ATF Form 4473
Yes.
[27 CFR 478.21]
No. A Social Security card, alien registration card, or military identification alone does not contain sufficient information to identify a firearms purchaser. However, a purchaser may be identified by any combination of government-issued documents which together establish all of the required information: Name, residence address, date of birth, and photograph of the holder. [27 CFR 478.11 and 478.124(c)]
Part I used for over-the-counter sales must be completed, signed and dated by the buyer prior to delivery of the firearm. Part II (green form) used for intra-state non-over-the-counter sales must be completed, signed and dated in duplicate by the buyer at the time of sale. [27 CFR 478.124(c) and 478.124(f)]
No. A federal firearms licensee (FFL) may not scan an identification document for the purpose of auto-populating information on the Form 4473.
Information scanned, read, or otherwise gathered from a driver’s license or other identification document, as defined by 27 CFR 478.11, for use in the transfer of a firearm by an FFL may not be electronically populated onto a Form 4473.
In addition, each transferee must personally complete a new ATF Form 4473 each time the transferee attempts to acquire a firearm. See ATF Ruling 2016-2, conditions 3, 4 and 11.
[27 CFR 478.11 and 478.124(c)(1)]
Additional firearms purchased by the same transferee/buyer may not be added to the Form 4473 after the transferor/seller has signed and dated the form.
A transferee/buyer who wishes to acquire additional firearms after the transferor/seller has signed and dated the form must complete a new Form 4473 and undergo a new National Instant Criminal Background Check System (NICS) check.
Additional firearms purchased by the same transferee/buyer may only be added to the Form 4473 as part of a single transaction provided the transaction is conducted no more than 30 calendar days from the date the federal firearms licensee (FFL) initially contacted NICS, and the transferor/seller has not signed and dated the Form 4473.
[27 CFR 478.102(c) and 478.21]
A different firearm purchased by the same transferee/buyer may not be added to the Form 4473 after the transferor/seller has signed and dated the form. A transferee/buyer who wishes to acquire a different firearm after the transferor/seller has signed and dated the form must complete a new ATF Form 4473 and undergo a new National Instant Criminal Background Check System (NICS) check.
A federal firearms licensee (FFL) may amend Section A of the Form 4473 if the transferee/buyer decides to buy a different firearm than was initially recorded in Section A, provided the transferor/seller has not signed and dated the form.
[27 CFR 478.102(c) and 478.21]
Yes. Item 26.b. on Form 4473 (formerly item 18.b. on the 2016 Form 4473) is used in instances where a single government-issued identification document is not endorsed with the transferee’s full legal name and/or current residence address as recorded in items 9 and 10, respectively, and the transferee presents a combination of valid government-issued documents satisfy the identification document requirement.
An example of this may include an individual who recently changed his/her name due to a change in marital status. ATF Ruling 2001-5 states that federal firearms licensees (FFLs) may accept a combination of valid government-issued documents to satisfy the identification document requirements of the Brady Act. The required valid government-issued photo identification document bearing the name, photograph, and date of birth of the transferee may be supplemented by another valid, government-issued document showing the transferee's residence address or full legal name.
These supplemental documents must be issued by a government entity. Documents that will typically meet these requirements include a tax bill, vehicle registration, and voter identification card.
Documents issued by private companies or individuals (rental documents, leases, cable bills, phone bills, credit card bills, bank documents, etc.) may not be used as supplemental identification documents for the purchase or acquisition of a firearm.
[18 U.S.C. 922(t)(1)(C), 27 CFR 478.102(a)(3) and 478.124(c)(3)(i)]
No. The National Instant Criminal Background Check System (NICS) information, regardless of method of entry, may only be entered after the transferee/buyer signs and certifies the eForm 4473 (items 22 and 23).
[27 CFR 478.21]
[27 CFR 478.124]
You must document both the name of the military base and the city and state where the base is located. For example, “Fort Knox, Fort Knox, Kentucky.”
An active-duty military member may establish residency by presenting permanent change of station (PCS) orders and a valid military photo identification card (see ATF Ruling 2001-5). The PCS orders may be either paper or electronic, as stated in the Form 4473 instructions for item 26c, “Licensees may accept electronic PCS orders to establish residency.”
Spouses and other dependents of an active-duty military member may not claim residency using PCS orders, as 18 U.S.C. 921(b) applies only to members of the Armed Forces.
A military member claiming residency in a state in which he or she is present with the intention of making a home must demonstrate that residency to the federal firearms licensee (FFL) by presenting a valid identification document, or a combination of valid, government issued documents, to satisfy the identification document requirement.
[18 U.S.C. 922(t)(1)(C), 27 CFR 478.102(a)(3), 27 478.124(c)(3)(i)]
See ATF Form 4473 instructions for item 10 which state, “If the transferee/buyer is a member of the Armed Forces on active duty, his/her state of residence is the state in which his/her permanent duty station is located. If the service member is acquiring a firearm in a state where his/her permanent duty station is located, but resides in a different state, the transferee/buyer must list both his/her permanent duty station address and residence address.”
Example 1: PCS stationed to state A, lives on base in state A
If the transferee is a member of the Armed Forces on active duty and is acquiring a firearm in the same state as his/her permanent duty station, and he/she resides on base, the transferee will record his/her permanent duty station residence address in item 10.
Example 2: PCS stationed to state A, lives off base in state A
If the transferee is a member of the Armed Forces on active duty and is acquiring a firearm in the same state as both his/her permanent duty station and his/her residence, the transferee should record his/her residence address in item 10. The transferee’s permanent duty station address in addition to the transferee’s current residence address is not required.
Example 3: PCS stationed to state A, lives off base in state B
If the transferee is a member of the Armed Forces on active duty and is acquiring a firearm in a state where his/her permanent duty station is located, but resides in a different state, the transferee must list both his/her permanent duty station address and his/her residence address.
No. Item 6 on Form 4473 states: “Total Number of Firearms to be Transferred (Please spell total number e.g., one, two, etc. Do not use numerals.)”
Item 6 should reflect the total number of firearms recorded in items 1-5 and, as necessary, on the Firearms Transaction Record Continuation Sheet (ATF Form 5300.9A), regardless of whether the firearms were actually transferred.
ATF Ruling 2016-5 Guidance - Marking Variance for Government Defense Contractors
In order to utilize this variance, each sub-contractor must hold a contract, award, purchase order or other satisfactory documentation issued by the prime contractor, identifying the applicable USG contract number, and providing that the sub-contractor assents to all “flow-down” compliance requirements and limitations of the USG contract. Additionally, they must be an appropriately licensed manufacturer, and SOT holder. The sub-contractor’s unique manufacturer’s identification symbols shall be applied according to MIL-STD1168C and MIL-STD-130.
Each subcontractor is then responsible for all compliance and reporting requirements for manufacturing pursuant to that sub-contract, as delineated above. The sub-contractor would need to supply, upon request by any ATF officer, all required information specified in ATF Ruling 2016-5.
Yes, so long as unforeseen additional or changed lot numbers and total rounds produced under the discontinued lot number are identified, and attached to a copy of any previous correspondence regarding this same contract. Any such additions or changes must be provided to ATF prior to the initiation of the new manufacturing process/production run to: USGMarking.Variances@atf.gov or mailed to Marking Variances-2016-5, 244 Needy Road, Suite 1600, Martinsburg, WV 25405.
However, if anything other than year and/or month of manufacture changes to the sequential lot number, an entirely new notice is required.
Changes in lot numbers throughout the fulfillment of the IDIQ contract due to new requests made against the contract do not count as lot “slippage” or “unforeseen issues.” Production pursuant to new requests or purchase orders under IDIQ contracts is considered new production and requires new notifications for each production run.
For purposes of this ruling, a subcontractor is considered a party to the USG contract if:
(a) the contract expressly authorizes subcontractors to participate in the manufacturing process;
(b) consent to subcontract has been obtained, where required; and
(c) upon request, either the prime contractor or subcontractor produces a copy of the subcontract, award, purchase order, or satisfactory documentation containing the prime USG DOD contract number and demonstrating that the sub-contractor assents to all “flow down” compliance requirements and limitations of the USG contract.
The following information must be provided in a typed (not hand written) format;
- 1. Manufacturer’s name
- 2. Manufacturer’s address
- 3. Current federal firearms license number and Special Occupational Tax (SOT) Stamp
- 4. USG contract number and name of prime contractor (if manufacturer is not the prime on the USG contract)
- 5. Sequential lot numbers to be used
- 6. What is being manufactured
- 7. Quantity of devices to be produced under the USG contract
Note: For Indefinite Delivery/Indefinite Quantity (IDIQ) contracts, or any manufacturing pursuant to sub-contracts, the quantity listed should be the quantity specified in the applicable contract award or purchase order.
- 8. Quantity of devices to be produced under the lot number
If both a prime contractor and a sub-contractor will be manufacturing pursuant to the same USG contract, the prime contractor must submit the information listed above as well as the following regarding the sub-contractor’s role in the applicable USG contract;
- 9. Subcontractor’s name(s) to be used in the manufacturing process
- 10. Subcontractor’s address
- 11. Subcontractor’s FFL number and SOT
- 12. Subcontractor’s sequential lot numbers to be used
- 13. Subcontractor’s amount to be produced under this lot number.
In the scenario where both the prime and the sub-contractor are manufacturing under the same USG contract, the sub-contractor remains responsible for its own, separate submission of the information required in points 1 through 8.
This information should be sent to USGMarking.Variances@atf.gov or mailed to Marking Variances-2016-5, 244 Needy Road, Suite 1600, Martinsburg, WV 25405.
This information must be supplied, or post marked, to ATF at least 24 hours prior to the beginning of the initiation of the manufacturing process / production run.
Type 10 Federal firearms licensees (FFLs) inquired about marking variances for destructive device munitions manufactured as part of a valid United States Government (USG) contract. The FFLs note that applying for and awaiting approval of variances, and timely coordinating them with the required export license from the Department of State, creates difficulties in fulfilling contracts in a timely manner.
The Gun Control Act (GCA) regulations at title 27, Code of Federal Regulations (CFR), section 478.92 require a licensed manufacturer to identify firearms 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 and other identifying information. The same requirements appear in the regulations implementing the National Firearms Act (NFA) at 27 CFR 479.102.
However, “in the case of a destructive device, the Director may authorize other means of identifying that weapon upon receipt of a letter application…showing that engraving, casting or stamping (impressing) such a weapon would be dangerous or impracticable.” 27 CFR 478.92 and 479.102. In each case, the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) may permit an alternate means of marking the destructive device munitions.
ATF Ruling 2016-5 authorizes an alternate method or procedure to the firearms marking requirements contained in 27 CFR 478.92 and 479.102.
ATF authorizes licensed manufacturers of certain destructive device munitions that are manufactured for the USG to mark these destructive device munitions with sequential lot numbers, provided conditions set forth in this ruling are met.
This ruling applies to only those destructive device munitions that are explosive, incendiary, or poison gas, bombs, grenades, rockets having a propellant charge of more than 4 ounces, missiles having an explosive or incendiary charge of more than one-quarter ounce, or mines. It does not apply to large bore weapons (e.g. rocket launchers, mortars), or homemade devices.
These destructive device munitions must be manufactured to fulfill a current USG contract and the licensed manufacturer must currently be a party to that existing USG contract.
The markings shall be:
Applied with permanent ink or paint utilizing stenciling and/or stamping techniques per current USG or Department of Defense (DOD) standard; and
placed on labels that are permanently affixed when labels are utilized.
