer required by 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 pres- written notification other than ATF I ence of a juvenile defendant’s parent or legal 5300.2 shall be legible, clear, and con- guardian at all proceedings. spicuous, and the required language (B) The court may use the contempt power shall appear in type size no smaller to enforce subparagraph (A). than 10-point type. (C) The court may excuse attendance of a parent or legal guardian of a juvenile defend- (d) Except as provided in paragraph ant at a proceeding in a prosecution of a vio- (f) of this section, each licensed im- lation of this subsection for good cause porter, manufacturer, or dealer who de- shown. livers a handgun to a nonlicensee shall

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display at its licensed premises (includ- otherwise obtained by the person out- ing temporary business locations at side of that State. However, section gun shows) a sign as described in para- 925(a)(4) provides a limited exception graph (e) of this section. The sign shall for the transportation, shipment, re- be displayed where customers can read- ceipt or importation of certain fire- ily see it. Licensed importers, manu- arms and ammunition by certain mem- facturers, and dealers will be provided bers of the United States Armed with such signs by ATF. Replacement Forces. Section 922(1) of the Act makes signs may be requested from the ATF it unlawful for any person knowingly Distribution Center. to import or bring into the United (e) The sign (ATF I 5300.1) required States or any possession thereof any by paragraph (d) of this section shall firearm or ammunition except as pro- state as follows: vided by section 925(d) of the Act, (1) The misuse of handguns is a leading which section provides standards for contributor to juvenile violence and fatali- importing or bringing firearms or am- ties. munition into the United States. Sec- (2) Safely storing and securing firearms tion 925(d) also provides standards for away from children will help prevent the un- importing or bringing firearm barrels lawful possession of handguns by juveniles, into the United States. Accordingly, no stop accidents, and save lives. firearm, firearm barrel, or ammunition (3) Federal law prohibits, except in certain may be imported or brought into the limited circumstances, anyone under 18 years of age from knowingly possessing a United States except as provided by handgun, or any person from transferring a this part. handgun to a person under 18. (b) Where a firearm, firearm barrel, (4) A knowing violation of the prohibition or ammunition is imported and the au- against selling, delivering, or otherwise thorization for importation required by transferring a handgun to a person under the this subpart has not been obtained by age of 18 is, under certain circumstances, the person importing same, such per- punishable by up to 10 years in prison. son shall: NOTE: ATF I 5300.2 provides the complete (1) Store, at the person’s expense, language of the statutory prohibitions and such firearm, firearm barrel, or ammu- exceptions provided in 18 U.S.C. 922(x) and the penalty provisions of 18 U.S.C. 924(a)(6). nition at a facility designated by U.S The Federal firearms licensee posting this Customs or the Director of Industry sign will provide you with a copy of this pub- Operations to await the issuance of the lication upon request. Requests for addi- required authorization or other disposi- tional copies of ATF I 5300.2 should be mailed tion; or to the ATF Distribution Center, P.O. Box (2) Abandon such firearm, firearm 5950, Springfield, Virginia 22150–5950. barrel, or ammunition to the U.S. Gov- (f) The sign required by paragraph (d) ernment; or of this section need not be posted on (3) Export such firearm, firearm bar- the premises of any licensed importer, rel, or ammunition. manufacturer, or dealer whose only (c) Any inquiry relative to the provi- dispositions of handguns to non- sions or procedures under this subpart, licensees are to nonlicensees who do other than that pertaining to the pay- not appear at the licensed premises and ment of customs duties or the release the dispositions otherwise comply with from Customs custody of firearms, fire- the provisions of this part. arm barrels, or ammunition authorized [T.D. ATF–402, 63 FR 37742, July 13, 1998] by the Director to be imported, shall be directed to the Director of Industry Op- Subpart G—Importation erations for reply. [T.D. ATF–270, 53 FR 10498, Mar. 31, 1988] § 478.111 General. (a) Section 922(a)(3) of the Act makes § 478.112 Importation by a licensed im- it unlawful, with certain exceptions porter. not pertinent here, for any person (a) No firearm, firearm barrel, or am- other than a licensee to transport into munition shall be imported or brought or receive in the State where the per- into the United States by a licensed son resides any firearm purchased or importer (as defined in § 478.11) unless

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the Director has authorized the impor- of how it was rendered unserviceable tation of the firearm, firearm barrel, or and an explanation of why it is a curio ammunition. or museum piece; or (b)(1) An application for a permit, (D) If a firearm other than a surplus ATF Form 6—Part I, to import or bring military firearm, of a type that does a firearm, firearm barrel, or ammuni- not fall within the definition of a fire- tion into the United States or a posses- arm under section 5845(a) of the Inter- sion thereof under this section must be nal Revenue Code of 1986, and is for filed, in triplicate, with the Director. sporting purposes, an explanation of The application must be signed and why the firearm is generally recognized dated and must contain the informa- as particularly suitable for or readily tion requested on the form, including: adaptable to sporting purposes; or (i) The name, address, telephone (E) If ammunition being imported for number, and license number (including sporting purposes, a statement why the expiration date) of the importer; ammunition is particularly suitable for (ii) The country from which the fire- or readily adaptable to sporting pur- arm, firearm barrel, or ammunition is poses; or to be imported; (F) If a firearm barrel for a handgun, (iii) The name and address of the for- an explanation why the handgun is eign seller and foreign shipper; generally recognized as particularly (iv) A description of the firearm, fire- suitable for or readily adaptable to arm barrel, or ammunition to be im- sporting purposes. ported, including: (2)(i) If the Director approves the ap- (A) The name and address of the plication, such approved application manufacturer; will serve as the permit to import the (B) The type (e.g., rifle, shotgun, pis- firearm, firearm barrel, or ammunition tol, revolver and, in the case of ammu- described therein, and importation of nition only, ball, wadcutter, shot, etc.); such firearms, firearm barrels, or am- (C) The caliber, gauge, or size; munition may continue to be made by (D) The model; the licensed importer under the ap- (E) The barrel length, if a firearm or proved application (permit) during the firearm barrel (in inches); period specified thereon. The Director (F) The overall length, if a firearm will furnish the approved application (in inches); (permit) to the applicant and retain (G) The serial number, if known; two copies thereof for administrative (H) Whether the firearm is new or use. used; (ii) If the Director disapproves the (I) The quantity; application, the licensed importer will (J) The unit cost of the firearm, fire- be notified of the basis for the dis- arm barrel, or ammunition to be im- approval. ported; (c) A firearm, firearm barrel, or am- (v) The specific purpose of importa- munition imported or brought into the tion, including final recipient informa- United States or a possession thereof tion if different from the importer; under the provisions of this section by (vi) Verification that if a firearm, it a licensed importer may be released will be identified as required by this from Customs custody to the licensed part; and importer upon showing that the im- (vii)(A) If a firearm or ammunition porter has obtained a permit from the imported or brought in for scientific or Director for the importation of the research purposes, a statement describ- 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.

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(1) In obtaining the release from Cus- § 478.113 Importation by other licens- toms custody of a firearm, firearm bar- ees. rel, or ammunition authorized by this (a) No person other than a licensed section to be imported through the use importer (as defined in § 478.11) shall of a permit, the licensed importer will engage in the business of importing prepare ATF Form 6A, in duplicate, firearms or ammunition. Therefore, no and furnish the original ATF Form 6A firearm or ammunition shall be im- to the Customs officer releasing the ported or brought into the United firearm, firearm barrel, or ammuni- States or a possession thereof by any tion. The Customs officer will, after licensee other than a licensed importer certification, forward the ATF Form unless the Director issues a permit au- 6A to the address specified on the form. thorizing the importation of the fire- (2) The ATF Form 6A must contain arm or ammunition. No barrel for a the information requested on the form, handgun not generally recognized as including: particularly suitable for or readily (i) The name, address, and license adaptable to sporting purposes shall be number of the importer; imported or brought into the United States or a possession thereof by any (ii) The name of the manufacturer of person. Therefore, no firearm barrel the firearm, firearm barrel, or ammu- shall be imported or brought into the nition; United States or possession thereof by (iii) The country of manufacture; any licensee other than a licensed im- (iv) The type; porter unless the Director issues a per- (v) The model; mit authorizing the importation of the (vi) The caliber, gauge, or size; firearm barrel. (vii) The serial number in the case of (b)(1) An application for a permit, firearms, if known; and ATF Form 6—Part I, to import or bring (viii) The number of firearms, fire- a firearm, firearm barrel, or ammuni- arm barrels, or rounds of ammunition tion into the United States or a posses- released. sion thereof by a licensee, other than a (d) Within 15 days of the date of re- licensed importer, must be filed, in lease from Customs custody, the li- triplicate, with the Director. The appli- censed importer must: cation must be signed and dated and must contain the information re- (1) Forward to the address specified quested on the form, including: on the form a copy of ATF Form 6A on (i) The name, address, telephone which must be reported any error or number, and license number (including discrepancy appearing on the ATF expiration date) of the applicant; 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;

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(H) Whether the firearm is new or (ii) If the Director disapproves the used; application, the applicant will be noti- (I) The quantity; fied of the basis for the disapproval. (J) The unit cost of the firearm, fire- (c) A firearm, firearm barrel, or am- arm barrel, or ammunition to be im- munition imported or brought into the ported; United States or a possession thereof (v) The specific purpose of importa- under the provisions of this section tion, including final recipient informa- may be released from Customs custody to the licensee upon showing that the tion if different from the applicant; licensee has obtained a permit from and the Director for the importation of the (vi)(A) If a firearm or ammunition firearm, firearm barrel, or ammunition imported or brought in for scientific or to be released. research purposes, a statement describ- (1) In obtaining the release from Cus- ing such purpose; or toms custody of a firearm, firearm bar- (B) If a firearm or ammunition for rel, or ammunition authorized by this use in connection with competition or section to be imported through the use training pursuant to Chapter 401 of of a permit, the licensee will prepare Title 10, U.S.C., a statement describing ATF Form 6A, in duplicate, and furnish such intended use; or the original ATF Form 6A to the Cus- (C) If an unserviceable firearm (other toms officer releasing the firearm, fire- than a machine gun) being imported as arm barrel, or ammunition. The Cus- a curio or museum piece, a description toms officer will, after certification, of how it was rendered unserviceable forward the ATF Form 6A to the ad- and an explanation of why it is a curio dress specified on the form. or museum piece; or (2) The ATF Form 6A must contain (D) If a firearm other than a surplus the information requested on the form, military firearm, of a type that does including: not fall within the definition of a fire- (i) The name, address, and license arm under section 5845(a) of the Inter- number of the licensee; nal Revenue Code of 1986, and is for (ii) The name of the manufacturer of sporting purposes, an explanation of the firearm, firearm barrel, or ammu- why the firearm is generally recognized nition; as particularly suitable for or readily (iii) The country of manufacture; adaptable to sporting purposes; or (iv) The type; (v) The model; (E) If ammunition being imported for (vi) The caliber, gauge, or size; sporting purposes, a statement why the (vii) The serial number in the case of ammunition is particularly suitable for firearms; and or readily adaptable to sporting pur- (viii) The number of firearms, fire- poses; or arm barrels, or rounds of ammunition (F) If a firearm barrel for a handgun, released. an explanation why the handgun is generally recognized as particularly (Paragraph (b) approved by the Office of suitable for or readily adaptable to Management and Budget under control number 1140–0005; paragraph (c) approved by the sporting purposes. Office of Management and Budget under con- (2)(i) If the Director approves the ap- trol number 1140–0007) plication, such approved application [T.D. ATF–270, 53 FR 10499, Mar. 31, 1988, as will serve as the permit to import the amended by T.D. ATF–426, 65 FR 38199, June firearm, firearm barrel, or ammunition 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] described therein, and importation of such firearms, firearm barrels, or am- § 478.113a Importation of firearm bar- munition may continue to be made by rels by nonlicensees. the applicant under the approved appli- (a) A permit will not be issued for a cation (permit) during the period speci- firearm barrel for a handgun not gen- fied thereon. The Director will furnish erally recognized as particularly suit- the approved application (permit) to able for or readily adaptable to sport- the applicant and retain two copies ing purposes. No firearm barrel shall be thereof for administrative use. imported or brought into the United

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States or possession thereof by any ing the firearm barrel upon showing nonlicensee unless the Director issues that the person has obtained a permit a permit authorizing the importation from the Director for the importation of the firearm barrel. of the firearm barrel to be released. (b)(1) An application for a permit, (1) In obtaining the release from Cus- ATF Form 6—Part I, to import or bring toms custody of a firearm barrel au- a firearm barrel into the United States thorized by this section to be imported or a possession thereof under this sec- through the use of a permit, the person tion must be filed, in triplicate, with importing the firearm barrel will pre- the Director. The application must be pare ATF Form 6A, in duplicate, and signed and dated and must contain the furnish the original ATF Form 6A to information requested on the form, in- the Customs officer releasing the fire- cluding: arm barrel. The Customs officer will, (i) The name, address, and telephone after certification, forward the ATF number of the applicant; Form 6A to the address specified on the (ii) The country from which the fire- form. arm barrel is to be imported; (2) The ATF Form 6A must contain (iii) The name and address of the for- the information requested on the form, eign seller and foreign shipper; including: (iv) A description of the firearm bar- (i) The name and address of the per- rel to be imported, including: son importing the firearm barrel; (A) The name and address of the (ii) The name of the manufacturer of manufacturer; the firearm barrel; (B) The type (e.g., rifle, shotgun, pis- (iii) The country of manufacture; tol, revolver); (iv) The type; (C) The caliber, gauge, or size; (v) The model; (D) The model; (vi) The caliber or gauge of the fire- (E) The barrel length (in inches); arm barrel so released; and (F) The quantity; (vii) The number of firearm barrels (G) The unit cost of the firearm bar- released. rel; (Paragraph (b) approved by the Office of (v) The specific purpose of importa- Management and Budget under control num- tion, including final recipient informa- ber 1140–0005; paragraph (c) approved by the tion if different from the importer; and Office of Management and Budget under con- (vi) If a handgun barrel, an expla- trol number 1140–0007) nation of why the barrel is for a hand- [T.D. ATF–270, 53 FR 10499, Mar. 31, 1988, as gun that is generally recognized as par- amended by T.D. ATF–426, 65 FR 38200, June ticularly suitable for or readily adapt- 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] able to sporting purposes. (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

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ammunition into the United States (ix) The applicant’s place of resi- under this section must be filed, in dence; triplicate, with the Director. The appli- (x) The applicant’s present foreign cation must be signed and dated and duty station or last foreign duty sta- must contain the information re- tion, as the case may be; quested on the form, including: (xi) The date of the applicant’s reas- (i) The name, current address, and signment to a duty station within the telephone number of the applicant; United States, if applicable; and (ii) Certification that the transpor- (xii) The military branch of which tation, receipt, or possession of the the applicant is a member. firearm or ammunition to be imported (2)(i) If the Director approves the ap- would not constitute a violation of any plication, such approved application provision of the Act or of any State will serve as the permit to import the law or local ordinance at the place of firearm or ammunition described the applicant’s residence; therein. The Director will furnish the (iii) The country from which the fire- approved application (permit) to the arm or ammunition is to be imported; applicant and retain two copies thereof (iv) The name and address of the for- for administrative use. eign seller and foreign shipper; (ii) If the Director disapproves the (v) A description of the firearm or application, the applicant will be noti- ammunition to be imported, including: fied of the basis for the disapproval. (A) The name and address of the (b) Except as provided in paragraph manufacturer; (b)(3) of this section, a firearm or am- (B) The type (e.g., rifle, shotgun, pis- munition imported into the United tol, revolver and, in the case of ammu- States under the provisions of this sec- nition only, ball, wadcutter, shot, etc.); tion by the applicant may be released (C) The caliber, gauge, or size; from Customs custody to the applicant upon showing that the applicant has (D) The model; obtained a permit from the Director for (E) The barrel length, if a firearm (in the importation of the firearm or am- inches); munition to be released. (F) The overall length, if a firearm (1) In obtaining the release from Cus- (in inches); toms custody of a firearm or ammuni- (G) The serial number; tion authorized by this section to be (H) Whether the firearm is new or imported through the use of a permit, used; the military member of the U.S. Armed (I) The quantity; Forces will prepare ATF Form 6A and (J) The unit cost of the firearm or furnish the completed form to the Cus- ammunition to imported; toms officer releasing the firearm or (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.

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(3) When such military member is on that such firearms and ammunition active duty outside the United States, were so obtained. the military member may appoint, in (b) Firearms, firearm barrels, and writing, an agent to obtain the release ammunition may be imported or of the firearm or ammunition from brought into the United States by or Customs custody for such member. for the United States or any depart- Such agent will present sufficient iden- ment or agency thereof, or any State tification of the agent and the written or any department, agency, or political authorization to act on behalf of such subdivision thereof. A firearm, firearm military member to the Customs offi- barrel or ammunition imported or cer who is to release the firearm or am- brought into the United States under munition. this paragraph may be released from (c) Firearms determined by the De- Customs custody upon a showing that partment of Defense to be war sou- the firearm, firearm barrel or ammuni- venirs may be imported into the United tion is being imported or brought into States by the military members of the the United States by or for such a gov- U.S. Armed Forces under such provi- ernmental entity. sions and procedures as the Depart- (c) The provisions of this subpart ment of Defense may issue. shall not apply with respect to the importation into the United States of any (Paragraph (a) approved by the Office of antique firearm. Management and Budget under control num- (d) Firearms and ammunition are not ber 1140–0006; paragraph (b) approved by the imported into the United States, and Office of Management and Budget under con- the provisions of this subpart shall not trol number 1140–0007) apply, when such firearms and ammu- [T.D. ATF–270, 53 FR 10500, Mar. 31, 1988, as nition are brought into the United amended by T.D. ATF–426, 65 FR 38200, June States by: 20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008] (1) A nonresident of the United States for legitimate hunting or lawful § 478.115 Exempt importation. sporting purposes, and such firearms (a) Firearms and ammunition may be and such ammunition as remains fol- brought into the United States or any lowing such shooting activity are to be possession thereof by any person who taken back out of the territorial limits can establish to the satisfaction of Cus- of the United States by such person toms that such firearm or ammunition upon conclusion of the shooting activ- was previously taken out of the United ity; States or any possession thereof by (2) Foreign military personnel on of- such person. Registration on Customs ficial assignment to the United States Form 4457 or on any other registration who bring such firearms or ammuni- document available for this purpose tion into the United States for their 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

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have been so designated by the Depart- the firearm, firearm barrel, ammuni- ment of State, and such firearms and tion, or ammunition feeding device or unexpended ammunition are taken destroy same if a determination is back out of the territorial limits of the made that the firearm, firearm barrel, United States by such officials of for- ammunition, or ammunition feeding eign governments and distinguished device may not be imported or brought foreign visitors when they leave the in under this part. A firearm, firearm United States; and barrel, ammunition, or ammunition (5) Foreign law enforcement officers feeding device imported or brought of friendly foreign governments enter- into the United States or any posses- ing the United States on official law sion thereof under the provisions of enforcement business, and such fire- this section shall be released from Cus- arms and unexpended ammunition are toms custody upon the payment of cus- taken back out of the territorial limits toms duties, if applicable, and in the of the United States by such foreign manner prescribed in the conditional law enforcement officers when they authorization issued by the Director. leave the United States. (e) Notwithstanding the provisions of [T.D. ATF–383, 61 FR 39321, July 29, 1996] paragraphs (d) (1), (2), (3), (4) and (5) of this section, the Secretary of the § 478.117 Function outside a customs Treasury or his delegate may in the in- territory. terest of public safety and necessity re- In the insular possessions of the quire a permit for the importation or United States outside customs terri- bringing into the United States of any tory, the functions performed by U.S. firearms or ammunition. Customs officers under this subpart [33 FR 18555, Dec. 14, 1968. Redesignated at 40 within a customs territory may be per- FR 16835, Apr. 15, 1975, and amended by T.D. formed by the appropriate authorities ATF–58, 44 FR 32367, June 6, 1979; T.D. ATF– of a territorial government or other of- 270, 53 FR 10500, Mar. 31, 1988; T.D. ATF–471, ficers of the United States who have 67 FR 5426, Feb. 5, 2002] been designated to perform such functions. For the purpose of this subpart, § 478.116 Conditional importation. the term customs territory means the The Director shall permit the condi- United States, the District of Colum- tional importation or bringing into the bia, and the Commonwealth of Puerto United States or any possession thereof Rico. of any firearm, firearm barrel, ammunition, or ammunition feeding device § 478.118 Importation of certain fire- as defined in § 478.119(b) for the purpose arms classified as curios or relics. of examining and testing the firearm, Notwithstanding any other provision firearm barrel, ammunition, or ammu- of this part, a licensed importer may nition feeding device in connection import all rifles and shotguns classi- with making a determination as to fied by the Director as curios or relics, whether the importation or bringing in and all handguns classified by the Di- of such firearm, firearm barrel, ammu- rector as curios or relics that are de- nition, or ammunition feeding device termined to be generally recognized as will be authorized under this part. An particularly suitable for or readily application on ATF Form 6 for such adaptable to sporting purposes. The conditional importation shall be filed, importation of such curio or relic fire- in duplicate, with the Director. The Di- arms must be in accordance with the rector may impose conditions upon any applicable importation provisions of importation under this section includ- this part and the importation provi- ing a requirement that the firearm, sions of 27 CFR part 447. Curios or rel- firearm barrel, ammunition, or ammu- ics which fall within the definition of nition feeding device be shipped di- ‘‘firearm’’ under 26 U.S.C. 5845(a) must rectly from Customs custody to the Di- also meet the importation provisions of rector and that the person importing 27 CFR part 479 before they may be im- or bringing in the firearm, firearm bar- ported. rel, ammunition, or ammunition feeding device must agree to either export [T.D. ATF–202, 50 FR 14383, Apr. 12, 1985]

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§ 478.119 Importation of ammunition (ii) A certification from the im- feeding devices. porter, under penalty of perjury, that (a) No ammunition feeding device the importer maintained continuous shall be imported or brought into the custody beginning on a date prior to United States unless the Director has September 14, 1994, and continuing authorized the importation of such de- until the date of the certification. Such vice. certification shall also be supported by reasonable documentary evidence, such (b) For purposes of this section, an as commercial records; ‘‘ammunition feeding device’’ is a mag- (iii) A certification from the im- azine, belt, drum, feed strip, or similar porter, under penalty of perjury, that device for a firearm that has a capacity the magazines sought to be imported of, or that can be readily restored or were in the custody and control of a converted to accept, more than 10 foreign Government on or before Sep- rounds of ammunition. The term does tember 13, 1994, along with reasonable not include an attached tubular device documentary evidence to support the designed to accept, and capable of oper- certification; or ating only with, .22 caliber rimfire am- (iv) A certification from the im- munition, or a fixed device for a manu- porter, under penalty of perjury, that ally operated firearm, or a fixed device the magazine was in the possession of a for a firearm listed in 18 U.S.C. 922, ap- foreign arms supplier on or before Sep- pendix A. tember 13, 1994, along with reasonable (c) An application for a permit, ATF documentary evidence to support the Form 6, to import or bring an ammuni- certification. tion feeding device into the United (d) The Director shall act upon appli- States or a possession thereof under cations to import ammunition feeding this section shall be filed, in triplicate, devices as expeditiously as possible. If with the Director. The application the Director approves the application, shall contain: such approved application shall serve (1) The name and address of the per- as the permit to import the device de- son importing the device, scribed therein, and importation of (2) A description of the device to be such devices may continue to be made imported, including type and cartridge by the person importing such devices capacity, model and caliber of firearm under the approved application (per- for which the device was made, country mit) during the period specified thereof manufacture, and name of the manu- on. The Director shall furnish the ap- facturer if known, proved application (permit) to the ap- (3) The unit cost of the device to be plicant and retain two copies thereof imported, for administrative use. If the Director (4) The country from which to be im- disapproves the application, the person ported, importing such devices shall be noti- (5) The name and address of the for- fied of the basis for the disapproval. eign seller and the foreign shipper, (e) An ammunition feeding device im- (6) Verification that such device will ported or brought into the United be marked as required by this part, and States by a person importing such a de- (7) A statement by the importer that vice may be released from Customs the device is being imported for sale to custody to the person importing such a purchasers specified in § 478.40a(b) or device upon showing that such person physical or reasonable documentary has obtained a permit from the Direc- evidence establishing that the maga- tor for the importation of the device to zine was manufactured on or before be released. In obtaining the release September 13, 1994. Any one of the fol- from Customs custody of such a device lowing examples, which are not meant authorized by this section to be im- to be exhaustive, may be sufficient to ported through use of a permit, the establish the time of manufacture: person importing such a device shall (i) Permanent markings or physical prepare ATF Form 6A, in duplicate, characteristics which establish that and furnish the original ATF Form 6A the magazine was manufactured on or to the Customs officer releasing the de- before September 13, 1994; vice. The Customs officer shall, after

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certification, forward the ATF Form tion specified in 18 U.S.C. 922(y)(2) (e.g., 6A to the address specified on the form. a hunting license or permit lawfully The ATF Form 6A shall show the name issued in the United States) or has ob- and address of the person importing tained a waiver as specified in 18 U.S.C. the device, the name of the manufac- 922(y)(3). turer of the device, the country of (2) Aliens admitted to the United manufacture, the type, model, caliber, States under a nonimmigrant visa im- size, and the number of devices reporting or bringing firearms or ammu- leased. nition into the United States must pro- (f) Within 15 days of the date of re- vide the United States Customs and lease from Customs custody, the person Border Protection with applicable doc- importing such a device shall: umentation (e.g., a hunting license or (1) Forward to the address specified permit lawfully issued in the United on the form a copy of ATF Form 6A on States) establishing the nonimmigrant which shall be reported any error or alien falls within an exception speci- discrepancy appearing on the ATF fied in 18 U.S.C. 922(y)(2) or has ob- Form 6A certified by Customs, and tained a waiver as specified in 18 U.S.C. (2) Pursuant to § 478.92, place all re- 922(y)(3) before the firearm or ammuni- quired identification data on each im- tion may be imported. This provision ported device manufactured after Sep- applies in all cases, whether or not a tember 13, 1994, if same did not bear Form 6 is needed to bring the firearms such identification data at the time of or ammunition into the United States. its release from Customs custody. (Approved by the Office of Management and (g) The Director may authorize the Budget under control number 1140–0060) conditional importation of an ammunition feeding device as provided in [T.D. ATF–24F, 77 FR 33629, June 7, 2012] § 478.116. Subpart H—Records (Paragraphs (a), (c), and (d) approved by the Office of Management and Budget under con- § 478.121 General. trol numbers 1140–0005 and 1140–0006; paragraphs (e) and (f) approved by the Office of (a) The records pertaining to fire- Management and Budget under control num- arms transactions prescribed by this ber 1140–0007) part shall be retained on the licensed [T.D. ATF–383, 61 FR 39322, July 29, 1996, as premises in the manner prescribed by amended by ATF–11F, 73 FR 57241, Oct. 2, this subpart and for the length of time 2008] prescribed by § 478.129. The records pertaining to ammunition prescribed by § 478.120 Firearms or ammunition im- this part shall be retained on the li- ported by or for a nonimmigrant censed premises in the manner pre- alien. scribed by § 478.125. (a) General. A nonimmigrant alien (b) ATF officers may, for the pur- temporarily importing or bringing fire- poses and under the conditions pre- arms or ammunition into the United scribed in § 478.23, enter the premises of States for lawful hunting or sporting any licensed importer, licensed manu- purposes must first obtain an approved facturer, licensed dealer, or licensed ATF Form 6NIA (5330.3D). collector for the purpose of examining (b) Aliens admitted to the United States or inspecting any record or document under a nonimmigrant visa. (1) Any alien required by or obtained under this lawfully admitted to the United States part. Section 923(g) of the Act requires under a nonimmigrant visa who com- licensed importers, licensed manufac- pletes an ATF Form 6NIA to import turers, licensed dealers, and licensed firearms or ammunition into the collectors to make such records avail- United States, or any licensee who able for such examination or inspection completes an ATF Form 6 to import during business hours or, in the case of firearms or ammunition for such nonlicensed collectors, hours of operation, immigrant alien, must attach applica- as provided in § 478.23. ble documentation to the Form 6NIA (c) Each licensed importer, licensed or Form 6 establishing the non- manufacturer, licensed dealer, and li- immigrant alien falls within an excep- censed collector shall maintain such

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

IMPORTER’S FIREARMS DISPOSITION RECORD

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

IMPORTER’S ARMOR PIERCING AMMUNITION DISPOSITION RECORD

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

(c) Notwithstanding the provisions of tion, in duplicate, to the Director of In- paragraph (b) of this section, the Direc- dustry Operations and shall describe tor of Industry Operations may author- the proposed alternate records and the ize alternate records to be maintained need therefor. Such alternate records by a licensed importer to record the shall not be employed by the licensed disposal of firearms and armor piercing importer until approval in such regard ammunition when it is shown by the li- is received from the Director of Indus- censed importer that such alternate try Operations. records will accurately and readily dis- (d) Each licensed importer shall close the information required by para- maintain separate records of the sales graph (b) of this section. A licensed im- or other dispositions made of firearms porter who proposes to use alternate to nonlicensees. Such records shall be records shall submit a letter applica- maintained in the form and manner as

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

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(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 place of birth; height, weight and race or have reasonable cause to believe of the transferee; the transferee’s coun- that the transferee is disqualified by try of citizenship; the transferee’s INS- law from receiving the firearm and issued alien number or admission num- transfer the firearm described on the ber; the transferee’s State of residence; Form 4473. and certification by the transferee that (d) Prior to making an over-the- the transferee is not prohibited by the counter transfer of a shotgun or rifle Act from transporting or shipping a under the provisions contained in firearm in interstate or foreign com- § 478.96(c) to a nonlicensee who is not a merce or receiving a firearm which has resident of the State in which the li- been shipped or transported in inter- censee’s business premises is located, state or foreign commerce or pos- the licensee so transferring the shot- sessing a firearm in or affecting com- gun or rifle, and such transferee, shall merce. comply with the requirements of para- (2) In order to facilitate the transfer graph (c) of this section. of a firearm and enable NICS to verify (e) Prior to making a transfer of a the identity of the person acquiring the firearm to any nonlicensee who is not a firearm, ATF Form 4473 also requests resident of the State in which the li- certain optional information. This in- censee’s business premises is located, formation includes the transferee’s so- and such nonlicensee is acquiring the cial security number. Such information firearm by loan or rental from the li- may help avoid the possibility of the censee for temporary use for lawful transferee being misidentified as a sporting purposes, the licensed im- felon or other prohibited person. porter, licensed manufacturer, or li- (3) After the transferee has executed censed dealer so furnishing the firearm, the Form 4473, the licensee: and such transferee, shall comply with (i) Shall verify the identity of the the provisions of paragraph (c) of this transferee by examining the identifica- section. tion document (as defined in § 478.11) (f) Form 4473 shall be submitted, in presented, and shall note on the Form duplicate, to a licensed importer, li- 4473 the type of identification used; censed manufacturer, or licensed deal- (ii) [Reserved] er by a transferee who is purchasing or (iii) Must, in the case of a transferee otherwise acquiring a firearm by other who is an alien admitted to the United than an over-the-counter transaction, States under a nonimmigrant visa who who is not subject to the provisions of states that he or she falls within an ex- § 478.102(a), and who is a resident of the ception to, or has a waiver from, the State in which the licensee’s business prohibition in section 922(g)(5)(B) of premises are located. The Form 4473 the Act, have the transferee present shall show the name, address, date and applicable documentation establishing place of birth, height, weight, and race the exception or waiver, note on the of the transferee; and the title, name, Form 4473 the type of documentation and address of the principal law en- provided, and attach a copy of the doc- forcement officer of the locality to umentation to the Form 4473; and which the firearm will be delivered. (iv) Shall comply with the require- The transferee also must date and exe- ments of § 478.102 and record on the cute the sworn statement contained on form the date on which the licensee the form showing, in case the firearm contacted the NICS, as well as any re- to be transferred is a firearm other

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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. arm which has been shipped or trans- (i) A licensee may obtain, upon reported in interstate or foreign com- quest, an emergency supply of Forms merce or possessing a firearm in or af- 4473 from any Director of Industry Op- fecting commerce; and the transferee’s erations. For normal usage, a licensee receipt of the firearm would not be in should request a year’s supply from the violation of any statute of the State or ATF Distribution Center (See § 478.21). published ordinance applicable to the (Paragraph (c) approved by the Office of locality in which the transferee re- Management and Budget under control num- sides. Upon receipt of such Forms 4473, bers 1140–0045, 1140–0020, and 1140–0060; para- the licensee shall identify the firearm graph (f) approved by the Office of Manage- to be transferred by listing in the ment and Budget under control number 1140– Forms 4473 the name of the manufac- 0021; all other recordkeeping approved by the turer, the name of the importer (if Office of Management and Budget under con- any), the type, model, caliber or gauge, trol number 1140–0020) and the serial number of the firearm to [33 FR 18555, Dec. 14, 1968, as amended by be transferred. The licensee shall prior T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; T.D. to shipment or delivery of the firearm ATF–241, 51 FR 39625, Oct. 29, 1986; T.D. ATF– to such transferee, forward by reg- 270, 53 FR 10502, Mar. 31, 1988; T.D. ATF–389, istered or certified mail (return receipt 62 FR 19444, Apr. 21, 1997; T.D. ATF–415, 63 FR 58279, Oct. 29, 1998; T.D. ATF–471, 67 FR 5426, requested) a copy of the Form 4473 to Feb. 5, 2002; ATF–11F, 73 FR 57241, Oct. 2, the principal law enforcement officer 2008; T.D. ATF–24F and 22I, 77 FR 33630, 33634, named in the Form 4473 by the trans- June 7, 2012] feree, and shall delay shipment or delivery of the firearm to the transferee § 478.124a Firearms transaction record for a period of at least 7 days following in lieu of record of receipt and dis- receipt by the licensee of the return re- position. ceipt evidencing delivery of the copy of (a) A licensed dealer acquiring fire- the Form 4473 to such principal law en- arms after August 1, 1988 and contem- forcement officer, or the return of the plating the disposition of not more copy of the Form 4473 to the licensee than 50 firearms within a succeeding due to the refusal of such principal law 12-month period to licensees or non- enforcement officer to accept same in licensees may maintain a record of the accordance with U.S. Postal Service acquisition and disposition of such fire- regulations. The original Form 4473, arms on a firearms transaction record, and evidence of receipt or rejection of Form 4473(LV), Part I or II, in lieu of delivery of the copy of the Form 4473 the records prescribed by § 478.125. Such sent to the principal law enforcement 12-month period shall commence from officer, shall be retained by the li- the date the licensed dealer first censee as a part of the records required records the purchase or other acquisi- to be kept under this subpart. tion of a firearm on Form 4473(LV) pur- (g) A licensee who sells or otherwise suant to this section. A licensed dealer disposes of a firearm to a nonlicensee who maintains records pursuant to this who is other than an individual, shall section, but whose firearms disposi- obtain from the transferee the informa- tions exceed 50 firearms within such 12- tion required by this section from an month period, shall make and maintain individual authorized to act on behalf the acquisition and disposition records of the transferee. In addition, the li- required by § 478.125 with respect to censee shall obtain from the individual each firearm exceeding 50.

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(b) Each licensed dealer maintaining (2) Who is not a resident of the State firearms acquisition and disposition in which the licensee’s business prem- records pursuant to this section shall ises is located and the firearm is a record the purchase or other acquisi- shotgun or rifle and the transfer is tion of a firearm on Form 4473(LV), under the provisions of § 478.96(c), or Part I or II, in accordance with the in- (3) Who is not a resident of the State structions on the form not later than in which the licensee’s business prem- the close of the next business day fol- ises is located and who is acquiring the lowing the date of such purchase or ac- firearm by loan or rental for temporary quisition. However, when disposition is use for lawful sporting purposes. made of a firearm before the close of (f) A licensed dealer shall obtain the the next business day after the receipt Form 4473(LV), Part II, associated with of that firearm, the licensed dealer the firearm in lieu of a Form 4473 and making such disposition shall enter all comply with the requirements specified required acquisition information rein § 478.124(f) prior to making a disposi- garding the firearm on the Form tion of a firearm to a nonlicensee who 4473(LV) at the time such transfer or is purchasing or otherwise acquiring a disposition is made. The record on firearm by other than an over-the- Form 4473(LV) shall show the date of counter transaction and who is a resi- receipt, the name and address or the dent of the State in which the licens- name and license number of the person ee’s business premises is located. If the from whom received, the name of the licensee’s record of the acquisition of manufacturer and importer (if any), the firearm is, at the time of the dis- the model, serial number, type, and position, being maintained on a Form caliber or gauge of the firearm. 4473(LV), Part I, for over-the-counter (c) Each licensed dealer maintaining transactions, the licensee shall trans- firearms acquisition and disposition fer the information relative to the re- records pursuant to this section shall ceipt of the firearm, as required by retain Form 4473(LV), Part I or II, re- paragraph (b) of this section, to Form flecting firearms possessed by such 4473(LV), Part II. The corresponding business in chronological (by date of form 4473(LV), Part I, may then be de- receipt) or numerical (by transaction stroyed. serial number) order. Forms 4473(LV) [T.D. ATF–273, 53 FR 24687, June 30, 1988, as reflecting the licensee’s sale or disposi- amended by T.D. ATF–415, 63 FR 58280, Oct. tion of firearms shall be retained in al- 29, 1998] phabetical (by name of purchaser), chronological (by date of disposition) § 478.125 Record of receipt and dis- or numerical (by transaction serial position. number) order. (a) Armor piercing ammunition sales by (d) A licensed dealer maintaining licensed collectors to nonlicensees. The records pursuant to this section shall sale or other disposition of armor record the sale or other disposition of a piercing ammunition by licensed col- firearm to another licensee by entering lectors shall be recorded in a bound on the Form 4473(LV), Part I, associ- record at the time a transaction is ated with such firearm, the name and made. The bound record shall be main- license number of the person to whom tained in chronological order by date of transferred and by signing and dating sale or disposition of the armor pierc- the form. ing ammunition, and shall be retained (e) A licensed dealer shall obtain the on the licensed premises of the licensee Form 4473(LV), Part I, associated with for a period not less than two years fol- the firearm in lieu of a Form 4473 and lowing the date of the recorded sale or comply with the requirements specified disposition of the armor piercing am- in § 478.124(c) prior to making an over- munition. The bound record entry shall the-counter transfer of a firearm to a show: nonlicensee: (1) The date of the transaction; (1) Who is a resident of the State in (2) The name of the manufacturer; which the licensee’s business premises (3) The caliber or gauge; is located, (4) The quantity of projectiles;

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(5) The name, address, and date of The format required for the bound birth of the nonlicensee; and record is as follows: (6) The method used to establish the identity of the armor piercing ammunition purchaser.

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 corded sale or disposition of the armor made at the time a transaction is piercing ammunition. made, a licensee may delay making an (d) Commercial records of armor pierc- entry into the bound record if the pro- ing ammunition transactions. When a visions of paragraph (d) of this section commercial record is made at the time are complied with. of sale or other disposition of armor (b) Armor piercing ammunition sales by piercing ammunition, and such record licensed collectors to licensees. Sales or contains all information required by other dispositions of armor piercing the bound record prescribed by para- ammunition from a licensed collector graph (a) of this section, the licensed to another licensee shall be recorded collector transferring the armor pierc- and maintained in the manner pre- ing ammunition may, for a period not scribed in § 478.122(b) for importers: Pro- exceeding 7 days following the date of vided, That the license number of the such transfer, delay making the re- transferee may be recorded in lieu of quired entry into such bound record: Provided, That the commercial record the transferee’s address. pertaining to the transfer is: (c) Armor piercing ammunition sales by (1) Maintained by the licensed col- licensed dealers to governmental entities. lector separate from other commercial A record of armor piercing ammunition documents maintained by such li- disposed of by a licensed dealer to a censee, and governmental entity pursuant to (2) Is readily available for inspection § 478.99(e) shall be maintained by the li- on the licensed premises until such censed dealer on the licensed premises time as the required entry into the and shall show the name of the manu- bound record is made. facturer, the caliber or gauge, the (e) Firearms receipt and disposition by quantity, the name and address of the dealers. Except as provided in § 478.124a entity to which the armor piercing am- with respect to alternate records for munition was transferred, and the date the receipt and disposition of firearms of the transaction. Such information by dealers, each licensed dealer shall shall be recorded under the format pre- enter into a record each receipt and scribed by § 478.122(b). Each licensed disposition of firearms. In addition, be- dealer disposing of armor piercing am- fore commencing or continuing a fire- munition pursuant to § 478.99(e) shall arms business, each licensed dealer also maintain a record showing the shall inventory the firearms possessed date of acquisition of such ammunition for such business and shall record same which shall be filed in an orderly man- in the record required by this para- ner separate from other commercial graph. The record required by this records maintained and be readily paragraph shall be maintained in available for inspection. The records bound form under the format pre- required by this paragraph shall be re- scribed below. The purchase or other tained on the licensed premises of the acquisition of a firearm shall, except as licensee for a period not less than two provided in paragraph (g) of this sec- years following the date of the re- tion, be recorded not later than the

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close of the next business day following made to a licensee, the commercial the date of such purchase or acquisi- record of the transaction shall be re- tion. The record shall show the date of tained, until the transaction is re- receipt, the name and address or the corded, separate from other commer- name and license number of the person cial documents maintained by the li- from whom received, the name of the censed dealer, and be readily available manufacturer and importer (if any), for inspection. The record shall show the model, serial number, type, and the the date of the sale or other disposition caliber or gauge of the firearm. The of each firearm, the name and address sale or other disposition of a firearm of the person to whom the firearm is shall be recorded by the licensed dealer transferred, or the name and license not later than 7 days following the date number of the person to whom trans- of such transaction. When such disposi- ferred if such person is a licensee, or tion is made to a nonlicensee, the fire- the firearms transaction record, Form arms transaction record, Form 4473, ob- 4473, serial number if the licensed deal- tained by the licensed dealer shall be er transferring the firearm serially retained, until the transaction is re- numbers the Forms 4473 and files them corded, separate from the licensee’s numerically. The format required for Form 4473 file and be readily available the record of receipt and disposition of for inspection. When such disposition is firearms is as follows:

FIREARMS ACQUISITION AND DISPOSITION RECORD

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

(f) Firearms receipt and disposition by the commercial record of the trans- licensed collectors. (1) Each licensed col- action shall be retained, until the lector shall enter into a record each re- transaction is recorded, separate from ceipt and disposition of firearms curios other commercial documents main- or relics. The record required by this tained by the licensee, and be readily paragraph shall be maintained in available for inspection. The record bound form under the format pre- shall show the date of the sale or other scribed below. The purchase or other disposition of each firearm curio or acquisition of a curio or relic shall, ex- relic, the name and address of the per- cept as provided in paragraph (g) of son to whom the firearm curio or relic this section, be recorded not later than is transferred, or the name and license the close of the next business day fol- number of the person to whom trans- lowing the date of such purchase or ferred if such person is a licensee, and other acquisition. The record shall show the date of receipt, the name and the date of birth of the transferee if address or the name and license num- other than a licensee. In addition, the ber of the person from whom received, licensee shall cause the transferee, if the name of the manufacturer and im- other than a licensee, to be identified porter (if any), the model, serial num- in any manner customarily used in ber, type, and the caliber or gauge of commercial transactions (e.g., a driv- the firearm curio or relic. The sale or er’s license), and note on the record the other disposition of a curio or relic method used. shall be recorded by the licensed col- (2) The format required for the record lector not later than 7 days following of receipt and disposition of firearms the date of such transaction. When by collectors is as follows: such disposition is made to a licensee,

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and license Name and address or name ECORD R Date ISPOSITION D No. and license Name and address or name CQUISITION AND Date A gauge OLLECTORS Caliber or C IREARMS F Description of firearm Receipt Disposition Model Serial No. Type Model Serial or importer Manufacturer and/

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(g) Commercial records of firearms re- wise disposing of firearms or armor ceived. When a commercial record is piercing ammunition to nonlicensees held by a licensed dealer or licensed shall maintain such records of such collector showing the acquisition of a transactions as are required of licensed firearm or firearm curio or relic, and dealers by this section. such record contains all acquisition in- (Approved by the Office of Management and formation required by the bound record Budget under control number 1140–0032) prescribed by paragraphs (e) and (f) of this section, the licensed dealer or li- [T.D. ATF–270, 53 FR 10503, Mar. 31, 1988, as amended by T.D. ATF–273, 53 FR 24687, June censed collector acquiring such firearm 30, 1988; T.D. ATF–313, 56 FR 32508, July 17, or curio or relic, may, for a period not 1991; T.D. ATF–389, 62 FR 19445, Apr. 21, 1997; exceeding 7 days following the date of ATF–11F, 73 FR 57241, Oct. 2, 2008; T.D. ATF– such acquisition, delay making the re- 22I, 77 FR 33634, June 7, 2012] quired entry into such bound record: Provided, That the commercial record § 478.125a Personal firearms collec- is, until such time as the required tion. entry into the bound record is made, (1) (a) Notwithstanding any other provi- maintained by the licensed dealer or li- sion of this subpart, a licensed manu- censed collector separate from other facturer, licensed importer, or licensed commercial documents maintained by dealer is not required to comply with such licensee, and (2) readily available the provisions of § 478.102 or record on a for inspection on the licensed premises: firearms transaction record, Form 4473, Provided further, That when disposition the sale or other disposition of a fire- is made of a firearm or firearm curio or arm maintained as part of the licens- relic not entered in the bound record ee’s personal firearms collection: Pro- under the provisions of this paragraph, vided, That the licensed dealer or licensed collector (1) The licensee has maintained the making such disposition shall enter all firearm as part of such collection for 1 required acquisition information re- year from the date the firearm was garding the firearm or firearm curio or transferred from the business inven- relic in the bound record at the time tory into the personal collection or such transfer or disposition is made. otherwise acquired as a personal fire- (h) Alternate records. Notwithstanding arm, the provisions of paragraphs (a), (e), (2) The licensee recorded in the bound and (f) of this section, the Director of record prescribed by § 478.125(e) the re- Industry Operations may authorize al- ceipt of the firearm into the business ternate records to be maintained by a inventory or other acquisition, licensed dealer or licensed collector to (3) The licensee recorded the firearm record the acquisition and disposition as a disposition in the bound record of firearms or curios or relics and the prescribed by § 478.125(e) when the fire- disposition of armor piercing ammuni- arm was transferred from the business tion when it is shown by the licensed inventory into the personal firearms dealer or the licensed collector that collection or otherwise acquired as a such alternate records will accurately personal firearm, and and readily disclose the required infor- (4) The licensee enters the sale or mation. A licensed dealer or licensed other disposition of the firearm from collector who proposes to use alternate the personal firearms collection into a records shall submit a letter applica- bound record, under the format pre- tion, in duplicate, to the Director of In- scribed below, identifying the firearm dustry Operations and shall describe transferred by recording the name of the proposed alternate records and the the manufacturer and importer (if need therefor. Such alternate records any), the model, serial number, type, shall not be employed by the licensed and the caliber or gauge, and showing dealer or licensed collector until ap- the date of the sale or other disposi- proval in such regard is received from tion, the name and address of the the Director of Industry Operations. transferee, or the name and business (i) Requirements for importers and man- address of the transferee if such person ufacturers. Each licensed importer and is a licensee, and the date of birth of licensed manufacturer selling or other- the transferee if other than a licensee.

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In addition, the licensee shall cause the (e.g., a drivers license). The format re- transferee, if other than a licensee, to quired for the disposition record of per- be identified in any manner custom- sonal firearms is as follows: arily used in commercial transactions

DISPOSITION RECORD OF PERSONAL FIREARMS

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

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

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

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and retain the Form 4473 for a period of censee’s permanent records for a period not less than 5 years after the date of of not less than 5 years after the date the NICS inquiry. Forms 4473 shall be of sale or other disposition. retained in the licensee’s records as provided in § 478.124(b): Provided, That (Paragraph (b) approved by the Office of Forms 4473 with respect to which a Management and Budget under control number 1512–0544; Paragraph (c) approved by the sale, delivery or transfer did not take Office of Management and Budget under con- place shall be separately retained in al- trol numbers 1512–0520, 1512–0006, and 1512– phabetical (by name of transferee) or 0524; Paragraph (f) approved by the Office of chronological (by date of transferee’s Management and Budget under control num- certification) order. ber 1512–0526; all other recordkeeping ap- (c) Statement of intent to obtain a proved by the Office of Management and handgun, reports of multiple sales or Budget under control number 1512–0129) other disposition of pistols and revolvers, [T.D. ATF–208, 50 FR 26704, June 28, 1985 and and reports of theft or loss of firearms. Li- correctly designated at 50 FR 35081, Aug. 29, censees shall retain each Form 5300.35 1985, as amended by T.D. ATF–273, 53 FR (Statement of Intent to Obtain a Hand- 24687, June 30, 1988; T.D. ATF–361, 60 FR gun(s)) for a period of not less than 5 10787, Feb. 27, 1995; T.D. ATF–363, 60 FR 17455, years after notice of the intent to ob- Apr. 6, 1995; T.D. ATF–415, 63 FR 58280, Oct. tain the handgun was forwarded to the 29, 1998; T.D. ATF–426, 65 FR 38201, June 20, chief law enforcement officer, as de- 2000] fined in § 478.150(c). Licensees shall retain each copy of Form 3310.4 (Report § 478.131 Firearms transactions not of Multiple Sale or Other Disposition subject to a NICS check. of Pistols and Revolvers) for a period of (a)(1) A licensed importer, licensed not less than 5 years after the date of manufacturer, or licensed dealer whose sale or other disposition. Licensees sale, delivery, or transfer of a firearm shall retain each copy of Form 3310.11 is made pursuant to the alternative (Federal Firearms Licensee Theft/Loss provisions of § 478.102(d) and is not sub- Report) for a period of not less than 5 ject to the NICS check prescribed by years after the date the theft or loss § 478.102(a) shall maintain the records was reported to ATF. required by paragraph (a) of this sec- (d) Records of importation and manu- tion. facture. Licensees will maintain permanent records of the importation, manu- (2) If the transfer is pursuant to a facture, or other acquisition of fire- permit or license in accordance with arms, including ATF Forms 6 and 6A as § 478.102(d)(1), the licensee shall either required by subpart G of this part. Li- retain a copy of the purchaser’s permit censed importers’ records and licensed or license and attach it to the firearms manufacturers’ records of the sale or transaction record, Form 4473, or other disposition of firearms after De- record on the firearms transaction cember 15, 1968, shall be retained record, Form 4473, any identifying through December 15, 1988, after which number, the date of issuance, and the records of transactions over 20 years of expiration date (if provided) from the age may be discarded. permit or license. (e) Records of dealers and collectors (3) If the transfer is pursuant to a under the Act. The records prepared by certification by ATF in accordance licensed dealers and licensed collectors with §§ 478.102(d)(3) and 478.150, the li- under the Act of the sale or other dis- censee shall maintain the certification position of firearms and the cor- as part of the records required to be responding record of receipt of such kept under this subpart and for the pe- firearms shall be retained through De- riod prescribed for the retention of cember 15, 1988, after which records of Form 5300.35 in § 478.129(c). transactions over 20 years of age may be discarded. (f) Retention of records of transactions in semiautomatic assault weapons. The documentation required by §§ 478.40(c) and 478.132 shall be retained in the li-

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(b) The requirements of this section site training, or off-site transportation shall be in addition to any other rec- of nuclear materials. ordkeeping requirements contained in (3) A written statement from a super- this part. visor of the purchasing employee or (Approved by the Office of Management and contractor, on agency or company let- Budget under control number 1140–0045) terhead, under penalty of perjury, stating that the purchasing employee or [T.D. ATF–415, 63 FR 58280, Oct. 29, 1998, as amended by ATF–11F, 73 FR 57242, Oct. 2, contractor is acquiring the weapon or 2008] device for use in official duties, and that the weapon or device is not being § 478.132 Dispositions of semiauto- acquired for personal use or for pur- matic assault weapons and large ca- poses of transfer or resale. pacity ammunition feeding devices to law enforcement officers for offi- (Approved by the Office of Management and cial use and to employees or con- Budget under control number 1140–0041) tractors of nuclear facilities. [T.D. ATF–396, 63 FR 12646, Mar. 16, 1998, as Licensed manufacturers, licensed im- amended by ATF–11F, 73 FR 57242, Oct. 2, porters, and licensed dealers in semi- 2008] automatic assault weapons, as well as persons who manufacture, import, or § 478.133 Records of transactions in deal in large capacity ammunition semiautomatic assault weapons. feeding devices, may transfer such The evidence specified in § 478.40(c), weapons and devices manufactured relating to transactions in semiauto- after September 13, 1994, to law en- matic assault weapons, shall be re- forcement officers and to employees or tained in the permanent records of the contractors of nuclear facilities with manufacturer or dealer and in the the following documentation: records of the licensee to whom the (a) Law enforcement officers. (1) A weapons are transferred. written statement from the purchasing officer, under penalty of perjury, stat- (Approved by the Office of Management and ing that the weapon or device is being Budget under control number 1140–0041) purchased for use in performing official [T.D. ATF–363, 60 FR 17455, Apr. 6, 1995, as duties and that the weapon or device is amended by ATF–11F, 73 FR 57242, Oct. 2, not being acquired for personal use or 2008] for purposes of transfer or resale; and (2) A written statement from a super- § 478.134 Sale of firearms to law enforcement officers. visor of the purchasing officer, on agency letterhead, under penalty of (a) Law enforcement officers pur- perjury, stating that the purchasing of- chasing firearms for official use who ficer is acquiring the weapon or device provide the licensee with a certifi- for use in official duties, that the fire- cation on agency letterhead, signed by arm is suitable for use in performing a person in authority within the agen- official duties, and that the weapon or cy (other than the officer purchasing device is not being acquired for per- the firearm), stating that the officer sonal use or for purposes of transfer or will use the firearm in official duties resale. and that a records check reveals that (b) Employees or contractors of nuclear the purchasing officer has no convic- facilities. (1) Evidence that the em- tions for misdemeanor crimes of do- ployee is employed by a nuclear facil- mestic violence are not required to ity licensed pursuant to 42 U.S.C. 2133 complete Form 4473 or Form 5300.35. or evidence that the contractor has a The law enforcement officer pur- valid contract with such a facility. chasing the firearm may purchase a (2) A written statement from the pur- firearm from a licensee in another chasing employee or contractor under State, regardless of where the officer penalty of perjury, stating that the resides or where the agency is located. weapon or device is being purchased for (b)(1) The following individuals are one of the purposes authorized in considered to have sufficient authority §§ 478.40(b)(7) and 478.40(b)(3), i.e., on- to certify that law enforcement offi- site physical protection, on-site or off- cers purchasing firearms will use the

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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 ceived such firearm or ammunition other proceeding rendering a convic- from the Secretary of the Army, to en- tion nugatory, or a restoration of civil gage in military training or in com- rights shall remove any disability petitions. which otherwise would be imposed by

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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 license expires during the period be- of guilt by the court, and any pardon, tween the date of the indictment and expunction, setting aside or other the date the conviction thereunder be- record purporting to show that the comes final, such importer, manufac- conviction was rendered nugatory or turer, dealer, or collector must file a that civil rights were restored; timely application for the renewal of (5) In the case of an applicant who his license in order to continue oper- has been adjudicated a mental defec- ations. Such application shall show tive or committed to a mental institu- that the applicant is under indictment tion, a copy of the order of a court, for a crime punishable by imprison- board, commission, or other lawful au- ment for a term exceeding 1 year. thority that made the adjudication or ordered the commitment, any petition § 478.144 Relief from disabilities under that sought to have the applicant so the Act. adjudicated or committed, any medical (a) Any person may make application records reflecting the reasons for com- for relief from the disabilities under mitment and diagnoses of the appli- section 922 (g) and (n) of the Act (see cant, and any court order or finding of § 478.32). a court, board, commission, or other (b) An application for such relief lawful authority showing the appli- shall be filed, in triplicate, with the Di- cant’s discharge from commitment, rector. It shall include the information restoration of mental competency and required by this section and such other the restoration of rights; supporting data as the Director and the (6) In the case of an applicant who applicant deem appropriate. has been discharged from the Armed (c) Any record or document of a court Forces under dishonorable conditions, or other government entity or official a copy of the applicant’s summary of required by this paragraph to be fur- service record (Department of Defense nished by an applicant in support of an Form 214), charge sheet (Department of

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

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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 no- A person not otherwise prohibited by tification that the licensee’s applica- Federal, State or local law may ship a tions for removal of disabilities has firearm to a licensed importer, licensed been denied. (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 shall submit a letter application, in du- intended for sporting or industrial plicate, to the Director. Such applica- purposes. tion 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 person or persons from whom such de- used in oil and gas well perforating devices and weapons are to be received. vices, shall submit a written request to the Director. Each request shall be exe- [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] cuted under the penalties of perjury § 478.146 Deliveries by mail to certain and contain a complete and accurate persons. description of the ammunition, the name and address of the manufacturer The provisions of this part shall not be construed as prohibiting a licensed or importer, the purpose of and use for importer, licensed manufacturer, or li- which it is designed and intended, and censed dealer from depositing a firearm any photographs, diagrams, or draw- for conveyance in the mails to any offi- ings as may be necessary to enable the cer, employee, agent, or watchman Director to make a determination. The who, pursuant to the provisions of sec- Director may require that a sample of tion 1715 of title 18, U.S.C., is eligible the ammunition be submitted for ex- to receive through the mails pistols, amination and evaluation. revolvers, and other firearms capable [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988] of being concealed on the person, for

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§ 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 utility companies regarding the ab- or delivery of armor piercing ammuni- sence of telecommunications facilities tion for the purpose of testing or experimentation 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 Budget under control number 1140–0045) the testing or experimentation, a description 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 sembled, and such diagrams or draw- which the transfer is to occur to the ings as may be necessary to enable the number of square miles of land area of Director to make a determination. The the State does not exceed 0.0025; (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. (b) A licensee who desires to obtain a certification under this section shall submit a written request to the Direc- tor. Each request shall be executed

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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 sec- (Paragraph (b) approved by the Office of tion, where such intent is dem- 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 amended by ATF–11F, 73 FR 57242, Oct. 2, (c) The offenses referred to in para- 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 provisions of the Internal Revenue (4) Any offense described in section Code of 1986 relating to the seizure, for- 922(d) of the Act where the firearm or feiture, and disposition of firearms, as ammunition is intended to be used in defined in section 5845(a) of that Code, such offense by the transferor of such shall, so far as applicable, extend to firearm or ammunition; seizures and forfeitures under the pro- (5) Any offense described in section visions of the Act: Provided, That upon 922(i), 922(j), 922(l), 922(n), or 924(b) of acquittal of the owner or possessor, or the Act; and dismissal of the charges against such (6) Any offense which may be pros- person other than upon motion of the ecuted in a court of the United States Government prior to trial, or lapse of which involves the exportation of fire- or court termination of the restraining arms or ammunition. order to which he is subject, the seized [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988; Re- or relinquished firearms or ammuni- designated by T.D. ATF–354, 59 FR 7114, Feb. tion shall be returned forthwith to the 14, 1994, and further redesignated by T.D. owner or possessor or to a person dele- ATF–361, 60 FR 10788, Feb. 27, 1995; T.D. ATF– gated by the owner or possessor unless 363, 60 FR 17455, Apr. 6, 1995] the return of the firearms or ammunition would place the owner or possessor § 478.153 Semiautomatic assault weap- or the delegate of the owner or pos- ons and large capacity ammunition sessor in violation of law. Any action feeding devices manufactured or or proceeding for the forfeiture of fire- imported for the purposes of testing arms or ammunition shall be com- or experimentation. menced within 120 days of such seizure. The provisions of § 478.40 with respect (b) Only those firearms or quantities to the manufacture, transfer, or posses- of ammunition particularly named and sion of a semiautomatic assault weap- individually identified as involved in or on, and § 478.40a with respect to large used in any violation of the provisions capacity ammunition feeding devices, of the Act or this part, or any other shall not apply to the manufacture, criminal law of the United States or as transfer, or possession of such weapons

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or devices by a manufacturer or im- PART 479—MACHINE GUNS, DE- porter for the purposes of testing or ex- STRUCTIVE DEVICES, AND CER- perimentation as authorized by the Di- TAIN OTHER FIREARMS rector. A person desiring such authorization shall submit a letter applica- Subpart A—Scope of Regulations tion, in duplicate, to the Director. Such application shall contain the Sec. 479.1 General. name and addresses of the persons directing or controlling, directly or indi- Subpart B—Definitions rectly, the policies and management of the applicant, the nature or purpose of 479.11 Meaning of terms. the testing or experimentation, a de- Subpart C—Administrative and scription of the weapons or devices to Miscellaneous Provisions be manufactured or imported, and the source of the weapons or devices. The 479.21 Forms prescribed. approved application shall be retained 479.22 Right of entry and examination. 479.23 Restrictive use of required informa- as part of the records required by sub- tion. part H of this part. 479.24 Destructive device determination. 479.25 Collector’s items. [T.D. ATF–363, 60 FR 17456, Apr. 6, 1995] 479.26 Alternate methods or procedures; emergency variations from require- Subpart J [Reserved] ments. Subpart D—Special (Occupational) Taxes Subpart K—Exportation 479.31 Liability for tax. § 478.171 Exportation. 479.32 Special (occupational) tax rates. 479.32a Reduced rate of tax for small im- Firearms and ammunition shall be porters and manufacturers. exported in accordance with the appli- 479.33 Special exemption. cable provisions of section 38 of the 479.34 Special tax registration and return. Arms Export Control Act (22 U.S.C. 479.35 Employer identification number. 479.36 The special tax stamp, receipt for 2778) and regulations thereunder. How- special (occupational) taxes. ever, licensed manufacturers, licensed 479.37 Certificates in lieu of stamps lost or importers, and licensed dealers export- destroyed. ing firearms shall maintain records 479.38 Engaging in business at more than showing the manufacture or acquisi- one location. 479.39 Engaging in more than one business tion of the firearms as required by this at the same location. part and records showing the name and 479.40 Partnership liability. address of the foreign consignee of the 479.41 Single sale. firearms and the date the firearms CHANGE OF OWNERSHIP were exported. Licensed manufacturers and licensed importers exporting armor 479.42 Changes through death of owner. 479.43 Changes through bankruptcy of piercing ammunition and semiauto- owner. matic assault weapons manufactured 479.44 Change in partnership or unincor- after September 13, 1994, shall maintain porated association. records showing the name and address 479.45 Changes in corporation. of the foreign consignee and the date CHANGE OF BUSINESS LOCATION the armor piercing ammunition or semiautomatic assault weapons were 479.46 Notice by taxpayer. exported. CHANGE OF TRADE NAME [T.D. ATF–270, 53 FR 10507, Mar. 31, 1988; T.D. 479.47 Notice by taxpayer. ATF–363, 60 FR 17456, Apr. 6, 1995] PENALTIES AND INTEREST 479.48 Failure to pay special (occupational) tax. 479.49 Failure to register change or removal. 479.50 Delinquency.

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479.51 Fraudulent return. Subpart H—Importation and Exportation

APPLICATION OF STATE LAWS IMPORTATION 479.52 State regulations. 479.111 Procedure. 479.112 Registration of imported firearms. Subpart E—Tax on Making Firearms 479.113 Conditional importation. 479.61 Rate of tax. EXPORTATION APPLICATION TO MAKE A FIREARM 479.114 Application and permit for expor- 479.62 Application to make. tation of firearms. 479.63 Identification of applicant. 479.115 Action by Director. 479.64 Procedure for approval of application. 479.116 Procedure by exporter. 479.65 Denial of application. 479.117 Action by Customs. 479.66 Subsequent transfer of firearms. 479.118 Proof of exportation. 479.67 Cancellation of stamp. 479.119 Transportation of firearms to effect exportation. EXCEPTIONS TO TAX ON MAKING FIREARMS 479.120 Refunds. 479.68 Qualified manufacturer. 479.121 Insular possessions. 479.69 Making a firearm for the United States. ARMS EXPORT CONTROL ACT 479.70 Certain government entities. 479.122 Requirements. REGISTRATION Subpart I—Records and Returns 479.71 Proof of registration. 479.131 Records. Subpart F—Transfer Tax Subpart J—Stolen or Lost Firearms or 479.81 Scope of tax. Documents 479.82 Rate of tax. 479.83 Transfer tax in addition to import 479.141 Stolen or lost firearms. duty. 479.142 Stolen or lost documents. APPLICATION AND ORDER FOR TRANSFER OF FIREARM Subpart K—Examination of Books and Records 479.84 Application to transfer. 479.85 Identification of transferee. 479.151 Failure to make returns: Substitute 479.86 Action on application. returns. 479.87 Cancellation of stamp. 479.152 Penalties (records and returns).

EXEMPTIONS RELATING TO TRANSFERS OF Subpart L—Distribution and Sale of Stamps FIREARMS 479.88 Special (occupational) taxpayers. 479.161 National Firearms Act stamps. 479.89 Transfers to the United States. 479.162 Stamps authorized. 479.90 Certain government entities. 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. sons. 479.172 Refunds.

Subpart G—Registration and Identification Subpart N—Penalties and Forfeitures of Firearms 479.181 Penalties. 479.101 Registration of firearms. 479.182 Forfeitures. 479.102 How must firearms be identified? 479.103 Registration of firearms manufac- Subpart O—Other Laws Applicable tured. 479.104 Registration of firearms by certain 479.191 Applicability of other provisions of governmental entities. internal revenue laws. 479.192 Commerce in firearms and ammuni- MACHINE GUNS tion. 479.193 Arms Export Control Act. 479.105 Transfer and possession of machine guns. AUTHORITY: 26 U.S.C. 7805.

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SOURCE: 36 FR 14256, Aug. 3, 1971, unless person from which a shot can be dis- otherwise noted. Redesignated at 40 FR 16835, charged through the energy of an ex- Apr. 15, 1975, and further redesignated by plosive, a pistol or revolver having a T.D. ATF–487, 68 FR 3752, Jan. 24, 2003. barrel with a smooth bore designed or EDITORIAL NOTE: Nomenclature changes to redesigned to fire a fixed shotgun shell, part 479 appear by T.D. ATF–487, 68 FR 3752, weapons with combination shotgun and Jan. 24, 2003. rifle barrels 12 inches or more, less than 18 inches in length, from which Subpart A—Scope of Regulations only a single discharge can be made from either barrel without manual re- § 479.1 General. loading, and shall include any such This part contains the procedural weapon which may be readily restored and substantive requirements relative to fire. Such term shall not include a to the importation, manufacture, mak- pistol or a revolver having a rifled ing, exportation, identification and bore, or rifled bores, or weapons de- registration of, and the dealing in, ma- signed, made, or intended to be fired chine guns, destructive devices and cer- from the shoulder and not capable of tain other firearms under the provi- firing fixed ammunition. sions of the National Firearms Act (26 ATF officer. An officer or employee of U.S.C. Chapter 53). the Bureau of Alcohol, Tobacco and [36 FR 14256, Aug. 3, 1971. Redesignated at 40 Firearms (ATF) authorized to perform FR 16835, Apr. 15, 1975, and amended by T.D. any function relating to the adminis- ATF–48, 44 FR 55842, Sept. 28, 1979] tration or enforcement of this part. Customs officer. Any officer of the Subpart B—Definitions Customs Service or any commissioned, warrant, or petty officer of the Coast § 479.11 Meaning of terms. Guard, or any agent or other person au- When used in this part and in forms thorized by law or designated by the prescribed under this part, where not Secretary of the Treasury to perform otherwise distinctly expressed or mani- any duties of an officer of the Customs festly incompatible with the intent Service. thereof, terms shall have the meanings Dealer. Any person, not a manufac- ascribed in this section. Words in the turer or importer, engaged in the busi- plural form shall include the singular, ness of selling, renting, leasing, or and vice versa, and words importing loaning firearms and shall include the masculine gender shall include the pawnbrokers who accept firearms as feminine. The terms ‘‘includes’’ and collateral for loans. ‘‘including’’ do not exclude other Destructive device. (a) Any explosive, things not enumerated which are in the incendiary, or poison gas (1) bomb, (2) same general class or are otherwise grenade, (3) rocket having a propellent within the scope thereof. charge of more than 4 ounces, (4) mis- Antique firearm. Any firearm not de- sile having an explosive or incendiary signed or redesigned for using rim fire charge of more than one-quarter ounce, or conventional center fire ignition (5) mine, or (6) similar device; (b) any with fixed ammunition and manufac- type of weapon by whatever name tured in or before 1898 (including any known which will, or which may be matchlock, flintlock, percussion cap, readily converted to, expel a projectile or similar type of ignition system or by the action of an explosive or other replica thereof, whether actually man- propellant, the barrel or barrels of ufactured before or after the year 1898) which have a bore of more than one- and also any firearm using fixed am- half inch in diameter, except a shotgun munition manufactured in or before or shotgun shell which the Director 1898, for which ammunition is no finds is generally recognized as par- longer manufactured in the United ticularly suitable for sporting pur- States and is not readily available in poses; and (c) any combination of parts the ordinary channels of commercial either designed or intended for use in trade. converting any device into a destruc- Any other weapon. Any weapon or de- tive device as described in paragraphs vice capable of being concealed on the (a) and (b) of this definition and from

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which a destructive device may be inches in length; (e) any other weapon, readily assembled. The term shall not as defined in this subpart; (f) a machine include any device which is neither de- gun; (g) a muffler or a silencer for any signed or redesigned for use as a weap- firearm whether or not such firearm is on; any device, although originally de- included within this definition; and (h) signed for use as a weapon, which is re- a destructive device. The term shall designed for use as a signaling, pyro- not include an antique firearm or any technic, line throwing, safety, or simi- device (other than a machine gun or lar device; surplus ordnance sold, destructive device) which, although de- loaned, or given by the Secretary of signed as a weapon, the Director finds the Army under 10 U.S.C. 4684(2), 4685, by reason of the date of its manufac- or 4686, or any device which the Direc- ture, value, design, and other charac- tor finds is not likely to be used as a teristics is primarily a collector’s item weapon, or is an antique or is a rifle and is not likely to be used as a weap- which the owner intends to use solely on. For purposes of this definition, the for sporting purposes. length of the barrel having an integral Director. The Director, Bureau of Al- chamber(s) on a shotgun or rifle shall cohol, Tobacco, and Firearms, the De- be determined by measuring the dis- partment of the Treasury, Washington, tance between the muzzle and the face DC. of the bolt, breech, or breech block Director of the Service Center. A direc- when closed and when the shotgun or tor of an Internal Revenue Service Cen- rifle is cocked. The overall length of a ter in an internal revenue region. weapon made from a shotgun or rifle is District director. A district director of the distance between the extreme ends the Internal Revenue Service in an in- of the weapon measured along a line ternal revenue district. parallel to the center line of the bore. Executed under penalties of perjury. Fixed ammunition. That self-contained Signed with the prescribed declaration unit consisting of the case, primer, pro- under the penalties of perjury as propellant charge, and projectile or provided on or with respect to the return, jectiles. form, or other document or, where no Frame or receiver. That part of a fire- form of declaration is prescribed, with arm which provides housing for the the declaration: hammer, bolt or breechblock and firing ‘‘I declare under the penalties of perjury mechanism, and which is usually that this—(insert type of document, such as, threaded at its forward portion to re- statement, application, request, certificate), ceive the barrel. including the documents submitted in sup- Importation. The bringing of a firearm port thereof, has been examined by me and, within the limits of the United States to the best of my knowledge and belief, is or any territory under its control or ju- true, correct, and complete.’’ risdiction, from a place outside thereof Exportation. The severance of goods (whether such place be a foreign coun- from the mass of things belonging to try or territory subject to the jurisdic- this country with the intention of unit- tion of the United States), with intent ing them to the mass of things belong- to unlade. Except that, bringing a fire- ing to some foreign country. arm from a foreign country or a terri- Exporter. Any person who exports tory subject to the jurisdiction of the firearms from the United States. United States into a foreign trade zone Firearm. (a) A shotgun having a bar- for storage pending shipment to a for- rel or barrels of less than 18 inches in eign country or subsequent importa- length; (b) a weapon made from a shot- tion into this country, under Title 26 of gun if such weapon as modified has an the United States Code, and this part, overall length of less than 26 inches or shall not be deemed importation. a barrel or barrels of less than 18 Importer. Any person who is engaged inches in length; (c) a rifle having a in the business of importing or bring- barrel or barrels of less than 16 inches ing firearms into the United States. in length; (d) a weapon made from a Machine gun. Any weapon which rifle if such weapon as modified has an shoots, is designed to shoot, or can be overall length of less than 26 inches or readily restored to shoot, automati- a barrel or barrels of less than 16 cally more than one shot, without

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manual reloading, by a single function brings the next cartridge in line with of the trigger. The term shall also in- the barrel for firing. clude the frame or receiver of any such Rifle. A weapon designed or rede- weapon, any part designed and in- signed, made or remade, and intended tended solely and exclusively, or com- to be fired from the shoulder and de- bination of parts designed and in- signed or redesigned and made or re- tended, for use in converting a weapon made to use the energy of the explosive into a machine gun, and any combina- in a fixed cartridge to fire only a single tion of parts from which a machine gun projectile through a rifled bore for can be assembled if such parts are in each single pull of the trigger, and the possession or under the control of a shall include any such weapon which person. may be readily restored to fire a fixed Make. This term and the various de- cartridge. rivatives thereof shall include manu- Shotgun. A weapon designed or rede- facturing (other than by one qualified signed, made or remade, and intended to engage in such business under this to be fired from the shoulder and designed or redesigned and made or re- part), putting together, altering, any made to use the energy of the explosive combination of these, or otherwise pro- in a fixed shotgun shell to fire through ducing a firearm. a smooth bore either a number of pro- Manual reloading. The inserting of a jectiles (ball shot) or a single projectile cartridge or shell into the chamber of a for each pull of the trigger, and shall firearm either with the hands or by include any such weapon which may be means of a mechanical device con- readily restored to fire a fixed shotgun trolled and energized by the hands. shell. Manufacturer. Any person who is en- Transfer. This term and the various gaged in the business of manufacturing derivatives thereof shall include sell- firearms. ing, assigning, pledging, leasing, loan- Muffler or silencer. Any device for si- ing, giving away, or otherwise dis- lencing, muffling, or diminishing the posing of. report of a portable firearm, including United States. The States and the Dis- any combination of parts, designed or trict of Columbia. redesigned, and intended for the use in U.S.C. The United States Code. assembling or fabricating a firearm si- Unserviceable firearm. A firearm which lencer or firearm muffler, and any part is incapable of discharging a shot by intended only for use in such assembly means of an explosive and incapable of or fabrication. being readily restored to a firing condi- Person. A partnership, company, as- tion. sociation, trust, estate, or corporation, (26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 as well as a natural person. Stat. 981 as amended), 18 U.S.C. 926 (82 Stat. Pistol. A weapon originally designed, 959), and sec. 38, Arms Export Control Act (22 made, and intended to fire a projectile U.S.C. 2778, 90 Stat. 744)) (bullet) from one or more barrels when [T.D. ATF–48, 43 FR 13538, Mar. 31, 1978; 44 held in one hand, and having (a) a FR 55842, Sept. 28, 1979; T.D. ATF–241, 51 FR chamber(s) as an integral part(s) of, or 39630, Oct. 29, 1986; T.D. ATF–270, 53 FR 10492, permanently aligned with, the bore(s); Mar. 31, 1988; T.D. ATF–396, 63 FR 12647, Mar. and (b) a short stock designed to be 16, 1998] gripped by one hand and at an angle to and extending below the line of the Subpart C—Administrative and bore(s). Miscellaneous Provisions Regional director (compliance). The principal ATF regional official respon- § 479.21 Forms prescribed. sible for administering regulations in (a) The Director is authorized to pre- this part. scribe all forms required by this part. Revolver. A projectile weapon, of the All of the information called for in pistol type, having a breechloading each form shall be furnished as indi- chambered cylinder so arranged that cated by the headings on the form and the cocking of the hammer or move- the instructions on or pertaining to the ment of the trigger rotates it and form. In addition, information called

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for in each form shall be furnished as or evidence in a prosecution or other required by this part. Each form re- action under any applicable provision quiring that it be executed under pen- of law with respect to the furnishing of alties of perjury shall be executed false information. under penalties of perjury. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 (b) Requests for forms should be FR 16835, Apr. 15, 1975, and amended by T.D. mailed to the ATF Distribution Center, ATF–48, 44 FR 55842, Sept. 28, 1979] 7664 K Fullerton Road, Springfield, Vir- ginia 22150. § 479.24 Destructive device determination. (5 U.S.C. 552(a); 80 Stat. 383, as amended) The Director shall determine in ac- [T.D. ATF–92, 46 FR 46916, Sept. 23, 1981, as cordance with 26 U.S.C. 5845(f), whether amended by T.D. ATF–241, 51 FR 39630, Oct. 29, 1986; T.D. ATF–270, 53 FR 10508, Mar. 31, a device is excluded from the definition 1988; T.D. 372, 61 FR 20725, May 8, 1996; ATF– of a destructive device. A person who 11F, 73 FR 57242, Oct. 2, 2008] desires to obtain a determination under that provision of law for any de- § 479.22 Right of entry and examina- vice which he believes is not likely to tion. be used as a weapon shall submit a Any ATF officer or employee of the written request, in triplicate, for a rul- Bureau of Alcohol, Tobacco and Fire- ing thereon to the Director. Each such arms duly authorized to perform any request shall be executed under the function relating to the administration penalties of perjury and contain a com- or enforcement of this part may enter plete and accurate description of the during business hours the premises (in- device, the name and address of the cluding places of storage) of any im- manufacturer or importer thereof, the porter or manufacturer of or dealer in purpose of and use for which it is in- firearms, to examine any books, pa- tended, and such photographs, dia- pers, or records required to be kept grams, or drawings as may be nec- pursuant to this part, and any firearms essary to enable the Director to make kept by such importer, manufacturer his determination. The Director may or dealer on such premises, and may re- require the submission to him, of a quire the production of any books, pa- sample of such device for examination pers, or records necessary to determine and evaluation. If the submission of any liability for tax under 26 U.S.C. such device is impracticable, the per- Chapter 53, or the observance of 26 son requesting the ruling shall so ad- U.S.C. Chapter 53, and this part. vise the Director and designate the place where the device will be available [36 FR 14256, Aug. 3, 1971. Redesignated at 40 for examination and evaluation. FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55842, Sept. 28, 1979] [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. § 479.23 Restrictive use of required in- ATF–48, 44 FR 55842, Sept. 28, 1979] formation. No information or evidence obtained § 479.25 Collector’s items. from an application, registration, or The Director shall determine in ac- record required to be submitted or re- cordance with 26 U.S.C. 5845(a), wheth- tained by a natural person in order to er a firearm or device, which although comply with any provision of 26 U.S.C. originally designed as a weapon, is by Chapter 53, or this part or section 207 of reason of the date of its manufacture, the Gun Control Act of 1968 shall be value, design, and other characteristics used, directly or indirectly, as evidence primarily a collector’s item and is not against that person in a criminal pro- likely to be used as a weapon. A person ceeding with respect to a violation of who desires to obtain a determination law occurring prior to or concurrently under that provision of law shall follow with the filing of the application or the procedures prescribed in § 479.24 re- registration, or the compiling of the lating to destructive device determina- record containing the information or tions, and shall include information as evidence: Provided, however, That the to date of manufacture, value, design provisions of this section shall not pre- and other characteristics which would clude the use of any such information sustain a finding that the firearm or

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device is primarily a collector’s item method of operation other than as and is not likely to be used as a weap- specified in this part, where it is found on. that an emergency exists and the proposed variation from the specified re- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. quirements are necessary and the pro- ATF–48, 44 FR 55842, Sept. 28, 1979] posed variations (1) will not hinder the effective administration of this part, § 479.26 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 Any person subject to the provisions of procedures, conditions, and limitations this part, on specific approval by the set forth in the approval of the applica- Director as provided in this paragraph, tion. Failure to comply in good faith may use an alternate method or proce- with the procedures, conditions, and dure in lieu of a method or procedure limitations shall automatically termi- specifically prescribed in this part. The nate the authority for the variations, Director may approve an alternate and the person granted the variance method or procedure, subject to stated shall fully comply with the prescribed conditions, when it is found that: requirements of regulations from (1) Good cause is shown for the use of which the variations were authorized. the alternate method or procedure; Authority for any variation may be (2) The alternate method or proce- withdrawn whenever, in the judgment dure is within the purpose of, and con- of the Director, the effective adminis- sistent with the effect intended by, the tration of this part is hindered by the specifically prescribed method or pro- continuation of the variation. Where a cedure and that the alternate method person desires to employ an emergency or procedure is substantially equiva- variation, a written application shall lent to that specifically prescribed be submitted to the appropriate re- method or procedure; and gional director (compliance) for trans- (3) The alternate method or proce- mittal to the Director. The application dure will not be contrary to any provi- shall describe the proposed variation sion of law and will not result in an in- and set forth the reasons for it. Vari- crease in cost to the Government or ations may not be employed until the hinder the effective administration of application is approved. this part. Where such person desires to (c) Retention of approved variations. employ an alternate method or proce- The person granted the variance shall dure, a written application shall be retain and make available for examina- submitted to the appropriate regional tion by ATF officers any application director (compliance), for transmittal approved by the Director under this to the Director. The application shall section. specifically describe the proposed al- [T.D. ATF–270, 53 FR 10508 Mar. 31, 1988] ternate method or procedure and shall set forth the reasons for it. Alternate methods or procedures may not be em- Subpart D—Special ployed until the application is ap- (Occupational) Taxes proved by the Director. Such person shall, during the period of authoriza- § 479.31 Liability for tax. tion of an alternate method or proce- (a) General. Every person who en- dure, comply with the terms of the ap- gages in the business of importing, proved application. Authorization of manufacturing, or dealing in (including any alternate method or procedure pawnbrokers) firearms in the United may be withdrawn whenever, in the States shall pay a special (occupa- judgment of the Director, the effective tional) tax at a rate specified by administration of this part is hindered § 479.32. The tax shall be paid on or be- by the continuation of the authoriza- fore the date of commencing the tax- tion. able business, and thereafter every (b) Emergency variations from require- year on or before July 1. Special (occu- ments. The Director may approve a pational) tax shall not be prorated. The

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tax shall be computed for the entire (c) A taxpayer who was engaged in a tax year (July 1 through June 30), re- business on January 1, 1988, for which a gardless of the portion of the year dur- special (occupational) tax was paid for ing which the taxpayer engages in busi- a taxable period which began before ness. Persons commencing business at January 1, 1988, and included that date, any time after July 1 in any year are shall pay an increased special tax for liable for the special (occupational) tax the period January 1, 1988, through for the entire tax year. June 30, 1988. The increased tax shall (b) Each place of business taxable. An not exceed one-half the excess (if any) importer, manufacturer, or dealer in of (1) the rate of special tax in effect on firearms incurs special tax liability at January 1, 1988, over (2) the rate of each place of business where an occupa- such tax in effect on December 31, 1987. tion subject to special tax is con- The increased special tax shall be paid ducted. A place of business means the on or before April 1, 1988. entire office, plant or area of the busi- [T.D. ATF–271, 53 FR 17550, May 17, 1988] ness in any one location under the same proprietorship. Passageways, § 479.32a Reduced rate of tax for small streets, highways, rail crossings, wa- importers and manufacturers. terways, or partitions dividing the (a) General. Effective January 1, 1988, premises are not sufficient separation 26 U.S.C. 5801(b) provides for a reduced to require additional special tax, if the rate of special tax with respect to any divisions of the premises are otherwise importer or manufacturer whose gross contiguous. See also §§ 479.38–479.39. receipts (for the most recent taxable year ending before the first day of the (26 U.S.C. 5143, 5801, 5846) taxable period to which the special tax [T.D. ATF–271, 53 FR 17550, May 17, 1988] imposed by § 479.32 relates) are less than $500,000. The rate of tax for such § 479.32 Special (occupational) tax an importer or manufacturer is $500 per rates. year or fraction thereof. The ‘‘taxable (a) Prior to January 1, 1988, the spe- year’’ to be used for determining gross cial (occupational) tax rates were as receipts is the taxpayer’s income tax follows: year. All gross receipts of the taxpayer shall be included, not just the gross re- Per year or ceipts of the business subject to special fraction thereof tax. Proprietors of new businesses that have not yet begun a taxable year, as Class 1—Importer of firearms ...... $500 well as proprietors of existing busi- Class 2—Manufacturer of firearms ...... 500 nesses that have not yet ended a tax- Class 3—Dealer in firearms ...... 200 able year, who commence a new activ- Class 4—Importer only of weapons classified as ‘‘any other weapon’’ ...... 25 ity subject to special tax, quality for Class 5—Manufacturer only of weapons classi- the reduced special (occupational) tax fied as ‘‘any other weapon’’ ...... 25 rate, unless the business is a member Class 6—Dealer only in weapons classified as of a ‘‘controlled group’’; in that case, ‘‘any other weapon’’ ...... 10 the rules of paragraph (b) of this section shall apply. (b) Except as provided in § 479.32a, the (b) Controlled group. All persons special (occupational) tax rates effec- treated as one taxpayer under 26 U.S.C. tive January 1, 1988, are as follows: 5061(e)(3) shall be treated as one tax- Per year or payer for the purpose of determining fraction gross receipts under paragraph (a) of thereof this section. ‘‘Controlled group’’ means Class 1—Importer of firearms (including an im- a controlled group of corporations, as porter only of weapons classified as ‘‘any defined in 26 U.S.C. 1563 and imple- other weapon’’) ...... $1,000 menting regulations in 26 CFR 1.1563–1 Class 2—Manufacturer of firearms (including a manufacturer only of weapons classified as through 1.1563–4, except that the words ‘‘any other weapon’’) ...... 1,000 ‘‘at least 80 percent’’ shall be replaced Class 3—Dealer in firearms (including a dealer by the words ‘‘more than 50 percent’’ in only of weapons classified as ‘‘any other each place they appear in subsection weapon’’) ...... 500 (a) of 26 U.S.C. 1563, as well as in the

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implementing regulations. Also, the § 479.34 Special tax registration and rules for a ‘‘controlled group of cor- return. porations’’ apply in a similar fashion (a) General. Special tax shall be paid to groups which include partnerships by return. The prescribed return is and/or sole proprietorships. If one enti- ATF Form 5630.7, Special Tax Registra- ty maintains more than 50% control tion and Return. Special tax returns, over a group consisting of corporations with payment of tax, shall be filed with and one, or more, partnerships and/or ATF in accordance with instructions sole proprietorships, all of the mem- on the form. Properly completing, sign- bers of the controlled group are one ing, and timely filing of a return (Form taxpayer for the purpose of this sec- 5630.7) constitutes compliance with 26 tion. U.S.C. 5802. (c) Short taxable year. Gross receipts (b) Preparation of ATF Form 5630.7. All for any taxable year of less than 12 of the information called for on Form months shall be annualized by multi- 5630.7 shall be provided, including: plying the gross receipts for the short (1) The true name of the taxpayer. period by 12 and dividing the result by (2) The trade name(s) (if any) of the the number of months in the short pe- business(es) subject to special tax. riod, as required by 26 U.S.C. 448(c)(3). (3) The employer identification num- (d) Returns and allowances. Gross re- ber (see § 479.35). ceipts for any taxable year shall be re- (4) The exact location of the place of duced by returns and allowances made business, by name and number of build- during that year under 26 U.S.C. ing or street, or if these do not exist, 448(c)(3). by some description in addition to the post office address. In the case of one (26 U.S.C. 448, 5061, 5801) return for two or more locations, the [T.D. ATF–271, 53 FR 17550, May 17, 1988] address to be shown shall be the taxpayer’s principal place of business (or § 479.33 Special exemption. principal office, in the case of a corporate taxpayer). (a) Any person required to pay spe- (5) The class(es) of special tax to cial (occupational) tax under this part which the taxpayer is subject. shall be relieved from payment of that (6) Ownership and control informa- tax if he establishes to the satisfaction tion: That is, the name, position, and of the Director that his business is con- residence address of every owner of the ducted exclusively with, or on behalf business and of every person having of, the United States or any depart- power to control its management and ment, independent establishment, or policies with respect to the activity agency thereof. The Director may re- subject to special tax. ‘‘Owner of the lieve any person manufacturing fire- business’’ shall include every partner, arms for or on behalf of the United if the taxpayer is a partnership, and States from compliance with any pro- every person owning 10% or more of its vision of this part in the conduct of the stock, if the taxpayer is a corporation. business with respect to such firearms. However, the ownership and control in- (b) The exemption in this section formation required by this paragraph may be obtained by filing with the Di- need not be stated if the same informa- rector an application, in letter form, tion has been previously provided to setting out the manner in which the ATF in connection with a license appli- applicant conducts his business, the cation under Part 478 of this chapter, type of firearm to be manufactured, and if the information previously pro- and proof satisfactory to the Director vided is still current. of the existence of the contract with (c) Multiple locations and/or classes of A taxpayer subject to special tax the United States, department, inde- tax. for the same period at more than one pendent establishment, or agency location or for more than one class of thereof, under which the applicant in- tax shall— tends to operate. (1) File one special tax return, ATF Form 5630.7, with payment of tax, to

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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 of business (or principal office, in the uals who have filed with ATF a prop- case of a corporate taxpayer) for not erly executed Application for License less than 3 years. under 18 U.S.C. Chapter 44, Firearms, (d) Signing of ATF Forms 5630.7—(1) ATF Form 7 (5310.12) (12–93 edition), as Ordinary returns. The return of an indi- specified in § 478.44(a). vidual proprietor shall be signed by the (26 U.S.C. 5142, 5802, 5846, 6061, 6065, 6151) individual. The return of a partnership shall be signed by a general partner. [T.D. ATF–271, 53 FR 17551, May 17, 1988, as The return of a corporation shall be amended by T.D. ATF–363, 60 FR 17456, Apr. signed by any officer. In each case, the 6, 1995] person signing the return shall des- § 479.35 Employer identification num- ignate his or her capacity as ‘‘indi- ber. vidual owner,’’ ‘‘member of firm,’’ or, 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 (b) Application for employer identifica- by the name of the principal and fol- tion number. Each taxpayer who files a lowed by the title of the agent or attor- special tax return, who has not already ney in fact. A return signed by a person been assigned an employer identifica- as agent will not be accepted unless tion number, shall file IRS Form SS–4 there is filed, with the ATF office with to apply for one. The taxpayer shall which the return is required to be filed, apply for and be assigned only one em- a power of attorney authorizing the ployer identification number, regard- agent to perform the act. (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- or place of business. When a person ance with the instructions on the form changes the location of a business for or issued in respect to it. which he has paid the special (occupational) tax, he will be liable for another (26 U.S.C. 6109) such tax unless the change is properly [T.D. ATF–271, 53 FR 17551, May 17, 1988; as registered with the regional director amended by T.D. ATF–301, 55 FR 47657, Nov. (compliance) for the region in which 14, 1990] the special tax stamp was issued, as § 479.36 The special tax stamp, receipt provided in § 479.46. for special (occupational) taxes. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 Upon filing a properly completed and FR 16835, Apr. 15, 1975, and amended by T.D. executed return (Form 5630.7) accom- ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– panied by remittance of the full 251, 52 FR 19334, May 22, 1987; T.D. ATF–271, 53 FR 17551, May 17, 1988] amount due, the taxpayer will be issued a special tax stamp as evidence § 479.39 Engaging in more than one of payment of the special (occupa- business at the same location. tional) tax. If more than one business taxable [36 FR 14256, Aug. 3, 1971. Redesignated at 40 under 26 U.S.C. 5801, is carried on at FR 16835, Apr. 15, 1975, and amended by T.D. the same location during a taxable ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– year, the special (occupational) tax im- 363, 60 FR 17456, Apr. 6, 1995] posed on each such business must be § 479.37 Certificates in lieu of stamps paid. This section does not require a lost or destroyed. qualified manufacturer or importer to qualify as a dealer if such manufac- When a special tax stamp has been turer or importer also engages in busi- lost or destroyed, such fact should be ness on his qualified premises as a deal- reported immediately to the regional er. However, a qualified manufacturer director (compliance) Center who who engages in business as an importer issued the stamp. A certificate in lieu must also qualify as an importer. Fur- of the lost or destroyed stamp will be ther, a qualified dealer is not entitled issued to the taxpayer upon the sub- to engage in business as a manufac- mission of an affidavit showing to the turer or importer. satisfaction of the regional director (compliance) that the stamp was lost [36 FR 14256, Aug. 3, 1971. Redesignated at 40 or destroyed. FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– [36 FR 14256, Aug. 3, 1971. Redesignated at 40 271, 53 FR 17551, May 17, 1988] FR 16835, Apr. 15, 1975, and amended by T.D. ATF–251, 52 FR 19334, May 22, 1987] § 479.40 Partnership liability. § 479.38 Engaging in business at more Any number of persons doing busi- than one location. ness in partnership at any one location A person shall pay the special (occu- shall be required to pay but one special pational) tax for each location where (occupational) tax. he engages in any business taxable under 26 U.S.C. 5801. However, a person § 479.41 Single sale. paying a special (occupational) tax A single sale, unattended by cir- covering his principal place of business cumstances showing the one making may utilize other locations solely for the sale to be engaged in business, does storage of firearms without incurring not create special (occupational) tax li- special (occupational) tax liability at ability. such locations. A manufacturer, upon the single payment of the appropriate CHANGE OF OWNERSHIP special (occupational) tax, may sell firearms, if such firearms are of his § 479.42 Changes through death of own manufacture, at the place of man- owner. ufacture and at his principal office or Whenever any person who has paid place of business if no such firearms, special (occupational) tax dies, the sur- except samples, are kept at such office viving spouse or child, or executors or

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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, register in the same manner as a per- subject to the following conditions. If son who first engages in business is re- the surviving spouse or child, or execu- quired to do under § 479.34 even though tor or administrator, or other legal the name of the new firm may be the representative of the deceased tax- same as that of the old. Where the payer continues the business, such per- members of a partnership or an unin- son shall, within 30 days after the date corporated association, which has paid on which the successor begins to carry special (occupational) tax, form a cor- on the business, file a new return, 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 stockholder in a corporation who after of owner. 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 Whenever during the taxable year a without incurring additional special taxpayer intends to remove his busi- (occupational) tax liability. In such ness to a location other than specified cases, the change shall be registered in his last special (occupational) tax with ATF in a manner similar to that 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. showing the new address intended to be ATF–251, 52 FR 19334, May 22, 1987] 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 regional director (compliance), upon from a partnership or an unincor- approval of the application, shall re- porated association, the remaining turn the special tax stamp, amended to member, or members, may, without in- show the new business location. Fire- curring additional special (occupa- arms operations shall not be com- tional) tax liability, carry on the same menced at the new business location by business at the same location for the the taxpayer prior to the required ap- balance of the taxable period for which proval of his application to so change special (occupational) tax was paid, his business location. provided any such change shall be reg- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 istered in the same manner as required FR 16835, Apr. 15, 1975, and amended by T.D. by § 479.42. Where new member(s) are ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– taken into a partnership or an unincor- 363, 60 FR 17456, Apr. 6, 1995]

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CHANGE OF TRADE NAME pay tax, as well as criminal penalties for carrying on business without pay- § 479.47 Notice by taxpayer. ment of special (occupational) tax (see Whenever during the taxable year a section 5871 I.R.C.). taxpayer intends to change the name of his business, he shall file with ATF (a) § 479.50 Delinquency. a return, Form 5630.7, bearing the nota- Any person liable for special (occupation ‘‘Amended,’’ and showing the tional) tax under section 5801, I.R.C., trade name intended to be used, (b) his who fails to file a return (Form 5630.7), current special tax stamp, and (c) a let- as prescribed, will be liable for a delin- ter application requesting the amend- quency penalty computed on the ment of his registration. The regional amount of tax due unless a return director (compliance), upon approval of (Form 5630.7) is later filed and failure the application, shall return the spe- to file the return timely is shown to cial tax stamp, amended to show the the satisfaction of the regional director new trade name. Firearms operations (compliance), to be due to reasonable shall not be commenced under the new cause. The delinquency penalty to be trade name by the taxpayer prior to added to the tax is 5 percent if the fail- the required approval of his application ure is for not more than 1 month, with to so change the trade name. an additional 5 percent for each additional month or fraction thereof during [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. which failure continues, not to exceed ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– 25 percent in the aggregate (section 363, 60 FR 17456, Apr. 6, 1995] 6651, I.R.C.). However, no delinquency penalty is assessed where the 50 per- PENALTIES AND INTEREST cent addition to tax is assessed for fraud (see § 479.51). § 479.48 Failure to pay special (occupational) tax. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. Any person who engages in a business ATF–251, 52 FR 19334, May 22, 1987; T.D. ATF– taxable under 26 U.S.C. 5801, without 363, 60 FR 17453, Apr. 6, 1996] timely payment of the tax imposed with respect to such business (see § 479.51 Fraudulent return. § 479.34) shall be liable for such tax, If any part of any underpayment of plus the interest and penalties thereon tax required to be shown on a return is (see 26 U.S.C. 6601 and 6651). In addi- due to fraud, there shall be added to tion, such person may be liable for the tax an amount equal to 50 percent criminal penalties under 26 U.S.C. 5871. of the underpayment, but no delin- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 quency penalty shall be assessed with FR 16835, Apr. 15, 1975, and amended by T.D. respect to the same underpayment ATF–48, 44 FR 55842, Sept. 28, 1979] (section 6653, I.R.C.).

§ 479.49 Failure to register change or APPLICATION OF STATE LAWS removal. Any person succeeding to and car- § 479.52 State regulations. rying on a business for which special Special tax stamps are merely re- (occupational) tax has been paid with- ceipts for the tax. Payment of tax out registering such change within 30 under Federal law confers no privilege days thereafter, and any taxpayer re- to act contrary to State law. One to moving his business with respect to whom a special tax stamp has been which special (occupational) tax has issued may still be punishable under a been paid to a place other than that for State law prohibiting or controlling which tax was paid without obtaining the manufacture, possession or transfer approval therefor (see § 479.46), will of firearms. On the other hand, compli- incur liability to an additional pay- ance with State law confers no immu- ment of the tax, addition to tax and in- nity under Federal law. Persons who terest, as provided in sections 5801, engage in the business of importing, 6651, and 6601, respectively, I.R.C., for manufacturing or dealing in firearms, failure to make return (see § 479.50) or in violation of the law of a State, are

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nevertheless required to pay special any. The applicant shall also show re- (occupational) tax as imposed under quired information evidencing that the internal revenue laws of the United making or possession of the firearm States. For provisions relating to re- would not be in violation of law. If the strictive use of information furnished making is taxable, a remittance in the to comply with the provisions of this amount of $200 shall be submitted with part see § 479.23. the application in accordance with the instructions on the form. If the making Subpart E—Tax on Making is taxable and the application is ap- Firearms proved, the Director will affix a Na- tional Firearms Act stamp to the origi- § 479.61 Rate of tax. nal application in the space provided Except as provided in this subpart, therefor and properly cancel the stamp there shall be levied, collected, and (see § 479.67). The approved application paid upon the making of a firearm a will be returned to the applicant. If the tax at the rate of $200 for each firearm making of the firearm is tax exempt made. This tax shall be paid by the per- under this part, an explanation of the son making the firearm. Payment of basis of the exemption shall be at- the tax on the making of a firearm tached to the Form 1 (Firearms). shall be represented by a $200 adhesive stamp bearing the words ‘‘National [T.D. ATF–270, 53 FR 10508, Mar. 31, 1988] Firearms Act.’’ The stamps are maintained by the Director. § 479.63 Identification of applicant. [T.D. ATF–270, 53 FR 10508, Mar. 31, 1988] If the applicant is an individual, the applicant shall securely attach to each APPLICATION TO MAKE A FIREARM copy of the Form 1 (Firearms), in the space provided on the form, a photo- § 479.62 Application to make. graph of the applicant 2 × 2 inches in No person shall make a firearm un- size, clearly showing a full front view less the person has filed with the Direc- of the features of the applicant with tor a written application on Form 1 head bare, with the distance from the (Firearms), Application to Make and top of the head to the point of the chin Register a Firearm, in duplicate, exe- approximately 11⁄4 inches, and which cuted under the penalties of perjury, to shall have been taken within 1 year make and register the firearm and has prior to the date of the application. received the approval of the Director to The applicant shall attach two prop- make the firearm which approval shall erly completed FBI Forms FD–258 (Fin- effectuate registration of the weapon gerprint Card) to the application. The to the applicant. The application shall fingerprints must be clear for accurate identify the firearm to be made by se- classification and should be taken by rial number, type, model, caliber or someone properly equipped to take gauge, length of barrel, other marks of them. A certificate of the local chief of identification, and the name and ad- police, sheriff of the county, head of dress of original manufacturer (if the the State police, State or local district applicant is not the original manufac- attorney or prosecutor, or such other turer). The applicant must be identified on the Form 1 (Firearms) by name person whose certificate may in a par- and address and, if other than a natural ticular case be acceptable to the Direc- person, the name and address of the tor, shall be completed on each copy of principal officer or authorized rep- the Form 1 (Firearms). The certificate resentative and the employer identi- shall state that the certifying official fication number and, if an individual, is satisfied that the fingerprints and the identification must include the photograph accompanying the applica- date and place of birth and the infor- tion are those of the applicant and that mation prescribed in § 479.63. Each ap- the certifying official has no informa- plicant shall identify the Federal fire- tion indicating that possession of the arms license and special (occupational) firearm by the maker would be in vio- tax stamp issued to the applicant, if lation of State or local law or that the

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maker will use the firearm for other stamping thereon, in ink, his initials, than lawful purposes. and the day, month and year, in such manner as to render it unfit for reuse. [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988] The cancellation shall not so deface § 479.64 Procedure for approval of ap- the stamp as to prevent its denomina- plication. tion and genuineness from being read- The application to make a firearm, ily determined. Form 1 (Firearms), must be forwarded EXCEPTIONS TO TAX ON MAKING directly, in duplicate, by the maker of FIREARMS the firearm to the Director in accordance with the instructions on the form. § 479.68 Qualified manufacturer. The Director will consider the application for approval or disapproval. If the A manufacturer qualified under this application is approved, the Director part to engage in such business may will return the original thereof to the make firearms without payment of the maker of the firearm and retain the du- making tax. However, such manufac- plicate. Upon receipt of the approved turer shall report and register each application, the maker is authorized to firearm made in the manner prescribed make the firearm described therein. by this part. The maker of the firearm shall not, [36 FR 14256, Aug. 3, 1971. Redesignated at 40 under any circumstances, make the FR 16835, Apr. 15, 1975, and amended by T.D. firearm until the application, satisfac- ATF–271, 53 FR 17551, May 17, 1988] torily executed, has been forwarded to the Director and has been approved and § 479.69 Making a firearm for the United States. returned by the Director with the Na- tional Firearms Act stamp affixed. If A firearm may be made by, or on be- the application is disapproved, the half of, the United States or any de- original Form 1 (Firearms) and the re- partment, independent establishment, mittance submitted by the applicant or agency thereof without payment of for the purchase of the stamp will be the making tax. However, if a firearm returned to the applicant with the rea- is to be made on behalf of the United son for disapproval stated on the form. States, the maker must file an application, in duplicate, on Form 1 (Fire- [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988] arms) and obtain the approval of the Director in the manner prescribed in § 479.65 Denial of application. § 479.62. An application to make a firearm shall not be approved by the Director if § 479.70 Certain government entities. the making or possession of the fire- A firearm may be made without pay- arm would place the person making the ment of the making tax by, or on be- firearm in violation of law. half of, any State, or possession of the United States, any political subdivi- § 479.66 Subsequent transfer of firearms. sion thereof, or any official police organization of such a government entity Where a firearm which has been made engaged in criminal investigations. in compliance with 26 U.S.C. 5821, and Any person making a firearm under the regulations contained in this part, this exemption shall first file an appli- is to be transferred subsequently, the cation, in duplicate, on Form 1 (Fire- transfer provisions of the firearms laws arms) and obtain the approval of the and regulations must be complied with. Director as prescribed in § 479.62. (See subpart F of this part). [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. The approval by the Director of an § 479.67 Cancellation of stamp. 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)

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to the person making the firearm. The case of a short-barreled shotgun or a original Form 1 (Firearms) showing ap- short-barreled rifle, the length of the proval by the Director shall be retained barrel; in the case of a weapon made by the maker to establish proof of his from a rifle or shotgun, the overall registration of the firearm described length of the weapon and the length of therein, and shall be made available to the barrel; and any other identifying any ATF officer on request. marks on the firearm. In the event the firearm does not bear a serial number, Subpart F—Transfer Tax the applicant shall obtain a serial number from the Regional director (compli- § 479.81 Scope of tax. ance) and shall stamp (impress) or oth- Except as otherwise provided in this erwise conspicuously place such serial part, each transfer of a firearm in the number on the firearm in a manner not United States is subject to a tax to be susceptible of being readily obliter- represented by an adhesive stamp of ated, altered or removed. The applica- the proper denomination bearing the tion, Form 4 (Firearms), shall identify words ‘‘National Firearms Act’’ to be the transferor by name and address; affixed to the Form 4 (Firearms), Ap- shall identify the transferor’s Federal plication for Transfer and Registration firearms license and special (occupa- of Firearm, as provided in this subpart. tional) Chapter tax stamp, if any; and if the transferor is other than a natural § 479.82 Rate of tax. person, shall show the title or status of The transfer tax imposed with re- the person executing the application. spect to firearms transferred within The application also shall identify the the United States is at the rate of $200 transferee by name and address, and, if for each firearm transferred, except the transferee is a natural person not that the transfer tax on any firearm qualified as a manufacturer, importer classified as ‘‘any other weapon’’ shall or dealer under this part, he shall be be at the rate of $5 for each such fire- further identified in the manner pre- arm transferred. The tax imposed on scribed in § 479.85. The application also the transfer of the firearm shall be paid shall identify the special (occupa- by the transferor. tional) tax stamp and Federal firearms license of the transferee, if any. Any § 479.83 Transfer tax in addition to im- tax payable on the transfer must be port duty. represented by an adhesive stamp of The transfer tax imposed by section proper denomination being affixed to 5811, I.R.C., is in addition to any im- the application, Form 4 (Firearms), port duty. properly cancelled. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 APPLICATION AND ORDER FOR TRANSFER FR 16835, Apr. 15, 1975, and amended by T.D. OF FIREARM ATF–241, 51 FR 39632, Oct. 29, 1986 T.D. ATF– 270, 53 FR 10509, Mar. 31, 1988] § 479.84 Application to transfer. Except as otherwise provided in this § 479.85 Identification of transferee. subpart, no firearm may be transferred If the transferee is an individual, in the United States unless an applica- such person shall securely attach to tion, Form 4 (Firearms), Application each copy of the application, Form 4 for Transfer and Registration of Fire- (Firearms), in the space provided on arm, in duplicate, executed under the the form, a photograph of the applicant penalties of perjury to transfer the 2 × 2 inches in size, clearly showing a firearm and register it to the trans- full front view of the features of the ap- feree has been filed with and approved plicant with head bare, with the dis- by the Director. The application, Form tance from the top of the head to the 4 (Firearms), shall be filed by the point of the chin approximately 11⁄4 transferor and shall identify the fire- inches, and which shall have been arm to be transferred by type; serial taken within 1 year prior to the date of number; name and address of the man- the application. The transferee shall ufacturer and importer, if known; attach two properly completed FBI model; caliber, gauge or size; in the Forms FD–258 (Fingerprint Card) to the

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application. The fingerprints must be be denied if the transfer, receipt, or clear for accurate classification and possession of a firearm would place the should be taken by someone properly transferee in violation of law. In addi- equipped to take them. A certificate of tion to any other records checks that the local chief of police, sheriff of the may be conducted to determine wheth- county, head of the State police, State er the transfer, receipt, or possession of or local district attorney or pros- a firearm would place the transferee in ecutor, or such other person whose cer- violation of law, the Director shall con- tificate may in a particular case be ac- tact the National Instant Criminal ceptable to the Director, shall be com- Background Check System. pleted on each copy of the Form 4 (Firearms). The certificate shall state [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988, as that the certifying official is satisfied amended by T.D. ATF–415, 63 FR 58281, Oct. that the fingerprints and photograph 29, 1998] accompanying the application are § 479.87 Cancellation of stamp. those of the applicant and that the certifying official has no information indi- The method of cancellation of the cating that the receipt or possession of stamp required by this subpart as pre- the firearm would place the transferee scribed in § 479.67 shall be used. in violation of State or local law or that the transferee will use the firearm EXEMPTIONS RELATING TO TRANSFERS for other than lawful purposes. OF FIREARMS [T.D. ATF–270, 53 FR 10509, Mar. 31, 1988] § 479.88 Special (occupational) taxpayers. § 479.86 Action on application. The Director will consider a com- (a) A firearm registered to a person pleted and properly executed applica- qualified under this part to engage in tion, Form 4 (Firearms), to transfer a business as an importer, manufacturer, firearm. If the application is approved, or dealer may be transferred by that the Director will affix the appropriate person without payment of the transfer National Firearms Act stamp, cancel tax to any other person qualified under it, and return the original application this part to manufacture, import, or showing approval to the transferor who deal in firearms. may then transfer the firearm to the (b) The exemption provided in para- transferee along with the approved ap- graph (a) of this section shall be ob- plication. The approval of an applica- tained by the transferor of the firearm tion, Form 4 (Firearms), by the Direc- filing with the Director an application, tor will effectuate registration of the Form 3 (Firearms), Application for firearm to the transferee. The trans- Tax-exempt Transfer of Firearm and feree shall not take possession of a fire- Registration to Special (Occupational) arm until the application, Form 4 Taxpayer, in duplicate, executed under (Firearms), for the transfer filed by the the penalties of perjury. The applica- transferor has been approved by the Di- tion, Form 3 (Firearms), shall (1) show rector and registration of the firearm the name and address of the transferor is effectuated to the transferee. The and of the transferee, (2) identify the transferee shall retain the approved ap- Federal firearms license and special plication as proof that the firearm de- (occupational) tax stamp of the trans- scribed therein is registered to the feror and of the transferee, (3) show the transferee, and shall make the ap- name and address of the manufacturer proved Form 4 (Firearms) available to and the importer of the firearm, if any ATF officer on request. If the ap- known, (4) show the type, model, over- plication, Form 4 (Firearms), to trans- all length (if applicable), length of bar- fer a firearm is disapproved by the Di- rel, caliber, gauge or size, serial num- rector, the original application and the ber, and other marks of identification remittance for purchase of the stamp of the firearm, and (5) contain a state- will be returned to the transferor with ment by the transferor that he is enti- reasons for the disapproval stated on tled to the exemption because the the application. An application, Form 4 transferee is a person qualified under (Firearms), to transfer a firearm shall this part to manufacture, import, or

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

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Director and the original thereof has abilities. (See 26 U.S.C. 5811, 5852, 5861, been returned to the transferor. If the and 5871.) Director disapproves the application, Form 5 (Firearms), the original Form 5 [36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975, and amended by T.D. (Firearms) shall be returned to the ATF–48, 44 FR 55843, Sept. 28, 1979] transferor with the reasons for the disapproval stated thereon. An applica- § 479.92 Transportation of firearms to tion by a governmental entity to trans- effect transfer. fer a firearm shall be denied if the transfer, receipt, or possession of a Notwithstanding any provision of firearm would place the transferee in § 478.28 of this chapter, it shall not be violation of law. required that authorization be ob- (c) The transferor shall be respon- tained from the Director for the trans- sible for establishing the exempt status portation in interstate or foreign com- of the transferee before making a merce of a firearm in order to effect transfer under the provisions of this the transfer of a firearm authorized section. Therefore, before engaging in under the provisions of this subpart. transfer negotiations with the trans- [T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] feree, the transferor should satisfy himself of the claimed exempt status of OTHER PROVISIONS the transferee and the bona fides of the transaction. If not fully satisfied, the § 479.93 Transfers of firearms to cer- transferor should communicate with tain persons. the Director, report all circumstances Where the transfer of a destructive regarding the proposed transfer, and device, machine gun, short-barreled await the Director’s advice before shotgun, or short-barreled rifle is to be making application for transfer. An un- made by a person licensed under the approved transfer or a transfer to an provisions of Title I of the Gun Control unauthorized person may subject the Act of 1968 (82 Stat. 1213) to a person transferor to civil and criminal liabilities. (See 26 U.S.C. 5852, 5861, and 5871.) not so licensed, the sworn statement required by § 478.98 of this chapter shall [36 FR 14256, Aug. 3, 1971. Redesignated at 40 be attached to and accompany the FR 16835, Apr. 15, 1975, and amended by T.D. transfer application required by this ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF– subpart. 241, 51 FR 39632, Oct. 29, 1986; T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] Subpart G—Registration and § 479.91 Unserviceable firearms. Identification of Firearms An unserviceable firearm may be transferred as a curio or ornament § 479.101 Registration of firearms. without payment of the transfer tax. (a) The Director shall maintain a However, the procedures for the trans- central registry of all firearms in the fer of a firearm as provided in § 479.90 United States which are not in the pos- shall be followed in a tax-exempt session of or under the control of the transfer of a firearm under this sec- United States. This registry shall be tion, except a statement shall be en- known as the National Firearms Reg- tered on the transfer application, Form istration and Transfer Record and shall 5 (Firearms), by the transferor that he include: is entitled to the exemption because the firearm to be transferred is (1) Identification of the firearm as re- unservicable and is being transferred as quired by this part; a curio or ornament. An unapproved (2) Date of registration; and transfer, the transfer of a firearm (3) Identification and address of per- under the provisions of this section son entitled to possession of the fire- which is in fact not an unserviceable arm as required by this part. firearm, or the transfer of an unserv- (b) Each manufacturer, importer, and iceable firearm as something other maker shall register each firearm he than a curio or ornament, may subject manufactures, imports, or makes in the transferor to civil and criminal li- the manner prescribed by this part.

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Each firearm transferred shall be reg- graved, cast, stamped (impressed), or istered to the transferee by the trans- placed on the frame, receiver, or barrel feror in the manner prescribed by this thereof certain additional information. part. No firearm may be registered by This information must be placed in a a person unlawfully in possession of manner not susceptible of being readily the firearm except during an amnesty obliterated, altered or removed. For period established under section 207 of firearms manufactured, imported, or the Gun Control Act of 1968 (82 Stat. made on and after January 30, 2002, the 1235). engraving, casting, or stamping (im- (c) A person shown as possessing fire- pressing) of this information must be arms by the records maintained by the to a minimum depth of .003 inch. The Director pursuant to the National Fire- additional information includes: arms Act (26 U.S.C. Chapter 53) in force (i) The model, if such designation has on October 31, 1968, shall be considered been made; to have registered the firearms in his (ii) The caliber or gauge; possession which are disclosed by that (iii) Your name (or recognized abbre- record as being in his possession on Oc- viation) and also, when applicable, the tober 31, 1968. name of the foreign manufacturer or (d) The National Firearms Registra- maker; tion and Transfer Record shall include firearms registered to the possessors (iv) In the case of a domestically thereof under the provisions of section made firearm, the city and State (or 207 of the Gun Control Act of 1968. recognized abbreviation thereof) where (e) A person possessing a firearm reg- you as the manufacturer maintain istered to him shall retain proof of reg- your place of business, or where you, as istration which shall be made available the maker, made the firearm; and to any ATF officer upon request. (v) In the case of an imported fire- (f) A firearm not identified as re- arm, the name of the country in which quired by this part shall not be reg- it was manufactured and the city and istered. State (or recognized abbreviation thereof) where you as the importer [36 FR 14256, Aug. 3, 1971. Redesignated at 40 maintain your place of business. For FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55843, Sept. 28, 1979] additional requirements relating to imported firearms, see Customs regula- § 479.102 How must firearms be identi- tions at 19 CFR part 134. fied? (b) The depth of all markings re- (a) You, as a manufacturer, importer, quired by this section will be measured or maker of a firearm, must legibly from the flat surface of the metal and identify the firearm as follows: not the peaks or ridges. The height of (1) By engraving, casting, stamping serial numbers required by paragraph (impressing), or otherwise conspicu- (a)(1) of this section will be measured ously placing or causing to be en- as the distance between the latitudinal graved, cast, stamped (impressed) or ends of the character impression bot- placed on the frame or receiver thereof toms (bases). an individual serial number. The serial (c) The Director may authorize other number must be placed in a manner means of identification upon receipt of not susceptible of being readily obliter- a letter application from you, sub- ated, altered, or removed, and must not mitted in duplicate, showing that such duplicate any serial number placed by other identification is reasonable and you on any other firearm. For firearms will not hinder the effective adminis- manufactured, imported, or made on tration of this part. and after January 30, 2002, the engrav- (d) In the case of a destructive de- ing, casting, or stamping (impressing) vice, the Director may authorize other of the serial number must be to a min- means of identifying that weapon upon imum depth of .003 inch and in a print receipt of a letter application from size no smaller than 1⁄16 inch; and you, submitted in duplicate, showing (2) By engraving, casting, stamping that engraving, casting, or stamping (impressing), or otherwise conspicu- (impressing) such a weapon would be ously placing or causing to be en- dangerous or impracticable.

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(e) A firearm frame or receiver that pational) tax stamp. Receipt of the no- is not a component part of a complete tice, Form 2 (Firearms), by the Direc- weapon at the time it is sold, shipped, tor shall effectuate the registration of or otherwise disposed of by you must the firearms listed on that notice. The be identified as required by this sec- requirements of this part relating to tion. the transfer of a firearm are applicable (f)(1) Any part defined as a machine to transfers by qualified manufactur- gun, muffler, or silencer for the pur- ers. poses of this part that is not a component part of a complete firearm at the § 479.104 Registration of firearms by time it is sold, shipped, or otherwise certain governmental entities. disposed of by you must be identified Any State, any political subdivision as required by this section. thereof, or any official police organiza- (2) The Director may authorize other tion of such a government entity en- means of identification of parts defined gaged in criminal investigations, which as machine guns other than frames or acquires for official use a firearm not receivers and parts defined as mufflers registered to it, such as by abandon- or silencers upon receipt of a letter ap- ment or by forfeiture, will register plication from you, submitted in dupli- such firearm with the Director by fil- cate, showing that such other identi- ing Form 10 (Firearms), Registration of fication is reasonable and will not Firearms Acquired by Certain Govern- hinder the effective administration of mental Entities, and such registration this part. shall become a part of the National (Approved by the Office of Management and Firearms Registration and Transfer Budget under control number 1140–0050) Record. The application shall identify [T.D. ATF–461, 66 FR 40601, Aug. 3, 2001, as the applicant, describe each firearm amended by ATF–11F, 73 FR 57242, Oct. 2, covered by the application, show the 2008] location where each firearm usually will be kept, and, if the firearm is un- § 479.103 Registration of firearms man- serviceable, the application shall show ufactured. how the firearm was made unservice- Each manufacturer qualified under able. This section shall not apply to a this part shall file with the Director an firearm merely being held for use as accurate notice on Form 2 (Firearms), evidence in a criminal proceeding. The Notice of Firearms Manufactured or Form 10 (Firearms) shall be executed in Imported, executed under the penalties duplicate in accordance with the in- of perjury, to show his manufacture of structions thereon. Upon registering firearms. The notice shall set forth the the firearm, the Director shall return name and address of the manufacturer, the original Form 10 (Firearms) to the identify his special (occupational) tax registrant with notification thereon stamp and Federal firearms license, that registration of the firearm has and show the date of manufacture, the been made. The registration of any type, model, length of barrel, overall firearm under this section is for offi- length, caliber, gauge or size, serial cial use only and a subsequent transfer numbers, and other marks of identi- will be approved only to other govern- fication of the firearms he manufac- mental entities for official use. tures, and the place where the manu- [36 FR 14256, Aug. 3, 1971. Redesignated at 40 factured firearms will be kept. All fire- FR 16835, Apr. 15, 1975, and amended by T.D. arms manufactured by him during a ATF–241, 51 FR 39633, Oct. 29, 1986; T.D. ATF– single day shall be included on one no- 270, 53 FR 10510, Mar. 31, 1988] tice, Form 2 (Firearms), filed by the manufacturer no later than the close of MACHINE GUNS the next business day. The manufacturer shall prepare the notice, Form 2 § 479.105 Transfer and possession of (Firearms), in duplicate, file the origi- machine guns. nal notice as prescribed herein and (a) General. As provided by 26 U.S.C. keep the copy with the records re- 5812 and 26 U.S.C. 5822, an application quired by subpart I of this part at the to make or transfer a firearm shall be premises covered by his special (occu- denied if the making, transfer, receipt,

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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 partment, agency, or political subdivi- or interest in seeing a demonstration sion thereof; or any lawful transfer or of a particular weapon. Applications to lawful possession of a machine gun transfer more than one machine gun of that was lawfully possessed before May a particular model to a dealer must 19, 1986. Therefore, notwithstanding any other provision of this part, no ap- also establish the dealer’s need for the plication to make, transfer, or import quantity of samples sought to be trans- a machine gun will be approved except ferred. as provided by this section. (e) The making of machine guns on or (b) Machine guns lawfully possessed after May 19, 1986. Subject to compli- prior to May 19, 1986. A machine gun ance with the provisions of this part, possessed in compliance with the provi- applications to make and register ma- sions of this part prior to May 19, 1986, chine guns on or after May 19, 1986, for may continue to be lawfully possessed the benefit of a Federal, State or local by the person to whom the machine governmental entity (e.g., an invention gun is registered and may, upon com- for possible future use of a govern- pliance with the provisions of this part, mental entity or the making of a weap- be lawfully transferred to and pos- on in connection with research and de- sessed by the transferee. velopment on behalf of such an entity) (c) Importation and manufacture. Sub- will be approved if it is established by ject to compliance with the provisions specific information that the machine of this part, importers and manufactur- gun is particularly suitable for use by ers qualified under this part may im- Federal, State or local governmental port and manufacture machine guns on entities and that the making of the or after May 19, 1986, for sale or dis- weapon is at the request and on behalf tribution to any department or agency of such an entity. of the United States or any State or political subdivision thereof, or for use (f) Discontinuance of business. Since by dealers qualified under this part as section 922(o), Title 18, U.S.C., makes it sales samples as provided in paragraph unlawful to transfer or possess a ma- (d) of this section. The registration of chine gun except as provided in the such machine guns under this part and law, any qualified manufacturer, im- their subsequent transfer shall be con- porter, or dealer intending to dis- ditioned upon and restricted to the sale continue business shall, prior to going or distribution of such weapons for the out of business, transfer in compliance official use of Federal, State or local with the provisions of this part any governmental entities. Subject to com- machine gun manufactured or im- pliance with the provisions of this part, ported after May 19, 1986, to a Federal, manufacturers qualified under this State or local governmental entity, part may manufacture machine guns qualified manufacturer, qualified im- on or after May 19, 1986, for exportation porter, or, subject to the provisions of in compliance with the Arms Export paragraph (d) of this section, dealer Control Act (22 U.S.C. 2778) and regula- qualified to possess such, machine gun. tions prescribed thereunder by the De- partment of State. [T.D. ATF–270, 53 FR 10510, Mar. 31, 1988] (d) Dealer sales samples. Subject to compliance with the provisions of this part, applications to transfer and register a machine gun manufactured or imported on or after May 19, 1986, to

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Subpart H—Importation and ther extended by the Director. If the Exportation firearm described in the approved application is not imported prior to the IMPORTATION expiration of the approval, the Director shall be so notified. Customs officers § 479.111 Procedure. will not permit release of a firearm (a) No firearm shall be imported or from Customs custody, except for ex- brought into the United States or any portation, unless covered by an appli- territory under its control or jurisdic- cation which has been approved by the tion unless the person importing or Director and which is currently effec- bringing in the firearm establishes to tive. The importation or bringing in of the satisfaction of the Director that a firearm not covered by an approved the firearm to be imported or brought application may subject the person rein is being imported or brought in for: sponsible to civil and criminal liabil- (1) The use of the United States or ities. (26 U.S.C. 5861, 5871, and 5872.) any department, independent establish- (b) Part 478 of this chapter also con- ment, or agency thereof or any State tains requirements and procedures for or possession or any political subdivi- the importation of firearms into the sion thereof; or United States. A firearm may not be (2) Scientific or research purposes; or imported into the United States under (3) Testing or use as a model by a this part unless those requirements registered manufacturer or solely for and procedures are also complied with use as a sample by a registered im- by the person importing the firearm. porter or registered dealer. (c) The provisions of this subpart The burden of proof is affirmatively on shall not be construed as prohibiting any person importing or bringing the the return to the United States or any firearm into the United States or any territory under its control or jurisdic- territory under its control or jurisdiction of a firearm by a person who can tion to show that the firearm is being establish to the satisfaction of Cus- imported or brought in under one of toms that (1) the firearm was taken the above paragraphs. Any person de- out of the United States or any terri- siring to import or bring a firearm into tory under its control or jurisdiction the United States under this paragraph by such person, (2) the firearm is reg- shall file with the Director an applica- istered to that person, and (3) if appro- tion on Form 6 (Firearms), Application priate, the authorization required by and Permit for Importation of Fire- Part 478 of this chapter for the trans- arms, Ammunition and Implements of portation of such a firearm in inter- War, in triplicate, executed under the state or foreign commerce has been ob- penalties of perjury. The application tained by such person. shall show the information required by [36 FR 14256, Aug. 3, 1971. Redesignated at 40 subpart G of Part 478 of this chapter. A FR 16835, Apr. 15, 1975, and amended by T.D. detailed explanation of why the impor- ATF–48, 44 FR 55843, Sept. 28, 1979; ATF–325, tation of the firearm falls within the 57 FR 29787, July 7, 1992] standards set out in this paragraph EFFECTIVE DATE NOTE: By ATF–26F 79 FR shall be attached to the application. 7396, Feb. 7, 2014, § 479.111(a) was amended by The person seeking to import or bring removing the phrase ‘‘one year’’ in the in the firearm will be notified of the eighth sentence and adding in its place the approval or disapproval of his applica- phrase ‘‘two years’’, effective Apr. 8, 2014. tion. If the application is approved, the original Form 6 (Firearms) will be re- § 479.112 Registration of imported fire- turned to the applicant showing such arms. approval and he will present the ap- (a) Each importer shall file with the proved application, Form 6 (Firearms), Director an accurate notice on Form 2 to the Customs officer at the port of (Firearms), Notice of Firearms Manu- importation. The approval of an appli- factured or Imported, executed under cation to import a firearm shall be the penalties of perjury, showing the automatically terminated at the expi- importation of a firearm. The notice ration of one year from the date of ap- shall set forth the name and address of proval unless, upon request, it is fur- the importer, identify the importer’s

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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 premises covered by the special (occu- by such entities. Such information pational) tax stamp. The timely re- must show why a sales sample of a par- ceipt by the Director of the notice, ticular firearm is suitable for such use Form 2 (Firearms), and the timely re- and the expected governmental cus- ceipt by the Director of the copy of tomers who would require a demonstra- Form 6A (Firearms), Release and Re- tion of the firearm. Information as to ceipt of Imported Firearms, Ammuni- the availability of the firearm to fill tion and Implements of War, required subsequent orders and letters from gov- by § 478.112 of this chapter, covering the ernmental entities expressing a need weapon reported on the Form 2 (Fire- for a particular model or interest in arms) by the qualified importer, shall seeing a demonstration of a particular effectuate the registration of the fire- firearm would establish suitability for arm to the importer. governmental use. Applications to im- (b) The requirements of this part report more than one firearm of a par- lating to the transfer of a firearm are ticular model for use as a sample by an applicable to the transfer of imported importer or dealer must also establish firearms by a qualified importer or any the importer’s or dealer’s need for the other person. quantity of samples sought to be im- (c) Subject to compliance with the ported. provisions of this part, an application, [36 FR 14256, Aug. 3, 1971. Redesignated by 40 Form 6 (Firearms), to import a firearm FR 16835, Apr. 15, 1975, and amended by T.D. by an importer or dealer qualified ATF–241, 51 FR 39633, Oct. 29, 1986; T.D. ATF– under this part, for use as a sample in 270, 53 FR 10511, Mar. 31, 1988] connection with sales of such firearms to Federal, State or local govern- § 479.113 Conditional importation. mental entities, will be approved if it The Director shall permit the condi- is established by specific information tional importation or bringing into the attached to the application that the United States of any firearm for the firearm is suitable or potentially suit- purpose of examining and testing the able for use by such entities. Such in- firearm in connection with making a formation must show why a sales sam- determination as to whether the imple of a particular firearm is suitable portation or bringing in of such fire- for such use and the expected govern- arm will be authorized under this sub- mental customers who would require a part. An application under this section demonstration of the firearm. Informa- shall be filed on Form 6 (Firearms), in tion as to the availability of the fire- triplicate, with the Director. The Di- arm to fill subsequent orders and let- rector may impose conditions upon any ters from governmental entities ex- importation under this section includ- pressing a need for a particular model ing a requirement that the firearm be or interest in seeing a demonstration shipped directly from Customs custody

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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 tax must file with the Director an ap- shipment in order to permit appro- plication on Form 9 (Firearms), Appli- priate inspection prior to lading. If ex- cation and Permit for Exportation of portation is to be made by parcel post, Firearms, in quadruplicate, for a per- one copy of the form must be presented mit providing for deferment of tax li- to the postmaster at the office receiv- ability. Part 1 of the application shall ing the parcel who will execute Part 4 show the name and address of the for- of such form and return the form to the eign consignee, number of firearms exporter for transmittal to the Direc- covered by the application, the in- tor. In the event exportation is not ef- tended port of exportation, a complete fected, all copies of the form must be description of each firearm to be ex- immediately returned to the Director ported, the name, address, State De- for cancellation. partment license number (or date of application if not issued), and identi- § 479.117 Action by Customs. fication of the special (occupational) Upon receipt of a permit, Form 9 tax stamp of the transferor. Part 1 of (Firearms), in duplicate, authorizing the application shall be executed under the exportation of firearms, the Dis- the penalties of perjury by the trans- trict Director of Customs may order feror and shall be supported by a cer- such inspection as deemed necessary tified copy of a written order or con- prior to lading of the merchandise. If tract of sale or other evidence showing satisfied that the shipment is proper that the firearm is to be shipped to a and the information contained in the foreign designation. Where it is desired permit to export is in agreement with to make a transfer free of tax to an- information shown in the shipper’s ex- other person who in turn will export port declaration, the District Director the firearm, the transferor shall like- of Customs will, after the merchandise wise file an application supported by has been duly exported, execute the evidence that the transfer will start certificate of exportation (Part 3 of the firearm in course of exportation, Form 9 (Firearms)). One copy of the except, however, that where such form will be retained with the shipper’s transferor and exporter are registered export declaration and the remaining special-taxpayers the transferor will copy thereof will be transmitted to the not be required to file an application Director. on Form 9 (Firearms). § 479.118 Proof of exportation. § 479.115 Action by Director. Within a six-month’s period from If the application is acceptable, the date of issuance of the permit to export Director will execute the permit, Part firearms, the exporter shall furnish or 2 of Form 9 (Firearms), to export the cause to be furnished to the Director firearm described on the form and re- (a) the certificate of exportation (Part

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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 exportation under this section will re- nontaxable transfer to a person in such lieve the actual exporter and the per- insular possession, the exemption ex- son selling to the exporter for expor- tends only to such transfer and not to tation from transfer tax liability. prior transfers. Where satisfactory evidence of exportation of a firearm is not furnished ARMS EXPORT CONTROL ACT within the stated period, the transfer tax will be assessed. § 479.122 Requirements. (a) Persons engaged in the business of § 479.119 Transportation of firearms to importing firearms are required by the effect exportation. Arms Export Control Act (22 U.S.C. Notwithstanding any provision of 2778) to register with the Director. (See § 478.28 of this chapter, it shall not be Part 447 of this chapter.) required that authorization be ob- (b) Persons engaged in the business of tained from the Director for the trans- exporting firearms caliber .22 or larger portation in interstate or foreign com- are subject to the requirements of a li- merce of a firearm in order to effect cense issued by the Secretary of State. the exportation of a firearm authorized Application for such license should be under the provisions of this subpart. made to the Office of Munitions Con- [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] trol, Department of State, Washington, DC 20502, prior to exporting firearms. § 479.120 Refunds. [36 FR 14256, Aug. 3, 1971. Redesignated at 40 Where, after payment of tax by the FR 16835, Apr. 15, 1975, and amended by T.D. manufacturer, a firearm is exported, ATF–241, 51 FR 39634, Oct. 29, 1986; T.D. ATF– and satisfactory proof of exportation 270, 53 FR 10511, Mar. 31, 1988] (see § 479.118) is furnished, a claim for refund may be submitted on Form 843 Subpart I—Records and Returns (see § 479.172). If the manufacturer waives all claim for the amount to be § 479.131 Records. refunded, the refund shall be made to For the purposes of this part, each the exporter. A claim for refund by an manufacturer, importer, and dealer in exporter of tax paid by a manufacturer firearms shall keep and maintain such should be accompanied by waiver of the records regarding the manufacture, im- manufacturer and proof of tax payment portation, acquisition (whether by by the latter. making, transfer, or otherwise), receipt, and disposition of firearms as are § 479.121 Insular possessions. prescribed, and in the manner and Transfers of firearms to persons in place required, by part 478 of this chap- the insular possessions of the United ter. In addition, each manufacturer, States are exempt from transfer tax, importer, and dealer shall maintain, in

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chronological order, at his place of Subpart K—Examination of Books business a separate record consisting of and Records the documents required by this part showing the registration of any firearm § 479.151 Failure to make returns: Sub- to him. If firearms owned or possessed stitute returns. by a manufacturer, importer, or dealer are stored or kept on premises other If any person required by this part to than the place of business shown on his make returns shall fail or refuse to special (occupational) tax stamp, the make any such return within the time record establishing registration shall prescribed by this part or designated show where such firearms are stored or by the Director, then the return shall kept. The records required by this part be made by an ATF officer upon inspec- shall be readily accessible for inspection of the books, but the making of tion at all reasonable times by ATF of- such return by an ATF officer shall not ficers. relieve the person from any default or penalty incurred by reason of failure to (Approved by the Office of Management and make such return. Budget under control number 1140–0032) (53 Stat. 437; 26 U.S.C. 6020) [36 FR 14256, Aug. 3, 1971. Redesignated by 40 FR 16835, Apr. 15, 1975, and amended by T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; ATF–11F, § 479.152 Penalties (records and re- 73 FR 57242, Oct. 2, 2008] turns). Any person failing to keep records or Subpart J—Stolen or Lost Firearms make returns, or making, or causing or Documents the making of, a false entry on any application, return or record, knowing § 479.141 Stolen or lost firearms. such entry to be false, is liable to fine Whenever any registered firearm is and imprisonment as provided in sec- stolen or lost, the person losing posses- tion 5871, I.R.C. sion thereof will, immediately upon discovery of such theft or loss, make a Subpart L—Distribution and Sale of report to the Director showing the fol- Stamps lowing: (a) Name and address of the person in § 479.161 National Firearms Act whose name the firearm is registered, stamps. (b) kind of firearm, (c) serial number, ‘‘National Firearms Act’’ stamps evi- (d) model, (e) caliber, (f) manufacturer dencing payment of the transfer tax or of the firearm, (g) date and place of tax on the making of a firearm are theft or loss, and (h) complete state- maintained by the Director. The remit- ment of facts and circumstances sur- tance for purchase of the appropriate rounding such theft or loss. tax stamp shall be submitted with the § 479.142 Stolen or lost documents. application. Upon approval of the application, the Director will cause the When any Forms 1, 2, 3, 4, 5, 6A, or 10 appropriate tax to be paid by affixing (Firearms) evidencing possession of a the appropriate stamp to the applica- firearm is stolen, lost, or destroyed, tion. the person losing possession will immediately upon discovery of the theft, [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] loss, or destruction report the matter to the Director. The report will show in § 479.162 Stamps authorized. detail the circumstances of the theft, Adhesive stamps of the $5 and $200 loss, or destruction and will include all denomination, bearing the words ‘‘Na- known facts which may serve to iden- tional Firearms Act,’’ have been pre- tify the document. Upon receipt of the pared and only such stamps shall be report, the Director will make such in- used for the payment of the transfer vestigation as appears appropriate and tax and for the tax on the making of a may issue a duplicate document upon firearm. such conditions as the circumstances warrant. [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988]

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§ 479.163 Reuse of stamps prohibited. was not made pursuant to an approved Form 1 (Firearms) or transfer of the A stamp once affixed to one docu- firearm did not take place pursuant to ment cannot lawfully be removed and an approved Form 4 (Firearms), the ap- affixed to another. Any person willfully plicant shall file a claim for refund of reusing such a stamp shall be subject the tax on ATF Form 2635 (5620.8) with to the penalty prescribed by 26 U.S.C. the Director. The claim shall be ac- 7208. companied by the approved application [36 FR 14256, Aug. 3, 1971. Redesignated by 40 bearing the stamp and an explanation FR 16835, Apr. 15, 1975, and amended by T.D. why the tax liability was not incurred. ATF–48, 44 FR 55843, Sept. 28, 1979] Such claim shall be filed within 3 years next after payment of the tax. Subpart M—Redemption of or (68A Stat. 808, 830; 26 U.S.C. 6511, 6805) Allowance for Stamps or Refunds [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988] § 479.171 Redemption of or allowance for stamps. Subpart N—Penalties and Where a National Firearms Act Forfeitures stamp is destroyed, mutilated or rendered useless after purchase, and before § 479.181 Penalties. liability has been incurred, such stamp Any person who violates or fails to may be redeemed by giving another comply with the requirements of 26 stamp in lieu thereof. Claim for re- U.S.C. Chapter 53 shall, upon convic- demption of the stamp should be filed tion, be subject to the penalties im- on ATF Form 2635 (5620.8) with the Di- posed under 26 U.S.C. 5871. rector. Such claim shall be accom- [T.D. ATF–48, 44 FR 55843, Sept. 28, 1979] panied by the stamp or by a satisfactory explanation of the reasons why § 479.182 Forfeitures. the stamp cannot be returned, and Any firearm involved in any viola- shall be filed within 3 years after the tion of the provisions of 26 U.S.C. Chap- purchase of the stamp. ter 53, shall be subject to seizure, and (68A Stat. 830; 26 U.S.C. 6805) forfeiture under the internal revenue laws: Provided, however, That the dis- [T.D. ATF–270, 53 FR 10511, Mar. 31, 1988] position of forfeited firearms shall be § 479.172 Refunds. in conformance with the requirements of 26 U.S.C. 5872. In addition, any ves- As indicated in this part, the transfer sel, vehicle or aircraft used to trans- tax or tax on the making of a firearm port, carry, convey or conceal or pos- is ordinarily paid by the purchase and sess any firearm with respect to which affixing of stamps, while special tax there has been committed any viola- stamps are issued in payment of special tion of any provision of 26 U.S.C. Chap- (occupational) taxes. However, in ex- ter 53, or the regulations in this part ceptional cases, transfer tax, tax on issued pursuant thereto, shall be sub- the making of firearms, and/or special ject to seizure and forfeiture under the (occupational) tax may be paid pursu- Customs laws, as provided by the act of ant to assessment. Claims for refunds August 9, 1939 (49 U.S.C. App., Chapter of such taxes, paid pursuant to assess- 11). ment, shall be filed on ATF Form 2635 (5620.8) within 3 years next after pay- [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988] ment of the taxes. Such claims shall be filed with the regional director (com- Subpart O—Other Laws pliance) serving the region in which Applicable the tax was paid. (For provisions relating to hand-carried documents and § 479.191 Applicability of other provi- manner of filing, see 26 CFR 301.6091– sions of internal revenue laws. 1(b) and 301.6402–2(a).) When an appli- All of the provisions of the internal cant to make or transfer a firearm revenue laws not inconsistent with the wishes a refund of the tax paid on an provisions of 26 U.S.C. Chapter 53 shall approved application where the firearm be applicable with respect to the taxes

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imposed by 26 U.S.C. 5801, 5811, and 5821 § 479.193 Arms Export Control Act. (see 26 U.S.C. 5846). For provisions relating to the reg- [T.D. ATF–48, 44 FR 55843, Sept. 28, 1979] istration and licensing of persons engaged in the business of manufac- § 479.192 Commerce in firearms and ammunition. turing, importing or exporting arms, ammunition, or implements of war, see For provisions relating to commerce the Arms Export Control Act (22 U.S.C. in firearms and ammunition, including 2778), and the regulations issued pursu- the movement of destructive devices, ant thereto. (See also Part 447 of this machine guns, short-barreled shotguns, chapter.) or short-barreled rifles, see 18 U.S.C. Chapter 44, and Part 478 of this chapter [T.D. ATF–270, 53 FR 10512, Mar. 31, 1988] issued pursuant thereto. [36 FR 14256, Aug. 3, 1971. Redesignated by 40 FR 16835, Apr. 15, 1975, and amended by T.D. ATF–48, 44 FR 55843, Sept. 28, 1979]

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Electrical Code must be available for inspection by ATF officers.

§ 555.218 Table of distances for storage of explosive materials.

Quantity of explosives Distances in feet

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

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

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Quantity of explosives Distances in feet

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

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

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

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

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(c) The maximum quantity of flash DISTANCE FROM PASSENGER RAILWAYS, PUBLIC powder permitted in any fireworks HIGHWAYS, FIREWORKS PLANT BUILDINGS process building is 10 pounds (4.5 kg). USED TO STORE CONSUMER FIREWORKS AND (d) All dry explosive powders and ARTICLES PYROTECHNIC, MAGAZINES AND mixtures, partially assembled display FIREWORKS SHIPPING BUILDINGS, AND INHAB- fireworks, and finished display fire- ITED BUILDINGS. 345—Continued works shall be removed from fireworks process buildings at the conclusion of a Net weight of fire- Display fireworks 1 Consumer fireworks 1 (pounds) (feet) works 2 (feet) day’s operations and placed in approved magazines. 101–200 ...... 200 ...... 50 201–300 ...... 200 ...... 50 [T.D. ATF–293, 55 FR 3722, Feb. 5, 1990, as 301–400 ...... 200 ...... 50 amended by T.D. ATF–400, 63 FR 45004, Aug. 401–500 ...... 200 ...... 50 24, 1998] Above 500 ...... Not permitted ...... Not permitted. § 555.222 Table of distances between 1 Net weight is the weight of all pyrotechnic compositions, and exposive materials and fuse only. fireworks process buildings and be- 2 While consumer fireworks or articles pyrotechnic in a fin- tween fireworks process and fire- ished state are not subject to regulation, explosive materials works nonprocess buildings. used to manufacture or assemble such fireworks or articles are subject to regulation. Thus, fireworks process buildings where consumer fireworks or articles pyrotechnic are being Net weight of 2 1 Display fireworks Consumer fire- processed shall meet these requirements. fireworks 3 3 (pounds) (feet) works (feet) This table does not apply to the separation distances between fireworks process buildings (see § 555.222) and between magazines (see §§ 555.218 and 555.224). 0–100 ...... 57 ...... 37 4 The distances in this table apply with or without artificial or 101–200 ...... 69 ...... 37 natural barricades or screen barricades. However, the use of 201–300 ...... 77 ...... 37 barricades is highly recommended. 301–400 ...... 85 ...... 37 5 No work of any kind, except to place or move items other 401–500 ...... 91 ...... 37 than explosive materials from storage, shall be conducted in Above 500 ...... Not permitted 45 .... Not permitted 45 any building designated as a warehouse. A fireworks plant warehouse is not subject to § 555.222 or this section, tables 1 Net weight is the weight of all pyrotechnic compositions, of distances. and explosive materials and fuse only. 2 The distances in this column apply only with natural or artificial barricades. If such barricades are not used, the dis- [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as tances must be doubled. amended by T.D. ATF–400, 63 FR 45004, Aug. 3 While consumer fireworks or articles pyrotechnic in a finished state are not subject to regulation, explosive materials 24, 1998] used to manufacture or assemble such fireworks or articles are subject to regulation. Thus, fireworks process buildings where consumer fireworks or articles pyrotechnic are being § 555.224 Table of distances for the processed shall meet these requirements. storage of display fireworks (except 4 A maximum of 500 pounds of in-process pyrotechnic compositions, either loose or in partially-assembled fireworks, is bulk salutes). permitted in any fireworks process building. Finished display fireworks may not be stored in a fireworks process building. Distance between 5 A maximum of 10 pounds of flash powder, either in loose Distance magazine and inhab- between form or in assembled units, is permitted in any fireworks proc- Net weight of firework 1 ited building, pas- ess building. Quantities in excess of 10 pounds must be kept (pounds) senger railway, or magazines 23 in an approved magazine. public highway 34 (feet) (feet) [T.D. ATF–293, 55 FR 3723, Feb. 5, 1990, as amended by T.D. ATF–400, 63 FR 45004, Aug. 0–1000 ...... 150 ...... 100 24, 1998] 1001–5000 ...... 230 ...... 150 5001–10000 ...... 300 ...... 200 § 555.223 Table of distances between Above 10000 ...... Use table § 555.218 ...... fireworks process buildings and 1 Net weight is the weight of all pyrotechnic compositions, other specified areas. and explosive materials and fuse only. 2 For the purposes of applying this table, the term ‘‘magazine’’ also includes fireworks shipping buildings for display DISTANCE FROM PASSENGER RAILWAYS, PUBLIC fireworks. HIGHWAYS, FIREWORKS PLANT BUILDINGS 3 For fireworks storage magazines in use prior to (30 days from the date of publication of the final rule in the FEDERAL USED TO STORE CONSUMER FIREWORKS AND REGISTER), the distances in this table may be halved if prop- ARTICLES PYROTECHNIC, MAGAZINES AND erly barricaded between the magazine and potential receptor sites. FIREWORKS SHIPPING BUILDINGS, AND INHAB- 4 This table does not apply to the storage of bulk salutes. ITED BUILDINGS. 345 Use table at § 555.218.

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

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

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

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

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

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Title 1—General Provisions

I Administrative Committee of the Federal Register (Parts 1—49) II Office of the Federal Register (Parts 50—299) III Administrative Conference of the United States (Parts 300—399) IV Miscellaneous Agencies (Parts 400—500)

Title 2—Grants and Agreements

SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR GRANTS AND AGREEMENTS I Office of Management and Budget Governmentwide Guidance for Grants and Agreements (Parts 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) 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 Housing and Urban Development (Parts 2400—2499) XXV National Science Foundation (Parts 2500—2599) XXVI National Archives and Records Administration (Parts 2600—2699) XXVII Small Business Administration (Parts 2700—2799) XXVIII Department of Justice (Parts 2800—2899)

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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) XXXVII Peace Corps (Parts 3700—3799) LVIII Election Assistance Commission (Parts 5800—5899)

Title 3—The President

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

Title 4—Accounts

I Government Accountability Office (Parts 1—199) II Recovery Accountability and Transparency Board (Parts 200— 299)

Title 5—Administrative Personnel

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

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XXXIII Overseas Private Investment Corporation (Parts 4300—4399) XXXIV Securities and Exchange Commission (Parts 4400—4499) XXXV Office of Personnel Management (Parts 4500—4599) 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) 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)

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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) XCVII Council of the Inspectors General on Integrity and Efficiency (Parts 9800—9899)

Title 6—Domestic Security

I Department of Homeland Security, Office of the Secretary (Parts 1—99) 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 Grain Inspection, Packers and Stockyards Administration (Fed- eral Grain Inspection Service), Department of Agriculture (Parts 800—899) IX Agricultural Marketing Service (Marketing Agreements and Or- ders; Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900—999) X Agricultural Marketing Service (Marketing Agreements and Or- ders; Milk), Department of Agriculture (Parts 1000—1199) XI Agricultural Marketing Service (Marketing Agreements and Or- ders; Miscellaneous Commodities), Department of Agriculture (Parts 1200—1299) XIV Commodity Credit Corporation, Department of Agriculture (Parts 1400—1499) XV Foreign Agricultural Service, Department of Agriculture (Parts 1500—1599) XVI Rural Telephone Bank, Department of Agriculture (Parts 1600— 1699)

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XVII Rural Utilities Service, Department of Agriculture (Parts 1700— 1799) XVIII Rural Housing Service, Rural Business-Cooperative Service, Rural Utilities Service, and Farm Service Agency, Depart- ment of Agriculture (Parts 1800—2099) XX Local Television Loan Guarantee Board (Parts 2200—2299) 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)

Title 8—Aliens and Nationality

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

Title 9—Animals and Animal Products

I Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 1—199)

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II Grain Inspection, Packers and Stockyards Administration (Packers and Stockyards Programs), Department of Agri- culture (Parts 200—299) III Food Safety and Inspection Service, Department of Agriculture (Parts 300—599)

Title 10—Energy

I Nuclear Regulatory Commission (Parts 0—199) II Department of Energy (Parts 200—699) III Department of Energy (Parts 700—999) X Department of Energy (General Provisions) (Parts 1000—1099) XIII Nuclear Waste Technical Review Board (Parts 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 Office of Thrift Supervision, Department of the Treasury (Parts 500—599) VI Farm Credit Administration (Parts 600—699) VII National Credit Union Administration (Parts 700—799) VIII Federal Financing Bank (Parts 800—899) IX Federal Housing Finance Board (Parts 900—999) 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) 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)

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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 Technology Administration, Department of Commerce (Parts 1100—1199) XIII East-West Foreign Trade Board (Parts 1300—1399) XIV Minority Business Development Agency (Parts 1400—1499) SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE- MENTS XX Office of the United States Trade Representative (Parts 2000— 2099) SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS AND INFORMATION XXIII National Telecommunications and Information Administration, Department of Commerce (Parts 2300—2399)

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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)

Title 20—Employees’ Benefits

I Office of Workers’ Compensation Programs, Department of Labor (Parts 1—199) II Railroad Retirement Board (Parts 200—399) III Social Security Administration (Parts 400—499) IV Employees’ Compensation Appeals Board, Department of Labor (Parts 500—599) V Employment and Training Administration, Department of Labor (Parts 600—699) VI 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)

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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) 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)

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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) X Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Interstate Land Sales Registration Program) (Parts 1700—1799) XII Office of Inspector General, Department of Housing and Urban Development (Parts 2000—2099) XV Emergency Mortgage Insurance and Loan Programs, Depart- ment of Housing and Urban Development (Parts 2700—2799) XX Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Parts 3200—3899) XXIV Board of Directors of the HOPE for Homeowners Program (Parts 4000—4099) XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)

Title 25—Indians

I Bureau of Indian Affairs, Department of the Interior (Parts 1— 299) II Indian Arts and Crafts Board, Department of the Interior (Parts 300—399) III National Indian Gaming Commission, Department of the Inte- rior (Parts 500—599) IV Office of Navajo and Hopi Indian Relocation (Parts 700—799) V Bureau of Indian Affairs, Department of the Interior, and Indian Health Service, Department of Health and Human Services (Part 900)

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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—699)

Title 28—Judicial Administration

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

Title 29—Labor

SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO LABOR I National Labor Relations Board (Parts 100—199) II Office of Labor-Management Standards, Department of Labor (Parts 200—299) III National Railroad Adjustment Board (Parts 300—399) IV Office of Labor-Management Standards, Department of Labor (Parts 400—499) V Wage and Hour Division, Department of Labor (Parts 500—899) IX Construction Industry Collective Bargaining Commission (Parts 900—999) X National Mediation Board (Parts 1200—1299) XII Federal Mediation and Conciliation Service (Parts 1400—1499) XIV Equal Employment Opportunity Commission (Parts 1600—1699)

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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) VIII Office of International Investment, Department of the Treasury (Parts 800—899) IX Federal Claims Collection Standards (Department of the Treas- ury—Department of Justice) (Parts 900—999) 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)

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V Department of the Army (Parts 400—699) VI Department of the Navy (Parts 700—799) VII Department of the Air Force (Parts 800—1099) SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE- FENSE XII Defense Logistics Agency (Parts 1200—1299) XVI Selective Service System (Parts 1600—1699) XVII Office of the Director of National Intelligence (Parts 1700—1799) XVIII National Counterintelligence Center (Parts 1800—1899) XIX Central Intelligence Agency (Parts 1900—1999) XX Information Security Oversight Office, National Archives and Records Administration (Parts 2000—2099) XXI National Security Council (Parts 2100—2199) XXIV Office of Science and Technology Policy (Parts 2400—2499) XXVII Office for Micronesian Status Negotiations (Parts 2700—2799) XXVIII Office of the Vice President of the United States (Parts 2800— 2899)

Title 33—Navigation and Navigable Waters

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

Title 34—Education

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU- CATION (PARTS 1—99) SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT OF EDUCATION I Office for Civil Rights, Department of Education (Parts 100—199) II Office of Elementary and Secondary Education, Department of Education (Parts 200—299) III Office of Special Education and Rehabilitative Services, Depart- ment of Education (Parts 300—399) IV Office of Vocational and Adult Education, Department of Edu- cation (Parts 400—499) V Office of Bilingual Education and Minority Languages Affairs, Department of Education (Parts 500—599) VI Office of Postsecondary Education, Department of Education (Parts 600—699) VII Office of Educational Research and Improvement, Department of Education (Parts 700—799)[Reserved] SUBTITLE C—REGULATIONS RELATING TO EDUCATION XI National Institute for Literacy (Parts 1100—1199) XII National Council on Disability (Parts 1200—1299)

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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 Assistant Secretary for Technology Policy, Department of Com- merce (Parts 400—599)

Title 38—Pensions, Bonuses, and Veterans’ Relief

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)

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VII Environmental Protection Agency and Department of Defense; Uniform National Discharge Standards for Vessels of the Armed Forces (Parts 1700—1799)

Title 41—Public Contracts and Property Management

SUBTITLE 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] 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—599)

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V Office of Inspector General-Health Care, Department of Health and Human Services (Parts 1000—1999)

Title 43—Public Lands: Interior

SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS I Bureau of Reclamation, Department of the Interior (Parts 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) 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) X Office of Community Services, Administration for Children and Families, Department of Health and Human Services (Parts 1000—1099) XI National Foundation on the Arts and the Humanities (Parts 1100—1199) XII Corporation for National and Community Service (Parts 1200— 1299) XIII Office of Human Development Services, Department of Health and Human Services (Parts 1300—1399)

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XVI Legal Services Corporation (Parts 1600—1699) XVII National Commission on Libraries and Information Science (Parts 1700—1799) XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899) XXI Commission on Fine Arts (Parts 2100—2199) XXIII Arctic Research Commission (Part 2301) XXIV James Madison Memorial Fellowship Foundation (Parts 2400— 2499) XXV Corporation for National and Community Service (Parts 2500— 2599)

Title 46—Shipping

I Coast Guard, Department of Homeland Security (Parts 1—199) II Maritime Administration, Department of Transportation (Parts 200—399) III Coast Guard (Great Lakes Pilotage), Department of Homeland Security (Parts 400—499) IV Federal Maritime Commission (Parts 500—599)

Title 47—Telecommunication

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

Title 48—Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1—99) 2 Defense Acquisition Regulations System, Department of Defense (Parts 200—299) 3 Health and Human Services (Parts 300—399) 4 Department of Agriculture (Parts 400—499) 5 General Services Administration (Parts 500—599) 6 Department of State (Parts 600—699) 7 Agency for International Development (Parts 700—799) 8 Department of Veterans Affairs (Parts 800—899) 9 Department of Energy (Parts 900—999) 10 Department of the Treasury (Parts 1000—1099) 12 Department of Transportation (Parts 1200—1299) 13 Department of Commerce (Parts 1300—1399) 14 Department of the Interior (Parts 1400—1499)

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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) 52 Department of the Navy Acquisition Regulations (Parts 5200— 5299) 53 Department of the Air Force Federal Acquisition Regulation Supplement (Parts 5300—5399) [Reserved] 54 Defense Logistics Agency, Department of Defense (Parts 5400— 5499) 57 African Development Foundation (Parts 5700—5799) 61 Civilian Board of Contract Appeals, General Services Adminis- tration (Parts 6100—6199) 63 Department of Transportation Board of Contract Appeals (Parts 6300—6399) 99 Cost Accounting Standards Board, Office of Federal Procure- ment Policy, Office of Management and Budget (Parts 9900— 9999)

Title 49—Transportation

SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION (PARTS 1—99) SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION I Pipeline and Hazardous Materials Safety Administration, De- partment of Transportation (Parts 100—199) II Federal Railroad Administration, Department of Transportation (Parts 200—299) III Federal Motor Carrier Safety Administration, Department of Transportation (Parts 300—399) IV Coast Guard, Department of Homeland Security (Parts 400—499)

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V National Highway Traffic Safety Administration, Department of Transportation (Parts 500—599) VI Federal Transit Administration, Department of Transportation (Parts 600—699) VII National Railroad Passenger Corporation (AMTRAK) (Parts 700—799) VIII National Transportation Safety Board (Parts 800—999) X Surface Transportation Board, Department of Transportation (Parts 1000—1399) XI Research and Innovative Technology Administration, Depart- ment of Transportation (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) 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 Committee of the Federal Register 1, I 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 22, 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, IX, X, XI Agricultural Research Service 7, V Agriculture Department 2, IV; 5, LXXIII Advocacy and Outreach, Office of 7, XXV Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Animal and Plant Health Inspection Service 7, III; 9, I Chief Financial Officer, Office of 7, XXX Commodity Credit Corporation 7, XIV 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 Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II Information Resources Management, Office of 7, XXVII Inspector General, Office of 7, XXVI National Agricultural Library 7, XLI National Agricultural Statistics Service 7, XXXVI 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, L Rural Development Administration 7, XLII Rural Housing Service 7, XVIII, XXXV, L Rural Telephone Bank 7, XVI Rural Utilities Service 7, XVII, XVIII, XLII, L Secretary of Agriculture, Office of 7, Subtitle A Transportation, Office of 7, XXXIII World Agricultural Outlook Board 7, XXXVIII Air Force Department 32, VII Federal Acquisition Regulation Supplement 48, 53 Air Transportation Stabilization Board 14, VI Alcohol and Tobacco Tax and Trade Bureau 27, I Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II AMTRAK 49, VII American Battle Monuments Commission 36, IV American Indians, Office of the Special Trustee 25, VII

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2009 2011 27 CFR 74 FR (No regulations published) Page Chapter II 2012 478.71 Amended; interim ...... 1878 27 CFR 77 FR 478.72 Amended; interim ...... 1878 Page 478.73 Amended; interim ...... 1878 Chapter II 478.74 Amended; interim ...... 1878 478 Authority citation revised ...... 33629 478.76 Amended; interim ...... 1878 478.11 Amended...... 33629 478.78 Amended; interim ...... 1878 Amended; interim...... 33633 555.11 Amended ...... 1892 478.32 (a)(5)(ii) introductory text, (d)(5)(ii) introductory text and 2010 (f) revised ...... 33629 478.44 (a)(1)(iii) revised; (b) 27 CFR 75 FR amended...... 33629 Page 478.45 Amended...... 33629 Chapter II 478.99 (c)(5) introductory text re- 478.71 Regulation at 74 FR 1878 vised...... 33629 confirmed...... 31288 478.120 Revised ...... 33629 478.72 Regulation at 74 FR 1878 478.124 (c)(3)(iii) revised ...... 33630 confirmed...... 31288 (c)(3)(ii) removed; (d), (e) and (f) 478.73 Regulation at 74 FR 1878 amended; interim...... 33634 confirmed...... 31288 478.125 (f) revised; interim...... 33634 478.74 Regulation at 74 FR 1878 confirmed...... 31288 2013 478.76 Regulation at 74 FR 1878 27 CFR 78 FR confirmed...... 31288 Page 478.78 Regulation at 74 FR 1878 Chapter II confirmed...... 31288 447 Authority citation revised ...... 23676 555.213 (b)(1) amended...... 3163 447.1 Revised ...... 23676 447.11 Amended...... 23677 447.21 Introductory text revised; amended...... 23677

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2014 27 CFR—Continued 79 FR Page (Regulations published from January 1, Chapter II—Continued 2014, through April 1, 2014) 447.43 (a) amended; eff. 4-8-14...... 7396 27 CFR 79 FR 479.111 (a) amended; eff. 4-8-14 ...... 7396 Page Chapter II 447.21 Amended; interim; eff. 4-28- 14...... 17028 Æ

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