Questions and Answers

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 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)]

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. ATF Form 4473 is required only for transfers by a licensee.   [27 CFR 478.124]

No. A licensee is required to obtain an ATF Form 4473 from the transferee who must certify that he or she is not prohibited from receiving or possessing a firearm, and whose identity the licensee must verify prior to transfer. A licensee cannot comply with these provisions where a Form 4473 is completed by a person other than the actual transferee.

[18 U.S.C. 923(g); 27 CFR 478.124]

Yes.

[27 CFR 478.21]

If the transferor/seller or the transferee/buyer discovers that an ATF Form 4473 is incomplete or improperly completed after the firearm has been transferred, and the transferor/seller or the transferee/buyer wishes to correct the omission(s) or error(s), photocopy the inaccurate form and make any necessary additions or revisions to the photocopy. The transferor/seller should only make changes to Sections A, C, and E. The transferee/buyer should only make changes to Sections B and D. Whoever made the changes should initial and date the changes. The corrected photocopy should be attached to the original Form 4473 and retained as part of the transferor’s/seller’s permanent records.

[27 CFR 478.21]

Licensees shall retain each Form 4473 until business or licensed activity is discontinued, either on paper, or in an electronic alternate method approved by the Director, at the business premises readily accessible for inspection under this part. Paper forms over 20 years of age may be stored at a separate warehouse, which shall be considered part of the business premises for this purpose and subject to inspection under this part. Forms 4473 shall be retained in the licensee's records as provided in § 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.

[18 U.S.C. 923(g)(1)(A); 27 CFR 478.129(b)]

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.

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.

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.

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.