Questions and Answers

No. If the customer did not complete Section B of the Form 4473 and no National Instant Criminal Background Check System (NICS) check is initiated, then despite Section A being completed by the federal firearms licensee (FFL), that particular form is not required to be retained.

[27 CFR 478.129(b)]

To comply with OMB format standards, question 10 on Form 4473 was divided into 10a (Ethnicity) and 10b (Race); these questions are not new requirements. In addition, respondents may check multiple races (e.g., bi-racial, multi-racial) as opposed to just one in question 10b

Title 18, United States Code (U.S.C.), section 923(g)(1)(A) provides authority for ATF to require such records, and 27 CFR § 478.124 implements that authority, including a requirement that the Form 4473 include information about the purchaser’s race.

Additionally, regulations at 28 CFR § 25.7 prescribe the search criteria used by the National Instant Criminal Background Check System (NICS) and states: "The following search descriptors will be required in all queries of the system for purposes of a background check: (1) Name; (2) Sex; (3) Race; (4) Complete date of birth; and (5) State of residence." This information is needed to facilitate proper identification by providing additional information that helps match -- or rule out a match -- between an individual and a potentially prohibiting record.

ATF Forms 4473 are available free of charge from the ATF Distribution Center. Forms may be ordered online at ATF Distribution Center . Please order a quantity of forms estimated for 6 months use.

Form 4473 has included a question on race since it was established in 1968. ATF amended Form 4473 in 2001 to add ethnicity to the race question. In April 2012 to meet the requirements of the Office of Management and Budget (OMB) regarding the format in which government forms ask about race and ethnicity the two questions were separated. OMB’s standards for race and ethnicity questions require agencies to ask both race and ethnicity in a specific manner.

OMB published guidance to agencies regarding the adoption of these standards in 2000, but permitted ATF to continue using its existing form until 2012, when it required ATF to make changes to the format of the questions during the standard Paperwork Reduction Act approval process. To comply with OMB guidance, question 10 on Form 4473 was divided into 10a (Ethnicity) and 10b (Race); they are not a new requirement that prospective firearms purchasers provide additional information regarding race or ethnicity.

No. ATF Form 4473 is required only for transfers by a licensee.   [27 CFR 478.124]

No. However, the “bound book” must reflect the disposition of the firearm from business inventory to personal use. However, if the business is a corporation, and the firearm is being transferred to a corporate officer or director for other than business purposes, then a Form 4473 must be executed.   [27 CFR 478.124 and 478.125a]

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)]

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.

• 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.

1. Lot number sequences comply with MIL-STD-130 (marking and identification of government property) and MIL-STD-1168C; and
2. lot numbers are comprised of only Roman letters and Arabic numerals, or solely Arabic numerals (cannot contain special characters other than a hyphen); and
3. only one lot number is used for each production run unless the contract specifies otherwise.

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.

The markings shall be:

1. Applied with permanent ink or paint utilizing stenciling and/or stamping techniques per current USG or Department of Defense (DOD) standard; and

2. placed on labels that are permanently affixed when labels are utilized.

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.