Implementation of Public Law 103-159, Relating to the Permanent Provisions
of the Brady Handgun Violence Prevention Act
AGENCY: Bureau of Alcohol, Tobacco and Firearms (ATF), Department of
the Treasury.
ACTION: Final rule, Treasury decision.
SUMMARY: The Bureau of Alcohol, Tobacco and Firearms (ATF) is amending
the regulations to implement the provisions of Public Law 103-159, relating
to the permanent provisions of the Brady Handgun Violence Prevention Act.
These regulations implement the law by requiring, with some exceptions,
a licensed firearms importer, manufacturer, or dealer to contact the national
instant criminal background check system (NICS) before transferring any
firearm to an unlicensed individual. NICS will advise the licensee whether
the system contains any information that the prospective purchaser is prohibited
by law from possessing or receiving a firearm.
DATES: This rule is effective November 30, 1998.
FOR FURTHER INFORMATION CONTACT: James P. Ficaretta, Regulations Division,
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW.,
Washington, DC 20226 (202-927-8230).
SUPPLEMENTARY INFORMATION:
Background
On November 30, 1993, Public Law 103-159 (107 Stat. 1536) was enacted,
amending the Gun Control Act of 1968 (GCA), as amended (18 U.S.C. Chapter
44). Title I of Public Law 103-159, the Brady Handgun Violence Prevention
Act (the "Brady law" or "Brady"), imposed as an interim
measure a waiting period of 5 days before a licensed importer, manufacturer,
or dealer may sell, deliver, or transfer a handgun to an unlicensed individual.
The waiting period applies only in States without an acceptable alternate
system of conducting background checks on handgun purchasers. The interim
provisions of the Brady law, 18 U.S.C. 922(s), became effective on February
28, 1994, and cease to apply on November 30, 1998.
Permanent Provisions of the Brady Law
The permanent provisions of the Brady law provide for the establishment
of a national instant criminal background check system ("NICS")
that a firearms licensee must contact before transferring any firearm to
an unlicensed individual. The law requires that the permanent system be
established not later than November 30, 1998. While the interim provisions
apply only to handguns, the permanent provisions of the Brady law apply
to all firearms. Furthermore, the law provides that the system may take
up to three business days to notify the licensee whether receipt of a firearm
by the prospective purchaser would be in violation of law.
National Instant Criminal Background Check System
The Brady law requires that the Attorney General establish a permanent
national instant criminal background check system that any licensee may
contact, by telephone or by other electronic means in addition to the telephone,
for information on whether receipt of a firearm by a prospective transferee
would violate Federal or State law. The law requires that the permanent
system be established not later than November 30, 1998. It is expected
that the NICS will be established by October 31, 1998, although licensees
will not be required to contact NICS until November 30, 1998.
Upon establishment of the system, the Attorney General is required to
notify each firearms licensee and the chief law enforcement officer of
each State of the existence and purpose of NICS and the means to be used
to contact NICS. Beginning on the date that is 30 days after the Attorney
General notifies firearms licensees that NICS is established, the permanent
provisions of Brady, 18 U.S.C. 922(t), become effective.
Statutory Requirements
Section 922(t) generally makes it unlawful for any licensed firearms
importer, manufacturer, or dealer to sell, deliver, or transfer a firearm
to an unlicensed individual (transferee), unless-
1. Before the completion of the transfer, the licensee contacts the
national instant background check system;
2. The system provides the licensee with a unique identification number
signifying that transfer of the firearm would not be in violation of law
OR 3 business days (meaning a day on which State offices are open) have
elapsed from the date the licensee contacted the system and the system
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
a valid identification document containing a photograph of the transferee.
Exceptions to NICS
The statute provides the following exceptions to the national instant
background check system:
1. The transferee presents to the licensee a permit which was issued
not more than 5 years earlier by the State in which the transfer is to
take place and which allows the transferee to possess or acquire a firearm,
and the law of the State provides that such a permit is to be issued only
after an authorized government official has verified that available information
does not indicate that possession of a firearm by the transferee would
be in violation of the law;
2. Purchases of firearms which are subject to the National Firearms
Act and which have been approved for transfer under 27 CFR Part 179 (Machine
Guns, Destructive Devices, and Certain Other Firearms); or
3. Purchases of firearms for which the Secretary has certified that
compliance with NICS is impracticable because 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 (i.e., 25 officers per 10,000 square miles), the premises
of the licensee are remote in relation to the chief law enforcement officer
of the area, and there is an absence of telecommunications facilities in
the geographical area in which the business premises are located.
Penalties for Noncompliance
Section 922(t) provides that a firearms licensee who transfers a firearm
and knowingly fails to comply with the requirements of the law, in a case
where compliance would have revealed that the transfer was unlawful, is
subject to license suspension or revocation and a civil fine of not more
than $ 5,000.
Notice of Proposed Rulemaking
On February 19, 1998, ATF published in the Federal Register a notice
proposing regulations to implement the requirements placed on Federal firearms
licensees by section 922(t) (Notice No. 857; 63 FR 8379). The comment period
for Notice No. 857 closed on May 20, 1998. [p58273]
On June 4, 1998, pursuant to section 103(h) of the Brady law, the Department
of Justice issued proposed regulations establishing the methods of operation
for NICS, including policies and procedures for ensuring the privacy and
security of the system and appeal procedures for individuals who are determined
by NICS to be ineligible to purchase a firearm (63 FR 30429, 30430, and
30514). Accordingly, these issues were not addressed in ATF's proposed
regulations.
Prior to the close of the comment period, two commenters requested that
public hearings be held on the proposed regulations and one commenter requested
that the comment period be extended. ATF believes that it is necessary
to advise Federal firearms licensees of their responsibilities under the
permanent provisions of the Brady law as much in advance of the November
30, 1998, effective date as possible. An extension of the comment period
and the holding of public hearings would delay the issuance of final regulations.
Furthermore, ATF believes that 90 days is a sufficient amount of time for
all interested parties to respond to the issues raised in the notice. Finally,
ATF believes that any information received during an extension of the comment
period or presented in oral testimony at a public hearing would be similar
to that received during the 90-day comment period. Accordingly, ATF is
not extending the comment period or holding public hearings on the proposed
regulations.
Analysis of Comments
In response to Notice No. 857, ATF received 8,492 comments, representing
8,779 signatures. Comments were submitted by Federal firearms licensees,
licensed firearms collectors, nonlicensed individuals, industry trade groups,
and other organizations (e.g., National Association of Arms Shows, Inc.,
National Pawnbrokers Association, Violence Policy Center, Gun Owners of
America, and the National Rifle Association of America), members of Congress,
State representatives, and law enforcement officials.
Approximately 125 commenters addressed issues which were outside the
scope of the notice. These include user fees for NICS checks, hours of
operation that NICS will be available for background checks, how firearms
licensees will receive final notification from NICS in the event a background
check is delayed, provisions for a toll-free appeal hotline that firearms
purchasers can contact in the event of a wrongful denial of a purchase,
and ATF's assurance that in most cases a NICS check will be instantaneous.
These issues are being addressed in the Department of Justice's rulemaking
proceeding.
Twenty-three commenters expressed opposition to the Brady law and urged
its repeal. One hundred sixty-six commenters requested other changes that
would also require legislative action. These include eliminating the provision
of the law which authorizes NICS to take up to three business days to respond
to a request for a background check, restricting the Department of Justice's
role in implementing any provisions of the Brady law, exempting State "instant
check" and "point of sale check" systems from a NICS check,
and prohibiting NICS from containing information on certain categories
of persons prohibited from receiving or possessing firearms (such as renunciates
and persons discharged from the military under dishonorable conditions).
ATF is not adopting any of these comments because they are inconsistent
with the language of the statute.
Long Guns, Antique Firearms, and Licensed Collectors of Curios or Relics
Forty-seven commenters contend that the permanent provisions of the
Brady law either do not apply or should not apply to transfers of long
guns. Some commenters point out that the title of the statute, the "Brady
Handgun Violence Prevention Act," clearly shows that Congress intended
the law, both the temporary and permanent provisions, to apply only to
handguns. Other commenters argue that since the interim provisions of the
Brady law apply only to handguns, it is apparent that the permanent provisions
should apply only to handguns as well. These commenters maintain that ATF
has exceeded its authority under the Brady law by proposing to require
NICS checks for all firearms, including rifles and shotguns.
While the title of the statute is the "Brady Handgun Violence Prevention
Act," the plain language of the law clearly states that the permanent
provisions apply to all firearms, including rifles and shotguns. In that
regard, section 922(t)(1) provides that a Federal firearms licensee "shall
not transfer a firearm" to an unlicensed individual unless before
the completion of the transfer, the licensee contacts NICS. Section 103(j)(2)
of the Brady law provides that the term "firearm" has the meaning
prescribed in Sec. 921(a) of the GCA. This section defines "firearm,"
in part, as "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; . . ." Thus, the term "firearm" clearly
includes rifles and shotguns.
Two commenters inquired whether antique firearms are subject to the
permanent provisions of the Brady law. Pursuant to section 921(a)(3), the
term "firearm" does not include an antique firearm (as defined
in section 921(a)(16)). Accordingly, the transfer of an antique firearm
is not subject to the Brady law.
Several commenters requested clarification whether the permanent provisions
of the Brady law apply to licensed collectors of curios or relics. The
transfer of a firearm by a licensed collector is not subject to section
922(t), since the law by its terms applies only to the transfer of a firearm
by a licensed importer, manufacturer, or dealer to an unlicensed person.
Furthermore, since the permanent provisions of Brady do not apply to transfers
among licensees, the transfer of a curio or relic firearm to a licensed
collector is not subject to permanent Brady. However, in transactions involving
firearms not classified as curios or relics, the licensed collector has
the same status as a nonlicensee. Thus, a licensed collector's acquisition
of a firearm that is not a curio or relic from an importer, manufacturer,
or dealer is subject to the requirements of permanent Brady.
Pawn Transactions
In Notice No. 857, ATF advised that the proposed regulations would apply
the permanent provisions of the Brady law to the redemption of a pawned
firearm. As ATF noted, the Violent Crime Control and Law Enforcement Act
of 1994, Public Law 103-322, amended Sec. 922(s) of the GCA to specifically
exempt transactions involving the return of a handgun to the person from
whom it was received. However, no such exemption appears in Sec. 922(t).
Three hundred thirty-eight commenters disagreed with ATF's interpretation
that the permanent provisions of the Brady law apply to the redemption
of a pawned firearm. Many of the commenters argue that the law was intended
to apply only to the sale of a firearm and not to pawn transactions involving
the redemption of a firearm. A national trade association representing
3,600 pawnbrokers suggested that Congress did not intend to cover the redemption
of a pawned firearm, and that the term "transfer" in the Brady
law referred to a transfer of title. The commenter further contends that
the amendment of Sec. 922(s) of the GCA by the Violent Crime Control and
Law Enforcement Act of 1994 "indicates their [Congress'] intent to
not apply Brady to pawn loans." Several commenters suggested that
because pawn loan customers would not have the disposable income to pay
for a NICS check, they would instead sell their firearms on the street
through unregulated sources. [p58274]
After carefully considering the arguments raised by the commenters,
ATF has concluded that the permanent provisions of the Brady law apply
to the redemption of a pawned firearm. Unlike Sec. 922(s) of the GCA, there
is no provision in Sec. 922(t) which exempts transactions involving the
return of a firearm to the person from whom it was received.
Furthermore, ATF does not agree with the commenters who suggested that
the return of a redeemed firearm is not a "transfer" within the
meaning of the permanent provisions of the Brady law. The redemption of
a pawned firearm has always been treated as a disposition under the GCA,
and a Form 4473 has always been required for such redemptions. Furthermore,
in Huddleston v. United States, 415 U.S. 814 (1974), the Supreme Court
held that the redemption of a pawned firearm was an acquisition within
the meaning of the GCA. Thus, there is no basis for exempting the redemption
of a pawned firearm from the permanent provisions of Brady.
Consignments
ATF has received inquiries regarding the return by a licensee of a consigned
firearm to an unlicensed individual. In these cases, the unlicensed individual
has delivered a firearm to the licensee for sale. Sales of the firearm
are handled in the same manner as other firearm sales. However, if the
licensee does not sell the firearm, it may be returned to the unlicensed
individual.
ATF has always treated the return of consigned firearms as a transfer
or disposition within the meaning of the GCA. The individual to whom the
consigned firearms are returned must complete a Form 4473 in the same manner
as any unlicensed individual who is acquiring a firearm from a licensee.
Accordingly, the final regulations do not provide any exemption for the
return of a consigned firearm.
Repaired and Replacement Firearms
While this issue was not specifically addressed in the proposed rule,
approximately 55 comments dealt with the application of permanent Brady
to repaired and replacement firearms. Most of those commenters argued that
the return of a repaired firearm to the person from whom it was received
should not be considered a "transfer" for purposes of the Brady
law.
The notice of proposed rulemaking did not propose that such transactions
should be subject to permanent Brady. After carefully considering the comments
on this issue, ATF agrees that the return of a repaired or replacement
firearm by a licensee is not a "transfer" within the meaning
of the Brady law. Historically, the return of a repaired or replacement
firearm by a licensee has been treated in a different fashion from other
dispositions under the GCA. Since the enactment of the GCA in 1968, the
regulations have provided that a 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." See 27 CFR
178.124(a).
The final rule does not require NICS checks in any situation in which
the transferee is not required to complete a Form 4473. Accordingly, transactions
falling within the exemption found in section 178.124(a) are not subject
to the requirement for an NICS check.
Time of NICS Check
As proposed in Notice No. 857, Sec. 178.102(c) provided that a NICS
check may be relied upon by the licensee only for use in a single transaction
and for a period not to exceed 30 days. If the transaction is not completed
within the 30-day period, the licensee must initiate a new NICS check prior
to completion of the transfer.
ATF received approximately 40 comments on this proposal. Many commenters
objected to the proposal that a separate NICS check must be conducted for
each separate transaction. They contend that this requirement is unnecessary
and places a burden on both NICS and the licensee. Two commenters stated
as follows:
The purpose of the check is to ensure the individual who wishes to purchase
a firearm is not a prohibited possessor under the law. In this instance,
there is no reason to require a separate NICS check if an individual purchases
more than one firearm within a 30 day calendar period.
Many other commenters were concerned about the validity of a NICS check
with respect to the return or exchange of a newly purchased firearm.
The Brady law provides that a licensee may not transfer a firearm to
an unlicensed individual unless, before the completion of the transfer,
the licensee contacts NICS. It is clear that the law contemplates that
once the transfer is completed, any additional transfer of a firearm to
the same individual would be a separate transfer that would require a separate
NICS check. With respect to the return or exchange of a newly purchased
firearm, replacement firearms are not subject to a NICS check. However,
if the firearm is being returned and exchanged for a different firearm,
this constitutes a separate transaction and another NICS check would be
required.
Several commenters objected to ATF's proposal that a NICS check should
only be valid for 30 calendar days. Three commenters argued that the Brady
law does not specify or impose any time limit on the validity of a NICS
check. Three other commenters suggested that a NICS check should be acceptable
for multiple purchases for 5 years, the same period of time for which a
permit is valid.
Another commenter, a trade organization representing approximately 300
firearms dealers, asserted that the proposed 30-day limitation is unreasonable
and unnecessary. This commenter states that customers often order firearms
and then later return to the licensee's premises to effect the transfer.
Based on the experience of its membership, this commenter believed that
many transfers do not take place within 30 days, due to the customer's
own business commitments or the customer's personal circumstances. Accordingly,
this commenter proposed that the NICS check should be valid for a period
of 60 days. Another commenter expressed similar concerns, and recommended
that the check should be valid for 45 days "to allow normal transactions
to occur, given delays and distances normally encountered in firearms sales
situations."
As ATF stated in Notice No. 857, it is clear that the Brady law contemplates
that the licensee should contact NICS immediately prior to the transfer
of a firearm. However, ATF recognized that many States have waiting periods
which mandate a delay of up to 10 days before the firearm may be transferred.
Thus, the proposed rule provided that a NICS check would be valid in a
single transaction for a period of up to 30 days. This would allow the
purchaser a reasonable period of time to come back for the firearm in States
with lengthy waiting periods.
After carefully considering the comments, ATF has decided not to extend
the period in which a NICS check retains its validity. ATF believes that
the 30-day period is reasonable in that it allows sufficient time for a
purchaser to return to take possession of a firearm. In situations where
a purchaser has ordered a custom-made firearm and a longer delay is required,
the licensee may choose to conduct the NICS check after the firearm comes
in, rather than at the time that the order is placed. In any event, licensees
should try to avoid lengthy delays between the time the NICS check is conducted
and the time the firearm is transferred. The 30-day limit provides a concrete
limit beyond which the firearm may not be transferred pursuant to a "stale"
NICS check. [p58275]
Permits
The Brady law provides that a licensee is not required to initiate a
NICS check where the purchaser presents a permit that allows the purchaser
to "possess or acquire a firearm." The final rule clarifies that
the permit must be valid under State law. Section 178.102(d)(1)(i) of the
proposed regulations clarified that this exception includes permits to
carry concealed weapons as well as permits specifically authorizing the
purchase of a firearm.
Five commenters expressed opposition to ATF's proposal that a permit
to carry concealed weapons was included within the permit exemption provided
by permanent Brady. Four of the commenters contend that the proposed regulation
expands the scope of the exemption and that the clear language of the Brady
law limits the exemption to a permit to "possess or acquire"
a firearm. Two commenters maintain that this provision of the law applies
only to permits specifically authorizing the purchase of a firearm.
Some commenters assert that excepting concealed weapons permit holders
from a NICS check would significantly increase the number of exempt firearms
transactions. For example, one commenter noted that "[t]his expansion
will dramatically increase the possibility of unlawful firearms purchase[s]
in part because the varying state systems for revocation of the permits
frequently involve considerable delay."
Notwithstanding these comments, it is ATF's conclusion from the plain
language of the Brady law that a permit to "possess" a firearm
includes a permit to carry concealed weapons. Furthermore, ATF's position
in this matter is consistent with that taken with respect to the permit
alternative under the interim provisions of the Brady law. Accordingly,
Sec. 178.102(d)(1)(i) is being adopted in the final regulations as proposed.
NICS Checks in Conjunction With the Issuance of Permits
The law provides that for a permit to qualify as an alternative to the
NICS check at the time of transfer, it must have been issued not more than
5 years earlier by the State in which the transfer is to take place. Furthermore,
the permit is a valid alternative under permanent Brady only if the law
of the State provides that such a permit 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 such
other person would be in violation of law.
In construing the language of the statute, the proposed regulations
provided that as of November 30, 1998, "the information available
to" State officials who issue permits will include a NICS check. The
proposed regulations also clarified that if a State did not disqualify
all individuals prohibited under Federal law, the permits issued by that
State would not be accepted as alternatives under the permanent provisions
of the Brady law.
Approximately 3,700 commenters objected to ATF's proposal that the acceptance
of permits as alternatives was conditioned upon the State running a NICS
check prior to issuing the permit. Most of the commenters contend that
the statute does not mandate that State officials conduct a NICS check
on all permit applicants. Two commenters argued that "[t]his portion
of the proposed regulation violates Prinz [sic] v. United States. Here
the United States Supreme Court held that "The Federal Government
may not compel the States to enact or administer a federal regulatory program.'"
The issuance of regulations setting standards for permits that meet
the criteria of the statute in no way implicates Tenth Amendment or Federalism
concerns. Neither the Brady law nor the regulations require States to establish
or administer permit systems at all. However, the law does set forth certain
standards that State permits must meet in order to be recognized as valid
Brady alternatives.
As of November 30, 1998, "the information available to" State
officials will include NICS. As indicated in Notice No. 857, a NICS check
will provide a more extensive background check of the purchaser than other
record systems containing only criminal records. NICS will include records
from the Department of Defense concerning dishonorable discharges, records
from the Department of State regarding individuals who have renounced United
States citizenship, and other information not available in criminal records.
Accordingly, Sec. 178.102(d)(1)(iii) is adopted as proposed.
One commenter noted that Notice No. 857 was silent with respect to State
permits issued prior to the effective date of the permanent provisions
of the Brady law. Prior to November 30, 1998, the information "available
to" State permit officials did not include NICS. Permits issued prior
to that date that were recognized by ATF as valid alternatives under interim
Brady will continue to be recognized as valid alternatives after November
30, 1998, notwithstanding the fact that no NICS check was conducted prior
to the issuance of the permits. These permits will be "grandfathered"
for a period not to exceed 5 years or the duration of the permit, whichever
is shorter.
Firearms Transaction Record (Form 4473)
In general, the regulations provide that prior to the transfer of a
firearm to a prospective purchaser, the buyer must complete, sign, and
date a firearms transaction record, Form 4473. The form requests certain
information, including the transferee's name, sex, height, weight, race,
residence address, date of birth, and place of birth. In Notice No. 857,
ATF proposed amending the regulations to solicit additional optional information
about the purchaser, including the transferee's social security number,
to facilitate the transfer of a firearm ( Sec. 178.124(c)(2)). ATF noted
in Notice No. 857 that ATF Form 5300.35, Statement of Intent to Obtain
a Handgun (Brady form), currently requests the purchaser's social security
number as optional information.
Approximately 8,000 commenters addressed this proposal. Twenty-five
commenters misunderstood the proposal and were under the impression the
proposed regulation was requiring purchasers to provide their social security
number on Form 4473. The remaining commenters expressed other concerns
and urged ATF to withdraw the proposed regulation. Many commenters contend
that requesting the purchaser's social security number violates the individual's
right to privacy. The commenters are also concerned about the possible
misuse of the information, including the establishment of a national registry
of firearms owners. Other commenters are concerned that the request for
a purchaser's social security number as additional optional information
may eventually become a requirement. These commenters also believe that
a firearm transfer may be unnecessarily delayed or the purchaser subjected
to additional scrutiny if the social security number is not provided. [p58276]
The final regulations will include the purchaser's social security number
on Form 4473 as optional information. The social security number is a unique
identifier. ATF believes that providing this information on Form 4473 will
facilitate the transfer of a firearm. As discussed in Notice No. 857, ATF
believes this additional information will help minimize the misidentification
of firearms purchasers as felons or other prohibited persons whose receipt
and possession would violate the law. For example, by providing this information
the transferee might avoid confusion with a prohibited buyer who has the
same name and date of birth as the transferee. Nevertheless, providing
the social security number on Form 4473 is optional under the proposed
regulation and the purchaser is not required to provide such information.
With respect to the commenters' concern regarding the establishment
of a national registry of firearms owners, ATF would note that the registration
of firearms, firearms owners, or firearms transactions or dispositions
is specifically prohibited by 18 U.S.C. 926(a) and section 103(i) of the
Brady law. ATF would further note that Forms 4473 are maintained by dealers,
not the Federal Government.
In Notice No. 857, ATF proposed that in any transaction for which a
licensee receives a unique identification number from NICS, such number
will be recorded on Form 4473 and retained in the records of the licensee,
regardless of whether the transaction is approved or denied by NICS, and
regardless of whether the firearm is actually transferred (27 CFR 178.102(b)).
Several commenters objected to the proposed requirement that licensees
retain copies of Form 4473 for denied NICS checks or where there is no
transfer of a firearm. The commenters argue that this requirement is unnecessary
and only serves to increase the paperwork burden on licensees. ATF disagrees
with the commenters and finds the requirement to be both necessary and
warranted. As explained in the notice, requiring licensees to retain Form
4473 in all cases will enable ATF to determine compliance with the law
by licensees and purchasers. Accordingly, the regulation is being adopted
as proposed. The final rule clarifies that the transaction number provided
by NICS 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.
Seven commenters contend that the Brady law requires Form 4473 to be
destroyed after each firearm transaction. Specifically, Sec. 922(t)(2)(C)
provides that if a NICS check indicates receipt of a firearm by a prospective
purchaser would not violate Federal or State law,
[T]he system shall . . . destroy all records of the system with respect
to the call (other than the identifying number and the date the number
was assigned) and all records of the system relating to the person or the
transfer.
The Brady law does not require the Form 4473 to be destroyed after each
firearm transaction. The "system" mentioned in the law refers
to the national instant background check system (NICS) established by the
Attorney General. In addition, the Department of Justice has issued proposed
regulations with respect to the destruction of records in the NICS (AG
Order No. 2158-98; June 4, 1998, 63 FR 30430).
Several commenters misinterpreted Sec. 178.124(c)(3) as proposed by
ATF. It is their understanding that the regulation requires licensees to
provide NICS with information regarding the firearm being transferred (e.g.,
type, model, caliber or gauge, etc.). The commenters are opposed to NICS
collecting and maintaining such information. The proposed regulation was
not intended to require licensees to provide NICS with specific information
about an individual's firearms purchase. For clarification purposes, ATF
is amending Sec. 178.124(c) and revising Form 4473 to specify that information
about the firearm being transferred (e.g., the name of the manufacturer,
the type, model, caliber, etc.) will be recorded on the Form 4473 by the
licensee after the completion of the NICS check.
Civil Penalties
As explained in the notice of proposed rulemaking, section 922(t)(5)
of the GCA provides that a licensee who knowingly transfers a firearm and
knowingly fails to comply with the provisions of section 922(t)(1) with
respect to the transfer may be subject to revocation or suspension of the
license for up to 6 months and a civil fine of not more than $ 5,000. This
provision applies only where 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 section 922(g)
or (n) of the GCA, or State law.
The GCA, 18 U.S.C. 923(e), already provides ATF with authority to revoke
a firearms license, after notice and opportunity for hearing, where the
licensee has willfully violated any of the provisions of the GCA or the
regulations issued thereunder. Furthermore, section 923(f) provides that
revocation actions are subject to de novo judicial review by the district
court in which the licensee resides or has his principal place of business.
ATF is amending Subpart E of Part 178 to provide that the existing procedures
for revocation of licenses will also apply to the suspension and revocation
of licenses under section 922(t)(5), as well as the imposition of a civil
fine under this provision. The final rule also clarifies that such actions
are subject to de novo judicial review by the district court.
Miscellaneous
Approximately 3,700 commenters expressed opposition to proposed Sec.
178.97(b). This section requires a NICS check where a club or similar organization
temporarily furnishes firearms to participants in a trap or similar shooting
activity for use off the premises. The commenters contend that this requirement
"is neither required by, nor is consistent with, the statute."
ATF views the activity mentioned above in the same manner as the loan or
rental of a firearm to a nonlicensee for temporary use off the licensed
premises for lawful sporting purposes. In that regard, Sec. 178.97(a) requires
the licensee to record the transaction in his permanent records of acquisition
and disposition and on Form 4473. It is ATF's position that such a transfer
is subject to the requirements of the Brady law. Accordingly, Sec. 178.97(b)
is adopted in the final regulations as proposed.
ATF is amending Sec. 178.102(c) by revising Example 2 at the end of
the section to clarify that a firearms transaction is completed when the
licensee executes the Form 4473 and the firearm is transferred to the purchaser.
Some commenters believe the wording of the proposed regulation is confusing
and implies that a firearms transaction is completed when the licensee
executes the Form 4473, regardless of when the actual transfer of the firearm
takes place.
The proposed regulation in Sec. 178.125(e) would have required dealers
to record in their records of disposition the identification number provided
by NICS. ATF has determined that requirement is unnecessary since the final
regulations require licensees to record the unique identification number
provided by NICS on Form 4473 and to retain each Form 4473 for a period
of not less than 20 years after the date of sale or disposition. Accordingly,
ATF is not amending the regulation. [p58277]
Finally, section 178.125a(a) is being amended to provide that licensees
are not required to comply with the provisions of Sec. 178.102 when selling
firearms from the licensee's personal collection, provided that the licensee
has maintained the firearm as part of his or her personal collection for
at least one year.
Executive Order 12866
It has been determined that this final rule is not a significant regulatory
action as defined in Executive Order 12866. Therefore, a Regulatory Assessment
is not required.
Regulatory Flexibility Act
It is hereby certified that this final rule will not have a significant
economic impact on a substantial number of small entities. The revenue
effects of this rulemaking on small businesses flow directly from the underlying
statute. Likewise, any secondary or incidental effects, and any reporting,
recordkeeping, or other compliance burdens flow directly from the statute.
Accordingly, a regulatory flexibility analysis is not required.
Paperwork Reduction Act
The collections of information contained in this final regulation have
been reviewed and approved by the Office of Management and Budget in accordance
with the requirements of the Paperwork Reduction Act (44 U.S.C. 3507(d))
under control number 1512-0544. Other collections of information contained
in this final rule have been approved under control numbers: 1512-0520,
1512-0006, and 1512-0524 ( Sec. 178.129(c)) and 1512-0129 and 1512-0526
( Sec. 178.129(d), (e), and (f)). An agency may not conduct or sponsor,
and a person is not required to respond to, a collection of information
unless it displays a valid control number assigned by the Office of Management
and Budget.
The collections of information in this final rule are in 27 CFR 178.102,
178.124(c), 178.129(b), 178.131, and 178.150. This information is required
to implement the provisions of Public Law 103- 159, relating to the permanent
provisions of the Brady Handgun Violence Prevention Act. The collections
of information are required to ensure compliance with the law. The likely
respondents and/or recordkeepers are individuals and businesses.
Estimated number of respondents: 106,000.
Estimated burden hours: 1 hour.
However, the above mentioned regulations which implement the Brady law
require amendments to ATF Form 4473. In order to prevent a duplication
of burden hours, the burden hours that are associated with the collections
of information in these regulations (1,136,266 hours) will be reported
under OMB control number 1512-0129, the Supporting Statement for ATF Form
4473, Firearms Transaction Record, Part I. The following paragraphs explain
the additional burden hours.
Section 178.102 requires, with some exceptions, licensees to contact
NICS before transferring any firearm to an unlicensed individual. The estimated
total annual reporting and/or recordkeeping burden associated with this
requirement is 824,000 hours. Section 178.124(c) requires licensees to
record on Form 4473 the date the licensee contacts NICS and any identification
number provided by NICS. The licensee must also verify the identity of
the person acquiring the firearm by examining an identification document
presented by the transferee. Form 4473 will include certain optional information
about the purchaser, such as the person's social security number and alien
registration number. Section 178.131 requires licensees to maintain certain
records for firearms transactions not subject to a NICS check. The estimated
total annual reporting and/or recordkeeping burden associated with Secs.
178.124(c) and 178.131 is 308,266 hours. Section 178.129(b) requires licensees
to retain a completed Form 4473 for a period of not less than 5 years where
the transfer of a firearm is not made. The estimated total annual recordkeeping
burden associated with this requirement is 4,000 hours. Section 178.150
provides for an alternative to NICS in certain geographical locations.
Licensees must submit a written application to the Director containing
certain information. The same requirement currently applies to the waiting
period provision of the Brady law for transfers of handguns. Since this
requirement was established in 1994, no licensee has qualified for an exception
from the provisions of Brady based on geographical location. As such, ATF
does not believe that there is any reporting and/or recordkeeping burden
associated with the requirements of Sec. 178.150 with regard to NICS.
Certain collections of information contained in Sec. 178.129(b), previously
approved under control numbers 1512-0520, 1512-0006, and 1512-0524, are
merely being redesignated as Sec. 178.129(c) in this final rule. Similarly,
the collections of information in Sec. 178.129(c), (d), and (e), previously
approved under control numbers 1512-0129 and 1512-0526, are being redesignated
as Sec. 178.129(d), (e), and (f) in the final regulation.
Comments concerning the accuracy of these burden estimates and suggestions
for reducing the burden should be directed to the Chief, Document Services
Branch, Room 3110, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts
Avenue, NW, Washington, DC 20226, and to the Office of Management and Budget,
Attention: Desk Officer for the Department of the Treasury, Bureau of Alcohol,
Tobacco and Firearms, Office of Information and Regulatory Affairs, Washington,
DC 20503.
Disclosure
Copies of the notice of proposed rulemaking, all written comments, and
this final rule will be available for public inspection during normal business
hours at: ATF Public Reading Room, Room 6480, 650 Massachusetts Avenue,
NW., Washington, DC.
Drafting Information. The author of this document is James P. Ficaretta,
Regulations Division, Bureau of Alcohol, Tobacco and Firearms.
List of Subjects
Part 178
Administrative practice and procedure, Arms and ammunition, Authority
delegations, Customs duties and inspection, Exports, Imports, Military
personnel, Penalties, Reporting requirements, Research, Seizures and forfeitures,
and Transportation.
Part 179
Administrative practice and procedure, Arms and munitions, Authority
delegations, Customs duties and inspection, Exports, Imports, Military
personnel, Penalties, Reporting requirements, Research, Seizures and forfeitures,
and Transportation.
Authority and Issuance
For the reasons discussed in the preamble, ATF amends 27 CFR Parts 178
and 179 as follows:
PART 178-COMMERCE IN FIREARMS AND AMMUNITION
Paragraph 1. The authority citation for 27 CFR Part 178 continues to
read as follows:
Par. 2. Section 178.11 is amended by adding a definition for "NICS"
to read as follows: [p58278]
Sec. 178.11 -- Meaning of terms.
* * * * *
NICS. The National Instant Criminal Background Check System established
by the Attorney General pursuant to 18 U.S.C. 922(t).
* * * * *
Par. 3. Section 178.73 is revised to read as follows:
Sec. 178.73 -- Notice of revocation, suspension, or imposition of civil
fine.
(a) Basis for action. Whenever the regional director (compliance) 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, a notice of revocation, suspension, or
imposition of a civil fine may be issued on ATF Form 4500 whenever the
regional director (compliance) 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.
(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 regional director (compliance) 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 regional director (compliance) shall issue a final notice
of suspension or revocation and/or imposition of a civil fine on ATF Form
4501, as provided in Sec. 178.74.
Par. 4. Section 178.74 is revised to read as follows:
Sec. 178.74 -- 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 regional director (compliance)
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 regional director (compliance) 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 regional director (compliance) 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), that the license should be revoked
or suspended, and/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 4501.
If the decision is that the license should not be revoked, or in actions
under 18 U.S.C. 922(t)(5), that the license should not be revoked or suspended,
and a civil fine should not be imposed, the licensee shall be notified
in writing.
Par. 5. Section 178.78 is revised to read as follows:
Sec. 178.78 -- Operations by licensee after notice.
In any case where denial, suspension, or revocation proceedings are
pending before the Bureau of Alcohol, Tobacco and Firearms, 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 regional director (compliance) 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.
Par. 6. Section 178.96 is amended by revising the first sentence in
paragraph (b), and by revising paragraph (c) to read as follows:
Sec. 178.96 -- Out-of-State and mail order sales.
* * * * *
(b) A licensed importer, licensed manufacturer, or licensed dealer may
sell a firearm that is not subject to the provisions of Sec. 178.102(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. 178.124. * * *
(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. 178.102;
(iii) The purchaser furnishes to the licensed importer, licensed manufacturer,
or licensed dealer the firearms transaction record, Form 4473, required
by Sec. 178.124; 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 published
ordinances of both such States.
Par. 7. Section 178.97 is revised to read as follows:
Sec. 178.97 -- 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.
178.99(b) or Sec. 178.99(c), the licensee complies with the requirements
of Sec. 178.102, and the licensee records such loan or rental in the records
required to be kept by him under Subpart H of this part. [p58279]
(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.
Par. 8. Section 178.102 is revised to read as follows:
Sec. 178.102 -- 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
(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. 178.124(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. 178.129.
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 179; or
(3) On application of the licensee, in accordance with the provisions
of Sec. 178.150, 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. 178.131.
(Approved by the Office of Management and Budget under control number
1512-0544)
Par. 9. Section 178.124 is amended by revising paragraph (c), by removing
"paragraph (c)(1)(ii)" in paragraphs (d) and (e) and adding in
its place "paragraph (c)(3)(ii)", by revising the first sentence
in paragraph (f), and by revising the parenthetical text at the end of
the section to read as follows:
Sec. 178.124 -- Firearms transaction record.
* * * * *
(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; whether the transferee is a citizen of the
United States; 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. [p58280]
(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 and alien registration number (if applicable).
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. 178.11) presented, and shall note on the Form
4473 the type of identification used;
(ii) Shall, in the case of a transferee who is an alien legally in the
United States, cause the transferee to present documentation establishing
that the transferee is a resident of the State (as defined in Sec. 178.11)
in which the licensee's business premises is located, and shall note on
the form the documentation used. Examples of acceptable documentation include
utility bills or a lease agreement which show that the transferee has resided
in the State continuously for at least 90 days prior to the transfer of
the firearm; and
(iii) Shall comply with the requirements of Sec. 178.102 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 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.
* * * * *
(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. 178.102(a), and who is a resident
of the State in which the licensee's business premises are located. * *
*
* * * * *
(Paragraph (c) approved by the Office of Management and Budget under
control number 1512-0544; paragraph (f) approved by the Office of Management
and Budget under control number 1512-0130; all other recordkeeping approved
by the Office of Management and Budget under control number 1512-0129)
Sec. 178.124a -- [Amended]
Par. 10. Section 178.124a is amended by removing the period at the end
of the introductory text of paragraph (e) and adding in its place a colon.
Sec. 178.125a -- [Amended]
Par. 11. Section 178.125a is amended by adding "comply with the
provisions of Sec. 178.102 or" after the phrase "is not required
to" in the introductory text of paragraph (a).
Par. 12. Section 178.129 is amended by revising paragraph (b), by redesignating
paragraphs (c), (d), and (e) as paragraphs (d), (e), and (f), by adding
new paragraph (c), and by revising the parenthetical text at the end of
the section to read as follows:
Sec. 178.129 -- Record retention.
* * * * *
(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. 178.124(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. 178.150(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.
* * * * *
(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)
Sec. 178.130 -- [Removed]
Par. 13. Section 178.130 is removed.
Par. 14. Section 178.131 is revised to read as follows:
Sec. 178.131 -- 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. 178.102(d) and is not subject to the NICS
check prescribed by Sec. 178.102(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. 178.102(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 Secs. 178.102(d)(3) and 178.150, 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. 178.129(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
1512-0544)
Par. 15. Section 178.150 is revised to read as follows:
Sec. 178.150 -- Alternative to NICS in certain geographical locations.
(a) The provisions of Sec. 178.102(d)(3) shall be applicable when the
Director has certified that compliance with the provisions of Sec. 178.102(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; [p58281]
(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. 178.129(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
1512-0544) PART 179-MACHINE GUNS, DESTRUCTIVE DEVICES, AND CERTAIN OTHER
FIREARMS
Par. 16. The authority citation for 27 CFR part 179 continues to read
as follows:
Authority: 26 U.S.C. 7805.
Par. 17. Section 179.86 is amended by adding a sentence at the end of
the section to read as follows:
Sec. 179.86 -- Action on application.
* * * 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.
Signed: October 1, 1998.
John W. Magaw,
Director.
Approved: October 16, 1998.
John P. Simpson,
Deputy Assistant Secretary (Regulatory, Tariff and Trade Enforcement).
4848 E. Cactus, #505-440 Scottsdale, AZ 85254
602-996-4020 Phone 602-494-0679 FAX
1-800-707-4020 Book orders
Alan Korwin is the author of
"Gun Laws of America--Every Federal Gun Law on the Books, with Plain
English Summaries,"
and state gun guides for AZ, CA, FL, TX, VA.
If you knew all your rights you might demand them.
Steve Maniscalco
When you disarm your subjects you offend them by showing that
either from cowardliness or lack of faith, you distrust them; and either
conclusion will induce them to hate you.
Niccolo Machiavelli "The Prince"
Only the rulers should be armed.
U.N. agenda
IF YOU'VE GOT A GUN YOU'RE NOT A CROOK AND THE GUN'S NOT ILLEGAL,
THAT'S NOT A CRIME.
The Committee to Arrest Criminals and Leave Decent People
Alone.
Another idea from https://www.bloomfieldpress.com
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and updates
Bloomfield Press We publish the gun laws.
NOTE: Updates from the new 19th edition of The Arizona Gun Owner's
Guide
(set for release first week in Nov., 1998)
will be posted on our website shortly.