[Title 27 CFR ]
[Code of Federal Regulations (annual edition) - April 1, 2021 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.

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

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                               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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name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
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evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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Many agencies have begun publishing numerous OMB control numbers as 
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[[Page vii]]

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







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                               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)

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




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

                         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]

[[Page 5]]



                         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.

    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 importing 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.
    Act. 18 U.S.C. Chapter 44.
    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

[[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.

    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 importing the masculine gender shall include the 
feminine. The terms ``includes'' and ``including'' do not exclude other

[[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.

[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]

                         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:

    ``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''.

    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.

    (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

[[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)

[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. 555.124  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)

[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. 555.125  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.

[[Page 172]]

                   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.

[[Page 173]]

    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.

[[Page 174]]

    (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

[[Page 175]]

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.

[[Page 176]]



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

[[Page 177]]

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

[[Page 178]]

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.

[[Page 181]]

                                 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

[[Page 188]]

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]

[[Page 189]]



                              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)

[[Page 192]]

     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)

[[Page 193]]

    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)

[[Page 194]]

     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)

[[Page 195]]

        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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