[Title 27 CFR ]
[Code of Federal Regulations (annual edition) - April 1, 2020 Edition]
[From the U.S. Government Publishing Office]

[[Page i]]

Title 27

Alcohol, Tobacco Products and Firearms
________________________

Part 400 to End

Revised as of April 1, 2020

Containing a codification of documents of general
applicability and future effect

As of April 1, 2020
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register

[[Page ii]]

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Table of Contents

Page
Explanation................................................. v

Title 27:
Chapter II--Bureau of Alcohol, Tobacco, Firearms,
and Explosives, Department of Justice 3
Finding Aids:
Table of CFR Titles and Chapters........................ 191
Alphabetical List of Agencies Appearing in the CFR...... 211
List of CFR Sections Affected........................... 221

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----------------------------

Cite this Code: CFR
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.

----------------------------

[[Page v]]

EXPLANATION

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
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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
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LEGAL STATUS

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collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as
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(b) The matter incorporated is in fact available to the extent
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[[Page vii]]

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Oliver A. Potts,
Director,
Office of the Federal Register
April 1, 2020

[[Page ix]]

THIS TITLE

Title 27--Alcohol, Tobacco Products and Firearms is composed of
three volumes: Parts 1-39, parts 40-399, and part 400 to end. The
contents of these volumes represent all current regulations issued by
the Alcohol and Tobacco Tax and Trade Bureau, Department of the
Treasury, and the Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice, as of April 1, 2020.

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

[[Page 1]]

TITLE 27--ALCOHOL, TOBACCO PRODUCTS, AND FIREARMS

(This book contains part 400 to end)

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Part

chapter ii--Bureau of Alcohol, Tobacco, Firearms, and
Explosives, 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.

[[Page 3]]

CHAPTER II--BUREAU OF ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES,
DEPARTMENT OF JUSTICE

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SUBCHAPTER A [RESERVED]
SUBCHAPTER B--FIREARMS AND AMMUNITION
Part Page
400-446 [Reserved]

447 Importation of arms, ammunition and
implements of war....................... 5
478 Commerce in firearms and ammunition......... 18
479 Machine guns, destructive devices, and
certain other firearms.................. 81
SUBCHAPTER C--EXPLOSIVES
555 Commerce in explosives...................... 112
SUBCHAPTER D--MISCELLANEOUS REGULATIONS RELATING TO ALCOHOL AND TOBACCO
646 Contraband cigarettes....................... 168
647-699 [Reserved]

SUBCHAPTER E--EXPLOSIVE LICENSE AND PERMIT PROCEEDINGS
700-770 [Reserved]

771 Rules of practice in explosive license and
permit proceedings...................... 171
772-799 [Reserved]

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SUBCHAPTER A [RESERVED]

SUBCHAPTER B_FIREARMS AND AMMUNITION

PARTS 400 446 [RESERVED]

PART 447_IMPORTATION OF ARMS, AMMUNITION AND IMPLEMENTS OF WAR--
Table of Contents

Subpart A_Scope

Sec.
447.1 General.
447.2 Relation to other laws and regulations.

Subpart B_Definitions

447.11 Meaning of terms.

Subpart C_The U.S. Munitions Import List

447.21 The U.S. Munitions Import List.
447.22 Forgings, castings, and machined bodies.

Subpart D_Registration

447.31 Registration requirement.
447.32 Application for registration and refund of fee.
447.33 Notification of changes in information furnished by registrants.
447.34 Maintenance of records by persons required to register as
importers of Import List articles.
447.35 Forms prescribed.

Subpart E_Permits

447.41 Permit requirement.
447.42 Application for permit.
447.43 Terms of permit.
447.44 Permit denial, revocation or suspension.
447.45 Importation.
447.46 Articles in transit.

Subpart F_Miscellaneous Provisions

447.51 Import certification and delivery verification.
447.52 Import restrictions applicable to certain countries.
447.53 Exemptions.
447.54 Administrative procedures inapplicable.
447.55 Departments of State and Defense consulted.
447.56 Authority of Customs officers.
447.57 U.S. military defense articles.
447.58 Delegations of the Director.

Subpart G_Penalties, Seizures and Forfeitures

447.61 Unlawful importation.
447.62 False statements or concealment of facts.
447.63 Seizure and forfeiture.

Authority: 22 U.S.C. 2778; E.O. 13637, 78 FR 16129 (Mar. 8, 2013).

Source: T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, unless otherwise
noted. Redesignated by T.D. ATF-487, 68 FR 3747, Jan. 24, 2003.

Editorial Note: Nomenclature changes to part 447 appear by T.D. ATF-
487, 68 FR 3748, Jan. 24, 2003.

Subpart A_Scope

Sec. 447.1 General.

The regulations in this part relate to that portion of section 38 of
the Arms Export Control Act of 1976, as amended, authorizing the
President to designate defense articles and defense services as part of
the United States Munitions List (USML) for purposes of import and
export controls. To distinguish the list of defense articles and defense
services controlled in this part for purposes of permanent import from
the list of defense articles and defense services controlled by the
Secretary of State for purposes of export and temporary import, this
part shall refer to the defense articles and defense services controlled
for purposes of permanent import as the U.S. Munitions Import List
(USMIL) and shall refer to the export and temporary import control list
set out by the Department of State in its International Traffic in Arms
Regulations as the USML. Part 447 contains the USMIL and includes
procedural and administrative requirements relating to registration of
importers, permits, articles in transit, import certification, delivery
verification, import restrictions applicable to certain countries,
exemptions, U.S. military firearms and ammunition, penalties, seizures,
and forfeitures. The President's delegation of permanent import control
authorities to the Attorney General provides the Attorney General the

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authority to assess whether controls are justified, but in designating
the defense articles and defense services set out in the USMIL the
Attorney General shall be guided by the views of the Secretary of State
on matters affecting world peace and the external security and foreign
policy of the United States. All designations and changes in
designations of defense articles and defense services subject to
permanent import control under this part must have the concurrence of
the Secretary of State and the Secretary of Defense, with notice given
to the Secretary of Commerce.

[ATF-50F, 78 FR 23676, Apr. 22, 2013]

Sec. 447.2 Relation to other laws and regulations.

(a) All of those items on the U.S. Munitions Import List (see Sec.
447.21) which are ``firearms'' or ``ammunition'' as defined in 18 U.S.C.
921(a) are subject to the interstate and foreign commerce controls
contained in Chapter 44 of Title 18 U.S.C. and 27 CFR Part 478 and if
they are ``firearms'' within the definition set out in 26 U.S.C. 5845(a)
are also subject to the provisions of 27 CFR Part 479. Any person
engaged in the business of importing firearms or ammunition as defined
in 18 U.S.C. 921(a) must obtain a license under the provisions of 27 CFR
Part 478, and if he imports firearms which fall within the definition of
26 U.S.C. 5845(a) must also register and pay special tax pursuant to the
provisions of 27 CFR Part 479. Such licensing, registration and special
tax requirements are in addition to registration under subpart D of this
part.
(b) The permit procedures of subpart E of this part are applicable
to all importations of articles on the U.S. Munitions Import List not
subject to controls under 27 CFR Part 478 or 479. U.S. Munitions Import
List articles subject to controls under 27 CFR Part 478 or 27 CFR Part
479 are subject to the import permit procedures of those regulations if
imported into the United States (within the meaning of 27 CFR Parts 478
and 479).
(c) Articles on the U.S. Munitions Import List imported for the
United States or any State or political subdivision thereof are exempt
from the import controls of 27 CFR Part 478 but are not exempt from
control under Section 38, Arms Export Control Act of 1976, unless
imported by the United States or any agency thereof. All such
importations not imported by the United States or any agency thereof
shall be subject to the import permit procedures of subpart E of this
part.
(d) For provisions requiring the registration of persons engaged in
the business of brokering activities with respect to the importation of
any defense article or defense service, see Department of State
regulations in 22 CFR part 129.

[T.D. ATF-215, 50 FR 42158, Oct. 18, 1985, as amended by T.D. ATF-426,
65 FR 38197, June 20, 2000]

Subpart B_Definitions

Sec. 447.11 Meaning of terms.

When used in this part and in forms prescribed under this part,
where not otherwise distinctly expressed or manifestly incompatible with
the intent thereof, terms shall have the meanings ascribed in this
section. Words in the plural form shall include the singular, and vice
versa, and words imparting the masculine gender shall include the
feminine. The terms ``includes'' and ``including'' do not exclude other
things not enumerated which are in the same general class or are
otherwise within the scope thereof.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco, Firearms, and Explosives (ATF) specified by ATF Order
1130.34, Delegation of the Director's Authorities in 27 CFR Part 447,
Importation of Arms, Ammunition and Implements of War.
Article. Any of the defense articles enumerated in the U.S.
Munitions Import List (USMIL).
Bureau. Bureau of Alcohol, Tobacco, Firearms, and Explosives, the
Department of Justice.
Carbine. A short-barrelled rifle whose barrel is generally not
longer than 22 inches and is characterized by light weight.
CFR. The Code of Federal Regulations.
Chemical agent. A substance useful in war which, by its ordinary and
direct

[[Page 7]]

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

[[Page 8]]

use on a rifle, shotgun, pistol, or revolver for hunting or target
shooting.
This chapter. Title 27, Code of Federal Regulations, Chapter II (27
CFR Chapter II).
United States. When used in the geographical sense, includes the
several States, the Commonwealth of Puerto Rico, the insular possessions
of the United States, the District of Columbia, and any territory over
which the United States exercises any powers of administration,
legislation, and jurisdiction.

(26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 Stat. 981 as
amended), 18 U.S.C. 926 (82 Stat. 959), and sec. 38, Arms Export Control
Act (22 U.S.C. 2778, 90 Stat. 744))

[T.D. ATF-48, 43 FR 13535, Mar. 31, 1978; 44 FR 55840, Sept. 28, 1979,
as amended by T.D. ATF-202, 50 FR 14382, Apr. 12, 1985; T.D. ATF-215, 50
FR 42158, Oct. 18, 1985; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002; ATF-
9F, 72 FR 72938, Dec. 26, 2007; ATF-50F, 78 FR 23677, Apr. 22, 2013; ATF
2013R-9F, 79 FR 46692, Aug. 11, 2014; ATF 2018R-22F, 83 FR 66553, Dec.
26, 2018]

Subpart C_The U.S. Munitions Import List

Sec. 447.21 The U.S. Munitions Import List.

The following defense articles and defense services, designated
pursuant to section 38(a) of the Arms Export Control Act, 22 U.S.C.
2778(a), and E.O. 13637 are subject to controls under this part. For
purposes of this part, the list shall be known as the U.S. Munitions
Import List (USMIL):

The U.S. Munitions Import List

category i--firearms

(a) Nonautomatic and semiautomatic firearms, to caliber .50
inclusive, combat shotguns, and shotguns with barrels less than 18
inches in length, and all components and parts for such firearms.
(b) Automatic firearms and all components and parts for such
firearms to caliber .50 inclusive.
(c) Insurgency-counterinsurgency type firearms of other weapons
having a special military application (e.g. close assault weapons
systems) regardless of caliber and all components and parts for such
firearms.
(d) Firearms silencers and suppressors, including flash suppressors.
(e) [Reserved]

Note: Rifles, carbines, revolvers, and pistols, to caliber .50
inclusive, combat shotguns, and shotguns with barrels less than 18
inches in length are included under Category I(a). Machineguns,
submachineguns, machine pistols and fully automatic rifles to caliber
.50 inclusive are included under Category I(b).

category ii--artillery projectors

(a) Guns over caliber .50, howitzers, mortars, and recoiless rifles.
(b) Military flamethrowers and projectors.
(c) Components, parts, accessories, and attachments for the articles
in paragraphs (a) and (b) of this category, including but not limited to
mounts and carriages for these articles.

category iii--ammunition

(a) Ammunition for the arms in Categories I and II of this section.
(b) Components, parts, accessories, and attachments for articles in
paragraph (a) of this category, including but not limited to cartridge
cases, powder bags, bullets, jackets, cores, shells (excluding shotgun
shells), projectiles, boosters, fuzes and components therefor, primers,
and other detonating devices for such ammunition.
(c)-(d) [Reserved]

Note: Cartridge and shell casings are included under Category III
unless, prior to their importation, they have been rendered useless
beyond the possibility of restoration for use as a cartridge or shell
casing by means of heating, flame treatment, mangling, crushing,
cutting, or popping.

category iv--launch vehicles, guided missiles, ballistic missiles,
rockets, torpedoes, bombs and mines

(a) Rockets (including but not limited to meteorological and other
sounding rockets), bombs, grenades, torpedoes, depth charges, land and
naval mines, as well as launchers for such defense articles, and
demolition blocks and blasting caps.
(b) Launch vehicles and missile and anti-missile systems including
but not limited to guided, tactical and strategic missiles, launchers,
and systems.
(c) Apparatus, devices, and materials for the handling, control,
activation, monitoring, detection, protection, discharge, or detonation
of the articles in paragraphs (a) and (b) of this category. Articles in
this category include, but are not limited to, the following: Fuses and
components for the items in this category, bomb racks and shackles, bomb
shackle release units, bomb ejectors, torpedo tubes, torpedo and guided
missile boosters, guidance system equipment and parts, launching racks
and projectors, pistols (exploders), igniters, fuze arming devices,
intervalometers, guided missile launchers

[[Page 9]]

and specialized handling equipment, and hardened missile launching
facilities.
(d) Missile and space vehicle powerplants.
(e) Military explosive excavating devices.
(f) [Reserved]
(g) Non/nuclear warheads for rockets and guided missiles.
(h) All specifically designed components or modified components,
parts, accessories, attachments, and associated equipment for the
articles in this category.

Note: Military demolition blocks and blasting caps referred to in
Category IV(a) do not include the following articles:
(a) Electric squibs.
(b) No. 6 and No. 8 blasting caps, including electric ones.
(c) Delay electric blasting caps (including No. 6 and No. 8
millisecond ones).
(d) Seismograph electric blasting caps (including SSS, Static-
Master, Vibrocap SR, and SEISMO SR).
(e) Oil well perforating devices.

category v [Reserved]

category vi--vessels of war and special naval equipment

(a) Vessels of War, if they are armed and equipped with offensive or
defensive weapon systems, including but not limited to amphibious
warfare vessels, landing craft, mine warfare vessels, patrol vessels,
auxiliary vessels, service craft, experimental types of naval ships, and
any vessels specifically designed or modified for military purposes or
other surface vessels equipped with offensive or defensive military
systems.
(b) Turrets and gun mounts, special weapons systems, protective
systems, and other components, parts, attachments, and accessories
specifically designed or modified for such articles on combatant
vessels.
(c)-(d) [Reserved]
(e) Naval nuclear propulsion plants, their land prototypes and
special facilities for their construction, support and maintenance. This
includes any machinery, device, component, or equipment specifically
developed or designed or modified for use in such plants or facilities.

Note: The term ``vessels of war'' includes, but is not limited to,
the following, if armed and equipped with offensive or defensive weapons
systems:''.
(a) Combatant vessels:
(1) Warships (including nuclear-powered versions):
(i) Aircraft carriers (CV, CVN)
(ii) Battleships (BB)
(iii) Cruisers (CA, CG, CGN)
(iv) Destroyers (DD, DDG)
(v) Frigates (FF, FFG)
(vi) Submarines (SS, SSN, SSBN, SSG, SSAG).
(2) Other Combatant Classifications:
(i) Patrol Combatants (PC, PHM)
(ii) Amphibious Helicopter/Landing Craft Carriers (LHA, LPD, LPH)
(iii) Amphibious Landing Craft Carriers (LKA, LPA, LSD, LST)
(iv) Amphibious Command Ships (LCC)
(v) Mine Warfare Ships (MSO).
(b) Auxiliaries:
(1) Mobile Logistics Support:
(i) Under way Replenishment (AD, AF, AFS, AO, AOE, AOR)
(ii) Material Support (AD, AR, AS).
(2) Support Ships:
(i) Fleet Support Ships (ARS, ASR, ATA, ATF, ATS)
(ii) Other Auxiliaries (AG, AGDS, AGF, AGM, AGOR, AGOS, AGS, AH, AK,
AKR, AOG, AOT, AP, APB, ARC, ARL, AVM, AVT).
(c) Combatant Craft:
(1) Patrol Craft:
(i) Coastal Patrol Combatants (PB, PCF, PCH, PTF)
(ii) River, Roadstead Craft (ATC, PBR).
(2) Amphibious Warfare Craft:
(i) Landing Craft (AALC, LCAC, LCM, LCPL, LCPR, LCU, LWT, SLWT)
(ii) Special Warfare Craft (LSSC, MSSC, SDV, SWCL, SWCM).
(3) Mine Warfare Craft:
(i) Mine Countermeasures Craft (MSB, MSD, MSI, MSM, MSR).
(d) Support and Service Craft:
(1) Tugs (YTB, YTL, YTM)
(2) Tankers (YO, YOG, YW)
(3) Lighters (YC, YCF, YCV, YF, YFN, YFNB, YFNX, YFR, YFRN, YFU, YG,
YGN, YOGN, YON, YOS, YSR, YWN)
(4) Floating Dry Docks (AFDB, AFDL, AFDM, ARD, ARDM, YFD)
(5) Miscellaneous (APL, DSRV, DSV, IX, NR, YAG, YD, YDT, YFB, YFND,
YEP, YFRT, YHLC, YM, YNG, YP, YPD, YR, YRB, YRBN, YRDH, YRDM, YRR, YRST,
YSD).
(e) Coast Guard Patrol and Service Vessels and Craft:
(1) Coast Guard Cutters (CGC, WHEC, WMEC)
(2) Patrol Craft (WPB)
(3) Icebreakers (WAGB)
(4) Oceanography Vessels (WAGO)
(5) Special Vessels (WIX)
(6) Buoy Tenders (WLB, WLM, WLI, WLR, WLIC)
(7) Tugs (WYTM, WYTL)
(8) Light Ships (WLV).

category vii--tanks and military vehicles

(a) Military type armed or armored vehicles, military railway
trains, and vehicles specifically designed or modified to accommodate
mountings for arms or other specialized military equipment or fitted
with such items.
(b) Military tanks, combat engineer vehicles, bridge launching
vehicles, halftracks and gun carriers.

[[Page 10]]

(c) Self-propelled guns and howitzers.
(d)-(e) [Reserved]
(f) Amphibious vehicles.
(g) [Reserved]
(h) Tank and military vehicle parts, components, accessories,
attachments, and associated equipment for offensive or defensive systems
for the articles in this category, as follows:
(1) Armored hulls, armored turrets and turret support rings;
(2) Active protection systems (i.e., defensive systems that actively
detect and track incoming threats and launch a ballistic, explosive,
energy or electromagnetic countermeasure(s) to neutralize the threat
prior to contact with a vehicle);
(3) Composite armor parts and components;
(4) Spaced armor components and parts, including slat armor parts
and components;
(5) Reactive armor and components;
(6) Electromagnetic armor parts and components, including pulsed
power;
(7) Gun mount, stabilization, turret drive, and automatic elevating
systems;
(8) Kits specifically designed to convert a vehicle in this category
into either an unmanned or a driver-optional vehicle. For a kit to be
controlled by this paragraph it must include all of the following:
(i) Remote or autonomous steering;
(ii) Acceleration and braking; and
(iii) A control system;
(9) Fire control computers, stored management systems, armaments
control processors, vehicle weapon interface units and computers;
(10) Electro-optical sighting systems; and
(11) Laser rangefinder or target designating devices.
(i) Other ground vehicles having all of the following:
(1) Manufactured or fitted with materials or components to provide
ballistic protection to level III (NIJ 0108.01, September 1985) or
better;
(2) A transmission to provide drive to both front and rear wheels
simultaneously, including those vehicles having additional wheels for
load bearing purposes whether driven or not;
(3) Gross Vehicle Weight Rating (GVWR) greater than 4,500 kg; and
(4) Designed or modified for off-road use.

Note: An ``amphibious vehicle'' in Category VII(f) is a vehicle or
chassis that is equipped to meet special military requirements, and that
is designed or adapted for operation on or under water, as well as on
land.
Note: Engines and engine parts are not included in paragraph (h) of
Category VII.
Note: Paragraph (i) of Category VII does not apply to civil vehicles
designed or modified for transporting money or valuables.

category viii--aircraft and associated equipment

(a) Aircraft, including but not limited to helicopters, non-
expansive balloons, drones and lighter-than-air aircraft, which are
specifically designed, modified, or equipped for military purposes. This
includes but is not limited to the following military purposes: gunnery,
bombing, rocket or missile launching, electronic and other surveillance,
reconnaissance, refueling, aerial mapping, military liaison, cargo
carrying or dropping, personnel dropping, airborne warning and control,
and military training.
(b) [Reserved]

Note: In Category VIII, ``aircraft'' means aircraft designed,
modified, or equipped for a military purpose, including aircraft
described as ``demilitarized.'' All aircraft bearing an original
military designation are included in Category VIII. However, the
following aircraft are not so included so long as they have not been
specifically equipped, reequipped, or modified for military operations:
(a) Cargo aircraft bearing ``C'' designations and numbered C-45
through C-118 inclusive, and C-121 through C-125 inclusive, and C-131,
using reciprocating engines only.
(b) Trainer aircraft bearing ``T'' designations and using
reciprocating engines or turboprop engines with less than 600 horsepower
(s.h.p.).
(c) Utility aircraft bearing ``U'' designations and using
reciprocating engines only.
(d) All liaison aircraft bearing an ``L'' designation.
(e) All observation aircraft bearing ``O'' designations and using
reciprocating engines.

categories ix-xiii [Reserved]

category xiv--toxicological agents and equipment and radiological
equipment

(a) Chemical agents, including but not limited to lung irritants,
vesicants, lachrymators, and tear gases (except tear gas formulations
containing 1% or less CN or CS), sternutators and irritant smoke, and
nerve gases and incapacitating agents.
(b) [Reserved]
(c) All specifically designed or modified equipment, including
components, parts, accessories, and attachments for disseminating the
articles in paragraph (a) of this category.
(d)-(e)[Reserved]

Note: A chemical agent in Category XIV(a) is a substance having
military application which by its ordinary and direct chemical action
produces a powerful physiological effect. The term ``chemical agent''
includes, but is not limited to, the following chemical compounds:
(a) Lung irritants:
(1) Diphenylcyanoarsine (DC).

[[Page 11]]

(2) Fluorine (but not fluorene).
(3) Trichloronitro methane (chloropicrin PS).
(b) Vesicants:
(1) B-Chlorovinyldichloroarsine (Lewisite, L).
(2) Bis(dichlorethyl) sulphide (Mustard Gas, HD or H).
(3) Ethyldichloroarsine (ED).
(4) Methyldichloroarsine (MD).
(c) Lachrymators and tear gases:
(1) A-Brombenzyl cyanide (BBC).
(2) Chloroacetophenone (CN).
(3) Dibromodimethyl ether.
(4) Dichlorodimethyl ether (ClCi).
(5) Ethyldibromoarsine.
(6) Phenylcarbylamine chloride.
(7) Tear gas solutions (CNB and CNS).
(8) Tear gas orthochlorobenzalmalononitrile (CS).
(d) Sternutators and irritant smokes:
(1) Diphenylamine chloroarsine (Adamsite, DM).
(2) Diphenylchloroarsine (BA).
(3) Liquid pepper.
(e) Nerve agents, gases, and aerosols. These are toxic compounds
which affect the nervous system, such as:
(1) Dimethylaminoethoxycyanophosphine oxide (GA).
(2) Methylisopropoxyfluorophosphine oxide (GB).
(3) Methylpinacolyloxyfluoriphosphine oxide (GD).
(f) Antiplant chemicals, such as: Butyl 2-chloro-4-
fluorophenoxyacetate (LNF).

category xv [Reserved]

category xvi--nuclear weapons design and test equipment

(a)[Reserved]
(b) Modeling or simulation tools that model or simulate the
environments generated by nuclear detonations or the effects of these
environments on systems, subsystems, components, structures, or humans.

Note: Category XVI does not include equipment, technical data, or
services controlled by the Department of Energy pursuant to the Atomic
Energy Act of 1954, as amended, and the Nuclear Non-Proliferation Act of
1978, as amended, or are government transfers authorized pursuant to
these Acts.

category xvii-xix [Reserved]

category xx--submersible vessels, oceanographic and associated equipment

(a) Submersible vessels, manned and unmanned, designed or modified
for military purposes or having independent capability to maneuver
vertically or horizontally at depths below 1,000 feet, or powered by
nuclear propulsion plants.
(b) Submersible vessels, manned or unmanned, designed or modified in
whole or in part from technology developed by or for the 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, and
oceanographic or associated equipment assigned a military designation.
(d) Equipment, components, parts, accessories, and attachments
specifically designed for any of the articles in paragraphs (a) and (b)
of this category.

category xxi--miscellaneous articles

Any defense article or defense service not specifically enumerated
in the other categories of the USMIL that has substantial military
applicability and that has been specifically designed or modified for
military purposes. The decision as to whether any article may be
included in this category shall be made by the Attorney General with the
concurrence of the Secretary of State and the Secretary of Defense.

[T.D. ATF-215, 50 FR 42158, Oct. 18, 1985; 50 FR 46647, Nov. 12, 1985,
as amended by T.D. ATF-426, 65 FR 38197, June 20, 2000; ATF-9F, 72 FR
72938, Dec. 26, 2007; ATF-50F, 78 FR 23677, Apr. 22, 2013; ATF-25I, 79
FR 17028, Mar. 27, 2014]

Sec. 447.22 Forgings, castings, and machined bodies.

Articles on the U.S. Munitions Import List include articles in a
partially completed state (such as forgings, castings, extrusions, and
machined bodies) which have reached a stage in manufacture where they
are clearly identifiable as defense articles. If the end-item is an
article on the U.S. Munitions Import List, (including components,
accessories, attachments and parts) then the particular forging,
casting, extrusion, machined body, etc., is considered a defense article
subject to the controls of this part, except for such items as are in
normal commercial use.

[T.D. ATF-215, 50 FR 42160, Oct. 18, 1985]

Subpart D_Registration

Sec. 447.31 Registration requirement.

Persons engaged in the business, in the United States, of importing
articles enumerated on the U.S. Munitions Import List must register by
making an application on ATF Form 4587.

[T.D. ATF-484, 67 FR 64526, Oct. 21, 2002]

[[Page 12]]

Sec. 447.32 Application for registration and refund of fee.

(a) Application for registration must be filed on ATF Form 4587 and
must be accompanied by the registration fee at the rate prescribed in
this section. The appropriate ATF officer will approve the application
and return the original to the applicant.
(b) Registration may be effected for periods of from 1 to 5 years at
the option of the registrant by identifying on Form 4587 the period of
registration desired. The registration fees are as follows:

1 year.......................................................... $250
2 years......................................................... 500
3 years......................................................... 700
4 years......................................................... 850
5 years......................................................... 1,000

(c) Fees paid in advance for whole future years of a multiple year
registration will be refunded upon request if the registrant ceases to
engage in importing articles on the U.S. Munitions Import List. A
request for a refund must be submitted to the appropriate ATF officer at
the Bureau of Alcohol, Tobacco, Firearms, and Explosives, Martinsburg,
WV 25405, prior to the beginning of any year for which a refund is
claimed.

(Approved by the Office of Management and Budget under control number
1140-0009)

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002; ATF-
11F, 73 FR 57240, Oct. 2, 2008; ATF 2013R-9F, 79 FR 46692, Aug. 11,
2014]

Sec. 447.33 Notification of changes in information furnished
by registrants.

Registered persons shall notify the appropriate ATF officer in
writing, in duplicate, of significant changes in the information set
forth in their registration

(Approved by the Office of Management and Budget under control number
1140-0009)

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985; ATF-11F, 73 FR 57240, Oct. 2, 2008]

Sec. 447.34 Maintenance of records by persons required to register
as importers of Import List articles.

(a) Registrants under this part engaged in the business of importing
articles subject to controls under 27 CFR Parts 478 and 479 shall
maintain records in accordance with the applicable provisions of those
parts.
(b) Registrants under this part engaged in importing articles on the
U.S. Munitions Import List subject to the permit procedures of subpart E
of this part must maintain for a period of 6 years records bearing on
such articles imported, including records concerning their acquisition
and disposition, including Forms 6 and 6A. The appropriate ATF officer
may prescribe a longer or shorter period in individual cases as such
officer deems necessary. See Sec. 478.129 of this chapter for articles
subject to import control under part 478 of this chapter.

(Approved by the Office of Management and Budget under control number
1140-0032)

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-172, 49
FR 14941, Apr. 16, 1984; T.D. ATF-215, 50 FR 42161, Oct. 18, 1985; T.D.
ATF-426, 65 FR 38197, June 20, 2000; T.D. ATF-484, 67 FR 64526, Oct. 21,
2002; ATF-11F, 73 FR 57240, Oct. 2, 2008]

Sec. 447.35 Forms prescribed.

(a) The appropriate ATF officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms may be requested from the ATF Distribution Center (http://
www.atf.gov) or by calling (202) 648-6420.

[T.D. ATF-92, 46 FR 46914, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5961, Feb. 27, 1987; T.D. ATF-426, 65 FR 38197, June 20, 2000;
T.D. ATF-484, 67 FR 64526, Oct. 21, 2002; ATF-11F, 73 FR 57240, Oct. 2,
2008; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]

Subpart E_Permits

Sec. 447.41 Permit requirement.

(a) Articles on the U.S. Munitions Import List will not be imported
into the United States except pursuant to a permit under this subpart.
For articles subject to control under parts 478 or 479

[[Page 13]]

of this chapter, a separate permit is not necessary.
(b) Articles on the U.S. Munitions Import List intended for the
United States or any State or political subdivision thereof, or the
District of Columbia, which are exempt from import controls of 27 CFR
478.115 shall not be imported into the United States, except by the
United States or agency thereof, without first obtaining a permit under
this subpart.
(c) A permit is not required for the importation of--
(1)(i) The U.S. Munitions Import List articles from Canada, except
articles enumerated in Categories I, II, III, IV, VI(e), VIII(a), XVI,
and XX; and
(ii) Nuclear weapons strategic delivery systems and all specifically
designed components, parts, accessories, attachments, and associated
equipment thereof (see Category XXI); or
(2) Minor components and parts for Category I(a) and I(b) firearms,
except barrels, cylinders, receivers (frames) or complete breech
mechanisms, when the total value does not exceed $100 wholesale in any
single transaction.

[T.D. ATF-215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF-426,
65 FR 38197, June 20, 2000; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002]

Sec. 447.42 Application for permit.

(a)(1) Persons required to obtain a permit as provided in Sec.
447.41 must file a Form 6--Part I. The application must be signed and
dated and must contain the information requested on the form, including:
(i) The name, address, telephone number, license and registration
number, if any (including expiration date) of the importer;
(ii) The country from which the defense article is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the defense article to be imported,
including--
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver, aircraft,
vessel, and in the case of ammunition only, ball, wadcutter, shot,
etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The length of barrel, if any (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number, if known;
(H) Whether the defense article is new or used;
(I) The quantity;
(J) The unit cost of the firearm, firearm barrel, ammunition, or
other defense article to be imported;
(K) The category of U.S. Munitions Import List under which the
article is regulated;
(v) The specific purpose of importation, including final recipient
information if different from the importer; and
(vi) Certification of origin.
(2)(i) If the appropriate ATF officer approves the application, such
approved application will serve as the permit to import the defense
article described therein, and importation of such defense article may
continue to be made by the licensed/registered importer (if applicable)
under the approved application (permit) during the period specified
thereon. The appropriate ATF officer will furnish the approved
application (permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the licensed/
registered importer (if applicable) will be notified of the basis for
the disapproval.
(b) For additional requirements relating to the importation of
plastic explosives into the United States on or after April 24, 1997,
see Sec. 555.183 of this title.

(Approved by the Office of Management and Budget under control number
1140-0005)

[T.D. ATF-215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF-387,
62 FR 8376, Feb. 25, 1997; T.D. ATF-426, 65 FR 38197, June 20, 2000;T.D.
ATF-484, 67 FR 64526, Oct. 21, 2002; ATF-11F, 73 FR 57240, Oct. 2, 2008]

Sec. 447.43 Terms of permit.

(a) Import permits issued under this subpart are valid for two years
from their issuance date unless a different period of validity is stated
thereon. They are not transferable.
(b) If shipment cannot be completed during the period of validity of
the permit, another application must be submitted for permit to cover
the

[[Page 14]]

unshipped balance. Such an application shall make reference to the
previous permit and may include materials in addition to the unshipped
balance.
(c) No amendments or alteration of a permit may be made, except by
the appropriate ATF officer.

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-325, 57
FR 29787, July 7, 1992; T.D. ATF-426, 65 FR 38197, June 20, 2000; ATF-
26F, 79 FR 7396, Feb. 7, 2014]

Sec. 447.44 Permit denial, revocation or suspension.

(a) Import permits under this subpart may be denied, revoked,
suspended or revised without prior notice whenever the appropriate ATF
officer finds the proposed importation to be inconsistent with the
purpose or in violation of section 38, Arms Export Control Act of 1976
or the regulations in this part.
(b) Whenever, after appropriate consideration, a permit application
is denied or an outstanding permit is revoked, suspended, or revised,
the applicant or permittee shall be promptly advised in writing of the
appropriate ATF officer's decision and the reasons therefor.
(c) Upon written request made within 30 days after receipt of an
adverse decision, the applicant or permittee shall be accorded an
opportunity to present additional information and to have a full review
of his case by the appropriate ATF officer.
(d) Unused, expired, suspended, or revoked permits must be returned
immediately to the appropriate ATF officer.

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985]

Sec. 447.45 Importation.

(a) Articles subject to the import permit procedures of this subpart
imported into the United States may be released from Customs custody to
the person authorized to import same upon his showing that he has a
permit for the importation of the article or articles to be released.
For articles in Categories I and III imported by a registered importer,
the importer will also submit to Customs a copy of the export license
authorizing the export of the article or articles from the exporting
country. If the exporting country does not require issuance of an export
license, the importer must submit a certification, under penalty of
perjury, to that effect.
(1) In obtaining the release from Customs custody of an article
imported pursuant to a permit, the permit holder will prepare and file
Form 6A according to its instructions.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name, address, and license number (if any) of the importer;
(ii) The name of the manufacturer of the defense article;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms, if known; and
(viii) The number of defense articles released.
(b) Within 15 days of the date of their release from Customs
custody, the importer of the articles released will forward to the
address specified on the form a copy of Form 6A on which will be
reported any error or discrepancy appearing on the Form 6A certified by
Customs and serial numbers if not previously provided on ATF Form 6A.

(Approved by the Office of Management and Budget under control number
1140-0007)

[T.D. ATF-215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF-426,
65 FR 38197, June 20, 2000; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002;
ATF-11F, 73 FR 57240, Oct. 2, 2008]

Sec. 447.46 Articles in transit.

Articles subject to the import permit procedures of this subpart
which enter the United States for temporary deposit pending removal
therefrom and such articles which are temporarily taken out of the
United States for return thereto shall be regarded as in transit and
will be considered neither imported nor exported under this part. Such
transactions are subject to the Intransit or Temporary Export License
procedures of the Department of State (see 22 CFR Part 123).

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985]

[[Page 15]]

Subpart F_Miscellaneous Provisions

Sec. 447.51 Import certification and delivery verification.

Pursuant to agreement with the United States, certain foreign
countries are entitled to request certification of legality of
importation of articles on the U.S. Munitions Import List. Upon request
of a foreign government, the appropriate ATF officer will certify the
importation, on Form ITA-645P/ATF-4522/DSP53, for the U.S. importer.
Normally, the U.S. importer will submit this form at the time he applies
for an import permit. This document will serve as evidence to the
government of the exporting company that the U.S. importer has complied
with import regulations of the U.S. Government and is prohibited from
diverting, transshipping, or reexporting the material described therein
without the approval of the U.S. Government. Foreign governments may
also require documentation attesting to the delivery of the material
into the United States. When such delivery certification is requested by
a foreign government, the U.S. importer may obtain directly from the
U.S. District Director of Customs the authenticated Delivery
Verification Certificate (U.S. Department of Commerce Form ITA-647P) for
this purpose.

(Approved by the Office of Management and Budget under control number
0625-0064)

[T.D. ATF-215, 50 FR 42162, Oct. 18, 1985, as amended by T.D. ATF-484,
67 FR 64526, Oct. 21, 2002]

Sec. 447.52 Import restrictions applicable to certain countries.

(a) It is the policy of the United States to deny licenses and other
approvals with respect to defense articles and defense services
originating in certain countries or areas. This policy applies to
Afghanistan, Belarus (one of the states composing the former Soviet
Union), Cuba, Iran, Iraq, Libya, Mongolia, North Korea, Sudan, Syria,
and Vietnam. This policy applies to countries or areas with respect to
which the United States maintains an arms embargo (e.g., Burma, China,
the Democratic Republic of the Congo, Haiti, Liberia, Rwanda, Somalia,
Sudan, and UNITA (Angola)). It also applies when an import would not be
in furtherance of world peace and the security and foreign policy of the
United States.

Note: Changes in foreign policy may result in additions to and
deletions from the above list of countries. The ATF will publish changes
to this list in the Federal Register. Contact the Firearms and
Explosives Imports Branch at (304) 616-4550 for current information.

(b) Notwithstanding paragraph (a) of this section, the appropriate
ATF officer shall deny applications to import into the United States the
following firearms and ammunition:
(1) Any firearm located or manufactured in Georgia, Kazakstan,
Kyrgyzstan, Moldova, Russian Federation, Turkmenistan, Ukraine, or
Uzbekistan, and any firearm previously manufactured in the Soviet Union,
that is not one of the models listed below:
(i) Pistols/Revolvers:
(A) German Model P08 Pistol.
(B) IZH 34M, .22 caliber Target Pistol.
(C) IZH 35M, .22 caliber Target Pistol.
(D) Mauser Model 1896 Pistol.
(E) MC-57-1 Pistol.
(F) MC-1-5 Pistol.
(G) Polish Vis Model 35 Pistol.
(H) Soviet Nagant Revolver.
(I) TOZ 35, .22 caliber Target Pistol.
(ii) Rifles:
(A) BARS-4 Bolt Action Carbine.
(B) Biathlon Target Rifle, .22LR caliber.
(C) British Enfield Rifle.
(D) CM2, .22 caliber Target Rifle (also known as SM2, 22 caliber).
(E) German Model 98K Rifle.
(F) German Model G41 Rifle.
(G) German Model G43 Rifle.
(H) IZH-94.
(I) LOS-7 Bolt Action Rifle.
(J) MC-7-07.
(K) MC-18-3.
(L) MC-19-07.
(M) MC-105-01.
(N) MC-112-02.
(O) MC-113-02.
(P) MC-115-1.
(Q) MC-125/127.
(R) MC-126.
(S) MC-128.
(T) Saiga Rifle.
(U) Soviet Model 38 Carbine.
(V) Soviet Model 44 Carbine.

[[Page 16]]

(W) Soviet Model 91/30 Rifle.
(X) TOZ 18, .22 caliber Bolt Action Rifle.
(Y) TOZ 55.
(Z) TOZ 78.
(AA) Ural Target Rifle, .22LR caliber.
(BB) VEPR Rifle.
(CC) Winchester Model 1895, Russian Model Rifle;
(2) Ammunition located or manufactured in Georgia, Kazakstan,
Kyrgyzstan, Moldova, Russian Federation, Turkmenistan, Ukraine, or
Uzbekistan, and ammunition previously manufactured in the Soviet Union,
that is 7.62 x 25mm caliber (also known as 7.63 x 25mm caliber or .30
Mauser); or
(3) A type of firearm the manufacture of which began after February
9, 1996.
(c) The provisions of paragraph (b) of this section shall not affect
the fulfillment of contracts with respect to firearms or ammunition
entered or withdrawn from warehouse for consumption in the United States
on or before February 9, 1996.
(d) A defense article authorized for importation under this part may
not be shipped on a vessel, aircraft or other means or conveyance which
is owned or operated by, or leased to or from, any of the countries or
areas covered by paragraph (a) of this section.
(e) Applications for permits to import articles that were
manufactured in, or have been in, a country or area proscribed under
this section may be approved where the articles are covered by Category
I(a) of the Import List (other than those subject to the provisions of
27 CFR Part 479), are importable as curios or relics under the
provisions of 27 CFR 478.118, and meet the following criteria:
(1) The articles were manufactured in a proscribed country or area
prior to the date, as established by the Department of State, the
country or area became proscribed, or, were manufactured in a non-
proscribed country or area; and
(2) The articles have been stored for the five year period
immediately prior to importation in a non-proscribed country or area.
(f) Applicants desiring to import articles claimed to meet the
criteria specified in paragraph (e) of this section shall explain, and
certify to, how the firearms meet the criteria. The certification
statement will be prepared in letter form, executed under the penalties
of perjury, and should be submitted with the application for an import
permit. The certification statement must be accompanied by documentary
information on the country or area of original manufacture and on the
country or area of storage for the five year period immediately prior to
importation. Such information may, for example, include a verifiable
statement in the English language of a government official or any other
person having knowledge of the date and place of manufacture and/or the
place of storage; a warehouse receipt or other document which provides
the required history of storage; and any other document that the
applicant believes substantiates the place and date of manufacture and
the place of storage. The appropriate ATF officer, however, reserves the
right to determine whether documentation is acceptable. Applicants
shall, when required by the appropriate ATF officer, furnish additional
documentation as may be necessary to determine whether an import permit
application should be approved.

[T.D. ATF-202, 50 FR 14382, Apr. 12, 1985, as amended by T.D. ATF-215,
50 FR 42162, Oct. 18, 1985; T.D. ATF-287, 54 FR 13681, Apr. 5, 1989;
T.D. ATF-323, 57 FR 24189, June 8, 1992; T.D. ATF-349, 58 FR 47831,
Sept. 13, 1993; T.D. ATF-367, 60 FR 47866, Sept. 15, 1995; T.D. ATF-396,
62 FR 61234, Nov. 17, 1997; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002;
ATF-9F, 72 FR 72938, Dec. 26, 2007]

Sec. 447.53 Exemptions.

(a) The provisions of this part are not applicable to:
(1) Importations by the United States or any agency thereof;
(2) Importation of components for items being manufactured under
contract for the Department of Defense; or
(3) Importation of articles (other than those which would be
``firearms'' as defined in 18 U.S.C. 921(a)(3) manufactured in foreign
countries for persons in the United States pursuant to Department of
State approval.
(b) Any person seeking to import articles on the U.S. Munitions
Import List as exempt under paragraph (a)(2) or (3) of this section may
obtain release

[[Page 17]]

of such articles from Customs custody by submitting, to the Customs
officer with authority to release, a statement claiming the exemption
accompanied by satisfactory proof of eligibility. Such proof may be in
the form of a letter from the Department of Defense or State, as the
case may be, confirming that the conditions of the exemption are met.

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]

Sec. 447.54 Administrative procedures inapplicable.

The functions conferred under section 38, Arms Export Control Act of
1976, as amended, are excluded from the operation of Chapter 5, Title 5,
United States Code, with respect to Rule Making and Adjudication, 5
U.S.C. 553 and 554.

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]

Sec. 447.55 Departments of State and Defense consulted.

The administration of the provisions of this part will be subject to
the guidance of the Secretaries of State and Defense on matters
affecting world peace and the external security and foreign policy of
the United States.

Sec. 447.56 Authority of Customs officers.

(a) Officers of the U.S. Customs Service are authorized to take
appropriate action to assure compliance with this part and with 27 CFR
Parts 478 and 479 as to the importation or attempted importation of
articles on the U.S. Munitions Import List, whether or not authorized by
permit.
(b) Upon the presentation to him of a permit or written approval
authorizing importation of articles on the U.S. Munitions Import List,
the Customs officer who has authority to release same may require, in
addition to such documents as may be required by Customs regulations,
the production of other relevant documents relating to the proposed
importation, including, but not limited to, invoices, orders, packing
lists, shipping documents, correspondence, and instructions.

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]

Sec. 447.57 U.S. military defense articles.

(a)(1) Notwithstanding any other provision of this part or of parts
478 or 479 of this chapter, no military defense article of United States
manufacture may be imported into the United States if such article was
furnished to a foreign government under a foreign assistance or foreign
military sales program of the United States.
(2) The restrictions in paragraph (a)(1) of this section cover
defense articles which are advanced in value or improved in condition in
a foreign country, but do not include those which have been
substantially transformed as to become, in effect, articles of foreign
manufacture.
(b) Paragraph (a) of this section will not apply if:
(1) The applicant submits with the ATF Form 6--Part I application
written authorization from the Department of State to import the defense
article; and
(2) In the case of firearms, such firearms are curios or relics
under 18 U.S.C. 925(e) and the person seeking to import such firearms
provides a certification of a foreign government that the firearms were
furnished to such government under a foreign assistance or foreign
military sales program of the United States and that the firearms are
owned by such foreign government. (See Sec. 478.118 of this chapter
providing for the importation of certain curio or relic handguns, rifles
and shotguns.)
(c) For the purpose of this section, the term ``military defense
article'' includes all defense articles furnished to foreign governments
under a foreign assistance or foreign military sales program of the
United States as set forth in paragraph (a) of this section.

(Approved by the Office of Management and Budget under OMB Control No.
1140-0005)

[T.D. ATF-287, 54 FR 13681, Apr. 5, 1989, as amended by T.D. ATF-393, 62
FR 61235, Nov. 17, 1997; T.D. ATF-426, 65 FR 38198, June 20, 2000; ATF-
11F, 73 FR 57240, Oct. 2, 2008]

[[Page 18]]

Sec. 447.58 Delegations of the Director.

The regulatory authorities of the Director contained in this part
are delegated to appropriate ATF officers. These ATF officers are
specified in ATF O 1130.34, Delegation of the Director's Authorities in
27 CFR Part 447. ATF delegation orders, such as ATF O 1130.34, are
available to any interested party by submitting a request to the ATF
Distribution Center (http://www.atf.gov) or by calling (202) 648-6420

[T.D. ATF-484, 67 FR 64526, Oct. 21, 2002, as amended by ATF-11F, 73 FR
57240, Oct. 2, 2008; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]

Subpart G_Penalties, Seizures and Forfeitures

Sec. 447.61 Unlawful importation.

Any person who willfully:
(a) Imports articles on the U.S. Munitions Import List without a
permit;
(b) Engages in the business of importing articles on the U.S.
Munitions Import List without registering under this part; or
(c) Otherwise violates any provisions of this part;

Shall upon conviction be fined not more than $1,000,000 or imprisoned
not more than 10 years, or both.

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended at 39 FR 4760, Feb.
7, 1974; T.D. ATF-215, 50 FR 42162, Oct. 18, 1985; T.D. ATF-287, 54 FR
13681, Apr. 5, 1989]

Sec. 447.62 False statements or concealment of facts.

Any person who willfully, in a registration or permit application,
makes any untrue statement of a material fact or fails to state a
material fact required to be stated therein or necessary to make the
statements therein not misleading, shall upon conviction be fined not
more than $1,000,000, or imprisoned not more than 10 years, or both.

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985; T.D. ATF-287, 54 FR 13681, Apr. 5, 1989]

Sec. 447.63 Seizure and forfeiture.

Whoever knowingly imports into the United States contrary to law any
article on the U.S. Munitions Import List; or receives, conceals, buys,
sells, or in any manner facilitates its transportation, concealment, or
sale after importation, knowing the same to have been imported contrary
to law, shall be fined not more than $10,000 or imprisoned not more than
5 years, or both; and the merchandise so imported, or the value thereof
shall be forfeited to the United States.

(18 U.S.C. 545)

[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]

PART 478_COMMERCE IN FIREARMS AND AMMUNITION--Table of Contents

Subpart A_Introduction

Sec.
478.1 Scope of regulations.
478.2 Relation to other provisions of law.

Subpart B_Definitions

478.11 Meaning of terms.

Subpart C_Administrative and Miscellaneous Provisions

478.21 Forms prescribed.
478.22 Alternate methods or procedures; emergency variations from
requirements.
478.23 Right of entry and examination.
478.24 Compilation of State laws and published ordinances.
478.25 Disclosure of information.
478.25a Responses to requests for information.
478.26 Curio and relic determination.
478.27 Destructive device determination.
478.28 Transportation of destructive devices and certain firearms.
478.29 Out-of-State acquisition of firearms by nonlicensees.
478.29a Acquisition of firearms by nonresidents.
478.30 Out-of-State disposition of firearms by nonlicensees.
478.31 Delivery by common or contract carrier.
478.32 Prohibited shipment, transportation, possession, or receipt of
firearms and ammunition by certain persons.
478.33 Stolen firearms and ammunition.
478.33a Theft of firearms.
478.34 Removed, obliterated, or altered serial number.
478.35 Skeet, trap, target, and similar shooting activities.
478.36 Transfer or possession of machine guns.

[[Page 19]]

478.37 Manufacture, importation and sale of armor piercing ammunition.
478.38 Transportation of firearms.
478.39 Assembly of semiautomatic rifles or shotguns.
478.39a Reporting theft or loss of firearms.
478.40 [Reserved]

Subpart D_Licenses

478.41 General.
478.42 License fees.
478.43 License fee not refundable.
478.44 Original license.
478.45 Renewal of license.
478.46 Insufficient fee.
478.47 Issuance of license.
478.48 Correction of error on license.
478.49 Duration of license.
478.50 Locations covered by license.
478.51 License not transferable.
478.52 Change of address.
478.53 Change in trade name.
478.54 Change of control.
478.55 Continuing partnerships.
478.56 Right of succession by certain persons.
478.57 Discontinuance of business.
478.58 State or other law.
478.59 Abandoned application.
478.60 Certain continuances of business.

Subpart E_License Proceedings

478.71 Denial of an application for license.
478.72 Hearing after application denial.
478.73 Notice of revocation, suspension, or imposition of civil fine.
478.74 Request for hearing after notice of suspension, revocation, or
imposition of civil fine.
478.75 Service on applicant or licensee.
478.76 Representation at a hearing.
478.77 Designated place of hearing.
478.78 Operations by licensee after notice.

Subpart F_Conduct of Business

478.91 Posting of license.
478.92 Identification of firearms and armor piercing ammunition by
licensed manufacturers and licensed importers.
478.93 Authorized operations by a licensed collector.
478.94 Sales or deliveries between licensees.
478.95 Certified copy of license.
478.96 Out-of-State and mail order sales.
478.97 Loan or rental of firearms.
478.98 Sales or deliveries of destructive devices and certain firearms.
478.99 Certain prohibited sales or deliveries.
478.100 Conduct of business away from licensed premises.
478.101 Record of transactions.
478.102 Sales or deliveries of firearms on and after November 30, 1998.
478.103 Posting of signs and written notification to purchasers of
handguns.

Subpart G_Importation

478.111 General.
478.112 Importation by a licensed importer.
478.113 Importation by other licensees.
478.113a Importation of firearm barrels by nonlicensees.
478.114 Importation by members of the U.S. Armed Forces.
478.115 Exempt importation.
478.116 Conditional importation.
478.117 Function outside a customs territory.
478.118 Importation of certain firearms classified as curios and relics.
478.119 [Reserved]
478.120 Firearms or ammunition imported by or for a nonimmigrant alien.

Subpart H_Records

478.121 General.
478.122 Records maintained by importers.
478.123 Records maintained by manufacturers.
478.124 Firearms transaction record.
478.125 Record of receipt and disposition.
478.125a Personal firearms collection.
478.126 Furnishing transaction information.
478.126a Reporting multiple sales or other disposition of pistols and
revolvers.
478.127 Discontinuance of business.
478.128 False statement or representation.
478.129 Record retention.
478.131 Firearms transactions not subject to a NICS check.
478.132 [Reserved]
478.133 Records of transactions in semiautomatic assault weapons.
478.134 Sale of firearms to law enforcement officers.

Subpart I_Exemptions, Seizures, and Forfeitures

478.141 General.
478.142 Effect of pardons and expunctions of convictions.
478.143 Relief from disabilities incurred by indictment.
478.144 Relief from disabilities under the Act.
478.145 Research organizations.
478.146 Deliveries by mail to certain persons.
478.147 Return of firearm.
478.148 Armor piercing ammunition intended for sporting or industrial
purposes.
478.149 Armor piercing ammunition manufactured or imported for the
purpose of testing or experimentation.
478.150 Alternative to NICS in certain geographical locations.
478.151 Semiautomatic rifles or shotguns for testing or experimentation.
478.152 Seizure and forfeiture.

[[Page 20]]

478.153 [Reserved]

Subpart J [Reserved]

Subpart K_Exportation

478.171 Exportation.

Authority: 5 U.S.C. 552(a); 18 U.S.C. 921-931; 44 U.S.C. 3504(h).

Source: 33 FR 18555, Dec. 14, 1968, unless otherwise noted.
Redesignated at 40 FR 16835, Apr. 15, 1975, and further redesignated by
T.D. ATF-487, 68 FR 3750, Jan. 24, 2003.

Editorial Note: Nomenclature changes to part 478 appear by T.D. ATF-
411, 64 FR 17291, Apr. 9, 1999, T.D. ATF-487, 68 FR 3750, Jan. 24, 2003,
and ATF-11F, 73 FR 57240, Oct. 2, 2008.

Subpart A_Introduction

Sec. 478.1 Scope of regulations.

(a) General. The regulations contained in this part relate to
commerce in firearms and ammunition and are promulgated to implement
Title I, State Firearms Control Assistance (18 U.S.C. Chapter 44), of
the Gun Control Act of 1968 (82 Stat. 1213) as amended by Pub. L. 99-308
(100 Stat. 449), Pub. L. 99-360 (100 Stat. 766), Pub. L. 99-408 (100
Stat. 920), Pub. L. 103-159 (107 Stat. 1536), Pub. L. 103-322 (108 Stat.
1796), Pub. L. 104-208 (110 Stat. 3009), and Pub. L. 105-277 (112 Stat.
2681).
(b) Procedural and substantive requirements. This part contains the
procedural and substantive requirements relative to:
(1) The interstate or foreign commerce in firearms and ammunition;
(2) The licensing of manufacturers and importers of firearms and
ammunition, collectors of firearms, and dealers in firearms;
(3) The conduct of business or activity by licensees;
(4) The importation of firearms and ammunition;
(5) The records and reports required of licensees;
(6) Relief from disabilities under this part;
(7) Exempt interstate and foreign commerce in firearms and
ammunition; and
(8) Restrictions on armor piercing ammunition.

[T.D. ATF-270, 53 FR 10490, Mar. 31, 1988, as amended by T.D. ATF-354,
59 FR 7112, Feb. 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]

Sec. 478.2 Relation to other provisions of law.

The provisions in this part are in addition to, and are not in lieu
of, any other provision of law, or regulations, respecting commerce in
firearms or ammunition. For regulations applicable to traffic in machine
guns, destructive devices, and certain other firearms, see Part 479 of
this chapter. For statutes applicable to the registration and licensing
of persons engaged in the business of manufacturing, importing or
exporting arms, ammunition, or implements of war, see section 38 of the
Arms Export Control Act (22 U.S.C. 2778) and regulations thereunder and
Part 447 of this chapter. For statutes applicable to nonmailable
firearms, see 18 U.S.C. 1715 and regulations thereunder.

[T.D. ATF-270, 53 FR 10490, Mar. 31, 1988]

Subpart B_Definitions

Sec. 478.11 Meaning of terms.

[[Page 21]]

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

[[Page 22]]

Chief, Federal Firearms Licensing Center (FFLC). The ATF official
responsible for the issuance and renewal of licenses under this part.
Collector. Any person who acquires, holds, or disposes of firearms
as curios or relics.
Collection premises. The premises described on the license of a
collector as the location at which he maintains his collection of curios
and relics.
Commerce. Travel, trade, traffic, commerce, transportation, or
communication among the several States, or between the District of
Columbia and any State, or between any foreign country or any territory
or possession and any State or the District of Columbia, or between
points in the same State but through any other State or the District of
Columbia or a foreign country.
Committed to a mental institution. A formal commitment of a person
to a mental institution by a court, board, commission, or other lawful
authority. The term includes a commitment to a mental institution
involuntarily. The term includes commitment for mental defectiveness or
mental illness. It also includes commitments for other reasons, such as
for drug use. The term does not include a person in a mental institution
for observation or a voluntary admission to a mental institution.
Controlled substance. A drug or other substance, or immediate
precursor, as defined in section 102 of the Controlled Substances Act,
21 U.S.C. 802. The term includes, but is not limited to, marijuana,
depressants, stimulants, and narcotic drugs. The term does not include
distilled spirits, wine, malt beverages, or tobacco, as those terms are
defined or used in Subtitle E of the Internal Revenue Code of 1986, as
amended.
Crime punishable by imprisonment for a term exceeding 1 year. Any
Federal, State or foreign offense for which the maximum penalty, whether
or not imposed, is capital punishment or imprisonment in excess of 1
year. The term shall not include (a) any Federal or State offenses
pertaining to antitrust violations, unfair trade practices, restraints
of trade, or other similar offenses relating to the regulation of
business practices or (b) any State offense classified by the laws of
the State as a misdemeanor and punishable by a term of imprisonment of 2
years or less. What constitutes a conviction of such a crime shall be
determined in accordance with the law of the jurisdiction in which the
proceedings were held. Any conviction which has been expunged or set
aside or for which a person has been pardoned or has had civil rights
restored shall not be considered a conviction for the purposes of the
Act or this part, unless such pardon, expunction, or restoration of
civil rights expressly provides that the person may not ship, transport,
possess, or receive firearms, or unless the person is prohibited by the
law of the jurisdiction in which the proceedings were held from
receiving or possessing any firearms.
Curios or relics. Firearms which are of special interest to
collectors by reason of some quality other than is associated with
firearms intended for sporting use or as offensive or defensive weapons.
To be recognized as curios or relics, firearms must fall within one of
the following categories:
(a) Firearms which were manufactured at least 50 years prior to the
current date, but not including replicas thereof;
(b) Firearms which are certified by the curator of a municipal,
State, or Federal museum which exhibits firearms to be curios or relics
of museum interest; and
(c) Any other firearms which derive a substantial part of their
monetary value from the fact that they are novel, rare, bizarre, or
because of their association with some historical figure, period, or
event. Proof of qualification of a particular firearm under this
category may be established by evidence of present value and evidence
that like firearms are not available except as collector's items, or
that the value of like firearms available in ordinary commercial
channels is substantially less.
Customs officer. Any officer of U.S. Customs and Border Protection,
any commissioned, warrant, or petty officer of the Coast Guard, or any
agent or other person authorized by law to perform the duties of a
customs officer.

[[Page 23]]

Dealer. Any person engaged in the business of selling firearms at
wholesale or retail; any person engaged in the business of repairing
firearms or of making or fitting special barrels, stocks, or trigger
mechanisms to firearms; or any person who is a pawnbroker. The term
shall include any person who engages in such business or occupation on a
part-time basis.
Destructive device. (a) Any explosive, incendiary, or poison gas (1)
bomb, (2) grenade, (3) rocket having a propellant charge of more than 4
ounces, (4) missile having an explosive or incendiary charge of more
than one-quarter ounce, (5) mine, or (6) device similar to any of the
devices described in the preceding paragraphs of this definition; (b)
any type of weapon (other than a shotgun or a shotgun shell which the
Director finds is generally recognized as particularly suitable for
sporting purposes) by whatever name known which will, or which may be
readily converted to, expel a projectile by the action of an explosive
or other propellant, and which has any barrel with a bore of more than
one-half inch in diameter; and (c) any combination of parts either
designed or intended for use in converting any device into any
destructive device described in paragraph (a) or (b) of this section and
from which a destructive device may be readily assembled. The term shall
not include any device which is neither designed nor redesigned for use
as a weapon; any device, although originally designed for use as a
weapon, which is redesigned for use as a signalling, pyrotechnic, line
throwing, safety, or similar device; surplus ordnance sold, loaned, or
given by the Secretary of the Army pursuant to the provisions of section
4684(2), 4685, or 4686 of title 10, United States Code; or any other
device which the Director finds is not likely to be used as a weapon, is
an antique, or is a rifle which the owner intends to use solely for
sporting, recreational, or cultural purposes.
Director. The Director, Bureau of Alcohol, Tobacco, Firearms, and
Explosives, the Department of Justice, Washington, DC.
Director of Industry Operations. The principal ATF official in a
Field Operations division responsible for administering regulations in
this part.
Discharged under dishonorable conditions. Separation from the U.S.
Armed Forces resulting from a dishonorable discharge or dismissal
adjudged by a general court-martial. The term does not include any
separation from the Armed Forces resulting from any other discharge,
e.g., a bad conduct discharge.
Division. A Bureau of Alcohol, Tobacco, Firearms, and Explosives
Division.
Engaged in the business--(a) Manufacturer of firearms. A person who
devotes time, attention, and labor to manufacturing firearms as a
regular course of trade or business with the principal objective of
livelihood and profit through the sale or distribution of the firearms
manufactured;
(b) Manufacturer of ammunition. A person who devotes time,
attention, and labor to manufacturing ammunition as a regular course of
trade or business with the principal objective of livelihood and profit
through the sale or distribution of the ammunition manufactured;
(c) Dealer in firearms other than a gunsmith or a pawnbroker. A
person who devotes time, attention, and labor to dealing in firearms as
a regular course of trade or business with the principal objective of
livelihood and profit through the repetitive purchase and resale of
firearms, but such a term shall not include a person who makes
occasional sales, exchanges, or purchases of firearms for the
enhancement of a personal collection or for a hobby, or who sells all or
part of his personal collection of firearms;
(d) Gunsmith. A person who devotes time, attention, and labor to
engaging in such activity as a regular course of trade or business with
the principal objective of livelihood and profit, but such a term shall
not include a person who makes occasional repairs of firearms or who
occasionally fits special barrels, stocks, or trigger mechanisms to
firearms;
(e) Importer of firearms. A person who devotes time, attention, and
labor to importing firearms as a regular course of trade or business
with the principal objective of livelihood and profit

[[Page 24]]

through the sale or distribution of the firearms imported; and,
(f) Importer of ammunition. A person who devotes time, attention,
and labor to importing ammunition as a regular course of trade or
business with the principal objective of livelihood and profit through
the sale or distribution of the ammunition imported.
Executed under penalties of perjury. Signed with the prescribed
declaration under the penalties of perjury as provided on or with
respect to the return form, or other document or, where no form of
declaration is prescribed, with the declaration:

``I declare under the penalties of perjury that this--(insert type
of document, such as, statement, application, request, certificate),
including the documents submitted in support thereof, has been examined
by me and, to the best of my knowledge and belief, is true, correct, and
complete.''

Federal Firearms Act. 15 U.S.C. Chapter 18.
Firearm. Any weapon, including a starter gun, which will or is
designed to or may readily be converted to expel a projectile by the
action of an explosive; the frame or receiver of any such weapon; any
firearm muffler or firearm silencer; or any destructive device; but the
term shall not include an antique firearm. In the case of a licensed
collector, the term shall mean only curios and relics.
Firearm frame or receiver. That part of a firearm which provides
housing for the hammer, bolt or breechblock, and firing mechanism, and
which is usually threaded at its forward portion to receive the barrel.
Firearm muffler or firearm silencer. Any device for silencing,
muffling, or diminishing the report of a portable firearm, including any
combination of parts, designed or redesigned, and intended for use in
assembling or fabricating a firearm silencer or firearm muffler, and any
part intended only for use in such assembly or fabrication.
Friendly foreign government. Any government with whom the United
States has diplomatic relations and whom the United States has not
identified as a State sponsor of terrorism.
Fugitive from justice. Any person who has fled from any State to
avoid prosecution for a felony or a misdemeanor; or any person who
leaves the State to avoid giving testimony in any criminal proceeding.
The term also includes any person who knows that misdemeanor or felony
charges are pending against such person and who leaves the State of
prosecution.
Handgun. (a) Any firearm which has a short stock and is designed to
be held and fired by the use of a single hand; and
(b) Any combination of parts from which a firearm described in
paragraph (a) can be assembled.
Hunting license or permit lawfully issued in the United States. A
license or permit issued by a State for hunting which is valid and
unexpired.
Identification document. A document containing the name, residence
address, date of birth, and photograph of the holder and which was made
or issued by or under the authority of the United States Government, a
State, political subdivision of a State, a foreign government, political
subdivision of a foreign government, an international governmental or an
international quasi- governmental organization which, when completed
with information concerning a particular individual, is of a type
intended or commonly accepted for the purpose of identification of
individuals.
Importation. The bringing of a firearm or ammunition into the United
States; except that the bringing of a firearm or ammunition from outside
the United States into a foreign-trade zone for storage pending shipment
to a foreign country or subsequent importation into this country,
pursuant to this part, shall not be deemed importation.
Importer. Any person engaged in the business of importing or
bringing firearms or ammunition into the United States. The term shall
include any person who engages in such business on a part-time basis.
Indictment. Includes an indictment or information in any court,
under which a crime punishable by imprisonment for a term exceeding 1
year (as defined in this section) may be prosecuted, or in military
cases to any offense punishable by imprisonment for a term exceeding 1
year which has been referred to a general court-martial. An information
is a formal accusation of a crime,

[[Page 25]]

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

[[Page 26]]

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

[[Page 27]]

(b) Involves violent acts or acts dangerous to human life which
would be a criminal violation if committed within the jurisdiction of
the United States; and
(c) Is intended--
(1) To intimidate or coerce a civilian population;
(2) To influence the policy of a government by intimidation or
coercion; or
(3) To affect the conduct of a government by assassination or
kidnapping.
Published ordinance. A published law of any political subdivision of
a State which the Director determines to be relevant to the enforcement
of this part and which is contained on a list compiled by the Director,
which list is incorporated by reference in the Federal Register, revised
annually, and furnished to licensees under this part.
Renounced U.S. citizenship. (a) A person has renounced his U.S.
citizenship if the person, having been a citizen of the United States,
has renounced citizenship either--
(1) Before a diplomatic or consular officer of the United States in
a foreign state pursuant to 8 U.S.C. 1481(a)(5); or
(2) Before an officer designated by the Attorney General when the
United States is in a state of war pursuant to 8 U.S.C. 1481(a)(6).
(b) The term shall not include any renunciation of citizenship that
has been reversed as a result of administrative or judicial appeal.
Revolver. A projectile weapon, of the pistol type, having a
breechloading chambered cylinder so arranged that the cocking of the
hammer or movement of the trigger rotates it and brings the next
cartridge in line with the barrel for firing.
Rifle. A weapon designed or redesigned, made or remade, and intended
to be fired from the shoulder, and designed or redesigned and made or
remade to use the energy of the explosive in a fixed metallic cartridge
to fire only a single projectile through a rifled bore for each single
pull of the trigger.
Semiautomatic assault weapon. (a) Any of the firearms, or copies or
duplicates of the firearms in any caliber, known as:
(1) Norinco, Mitchell, and Poly Technologies Avtomat Kalashnikovs
(all models),
(2) Action Arms Israeli Military Industries UZI and Galil,
(3) Beretta Ar70 (SC-70),
(4) Colt AR-15,
(5) Fabrique National FN/FAL, FN/LAR, and FNC,
(6) SWD M-10, M-11, M-11/9, and M-12,
(7) Steyr AUG,
(8) INTRATEC TEC-9, TEC-DC9 and TEC-22, and
(9) Revolving cylinder shotguns, such as (or similar to) the Street
Sweeper and Striker 12;
(b) A semiautomatic rifle that has an ability to accept a detachable
magazine and has at least 2 of--
(1) A folding or telescoping stock,
(2) A pistol grip that protrudes conspicuously beneath the action of
the weapon,
(3) A bayonet mount,
(4) A flash suppressor or threaded barrel designed to accommodate a
flash suppressor, and
(5) A grenade launcher;
(c) A semiautomatic pistol that has an ability to accept a
detachable magazine and has at least 2 of--
(1) An ammunition magazine that attaches to the pistol outside of
the pistol grip,
(2) A threaded barrel capable of accepting a barrel extender, flash
suppressor, forward handgrip, or silencer,
(3) A shroud that is attached to, or partially or completely
encircles, the barrel and that permits the shooter to hold the firearm
with the nontrigger hand without being burned,
(4) A manufactured weight of 50 ounces or more when the pistol is
unloaded, and
(5) A semiautomatic version of an automatic firearm; and
(d) A semiautomatic shotgun that has at least 2 of--
(1) A folding or telescoping stock,
(2) A pistol grip that protrudes conspicuously beneath the action of
the weapon,
(3) A fixed magazine capacity in excess of 5 rounds, and
(4) An ability to accept a detachable magazine.
Semiautomatic pistol. Any repeating pistol which utilizes a portion
of the

[[Page 28]]

energy of a firing cartridge to extract the fired cartridge case and
chamber the next round, and which requires a separate pull of the
trigger to fire each cartridge.
Semiautomatic rifle. Any repeating rifle which utilizes a portion of
the energy of a firing cartridge to extract the fired cartridge case and
chamber the next round, and which requires a separate pull of the
trigger to fire each cartridge.
Semiautomatic shotgun. Any repeating shotgun which utilizes a
portion of the energy of a firing cartridge to extract the fired
cartridge case and chamber the next round, and which requires a separate
pull of the trigger to fire each cartridge.
Short-barreled rifle. A rifle having one or more barrels less than
16 inches in length, and any weapon made from a rifle, whether by
alteration, modification, or otherwise, if such weapon, as modified, has
an overall length of less than 26 inches.
Short-barreled shotgun. A shotgun having one or more barrels less
than 18 inches in length, and any weapon made from a shotgun, whether by
alteration, modification, or otherwise, if such weapon as modified has
an overall length of less than 26 inches.
Shotgun. A weapon designed or redesigned, made or remade, and
intended to be fired from the shoulder, and designed or redesigned and
made or remade to use the energy of the explosive in a fixed shotgun
shell to fire through a smooth bore either a number of ball shot or a
single projectile for each single pull of the trigger.
State. A State of the United States. The term shall include the
District of Columbia, the Commonwealth of Puerto Rico, and the
possessions of the United States (not including the Canal Zone).
State of residence. The State in which an individual resides. An
individual resides in a State if he or she is present in a State with
the intention of making a home in that State. If an individual is on
active duty as a member of the Armed Forces, the individual's State of
residence is the State in which his or her permanent duty station is
located, as stated in 18 U.S.C. 921(b). The following are examples that
illustrate this definition:

Example 1. A maintains a home in State X. A travels to State Y on a
hunting, fishing, business, or other type of trip. A does not become a
resident of State Y by reason of such trip.
Example 2. A maintains a home in State X and a home in State Y. A
resides in State X except for weekends or the summer months of the year
and in State Y for the weekends or the summer months of the year. During
the time that A actually resides in State X, A is a resident of State X,
and during the time that A actually resides in State Y, A is a resident
of State Y.
Example 3. A, an alien, travels to the United States on a three-week
vacation to State X. A does not have a state of residence in State X
because A does not have the intention of making a home in State X while
on vacation. This is true regardless of the length of the vacation.
Example 4. A, an alien, travels to the United States to work for
three years in State X. A rents a home in State X, moves his personal
possessions into the home, and his family resides with him in the home.
A intends to reside in State X during the 3-year period of his
employment. A is a resident of State X.
Unlawful user of or addicted to any controlled substance. A person
who uses a controlled substance and has lost the power of self-control
with reference to the use of controlled substance; and any person who is
a current user of a controlled substance in a manner other than as
prescribed by a licensed physician. Such use is not limited to the use
of drugs on a particular day, or within a matter of days or weeks
before, but rather that the unlawful use has occurred recently enough to
indicate that the individual is actively engaged in such conduct. A
person may be an unlawful current user of a controlled substance even
though the substance is not being used at the precise time the person
seeks to acquire a firearm or receives or possesses a firearm. An
inference of current use may be drawn from evidence of a recent use or
possession of a controlled substance or a pattern of use or possession
that reasonably covers the present time, e.g., a conviction for use or
possession of a controlled substance within the past year; multiple
arrests for such offenses within the past 5 years if the most recent
arrest occurred within the past year; or persons found through a drug
test to

[[Page 29]]

use a controlled substance unlawfully, provided that the test was
administered within the past year. For a current or former member of the
Armed Forces, an inference of current use may be drawn from recent
disciplinary or other administrative action based on confirmed drug use,
e.g., court-martial conviction, nonjudicial punishment, or an
administrative discharge based on drug use or drug rehabilitation
failure.
Unserviceable firearm. A firearm which is incapable of discharging a
shot by means of an explosive and is incapable of being readily restored
to a firing condition.
U.S.C. The United States Code.

(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. 1226))

[T.D. ATF-48, 43 FR 13536, Mar. 31, 1978; 44 FR 55842, Sept. 28, 1979]

Editorial Note: For Federal Register citations affecting Sec.
478.11, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.

Subpart C_Administrative and Miscellaneous Provisions

Sec. 478.21 Forms prescribed.

(a) The Director is authorized to prescribe all forms required by
this part. All of the information called for in each form shall be
furnished as indicated by the headings on the form and the instructions
on or pertaining to the form. In addition, information called for in
each form shall be furnished as required by this part.
(b) Requests for forms should be submitted to the ATF Distribution
Center (http://www.atf.gov) or made by calling (202) 648-6420.

(5 U.S.C. 552(a); 80 Stat. 383, as amended)

[T.D. ATF-92, 46 FR 46915, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5962, Feb. 27, 1987; T.D. ATF-270, 53 FR 10492, Mar. 31, 1988;
T.D. 372, 61 FR 20724, May 8, 1996; ATF-11F, 73 FR 57240, Oct. 2, 2008;
ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]

Sec. 478.22 Alternate methods or procedures; emergency variations
from requirements.

(a) Alternate methods or procedures. The licensee, on specific
approval by the Director as provided in this paragraph, may use an
alternate method or procedure in lieu of a method or procedure
specifically prescribed in this part. The Director may approve an
alternate method or procedure, subject to stated conditions, when it is
found that:
(1) Good cause is shown for the use of the alternate method or
procedure;
(2) The alternate method or procedure is within the purpose of, and
consistent with the effect intended by, the specifically prescribed
method or procedure and that the alternate method or procedure is
substantially equivalent to that specifically prescribed method or
procedure; and
(3) The alternate method or procedure will not be contrary to any
provision of law and will not result in an increase in cost to the
Government or hinder the effective administration of this part. Where
the licensee desires to employ an alternate method or procedure, a
written application shall be submitted to the appropriate Director of
Industry Operations, for transmittal to the Director. The application
shall specifically describe the proposed alternate method or procedure
and shall set forth the reasons for it. Alternate methods or procedures
may not be employed until the application is approved by the Director.
The licensee shall, during the period of authorization of an alternate
method or procedure, comply with the terms of the approved application.
Authorization of any alternate method or procedure may be withdrawn
whenever, in the judgment of the Director, the effective administration
of this part is hindered by the continuation of the authorization.
(b) Emergency variations from requirements. The Director may approve
a method of operation other than as specified in this part, where it is
found that an emergency exists and the proposed variation from the
specified requirements are necessary and the proposed variations (1)
will not hinder the effective administration of this part, and (2) will
not be contrary to any provisions of law. Variations from requirements
granted under this paragraph are conditioned on compliance with the
procedures, conditions, and limitations

[[Page 30]]

set forth in the approval of the application. Failure to comply in good
faith with the procedures, conditions, and limitations shall
automatically terminate the authority for the variations, and the
licensee shall fully comply with the prescribed requirements of
regulations from which the variations were authorized. Authority for any
variation may be withdrawn whenever, in the judgment of the Director,
the effective administration of this part is hindered by the
continuation of the variation. Where the licensee desires to employ an
emergency variation, a written application shall be submitted to the
appropriate Director of Industry Operations for transmittal to the
Director. The application shall describe the proposed variation and set
forth the reasons for it. Variations may not be employed until the
application is approved.
(c) Retention of approved variations. The licensee shall retain, as
part of the licensee's records, available for examination by ATF
officers, any application approved by the Director under this section.

[T.D. ATF-270, 53 FR 10492, Mar. 31, 1988]

Sec. 478.23 Right of entry and examination.

(a) Except as provided in paragraph (b), any ATF officer, when there
is reasonable cause to believe a violation of the Act has occurred and
that evidence of the violation may be found on the premises of any
licensed manufacturer, licensed importer, licensed dealer, or licensed
collector, may, upon demonstrating such cause before a Federal
magistrate and obtaining from the magistrate a warrant authorizing
entry, enter during business hours (or, in the case of a licensed
collector, the hours of operation) the premises, including places of
storage, of any such licensee for the purpose of inspecting or
examining:
(1) Any records or documents required to be kept by such licensee
under this part and
(2) Any inventory of firearms or ammunition kept or stored by any
licensed manufacturer, licensed importer, or licensed dealer at such
premises or any firearms curios or relics or ammunition kept or stored
by any licensed collector at such premises.
(b) Any ATF officer, without having reasonable cause to believe a
violation of the Act has occurred or that evidence of the violation may
be found and without demonstrating such cause before a Federal
magistrate or obtaining from the magistrate a warrant authorizing entry,
may enter during business hours the premises, including places of
storage, of any licensed manufacturer, licensed importer, or licensed
dealer for the purpose of inspecting or examining the records,
documents, ammunition and firearms referred to in paragraph (a) of this
section:
(1) In the course of a reasonable inquiry during the course of a
criminal investigation of a person or persons other than the licensee,
(2) For insuring compliance with the recordkeeping requirements of
this part:
(i) Not more than once during any 12-month period, or
(ii) At any time with respect to records relating to a firearm
involved in a criminal investigation that is traced to the licensee, or
(3) When such inspection or examination may be required for
determining the disposition of one or more particular firearms in the
course of a bona fide criminal investigation.
(c) Any ATF officer, without having reasonable cause to believe a
violation of the Act has occurred or that evidence of the violation may
be found and without demonstrating such cause before a Federal
magistrate or obtaining from the magistrate a warrant authorizing entry,
may enter during hours of operation the premises, including places of
storage, of any licensed collector for the purpose of inspecting or
examining the records, documents, firearms, and ammunition referred to
in paragraph (a) of this section (1) for ensuring compliance with the
recordkeeping requirements of this part not more than once during any
12-month period or (2) when such inspection or examination may be
required for determining the disposition of one or more particular
firearms in the course of a bona fide criminal investigation. At the
election of the licensed

[[Page 31]]

collector, the annual inspection permitted by this paragraph shall be
performed at the ATF office responsible for conducting such inspection
in closest proximity to the collectors premises.
(d) The inspections and examinations provided by this section do not
authorize an ATF officer to seize any records or documents other than
those records or documents constituting material evidence of a violation
of law. If an ATF officer seizes such records or documents, copies shall
be provided the licensee within a reasonable time.

[T.D. ATF-270, 53 FR 10492, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17450, Apr. 6, 1995]

Sec. 478.24 Compilation of State laws and published ordinances.

(a) The Director shall annually revise and furnish Federal firearms
licensees with a compilation of State laws and published ordinances
which are relevant to the enforcement of this part. The Director
annually revises the compilation and publishes it as ``State Laws and
Published Ordinances--Firearms'' which is furnished free of charge to
licensees under this part. Where the compilation has previously been
furnished to licensees, the Director need only furnish amendments of the
relevant laws and ordinances to such licensees.
(b) ``State Laws and Published Ordinances--Firearms'' is
incorporated by reference in this part. It is ATF Publication 5300.5,
revised yearly. The current edition is available from the Superintendent
of Documents, U.S. Government Printing Office, Washington, DC 20402. It
is also available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. This
incorporation by reference was approved by the Director of the Federal
Register.

[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988, as amended by 69 FR 18803,
Apr. 9, 2004]

Sec. 478.25 Disclosure of information.

The Director of Industry Operations may make available to any
Federal, State or local law enforcement agency any information which is
obtained by reason of the provisions of the Act with respect to the
identification of persons prohibited from purchasing or receiving
firearms or ammunition who have purchased or received firearms or
ammunition, together with a description of such firearms or ammunition.
Upon the request of any Federal, State or local law enforcement agency,
the Director of Industry Operations may provide such agency any
information contained in the records required to be maintained by the
Act or this part.

[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]

Sec. 478.25a Responses to requests for information.

Each licensee shall respond immediately to, and in no event later
than 24 hours after the receipt of, a request by an ATF officer at the
National Tracing Center for information contained in the records
required to be kept by this part for determining the disposition of one
or more firearms in the course of a bona fide criminal investigation.
The requested information shall be provided orally to the ATF officer
within the 24-hour period. Verification of the identity and employment
of National Tracing Center personnel requesting information may be
established at the time the requested information is provided by
telephoning the toll-free number 1-800-788-7132 or using the toll-free
facsimile (FAX) number 1-800-788-7133.

(Approved by the Office of Management and Budget under control number
1140-0032)

[T.D. ATF-363, 60 FR 17451, Apr. 6, 1996, as amended by T.D. ATF-396, 63
FR 12646, Mar. 16, 1998; ATF-11F, 73 FR 57240, Oct. 2, 2008]

Sec. 478.26 Curio and relic determination.

Any person who desires to obtain a determination whether a
particular firearm is a curio or relic shall submit a written request,
in duplicate, for a ruling thereon to the Director. Each such request
shall be executed under

[[Page 32]]

the penalties of perjury and shall contain a complete and accurate
description of the firearm, and such photographs, diagrams, or drawings
as may be necessary to enable the Director to make a determination. The
Director may require the submission of the firearm for examination and
evaluation. If the submission of the firearm is impractical, the person
requesting the determination shall so advise the Director and designate
the place where the firearm will be available for examination and
evaluation.

[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]

Sec. 478.27 Destructive device determination.

The Director shall determine in accordance with 18 U.S.C. 921(a)(4)
whether a device is excluded from the definition of a destructive
device. A person who desires to obtain a determination under that
provision of law for any device which he believes is not likely to be
used as a weapon shall submit a written request, in triplicate, for a
ruling thereon to the Director. Each such request shall be executed
under the penalties of perjury and contain a complete and accurate
description of the device, the name and address of the manufacturer or
importer thereof, the purpose of and use for which it is intended, and
such photographs, diagrams, or drawings as may be necessary to enable
the Director to make his determination. The Director may require the
submission to him, of a sample of such device for examination and
evaluation. If the submission of such device is impracticable, the
person requesting the ruling shall so advise the Director and designate
the place where the device will be available for examination and
evaluation.

Sec. 478.28 Transportation of destructive devices and certain
firearms.

(a) The Director may authorize a person to transport in interstate
or foreign commerce any destructive device, machine gun, short-barreled
shotgun, or short-barreled rifle, if he finds that such transportation
is reasonably necessary and is consistent with public safety and
applicable State and local law. A person who desires to transport in
interstate or foreign commerce any such device or weapon shall submit a
written request so to do, in duplicate, to the Director. The request
shall contain:
(1) A complete description and identification of the device or
weapon to be transported;
(2) A statement whether such transportation involves a transfer of
title;
(3) The need for such transportation;
(4) The approximate date such transportation is to take place;
(5) The present location of such device or weapon and the place to
which it is to be transported;
(6) The mode of transportation to be used (including, if by common
or contract carrier, the name and address of such carrier); and
(7) Evidence that the transportation or possession of such device or
weapon is not inconsistent with the laws at the place of destination.
(b) No person shall transport any destructive device, machine gun,
short-barreled shotgun, or short-barreled rifle in interstate or foreign
commerce under the provisions of this section until he has received
specific authorization so to do from the Director. Authorization granted
under this section does not carry or import relief from any other
statutory or regulatory provision relating to firearms.
(c) This section shall not be construed as requiring licensees to
obtain authorization to transport destructive devices, machine guns,
short-barreled shotguns, and short-barreled rifles in interstate or
foreign commerce: Provided, That in the case of a licensed importer,
licensed manufacturer, or licensed dealer, such a licensee is qualified
under the National Firearms Act (see also Part 479 of this chapter) and
this part to engage in the business with respect to the device or weapon
to be transported, and that in the case of a licensed collector, the
device or weapon to be transported is a curio or relic.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16385, Apr. 15, 1975,
and amended by T.D. ATF-138, 48 FR 35399, Aug. 4, 1983]

Sec. 478.29 Out-of-State acquisition of firearms by nonlicensees.

No person, other than a licensed importer, licensed manufacturer,
licensed dealer, or licensed collector, shall

[[Page 33]]

transport into or receive in the State where the person resides (or if a
corporation or other business entity, where it maintains a place of
business) any firearm purchased or otherwise obtained by such person
outside that State: Provided, That the provisions of this section:
(a) Shall not preclude any person who lawfully acquires a firearm by
bequest or intestate succession in a State other than his State of
residence from transporting the firearm into or receiving it in that
State, if it is lawful for such person to purchase or possess such
firearm in that State,
(b) Shall not apply to the transportation or receipt of a rifle or
shotgun obtained from a licensed manufacturer, licensed importer,
licensed dealer, or licensed collector in a State other than the
transferee's State of residence in an over-the-counter transaction at
the licensee's premises obtained in conformity with the provisions of
Sec. 478.96(c) and
(c) Shall not apply to the transportation or receipt of a firearm
obtained in conformity with the provisions of Sec. Sec. 478.30 and
478.97.

[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]

Sec. 478.29a Acquisition of firearms by nonresidents.

No person, other than a licensed importer, licensed manufacturer,
licensed dealer, or licensed collector, who does not reside in any State
shall receive any firearms unless such receipt is for lawful sporting
purposes.

[T.D. ATF-363, 60 FR 17451, Apr. 6, 1995]

Sec. 478.30 Out-of-State disposition of firearms by nonlicensees.

No nonlicensee shall transfer, sell, trade, give, transport, or
deliver any firearm to any other nonlicensee, who the transferor knows
or has reasonable cause to believe does not reside in (or if the person
is a corporation or other business entity, does not maintain a place of
business in) the State in which the transferor resides: Provided, That
the provisions of this section:
(a) shall not apply to the transfer, transportation, or delivery of
a firearm made to carry out a bequest of a firearm to, or any
acquisition by intestate succession of a firearm by, a person who is
permitted to acquire or possess a firearm under the laws of the State of
his residence; and
(b) shall not apply to the loan or rental of a firearm to any person
for temporary use for lawful sporting purposes.

[T.D. ATF-313, 56 FR 32508, July 17, 1991; 57 FR 1205, Jan. 10, 1992]

Sec. 478.31 Delivery by common or contract carrier.

(a) No person shall knowingly deliver or cause to be delivered to
any common or contract carrier for transportation or shipment in
interstate or foreign commerce to any person other than a licensed
importer, licensed manufacturer, licensed dealer, or licensed collector,
any package or other container in which there is any firearm or
ammunition without written notice to the carrier that such firearm or
ammunition is being transported or shipped: Provided, That any passenger
who owns or legally possesses a firearm or ammunition being transported
aboard any common or contract carrier for movement with the passenger in
interstate or foreign commerce may deliver said firearm or ammunition
into the custody of the pilot, captain, conductor or operator of such
common or contract carrier for the duration of that trip without
violating any provision of this part.
(b) No common or contract carrier shall require or cause any label,
tag, or other written notice to be placed on the outside of any package,
luggage, or other container indicating that such package, luggage, or
other container contains a firearm.
(c) No common or contract carrier shall transport or deliver in
interstate or foreign commerce any firearm or ammunition with knowledge
or reasonable cause to believe that the shipment, transportation, or
receipt thereof would be in violation of any provision of this part:
Provided, however, That the provisions of this paragraph shall not apply
in respect to the transportation of firearms or ammunition in in-bond
shipment under Customs laws and regulations.
(d) No common or contract carrier shall knowingly deliver in
interstate or

[[Page 34]]

foreign commerce any firearm without obtaining written acknowledgement
of receipt from the recipient of the package or other container in which
there is a firearm: Provided, That this paragraph shall not apply with
respect to the return of a firearm to a passenger who places firearms in
the carrier's custody for the duration of the trip.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16385, Apr. 15, 1975,
and amended by T.D. ATF-354, 59 FR 7112, Feb. 14, 1994; T.D. ATF-361, 60
FR 10786, Feb. 27, 1995]

Sec. 478.32 Prohibited shipment, transportation, possession,
or receipt of firearms and ammunition by certain persons.

(a) No person may ship or transport any firearm or ammunition in
interstate or foreign commerce, or receive any firearm or ammunition
which has been shipped or transported in interstate or foreign commerce,
or possess any firearm or ammunition in or affecting commerce, who:
(1) Has been convicted in any court of a crime punishable by
imprisonment for a term exceeding 1 year,
(2) Is a fugitive from justice,
(3) Is an unlawful user of or addicted to any controlled substance
(as defined in section 102 of the Controlled Substances Act, 21 U.S.C.
802),
(4) Has been adjudicated as a mental defective or has been committed
to a mental institution,
(5) Being an alien--
(i) Is illegally or unlawfully in the United States; or
(ii) Except as provided in paragraph (f) of this section, has been
admitted to the United States under a nonimmigrant visa: Provided, That
the provisions of this paragraph (a)(5)(ii) do not apply to any alien
who has been lawfully admitted to the United States under a nonimmigrant
visa, if that alien is--
(A) Admitted to the United States for lawful hunting or sporting
purposes or is in possession of a hunting license or permit lawfully
issued in the United States;
(B) An official representative of a foreign government who is either
accredited to the United States Government or the Government's mission
to an international organization having its headquarters in the United
States or is en route to or from another country to which that alien is
accredited. This exception only applies if the firearm or ammunition is
shipped, transported, possessed, or received in the representative's
official capacity;
(C) An official of a foreign government or a distinguished foreign
visitor who has been so designated by the Department of State. This
exception only applies if the firearm or ammunition is shipped,
transported, possessed, or received in the official's or visitor's
official capacity, except if the visitor is a private individual who
does not have an official capacity; or
(D) A foreign law enforcement officer of a friendly foreign
government entering the United States on official law enforcement
business,
(6) Has been discharged from the Armed Forces under dishonorable
conditions,
(7) Having been a citizen of the United States, has renounced
citizenship,
(8) Is subject to a court order that--
(i) Was issued after a hearing of which such person received actual
notice, and at which such person had an opportunity to participate;
(ii) Restrains such person from harassing, stalking, or threatening
an intimate partner of such person or child of such intimate partner or
person, or engaging in other conduct that would place an intimate
partner in reasonable fear of bodily injury to the partner or child; and
(iii)(A) Includes a finding that such person represents a credible
threat to the physical safety of such intimate partner or child; or
(B) By its terms explicitly prohibits the use, attempted use, or
threatened use of physical force against such intimate partner or child
that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(b) No person who is under indictment for a crime punishable by
imprisonment for a term exceeding one year may ship or transport any
firearm or ammunition in interstate or foreign commerce or receive any
firearm or ammunition which has been shipped or

[[Page 35]]

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

[[Page 36]]

place of abode with some person of suitable age and discretion residing
therein; or proof that the party signed a return receipt for a hearing
notice which had been mailed to the party. It does not include notice
published in a newspaper.
(f) Pursuant to 18 U.S.C. 922(y)(3), any individual who has been
admitted to the United States under a nonimmigrant visa may receive a
waiver from the prohibition contained in paragraph (a)(5)(ii) of this
section if the Attorney General approves a petition for the waiver.

[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17451, Apr. 6, 1995; T.D. ATF-391, 62 FR 34639, June 27, 1997;
T.D. ATF-401, 63 FR 35522, June 30, 1998; T.D. ATF-471, 67 FR 5425, Feb.
5, 2002; ATF-24F, 77 FR 33629, June 7, 2012]

Sec. 478.33 Stolen firearms and ammunition.

No person shall transport or ship in interstate or foreign commerce
any stolen firearm or stolen ammunition knowing or having reasonable
cause to believe that the firearm or ammunition was stolen, and no
person shall receive, possess, conceal, store, barter, sell, or dispose
of any stolen firearm or stolen ammunition, or pledge or accept as
security for a loan any stolen firearm or stolen ammunition, which is
moving as, which is a part of, which constitutes, or which has been
shipped or transported in, interstate or foreign commerce, either before
or after it was stolen, knowing or having reasonable cause to believe
that the firearm or ammunition was stolen.

[T.D. ATF-363, 60 FR 17451, Apr. 6, 1995]

Sec. 478.33a Theft of firearms.

No person shall steal or unlawfully take or carry away from the
person or the premises of a person who is licensed to engage in the
business of importing, manufacturing, or dealing in firearms, any
firearm in the licensee's business inventory that has been shipped or
transported in interstate or foreign commerce.

[T.D. ATF-354, 59 FR 7112, Feb. 14, 1994]

Sec. 478.34 Removed, obliterated, or altered serial number.

No person shall knowingly transport, ship, or receive in interstate
or foreign commerce any firearm which has had the importer's or
manufacturer's serial number removed, obliterated, or altered, or
possess or receive any firearm which has had the importer's or
manufacturer's serial number removed, obliterated, or altered and has,
at any time, been shipped or transported in interstate or foreign
commerce.

[T.D. ATF-313, 56 FR 32508, July 17, 1991]

Sec. 478.35 Skeet, trap, target, and similar shooting activities.

Licensing and recordkeeping requirements, including permissible
alternate records, for skeet, trap, target, and similar organized
activities shall be determined by the Director of Industry Operations on
a case by case basis.

Sec. 478.36 Transfer or possession of machine guns.

No person shall transfer or possess a machine gun except:
(a) A transfer to or by, or possession by or under the authority of,
the United States, or any department or agency thereof, or a State, or a
department, agency, or political subdivision thereof. (See Part 479 of
this chapter); or
(b) Any lawful transfer or lawful possession of a machine gun that
was lawfully possessed before May 19, 1986 (See Part 479 of this
chapter).

[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]

Sec. 478.37 Manufacture, importation and sale of armor piercing
ammunition.

No person shall manufacture or import, and no manufacturer or
importer shall sell or deliver, armor piercing ammunition, except:
(a) The manufacture or importation, or the sale or delivery by any
manufacturer or importer, of armor piercing ammunition for the use of
the United States or any department or agency thereof or any State or
any department, agency or political subdivision thereof;

[[Page 37]]

(b) The manufacture, or the sale or delivery by a manufacturer or
importer, of armor piercing ammunition for the purpose of exportation;
or
(c) The sale or delivery by a manufacturer or importer of armor
piercing ammunition for the purposes of testing or experimentation as
authorized by the Director under the provisions of Sec. 478.149.

[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]

Sec. 478.38 Transportation of firearms.

Notwithstanding any other provision of any law or any rule or
regulation of a State or any political subdivision thereof, any person
who is not otherwise prohibited by this chapter from transporting,
shipping, or receiving a firearm shall be entitled to transport a
firearm for any lawful purpose from any place where such person may
lawfully possess and carry such firearm to any other place where such
person may lawfully possess and carry such firearm if, during such
transportation the firearm is unloaded, and neither the firearm nor any
ammunition being transported is readily accessible or is directly
accessible from the passenger compartment of such transporting vehicle:
Provided, That in the case of a vehicle without a compartment separate
from the driver's compartment the firearm or ammunition shall be
contained in a locked container other than the glove compartment or
console.

[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]

Sec. 478.39 Assembly of semiautomatic rifles or shotguns.

(a) No person shall assemble a semiautomatic rifle or any shotgun
using more than 10 of the imported parts listed in paragraph (c) of this
section if the assembled firearm is prohibited from importation under
section 925(d)(3) as not being particularly suitable for or readily
adaptable to sporting purposes.
(b) The provisions of this section shall not apply to:
(1) The assembly of such rifle or shotgun for sale or distribution
by a licensed manufacturer to the United States or any department or
agency thereof or to any State or any department, agency, or political
subdivision thereof; or
(2) The assembly of such rifle or shotgun for the purposes of
testing or experimentation authorized by the Director under the
provisions of Sec. 478.151; or
(3) The repair of any rifle or shotgun which had been imported into
or assembled in the United States prior to November 30, 1990, or the
replacement of any part of such firearm.
(c) For purposes of this section, the term imported parts are:
(1) Frames, receivers, receiver castings, forgings or stampings
(2) Barrels
(3) Barrel extensions
(4) Mounting blocks (trunions)
(5) Muzzle attachments
(6) Bolts
(7) Bolt carriers
(8) Operating rods
(9) Gas pistons
(10) Trigger housings
(11) Triggers
(12) Hammers
(13) Sears
(14) Disconnectors
(15) Buttstocks
(16) Pistol grips
(17) Forearms, handguards
(18) Magazine bodies
(19) Followers
(20) Floorplates

[T.D. ATF-346, 58 FR 40589, July 29, 1993]

Sec. 478.39a Reporting theft or loss of firearms.

(a)(1) Each licensee shall report the theft or loss of a firearm
from the licensee's inventory (including any firearm which has been
transferred from the licensee's inventory to a personal collection and
held as a personal firearm for at least 1 year), or from the collection
of a licensed collector, within 48 hours after the theft or loss is
discovered.
(2) When a firearm is stolen or lost in transit on a common or
contract carrier (which for purposes of this paragraph includes the U.S.
Postal Service), it is considered stolen or lost from the transferor/
sender licensee's inventory for reporting purposes. Therefore, the
transferor/sender of the stolen or lost firearm shall report the theft
or loss of the firearm within 48 hours after the transferor/sender
discovers the theft or loss.

[[Page 38]]

(b) Each licensee shall report the theft or loss by telephoning ATF
at 1-888-930-9275 (nationwide toll-free number), and by preparing and
submitting to ATF a Federal Firearms Licensee Theft/Loss Report, ATF
Form 3310.11, in accordance with the instructions on the form. The
original of the report shall be retained by the licensee as part of the
licensee's required records.
(c) When a licensee submits to ATF a Federal Firearms Licensee
Theft/Loss Report, ATF Form 3310.11, for the theft or loss of a firearm
registered under the National Firearms Act, this report also satisfies
the notification requirement under Sec. 479.141 of this chapter.
(d) Theft or loss of any firearm shall also be reported to the
appropriate local authorities. If the location of the theft or loss is
known, the local law enforcement agency at that location would be the
appropriate local authority. Otherwise, the report should be made to the
local law enforcement authorities at the licensee's location or business
premises.
(e) Licensees shall reflect the theft or loss of a firearm as a
disposition entry in the Record of Acquisition and Disposition required
by subpart H of this part not later than 7 days following discovery of
the theft or loss. The disposition entry shall record whether the
incident is a theft or loss, the ATF-Issued Incident Number, and the
Incident Number provided by the local law enforcement agency.
(f) Licensees who report the theft or loss of a firearm and later
discover its whereabouts shall advise ATF at 1-888-930-9275 (nationwide
toll-free number) that the firearm has been located, and shall re-enter
the firearm in the Record of Acquisition and Disposition as an
acquisition or disposition entry as appropriate.

[ATF 40F, 81 FR 1318, Jan. 12, 2016]

Sec. 478.40 [Reserved]

Subpart D_Licenses

Sec. 478.41 General.

(a) Each person intending to engage in business as an importer or
manufacturer of firearms or ammunition, or a dealer in firearms shall,
before commencing such business, obtain the license required by this
subpart for the business to be operated. Each person who desires to
obtain a license as a collector of curios or relics may obtain such a
license under the provisions of this subpart.
(b) Each person intending to engage in business as a firearms or
ammunition importer or manufacturer, or dealer in firearms shall file an
application, with the required fee (see Sec. 478.42), with ATF in
accordance with the instructions on the form (see Sec. 478.44), and,
pursuant to Sec. 478.47, receive the license required for such business
from the Chief, Federal Firearms Licensing Center. Except as provided in
Sec. 478.50, a license must be obtained for each business and each
place at which the applicant is to do business. A license as an importer
or manufacturer of firearms or ammunition, or a dealer in firearms
shall, subject to the provisions of the Act and other applicable
provisions of law, entitle the licensee to transport, ship, and receive
firearms and ammunition covered by such license in interstate or foreign
commerce and to engage in the business specified by the license, at the
location described on the license, and for the period stated on the
license. However, it shall not be necessary for a licensed importer or a
licensed manufacturer to also obtain a dealer's license in order to
engage in business on the licensed premises as a dealer in the same type
of firearms authorized by the license to be imported or manufactured.
Payment of the license fee as an importer or manufacturer of destructive
devices, ammunition for destructive devices or armor piercing ammunition
or as a dealer in destructive devices includes the privilege of
importing or manufacturing firearms other than destructive devices and
ammunition for other than destructive devices or ammunition other than
armor piercing ammunition, or dealing in firearms other than destructive
devices, as the case may be, by such a licensee at the licensed
premises.
(c) Each person seeking the privileges of a collector licensed under
this part shall file an application, with the required fee (see Sec.
478.42), with ATF in accordance with the instructions on the form (see
Sec. 478.44), and pursuant to

[[Page 39]]

Sec. 478.47, receive from the Chief, Federal Firearms Licensing Center,
the license covering the collection of curios and relics. A separate
license may be obtained for each collection premises, and such license
shall, subject to the provisions of the Act and other applicable
provisions of law, entitle the licensee to transport, ship, receive, and
acquire curios and relics in interstate or foreign commerce, and to make
disposition of curios and relics in interstate or foreign commerce, to
any other person licensed under the provisions of this part, for the
period stated on the license.
(d) The collector license provided by this part shall apply only to
transactions related to a collector's activity in acquiring, holding or
disposing of curios and relics. A collector's license does not authorize
the collector to engage in a business required to be licensed under the
Act or this part. Therefore, if the acquisitions and dispositions of
curios and relics by a collector bring the collector within the
definition of a manufacturer, importer, or dealer under this part, he
shall qualify as such. (See also Sec. 478.93 of this part.)

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-270, 53 FR 10494, Mar. 31, 1988; T.D. ATF-290,
54 FR 53054, Dec. 27, 1989]

Sec. 478.42 License fees.

Each applicant shall pay a fee for obtaining a firearms license or
ammunition license, a separate fee being required for each business or
collecting activity at each place of such business or activity, as
follows:
(a) For a manufacturer:
(1) Of destructive devices, ammunition for destructive devices or
armor piercing ammunition--$1,000 per year.
(2) Of firearms other than destructive devices--$50 per year.
(3) Of ammunition for firearms other than ammunition for destructive
devices or armor piercing ammunition--$10 per year.
(b) For an importer:
(1) Of destructive devices, ammunition for destructive devices or
armor piercing ammunition--$1,000 per year.
(2) Of firearms other than destructive devices or ammunition for
firearms other than destructive devices or ammunition other than armor
piercing ammunition--$50 per year.
(c) For a dealer:
(1) In destructive devices--$1,000 per year.
(2) Who is not a dealer in destructive devices--$200 for 3 years,
except that the fee for renewal of a valid license shall be $90 for 3
years.
(d) For a collector of curios and relics--$10 per year.

[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988, as amended by T.D. ATF-354,
59 FR 7112, Feb. 14, 1994]

Sec. 478.43 License fee not refundable.

No refund of any part of the amount paid as a license fee shall be
made where the operations of the licensee are, for any reason,
discontinued during the period of an issued license. However, the
license fee submitted with an application for a license shall be
refunded if that application is denied or withdrawn by the applicant
prior to being acted upon.

[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]

Sec. 478.44 Original license.

(a)(1) Any person who intends to engage in business as a firearms or
ammunition importer or manufacturer, or firearms dealer, or who has not
previously been licensed under the provisions of this part to so engage
in business, or who has not timely submitted an application for renewal
of the previous license issued under this part, must file an application
for license, ATF Form 7 (Firearms), in duplicate, with ATF in accordance
with the instructions on the form. The application must:
(i) Be executed under the penalties of perjury and the penalties
imposed by 18 U.S.C. 924;
(ii) Include a photograph and fingerprints as required in the
instructions on the form;
(iii) If the applicant (including, in the case of a corporation,
partnership, or association, any individual possessing, directly or
indirectly, the power to direct or cause the direction of the management
and policies of the

[[Page 40]]

corporation, partnership, or association) is an alien who has been
admitted to the United States under a nonimmigrant visa, applicable
documentation demonstrating that the alien falls within an exception
specified in 18 U.S.C. 922(y)(2) (e.g., a hunting license or permit
lawfully issued in the United States) or has obtained a waiver as
specified in 18 U.S.C. 922(y)(3); and
(iv) Include the appropriate fee in the form of money order or check
made payable to the ``Bureau of Alcohol, Tobacco, Firearms, and
Explosives''.
(2) ATF Form 7 may be obtained by contacting the ATF Distribution
Center (See Sec. 478.21).
(b) Any person who desires to obtain a license as a collector under
the Act and this part, or who has not timely submitted an application
for renewal of the previous license issued under this part, shall file
an application, ATF Form 7CR (Curios and Relics), with ATF in accordance
with the instructions on the form. If the applicant (including, in the
case of a corporation, partnership, or association, any individual
possessing, directly or indirectly, the power to direct or cause the
direction of the management and policies of the corporation,
partnership, or association) is an alien who has been admitted to the
United States under a nonimmigrant visa, the application must include
applicable documentation demonstrating that the alien falls within an
exception specified in 18 U.S.C. 922(y)(2) (e.g., a hunting license or
permit lawfully issued in the United States) or has obtained a waiver as
specified in 18 U.S.C. 922(y)(3). The application must be executed under
the penalties of perjury and the penalties imposed by 18 U.S.C. 924. The
application shall include the appropriate fee in the form of a money
order or check made payable to the Bureau of Alcohol, Tobacco, Firearms,
and Explosives. ATF Form 7CR (Curios and Relics) may be obtained by
contacting the ATF Distribution Center (See Sec. 478.21).

(Paragraphs (a) and (b) approved by the Office of Management and Budget
under control number 1140-0060)

[T.D. ATF-363, 60 FR 17453, Apr. 6, 1995, as amended by T.D. ATF-471, 67
FR 5425, Feb. 5, 2002; ATF-11F, 73 FR 57240, Oct. 2, 2008; ATF-24F, 77
FR 33629, June 7, 2012]

Sec. 478.45 Renewal of license.

If a licensee intends to continue the business or activity described
on a license issued under this part during any portion of the ensuing
year, the licensee shall, unless otherwise notified in writing by the
Chief, Federal Firearms Licensing Center, execute and file with ATF
prior to the expiration of the license an application for a license
renewal, ATF Form 8 Part II, in accordance with the instructions on the
form, and the required fee. If the applicant is an alien who has been
admitted to the United States under a nonimmigrant visa, the application
must include applicable documentation demonstrating that the alien falls
within an exception specified in 18 U.S.C. 922(y)(2) (e.g., a hunting
license or permit lawfully issued in the United States) or has obtained
a waiver as specified in 18 U.S.C. 922(y)(3). The Chief, Federal
Firearms Licensing Center may, in writing, require the applicant for
license renewal to also file completed ATF Form 7 or ATF Form 7CR in the
manner required by Sec. 478.44. In the event the licensee does not
timely file an ATF Form 8 Part II, the licensee must file an ATF Form 7
or ATF Form 7CR as required by Sec. 478.44, and obtain the required
license before continuing business or collecting activity. If an ATF
Form 8 Part II is not timely received through the mails, the licensee
should so notify the Chief, Federal Firearms Licensing Center.

(Approved by the Office of Management and Budget under control number
1140-0060)

[ATF-11F, 73 FR 57241, Oct. 2, 2008, as amended by ATF-24F, 77 FR 33629,
June 7, 2012]

Sec. 478.46 Insufficient fee.

If an application is filed with an insufficient fee, the application
and any fee submitted will be returned to the applicant.

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))

[T.D. ATF-200, 50 FR 10498, Mar. 15, 1985]

Sec. 478.47 Issuance of license.

(a) Upon receipt of a properly executed application for a license on
ATF Form 7, ATF Form 7CR, or ATF Form 8 Part II, the Chief, Federal
Firearms

[[Page 41]]

Licensing Center, shall, upon finding through further inquiry or
investigation, or otherwise, that the applicant is qualified, issue the
appropriate license. Each license shall bear a serial number and such
number may be assigned to the licensee to whom issued for so long as the
licensee maintains continuity of renewal in the same location (State).
(b) The Chief, Federal Firearms Licensing Center, shall approve a
properly executed application for license on ATF Form 7, ATF Form 7CR,
or ATF Form 8 Part II, if:
(1) The applicant is 21 years of age or over;
(2) The applicant (including, in the case of a corporation,
partnership, or association, any individual possessing, directly or
indirectly, the power to direct or cause the direction of the management
and policies of the corporation, partnership, or association) is not
prohibited under the provisions of the Act from shipping or transporting
in interstate or foreign commerce, or possessing in or affecting
commerce, any firearm or ammunition, or from receiving any firearm or
ammunition which has been shipped or transported in interstate or
foreign commerce;
(3) The applicant has not willfully violated any of the provisions
of the Act or this part;
(4) The applicant has not willfully failed to disclose any material
information required, or has not made any false statement as to any
material fact, in connection with his application; and
(5) The applicant has in a State (i) premises from which he conducts
business subject to license under the Act or from which he intends to
conduct such business within a reasonable period of time, or (ii) in the
case of a collector, premises from which he conducts his collecting
subject to license under the Act or from which he intends to conduct
such collecting within a reasonable period of time.
(c) The Chief, Federal Firearms Licensing Center, shall approve or
the Director of Industry Operations shall deny an application for a
license within the 60-day period beginning on the date the properly
executed application was received: Provided, That when an applicant for
license renewal is a person who is, pursuant to the provisions of Sec.
478.78, Sec. 478.143, or Sec. 478.144, conducting business or
collecting activity under a previously issued license, action regarding
the application will be held in abeyance pending the completion of the
proceedings against the applicant's existing license or license
application, final determination of the applicant's criminal case, or
final action by the Director on an application for relief submitted
pursuant to Sec. 478.144, as the case may be.
(d) When the Director of Industry Operations or the Chief, Federal
Firearms Licensing Center fails to act on an application for a license
within the 60-day period prescribed by paragraph (c) of this section,
the applicant may file an action under section 1361 of title 28, United
States Code, to compel ATF to act upon the application.

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-135, 48 FR 24068, May 31, 1983; T.D. ATF-241, 51
FR 39619, Oct. 29, 1986; T.D. ATF-270, 53 FR 10495, Mar. 31, 1988; T.D.
ATF-290, 54 FR 53054, Dec. 27, 1989; T.D. ATF-363, 60 FR 17453, Apr. 6,
1995; ATF-11F, 73 FR 57241, Oct. 2, 2008]

Sec. 478.48 Correction of error on license.

(a) Upon receipt of a license issued under the provisions of this
part, each licensee shall examine same to ensure that the information
contained thereon is accurate. If the license is incorrect, the licensee
shall return the license to the Chief, Federal Firearms Licensing
Center, with a statement showing the nature of the error. The Chief,
Federal Firearms Licensing Center, shall correct the error, if the error
was made in his office, and return the license. However, if the error
resulted from information contained in the licensee's application for
the license, the Chief, Federal Firearms Licensing Center, shall require
the licensee to file an amended application setting forth the correct
information and a statement explaining the error contained in the
application. Upon receipt of the amended application and a satisfactory
explanation of the error, the Chief, Federal Firearms Licensing Center,

[[Page 42]]

shall make the correction on the license and return same to the
licensee.
(b) When the Chief, Federal Firearms Licensing Center, finds through
any means other than notice from the licensee that an incorrect license
has been issued, the Chief, Federal Firearms Licensing Center, may
require the holder of the incorrect license to (1) return the license
for correction, and (2) if the error resulted from information contained
in the licensee's application for the license, the Chief, Federal
Firearms Licensing Center, shall require the licensee to file an amended
application setting forth the correct information, and a statement
explaining the error contained in the application. The Chief, Federal
Firearms Licensing Center, then shall make the correction on the license
and return same to the licensee.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-290, 54 FR 53054, Dec. 27, 1989]

Sec. 478.49 Duration of license.

The license entitles the person to whom issued to engage in the
business or activity specified on the license, within the limitations of
the Act and the regulations contained in this part, for a three year
period, unless terminated sooner.

[T.D. ATF-270, 53 FR 10495, Mar. 31, 1988]

Sec. 478.50 Locations covered by license.

The license covers the class of business or the activity specified
in the license at the address specified therein. A separate license must
be obtained for each location at which a firearms or ammunition business
or activity requiring a license under this part is conducted except:
(a) No license is required to cover a separate warehouse used by the
licensee solely for storage of firearms or ammunition if the records
required by this part are maintained at the licensed premises served by
such warehouse;
(b) A licensed collector may acquire curios and relics at any
location, and dispose of curios or relics to any licensee or to other
persons who are residents of the State where the collector's license is
held and the disposition is made;
(c) A licensee may conduct business at a gun show pursuant to the
provision of Sec. 478.100; or
(d) A licensed importer, manufacturer, or dealer may engage in the
business of dealing in curio or relic firearms with another licensee at
any location pursuant to the provisions of Sec. 478.100.

[T.D. ATF-191, 49 FR 46890, Nov. 29, 1984, as amended by T.D. ATF-401,
63 FR 35523, June 30, 1998]

Sec. 478.51 License not transferable.

Licenses issued under this part are not transferable. In the event
of the lease, sale, or other transfer of the operations authorized by
the license, the successor must obtain the license required by this part
prior to commencing such operations. However, for rules on right of
succession, see Sec. 478.56.

Sec. 478.52 Change of address.

(a) Licensees may during the term of their current license remove
their business or activity to a new location at which they intend
regularly to carry on such business or activity by filing an Application
for an Amended Federal Firearms License, ATF Form 5300.38, in duplicate,
not less than 30 days prior to such removal with the Chief, Federal
Firearms Licensing Center. The ATF Form 5300.38 shall be completed in
accordance with the instructions on the form. The application must be
executed under the penalties of perjury and penalties imposed by 18
U.S.C. 924. The application shall be accompanied by the licensee's
original license. The Chief, Federal Firearms Licensing Center Center,
may, in writing, require the applicant for an amended license to also
file completed ATF Form 7 or ATF Form 7CR, or portions thereof, in the
manner required by Sec. 478.44.
(b) Upon receipt of a properly executed application for an amended
license, the Chief, Federal Firearms Licensing Center, shall, upon
finding through further inquiry or investigation, or otherwise, that the
applicant is qualified at the new location, issue the amended license,
and return it to the applicant. The license shall be valid for

[[Page 43]]

the remainder of the term of the original license. The Chief, Federal
Firearms Licensing Center, shall, if the applicant is not qualified,
refer the application for amended license to the Director of Industry
Operations for denial in accordance with Sec. 478.71.

(Approved by the Office of Management and Budget under control number
1140-0040)

[T.D. ATF-363, 60 FR 17453, Apr. 6, 1995, as amended by ATF-11F, 73 FR
57241, Oct. 2, 2008]

Sec. 478.53 Change in trade name.

A licensee continuing to conduct business at the location shown on
his license is not required to obtain a new license by reason of a mere
change in trade name under which he conducts his business: Provided,
That such licensee furnishes his license for endorsement of such change
to the Chief, Federal Firearms Licensing Center within 30 days from the
date the licensee begins his business under the new trade name.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-290,
54 FR 53055, Dec. 27, 1989]

Sec. 478.54 Change of control.

In the case of a corporation or association holding a license under
this part, if actual or legal control of the corporation or association
changes, directly or indirectly, whether by reason of change in stock
ownership or control (in the licensed corporation or in any other
corporation), by operations of law, or in any other manner, the licensee
shall, within 30 days of such change, give written notification thereof,
executed under the penalties of perjury, to the Chief, Federal Firearms
Licensing Center. Upon expiration of the license, the corporation or
association must file a Form 7 (Firearms) as required by Sec. 478.44.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-290, 54 FR 53054, Dec. 27, 1989]

Sec. 478.55 Continuing partnerships.

Where, under the laws of the particular State, the partnership is
not terminated on death or insolvency of a partner, but continues until
the winding up of the partnership affairs is completed, and the
surviving partner has the exclusive right to the control and possession
of the partnership assets for the purpose of liquidation and settlement,
such surviving partner may continue to operate the business under the
license of the partnership. If such surviving partner acquires the
business on completion of the settlement of the partnership, he shall
obtain a license in his own name from the date of acquisition, as
provided in Sec. 478.44. The rule set forth in this section shall also
apply where there is more than one surviving partner.

Sec. 478.56 Right of succession by certain persons.

(a) Certain persons other than the licensee may secure the right to
carry on the same firearms or ammunition business at the same address
shown on, and for the remainder of the term of, a current license. Such
persons are:
(1) The surviving spouse or child, or executor, administrator, or
other legal representative of a deceased licensee; and
(2) A receiver or trustee in bankruptcy, or an assignee for benefit
of creditors.
(b) In order to secure the right provided by this section, the
person or persons continuing the business shall furnish the license for
that business for endorsement of such succession to the Chief, Federal
Firearms Licensing Center, within 30 days from the date on which the
successor begins to carry on the business.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-290,
54 FR 53055, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]

Sec. 478.57 Discontinuance of business.

Where a firearm or ammunition business is either discontinued or
succeeded by a new owner, the owner of the business discontinued or
succeeded shall within 30 days thereof furnish to the Chief, Federal
Firearms Licensing

[[Page 44]]

Center notification of the discontinuance or succession. (See also Sec.
478.127.)

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-290,
54 FR 53055, Dec. 27, 1989; T.D. ATF-363, 60 FR 17453, Apr. 6, 1995;
T.D. ATF-383, 61 FR 39321, July 29, 1996; ATF 2014R-42, 84 FR 12094,
Apr. 1, 2019]

Sec. 478.58 State or other law.

A license issued under this part confers no right or privilege to
conduct business or activity contrary to State or other law. The holder
of such a license is not by reason of the rights and privileges granted
by that license immune from punishment for operating a firearm or
ammunition business or activity in violation of the provisions of any
State or other law. Similarly, compliance with the provisions of any
State or other law affords no immunity under Federal law or regulations.

Sec. 478.59 Abandoned application.

Upon receipt of an incomplete or improperly executed application on
ATF form 7 (5310.12), or ATF Form 8 (5310.11) Part II, the applicant
shall be notified of the deficiency in the application. If the
application is not corrected and returned within 30 days following the
date of notification, the application shall be considered as having been
abandoned and the license fee returned.

[T.D. ATF-135, 48 FR 24068, May 31, 1983]

Sec. 478.60 Certain continuances of business.

A licensee who furnishes his license to the Chief, Federal Firearms
Licensing Center for correction or endorsement in compliance with the
provisions contained in this subpart may continue his operations while
awaiting its return.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-290, 54 FR 53054, Dec. 27, 1989]

Subpart E_License Proceedings

Sec. 478.71 Denial of an application for license.

Whenever the Director has reason to believe that an applicant is not
qualified to receive a license under the provisions of Sec. 478.47, he
may issue a notice of denial, on Form 4498, to the applicant. The notice
shall set forth the matters of fact and law relied upon in determining
that the application should be denied, and shall afford the applicant 15
days from the date of receipt of the notice in which to request a
hearing to review the denial. If no request for a hearing is filed
within such time, the application shall be disapproved and a copy, so
marked, shall be returned to the applicant.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-270, 53 FR 10495, Mar. 31, 1988; ATF-27P, 74 FR
1878, Jan. 14, 2009]

Sec. 478.72 Hearing after application denial.

If the applicant for an original or renewal license desires a
hearing to review the denial of his application, he shall file a request
therefor, in duplicate, with the Director of Industry Operations within
15 days after receipt of the notice of denial. The request should
include a statement of the reasons therefor. On receipt of the request,
the Director of Industry Operations shall, as expeditiously as possible,
make the necessary arrangements for the hearing and advise the applicant
of the date, time, location, and the name of the officer before whom the
hearing will be held. Such notification shall be made not less than 10
days in advance of the date set for the hearing. During the hearing the
applicant will have the opportunity to submit facts and arguments for
review and consideration; offers of settlement will not be entertained
at the hearing but may be made before or after the hearing. On
conclusion of the hearing and consideration of all relevant facts and
circumstances presented by the applicant or his representative, the
Director shall render his decision confirming or reversing the denial of
the application. A copy of the application, marked ``Disapproved,'' will
be returned to the applicant. If the decision is that the license
applied for should be issued, the

[[Page 45]]

applicant shall be so notified, in writing, and the license shall be
issued as provided by Sec. 478.47.

[33 FR 18555, Dec. 14, 1968, as amended by ATF-27P, 74 FR 1878, Jan. 14,
2009; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014; ATF 2008R-15P; 81 FR
32235, May 23, 2016]

Sec. 478.73 Notice of revocation, suspension, or imposition
of civil fine.

(a) Basis for action. Whenever the Director has reason to believe
that a licensee has willfully violated any provision of the Act or this
part, a notice of revocation of the license, ATF Form 4500, may be
issued. In addition, pursuant to 18 U.S.C. 922(t)(5) and 18 U.S.C.
924(p), a notice of revocation, suspension, or imposition of a civil
fine may be issued on ATF Form 4500 whenever the Director has reason to
believe that a licensee has knowingly transferred a firearm to an
unlicensed person and knowingly failed to comply with the requirements
of 18 U.S.C. 922(t)(1) with respect to the transfer and, at the time
that the transferee most recently proposed the transfer, the national
instant criminal background check system was operating and information
was available to the system demonstrating that the transferee's receipt
of a firearm would violate 18 U.S.C. 922(g) or 922(n) or State law; or
that a licensee has violated 18 U.S.C. 922(z)(1) by selling, delivering,
or transferring any handgun to any person other than a licensee, unless
the transferee was provided with a secure gun storage or safety device
for that handgun.
(b) Issuance of notice. The notice shall set forth the matters of
fact constituting the violations specified, dates, places, and the
sections of law and regulations violated. The Director shall afford the
licensee 15 days from the date of receipt of the notice in which to
request a hearing prior to suspension or revocation of the license, or
imposition of a civil fine. If the licensee does not file a timely
request for a hearing, the Director shall issue a final notice of
suspension or revocation and/or imposition of a civil fine on ATF Form
5300.13, as provided in Sec. 478.74.

[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998, as amended by ATF-27P, 74 FR
1878, Jan. 14, 2009; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014; ATF
2008R-15P, 81 FR 32235, May 23, 2016]

Sec. 478.74 Request for hearing after notice of suspension,
revocation, or imposition of civil fine.

If a licensee desires a hearing after receipt of a notice of
suspension or revocation of a license, or imposition of a civil fine,
the licensee shall file a request, in duplicate, with the Director of
Industry Operations within 15 days after receipt of the notice of
suspension or revocation of a license, or imposition of a civil fine. On
receipt of such request, the Director of Industry Operations shall, as
expeditiously as possible, make necessary arrangements for the hearing
and advise the licensee of the date, time, location and the name of the
officer before whom the hearing will be held. Such notification shall be
made no less than 10 days in advance of the date set for the hearing. On
conclusion of the hearing and consideration of all the relevant
presentations made by the licensee or the licensee's representative, the
Director shall render a decision and shall prepare a brief summary of
the findings and conclusions on which the decision is based. If the
decision is that the license should be revoked, or, in actions under 18
U.S.C. 922(t)(5) or 924(p), that the license should be revoked or
suspended, or that a civil fine should be imposed, a certified copy of
the summary shall be furnished to the licensee with the final notice of
revocation, suspension, or imposition of a civil fine on ATF Form
5300.13. If the decision is that the license should not be revoked, or
in actions under 18 U.S.C. 922(t)(5) or 924(p), that the license should
not be revoked or suspended, and a civil fine should not be imposed, the
licensee shall be notified in writing. During the hearing the licensee
will have the opportunity to submit facts and arguments for review and
consideration; offers of settlement will not be entertained at the
hearing but may be made before or after the hearing.

[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998, as amended by ATF-27P, 74 FR
1878, Jan. 14, 2009; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014; ATF
2008R-15P, 81 FR 32235, May 23, 2016]

Sec. 478.75 Service on applicant or licensee.

All notices and other documents required to be served on an
applicant or

[[Page 46]]

licensee under this subpart shall be served by certified mail or by
personal delivery. Where service is by certified mail, a signed
duplicate original copy of the formal document shall be mailed, with
return receipt requested, to the applicant or licensee at the address
stated in his application or license, or at his last known address.
Where service is by personal delivery, a signed duplicate original copy
of the formal document shall be delivered to the applicant or licensee,
or, in the case of a corporation, partnership, or association, by
delivering it to an officer, manager, or general agent thereof, or to
its attorney of record.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and further redesignated by T.D. ATF-241, 51 FR 39619, Oct. 29, 1986;
T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]

Sec. 478.76 Representation at a hearing.

Applicants or licensees may represent themselves or be represented
by an attorney, a certified public accountant, or any other person,
specifically designated in a duly executed power of attorney that shall
be filed in the proceeding by the applicant or licensee. The applicant
or licensee shall file waivers, if applicable, under the Privacy Act of
1974 and 26 U.S.C. 6103(c) (confidentiality and disclosure of returns
and return information). The Director of Industry Operations may be
represented in proceedings under Sec. Sec. 478.72 and 478.74 by an
attorney in the Office of Chief Counsel who is authorized to execute and
file motions, briefs, and other papers in the proceeding, on behalf of
the Director of Industry Operations, in the attorney's own name as
``Attorney for the Government.''

[ATF 33F, 84 FR 64743, Nov. 25, 2019]

Sec. 478.77 Designated place of hearing.

The designated place of the hearing shall be a location convenient
to the aggrieved party.

[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]

Sec. 478.78 Operations by licensee after notice.

In any case where denial, suspension, or revocation proceedings are
pending before the Bureau of Alcohol, Tobacco, Firearms, and Explosives,
or notice of denial, suspension, or revocation has been served on the
licensee and he has filed timely request for a hearing, the license in
the possession of the licensee shall remain in effect even though such
license has expired, or the suspension or revocation date specified in
the notice of revocation on Form 4500 served on the licensee has passed:
Provided, That with respect to a license that has expired, the licensee
has timely filed an application for the renewal of his license. If a
licensee is dissatisfied with a posthearing decision revoking or
suspending the license or denying the application or imposing a civil
fine, as the case may be, he may, pursuant to 18 U.S.C. 923(f)(3),
within 60 days after receipt of the final notice denying the application
or revoking or suspending the license or imposing a civil fine, file a
petition for judicial review of such action. Such petition should be
filed with the U.S. district court for the district in which the
applicant or licensee resides or has his principal place of business. In
such case, when the Director finds that justice so requires, he may
postpone the effective date of suspension or revocation of a license or
authorize continued operations under the expired license, as applicable,
pending judicial review.

[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998, as amended by ATF-27P, 74 FR
1878, Jan. 14, 2009; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]

Subpart F_Conduct of Business

Sec. 478.91 Posting of license.

Any license issued under this part shall be kept posted and kept
available for inspection on the premises covered by the license.

Sec. 478.92 Identification of firearms and armor piercing ammunition
by licensed manufacturers and licensed importers.

(a)(1) Firearms. You, as a licensed manufacturer or licensed
importer of firearms, must legibly identify each firearm manufactured or
imported as follows:
(i) By engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped
(impressed) or placed on the frame or receiver thereof

[[Page 47]]

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

[[Page 48]]

label shall include the words ``ARMOR PIERCING'' in block letters at
least \1/4\ inch in height. The lettering shall be located on the
exterior surface of the package which contains information concerning
the caliber or gauge of the ammunition. There shall also be placed on
the same surface of the package in block lettering at least \1/8\ inch
in height the words ``FOR GOVERNMENTAL ENTITIES OR EXPORTATION ONLY.''
The statements required by this subparagraph shall be on a contrasting
background.

(Approved by the Office of Management and Budget under control number
1140-0050)

[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17454, Apr. 6, 1995; T.D. ATF-383, 61 FR 39321, July 29, 1996;
T.D. ATF-396, 63 FR 12646, Mar. 16, 1998; T.D. ATF-461, 66 FR 40600,
Aug. 3, 2001; ATF-11F, 73 FR 57241, Oct. 2, 2008; ATF 2014R-42, 84 FR
12094, Apr. 1, 2019]

Sec. 478.93 Authorized operations by a licensed collector.

The license issued to a collector of curios or relics under the
provisions of this part shall cover only transactions by the licensed
collector in curios and relics. The collector's license is of no force
or effect and a licensed collector is of the same status under the Act
and this part as a nonlicensee with respect to (a) any acquisition or
disposition of firearms other than curios or relics, or any
transportation, shipment, or receipt of firearms other than curios or
relics in interstate or foreign commerce, and (b) any transaction with a
nonlicensee involving any firearm other than a curio or relic. (See also
Sec. 478.50.) A collectors license is not necessary to receive or
dispose of ammunition, and a licensed collector is not precluded by law
from receiving or disposing of armor piercing ammunition. However, a
licensed collector may not dispose of any ammunition to a person
prohibited from receiving or possessing ammunition (see Sec.
478.99(c)). Any licensed collector who disposes of armor piercing
ammunition must record the disposition as required by Sec. 478.125 (a)
and (b).

[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]

Sec. 478.94 Sales or deliveries between licensees.

A licensed importer, licensed manufacturer, or licensed dealer
selling or otherwise disposing of firearms, and a licensed collector
selling or otherwise disposing of curios or relics, to another licensee
shall verify the identity and 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, That it shall not be required (a) for a transferee
who has furnished a certified copy of its license to a transferor to
again furnish such certified copy to that transferor during the term of
the transferee's current license, (b) for a licensee to furnish a
certified copy of its license to another licensee if a firearm is being
returned either directly or through another licensee to such licensee
and (c) for licensees of multilicensed business organizations to furnish
certified copies of their licenses to other licensed locations operated
by such organization: Provided further, That a multilicensed business
organization may furnish to a transferor, in lieu of a certified copy of
each license, a list, certified to be true, correct and complete,
containing the name, address, license number, and the date of license
expiration of each licensed location operated by such organization, and
the transferor may sell or otherwise dispose of firearms as provided by
this section to any licensee appearing on such list without requiring a
certified copy of a license therefrom. A transferor licensee who has the
certified information required by this section may sell or dispose of
firearms to a licensee for not more than 45 days following the
expiration date of the transferee's license.

(Approved by the Office of Management and Budget under control number
1140-0032)

[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988, as amended by ATF-11F, 73 FR
57241, Oct. 2, 2008]

Sec. 478.95 Certified copy of license.

The license furnished to each person licensed under the provisions
of this

[[Page 49]]

part contains a purchasing certification statement. This original
license may be reproduced and the reproduction then certified by the
licensee for use pursuant to Sec. 478.94. If the licensee desires an
additional copy of the license for certification (instead of making a
reproduction of the original license), the licensee may submit a
request, in writing, for a certified copy or copies of the license to
the Chief, Federal Firearms Licensing Center. The request must set forth
the name, trade name (if any) and address of the licensee, and the
number of license copies desired. There is a charge of $1 for each copy.
The fee paid for copies of the license must accompany the request for
copies. The fee may be paid by cash, or money order or check made
payable to the Bureau of Alcohol, Tobacco, Firearms, and Explosives.

(Approved by the Office of Management and Budget under control number
1140-0032)

[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988, as amended by T.D. ATF-290,
54 FR 53055, Dec. 27, 1989; ATF-11F, 73 FR 57241, Oct. 2, 2008; ATF
2014R-42, 84 FR 12094, Apr. 1, 2019]

Sec. 478.96 Out-of-State and mail order sales.

(a) The provisions of this section shall apply when a firearm is
purchased by or delivered to a person not otherwise prohibited by the
Act from purchasing or receiving it.
(b) A licensed importer, licensed manufacturer, or licensed dealer
may sell a firearm that is not subject to the provisions of Sec.
478.102(a) to a nonlicensee who does not appear in person at the
licensee's business premises if the nonlicensee is a resident of the
same State in which the licensee's business premises are located, and
the nonlicensee furnishes to the licensee the firearms transaction
record, Form 4473, required by Sec. 478.124. The nonlicensee shall
attach to such record a true copy of any permit or other information
required pursuant to any statute of the State and published ordinance
applicable to the locality in which he resides. The licensee shall prior
to shipment or delivery of the firearm, forward by registered or
certified mail (return receipt requested) a copy of the record, Form
4473, to the chief law enforcement officer named on such record, and
delay shipment or delivery of the firearm for a period of at least 7
days following receipt by the licensee of the return receipt evidencing
delivery of the copy of the record to such chief law enforcement
officer, or the return of the copy of the record to him due to the
refusal of such chief law enforcement officer to accept same in
accordance with U.S. Postal Service regulations. The original Form 4473,
and evidence of receipt or rejection of delivery of the copy of the Form
4473 sent to the chief law enforcement officer shall be retained by the
licensee as a part of the records required of him to be kept under the
provisions of subpart H of this part.
(c)(1) A licensed importer, licensed manufacturer, or licensed
dealer may sell or deliver a rifle or shotgun, and a licensed collector
may sell or deliver a rifle or shotgun that is a curio or relic to a
nonlicensed resident of a State other than the State in which the
licensee's place of business is located if--
(i) The purchaser meets with the licensee in person at the
licensee's premises to accomplish the transfer, sale, and delivery of
the rifle or shotgun;
(ii) The licensed importer, licensed manufacturer, or licensed
dealer complies with the provisions of Sec. 478.102;
(iii) The purchaser furnishes to the licensed importer, licensed
manufacturer, or licensed dealer the firearms transaction record, Form
4473, required by Sec. 478.124; and
(iv) The sale, delivery, and receipt of the rifle or shotgun fully
comply with the legal conditions of sale in both such States.
(2) For purposes of paragraph (c) of this section, any licensed
manufacturer, licensed importer, or licensed dealer is presumed, in the
absence of evidence to the contrary, to have had actual knowledge of the
State laws and

[[Page 50]]

published ordinances of both such States.

(Approved by the Office of Management and Budget under control number
1140-0021)

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-241,
51 FR 39620, Oct. 29, 1986; T.D. ATF-270, 53 FR 10497, Mar. 31, 1988;
T.D. ATF-354, 59 FR 7112, Feb. 14, 1994; T.D. ATF-415, 63 FR 58278, Oct.
29, 1998; ATF-11F, 73 FR 57241, Oct. 2, 2008]

Sec. 478.97 Loan or rental of firearms.

(a) A licensee may lend or rent a firearm to any person for
temporary use off the premises of the licensee for lawful sporting
purposes: Provided, That the delivery of the firearm to such person is
not prohibited by Sec. 478.99(b) or Sec. 478.99(c), the licensee
complies with the requirements of Sec. 478.102, and the licensee
records such loan or rental in the records required to be kept by him
under Subpart H of this part.
(b) A club, association, or similar organization temporarily
furnishing firearms (whether by loan, rental, or otherwise) to
participants in a skeet, trap, target, or similar shooting activity for
use at the time and place such activity is held does not, unattended by
other circumstances, cause such club, association, or similar
organization to be engaged in the business of a dealer in firearms or as
engaging in firearms transactions. Therefore, licensing and
recordkeeping requirements contained in this part pertaining to firearms
transactions would not apply to this temporary furnishing of firearms
for use on premises on which such an activity is conducted.

[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998]

Sec. 478.98 Sales or deliveries of destructive devices and certain
firearms.

The sale or delivery by a licensee of any destructive device,
machine gun, short-barreled shotgun, or short-barreled rifle, to any
person other than another licensee who is licensed under this part to
deal in such device or firearm, is prohibited unless the person to
receive such device or firearm furnishes to the licensee a sworn
statement setting forth
(a) The reasons why there is a reasonable necessity for such person
to purchase or otherwise acquire the device or weapon; and
(b) That such person's receipt or possession of the device or weapon
would be consistent with public safety. Such sworn statement shall be
made on the application to transfer and register the firearm required by
Part 479 of this chapter. The sale or delivery of the device or weapon
shall not be made until the application for transfer is approved by the
Director and returned to the licensee (transferor) as provided in Part
479 of this chapter.

[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988]

Sec. 478.99 Certain prohibited sales or deliveries.

(a) Interstate sales or deliveries. A licensed importer, licensed
manufacturer, licensed dealer, or licensed collector shall not sell or
deliver any firearm to any person not licensed under this part and who
the licensee knows or has reasonable cause to believe does not reside in
(or if a corporation or other business entity, does not maintain a place
of business in) the State in which the licensee's place of business or
activity is located: Provided, That the foregoing provisions of this
paragraph (1) shall not apply to the sale or delivery of a rifle or
shotgun (curio or relic, in the case of a licensed collector) to a
resident of a State other than the State in which the licensee's place
of business or collection premises is located if the requirements of
Sec. 478.96(c) are fully met, and (2) shall not apply to the loan or
rental of a firearm to any person for temporary use for lawful sporting
purposes (see Sec. 478.97).
(b) Sales or deliveries to underaged persons. A licensed importer,
licensed manufacturer, licensed dealer, or licensed collector shall not
sell or deliver (1) any firearm or ammunition to any individual who the
importer, manufacturer, dealer, or collector knows or has reasonable
cause to believe is less than 18 years of age, and, if the firearm, or
ammunition, is other than a shotgun or rifle, or ammunition for a
shotgun or rifle, to any individual who the importer, manufacturer,
dealer, or collector knows or has reasonable cause to believe is less
than 21 years of age, or (2) any firearm to any person in

[[Page 51]]

any State where the purchase or possession by such person of such
firearm would be in violation of any State law or any published
ordinance applicable at the place of sale, delivery, or other
disposition, unless the importer, manufacturer, dealer, or collector
knows or has reasonable cause to believe that the purchase or possession
would not be in violation of such State law or such published ordinance.
(c) Sales or deliveries to prohibited categories of persons. A
licensed manufacturer, licensed importer, licensed dealer, or licensed
collector shall not sell or otherwise dispose of any firearm or
ammunition to any person knowing or having reasonable cause to believe
that such person:
(1) Is, except as provided by Sec. 478.143, under indictment for,
or, except as provided by Sec. 478.144, has been convicted in any court
of a crime punishable by imprisonment for a term exceeding 1 year;
(2) Is a fugitive from justice;
(3) Is an unlawful user of or addicted to any controlled substance
(as defined in section 102 of the Controlled Substance Act, 21 U.S.C.
802);
(4) Has been adjudicated as a mental defective or has been committed
to any mental institution;
(5) Is an alien illegally or unlawfully in the United States or,
except as provided in Sec. 478.32(f), is an alien who has been admitted
to the United States under a nonimmigrant visa: Provided, That the
provisions of this paragraph (c)(5) do not apply to any alien who has
been lawfully admitted to the United States under a nonimmigrant visa if
that alien is--
(i) Admitted to the United States for lawful hunting or sporting
purposes or is in possession of a hunting license or permit lawfully
issued in the United States;
(ii) An official representative of a foreign government who is
either accredited to the United States Government or the Government's
mission to an international organization having its headquarters in the
United States or en route to or from another country to which that alien
is accredited. This exception only applies if the firearm or ammunition
is shipped, transported, possessed, or received in the representative's
official capacity;
(iii) An official of a foreign government or a distinguished foreign
visitor who has been so designated by the Department of State. This
exception only applies if the firearm or ammunition is shipped,
transported, possessed, or received in the official's or visitor's
official capacity, except if the visitor is a private individual who
does not have an official capacity; or
(iv) A foreign law enforcement officer of a friendly foreign
government entering the United States on official law enforcement
business;
(6) Has been discharged from the Armed Forces under dishonorable
conditions;
(7) Who, having been a citizen of the United States, has renounced
citizenship;
(8) Is subject to a court order that restrains such person from
harassing, stalking, or threatening an intimate partner of such person
or child of such intimate partner or person, or engaging in other
conduct that would place an intimate partner in reasonable fear of
bodily injury to the partner or child, except that this paragraph shall
only apply to a court order that--
(i) Was issued after a hearing of which such person received actual
notice, and at which such person had the opportunity to participate; and
(ii)(A) Includes a finding that such person represents a credible
threat to the physical safety of such intimate partner or child; or
(B) By its terms explicitly prohibits the use, attempted use, or
threatened use of physical force against such intimate partner or child
that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(d) Manufacture, importation, and sale of armor piercing ammunition
by licensed importers and licensed manufacturers. A licensed importer or
licensed manufacturer shall not import or manufacture armor piercing
ammunition or sell or deliver such ammunition, except:
(1) For use of the United States or any department or agency thereof
or any State or any department, agency, or political subdivision
thereof;

[[Page 52]]

(2) For the purpose of exportation; or
(3) For the purpose of testing or experimentation authorized by the
Director under the provisions of Sec. 478.149.
(e) Transfer of armor piercing ammunition by licensed dealers. A
licensed dealer shall not willfully transfer armor piercing ammunition:
Provided, That armor piercing ammunition received and maintained by the
licensed dealer as business inventory prior to August 28, 1986, may be
transferred to any department or agency of the United States or any
State or political subdivision thereof if a record of such ammunition is
maintained in the form and manner prescribed by Sec. 478.125(c). Any
licensed dealer who violates this paragraph is subject to license
revocation. See subpart E of this part. For purposes of this paragraph,
the Director shall furnish each licensed dealer information defining
which projectiles are considered armor piercing. Such information may
not be all-inclusive for purposes of the prohibition on manufacture,
importation, or sale or delivery by a manufacturer or importer of such
ammunition or 18 U.S.C. 929 relating to criminal misuse of such
ammunition.

[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17454, Apr. 6, 1995; T.D. ATF-401, 63 FR 35523, June 30, 1998;
T.D. ATF-471, 67 FR 5426, Feb. 5, 2002; ATF-24F, 77 FR 33629, June 7,
2012]

Sec. 478.100 Conduct of business away from licensed premises.

(a)(1) A licensee may conduct business temporarily at a gun show or
event as defined in paragraph (b) if the gun show or event is located in
the same State specified on the license: Provided, That such business
shall not be conducted from any motorized or towed vehicle. The premises
of the gun show or event at which the licensee conducts business shall
be considered part of the licensed premises. Accordingly, no separate
fee or license is required for the gun show or event locations. However,
licensees shall comply with the provisions of Sec. 478.91 relating to
posting of licenses (or a copy thereof) while conducting business at the
gun show or event.
(2) A licensed importer, manufacturer, or dealer may engage in the
business of dealing in curio or relic firearms with another licensee at
any location.
(b) A gun show or an event is a function sponsored by any national,
State, or local organization, devoted to the collection, competitive
use, or other sporting use of firearms, or an organization or
association that sponsors functions devoted to the collection,
competitive use, or other sporting use of firearms in the community.
(c) Licensees conducting business at locations other than the
premises specified on their license under the provisions of paragraph
(a) of this section shall maintain firearms records in the form and
manner prescribed by subpart H of this part. In addition, records of
firearms transactions conducted at such locations shall include the
location of the sale or other disposition, be entered in the acquisition
and disposition records of the licensee, and retained on the premises
specified on the license.

[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF-401,
63 FR 35523, June 30, 1998]

Sec. 478.101 Record of transactions.

Every licensee shall maintain firearms and armor piercing ammunition
records in such form and manner as is prescribed by subpart H of this
part.

[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988]

Sec. 478.102 Sales or deliveries of firearms on and after
November 30, 1998.

(a) Background check. Except as provided in paragraph (d) of this
section, a licensed importer, licensed manufacturer, or licensed dealer
(the licensee) shall not sell, deliver, or transfer a firearm to any
other person who is not licensed under this part unless the licensee
meets the following requirements:
(1) Before the completion of the transfer, the licensee has
contacted NICS;
(2)(i) NICS informs the licensee that it has no information that
receipt of the firearm by the transferee would be in violation of
Federal or State law and provides the licensee with a unique
identification number; or

[[Page 53]]

(ii) Three business days (meaning days on which State offices are
open) have elapsed from the date the licensee contacted NICS and NICS
has not notified the licensee that receipt of the firearm by the
transferee would be in violation of law; and
(3) The licensee verifies the identity of the transferee by
examining the identification document presented in accordance with the
provisions of Sec. 478.124(c).

Example for paragraph (a). A licensee contacts NICS on Thursday, and
gets a ``delayed'' response. The licensee does not get a further
response from NICS. If State offices are not open on Saturday and
Sunday, 3 business days would have elapsed on the following Tuesday. The
licensee may transfer the firearm on the next day, Wednesday.

(b) Transaction number. In any transaction for which a licensee
receives a transaction number from NICS (which shall include either a
NICS transaction number or, in States where the State is recognized as a
point of contact for NICS checks, a State transaction number), such
number shall be recorded on a firearms transaction record, Form 4473,
which shall be retained in the records of the licensee in accordance
with the provisions of Sec. 478.129. This applies regardless of whether
the transaction is approved or denied by NICS, and regardless of whether
the firearm is actually transferred.
(c) Time limitation on NICS checks. A NICS check conducted in
accordance with paragraph (a) of this section may be relied upon by the
licensee only for use in a single transaction, and for a period not to
exceed 30 calendar days from the date that NICS was initially contacted.
If the transaction is not completed within the 30-day period, the
licensee shall initiate a new NICS check prior to completion of the
transfer.

Example 1 for paragraph (c). A purchaser completes the Form 4473 on
December 15, 1998, and a NICS check is initiated by the licensee on that
date. The licensee is informed by NICS that the information available to
the system does not indicate that receipt of the firearm by the
transferee would be in violation of law, and a unique identification
number is provided. However, the State imposes a 7-day waiting period on
all firearms transactions, and the purchaser does not return to pick up
the firearm until January 22, 1999. The licensee must conduct another
NICS check before transferring the firearm to the purchaser.
Example 2 for paragraph (c). A purchaser completes the Form 4473 on
January 25, 1999, and arranges for the purchase of a single firearm. A
NICS check is initiated by the licensee on that date. The licensee is
informed by NICS that the information available to the system does not
indicate that receipt of the firearm by the transferee would be in
violation of law, and a unique identification number is provided. The
State imposes a 7-day waiting period on all firearms transactions, and
the purchaser returns to pick up the firearm on February 15, 1999.
Before the licensee executes the Form 4473, and the firearm is
transferred, the purchaser decides to purchase an additional firearm.
The transfer of these two firearms is considered a single transaction;
accordingly, the licensee may add the second firearm to the Form 4473,
and transfer that firearm without conducting another NICS check.
Example 3 for paragraph (c). A purchaser completes a Form 4473 on
February 15, 1999. The licensee receives a unique identification number
from NICS on that date, the Form 4473 is executed by the licensee, and
the firearm is transferred. On February 20, 1999, the purchaser returns
to the licensee's premises and wishes to purchase a second firearm. The
purchase of the second firearm is a separate transaction; thus, a new
NICS check must be initiated by the licensee.

(d) Exceptions to NICS check. The provisions of paragraph (a) of
this section shall not apply if--
(1) The transferee has presented to the licensee a valid permit or
license that--
(i) Allows the transferee to possess, acquire, or carry a firearm;
(ii) Was issued not more than 5 years earlier by the State in which
the transfer is to take place; and
(iii) The law of the State provides that such a permit or license is
to be issued only after an authorized government official has verified
that the information available to such official does not indicate that
possession of a firearm by the transferee would be in violation of
Federal, State, or local law: Provided, That on and after November 30,
1998, the information available to such official includes the NICS;
(2) The firearm is subject to the provisions of the National
Firearms Act and has been approved for transfer under 27 CFR part 479;
or
(3) On application of the licensee, in accordance with the
provisions of

[[Page 54]]

Sec. 478.150, the Director has certified that compliance with paragraph
(a)(1) of this section is impracticable.
(e) The document referred to in paragraph (d)(1) of this section (or
a copy thereof) shall be retained or the required information from the
document shall be recorded on the firearms transaction record in
accordance with the provisions of Sec. 478.131.

(Approved by the Office of Management and Budget under control number
1140-0045)

[T.D. ATF-415, 63 FR 58279, Oct. 29, 1998, as amended by ATF-11F, 73 FR
57241, Oct. 2, 2008]

Sec. 478.103 Posting of signs and written notification to purchasers
of handguns.

(a) Each licensed importer, manufacturer, dealer, or collector who
delivers a handgun to a nonlicensee shall provide such nonlicensee with
written notification as described in paragraph (b) of this section.
(b) The written notification (ATF I 5300.2) required by paragraph
(a) of this section shall state as follows:
(1) The misuse of handguns is a leading contributor to juvenile
violence and fatalities.
(2) Safely storing and securing firearms away from children will
help prevent the unlawful possession of handguns by juveniles, stop
accidents, and save lives.
(3) Federal law prohibits, except in certain limited circumstances,
anyone under 18 years of age from knowingly possessing a handgun, or any
person from transferring a handgun to a person under 18.
(4) A knowing violation of the prohibition against selling,
delivering, or otherwise transferring a handgun to a person under the
age of 18 is, under certain circumstances, punishable by up to 10 years
in prison.

FEDERAL LAW

The Gun Control Act of 1968, 18 U.S.C. Chapter 44, provides in
pertinent part as follows:

18 U.S.C. 922(x)

(x)(1) It shall be unlawful for a person to sell, deliver, or
otherwise transfer to a person who the transferor knows or has
reasonable cause to believe is a juvenile--
(A) a handgun; or
(B) ammunition that is suitable for use only in a handgun.
(2) It shall be unlawful for any person who is a juvenile to
knowingly possess--
(A) a handgun; or
(B) ammunition that is suitable for use only in a handgun.
(3) This subsection does not apply to--
(A) a temporary transfer of a handgun or ammunition to a juvenile or
to the possession or use of a handgun or ammunition by a juvenile if the
handgun and ammunition are possessed and used by the juvenile--
(i) in the course of employment, in the course of ranching or
farming related to activities at the residence of the juvenile (or on
property used for ranching or farming at which the juvenile, with the
permission of the property owner or lessee, is performing activities
related to the operation of the farm or ranch), target practice,
hunting, or a course of instruction in the safe and lawful use of a
handgun;
(ii) with the prior written consent of the juvenile's parent or
guardian who is not prohibited by Federal, State, or local law from
possessing a firearm, except--
(I) during transportation by the juvenile of an unloaded handgun in
a locked container directly from the place of transfer to a place at
which an activity described in clause (i) is to take place and
transportation by the juvenile of that handgun, unloaded and in a locked
container, directly from the place at which such an activity took place
to the transferor; or
(II) with respect to ranching or farming activities as described in
clause (i) a juvenile may possess and use a handgun or ammunition with
the prior written approval of the juvenile's parent or legal guardian
and at the direction of an adult who is not prohibited by Federal,
State, or local law from possessing a firearm;
(iii) the juvenile has the prior written consent in the juvenile's
possession at all times when a handgun is in the possession of the
juvenile; and
(iv) in accordance with State and local law;
(B) a juvenile who is a member of the Armed Forces of the United
States or the National Guard who possesses or is armed with a handgun in
the line of duty;
(C) a transfer by inheritance of title (but not possession) of a
handgun or ammunition to a juvenile; or
(D) the possession of a handgun or ammunition by a juvenile taken in
defense of the juvenile or other persons against an intruder into the
residence of the juvenile or a residence in which the juvenile is an
invited guest.
(4) A handgun or ammunition, the possession of which is transferred
to a juvenile in circumstances in which the transferor is not in
violation of this subsection shall not be subject to permanent
confiscation by the

[[Page 55]]

Government if its possession by the juvenile subsequently becomes
unlawful because of the conduct of the juvenile, but shall be returned
to the lawful owner when such handgun or ammunition is no longer
required by the Government for the purposes of investigation or
prosecution.
(5) For purposes of this subsection, the term ``juvenile'' means a
person who is less than 18 years of age.
(6)(A) In a prosecution of a violation of this subsection, the court
shall require the presence of a juvenile defendant's parent or legal
guardian at all proceedings.
(B) The court may use the contempt power to enforce subparagraph
(A).
(C) The court may excuse attendance of a parent or legal guardian of
a juvenile defendant at a proceeding in a prosecution of a violation of
this subsection for good cause shown.

18 U.S.C. 924(a)(6)

(6)(A)(i) A juvenile who violates section 922(x) shall be fined
under this title, imprisoned not more than 1 year, or both, except that
a juvenile described in clause (ii) shall be sentenced to probation on
appropriate conditions and shall not be incarcerated unless the juvenile
fails to comply with a condition of probation.

(ii) A juvenile is described in this clause if--
(I) the offense of which the juvenile is charged is possession of a
handgun or ammunition in violation of section 922(x)(2); and
(II) the juvenile has not been convicted in any court of an offense
(including an offense under section 922(x) or a similar State law, but
not including any other offense consisting of conduct that if engaged in
by an adult would not constitute an offense) or adjudicated as a
juvenile delinquent for conduct that if engaged in by an adult would
constitute an offense.
(B) A person other than a juvenile who knowingly violates section
922(x)--
(i) shall be fined under this title, imprisoned not more than 1
year, or both; and
(ii) if the person sold, delivered, or otherwise transferred a
handgun or ammunition to a juvenile knowing or having reasonable cause
to know that the juvenile intended to carry or otherwise possess or
discharge or otherwise use the handgun or ammunition in the commission
of a crime of violence, shall be fined under this title, imprisoned not
more than 10 years, or both.

(c) This written notification shall be delivered to the nonlicensee
on ATF I 5300.2, or in the alternative, the same written notification
may be delivered to the nonlicensee on another type of written
notification, such as a manufacturer's or importer's brochure
accompanying the handgun; a manufacturer's or importer's operational
manual accompanying the handgun; or a sales receipt or invoice applied
to the handgun package or container delivered to a nonlicensee. Any
written notification delivered to a nonlicensee other than on ATF I
5300.2 shall include the language set forth in paragraph (b) of this
section in its entirety. Any written notification other than ATF I
5300.2 shall be legible, clear, and conspicuous, and the required
language shall appear in type size no smaller than 10-point type.
(d) Except as provided in paragraph (f) of this section, each
licensed importer, manufacturer, or dealer who delivers a handgun to a
nonlicensee shall display at its licensed premises (including temporary
business locations at gun shows) a sign as described in paragraph (e) of
this section. The sign shall be displayed where customers can readily
see it. Licensed importers, manufacturers, and dealers will be provided
with such signs by ATF. Replacement signs may be requested from the ATF
Distribution Center.
(e) The sign (ATF I 5300.1) required by paragraph (d) of this
section shall state as follows:

(1) The misuse of handguns is a leading contributor to juvenile
violence and fatalities.
(2) Safely storing and securing firearms away from children will
help prevent the unlawful possession of handguns by juveniles, stop
accidents, and save lives.
(3) Federal law prohibits, except in certain limited circumstances,
anyone under 18 years of age from knowingly possessing a handgun, or any
person from transferring a handgun to a person under 18.
(4) A knowing violation of the prohibition against selling,
delivering, or otherwise transferring a handgun to a person under the
age of 18 is, under certain circumstances, punishable by up to 10 years
in prison.

Note: ATF I 5300.2 provides the complete language of the statutory
prohibitions and exceptions provided in 18 U.S.C. 922(x) and the penalty
provisions of 18 U.S.C. 924(a)(6). The Federal firearms licensee posting
this sign will provide you with a copy of this publication upon request.
Requests for additional copies of ATF I 5300.2 should be submitted to
the ATF Distribution Center (http://www.atf.gov) or made by calling
(202) 648-6420.

[[Page 56]]

(f) The sign required by paragraph (d) of this section need not be
posted on the premises of any licensed importer, manufacturer, or dealer
whose only dispositions of handguns to nonlicensees are to nonlicensees
who do not appear at the licensed premises and the dispositions
otherwise comply with the provisions of this part.

[T.D. ATF-402, 63 FR 37742, July 13, 1998, as amended by ATF 2013R-9F,
79 FR 46692, Aug. 11, 2014]

Subpart G_Importation

Sec. 478.111 General.

(a) Section 922(a)(3) of the Act makes it unlawful, with certain
exceptions not pertinent here, for any person other than a licensee to
transport into or receive in the State where the person resides any
firearm purchased or otherwise obtained by the person outside of that
State. However, section 925(a)(4) provides a limited exception for the
transportation, shipment, receipt or importation of certain firearms and
ammunition by certain members of the United States Armed Forces. Section
922(1) of the Act makes it unlawful for any person knowingly to import
or bring into the United States or any possession thereof any firearm or
ammunition except as provided by section 925(d) of the Act, which
section provides standards for importing or bringing firearms or
ammunition into the United States. Section 925(d) also provides
standards for importing or bringing firearm barrels into the United
States. Accordingly, no firearm, firearm barrel, or ammunition may be
imported or brought into the United States except as provided by this
part.
(b) Where a firearm, firearm barrel, or ammunition is imported and
the authorization for importation required by this subpart has not been
obtained by the person importing same, such person shall:
(1) Store, at the person's expense, such firearm, firearm barrel, or
ammunition at a facility designated by U.S Customs or the Director of
Industry Operations to await the issuance of the required authorization
or other disposition; or
(2) Abandon such firearm, firearm barrel, or ammunition to the U.S.
Government; or
(3) Export such firearm, firearm barrel, or ammunition.
(c) Any inquiry relative to the provisions or procedures under this
subpart, other than that pertaining to the payment of customs duties or
the release from Customs custody of firearms, firearm barrels, or
ammunition authorized by the Director to be imported, shall be directed
to the Director of Industry Operations for reply.

[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988]

Sec. 478.112 Importation by a licensed importer.

(a) No firearm, firearm barrel, or ammunition shall be imported or
brought into the United States by a licensed importer (as defined in
Sec. 478.11) unless the Director has authorized the importation of the
firearm, firearm barrel, or ammunition.
(b)(1) An application for a permit, ATF Form 6--Part I, to import or
bring a firearm, firearm barrel, or ammunition into the United States or
a possession thereof under this section must be filed, in triplicate,
with the Director. The application must be signed and dated and must
contain the information requested on the form, including:
(i) The name, address, telephone number, and license number
(including expiration date) of the importer;
(ii) The country from which the firearm, firearm barrel, or
ammunition is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the firearm, firearm barrel, or ammunition to
be imported, including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the
case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm or firearm barrel (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number, if known;
(H) Whether the firearm is new or used;

[[Page 57]]

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

[[Page 58]]

Form 6A certified by Customs and serial numbers if not previously
provided on ATF Form 6A;
(2) Pursuant to Sec. 478.92, place all required identification data
on each imported firearm if same did not bear such identification data
at the time of its release from Customs custody; and
(3) Post in the records required to be maintained by the importer
under subpart H of this part all required information regarding the
importation.

(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0005; paragraphs (c) and (d) approved by the Office
of Management and Budget under control number 1140-0007)

[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38198, June 20, 2000; ATF-11F, 73 FR 57241, Oct. 2, 2008]

Sec. 478.113 Importation by other licensees.

(a) No person other than a licensed importer (as defined in Sec.
478.11) shall engage in the business of importing firearms or
ammunition. Therefore, no firearm or ammunition shall be imported or
brought into the United States or a possession thereof by any licensee
other than a licensed importer unless the Director issues a permit
authorizing the importation of the firearm or ammunition. No barrel for
a handgun not generally recognized as particularly suitable for or
readily adaptable to sporting purposes shall be imported or brought into
the United States or a possession thereof by any person. Therefore, no
firearm barrel shall be imported or brought into the United States or
possession thereof by any licensee other than a licensed importer unless
the Director issues a permit authorizing the importation of the firearm
barrel.
(b)(1) An application for a permit, ATF Form 6--Part I, to import or
bring a firearm, firearm barrel, or ammunition into the United States or
a possession thereof by a licensee, other than a licensed importer, must
be filed, in triplicate, with the Director. The application must be
signed and dated and must contain the information requested on the form,
including:
(i) The name, address, telephone number, and license number
(including expiration date) of the applicant;
(ii) The country from which the firearm, firearm barrel, or
ammunition is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the firearm, firearm barrel, or ammunition to
be imported, including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the
case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm or firearm barrel (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number, if known;
(H) Whether the firearm is new or used;
(I) The quantity;
(J) The unit cost of the firearm, firearm barrel, or ammunition to
be imported;
(v) The specific purpose of importation, including final recipient
information if different from the applicant; and
(vi)(A) If a firearm or ammunition imported or brought in for
scientific or research purposes, a statement describing such purpose; or
(B) If a firearm or ammunition for use in connection with
competition or training pursuant to Chapter 401 of Title 10, U.S.C., a
statement describing such intended use; or
(C) If an unserviceable firearm (other than a machine gun) being
imported as a curio or museum piece, a description of how it was
rendered unserviceable and an explanation of why it is a curio or museum
piece; or
(D) If a firearm other than a surplus military firearm, of a type
that does not fall within the definition of a firearm under section
5845(a) of the Internal Revenue Code of 1986, and is for sporting
purposes, an explanation of why the firearm is generally recognized as
particularly suitable for or readily adaptable to sporting purposes; or
(E) If ammunition being imported for sporting purposes, a statement
why the ammunition is particularly suitable for or readily adaptable to
sporting purposes; or

[[Page 59]]

(F) If a firearm barrel for a handgun, an explanation why the
handgun is generally recognized as particularly suitable for or readily
adaptable to sporting purposes.
(2)(i) If the Director approves the application, such approved
application will serve as the permit to import the firearm, firearm
barrel, or ammunition described therein, and importation of such
firearms, firearm barrels, or ammunition may continue to be made by the
applicant under the approved application (permit) during the period
specified thereon. The Director will furnish the approved application
(permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the applicant will
be notified of the basis for the disapproval.
(c) A firearm, firearm barrel, or ammunition imported or brought
into the United States or a possession thereof under the provisions of
this section may be released from Customs custody to the licensee upon
showing that the licensee has obtained a permit from the Director for
the importation of the firearm, firearm barrel, or ammunition to be
released.
(1) In obtaining the release from Customs custody of a firearm,
firearm barrel, or ammunition authorized by this section to be imported
through the use of a permit, the licensee will prepare ATF Form 6A, in
duplicate, and furnish the original ATF Form 6A to the Customs officer
releasing the firearm, firearm barrel, or ammunition. The Customs
officer will, after certification, forward the ATF Form 6A to the
address specified on the form.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name, address, and license number of the licensee;
(ii) The name of the manufacturer of the firearm, firearm barrel, or
ammunition;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms; and
(viii) The number of firearms, firearm barrels, or rounds of
ammunition released.

(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0005; paragraph (c) approved by the Office of
Management and Budget under control number 1140-0007)

[T.D. ATF-270, 53 FR 10499, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38199, June 20, 2000; ATF-11F, 73 FR 57241, Oct. 2, 2008]

Sec. 478.113a Importation of firearm barrels by nonlicensees.

(a) A permit will not be issued for a firearm barrel for a handgun
not generally recognized as particularly suitable for or readily
adaptable to sporting purposes. No firearm barrel shall be imported or
brought into the United States or possession thereof by any nonlicensee
unless the Director issues a permit authorizing the importation of the
firearm barrel.
(b)(1) An application for a permit, ATF Form 6--Part I, to import or
bring a firearm barrel into the United States or a possession thereof
under this section must be filed, in triplicate, with the Director. The
application must be signed and dated and must contain the information
requested on the form, including:
(i) The name, address, and telephone number of the applicant;
(ii) The country from which the firearm barrel is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the firearm barrel to be imported, including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length (in inches);
(F) The quantity;
(G) The unit cost of the firearm barrel;
(v) The specific purpose of importation, including final recipient
information if different from the importer; and
(vi) If a handgun barrel, an explanation of why the barrel is for a
handgun that is generally recognized as particularly suitable for or
readily adaptable to sporting purposes.

[[Page 60]]

(2)(i) If the Director approves the application, such approved
application will serve as the permit to import the firearm barrel, and
importation of such firearm barrels may continue to be made by the
applicant under the approved application (permit) during the period
specified thereon. The Director will furnish the approved application
(permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the applicant will
be notified of the basis for the disapproval.
(c) A firearm barrel imported or brought into the United States or a
possession thereof under the provisions of this section may be released
from Customs custody to the person importing the firearm barrel upon
showing that the person has obtained a permit from the Director for the
importation of the firearm barrel to be released.
(1) In obtaining the release from Customs custody of a firearm
barrel authorized by this section to be imported through the use of a
permit, the person importing the firearm barrel will prepare ATF Form
6A, in duplicate, and furnish the original ATF Form 6A to the Customs
officer releasing the firearm barrel. The Customs officer will, after
certification, forward the ATF Form 6A to the address specified on the
form.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name and address of the person importing the firearm barrel;
(ii) The name of the manufacturer of the firearm barrel;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber or gauge of the firearm barrel so released; and
(vii) The number of firearm barrels released.

(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0005; paragraph (c) approved by the Office of
Management and Budget under control number 1140-0007)

[T.D. ATF-270, 53 FR 10499, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38200, June 20, 2000; ATF-11F, 73 FR 57241, Oct. 2, 2008]

Sec. 478.114 Importation by members of the U.S. Armed Forces.

(a) The Director may issue a permit authorizing the importation of a
firearm or ammunition into the United States to the place of residence
of any military member of the U.S. Armed Forces who is on active duty
outside the United States, or who has been on active duty outside the
United States within the 60-day period immediately preceding the
intended importation: Provided, That such firearm or ammunition is
generally recognized as particularly suitable for or readily adaptable
to sporting purposes and is intended for the personal use of such
member.
(1) An application for a permit, ATF Form 6--Part II, to import a
firearm or ammunition into the United States under this section must be
filed, in triplicate, with the Director. The application must be signed
and dated and must contain the information requested on the form,
including:
(i) The name, current address, and telephone number of the
applicant;
(ii) Certification that the transportation, receipt, or possession
of the firearm or ammunition to be imported would not constitute a
violation of any provision of the Act or of any State law or local
ordinance at the place of the applicant's residence;
(iii) The country from which the firearm or ammunition is to be
imported;
(iv) The name and address of the foreign seller and foreign shipper;
(v) A description of the firearm or ammunition to be imported,
including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the
case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number;
(H) Whether the firearm is new or used;
(I) The quantity;
(J) The unit cost of the firearm or ammunition to imported;

[[Page 61]]

(vi) The specific purpose of importation, that is--
(A) That the firearm or ammunition being imported is for the
personal use of the applicant; and
(B) If a firearm, a statement that it is not a surplus military
firearm, that it does not fall within the definition of a firearm under
section 5845(a) of the Internal Revenue Code of 1986, and an explanation
of why the firearm is generally recognized as particularly suitable for
or readily adaptable to sporting purposes; or
(C) If ammunition, a statement why it is generally recognized as
particularly suitable for or readily adaptable to sporting purposes; and
(vii) The applicant's date of birth;
(viii) The applicant's rank or grade;
(ix) The applicant's place of residence;
(x) The applicant's present foreign duty station or last foreign
duty station, as the case may be;
(xi) The date of the applicant's reassignment to a duty station
within the United States, if applicable; and
(xii) The military branch of which the applicant is a member.
(2)(i) If the Director approves the application, such approved
application will serve as the permit to import the firearm or ammunition
described therein. The Director will furnish the approved application
(permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the applicant will
be notified of the basis for the disapproval.
(b) Except as provided in paragraph (b)(3) of this section, a
firearm or ammunition imported into the United States under the
provisions of this section by the applicant may be released from Customs
custody to the applicant upon showing that the applicant has obtained a
permit from the Director for the importation of the firearm or
ammunition to be released.
(1) In obtaining the release from Customs custody of a firearm or
ammunition authorized by this section to be imported through the use of
a permit, the military member of the U.S. Armed Forces will prepare ATF
Form 6A and furnish the completed form to the Customs officer releasing
the firearm or ammunition. The Customs officer will, after
certification, forward the ATF Form 6A to the address specified on the
form.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name and address of the military member;
(ii) The name of the manufacturer of the firearm or ammunition;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms; and
(viii) If applicable, the number of firearms or rounds of ammunition
released.
(3) When such military member is on active duty outside the United
States, the military member may appoint, in writing, an agent to obtain
the release of the firearm or ammunition from Customs custody for such
member. Such agent will present sufficient identification of the agent
and the written authorization to act on behalf of such military member
to the Customs officer who is to release the firearm or ammunition.
(c) Firearms determined by the Department of Defense to be war
souvenirs may be imported into the United States by the military members
of the U.S. Armed Forces under such provisions and procedures as the
Department of Defense may issue.

(Paragraph (a) approved by the Office of Management and Budget under
control number 1140-0006; paragraph (b) approved by the Office of
Management and Budget under control number 1140-0007)

[T.D. ATF-270, 53 FR 10500, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38200, June 20, 2000; ATF-11F, 73 FR 57241, Oct. 2, 2008]

Sec. 478.115 Exempt importation.

(a) Firearms and ammunition may be brought into the United States or
any possession thereof by any person who can establish to the
satisfaction of Customs that such firearm or ammunition was previously
taken out of the United States or any possession thereof by such person.
Registration on Customs Form 4457 or on any other registration document
available for this purpose

[[Page 62]]

may be completed before departure from the United States at any U.S.
customhouse or any office of an Director of Industry Operations. A bill
of sale or other commercial document showing transfer of the firearm or
ammunition in the United States to such person also may be used to
establish proof that the firearm or ammunition was taken out of the
United States by such person. Firearms and ammunition furnished under
the provisions of section 925(a)(3) of the Act to military members of
the U.S. Armed Forces on active duty outside of the United States also
may be imported into the United States or any possession thereof by such
military members upon establishing to the satisfaction of Customs that
such firearms and ammunition were so obtained.
(b) Firearms, firearm barrels, and ammunition may be imported or
brought into the United States by or for the United States or any
department or agency thereof, or any State or any department, agency, or
political subdivision thereof. A firearm, firearm barrel or ammunition
imported or brought into the United States under this paragraph may be
released from Customs custody upon a showing that the firearm, firearm
barrel or ammunition is being imported or brought into the United States
by or for such a governmental entity.
(c) The provisions of this subpart shall not apply with respect to
the importation into the United States of any antique firearm.
(d) Firearms and ammunition are not imported into the United States,
and the provisions of this subpart shall not apply, when such firearms
and ammunition are brought into the United States by:
(1) A nonresident of the United States for legitimate hunting or
lawful sporting purposes, and such firearms and such ammunition as
remains following such shooting activity are to be taken back out of the
territorial limits of the United States by such person upon conclusion
of the shooting activity;
(2) Foreign military personnel on official assignment to the United
States who bring such firearms or ammunition into the United States for
their exclusive use while on official duty in the United States, and
such firearms and unexpended ammunition are taken back out of the
territorial limits of the United States by such foreign military
personnel when they leave the United States;
(3) Official representatives of foreign governments who are
accredited to the U.S. Government or are en route to or from other
countries to which accredited, and such firearms and unexpended
ammunition are taken back out of the territorial limits of the United
States by such official representatives of foreign governments when they
leave the United States;
(4) Officials of foreign governments and distinguished foreign
visitors who have been so designated by the Department of State, and
such firearms and unexpended ammunition are taken back out of the
territorial limits of the United States by such officials of foreign
governments and distinguished foreign visitors when they leave the
United States; and
(5) Foreign law enforcement officers of friendly foreign governments
entering the United States on official law enforcement business, and
such firearms and unexpended ammunition are taken back out of the
territorial limits of the United States by such foreign law enforcement
officers when they leave the United States.
(e) Notwithstanding the provisions of paragraphs (d) (1), (2), (3),
(4) and (5) of this section, the Secretary of the Treasury or his
delegate may in the interest of public safety and necessity require a
permit for the importation or bringing into the United States of any
firearms or ammunition.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-58, 44 FR 32367, June 6, 1979; T.D. ATF-270, 53
FR 10500, Mar. 31, 1988; T.D. ATF-471, 67 FR 5426, Feb. 5, 2002]

Sec. 478.116 Conditional importation.

The Director shall permit the conditional importation or bringing
into the United States or any possession thereof of any firearm, firearm
barrel, or ammunition for the purpose of examining and testing the
firearm, firearm barrel, or ammunition in connection with making a
determination as to whether

[[Page 63]]

the importation or bringing in of such firearm, firearm barrel, or
ammunition will be authorized under this part. An application on ATF
Form 6 for such conditional importation shall be filed, in duplicate,
with the Director. The Director may impose conditions upon any
importation under this section including a requirement that the firearm,
firearm barrel, or ammunition be shipped directly from Customs custody
to the Director and that the person importing or bringing in the
firearm, firearm barrel, or ammunition must agree to either export the
firearm, firearm barrel, or ammunition or destroy same if a
determination is made that the firearm, firearm barrel, or ammunition
may not be imported or brought in under this part. A firearm, firearm
barrel, or ammunition imported or brought into the United States or any
possession thereof under the provisions of this section shall be
released from Customs custody upon the payment of customs duties, if
applicable, and in the manner prescribed in the conditional
authorization issued by the Director.

[T.D. ATF-383, 61 FR 39321, July 29, 1996, as amended by ATF 2014R-42,
84 FR 12094, Apr. 1, 2019]

Sec. 478.117 Function outside a customs territory.

In the insular possessions of the United States outside customs
territory, the functions performed by U.S. Customs officers under this
subpart within a customs territory may be performed by the appropriate
authorities of a territorial government or other officers of the United
States who have been designated to perform such functions. For the
purpose of this subpart, the term customs territory means the United
States, the District of Columbia, and the Commonwealth of Puerto Rico.

Sec. 478.118 Importation of certain firearms classified as curios
or relics.

Notwithstanding any other provision of this part, a licensed
importer may import all rifles and shotguns classified by the Director
as curios or relics, and all handguns classified by the Director as
curios or relics that are determined to be generally recognized as
particularly suitable for or readily adaptable to sporting purposes. The
importation of such curio or relic firearms must be in accordance with
the applicable importation provisions of this part and the importation
provisions of 27 CFR part 447. Curios or relics which fall within the
definition of ``firearm'' under 26 U.S.C. 5845(a) must also meet the
importation provisions of 27 CFR part 479 before they may be imported.

[T.D. ATF-202, 50 FR 14383, Apr. 12, 1985]

Sec. 478.119 [Reserved]

Sec. 478.120 Firearms or ammunition imported by or for a nonimmigrant
alien.

(a) General. A nonimmigrant alien temporarily importing or bringing
firearms or ammunition into the United States for lawful hunting or
sporting purposes must first obtain an approved ATF Form 6NIA (5330.3D).
(b) Aliens admitted to the United States under a nonimmigrant visa.
(1) Any alien lawfully admitted to the United States under a
nonimmigrant visa who completes an ATF Form 6NIA to import firearms or
ammunition into the United States, or any licensee who completes an ATF
Form 6 to import firearms or ammunition for such nonimmigrant alien,
must attach applicable documentation to the Form 6NIA or Form 6
establishing the nonimmigrant alien falls within an exception specified
in 18 U.S.C. 922(y)(2) (e.g., a hunting license or permit lawfully
issued in the United States) or has obtained a waiver as specified in 18
U.S.C. 922(y)(3).
(2) Aliens admitted to the United States under a nonimmigrant visa
importing or bringing firearms or ammunition into the United States must
provide the United States Customs and Border Protection with applicable
documentation (e.g., a hunting license or permit lawfully issued in the
United States) establishing the nonimmigrant alien falls within an
exception specified in 18 U.S.C. 922(y)(2) or has obtained a waiver as
specified in 18 U.S.C. 922(y)(3) before the firearm or ammunition may be
imported. This provision applies in all cases, whether or not a

[[Page 64]]

Form 6 is needed to bring the firearms or ammunition into the United
States.

(Approved by the Office of Management and Budget under control number
1140-0060)

[ATF-24F, 77 FR 33629, June 7, 2012]

Subpart H_Records

Sec. 478.121 General.

(a) The records pertaining to firearms transactions prescribed by
this part shall be retained on the licensed premises in the manner
prescribed by this subpart and for the length of time prescribed by
Sec. 478.129. The records pertaining to ammunition prescribed by this
part shall be retained on the licensed premises in the manner prescribed
by Sec. 478.125.
(b) ATF officers may, for the purposes and under the conditions
prescribed in Sec. 478.23, enter the premises of any licensed importer,
licensed manufacturer, licensed dealer, or licensed collector for the
purpose of examining or inspecting any record or document required by or
obtained under this part. Section 923(g) of the Act requires licensed
importers, licensed manufacturers, licensed dealers, and licensed
collectors to make such records available for such examination or
inspection during business hours or, in the case of licensed collectors,
hours of operation, as provided in Sec. 478.23.
(c) Each licensed importer, licensed manufacturer, licensed dealer,
and licensed collector shall maintain such records of importation,
production, shipment, receipt, sale, or other disposition, whether
temporary or permanent, of firearms and such records of the disposition
of ammunition as the regulations contained in this part prescribe.
Section 922(m) of the Act makes it unlawful for any licensed importer,
licensed manufacturer, licensed dealer, or licensed collector knowingly
to make any false entry in, to fail to make appropriate entry in, or to
fail to properly maintain any such record.
(d) For recordkeeping requirements for sales by licensees at gun
shows see Sec. 478.100(c).

(Information collection requirements in paragraph (a) approved by the
Office of Management and Budget under control number 1140-0020;
information collection requirements in paragraphs (b) and (c) approved
by the Office of Management and Budget under control number 1140-0032)

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-191, 49 FR 46891, Nov. 29, 1984; T.D. ATF-208,
50 FR 26703, June 28, 1985; T.D. ATF-270, 53 FR 10501, Mar. 31, 1988;
ATF-11F, 73 FR 57241, Oct. 2, 2008]

Sec. 478.122 Records maintained by importers.

(a) Each licensed importer shall, within 15 days of the date of
importation or other acquisition, record the type, model, caliber or
gauge, manufacturer, country of manufacture, and the serial number of
each firearm imported or otherwise acquired, and the date such
importation or other acquisition was made.
(b) A record of firearms disposed of by a licensed importer to
another licensee and a separate record of armor piercing ammunition
dispositions to governmental entities, for exportation, or for testing
or experimentation authorized under the provisions of Sec. 478.149
shall be maintained by the licensed importer on the licensed premises.
For firearms, the record shall show the quantity, type, manufacturer,
country of manufacture, caliber or gauge, model, serial number of the
firearms so transferred, the name and license number of the licensee to
whom the firearms were transferred, and the date of the transaction. For
armor piercing ammunition, the record shall show the date of the
transaction, manufacturer, caliber or gauge, quantity of projectiles,
and the name and address of the purchaser. The information required by
this paragraph shall be entered in the proper record book not later than
the seventh day following the date of the transaction, and such
information shall be recorded under the following formats:

[[Page 65]]

Importer's Firearms Disposition Record
----------------------------------------------------------------------------------------------------------------
Name and
license No. of
Quantity Type Manufacturer Country of Caliber or Model Serial licensee to Date of the
manufacture gauge No. whom transaction
transferred
----------------------------------------------------------------------------------------------------------------

Importer's Armor Piercing Ammunition Disposition Record
------------------------------------------------------------------------
Calibur or Quantity of Purchaser--Name and
Date Manufacturer gauge projectiles address
------------------------------------------------------------------------

(c) Notwithstanding the provisions of paragraph (b) of this section,
the Director of Industry Operations may authorize alternate records to
be maintained by a licensed importer to record the disposal of firearms
and armor piercing ammunition when it is shown by the licensed importer
that such alternate records will accurately and readily disclose the
information required by paragraph (b) of this section. A licensed
importer who proposes to use alternate records shall submit a letter
application, in duplicate, to the Director of Industry Operations and
shall describe the proposed alternate records and the need therefor.
Such alternate records shall not be employed by the licensed importer
until approval in such regard is received from the Director of Industry
Operations.
(d) Each licensed importer shall maintain separate records of the
sales or other dispositions made of firearms to nonlicensees. Such
records shall be maintained in the form and manner as prescribed by
Sec. Sec. 478.124 and 478.125 in regard to firearms transaction records
and records of acquisition and disposition of firearms.

(Approved by the Office of Management and Budget under control number
1140-0032)

[T.D. ATF-270, 53 FR 10501, Mar. 31, 1988, as amended by ATF-11F, 73 FR
57241, Oct. 2, 2008]

Sec. 478.123 Records maintained by manufacturers.

(a) Each licensed manufacturer shall record the type, model, caliber
or gauge, and serial number of each complete firearm manufactured or
otherwise acquired, and the date such manufacture or other acquisition
was made. The information required by this paragraph shall be recorded
not later than the seventh day following the date such manufacture or
other acquisition was made.
(b) A record of firearms disposed of by a manufacturer to another
licensee and a separate record of armor piercing ammunition dispositions
to governmental entities, for exportation, or for testing or
experimentation authorized under the provision of Sec. 478.149 shall be
maintained by the licensed manufacturer on the licensed premises. For
firearms, the record shall show the quantity, type, model, manufacturer,
caliber, size or gauge, serial number of the firearms so transferred,
the name and license number of the licensee to whom the firearms were
transferred, and the date of the transaction. For armor piercing
ammunition, the record shall show the manufacturer, caliber or gauge,
quantity, the name and address of the transferee to whom the armor
piercing ammunition was transferred, and the date of the transaction.
The information required by this paragraph shall be entered in the
proper record book not later than the seventh day following the date of
the transaction, and such information shall be recorded under the format
prescribed by Sec. 478.122, except that the name of the manufacturer of
a firearm or armor piercing ammunition need not be recorded if the
firearm or armor piercing ammunition is of the manufacturer's own
manufacture.
(c) Notwithstanding the provisions of paragraph (b) of this section,
the Director of Industry Operations may authorize alternate records to
be maintained by a licensed manufacturer to record the disposal of
firearms and armor piercing ammunition when it is shown by the licensed
manufacturer that such alternate records will accurately and readily
disclose the information required by paragraph (b) of this section. A
licensed manufacturer who proposes to use alternate records shall submit
a

[[Page 66]]

letter application, in duplicate, to the Director of Industry Operations
and shall describe the proposed alternate record and the need therefor.
Such alternate records shall not be employed by the licensed
manufacturer until approval in such regard is received from the Director
of Industry Operations.
(d) Each licensed manufacturer shall maintain separate records of
the sales or other dispositions made of firearms to nonlicensees. Such
records shall be maintained in the form and manner as prescribed by
Sec. Sec. 478.124 and 478.125 in regard to firearms transaction records
and records of acquisition and disposition of firearms.

(Approved by the Office of Management and Budget under control number
1140-0067)

[T.D. ATF-270, 53 FR 10501, Mar. 31, 1988, as amended by ATF-11F, 73 FR
57241, Oct. 2, 2008]

Sec. 478.124 Firearms transaction record.

(a) A licensed importer, licensed manufacturer, or licensed dealer
shall not sell or otherwise dispose, temporarily or permanently, of any
firearm to any person, other than another licensee, unless the licensee
records the transaction on a firearms transaction record, Form 4473:
Provided, That a firearms transaction record, Form 4473, shall not be
required to record the disposition made of a firearm delivered to a
licensee for the sole purpose of repair or customizing when such firearm
or a replacement firearm is returned to the person from whom received.
(b) A licensed manufacturer, licensed importer, or licensed dealer
shall retain in alphabetical (by name of purchaser), chronological (by
date of disposition), or numerical (by transaction serial number) order,
and as a part of the required records, each Form 4473 obtained in the
course of transferring custody of the firearms.
(c)(1) Prior to making an over-the-counter transfer of a firearm to
a nonlicensee who is a resident of the State in which the licensee's
business premises is located, the licensed importer, licensed
manufacturer, or licensed dealer so transferring the firearm shall
obtain a Form 4473 from the transferee showing the transferee's name,
sex, residence address (including county or similar political
subdivision), date and place of birth; height, weight and race of the
transferee; the transferee's country of citizenship; the transferee's
INS-issued alien number or admission number; the transferee's State of
residence; and certification by the transferee that the transferee is
not prohibited by the Act from transporting or shipping a firearm in
interstate or foreign commerce or receiving a firearm which has been
shipped or transported in interstate or foreign commerce or possessing a
firearm in or affecting commerce.
(2) In order to facilitate the transfer of a firearm and enable NICS
to verify the identity of the person acquiring the firearm, ATF Form
4473 also requests certain optional information. This information
includes the transferee's social security number. Such information may
help avoid the possibility of the transferee being misidentified as a
felon or other prohibited person.
(3) After the transferee has executed the Form 4473, the licensee:
(i) Shall verify the identity of the transferee by examining the
identification document (as defined in Sec. 478.11) presented, and
shall note on the Form 4473 the type of identification used;
(ii) [Reserved]
(iii) Must, in the case of a transferee who is an alien admitted to
the United States under a nonimmigrant visa who states that he or she
falls within an exception to, or has a waiver from, the prohibition in
section 922(g)(5)(B) of the Act, have the transferee present applicable
documentation establishing the exception or waiver, note on the Form
4473 the type of documentation provided, and attach a copy of the
documentation to the Form 4473; and
(iv) Shall comply with the requirements of Sec. 478.102 and record
on the form the date on which the licensee contacted the NICS, as well
as any response provided by the system, including any identification
number provided by the system.
(4) The licensee shall identify the firearm to be transferred by
listing on the Form 4473 the name of the manufacturer, the name of the
importer (if any), the type, model, caliber or gauge, and the serial
number of the firearm.
(5) The licensee shall sign and date the form if the licensee does
not know

[[Page 67]]

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

[[Page 68]]

(i) A licensee may obtain, upon request, an emergency supply of
Forms 4473 from any Director of Industry Operations. For normal usage, a
licensee should request a year's supply from the ATF Distribution Center
(See Sec. 478.21).

(Paragraph (c) approved by the Office of Management and Budget under
control numbers 1140-0045, 1140-0020, and 1140-0060; paragraph (f)
approved by the Office of Management and Budget under control number
1140-0021; all other recordkeeping approved by the Office of Management
and Budget under control number 1140-0020)

[33 FR 18555, Dec. 14, 1968, as amended by T.D. ATF-172, 49 FR 14942,
Apr. 16, 1984; T.D. ATF-241, 51 FR 39625, Oct. 29, 1986; T.D. ATF-270,
53 FR 10502, Mar. 31, 1988; T.D. ATF-389, 62 FR 19444, Apr. 21, 1997;
T.D. ATF-415, 63 FR 58279, Oct. 29, 1998; T.D. ATF-471, 67 FR 5426, Feb.
5, 2002; ATF-11F, 73 FR 57241, Oct. 2, 2008; ATF-24F and 22I, 77 FR
33630, 33634, June 7, 2012]

Sec. 478.125 Record of receipt and disposition.

(a) Armor piercing ammunition sales by licensed collectors to
nonlicensees. The sale or other disposition of armor piercing ammunition
by licensed collectors shall be recorded in a bound record at the time a
transaction is made. The bound record shall be maintained in
chronological order by date of sale or disposition of the armor piercing
ammunition, and shall be retained on the licensed premises of the
licensee for a period not less than two years following the date of the
recorded sale or disposition of the armor piercing ammunition. The bound
record entry shall show:
(1) The date of the transaction;
(2) The name of the manufacturer;
(3) The caliber or gauge;
(4) The quantity of projectiles;
(5) The name, address, and date of birth of the nonlicensee; and
(6) The method used to establish the identity of the armor piercing
ammunition purchaser.
The format required for the bound record is as follows:

Disposition Record of Armor Piercing Ammunition
----------------------------------------------------------------------------------------------------------------
Purchaser Enter a (x) in the ``known'' column
----------------------- if purchaser is personally known to
you. Otherwise, establish the
Date Manufacturer Caliber or Quantity of purchaser's identification
gauge projectiles Name and Date of ------------------------------------
address birth Driver's Other type
Known license (specify)
----------------------------------------------------------------------------------------------------------------

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

[[Page 69]]

years following the date of the recorded sale or disposition of the
armor piercing ammunition.
(d) Commercial records of armor piercing ammunition transactions.
When a commercial record is made at the time of sale or other
disposition of armor piercing ammunition, and such record contains all
information required by the bound record prescribed by paragraph (a) of
this section, the licensed collector transferring the armor piercing
ammunition may, for a period not exceeding 7 days following the date of
such transfer, delay making the required entry into such bound record:
Provided, That the commercial record pertaining to the transfer is:
(1) Maintained by the licensed collector separate from other
commercial documents maintained by such licensee, and
(2) Is readily available for inspection on the licensed premises
until such time as the required entry into the bound record is made.
(e) Firearms receipt and disposition by dealers. Each licensed
dealer shall enter into a record each receipt and disposition of
firearms. In addition, before commencing or continuing a firearms
business, each licensed dealer shall inventory the firearms possessed
for such business and shall record same in the record required by this
paragraph. The record required by this paragraph shall be maintained in
bound form under the format prescribed below. The purchase or other
acquisition of a firearm shall, except as provided in paragraph (g) of
this section, be recorded not later than the close of the next business
day following the date of such purchase or acquisition. The record shall
show the date of receipt, the name and address or the name and license
number of the person from whom received, the name of the manufacturer
and importer (if any), the model, serial number, type, and the caliber
or gauge of the firearm. The sale or other disposition of a firearm
shall be recorded by the licensed dealer not later than 7 days following
the date of such transaction. When such disposition is made to a
nonlicensee, the firearms transaction record, Form 4473, obtained by the
licensed dealer shall be retained, until the transaction is recorded,
separate from the licensee's Form 4473 file and be readily available for
inspection. When such disposition is made to a licensee, the commercial
record of the transaction shall be retained, until the transaction is
recorded, separate from other commercial documents maintained by the
licensed dealer, and be readily available for inspection. The record
shall show the date of the sale or other disposition of each firearm,
the name and address of the person to whom the firearm is transferred,
or the name and license number of the person to whom transferred if such
person is a licensee, or the firearms transaction record, Form 4473,
serial number if the licensed dealer transferring the firearm serially
numbers the Forms 4473 and files them numerically. The format required
for the record of receipt and disposition of firearms is as follows:

Firearms Acquisition and Disposition Record
--------------------------------------------------------------------------------------------------------------------------------------------------------
Description of firearm Receipt Disposition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Address or
Name and license No. if
Serial Caliber address or licensee, or Form
Manufacturer and importer (if any) Model No. Type or gauge Date name and Date Name 4473 Serial No.
license if Forms 4473
No. filed numerically
--------------------------------------------------------------------------------------------------------------------------------------------------------

--------------------------------------------------------------------------------------------------------------------------------------------------------

(f) Firearms receipt and disposition by licensed collectors. (1)
Each licensed collector shall enter into a record each receipt and
disposition of firearms curios or relics. The record required by this
paragraph shall be maintained in bound form under the format prescribed
below. The purchase or other acquisition of a curio or relic shall,
except as provided in paragraph (g) of this section, be recorded not
later than the close of the next business day following the date of such
purchase or other acquisition. The record shall show the date of
receipt, the name and

[[Page 70]]

address or the name and license number of the person from whom received,
the name of the manufacturer and importer (if any), the model, serial
number, type, and the caliber or gauge of the firearm curio or relic.
The sale or other disposition of a curio or relic shall be recorded by
the licensed collector not later than 7 days following the date of such
transaction. When such disposition is made to a licensee, the commercial
record of the transaction shall be retained, until the transaction is
recorded, separate from other commercial documents maintained by the
licensee, and be readily available for inspection. The record shall show
the date of the sale or other disposition of each firearm curio or
relic, the name and address of the person to whom the firearm curio or
relic is transferred, or the name and license number of the person to
whom transferred if such person is a licensee, and the date of birth of
the transferee if other than a licensee. In addition, the licensee shall
cause the transferee, if other than a licensee, to be identified in any
manner customarily used in commercial transactions (e.g., a driver's
license), and note on the record the method used.
(2) The format required for the record of receipt and disposition of
firearms by collectors is as follows:

Firearms Collectors Acquisition and Disposition Record
--------------------------------------------------------------------------------------------------------------------------------------------------------
Description of firearm Receipt Disposition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Driver's
Name and Name and Date of license No. or
Serial Caliber address or address or birth if other
Manufacturer and importer (if any) Model No. Type or Date name and Date name and non- identification
gauge license No. license No. licensee if non-
licensee
--------------------------------------------------------------------------------------------------------------------------------------------------------

--------------------------------------------------------------------------------------------------------------------------------------------------------

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

[[Page 71]]

licensed manufacturer selling or otherwise disposing of firearms or
armor piercing ammunition to nonlicensees shall maintain such records of
such transactions as are required of licensed dealers by this section.

(Approved by the Office of Management and Budget under control number
1140-0032)

[T.D. ATF-270, 53 FR 10503, Mar. 31, 1988, as amended by T.D. ATF-273,
53 FR 24687, June 30, 1988; T.D. ATF-313, 56 FR 32508, July 17, 1991;
T.D. ATF-389, 62 FR 19445, Apr. 21, 1997; ATF-11F, 73 FR 57241, Oct. 2,
2008; ATF-22I, 77 FR 33634, June 7, 2012; ATF-19 F, 79 FR 45092, Aug. 4,
2014; ATF 2015R-26, 81 FR 38071, June 13, 2016]

Sec. 478.125a Personal firearms collection.

(a) Notwithstanding any other provision of this subpart, a licensed
manufacturer, licensed importer, or licensed dealer is not required to
comply with the provisions of Sec. 478.102 or record on a firearms
transaction record, Form 4473, the sale or other disposition of a
firearm maintained as part of the licensee's personal firearms
collection: Provided, That
(1) The licensee has maintained the firearm as part of such
collection for 1 year from the date the firearm was transferred from the
business inventory into the personal collection or otherwise acquired as
a personal firearm,
(2) The licensee recorded in the bound record prescribed by Sec.
478.125(e) the receipt of the firearm into the business inventory or
other acquisition,
(3) The licensee recorded the firearm as a disposition in the bound
record prescribed by Sec. 478.125(e) when the firearm was transferred
from the business inventory into the personal firearms collection or
otherwise acquired as a personal firearm, and
(4) The licensee enters the sale or other disposition of the firearm
from the personal firearms collection into a bound record, under the
format prescribed below, identifying the firearm transferred by
recording the name of the manufacturer and importer (if any), the model,
serial number, type, and the caliber or gauge, and showing the date of
the sale or other disposition, the name and address of the transferee,
or the name and business address of the transferee if such person is a
licensee, and the date of birth of the transferee if other than a
licensee. In addition, the licensee shall cause the transferee, if other
than a licensee, to be identified in any manner customarily used in
commercial transactions (e.g., a drivers license). The format required
for the disposition record of personal firearms is as follows:

Disposition Record of Personal Firearms
----------------------------------------------------------------------------------------------------------------
Description of firearm Disposition
----------------------------------------------------------------------------------------------------------------
Name and
address
Manufacturer and Model Serial No. Type Caliber or Date (business Date of birth if
importer (if any) gauge address if nonlicensee
licensee)
----------------------------------------------------------------------------------------------------------------

(b) Any licensed manufacturer, licensed importer, or licensed dealer
selling or otherwise disposing of a firearm from the licensee's personal
firearms collection under this section shall be subject to the
restrictions imposed by the Act and this part on the dispositions of
firearms by persons other than licensed manufacturers, licensed
importers, and licensed dealers.

(Approved by the Office of Management and Budget under control number
1140-0032)

[T.D. ATF-270, 53 FR 10504, Mar. 31, 1988, as amended by T.D. ATF-313,
56 FR 32509, July 17, 1991; T.D. ATF-415, 63 FR 58280, Oct. 29, 1998;
ATF-11F, 73 FR 57242, Oct. 2, 2008; ATF 2015R-26, 81 FR 38071, June 13,
2016]

[[Page 72]]

Sec. 478.126 Furnishing transaction information.

(a) Each licensee shall, when required by letter issued by the
Director of Industry Operations, and until notified to the contrary in
writing by such officer, submit on Form 5300.5, Report of Firearms
Transactions, for the periods and at the times specified in the letter
issued by the Director of Industry Operations, all record information
required by this subpart, or such lesser record information as the
Director of Industry Operations in his letter may specify.
(b) The Director of Industry Operations may authorize the
information to be submitted in a manner other than that prescribed in
paragraph (a) of this section when it is shown by a licensee that an
alternate method of reporting is reasonably necessary and will not
unduly hinder the effective administration of this part. A licensee who
proposes to use an alternate method of reporting shall submit a letter
application, in duplicate, to the Director of Industry Operations and
shall describe the proposed alternate method of reporting and the need
therefor. An alternate method of reporting shall not be employed by the
licensee until approval in such regard is received from the Director of
Industry Operations.

(Approved by the Office of Management and Budget under control number
1140-0032)

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-172, 49 FR 14942, Apr. 16, 1984; ATF-11F, 73 FR
57242, Oct. 2, 2008; ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]

Sec. 478.126a Reporting multiple sales or other disposition
of pistols and revolvers.

Each licensee shall prepare a report of multiple sales or other
disposition whenever the licensee sells or otherwise disposes of, at one
time or during any five consecutive business days, two or more pistols,
or revolvers, or any combination of pistols and revolvers totaling two
or more, to an unlicensed person: Provided, That a report need not be
made where pistols or revolvers, or any combination thereof, are
returned to the same person from whom they were received. The report
shall be prepared on Form 3310.4, Report of Multiple Sale or Other
Disposition of Pistols and Revolvers. Not later than the close of
business on the day that the multiple sale or other disposition occurs,
the licensee shall forward two copies of Form 3310.4 to the ATF office
specified thereon and one copy to the State police or to the local law
enforcement agency in which the sale or other disposition took place.
Where the State or local law enforcement officials have notified the
licensee that a particular official has been designated to receive Forms
3310.4, the licensee shall forward such forms to that designated
official. The licensee shall retain one copy of Form 3310.4 and attach
it to the firearms transaction record, Form 4473, executed upon delivery
of the pistols or revolvers.

Example. 1. A licensee sells a pistol and revolver in a single
transaction to an unlicensed person. This is a multiple sale and must be
reported not later than the close of business on the date of the
transaction.
Example. 2. A licensee sells a pistol on Monday and sells a revolver
on the following Friday to the same unlicensed person. This is a
multiple sale and must be reported not later than the close of business
on Friday. If the licensee sells the same unlicensed person another
pistol or revolver on the following Monday, this would constitute an
additional multiple sale and must also be reported.
Example 3. A licensee maintaining business hours on Monday through
Saturday sells a revolver to an unlicensed person on Monday and sells
another revolver to the same person on the following Saturday. This does
not constitute a multiple sale and need not be reported since the sales
did not occur during five consecutive business days.

(Approved by the Office of Management and Budget under control number
1140-0003)

[T.D. ATF-16, 40 FR 19202, May 2, 1975, as amended by T.D. ATF-172, 49
FR 14942, Apr. 16, 1984; T.D. ATF-270, 53 FR 10505, Mar. 31, 1988; T.D.
ATF-354, 59 FR 7113, Feb. 14, 1994; T.D. ATF-361, 60 FR 10787, Feb. 27,
1995; ATF-11F, 73 FR 57242, Oct. 2, 2008]

Sec. 478.127 Discontinuance of business.

Where a licensed business is discontinued and succeeded by a new
licensee, the records prescribed by this subpart shall appropriately
reflect such facts and shall be delivered to the successor. Where
discontinuance of the business is absolute, the records shall be
delivered within 30 days following the business discontinuance to the
ATF Out-of-

[[Page 73]]

Business Records Center, 244 Needy Road, Martinsburg, West Virginia
25405, or to any ATF office in the division in which the business was
located: Provided, however, Where State law or local ordinance requires
the delivery of records to other responsible authority, the Chief,
Federal Firearms Licensing Center may arrange for the delivery of the
records required by this subpart to such authority: Provided further,
That where a licensed business is discontinued and succeeded by a new
licensee, the records may be delivered within 30 days following the
business discontinuance to the ATF Out-of-Business Records Center or to
any ATF office in the division in which the business was located.

[T.D. ATF-290, 54 FR 53055, Dec. 27, 1989, as amended by T.D. ATF-363,
60 FR 17455, Apr. 6, 1995; ATF-11F, 73 FR 57242, Oct. 2, 2008]

Sec. 478.128 False statement or representation.

(a) Any person who knowingly makes any false statement or
representation in applying for any license or exemption or relief from
disability, under the provisions of the Act, shall be fined not more
than $5,000 or imprisoned not more than 5 years, or both.
(b) Any person other than a licensed manufacturer, licensed
importer, licensed dealer, or licensed collector who knowingly makes any
false statement or representation with respect to any information
required by the provisions of the Act or this part to be kept in the
records of a person licensed under the Act or this part shall be fined
not more than $5,000 or imprisoned not more than 5 years, or both.
(c) Any licensed manufacturer, licensed importer, licensed dealer,
or licensed collector who knowingly makes any false statement or
representation with respect to any information required by the
provisions of the Act or this part to be kept in the records of a person
licensed under the Act or this part shall be fined not more than $1,000
or imprisoned not more than 1 year, or both.

[T.D. ATF-270, 53 FR 10505, Mar. 31, 1988]

Sec. 478.129 Record retention.

(a) Records prior to Act. Licensed importers and licensed
manufacturers may dispose of records of sale or other disposition of
firearms prior to December 16, 1968. Licensed dealers and licensed
collectors may dispose of all records of firearms transactions that
occurred prior to December 16, 1968.
(b) Firearms transaction record. Licensees shall retain each Form
4473 and Form 4473(LV) for a period of not less than 20 years after the
date of sale or disposition. Where a licensee has initiated a NICS check
for a proposed firearms transaction, but the sale, delivery, or transfer
of the firearm is not made, the licensee shall record any transaction
number on the Form 4473, and retain the Form 4473 for a period of not
less than 5 years after the date of the NICS inquiry. Forms 4473 shall
be retained in the licensee's records as provided in Sec. 478.124(b):
Provided, That Forms 4473 with respect to which a sale, delivery or
transfer did not take place shall be separately retained in alphabetical
(by name of transferee) or chronological (by date of transferee's
certification) order.
(c) Statement of intent to obtain a handgun, reports of multiple
sales or other disposition of pistols and revolvers, and reports of
theft or loss of firearms. Licensees shall retain each Form 5300.35
(Statement of Intent to Obtain a Handgun(s)) for a period of not less
than 5 years after notice of the intent to obtain the handgun was
forwarded to the chief law enforcement officer, as defined in Sec.
478.150(c). Licensees shall retain each copy of Form 3310.4 (Report of
Multiple Sale or Other Disposition of Pistols and Revolvers) for a
period of not less than 5 years after the date of sale or other
disposition. Licensees shall retain each copy of Form 3310.11 (Federal
Firearms Licensee Theft/Loss Report) for a period of not less than 5
years after the date the theft or loss was reported to ATF.
(d) Records of importation and manufacture. Licensees will maintain
permanent records of the importation, manufacture, or other acquisition
of firearms, including ATF Forms 6 and 6A as required by subpart G of
this part. Licensed importers' records and licensed manufacturers'
records of the sale or

[[Page 74]]

other disposition of firearms after December 15, 1968, shall be retained
through December 15, 1988, after which records of transactions over 20
years of age may be discarded.
(e) Records of dealers and collectors under the Act. The records
prepared by licensed dealers and licensed collectors under the Act of
the sale or other disposition of firearms and the corresponding record
of receipt of such firearms shall be retained through December 15, 1988,
after which records of transactions over 20 years of age may be
discarded.
(f) Retention of records of transactions in semiautomatic assault
weapons. The documentation required by Sec. Sec. 478.40(c) and 478.132
shall be retained in the licensee's permanent records for a period of
not less than 5 years after the date of sale or other disposition.

(Paragraph (b) approved by the Office of Management and Budget under
control number 1512-0544; Paragraph (c) approved by the Office of
Management and Budget under control numbers 1512-0520, 1512-0006, and
1512-0524; Paragraph (f) approved by the Office of Management and Budget
under control number 1512-0526; all other recordkeeping approved by the
Office of Management and Budget under control number 1512-0129)

[T.D. ATF-208, 50 FR 26704, June 28, 1985 and correctly designated at 50
FR 35081, Aug. 29, 1985, as amended by T.D. ATF-273, 53 FR 24687, June
30, 1988; T.D. ATF-361, 60 FR 10787, Feb. 27, 1995; T.D. ATF-363, 60 FR
17455, Apr. 6, 1995; T.D. ATF-415, 63 FR 58280, Oct. 29, 1998; T.D. ATF-
426, 65 FR 38201, June 20, 2000]

Sec. 478.131 Firearms transactions not subject to a NICS check.

(a)(1) A licensed importer, licensed manufacturer, or licensed
dealer whose sale, delivery, or transfer of a firearm is made pursuant
to the alternative provisions of Sec. 478.102(d) and is not subject to
the NICS check prescribed by Sec. 478.102(a) shall maintain the records
required by paragraph (a) of this section.
(2) If the transfer is pursuant to a permit or license in accordance
with Sec. 478.102(d)(1), the licensee shall either retain a copy of the
purchaser's permit or license and attach it to the firearms transaction
record, Form 4473, or record on the firearms transaction record, Form
4473, any identifying number, the date of issuance, and the expiration
date (if provided) from the permit or license.
(3) If the transfer is pursuant to a certification by ATF in
accordance with Sec. Sec. 478.102(d)(3) and 478.150, the licensee shall
maintain the certification as part of the records required to be kept
under this subpart and for the period prescribed for the retention of
Form 5300.35 in Sec. 478.129(c).
(b) The requirements of this section shall be in addition to any
other recordkeeping requirements contained in this part.

(Approved by the Office of Management and Budget under control number
1140-0045)

[T.D. ATF-415, 63 FR 58280, Oct. 29, 1998, as amended by ATF-11F, 73 FR
57242, Oct. 2, 2008]

Sec. 478.132 [Reserved]

Sec. 478.133 Records of transactions in semiautomatic assault
weapons.

The evidence specified in Sec. 478.40(c), relating to transactions
in semiautomatic assault weapons, shall be retained in the permanent
records of the manufacturer or dealer and in the records of the licensee
to whom the weapons are transferred.

(Approved by the Office of Management and Budget under control number
1140-0041)

[T.D. ATF-363, 60 FR 17455, Apr. 6, 1995, as amended by ATF-11F, 73 FR
57242, Oct. 2, 2008]

Sec. 478.134 Sale of firearms to law enforcement officers.

(a) Law enforcement officers purchasing firearms for official use
who provide the licensee with a certification on agency letterhead,
signed by a person in authority within the agency (other than the
officer purchasing the firearm), stating that the officer will use the
firearm in official duties and that a records check reveals that the
purchasing officer has no convictions for misdemeanor crimes of domestic
violence are not required to complete Form 4473 or Form 5300.35. The law
enforcement officer purchasing the firearm may purchase a firearm from a
licensee in another State, regardless of where the officer resides or
where the agency is located.

[[Page 75]]

(b)(1) The following individuals are considered to have sufficient
authority to certify that law enforcement officers purchasing firearms
will use the firearms in the performance of official duties:
(i) In a city or county police department, the director of public
safety or the chief or commissioner of police.
(ii) In a sheriff's office, the sheriff.
(iii) In a State police or highway patrol department, the
superintendent or the supervisor in charge of the office to which the
State officer or employee is assigned.
(iv) In Federal law enforcement offices, the supervisor in charge of
the office to which the Federal officer or employee is assigned.
(2) An individual signing on behalf of the person in authority is
acceptable, provided there is a proper delegation of authority.
(c) Licensees are not required to prepare a Form 4473 or Form
5300.35 covering sales of firearm made in accordance with paragraph (a)
of this section to law enforcement officers for official use. However,
disposition to the officer must be entered into the licensee's permanent
records, and the certification letter must be retained in the licensee's
files.

[T.D. ATF-401, 63 FR 35523, June 30, 1998]

Subpart I_Exemptions, Seizures, and Forfeitures

Sec. 478.141 General.

With the exception of Sec. Sec. 478.32(a)(9) and (d)(9) and
478.99(c)(9), the provisions of this part shall not apply with respect
to:
(a) The transportation, shipment, receipt, possession, or
importation of any firearm or ammunition imported for, sold or shipped
to, or issued for the use of, the United States or any department or
agency thereof or any State or any department, agency, or political
subdivision thereof.
(b) The shipment or receipt of firearms or ammunition when sold or
issued by the Secretary of the Army pursuant to section 4308 of Title
10, U.S.C., and the transportation of any such firearm or ammunition
carried out to enable a person, who lawfully received such firearm or
ammunition from the Secretary of the Army, to engage in military
training or in competitions.
(c) The shipment, unless otherwise prohibited by the Act or any
other Federal law, by a licensed importer, licensed manufacturer, or
licensed dealer to a member of the U.S. Armed Forces on active duty
outside the United States or to clubs, recognized by the Department of
Defense, whose entire membership is composed of such members of the U.S.
Armed Forces, and such members or clubs may receive a firearm or
ammunition determined by the Director to be generally recognized as
particularly suitable for sporting purposes and intended for the
personal use of such member or club. Before making a shipment of
firearms or ammunition under the provisions of this paragraph, a
licensed importer, licensed manufacturer, or licensed dealer may submit
a written request, in duplicate, to the Director for a determination by
the Director whether such shipment would constitute a violation of the
Act or any other Federal law, or whether the firearm or ammunition is
considered by the Director to be generally recognized as particularly
suitable for sporting purposes.
(d) The transportation, shipment, receipt, possession, or
importation of any antique firearm.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 10835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39628, Oct. 29, 1986; T.D. ATF-270,
53 FR 10505, Mar. 31, 1988; T.D. ATF-313, 56 FR 32509, July 17, 1991;
T.D. ATF-401, 63 FR 35523, June 30, 1998]

Sec. 478.142 Effect of pardons and expunctions of convictions.

(a) A pardon granted by the President of the United States regarding
a Federal conviction for a crime punishable by imprisonment for a term
exceeding 1 year shall remove any disability which otherwise would be
imposed by the provisions of this part with respect to that conviction.
(b) A pardon granted by the Governor of a State or other State
pardoning authority or by the pardoning authority of a foreign
jurisdiction with respect to a conviction, or any expunction, reversal,
setting aside of a conviction, or

[[Page 76]]

other proceeding rendering a conviction nugatory, or a restoration of
civil rights shall remove any disability which otherwise would be
imposed by the provisions of this part with respect to the conviction,
unless:
(1) The pardon, expunction, setting aside, or other proceeding
rendering a conviction nugatory, or restoration of civil rights
expressly provides that the person may not ship, transport, possess or
receive firearms; or
(2) The pardon, expunction, setting aside, or other proceeding
rendering a conviction nugatory, or restoration of civil rights did not
fully restore the rights of the person to possess or receive firearms
under the law of the jurisdiction where the conviction occurred.

[T.D. ATF-270, 53 FR 10505, Mar. 31, 1988]

Sec. 478.143 Relief from disabilities incurred by indictment.

A licensed importer, licensed manufacturer, licensed dealer, or
licensed collector who is indicted for a crime punishable by
imprisonment for a term exceeding 1 year may, notwithstanding any other
provision of the Act, continue operations pursuant to his existing
license during the term of such indictment and until any conviction
pursuant to the indictment becomes final: Provided, That if the term of
the license expires during the period between the date of the indictment
and the date the conviction thereunder becomes final, such importer,
manufacturer, dealer, or collector must file a timely application for
the renewal of his license in order to continue operations. Such
application shall show that the applicant is under indictment for a
crime punishable by imprisonment for a term exceeding 1 year.

Sec. 478.144 Relief from disabilities under the Act.

(a) Any person may make application for relief from the disabilities
under section 922 (g) and (n) of the Act (see Sec. 478.32).
(b) An application for such relief shall be filed, in triplicate,
with the Director. It shall include the information required by this
section and such other supporting data as the Director and the applicant
deem appropriate.
(c) Any record or document of a court or other government entity or
official required by this paragraph to be furnished by an applicant in
support of an application for relief shall be certified by the court or
other government entity or official as a true copy. An application shall
include:
(1) In the case of an applicant who is an individual, a written
statement from each of 3 references, who are not related to the
applicant by blood or marriage and have known the applicant for at least
3 years, recommending the granting of relief;
(2) Written consent to examine and obtain copies of records and to
receive statements and information regarding the applicant's background,
including records, statements and other information concerning
employment, medical history, military service, and criminal record;
(3) In the case of an applicant under indictment, a copy of the
indictment or information;
(4) In the case of an applicant having been convicted of a crime
punishable by imprisonment for a term exceeding 1 year, a copy of the
indictment or information on which the applicant was convicted, the
judgment of conviction or record of any plea of nolo contendere or plea
of guilty or finding of guilt by the court, and any pardon, expunction,
setting aside or other record purporting to show that the conviction was
rendered nugatory or that civil rights were restored;
(5) In the case of an applicant who has been adjudicated a mental
defective or committed to a mental institution, a copy of the order of a
court, board, commission, or other lawful authority that made the
adjudication or ordered the commitment, any petition that sought to have
the applicant so adjudicated or committed, any medical records
reflecting the reasons for commitment and diagnoses of the applicant,
and any court order or finding of a court, board, commission, or other
lawful authority showing the applicant's discharge from commitment,
restoration of mental competency and the restoration of rights;
(6) In the case of an applicant who has been discharged from the
Armed Forces under dishonorable conditions,

[[Page 77]]

a copy of the applicant's summary of service record (Department of
Defense Form 214), charge sheet (Department of Defense Form 458), and
final court martial order;
(7) In the case of an applicant who, having been a citizen of the
United States, has renounced his or her citizenship, a copy of the
formal renunciation of nationality before a diplomatic or consular
officer of the United States in a foreign state or before an officer
designated by the Attorney General when the United States was in a state
of war (see 8 U.S.C. 1481(a) (5) and (6)); and
(8) In the case of an applicant who has been convicted of a
misdemeanor crime of domestic violence, a copy of the indictment or
information on which the applicant was convicted, the judgment of
conviction or record of any plea of nolo contendere or plea of guilty or
finding of guilt by the court, and any pardon, expunction, setting aside
or other record purporting to show that the conviction was rendered
nugatory or that civil rights were restored.
(d) The Director may grant relief to an applicant if it is
established to the satisfaction of the Director that the circumstances
regarding the disability, and the applicant's record and reputation, are
such that the applicant will not be likely to act in a manner dangerous
to public safety, and that the granting of the relief would not be
contrary to the public interest. The Director will not ordinarily grant
relief if the applicant has not been discharged from parole or probation
for a period of at least 2 years. Relief will not be granted to an
applicant who is prohibited from possessing all types of firearms by the
law of the State where such applicant resides.
(e) In addition to meeting the requirements of paragraph (d) of this
section, an applicant who has been adjudicated a mental defective or
committed to a mental institution will not be granted relief unless the
applicant was subsequently determined by a court, board, commission, or
other lawful authority to have been restored to mental competency, to be
no longer suffering from a mental disorder, and to have had all rights
restored.
(f) Upon receipt of an incomplete or improperly executed application
for relief, the applicant shall be notified of the deficiency in the
application. If the application is not corrected and returned within 30
days following the date of notification, the application shall be
considered as having been abandoned.
(g) Whenever the Director grants relief to any person pursuant to
this section, a notice of such action shall be promptly published in the
Federal Register, together with the reasons therefor.
(h) A person who has been granted relief under this section shall be
relieved of any disabilities imposed by the Act with respect to the
acquisition, receipt, transfer, shipment, transportation, or possession
of firearms or ammunition and incurred by reason of such disability.
(i)(1) A licensee who incurs disabilities under the Act (see Sec.
478.32(a)) during the term of a current license or while the licensee
has pending a license renewal application, and who files an application
for removal of such disabilities, shall not be barred from licensed
operations for 30 days following the date on which the applicant was
first subject to such disabilities (or 30 days after the date upon which
the conviction for a crime punishable by imprisonment for a term
exceeding 1 year becomes final), and if the licensee files the
application for relief as provided by this section within such 30-day
period, the licensee may further continue licensed operations during the
pendency of the application. A licensee who does not file such
application within such 30-day period shall not continue licensed
operations beyond 30 days following the date on which the licensee was
first subject to such disabilities (or 30 days from the date the
conviction for a crime punishable by imprisonment for a term exceeding 1
year becomes final).
(2) In the event the term of a license of a person expires during
the 30-day period specified in paragraph (i)(1) of this section, or
during the pendency of the application for relief, a timely application
for renewal of the license

[[Page 78]]

must be filed in order to continue licensed operations. Such license
application shall show that the applicant is subject to Federal firearms
disabilities, shall describe the event giving rise to such disabilities,
and shall state when the disabilities were incurred.
(3) A licensee shall not continue licensed operations beyond 30 days
following the date the Director issues notification that the licensee's
applications for removal of disabilities has been denied.
(4) When as provided in this paragraph a licensee may no longer
continue licensed operations, any application for renewal of license
filed by the licensee during the pendency of the application for removal
of disabilities shall be denied by the Director of Industry Operations.

[T.D. ATF-270, 53 FR 10506, Mar. 31, 1988, as amended by T.D. ATF-313,
56 FR 32509, July 17, 1991; 56 FR 43649, Sept. 3, 1991; T.D. ATF-401, 63
FR 35523, June 30, 1998]

Sec. 478.145 Research organizations.

The provisions of Sec. 478.98 with respect to the sale or delivery
of destructive devices, machine guns, short-barreled shotguns, and
short-barreled rifles shall not apply to the sale or delivery of such
devices and weapons to any research organization designated by the
Director to receive same. A research organization desiring such
designation shall submit a letter application, in duplicate, to the
Director. Such application shall contain the name and address of the
research organization, the names and addresses of the persons directing
or controlling, directly or indirectly, the policies and management of
such organization, the nature and purpose of the research being
conducted, a description of the devices and weapons to be received, and
the identity of the person or persons from whom such devices and weapons
are to be received.

[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]

Sec. 478.146 Deliveries by mail to certain persons.

The provisions of this part shall not be construed as prohibiting a
licensed importer, licensed manufacturer, or licensed dealer from
depositing a firearm for conveyance in the mails to any officer,
employee, agent, or watchman who, pursuant to the provisions of section
1715 of title 18, U.S.C., is eligible to receive through the mails
pistols, revolvers, and other firearms capable of being concealed on the
person, for use in connection with his official duties.

Sec. 478.147 Return of firearm.

A person not otherwise prohibited by Federal, State or local law may
ship a firearm to a licensed importer, licensed manufacturer, or
licensed dealer for any lawful purpose, and, notwithstanding any other
provision of this part, the licensed manufacturer, licensed importer, or
licensed dealer may return in interstate or foreign commerce to that
person the firearm or a replacement firearm of the same kind and type.
See Sec. 478.124(a) for requirements of a Form 4473 prior to return. A
person not otherwise prohibited by Federal, State or local law may ship
a firearm curio or relic to a licensed collector for any lawful purpose,
and, notwithstanding any other provision of this part, the licensed
collector may return in interstate or foreign commerce to that person
the firearm curio or relic.

[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]

Sec. 478.148 Armor piercing ammunition intended for sporting
or industrial purposes.

The Director may exempt certain armor piercing ammunition from the
requirements of this part. A person who desires to obtain an exemption
under this section for any such ammunition which is primarily intended
for sporting purposes or intended for industrial purposes, including
charges used in oil and gas well perforating devices, shall submit a
written request to the Director. Each request shall be executed under
the penalties of perjury and contain a complete and accurate description
of the ammunition, the name and address of the manufacturer or importer,
the purpose of and use for which it is designed and intended, and any
photographs, diagrams, or drawings as may be necessary to enable the
Director to make a determination. The Director may require that a sample
of

[[Page 79]]

the ammunition be submitted for examination and evaluation.

[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]

Sec. 478.149 Armor piercing ammunition manufactured or imported
for the purpose of testing or experimentation.

The provisions of Sec. Sec. 478.37 and 478.99(d) with respect to
the manufacture or importation of armor piercing ammunition and the sale
or delivery of armor piercing ammunition by manufacturers and importers
shall not apply to the manufacture, importation, sale or delivery of
armor piercing ammunition for the purpose of testing or experimentation
as authorized by the Director. A person desiring such authorization to
receive armor piercing ammunition shall submit a letter application, in
duplicate, to the Director. Such application shall contain the name and
addresses of the persons directing or controlling, directly or
indirectly, the policies and management of the applicant, the nature or
purpose of the testing or experimentation, a description of the armor
piercing ammunition to be received, and the identity of the manufacturer
or importer from whom such ammunition is to be received. The approved
application shall be submitted to the manufacturer or importer who shall
retain a copy as part of the records required by subpart H of this part.

[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]

Sec. 478.150 Alternative to NICS in certain geographical locations.

(a) The provisions of Sec. 478.102(d)(3) shall be applicable when
the Director has certified that compliance with the provisions of Sec.
478.102(a)(1) is impracticable because:
(1) The ratio of the number of law enforcement officers of the State
in which the transfer is to occur to the number of square miles of land
area of the State does not exceed 0.0025;
(2) The business premises of the licensee at which the transfer is
to occur are extremely remote in relation to the chief law enforcement
officer; and
(3) There is an absence of telecommunications facilities in the
geographical area in which the business premises are located.
(b) A licensee who desires to obtain a certification under this
section shall submit a written request to the Director. Each request
shall be executed under the penalties of perjury and contain information
sufficient for the Director to make such certification. Such information
shall include statistical data, official reports, or other statements of
government agencies pertaining to the ratio of law enforcement officers
to the number of square miles of land area of a State and statements of
government agencies and private utility companies regarding the absence
of telecommunications facilities in the geographical area in which the
licensee's business premises are located.
(c) For purposes of this section and Sec. 478.129(c), the ``chief
law enforcement officer'' means the chief of police, the sheriff, or an
equivalent officer or the designee of any such individual.

(Approved by the Office of Management and Budget under control number
1140-0045)

[T.D. ATF-415, 63 FR 58280, Oct. 29, 1998, as amended by ATF-11F, 73 FR
57242, Oct. 2, 2008]

Sec. 478.151 Semiautomatic rifles or shotguns for testing
or experimentation.

(a) The provisions of Sec. 478.39 shall not apply to the assembly
of semiautomatic rifles or shotguns for the purpose of testing or
experimentation as authorized by the Director.
(b) A person desiring authorization to assemble nonsporting
semiautomatic rifles or shotguns shall submit a written request, in
duplicate, to the Director. Each such request shall be executed under
the penalties of perjury and shall contain a complete and accurate
description of the firearm to be assembled, and such diagrams or
drawings as may be necessary to enable the Director to make a
determination. The Director may require the submission of the firearm
parts for examination and evaluation. If the submission of the firearm
parts is impractical, the person requesting the authorization shall so
advise the Director and designate the place where the firearm parts will
be

[[Page 80]]

available for examination and evaluation.

(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0037)

[T.D. ATF-346, 58 FR 40590, July 29, 1993, as amended by ATF-11F, 73 FR
57242, Oct. 2, 2008]

Sec. 478.152 Seizure and forfeiture.

(a) Any firearm or ammunition involved in or used in any knowing
violation of subsections (a)(4), (a)(6), (f), (g), (h), (i), (j), or (k)
of section 922 of the Act, or knowing importation or bringing into the
United States or any possession thereof any firearm or ammunition in
violation of section 922(l) of the Act, or knowing violation of section
924 of the Act, or willful violation of any other provision of the Act
or of this part, or any violation of any other criminal law of the
United States, or any firearm or ammunition intended to be used in any
offense referred to in paragraph (c) of this section, where such intent
is demonstrated by clear and convincing evidence, shall be subject to
seizure and forfeiture, and all provisions of the Internal Revenue Code
of 1986 relating to the seizure, forfeiture, and disposition of
firearms, as defined in section 5845(a) of that Code, shall, so far as
applicable, extend to seizures and forfeitures under the provisions of
the Act: Provided, That upon acquittal of the owner or possessor, or
dismissal of the charges against such person other than upon motion of
the Government prior to trial, or lapse of or court termination of the
restraining order to which he is subject, the seized or relinquished
firearms or ammunition shall be returned forthwith to the owner or
possessor or to a person delegated by the owner or possessor unless the
return of the firearms or ammunition would place the owner or possessor
or the delegate of the owner or possessor in violation of law. Any
action or proceeding for the forfeiture of firearms or ammunition shall
be commenced within 120 days of such seizure.
(b) Only those firearms or quantities of ammunition particularly
named and individually identified as involved in or used in any
violation of the provisions of the Act or this part, or any other
criminal law of the United States or as intended to be used in any
offense referred to in paragraph (c) of this section, where such intent
is demonstrated by clear and convincing evidence, shall be subject to
seizure, forfeiture and disposition.
(c) The offenses referred to in paragraphs (a) and (b) of this
section for which firearms and ammunition intended to be used in such
offenses are subject to seizure and forfeiture are:
(1) Any crime of violence, as that term is defined in section
924(c)(3) of the Act;
(2) Any offense punishable under the Controlled Substances Act (21
U.S.C. 801 et seq.) or the Controlled Substances Import and Export Act
(21 U.S.C. 951 et seq.);
(3) Any offense described in section 922(a)(1), 922(a)(3),
922(a)(5), or 922(b)(3) of the Act, where the firearm or ammunition
intended to be used in such offense is involved in a pattern of
activities which includes a violation of any offense described in
section 922(a)(1), 922(a)(3), 922(a)(5), or 922(b)(3) of the Act;
(4) Any offense described in section 922(d) of the Act where the
firearm or ammunition is intended to be used in such offense by the
transferor of such firearm or ammunition;
(5) Any offense described in section 922(i), 922(j), 922(l), 922(n),
or 924(b) of the Act; and
(6) Any offense which may be prosecuted in a court of the United
States which involves the exportation of firearms or ammunition.

[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988; Redesignated by T.D. ATF-354,
59 FR 7114, Feb. 14, 1994, and further redesignated by T.D. ATF-361, 60
FR 10788, Feb. 27, 1995; T.D. ATF-363, 60 FR 17455, Apr. 6, 1995]

Sec. 478.153 [Reserved]

Subpart J [Reserved]

Subpart K_Exportation

Sec. 478.171 Exportation.

Firearms and ammunition shall be exported in accordance with the
applicable provisions of section 38 of the Arms Export Control Act (22
U.S.C. 2778) and regulations thereunder. However, licensed
manufacturers, licensed

[[Page 81]]

importers, and licensed dealers exporting firearms shall maintain
records showing the manufacture or acquisition of the firearms as
required by this part and records showing the name and address of the
foreign consignee of the firearms and the date the firearms were
exported. Licensed manufacturers and licensed importers exporting armor
piercing ammunition shall maintain records showing the name and address
of the foreign consignee and the date the armor piercing ammunition was
exported.

[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988; T.D. ATF-363, 60 FR 17456,
Apr. 6, 1995; ATF 2014R-42, 84 FR 12094, Apr. 1, 2019; ATF 2019R-03, 84
FR 60334, Nov. 8, 2019]

PART 479_MACHINE GUNS, DESTRUCTIVE DEVICES, AND CERTAIN OTHER FIREARMS
--Table of Contents

Subpart A_Scope of Regulations

Sec.
479.1 General.

Subpart B_Definitions

479.11 Meaning of terms.

Subpart C_Administrative and Miscellaneous Provisions

479.21 Forms prescribed.
479.22 Right of entry and examination.
479.23 Restrictive use of required information.
479.24 Destructive device determination.
479.25 Collector's items.
479.26 Alternate methods or procedures; emergency variations from
requirements.

Subpart D_Special (Occupational) Taxes

479.31 Liability for tax.
479.32 Special (occupational) tax rates.
479.32a Reduced rate of tax for small importers and manufacturers.
479.33 Special exemption.
479.34 Special tax registration and return.
479.35 Employer identification number.
479.36 The special tax stamp, receipt for special (occupational) taxes.
479.37 Certificates in lieu of stamps lost or destroyed.
479.38 Engaging in business at more than one location.
479.39 Engaging in more than one business at the same location.
479.40 Partnership liability.
479.41 Single sale.

Change of Ownership

479.42 Changes through death of owner.
479.43 Changes through bankruptcy of owner.
479.44 Change in partnership or unincorporated association.
479.45 Changes in corporation.

Change of Business Location

479.46 Notice by taxpayer.

Change of Trade Name

479.47 Notice by taxpayer.

Penalties and Interest

479.48 Failure to pay special (occupational) tax.
479.49 Failure to register change or removal.
479.50 Delinquency.
479.51 Fraudulent return.

Application of State Laws

479.52 State regulations.

Subpart E_Tax on Making Firearms

479.61 Rate of tax.

Application To Make a Firearm

479.62 Application to make.
479.63 Identification of applicant.
479.64 Procedure for approval of application.
479.65 Denial of application.
479.66 Subsequent transfer of firearms.
479.67 Cancellation of stamp.

Exceptions to Tax on Making Firearms

479.68 Qualified manufacturer.
479.69 Making a firearm for the United States.
479.70 Certain government entities.

Registration

479.71 Proof of registration.

Subpart F_Transfer Tax

479.81 Scope of tax.
479.82 Rate of tax.
479.83 Transfer tax in addition to import duty.

Application and Order for Transfer of Firearm

479.84 Application to transfer.
479.85 Identification of transferee.
479.86 Action on application.
479.87 Cancellation of stamp.

Exemptions Relating to Transfers of Firearms

479.88 Special (occupational) taxpayers.
479.89 Transfers to the United States.
479.90 Certain government entities.

[[Page 82]]

479.90a Estates.
479.91 Unserviceable firearms.
479.92 Transportation of firearms to effect transfer.

Other Provisions

479.93 Transfers of firearms to certain persons.

Subpart G_Registration and Identification of Firearms

479.101 Registration of firearms.
479.102 How must firearms be identified?
479.103 Registration of firearms manufactured.
479.104 Registration of firearms by certain governmental entities.

Machine Guns

479.105 Transfer and possession of machine guns.

Subpart H_Importation and Exportation

Importation

479.111 Procedure.
479.112 Registration of imported firearms.
479.113 Conditional importation.

Exportation

479.114 Application and permit for exportation of firearms.
479.115 Action by Director.
479.116 Procedure by exporter.
479.117 Action by Customs.
479.118 Proof of exportation.
479.119 Transportation of firearms to effect exportation.
479.120 Refunds.
479.121 Insular possessions.

Arms Export Control Act

479.122 Requirements.

Subpart I_Records and Returns

479.131 Records.

Subpart J_Stolen or Lost Firearms or Documents

479.141 Stolen or lost firearms.
479.142 Stolen or lost documents.

Subpart K_Examination of Books and Records

479.151 Failure to make returns: Substitute returns.
479.152 Penalties (records and returns).

Subpart L_Distribution and Sale of Stamps

479.161 National Firearms Act stamps.
479.162 Stamps authorized.
479.163 Reuse of stamps prohibited.

Subpart M_Redemption of or Allowance for Stamps or Refunds

479.171 Redemption of or allowance for stamps.
479.172 Refunds.

Subpart N_Penalties and Forfeitures

479.181 Penalties.
479.182 Forfeitures.

Subpart O_Other Laws Applicable

479.191 Applicability of other provisions of internal revenue laws.
479.192 Commerce in firearms and ammunition.
479.193 Arms Export Control Act.

Authority: 26 U.S.C. 5812; 26 U.S.C. 5822; 26 U.S.C. 7801; 26 U.S.C.
7805.

Source: 36 FR 14256, Aug. 3, 1971, unless otherwise noted.
Redesignated at 40 FR 16835, Apr. 15, 1975, and further redesignated by
T.D. ATF-487, 68 FR 3752, Jan. 24, 2003.

Editorial Note: Nomenclature changes to part 479 appear by T.D. ATF-
487, 68 FR 3752, Jan. 24, 2003.

Subpart A_Scope of Regulations

Sec. 479.1 General.

This part contains the procedural and substantive requirements
relative to the importation, manufacture, making, exportation,
identification and registration of, and the dealing in, machine guns,
destructive devices and certain other firearms under the provisions of
the National Firearms Act (26 U.S.C. Chapter 53).

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]

Subpart B_Definitions

Sec. 479.11 Meaning of terms.

[[Page 83]]

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

``I declare under the penalties of perjury that this--(insert type
of document, such as,

[[Page 84]]

statement, application, request, certificate), including the documents
submitted in support thereof, has been examined by me and, to the best
of my knowledge and belief, is true, correct, and complete.''

Exportation. The severance of goods from the mass of things
belonging to this country with the intention of uniting them to the mass
of things belonging to some foreign country.
Exporter. Any person who exports firearms from the United States.
Firearm. (a) A shotgun having a barrel or barrels of less than 18
inches in length; (b) a weapon made from a shotgun if such weapon as
modified has an overall length of less than 26 inches or a barrel or
barrels of less than 18 inches in length; (c) a rifle having a barrel or
barrels of less than 16 inches in length; (d) a weapon made from a rifle
if such weapon as modified has an overall length of less than 26 inches
or a barrel or barrels of less than 16 inches in length; (e) any other
weapon, as defined in this subpart; (f) a machine gun; (g) a muffler or
a silencer for any firearm whether or not such firearm is included
within this definition; and (h) a destructive device. The term shall not
include an antique firearm or any device (other than a machine gun or
destructive device) which, although designed as a weapon, the Director
finds by reason of the date of its manufacture, value, design, and other
characteristics is primarily a collector's item and is not likely to be
used as a weapon. For purposes of this definition, the length of the
barrel having an integral chamber(s) on a shotgun or rifle shall be
determined by measuring the distance between the muzzle and the face of
the bolt, breech, or breech block when closed and when the shotgun or
rifle is cocked. The overall length of a weapon made from a shotgun or
rifle is the distance between the extreme ends of the weapon measured
along a line parallel to the center line of the bore.
Fixed ammunition. That self-contained unit consisting of the case,
primer, propellant charge, and projectile or projectiles.
Frame or receiver. That part of a firearm which provides housing for
the hammer, bolt or breechblock and firing mechanism, and which is
usually threaded at its forward portion to receive the barrel.
Importation. The bringing of a firearm within the limits of the
United States or any territory under its control or jurisdiction, from a
place outside thereof (whether such place be a foreign country or
territory subject to the jurisdiction of the United States), with intent
to unlade. Except that, bringing a firearm from a foreign country or a
territory subject to the jurisdiction of the United States into a
foreign trade zone for storage pending shipment to a foreign country or
subsequent importation into this country, under Title 26 of the United
States Code, and this part, shall not be deemed importation.
Importer. Any person who is engaged in the business of importing or
bringing firearms into the United States.
Machine gun. Any weapon which shoots, is designed to shoot, or can
be readily restored to shoot, automatically more than one shot, without
manual reloading, by a single function of the trigger. The term shall
also include the frame or receiver of any such weapon, any part designed
and intended solely and exclusively, or combination of parts designed
and intended, for use in converting a weapon into a machine gun, and any
combination of parts from which a machine gun can be assembled if such
parts are in the possession or under the control of a person. For
purposes of this definition, the term ``automatically'' as it modifies
``shoots, is designed to shoot, or can be readily restored to shoot,''
means functioning as the result of a self-acting or self-regulating
mechanism that allows the firing of multiple rounds through a single
function of the trigger; and ``single function of the trigger'' means a
single pull of the trigger and analogous motions. The term ``machine
gun'' includes a bump-stock-type device, i.e., a device that allows a
semi-automatic firearm to shoot more than one shot with a single pull of
the trigger by harnessing the recoil energy of the semi-automatic
firearm to which it is affixed so that the trigger resets and continues
firing without additional physical manipulation of the trigger by the
shooter.

[[Page 85]]

Make. This term and the various derivatives thereof shall include
manufacturing (other than by one qualified to engage in such business
under this part), putting together, altering, any combination of these,
or otherwise producing a firearm.
Manual reloading. The inserting of a cartridge or shell into the
chamber of a firearm either with the hands or by means of a mechanical
device controlled and energized by the hands.
Manufacturer. Any person who is engaged in the business of
manufacturing firearms.
Muffler or silencer. Any device for silencing, muffling, or
diminishing the report of a portable firearm, including any combination
of parts, designed or redesigned, and intended for the use in assembling
or fabricating a firearm silencer or firearm muffler, and any part
intended only for use in such assembly or fabrication.
Person. A partnership, company, association, trust, corporation,
including each responsible person associated with such an entity; an
estate; or an individual.
Pistol. A weapon originally designed, made, and intended to fire a
projectile (bullet) from one or more barrels when held in one hand, and
having (a) a chamber(s) as an integral part(s) of, or permanently
aligned with, the bore(s); and (b) a short stock designed to be gripped
by one hand and at an angle to and extending below the line of the
bore(s).
Responsible person. In the case of an unlicensed entity, including
any trust, partnership, association, company (including any Limited
Liability Company (LLC)), or corporation, any individual who possesses,
directly or indirectly, the power or authority to direct the management
and policies of the trust or entity to receive, possess, ship,
transport, deliver, transfer, or otherwise dispose of a firearm for, or
on behalf of, the trust or legal entity. In the case of a trust, those
persons with the power or authority to direct the management and
policies of the trust include any person who has the capability to
exercise such power and possesses, directly or indirectly, the power or
authority under any trust instrument, or under State law, to receive,
possess, ship, transport, deliver, transfer, or otherwise dispose of a
firearm for, or on behalf of, the trust. Examples of who may be
considered a responsible person include settlors/grantors, trustees,
partners, members, officers, directors, board members, or owners. An
example of who may be excluded from this definition of responsible
person is the beneficiary of a trust, if the beneficiary does not have
the capability to exercise the powers or authorities enumerated in this
section.
Revolver. A projectile weapon, of the pistol type, having a
breechloading chambered cylinder so arranged that the cocking of the
hammer or movement of the trigger rotates it and brings the next
cartridge in line with the barrel for firing.
Rifle. A weapon designed or redesigned, made or remade, and intended
to be fired from the shoulder and designed or redesigned and made or
remade to use the energy of the explosive in a fixed cartridge to fire
only a single projectile through a rifled bore for each single pull of
the trigger, and shall include any such weapon which may be readily
restored to fire a fixed cartridge.
Shotgun. A weapon designed or redesigned, made or remade, and
intended to be fired from the shoulder and designed or redesigned and
made or remade to use the energy of the explosive in a fixed shotgun
shell to fire through a smooth bore either a number of projectiles (ball
shot) or a single projectile for each pull of the trigger, and shall
include any such weapon which may be readily restored to fire a fixed
shotgun shell.
Transfer. This term and the various derivatives thereof shall
include selling, assigning, pledging, leasing, loaning, giving away, or
otherwise disposing of.
United States. The States and the District of Columbia.
U.S.C. The United States Code.
Unserviceable firearm. A firearm which is incapable of discharging a
shot by means of an explosive and incapable of

[[Page 86]]

being readily restored to a firing condition.

(26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 Stat. 981 as
amended), 18 U.S.C. 926 (82 Stat. 959), and sec. 38, Arms Export Control
Act (22 U.S.C. 2778, 90 Stat. 744))

[T.D. ATF-48, 43 FR 13538, Mar. 31, 1978; 44 FR 55842, Sept. 28, 1979;
T.D. ATF-241, 51 FR 39630, Oct. 29, 1986; T.D. ATF-270, 53 FR 10492,
Mar. 31, 1988; T.D. ATF-396, 63 FR 12647, Mar. 16, 1998; ATF 2013R-9F,
79 FR 46692, Aug. 11, 2014; ATF-41F, 81 FR 2721, Jan. 15, 2016; ATF
2018R-22F, 83 FR 66554, Dec. 26, 2018]

Subpart C_Administrative and Miscellaneous Provisions

Sec. 479.21 Forms prescribed.

(a) The Director is authorized to prescribe all forms required by
this part. All of the information called for in each form shall be
furnished as indicated by the headings on the form and the instructions
on or pertaining to the form. In addition, information called for in
each form shall be furnished as required by this part. Each form
requiring that it be executed under penalties of perjury shall be
executed under penalties of perjury.
(b) Requests for forms should be submitted to the ATF Distribution
Center (http://www.atf.gov) or made by calling (202) 648-6420.

(5 U.S.C. 552(a); 80 Stat. 383, as amended)

[T.D. ATF-92, 46 FR 46916, Sept. 23, 1981, as amended by T.D. ATF-241,
51 FR 39630, Oct. 29, 1986; T.D. ATF-270, 53 FR 10508, Mar. 31, 1988;
T.D. 372, 61 FR 20725, May 8, 1996; ATF-11F, 73 FR 57242, Oct. 2, 2008;
ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 479.22 Right of entry and examination.

Any ATF officer or employee of the Bureau of Alcohol, Tobacco,
Firearms, and Explosives duly authorized to perform any function
relating to the administration or enforcement of this part may enter
during business hours the premises (including places of storage) of any
importer or manufacturer of or dealer in firearms, to examine any books,
papers, or records required to be kept pursuant to this part, and any
firearms kept by such importer, manufacturer or dealer on such premises,
and may require the production of any books, papers, or records
necessary to determine any liability for tax under 26 U.S.C. Chapter 53,
or the observance of 26 U.S.C. Chapter 53, and this part.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; ATF 2013R-9F,
79 FR 46693, Aug. 11, 2014]

Sec. 479.23 Restrictive use of required information.

No information or evidence obtained from an application,
registration, or record required to be submitted or retained by a
natural person in order to comply with any provision of 26 U.S.C.
Chapter 53, or this part or section 207 of the Gun Control Act of 1968
shall be used, directly or indirectly, as evidence against that person
in a criminal proceeding with respect to a violation of law occurring
prior to or concurrently with the filing of the application or
registration, or the compiling of the record containing the information
or evidence: Provided, however, That the provisions of this section
shall not preclude the use of any such information or evidence in a
prosecution or other action under any applicable provision of law with
respect to the furnishing of false information.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]

Sec. 479.24 Destructive device determination.

The Director shall determine in accordance with 26 U.S.C. 5845(f),
whether a device is excluded from the definition of a destructive
device. A person who desires to obtain a determination under that
provision of law for any device which he believes is not likely to be
used as a weapon shall submit a written request, in triplicate, for a
ruling thereon to the Director. Each such request shall be executed
under the penalties of perjury and contain a complete and accurate
description of the device, the name and address of the manufacturer or
importer thereof, the purpose of and use for which it is intended, and
such photographs, diagrams, or drawings as may be necessary to enable
the Director to make his determination. The Director may require the
submission to him, of a

[[Page 87]]

sample of such device for examination and evaluation. If the submission
of such device is impracticable, the person requesting the ruling shall
so advise the Director and designate the place where the device will be
available for examination and evaluation.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]

Sec. 479.25 Collector's items.

The Director shall determine in accordance with 26 U.S.C. 5845(a),
whether a firearm or device, which although originally designed as a
weapon, is by reason of the date of its manufacture, value, design, and
other characteristics primarily a collector's item and is not likely to
be used as a weapon. A person who desires to obtain a determination
under that provision of law shall follow the procedures prescribed in
Sec. 479.24 relating to destructive device determinations, and shall
include information as to date of manufacture, value, design and other
characteristics which would sustain a finding that the firearm or device
is primarily a collector's item and is not likely to be used as a
weapon.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]

Sec. 479.26 Alternate methods or procedures; emergency variations
from requirements.

(a) Alternate methods or procedures. Any person subject to the
provisions of this part, on specific approval by the Director as
provided in this paragraph, may use an alternate method or procedure in
lieu of a method or procedure specifically prescribed in this part. The
Director may approve an alternate method or procedure, subject to stated
conditions, when it is found that:
(1) Good cause is shown for the use of the alternate method or
procedure;
(2) The alternate method or procedure is within the purpose of, and
consistent with the effect intended by, the specifically prescribed
method or procedure and that the alternate method or procedure is
substantially equivalent to that specifically prescribed method or
procedure; and
(3) The alternate method or procedure will not be contrary to any
provision of law and will not result in an increase in cost to the
Government or hinder the effective administration of this part. Where
such person desires to employ an alternate method or procedure, a
written application shall be submitted to the appropriate Director,
Industry Operations, for transmittal to the Director. The application
shall specifically describe the proposed alternate method or procedure
and shall set forth the reasons for it. Alternate methods or procedures
may not be employed until the application is approved by the Director.
Such person shall, during the period of authorization of an alternate
method or procedure, comply with the terms of the approved application.
Authorization of any alternate method or procedure may be withdrawn
whenever, in the judgment of the Director, the effective administration
of this part is hindered by the continuation of the authorization.
(b) Emergency variations from requirements. The Director may approve
a method of operation other than as specified in this part, where it is
found that an emergency exists and the proposed variation from the
specified requirements are necessary and the proposed variations (1)
will not hinder the effective administration of this part, and (2) will
not be contrary to any provisions of law. Variations from requirements
granted under this paragraph are conditioned on compliance with the
procedures, conditions, and limitations set forth in the approval of the
application. Failure to comply in good faith with the procedures,
conditions, and limitations shall automatically terminate the authority
for the variations, and the person granted the variance shall fully
comply with the prescribed requirements of regulations from which the
variations were authorized. Authority for any variation may be withdrawn
whenever, in the judgment of the Director, the effective administration
of this part is hindered by the continuation of the variation. Where a
person desires to employ an emergency variation, a written application
shall

[[Page 88]]

be submitted to the appropriate Director, Industry Operations for
transmittal to the Director. The application shall describe the proposed
variation and set forth the reasons for it. Variations may not be
employed until the application is approved.
(c) Retention of approved variations. The person granted the
variance shall retain and make available for examination by ATF officers
any application approved by the Director under this section.

[T.D. ATF-270, 53 FR 10508 Mar. 31, 1988, as amended by ATF 2013R-9F, 79
FR 46693, Aug. 11, 2014]

Subpart D_Special (Occupational) Taxes

Sec. 479.31 Liability for tax.

(a) General. Every person who engages in the business of importing,
manufacturing, or dealing in (including pawnbrokers) firearms in the
United States shall pay a special (occupational) tax at a rate specified
by Sec. 479.32. The tax shall be paid on or before the date of
commencing the taxable business, and thereafter every year on or before
July 1. Special (occupational) tax shall not be prorated. The tax shall
be computed for the entire tax year (July 1 through June 30), regardless
of the portion of the year during which the taxpayer engages in
business. Persons commencing business at any time after July 1 in any
year are liable for the special (occupational) tax for the entire tax
year.
(b) Each place of business taxable. An importer, manufacturer, or
dealer in firearms incurs special tax liability at each place of
business where an occupation subject to special tax is conducted. A
place of business means the entire office, plant or area of the business
in any one location under the same proprietorship. Passageways, streets,
highways, rail crossings, waterways, or partitions dividing the premises
are not sufficient separation to require additional special tax, if the
divisions of the premises are otherwise contiguous. See also Sec. Sec.
479.38-479.39.

(26 U.S.C. 5143, 5801, 5846)

[T.D. ATF-271, 53 FR 17550, May 17, 1988]

Sec. 479.32 Special (occupational) tax rates.

Except as provided in Sec. 479.32a, the special (occupational) tax
rates effective January 1, 1988, are as follows:

------------------------------------------------------------------------
Per year or
fraction
thereof
------------------------------------------------------------------------
Class 1--Importer of firearms (including an importer only $1,000
of weapons classified as ``any other weapon'')............
Class 2--Manufacturer of firearms (including a manufacturer 1,000
only of weapons classified as ``any other weapon'').......
Class 3--Dealer in firearms (including a dealer only of 500
weapons classified as ``any other weapon'')...............
------------------------------------------------------------------------

[T.D. ATF-271, 53 FR 17550, May 17, 1988; ATF 2014R-42, 84 FR 12094,
Apr. 1, 2019]

Sec. 479.32a Reduced rate of tax for small importers and
manufacturers.

(a) General. Effective January 1, 1988, 26 U.S.C. 5801(b) provides
for a reduced rate of special tax with respect to any importer or
manufacturer whose gross receipts (for the most recent taxable year
ending before the first day of the taxable period to which the special
tax imposed by Sec. 479.32 relates) are less than $500,000. The rate of
tax for such an importer or manufacturer is $500 per year or fraction
thereof. The ``taxable year'' to be used for determining gross receipts
is the taxpayer's income tax year. All gross receipts of the taxpayer
shall be included, not just the gross receipts of the business subject
to special tax. Proprietors of new businesses that have not yet begun a
taxable year, as well as proprietors of existing businesses that have
not yet ended a taxable year, who commence a new activity subject to
special tax, quality for the reduced special (occupational) tax rate,
unless the business is a member of a ``controlled group''; in that case,
the rules of paragraph (b) of this section shall apply.
(b) Controlled group. All persons treated as one taxpayer under 26
U.S.C. 5061(e)(3) shall be treated as one taxpayer for the purpose of
determining gross receipts under paragraph (a) of this section.
``Controlled group'' means a controlled group of corporations, as
defined in 26 U.S.C. 1563 and implementing regulations in 26 CFR 1.1563-
1 through 1.1563-4, except that the words

[[Page 89]]

``at least 80 percent'' shall be replaced by the words ``more than 50
percent'' in each place they appear in subsection (a) of 26 U.S.C. 1563,
as well as in the implementing regulations. Also, the rules for a
``controlled group of corporations'' apply in a similar fashion to
groups which include partnerships and/or sole proprietorships. If one
entity maintains more than 50% control over a group consisting of
corporations and one, or more, partnerships and/or sole proprietorships,
all of the members of the controlled group are one taxpayer for the
purpose of this section.
(c) Short taxable year. Gross receipts for any taxable year of less
than 12 months shall be annualized by multiplying the gross receipts for
the short period by 12 and dividing the result by the number of months
in the short period, as required by 26 U.S.C. 448(c)(3).
(d) Returns and allowances. Gross receipts for any taxable year
shall be reduced by returns and allowances made during that year under
26 U.S.C. 448(c)(3).

(26 U.S.C. 448, 5061, 5801)

[T.D. ATF-271, 53 FR 17550, May 17, 1988]

Sec. 479.33 Special exemption.

(a) Any person required to pay special (occupational) tax under this
part shall be relieved from payment of that tax if he establishes to the
satisfaction of the Director that his business is conducted exclusively
with, or on behalf of, the United States or any department, independent
establishment, or agency thereof. The Director may relieve any person
manufacturing firearms for or on behalf of the United States from
compliance with any provision of this part in the conduct of the
business with respect to such firearms.
(b) The exemption in this section may be obtained by filing with the
Director an application, in letter form, setting out the manner in which
the applicant conducts his business, the type of firearm to be
manufactured, and proof satisfactory to the Director of the existence of
the contract with the United States, department, independent
establishment, or agency thereof, under which the applicant intends to
operate.

Sec. 479.34 Special tax registration and return.

(a) General. Special tax shall be paid by return. The prescribed
return is ATF Form 5630.7, Special Tax Registration and Return. Special
tax returns, with payment of tax, shall be filed with ATF in accordance
with instructions on the form. Properly completing, signing, and timely
filing of a return (Form 5630.7) constitutes compliance with 26 U.S.C.
5802.
(b) Preparation of ATF Form 5630.7. All of the information called
for on Form 5630.7 shall be provided, including:
(1) The true name of the taxpayer.
(2) The trade name(s) (if any) of the business(es) subject to
special tax.
(3) The employer identification number (see Sec. 479.35).
(4) The exact location of the place of business, by name and number
of building or street, or if these do not exist, by some description in
addition to the post office address. In the case of one return for two
or more locations, the address to be shown shall be the taxpayer's
principal place of business (or principal office, in the case of a
corporate taxpayer).
(5) The class(es) of special tax to which the taxpayer is subject.
(6) Ownership and control information: That is, the name, position,
and residence address of every owner of the business and of every person
having power to control its management and policies with respect to the
activity subject to special tax. ``Owner of the business'' shall include
every partner, if the taxpayer is a partnership, and every person owning
10% or more of its stock, if the taxpayer is a corporation. However, the
ownership and control information required by this paragraph need not be
stated if the same information has been previously provided to ATF in
connection with a license application under Part 478 of this chapter,
and if the information previously provided is still current.
(c) Multiple locations and/or classes of tax. A taxpayer subject to
special tax for the same period at more than one location or for more
than one class of tax shall--
(1) File one special tax return, ATF Form 5630.7, with payment of
tax, to

[[Page 90]]

cover all such locations and classes of tax; and
(2) Prepare, in duplicate, a list identified with the taxpayer's
name, address (as shown on ATF Form 5630.7), employer identification
number, and period covered by the return. The list shall show, by
States, the name, address, and tax class of each location for which
special tax is being paid. The original of the list shall be filed with
ATF in accordance with instructions on the return, and the copy shall be
retained at the taxpayer's principal place of business (or principal
office, in the case of a corporate taxpayer) for not less than 3 years.
(d) Signing of ATF Forms 5630.7--(1) Ordinary returns. The return of
an individual proprietor shall be signed by the individual. The return
of a partnership shall be signed by a general partner. The return of a
corporation shall be signed by any officer. In each case, the person
signing the return shall designate his or her capacity as ``individual
owner,'' ``member of firm,'' or, in the case of a corporation, the title
of the officer.
(2) Fiduciaries. Receivers, trustees, assignees, executors,
administrators, and other legal representatives who continue the
business of a bankrupt, insolvent, deceased person, etc., shall indicate
the fiduciary capacity in which they act.
(3) Agent or attorney in fact. If a return is signed by an agent or
attorney in fact, the signature shall be preceded by the name of the
principal and followed by the title of the agent or attorney in fact. A
return signed by a person as agent will not be accepted unless there is
filed, with the ATF office with which the return is required to be
filed, a power of attorney authorizing the agent to perform the act.
(4) Perjury statement. ATF Forms 5630.7 shall contain or be verified
by a written declaration that the return has been executed under the
penalties of perjury.
(e) Identification of taxpayer. If the taxpayer is an individual,
with the initial return such person shall securely attach to Form 5630.7
a photograph of the individual 2 x 2 inches in size, clearly showing a
full front view of the features of the individual with head bare, with
the distance from the top of the head to the point of the chin
approximately 1\1/4\ inches, and which shall have been taken within 6
months prior to the date of completion of the return. The individual
shall also attach to the return a properly completed FBI Form FD-258
(Fingerprint Card). The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them: Provided, That the provisions of this paragraph shall not apply to
individuals who have filed with ATF a properly executed Application for
License under 18 U.S.C. Chapter 44, Firearms, ATF Form 7 (5310.12), as
specified in Sec. 478.44(a).

(26 U.S.C. 5142, 5802, 5846, 6061, 6065, 6151)

[T.D. ATF-271, 53 FR 17551, May 17, 1988, as amended by T.D. ATF-363, 60
FR 17456, Apr. 6, 1995; ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 479.35 Employer identification number.

(a) Requirement. The employer identification number (defined in 26
CFR 301.7701-12) of the taxpayer who has been assigned such a number
shall be shown on each special tax return, including amended returns,
filed under this subpart. Failure of the taxpayer to include the
employer identification number may result in the imposition of the
penalty specified in Sec. 70.113 of this chapter.
(b) Application for employer identification number. Each taxpayer
who files a special tax return, who has not already been assigned an
employer identification number, shall file IRS Form SS-4 to apply for
one. The taxpayer shall apply for and be assigned only one employer
identification number, regardless of the number of places of business
for which the taxpayer is required to file a special tax return. The
employer identification number shall be applied for no later than 7 days
after the filing of the taxpayer's first special tax return. IRS Form
SS-4 may be obtained from the director of an IRS service center or from
any IRS district director.
(c) Preparation and filing of IRS Form SS-4. The taxpayer shall
prepare and file IRS Form SS-4, together with any

[[Page 91]]

supplementary statement, in accordance with the instructions on the form
or issued in respect to it.

(26 U.S.C. 6109)

[T.D. ATF-271, 53 FR 17551, May 17, 1988, as amended by T.D. ATF-301, 55
FR 47657, Nov. 14, 1990]

Sec. 479.36 The special tax stamp, receipt for special (occupational)
taxes.

Upon filing a properly completed and executed return (Form 5630.7)
accompanied by remittance of the full amount due, the taxpayer will be
issued a special tax stamp as evidence of payment of the special
(occupational) tax.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF-363, 60
FR 17456, Apr. 6, 1995]

Sec. 479.37 Certificates in lieu of stamps lost or destroyed.

When a special tax stamp has been lost or destroyed, such fact
should be reported immediately to the Chief, National Firearms Act
Branch who issued the stamp. A certificate in lieu of the lost or
destroyed stamp will be issued to the taxpayer upon the submission of an
affidavit showing to the satisfaction of the Chief, National Firearms
Act Branch that the stamp was lost or destroyed.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; ATF 2013R-9F, 79
FR 46693, Aug. 11, 2014]

Sec. 479.38 Engaging in business at more than one location.

A person shall pay the special (occupational) tax for each location
where he engages in any business taxable under 26 U.S.C. 5801. However,
a person paying a special (occupational) tax covering his principal
place of business may utilize other locations solely for storage of
firearms without incurring special (occupational) tax liability at such
locations. A manufacturer, upon the single payment of the appropriate
special (occupational) tax, may sell firearms, if such firearms are of
his own manufacture, at the place of manufacture and at his principal
office or place of business if no such firearms, except samples, are
kept at such office or place of business. When a person changes the
location of a business for which he has paid the special (occupational)
tax, he will be liable for another such tax unless the change is
properly registered with the Chief, National Firearms Act Branch for the
region in which the special tax stamp was issued, as provided in Sec.
479.46.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-251,
52 FR 19334, May 22, 1987; T.D. ATF-271, 53 FR 17551, May 17, 1988; ATF
2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 479.39 Engaging in more than one business at the same location.

If more than one business taxable under 26 U.S.C. 5801, is carried
on at the same location during a taxable year, the special
(occupational) tax imposed on each such business must be paid. This
section does not require a qualified manufacturer or importer to qualify
as a dealer if such manufacturer or importer also engages in business on
his qualified premises as a dealer. However, a qualified manufacturer
who engages in business as an importer must also qualify as an importer.
Further, a qualified dealer is not entitled to engage in business as a
manufacturer or importer.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-271,
53 FR 17551, May 17, 1988]

Sec. 479.40 Partnership liability.

Any number of persons doing business in partnership at any one
location shall be required to pay but one special (occupational) tax.

Sec. 479.41 Single sale.

A single sale, unattended by circumstances showing the one making
the sale to be engaged in business, does not create special
(occupational) tax liability.

[[Page 92]]

Change of Ownership

Sec. 479.42 Changes through death of owner.

Whenever any person who has paid special (occupational) tax dies,
the surviving spouse or child, or executors or administrators, or other
legal representatives, may carry on this business for the remainder of
the term for which tax has been paid and at the place (or places) for
which the tax was paid, without any additional payment, subject to the
following conditions. If the surviving spouse or child, or executor or
administrator, or other legal representative of the deceased taxpayer
continues the business, such person shall, within 30 days after the date
on which the successor begins to carry on the business, file a new
return, Form 5630.7, with ATF in accordance with the instructions on the
form. The return thus executed shall show the name of the original
taxpayer, together with the basis of the succession. (As to liability in
case of failure to register, see Sec. 479.49.)

[T.D. ATF-70, 45 FR 33979, May 21, 1980, as amended by T.D. ATF-251, 52
FR 19334, May 22, 1987; T.D. ATF-363, 60 FR 17456, Apr. 6, 1995]

Sec. 479.43 Changes through bankruptcy of owner.

A receiver or referee in bankruptcy may continue the business under
the stamp issued to the taxpayer at the place and for the period for
which the tax was paid. An assignee for the benefit of creditors may
continue business under his assignor's special tax stamp without
incurring additional special (occupational) tax liability. In such
cases, the change shall be registered with ATF in a manner similar to
that required by Sec. 479.42.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987]

Sec. 479.44 Change in partnership or unincorporated association.

When one or more members withdraw from a partnership or an
unincorporated association, the remaining member, or members, may,
without incurring additional special (occupational) tax liability, carry
on the same business at the same location for the balance of the taxable
period for which special (occupational) tax was paid, provided any such
change shall be registered in the same manner as required by Sec.
479.42. Where new member(s) are taken into a partnership or an
unincorporated association, the new firm so constituted may not carry on
business under the special tax stamp of the old firm. The new firm must
file a return, pay the special (occupational) tax and register in the
same manner as a person who first engages in business is required to do
under Sec. 479.34 even though the name of the new firm may be the same
as that of the old. Where the members of a partnership or an
unincorporated association, which has paid special (occupational) tax,
form a corporation to continue the business, a new special tax stamp
must be taken out in the name of the corporation.

Sec. 479.45 Changes in corporation.

Additional special (occupational) tax is not required by reason of a
mere change of name or increase in the capital stock of a corporation if
the laws of the State of incorporation provide for such change or
increase without the formation of a new corporation. A stockholder in a
corporation who after its dissolution continues the business, incurs new
special (occupational) tax liability.

Change of Business Location

Sec. 479.46 Notice by taxpayer.

Whenever during the taxable year a taxpayer intends to remove his
business to a location other than specified in his last special
(occupational) tax return (see Sec. 479.34), he shall file with ATF (a)
a return, Form 5630.7, bearing the notation ``Removal Registry,'' and
showing the new address intended to be used, (b) his current special tax
stamp, and (c) a letter application requesting the amendment of his
registration. The Chief, National Firearms Act Branch, upon approval of
the application, shall return the special tax stamp, amended to show the
new business location. Firearms operations shall not be commenced at the
new business location by

[[Page 93]]

the taxpayer prior to the required approval of his application to so
change his business location.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF-363, 60
FR 17456, Apr. 6, 1995; ATF 2013R-9F, 79 FR 46693, Aug 11, 2014]

Change of Trade Name

Sec. 479.47 Notice by taxpayer.

Whenever during the taxable year a taxpayer intends to change the
name of his business, he shall file with ATF (a) a return, Form 5630.7,
bearing the notation ``Amended,'' and showing the trade name intended to
be used, (b) his current special tax stamp, and (c) a letter application
requesting the amendment of his registration. The Chief, National
Firearms Act Branch, upon approval of the application, shall return the
special tax stamp, amended to show the new trade name. Firearms
operations shall not be commenced under the new trade name by the
taxpayer prior to the required approval of his application to so change
the trade name.

Penalties and Interest

Sec. 479.48 Failure to pay special (occupational) tax.

Any person who engages in a business taxable under 26 U.S.C. 5801,
without timely payment of the tax imposed with respect to such business
(see Sec. 479.34) shall be liable for such tax, plus the interest and
penalties thereon (see 26 U.S.C. 6601 and 6651). In addition, such
person may be liable for criminal penalties under 26 U.S.C. 5871.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]

Sec. 479.49 Failure to register change or removal.

Any person succeeding to and carrying on a business for which
special (occupational) tax has been paid without registering such change
within 30 days thereafter, and any taxpayer removing his business with
respect to which special (occupational) tax has been paid to a place
other than that for which tax was paid without obtaining approval
therefor (see Sec. 479.46), will incur liability to an additional
payment of the tax, addition to tax and interest, as provided in
sections 5801, 6651, and 6601, respectively, I.R.C., for failure to make
return (see Sec. 479.50) or pay tax, as well as criminal penalties for
carrying on business without payment of special (occupational) tax (see
section 5871 I.R.C.).

Sec. 479.50 Delinquency.

Any person liable for special (occupational) tax under section 5801,
I.R.C., who fails to file a return (Form 5630.7), as prescribed, will be
liable for a delinquency penalty computed on the amount of tax due
unless a return (Form 5630.7) is later filed and failure to file the
return timely is shown to the satisfaction of the Chief, National
Firearms Act Branch, to be due to reasonable cause. The delinquency
penalty to be added to the tax is 5 percent if the failure is for not
more than 1 month, with an additional 5 percent for each additional
month or fraction thereof during which failure continues, not to exceed
25 percent in the aggregate (section 6651, I.R.C.). However, no
delinquency penalty is assessed where the 50 percent addition to tax is
assessed for fraud (see Sec. 479.51).

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF-363, 60
FR 17453, Apr. 6, 1996; ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 479.51 Fraudulent return.

If any part of any underpayment of tax required to be shown on a
return is due to fraud, there shall be added to the tax an amount equal
to 50 percent of the underpayment, but no delinquency penalty shall be
assessed with respect to the same underpayment (section 6653, I.R.C.).

Application of State Laws

Sec. 479.52 State regulations.

Special tax stamps are merely receipts for the tax. Payment of tax
under Federal law confers no privilege

[[Page 94]]

to act contrary to State law. One to whom a special tax stamp has been
issued may still be punishable under a State law prohibiting or
controlling the manufacture, possession or transfer of firearms. On the
other hand, compliance with State law confers no immunity under Federal
law. Persons who engage in the business of importing, manufacturing or
dealing in firearms, in violation of the law of a State, are
nevertheless required to pay special (occupational) tax as imposed under
the internal revenue laws of the United States. For provisions relating
to restrictive use of information furnished to comply with the
provisions of this part see Sec. 479.23.

Subpart E_Tax on Making Firearms

Sec. 479.61 Rate of tax.

Except as provided in this subpart, there shall be levied,
collected, and paid upon the making of a firearm a tax at the rate of
$200 for each firearm made. This tax shall be paid by the person making
the firearm. Payment of the tax on the making of a firearm shall be
represented by a $200 adhesive stamp bearing the words ``National
Firearms Act.'' The stamps are maintained by the Director.

[T.D. ATF-270, 53 FR 10508, Mar. 31, 1988]

Application To Make a Firearm

Sec. 479.62 Application to make.

(a) General. No person shall make a firearm unless the person has
filed with the Director a completed application on ATF Form 1 (5320.1),
Application to Make and Register a Firearm, in duplicate, executed under
the penalties of perjury, to make and register the firearm and has
received the approval of the Director to make the firearm, which
approval shall effectuate registration of the firearm to the applicant.
If the applicant is not a licensed manufacturer, importer, or dealer
qualified under this part and is a partnership, company (including a
Limited Liability Company (LLC)), association, trust, or corporation,
all information on the Form 1 application shall be furnished for each
responsible person of the applicant
(b) Preparation of ATF Form 1. All of the information called for on
Form 1 shall be provided, including:
(1) The type of application, i.e., tax paid or tax exempt. If the
making of the firearm is taxable, the applicant shall submit a
remittance in the amount of $200 with the application in accordance with
the instructions on the form;
(2) The identity of the applicant. If an individual, the applicant
shall provide the applicant's name, address, and date of birth, and also
comply with the identification requirements prescribed in Sec.
479.63(a). If other than an individual, the applicant shall provide its
name, address, and employer identification number, if any, as well as
the name and address of each responsible person. Each responsible person
of the applicant also shall comply with the identification requirements
prescribed in Sec. 479.63(b);
(3) A description of the firearm to be made by type; caliber, gauge,
or size; model; length of barrel; serial number; other marks of
identification; and the name and address of the original manufacturer
(if the applicant is not the original manufacturer);
(4) The applicant's Federal firearms license number (if any);
(5) The applicant's special (occupational) tax stamp (if
applicable); and
(6) If the applicant (including, if other than an individual, any
responsible person) is an alien admitted under a nonimmigrant visa,
applicable documentation demonstrating that the nonimmigrant alien falls
within an exception to 18 U.S.C. 922(g)(5)(B) under 18 U.S.C. 922(y)(2),
or has obtained a waiver of that provision under 18 U.S.C. 922(y)(3).
(c) Notification of chief law enforcement officer. Prior to the
submission of the application to the Director, all applicants and
responsible persons shall forward a completed copy of Form 1 or a
completed copy of Form 5320.23, respectively, to the chief law
enforcement officer of the locality in which the applicant or
responsible person is located. The chief law enforcement officer is the
local chief of police, county sheriff, head of the State police, or
State or

[[Page 95]]

local district attorney or prosecutor. If the applicant is not a
licensed manufacturer, importer, or dealer qualified under this part and
is a partnership, company, association, or corporation, for purposes of
this section, it is considered located at its principal office or
principal place of business; if a trust, for purposes of this section,
it is considered located at the primary location at which the firearm
will be maintained.
(d) Approval of Form 1. If the application is approved, the Director
will affix a National Firearms Act stamp to the original application in
the space provided therefor and properly cancel the stamp (see Sec.
479.67). The approved application will then be returned to the
applicant.

[ATF-41F, 81 FR 2721, Jan. 15, 2016]

Sec. 479.63 Identification of applicant.

(a) If the applicant is an individual, the applicant shall:
(1) Securely attach to each copy of the Form 1, in the space
provided on the form, a 2 x 2-inch photograph of the applicant, clearly
showing a full front view of the features of the applicant with head
bare, with the distance from the top of the head to the point of the
chin approximately 1\1/4\ inches, and which shall have been taken within
1 year prior to the date of the application; and
(2) Attach to the application two properly completed FBI Forms FD-
258 (Fingerprint Card). The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(b) If the applicant is not a licensed manufacturer, importer, or
dealer qualified under this part and is a partnership, company
(including a Limited Liability Company (LLC)), association, trust, or
corporation, the applicant shall:
(1) Be identified on the Form 1 by the name and exact location of
the place of business, including the name and number of the building and
street, and the name of the county in which the business is located or,
in the case of a trust, the primary location at which the firearm will
be maintained. In the case of two or more locations, the address shown
shall be the principal place of business (or principal office, in the
case of a corporation) or, in the case of a trust, the primary location
at which the firearm will be maintained;
(2) Except as provided in paragraph (c) of this section, attach to
the application--
(i) Documentation evidencing the existence and validity of the
entity, which includes complete and unredacted copies of partnership
agreements, articles of incorporation, corporate registration, and
declarations of trust, with any trust schedules, attachments, exhibits,
and enclosures;
(ii) A completed ATF Form 5320.23 for each responsible person. Form
5320.23 requires certain identifying information, including each
responsible person's full name, position, home address, date of birth,
and country of citizenship if other than the United States;
(iii) In the space provided on Form 5320.23, a 2 x 2-inch photograph
of each responsible person, clearly showing a full front view of the
features of the responsible person with head bare, with the distance
from the top of the head to the point of the chin approximately 1\1/4\
inches, and which shall have been taken within 1 year prior to the date
of the application;
(iv) Two properly completed FBI Forms FD-258 (Fingerprint Card) for
each responsible person. The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(c) If the applicant entity has had an application approved as a
maker or transferee within the preceding 24 months, and there has been
no change to the documentation previously provided, the entity may
provide a certification that the information has not been changed since
the prior approval and shall identify the application for which the
documentation had been submitted by form number, serial number, and date
approved.

[ATF-41F, 81 FR 2721, Jan. 15, 2016]

Sec. 479.64 Procedure for approval of application.

The application to make a firearm, Form 1 (Firearms), must be
forwarded directly, in duplicate, by the maker of

[[Page 96]]

the firearm to the Director in accordance with the instructions on the
form. The Director will consider the application for approval or
disapproval. If the application is approved, the Director will return
the original thereof to the maker of the firearm and retain the
duplicate. Upon receipt of the approved application, the maker is
authorized to make the firearm described therein. The maker of the
firearm shall not, under any circumstances, make the firearm until the
application, satisfactorily executed, has been forwarded to the Director
and has been approved and returned by the Director with the National
Firearms Act stamp affixed. If the application is disapproved, the
original Form 1 (Firearms) and the remittance submitted by the applicant
for the purchase of the stamp will be returned to the applicant with the
reason for disapproval stated on the form.

[T.D. ATF-270, 53 FR 10509, Mar. 31, 1988]

Sec. 479.65 Denial of application.

An application to make a firearm shall not be approved by the
Director if the making or possession of the firearm would place the
person making the firearm in violation of law.

Sec. 479.66 Subsequent transfer of firearms.

Where a firearm which has been made in compliance with 26 U.S.C.
5821, and the regulations contained in this part, is to be transferred
subsequently, the transfer provisions of the firearms laws and
regulations must be complied with. (See subpart F of this part).

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]

Sec. 479.67 Cancellation of stamp.

The person affixing to a Form 1 (Firearms) a ``National Firearms
Act'' stamp shall cancel it by writing or stamping thereon, in ink, his
initials, and the day, month and year, in such manner as to render it
unfit for reuse. The cancellation shall not so deface the stamp as to
prevent its denomination and genuineness from being readily determined.

Exceptions to Tax on Making Firearms

Sec. 479.68 Qualified manufacturer.

A manufacturer qualified under this part to engage in such business
may make firearms without payment of the making tax. However, such
manufacturer shall report and register each firearm made in the manner
prescribed by this part.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-271, 53 FR 17551, May 17, 1988]

Sec. 479.69 Making a firearm for the United States.

A firearm may be made by, or on behalf of, the United States or any
department, independent establishment, or agency thereof without payment
of the making tax. However, if a firearm is to be made on behalf of the
United States, the maker must file an application, in duplicate, on Form
1 (Firearms) and obtain the approval of the Director in the manner
prescribed in Sec. 479.62.

Sec. 479.70 Certain government entities.

A firearm may be made without payment of the making tax by, or on
behalf of, any State, or possession of the United States, any political
subdivision thereof, or any official police organization of such a
government entity engaged in criminal investigations. Any person making
a firearm under this exemption shall first file an application, in
duplicate, on Form 1 (Firearms) and obtain the approval of the Director
as prescribed in Sec. 479.62.

Registration

Sec. 479.71 Proof of registration.

The approval by the Director of an application, Form 1 (Firearms),
to make a firearm under this subpart shall effectuate registration of
the firearm described in the Form 1 (Firearms) to the person making the
firearm. The original Form 1 (Firearms) showing approval by the Director
shall be retained by the maker to establish proof of his registration of
the firearm described therein, and shall be made available to any ATF
officer on request.

[[Page 97]]

Subpart F_Transfer Tax

Sec. 479.81 Scope of tax.

Except as otherwise provided in this part, each transfer of a
firearm in the United States is subject to a tax to be represented by an
adhesive stamp of the proper denomination bearing the words ``National
Firearms Act'' to be affixed to the Form 4 (Firearms), Application for
Transfer and Registration of Firearm, as provided in this subpart.

Sec. 479.82 Rate of tax.

The transfer tax imposed with respect to firearms transferred within
the United States is at the rate of $200 for each firearm transferred,
except that the transfer tax on any firearm classified as ``any other
weapon'' shall be at the rate of $5 for each such firearm transferred.
The tax imposed on the transfer of the firearm shall be paid by the
transferor.

Sec. 479.83 Transfer tax in addition to import duty.

The transfer tax imposed by section 5811, I.R.C., is in addition to
any import duty.

Application and Order for Transfer of Firearm

Sec. 479.84 Application to transfer.

(a) General. Except as otherwise provided in this subpart, no
firearm may be transferred in the United States unless an application,
Form 4 (5320.4), Application for Tax Paid Transfer and Registration of
Firearm, in duplicate, executed under the penalties of perjury, to
transfer the firearm and register it to the transferee has been filed
with and approved by the Director. The application shall be filed by the
transferor. If the transferee is not a licensed manufacturer, importer,
or dealer qualified under this part and is a partnership, company
(including a Limited Liability Company (LLC)), association, trust, or
corporation, all information on the Form 4 application shall be
furnished for each responsible person of the transferee.
(b) Preparation of ATF Form 4. All of the information called for on
Form 4 shall be provided, including:
(1) The type of firearm being transferred. If the firearm is other
than one classified as ``any other weapon,'' the applicant shall submit
a remittance in the amount of $200 with the application in accordance
with the instructions on the form. If the firearm is classified as ``any
other weapon,'' the applicant shall submit a remittance in the amount of
$5;
(2) The identity of the transferor by name and address and, if the
transferor is other than a natural person, the title or legal status of
the person executing the application in relation to the transferor;
(3) The transferor's Federal firearms license number (if any);
(4) The transferor's special (occupational) tax stamp (if any);
(5) The identity of the transferee by name and address and, if the
transferee is a person not qualified as a manufacturer, importer, or
dealer under this part, the transferee shall be further identified in
the manner prescribed in Sec. 479.85;
(6) The transferee's Federal firearms license number (if any);
(7) The transferee's special (occupational) tax stamp (if
applicable); and
(8) A description of the firearm to be transferred by name and
address of the manufacturer or importer (if known); caliber, gauge, or
size; model; serial number; in the case of a short-barreled shotgun or a
short-barreled rifle, the length of the barrel; in the case of a weapon
made from a rifle or shotgun, the overall length of the weapon and the
length of the barrel; and any other identifying marks on the firearm. In
the event the firearm does not bear a serial number, the applicant shall
obtain a serial number from ATF and shall stamp (impress) or otherwise
conspicuously place such serial number on the firearm in a manner not
susceptible of being readily obliterated, altered, or removed.
(9) If the transferee (including, if other than an individual, any
responsible person) is an alien admitted under a nonimmigrant visa,
applicable documentation demonstrating that the nonimmigrant alien falls
within an exception to 18 U.S.C. 922(g)(5)(B) under 18

[[Page 98]]

U.S.C. 922(y)(2), or has obtained a waiver of that provision under 18
U.S.C. 922(y)(3).
(c) Notification of chief law enforcement officer. Prior to the
submission of the application to the Director, all transferees and
responsible persons shall forward a completed copy of Form 4 or a
completed copy of Form 5320.23, respectively, to the chief law
enforcement officer of the locality in which the transferee or
responsible person is located. The chief law enforcement officer is the
local chief of police, county sheriff, head of the State police, State
or local district attorney or prosecutor. If the transferee is not a
licensed manufacturer, importer, or dealer qualified under this part and
is a partnership, company, association, or corporation, for purposes of
this section, it is considered located at its principal office or
principal place of business; if the transferee is not a licensed
manufacturer, importer, or dealer qualified under this part and is a
trust, for purposes of this section, it is considered located at the
primary location at which the firearm will be maintained.
(d) Approval of Form 4. If the application is approved, the Director
will affix a National Firearms Act stamp to the original application in
the space provided therefor and properly cancel the stamp (see Sec.
479.87). The approved application will then be returned to the
transferor.

[ATF-41F, 81 FR 2722, Jan. 15, 2016]

Sec. 479.85 Identification of transferee.

(a) If the transferee is an individual, such person shall:
(1) Securely attach to each copy of the Form 4, in the space
provided on the form, a 2 x 2-inch photograph of the applicant, clearly
showing a full front view of the features of the applicant with head
bare, with the distance from the top of the head to the point of the
chin approximately 1\1/4\ inches, and which shall have been taken within
1 year prior to the date of the application; and
(2) Attach to the application two properly completed FBI Forms FD-
258 (Fingerprint Card). The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(b) If the transferee is not a licensed manufacturer, importer, or
dealer qualified under this part and is a partnership, company,
association, trust, or corporation, such person shall:
(1) Be identified on the Form 4 by the name and exact location of
the place of business, including the name and number of the building and
street, and the name of the county in which the business is located or,
in the case of a trust, the primary location at which the firearm will
be maintained. In the case of two or more locations, the address shown
shall be the principal place of business (or principal office, in the
case of a corporation) or, in the case of a trust, the primary location
at which the firearm will be maintained;
(2) Except as provided in paragraph (c) of this section, attach to
the application--
(i) Documentation evidencing the existence and validity of the
entity, which includes complete and unredacted copies of partnership
agreements, articles of incorporation, corporate registration, and
declarations of trust, with any trust schedules, attachments, exhibits,
and enclosures;
(ii) A completed ATF Form 5320.23 for each responsible person. Form
5320.23 requires certain identifying information, including the
responsible person's full name, position, home address, date of birth,
and country of citizenship if other than the United States;
(iii) In the space provided on Form 5320.23, a 2 x 2-inch photograph
of each responsible person, clearly showing a full front view of the
features of the responsible person with head bare, with the distance
from the top of the head to the point of the chin approximately 1\1/4\
inches, and which shall have been taken within 1 year prior to the date
of the application; and
(iv) Two properly completed FBI Forms FD-258 (Fingerprint Card) for
each responsible person. The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(c) If the applicant entity has had an application approved as a
maker or transferee within the preceding 24 months, and there has been
no change

[[Page 99]]

to the documentation previously provided, the entity may provide a
certification that the information has not been changed since the prior
approval and shall identify the application for which the documentation
had been submitted by form number, serial number, and date approved.

[ATF-41F, 81 FR 2722, Jan. 15, 2016]

Sec. 479.86 Action on application.

The Director will consider a completed and properly executed
application, Form 4 (Firearms), to transfer a firearm. If the
application is approved, the Director will affix the appropriate
National Firearms Act stamp, cancel it, and return the original
application showing approval to the transferor who may then transfer the
firearm to the transferee along with the approved application. The
approval of an application, Form 4 (Firearms), by the Director will
effectuate registration of the firearm to the transferee. The transferee
shall not take possession of a firearm until the application, Form 4
(Firearms), for the transfer filed by the transferor has been approved
by the Director and registration of the firearm is effectuated to the
transferee. The transferee shall retain the approved application as
proof that the firearm described therein is registered to the
transferee, and shall make the approved Form 4 (Firearms) available to
any ATF officer on request. If the application, Form 4 (Firearms), to
transfer a firearm is disapproved by the Director, the original
application and the remittance for purchase of the stamp will be
returned to the transferor with reasons for the disapproval stated on
the application. An application, Form 4 (Firearms), to transfer a
firearm shall be denied if the transfer, receipt, or possession of a
firearm would place the transferee in violation of law. In addition to
any other records checks that may be conducted to determine whether the
transfer, receipt, or possession of a firearm would place the transferee
in violation of law, the Director shall contact the National Instant
Criminal Background Check System.

[T.D. ATF-270, 53 FR 10509, Mar. 31, 1988, as amended by T.D. ATF-415,
63 FR 58281, Oct. 29, 1998]

Sec. 479.87 Cancellation of stamp.

The method of cancellation of the stamp required by this subpart as
prescribed in Sec. 479.67 shall be used.

Exemptions Relating to Transfers of Firearms

Sec. 479.88 Special (occupational) taxpayers.

(a) A firearm registered to a person qualified under this part to
engage in business as an importer, manufacturer, or dealer may be
transferred by that person without payment of the transfer tax to any
other person qualified under this part to manufacture, import, or deal
in firearms.
(b) The exemption provided in paragraph (a) of this section shall be
obtained by the transferor of the firearm filing with the Director an
application, Form 3 (Firearms), Application for Tax-exempt Transfer of
Firearm and Registration to Special (Occupational) Taxpayer, in
duplicate, executed under the penalties of perjury. The application,
Form 3 (Firearms), shall (1) show the name and address of the transferor
and of the transferee, (2) identify the Federal firearms license and
special (occupational) tax stamp of the transferor and of the
transferee, (3) show the name and address of the manufacturer and the
importer of the firearm, if known, (4) show the type, model, overall
length (if applicable), length of barrel, caliber, gauge or size, serial
number, and other marks of identification of the firearm, and (5)
contain a statement by the transferor that he is entitled to the
exemption because the transferee is a person qualified under this part
to manufacture, import, or deal in firearms. If the Director approves an
application, Form 3 (Firearms), he shall return the original Form 3
(Firearms) to the transferor with the approval noted thereon. Approval
of an application, Form 3 (Firearms), by the Director shall remove
registration of the firearm reported thereon from the transferor and
shall effectuate the registration of that firearm to the transferee.
Upon receipt of the approved Form 3 (Firearms), the transferor shall
deliver same with the firearm to the transferee. The transferor shall
not transfer the firearm to

[[Page 100]]

the transferee until his application, Form 3 (Firearms), has been
approved by the Director and the original thereof has been returned to
the transferor. If the Director disapproves the application, Form 3
(Firearms), he shall return the original Form 3 (Firearms) to the
transferor with the reasons for the disapproval stated thereon.
(c) The transferor shall be responsible for establishing the exempt
status of the transferee before making a transfer under the provisions
of this section. Therefore, before engaging in transfer negotiations
with the transferee, the transferor should satisfy himself as to the
claimed exempt status of the transferee and the bona fides of the
transaction. If not fully satisfied, the transferor should communicate
with the Director, report all circumstances regarding the proposed
transfer, and await the Director's advice before making application for
the transfer. An unapproved transfer or a transfer to an unauthorized
person may subject the transferor to civil and criminal liabilities.
(See 26 U.S.C. 5852, 5861, and 5871.)

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-271,
53 FR 17551, May 17, 1988]

Sec. 479.89 Transfers to the United States.

A firearm may be transferred to the United States or any department,
independent establishment or agency thereof without payment of the
transfer tax. However, the procedures for the transfer of a firearm as
provided in Sec. 479.90 shall be followed in a tax-exempt transfer of a
firearm under this section, unless the transferor is relieved of such
requirement under other provisions of this part.

Sec. 479.90 Certain government entities.

(a) A firearm may be transferred without payment of the transfer tax
to or from any State, possession of the United States, any political
subdivision thereof, or any official police organization of such a
governmental entity engaged in criminal investigations.
(b) The exemption provided in paragraph (a) of this section shall be
obtained by the transferor of the firearm filing with the Director an
application, Form 5 (Firearms), Application for Tax-exempt Transfer and
Registration of Firearm, in duplicate, executed under the penalties of
perjury. The application shall (1) show the name and address of the
transferor and of the transferee, (2) identify the Federal firearms
license and special (occupational) tax stamp, if any, of the transferor
and of the transferee, (3) show the name and address of the manufacturer
and the importer of the firearm, if known, (4) show the type, model,
overall length (if applicable), length of barrel, caliber, gauge or
size, serial number, and other marks of identification of the firearm,
and (5) contain a statement by the transferor that the transferor is
entitled to the exemption because either the transferor or the
transferee is a governmental entity coming within the purview of
paragraph (a) of this section. In the case of a transfer of a firearm by
a governmental entity to a transferee who is a person not qualified as a
manufacturer, importer, or dealer under this part, the transferee shall
be further identified in the manner prescribed in Sec. 479.85. If the
Director approves an application, Form 5 (Firearms), the original Form 5
(Firearms) shall be returned to the transferor with the approval noted
thereon. Approval of an application, Form 5 (Firearms), by the Director
shall effectuate the registration of that firearm to the transferee.
Upon receipt of the approved Form 5 (Firearms), the transferor shall
deliver same with the firearm to the transferee. The transferor shall
not transfer the firearm to the transferee until the application, Form 5
(Firearms), has been approved by the Director and the original thereof
has been returned to the transferor. If the Director disapproves the
application, Form 5 (Firearms), the original Form 5 (Firearms) shall be
returned to the transferor with the reasons for the disapproval stated
thereon. An application by a governmental entity to transfer a firearm
shall be denied if the transfer, receipt, or possession of a firearm
would place the transferee in violation of law.
(c) The transferor shall be responsible for establishing the exempt
status of the transferee before making a

[[Page 101]]

transfer under the provisions of this section. Therefore, before
engaging in transfer negotiations with the transferee, the transferor
should satisfy himself of the claimed exempt status of the transferee
and the bona fides of the transaction. If not fully satisfied, the
transferor should communicate with the Director, report all
circumstances regarding the proposed transfer, and await the Director's
advice before making application for transfer. An unapproved transfer or
a transfer to an unauthorized person may subject the transferor to civil
and criminal liabilities. (See 26 U.S.C. 5852, 5861, and 5871.)

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-241,
51 FR 39632, Oct. 29, 1986; T.D. ATF-270, 53 FR 10510, Mar. 31, 1988;
ATF-41F, 81 FR 2723, Jan. 15, 2016]

Sec. 479.90a Estates.

(a) The executor, administrator, personal representative, or other
person authorized under State law to dispose of property in an estate
(collectively ``executor'') may possess a firearm registered to a
decedent during the term of probate without such possession being
treated as a ``transfer'' as defined in Sec. 479.11. No later than the
close of probate, the executor must submit an application to transfer
the firearm to beneficiaries or other transferees in accordance with
this section. If the transfer is to a beneficiary, the executor shall
file an ATF Form 5 (5320.5), Application for Tax Exempt Transfer and
Registration of Firearm, to register a firearm to any beneficiary of an
estate in accordance with Sec. 479.90. The executor will identify the
estate as the transferor, and will sign the form on behalf of the
decedent, showing the executor's title (e.g., executor, administrator,
personal representative, etc.) and the date of filing. The executor must
also provide the documentation prescribed in paragraph (c) of this
section.
(b) If there are no beneficiaries of the estate or the beneficiaries
do not wish to possess the registered firearm, the executor will dispose
of the property outside the estate (i.e., to a non-beneficiary). The
executor shall file an ATF Form 4 (5320.4), Application for Tax Paid
Transfer and Registration of Firearm, in accordance with Sec. 479.84.
The executor, administrator, personal representative, or other
authorized person must also provide documentation prescribed in
paragraph (c) of this section.
(c) The executor, administrator, personal representative, or other
person authorized under State law to dispose of property in an estate
shall submit with the transfer application documentation of the person's
appointment as executor, administrator, personal representative, or as
an authorized person, a copy of the decedent's death certificate, a copy
of the will (if any), any other evidence of the person's authority to
dispose of property, and any other document relating to, or affecting
the disposition of firearms from the estate.

[ATF-41F, 81 FR 2723, Jan. 15, 2016]

Sec. 479.91 Unserviceable firearms.

An unserviceable firearm may be transferred as a curio or ornament
without payment of the transfer tax. However, the procedures for the
transfer of a firearm as provided in Sec. 479.90 shall be followed in a
tax-exempt transfer of a firearm under this section, except a statement
shall be entered on the transfer application, Form 5 (Firearms), by the
transferor that he is entitled to the exemption because the firearm to
be transferred is unservicable and is being transferred as a curio or
ornament. An unapproved transfer, the transfer of a firearm under the
provisions of this section which is in fact not an unserviceable
firearm, or the transfer of an unserviceable firearm as something other
than a curio or ornament, may subject the transferor to civil and
criminal liabilities. (See 26 U.S.C. 5811, 5852, 5861, and 5871.)

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55843, Sept. 28, 1979]

Sec. 479.92 Transportation of firearms to effect transfer.

Notwithstanding any provision of Sec. 478.28 of this chapter, it
shall not be

[[Page 102]]

required that authorization be obtained from the Director for the
transportation in interstate or foreign commerce of a firearm in order
to effect the transfer of a firearm authorized under the provisions of
this subpart.

[T.D. ATF-270, 53 FR 10510, Mar. 31, 1988]

Other Provisions

Sec. 479.93 Transfers of firearms to certain persons.

Where the transfer of a destructive device, machine gun, short-
barreled shotgun, or short-barreled rifle is to be made by a person
licensed under the provisions of Title I of the Gun Control Act of 1968
(82 Stat. 1213) to a person not so licensed, the sworn statement
required by Sec. 478.98 of this chapter shall be attached to and
accompany the transfer application required by this subpart.

Subpart G_Registration and Identification of Firearms

Sec. 479.101 Registration of firearms.

(a) The Director shall maintain a central registry of all firearms
in the United States which are not in the possession of or under the
control of the United States. This registry shall be known as the
National Firearms Registration and Transfer Record and shall include:
(1) Identification of the firearm as required by this part;
(2) Date of registration; and
(3) Identification and address of person entitled to possession of
the firearm as required by this part.
(b) Each manufacturer, importer, and maker shall register each
firearm he manufactures, imports, or makes in the manner prescribed by
this part. Each firearm transferred shall be registered to the
transferee by the transferor in the manner prescribed by this part. No
firearm may be registered by a person unlawfully in possession of the
firearm except during an amnesty period established under section 207 of
the Gun Control Act of 1968 (82 Stat. 1235).
(c) A person shown as possessing firearms by the records maintained
by the Director pursuant to the National Firearms Act (26 U.S.C. Chapter
53) in force on October 31, 1968, shall be considered to have registered
the firearms in his possession which are disclosed by that record as
being in his possession on October 31, 1968.
(d) The National Firearms Registration and Transfer Record shall
include firearms registered to the possessors thereof under the
provisions of section 207 of the Gun Control Act of 1968.
(e) A person possessing a firearm registered to him shall retain
proof of registration which shall be made available to any ATF officer
upon request.
(f) A firearm not identified as required by this part shall not be
registered.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55843, Sept. 28, 1979]

Sec. 479.102 How must firearms be identified?

(a) You, as a manufacturer, importer, or maker of a firearm, must
legibly identify the firearm as follows:
(1) By engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped
(impressed) or placed on the frame or receiver thereof an individual
serial number. The serial number must be placed in a manner not
susceptible of being readily obliterated, altered, or removed, and must
not duplicate any serial number placed by you on any other firearm. For
firearms manufactured, imported, or made on and after January 30, 2002,
the engraving, casting, or stamping (impressing) of the serial number
must be to a minimum depth of .003 inch and in a print size no smaller
than \1/16\ inch; and
(2) By engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped
(impressed), or placed on the frame, receiver, or barrel thereof certain
additional information. This information must be placed in a manner not
susceptible of being readily obliterated, altered or removed. For
firearms manufactured, imported, or made on and after January 30, 2002,
the engraving, casting, or stamping (impressing) of this information
must be to a minimum depth of .003 inch. The additional information
includes:

[[Page 103]]

(i) The model, if such designation has been made;
(ii) The caliber or gauge;
(iii) Your name (or recognized abbreviation) and also, when
applicable, the name of the foreign manufacturer or maker;
(iv) In the case of a domestically made firearm, the city and State
(or recognized abbreviation thereof) where you as the manufacturer
maintain your place of business, or where you, as the maker, made the
firearm; and
(v) In the case of an imported firearm, the name of the country in
which it was manufactured and the city and State (or recognized
abbreviation thereof) where you as the importer maintain your place of
business. For additional requirements relating to imported firearms, see
Customs regulations at 19 CFR part 134.
(b) The depth of all markings required by this section will be
measured from the flat surface of the metal and not the peaks or ridges.
The height of serial numbers required by paragraph (a)(1) of this
section will be measured as the distance between the latitudinal ends of
the character impression bottoms (bases).
(c) The Director may authorize other means of identification upon
receipt of a letter application from you, submitted in duplicate,
showing that such other identification is reasonable and will not hinder
the effective administration of this part.
(d) In the case of a destructive device, the Director may authorize
other means of identifying that weapon upon receipt of a letter
application from you, submitted in duplicate, showing that engraving,
casting, or stamping (impressing) such a weapon would be dangerous or
impracticable.
(e) A firearm frame or receiver that is not a component part of a
complete weapon at the time it is sold, shipped, or otherwise disposed
of by you must be identified as required by this section.
(f)(1) Any part defined as a machine gun, muffler, or silencer for
the purposes of this part that is not a component part of a complete
firearm at the time it is sold, shipped, or otherwise disposed of by you
must be identified as required by this section.
(2) The Director may authorize other means of identification of
parts defined as machine guns other than frames or receivers and parts
defined as mufflers or silencers upon receipt of a letter application
from you, submitted in duplicate, showing that such other identification
is reasonable and will not hinder the effective administration of this
part.

(Approved by the Office of Management and Budget under control number
1140-0050)

[T.D. ATF-461, 66 FR 40601, Aug. 3, 2001, as amended by ATF-11F, 73 FR
57242, Oct. 2, 2008]

Sec. 479.103 Registration of firearms manufactured.

Each manufacturer qualified under this part shall file with the
Director an accurate notice on Form 2 (Firearms), Notice of Firearms
Manufactured or Imported, executed under the penalties of perjury, to
show his manufacture of firearms. The notice shall set forth the name
and address of the manufacturer, identify his special (occupational) tax
stamp and Federal firearms license, and show the date of manufacture,
the type, model, length of barrel, overall length, caliber, gauge or
size, serial numbers, and other marks of identification of the firearms
he manufactures, and the place where the manufactured firearms will be
kept. All firearms manufactured by him during a single day shall be
included on one notice, Form 2 (Firearms), filed by the manufacturer no
later than the close of the next business day. The manufacturer shall
prepare the notice, Form 2 (Firearms), in duplicate, file the original
notice as prescribed herein and keep the copy with the records required
by subpart I of this part at the premises covered by his special
(occupational) tax stamp. Receipt of the notice, Form 2 (Firearms), by
the Director shall effectuate the registration of the firearms listed on
that notice. The requirements of this part relating to the transfer of a
firearm are applicable to transfers by qualified manufacturers.

[[Page 104]]

Sec. 479.104 Registration of firearms by certain governmental
entities.

Any State, any political subdivision thereof, or any official police
organization of such a government entity engaged in criminal
investigations, which acquires for official use a firearm not registered
to it, such as by abandonment or by forfeiture, will register such
firearm with the Director by filing Form 10 (Firearms), Registration of
Firearms Acquired by Certain Governmental Entities, and such
registration shall become a part of the National Firearms Registration
and Transfer Record. The application shall identify the applicant,
describe each firearm covered by the application, show the location
where each firearm usually will be kept, and, if the firearm is
unserviceable, the application shall show how the firearm was made
unserviceable. This section shall not apply to a firearm merely being
held for use as evidence in a criminal proceeding. The Form 10
(Firearms) shall be executed in duplicate in accordance with the
instructions thereon. Upon registering the firearm, the Director shall
return the original Form 10 (Firearms) to the registrant with
notification thereon that registration of the firearm has been made. The
registration of any firearm under this section is for official use only
and a subsequent transfer will be approved only to other governmental
entities for official use.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39633, Oct. 29, 1986; T.D. ATF-270,
53 FR 10510, Mar. 31, 1988]

Machine Guns

Sec. 479.105 Transfer and possession of machine guns.

(a) General. As provided by 26 U.S.C. 5812 and 26 U.S.C. 5822, an
application to make or transfer a firearm shall be denied if the making,
transfer, receipt, or possession of the firearm would place the maker or
transferee in violation of law. Section 922(o), Title 18, U.S.C., makes
it unlawful for any person to transfer or possess a machine gun, except
a transfer to or by, or possession by or under the authority of, the
United States or any department or agency thereof or a State, or a
department, agency, or political subdivision thereof; or any lawful
transfer or lawful possession of a machine gun that was lawfully
possessed before May 19, 1986. Therefore, notwithstanding any other
provision of this part, no application to make, transfer, or import a
machine gun will be approved except as provided by this section.
(b) Machine guns lawfully possessed prior to May 19, 1986. A machine
gun possessed in compliance with the provisions of this part prior to
May 19, 1986, may continue to be lawfully possessed by the person to
whom the machine gun is registered and may, upon compliance with the
provisions of this part, be lawfully transferred to and possessed by the
transferee.
(c) Importation and manufacture. Subject to compliance with the
provisions of this part, importers and manufacturers qualified under
this part may import and manufacture machine guns on or after May 19,
1986, for sale or distribution to any department or agency of the United
States or any State or political subdivision thereof, or for use by
dealers qualified under this part as sales samples as provided in
paragraph (d) of this section. The registration of such machine guns
under this part and their subsequent transfer shall be conditioned upon
and restricted to the sale or distribution of such weapons for the
official use of Federal, State or local governmental entities. Subject
to compliance with the provisions of this part, manufacturers qualified
under this part may manufacture machine guns on or after May 19, 1986,
for exportation in compliance with the Arms Export Control Act (22
U.S.C. 2778) and regulations prescribed thereunder by the Department of
State.
(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 dealers qualified
under this part will be approved if it is established by specific
information the expected governmental customers who would require a
demonstration of the weapon, information as to the availability of the
machine gun to fill subsequent orders, and letters from governmental
entities expressing a need for a particular model

[[Page 105]]

or interest in seeing a demonstration of a particular weapon.
Applications to transfer more than one machine gun of a particular model
to a dealer must also establish the dealer's need for the quantity of
samples sought to be transferred.
(e) The making of machine guns on or after May 19, 1986. Subject to
compliance with the provisions of this part, applications to make and
register machine guns on or after May 19, 1986, for the benefit of a
Federal, State or local governmental entity (e.g., an invention for
possible future use of a governmental entity or the making of a weapon
in connection with research and development on behalf of such an entity)
will be approved if it is established by specific information that the
machine gun is particularly suitable for use by Federal, State or local
governmental entities and that the making of the weapon is at the
request and on behalf of such an entity.
(f) Discontinuance of business. Since section 922(o), Title 18,
U.S.C., makes it unlawful to transfer or possess a machine gun except as
provided in the law, any qualified manufacturer, importer, or dealer
intending to discontinue business shall, prior to going out of business,
transfer in compliance with the provisions of this part any machine gun
manufactured or imported after May 19, 1986, to a Federal, State or
local governmental entity, qualified manufacturer, qualified importer,
or, subject to the provisions of paragraph (d) of this section, dealer
qualified to possess such, machine gun.

[T.D. ATF-270, 53 FR 10510, Mar. 31, 1988]

Subpart H_Importation and Exportation

Importation

Sec. 479.111 Procedure.

(a) No firearm shall be imported or brought into the United States
or any territory under its control or jurisdiction unless the person
importing or bringing in the firearm establishes to the satisfaction of
the Director that the firearm to be imported or brought in is being
imported or brought in for:
(1) The use of the United States or any department, independent
establishment, or agency thereof or any State or possession or any
political subdivision thereof; or
(2) Scientific or research purposes; or
(3) Testing or use as a model by a registered manufacturer or solely
for use as a sample by a registered importer or registered dealer.

The burden of proof is affirmatively on any person importing or bringing
the firearm into the United States or any territory under its control or
jurisdiction to show that the firearm is being imported or brought in
under one of the above paragraphs. Any person desiring to import or
bring a firearm into the United States under this paragraph shall file
with the Director an application on Form 6 (Firearms), Application and
Permit for Importation of Firearms, Ammunition and Implements of War, in
triplicate, executed under the penalties of perjury. The application
shall show the information required by subpart G of Part 478 of this
chapter. A detailed explanation of why the importation of the firearm
falls within the standards set out in this paragraph shall be attached
to the application. The person seeking to import or bring in the firearm
will be notified of the approval or disapproval of his application. If
the application is approved, the original Form 6 (Firearms) will be
returned to the applicant showing such approval and he will present the
approved application, Form 6 (Firearms), to the Customs officer at the
port of importation. The approval of an application to import a firearm
shall be automatically terminated at the expiration of two years from
the date of approval unless, upon request, it is further extended by the
Director. If the firearm described in the approved application is not
imported prior to the expiration of the approval, the Director shall be
so notified. Customs officers will not permit release of a firearm from
Customs custody, except for exportation, unless covered by an
application which has been approved by the Director and which is
currently effective. The importation or bringing in of a firearm not
covered by an approved application may subject the person responsible to
civil and criminal liabilities. (26 U.S.C. 5861, 5871, and 5872.)

[[Page 106]]

(b) Part 478 of this chapter also contains requirements and
procedures for the importation of firearms into the United States. A
firearm may not be imported into the United States under this part
unless those requirements and procedures are also complied with by the
person importing the firearm.
(c) The provisions of this subpart shall not be construed as
prohibiting the return to the United States or any territory under its
control or jurisdiction of a firearm by a person who can establish to
the satisfaction of Customs that (1) the firearm was taken out of the
United States or any territory under its control or jurisdiction by such
person, (2) the firearm is registered to that person, and (3) if
appropriate, the authorization required by Part 478 of this chapter for
the transportation of such a firearm in interstate or foreign commerce
has been obtained by such person.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55843, Sept. 28, 1979; ATF-325, 57 FR
29787, July 7, 1992; ATF-26F, 79 FR 7396, Feb. 7, 2014]

Sec. 479.112 Registration of imported firearms.

(a) Each importer shall file with the Director an accurate notice on
Form 2 (Firearms), Notice of Firearms Manufactured or Imported, executed
under the penalties of perjury, showing the importation of a firearm.
The notice shall set forth the name and address of the importer,
identify the importer's special (occupational) tax stamp and Federal
firearms license, and show the import permit number, the date of release
from Customs custody, the type, model, length of barrel, overall length,
caliber, gauge or size, serial number, and other marks of identification
of the firearm imported, and the place where the imported firearm will
be kept. The Form 2 (Firearms) covering an imported firearm shall be
filed by the importer no later than fifteen (15) days from the date the
firearm was released from Customs custody. The importer shall prepare
the notice, Form 2 (Firearms), in duplicate, file the original return as
prescribed herein, and keep the copy with the records required by
subpart I of this part at the premises covered by the special
(occupational) tax stamp. The timely receipt by the Director of the
notice, Form 2 (Firearms), and the timely receipt by the Director of the
copy of Form 6A (Firearms), Release and Receipt of Imported Firearms,
Ammunition and Implements of War, required by Sec. 478.112 of this
chapter, covering the weapon reported on the Form 2 (Firearms) by the
qualified importer, shall effectuate the registration of the firearm to
the importer.
(b) The requirements of this part relating to the transfer of a
firearm are applicable to the transfer of imported firearms by a
qualified importer or any other person.
(c) Subject to compliance with the provisions of this part, an
application, Form 6 (Firearms), to import a firearm by an importer or
dealer qualified under this part, for use as a sample in connection with
sales of such firearms to Federal, State or local governmental entities,
will be approved if it is established by specific information attached
to the application that the firearm is suitable or potentially suitable
for use by such entities. Such information must show why a sales sample
of a particular firearm is suitable for such use and the expected
governmental customers who would require a demonstration of the firearm.
Information as to the availability of the firearm to fill subsequent
orders and letters from governmental entities expressing a need for a
particular model or interest in seeing a demonstration of a particular
firearm would establish suitability for governmental use. Applications
to import more than one firearm of a particular model for use as a
sample by an importer or dealer must also establish the importer's or
dealer's need for the quantity of samples sought to be imported.
(d) Subject to compliance with the provisions of this part, an
application, Form 6 (Firearms), to import a firearm by an importer or
dealer qualified under this part, for use as a sample in connection with
sales of such firearms to Federal, State or local governmental entities,
will be approved if it is established by specific information attached
to the application that the firearm is particularly suitable for use

[[Page 107]]

by such entities. Such information must show why a sales sample of a
particular firearm is suitable for such use and the expected
governmental customers who would require a demonstration of the firearm.
Information as to the availability of the firearm to fill subsequent
orders and letters from governmental entities expressing a need for a
particular model or interest in seeing a demonstration of a particular
firearm would establish suitability for governmental use. Applications
to import more than one firearm of a particular model for use as a
sample by an importer or dealer must also establish the importer's or
dealer's need for the quantity of samples sought to be imported.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39633, Oct. 29, 1986; T.D. ATF-270,
53 FR 10511, Mar. 31, 1988]

Sec. 479.113 Conditional importation.

The Director shall permit the conditional importation or bringing
into the United States of any firearm for the purpose of examining and
testing the firearm in connection with making a determination as to
whether the importation or bringing in of such firearm will be
authorized under this subpart. An application under this section shall
be filed on Form 6 (Firearms), in triplicate, with the Director. The
Director may impose conditions upon any importation under this section
including a requirement that the firearm be shipped directly from
Customs custody to the Director and that the person importing or
bringing in the firearm must agree to either export the weapon or
destroy it if a final determination is made that it may not be imported
or brought in under this subpart. A firearm so imported or brought into
the United States may be released from Customs custody in the manner
prescribed by the conditional authorization of the Director.

[T.D. ATF-270, 53 FR 10511, Mar. 31, 1988]

Exportation

Sec. 479.114 Application and permit for exportation of firearms.

Any person desiring to export a firearm without payment of the
transfer tax must file with the Director an application on Form 9
(Firearms), Application and Permit for Exportation of Firearms, in
quadruplicate, for a permit providing for deferment of tax liability.
Part 1 of the application shall show the name and address of the foreign
consignee, number of firearms covered by the application, the intended
port of exportation, a complete description of each firearm to be
exported, the name, address, State Department license number (or date of
application if not issued), and identification of the special
(occupational) tax stamp of the transferor. Part 1 of the application
shall be executed under the penalties of perjury by the transferor and
shall be supported by a certified copy of a written order or contract of
sale or other evidence showing that the firearm is to be shipped to a
foreign designation. Where it is desired to make a transfer free of tax
to another person who in turn will export the firearm, the transferor
shall likewise file an application supported by evidence that the
transfer will start the firearm in course of exportation, except,
however, that where such transferor and exporter are registered special-
taxpayers the transferor will not be required to file an application on
Form 9 (Firearms).

Sec. 479.115 Action by Director.

If the application is acceptable, the Director will execute the
permit, Part 2 of Form 9 (Firearms), to export the firearm described on
the form and return three copies thereof to the applicant. Issuance of
the permit by the Director will suspend assertion of tax liability for a
period of six (6) months from the date of issuance. If the application
is disapproved, the Director will indicate thereon the reason for such
action and return the forms to the applicant.

Sec. 479.116 Procedure by exporter.

Shipment may not be made until the permit, Form 9 (Firearms), is
received from the Director. If exportation is to be made by means other
than by parcel post, two copies of the form must be addressed to the
District Director of Customs at the port of exportation, and must
precede or accompany the

[[Page 108]]

shipment in order to permit appropriate inspection prior to lading. If
exportation is to be made by parcel post, one copy of the form must be
presented to the postmaster at the office receiving the parcel who will
execute Part 4 of such form and return the form to the exporter for
transmittal to the Director. In the event exportation is not effected,
all copies of the form must be immediately returned to the Director for
cancellation.

Sec. 479.117 Action by Customs.

Upon receipt of a permit, Form 9 (Firearms), in duplicate,
authorizing the exportation of firearms, the District Director of
Customs may order such inspection as deemed necessary prior to lading of
the merchandise. If satisfied that the shipment is proper and the
information contained in the permit to export is in agreement with
information shown in the shipper's export declaration, the District
Director of Customs will, after the merchandise has been duly exported,
execute the certificate of exportation (Part 3 of Form 9 (Firearms)).
One copy of the form will be retained with the shipper's export
declaration and the remaining copy thereof will be transmitted to the
Director.

Sec. 479.118 Proof of exportation.

Within a six-month's period from date of issuance of the permit to
export firearms, the exporter shall furnish or cause to be furnished to
the Director (a) the certificate of exportation (Part 3 of Form 9
(Firearms)) executed by the District Director of Customs as provided in
Sec. 479.117, or (b) the certificate of mailing by parcel post (Part 4
of Form 9 (Firearms)) executed by the postmaster of the post office
receiving the parcel containing the firearm, or (c) a certificate of
landing executed by a Customs officer of the foreign country to which
the firearm is exported, or (d) a sworn statement of the foreign
consignee covering the receipt of the firearm, or (e) the return
receipt, or a reproduced copy thereof, signed by the addressee or his
agent, where the shipment of a firearm was made by insured or registered
parcel post. Issuance of a permit to export a firearm and furnishing of
evidence establishing such exportation under this section will relieve
the actual exporter and the person selling to the exporter for
exportation from transfer tax liability. Where satisfactory evidence of
exportation of a firearm is not furnished within the stated period, the
transfer tax will be assessed.

Sec. 479.119 Transportation of firearms to effect exportation.

Notwithstanding any provision of Sec. 478.28 of this chapter, it
shall not be required that authorization be obtained from the Director
for the transportation in interstate or foreign commerce of a firearm in
order to effect the exportation of a firearm authorized under the
provisions of this subpart.

[T.D. ATF-270, 53 FR 10511, Mar. 31, 1988]

Sec. 479.120 Refunds.

Where, after payment of tax by the manufacturer, a firearm is
exported, and satisfactory proof of exportation (see Sec. 479.118) is
furnished, a claim for refund may be submitted on Form 843 (see Sec.
479.172). If the manufacturer waives all claim for the amount to be
refunded, the refund shall be made to the exporter. A claim for refund
by an exporter of tax paid by a manufacturer should be accompanied by
waiver of the manufacturer and proof of tax payment by the latter.

Sec. 479.121 Insular possessions.

Transfers of firearms to persons in the insular possessions of the
United States are exempt from transfer tax, provided title in cases
involving change of title (and custody or control, in cases not
involving change of title), does not pass to the transferee or his agent
in the United States. However, such exempt transactions must be covered
by approved permits and supporting documents corresponding to those
required in the case of firearms exported to foreign countries (see
Sec. Sec. 479.114 and 479.115), except that the Director may vary the
requirements herein set forth in accordance with the requirements of the
governing authority of the insular possession. Shipments to the insular
possessions will not be authorized without compliance with the
requirements of the governing authorities thereof. In the case of a

[[Page 109]]

nontaxable transfer to a person in such insular possession, the
exemption extends only to such transfer and not to prior transfers.

Arms Export Control Act

Sec. 479.122 Requirements.

(a) Persons engaged in the business of importing firearms are
required by the Arms Export Control Act (22 U.S.C. 2778) to register
with the Director. (See Part 447 of this chapter.)
(b) Persons engaged in the business of exporting firearms caliber
.22 or larger are subject to the requirements of a license issued by the
Secretary of State. Application for such license should be made to the
Office of Munitions Control, Department of State, Washington, DC 20502,
prior to exporting firearms.

[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39634, Oct. 29, 1986; T.D. ATF-270,
53 FR 10511, Mar. 31, 1988]

Subpart I_Records and Returns

Sec. 479.131 Records.

For the purposes of this part, each manufacturer, importer, and
dealer in firearms shall keep and maintain such records regarding the
manufacture, importation, acquisition (whether by making, transfer, or
otherwise), receipt, and disposition of firearms as are prescribed, and
in the manner and place required, by part 478 of this chapter. In
addition, each manufacturer, importer, and dealer shall maintain, in
chronological order, at his place of business a separate record
consisting of the documents required by this part showing the
registration of any firearm to him. If firearms owned or possessed by a
manufacturer, importer, or dealer are stored or kept on premises other
than the place of business shown on his special (occupational) tax
stamp, the record establishing registration shall show where such
firearms are stored or kept. The records required by this part shall be
readily accessible for inspection at all reasonable times by ATF
officers.

(Approved by the Office of Management and Budget under control number
1140-0032)

[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, 73 FR
57242, Oct. 2, 2008]

Subpart J_Stolen or Lost Firearms or Documents

Sec. 479.141 Stolen or lost firearms.

Whenever any registered firearm is stolen or lost, the person losing
possession thereof will, immediately upon discovery of such theft or
loss, make a report to the Director showing the following:
(a) Name and address of the person in whose name the firearm is
registered, (b) kind of firearm, (c) serial number, (d) model, (e)
caliber, (f) manufacturer of the firearm, (g) date and place of theft or
loss, and (h) complete statement of facts and circumstances surrounding
such theft or loss.

Sec. 479.142 Stolen or lost documents.

When any Forms 1, 2, 3, 4, 5, 6A, or 10 (Firearms) evidencing
possession of a firearm is stolen, lost, or destroyed, the person losing
possession will immediately upon discovery of the theft, loss, or
destruction report the matter to the Director. The report will show in
detail the circumstances of the theft, loss, or destruction and will
include all known facts which may serve to identify the document. Upon
receipt of the report, the Director will make such investigation as
appears appropriate and may issue a duplicate document upon such
conditions as the circumstances warrant.

Subpart K_Examination of Books and Records

Sec. 479.151 Failure to make returns: Substitute returns.

If any person required by this part to make returns shall fail or
refuse to make any such return within the time prescribed by this part
or designated by the Director, then the return shall be made by an ATF
officer upon inspection of the books, but the making of

[[Page 110]]

such return by an ATF officer shall not relieve the person from any
default or penalty incurred by reason of failure to make such return.

(53 Stat. 437; 26 U.S.C. 6020)

Sec. 479.152 Penalties (records and returns).

Any person failing to keep records or make returns, or making, or
causing the making of, a false entry on any application, return or
record, knowing such entry to be false, is liable to fine and
imprisonment as provided in section 5871, I.R.C.

Subpart L_Distribution and Sale of Stamps

Sec. 479.161 National Firearms Act stamps.

``National Firearms Act'' stamps evidencing payment of the transfer
tax or tax on the making of a firearm are maintained by the Director.
The remittance for purchase of the appropriate tax stamp shall be
submitted with the application. Upon approval of the application, the
Director will cause the appropriate tax to be paid by affixing the
appropriate stamp to the application.

[T.D. ATF-270, 53 FR 10511, Mar. 31, 1988]

Sec. 479.162 Stamps authorized.

Adhesive stamps of the $5 and $200 denomination, bearing the words
``National Firearms Act,'' have been prepared and only such stamps shall
be used for the payment of the transfer tax and for the tax on the
making of a firearm.

[T.D. ATF-270, 53 FR 10511, Mar. 31, 1988]

Sec. 479.163 Reuse of stamps prohibited.

A stamp once affixed to one document cannot lawfully be removed and
affixed to another. Any person willfully reusing such a stamp shall be
subject to the penalty prescribed by 26 U.S.C. 7208.

[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]

Subpart M_Redemption of or Allowance for Stamps or Refunds

Sec. 479.171 Redemption of or allowance for stamps.

Where a National Firearms Act stamp is destroyed, mutilated or
rendered useless after purchase, and before liability has been incurred,
such stamp may be redeemed by giving another stamp in lieu thereof.
Claim for redemption of the stamp should be filed on ATF Form 2635
(5620.8) with the Director. Such claim shall be accompanied by the stamp
or by a satisfactory explanation of the reasons why the stamp cannot be
returned, and shall be filed within 3 years after the purchase of the
stamp.

(68A Stat. 830; 26 U.S.C. 6805)

[T.D. ATF-270, 53 FR 10511, Mar. 31, 1988]

Sec. 479.172 Refunds.

As indicated in this part, the transfer tax or tax on the making of
a firearm is ordinarily paid by the purchase and affixing of stamps,
while special tax stamps are issued in payment of special (occupational)
taxes. However, in exceptional cases, transfer tax, tax on the making of
firearms, and/or special (occupational) tax may be paid pursuant to
assessment. Claims for refunds of such taxes, paid pursuant to
assessment, shall be filed on ATF Form 2635 (5620.8) within 3 years next
after payment of the taxes. Such claims shall be filed with the Chief,
National Firearms Act Branch serving the region in which the tax was
paid. (For provisions relating to hand-carried documents and manner of
filing, see 26 CFR 301.6091-1(b) and 301.6402-2(a).) When an applicant
to make or transfer a firearm wishes a refund of the tax paid on an
approved application where the firearm was not made pursuant to an
approved Form 1 (Firearms) or transfer of the firearm did not take place
pursuant to an approved Form 4 (Firearms), the applicant shall file a
claim for refund of the tax on ATF Form 2635 (5620.8) with the Director.
The claim shall be accompanied by the approved application bearing the
stamp and an explanation why the tax liability was not incurred.

[[Page 111]]

Such claim shall be filed within 3 years next after payment of the tax.

(68A Stat. 808, 830; 26 U.S.C. 6511, 6805)

[T.D. ATF-270, 53 FR 10512, Mar. 31, 1988,as amended by ATF 2013R-9F, 79
FR 46693, Aug. 11, 2014]

Subpart N_Penalties and Forfeitures

Sec. 479.181 Penalties.

Any person who violates or fails to comply with the requirements of
26 U.S.C. Chapter 53 shall, upon conviction, be subject to the penalties
imposed under 26 U.S.C. 5871.

[T.D. ATF-48, 44 FR 55843, Sept. 28, 1979]

Sec. 479.182 Forfeitures.

Any firearm involved in any violation of the provisions of 26 U.S.C.
Chapter 53, shall be subject to seizure, and forfeiture under the
internal revenue laws: Provided, however, That the disposition of
forfeited firearms shall be in conformance with the requirements of 26
U.S.C. 5872. In addition, any vessel, vehicle or aircraft used to
transport, carry, convey or conceal or possess any firearm with respect
to which there has been committed any violation of any provision of 26
U.S.C. Chapter 53, or the regulations in this part issued pursuant
thereto, shall be subject to seizure and forfeiture under the Customs
laws, as provided by the act of August 9, 1939 (49 U.S.C. App., Chapter
11).

[T.D. ATF-270, 53 FR 10512, Mar. 31, 1988]

Subpart O_Other Laws Applicable

Sec. 479.191 Applicability of other provisions of internal revenue
laws.

All of the provisions of the internal revenue laws not inconsistent
with the provisions of 26 U.S.C. Chapter 53 shall be applicable with
respect to the taxes imposed by 26 U.S.C. 5801, 5811, and 5821 (see 26
U.S.C. 5846).

[T.D. ATF-48, 44 FR 55843, Sept. 28, 1979]

Sec. 479.192 Commerce in firearms and ammunition.

For provisions relating to commerce in firearms and ammunition,
including the movement of destructive devices, machine guns, short-
barreled shotguns, or short-barreled rifles, see 18 U.S.C. Chapter 44,
and Part 478 of this chapter 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]

Sec. 479.193 Arms Export Control Act.

For provisions relating to the registration and licensing of persons
engaged in the business of manufacturing, importing or exporting arms,
ammunition, or implements of war, see the Arms Export Control Act (22
U.S.C. 2778), and the regulations issued pursuant thereto. (See also
Part 447 of this chapter.)

[T.D. ATF-270, 53 FR 10512, Mar. 31, 1988]

[[Page 112]]

SUBCHAPTER C_EXPLOSIVES

PART 555_COMMERCE IN EXPLOSIVES--Table of Contents

Subpart A_Introduction

Sec.
555.1 Scope of regulations.
555.2 Relation to other provisions of law.

Subpart B_Definitions

555.11 Meaning of terms.

Subpart C_Administrative and Miscellaneous Provisions

555.21 Forms prescribed.
555.22 Alternate methods or procedures; emergency variations from
requirements.
555.23 List of explosive materials.
555.24 Right of entry and examination.
555.25 Disclosure of information.
555.26 Prohibited shipment, transportation, receipt, possession, or
distribution of explosive materials.
555.27 [Reserved]
555.28 Stolen explosive materials.
555.29 Unlawful storage.
555.30 Reporting theft or loss of explosive materials.
555.31 Inspection of site of accidents or fires; right of entry.
555.32 Special explosive devices.
555.33 Background checks and clearances.
555.34 Replacement of stolen or lost ATF Form 5400.30 (Intrastate
Purchase of Explosives Coupon (IPEC)).

Subpart D_Licenses and Permits

555.41 General.
555.42 License fees.
555.43 Permit fees.
555.44 License or permit fee not refundable.
555.45 Original license or permit.
555.46 Renewal of license or permit.
555.47 Insufficient fee.
555.48 Abandoned application.
555.49 Issuance of license or permit.
555.50 Correction of error on license or permit.
555.51 Duration of license or permit.
555.52 Limitations on license or permit.
555.53 License and permit not transferable.
555.54 Change of address.
555.56 Change in trade name.
555.57 Change of control, change in responsible persons, and change of
employees.
555.58 Continuing partnerships.
555.59 Right of succession by certain persons.
555.60 Certain continuances of business or operations.
555.61 Discontinuance of business or operations.
555.62 State or other law.
555.63 Explosives magazine changes.

Subpart E_License and Permit Proceedings

555.71 Opportunity for compliance.
555.72 Denial of initial application.
555.73 Hearing after initial application is denied.
555.74 Denial of renewal application or revocation of license or permit.
555.75 Hearing after denial of renewal application or revocation of
license or permit.
555.76 Action by Director, Industry Operations.
555.77 Designated place of hearing.
555.78 Representation at a hearing.
555.79 Appeal on petition to the Director.
555.80 Court review.
555.81 Service on applicant, licensee, or permittee.
555.82 Rules of practice in license and permit proceedings.
555.83 Operations by licensees or permittees after notice of denial or
revocation.

Subpart F_Conduct of Business or Operations

555.101 Posting of license or user permit.
555.102 Authorized operations by permittees.
555.103 Transactions among licensees/permittees and transactions among
licensees and holders of user permits.
555.104 Certified copy of license or permit.
555.105 Distributions to limited permittees.
555.106 Certain prohibited distributions.
555.107 Record of transactions.
555.108 Importation.
555.109 Identification of explosive materials.
555.110 Furnishing of samples (Effective on and after January 24, 2003).

Subpart G_Records and Reports

555.121 General.
555.122 Records maintained by licensed importers.
555.123 Records maintained by licensed manufacturers.
555.124 Records maintained by licensed dealers.
555.125 Records maintained by permittees.
555.126 Limited Permittee Transaction Report for distribution of
explosive materials.
555.127 Daily summary of magazine transactions.

[[Page 113]]

555.128 Discontinuance of business.
555.129 Exportation.
555.130 [Reserved]

Subpart H_Exemptions

555.141 Exemptions.
555.142 Relief from disabilities.

Subpart I_Unlawful Acts, Penalties, Seizures, and Forfeitures

555.161 Engaging in business without a license.
555.162 False statement or representation.
555.163 False entry in record.
555.164 Unlawful storage.
555.165 Failure to report theft or loss.
555.166 Seizure or forfeiture.

Subpart J_Marking of Plastic Explosives

555.180 Prohibitions relating to unmarked plastic explosives.
555.181 Reporting of plastic explosives.
555.182 Exceptions.
555.183 Importations of plastic explosives on or after April 24, 1997.
555.184 Statements of process and samples.
555.185 Criminal sanctions.
555.186 Seizure or forfeiture.

Subpart K_Storage

555.201 General.
555.202 Classes of explosive materials.
555.203 Types of magazines.
555.204 Inspection of magazines.
555.205 Movement of explosive materials.
555.206 Location of magazines.
555.207 Construction of type 1 magazines.
555.208 Construction of type 2 magazines.
555.209 Construction of type 3 magazines.
555.210 Construction of type 4 magazines.
555.211 Construction of type 5 magazines.
555.212 Smoking and open flames.
555.213 Quantity and storage restrictions.
555.214 Storage within types 1, 2, 3, and 4 magazines.
555.215 Housekeeping.
555.216 Repair of magazines.
555.217 Lighting.
555.218 Table of distances for storage of explosive materials.
555.219 Table of distances for storage of low explosives.
555.220 Table of separation distances of ammonium nitrate and blasting
agents from explosives or blasting agents.
555.221 Requirements for display fireworks, pyrotechnic compositions,
and explosive materials used in assembling fireworks or
articles pyrotechnic.
555.222 Table of distances between fireworks process buildings and
between fireworks process and fireworks nonprocess buildings.
555.223 Table of distances between fireworks process buildings and other
specified areas.
555.224 Table of distances for the storage of display fireworks (except
bulk salutes).

Authority: 18 U.S.C. 847.

Source: T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, unless otherwise
noted. Redesignated by T.D. ATF-487, 68 FR 3748, Jan. 24, 2003.

Editorial Note: Nomenclature changes to part 555 appear by T.D. ATF-
487, 68 FR 3748, Jan. 24, 2003.

Subpart A_Introduction

Sec. 555.1 Scope of regulations.

(a) In general. The regulations contained in this part relate to
commerce in explosives and implement Title XI, Regulation of Explosives
(18 U.S.C. Chapter 40; 84 Stat. 952), of the Organized Crime Control Act
of 1970 (84 Stat. 922), Pub. L. 103-322 (108 Stat. 1796), Pub. L. 104-
132 (110 Stat. 1214), and Pub. L. 107-296 (116 Stat. 2135).
(b) Procedural and substantive requirements. This part contains the
procedural and substantive requirements relative to:
(1) The interstate or foreign commerce in explosive materials;
(2) The licensing of manufacturers and importers of, and dealers in,
explosive materials;
(3) The issuance of permits;
(4) The conduct of business by licensees and operations by
permittees;
(5) The storage of explosive materials;
(6) The records and reports required of licensees and permittees;
(7) Relief from disabilities under this part;
(8) Exemptions, unlawful acts, penalties, seizures, and forfeitures;
and
(9) The marking of plastic explosives.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-363, 60
FR 17449, Apr. 6, 1995; T.D. ATF-387, 62 FR 8376, Feb. 25, 1997; ATF No.
1, 68 FR 13780, Mar. 20, 2003]

Sec. 555.2 Relation to other provisions of law.

The provisions in this part are in addition to, and are not in lieu
of, any other provision of law, or regulations, respecting commerce in
explosive materials. For regulations applicable to

[[Page 114]]

commerce in firearms and ammunition, see Part 478 of this chapter. For
regulations applicable to traffic in machine guns, destructive devices,
and certain other firearms, see Part 479 of this chapter. For statutes
applicable to the registration and licensing of persons engaged in the
business of manufacturing, importing or exporting arms, ammunition, or
implements of war, see section 38 of the Arms Export Control Act (22
U.S.C. 2778), and regulations of Part 447 of this chapter and in Parts
121 through 128 of Title 22, Code of Federal Regulations. For statutes
applicable to nonmailable materials, see 18 U.S.C. 1716 and implementing
regulations. For statutes applicable to water quality standards, see 33
U.S.C. 1341.

Subpart B_Definitions

Sec. 555.11 Meaning of terms.

When used in this part, terms are defined as follows in this
section. Words in the plural form include the singular, and vice versa,
and words indicating the masculine gender include the feminine. The
terms ``includes'' and ``including'' do not exclude other things not
named which are in the same general class or are otherwise within the
scope of the term defined.
Act. 18 U.S.C. Chapter 40.
Adjudicated as a mental defective. (a) A determination by a court,
board, commission, or other lawful authority that a person, as a result
of marked subnormal intelligence, or mental illness, incompetency,
condition, or disease:
(1) Is a danger to himself or to others; or
(2) Lacks the mental capacity to contract or manage his own affairs.
(b) The term will include--
(1) A finding of insanity by a court in a criminal case; and
(2) Those persons found incompetent to stand trial or found not
guilty by reason of lack of mental responsibility by any court or
pursuant to articles 50a and 76b of the Uniform Code of Military
Justice, 10 U.S.C. 850a, 876b.
Alien. Any person who is not a citizen or national of the United
States.
Ammunition. Small arms ammunition or cartridge cases, primers,
bullets, or smokeless propellants designed for use in small arms,
including percussion caps, and \3/32\ inch and other external burning
pyrotechnic hobby fuses. The term does not include black powder.
Appropriate identifying information. The term means, in relation to
an individual:
(a) The full name, date of birth, place of birth, sex, race, street
address, State of residence, telephone numbers (home and work), country
or countries of citizenship, and position at the employer's business or
operations of responsible persons and employees authorized to possess
explosive materials;
(b) The business name, address, and license or permit number with
which the responsible person or employee is affiliated;
(c) If an alien, INS-issued alien number or admission number; and
(d) Social security number, as optional information (this
information is not required but is helpful in avoiding misidentification
when a background check is conducted).
Approved storage facility. A place where explosive materials are
stored, consisting of one or more approved magazines, conforming to the
requirements of this part and covered by a license or permit issued
under this part.
Articles pyrotechnic. Pyrotechnic devices for professional use
similar to consumer fireworks in chemical composition and construction
but not intended for consumer use. Such articles meeting the weight
limits for consumer fireworks but not labeled as such and classified by
U.S. Department of Transportation regulations in 49 CFR 172.101 as
UN0431 or UN0432.
Artificial barricade. An artificial mound or revetted wall of earth
of a minimum thickness of three feet, or any other approved barricade
that offers equivalent protection.
ATF. The Bureau of Alcohol, Tobacco, Firearms and Explosives,
Department of Justice.
ATF officer. An officer or employee of the Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF), Department of Justice authorized
to perform any function relating to the administration or enforcement of
this part.

[[Page 115]]

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

[[Page 116]]

Controlled substance. A drug or other substance, or immediate
precursor, as defined in section 102 of the Controlled Substances Act,
21 U.S.C. 802. The term includes, but is not limited to, marijuana,
depressants, stimulants, and narcotic drugs. The term does not include
distilled spirits, wine, malt beverages, or tobacco, as those terms are
defined or used in Subtitle E of the Internal Revenue Code of 1986, as
amended.
Crime punishable by imprisonment for a term exceeding one year. Any
offense for which the maximum penalty, whether or not imposed, is
capital punishment or imprisonment in excess of one year. The term does
not include (a) any Federal or State offenses pertaining to antitrust
violations, unfair trade practices, restraints of trade, or (b) any
State offense (other than one involving a firearm or explosive)
classified by the laws of the State as a misdemeanor and punishable by a
term of imprisonment of two years or less.
Customs officer. Any officer of U.S. Customs and Border Protection,
any commissioned, warrant, or petty officer of the Coast Guard, or any
agent or other person authorized by law to perform the duties of a
customs officer.
Dealer. Any person engaged in the business of distributing explosive
materials at wholesale or retail.
Detonator. Any device containing a detonating charge that is used
for initiating detonation in an explosive. The term includes, but is not
limited to, electric blasting caps of instantaneous and delay types,
blasting caps for use with safety fuses, detonating-cord delay
connectors, and nonelectric instantaneous and delay blasting caps.
Director. The Director, Bureau of Alcohol, Tobacco, Firearms and
Explosives, Department of Justice.
Director, Industry Operations. The principal field division official
responsible for administering regulations in this part.
Discharged under dishonorable conditions. Separation from the U.S.
Armed Forces resulting from a dishonorable discharge or dismissal
adjudged by general court-martial. The term does not include any
separation from the Armed Forces resulting from any other discharge,
e.g., a bad conduct discharge.
Display fireworks. Large fireworks designed primarily to produce
visible or audible effects by combustion, deflagration, or detonation.
This term includes, but is not limited to, salutes containing more than
2 grains (130 mg) of explosive materials, aerial shells containing more
than 40 grams of pyrotechnic compositions, and other display pieces
which exceed the limits of explosive materials for classification as
``consumer fireworks.'' Display fireworks are classified as fireworks
UN0333, UN0334 or UN0335 by the U.S. Department of Transportation at 49
CFR 172.101. This term also includes fused setpieces containing
components which together exceed 50 mg of salute powder.
Distribute. To sell, issue, give, transfer, or otherwise dispose of.
The term does not include a mere change of possession from a person to
his agent or employee in connection with the agency or employment.
Executed under penalties of perjury. Signed with the required
declaration under the penalties of perjury as provided on or with
respect to the return, form, or other document or, where no form of
declaration is required, with the declaration:

Explosive actuated device. Any tool or special mechanized device
which is actuated by explosives, but not a propellent actuated device.
Explosive materials. Explosives, blasting agents, water gels and
detonators. Explosive materials include, but are not limited to, all
items in the ``List of Explosive Materials'' provided for in Sec.
555.23.
Explosives. Any chemical compound, mixture, or device, the primary
or common purpose of which is to function by explosion. The term
includes, but is not limited to, dynamite and other high explosives,
black powder, pellet powder, initiating explosives, detonators, safety
fuses, squibs, detonating cord, igniter cord, and igniters.

[[Page 117]]

Fireworks. Any composition or device designed to produce a visible
or an audible effect by combustion, deflagration, or detonation, and
which meets the definition of ``consumer fireworks'' or ``display
fireworks'' as defined by this section.
Fireworks mixing building. Any building or area used for mixing and
blending pyrotechnic compositions except wet sparkler mix.
Fireworks nonprocess building. Any office building or other building
or area in a fireworks plant where no fireworks, pyrotechnic
compositions or explosive materials are processed or stored.
Fireworks plant. All land and buildings thereon used for or in
connection with the assembly or processing of fireworks, including
warehouses used with or in connection with fireworks plant operations.
Fireworks plant warehouse. Any building or structure used
exclusively for the storage of materials which are neither explosive
materials nor pyrotechnic compositions used to manufacture or assemble
fireworks.
Fireworks process building. Any mixing building; any building in
which pyrotechnic compositions or explosive materials is pressed or
otherwise prepared for finished and assembly; or any finishing or
assembly building.
Fireworks shipping building. A building used for the packing of
assorted display fireworks into shipping cartons for individual public
displays and for the loading of packaged displays for shipment to
purchasers.
Flash powder. An explosive material intended to produce an audible
report and a flash of light when ignited which includes but is not
limited to oxidizers such as potassium chlorate or potassium
perchlorate, and fuels such as sulfur or aluminum powder.
Fugitive from justice. Any person who has fled from the jurisdiction
of any court of record to avoid prosecution for any crime or to avoid
giving testimony in any criminal proceeding. The term also includes any
person who has been convicted of any crime and has fled to avoid
imprisonment.
Hardwood. Oak, maple, ash, hickory, or other hard wood, free from
loose knots, spaces, or similar defects.
Highway. Any public street, public alley, or public road, including
a privately financed, constructed, or maintained road that is regularly
and openly traveled by the general public.
Identification document. A document containing the name, residence
address, date of birth, and photograph of the holder and which was made
or issued by or under the authority of the United States Government, a
State, political subdivision of a State, a foreign government, a
political subdivision of a foreign government, an international
governmental or an international quasi-governmental organization which,
when completed with information concerning a particular individual, is
of a type intended or commonly accepted for the purpose of
identification of individuals.
Importer. Any person engaged in the business of importing or
bringing explosive materials into the United States for purposes of sale
or distribution.
Indictment. Includes an indictment or information in any court under
which a crime punishable by imprisonment for a term exceeding one year
may be prosecuted.
Inhabited building. Any building regularly occupied in whole or in
part as a habitation for human beings, or any church, schoolhouse,
railroad station, store, or other structure where people are accustomed
to assemble, except any building occupied in connection with the
manufacture, transportation, storage, or use of explosive materials.
Interstate or foreign commerce. Commerce between any place in a
State and any place outside of that State, or within any possession of
the United States or the District of Columbia, and commerce between
places within the same State but through any place outside of that
State.
Licensed dealer. A dealer licensed under this part.
Licensed importer. An importer licensed under this part.
Licensed manufacturer. A manufacturer licensed under this part to
engage in the business of manufacturing explosive materials for purposes
of sale or distribution or for his own use.

[[Page 118]]

Licensee. Any importer, manufacturer, or dealer licensed under this
part.
Limited permit. A permit issued to a person authorizing him to
receive for his use explosive materials from a licensee or permittee in
his state of residence on no more than 6 occasions during the 12-month
period in which the permit is valid. A limited permit does not authorize
the receipt or transportation of explosive materials in interstate or
foreign commerce.
Magazine. Any building or structure, other than an explosives
manufacturing building, used for storage of explosive materials.
Manufacturer. Any person engaged in the business of manufacturing
explosive materials for purposes of sale or distribution or for his own
use.
Mass detonation (mass explosion). Explosive materials mass detonate
(mass explode) when a unit or any part of a larger quantity of explosive
material explodes and causes all or a substantial part of the remaining
material to detonate or explode.
Mental institution. Includes mental health facilities, mental
hospitals, sanitariums, psychiatric facilities, and other facilities
that provide diagnoses by licensed professionals of mental retardation
or mental illness, including a psychiatric ward in a general hospital.
Natural barricade. Natural features of the ground, such as hills, or
timber of sufficient density that the surrounding exposures which
require protection cannot be seen from the magazine when the trees are
bare of leaves.
Number 8 test blasting cap. (See definition of ``blasting agent.'')
Permittee. Any user of explosives for a lawful purpose who has
obtained either a user permit or a limited permit under this part.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company.
Plywood. Exterior, construction grade (laminated wood) plywood.
Propellant actuated device. (a) Any tool or special mechanized
device or gas generator system that is actuated by a propellant or which
releases and directs work through a propellant charge.
(b) The term does not include--
(1) Hobby rocket motors consisting of ammonium perchlorate composite
propellant, black powder, or other similar low explosives, regardless of
amount; and
(2) Rocket-motor reload kits that can be used to assemble hobby
rocket motors containing ammonium perchlorate composite propellant,
black powder, or other similar low explosives, regardless of amount.
Pyrotechnic compositions. A chemical mixture which, upon burning and
without explosion, produces visible, brilliant displays, bright lights,
or sounds.
Railway. Any steam, electric, or other railroad or railway which
carries passengers for hire.
Region. A geographical region of the Bureau of Alcohol, Tobacco,
Firearms, and Explosives, Department of Justice.
Renounced U.S. citizenship. (a) A person has renounced his U.S.
citizenship if the person, having been a citizen of the United States,
has renounced citizenship either--
(1) Before a diplomatic or consular officer of the United States in
a foreign state pursuant to 8 U.S.C. 1481(a)(5); or
(2) Before an officer designated by the Attorney General when the
United States is in a state of war pursuant to 8 U.S.C. 1481(a)(6).
(b) The term will not include any renunciation of citizenship that
has been reversed as a result of administrative or judicial appeal.
Responsible person. An individual who has the power to direct the
management and policies of the applicant pertaining to explosive
materials. Generally, the term includes partners, sole proprietors, site
managers, corporate officers and directors, and majority shareholders.
Salute. An aerial shell, classified as a display firework, that
contains a charge of flash powder and is designed to produce a flash of
light and a loud report as the pyrotechnic effect.
Screen barricade. Any barrier that will contain the embers and
debris from a fire or deflagration in a process building, thus
preventing propagation of fire to other buildings or areas. Such
barriers shall be constructed of metal roofing, \1/4\ to \1/2\ inch (6
to 13 mm) mesh screen, or equivalent material. The barrier extends from
floor level to a

[[Page 119]]

height such that a straight line from the top of any side wall of the
donor building to the eave line of any exposed building intercepts the
screen at a point not less than 5 feet (1.5 m) from the top of the
screen. The top 5 feet (1.5 m) of the screen is inclined towards the
donor building at an angle of 30 to 45 degrees.
Softwood. Fir, pine, or other soft wood, free from loose knots,
spaces, or similar defects.
State. A State of the United States. The term includes the District
of Columbia, the Commonwealth of Puerto Rico, and the possessions of the
United States.
State of residence. The State in which an individual regularly
resides or maintains his home. Temporary stay in a State does not make
the State of temporary stay the State of residence.
Theatrical flash powder. Flash powder commercially manufactured in
premeasured kits not exceeding 1 ounce and mixed immediately prior to
use and intended for use in theatrical shows, stage plays, band
concerts, magic acts, thrill shows, and clown acts in circuses.
Unlawful user of or addicted to any controlled substance. A person
who uses a controlled substance and has lost the power of self-control
with reference to the use of a controlled substance; and any person who
is a current user of a controlled substance in a manner other than as
prescribed by a licensed physician. Such use is not limited to the use
of drugs on a particular day, or within a matter of days or weeks before
possession of the explosive materials, but rather that the unlawful use
has occurred recently enough to indicate that the individual is actively
engaged in such conduct. A person may be an unlawful current user of a
controlled substance even though the substance is not being used at the
precise time the person seeks to acquire explosive materials or receives
or possesses explosive materials. An inference of current use may be
drawn from evidence of a recent use or possession of a controlled
substance or a pattern of use or possession that reasonably covers the
present time, e.g., a conviction for use or possession of a controlled
substance within the past year; multiple arrests for such offenses
within the past 5 years if the most recent arrest occurred within the
past year; or persons found through a drug test to use a controlled
substance unlawfully, provided that the test was administered within the
past year. For a current or former member of the Armed Forces, an
inference of current use may be drawn from recent disciplinary or other
administrative action based on confirmed drug use, e.g., court-martial
conviction, nonjudicial punishment, or an administrative discharge based
on drug use or drug rehabilitation failure.
U.S.C. The United States Code.
User-limited permit. A user permit valid only for a single purchase
transaction, a new permit being required for a subsequent purchase
transaction.
User permit. A permit issued to a person authorizing him (a) to
acquire for his own use explosive materials from a licensee in a State
other than the State in which he resides or from a foreign country, and
(b) to transport explosive materials in interstate or foreign commerce.
Water gels. Explosives or blasting agents that contain a substantial
proportion of water.

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981]

Editorial Note: For Federal Register citations affecting Sec.
555.11, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.

Subpart C_Administrative and Miscellaneous Provisions

Sec. 555.21 Forms prescribed.

[[Page 120]]

(http://www.atf.gov) or made by calling (202) 648-6420.

[T.D. ATF-92, 46 FR 46916, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5961, Feb. 27, 1987; T.D. 372, 61 FR 20724, May 8, 1996; ATF-11F,
73 FR 57242, Oct. 2, 2008; ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 555.22 Alternate methods or procedures; emergency variations from requirements.

(a) Alternate methods or procedures. The permittee or licensee, on
specific approval by the Director as provided by this paragraph, may use
an alternate method or procedure in lieu of a method or procedure
specifically prescribed in this part. The Director may approve an
alternate method or procedure, subject to stated conditions, when he
finds that:
(1) Good cause is shown for the use of the alternate method or
procedure;
(2) The alternate method or procedure is within the purpose of, and
consistent with the effect intended by, the specifically prescribed
method or procedure and that the alternate method or procedure is
substantially equivalent to that specifically prescribed method or
procedure; and
(3) The alternate method or procedure will not be contrary to any
provision of law and will not result in an increase in cost to the
Government or hinder the effective administration of this part.

Where the permittee or licensee desires to employ an alternate method or
procedure, he shall submit a written application to the Director,
Industry Operations, for transmittal to the Director. The application
shall specifically describe the proposed alternate method or procedure
and shall set forth the reasons for it. Alternate methods or procedures
may not be employed until the application is approved by the Director.
The permittee or licensee shall, during the period of authorization of
an alternate method or procedure, comply with the terms of the approved
application. Authorization of any alternate method or procedure may be
withdrawn whenever, in the judgment of the Director, the effective
administration of this part is hindered by the continuation of the
authorization. As used in this paragraph, alternate methods or
procedures include alternate construction or equipment.
(b) Emergency variations from requirements. The Director may approve
construction, equipment, and methods of operation other than as
specified in this part, where he finds that an emergency exists and the
proposed variations from the specified requirements are necessary and
the proposed variations:
(1) Will afford security and protection that are substantially
equivalent to those prescribed in this part;
(2) Will not hinder the effective administration of this part; and
(3) Will not be contrary to any provisions of law.

Variations from requirements granted under this paragraph are
conditioned on compliance with the procedures, conditions, and
limitations set forth in the approval of the application. Failure to
comply in good faith with the procedures, conditions, and limitations
shall automatically terminate the authority for the variations and the
licensee or permittee shall fully comply with the prescribed
requirements of regulations from which the variations were authorized.
Authority for any variation may be withdrawn whenever, in the judgment
of the Director, the effective administration of this part is hindered
by the continuation of the variation. Where the licensee or permittee
desires to employ an emergency variation, he shall submit a written
application to the Director, Industry Operations for transmittal to the
Director. The application shall describe the proposed variation and set
forth the reasons for it. Variations may not be employed until the
application is approved, except when the emergency requires immediate
action to correct a situation that is threatening to life or property.
Corrective action may then be taken concurrent with the filing of the
application and notification of the Director via telephone.
(c) Retention of approved variations. The licensee or permittee
shall retain,

[[Page 121]]

as part of his records available for examination by ATF officers, any
application approved by the Director under this section.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46693, Aug. 11, 2014]

Sec. 555.23 List of explosive materials.

The Director shall compile a list of explosive materials, which
shall be published and revised at least annually in the Federal
Register. The ``List of Explosive Materials'' (ATF Publication 5400.8)
is available at no cost upon request from the ATF Distribution Center
(See Sec. 555.21).

[T.D. ATF-290, 54 FR 53054, Dec. 27, 1989, as amended by T.D. ATF-446,
66 FR 16602, Mar. 27, 2001; ATF-11F, 73 FR 57242, Oct. 2, 2008]

Sec. 555.24 Right of entry and examination.

(a) Any ATF officer may enter during business hours the premises,
including places of storage, of any licensee or holder of a user permit
for the purpose of inspecting or examining any records or documents
required to be kept under this part, and any facilities in which
explosive materials are kept or stored.
(b) Any ATF officer may inspect the places of storage for explosive
materials of an applicant for a limited permit or, in the case of a
holder of a limited permit, at the time of renewal of such permit.
(c) The provisions of paragraph (b) of this section do not apply to
an applicant for the renewal of a limited permit if an ATF officer has,
within the preceding 3 years, verified by inspection that the
applicant's place of storage for explosive materials meets the
requirements of subpart K of this part.

[ATF No. 1, 68 FR 13781, Mar. 20, 2003]

Sec. 555.25 Disclosure of information.

Upon receipt of written request from any State or any political
subdivision of a State, the Director, Industry Operations may make
available to the State or political subdivision any information which
the Director, Industry Operations may obtain under the Act with respect
to the identification of persons within the State or political
subdivision, who have purchased or received explosive materials,
together with a description of the explosive materials.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46693, Aug. 11, 2014]

Sec. 555.26 Prohibited shipment, transportation, receipt, possession,
or distribution of explosive materials.

(a) General. No person, other than a licensee or permittee knowingly
may transport, ship, cause to be transported, or receive any explosive
materials: Provided, That the provisions of this paragraph (a) do not
apply to the lawful purchase by a nonlicensee or nonpermittee of
commercially manufactured black powder in quantities not to exceed 50
pounds, if the black powder is intended to be used solely for sporting,
recreational, or cultural purposes in antique firearms as defined in 18
U.S.C. 921(a)(16), or in antique devices as exempted from the term
``destructive device'' in 18 U.S.C. 921(a)(4).
(b) Holders of a limited permit. No person who is a holder of a
limited permit may--
(1) Transport, ship, cause to be transported, or receive in
interstate or foreign commerce any explosive materials;
(2) Receive explosive materials from a licensee or permittee, whose
premises are located outside the State of residence of the limited
permit holder; or
(3) Receive explosive materials on more than 6 separate occasions,
during the period of the permit, from one or more licensees or
permittees whose premises are located within the State of residence of
the limited permit holder. (See Sec. 555.105(b) for the definition of
``6 separate occasions.'')
(c) Possession by prohibited persons. No person may ship or
transport any explosive material in or affecting interstate or foreign
commerce or receive or possess any explosive materials which have been
shipped or transported in or affecting interstate or foreign commerce
who:
(1) Is under indictment or information for, or who has been
convicted in any court of, a crime punishable by imprisonment for a term
exceeding one year;
(2) Is a fugitive from justice;

[[Page 122]]

(3) Is an unlawful user of or addicted to any controlled substance
(as defined in section 102 of the Controlled Substances Act (21 U.S.C.
802) and Sec. 555.11);
(4) Has been adjudicated as a mental defective or has been committed
to a mental institution;
(5) Is an alien, other than an alien who--
(i) Is lawfully admitted for permanent residence (as that term is
defined in section 101(a)(20) of the Immigration and Nationality Act (8
U.S.C. 1101)); or
(ii) Is in lawful nonimmigrant status, is a refugee admitted under
section 207 of the Immigration and Nationality Act (8 U.S.C. 1157), or
is in asylum status under section 208 of the Immigration and Nationality
Act (8 U.S.C. 1158), and--
(A) Is a foreign law enforcement officer of a friendly foreign
government, as determined by the Attorney General in consultation with
the Secretary of State, entering the United States on official law
enforcement business, and the shipping, transporting, possession, or
receipt of explosive materials is in furtherance of this official law
enforcement business;
(B) Is a person having the power to direct or cause the direction of
the management and policies of a corporation, partnership, or
association licensed pursuant to section 843(a) of the Act, and the
shipping, transporting, possession, or receipt of explosive materials is
in furtherance of such power;
(C) Is a member of a North Atlantic Treaty Organization (NATO) or
other friendly foreign military force, as determined by the Attorney
General in consultation with the Secretary of Defense, (whether or not
admitted in a nonimmigrant status) who is present in the United States
under military orders for training or other military purpose authorized
by the United States, and the shipping, transporting, possession, or
receipt of explosive materials is in furtherance of the military
purpose; or
(D) Is lawfully present in the United States in cooperation with the
Director of Central Intelligence, and the shipment, transportation,
receipt, or possession of the explosive materials is in furtherance of
such cooperation;
(6) Has been discharged from the armed forces under dishonorable
conditions; or
(7) Having been a citizen of the United States, has renounced
citizenship.
(d) Distribution to prohibited persons. No person may knowingly
distribute explosive materials to any individual who:
(1) Is under twenty-one years of age;
(2) Is under indictment or information for, or who has been
convicted in any court of, a crime punishable by imprisonment for a term
exceeding one year;
(3) Is a fugitive from justice;
(4) Is an unlawful user of or addicted to any controlled substance
(as defined in section 102 of the Controlled Substances Act (21 U.S.C.
802) and Sec. 555.11);
(5) Has been adjudicated as a mental defective or has been committed
to a mental institution;
(6) Is an alien, other than an alien who--
(i) Is lawfully admitted for permanent residence (as that term is
defined in section 101(a)(20) of the Immigration and Nationality Act (8
U.S.C. 1101)); or
(ii) Is in lawful nonimmigrant status, is a refugee admitted under
section 207 of the Immigration and Nationality Act (8 U.S.C. 1157), or
is in asylum status under section 208 of the Immigration and Nationality
Act (8 U.S.C. 1158), and--
(A) Is a foreign law enforcement officer of a friendly foreign
government, as determined by the Attorney General in consultation with
the Secretary of State, entering the United States on official law
enforcement business, and the shipping, transporting, possession, or
receipt of explosive materials is in furtherance of this official law
enforcement business;
(B) Is a person having the power to direct or cause the direction of
the management and policies of a corporation, partnership, or
association licensed pursuant to section 843(a) of the Act, and the
shipping, transporting, possession, or receipt of explosive materials is
in furtherance of such power;
(C) Is a member of a North Atlantic Treaty Organization (NATO) or
other friendly foreign military force, as determined by the Attorney
General in

[[Page 123]]

consultation with the Secretary of Defense, (whether or not admitted in
a nonimmigrant status) who is present in the United States under
military orders for training or other military purpose authorized by the
United States, and the shipping, transporting, possession, or receipt of
explosive materials is in furtherance of the military purpose; or
(D) Is lawfully present in the United States in cooperation with the
Director of Central Intelligence, and the shipment, transportation,
receipt, or possession of the explosive materials is in furtherance of
such cooperation;
(7) Has been discharged from the armed forces under dishonorable
conditions; or
(8) Having been a citizen of the United States, has renounced
citizenship.
(e) See Sec. 555.180 for regulations concerning the prohibited
manufacture, importation, exportation, shipment, transportation,
receipt, transfer, or possession of plastic explosives that do not
contain a detection agent.

[ATF No. 1, 68 FR 13781, Mar. 20, 2003]

Sec. 555.27 [Reserved]

Sec. 555.28 Stolen explosive materials.

No person shall receive, conceal, transport, ship, store, barter,
sell, or dispose of any stolen explosive materials knowing or having
reasonable cause to believe that the explosive materials were stolen.

Sec. 555.29 Unlawful storage.

No person shall store any explosive materials in a manner not in
conformity with this part.

Sec. 555.30 Reporting theft or loss of explosive materials.

(a) Any licensee or permittee who has knowledge of the theft or loss
of any explosive materials from his stock shall, within 24 hours of
discovery, report the theft or loss by telephoning 1-800-461-8841
(nationwide toll free number) and on ATF F 5400.5 in accordance with the
instructions on the form. Theft or loss of any explosive materials shall
also be reported to appropriate local authorities.
(b) Any other person, except a carrier of explosive materials, who
has knowledge of the theft or loss of any explosive materials from his
stock shall, within 24 hours of discovery, report the theft or loss by
telephoning 1-800-461-8841 (nationwide toll free number) and in writing
to the nearest ATF office. Theft or loss shall be reported to
appropriate local authorities.
(c) Reports of theft or loss of explosive materials under paragraphs
(a) and (b) of this section must include the following information, if
known:
(1) The manufacturer or brand name.
(2) The manufacturer's marks of identification (date and shift
code).
(3) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, etc.).
(4) Description (dynamite, blasting agents, detonators, etc.) and
United Nations (UN) identification number, hazard division number, and
classification letter, e.g., 1.1D, as classified by the U.S. Department
of Transportation at 49 CFR 172.101 and 173.52.
(5) Size (length and diameter).
(d) A carrier of explosive materials who has knowledge of the theft
or loss of any explosive materials shall, within 24 hours of discovery,
report the theft or loss by telephoning 1-800-461-8841 (nationwide toll
free number). Theft or loss shall also be reported to appropriate local
authorities. Reports of theft or loss of explosive materials by carriers
shall include the following information, if known:
(1) The manufacturer or brand name.
(2) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, etc.).
(3) Description (United Nations (UN) identification number, hazard
division number, and classification letter, e.g., 1.1D) as classified by
the U.S. Department of Transportation at 49 CFR 172.101 and 173.52.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-400, 63
FR 45002, Aug. 24, 1998; ATF 2017R-21, 84 FR 13799, Apr. 8, 2019]

Sec. 555.31 Inspection of site accidents or fires; right of entry.

Any ATF officer may inspect the site of any accident or fire in
which there is

[[Page 124]]

reason to believe that explosive materials were involved. Any ATF
officer may enter into or upon any property where explosive materials
have been used, are suspected of having been used, or have been found in
an otherwise unauthorized location.

Sec. 555.32 Special explosive devices.

The Director may exempt certain explosive actuated devices,
explosive actuated tools, or similar devices from the requirements of
this part. A person who desires to obtain an exemption under this
section for any special explosive device, which as designed does not
constitute a public safety or security hazard, shall submit a written
request to the Director. Each request shall be executed under the
penalties of perjury and contain a complete and accurate description of
the device, the name and address of the manufacturer or importer, the
purpose of and use for which it is intended, and any photographs,
diagrams, or drawings as may be necessary to enable the Director to make
a determination. The Director may require that a sample of the device be
submitted for examination and evaluation. If it is not possible to
submit the device, the person requesting the exemption shall advise the
Director and designate the place where the device will be available for
examination and evaluation.

Sec. 555.33 Background checks and clearances.

(a) Background checks. (1) If the Director receives from a licensee
or permittee the names and appropriate identifying information of
responsible persons and employees who will be authorized by the employer
to possess explosive materials in the course of employment with the
employer, the Director will conduct a background check in accordance
with this section.
(2) The Director will determine whether the responsible person or
employee is one of the persons described in any paragraph of section
842(i) of the Act (see Sec. 555.26). In making such determination, the
Director may take into account a letter or document issued under
paragraph (a)(3) of this section.
(3)(i) If the Director determines that the responsible person or the
employee is not one of the persons described in any paragraph of section
842(i) of the Act (see Sec. 555.26), the Director will notify the
employer in writing or electronically of the determination and issue, to
the responsible person or employee, as the case may be, a letter of
clearance which confirms the determination.
(ii) If the Director determines that the responsible person or
employee is one of the persons described in any paragraph of section
842(i) of the Act (see Sec. 555.26), ATF will notify the employer in
writing or electronically of the determination and issue to the
responsible person or the employee, as the case may be, a document that
confirms the determination; explains the grounds for the determination;
provides information on how the disability may be relieved; and explains
how the determination may be appealed. The employer will retain the
notification as part of his permanent records in accordance with Sec.
555.121. The employer will take immediate steps to remove the
responsible person from his position directing the management or
policies of the business or operations as they relate to explosive
materials or, as the case may be, to remove the employee from a position
requiring the possession of explosive materials. Also, if the employer
has listed the employee as a person authorized to accept delivery of
explosive materials, as specified in Sec. 555.103 or Sec. 555.105, the
employer must remove the employee from such list and immediately, and in
no event later than the second business day after such change, notify
distributors of such change.
(b) Appeals and correction of erroneous system information--(1) In
general. A responsible person or employee may challenge the adverse
determination set out in the letter of denial, in writing and within 45
days of issuance of the determination, by directing his or her challenge
to the basis for the adverse determination, or to the accuracy of the
record upon which the adverse determination is based, to the Director.
The appeal request must include appropriate documentation or record(s)
establishing the legal and/or factual basis for the challenge. Any
record or document of a court or other

[[Page 125]]

government entity or official furnished in support of an appeal must be
certified by the court or other government entity or official as a true
copy. In the case of an employee, or responsible person who did not
submit fingerprints, such appeal must be accompanied by two properly
completed FBI Forms FD-258 (fingerprint card). The Director will advise
the individual in writing of his decision and the reasons for the
decision.
(2) Employees. The letter of denial, among other things, will advise
an employee who elects to challenge an adverse determination to submit
the fingerprint cards as described above. The employee also will be
advised of the agency name and address that originated the record
containing the information causing the adverse determination
(``originating agency''). At that time, and where appropriate, an
employee is encouraged to apply to the originating agency to challenge
the accuracy of the record(s) upon which the denial is based. The
originating agency may respond to the individual's application by
addressing the individual's specific reasons for the challenge, and by
indicating whether additional information or documents are required. If
the record is corrected as a result of the application to the
originating agency, the individual may so notify ATF which will, in
turn, verify the record correction with the originating agency and take
all necessary steps to contact the agency responsible for the record
system and correct the record. The employee may provide to ATF
additional and appropriate documentation or record(s) establishing the
legal and/or factual basis for the challenge to ATF's decision to uphold
the initial denial. If ATF does not receive such additional
documentation or record(s) within 45 days of the date of the decision
upholding the initial denial, ATF will close the appeal.
(3) Responsible persons. The letter of denial, among other things,
will advise a responsible person of the agency name and address which
originated the record containing the information causing the adverse
determination (``originating agency''). A responsible person who elects
to challenge the adverse determination, where appropriate, is encouraged
to apply to the originating agency to challenge the accuracy of the
record(s) upon which the denial is based. The originating agency may
respond to the individual's application by addressing the individual's
specific reasons for the challenge, and by indicating whether additional
information or documents are required. If the record is corrected as a
result of the application to the originating agency, the individual may
so notify ATF which will, in turn, verify the record correction with the
originating agency and take all necessary steps to contact the agency
responsible for the record system and correct the record. A responsible
person may provide additional documentation or records as specified for
employees in paragraph (b)(2) of this section.

(Approved by the Office of Management and Budget under control number
1140-0081)

[ATF No. 1, 68 FR 13783, Mar. 20, 2003, as amended by ATF 2017R-21, 84
FR 13799, Apr. 8, 2019]

Sec. 555.34 Replacement of stolen or lost ATF Form 5400.30
(Intrastate Purchase of Explosives Coupon (IPEC)).

When any Form 5400.30 is stolen, lost, or destroyed, the person
losing possession will, upon discovery of the theft, loss, or
destruction, immediately, but in all cases before 24 hours have elapsed
since discovery, report the matter to the Director by telephoning 1-888-
ATF-BOMB (nationwide toll free number). The report will explain in
detail the circumstances of the theft, loss, or destruction and will
include all known facts that may serve to identify the document. Upon
receipt of the report, the Director will make such investigation as
appears appropriate and may issue a duplicate document upon such
conditions as the circumstances warrant.

(Approved by the Office of Management and Budget under control number
1140-0077)

[ATF No. 1, 68 FR 13783, Mar. 20, 2003]

Subpart D_Licenses and Permits

Sec. 555.41 General.

(a) [Reserved]

[[Page 126]]

(b) Licenses and permits issued on and after May 24, 2003--(1) In
general. (i) Each person intending to engage in business as an importer
or manufacturer of, or a dealer in, explosive materials, including black
powder, must, before commencing business, obtain the license required by
this subpart for the business to be operated.
(ii) Each person who intends to acquire for use explosive materials
within the State in which he resides on no more than 6 separate
occasions during the 12-month period in which the permit is valid must
obtain a limited permit under this subpart. (See Sec. 555.105(b) for
definition of ``6 separate occasions.'')
(iii) Each person who intends to acquire for use explosive materials
from a licensee or permittee in a State other than the State in which he
resides, or from a foreign country, or who intends to transport
explosive materials in interstate or foreign commerce, or who intends to
acquire for use explosive materials within the State in which he resides
on more than 6 separate occasions during a 12-month period, must obtain
a user permit under this subpart.
(iv) It is not necessary to obtain a permit if the user intends only
to lawfully purchase commercially manufactured black powder in
quantities not to exceed 50 pounds, intended to be used solely for
sporting, recreational, or cultural purposes in antique firearms or in
antique devices.
(2) Importers, manufacturers, and dealers. Each person intending to
engage in business as an explosive materials importer, manufacturer, or
dealer must file an application, with the required fee (see Sec.
555.42), with ATF in accordance with the instructions on the form (see
Sec. 555.45). A license will, subject to law, entitle the licensee to
transport, ship, and receive explosive materials in interstate or
foreign commerce, and to engage in the business specified by the
license, at the location described on the license. A separate license
must be obtained for each business premises at which the applicant is to
manufacture, import, or distribute explosive materials except under the
following circumstances:
(i) A separate license will not be required for storage facilities
operated by the licensee as an integral part of one business premises or
to cover a location used by the licensee solely for maintaining the
records required by this part.
(ii) A separate license will not be required of a licensed
manufacturer with respect to his on-site manufacturing.
(iii) It will not be necessary for a licensed importer or a licensed
manufacturer (for purposes of sale or distribution) to also obtain a
dealer's license in order to engage in business on his licensed premises
as a dealer in explosive materials. No licensee will be required to
obtain a user permit to lawfully transport, ship, or receive explosive
materials in interstate or foreign commerce.
(iv) A separate license will not be required of licensed
manufacturers with respect to their on-site manufacture of theatrical
flash powder.
(3) Users of explosive materials. (i) A limited permit will, subject
to law, entitle the holder of such permit to receive for his use
explosive materials from a licensee or permittee in his state of
residence on no more than 6 separate occasions during the 12-month
period in which the permit is valid. A limited permit does not authorize
the receipt or transportation of explosive materials in interstate or
foreign commerce. Holders of limited permits who need to receive
explosive materials on more than 6 separate occasions during a 12-month
period must obtain a user permit in accordance with this subpart.
(ii) Each person intending to acquire explosive materials from a
licensee in a State other than a State in which he resides, or from a
foreign country, or who intends to transport explosive materials in
interstate or foreign commerce, must file an application for a user
permit, with the required fee (see Sec. 555.43), with ATF in accordance
with the instructions on the form (see Sec. 555.45). A user permit
will, subject to law, entitle the permittee to transport, ship, and
receive in interstate or foreign commerce explosive materials. Only one
user permit per person is required under this part, irrespective of

[[Page 127]]

the number of locations relating to explosive materials operated by the
holder of the user permit.

(Approved by the Office of Management and Budget under control number
1140-0083)

[ATF No. 1, 68 FR 13783, Mar. 20, 2003, as amended by ATF 5F, 70 FR
30633, May 27, 2005; ATF 2017R-21, 84 FR 13799, Apr. 8, 2019]

Sec. 555.42 License fees.

(a) Each applicant shall pay a fee for obtaining a three year
license, a separate fee being required for each business premises, as
follows:
(1) Manufacturer--$200.
(2) Importer--$200.
(3) Dealer--$200.
(b) Each applicant for a renewal of a license shall pay a fee for a
three year license as follows:
(1) Manufacturer--$100.
(2) Importer--$100.
(3) Dealer--$100.

[T.D. ATF-400, 63 FR 45002, Aug. 24, 1998]

Sec. 555.43 Permit fees.

(a) Each applicant must pay a fee for obtaining a permit as follows:
(1) User--$100 for a three-year period.
(2) User-limited (nonrenewable)--$75.
(3) Limited--$25 for a one-year period.
(b)(1) Each applicant for renewal of a user permit must pay a fee of
$50 for a three-year period.
(2) Each applicant for renewal of a limited permit must pay a fee of
$12 for a one-year period.

[ATF No. 1, 68 FR 13785, Mar. 20, 2003]

Sec. 555.44 License or permit fee not refundable.

No refund of any part of the amount paid as a license or permit fee
will be made where the operations of the licensee or permittee are, for
any reason, discontinued during the period of an issued license or
permit. However, the license or permit fee submitted with an application
for a license or permit will be refunded if that application is denied,
withdrawn, or abandoned, or if a license is cancelled subsequent to
having been issued through administrative error.

Sec. 555.45 Original license or permit.

(a)-(b) [Reserved]
(c) Licenses and permits issued on and after May 24, 2003--(1)
License. Any person who intends to engage in the business as an importer
of, manufacturer of, or dealer in explosive materials, or who has not
timely submitted an application for renewal of a previous license issued
under this part, must file an application for License, Explosives, ATF F
5400.13, with ATF in accordance with the instructions on the form. ATF
Form 5400.13 may be obtained by contacting any ATF office. The
application must:
(i) Be executed under the penalties of perjury and the penalties
imposed by 18 U.S.C. 844(a);
(ii) Include appropriate identifying information concerning each
responsible person;
(iii) Include a photograph and fingerprints for each responsible
person;
(iv) Include the names of and appropriate identifying information
regarding all employees who will be authorized by the applicant to
possess explosive materials by submitting ATF F 5400.28 for each
employee; and
(v) Include the appropriate fee in the form of money order or check
made payable to the Bureau of Alcohol, Tobacco, Firearms and Explosives.
(2) User permit and limited permit. Except as provided in Sec.
555.41(b)(1)(iv), any person who intends to acquire explosive materials
in the State in which that person resides or acquire explosive materials
from a licensee or holder of a user permit in a State other than the
State in which that person resides, or from a foreign country, or who
intends to transport explosive materials in interstate or foreign
commerce, or who has not timely submitted an application for renewal of
a previous permit issued under this part, must file an application for
Permit, Explosives, ATF F 5400.16 or Permit, User Limited Display
Fireworks, ATF F 5400.21 with ATF in accordance with the instructions on
the form. ATF Form 5400.16 and ATF Form 5400.21 may be obtained by
contacting any ATF office. The application must:
(i) Be executed under the penalties of perjury and the penalties
imposed by 18 U.S.C. 844(a);

[[Page 128]]

(ii) Include a photograph, fingerprints, and appropriate identifying
information for each responsible person;
(iii) Include the names of and appropriate identifying information
regarding all employees who will be authorized by the applicant to
possess explosive materials by submitting ATF F 5400.28 for each
employee; and
(iv) Include the appropriate fee in the form of money order or check
made payable to the Bureau of Alcohol, Tobacco, Firearms and Explosives.
(3) The Chief, Federal Explosives Licensing Center, will conduct
background checks on responsible persons and employees authorized by the
applicant to possess explosive materials in accordance with Sec.
555.33. If it is determined that any responsible person or employee is
described in any paragraph of section 842(i) of the Act, the applicant
must submit an amended application indicating removal or reassignment of
that person before the license or permit will be issued.

(Approved by the Office of Management and Budget under control number
1140-0083)

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))

[T.D. ATF-200, 50 FR 10497, Mar. 15, 1985, as amended by T.D. ATF-400,
63 FR 45002, Aug. 24, 1998; ATF No. 1, 68 FR 13785, Mar. 20, 2003; ATF
2013R-9F, 79 FR 46693, Aug. 11, 2014; ATF 2017R-21, 84 FR 13799, Apr. 8,
2019]

Sec. 555.46 Renewal of license or permit.

(a) If a licensee or permittee intends to continue the business or
operation described on a license or permit issued under this part after
the expiration date of the license or permit, he shall, unless otherwise
notified in writing by the Chief, Federal Explosives Licensing Center,
execute and file prior to the expiration of his license or permit an
application for license renewal, ATF F 5400.14 (Part III), or an
application for permit renewal, ATF F 5400.15 (Part III), accompanied by
the required fee, with ATF in accordance with the instructions on the
form. In the event the licensee or permittee does not timely file a
renewal application, he shall file an original application as required
by Sec. 555.45, and obtain the required license or permit in order to
continue business or operations.
(b) A user-limited permit is not renewable and is valid for a single
purchase transaction. Applications for all user-limited permits must be
filed on ATF F 5400.16 or ATF F 5400.21, as required by Sec. 555.45.

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-200, 50
FR 10497, Mar. 15, 1985; T.D. ATF-290, 54 FR 53054, Dec. 27, 1989; T.D.
ATF-400, 63 FR 45002, Aug. 24, 1998; ATF 2013R-9F, 79 FR 46693, Aug. 11,
2014]

Sec. 555.47 Insufficient fee.

If an application is filed with an insufficient fee, the application
and fee submitted will be returned to the applicant.

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))

[T.D. ATF-200, 50 FR 10498, Mar. 15, 1985]

Sec. 555.48 Abandoned application.

Upon receipt of an incomplete or improperly executed application,
the applicant will be notified of the deficiency in the application. If
the application is not corrected and returned within 30 days following
the date of notification, the application will be considered as having
been abandoned and the license or permit fee returned.

Sec. 555.49 Issuance of license or permit.

(a) [Reserved]
(b) Issuance of license or permit on and after May 24, 2003. (1) The
Chief, Federal Explosives Licensing Center, will issue a license or
permit if:
(i) A properly executed application for the license or permit is
received; and
(ii) Through further inquiry or investigation, or otherwise, it is
found that the applicant is entitled to the license or permit.
(2) The Chief, Federal Explosives Licensing Center, will approve a
properly executed application for a license or permit, if:
(i) The applicant (or, if the applicant is a corporation,
partnership, or association, each responsible person with respect to the
applicant) is not a person described in any paragraph of section 842(i)
of the Act;

[[Page 129]]

(ii) The applicant has not willfully violated any provisions of the
Act or this part;
(iii) The applicant has not knowingly withheld information or has
not made any false or fictitious statement intended or likely to
deceive, in connection with his application;
(iv) The applicant has in a State, premises from which he conducts
business or operations subject to license or permit under the Act or
from which he intends to conduct business or operations;
(v) The applicant has storage for the class (as described in Sec.
555.202) of explosive materials described on the application;
(vi) The applicant has certified in writing that he is familiar with
and understands all published State laws and local ordinances relating
to explosive materials for the location in which he intends to do
business;
(vii) The applicant for a license has submitted the certificate
required by section 21 of the Federal Water Pollution Control Act, as
amended (33 U.S.C. 1341);
(viii) None of the employees of the applicant who will be authorized
by the applicant to possess explosive materials is a person described in
any paragraph of section 842(i) of the Act; and
(ix) In the case of an applicant for a limited permit, the applicant
has certified in writing that the applicant will not receive explosive
materials on more than 6 separate occasions during the 12-month period
for which the limited permit is valid.
(3) The Chief, Federal Explosives Licensing Center, will approve or
the Director, Industry Operations will deny any application for a
license or permit within the 90-day period beginning on the date a
properly executed application was received. However, when an applicant
for license or permit renewal is a person who is, under the provisions
of Sec. 555.83 or Sec. 555.142, conducting business or operations
under a previously issued license or permit, action regarding the
application will be held in abeyance pending the completion of the
proceedings against the applicant's existing license or permit, or
renewal application, or final action by the Director on an application
for relief submitted under Sec. 555.142, as the case may be.
(4) The license or permit and one copy will be forwarded to the
applicant, except that in the case of a user-limited permit, the
original only will be issued.
(5) Each license or permit will bear a serial number and this number
may be assigned to the licensee or permittee to whom issued for as long
as he maintains continuity of renewal in the same region.

(Approved by the Office of Management and Budget under control number
1140-0082)

[ATF No. 1, 68 FR 13785, Mar. 20, 2003, as amended by ATF 2013R-9F, 79
FR 46693, Aug. 11, 2014; ATF 2017R-21, 84 FR 13799, Apr. 8, 2019]

Sec. 555.50 Correction of error on license or permit.

(a) Upon receipt of a license or permit issued under this part, each
licensee or permittee shall examine the license or permit to insure that
the information on it is accurate. If the license or permit is
incorrect, the licensee or permittee shall return the license or permit
to the Chief, Federal Explosives Licensing Center, with a statement
showing the nature of the error. The Chief, Federal Explosives Licensing
Center, shall correct the error, if the error was made in his office,
and return the license or permit. However, if the error resulted from
information contained in the licensee's or permittee's application for
the license or permit, the Chief, Federal Explosives Licensing Center,
shall require the licensee or permittee to file an amended application
setting forth the correct information and a statement explaining the
error contained in the application. Upon receipt of the amended
application and a satisfactory explanation of the error, the Chief,
Federal Explosives Licensing Center, shall make the correction on the
license or permit and return it to the licensee or permittee.
(b) When the Chief, Federal Explosives Licensing Center, finds
through any means other than notice from the licensee or permittee that
an incorrect license or permit has been issued, (1) the Chief, Federal
Explosives Licensing Center, may require the holder of the

[[Page 130]]

incorrect license or permit to return the license or permit for
correction, and (2) if the error resulted from information contained in
the licensee's or permittee's application for the license or permit, the
Chief, Federal Explosives Licensing Center, shall require the licensee
or permittee to file an amended application setting forth the correct
information, and a statement satisfactorily explaining the error
contained in the application. The Chief, Federal Explosives Licensing
Center, then shall make the correction on the license or permit and
return it to the licensee or permittee.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 555.51 Duration of license or permit.

(a) [Reserved]
(b) On and after May 24, 2003. (1) An original license or user
permit is issued for a period of three years. A renewal license or user
permit is also issued for a period of three years. However, a user-
limited permit is valid only for a single purchase transaction.
(2) A limited permit is issued for a 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, as amended by ATF 2017R-21, 84
FR 13799, Apr. 8, 2019]

Sec. 555.52 Limitations on license or permit.

(a) The license covers the business of explosive materials specified
in the license at the licensee's business premises (see Sec.
555.41(b)).
(b) The permit is valid with respect to the type of operations of
explosive materials specified in the permit.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-387, 62
FR 8376, Feb. 25, 1997; ATF 5F, 70 FR 30633, May 27, 2005]

Sec. 555.53 License and permit not transferable.

Licenses and permits issued under this part are not transferable to
another person. In the event of the lease, sale, or other transfer of
the business or operations covered by the license or permit, the
successor must obtain the license or permit required by this part before
commencing business or operations. However, for rules on right of
succession, see Sec. 555.59.

Sec. 555.54 Change of address.

(a) During the term of a license or permit, a licensee or permittee
may move his business or operations to a new address at which he intends
to regularly carry on his business or operations, without procuring a
new license or permit. However, in every case, the licensee or permittee
shall--
(1) Give notification of the new location of the business or
operations to the Chief, Federal Explosives Licensing Center at least 10
days before the move; and
(2) Submit the license or permit to the Chief, Federal Explosives
Licensing Center. The Chief, Federal Explosives Licensing Center will
issue an amended license or permit, which will contain the new address
(and new license or permit number, if any).
(b) Licensees and permittees whose mailing address will change must
notify the Chief, Federal Explosives Licensing Center, at least 10 days
before the change.

(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0080)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF No. 1, 68 FR 13786, Mar. 20, 2003; ATF
2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 555.56 Change in trade name.

A licensee or permittee continuing to conduct business or operations
at the location shown on his license or permit is not required to obtain
a new license or permit by reason of a mere change in trade name under
which he conducts his business or operations. However, the licensee or
permittee shall furnish his license or permit and any copies furnished
with the license or permit for endorsement of the change to the Chief,
Federal Explosives Licensing Center, within 30 days from the date the
licensee or permittee begins his

[[Page 131]]

business or operations under the new trade name.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 555.57 Change of control, change in responsible persons, and change of employees.

(a) In the case of a corporation or association holding a license or
permit under this part, if actual or legal control of the corporation or
association changes, directly or indirectly, whether by reason of change
in stock ownership or control (in the corporation holding a license or
permit or in any other corporation), by operation of law, or in any
other manner, the licensee or permittee shall, within 30 days of the
change, give written notification executed under the penalties of
perjury, to the Chief, Federal Explosives Licensing Center. Upon
expiration of the license or permit, the corporation or association
shall file an ATF F 5400.13 or an ATF F 5400.16 as required by Sec.
555.45, and pay the fee prescribed in Sec. 555.42(b) or Sec.
555.43(b).
(b) Each person holding the license or permit must report to the
Chief, Federal Explosives Licensing Center, any change in responsible
persons or employees authorized to possess explosive materials. Such
report must be submitted within 30 days of the change and must include
appropriate identifying information for each responsible person. Reports
relating to newly hired employees authorized to possess explosive
materials must be submitted on ATF F 5400.28 for each employee.
(c) Upon receipt of a report, the Chief, Federal Explosives
Licensing Center, will conduct a background check, if appropriate, in
accordance with Sec. 555.33.
(d) The reports required by paragraph (b) of this section must be
retained as part of a licensee's or permittee's permanent records for
the period specified in Sec. 555.121.

(Approved by the Office of Management and Budget under control number
1140-0074)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF No. 1, 68 FR 13786, Mar. 20, 2003; ATF
2013R-9F, 79 FR 46693, Aug. 11, 2014; ATF 2017R-21, 84 FR 13799, Apr. 8,
2019]

Sec. 555.58 Continuing partnerships.

Where, under the laws of the particular State, the partnership is
not terminated on death or insolvency of a partner, but continues until
the winding up of the partnership affairs is completed, and the
surviving partner has the exclusive right to the control and possession
of the partnership assets for the purpose of liquidation and settlement,
the surviving partner may continue to conduct the business or operations
under the license or permit of the partnership. If the surviving partner
acquires the business or operations on completion of settlement of the
partnership, he shall obtain a license or permit in his own name from
the date of acquisition, as provided in Sec. 555.45. The rule set forth
in this section will also apply where there is more than one surviving
partner.

Sec. 555.59 Right of succession by certain persons.

(a) Certain persons other than the licensee or permittee may secure
the right to carry on the same explosive materials business or
operations at the same business premises for the remainder of the term
of license or permit. These persons are:
(1) The surviving spouse or child, or executor, administrator, or
other legal representative of a deceased licensee or permittee; and
(2) A receiver or trustee in bankruptcy, or an assignee for benefit
of creditors.
(b) In order to secure the right of succession, the person or
persons continuing the business or operations shall submit the license
or permit and all copies furnished with the license or permit for
endorsement of the succession to the Chief, Federal Explosives Licensing
Center, within 30 days from

[[Page 132]]

the date on which the successor begins to carry on the business or
operations.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]

Sec. 555.60 Certain continuances of business or operations.

A licensee or permittee who furnishes his license or permit to the
Chief, Federal Explosives Licensing Center, for correction, amendment,
or endorsement, as provided in this subpart, may continue his business
or operations while awaiting its return.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Sec. 555.61 Discontinuance of business or operations.

Where an explosive materials business or operations is either
discontinued or succeeded by a new owner, the owner of the business or
operations discontinued or succeeded shall, within 30 days, furnish
notification of the discontinuance or succession and submit his license
or permit and any copies furnished with the license or permit to the
Chief, Federal Explosives Licensing Center. (See also Sec. 555.128.)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Sec. 555.62 State or other law.

A license or permit issued under this part confers no right or
privilege to conduct business or operations, including storage, contrary
to State or other law. The holder of a license or permit issued under
this part is not, by reason of the rights and privileges granted by that
license or permit, immune from punishment for conducting an explosive
materials business or operations in violation of the provisions of any
State or other law. Similarly, compliance with the provisions of any
State or other law affords no immunity under Federal law or regulations.

Sec. 555.63 Explosives magazine changes.

(a) General. (1) The requirements of this section are applicable to
magazines used for other than temporary (under 24 hours) storage of
explosives.
(2) A magazine is considered suitable for the storage of explosives
if the construction requirements of this part are met during the time
explosives are stored in the magazine.
(3) A magazine is considered suitable for the storage of explosives
if positioned in accordance with the applicable table of distances as
specified in this part during the time explosives are stored in the
magazine.
(4) For the purposes of this section, notification of the Director,
Industry Operations may be by telephone or in writing. However, if
notification of the Director, Industry Operations is in writing it must
be at least three business days in advance of making changes in
construction to an existing magazine or constructing a new magazine, and
at least five business days in advance of using any reconstructed
magazine or added magazine for the storage of explosives.
(b) Exception. Mobile or portable type 5 magazines are exempt from
the requirements of paragraphs (c) and (d) of this section, but must
otherwise be in compliance with paragraphs (a) (2) and (3) of this
section during the time explosives are stored in such magazines.
(c) Changes in magazine construction. A licensee or permittee who
intends to make changes in construction of an existing magazine shall
notify the Director, Industry Operations describing the proposed changes
prior to making any changes. Unless otherwise advised by the Director,
Industry Operations, changes in construction may commence after
explosives are removed from the magazine. Explosives may not be stored
in a reconstructed magazine before the Director, Industry Operations has
been notified in accordance with paragraph (a)(4) of this section that
the changes have been completed.
(d) Magazines acquired or constructed after permit or license is
issued. A licensee or permittee who intends to construct or acquire
additional magazines shall notify the Director, Industry Operations in
accordance with paragraph (a)(4) of this section describing the
additional magazines and the class and quantity of explosives to be

[[Page 133]]

stored in the magazine. Unless otherwise advised by the Director,
Industry Operations, additional magazines may be constructed, or
acquired magazines may be used for the storage of explosives. Explosives
must not be stored in a magazine under construction. The Director,
Industry Operations must be notified that construction has been
completed.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-400, 63
FR 45002, Aug. 24, 1998; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Subpart E_License and Permit Proceedings

Sec. 555.71 Opportunity for compliance.

Except in cases of willfulness or those in which the public interest
requires otherwise, and the Director, Industry Operations so alleges in
the notice of denial of an application or revocation of a license or
permit, no license or permit will be revoked or renewal application
denied without first calling to the attention of the licensee or
permittee the reasons for the contemplated action and affording him an
opportunity to demonstrate or achieve compliance with all lawful
requirements and to submit facts, arguments, or proposals of adjustment.
The notice of contemplated action, ATF F 5400.12, will afford the
licensee or permittee 15 days from the date of receipt of the notice to
respond. If no response is received within the 15 days, or if after
consideration of relevant matters presented by the licensee or
permittee, the Director, Industry Operations finds that the licensee or
permittee is not likely to abide by the law and regulations, he will
proceed as provided in Sec. 555.74.

[T.D. ATF-87, 46 FR 40384, Aug. 7 1981, as amended by T.D. ATF-446, 66
FR 16602, Mar. 27, 2001; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Sec. 555.72 Denial of initial application.

Whenever the Director, Industry Operations has reason to believe
that an applicant for an original license or permit is not eligible to
receive a license or permit under the provisions of Sec. 555.49, he
shall issue a notice of denial on ATF F 5400.11. The notice will set
forth the matters of fact and law relied upon in determining that the
application should be denied, and will afford the applicant 15 days from
the date of receipt of the notice in which to request a hearing to
review the denial. If no request for a hearing is filed within that
time, a copy of the application, marked ``Disapproved'', will be
returned to the applicant.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46694, Aug. 11, 2014]

Sec. 555.73 Hearing after initial application is denied.

If the applicant for an original license or permit desires a
hearing, he shall file a request with the Director, Industry Operations
within 15 days after receipt of the notice of denial. The request should
include a statement of the reasons for a hearing. On receipt of the
request, the Director, Industry Operations shall refer the matter to an
administrative law judge who shall set a time and place (see Sec.
555.77) for a hearing and shall serve notice of the hearing upon the
applicant and the Director, Industry Operations at least 10 days in
advance of the hearing date. The hearing will be conducted in accordance
with the hearing procedures prescribed in part 771 of this chapter (see
Sec. 555.82). Within a reasonable time after the conclusion of the
hearing, and as expeditiously as possible, the administrative law judge
shall render his recommended decision. He shall certify to the complete
record of the proceedings before him and shall immediately forward the
complete certified record, together with four copies of his recommended
decision, to the Director, Industry Operations for decision.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46694, Aug. 11, 2014; ATF 33F, 84 FR 64744, Nov. 25, 2019]

Sec. 555.74 Denial of renewal application or revocation of license
or permit.

If following the opportunity for compliance under Sec. 555.71, or
without opportunity for compliance under Sec. 555.71, as circumstances
warrant, the Director, Industry Operations finds that the licensee or
permittee is not likely to comply with the law or regulations or

[[Page 134]]

is otherwise not eligible to continue operations authorized under his
license or permit, the Director, Industry Operations shall issue a
notice of denial of the renewal application or revocation of the license
or permit, ATF F 5400.11 or ATF F 5400.10, as appropriate. In either
case, the notice will set forth the matters of fact constituting the
violations specified, dates, places, and the sections of law and
regulations violated. The notice will, in the case of revocation of a
license or permit, specify the date on which the action is effective,
which date will be on or after the date the notice is served on the
licensee or permittee. The notice will also advise the licensee or
permittee that he may, within 15 days after receipt of the notice,
request a hearing and, if applicable, a stay of the effective date of
the revocation of his license or permit.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46694, Aug. 11, 2014]

Sec. 555.75 Hearing after denial of renewal application or revocation
of license or permit.

If a licensee or permittee whose renewal application has been denied
or whose license or permit has been revoked desires a hearing, he shall
file a request for a hearing with the Director, Industry Operations. In
the case of the revocation of a license or permit, he may include a
request for a stay of the effective date of the revocation. On receipt
of the request the Director, Industry Operations shall advise the
licensee or permittee whether the stay of the effective date of the
revocation is granted. If the stay of the effective date of the
revocation is granted, the Director, Industry Operations shall refer the
matter to an administrative law judge who shall set a time and place
(see Sec. 555.77) for a hearing and shall serve notice of the hearing
upon the licensee or permittee and the Director, Industry Operations at
least 10 days in advance of the hearing date. If the stay of the
effective date of the revocation is denied, the licensee or permittee
may request an immediate hearing. In this event, the Director, Industry
Operations shall immediately refer the matter to an administrative law
judge who shall set a date and place for a hearing, which date shall be
no later than 10 days from the date the licensee or permittee requested
an immediate hearing. The hearing will be held in accordance with the
applicable provisions of part 771 of this chapter. Within a reasonable
time after the conclusion of the hearing, and as expeditiously as
possible, the administrative law judge shall render his decision. He
shall certify to the complete record of the proceeding before him and
shall immediately forward the complete certified record, together with
two copies of his decision, to the Director, Industry Operations, serve
one copy of his decision on the licensee or permittee or his counsel,
and transmit a copy to the attorney for the Government.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46694, Aug. 11, 2014; ATF 33F, 84 FR 64744, Nov. 25, 2019]

Sec. 555.76 Action by Director, Industry Operations.

(a) Initial application proceedings. If, upon receipt of the record
and the recommended decision of the administrative law judge, the
Director, Industry Operations decides that the license or permit should
be issued, the Director, Industry Operations shall cause the application
to be approved, briefly stating, for the record, his reasons. If he
contemplates that the denial should stand, he shall serve a copy of the
administrative law judge's recommended decision on the applicant,
informing the applicant of his contemplated action and affording the
applicant not more than 10 days in which to submit proposed findings and
conclusions or exceptions to the recommended decision with supporting
reasons. If the Director, Industry Operations, after consideration of
the record of the hearing and of any proposed findings, conclusions, or
exceptions filed with him by the applicant, approves the findings,
conclusions and recommended decision of the administrative law judge,
the Director, Industry Operations shall cause the license or permit to
be issued or disapproved the application accordingly. If he disapproves
the findings, conclusions, and recommendation of the administrative law
judge, in whole or in part, he shall by order make such

[[Page 135]]

findings and conclusions as in his opinion are warranted by the law and
the facts in the record. Any decision of the Director, Industry
Operations ordering the disapproval of an initial application for a
license or permit shall state the findings and conclusions upon which it
is based, including his ruling upon each proposed finding, conclusion,
and exception to the administrative law judge's recommended decision,
together with a statement of his findings and conclusions, and reasons
or basis for his findings and conclusions, upon all material issues of
fact, law or discretion presented on the record. A signed duplicate
original of the decision will be served upon the applicant and the
original copy containing certificate of service will be placed in the
official record of the proceedings. If the decision of the Director,
Industry Operations is in favor of the applicant, he shall issue the
license or permit, to be effective on issuance.
(b) Renewal application and revocation proceedings. Upon receipt of
the complete certified records of the hearing, the Director, Industry
Operations shall enter an order confirming the revocation of the license
or permit, or disapproving the application, in accordance with the
administrative law judge's findings and decision, unless he disagrees
with the findings and decision. A signed duplicate original of the
order, ATF F 5400.9, will be served upon the licensee or permittee and
the original copy containing certificate of service will be placed in
the official record of the proceedings. If the Director, Industry
Operations disagrees with the findings and decision of the
administrative law judge, he shall file a petition with the Director for
review of the findings and decision, as provided in Sec. 555.79. In
either case, if the renewal application denial is sustained, a copy of
the application marked ``Disapproved'' will be returned to the
applicant. If the renewal application denial is reversed, a license or
permit will be issued to become effective on expiration of the license
or permit being renewed, or on the date of issuance, whichever is later.
If the proceedings involve the revocation of a license or permit which
expired before a decision is in favor of the licensee or permittee, the
Director, Industry Operations shall:
(1) If renewal application was timely filed and a stay of the
effective date of the revocation was granted, cause to be issued a
license or permit effective on the date of issuance;
(2) If renewal application was not timely filed but a stay of the
effective date of the revocation had been granted, request that a
renewal application be filed and, following that, cause to be issued a
license or permit to be effective on issuance; or
(3) If a stay of the effective date of the revocation had not been
granted, request that an application be filed as provided in Sec.
555.45, and process it in the same manner as for an application for an
original license or permit.
(c) Curtailment of stay of revocation effective date. If, after
approval of a request for a stay of the effective date of an order
revoking a license or permit but before actions are completed under this
subpart, the Director, Industry Operations finds that it is contrary to
the public interest for the licensee or permittee to continue the
operations or activities covered by his license or permit, the Director,
Industry Operations may issue a notice of withdrawal of the approval,
effective on the date of issuance. Notice of withdrawal will be served
upon the licensee or permittee in the manner provided in Sec. 555.81.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Sec. 555.77 Designated place of hearing.

The designated place of hearing set as provided in Sec. 555.73 or
Sec. 555.75, will be at the location convenient to the aggrieved party.

Sec. 555.78 Representation at a hearing.

An applicant, licensee, or permittee may represent himself, or be
represented by an attorney, a certified public accountant, or any other
person, specifically designated in a duly executed power of attorney
that shall be filed in the proceeding by the applicant, licensee, or
permittee. The applicant, licensee, or permittee shall file waivers, if
applicable, under the Privacy Act of 1974 and 26 U.S.C. 6103(c)

[[Page 136]]

(confidentiality and disclosure of returns and return information). The
Director of Industry Operations may be represented in proceedings under
Sec. Sec. 555.73 and 555.75 by an attorney in the Office of Chief
Counsel who is authorized to execute and file motions, briefs and other
papers in the proceeding, on behalf of the Director of Industry
Operations, in the attorney's own name as ``Attorney for the
Government.''

[ATF 33F, 84 FR 64744, Nov. 25, 2019]

Sec. 555.79 Appeal on petition to the Director.

An appeal to the Director is not required prior to filing an appeal
with the U.S. Court of Appeals for judicial review. An appeal may be
taken by the applicant, licensee, or permittee to the Director from a
decision resulting from a hearing under Sec. 555.73 or Sec. 555.75. An
appeal may also be taken by a Director, Industry Operations from a
decision resulting from a hearing under Sec. 555.75 as provided in
Sec. 555.76(b). The appeal shall be taken by filing a petition for
review on appeal with the Director within 15 days of the service of an
administrative law judge's decision or an order. The petition will set
forth facts tending to show action of an arbitrary nature, action
without reasonable warrant in fact, or action contrary to law and
regulations. A copy of the petition will be filed with the Director,
Industry Operations or served on the applicant, licensee, or permittee,
as the case may be. In the event of appeal, the Director, Industry
Operations shall immediately forward the complete original record, by
certified mail, to the Director for his consideration, review, and
disposition as provided in subpart I of part 771 of this chapter. When,
on appeal, the Director affirms the initial decision of the Director,
Industry Operations or the administrative law judge, as the case may be,
the initial decision will be final.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46694, Aug. 11, 2014; ATF 33F, 84 FR 64744, Nov. 25, 2019]

Sec. 555.80 Court review.

An applicant, licensee, or permittee may, within 60 days after
receipt of the decision of the administrative law judge or the final
order of the Director, Industry Operations or the Director, file a
petition for a judicial review of the decision, with the U.S. Court of
Appeals for the district in which he resides or has his principal place
of business. The Director, upon notification that a petition has been
filed, shall have prepared a complete transcript of the record of the
proceedings. The Director, Industry Operations or the Director, as the
case may be, shall certify to the correctness of the transcript of the
record, forward one copy to the attorney for the Government in the
review of the case, and file the original record of the proceedings with
the original certificate in the U.S. Court of Appeals.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2013R-9F, 79
FR 46694, Aug. 11, 2014]

Sec. 555.81 Service on applicant, licensee, or permittee.

All notices and other formal documents required to be served on an
applicant, licensee, or permittee under this subpart will be served by
certified mail or by personal delivery. Where service is by personal
delivery, the signed duplicate original copy of the formal document will
be delivered to the applicant, licensee, or permittee, or, in the case
of a corporation, partnership, or association, by delivering it to an
officer, manager, or general agent, or to its attorney of record.

Sec. 555.82 Rules of practice in license and permit proceedings.

Regulations governing the procedure and practice for disapproval of
applications for explosives licenses and permits and for the denial of
renewal or revocation of such licenses and permits under the Act are
contained in part 771 of this chapter.

[ATF 33F, 84 FR 64744, Nov. 25, 2019]

Sec. 555.83 Operations by licensees or permittees after notice of
denial or revocation.

In any case where a notice of revocation has been issued and a
request for a stay of the effective date of the revocation has not been
granted, the licensee

[[Page 137]]

or permittee shall not engage in the activities covered by the license
or permit pending the outcome of proceedings under this subpart. In any
case where notice of revocation has been issued but a stay of the
effective date of the revocation has been granted, the licensee or
permittee may continue to engage in the activities covered by his
license or permit unless, or until, formally notified to the contrary:
Provided, That in the event the license or permit would have expired
before proceedings under this subpart are completed, timely renewal
application must have been filed to continue the license or permit
beyond its expiration date. In any case where a notice of denial of a
renewal application has been issued, the licensee or permittee may
continue to engage in the activities covered by the existing license or
permit after the date of expiration of the license or permit until
proceedings under this subpart are completed.

Subpart F_Conduct of Business or Operations

Sec. 555.101 Posting of license or user permit.

A license or user permit issued under this part, or a copy of a
license or user permit, will be posted and available for inspection on
the business premises at each place where explosive materials are
manufactured, imported, or distributed.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981. Redesignated by T.D. ATF-487,
68 FR 3748, Jan. 24, 2003, as amended by ATF No. 1, 68 FR 13786, Mar.
20, 2003]

Sec. 555.102 Authorized operations by permittees.

(a) In general. A permit issued under this part does not authorize
the permittee to engage in the business of manufacturing, importing, or
dealing in explosive materials. Accordingly, if a permittee's operations
bring him within the definition of manufacturer, importer, or dealer
under this part, he shall qualify for the appropriate license.
(b) Distributions of surplus stocks. Permittees are not authorized
to engage in the business of sale or distribution of explosive
materials. However, permittees may dispose of surplus stocks of
explosive materials to other licensees or permittees in accordance with
Sec. 555.103 and Sec. 555.105.

[T.D. ATF-400, 63 FR 45002, Aug. 24, 1998, as amended by ATF No. 1, 68
FR 13787, Mar. 20, 2003; ATF 2017R-21, 84 FR 13799, Apr. 8, 2019]

Sec. 555.103 Transactions among licensees/permittees and transactions
among licensees and holders of user permits.

(a) [Reserved]
(b) Transactions among licensees/permittees on and after May 24,
2003--(1) General. (i) A licensed importer, licensed manufacturer or
licensed dealer selling or otherwise distributing explosive materials
(or a holder of a user permit disposing of surplus stock to a licensee;
a holder of a user permit; or a holder of a limited permit who is within
the same State as the distributor) who has the certified information
required by this section may sell or distribute explosive materials to a
licensee or permittee for not more than 45 days following the expiration
date of the distributee's license or permit, unless the distributor
knows or has reason to believe that the distributee's authority to
continue business or operations under this part has been terminated.
(ii) A licensed importer, licensed manufacturer or licensed dealer
selling or otherwise distributing explosive materials (or a holder of a
user permit disposing of surplus stock to another licensee or permittee)
must verify the license or permit status of the distributee prior to the
release of explosive materials ordered, as required by this section.
(iii) Licensees or permittees desiring to return explosive materials
to a licensed manufacturer may do so without obtaining a certified copy
of the manufacturer's license.
(2) Verification of license/user permit. (i) Prior to or with the
first order of explosive materials, the distributee must provide the
distributor a certified copy (or, in the case of a user-limited, the
original) of the distributee's license or user permit. However,
licensees or holders of user permits that are business organizations may
(in lieu of a

[[Page 138]]

certified copy of a license or user permit) provide the distributor with
a certified list that contains the name, address, license or user permit
number, and date of the license or user permit expiration of each
location.
(ii) The distributee must also provide the distributor with a
current list of the names of persons authorized to accept delivery of
explosive materials on behalf of the distributee. The distributee
ordering explosive materials must keep the list current and provide
updated lists to licensees and holders of user permits on a timely
basis. A distributor may not transfer possession of explosive materials
to any person whose name does not appear on the current list of names of
persons authorized to accept delivery of explosive materials on behalf
of the distributee. Except as provided in paragraph (b)(3) of this
section, in all instances the distributor must verify the identity of
the distributee, or the employee of the distributee accepting possession
of explosive materials on behalf of the distributee, by examining an
identification document (as defined in Sec. 555.11) before
relinquishing possession.
(iii) A licensee or holder of a user permit ordering explosive
materials from another licensee or permittee must provide to the
distributor a current, certified statement of the intended use of the
explosive materials, e.g., resale, mining, quarrying, agriculture,
construction, sport rocketry, road building, oil well drilling,
seismographic research, etc.
(A) For individuals, the certified statement of intended use must
specify the name, address, date and place of birth, and social security
number of the distributee.
(B) For business organizations, the certified statement of intended
use must specify the taxpayer identification number, the identity and
the principal and local places of business.
(C) The licensee or holder of a user permit purchasing explosive
materials must revise the furnished copy of the certified statement only
when the information is no longer current.
(3) Delivery of explosive materials by common or contract carrier.
When a common or contract carrier will transport explosive materials
from a distributor to a distributee who is a licensee or holder of a
user permit, the distributor must take the following actions before
relinquishing possession of the explosive materials:
(i) Verify the identity of the person accepting possession for the
common or contract carrier by examining such person's valid, unexpired
driver's license issued by any State, Canada, or Mexico; and
(ii) Record the name of the common or contract carrier (i.e., the
name of the driver's employer) and the full name of the driver. This
information must be maintained in the distributor's permanent records in
accordance with Sec. 555.121.
(4) User-limited permit transactions. A user-limited permit issued
under the provisions of this part is valid for only a single purchase
transaction and is not renewable (see Sec. 555.51). Accordingly, at the
time a user-limited permittee orders explosive materials, the licensed
distributor must write on the front of the user-limited permit the
transaction date, his signature, and the distributor's license number
prior to returning the permit to the user-limited permittee.

(Approved by the Office of Management and Budget under control number
1140-0079)

[ATF No. 1, 68 FR 13787, Mar. 20, 2003, as amended by ATF No. 2, 68 FR
53512, Sept. 11, 2003; ATF 2017R-21, 84 FR 13799, Apr. 8, 2019]

Sec. 555.104 Certified copy of license or permit.

Except as provided in Sec. 555.49(a), each person issued a license
or permit under this part shall be furnished together with his license
or permit a copy for his certification. If a person desires an
additional copy of his license or permit for certification and for use
under Sec. 555.103, he shall:
(a) Make a reproduction of the copy of his license or permit and
execute the certification on it;
(b) Make a reproduction of his license or permit, enter on the
reproduction the statement: ``I certify that this is a true copy of a
(insert the word license or permit) issued to me to engage in the
specified business or operations'', and sign his name next to the
statement; or
(c) Submit a request, in writing, for certified copies of his
license or permit

[[Page 139]]

to the Chief, Federal Explosives Licensing Center. The request will show
the name, trade name (if any), and address of the licensee or permittee
and the number of copies of the license or permit desired. There is a
fee of $1 for each copy of a license or permit issued by the Chief,
Federal Explosives Licensing Center under this paragraph. Fee payment
must accompany each request for additional copies of a license or
permit. The fee must be paid by (1) cash, or (2) money order or check
made payable to the Bureau of Alcohol, Tobacco, Firearms, and
Explosives.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-290, 54
FR 53054, Dec. 27, 1989; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Sec. 555.105 Distributions to limited permittees.

(a) [Reserved]
(b) Distributions to holders of limited permits on and after May 24,
2003. (1) This section will apply in any case where distribution of
explosive materials to the distributee is not otherwise prohibited by
the Act or this part.
(2) A licensed importer, licensed manufacturer or a licensed dealer
may distribute explosive materials to a holder of a limited permit if
such permittee is a resident of the same State in which the licensee's
business premises are located, the holder of the limited permit presents
in person or by mail ATF Form 5400.4, Limited Permittee Transaction
Report (LPTR), and the licensee completes Form 5400.4 in accordance with
Sec. 555.126(b). In no event will a licensee distribute explosive
materials to a holder of a limited permit unless the holder presents a
Form 5400.4 with an original unaltered and unexpired Intrastate Purchase
of Explosives Coupon (IPEC), ATF Form 5400.30, affixed. The coupon must
bear the name, address, permit number, and the coupon number of the
limited permittee seeking distribution of the explosives.
(3) A holder of a limited permit is authorized to receive explosive
materials from a licensee or permittee whose premises are located in the
same State of residence in which the premises of the holder of the
limited permit are located on no more than 6 separate occasions during
the one-year period of the permit. For purposes of this section, the
term ``6 separate occasions'' means six deliveries of explosive
materials. Each delivery must--
(i) Relate to a single purchase transaction made on one ATF F
5400.4;
(ii) Be referenced on one commercial invoice or purchase order; and
(iii) Be delivered to the holder of the limited permit in one
shipment delivered at the same time.
(4) A holder of a user permit may dispose of surplus stocks of
explosive materials to a licensee or holder of a user permit, or a
holder of a limited permit who is a resident of the same State in which
the premises of the holder of the user permit are located. A holder of a
limited permit may dispose of surplus stocks of explosive materials to
another holder of a limited permit who is a resident of the same State
in which the premises of the distributor are located, if the transaction
complies with the requirements of paragraph (b)(2) of this section and
Sec. 555.126(b). A holder of a limited permit may also dispose of
surplus stocks of explosive materials to a licensee or holder of a user
permit if the disposition occurs in the State of residence of the holder
of the limited permit. (See Sec. 555.103.)
(5) Each holder of a limited permit ordering explosive materials
must furnish the distributing licensee prior to or with the first order
of the explosive materials a current list of the names of employees
authorized to accept delivery of explosive materials on behalf of the
limited permittee. The distributee ordering explosive materials must
keep the list current and provide updated lists to licensees and holders
of user permits on a timely basis. A licensed importer, licensed
manufacturer, licensed dealer, or permittee, selling or otherwise
distributing explosive materials to a holder of a limited permit must,
prior to delivering the explosive materials, obtain from the limited
permittee a current list of persons who are authorized to accept
deliveries of explosive materials on behalf of the limited permittee. A
licensee or permittee may not deliver explosive materials to a person
whose name does not appear on the list.

[[Page 140]]

(6)(i) Delivery at the distributor's premises. Where possession of
explosive materials is transferred directly to the distributee at the
distributor's premises, the distributor must obtain an executed Form
5400.4 in accordance with Sec. 555.126(b) and must in all instances
verify the identity of the person accepting possession on behalf of the
distributee by examining an identification document (as defined in Sec.
555.11) before relinquishing possession.
(ii) Delivery by distributor. Where possession of explosive
materials is transferred by the distributor to the distributee away from
the distributor's premises, the distributor must obtain an executed Form
5400.4 in accordance with Sec. 555.126(b) and must in all instances
verify the identity of the person accepting possession on behalf of the
distributee by examining an identification document (as defined in Sec.
555.11) before relinquishing possession.
(iii) Delivery by common or contract carrier hired by the
distributor. Where a common or contract carrier hired by the distributor
will transport explosive materials from the distributor to a holder of a
limited permit:
(A) The limited permittee must, prior to delivery of the explosive
materials, complete the appropriate section on Form 5400.4, affix to the
Form 5400.4 one of the six IPECs he has been issued, and provide the
form to the distributor in person or by mail.
(B) The distributor must, before relinquishing possession of the
explosive materials to the common or contract carrier:
(1) Verify the identity of the person accepting possession for the
common or contract carrier by examining such person's valid, unexpired
driver's license issued by any State, Canada, or Mexico; and
(2) Record the name of the common or contract carrier (i.e., the
name of the driver's employer) and the full name of the driver. This
information must be maintained in the distributor's permanent records in
accordance with Sec. 555.121.
(C) At the time of delivery of the explosive materials, the common
or contract carrier, as agent for the distributor, must verify the
identity of the person accepting delivery on behalf of the distributee,
note the type and number of the identification document (as defined in
Sec. 555.11) and provide this information to the distributor. The
distributor must enter this information in the appropriate section on
Form 5400.4.
(iv) Delivery by common or contract carrier hired by the
distributee. Where a common or contract carrier hired by the distributee
will transport explosive materials from the distributor to a holder of a
limited permit:
(A) The limited permittee must, prior to delivery of the explosive
materials, complete the appropriate section on Form 5400.4, affix to the
Form 5400.4 one of the six IPECs he has been issued, and provide the
form to the distributor in person or by mail.
(B) Before the delivery at the distributor's premises to the common
or contract carrier who will transport explosive materials to the holder
of a limited permit, the distributor must:
(1) Verify the identity of the person accepting possession for the
common or contract carrier by examining such person's valid, unexpired
driver's license issued by any State, Canada, or Mexico; and
(2) Record the name of the common or contract carrier (i.e., the
name of the driver's employer) and the full name of the driver. This
information must be maintained in the distributor's permanent records in
accordance with Sec. 555.121.
(7) A licensee or permittee disposing of surplus stock may sell or
distribute commercially manufactured black powder in quantities of 50
pounds or less to a holder of a limited permit, nonlicensee, or
nonpermittee if the black powder is intended to be used solely for
sporting, recreational, or cultural purposes in antique firearms as
defined in 18 U.S.C. 921(a)(16), or in antique devices as exempted from
the term ``destructive device'' in 18 U.S.C. 921(a)(4).

(Approved by the Office of Management and Budget under control number
1140-0075)

[ATF No. 1, 68 FR 13788, Mar. 20, 2003, as amended by ATF No. 2, 68 FR
53513, Sept. 11, 2003; ATF 2017R-21, 84 FR 13799, Apr. 8, 2019]

[[Page 141]]

Sec. 555.106 Certain prohibited distributions.

(a) A licensee or permittee may not distribute explosive materials
to any person except--
(1) A licensee;
(2) A holder of a user permit; or
(3) A holder of a limited permit who is a resident of the State
where distribution is made and in which the premises of the transferor
are located.
(b) A licensee shall not distribute any explosive materials to any
person:
(1) Who the licensee knows is less than 21 years of age;
(2) In any State where the purchase, possession, or use by a person
of explosive materials would be in violation of any State law or any
published ordinance applicable at the place of distribution;
(3) Who the licensee has reason to believe intends to transport the
explosive materials into a State where the purchase, possession, or use
of explosive materials is prohibited or which does not permit its
residents to transport or ship explosive materials into the State or to
receive explosive materials in the State; or
(4) Who the licensee has reasonable cause to believe intends to use
the explosive materials for other than a lawful purpose.
(c) A licensee shall not distribute any explosive materials to any
person knowing or having reason to believe that the person:
(1) Is, except as provided under Sec. 555.142 (d) and (e), under
indictment or information for, or was convicted in any court of, a crime
punishable by imprisonment for a term exceeding 1 year;
(2) Is a fugitive from justice;
(3) Is an unlawful user of marijuana, or any depressant or stimulant
drug, or narcotic drug (as these terms are defined in the Controlled
Substances Act, 21 U.S.C. 802);
(4) Was adjudicated as a mental defective or was committed to a
mental institution;
(5) Is an alien, other than an alien who--
(i) Is lawfully admitted for permanent residence (as that term is
defined in section 101(a)(20) of the Immigration and Nationality Act (8
U.S.C. 1101));
(ii) Is in lawful nonimmigrant status, is a refugee admitted under
section 207 of the Immigration and Nationality Act (8 U.S.C. 1157), or
is in asylum status under section 208 of the Immigration and Nationality
Act (8 U.S.C. 1158), and--
(A) Is a foreign law enforcement officer of a friendly foreign
government, as determined by the Attorney General in consultation with
the Secretary of State, entering the United States on official law
enforcement business, and the shipping, transporting, possession, or
receipt of explosive materials is in furtherance of this official law
enforcement business;
(B) Is a person having the power to direct or cause the direction of
the management and policies of a corporation, partnership, or
association licensed pursuant to section 843(a), and the shipping,
transporting, possession, or receipt of explosive materials is in
furtherance of such power;
(C) Is a member of a North Atlantic Treaty Organization (NATO) or
other friendly foreign military force, as determined by the Attorney
General in consultation with the Secretary of Defense, (whether or not
admitted in a nonimmigrant status) who is present in the United States
under military orders for training or other military purpose authorized
by the United States, and the shipping, transporting, possession, or
receipt of explosive materials is in furtherance of the military
purpose; or
(D) Is lawfully present in the United States in cooperation with the
Director of Central Intelligence, and the shipment, transportation,
receipt, or possession of the explosive materials is in furtherance of
such cooperation;
(6) Has been discharged from the armed forces under dishonorable
conditions; or
(7) Having been a citizen of the United States, has renounced
citizenship.
(d) The provisions of this section do not apply to the purchase of
commercially manufactured black powder in quantities not to exceed 50
pounds, intended to be used solely for sporting, recreational, or
cultural purposes in antique firearms or in antique devices,

[[Page 142]]

if the requirements of Sec. 555.105(a)(7) or (b)(7) are fully met.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981. Redesignated by T.D. ATF-487,
68 FR 3748, Jan. 24, 2003, as amended by ATF No. 1, 68 FR 13790, Mar.
20, 2003]

Sec. 555.107 Record of transactions.

Each licensee and permittee shall keep records of explosive
materials as required by subpart G of this part.

Sec. 555.108 Importation.

(a) Explosive materials imported or brought into the United States
by a licensed importer or holder of a user permit may be released from
customs custody to the licensed importer or holder of a user permit upon
proof of his status as a licensed importer or holder of a user permit.
Proof of status must be made by the licensed importer or holder of a
user permit furnishing to the customs officer a certified copy of his
license or permit (see Sec. 555.103).
(b) A nonlicensee or nonpermittee may import or bring into the
United States commercially manufactured black powder in quantities not
to exceed 50 pounds. Upon submitting to the customs officer completed
ATF F 5400.3, certifying that the black powder is intended to be used
solely for sporting, recreational, or cultural purposes in antique
firearms or in antique devices, black powder may be released from
customs custody. The disposition of the executed ATF F 5400.3 will be in
accordance with the instructions on the form.
(c) The provisions of this section are in addition to, and are not
in lieu of, any applicable requirement under 27 CFR Part 447.
(d) For additional requirements relating to the importation of
plastic explosives into the United States on or after April 24, 1997,
see Sec. 555.183.
(e) For requirements relating to the marking of imported explosive
materials, see Sec. 555.109.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-387, 62
FR 8376, Feb. 25, 1997; ATF No. 1, 68 FR 13790, Mar. 20, 2003; ATF 5F,
70 FR 30633, May 27, 2005]

Sec. 555.109 Identification of explosive materials.

(a) General. Explosive materials, whether manufactured in the United
States or imported, must contain certain marks of identification.
(b) Required marks--(1) Licensed manufacturers. Licensed
manufacturers who manufacture explosive materials for sale or
distribution must place the following marks of identification on
explosive materials at the time of manufacture:
(i) The name of the manufacturer; and
(ii) The location, date, and shift of manufacture. Where a
manufacturer operates his plant for only one shift during the day, he
does not need to show the shift of manufacture.
(2) Licensed importers. (i) Licensed importers who import explosive
materials for sale or distribution must place the following marks of
identification on the explosive materials they import:
(A) The name and address (city and state) of the importer; and
(B) The location (city and country) where the explosive materials
were manufactured, date, and shift of manufacture. Where the foreign
manufacturer operates his plant for only one shift during the day, he
does not need to show the shift of manufacture.
(ii) Licensed importers must place the required marks on all
explosive materials imported prior to distribution or shipment for use,
and in no event later than 15 days after the date of release from
Customs custody.
(c) General requirements. (1) The required marks prescribed in this
section must be permanent and legible.
(2) The required marks prescribed in this section must be in the
English language, using Roman letters and Arabic numerals.
(3) Licensed manufacturers and licensed importers must place the
required marks on each cartridge, bag, or other immediate container of
explosive materials that they manufacture or import, as well as on any
outside container used for the packaging of such explosive materials.
(4) Licensed manufacturers and licensed importers may use any
method, or combination of methods, to affix the

[[Page 143]]

required marks to the immediate container of explosive materials, or
outside containers used for the packaging thereof, provided the
identifying marks are legible, permanent, show all the required
information, and are not rendered unreadable by extended periods of
storage.
(5) If licensed manufacturers or licensed importers desire to use a
coding system and omit printed markings on the container that show all
the required information specified in paragraphs (b)(1) and (2) of this
section, they must file with ATF a letterhead application displaying the
coding that they plan to use and explaining the manner of its
application. The Director must approve the application before the
proposed coding can be used.
(d) Exceptions--(1) Blasting caps. Licensed manufacturers or
licensed importers are only required to place the identification marks
prescribed in this section on the containers used for the packaging of
blasting caps.
(2) Alternate means of identification. The Director may authorize
other means of identifying explosive materials, including fireworks,
upon receipt of a letter application from the licensed manufacturer or
licensed importer showing that such other identification is reasonable
and will not hinder the effective administration of this part.

(Approved by the Office of Management and Budget under control numbers
1140-0055 and 1140-0062)

[ATF 5F, 70 FR 30633, May 27, 2005, as amended by ATF-11F, 73 FR 57242,
Oct. 2, 2008]

Sec. 555.110 Furnishing of samples (Effective on and after
January 24, 2003).

(a) In general. Licensed manufacturers and licensed importers and
persons who manufacture or import explosive materials or ammonium
nitrate must, when required by letter issued by the Director, furnish--
(1) Samples of such explosive materials or ammonium nitrate;
(2) Information on chemical composition of those products; and
(3) Any other information that the Director determines is relevant
to the identification of the explosive materials or to identification of
the ammonium nitrate.
(b) Reimbursement. The Director will reimburse the fair market value
of samples furnished pursuant to paragraph (a) of this section, as well
as reasonable costs of shipment.

(Approved by the Office of Management and Budget under control number
1140-0073)

[ATF No. 1, 68 FR 13790, Mar. 20, 2003]

Subpart G_Records and Reports

Sec. 555.121 General.

(a)(1) Licensees and permittees shall keep records pertaining to
explosive materials in permanent form (i.e., commercial invoices, record
books) and in the manner required in this subpart.
(2) Licensees and permittees shall keep records required by this
part on the business premises for five years from the date a transaction
occurs or until discontinuance of business or operations by the licensee
or permittee. (See also Sec. 555.128 for discontinuance of business or
operations.)
(b) ATF officers may enter the premises of any licensee or holder of
a user permit for the purpose of examining or inspecting any record or
document required by or obtained under this part (see Sec. 555.24).
Section 843(f) of the Act requires licensees and holders of user permits
to make all required records available for examination or inspection at
all reasonable times. Section 843(f) of the Act also requires licensees
and permittees (including holders of limited permits) to submit all
reports and information relating to all required records and their
contents, as the regulations in this part prescribe.
(c) Each licensee and permittee shall maintain all records of
importation, production, shipment, receipt, sale, or other disposition,
whether temporary or permanent, of explosive materials as the
regulations in this part prescribe. Sections 842(f) and 842(g) of the
Act make it unlawful for any licensee or permittee knowingly to make any
false entry in, or fail to make entry in, any

[[Page 144]]

record required to be kept under the Act and the regulations in this
part.

(Approved by the Office of Management and Budget under control number
1140-0030)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-172, 49
FR 14941, Apr. 16, 1984; ATF No. 1, 68 FR 13790, Mar. 20, 2003; ATF-11F,
73 FR 57242, Oct. 2, 2008]

Sec. 555.122 Records maintained by licensed importers.

(a) Each licensed importer shall take true and accurate physical
inventories which will include all explosive materials on hand required
to be accounted for in the records kept under this part. The licensed
importer shall take a special inventory
(1) At the time of commencing business, which is the effective date
of the license issued upon original qualification under this part;
(2) At the time of changing the location of his business to another
region;
(3) At the time of discontinuing business; and
(4) At any time the Director, Industry Operations may in writing
require. Each special inventory is to be prepared in duplicate, the
original of which is submitted to the Director, Industry Operations, and
the duplicate retained by the licensed importer. If a special inventory
specified by paragraphs (a) (1) through (4) of this section has not been
taken during the calendar year, at least one physical inventory will be
taken. However, the record of the yearly inventory, other than a special
inventory required by paragraphs (a) (1) through (4) of this section,
will remain on file for inspection instead of being sent to the
Director, Industry Operations. (See also Sec. 555.127.)
(b) Each licensed importer shall, not later than the close of the
next business day following the date of importation or other acquisition
of explosive materials, enter the following information in a separate
record:
(1) Date of importation or other acquisition.
(2) Name or brand name of manufacturer and country of manufacture.
(3) Manufacturer's marks of identification.
(4) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of display fireworks, etc.).
(5) Description (dynamite (dyn), blasting agents (ba), detonators
(det), display fireworks (df), etc.) and size (length and diameter or
diameter only of display fireworks).
(c) Each licensed importer shall, not later than the close of the
next business day following the date of distribution of any explosive
materials to another licensee or a permittee, enter in a separate record
the following information:
(1) Date of disposition.
(2) Name or brand name of manufacturer and country of manufacture.
(3) Manufacturer's marks of identification.
(4) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of display fireworks, etc.).
(5) Description (dynamite (dyn), blasting agents (ba), detonators
(det), display fireworks (df), etc.) and size (length and diameter or
diameter only of display fireworks).
(6) License or permit number of licensee or permittee to whom the
explosive materials are distributed.
(d) The Chief, Explosives Industry Programs Branch may authorize
alternate records to be maintained by a licensed importer to record his
distribution of explosive materials when it is shown by the licensed
importer that alternate records will accurately and readily disclose the
information required by paragraph (c) of this section. A licensed
importer who proposes to use alternate records shall submit a letter
application to the Chief, Explosives Industry Programs Branch and shall
describe the proposed alternate records and the need for them. Alternate
records are not to be employed by the licensed importer until approval
is received from the Chief, Explosives Industry Programs Branch.
(e) Each licensed importer shall maintain separate records of the
sales or other distribution made of explosive

[[Page 145]]

materials to nonlicensees or nonpermittees. These records are maintained
as prescribed by Sec. 555.126.

(Approved by the Office of Management and Budget under control number
1140-0030)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-172, 49
FR 14941, Apr. 16, 1984; T.D. ATF-293, 55 FR 3721, Feb. 5, 1990; T.D.
ATF-400, 63 FR 45003, Aug. 24, 1998; ATF-11F, 73 FR 57242, Oct. 2, 2008;
ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Sec. 555.123 Records maintained by licensed manufacturers.

(a) Each licensed manufacturer shall take true and accurate physical
inventories which will include all explosive materials on hand required
to be accounted for in the records kept under this part. The licensed
manufacturer shall take a special inventory
(1) At the time of commencing business, which is the effective date
of the license issued upon original qualification under this part;
(2) At the time of changing the location of his premises to another
region;
(3) At the time of discontinuing business; and
(4) At any other time the Director, Industry Operations may in
writing require. Each special inventory is to be prepared in duplicate,
the original of which is submitted to the Director, Industry Operations,
and the duplicate retained by the licensed manufacturer. If a special
inventory required by paragraphs (a) (1) through (4) of this section has
not been taken during the calendar year, at least one physical inventory
will be taken. However, the record of the yearly inventory, other than a
special inventory required by paragraphs (a) (1) through (4) of this
section, will remain on file for inspection instead of being sent to the
Director, Industry Operations. (See also Sec. 555.127.)
(b) Each licensed manufacturer shall not later than the close of the
next business day following the date of manufacture or other acquisition
of explosive materials, enter the following information in a separate
record:
(1) Date of manufacture or other acquisition.
(2) Manufacturer's marks of identification.
(3) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of display fireworks, etc.).
(4) Name, brand name or description (dynamite (dyn), blasting agents
(ba), detonators (det), display fireworks (df), etc.) and size (length
and diameter or diameter only of display fireworks).
(c) Each licensed manufacturer shall, not later than the close of
the next business day following the date of distribution of any
explosive materials to another licensee or a permittee, enter in a
separate record the following information:
(1) Date of disposition.
(2) Name or brand name of manufacturer or name of importer, as
applicable, if acquired other than by his own manufacture.
(3) Manufacturer's marks of identification.
(4) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of display fireworks, etc.).
(5) Description (dynamite (dyn), blasting agents (ba), detonators
(det), display fireworks (df), etc.) and size (length and diameter or
diameter only of display fireworks).
(6) License or permit number of licensee or permittee to whom the
explosive materials are distributed.
(d) Each licensed manufacturer who manufactures explosive materials
for his own use shall, not later than the close of the next business day
following the date of use, enter in a separate record the following
information:
(1) Date of use.
(2) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of special fireworks, etc.).
(3) Description (dynamite (dyn), blasting agents (ba), detonators
(det), display fireworks (df), etc.) and size (length and diameter or
diameter only of display fireworks).

Exception: A licensed manufacturer is exempt from the recordkeeping
requirements of this subsection if the explosive materials are
manufactured for his own use and used within a 24 hour period at the
same site.

(e) The Chief, Explosives Industry Programs Branch may authorize
alternate records to be maintained by a licensed manufacturer to record
his distribution or use of explosive materials

[[Page 146]]

when it is shown by the licensed manufacturer that alternate records
will accurately and readily disclose the information required by
paragraph (c) of this section. A licensed manufacturer who proposes to
use alternate records shall submit a letter application to the Chief,
Explosives Industry Programs Branch and shall describe the proposed
alternate records and the need for them. Alternate records are not to be
employed by the licensed manufacturer until approval is received from
the Chief, Explosives Industry Programs Branch.
(f) Each licensed manufacturer shall maintain separate records of
the sales or other distribution made of explosive materials to
nonlicensees or nonpermittees. These records are maintained as
prescribed by Sec. 555.126.

(Approved by the Office of Management and Budget under control number
1140-0030)

Sec. 555.124 Records maintained by licensed dealers.

(a) Each licensed dealer shall take true and accurate physical
inventories which will include all explosive materials on hand required
to be accounted for in the records kept under this part. The licensed
dealer shall take a special inventory
(1) At the time of commencing business, which is the effective date
of the license issued upon original qualification under this part;
(2) At the time of changing the location of his premises to another
region;
(3) At the time of discontinuing business; and
(4) At any other time the Director, Industry Operations may in
writing require. Each special inventory is to be prepared in duplicate,
the original of which is submitted to the Director, Industry Operations,
and the duplicate retained by the licensed dealer. If a special
inventory required by paragraphs (a) (1) through (4) of this section has
not been taken during the calendar year, at least one physical inventory
will be taken. However, the record of the yearly inventory, other than a
special inventory required by paragraphs (a) (1) through (4) of this
section, will remain on file for inspection instead of being sent to the
Director, Industry Operations. (See also Sec. 555.127.)
(b) Each licensed dealer shall, not later than the close of the next
business day following the date of purchase or other acquisition of
explosive materials (except as provided in paragraph (d) of this
section), enter the following information in a separate record:
(1) Date of acquisition.
(2) Name or brand name of manufacturer and name of importer (if
any).
(3) Manufacturer's marks of identification.
(4) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of display fireworks, etc.).
(5) Description (dynamite (dyn), blasting agents (ba), detonators
(det), display fireworks (df), etc.) and size (length and diameter or
diameter only of display fireworks).
(6) Name, address, and license or permit number of the person from
whom the explosive materials are received.
(c) Each licensed dealer shall, not later than the close of the next
business day following the date of use (if the explosives are used by
the dealer) or the date of distribution of any explosive materials to
another licensee or a permittee (except as provided in paragraph (d) of
this section), enter in a separate record the following information:
(1) Date of disposition.
(2) Name or brand name of manufacturer and name of importer (if
any).
(3) Manufacturer's marks of identification.
(4) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of display fireworks, etc.).
(5) Description (dynamite (dyn), blasting agents (ba), detonators
(det), display fireworks (df), etc.) and size (length and diameter or
diameter only of display fireworks).
(6) License or permit number of licensee or permittee to whom the
explosive materials are distributed.

[[Page 147]]

(d) When a commercial record is kept by a licensed dealer showing
the purchase or other acquisition information required for the permanent
record prescribed by paragraph (b) of this section, or showing the
distribution information required for the permanent record prescribed by
paragraph (c) of this section, the licensed dealer acquiring or
distributing the explosive materials may, for a period not exceeding
seven days following the date of acquisition of distribution of the
explosive materials, delay making the required entry into the permanent
record of acquisition or distribution. However, until the required entry
of acquisition or disposition is made in the permanent record, the
commercial record must be (1) kept by the licensed dealer separate from
other commercial documents kept by the licensee, and (2) readily
available for inspection on the licensed premises.
(e) The Chief, Explosives Industry Programs Branch may authorize
alternate records to be maintained by a licensed dealer to record his
acquisition or disposition of explosive materials, when it is shown by
the licensed dealer that alternate records will accurately and readily
disclose the required information. A licensed dealer who proposes to use
alternate records shall submit a letter application to the Chief,
Explosives Industry Programs Branch and shall describe the proposed
alternate records and the need for them. Alternate records are not to be
employed by the licensed dealer until approval is received from the
Chief, Explosives Industry Programs Branch.
(f) Each licensed dealer shall maintain separate records of the
sales or other distribution made of explosive materials to nonlicensees
or nonpermittees. These records are maintained as prescribed by Sec.
555.126.

(Approved by the Office of Management and Budget under control number
1140-0030)

Sec. 555.125 Records maintained by permittees.

(a) [Reserved]
(b) Records maintained by permittees on and after May 24, 2003. (1)
Each holder of a user permit must take true and accurate physical
inventories that will include all explosive materials on hand required
to be accounted for in the records kept under this part. The permittee
must take a special inventory--
(i) At the time of commencing business, which is the effective date
of the permit issued upon original qualification under this part;
(ii) At the time of changing the location of his premises;
(iii) At the time of discontinuing business; and
(iv) At any other time the Director, Industry Operations may in
writing require. Each special inventory is to be prepared in duplicate,
the original of which is submitted to the Director, Industry Operations
and the duplicate retained by the permittee. If a special inventory
required by paragraphs (b)(1)(i) through (iv) of this section has not
been taken during the calendar year, a permittee is required to take at
least one physical inventory. The record of the yearly inventory, other
than a special inventory required by paragraphs (b)(1)(i) through (iv)
of this section, will remain on file for inspection instead of being
sent to the Director, Industry Operations. (See also Sec. 555.127.)
(2) Each holder of a limited permit must take true and accurate
physical inventories, at least annually, that will include all explosive
materials on hand required to be accounted for in the records kept under
this part.
(3) Each holder of a user permit or a limited permit must, not later
than the close of the next business day following the date of
acquisition of explosive materials, enter the following information in a
separate record:
(i) Date of acquisition;
(ii) Name or brand name of manufacturer;
(iii) Manufacturer's marks of identification;
(iv) Quantity (applicable quantity units, such as pounds of
explosives, number of detonators, number of display fireworks, etc.);

[[Page 148]]

(v) Description (dynamite (dyn), blasting agents (ba), detonators
(det), display fireworks (df), etc., and size (length and diameter or
diameter only of display fireworks)); and
(vi) Name, address, and license number of the persons from whom the
explosive materials are received.
(4) Each holder of a user permit or a limited permit must, not later
than the close of the next business day following the date of
disposition of surplus explosive materials to another permittee or a
licensee, enter in a separate record the information prescribed in Sec.
555.124(c).
(5) When a record book is used as a permittee's permanent record the
permittee may delay entry of the required information for a period not
to exceed seven days if the commercial record contains all of the
required information prescribed by paragraphs (b)(3) and (b)(4) of this
section. However, the commercial record may be used instead of a record
book as a permanent record provided that the record contains all of the
required information prescribed by paragraphs (b)(3) and (b)(4) of this
section.
(6) Each holder of a user permit or a limited permit must maintain
separate records of disposition of surplus stocks of explosive materials
to holders of a limited permit as prescribed in Sec. 555.126.
(7) The Chief, Explosives Industry Programs Branch may authorize
alternate records to be maintained by a holder of a user permit or a
limited permit to record his acquisition of explosive materials, when it
is shown by the permittee that alternate records will accurately and
readily disclose the required information. A permittee who proposes to
use alternate records must submit a letter application to the Chief,
Explosives Industry Programs Branch and must describe the proposed
alternate records and the need for them. Alternate records are not to be
employed by the permittee until approval is received from the Chief,
Explosives Industry Programs Branch.

(Approved by the Office of Management and Budget under control number
1140-0030)

[ATF No. 1, 68 FR 13790, Mar. 20, 2003, as amended by ATF 2013R-9F, 79
FR 46694, Aug. 11, 2014; ATF 2017R-21, 84 FR 13799, Apr. 8, 2019]

Sec. 555.126 Limited Permittee Transaction Report for distribution
of explosive materials.

(a) [Reserved]
(b) Limited Permittee Transaction Report for distribution of
explosive materials on and after May 24, 2003. (1) A licensee or
permittee may not distribute explosive materials to any person who is
not a licensee or permittee. A licensee or permittee may not distribute
explosive materials to a limited permittee unless the distributor
records the transaction on ATF Form 5400.4, Limited Permittee
Transaction Report.
(2) Before distributing explosive materials to a limited permittee,
the licensee or permittee must obtain an executed Form 5400.4 from the
limited permittee with an original unaltered and unexpired Intrastate
Purchase of Explosives Coupon (IPEC) affixed. Except when delivery of
explosive materials is made by a common or contract carrier who is an
agent of the limited permittee, the licensee, permittee, or an agent of
the licensee or permittee, must verify the identity of the holder of the
limited permit by examining an identification document (as defined in
Sec. 555.11) and noting on the Form 5400.4 the type of document
presented. The licensee or permittee must complete the appropriate
section on Form 5400.4 to indicate the type and quantity of explosive
materials distributed, the license or permit number of the seller, and
the date of the transaction. The licensee or permittee must sign and
date the form and include any other information required by the
instructions on the form and the regulations in this part.
(3) One copy of Form 5400.4 must be retained by the distributor as
part of his permanent records in accordance with paragraph (b)(4) of
this section and for the period specified in Sec. 555.121. The
distributor must mail the other copy of Form 5400.4 to the Bureau of
Alcohol, Tobacco, Firearms and Explosives in accordance with the
instructions on the form.
(4) Each Form 5400.4 must be retained in chronological order by date
of disposition, or in alphabetical order by name of limited permittee. A
licensee may not, however, use both methods in a single recordkeeping
system. Where

[[Page 149]]

there is a change in proprietorship by a limited permittee, the forms
may continue to be filed together after such change.
(5) The requirements of this section are in addition to any other
recordkeeping requirement contained in this part.

(Approved by the Office of Management and Budget under control number
1140-0078)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-93, 46
FR 50787, Oct. 15, 1981; T.D. ATF-172, 49 FR 14941, Apr. 16, 1984; T.D.
ATF-446, 66 FR 16602, Mar. 27, 2001; ATF No. 1, 68 FR 13791, Mar. 20,
2003; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014; ATF 2017R-21, 84 FR
13800, Apr. 8, 2019]

Sec. 555.127 Daily summary of magazine transactions.

In taking the inventory required by Sec. Sec. 555.122, 555.123,
555.124, and 555.125, a licensee or permittee shall enter the inventory
in a record of daily summary transactions to be kept at each magazine of
an approved storage facility; however, these records may be kept at one
central location on the business premises if separate records of daily
transactions are kept for each magazine. Not later than the close of the
next business day, each licensee and permittee shall record by
manufacturer's name or brand name, the total quantity received in and
removed from each magazine during the day, and the total remaining on
hand at the end of the day. Quantity entries for display fireworks may
be expressed as the number and size of individual display fireworks in a
finished state or as the number of packaged display segments or packaged
displays. Information as to the number and size of display fireworks
contained in any one packaged display segment or packaged display shall
be provided to any ATF officer on request. Any discrepancy which might
indicate a theft or loss of explosive materials is to be reported in
accordance with Sec. 555.30.

[T.D. ATF-293, 55 FR 3722, Feb. 5, 1990, as amended by T.D. ATF-400, 63
FR 45003, Aug. 24, 1998]

Sec. 555.128 Discontinuance of business.

Where an explosive materials business or operations is discontinued
and succeeded by a new licensee or new permittee, the records prescribed
by this subpart shall appropriately reflect such facts and shall be
delivered to the successor. Where discontinuance of the business or
operations is absolute, the records required by this subpart must be
delivered within 30 days following the business or operations
discontinuance to any ATF office located in the region in which the
business was located, or to the ATF Out-of-Business Records Center, 244
Needy Road, Martinsburg, West Virginia 25405. Where State law or local
ordinance requires the delivery of records to other responsible
authority, the Chief, Federal Explosives Licensing Center may arrange
for the delivery of the records required by this subpart to such
authority. (See also, Sec. 555.61.)

[T.D. ATF-290, 54 FR 53054, Dec. 27, 1989, as amended by T.D. ATF-446a,
66 FR 19089, Apr. 13, 2001; ATF No. 1, 68 FR 13792, Mar. 20, 2003; ATF-
11F, 73 FR 57242, Oct. 2, 2008; ATF 2013R-9F, 79 FR 46694, Aug. 11,
2014]

Sec. 555.129 Exportation.

Exportation of explosive materials is to be in accordance with the
applicable provisions of section 38 of the Arms Export Control Act (22
U.S.C. 2778) and implementing regulations. However, a licensed importer,
licensed manufacturer, or licensed dealer exporting explosive materials
shall maintain records showing the manufacture or acquisition of
explosive materials as required by this part and records showing the
quantity, the manufacturer's name or brand name of explosive materials,
the name and address of the foreign consignee of the explosive
materials, and the date the explosive materials were exported. See Sec.
555.180 for regulations concerning the exportation of plastic
explosives.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-387, 62
FR 8377, Feb. 25, 1997]

Sec. 555.130 [Reserved]

Subpart H_Exemptions

Sec. 555.141 Exemptions.

(a) General. Except for the provisions of Sec. Sec. 555.180 and
555.181, this part does not apply to:

[[Page 150]]

(1) Any aspect of the transportation of explosive materials via
railroad, water, highway, or air which is regulated by the U.S.
Department of Transportation and its agencies, and which pertains to
safety. For example, regulations issued by the Department of
Transportation addressing the security risk of aliens transporting
explosives by commercial motor or railroad carrier from Canada preclude
the enforcement of 18 U.S.C. 842(i)(5) against persons shipping,
transporting, receiving, or possessing explosives incident to and in
connection with the commercial transportation of explosives by truck or
rail from Canada into the United States. Questions concerning this
exception should be directed to ATF's Explosives Industry Program Branch
in Washington, DC.
(2) The use of explosive materials in medicines and medicinal agents
in the forms prescribed by the official United States Pharmacopeia or
the National Formulary. ``The United States Pharmacopeia and The
National Formulary,'' USP and NF Compendia, are available from the
United States Pharmacopeial Convention, Inc., 12601 Twinbrook Parkway,
Rockville, Maryland 20852.
(3) The transportation, shipment, receipt, or importation of
explosive materials for delivery to any agency of the United States or
to any State or its political subdivision.
(4) Small arms ammunition and components of small arms ammunition.
(5) The manufacture under the regulation of the military department
of the United States of explosive materials for, or their distribution
to or storage or possession by, the military or naval services or other
agencies of the United States.
(6) Arsenals, navy yards, depots, or other establishments owned by,
or operated by or on behalf of, the United States.
(7) The importation, distribution, and storage of fireworks
classified as UN0336, UN0337, UN0431, or UN0432 explosives by the U.S.
Department of Transportation at 49 CFR 172.101 and generally known as
``consumer fireworks'' or ``articles pyrotechnic.''
(8) Gasoline, fertilizers, propellant actuated devices, or
propellant actuated industrial tools manufactured, imported, or
distributed for their intended purposes.
(9) Industrial and laboratory chemicals which are intended for use
as reagents and which are packaged and shipped pursuant to U.S.
Department of Transportation regulations, 49 CFR Parts 100 to 177, which
do not require explosives hazard warning labels.
(10) Model rocket motors that meet all of the following criteria--
(i) Consist of ammonium perchlorate composite propellant, black
powder, or other similar low explosives;
(ii) Contain no more than 62.5 grams of total propellant weight; and
(iii) Are designed as single-use motors or as reload kits capable of
reloading no more than 62.5 grams of propellant into a reusable motor
casing.
(b) Black powder. Except for the provisions applicable to persons
required to be licensed under subpart D, this part does not apply with
respect to commercially manufactured black powder in quantities not to
exceed 50 pounds, percussion caps, safety and pyrotechnic fuses, quills,
quick and slow matches, and friction primers, if the black powder is
intended to be used solely for sporting, recreational, or cultural
purposes in antique firearms, as defined in 18 U.S.C. 921(a)(16) or
antique devices, as exempted from the term ``destructive devices'' in 18
U.S.C. 921(a)(4).

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-87, 46
FR 46916, Sept. 23, 1981; T.D. ATF-293, 55 FR 3722, Feb. 5, 1990; T.D.
ATF-387, 62 FR 8377, Feb. 25, 1997; T.D. ATF-400, 63 FR 45003, Aug. 24,
1998; ATF No. 1, 68 FR 13792, Mar. 20, 2003; ATF 6F, 71 FR 46101, Aug.
11, 2006; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Sec. 555.142 Relief from disabilities.

(a) Any person prohibited from shipping or transporting any
explosive in or affecting interstate or foreign commerce or from
receiving or possessing any explosive which has been shipped or
transported in or affecting interstate or foreign commerce may make
application for relief from disabilities under section 845(b) of the Act
.
(b) An application for relief from disabilities must be filed with
the Director by submitting ATF Form 5400.29,

[[Page 151]]

Application for Restoration of Explosives Privileges, in accordance with
the instructions on the form. The application must be supported by
appropriate data, including the information specified in paragraph (f)
of this section. Upon receipt of an incomplete or improperly executed
application for relief, the applicant will be notified of the deficiency
in the application. If the application is not corrected and returned
within 30 days following the date of notification, the application will
be considered abandoned.
(c)(1) The Director may grant relief to an applicant if it is
established to the satisfaction of the Director that the circumstances
regarding the disability and the applicant's record and reputation are
such that the applicant will not be likely to act in a manner dangerous
to public safety and that the granting of such relief is not contrary to
the public interest.
(2) Except as provided in paragraph (c)(3) of this section, the
Director will not grant relief if the applicant--
(i) Has not been discharged from parole or probation for a period of
at least 2 years;
(ii) Is a fugitive from justice;
(iii) Is a prohibited alien;
(iv) Is an unlawful user of or addicted to any controlled substance;
(v) Has been adjudicated a mental defective or committed to a mental
institution, unless the applicant was subsequently determined by a
court, board, commission, or other lawful authority to have been
restored to mental competency, to be no longer suffering from a mental
disorder, and to have had all rights restored; or
(vi) Is prohibited by the law of the State where the applicant
resides from receiving or possessing explosive materials.
(3)(i) The Director may grant relief to aliens who have been
lawfully admitted to the United States or to persons who have not been
discharged from parole or probation for a period of at least 2 years if
he determines that the applicant has a compelling need to possess
explosives, such as for purposes of employment.
(ii) The Director may grant relief to the persons identified in
paragraph (c)(2) of this section in extraordinary circumstances where
the granting of such relief is consistent with the public interest.
(d) A person who has been granted relief under this section is
relieved of all disabilities imposed by the Act for the disabilities
disclosed in the application. The granting of relief will not affect any
disabilities incurred subsequent to the date the application was filed.
Relief from disabilities granted to aliens will be effective only so
long as the alien retains his or her lawful immigration status.
(e)(1) A licensee or permittee who is under indictment or
information for, or convicted of, a crime punishable by imprisonment for
a term exceeding one year during the term of a current license or
permit, or while he has pending a license or permit renewal application,
shall not be barred from licensed or permit operations for 30 days after
the date of indictment or information or 30 days after the date upon
which his conviction becomes final. Also, if he files his application
for relief under this section within such 30 day period, he may further
continue licensed or permit operations while his application is pending.
A licensee or permittee who does not file an application within 30 days
from the date of his indictment or information, or within 30 days from
the date his conviction becomes final, shall not continue licensed or
permit operations beyond 30 days from the date of his indictment or
information or beyond 30 days from the date his conviction becomes
final.
(2) In the event the term of a license or permit of a person expires
during the 30 day period following the date of indictment of information
of during the 30 day period after the date upon which his conviction
becomes final or while his application for relief is pending, he shall
file a timely application for renewal of his license or permit in order
to continue licensed or permit operations. The license or permit
application is to show that the applicant has been indicted or under
information for, or convicted of, a crime punishable by imprisonment for
a term exceeding one year.
(3) A licensee or permittee shall not continue licensed or permit
operations beyond 30 days following the date the

[[Page 152]]

Director issues notification that the licensee's or permittee's
application for removal of the disabilities resulting from an
indictment, information or conviction has been denied.
(4) When a licensee or permittee may no longer continue licensed or
permit operations under this section, any application for renewal of
license of permit filed by the licensee or permittee while his
application for removal of disabilities resulting from an indictment,
information or conviction is pending, will be denied by the Director,
Industry Operations.
(f)(1) Applications for relief from disabilities must include the
following information:
(i) In the case of a corporation, or of any person having the power
to direct or control the management of the corporation, information as
to the absence of culpability in the offense for which the corporation,
or any such person, was indicted, formally accused or convicted;
(ii) In the case of an applicant who is an individual, two properly
completed FBI Forms FD-258 (fingerprint card), and a written statement
from each of three references who are not related to the applicant by
blood or marriage and have known the applicant for at least 3 years,
recommending the granting of relief;
(iii) Written consent to examine and obtain copies of records and to
receive statements and information regarding the applicant's background,
including records, statements and other information concerning
employment, medical history, military service, immigration status, and
criminal record;
(iv) In the case of an applicant having been convicted of a crime
punishable by imprisonment for a term exceeding one year, a copy of the
indictment or information on which the applicant was convicted, the
judgment of conviction or record of any plea of nolo contendere or plea
of guilty or finding of guilt by the court;
(v) In the case of an applicant under indictment, a copy of the
indictment or information;
(vi) In the case of an applicant who has been adjudicated a mental
defective or committed to a mental institution, a copy of the order of a
court, board, commission, or other lawful authority that made the
adjudication or ordered the commitment, any petition that sought to have
the applicant so adjudicated or committed, any medical records
reflecting the reasons for commitment and diagnoses of the applicant,
and any court order or finding of a court, board, commission, or other
lawful authority showing the applicant's discharge from commitment,
restoration of mental competency and the restoration of rights;
(vii) In the case of an applicant who has been discharged from the
Armed Forces under dishonorable conditions, a copy of the applicant's
Certificate of Release or Discharge from Active Duty (Department of
Defense Form 214), Charge Sheet (Department of Defense Form 458), and
final court martial order;
(viii) In the case of an applicant who, having been a citizen of the
United States, has renounced his or her citizenship, a copy of the
formal renunciation of nationality before a diplomatic or consular
officer of the United States in a foreign state or before an officer
designated by the Attorney General when the United States was in a state
of war (see 8 U.S.C. 1481(a)(5) and (6)); and
(ix) In the case of an applicant who is an alien, documentation that
the applicant is an alien who has been lawfully admitted to the United
States; certification from the applicant including the applicant's INS-
issued alien number or admission number, country/countries of
citizenship, and immigration status, and certifying that the applicant
is legally authorized to work in the United States, or other purposes
for which possession of explosives is required; certification from an
appropriate law enforcement agency of the applicant's country of
citizenship stating that the applicant does not have a criminal record;
and, if applicable, certification from a Federal explosives licensee or
permittee or other employer stating that the applicant is employed by
the employer and must possess explosive materials for purposes of
employment. These certifications must be submitted in English.
(2) Any record or document of a court or other government entity or
official

[[Page 153]]

required by paragraph (f)(1) of this section must be certified by the
court or other government entity or official as a true copy.

(Approved by the Office of Management and Budget under control number
1140-0076)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981. Redesignated by T.D. ATF-487,
68 FR 3748, Jan. 24, 2003, as amended by ATF No. 1, 68 FR 13792, Mar.
20, 2003; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014; ATF 2017R-21, 84 FR
13800, Apr. 8, 2019]

Subpart I_Unlawful Acts, Penalties, Seizures and Forfeitures

Sec. 555.161 Engaging in business without a license.

Any person engaging in the business of importing, manufacturing, or
dealing in explosive materials without a license issued under the Act,
shall be fined not more than $10,000 or imprisoned not more than 10
years, or both.

Sec. 555.162 False statement or representation.

Any person who knowingly withholds information or makes any false or
fictitious oral or written statement or furnishes or exhibits any false,
fictitious, or misrepresented identification, intended or likely to
deceive for the purpose of obtaining explosive materials, or a license,
permit, exemption, or relief from disability under the Act, shall be
fined not more than $10,000 or imprisoned not more than 10 years, or
both.

Sec. 555.163 False entry in record.

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 not more than
$10,000 or imprisoned not more than 10 years, or both.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-400, 63
FR 45003, Aug. 24, 1998]

Sec. 555.164 Unlawful storage.

Any person who stores any explosive material in a manner not in
conformity with this part, shall be fined not more than $1,000 or
imprisoned not more than one year, or both.

Sec. 555.165 Failure to report theft or loss.

(a) Any person who has knowledge of the theft or loss of any
explosive materials from his stock and fails to report the theft or loss
within 24 hours of discovery in accordance with Sec. 555.30, shall be
fined not more than $1,000 or imprisoned not more than one year, or
both.
(b) Any licensee or permittee who fails to report a theft of
explosive materials in accordance with Sec. 555.30 will be fined under
title 18 U.S.C., imprisoned not more than 5 years, or both.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF No. 1, 68 FR
13793, Mar. 20, 2003; ATF 2017R-21, 84 FR 13800, Apr. 8, 2019]

Sec. 555.166 Seizure or forfeiture.

Any explosive materials involved or used or intended to be used in
any violation of the Act or of this part or in any violation of any
criminal law of the United States are subject to seizure and forfeiture,
and all provisions of title 26, U.S.C. relating to the seizure,
forfeiture, and disposition of firearms, as defined in 26 U.S.C.
5845(a), will, so far as applicable, extend to seizures and forfeitures
under the Act. (See Sec. 72.27 of this title for regulations on summary
destruction of explosive materials which are impracticable or unsafe to
remove to a place of storage.)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-363, 60
FR 17449, Apr. 6, 1995]

Subpart J_Marking of Plastic Explosives

Sec. 555.180 Prohibitions relating to unmarked plastic explosives.

(a) No person shall manufacture any plastic explosive that does not
contain a detection agent.
(b) No person shall import or bring into the United States, or
export from the United States, any plastic explosive that does not
contain a detection agent. This paragraph does not apply to the
importation or bringing into the United States, or the exportation from
the United States, of any plastic explosive that was imported or brought
into, or manufactured in the United States prior to April 24, 1996, by
or on behalf

[[Page 154]]

of any agency of the United States performing military or police
functions (including any military reserve component) or by or on behalf
of the National Guard of any State, not later than 15 years after the
date of entry into force of the Convention on the Marking of Plastic
Explosives with respect to the United States, i.e., not later than June
21, 2013.
(c) No person shall ship, transport, transfer, receive, or possess
any plastic explosive that does not contain a detection agent. This
paragraph does not apply to:
(1) The shipment, transportation, transfer, receipt, or possession
of any plastic explosive that was imported or brought into, or
manufactured in the United States prior to April 24, 1996, by any person
during the period beginning on that date and ending on April 24, 1999;
or
(2) The shipment, transportation, transfer, receipt, or possession
of any plastic explosive that was imported or brought into, or
manufactured in the United States prior to April 24, 1996, by or on
behalf of any agency of the United States performing a military or
police function (including any military reserve component) or by or on
behalf of the National Guard of any State, not later than 15 years after
the date of entry into force of the Convention on the Marking of Plastic
Explosives with respect to the United States, i.e., not later than June
21, 2013.
(d) When used in this subpart, terms are defined as follows:
(1) Convention on the Marking of Plastic Explosives means the
Convention on the Marking of Plastic Explosives for the Purposes of
Detection, Done at Montreal on 1 March 1991.
(2) ``Date of entry into force'' of the Convention on the Marking of
Plastic Explosives means that date on which the Convention enters into
force with respect to the U.S. in accordance with the provisions of
Article XIII of the Convention on the Marking of Plastic Explosives. The
Convention entered into force on June 21, 1998.
(3) Detection agent means any one of the substances specified in
this paragraph when introduced into a plastic explosive or formulated in
such explosive as a part of the manufacturing process in such a manner
as to achieve homogeneous distribution in the finished explosive,
including--
(i) Ethylene glycol dinitrate (EGDN),
C2H4(NO3)2, molecular weight
152, when the minimum concentration in the finished explosive is 0.2
percent by mass;
(ii) 2,3-Dimethyl-2,3-dinitrobutane (DMNB),
C6H12(NO2)2, molecular
weight 176, when the minimum concentration in the finished explosive is
0.1 percent by mass;
(iii) Para-Mononitrotoluene (p-MNT),
C7H7NO2, molecular weight 137, when the
minimum concentration in the finished explosive is 0.5 percent by mass;
(iv) Ortho-Mononitrotoluene (o-MNT),
C7H7NO2, molecular weight 137, when the
minimum concentration in the finished explosive is 0.5 percent by mass;
and
(v) Any other substance in the concentration specified by the
Director, after consultation with the Secretary of State and Secretary
of Defense, that has been added to the table in Part 2 of the Technical
Annex to the Convention on the Marking of Plastic Explosives.
(4) Plastic explosive means an explosive material in flexible or
elastic sheet form formulated with one or more high explosives which in
their pure form has a vapor pressure less than 10^-4 Pa at a
temperature of 25 [deg]C, is formulated with a binder material, and is
as a mixture malleable or flexible at normal room temperature. High
explosives, as defined in Sec. 555.202(a), are explosive materials
which can be caused to detonate by means of a blasting cap when
unconfined.

[T.D. ATF-387, 62 FR 8376, Feb. 25, 1997, as amended by T.D. ATF-419, 64
FR 55628, Oct. 14, 1999]

Sec. 555.181 Reporting of plastic explosives.

All persons, other than an agency of the United States (including
any military reserve component) or the National Guard of any State,
possessing any plastic explosive on April 24, 1996, shall submit a
report to the Director no later than August 22, 1996. The report shall
be in writing and mailed by certified mail (return receipt requested) to
the Director at P.O. Box 50204, Washington, DC 20091-0204. The report
shall include the quantity of

[[Page 155]]

plastic explosives possessed on April 24, 1996; any marks of
identification on such explosives; the name and address of the
manufacturer or importer; the storage location of such explosives,
including the city and State; and the name and address of the person
possessing the plastic explosives.

[T.D. ATF-382, 61 FR 38085, July 23, 1996, as amended by T.D. ATF-387,
62 FR 8377, Feb. 25, 1997; ATF-11F, 73 FR 57242, Oct. 2, 2008]

Sec. 555.182 Exceptions.

It is an affirmative defense against any proceeding involving
Sec. Sec. 555.180 and 555.181 if the proponent proves by a
preponderance of the evidence that the plastic explosive--
(a) Consisted of a small amount of plastic explosive intended for
and utilized solely in lawful--
(1) Research, development, or testing of new or modified explosive
materials;
(2) Training in explosives detection or development or testing of
explosives detection equipment; or
(3) Forensic science purposes; or
(b) Was plastic explosive that, by April 24, 1999, will be or is
incorporated in a military device within the territory of the United
States and remains an integral part of such military device, or is
intended to be, or is incorporated in, and remains an integral part of a
military device that is intended to become, or has become, the property
of any agency of the United States performing military or police
functions (including any military reserve component) or the National
Guard of any State, wherever such device is located. For purposes of
this paragraph, the term ``military device'' includes, but is not
restricted to, shells, bombs, projectiles, mines, missiles, rockets,
shaped charges, grenades, perforators, and similar devices lawfully
manufactured exclusively for military or police purposes.

[T.D. ATF-387, 62 FR 8377, Feb. 25, 1997]

Sec. 555.183 Importation of plastic explosives on or after
April 24, 1997.

Persons filing Form 6 applications for the importation of plastic
explosives on or after April 24, 1997, shall attach to the application
the following written statement, prepared in triplicate, executed under
the penalties of perjury:
(a) ``I declare under the penalties of perjury that the plastic
explosive to be imported contains a detection agent as required by 27
CFR 555.180(b)''; or
(b) ``I declare under the penalties of perjury that the plastic
explosive to be imported is a ``small amount'' to be used for research,
training, or testing purposes and is exempt from the detection agent
requirement pursuant to 27 CFR 555.182.''

[T.D. ATF-387, 62 FR 8377, Feb. 25, 1997]

Sec. 555.184 Statements of process and samples.

(a) A complete and accurate statement of process with regard to any
plastic explosive or to any detection agent that is to be introduced
into a plastic explosive or formulated in such plastic explosive shall
be submitted by a licensed manufacturer or licensed importer, upon
request, to the Director.
(b) Samples of any plastic explosive or detection agent shall be
submitted by a licensed manufacturer or licensed importer, upon request,
to the Director.

(Paragraph (a) approved by the Office of Management and Budget under
control number 1140-0042)

[T.D. ATF-387, 62 FR 8378, Feb. 25, 1997, as amended by ATF-11F, 73 FR
57242, Oct. 2, 2008]

Sec. 555.185 Criminal sanctions.

Any person who violates the provisions of 18 U.S.C. 842(l)-(o) shall
be fined under title 18, U.S.C., imprisoned for not more than 10 years,
or both.

[T.D. ATF-387, 62 FR 8378, Feb. 25, 1997]

Sec. 555.186 Seizure or forfeiture.

Any plastic explosive that does not contain a detection agent in
violation of 18 U.S.C. 842(l)-(n) is subject to seizure and forfeiture,
and all provisions of 19 U.S.C. 1595a, relating to seizure, forfeiture,
and disposition of merchandise introduced or attempted to be introduced
into the U.S. contrary to law, shall extend to seizures and forfeitures
under this subpart. See Sec. 72.27 of this chapter for regulations on
summary

[[Page 156]]

destruction of plastic explosives that do not contain a detection agent.

[T.D. ATF-387, 62 FR 8378, Feb. 25, 1997]

Subpart K_Storage

Sec. 555.201 General.

(a) Section 842(j) of the Act and Sec. 555.29 of this part require
that the storage of explosive materials by any person must be in
accordance with the regulations in this part. Further, section 846 of
this Act authorizes regulations to prevent the recurrence of accidental
explosions in which explosive materials were involved. The storage
standards prescribed by this subpart confer no right or privileges to
store explosive materials in a manner contrary to State or local law.
(b) The Director may authorize alternate construction for explosives
storage magazines when it is shown that the alternate magazine
construction is substantially equivalent to the standards of safety and
security contained in this subpart. Any alternate explosive magazine
construction approved by the Director prior to August 9, 1982, will
continue as approved unless notified in writing by the Director. Any
person intending to use alternate magazine construction shall submit a
letter application to the Director, Industry Operations for transmittal
to the Director, specifically describing the proposed magazine.
Explosive materials may not be stored in alternate magazines before the
applicant has been notified that the application has been approved.
(c) A licensee or permittee who intends to make changes in his
magazines, or who intends to construct or acquire additional magazines,
shall comply with Sec. 555.63.
(d) The regulations set forth in Sec. Sec. 555.221 through 555.224
pertain to the storage of display fireworks, pyrotechnic compositions,
and explosive materials used in assembling fireworks and articles
pyrotechnic.
(e) [Reserved]
(f) Any person who stores explosive materials shall notify the
authority having jurisdiction for fire safety in the locality in which
the explosive materials are being stored of the type, magazine capacity,
and location of each site where such explosive materials are stored.
Such notification shall be made orally before the end of the day on
which storage of the explosive materials commenced and in writing within
48 hours from the time such storage commenced.

(Paragraph (f) approved by the Office of Management and Budget under
control number 1140-0071)

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-293, 55
FR 3722, Feb. 5, 1990; T.D. ATF-400, 63 FR 45003, Aug. 24, 1998; ATF-
11F, 73 FR 57242, Oct. 2, 2008; ATF 2013R-9F, 79 FR 46694, Aug. 11,
2014; ATF 2017R-21, 84 FR 13800, Apr. 8, 2019]

Sec. 555.202 Classes of explosive materials.

For purposes of this part, there are three classes of explosive
materials. These classes, together with the description of explosive
materials comprising each class, are as follows:
(a) High explosives. Explosive materials which can be caused to
detonate by means of a blasting cap when unconfined, (for example,
dynamite, flash powders, and bulk salutes).
(b) Low explosives. Explosive materials which can be caused to
deflagrate when confined (for example, black powder, safety fuses,
igniters, igniter cords, fuse lighters, and ``display fireworks''
classified as UN0333, UN0334, or UN0335 by the U.S. Department of
Transportation regulations at 49 CFR 172.101, except for bulk salutes).
(c) Blasting agents. (For example, ammonium nitrate-fuel oil and
certain water-gels (see also Sec. 555.11).

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-293, 55
FR 3722, Feb. 5, 1990; T.D. ATF-400, 63 FR 45003, Aug. 24, 1998; ATF
2017R-21, 84 FR 13800, Apr. 8, 2019]

Sec. 555.203 Types of magazines.

For purposes of this part, there are five types of magazines. These
types, together with the classes of explosive materials, as defined in
Sec. 555.202, which will be stored in them, are as follows:
(a) Type 1 magazines. Permanent magazines for the storage of high
explosives, subject to the limitations prescribed by Sec. Sec. 555.206
and 555.213. Other classes of explosive materials may also be stored in
type 1 magazines.

[[Page 157]]

(b) Type 2 magazines. Mobile and portable indoor and outdoor
magazines for the storage of high explosives, subject to the limitations
prescribed by Sec. Sec. 555.206, 555.208(b), and 555.213. Other classes
of explosive materials may also be stored in type 2 magazines.
(c) Type 3 magazines. Portable outdoor magazines for the temporary
storage of high explosives while attended (for example, a ``day-box''),
subject to the limitations prescribed by Sec. Sec. 555.206 and 555.213.
Other classes of explosives materials may also be stored in type 3
magazines.
(d) Type 4 magazines. Magazines for the storage of low explosives,
subject to the limitations prescribed by Sec. Sec. 555.206(b),
555.210(b), and 555.213. Blasting agents may be stored in type 4
magazines, subject to the limitations prescribed by Sec. Sec.
555.206(c), 555.211(b), and 555.213. Detonators that will not mass
detonate may also be stored in type 4 magazines, subject to the
limitations prescribed by Sec. Sec. 555.206(a), 555.210(b), and
555.213.
(e) Type 5 magazines. Magazines for the storage of blasting agents,
subject to the limitations prescribed by Sec. Sec. 555.206(c),
555.211(b), and 555.213.

Sec. 555.204 Inspection of magazines.

Any person storing explosive materials shall inspect his magazines
at least every seven days. This inspection need not be an inventory, but
must be sufficient to determine whether there has been unauthorized
entry or attempted entry into the magazines, or unauthorized removal of
the contents of the magazines.

Sec. 555.205 Movement of explosive materials.

All explosive materials must be kept in locked magazines meeting the
standards in this subpart unless they are:
(a) In the process of manufacture;
(b) Being physically handled in the operating process of a licensee
or user;
(c) Being used; or
(d) Being transported to a place of storage or use by a licensee or
permittee or by a person who has lawfully acquired explosive materials
under Sec. 555.106.

Sec. 555.206 Location of magazines.

(a) Outdoor magazines in which high explosives are stored must be
located no closer to inhabited buildings, passenger railways, public
highways, or other magazines in which high explosives are stored, than
the minimum distances specified in the table of distances for storage of
explosive materials in Sec. 555.218.
(b) Outdoor magazines in which low explosives are stored must be
located no closer to inhibited buildings, passenger railways, public
highways, or other magazines in which explosive materials are stored,
than the minimum distances specified in the table of distances for
storage of low explosives in Sec. 555.219, except that the table of
distances in Sec. 555.224 shall apply to the storage of display
fireworks. The distances shown in Sec. 555.219 may not be reduced by
the presence of barricades.
(c)(1) Outdoor magazines in which blasting agents in quantities of
more than 50 pounds are stored must be located no closer to inhabited
buildings, passenger railways, or public highways than the minimum
distances specified in the table of distances for storage of explosive
materials in Sec. 555.218.
(2) Ammonium nitrate and magazines in which blasting agents are
stored must be located no closer to magazines in which high explosives
or other blasting agents are stored than the minimum distances specified
in the table of distances for the separation of ammonium nitrate and
blasting agents in Sec. 555.220. However, the minimum distances for
magazines in which explosives and blasting agents are stored from
inhabited buildings, etc., may not be less than the distances specified
in the table of distances for storage of explosives materials in Sec.
555.218.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-293, 55
FR 3722, Feb. 5, 1990; T.D. ATF-400, 63 FR 45003, Aug. 24, 1998]

Sec. 555.207 Construction of type 1 magazines.

A type 1 magazine is a permanent structure: a building, an igloo or
``Army-type structure'', a tunnel, or a dugout. It is to be bullet-
resistant, fire-resistant, weather-resistant, theft-resistant, and
ventilated.

[[Page 158]]

(a) Buildings. All building type magazines are to be constructed of
masonry, wood, metal, or a combination of these materials, and have no
openings except for entrances and ventilation. The ground around
building magazines must slope away for drainage or other adequate
drainage provided.
(1) Masonry wall construction. Masonry wall construction is to
consist of brick, concrete, tile, cement block, or cinder block and be
not less than 6 inches in thickness. Hollow masonry units used in
construction must have all hollow spaces filled with well-tamped,
coarse, dry sand or weak concrete (at least a mixture of one part cement
and eight parts of sand with enough water to dampen the mixture while
tamping in place). Interior walls are to be constructed of, or covered
with, a nonsparking material.
(2) Fabricated metal wall construction. Metal wall construction is
to consist of sectional sheets of steel or aluminum not less than number
14-gauge, securely fastened to a metal framework. Metal wall
construction is either lined inside with brick, solid cement blocks,
hardwood not less than four inches thick, or will have at least a six
inch sand fill between interior and exterior walls. Interior walls are
to be constructed of, or covered with, a nonsparking material.
(3) Wood frame wall construction. The exterior of outer wood walls
is to be covered with iron or aluminum not less than number 26-gauge. An
inner wall of, or covered with nonsparking material will be constructed
so as to provide a space of not less than six inches between the outer
and inner walls. The space is to be filled with coarse, dry sand or weak
concrete.
(4) Floors. Floors are to be constructed of, or covered with, a
nonsparking material and shall be strong enough to bear the weight of
the maximum quantity to be stored. Use of pallets covered with a
nonsparking material is considered equivalent to a floor constructed of
or covered with a nonsparking material.
(5) Foundations. Foundations are to be constructed of brick,
concrete, cement block, stone, or wood posts. If piers or posts are
used, in lieu of a continuous foundation, the space under the buildings
is to be enclosed with metal.
(6) Roof. Except for buildings with fabricated metal roofs, the
outer roof is to be covered with no less than number 26-guage iron or
aluminum, fastened to at least \7/8\ inch sheathing.
(7) Bullet-resistant ceilings or roofs. Where it is possible for a
bullet to be fired directly through the roof and into the magazine at
such an angle that the bullet would strike the explosives within, the
magazine is to be protected by one of the following methods:
(i) A sand tray lined with a layer of building paper, plastic, or
other nonporous material, and filled with not less than four inches of
coarse, dry sand, and located at the tops of inner walls covering the
entire ceiling area, except that portion necessary for ventilation.
(ii) A fabricated metal roof constructed of \3/16\-inch plate steel
lined with four inches of hardwood. (For each additional \1/16\ inch of
plate steel, the hardwood lining may be decreased one inch.)
(8) Doors. All doors are to be constructed of not less than \1/4\
inch plate steel and lined with at least two inches of hardwood. Hinges
and hasps are to be attached to the doors by welding, riveting or
bolting (nuts on inside of door). They are to be installed in such a
manner that the hinges and hasps cannot be removed when the doors are
closed and locked.
(9) Locks. Each door is to be equipped with (i) two mortise locks;
(ii) two padlock fastened in separate hasps and staples; (iii) a
combination of a mortise lock and a padlock; (iv) a mortise lock that
requires two keys to open; or (v) a three-point lock. Padlocks must have
at least five tumblers and a casehardened shackle of at least \3/8\ inch
diameter. Padlocks must be protected with not less than \1/4\ inch steel
hoods constructed so as to prevent sawing or lever action on the locks,
hasps, and staples. These requirements do not apply to magazine doors
that are adequately secured on the inside by means of a bolt, lock, or
bar that cannot be actuated from the outside.
(10) Ventilation. Ventilation is to be provided to prevent dampness
and heating of stored explosive materials.

[[Page 159]]

Ventilation openings must be screened to prevent the entrance of sparks.
Ventilation openings in side walls and foundations must be offset or
shielded for bullet-resistant purposes. Magazines having foundation and
roof ventilators with the air circulating between the side walls and the
floors and between the side walls and the ceiling must have a wooden
lattice lining or equivalent to prevent the packages of explosive
materials from being stacked against the side walls and blocking the air
circulation.
(11) Exposed metal. No sparking material is to be exposed to contact
with the stored explosive materials. All ferrous metal nails in the
floor and side walls, which might be exposed to contact with explosive
materials, must be blind nailed, countersunk, or covered with a
nonsparking lattice work or other nonsparking material.
(b) Igloos, ``Army-type structures'', tunnels, and dugouts. Igloo,
``Army-type structure'', tunnel, and dugout magazines are to be
constructed of reinforced concrete, masonry, metal, or a combination of
these materials. They must have an earthmound covering of not less than
24 inches on the top, sides and rear unless the magazine meets the
requirements of paragraph (a)(7) of this section. Interior walls and
floors must be constructed of, or covered with, a nonsparking material.
Magazines of this type are also to be constructed in conformity with the
requirements of paragraph (a)(4) and paragraphs (a)(8) through (11) of
this section.

Sec. 555.208 Construction of type 2 magazines.

A type 2 magazine is a box, trailer, semitrailer, or other mobile
facility.
(a) Outdoor magazines--(1) General. Outdoor magazines are to be
bullet-resistant, fire-resistant, weather-resistant, theft-resistant,
and ventilated. They are to be supported to prevent direct contact with
the ground and, if less than one cubic yard in size, must be securely
fastened to a fixed object. The ground around outdoor magazines must
slope away for drainage or other adequate drainage provided. When
unattended, vehicular magazines must have wheels removed or otherwise
effectively immobilized by kingpin locking devices or other methods
approved by the Director.
(2) Exterior construction. The exterior and doors are to be
constructed of not less than \1/4\-inch steel and lined with at least
two inches of hardwood. Magazines with top openings will have lids with
water-resistant seals or which overlap the sides by at least one inch
when in a closed position.
(3) Hinges and hasps. Hinges and hasps are to be attached to doors
by welding, riveting, or bolting (nuts on inside of door). Hinges and
hasps must be installed so that they cannot be removed when the doors
are closed and locked.
(4) Locks. Each door is to be equipped with (i) two mortise locks;
(ii) two padlocks fastened in separate hasps and staples; (iii) a
combination of a mortise lock and a padlock; (iv) a mortise lock that
requires two keys to open; or (v) a three-point lock. Padlocks must have
at least five tumblers and a case-hardened shackle of at least \3/8\-
inch diameter. Padlocks must be protected with not less than \1/4\-inch
steel hoods constructed so as to prevent sawing or lever action on the
locks, hasps, and staples. These requirements do not apply to magazine
doors that are adequately secured on the inside by means of a bolt,
lock, or bar that cannot be actuated from the outside.
(b) Indoor magazines--(1) General. Indoor magazines are to be fire-
resistant and theft-resistant. They need not be bullet-resistant and
weather-resistant if the buildings in which they are stored provide
protection from the weather and from bullet penetration. No indoor
magazine is to be located in a residence or dwelling. The indoor storage
of high explosives must not exceed a quantity of 50 pounds. More than
one indoor magazine may be located in the same building if the total
quantity of explosive materials stored does not exceed 50 pounds.
Detonators must be stored in a separate magazine (except as provided in
Sec. 555.213) and the total quantity of detonators must not exceed
5,000.
(2) Exterior construction. Indoor magazines are to be constructed of
wood or metal according to one of the following specifications:

[[Page 160]]

(i) Wood indoor magazines are to have sides, bottoms and doors
constructed of at least two inches of hardwood and are to be well braced
at the corners. They are to be covered with sheet metal of not less than
number 26-gauge (.0179 inches). Nails exposed to the interior of
magazines must be countersunk.
(ii) Metal indoor magazines are to have sides, bottoms and doors
constructed of not less than number 12-gauge (.1046 inches) metal and be
lined inside with a nonsparking material. Edges of metal covers must
overlap sides at least one inch.
(3) Hinges and hasps. Hinges and hasps are to be attached to doors
by welding, riveting, or bolting (nuts on inside of door). Hinges and
hasps must be installed so that they cannot be removed when the doors
are closed and locked.
(4) Locks. Each door is to be equipped with (i) two mortise locks;
(ii) two padlocks fastened in separate hasps and staples; (iii) a
combination of a mortise lock and a padlock; (iv) a mortise lock that
requires two keys to open; or (v) a three-point lock. Padlocks must have
at least five tumblers and a case-hardened shackle of at least \3/8\-
inch diameter. Padlocks must be protected with not less than \1/4\-inch
steel hoods constructed so as to prevent sawing or lever action on the
locks, hasps, and staples. Indoor magazines located in secure rooms that
are locked as provided in this subparagraph may have each door locked
with one steel padlock (which need not be protected by a steel hood)
having at least five tumblers and a case-hardened shackle of at least
\3/8\-inch diameter, if the door hinges and lock hasp are securely
fastened to the magazine. These requirements do not apply to magazine
doors that are adequately secured on the inside by means of a bolt,
lock, or bar that cannot be actuated from the outside.
(c) Detonator boxes. Magazines for detonators in quantities of 100
or less are to have sides, bottoms and doors constructed of not less
than number 12-gauge (.1046 inches) metal and lined with a nonsparking
material. Hinges and hasps must be attached so they cannot be removed
from the outside. One steel padlock (which need not be protected by a
steel hood) having at least five tumblers and a case-hardened shackle of
at least \3/8\-inch diameter is sufficient for locking purposes.

Sec. 555.209 Construction of type 3 magazines.

A type 3 magazine is a ``day-box'' or other portable magazine. It
must be fire-resistant, weather-resistant, and theft-resistant. A type 3
magazine is to be constructed of not less than number 12-gauge (.1046
inches) steel, lined with at least either \1/2\-inch plywood or \1/2\-
inch Masonite-type hardboard. Doors must overlap sides by at least one
inch. Hinges and hasps are to be attached by welding, riveting or
bolting (nuts on inside). One steel padlock (which need not be protected
by a steel hood) having at least five tumblers and a case-hardened
shackle of at least \3/8\-inch diameter is sufficient for locking
purposes. Explosive materials are not to be left unattended in type 3
magazines and must be removed to type 1 or 2 magazines for unattended
storage.

Sec. 555.210 Construction of type 4 magazines.

A type 4 magazine is a building, igloo or ``Army-type structure'',
tunnel, dugout, box, trailer, or a semitrailer or other mobile magazine.
(a) Outdoor magazines--(1) General. Outdoor magazines are to be
fire-resistant, weather-resistant, and theft-resistant. The ground
around outdoor magazines must slope away for drainage or other adequate
drainage be provided. When unattended, vehicular magazines must have
wheels removed or otherwise be effectively immobilized by kingpin
locking devices or other methods approved by the Director.
(2) Construction. Outdoor magazines are to be constructed of
masonry, metal-covered wood, fabricated metal, or a combination of these
materials. Foundations are to be constructed of brick, concrete, cement
block, stone, or metal or wood posts. If piers or posts are used, in
lieu of a continuous foundation, the space under the building is to be
enclosed with fire-resistant material. The walls and floors are to be
constructed of, or covered with, a nonsparking material or lattice work.
The doors must be metal or solid wood covered with metal.

[[Page 161]]

(3) Hinges and hasps. Hinges and hasps are to be attached to doors
by welding, riveting, or bolting (nuts on inside of door). Hinges and
hasps must be installed so that they cannot be removed when the doors
are closed and locked.
(4) Locks. Each door is to be equipped with (i) two mortise locks;
(ii) two padlocks fastened in separate hasps and staples; (iii) a
combination of a mortise lock and a padlock; (iv) a mortise lock that
requires two keys to open; or (v) a three-point lock. Padlocks must have
at least five tumblers and case-hardened shackle of at least \3/8\ inch
diameter. Padlocks must be protected with not less than \1/4\ inch steel
hoods constructed so as to prevent sawing or lever action on the locks,
hasps, and staples. These requirements do not apply to magazine doors
that are adequately secured on the inside by means of a bolt, lock, or
bar that cannot be actuated from the outside.
(b) Indoor magazine--(1) General. Indoor magazines are to be fire-
resistant and theft-resistant. They need not be weather-resistant if the
buildings in which they are stored provide protection from the weather.
No indoor magazine is to be located in a residence or dwelling. The
indoor storage of low explosives must not exceed a quantity of 50
pounds. More than one indoor magazine may be located in the same
building if the total quantity of explosive materials stored does not
exceed 50 pounds. Detonators that will not mass detonate must be stored
in a separate magazine and the total number of electric detonators must
not exceed 5,000.
(2) Construction. Indoor magazines are to be constructed of masonry,
metal-covered wood, fabricated metal, or a combination of these
materials. The walls and floors are to be constructed of, or covered
with, a nonsparking material. The doors must be metal or solid wood
covered with metal.
(3) Hinges and hasps. Hinges and hasps are to be attached to doors
by welding, riveting, or bolting (nuts on inside of door). Hinges and
hasps must be installed so that they cannot be removed when the doors
are closed and locked.
(4) Locks. Each door is to be equipped with (i) two mortise locks;
(ii) two padlocks fastened in separate hasps and staples; (iii) a
combination of a mortise lock and padlock; (iv) a mortise lock that
requires two keys to open; or (v) a three-point lock. Padlocks must have
at least five tumblers and a case-hardened shackle of at least \3/8\
inch diameter. Padlocks must be protected with not less than \1/4\ inch
steel hoods constructed so as to prevent sawing or lever action on the
locks, hasps, and staples. Indoor magazines located in secure rooms that
are locked as provided in this subparagraph may have each door locked
with one steel padlock (which need not be protected by a steel hood)
having at least five tumblers and a case-hardened shackle of at least
\3/8\ inch diameter, if the door hinges and lock hasp are securely
fastened to the magazine. These requirements do not apply to magazine
doors that are adequately secured on the inside by means of a bolt,
lock, or bar that cannot be actuated from the outside.

Sec. 555.211 Construction of type 5 magazines.

A type 5 magazine is a building, igloo or ``Army-type structure'',
tunnel, dugout, bin, box, trailer, or a semitrailer or other mobile
facility.
(a) Outdoor magazines--(1) General. Outdoor magazines are to be
weather-resistant and theft-resistant. The ground around magazines must
slope away for drainage or other adequate drainage be provided. When
unattended, vehicular magazines must have wheels removed or otherwise be
effectively immobilized by kingpin locking devices or other methods
approved by the Director.
(2) Construction. The doors are to be constructed of solid wood or
metal.
(3) Hinges and hasps. Hinges and hasps are to be attached to doors
by welding, riveting, or bolting (nuts on inside of door). Hinges and
hasps must be installed so that they cannot be removed when the doors
are closed and locked.
(4) Locks. Each door is to be equipped with (i) two mortise locks;
(ii) two padlocks fastened in separate hasps and staples; (iii) a
combination of a mortise lock and a padlock; (iv) a mortise lock that
requires two keys to open; or (v) a three-point lock. Padlocks must have
at least five tumblers and a case-hardened shackle of at least \3/8\
inch diameter. Padlocks must be protected with

[[Page 162]]

not less than \1/4\ inch steel hoods constructed so as to prevent sawing
or lever action on the locks, hasps, and staples. Trailers,
semitrailers, and similar vehicular magazines may, for each door, be
locked with one steel padlock (which need not be protected by a steel
hood) having at least five tumblers and a case-hardened shackle of at
least \3/8\ inch diameter, if the door hinges and lock hasp are securely
fastened to the magazine and to the door frame. These requirements do
not apply to magazine doors that are adequately secured on the inside by
means of a bolt, lock, or bar that cannot be actuated from the outside.
(5) Placards. The placards required by Department of Transportation
regulations at 49 CFR part 172, subpart F, for the transportation of
blasting agents shall be displayed on all magazines.
(b) Indoor magazines--(1) General. Indoor magazines are to be theft-
resistant. They need not be weather-resistant if the buildings in which
they are stored provide protection from the weather. No indoor magazine
is to be located in a residence or dwelling. Indoor magazines containing
quantities of blasting agents in excess of 50 pounds are subject to the
requirements of Sec. 555.206 of this subpart.
(2) Construction. The doors are to be constructed of wood or metal.
(3) Hinges and hasps. Hinges and hasps are to be attached to doors
by welding, riveting, or bolting (nuts on inside). Hinges and hasps must
be installed so that they cannot be removed when the doors are closed
and locked.
(4) Locks. Each door is to be equipped with (i) two mortise locks;
(ii) two padlocks fastened in separate hasps and staples; (iii) a
combination of a mortise lock and a padlock; (iv) a mortise lock that
requires two keys to open; or (v) a three-point lock. Padlocks must have
at least five tumblers and a case-hardened shackle of at least \3/8\
inch diameter. Padlocks must be protected with not less than \1/4\ inch
steel hoods constructed so as to prevent sawing or lever action on the
locks, hasps, and staples. Indoor magazines located in secure rooms that
are locked as provided in this subparagraph may have each door locked
with one steel padlock (which need not be protected by a steel hood)
having at least five tumblers and a case-hardened shackle of at least
\3/8\ inch diameter, if the door hinges and lock hasps are securely
fastened to the magazine and to the door frame. These requirements do
not apply to magazine doors that are adequately secured on the inside by
means of a bolt, lock, or bar that cannot be actuated from the outside.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-298, 55
FR 21863, May 30, 1990]

Sec. 555.212 Smoking and open flames.

Smoking, matches, open flames, and spark producing devices are not
permitted:
(a) In any magazine;
(b) Within 50 feet of any outdoor magazine; or
(c) Within any room containing an indoor magazine.

Sec. 555.213 Quantity and storage restrictions.

(a) Explosive materials in excess of 300,000 pounds or detonators in
excess of 20 million are not to be stored in one magazine unless
approved by the Director.
(b) Detonators are not to be stored in the same magazine with other
explosive materials, except under the following circumstances:
(1) In a type 4 magazine, detonators that will not mass detonate may
be stored with electric squibs, safety fuse, shock tube, igniters, and
igniter cord.
(2) In a type 1 or type 2 magazine, detonators may be stored with
delay devices and any of the items listed in paragraph (b)(1) of this
section.

[T.D. ATF-487, 68 FR 3748, Jan. 24, 2003, as amended by ATF 15F, 75 FR
3163, Jan. 20, 2010]

Sec. 555.214 Storage within types 1, 2, 3, and 4 magazines.

(a) Explosive materials within a magazine are not to be placed
directly against interior walls and must be stored so as not to
interfere with ventilation. To prevent contact of stored explosive
materials with walls, a nonsparking lattice work or other nonsparking
material may be used.

[[Page 163]]

(b) Containers of explosive materials are to be stored so that marks
are visible. Stocks of explosive materials are to be stored so they can
be easily counted and checked upon inspection.
(c) Except with respect to fiberboard or other nonmetal containers,
containers of explosive materials are not to be unpacked or repacked
inside a magazine or within 50 feet of a magazine, and must not be
unpacked or repacked close to other explosive materials. Containers of
explosive materials must be closed while being stored.
(d) Tools used for opening or closing containers of explosive
materials are to be of nonsparking materials, except that metal slitters
may be used for opening fiberboard containers. A wood wedge and a fiber,
rubber, or wooden mallet are to be used for opening or closing wood
containers of explosive materials. Metal tools other than nonsparking
transfer conveyors are not to be stored in any magazine containing high
explosives.

Sec. 555.215 Housekeeping.

Magazines are to be kept clean, dry, and free of grit, paper, empty
packages and containers, and rubbish. Floors are to be regularly swept.
Brooms and other utensils used in the cleaning and maintenance of
magazines must have no spark-producing metal parts, and may be kept in
magazines. Floors stained by leakage from explosive materials are to be
cleaned according to instructions of the explosives manufacturer. When
any explosive material has deteriorated it is to be destroyed in
accordance with the advice or instructions of the manufacturer. The area
surrounding magazines is to be kept clear of rubbish, brush, dry grass,
or trees (except live trees more than 10 feet tall), for not less than
25 feet in all directions. Volatile materials are to be kept a distance
of not less than 50 feet from outdoor magazines. Living foliage which is
used to stabilize the earthen covering of a magazine need not be
removed.

Sec. 555.216 Repair of magazines.

Before repairing the interior of magazines, all explosive materials
are to be removed and the interior cleaned. Before repairing the
exterior of magazines, all explosive materials must be removed if there
exists any possibility that repairs may produce sparks or flame.
Explosive materials removed from magazines under repair must be (a)
placed in other magazines appropriate for the storage of those explosive
materials under this subpart, or (b) placed a safe distance from the
magazines under repair where they are to be properly guarded and
protected until the repairs have been completed.

Sec. 555.217 Lighting.

(a) Battery-activated safety lights or battery-activated safety
lanterns may be used in explosives storage magazines.
(b) Electric lighting used in any explosives storage magazine must
meet the standards prescribed by the ``National Electrical Code,''
(National Fire Protection Association, NFPA 70-81), for the conditions
present in the magazine at any time. All electrical switches are to be
located outside of the magazine and also meet the standards prescribed
by the National Electrical Code.
(c) Copies of invoices, work orders or similar documents which
indicate the lighting complies with the National Electrical Code must be
available for inspection by ATF officers.

Sec. 555.218 Table of distances for storage of explosive materials.

--------------------------------------------------------------------------------------------------------------------------------------------------------
Quantity of explosives Distances in feet
--------------------------------------------------------------------------------------------------------------------------------------------------------
Inhabited buildings Public highways with traffic Passenger railways--public Separation of magazines
-------------------------------- volume of 3000 or fewer highways with traffic volume -------------------------------
Pounds not vehicles/day of more than 3,000 vehicles/
Pounds over over -------------------------------- day
Barricaded Unbarricaded -------------------------------- Barricaded Unbarricaded
Barricaded Unbarricaded Barricaded Unbarricaded
--------------------------------------------------------------------------------------------------------------------------------------------------------
0 5 70 140 30 60 51 102 6 12
5 10 90 180 35 70 64 128 8 16

[[Page 164]]

10 20 110 220 45 90 81 162 10 20
20 30 125 250 50 100 93 186 11 22
30 40 140 280 55 110 103 206 12 24
40 50 150 300 60 120 110 220 14 28
50 75 170 340 70 140 127 254 15 30
75 100 190 380 75 150 139 278 16 32
100 125 200 400 80 160 150 300 18 36
125 150 215 430 85 170 159 318 19 38
150 200 235 470 95 190 175 350 21 42
200 250 255 510 105 210 189 378 23 46
250 300 270 540 110 220 201 402 24 48
300 400 295 590 120 240 221 442 27 54
400 500 320 640 130 260 238 476 29 58
500 600 340 680 135 270 253 506 31 62
600 700 355 710 145 290 266 532 32 64
700 800 375 750 150 300 278 556 33 66
800 900 390 780 155 310 289 578 35 70
900 1,000 400 800 160 320 300 600 36 72
1,000 1,200 425 850 165 330 318 636 39 78
1,200 1,400 450 900 170 340 336 672 41 82
1,400 1,600 470 940 175 350 351 702 43 86
1,600 1,800 490 980 180 360 366 732 44 88
1,800 2,000 505 1,010 185 370 378 756 45 90
2,000 2,500 545 1,090 190 380 408 816 49 98
2,500 3,000 580 1,160 195 390 432 864 52 104
3,000 4,000 635 1,270 210 420 474 948 58 116
4,000 5,000 685 1,370 225 450 513 1,026 61 122
5,000 6,000 730 1,460 235 470 546 1,092 65 130
6,000 7,000 770 1,540 245 490 573 1,146 68 136
7,000 8,000 800 1,600 250 500 600 1,200 72 144
8,000 9,000 835 1,670 255 510 624 1,248 75 150
9,000 10,000 865 1,730 260 520 645 1,290 78 156
10,000 12,000 875 1,750 270 540 687 1,374 82 164
12,000 14,000 885 1,770 275 550 723 1,446 87 174
14,000 16,000 900 1,800 280 560 756 1,512 90 180
16,000 18,000 940 1,880 285 570 786 1,572 94 188
18,000 20,000 975 1,950 290 580 813 1,626 98 196
20,000 25,000 1,055 2,000 315 630 876 1,752 105 210
25,000 30,000 1,130 2,000 340 680 933 1,866 112 224
30,000 35,000 1,205 2,000 360 720 981 1,962 119 238
35,000 40,000 1,275 2,000 380 760 1,026 2,000 124 248
40,000 45,000 1,340 2,000 400 800 1,068 2,000 129 258
45,000 50,000 1,400 2,000 420 840 1,104 2,000 135 270
50,000 55,000 1,460 2,000 440 880 1,140 2,000 140 280
55,000 60,000 1,515 2,000 455 910 1,173 2,000 145 290
60,000 65,000 1,565 2,000 470 940 1,206 2,000 150 300
65,000 70,000 1,610 2,000 485 970 1,236 2,000 155 310
70,000 75,000 1,655 2,000 500 1,000 1,263 2,000 160 320
75,000 80,000 1,695 2,000 510 1,020 1,293 2,000 165 330
80,000 85,000 1,730 2,000 520 1,040 1,317 2,000 170 340
85,000 90,000 1,760 2,000 530 1,060 1,344 2,000 175 350
90,000 95,000 1,790 2,000 540 1,080 1,368 2,000 180 360
95,000 100,000 1,815 2,000 545 1,090 1,392 2,000 185 370
100,000 110,000 1,835 2,000 550 1,100 1,437 2,000 195 390
110,000 120,000 1,855 2,000 555 1,110 1,479 2,000 205 410
120,000 130,000 1,875 2,000 560 1,120 1,521 2,000 215 430
130,000 140,000 1,890 2,000 565 1,130 1,557 2,000 225 450
140,000 150,000 1,900 2,000 570 1,140 1,593 2,000 235 470
150,000 160,000 1,935 2,000 580 1,160 1,629 2,000 245 490
160,000 170,000 1,965 2,000 590 1,180 1,662 2,000 255 510
170,000 180,000 1,990 2,000 600 1,200 1,695 2,000 265 530
180,000 190,000 2,010 2,010 605 1,210 1,725 2,000 275 550
190,000 200,000 2,030 2,030 610 1,220 1,755 2,000 285 570
200,000 210,000 2,055 2,055 620 1,240 1,782 2,000 295 590
210,000 230,000 2,100 2,100 635 1,270 1,836 2,000 315 630
230,000 250,000 2,155 2,155 650 1,300 1,890 2,000 335 670
250,000 275,000 2,215 2,215 670 1,340 1,950 2,000 360 720

[[Page 165]]

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

Table: American Table of Distances for Storage of Explosives (December
1910), as Revised and Approved by the Institute of Makers of
Explosives--June 1991.

Notes to the Table of Distances for Storage of Explosives

(1) Terms found in the table of distances for storage of explosive
materials are defined in Sec. 555.11.
(2) When two or more storage magazines are located on the same
property, each magazine must comply with the minimum distances specified
from inhabited buildings, railways, and highways, and, in addition, they
should be separated from each other by not less than the distances shown
for ``Separation of Magazines,'' except that the quantity of explosives
contained in cap magazines shall govern in regard to the spacing of said
cap magazines from magazines containing other explosives. If any two or
more magazines are separated from each other by less than the specified
``Separation of Magazines'' distances, then such two or more magazines,
as a group, must be considered as one magazine, and the total quantity
of explosives stored in such group must be treated as if stored in a
single magazine located on the site of any magazine of the group, and
must comply with the minimum of distances specified from other
magazines, inhabited buildings, railways, and highways.
(3) All types of blasting caps in strengths through No. 8 cap should
be rated at 1\1/2\ lbs. (1.5 lbs.) of explosives per 1,000 caps. For
strengths higher than No. 8 cap, consult the manufacturer.
(4) For quantity and distance purposes, detonating cord of 50 or 60
grains per foot should be calculated as equivalent to 9 lbs. of high
explosives per 1,000 feet. Heavier or lighter core loads should be rated
proportionately.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by T.D. ATF-400, 63
FR 45003, Aug. 24, 1998; T.D. ATF-446, 66 FR 16602, Mar. 27, 2001; T.D.
ATF-446a, 66 FR 19089, Apr. 13, 2001; ATF 2017R-21, 84 FR 13800, Apr. 8,
2019]

Sec. 555.219 Table of distances for storage of low explosives.

------------------------------------------------------------------------
Pounds From From public
----------------------------- inhabited railroad and From above
building highway ground
Over Not over distance distance magazine
(feet) (feet) (feet)
------------------------------------------------------------------------
0 1,000 75 75 50
1,000 5,000 115 115 75
5,000 10,000 150 150 100
10,000 20,000 190 190 125
20,000 30,000 215 215 145
30,000 40,000 235 235 155
40,000 50,000 250 250 165
50,000 60,000 260 260 175
60,000 70,000 270 270 185
70,000 80,000 280 280 190
80,000 90,000 295 295 195
90,000 100,000 300 300 200
100,000 200,000 375 375 250
200,000 300,000 450 450 300
------------------------------------------------------------------------

TABLE: Department of Defense Ammunition and Explosives Standards, Table
5-4.1 Extract; 4145.27 M, March 1969

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2017R-21, 84
FR 13800, Apr. 8, 2019]

Sec. 555.220 Table of separation distances of ammonium nitrate
and blasting agents from explosives or blasting agents.

------------------------------------------------------------------------
Donor weight (pounds) Minimum separation distance
----------------------------- of acceptor from donor when Minimum
barricaded (ft.) thickness of
----------------------------- artificial
Over Not over Ammonium Blasting barricades
nitrate agent (in.)
------------------------------------------------------------------------
100 3 11 12
100 300 4 14 12
300 600 5 18 12
600 1,000 6 22 12
1,000 1,600 7 25 12
1,600 2,000 8 29 12
2,000 3,000 9 32 15
3,000 4,000 10 36 15
4,000 6,000 11 40 15
6,000 8,000 12 43 20
8,000 10,000 13 47 20
10,000 12,000 14 50 20
12,000 16,000 15 54 25
16,000 20,000 16 58 25
20,000 25,000 18 65 25

[[Page 166]]

25,000 30,000 19 68 30
30,000 35,000 20 72 30
35,000 40,000 21 76 30
40,000 45,000 22 79 35
45,000 50,000 23 83 35
50,000 55,000 24 86 35
55,000 60,000 25 90 35
60,000 70,000 26 94 40
70,000 80,000 28 101 40
80,000 90,000 30 108 40
90,000 100,000 32 115 40
100,000 120,000 34 122 50
120,000 140,000 37 133 50
140,000 160,000 40 144 50
160,000 180,000 44 158 50
180,000 200,000 48 173 50
200,000 220,000 52 187 60
220,000 250,000 56 202 60
250,000 275,000 60 216 60
275,000 300,000 64 230 60
------------------------------------------------------------------------

Table: National Fire Protection Association (NFPA) Official Standard No.
492, 1968

Notes of Table of Separation Distances of Ammonium Nitrate and Blasting
Agents From Explosives or Blasting Agents

(1) This table specifies separation distances to prevent explosion
of ammonium nitrate and ammonium nitrate-based blasting agents by
propagation from nearby stores of high explosives or blasting agents
referred to in the table as the ``donor.'' Ammonium nitrate, by itself,
is not considered to be a donor when applying this table. Ammonium
nitrate, ammonium nitrate-fuel oil or combinations thereof are
acceptors. If stores of ammonium nitrate are located within the
sympathetic detonation distance of explosives or blasting agents, one-
half the mass of the ammonium nitrate is to be included in the mass of
the donor.
(2) When the ammonium nitrate and/or blasting agent is not
barricaded, the distances shown in the table must be multiplied by six.
These distances allow for the possibility of high velocity metal
fragments from mixers, hoppers, truck bodies, sheet metal structures,
metal containers, and the like which may enclose the ``donor.'' Where
explosives storage is in bullet-resistant magazines or where the storage
is protected by a bullet-resistant wall, distances and barricade
thicknesses in excess of those prescribed in the table in Sec. 555.218
are not required.
(3) These distances apply to all ammonium nitrate with respect to
its separation from stores of high explosives and blasting agents.
Ammonium nitrate explosive mixtures that are high explosives pursuant to
Sec. 555.202(a) or are defined as a blasting agent pursuant to Sec.
555.11 are subject to the table of distances for storage of explosive
materials in Sec. 555.218 and to the table of separation distances of
ammonium nitrate and blasting agents from explosives or blasting agents
in this section.
(4) These distances apply to blasting agents which pass the
insensitivity test prescribed in regulations of the U.S. Department of
Transportation (49 CFR part 173).
(5) Earth or sand dikes, or enclosures filled with the prescribed
minimum thickness of earth or sand are acceptable artificial barricades.
Natural barricades, such as hills or timber of sufficient density that
the surrounding exposures which require protection cannot be seen from
the ``donor'' when the trees are bare of leaves, are also acceptable.
(6) For determining the distances to be maintained from inhabited
buildings, passenger railways, and public highways, use the table in
Sec. 555.218.

[T.D. ATF-87, 46 FR 40384, Aug. 7, 1981, as amended by ATF 2017R-21, 84
FR 13800, Apr. 8, 2019; ATF 2002R-226F, 84 FR 12097, Apr. 1, 2019]

Sec. 555.221 Requirements for display fireworks, pyrotechnic
compositions, and explosive materials used in assembling fireworks
or articles pyrotechnic.

(a) Display fireworks, pyrotechnic compositions, and explosive
materials used to assemble fireworks and articles pyrotechnic shall be
stored at all times as required by this Subpart unless they are in the
process of manufacture, assembly, packaging, or are being transported.
(b) No more than 500 pounds (227 kg) of pyrotechnic compositions or
explosive materials are permitted at one time in any fireworks mixing
building, any building or area in which the pyrotechnic compositions or
explosive materials are pressed or otherwise prepared for finishing or
assembly, or any finishing or assembly building. All pyrotechnic
compositions or explosive materials not in immediate use will be stored
in covered, non-ferrous containers.
(c) The maximum quantity of flash powder permitted in any fireworks
process building is 10 pounds (4.5 kg).
(d) All dry explosive powders and mixtures, partially assembled
display fireworks, and finished display fireworks shall be removed from
fireworks process buildings at the conclusion of a

[[Page 167]]

day's operations and placed in approved magazines.

[T.D. ATF-293, 55 FR 3722, Feb. 5, 1990, as amended by T.D. ATF-400, 63
FR 45004, Aug. 24, 1998]

Sec. 555.222 Table of distances between fireworks process buildings
and between fireworks process and fireworks nonprocess buildings.

------------------------------------------------------------------------
Net weight of fireworks \1\ Display fireworks Consumer fireworks
(pounds) \2\ (feet) \3\ (feet)
------------------------------------------------------------------------
0-100.......................... 57................ 37
101-200......................... 69................ 37
201-300......................... 77................ 37
301-400......................... 85................ 37
401-500......................... 91................ 37
Above 500....................... Not permitted \4 Not permitted \4
5\. 5\
------------------------------------------------------------------------
\1\ Net weight is the weight of all pyrotechnic compositions, 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 distances must be
doubled.
\3\ While consumer fireworks or articles pyrotechnic in a finished state
are not subject to regulation, explosive materials 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 processed shall meet these requirements.
\4\ A maximum of 500 pounds of in-process pyrotechnic compositions,
either loose or in partially-assembled fireworks, is permitted in any
fireworks process building. Finished display fireworks may not be
stored in a fireworks process building.
\5\ A maximum of 10 pounds of flash powder, either in loose form or in
assembled units, is permitted in any fireworks process building.
Quantities in excess of 10 pounds must be kept in an approved
magazine.

[T.D. ATF-293, 55 FR 3723, Feb. 5, 1990, as amended by T.D. ATF-400, 63
FR 45004, Aug. 24, 1998]

Sec. 555.223 Table of distances between fireworks process buildings
and other specified areas.

Distance from Passenger Railways, Public Highways, Fireworks Plant
Buildings used to Store Consumer Fireworks and Articles Pyrotechnic,
Magazines and Fireworks Shipping Buildings, and Inhabited Buildings. \3
4 5\
------------------------------------------------------------------------
Net weight of fireworks \1\ Display fireworks Consumer fireworks
(pounds) \1\ (feet) \2\ (feet)
------------------------------------------------------------------------
0-100.......................... 200............... 25
101-200......................... 200............... 50
201-300......................... 200............... 50
301-400......................... 200............... 50
401-500......................... 200............... 50
Above 500....................... Not permitted..... Not permitted.
------------------------------------------------------------------------
\1\ Net weight is the weight of all pyrotechnic compositions, and
exposive materials and fuse only.
\2\ While consumer fireworks or articles pyrotechnic in a finished state
are not subject to regulation, explosive materials 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 processed shall meet these requirements.
\3\ This table does not apply to the separation distances between
fireworks process buildings (see Sec. 555.222) and between magazines
(see Sec. Sec. 555.218 and 555.224).
\4\ The distances in this table apply with or without artificial or
natural barricades or screen barricades. However, the use of
barricades is highly recommended.
\5\ No work of any kind, except to place or move items other than
explosive materials from storage, shall be conducted in any building
designated as a warehouse. A fireworks plant warehouse is not subject
to Sec. 555.222 or this section, tables of distances.

[T.D. ATF-293, 55 FR 3723, Feb. 5, 1990, as amended by T.D. ATF-400, 63
FR 45004, Aug. 24, 1998]

Sec. 555.224 Table of distances for the storage of display fireworks
(except bulk salutes).

------------------------------------------------------------------------
Distance between Distance
magazine and inhabited between
Net weight of firework \1\ (pounds) building, passenger magazines
railway, or public \2 3\
highway \3 4\ (feet) (feet)
------------------------------------------------------------------------
0-1000............................. 150................... 100
1001-5000.......................... 230................... 150
5001-10000......................... 300................... 200
Above 10000........................ Use table Sec. ...........
555.218
------------------------------------------------------------------------
\1\ Net weight is the weight of all pyrotechnic compositions, and
explosive materials and fuse only.
\2\ For the purposes of applying this table, the term ``magazine'' also
includes fireworks shipping buildings for display fireworks.
\3\ For fireworks storage magazines in use prior to March 7, 1990, the
distances in this table may be halved if properly barricaded between
the magazine and potential receptor sites (55 FR 3717).
\4\ This table does not apply to the storage of bulk salutes. Use table
at Sec. 555.218.

[T.D. ATF-293, 55 FR 3723, Feb. 5, 1990, as amended by T.D. ATF-400, 63
FR 45004, Aug. 24, 1998; ATF 2017R-21, 84 FR 13800, Apr. 8, 2019]

[[Page 168]]

SUBCHAPTER D_MISCELLANEOUS REGULATIONS RELATING TO ALCOHOL AND
TOBACCO

PART 646_CONTRABAND CIGARETTES--Table of Contents

General

Sec.
646.141 Scope of part.
646.142 Territorial extent.
646.143 Meaning of terms.

Records

646.146 General requirements.
646.147 Required information.
646.150 Retention of records.

Other Provisions Relating to the Distribution of Cigarettes

646.153 Authority of appropriate ATF officers to enter business
premises.

Penalties and Forfeitures

646.154 Penalties.
646.155 Forfeitures.

Authority: 18 U.S.C. 2341-2346, unless otherwise noted.

Source: 45 FR 48612, July 21, 1980, unless otherwise noted.
Redesignated by T.D. ATF-487, 68 FR 3753, Jan. 24, 2003.

Editorial Note: Nomenclature changes to part 646 appear by T.D. ATF-
487, 68 FR 4753, Jan. 24, 2003.

General

Sec. 646.141 Scope of part.

The regulations in this subpart relate to the distribution of
cigarettes in excess of 60,000 in a single transaction.

Sec. 646.142 Territorial extent.

The provisions of the regulations in this part apply in the several
States of the United States, the District of Columbia, the Commonwealth
of Puerto Rico, and the Virgin Islands.

Sec. 646.143 Meaning of terms.

When used in this part, terms are defined as follows in this
section. Words in the plural shall include the singular, and vice versa.
Words indicating the masculine gender shall include the feminine. The
terms ``includes'' and ``including'' do not exclude other things not
named which are in the same general class or are otherwise within the
scope of the term defined.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco, Firearms, and Explosives (ATF) authorized to perform
any functions relating to the administration or enforcement of this part
by ATF Order 1130.28, Delegation of the Director's Authorities in 27 CFR
Parts 45 and 646.
Business premises. When used with respect to a distributor, the
property on which the cigarettes are kept or stored. The business
premises includes the property where the records of a distributor are
kept.
Common or contract carrier. A carrier holding a certificate of
convenience and necessity, a permit for contract carrier by motor
vehicle, or other valid operating authority under the Interstate
Commerce Act, or under equivalent operating authority from a regulatory
agency of the United States or of any State.
Contraband cigarettes. Any quantity of cigarettes in excess of
60,000, if--
(a) The cigarettes bear no evidence of the payment of applicable
State cigarette taxes in the State where the cigarettes are found;
(b) The State in which the cigarettes are found requires a stamp,
impression, or other indication to be placed on packages or other
containers of cigarettes to evidence payment of cigarette taxes; and
(c) The cigarettes are in the possession of any person other than an
exempted person.
Disposition. The movement of cigarettes from a person's business
premises, wherever situated, by shipment or other means of distribution.
Distribute. To sell, ship, issue, give, transfer, or otherwise
dispose of.
Distributor. Any person who distributes more than 60,000 cigarettes
in a single transaction.
Exempted person. Any person who is--
(a) Holding a permit issued pursuant to Chapter 52 of the Internal
Revenue Code of 1954 as a manufacturer of tobacco products or as an
export warehouse proprietor;

[[Page 169]]

(b) Operating a customs bonded warehouse pursuant to section 311 or
555 of the Tariff Act of 1930 (19 U.S.C. 1311 or 1555);
(c) An agent of a tobacco products manufacturer, an export warehouse
proprietor, or an operator of a customs bonded warehouse;
(d) A common or contract carrier transporting the cigarettes
involved under a proper bill of lading or freight bill which states the
quantity, source, and destination of the cigarettes;
(e) Licensed or otherwise authorized by the State, in which he
possesses cigarettes, to account for and pay cigarette taxes imposed by
that State; and who has complied with the accounting and payment
requirements relating to his license or authorization with respect to
the cigarettes involved; or
(f) An agent of the United States, of an individual State, or of a
political subdivision of a State and having possession of cigarettes in
connection with the performance of official duties.
(g) Operating within a foreign-trade zone established under 19
U.S.C., section 81b, when the cigarettes involved have been entered into
the zone under zone-restricted status or, in respect to foreign
cigarettes, have been admitted into the zone but have not been entered
in the United States.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company.
State. A State of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, or the Virgin Islands.

[45 FR 48612, July 21, 1980, as amended by T.D. ATF-472, 67 FR 8881,
Feb. 27, 2002; ATF 2013R-9F, 79 FR 46694, Aug. 11, 2014]

Records

Sec. 646.146 General requirements.

Each distributor of cigarettes shall keep copies of invoices, bills
of lading, or other suitable commercial records relating to each
disposition of more than 60,000 cigarettes. Dividing a single agreement
for the disposition of more than 60,000 cigarettes into the delivery of
smaller components of 60,000 cigarettes or less does not exempt the
distributor from the recordkeeping requirements of this part. The
distributor shall include the information prescribed in Sec. 646.147 in
his commercial records of disposition.

Sec. 646.147 Required information.

(a) Distributors who are exempted persons. Each distributor who is
an exempted person as defined in Sec. 646.143 shall show the following
information in his commercial records.
(1) For each disposition of more than 60,000 cigarettes to an
exempted person; or for each disposition of more than 60,000 cigarettes
to a person who is not an exempted person and which is delivered by the
distributor to the recipient's place of business, the distributor shall
show on dated records--
(i) The full name of the purchaser (or the recipient if there is no
purchaser);
(ii) The street address (including city and state) to which the
cigarettes are destined; and
(iii) The quantity of cigarettes disposed of.
(2) For each disposition of more than 60,000 cigarettes, other than
the dispositions specified in paragraph (a)(1) of this section, the
distributor shall show on dated records--
(i) The full name of the purchaser (if any);
(ii) The name, address (including city and state), and signature of
the person receiving the cigarettes;
(iii) The street address (including city and state) to which the
cigarettes are destined;
(iv) The quantity of cigarettes disposed of;
(v) The driver's license number of the individual receiving the
cigarettes;
(vi) The license number of the vehicle in which the cigarettes are
removed from the distributor's business premises;
(vii) A declaration by the individual receiving the cigarettes of
the specific purpose of receipt (such as personal use, resale, delivery
to another person, etc.); and
(viii) A declaration by the person receiving the cigarettes of the
name and address of his principal when he is acting as an agent.
(b) Distributors who are not exempted persons. Each distributor who
is not an exempted person as defined in Sec. 646.143 shall show on
dated commercial

[[Page 170]]

records the information specified in paragraphs (a)(2) (i) through
(viii) of this section for each disposition of more than 60,000
cigarettes.

(Approved by the Office of Management and Budget under control number
1512-0391)

[45 FR 48612, July 21, 1980, as amended by T.D. ATF-172, 49 FR 14943,
Apr. 16, 1984]

Sec. 646.150 Retention of records.

(a) General. Each distributor of cigarettes shall retain the records
required by Sec. Sec. 646.146 and 646.147 for three years following the
close of the year in which the records are made. The distributor shall
keep the required records on his business premises.
(b) Shorter retention periods. The appropriate ATF officer may,
pursuant to an application submitted by a distributor, approve a shorter
retention period where--
(1) The distributor requesting the shorter retention period is an
agent of a tobacco products manufacturer;
(2) The tobacco products manufacturer will keep the required record
for each disposition of more than 60,000 cigarettes from the agent's
premises for the full retention period specified in paragraph (a) of
this section; and
(3) The approval of a shorter retention period will not unduly
hinder the administration of enforcement of this subpart.
(c) Application requirements. Each distributor proposing to employ a
shorter retention period shall submit a written application, in
duplicate, to the appropriate ATF officer. A distributor may not employ
a shorter retention period until approval is received from the
appropriate ATF officer. Each application should indicate the duration
of the proposed retention period and should include the information
required by paragraph (b) of this section.

[45 FR 48612, July 21, 1980, as amended by T.D. ATF-472, 67 FR 8880,
8881, Feb. 27, 2002]

Other Provisions Relating to the Distribution of Cigarettes

Sec. 646.153 Authority of appropriate ATF officers to enter business
premises.

Any appropriate ATF officer may enter the business premises of any
distributor of cigarettes to inspect the records required by Sec. Sec.
646.146 through 646.147 or to inspect any cigarettes stored on the
premises--
(a) Pursuant to duly issued search warrant or an administrative
inspection warrant; or
(b) Upon the consent of the distributor to enter his premises.

[45 FR 48612, July 21, 1980, as amended by T.D. ATF-472, 67 FR 8881,
Feb. 27, 2002]

Penalties and Forfeitures

Sec. 646.154 Penalties.

(a) Any person who knowingly ships, transports, receives, possesses,
sells, distributes, or purchases contraband cigarettes shall be fined
not more than $100,000 or imprisoned not more than five years, or both.
(b) Any person who knowingly violates any regulation contained in
this part or makes any false statement or misrepresentation with respect
to the information required to be recorded by this part shall be fined
not more than $5,000 or imprisoned not more than three years, or both.

Sec. 646.155 Forfeitures.

(a) Any contraband cigarettes involved in any violation of the
provisions of 18 U.S.C. chapter 114 shall be subject to seizure and
forfeiture. All provisions of the Internal Revenue Code of 1954 (title
26 U.S.C.) relating to the seizure, forfeiture, and disposition of
firearms, as defined in section 5845(a) of that Code, shall, so far as
applicable, extend to seizures and forfeitures of contraband cigarettes
under the provisions of 18 U.S.C. chapter 114.
(b) Any vessel, vehicle or aircraft used to transport, carry,
convey, or conceal or possess any contraband cigarettes with respect to
which there has been committed any violation of any provision of 18
U.S.C. chapter 114 or the regulations in this subpart shall be subject
to seizure and forfeiture under the Customs laws, as provided by the Act
of August 9, 1939 (49 U.S.C. 781-788).

(18 U.S.C. 2344; 53 Stat. 1291 (49 U.S.C. 782))

PARTS 647 699 [RESERVED]

[[Page 171]]

SUBCHAPTER E_EXPLOSIVE LICENSE AND PERMIT PROCEEDINGS

PARTS 700 770 [RESERVED]

PART 771_RULES OF PRACTICE IN EXPLOSIVE LICENSE AND PERMIT PROCEEDINGS
--Table of Contents

Subpart A_Scope and Construction of Regulations

Sec.
771.1 Scope of part.
771.2 Liberal construction.
771.3 Forms prescribed.

Subpart B_Definitions

771.5 Meaning of terms.

Subpart C_General

771.25 Communications and pleadings.
771.26 Service on applicant, licensee, or permittee.
771.27 Service on the Director of Industry Operations or Director.

Time

771.28 Computation.
771.29 Continuances and extensions.

Representation at Hearings

771.30 Personal representation.
771.31 Attorneys and other representatives.

Subpart D_Compliance and Settlement

771.35 Opportunity for compliance.
771.36 Settlement.
771.37 Notice of contemplated action.
771.38 Licensee's or permittee's failure to meet requirements within
reasonable time.
771.39 Authority of Director of Industry Operations to proceed with
revocation or denial action.

Subpart E_Revocation or Denial

771.40 Denial of initial application.
771.41 Denial of renewal application or revocation of license or permit.
771.42 Grounds for revocation of licenses or permits.
771.43 Grounds for denial of applications for licenses or permits.

Subpart F_Hearing Procedure

Notices

771.55 Content.
771.56 Forms.
771.57 Execution and disposition.
771.58 Designated place of hearing.

Request for Hearing

771.59 Initial application proceedings.
771.60 Revocation or denial of renewal proceedings.
771.61 Notice of hearing.

Non-Request for Hearing

771.62 Initial application.
771.63 Revocation or denial of renewal.

Responses to Notices

771.64 Answers.
771.65 Responses admitting facts.
771.66 Initial conferences.

Failure to Appear

771.67 Initial applications.
771.68 Revocation or denial of renewal.

Waiver of Hearing

771.69 Withdrawal of request for hearing.
771.70 Adjudication based upon written submissions.

Surrender of License or Permit

771.71 Before citation.
771.72 After citation.

Motions

771.73 General.
771.74 Prior to hearing.
771.75 At hearing.

Hearing

771.76 General.
771.77 Initial applications.
771.78 Revocation or denial of renewal.

Burden of Proof

771.79 Initial applications.
771.80 Revocation or denial of renewal.

General

771.81 Stipulations at hearing.
771.82 Evidence.
771.83 Closing of hearings; arguments, briefs, and proposed findings.
771.84 Reopening of the hearing.

Record of Testimony

771.85 Stenographic record.
771.86 Oath of reporter.

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Subpart G_Administrative Law Judges

771.95 Responsibilities of administrative law judges.
771.96 Disqualification.
771.97 Powers.
771.98 Separation of functions.
771.99 Conduct of hearing.
771.100 Unavailability of administrative law judge.

Subpart H_Decisions

771.105 Administrative law judge's findings and recommended decision.
771.106 Certification and transmittal of record and decision.

Action by Director of Industry Operations

771.107 Initial application proceedings.
771.108 Director of Industry Operations' decision.
771.109 Revocation or denial of renewal proceedings.
771.110 Revocation or denial of renewal.
771.111 Proceedings involving violations not within the division of
issuance of license or permit.

Subpart I_Review

771.120 Appeal on petition to the Director.
771.121 Review by Director.
771.122 Denial of renewal or revocation.
771.123 Court review.

Subpart J_Miscellaneous

771.124 Depositions.
771.125 Witnesses and fees.
771.126 Discovery.
771.127 Privileges.

Record

771.135 What constitutes record.
771.136 Availability.

Authority: 18 U.S.C. 843, 847.

Source: 84 FR 64744, Nov. 25, 2019, unless otherwise noted.

Subpart A_Scope and Construction of Regulations

Sec. 771.1 Scope of part.

Regulations in this part govern procedures and practices for
disapproving applications for licenses and permits and denying renewal
of or revocation of such licenses or permits under 18 U.S.C. chapter 40.

Sec. 771.2 Liberal construction.

Regulations in this part shall be liberally construed to secure
just, expeditious, and efficient determination of the issues presented.
The Rules of Civil Procedure for the U.S. District Courts (28 U.S.C.
appendix) are not controlling, but may act as a guide in any situation
not provided for or controlled by this part and shall be liberally
construed or relaxed when necessary.

Sec. 771.3 Forms prescribed.

(a) The Director is authorized to prescribe all forms required by
this part. All of the information called for in each form shall be
furnished as indicated by the headings on the form and the instructions
on or pertaining to the form. In addition, information called for in
each form shall be furnished as required by this part.
(b) Requests for forms should be made to the ATF Distribution Center
or through the ATF website at http://www.atf.gov.

Subpart B_Definitions

Sec. 771.5 Meaning of terms.

When used in this part and in forms prescribed under this part,
where not otherwise distinctly expressed or manifestly incompatible with
the intent thereof, terms shall have the meaning provided in this
subpart. Words in the plural form shall include the singular, and vice
versa, and words importing the masculine gender shall include the
feminine.
Administrative law judge. The person appointed pursuant to 5 U.S.C.
3105, designated to preside over any administrative proceedings under
this part.
Applicant. Any person who has filed an application for a license or
permit under 18 U.S.C. chapter 40.
Application. Any application for a license or permit, including
renewal applications, under 18 U.S.C. chapter 40.
ATF. The Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice.
Attorney for the Government. An attorney in the ATF Office of Chief
Counsel authorized to represent the Director of Industry Operations in
the proceeding.

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CFR. The Code of Federal Regulations.
Contemplated notice. Includes any notice contemplating the
revocation or denial of renewal of a license or permit.
Director. The Director, Bureau of Alcohol, Tobacco, Firearms, and
Explosives, Department of Justice.
Director of Industry Operations. The principal ATF official in a
Field Operations division responsible for administering regulations in
this part.
Ex parte communication. An oral or written communication not on the
public record with respect to which reasonable prior notice to all
parties is not given, but not including requests for status reports.
Initial decision. The decision of the Director of Industry
Operations in a proceeding concerning the revocation of, denial of
renewal of, or denial of application for a license or permit. This
decision becomes the agency's final decision in the absence of an
appeal.
Final decision. The definitive decision of ATF, e.g., the agency's
decision in the absence of an appeal or the Director's decision
following an appeal to the Director.
License. Subject to applicable law, entitles the licensee to
transport, ship, and receive explosive materials in interstate or
foreign commerce, and to engage in the business specified by the
license, at the location described on the license.
Licensee. Any importer, manufacturer, or dealer licensed under the
provisions of 18 U.S.C. chapter 40 and 27 CFR part 555.
Limited permit. A permit issued to a person authorizing him to
receive for his use explosive materials from a licensee or permittee in
his State of residence on no more than six occasions during the 12-month
period in which the permit is valid. A limited permit does not authorize
the receipt or transportation of explosive materials in interstate or
foreign commerce.
Other term. Any other term defined in the Federal explosives laws
(18 U.S.C. chapter 40), the regulations promulgated thereunder (27 CFR
part 555), or the Administrative Procedure Act (5 U.S.C. 551 et seq.),
where used in this part, shall have the meaning assigned to it therein.
Permittee. Any user of explosives for a lawful purpose who has
obtained either a user permit or a limited permit under 18 U.S.C.
chapter 40 and 27 CFR part 555.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company.
Recommended decision. The advisory decision of the administrative
law judge in any proceeding regarding the revocation of, denial of
renewal of, or denial of application for a license or permit. ATF must
act on a recommended decision with its own initial or final decision.
User-limited permit. A user permit valid only for a single purchase
transaction. Recipients of a user-limited permit must obtain a new
permit for any subsequent purchase transaction.
User permit. A permit issued to a person authorizing him to--
(1) Acquire for his own use explosive materials from a licensee in a
State other than the State in which he resides or from a foreign
country; and
(2) Transport explosive materials in interstate or foreign commerce.
Willfulness. The plain indifference to, or purposeful disregard of,
a known legal duty. Willfulness may be demonstrated by, but does not
require, repeat violations involving a known legal duty.

Subpart C_General

Sec. 771.25 Communications and pleadings.

(a) All communications to the Government regarding the procedures
set forth in this part and all pleadings, such as answers, motions,
requests, or other papers or documents required or permitted to be filed
under this part, relating to a proceeding pending before an
administrative law judge, shall be addressed to the administrative law
judge at his post of duty and the Attorney for the Government.
Communications concerning proceedings not pending before an
administrative law judge should be addressed to the Director of Industry
Operations or Director, as the case may be.

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(b) Except to the extent required for the disposition of ex parte
matters as authorized by law, no ex parte communications shall be made
to or from the administrative law judge concerning the merits of the
adjudication. If the administrative law judge receives or makes an ex
parte communication not authorized by law, the administrative law judge
shall place on the record of the proceeding:
(1) All such written communications;
(2) Memoranda stating the substance of all such oral communications;
and
(3) All written responses and memoranda stating the substance of all
oral responses to paragraphs (b)(1) and (2) of this section.

Sec. 771.26 Service on applicant, licensee, or permittee.

All orders, notices, motions, and other formal documents required to
be served under the regulations in this part may be served by mailing a
signed, original copy thereof to the designated representative of the
applicant, licensee, or permittee by certified mail, with request for
return receipt card, at the representative's business address, by
personal service, or as otherwise agreed to by the parties. If the
applicant, licensee, or permittee has not yet designated a
representative, all orders, notices, motions, and other formal documents
required to be served under the regulations in this part may be served
by mailing a signed, original copy thereof to the applicant, licensee,
or permittee at the address stated on his application, license, or
permit, or at his last known address, or by delivery of such original
copy to the applicant, licensee, or permittee personally, or in the case
of a corporation, partnership, or other unincorporated association, by
delivering the same to an officer, or manager, or general agent thereof,
or to its attorney of record. Such personal service may be made by any
employee of the Department of Justice designated by the Attorney General
or by any employee of ATF. A certificate of mailing and the return
receipt card, or certificate of service signed by the person making such
service, shall be filed as a part of the record.

Sec. 771.27 Service on the Director of Industry Operations
or Director.

Pleadings, motions, notices, and other formal documents may be
served by certified mail, by personal service, or as otherwise agreed to
by the parties, on the Director of Industry Operations (or upon the
Attorney for the Government on behalf of the Director of Industry
Operations), or on the Director, if the proceeding is before him for
review on appeal.

Time

Sec. 771.28 Computation.

In computing any period of time prescribed or allowed by this part,
the day of the act, event, or default after which the designated period
of time is to run is not to be included. The last day of the period to
be computed is to be included, unless it is a Saturday, Sunday, or
Federal holiday, in which event the period runs until the next day that
is not a Saturday, Sunday, or Federal holiday. Pleadings, requests, or
other papers or documents required or permitted to be filed under this
part must be received for filing at the appropriate office within the
time limits, if any, for such filing.

Sec. 771.29 Continuances and extensions.

For good cause shown, the administrative law judge, Director, or
Director of Industry Operations, as the case may be, may grant
continuances and, as to all matters pending before him, extend any time
limit prescribed by the regulations in this part (except where the time
limit is statutory).

Representation at Hearings

Sec. 771.30 Personal representation.

Any individual or member of a partnership may appear for himself, or
for such partnership, and a corporation or association may be
represented by a bona fide officer of such corporation or association,
upon showing of adequate authorization.

Sec. 771.31 Attorneys and other representatives.

An applicant, licensee, or permittee may represent himself, or be
represented by an attorney, a certified

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public accountant, or any other person, specifically designated in a
duly executed power of attorney that shall be filed in the proceeding by
the applicant, licensee, or permittee. The applicant, licensee, or
permittee shall file waivers, if applicable, under the Privacy Act of
1974 and 26 U.S.C. 6103(c) (confidentiality and disclosure of returns
and return information). The Director of Industry Operations may be
represented in proceedings by an attorney in the Office of Chief Counsel
who is authorized to execute and file motions, briefs, and other papers
in the proceeding on behalf of the Director of Industry Operations, in
the attorney's own name as ``Attorney for the Government.''

Subpart D_Compliance and Settlement

Sec. 771.35 Opportunity for compliance.

No license or permit shall be revoked or denied renewal unless,
prior to the institution of proceedings, facts or conduct warranting
such action shall have been called to the attention of the licensee or
permittee by the Director of Industry Operations in writing in a
contemplated notice, and the licensee or permittee shall have been
accorded an opportunity to demonstrate or achieve compliance with all
lawful requirements as set forth in section 9(b) of the Administrative
Procedure Act. In cases in which the Director of Industry Operations
alleges in his contemplated notice, with supporting reasons, willful
violations or that the public interest requires otherwise, this section
does not apply and the issuance of a contemplated notice is unnecessary.

Sec. 771.36 Settlement.

Any proposals of settlement should be made to the Director of
Industry Operations, but may be made through the Attorney for the
Government. Where necessary, the date of the hearing may be postponed
pending consideration of such proposals when they are made in good faith
and not for the purpose of delay. If proposals of settlement are
submitted, and they are considered unsatisfactory, the Director of
Industry Operations may reject the proposals and may, either directly or
through the Attorney for the Government, inform the licensee or
permittee of any conditions on which the alleged violations may be
settled. If the proposals of settlement are considered satisfactory to
the Director of Industry Operations, the licensee or permittee shall be
notified thereof and the proceeding shall be dismissed.

Sec. 771.37 Notice of contemplated action.

Where the Director of Industry Operations has not ascertained
whether the licensee or permittee has willfully violated the Federal
explosives laws and where he believes the matter has the potential to be
settled informally, i.e., without formal administrative proceedings, he
shall, in accordance with section 5(b) of the Administrative Procedure
Act, prior to the issuance of a notice of revocation or denial of
renewal, give the licensee or permittee a contemplated notice of such
action and an opportunity to show why the license or permit should not
be revoked or denied renewal. The notice should inform the licensee or
permittee of the charges on which the notice would be based, if issued,
and afford him a period of 15 days from the date of the notice, or such
longer period as the Director of Industry Operations deems necessary, in
which to submit proposals of settlement to the Director of Industry
Operations. Where informal settlement is not reached promptly because of
inaction by the applicant, licensee, or permittee or proposals are made
for the purpose of delay, a notice shall be issued in accordance with
Sec. 771.42 or Sec. 771.43, as appropriate. The issuance of a notice
of contemplated action does not entitle the recipient to a hearing
before an administrative law judge.

Sec. 771.38 Licensee's or permittee's failure to meet requirements
within reasonable time.

If the licensee or permittee fails to meet the requirements of
applicable laws and regulations in this part within such reasonable time
as may be specified by the Director of Industry Operations, proceedings
for revocation or denial of renewal of the license or permit shall be
initiated.

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Sec. 771.39 Authority of Director of Industry Operations to proceed
with revocation or denial action.

Where the evidence is conclusive and the nature of the violation is
such as to preclude any settlement, the violation is of a continuing
character that necessitates immediate action to protect the public
interest, or the Director of Industry Operations believes that any
informal settlement of the alleged violation will not ensure future
compliance with applicable laws and regulations in this part, or in any
similar case where the circumstances are such as to clearly preclude
informal settlement, and the Director of Industry Operations so finds
and states the reasons therefor in the notice, the Director of Industry
Operations may proceed with the revocation or denial of renewal.

Subpart E_Revocation or Denial

Sec. 771.40 Denial of initial application.

Whenever the Director of Industry Operations has reason to believe
that an applicant for an original license or permit is not eligible to
receive a license or permit under the provisions of Sec. 555.49 of this
chapter, the Director of Industry Operations shall issue a notice of
denial on ATF Form 5400.11 (Notice of Denial of Application for License
or Permit) (F 5400.11). The notice will set forth the matters of fact
and law relied upon in determining that the application should be denied
and will afford the applicant 15 days from the date of receipt of the
notice in which to request a hearing to review the denial. If no request
for a hearing is filed within that time, a copy of the application,
marked ``Disapproved,'' will be returned to the applicant.

Sec. 771.41 Denial of renewal application or revocation of license
or permit.

If, following the opportunity for compliance under Sec. 555.71 of
this chapter, or without opportunity for compliance under Sec. 555.71
of this chapter as circumstances warrant, the Director of Industry
Operations finds that the licensee or permittee is not likely to comply
with applicable laws or regulations in this part or is otherwise not
eligible to continue operations authorized under his license or permit,
the Director of Industry Operations shall issue a notice of denial of
the renewal application or revocation of the license or permit, ATF F
5400.11 (Notice of Denial of Application for License or Permit) or ATF
Form 5400.10 (Notice of Revocation of License or Permit) (F 5400.10), as
appropriate. The notice will set forth the matters of fact constituting
the violations specified, dates, places, and the sections of law and
regulations violated. In the case of the revocation of a license or
permit, the notice will specify the date on which the action is
effective, which date will be on or after the date the notice is served
on the licensee or permittee. The notice will also advise the licensee
or permittee that he may, within 15 days after receipt of the notice,
request a hearing and, if applicable, a stay of the effective date of
the revocation of his license or permit.

Sec. 771.42 Grounds for revocation of licenses or permits.

Whenever the Director of Industry Operations has reason to believe
that any holder of a license or permit has willfully violated any
provision of 18 U.S.C. chapter 40 or 27 CFR part 555 or has become
ineligible to continue operations authorized under the license or
permit, the Director of Industry Operations shall issue a notice for the
revocation of such license or permit, as the case may be.

Sec. 771.43 Grounds for denial of applications for licenses
or permits.

If, upon examination of any application (including a renewal
application) for a license or permit, the Director of Industry
Operations has reason to believe that the applicant is not entitled to
such license or permit, the Director of Industry Operations shall issue
a denial of the application. An applicant is not eligible for a license
or permit if he fails to meet the requirements of 18 U.S.C. 843(b) and
Sec. 555.49 of this chapter.

Subpart F_Hearing Procedure

Notices

Sec. 771.55 Content.

(a) Notices for the revocation or denial of renewal of a license or
permit

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shall be promptly issued by the Director of Industry Operations and
shall set forth:
(1) The sections of law and regulations relied upon for authority
and jurisdiction;
(2) The specific grounds upon which the revocation or denial is
based, i.e., the matters of fact constituting the violations specified,
dates, places, and sections of law and regulations violated;
(3) In the case of a revocation, the date on which the action is
effective; and
(4) That the licensee or permittee has 15 days from receipt of the
notice within which to request a hearing before an administrative law
judge.
(b) Notices for the denial of an initial application for a license
or permit shall set forth:
(1) The sections of law and regulations relied upon for authority
and jurisdiction;
(2) The specific grounds upon which the denial is based, i.e., the
matters of fact and law relied upon for the disapproval of the
application; and
(3) That the application will be disapproved unless a hearing is
requested within 15 days from receipt of the notice.

Sec. 771.56 Forms.

Notices shall be issued on the following forms:
(a) ATF Form 5400.9, ``Order After Denial or Revocation Hearing,''
for all revocations or denials of renewal of licenses or permits
pursuant to 18 U.S.C. chapter 40 after a hearing has been held and a
Recommended Decision has been issued by the administrative law judge;
(b) Form 5400.10, ``Notice of Revocation for License or Permit,''
for all revocations of licenses or permits pursuant to 18 U.S.C. chapter
40, except as provided for in paragraph (a) of this section;
(c) Form 5400.11, ``Notice of Denial of Application for License or
Permit,'' for the denial of renewal or original applications for
licenses or permits pursuant to 18 U.S.C. chapter 40, except as provided
for in paragraph (a) of this section;
(d) Form 5400.12, ``Notice of Contemplated Denial or Revocation of
License or Permit,'' for the contemplated revocation or denial of
renewal application of licenses or permits pursuant to 18 U.S.C. chapter
40; or
(e) Such other forms as the Director may prescribe.

Sec. 771.57 Execution and disposition.

A signed original of the applicable form shall be served on the
licensee or permittee. If a hearing is requested, a copy shall be sent
to the administrative law judge designated to conduct the hearing. Any
remaining copies shall be retained for the office of the Director of
Industry Operations.

Sec. 771.58 Designated place of hearing.

The designated place of hearing shall be determined by the
administrative law judge, taking into consideration the convenience and
necessity of the parties and their representatives.

Request for Hearing

Sec. 771.59 Initial application proceedings.

(a) If the applicant for an initial license or permit desires a
hearing, he shall file a request in writing with the Director of
Industry Operations within 15 days after receipt of notice of the
disapproval, in whole or in part, of the application.
(b) On receipt of the request, the Director of Industry Operations
shall forward a copy of the request, together with a copy of the notice,
to the Office of Chief Counsel for the assignment of an administrative
law judge.
(c) After the Office of Chief Counsel notifies the Director of
Industry Operations or the Attorney for the Government of the assignment
of an administrative law judge, the Director of Industry Operations
shall notify the licensee or permittee of the assignment, if the
administrative law judge has not already done so.

Sec. 771.60 Revocation or denial of renewal proceedings.

(a) If the licensee or permittee desires a hearing, he shall file a
request, in writing, with the Director of Industry Operations within 15
days after receipt of the notice or within such time

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as the Director of Industry Operations may allow.
(b) Where a licensee or permittee requests a hearing, the Director
of Industry Operations shall forward a copy of the request, together
with a copy of the notice, to the Office of Chief Counsel for the
assignment of an administrative law judge.
(c) After the Office of Chief Counsel notifies the Director of
Industry Operations or the Attorney for the Government of the assignment
of an administrative law judge, the Director of Industry Operations
shall notify the licensee or permittee of the assignment, if the
administrative law judge has not already done so.
(d) In the case of a revocation, a licensee or permittee may include
a request for a stay of the effective date of revocation with the
request for a hearing.
(e) On receipt of a request for a stay of the effective date of a
revocation, the Director of Industry Operations shall timely advise the
licensee or permittee whether the stay is granted.
(1) If the stay is granted, the matter shall be referred to an
administrative law judge pursuant to paragraph (b) of this section.
(2) If the stay is denied, the licensee or permittee may request an
immediate hearing. In this event, the Director of Industry Operations
shall immediately refer the matter to the Office of Chief Counsel for
the assignment of an administrative law judge, who shall set a date and
place for hearing, which date shall be no later than 10 days from the
date the licensee or permittee requested the immediate hearing.

Sec. 771.61 Notice of hearing.

Once a request for a hearing has been referred to the administrative
law judge, the administrative law judge shall set a time and place for a
hearing and shall serve notice thereof upon the parties at least 10 days
in advance of the hearing date.

Non-Request for Hearing

Sec. 771.62 Initial application.

In the case of an initial application, if the applicant does not
request a hearing within 15 days, or within such additional time as the
Director of Industry Operations may in his discretion allow, the
Director of Industry Operations will return a copy of the application,
marked ``Disapproved,'' to the applicant, accompanied by a brief
statement including the findings upon which the denial is based.

Sec. 771.63 Revocation or denial of renewal.

In the case of a revocation or denial of renewal of an application,
if the licensee or permittee does not request a hearing within 15 days,
or within such additional time as the Director of Industry Operations
may in his discretion allow, the Director of Industry Operations shall
make the initial decision in the case pursuant to Sec. 771.78(b).

Responses to Notices

Sec. 771.64 Answers.

(a) Where the licensee or permittee requests a hearing in accordance
with Sec. Sec. 771.59 and 771.60, a written response to the relevant
notice may be filed with the administrative law judge and served on the
Director of Industry Operations within 15 days after the licensee or
permittee receives service of the designation of the administrative law
judge.
(b) Where no hearing is requested, the licensee or permittee may
file a written answer to the relevant notice with the Director of
Industry Operations within 15 days after service of the notice.
(c) An answer shall contain a concise statement of the facts that
constitute the grounds for defense. A hearing, if requested, may be
limited to the issues contained in the notice and the answer. The
administrative law judge or Director of Industry Operations, as the case
may be, may, as a matter of discretion, waive any requirement of this
section.
(d) Answers need not be filed in initial application proceedings.

Sec. 771.65 Responses admitting facts.

If the licensee or permittee desires to waive the hearing on the
allegations of fact set forth in the notice and does not contest the
facts, the answer may consist of a statement that the licensee

[[Page 179]]

or permittee admits all material allegations of fact charged in the
notice to be true. The Director of Industry Operations shall base the
decision on the notice and such answer, although such an answer shall
not affect the licensee's or permittee's right to submit proposed
findings of fact and conclusions of law or right to appeal.

Sec. 771.66 Initial conferences.

(a) In any proceeding, the administrative law judge, upon his own
motion or upon the motion of one of the parties or their qualified
representatives, may in the administrative law judge's discretion direct
the parties or their qualified representatives to appear at a specified
time and place for a conference to consider:
(1) Simplification of the issues;
(2) The necessity of amendments to the pleadings;
(3) The possibility of obtaining stipulations, admissions of facts,
and documents;
(4) The possibility of both parties exchanging information or
scheduling discovery;
(5) A date on which both parties will simultaneously submit lists of
proposed hearing exhibits;
(6) Limiting the number of expert witnesses;
(7) Identifying and, if practicable, scheduling all witnesses to be
called; however, there is no requirement in these proceedings for the
parties to submit pre-hearing statements or statements of proposed
testimony by witnesses; and
(8) Such other matters as may aid in the disposition of the
proceeding.
(b) As soon as practicable after such conference, the administrative
law judge shall issue an order that recites the action taken, the
amendments allowed to the pleadings, and the agreements made by the
parties or their qualified representatives as to any of the matters
considered. The order shall also limit the issues for hearing to those
not disposed of by admission or agreement. Such order shall control the
subsequent course of the proceedings, unless modified for good cause by
a subsequent order. After discovery is complete, the order may be
amended or supplemented if necessary.

Failure to Appear

Sec. 771.67 Initial applications.

Where the applicant on an initial application for a license or
permit has requested a hearing and does not appear at the appointed time
and place, evidence has not been offered to refute or explain the
grounds upon which disapproval of the application is contemplated, and
no good cause has been shown for the failure to appear, the applicant
shall be considered to have waived the hearing. When such waiver occurs,
a default judgment against the applicant will be entered and the
administrative law judge shall recommend disapproval of said
application.

Sec. 771.68 Revocation or denial of renewal.

If, on the date set for a hearing concerning the revocation or
denial of renewal of a license or permit, the licensee or permittee does
not appear, no evidence has been offered, and no good cause has been
shown for the failure to appear, the Attorney for the Government will
proceed ex parte and offer for the record sufficient evidence to make a
prima facie case. At such hearing, documents, statements, and affidavits
may be submitted in lieu of testimony of witnesses.

Waiver of Hearing

Sec. 771.69 Withdrawal of request for hearing.

At any time prior to the assignment of an administrative law judge,
the licensee or permittee may, by filing written notice with the
Director of Industry Operations, withdraw his request for a hearing. If
such a notice is filed after assignment to the administrative law judge
and prior to issuance of his recommended decision the Director of
Industry Operations shall move the administrative law judge to dismiss
the proceedings as moot. If such a notice is filed either after issuance
of a notice of denial or notice of revocation and before assignment of
the administrative law judge, or after issuance by the administrative
law judge of his recommended decision and prior to the Director of
Industry Operations' order

[[Page 180]]

disapproving the application or denying the renewal of or revoking the
license or permit, the Director of Industry Operations shall, by order,
dismiss the proceeding.

Sec. 771.70 Adjudication based upon written submissions.

The licensee or permittee may waive the hearing before the
administrative law judge and stipulate that the matter will be
adjudicated by the Director of Industry Operations based upon written
submissions. Written submissions may include stipulations of law or
facts, proposed findings of fact and conclusions of law, briefs, or any
other documentary material. The pleadings, together with the written
submissions of both the licensee or permittee and the attorney for the
Government, shall constitute the record on which the initial decision
shall be based. The election to contest the denial or revocation without
a hearing under this section does not affect the licensee's or
permittee's right to appeal to the Director pursuant to Sec. 555.79 of
this chapter or to the United States Court of Appeals for the circuit in
which the licensee or permittee resides or has his principle place of
business pursuant to Sec. 555.80 of this chapter.

Surrender of License or Permit

Sec. 771.71 Before citation.

If a licensee or permittee surrenders the license or permit before
the notice of revocation or denial of renewal, the Director of Industry
Operations may accept the surrender. But if the evidence, in the opinion
of the Director of Industry Operations, warrants issuance of a notice
for revocation or denial of renewal, the surrender shall be refused and
the Director of Industry Operations shall issue the notice.

Sec. 771.72 After citation.

If a licensee or permittee surrenders the license or permit after
notice, but prior to the referral to an administrative law judge and
prior to an initial decision, the Director of Industry Operations may
accept the surrender of the license or permit and dismiss the proceeding
as moot. If a licensee or permittee surrenders the license or permit
after notice and after the referral to the administrative law judge, but
prior to the issuance of a recommended decision, the Director of
Industry Operations may accept the surrender of the license or permit
and shall move the administrative law judge to dismiss the proceedings
as moot. In either case, if, in the opinion of the Director of Industry
Operations, the evidence is such as to warrant revocation or denial of
renewal, as the case may be, the surrender of the license or permit
shall be refused, and the proceeding shall continue.

Motions

Sec. 771.73 General.

All motions shall be made and addressed to the administrative law
judge before whom the proceeding is pending, and copies of all motion
papers shall be served upon the other party or parties. The
administrative law judge may dispose of any motion without oral
argument, but he may, if he so desires, set it down for hearing and
request argument. The administrative law judge may dispose of such
motion prior to the hearing on the merits or he may postpone the
disposition until the hearing on the merits. No appeal may be taken from
any ruling on a motion until the whole record is certified for review.
Examples of typical motions may be found in the Rules of Civil Procedure
referred to in Sec. 771.2.

Sec. 771.74 Prior to hearing.

All motions that should be made prior to the hearing, such as a
motion directed to the sufficiency of the pleadings or of preliminary
orders, shall be filed in writing with the Director of Industry
Operations or the administrative law judge if the matter has been
referred to him, and shall briefly state the order or relief applied for
and the grounds for such motion.

Sec. 771.75 At hearing.

Motions at the hearing may be made in writing to the administrative
law judge or stated orally on the record.

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Hearing

Sec. 771.76 General.

If a hearing is requested, it shall be held at the time and place
stated in the notice of hearing unless otherwise ordered by the
administrative law judge.

Sec. 771.77 Initial applications.

(a) The administrative law judge who presides at the hearing on
initial applications shall recommend a decision to the Director of
Industry Operations. The administrative law judge shall certify the
complete record of the proceedings before him and shall immediately
forward the complete certified record to the Director of Industry
Operations. The administrative law judge shall also send one copy of his
recommended decision to the applicant or the applicant's representative,
one copy to the Attorney for the Government, and one copy to the
Director of Industry Operations, who shall make the initial decision as
provided in Sec. 771.107. The applicant may be directed by the Director
of Industry Operations to produce such records as may be deemed
necessary for examination. All hearings on applications shall be open to
the public subject to such restrictions and limitations as may be
consistent with orderly procedure.
(b) If no hearing is requested, the return of the application marked
``Disapproved'' is the Director of Industry Operations' initial
decision.

Sec. 771.78 Revocation or denial of renewal.

(a) The administrative law judge who presides at the hearing in
proceedings for the revocation or denial of renewal of licenses or
permits shall make a recommended decision to the Director of Industry
Operations. The administrative law judge shall certify the complete
record of the proceedings before him and shall immediately forward the
complete certified record to the Director of Industry Operations. The
administrative law judge shall also send one copy of his recommended
decision to the licensee or permittee or the licensee's or permittee's
representative, one copy to the Attorney for the Government, and one
copy to the Director of Industry Operations, who shall make the initial
decision as provided in Sec. 771.109.
(b) If no hearing is requested, the Director of Industry Operations
shall make the initial decision.

Burden of Proof

Sec. 771.79 Initial applications.

In hearings on the initial denial of applications, the burden of
proof is on the Government to show by a preponderance of the evidence
that the Director of Industry Operations had reason to believe that the
applicant is not entitled to a permit or license.

Sec. 771.80 Revocation or denial of renewal.

In hearings on the revocation or denial of renewal of a license or
permit, the burden of proof is on the Government to show that the
Director of Industry Operations had reason to believe that the licensee
or permittee is not entitled to a permit or license, as may be the case.
The Government must meet this proof by a preponderance of the evidence.

General

Sec. 771.81 Stipulations at hearing.

If there has been no initial conference under Sec. 771.66, the
administrative law judge may at the beginning of the hearing require
that the parties attempt to arrive at such stipulations as will
eliminate the necessity of taking evidence with respect to allegations
of fact about which there is no substantial dispute. The administrative
law judge should take similar action, where appropriate, throughout the
hearing and should call and conduct any conferences that he deems
advisable with a view to the simplification, clarification, and
disposition of any of the issues involved in the hearing.

Sec. 771.82 Evidence.

The Federal Rules of Evidence are not binding on these proceedings.
However, any relevant evidence that would be admissible under the rules
of evidence governing civil proceedings in matters not involving trial
by jury in the Courts of the United States shall be admissible. The
administrative law

[[Page 182]]

judge may relax such rules in any hearing when in his judgment such
relaxation would not impair the rights of either party and would more
speedily conclude the hearing or would better serve the ends of justice.
However, the administrative law judge shall provide for the exclusion of
irrelevant, immaterial, or unduly repetitious evidence. Every party
shall have the right to present his case or defense by oral or
documentary evidence, depositions, or duly authenticated copies of
records and documents; to submit rebuttal evidence; and to conduct such
reasonable cross-examination as may be required for a full and true
disclosure of the facts.
(a) Witnesses. The administrative law judge shall have the right in
his discretion to limit the number of witnesses whose testimony may be
merely cumulative and shall, as a matter of policy, not only exclude
irrelevant, immaterial, or unduly repetitious evidence but shall also
limit the cross-examination of witnesses to that required for a full and
true disclosure of the facts so as not to unnecessarily prolong the
hearing and unduly burden the record. Opinion or expert testimony shall
be admitted when the administrative law judge is satisfied that the
witness is properly qualified as defined by Federal Rules of Evidence
701 or 702.
(b) Documentary evidence. Material and relevant evidence shall not
be excluded because it is not the best evidence unless its authenticity
is challenged, in which case reasonable time shall be given to establish
its authenticity. When only portions of a document are to be relied
upon, the offering party shall prepare the pertinent excerpts,
adequately identified, and shall supply copies of such excerpts,
together with a statement indicating the purpose for which such
materials will be offered, to the administrative law judge and to the
other parties. Only the excerpts, so prepared and submitted, shall be
received in the record. However, the whole of the original document
should be made available for examination and for use by opposing counsel
for purposes of cross-examination. Compilations, charts, summaries of
data, and photocopies of documents may be admitted in evidence if the
proceedings will thereby be expedited, and if the material upon which
they are based is available for examination by the parties. Objections
to the evidence shall be in short form, stating the grounds relied upon.
The transcript shall not include argument or debate on objections,
except as ordered by the administrative law judge, but shall include the
rulings thereon. Where official notice is taken of a material fact not
appearing in the evidence in the record, any party shall, on timely
request, be afforded an opportunity to controvert such fact.
(c) Hearsay. Probative, material, and reliable hearsay evidence is
admissible in proceedings under this subpart.

Sec. 771.83 Closing of hearings; arguments, briefs, and proposed
findings.

Before closing a hearing, the administrative law judge shall inquire
of each party whether the party has any further evidence to offer, which
inquiry and the response thereto shall be shown in the record. The
administrative law judge may hear arguments of counsel and the
administrative law judge may limit the time of such arguments at his
discretion. The administrative law judge may, in his discretion, allow
briefs to be filed on behalf of either party but shall closely limit the
time within which the briefs for both parties shall be filed, so as to
avoid unreasonable delay. The administrative law judge shall also
ascertain whether the parties desire to submit proposed findings and
conclusions, together with supporting reasons, and, if so, a period of
not more than 15 days (unless extended by the administrative law
judge)--after the close of the hearing or receipt of a copy of the
record, if one is requested--will be allowed for such purpose.

Sec. 771.84 Reopening of the hearing.

The Director, the Director of Industry Operations, or the
administrative law judge, as the case may be, may, as to all matters
pending before him, in his discretion reopen a hearing--
(a) In case of default under Sec. 771.67 or Sec. 771.68 where the
applicant, licensee, or permittee failed to request a hearing or

[[Page 183]]

to appear after one was set, upon petition setting forth reasonable
grounds for such failure; and
(b) Where any party desires leave to adduce additional evidence upon
petition summarizing such evidence, establishing its materiality, and
stating reasonable grounds why such party with due diligence was unable
to produce such evidence at the hearing.

Record of Testimony

Sec. 771.85 Stenographic record.

A stenographic record shall be made of the testimony and
proceedings, including stipulations, admissions of fact, and arguments
of counsel in all proceedings. A transcript of the evidence and
proceedings at the hearing shall be made in all cases.

Sec. 771.86 Oath of reporter.

The reporter making the stenographic record shall subscribe an oath
before the administrative law judge, to be filed in the record of the
case, that he will truly and correctly report the oral testimony and
proceedings at such hearing and accurately transcribe the same to the
best of his ability.

Subpart G_Administrative Law Judges

Sec. 771.95 Responsibilities of administrative law judges.

In hearings under this subpart, administrative law judges must apply
all governing agency rulings and governing agency precedent. They shall
be responsible for the conduct of hearings and shall render their
decisions as soon as is reasonably possible after the hearing is closed.
Administrative law judges shall also be responsible for the preparation,
certification, and forwarding of the complete record of proceedings and
the administrative work relating thereto and, by arrangement with
Directors of Industry Operations and representatives of the Office of
Chief Counsel shall have access to facilities and temporary use of
personnel at such times and places as are needed in the prompt dispatch
of official business.

Sec. 771.96 Disqualification.

An administrative law judge shall, at any time, withdraw from any
proceeding if he deems himself disqualified. Upon the filing in good
faith by the applicant, licensee, permittee, or Attorney for the
Government of a timely and sufficient affidavit of facts showing
personal bias or otherwise warranting the disqualification of any
administrative law judge, if the administrative law judge fails to
disqualify himself, the Director shall upon appeal, as provided in Sec.
771.120, determine the matter as a part of the record and decision in
the proceeding. If the Director decides the administrative law judge
should have deemed himself disqualified, the Director will remand the
record for hearing de novo before another administrative law judge. If
the Director should decide against the disqualification of the
administrative law judge, the proceeding will be reviewed on its merits
by the original administrative law judge. The burden is upon the party
seeking disqualification to set forth evidence sufficient to overcome
the presumption of the administrative law judge's honesty and integrity.

Sec. 771.97 Powers.

Administrative law judges shall have authority to:
(a) Administer oaths and affirmations;
(b) Issue subpoenas as authorized by law;
(c) Rule upon offers of proof and receive relevant evidence;
(d) Take or cause depositions to be taken whenever the ends of
justice would be served thereby;
(e) Regulate the course of the hearing;
(f) Hold conferences for the settlement or simplification of the
issues by consent of the parties;
(g) Require the attendance at such conferences of at least one
representative of each party who has the authority to negotiate
concerning resolution of issues in controversy;
(h) Dispose of procedural requests or similar matters;
(i) Render recommended decisions in proceedings on applications for
licenses

[[Page 184]]

and permits and on revocation or denial of renewal of licenses or
permits;
(j) Call, examine, and cross-examine witnesses, including hostile or
adverse witnesses, when the administrative law judge deems such action
to be necessary to a just disposition of the case, and introduce into
the record documentary or other evidence; and
(k) Take any other action authorized by rule of the Bureau of
Alcohol, Tobacco, Firearms, and Explosives consistent with the
Administrative Procedure Act. See 5 U.S.C. 556(c) and 18 U.S.C. 843.

Sec. 771.98 Separation of functions.

Administrative law judges shall perform no functions inconsistent
with their duties and responsibilities. The Director may assign
administrative law judges duties not inconsistent with the performance
of their functions as administrative law judges. Except to the extent
required for the disposition of ex parte matters as required by law, no
administrative law judge shall consult any person or party as to any
fact in issue unless there has been notice and opportunity for all
parties to participate. The functions of the administrative law judge
shall be entirely separated from the general investigative functions of
the agency. No officer, employee, or agent engaged in the performance of
investigative or prosecuting functions in any proceeding shall, in that
proceeding or a factually related proceeding, participate or advise in
the administrative law judge's or Director's decision, or in the agency
review on appeal, except as a witness or counsel in the proceedings. The
administrative law judge may not informally obtain advice or opinions
from the parties or their counsel, or from any officer or employee of
the ATF, as to the facts or the weight or interpretation to be given to
the evidence. The administrative law judge may, however, informally
obtain advice on matters of law or procedure in a proceeding from
officers or employees who were not engaged in the performance of
investigative or prosecuting functions in that proceeding or a factually
related proceeding. The administrative law judge may, at any time,
consult with and obtain instructions from the Director on questions of
law and policy. Furthermore, it is not a violation of the separation of
functions for the administrative law judge to participate in the
questioning of witnesses, where the questioning is for clarification or
to move the proceedings along, and where the questioning is not so
extensive as to place the administrative law judge in the position of a
prosecuting officer.

Sec. 771.99 Conduct of hearing.

The administrative law judge is charged with the duty of conducting
a fair and impartial hearing and of maintaining order in form and manner
consistent with the dignity of a court proceeding. In the event that
counsel or any person or witness in any proceeding shall refuse to obey
the orders of the administrative law judge, or be guilty of disorderly
or contemptuous language or conduct in connection with any hearing, the
administrative law judge may, for good cause stated in the record,
suspend the hearing, and, in the case of disorderly or contemptuous
language or conduct by an attorney, report the matter to the Department
of Justice, Office of Professional Responsibility. See 28 CFR
0.39a(a)(9). The refusal of a witness to answer any question that has
been ruled to be proper shall be considered by the administrative law
judge in determining the weight to be given all the testimony of that
witness.

Sec. 771.100 Unavailability of administrative law judge.

In the event that the administrative law judge designated to conduct
a hearing becomes unavailable before the filing of his findings and
recommended decision, the Director may assign the case to another
administrative law judge for the continuance of the proceeding, in
accordance with the regulations in this part in the same manner as if he
had been designated administrative law judge at the commencement of the
proceeding.

[[Page 185]]

Subpart H_Decisions

Sec. 771.105 Administrative law judge's findings and recommended
decision.

Within a reasonable time after the conclusion of the hearing, and as
expeditiously as possible, the administrative law judge shall render his
recommended decision. All decisions shall become a part of the record
and, if proposed findings and conclusions have been filed, shall show
the administrative law judge's ruling upon each of such proposed
findings and conclusions. Decisions shall consist of:
(a) A brief statement of the issues of fact involved in the
proceeding;
(b) The administrative law judge's findings and conclusions, as well
as the reasons or basis therefor with record references, upon all the
material issues of fact, law, or discretion presented on the record
(including, when appropriate, comment as to the credibility and demeanor
of the witnesses); and
(c) The administrative law judge's recommended determination as to
the revocation or denial at issue.

Sec. 771.106 Certification and transmittal of record and decision.

After reaching his decision, the administrative law judge shall
certify the complete record of the proceeding before him and shall
immediately forward the complete certified record together with one copy
of the administrative law judge's recommended decision to the Director
of Industry Operations for initial decision, one copy of the recommended
decision to the applicant or the applicant's representative, and one
copy of the recommended decision to the Attorney for the Government.

Action by Director of Industry Operations

Sec. 771.107 Initial application proceedings.

(a) Accepting the recommended decision. If the Director of Industry
Operations, after consideration of the record of the hearing and of any
proposed findings, conclusions, or exceptions filed with him by the
applicant, accepts the recommended decision of the administrative law
judge, the Director of Industry Operations shall by order approve or
disapprove of the application in accordance with the recommended
decision. If the Director of Industry Operations approves the
application, he shall briefly state for the record his reasons therefor.
However, if the Director of Industry Operations disapproves of the
applications, he shall serve a copy of the administrative law judge's
recommended decision on the applicant, informing the applicant of the
Director of Industry Operations' contemplated action and affording the
applicant not more than 10 days in which to submit proposed findings and
conclusions or exceptions to the recommended decision with reasons in
support thereof.
(b) Rejecting the recommended decision. If, after such consideration
referenced in paragraph (a) of this section, the Director of Industry
Operations rejects the recommended decision of the administrative law
judge, in whole or in part, the Director of Industry Operations shall by
order make such findings and conclusions as in his opinion are warranted
by the law and facts in the record. Any decision of the Director of
Industry Operations ordering the disapproval of an application for a
permit shall state the findings and conclusions upon which it is based,
including his ruling upon each proposed finding, conclusion, and
exception to the administrative law judge's recommended decision,
together with a statement of the administrative law judge's findings,
conclusions, and reasons or basis therefor, upon all material issues of
fact, law, or discretion presented on the record. A signed original of
the decision of the Director of Industry Operations shall be served upon
the applicant and the original copy containing a certificate of service
shall be placed in the official record of the proceeding.

Sec. 771.108 Director of Industry Operations' decision.

When the Director of Industry Operations issues an initial decision
in accordance with Sec. 771.77 or Sec. 771.107 the decision shall
become a part of the record. The decision shall consist of:
(a) A brief statement of the issues involved in the proceedings;

[[Page 186]]

(b) The Director of Industry Operations' findings and conclusions,
as well as the reasons therefor; and
(c) The Director of Industry Operations' determination on the
record.

Sec. 771.109 Revocation or denial of renewal proceedings.

(a) Accepting the recommended decision. After consideration of the
complete certified record of the hearing, if the Director of Industry
Operations agrees with the recommended decision of the administrative
law judge, the Director of Industry Operations shall enter an order
revoking or denying the renewal of the license or permit or dismissing
the proceedings in accordance with the administrative law judge's
recommended decision.
(b) Rejecting the recommended decision. After consideration of the
complete certified record of the hearing, if the Director of Industry
Operations disagrees with the recommended decision of the administrative
law judge, he may file a petition with the Director for review of the
recommended decision, as provided in Sec. 771.120. If the Director of
Industry Operations files such a petition, he shall withhold issuance of
the order pending the decision of the Director, upon receipt of which he
shall issue the order in accordance with the Director's decision. A
signed original of the order of the Director of Industry Operations
shall be served upon the licensee or permittee or his representative and
the original copy containing a certificate of service shall be placed in
the official record of the proceeding.
(c) Decisions pursuant to Sec. 771.78(b). In a case where the
initial decision is made by the Director of Industry Operations in
accordance with Sec. 771.78(b), the Director of Industry Operations
shall also issue an order revoking or denying the renewal of the license
or permit, or dismissing the proceedings in accordance with his initial
decision. A signed original of the decision and order of the Director of
Industry Operations shall be served upon the licensee or permittee or
his representative and the original copy placed in the official record
of the proceeding.

Sec. 771.110 Revocation or denial of renewal.

Pursuant to Sec. 771.109(a), when the Director of Industry
Operations issues an order revoking or denying the renewal of a license
or permit, he shall furnish a copy of the order and of the recommended
decision on which it is based to the Director. Should such order be
subsequently set aside on review by the courts, the Director of Industry
Operations will so advise the Director.

Sec. 771.111 Proceedings involving violations not within the
division of issuance of license or permit.

In the event violations occurred at a place not within the field
division where the licensee or permittee is located, the Director of
Industry Operations of the field division where the licensee or
permittee is located will take jurisdiction over any proceeding and will
take appropriate action in accordance with this subpart, including
issuing the relevant notice.

Subpart I_Review

Sec. 771.120 Appeal on petition to the Director.

(a) An appeal to the Director may be made by the applicant,
licensee, or permittee, or by the Director of Industry Operations (DIO).
For the applicant, licensee, or permittee, such appeal shall be made by
filing a petition for review on appeal with the Director within 15 days
of the service of the adverse initial decision by the Director of
Industry Operations. For the Director of Industry Operations, such
appeal shall be taken by filing a petition for review on appeal with the
Director within 15 days of the issuance of the administrative law
judge's decision recommending against revocation or denial of renewal.
The petitioning applicant, licensee, or permittee must submit arguments
showing that the Director of Industry Operations' initial decision, and
if applicable the underlying administrative law judge's recommended
decision, was without reasonable warrant

[[Page 187]]

in fact or contrary to law and regulations. The petitioning DIO must
submit arguments showing the administrative law judge's recommended
decision was without reasonable warrant in fact or contrary to law and
regulations. Nothing in this part shall limit the authority of the
Director to review the administrative law judge's decision exercising
all the powers that he would have in making the recommended decision.
(b) A copy of the petition shall be filed with the Director of
Industry Operations or served on the applicant, licensee, or permittee,
as the case may be. In the event of an appeal, the Director of Industry
Operations shall immediately certify and forward the complete original
record, by certified mail, to the Director, for his consideration and
review.

Sec. 771.121 Review by Director.

(a) Modification or reversal. On appeal, the Director shall afford a
reasonable opportunity for the submission of proposed findings,
conclusions, or exceptions with reasons in support thereof and an
opportunity for oral argument. The Director may alter or modify any
finding of the administrative law judge (or of the Director of Industry
Operations as the case may be) and may affirm, reverse, or modify the
recommended decision of the administrative law judge, or the initial
decision of the Director of Industry Operations, or may remand the case
for further hearing, but shall not consider evidence that is not a part
of the record.
(b) Affirmance. Except in the case of a remand, when, on appeal, the
Director affirms the initial decision of the Director of Industry
Operations or the recommended decision of the administrative law judge,
as the case may be, such decision shall be the agency's final decision.
(c) Recusal. Appeals and petitions for review shall not be decided
by the Director in any proceeding in which the Director has engaged in
an investigation or prosecution and in such event the Director shall so
state his disqualification in writing and refer the record to the Deputy
Director for appropriate action. The Deputy Director may designate an
Assistant Director or one of the Deputy Director's principal aides to
consider any proceeding instead of the Director. The original copy of
the decision on review shall be placed in the official record of the
proceeding, a signed duplicate original shall be served upon the
applicant, licensee, or permittee, and a copy shall be transmitted to
the Director of Industry Operations.

Sec. 771.122 Denial of renewal or revocation.

If the Director orders the denial of an application, a copy of the
application marked ``Disapproved'' will be returned to the applicant by
the Director of Industry Operations. If the Director orders a revocation
of a license of permit, any stay of revocation will be withdrawn and the
revocation will become effective upon the order of the Director of
Industry Operations. After the issuance of a denial of a renewal
application or a revocation, and pending the final determination of a
timely appeal, the licensee or permittee may continue operations, if at
all, pursuant to Sec. 555.83 of this chapter.

Sec. 771.123 Court review.

(a) If an applicant, licensee, or permittee files an appeal in the
United States Court of Appeals for the circuit in which he resides or
has his principle place of business, within 60 days after the receipt of
the Director's decision, the Director, upon notification that an appeal
has been taken, shall prepare the record for submission to the court in
accordance with applicable court rules.
(b) If an applicant, licensee, or permittee does not seek review
with the Director, but instead seeks review within 60 days after the
receipt of the initial decision of the Director of Industry Operations
pursuant to Sec. 771.109, the Director of Industry Operations, upon
notification that an appeal has been taken, shall prepare the record for
submission to the court in accordance with applicable court rules. The
Director of Industry Operations shall notify the Director if such an
appeal is taken.
(c) The Director, or the Director of Industry Operations, as the
case may be, shall certify the correctness of the transcript of the
record, forward one

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copy to the attorney for the Government in the review of the case, and
file the original record of the proceedings with the original
certificate in the appropriate United States Court of Appeals.

Subpart J_Miscellaneous

Sec. 771.124 Depositions.

The administrative law judge may take or order the taking of
depositions by either party to the proceeding at such time and place as
the administrative law judge may designate before a person having the
power to administer oaths, upon application therefor and notice to the
parties to the action. The testimony shall be reduced to writing by the
person taking the deposition, or a person under his direction, and the
deposition shall be subscribed by the deponent unless subscribing
thereof is waived in writing by the parties.

Sec. 771.125 Witnesses and fees.

Witnesses summoned before the administrative law judge may be paid
the same fees and mileage that are paid witnesses in the courts of the
United States, and witnesses whose depositions are taken and the persons
taking the same shall severally be entitled to the same fees as are paid
for like services in the courts of the United States. Witness fees and
mileage shall be paid by the party at whose instance the witnesses
appear and the person taking the deposition shall be paid by the party
at whose instance the deposition is taken.

Sec. 771.126 Discovery.

The discovery provisions of the Federal Rules of Civil Procedure and
the Federal Rules of Criminal Procedure are not controlling with respect
to agency proceedings under this part. However, fundamental fairness
requires a party be given the opportunity to know what evidence is
offered and a chance to rebut such evidence. Either party may petition
the administrative law judge for non-burdensome discovery if the party
can demonstrate that the interests of justice require disclosure of
these materials.

Sec. 771.127 Privileges.

The Administrative Procedure Act, 5 U.S.C. 559, provides that,
except as otherwise required by law, privileges relating to procedure or
evidence apply equally to agencies and persons. Therefore, an agency may
rely on judicially-approved privileges to resist production of its files
where appropriate.

Record

Sec. 771.135 What constitutes record.

The transcript of testimony, pleadings, exhibits, all papers and
requests filed in the proceeding, and all findings, decisions, and
orders, shall constitute the exclusive record. Where the decision rests
on official notice of material fact not appearing in the record, the
administrative law judge shall so state in his findings and any party
shall, on timely request, be afforded an opportunity to show facts to
the contrary.

Sec. 771.136 Availability.

A copy of the record shall be available for inspection or copying by
the parties to the proceedings during business hours at the office of
the administrative law judge or the Director of Industry Operations or,
pending administrative review, at the Office of the Director.

PARTS 772 799 [RESERVED]

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FINDING AIDS

--------------------------------------------------------------------

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

[[Page 191]]

Table of CFR Titles and Chapters

(Revised as of April 1, 2020)

Title 1--General Provisions

I Administrative Committee of the Federal Register
(Parts 1--49)
II Office of the Federal Register (Parts 50--299)
III Administrative Conference of the United States (Parts
300--399)
IV Miscellaneous Agencies (Parts 400--599)
VI National Capital Planning Commission (Parts 600--699)

Title 2--Grants and Agreements

Subtitle A--Office of Management and Budget Guidance
for Grants and Agreements
I Office of Management and Budget Governmentwide
Guidance for Grants and Agreements (Parts 2--199)
II Office of Management and Budget Guidance (Parts 200--
299)
Subtitle B--Federal Agency Regulations for Grants and
Agreements
III Department of Health and Human Services (Parts 300--
399)
IV Department of Agriculture (Parts 400--499)
VI Department of State (Parts 600--699)
VII Agency for International Development (Parts 700--799)
VIII Department of Veterans Affairs (Parts 800--899)
IX Department of Energy (Parts 900--999)
X Department of the Treasury (Parts 1000--1099)
XI Department of Defense (Parts 1100--1199)
XII Department of Transportation (Parts 1200--1299)
XIII Department of Commerce (Parts 1300--1399)
XIV Department of the Interior (Parts 1400--1499)
XV Environmental Protection Agency (Parts 1500--1599)
XVIII National Aeronautics and Space Administration (Parts
1800--1899)
XX United States Nuclear Regulatory Commission (Parts
2000--2099)
XXII Corporation for National and Community Service (Parts
2200--2299)
XXIII Social Security Administration (Parts 2300--2399)
XXIV Department of Housing and Urban Development (Parts
2400--2499)
XXV National Science Foundation (Parts 2500--2599)
XXVI National Archives and Records Administration (Parts
2600--2699)

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XXVII Small Business Administration (Parts 2700--2799)
XXVIII Department of Justice (Parts 2800--2899)
XXIX Department of Labor (Parts 2900--2999)
XXX Department of Homeland Security (Parts 3000--3099)
XXXI Institute of Museum and Library Services (Parts 3100--
3199)
XXXII National Endowment for the Arts (Parts 3200--3299)
XXXIII National Endowment for the Humanities (Parts 3300--
3399)
XXXIV Department of Education (Parts 3400--3499)
XXXV Export-Import Bank of the United States (Parts 3500--
3599)
XXXVI Office of National Drug Control Policy, Executive
Office of the President (Parts 3600--3699)
XXXVII Peace Corps (Parts 3700--3799)
LVIII Election Assistance Commission (Parts 5800--5899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 5900--
5999)

Title 3--The President

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

Title 4--Accounts

I Government Accountability Office (Parts 1--199)

Title 5--Administrative Personnel

I Office of Personnel Management (Parts 1--1199)
II Merit Systems Protection Board (Parts 1200--1299)
III Office of Management and Budget (Parts 1300--1399)
IV Office of Personnel Management and Office of the
Director of National Intelligence (Parts 1400--
1499)
V The International Organizations Employees Loyalty
Board (Parts 1500--1599)
VI Federal Retirement Thrift Investment Board (Parts
1600--1699)
VIII Office of Special Counsel (Parts 1800--1899)
IX Appalachian Regional Commission (Parts 1900--1999)
XI Armed Forces Retirement Home (Parts 2100--2199)
XIV Federal Labor Relations Authority, General Counsel of
the Federal Labor Relations Authority and Federal
Service Impasses Panel (Parts 2400--2499)
XVI Office of Government Ethics (Parts 2600--2699)
XXI Department of the Treasury (Parts 3100--3199)
XXII Federal Deposit Insurance Corporation (Parts 3200--
3299)
XXIII Department of Energy (Parts 3300--3399)
XXIV Federal Energy Regulatory Commission (Parts 3400--
3499)
XXV Department of the Interior (Parts 3500--3599)
XXVI Department of Defense (Parts 3600--3699)

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XXVIII Department of Justice (Parts 3800--3899)
XXIX Federal Communications Commission (Parts 3900--3999)
XXX Farm Credit System Insurance Corporation (Parts 4000--
4099)
XXXI Farm Credit Administration (Parts 4100--4199)
XXXIII U.S. International Development Finance Corporation
(Parts 4300--4399)
XXXIV Securities and Exchange Commission (Parts 4400--4499)
XXXV Office of Personnel Management (Parts 4500--4599)
XXXVI Department of Homeland Security (Parts 4600--4699)
XXXVII Federal Election Commission (Parts 4700--4799)
XL Interstate Commerce Commission (Parts 5000--5099)
XLI Commodity Futures Trading Commission (Parts 5100--
5199)
XLII Department of Labor (Parts 5200--5299)
XLIII National Science Foundation (Parts 5300--5399)
XLV Department of Health and Human Services (Parts 5500--
5599)
XLVI Postal Rate Commission (Parts 5600--5699)
XLVII Federal Trade Commission (Parts 5700--5799)
XLVIII Nuclear Regulatory Commission (Parts 5800--5899)
XLIX Federal Labor Relations Authority (Parts 5900--5999)
L Department of Transportation (Parts 6000--6099)
LII Export-Import Bank of the United States (Parts 6200--
6299)
LIII Department of Education (Parts 6300--6399)
LIV Environmental Protection Agency (Parts 6400--6499)
LV National Endowment for the Arts (Parts 6500--6599)
LVI National Endowment for the Humanities (Parts 6600--
6699)
LVII General Services Administration (Parts 6700--6799)
LVIII Board of Governors of the Federal Reserve System
(Parts 6800--6899)
LIX National Aeronautics and Space Administration (Parts
6900--6999)
LX United States Postal Service (Parts 7000--7099)
LXI National Labor Relations Board (Parts 7100--7199)
LXII Equal Employment Opportunity Commission (Parts 7200--
7299)
LXIII Inter-American Foundation (Parts 7300--7399)
LXIV Merit Systems Protection Board (Parts 7400--7499)
LXV Department of Housing and Urban Development (Parts
7500--7599)
LXVI National Archives and Records Administration (Parts
7600--7699)
LXVII Institute of Museum and Library Services (Parts 7700--
7799)
LXVIII Commission on Civil Rights (Parts 7800--7899)
LXIX Tennessee Valley Authority (Parts 7900--7999)
LXX Court Services and Offender Supervision Agency for the
District of Columbia (Parts 8000--8099)
LXXI Consumer Product Safety Commission (Parts 8100--8199)
LXXIII Department of Agriculture (Parts 8300--8399)

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LXXIV Federal Mine Safety and Health Review Commission
(Parts 8400--8499)
LXXVI Federal Retirement Thrift Investment Board (Parts
8600--8699)
LXXVII Office of Management and Budget (Parts 8700--8799)
LXXX Federal Housing Finance Agency (Parts 9000--9099)
LXXXIII Special Inspector General for Afghanistan
Reconstruction (Parts 9300--9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400--
9499)
LXXXVI National Credit Union Administration (Parts 9600--
9699)
XCVII Department of Homeland Security Human Resources
Management System (Department of Homeland
Security--Office of Personnel Management) (Parts
9700--9799)
XCVIII Council of the Inspectors General on Integrity and
Efficiency (Parts 9800--9899)
XCIX Military Compensation and Retirement Modernization
Commission (Parts 9900--9999)
C National Council on Disability (Parts 10000--10049)
CI National Mediation Board (Part 10101)

Title 6--Domestic Security

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

Title 7--Agriculture

Subtitle A--Office of the Secretary of Agriculture
(Parts 0--26)
Subtitle B--Regulations of the Department of
Agriculture
I Agricultural Marketing Service (Standards,
Inspections, Marketing 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 Agriculture (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
Agriculture (Parts 600--699)
VII Farm Service Agency, Department of Agriculture (Parts
700--799)
VIII Agricultural Marketing Service (Federal Grain
Inspection Service, Fair Trade Practices Program),
Department of Agriculture (Parts 800--899)

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IX Agricultural Marketing Service (Marketing Agreements
and Orders; Fruits, Vegetables, Nuts), Department
of Agriculture (Parts 900--999)
X Agricultural Marketing Service (Marketing Agreements
and Orders; Milk), Department of Agriculture
(Parts 1000--1199)
XI Agricultural Marketing Service (Marketing Agreements
and Orders; Miscellaneous Commodities), Department
of Agriculture (Parts 1200--1299)
XIV Commodity Credit Corporation, Department of
Agriculture (Parts 1400--1499)
XV Foreign Agricultural Service, Department of
Agriculture (Parts 1500--1599)
XVI [Reserved]
XVII Rural Utilities Service, Department of Agriculture
(Parts 1700--1799)
XVIII Rural Housing Service, Rural Business-Cooperative
Service, Rural Utilities Service, and Farm Service
Agency, Department of Agriculture (Parts 1800--
2099)
XX [Reserved]
XXV Office of Advocacy and Outreach, Department of
Agriculture (Parts 2500--2599)
XXVI Office of Inspector General, Department of Agriculture
(Parts 2600--2699)
XXVII Office of Information Resources Management, Department
of Agriculture (Parts 2700--2799)
XXVIII Office of Operations, Department of Agriculture (Parts
2800--2899)
XXIX Office of Energy Policy and New Uses, Department of
Agriculture (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 Agriculture (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)

[[Page 196]]

Title 8--Aliens and Nationality

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

Title 9--Animals and Animal Products

I Animal and Plant Health Inspection Service, Department
of Agriculture (Parts 1--199)
II Agricultural Marketing Service (Federal Grain
Inspection Service, Fair Trade Practices Program),
Department of Agriculture (Parts 200--299)
III Food Safety and Inspection Service, Department of
Agriculture (Parts 300--599)

Title 10--Energy

I Nuclear Regulatory Commission (Parts 0--199)
II Department of Energy (Parts 200--699)
III Department of Energy (Parts 700--999)
X Department of Energy (General Provisions) (Parts
1000--1099)
XIII Nuclear Waste Technical Review Board (Parts 1300--
1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700--
1799)
XVIII Northeast Interstate Low-Level Radioactive Waste
Commission (Parts 1800--1899)

Title 11--Federal Elections

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

Title 12--Banks and Banking

I Comptroller of the Currency, Department of the
Treasury (Parts 1--199)
II Federal Reserve System (Parts 200--299)
III Federal Deposit Insurance Corporation (Parts 300--399)
IV Export-Import Bank of the United States (Parts 400--
499)
V (Parts 500--599) [Reserved]
VI Farm Credit Administration (Parts 600--699)
VII National Credit Union Administration (Parts 700--799)
VIII Federal Financing Bank (Parts 800--899)
IX Federal Housing Finance Board (Parts 900--999)
X Bureau of Consumer Financial Protection (Parts 1000--
1099)
XI Federal Financial Institutions Examination Council
(Parts 1100--1199)
XII Federal Housing Finance Agency (Parts 1200--1299)
XIII Financial Stability Oversight Council (Parts 1300--
1399)

[[Page 197]]

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,
Department of the Treasury (Parts 1800--1899)

Title 13--Business Credit and Assistance

I Small Business Administration (Parts 1--199)
III Economic Development Administration, Department of
Commerce (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
Administration, Department of Transportation
(Parts 400--1199)
V National Aeronautics and Space Administration (Parts
1200--1299)
VI Air Transportation System Stabilization (Parts 1300--
1399)

Title 15--Commerce and Foreign Trade

Subtitle A--Office of the Secretary of Commerce (Parts
0--29)
Subtitle B--Regulations Relating to Commerce and
Foreign Trade
I Bureau of the Census, Department of Commerce (Parts
30--199)
II National Institute of Standards and Technology,
Department of Commerce (Parts 200--299)
III International Trade Administration, Department of
Commerce (Parts 300--399)
IV Foreign-Trade Zones Board, Department of Commerce
(Parts 400--499)
VII Bureau of Industry and Security, Department of
Commerce (Parts 700--799)
VIII Bureau of Economic Analysis, Department of Commerce
(Parts 800--899)
IX National Oceanic and Atmospheric Administration,
Department of Commerce (Parts 900--999)
XI National Technical Information Service, Department of
Commerce (Parts 1100--1199)

[[Page 198]]

XIII East-West Foreign Trade Board (Parts 1300--1399)
XIV Minority Business Development Agency (Parts 1400--
1499)
Subtitle C--Regulations Relating to Foreign Trade
Agreements
XX Office of the United States Trade Representative
(Parts 2000--2099)
Subtitle D--Regulations Relating to Telecommunications
and Information
XXIII National Telecommunications and Information
Administration, Department of Commerce (Parts
2300--2399) [Reserved]

Title 16--Commercial Practices

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

Title 17--Commodity and Securities Exchanges

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

Title 18--Conservation of Power and Water Resources

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

Title 19--Customs Duties

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

Title 20--Employees' Benefits

I Office of Workers' Compensation Programs, Department
of Labor (Parts 1--199)
II Railroad Retirement Board (Parts 200--399)
III Social Security Administration (Parts 400--499)

[[Page 199]]

IV Employees' Compensation Appeals Board, Department of
Labor (Parts 500--599)
V Employment and Training Administration, Department of
Labor (Parts 600--699)
VI Office of Workers' Compensation Programs, Department
of Labor (Parts 700--799)
VII Benefits Review Board, Department of Labor (Parts
800--899)
VIII Joint Board for the Enrollment of Actuaries (Parts
900--999)
IX Office of the Assistant Secretary for Veterans'
Employment and Training Service, Department of
Labor (Parts 1000--1099)

Title 21--Food and Drugs

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

Title 22--Foreign Relations

I Department of State (Parts 1--199)
II Agency for International Development (Parts 200--299)
III Peace Corps (Parts 300--399)
IV International Joint Commission, United States and
Canada (Parts 400--499)
V Broadcasting Board of Governors (Parts 500--599)
VII Overseas Private Investment Corporation (Parts 700--
799)
IX Foreign Service Grievance Board (Parts 900--999)
X Inter-American Foundation (Parts 1000--1099)
XI International Boundary and Water Commission, United
States and Mexico, United States Section (Parts
1100--1199)
XII United States International Development Cooperation
Agency (Parts 1200--1299)
XIII Millennium Challenge Corporation (Parts 1300--1399)
XIV Foreign Service Labor Relations Board; Federal Labor
Relations Authority; General Counsel of the
Federal Labor Relations Authority; and the Foreign
Service Impasse Disputes Panel (Parts 1400--1499)
XV African Development Foundation (Parts 1500--1599)
XVI Japan-United States Friendship Commission (Parts
1600--1699)
XVII United States Institute of Peace (Parts 1700--1799)

Title 23--Highways

I Federal Highway Administration, Department of
Transportation (Parts 1--999)

[[Page 200]]

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
Development
I Office of Assistant Secretary for Equal Opportunity,
Department of Housing and Urban Development (Parts
100--199)
II Office of Assistant Secretary for Housing-Federal
Housing Commissioner, 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 Development (Parts 400--499)
V Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 500--599)
VI Office of Assistant Secretary for Community Planning
and Development, Department of Housing and Urban
Development (Parts 600--699) [Reserved]
VII Office of the Secretary, Department of Housing and
Urban Development (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 Development (Section 8 Housing Assistance
Programs, Section 202 Direct Loan Program, Section
202 Supportive Housing for the Elderly Program and
Section 811 Supportive Housing for Persons With
Disabilities Program) (Parts 800--899)
IX Office of Assistant Secretary for Public and Indian
Housing, Department of Housing and Urban
Development (Parts 900--1699)
XII Office of Inspector General, Department of Housing and
Urban Development (Parts 2000--2099)
XV Emergency Mortgage Insurance and Loan Programs,
Department of Housing and Urban Development (Parts
2700--2799) [Reserved]
XX Office of Assistant Secretary for Housing--Federal
Housing Commissioner, Department of Housing and
Urban Development (Parts 3200--3899)
XXIV Board of Directors of the HOPE for Homeowners Program
(Parts 4000--4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100--
4199)

[[Page 201]]

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
Interior (Parts 500--599)
IV Office of Navajo and Hopi Indian Relocation (Parts
700--899)
V Bureau of Indian Affairs, Department of the Interior,
and Indian Health Service, Department of Health
and Human Services (Part 900--999)
VI Office of the Assistant Secretary, Indian Affairs,
Department of the Interior (Parts 1000--1199)
VII Office of the Special Trustee for American Indians,
Department of the Interior (Parts 1200--1299)

Title 26--Internal Revenue

I Internal Revenue Service, Department of the Treasury
(Parts 1--End)

Title 27--Alcohol, Tobacco Products and Firearms

I Alcohol and Tobacco Tax and Trade Bureau, Department
of the Treasury (Parts 1--399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice (Parts 400--799)

Title 28--Judicial Administration

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

Title 29--Labor

Subtitle A--Office of the Secretary of Labor (Parts
0--99)
Subtitle B--Regulations Relating to Labor
I National Labor Relations Board (Parts 100--199)

[[Page 202]]

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

Title 30--Mineral Resources

I Mine Safety and Health Administration, Department of
Labor (Parts 1--199)
II Bureau of Safety and Environmental Enforcement,
Department of the Interior (Parts 200--299)
IV Geological Survey, Department of the Interior (Parts
400--499)
V Bureau of Ocean Energy Management, Department of the
Interior (Parts 500--599)
VII Office of Surface Mining Reclamation and Enforcement,
Department 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)

[[Page 203]]

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

Title 32--National Defense

Subtitle A--Department of Defense
I Office of the Secretary of Defense (Parts 1--399)
V Department of the Army (Parts 400--699)
VI Department of the Navy (Parts 700--799)
VII Department of the Air Force (Parts 800--1099)
Subtitle B--Other Regulations Relating to National
Defense
XII Department of Defense, Defense Logistics Agency (Parts
1200--1299)
XVI Selective Service System (Parts 1600--1699)
XVII Office of the Director of National Intelligence (Parts
1700--1799)
XVIII National Counterintelligence Center (Parts 1800--1899)
XIX Central Intelligence Agency (Parts 1900--1999)
XX Information Security Oversight Office, National
Archives and Records Administration (Parts 2000--
2099)
XXI National Security Council (Parts 2100--2199)
XXIV Office of Science and Technology Policy (Parts 2400--
2499)
XXVII Office for Micronesian Status Negotiations (Parts
2700--2799)
XXVIII Office of the Vice President of the United States
(Parts 2800--2899)

Title 33--Navigation and Navigable Waters

I Coast Guard, Department of Homeland Security (Parts
1--199)
II Corps of Engineers, Department of the Army, Department
of Defense (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
Education (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)

[[Page 204]]

III Office of Special Education and Rehabilitative
Services, Department of Education (Parts 300--399)
IV Office of Career, Technical and Adult Education,
Department of Education (Parts 400--499)
V Office of Bilingual Education and Minority Languages
Affairs, Department of Education (Parts 500--599)
[Reserved]
VI Office of Postsecondary Education, Department of
Education (Parts 600--699)
VII Office of Educational Research and Improvement,
Department of Education (Parts 700--799)
[Reserved]
Subtitle C--Regulations Relating to Education
XI (Parts 1100--1199) [Reserved]
XII National Council on Disability (Parts 1200--1299)

Title 35 [Reserved]

Title 36--Parks, Forests, and Public Property

I National Park Service, Department of the Interior
(Parts 1--199)
II Forest Service, Department of Agriculture (Parts 200--
299)
III Corps of Engineers, Department of the Army (Parts
300--399)
IV American Battle Monuments Commission (Parts 400--499)
V Smithsonian Institution (Parts 500--599)
VI [Reserved]
VII Library of Congress (Parts 700--799)
VIII Advisory Council on Historic Preservation (Parts 800--
899)
IX Pennsylvania Avenue Development Corporation (Parts
900--999)
X Presidio Trust (Parts 1000--1099)
XI Architectural and Transportation Barriers Compliance
Board (Parts 1100--1199)
XII National Archives and Records Administration (Parts
1200--1299)
XV Oklahoma City National Memorial Trust (Parts 1500--
1599)
XVI Morris K. Udall Scholarship and Excellence in National
Environmental Policy Foundation (Parts 1600--1699)

Title 37--Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department
of Commerce (Parts 1--199)
II U.S. Copyright Office, Library of Congress (Parts
200--299)
III Copyright Royalty Board, Library of Congress (Parts
300--399)
IV National Institute of Standards and Technology,
Department of Commerce (Parts 400--599)

[[Page 205]]

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)
VII Environmental Protection Agency and Department of
Defense; Uniform National Discharge Standards for
Vessels of the Armed Forces (Parts 1700--1799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 1800--
1899)

Title 41--Public Contracts and Property Management

Subtitle A--Federal Procurement Regulations System
[Note]
Subtitle B--Other Provisions Relating to Public
Contracts
50 Public Contracts, Department of Labor (Parts 50-1--50-
999)
51 Committee for Purchase From People Who Are Blind or
Severely Disabled (Parts 51-1--51-99)
60 Office of Federal Contract Compliance Programs, Equal
Employment 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
Management [Reserved]

[[Page 206]]

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 Employees (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
Services (Parts 1--199)
IV Centers for Medicare & Medicaid Services, Department
of Health and Human Services (Parts 400--699)
V Office of Inspector General-Health Care, Department of
Health and Human Services (Parts 1000--1099)

Title 43--Public Lands: Interior

Subtitle A--Office of the Secretary of the Interior
(Parts 1--199)
Subtitle B--Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior
(Parts 400--999)
II Bureau of Land Management, Department of the Interior
(Parts 1000--9999)
III Utah Reclamation Mitigation and Conservation
Commission (Parts 10000--10099)

Title 44--Emergency Management and Assistance

I Federal Emergency Management Agency, Department of
Homeland 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),
Administration for Children and Families,
Department of Health and Human Services (Parts
200--299)

[[Page 207]]

III Office of Child Support Enforcement (Child Support
Enforcement Program), Administration for Children
and Families, Department of Health and Human
Services (Parts 300--399)
IV Office of Refugee Resettlement, Administration for
Children and Families, Department of Health and
Human Services (Parts 400--499)
V Foreign Claims Settlement Commission of the United
States, Department of Justice (Parts 500--599)
VI National Science Foundation (Parts 600--699)
VII Commission on Civil Rights (Parts 700--799)
VIII Office of Personnel Management (Parts 800--899)
IX Denali Commission (Parts 900--999)
X Office of Community Services, Administration for
Children and Families, Department of Health and
Human Services (Parts 1000--1099)
XI National Foundation on the Arts and the Humanities
(Parts 1100--1199)
XII Corporation for National and Community Service (Parts
1200--1299)
XIII Administration for Children and Families, Department
of Health and Human Services (Parts 1300--1399)
XVI Legal Services Corporation (Parts 1600--1699)
XVII National Commission on Libraries and Information
Science (Parts 1700--1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800--
1899)
XXI Commission of Fine Arts (Parts 2100--2199)
XXIII Arctic Research Commission (Parts 2300--2399)
XXIV James Madison Memorial Fellowship Foundation (Parts
2400--2499)
XXV Corporation for National and Community Service (Parts
2500--2599)

Title 46--Shipping

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

Title 47--Telecommunication

I Federal Communications Commission (Parts 0--199)
II Office of Science and Technology Policy and National
Security Council (Parts 200--299)
III National Telecommunications and Information
Administration, Department of Commerce (Parts
300--399)

[[Page 208]]

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

Title 48--Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1--99)
2 Defense Acquisition Regulations System, Department of
Defense (Parts 200--299)
3 Department of Health and Human Services (Parts 300--
399)
4 Department of Agriculture (Parts 400--499)
5 General Services Administration (Parts 500--599)
6 Department of State (Parts 600--699)
7 Agency for International Development (Parts 700--799)
8 Department of Veterans Affairs (Parts 800--899)
9 Department of Energy (Parts 900--999)
10 Department of the Treasury (Parts 1000--1099)
12 Department of Transportation (Parts 1200--1299)
13 Department of Commerce (Parts 1300--1399)
14 Department of the Interior (Parts 1400--1499)
15 Environmental Protection Agency (Parts 1500--1599)
16 Office of Personnel Management, Federal Employees
Health Benefits Acquisition Regulation (Parts
1600--1699)
17 Office of Personnel Management (Parts 1700--1799)
18 National Aeronautics and Space Administration (Parts
1800--1899)
19 Broadcasting Board of Governors (Parts 1900--1999)
20 Nuclear Regulatory Commission (Parts 2000--2099)
21 Office of Personnel Management, Federal Employees
Group Life Insurance Federal Acquisition
Regulation (Parts 2100--2199)
23 Social Security Administration (Parts 2300--2399)
24 Department of Housing and Urban Development (Parts
2400--2499)
25 National Science Foundation (Parts 2500--2599)
28 Department of Justice (Parts 2800--2899)
29 Department of Labor (Parts 2900--2999)
30 Department of Homeland Security, Homeland Security
Acquisition Regulation (HSAR) (Parts 3000--3099)
34 Department of Education Acquisition Regulation (Parts
3400--3499)
51 Department of the Army Acquisition Regulations (Parts
5100--5199) [Reserved]
52 Department of the Navy Acquisition Regulations (Parts
5200--5299)
53 Department of the Air Force Federal Acquisition
Regulation Supplement (Parts 5300--5399)
[Reserved]

[[Page 209]]

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
Administration (Parts 6100--6199)
99 Cost Accounting Standards Board, Office of Federal
Procurement 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, Department of Transportation
(Parts 100--199)
II Federal Railroad Administration, Department of
Transportation (Parts 200--299)
III Federal Motor Carrier Safety Administration,
Department of Transportation (Parts 300--399)
IV Coast Guard, Department of Homeland Security (Parts
400--499)
V National Highway Traffic Safety Administration,
Department of Transportation (Parts 500--599)
VI Federal Transit Administration, Department of
Transportation (Parts 600--699)
VII National Railroad Passenger Corporation (AMTRAK)
(Parts 700--799)
VIII National Transportation Safety Board (Parts 800--999)
X Surface Transportation Board (Parts 1000--1399)
XI Research and Innovative Technology Administration,
Department of Transportation (Parts 1400--1499)
[Reserved]
XII Transportation Security Administration, Department of
Homeland Security (Parts 1500--1699)

Title 50--Wildlife and Fisheries

I United States Fish and Wildlife Service, Department of
the Interior (Parts 1--199)
II National Marine Fisheries Service, National Oceanic
and Atmospheric 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, Department of the Interior and National
Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of
Commerce); Endangered Species Committee
Regulations (Parts 400--499)
V Marine Mammal Commission (Parts 500--599)

[[Page 210]]

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

[[Page 211]]

Alphabetical List of Agencies Appearing in the CFR

(Revised as of April 1, 2020)

CFR Title, Subtitle or
Agency Chapter

Administrative Conference of the United States 1, III
Advisory Council on Historic Preservation 36, VIII
Advocacy and Outreach, Office of 7, XXV
Afghanistan Reconstruction, Special Inspector 5, LXXXIII
General for
African Development Foundation 22, XV
Federal Acquisition Regulation 48, 57
Agency for International Development 2, VII; 22, II
Federal Acquisition Regulation 48, 7
Agricultural Marketing Service 7, I, VIII, IX, X, XI; 9,
II
Agricultural Research Service 7, V
Agriculture, Department of 2, IV; 5, LXXIII
Advocacy and Outreach, Office of 7, XXV
Agricultural Marketing Service 7, I, VIII, IX, X, XI; 9,
II
Agricultural Research Service 7, V
Animal and Plant Health Inspection Service 7, III; 9, I
Chief Financial Officer, Office of 7, XXX
Commodity Credit Corporation 7, XIV
Economic Research Service 7, XXXVII
Energy Policy and New Uses, Office of 2, IX; 7, XXIX
Environmental Quality, Office of 7, XXXI
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Forest Service 36, II
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Institute of Food and Agriculture 7, XXXIV
Natural Resources Conservation Service 7, VI
Operations, Office of 7, XXVIII
Procurement and Property Management, Office of 7, XXXII
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Utilities Service 7, XVII, XVIII, XLII
Secretary of Agriculture, Office of 7, Subtitle A
Transportation, Office of 7, XXXIII
World Agricultural Outlook Board 7, XXXVIII
Air Force, Department of 32, VII
Federal Acquisition Regulation Supplement 48, 53
Air Transportation Stabilization Board 14, VI
Alcohol and Tobacco Tax and Trade Bureau 27, I
Alcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau of
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
American Indians, Office of the Special Trustee 25, VII
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers 36, XI
Compliance Board
[[Page 212]]

Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI; 38, II
Army, Department of 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Blind or Severely Disabled, Committee for 41, 51
Purchase from People Who Are
Broadcasting Board of Governors 22, V
Federal Acquisition Regulation 48, 19
Career, Technical, and Adult Education, Office 34, IV
of
Census Bureau 15, I
Centers for Medicare & Medicaid Services 42, IV
Central Intelligence Agency 32, XIX
Chemical Safety and Hazard Investigation Board 40, VI
Chief Financial Officer, Office of 7, XXX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Council of the Inspectors General on Integrity 5, XCVIII
and Efficiency
Court Services and Offender Supervision Agency 5, LXX
for the District of Columbia
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Commerce, Department of 2, XIII; 44, IV; 50, VI
Census Bureau 15, I
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 13
Foreign-Trade Zones Board 15, IV
Industry and Security, Bureau of 15, VII
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II; 37, IV
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric 15, IX; 50, II, III, IV,
Administration VI
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Secretary of Commerce, Office of 15, Subtitle A
Commercial Space Transportation 14, III
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 5, XLI; 17, I
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining 29, IX
Commission
Consumer Financial Protection Bureau 5, LXXXIV; 12, X
Consumer Product Safety Commission 5, LXXI; 16, II
Copyright Royalty Board 37, III
Corporation for National and Community Service 2, XXII; 45, XII, XXV
Cost Accounting Standards Board 48, 99
Council on Environmental Quality 40, V
Court Services and Offender Supervision Agency 5, LXX; 28, VIII
for the District of Columbia
Customs and Border Protection 19, I
Defense Contract Audit Agency 32, I
Defense, Department of 2, XI; 5, XXVI; 32,
Subtitle A; 40, VII
Advanced Research Projects Agency 32, I
Air Force Department 32, VII
Army Department 32, V; 33, II; 36, III;
48, 51

[[Page 213]]

Defense Acquisition Regulations System 48, 2
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, I, XII; 48, 54
Engineers, Corps of 33, II; 36, III
National Imagery and Mapping Agency 32, I
Navy, Department of 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Denali Commission 45, IX
Disability, National Council on 5, C; 34, XII
District of Columbia, Court Services and 5, LXX; 28, VIII
Offender Supervision Agency for the
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Economic Research Service 7, XXXVII
Education, Department of 2, XXXIV; 5, LIII
Bilingual Education and Minority Languages 34, V
Affairs, Office of
Career, Technical, and Adult Education, Office 34, IV
of
Civil Rights, Office for 34, I
Educational Research and Improvement, Office 34, VII
of
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, 34, III
Office of
Educational Research and Improvement, Office of 34, VII
Election Assistance Commission 2, LVIII; 11, II
Elementary and Secondary Education, Office of 34, II
Emergency Oil and Gas Guaranteed Loan Board 13, V
Emergency Steel Guarantee Loan Board 13, IV
Employee Benefits Security Administration 29, XXV
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board 5, V
Employment and Training Administration 20, V
Employment Policy, National Commission for 1, IV
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 2, IX; 5, XXIII; 10, II,
III, X
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Federal Acquisition Regulation 48, 15
Property Management Regulations 41, 115
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary 24, I
for
Executive Office of the President 3, I
Environmental Quality, Council on 40, V
Management and Budget, Office of 2, Subtitle A; 5, III,
LXXVII; 14, VI; 48, 99
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Security Council 32, XXI; 47, II
Presidential Documents 3
Science and Technology Policy, Office of 32, XXIV; 47, II

[[Page 214]]

Trade Representative, Office of the United 15, XX
States
Export-Import Bank of the United States 2, XXXV; 5, LII; 12, IV
Family Assistance, Office of 45, II
Farm Credit Administration 5, XXXI; 12, VI
Farm Credit System Insurance Corporation 5, XXX; 12, XIV
Farm Service Agency 7, VII, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Commercial Space Transportation 14, III
Federal Claims Collection Standards 31, IX
Federal Communications Commission 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 5, XXII; 12, III
Federal Election Commission 5, XXXVII; 11, I
Federal Emergency Management Agency 44, I
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination 12, XI
Council
Federal Financing Bank 12, VIII
Federal Highway Administration 23, I, II
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Enterprise Oversight Office 12, XVII
Federal Housing Finance Agency 5, LXXX; 12, XII
Federal Housing Finance Board 12, IX
Federal Labor Relations Authority 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Management Regulation 41, 102
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration 49, III
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Board of Governors 5, LVIII
Federal Retirement Thrift Investment Board 5, VI, LXXVI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 5, XLVII; 16, I
Federal Transit Administration 49, VI
Federal Travel Regulation System 41, Subtitle F
Financial Crimes Enforcement Network 31, X
Financial Research Office 12, XVI
Financial Stability Oversight Council 12, XIII
Fine Arts, Commission of 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of the 45, V
United States
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Services Administration 5, LVII; 41, 105
Contract Appeals, Board of 48, 61
Federal Acquisition Regulation 48, 5

[[Page 215]]

Federal Management Regulation 41, 102
Federal Property Management Regulations 41, 101
Federal Travel Regulation System 41, Subtitle F
General 41, 300
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death 41, 303
of Certain Employees
Relocation Allowances 41, 302
Temporary Duty (TDY) Travel Allowances 41, 301
Geological Survey 30, IV
Government Accountability Office 4, I
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grain Inspection, Packers and Stockyards 7, VIII; 9, II
Administration
Gulf Coast Ecosystem Restoration Council 2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A
Centers for Medicare & Medicaid Services 42, IV
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 5, XXXVI; 6, I; 8,
I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Customs and Border Protection 19, I
Federal Emergency Management Agency 44, I
Human Resources Management and Labor Relations 5, XCVII
Systems
Immigration and Customs Enforcement Bureau 19, IV
Transportation Security Administration 49, XII
HOPE for Homeowners Program, Board of Directors 24, XXIV
of
Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of 24, V, VI
Assistant Secretary for
Equal Opportunity, Office of Assistant 24, I
Secretary for
Federal Acquisition Regulation 48, 24
Federal Housing Enterprise Oversight, Office 12, XVII
of
Government National Mortgage Association 24, III
Housing--Federal Housing Commissioner, Office 24, II, VIII, X, XX
of Assistant Secretary for
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Secretary, Office of 24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Housing, Office of, and Multifamily Housing 24, IV
Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau 19, IV
Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
Independent Counsel, Offices of 28, VI
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Indian Health Service 25, V

[[Page 216]]

Industry and Security, Bureau of 15, VII
Information Resources Management, Office of 7, XXVII
Information Security Oversight Office, National 32, XX
Archives and Records Administration
Inspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII, XV
Institute of Peace, United States 22, XVII
Inter-American Foundation 5, LXIII; 22, X
Interior, Department of 2, XIV
American Indians, Office of the Special 25, VII
Trustee
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant 25, VI
Secretary
Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
National Indian Gaming Commission 25, III
National Park Service 36, I
Natural Resource Revenue, Office of 30, XII
Ocean Energy Management, Bureau of 30, V
Reclamation, Bureau of 43, I
Safety and Enforcement Bureau, Bureau of 30, II
Secretary of the Interior, Office of 2, XIV; 43, Subtitle A
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Internal Revenue Service 26, I
International Boundary and Water Commission, 22, XI
United States and Mexico, United States
Section
International Development, United States Agency 22, II
for
Federal Acquisition Regulation 48, 7
International Development Cooperation Agency, 22, XII
United States
International Development Finance Corporation, 5, XXXIII; 22, VII
U.S.
International Joint Commission, United States 22, IV
and Canada
International Organizations Employees Loyalty 5, V
Board
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 5, XL
Investment Security, Office of 31, VIII
James Madison Memorial Fellowship Foundation 45, XXIV
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice, Department of 2, XXVIII; 5, XXVIII; 28,
I, XI; 40, IV
Alcohol, Tobacco, Firearms, and Explosives, 27, II
Bureau of
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 31, IX
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the 45, V
United States
Immigration Review, Executive Office for 8, V
Independent Counsel, Offices of 28, VI
Prisons, Bureau of 28, V
Property Management Regulations 41, 128
Labor, Department of 2, XXIX; 5, XLII
Employee Benefits Security Administration 29, XXV
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office 41, 60
of
Federal Procurement Regulations System 41, 50

[[Page 217]]

Labor-Management Standards, Office of 29, II, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary for
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I, VII
Labor-Management Standards, Office of 29, II, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Libraries and Information Science, National 45, XVII
Commission on
Library of Congress 36, VII
Copyright Royalty Board 37, III
U.S. Copyright Office 37, II
Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II, LXIV
Micronesian Status Negotiations, Office for 32, XXVII
Military Compensation and Retirement 5, XCIX
Modernization Commission
Millennium Challenge Corporation 22, XIII
Mine Safety and Health Administration 30, I
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Morris K. Udall Scholarship and Excellence in 36, XVI
National Environmental Policy Foundation
Museum and Library Services, Institute of 2, XXXI
National Aeronautics and Space Administration 2, XVIII; 5, LIX; 14, V
Federal Acquisition Regulation 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National and Community Service, Corporation for 2, XXII; 45, XII, XXV
National Archives and Records Administration 2, XXVI; 5, LXVI; 36, XII
Information Security Oversight Office 32, XX
National Capital Planning Commission 1, IV, VI
National Counterintelligence Center 32, XVIII
National Credit Union Administration 5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact 28, IX
Council
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Endowment for the Arts 2, XXXII
National Endowment for the Humanities 2, XXXIII
National Foundation on the Arts and the 45, XI
Humanities
National Geospatial-Intelligence Agency 32, I
National Highway Traffic Safety Administration 23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency 32, I
National Indian Gaming Commission 25, III
National Institute of Food and Agriculture 7, XXXIV
National Institute of Standards and Technology 15, II; 37, IV
National Intelligence, Office of Director of 5, IV; 32, XVII
National Labor Relations Board 5, LXI; 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 5, CI; 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV,
VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI
Federal Acquisition Regulation 48, 25
National Security Council 32, XXI
National Security Council and Office of Science 47, II
and Technology Policy
[[Page 218]]

National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV, V
Administration
National Transportation Safety Board 49, VIII
Natural Resources Conservation Service 7, VI
Natural Resource Revenue, Office of 30, XII
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy, Department of 32, VI
Federal Acquisition Regulation 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Northeast Interstate Low-Level Radioactive Waste 10, XVIII
Commission
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
Federal Acquisition Regulation 48, 20
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Ocean Energy Management, Bureau of 30, V
Oklahoma City National Memorial Trust 36, XV
Operations Office 7, XXVIII
Patent and Trademark Office, United States 37, I
Payment From a Non-Federal Source for Travel 41, 304
Expenses
Payment of Expenses Connected With the Death of 41, 303
Certain Employees
Peace Corps 2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension Benefit Guaranty Corporation 29, XL
Personnel Management, Office of 5, I, IV, XXXV; 45, VIII
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
Federal Acquisition Regulation 48, 17
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition 48, 16
Regulation
Pipeline and Hazardous Materials Safety 49, I
Administration
Postal Regulatory Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House 1, IV
Fellowships
Presidential Documents 3
Presidio Trust 36, X
Prisons, Bureau of 28, V
Privacy and Civil Liberties Oversight Board 6, X
Procurement and Property Management, Office of 7, XXXII
Public Contracts, Department of Labor 41, 50
Public and Indian Housing, Office of Assistant 24, IX
Secretary for
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation, Bureau of 43, I
Refugee Resettlement, Office of 45, IV
Relocation Allowances 41, 302
Research and Innovative Technology 49, XI
Administration
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Utilities Service 7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of 30, II
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and 47, II
National Security Council
Secret Service 31, IV
Securities and Exchange Commission 5, XXXIV; 17, II
Selective Service System 32, XVI
Small Business Administration 2, XXVII; 13, I
Smithsonian Institution 36, V
Social Security Administration 2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States 5, XI

[[Page 219]]

Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, 34, III
Office of
State, Department of 2, VI; 22, I; 28, XI
Federal Acquisition Regulation 48, 6
Surface Mining Reclamation and Enforcement, 30, VII
Office of
Surface Transportation Board 49, X
Susquehanna River Basin Commission 18, VIII
Tennessee Valley Authority 5, LXIX; 18, XIII
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
Commercial Space Transportation 14, III
Emergency Management and Assistance 44, IV
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II
Federal Motor Carrier Safety Administration 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V
Pipeline and Hazardous Materials Safety 49, I
Administration
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Transportation Statistics Bureau 49, XI
Transportation, Office of 7, XXXIII
Transportation Security Administration 49, XII
Transportation Statistics Bureau 49, XI
Travel Allowances, Temporary Duty (TDY) 41, 301
Treasury, Department of the 2, X; 5, XXI; 12, XV; 17,
IV; 31, IX
Alcohol and Tobacco Tax and Trade Bureau 27, I
Community Development Financial Institutions 12, XVIII
Fund
Comptroller of the Currency 12, I
Customs and Border Protection 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Claims Collection Standards 31, IX
Federal Law Enforcement Training Center 31, VII
Financial Crimes Enforcement Network 31, X
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Investment Security, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Truman, Harry S. Scholarship Foundation 45, XVIII
United States and Canada, International Joint 22, IV
Commission
United States and Mexico, International Boundary 22, XI
and Water Commission, United States Section
U.S. Copyright Office 37, II
Utah Reclamation Mitigation and Conservation 43, III
Commission
Veterans Affairs, Department of 2, VIII; 38, I
Federal Acquisition Regulation 48, 8
Veterans' Employment and Training Service, 41, 61; 20, IX
Office of the Assistant Secretary for
Vice President of the United States, Office of 32, XXVIII
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I, VII
World Agricultural Outlook Board 7, XXXVIII

[[Page 221]]

List of CFR Sections Affected

All changes in this volume of the Code of Federal Regulations (CFR) that
were made by documents published in the Federal Register since January
1, 2015 are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters, parts and
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the
annual edition of the monthly List of CFR Sections Affected (LSA). The
LSA is available at www.govinfo.gov. For changes to this volume of the
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963,
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes.
The ``List of CFR Sections Affected 1986-2000'' is available at
www.govinfo.gov.

2015

27 CFR
80 FR
Page
Chapter II
447.21 Regulation at 79 FR 17028 confirmed.........................30617
555.11 Amended.....................................................59581

2016

27 CFR
81 FR
Page
Chapter II
478 Authority citation revised......................................1318
478.39a Revised.....................................................1318
478.72 Amended.....................................................32235
478.73 (a) amended.................................................32235
478.74 Amended.....................................................32235
478.125 (e) and (f)(2) amended.....................................38071
478.125a (a)(4) amended............................................38071
479 Authority citation revised......................................2721
479.11 Amended; eff. 7-13-16........................................2721
479.62 Revised; eff. 7-13-16........................................2721
479.63 Revised; eff. 7-13-16........................................2721
479.84 Revised; eff. 7-13-16........................................2722
479.85 Revised; eff. 7-13-16........................................2722
479.90 (b) amended; eff. 7-13-16....................................2723
479.90a Added; eff. 7-13-16.........................................2723

2017

(No regulations published)

2018

27 CFR
83 FR
Page
Chapter II
447.11 Amended.....................................................66553
478.11 Amended.....................................................66554
479.11 Amended.....................................................66554

2019

27
84 FR
Page
Chapter II
447 Policy statement................................................9239
478 Policy statement................................................9239
478.40 Removed.....................................................12094
478.40a Removed....................................................12094
478.57 (b) and (c) removed; (a) redesignated as undesignated text
12094
478.76 Revised.....................................................64743
478.92 Heading revised; (a)(3) and (c) removed.....................12094
478.95 Amended.....................................................12094
478.116 Amended....................................................12094
478.119 Removed....................................................12094
478.132 Removed....................................................12094
478.153 Removed....................................................12094
478.171 Amended.............................................12094, 60334
479 Policy statement................................................9239

[[Page 222]]

479.32 (a) and (c) removed; (b) redesignated as undesignated text
12094
555.11 Amended.....................................................13799
555.27 Removed.....................................................13799
555.30 (a), (b), and (d) introductory text amended.................13799
555.33 Heading amended.............................................13799
555.41 (a) removed.................................................13799
555.45 (a) and (b) removed.........................................13799
555.49 (a) removed.................................................13799
555.51 (a) removed.................................................13799
555.57 (b) amended.................................................13799
555.73 Amended.....................................................64744
555.75 Amended.....................................................64744
555.78 Revised.....................................................64744
555.79 Amended.....................................................64744
555.82 Revised.....................................................64744
555.102 (b)(1), (2) designation, and (b)(2) heading removed........13799
555.103 (a) removed................................................13799
555.105 Heading amended; (a) removed...............................13799
555.125 (a) removed................................................13799
555.126 Heading amended; (a) removed...............................13800
555.142 Heading amended............................................13800
555.165 (b) amended................................................13800
555.201 (e) removed................................................13800
555.202 (a) amended................................................13800
555.218 Table amended..............................................13800
555.219 Table amended..............................................13800
555.220 Table amended; eff. 5-31-19................................12097
555.220 Table amended..............................................13800
555.224 Table amended..............................................13800
771.1--771.136 (Subchapter E) Added................................64744

2020

(No regulations published from January 1, 2020, through April 1, 2020)

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