Dlr-02 Consumer Firearms Transfers

NOTICE: THIS DOCUMENT IS CURRENT AS OF THE MAY 2020 REVISION OF THE FORM 4473.  UPON ISSUANCE OF A NEW FORM 4473, CONTACT ORCHID ADVISORS FOR AN UPDATED POLICY DOCUMENT. 

a.     Overview

·       This document specifies the procedures for:

-      Transferring firearms to non-licensees

-      Conducting background checks

-      Completion of the ATF Form 4473 for transfers to non-licensees

-      Completion of the Report of Multiple Handgun Sales (Form 3310.4)

-      Completion of the Report of Multiple Sales of Certain Rifles (Form 3310.12) 

-      Completion of the Application for Tax Paid Transfer and Registration of Firearm (Form 4)

·       All transfers of firearms to non-licensees must occur via completion of a Form 4473, background check, and if necessary, Form 4 approval (for NFA items only), unless otherwise exempted by law (e.g., repair return).  The Forms must be completed accurately and timely and must be retained properly in accordance with this Policy, the instructions on the Form 4473 itself, and other applicable Company policies. 

-   Transfers include, but are not limited to: sales to consumers; pawn redemptions; returning consigned firearms to consumers; return of repaired firearm to someone other than the customer who provided the firearm (e.g., spouse), and loan of a firearm to an individual not employed by Company. 

·       When a transfer is conducted via the Form 4473, the following transfers are exempt from the background check (unless mandated by State law): 

                                               i.     Transfer of an NFA item upon receipt of an approved Form 4

                                              ii.     Transferee possesses a valid permit from the State in which the transfer is to take place and which qualifies as an exemption to NICS.  The listing of permits that qualify as an exemption can be found in the Permanent Brady Permit Chart at: https://www.atf.gov/rules-and-regulations/permanent-brady-permit-chart.

-   Transfers do NOT include (no Form 4473 or background check required): return of repaired firearm to same person; rental of firearm on premises. 

·       Only authorized personnel may perform Form 4473 transfers to consumers. 

-   Employees must undergo training prior to being authorized to perform Form 4473 transfers.

-   Employees are required to undergo annual re-training at least one time per year to continue performing Form 4473 transfers. 

·       Employees performing the 4473 transfer shall record their name in Box 27g.

·       Upon completion of the Form 4473 and prior to transfer of the firearm to the transferee, a second employee shall review each 4473 and sign Box 32.  

·       Employees shall ensure the transferee’s handwriting is legible.  If the transferee’s Section A entries are illegible a new Form 4473 shall be completed by the transferee. 

·       Government-issued photo identification is required for all 4473 transfers.  A second government-issued document without a photograph (e.g., tax bill or electronic document from a government website) is acceptable to prove address if the photo identification has an old or incorrect address, or, if the transferee has multiple legal states of residence.  If the transferee has to provide two pieces of documentation they shall be copied and attached to the Form 4473 and the second recorded in Box 26b. 

·       If Company’s state or a nonresident purchaser’s state of residence requires a license or permit for firearm purchase or possession, such license or permit shall be obtained, verified, and a copy shall be attached to the Form 4473.   

·       All regulatory paperwork associated with the Form 4473 – Report of Multiple Sales, Form 4 – shall be attached to and maintained with the Form 4473.  Note, a separate copy of the Form 4 and copy of the 4473 to which it pertains shall be kept in a separate NFA file in accordance with Company Policy Dlr-05. 

·       If a background check – NICS or State POC – results in a delayed response and the transfer remains pending, the Form 4473 shall be provided to [employee or department tbd by Company] for retention and further processing. 

·       Firearms may only be transferred:

-   After NICS or State POC “Proceed” response; or

-   After NICS or State POC provides a “Delayed” response and subsequently provides a “Proceed” response; or

-   Upon expiration of the applicable waiting period following a “Delayed” response – 3 days Federally – and no further response is provided by NICS or the State POC, provided that, Company’s State and the transferee’s state (if different) both allow for a transfer of a firearm without an affirmative “Proceed” response.  HOWEVER, note that some states mandate extended waiting periods and still other states do not allow for a transfer unless an affirmative “Proceed” response is received (check state law prior to transfer). 

·       The employee processing the transaction is responsible for contacting [Employee or department tbd by company] for confirmation on whether Multiple Sales Forms are required in connection with each transfer. 

b.     Applicable Regulations and Forms

·       ATF Form 4473, Firearms Transaction Record Part I Over-the-Counter

·       ATF Form 3310.4, Report of Multiple Sale or Other Disposition of Pistols and Revolvers

·       ATF Form 3310.12, Report of Multiple Sale or Other Disposition of Certain Rifles 

·       27 CFR 478.124

·       27 CFR 479.84

·       ATF Rul. 2016-2

a.     Reports and Tools

·       Book of Acquisition and Disposition

·       ATF Form 4473

·       Report of Multiple Sale or Other Disposition of Pistols and Revolvers

·       Report of Multiple Sale or Other Disposition of Certain Rifles

·       ATF Form 4

b.     Transfers to Non-Licensees of GCA Firearms 

·       **All employees must be trained prior to conducting Form 4473 transfers.  All employees should review this policy and read the Form 4473 instructions thoroughly prior to being permitted to perform 4473 transfers.  

·       *Transfers of NFA Firearms start with the Form 4 prior to the Form 4473; see below. 

·       Complete Section A by recording the serial number(s) and firearm information required. 

·       Provide 4473 to Customer. They complete Section B in your presence. 

·       Obtain photo identification.  Obtain second identification document (photo not necessary) if:

-   The transferee’s photo identification does not contain their current address; or

-   The transferee has two states of residence and the photo identification document does not contain the address located within your state in order to proceed with the applicable transaction (e.g., handgun transfer).  

·       If transferee marked “Yes” for 21.l.1 and 21.l.2, obtain additional documentation necessary to confirm transferee’s exception to the nonimmigrant alien prohibition. 

·       REVIEW SECTION B to confirm transferee has entered all required answers and to confirm the transferee has not marked any boxes rendering them a prohibited person.  

·       Complete questions 24-26d within Section C, as applicable. 

·       Background Check (Federal Only; if your State is a Partial or Total POC, refer to their procedures for background check processing) If a NICS check is required (e.g., not an NFA transfer, and customer does not have a valid permit that qualifies as an exemption to the NICS check) contact NICS for Background check via phone or computer (eNICS). 

-   Via phone:

·       Dial 1-877-FBI-NICS

·       Follow the prompts to perform the background check. 

·       See below for courses of action for PROCEED, DENIED, DELAYED, or CANCELLED. 

-   Via eNICS:

·       Log in to eNICS. 

·       Click “Submit a Search Request – E.C.” from the Processes section. 

·       Enter all information required by the eNICS system.  Verify the information and click “Submit.” 

·       See below for courses of action for PROCEED, DENIED, DELAYED, or CANCELLED. 

·       Background check results

-   PROCEED…

·       Record the applicable information in Boxes 27a – 27c, as applicable.

·       Record your name in Box 27g 

·       Complete Box 33 in Section E. 

·       Have second employee review for errors / missing items, correct as necessary in accordance with ATF permitted correction procedures (see below for corrections). Second employee should record their name in Box 32. 

·       Complete Boxes 34 – 36. 

·       Transfer the firearm(s) to the transferee. 

·       Provide the 4473 to [employee or department tbd by company] for A&D Book recording. 

·       [employee or department tbd by company] must file the Form 4473 in chronological order [or company may elect to file alphabetical by last name of purchaser or by 4473 serial number; modify the foregoing as applicable]. 

-   DENIED…

·       The employee shall inform the transferee the transfer was denied and if they believe they have been erroneously denied they may contact NICS to appeal the determination. 

·       Do NOT transfer the firearm. 

·       Record the applicable information in Boxes 27a – 27c, as applicable. 

·       Record your name in Box 27g. 

·       Complete Boxes 33-35 in Section E, as applicable. 

·       Do NOT enter the date in Box 36. 

·       Have second employee review for errors / missing items, correct as necessary in accordance with ATF permitted correction procedures (see below for corrections). Second employee should record their name in Box 32.

·       Provide 4473 to [employee or department tbd by company] for filing. 

·       [employee or department tbd by company] must file the Form 4473 in chronological order [or company may elect to file alphabetical by last name of purchaser or by 4473 serial number; modify the foregoing as applicable] in a file separate from Forms 4473 in which the transfer did occur. 

-   DELAYED…

·       Inform transferee that the NICS response was delayed and that they may not receive the firearm until (a) NICS provides a proceed response, or (b) 3 full business days have expired and NICS provides no further response (unless State law mandates a longer time period or prohibits transfers without a proceed response; check state law). 

·       Record the applicable information in Boxes 27a – 27c, as applicable.

                                                        i.     In Box 27c, record the day upon which the firearm may be transferred per Federal, or applicable State law.  Federal law permits a transfer after three FULL business days have expired.  At the end of this policy there is a table that provides the permitted transfer day. 

·       Complete Box 32 in Section E, as applicable. 

·       Provide 4473 to [employee or department tbd by company] to hold the pending Form until conclusion of transaction. 

·       For Delayed responses via telephone:

                                                        i.     NICS will conduct is research to determine if the transferee is prohibited by law from possessing a firearm. 

                                                       ii.     NICS will contact the FFL to provide a Proceed or Denied response, as applicable. 

                                                      iii.     If the response is not received within 3 full days according to the chart below, contact the customer and have them come in for transfer of the firearm.  

·       Provide the Form 4473 to the transferee to complete Boxes 30 – 31 of Section D. 

·       Have second employee review for errors / missing items, correct as necessary in accordance with ATF permitted correction procedures (see below for corrections). Second employee should record their name in Box 32.

·       Complete Boxes 34-36. 

a.      [employee or department tbd by company] must file the Form 4473 in chronological order [or company may elect to file alphabetical by last name of purchaser or by 4473 serial number; modify the foregoing as applicable]. 

b.     If the response is later received after the transfer of the firearm, record the information in Box 27e, as applicable.  

                                                     iv.     If the response is received within 3 days, record the information in 27d, as applicable.  Proceed according to the instructions herein that correspond to the applicable response. 

·       [employee or department tbd by company] must file the Form 4473 in chronological order [or company may elect to file alphabetical by last name of purchaser or by 4473 serial number; modify the foregoing as applicable]. 

·       For Delayed responses via eNICS:

                                                        i.     A “Researching” or “Delayed” status will appear in eNICS.  This indicates NICS will conduct is research to determine if the transferee is prohibited by law from possessing a firearm. 

                                                       ii.     To check the NTN status between the receipt of the Delayed status and the point in time at which the firearm may be transferred without a response, log into eNICS and select “Check NTN Status”.  

                                                      iii.     If the status is not changed from Delayed for 3 full business days according to the chart below, contact the customer and have them come in for transfer of the firearm.  

·       Provide the Form 4473 to the transferee to complete Boxes 30 – 31 of Section D. 

·       Have second employee review for errors / missing items, correct as necessary in accordance with ATF permitted correction procedures (see below for corrections). Second employee should record their name in Box 32.

·       Complete Boxes 34-36. 

a.      [employee or department tbd by company] must file the Form 4473 in chronological order [or company may elect to file alphabetical by last name of purchaser or by 4473 serial number; modify the foregoing as applicable]. 

b.     If the response is later received after the transfer of the firearm, record the information in Box 27e, as applicable.  

                                                     iv.     If the status does change from Delayed within 3 days, record the information in 27d, as applicable.  Proceed according to the instructions herein that correspond to the applicable response. 

·       [employee or department tbd by company] must file the Form 4473 in chronological order [or company may elect to file alphabetical by last name of purchaser or by 4473 serial number; modify the foregoing as applicable]. 

-   CANCELLED…

·       *Cancelled responses occur when the FBI discovers that the NICS check was not initiated in accordance with ATF or FBI regulations.  The firearm cannot be transferred and a new NICS check must be initiated if the transfer is still desired. 

·       Inform the transferee the NICS check was cancelled by NICS and that the transfer may be attempted again.  

·       Record the applicable information in Boxes 27a – 27c, as applicable.

·       Record your name in Box 27g. 

·       Complete Box 33 – 35 in Section E, as applicable. Do NOT enter the date in Box 36. 

·       Have second employee review for errors / missing items, correct as necessary in accordance with ATF permitted correction procedures (see below for corrections). Second employee should record their name in Box 32.

·       Provide 4473 to [employee or department tbd by company] for filing. 

·       If the transferee desires to attempt to purchase the firearm again, start the process over.  

·       [employee or department tbd by company] must file the Form 4473 in chronological order [or company may elect to file alphabetical by last name of purchaser or by 4473 serial number; modify the foregoing as applicable] separate from Forms 4473 in which the transfer did occur successfully. 

·       Corrections on 4473

-   *NOTE: Only the party who made the error can correct it.  In other words, only the transferee can correct an error in Section B or D, and only the FFL can correct an error in Sections A, C, or E. 

-   If the correction is occurring during the transfer process (i.e., when the Form 4473 is initially being completed):

·       The party who made the error should strike through the error and make the correction.  They should initial and date the correction made. 

-   If the correction is being performed after the Form 4473 has been signed and filed:

·       The page upon which the error was made must be photocopied.  

·       The party who is correcting the error should strike through the error and make the correction.  They should initial and date the correction made. 

·       The photocopied page must be attached to the original Form 4473 and re-filed. 

c.     Report of Multiple Sale or Other Disposition of Pistols and Revolvers

·       *If the transferee is purchasing multiple handguns in one transaction, or, if purchasing a single handgun and the transferee purchased another handgun within 5 consecutive business days, the Report of Multiple Sale or Other Disposition of Pistols and Revolvers must be completed and filed as detailed below. For example, assume an FFL is open 7 days a week.  If a transferee purchases one pistol on Monday and another pistol on Friday, the Report must be filed.  If the transferee purchases the second pistol on Saturday rather than Friday, the report need not be filed. 

·       [employee or department tbd by company] is responsible for responding to employee inquiries as to whether a Report of Multiple Sale must be completed and filed. 

·       If the Report of Multiple Sale must be filed, the employee performing the 4473 transfer shall complete the Form and provide the Form to [employee or department tbd by company] with the Form 4473 to which it pertains. 

·       [employee or department tbd by company] shall submit a copy to the local Chief Law Enforcement Officer (CLEO). 

·       [employee or department tbd by company] shall submit one copy to ATF at multiplehandgunsalesforms@atf.gov.

·       The original form shall be attached to the Form 4473 and filed as applicable. 

d.     Report of Multiple Sale or Other Disposition of Certain Rifles

·       *This Report only applies to FFLs located in Arizona, California, New Mexico, and Texas. This report only applies to semiautomatic rifles that are capable of accepting a detachable magazine (includes bullet button magazines) and are of a caliber greater than .22 (includes .223/5.56mm).  If the transferee is purchasing multiple rifles in one transaction, or, if purchasing a single rifle and the transferee purchased another rifle within 5 consecutive business days, the Report of Multiple Sale or Other Disposition of Certain Rifles must be completed and filed as detailed below. For example, assume an FFL is open 7 days a week.  If a transferee purchases one rifle on Monday and another rifle on Friday, the Report must be filed.  If the transferee purchases the second rifle on Saturday rather than Friday, the report need not be filed.

·       [employee or department tbd by company] is responsible for responding to employee inquiries as to whether a Report of Multiple Sale must be completed and filed. 

·       If the Report of Multiple Sale must be filed, the employee performing the 4473 transfer shall complete the Form and provide the Form to [employee or department tbd by company] with the Form 4473 to which it pertains. 

·       [employee or department tbd by company] shall submit one copy to ATF at multiplelonggunsalesforms@atf.gov.

·       The original form shall be attached to the Form 4473 and filed as applicable.

e.     NFA Firearm Transfers to Non-Licensees: Form 4 – Application for Tax Paid Transfer and Registration of Firearm  

·       **All employees must be trained prior to conducting Form 4 applications.  All employees should review this policy and read the Form 4 instructions thoroughly prior to being permitted complete Form 4 applications.  

·       Prior to beginning the Form, ensure the transferee has the necessary photograph, fingerprints on FBI Form FD-258, and payment method ready. 

-   The photograph must be a 2”x2” photo showing the front of their face (like a passport photo) and have been taken within 1 year of the transaction. 

·       Have the transferee complete 2a – 2b. 

-   If the transferee is a trust or legal entity (e.g., LLC or corporation), the trust or entity name and address where the firearms will reside should be entered. 

·       The employee performing the transaction shall complete Boxes 1 – 11. 

-   The firearm information recorded in 4a – 4h should match the information on the NFA Form used to register the firearm to you (usually a Form 3). 

·       The transferee completes Boxes 12 – 23. 

-   Box 13 must be completed if: (a) the firearm is a machine gun, a short barreled rifle, a short barreled shotgun, or a destructive device (not completed for silencers), (b) the transferor is an FFL, AND (c) the transferee is NOT a licensed FFL/SOT.  

-   If the transferee is a trust or other legal entity, Boxes 14 – 20 should be omitted. 

-   If the transferee is a trust or other legal entity, the transferee must provide a document showing existence (e.g., Declarations of Trust, Articles of Incorporation, etc.) to attach to the Form 4. 

-   If the transferee is a trust or other legal entity, each Responsible Person must include a completed NFA Responsible Person Questionnaire with the Form 4. 

-   If the transferee is a trust or other legal entity, only one Responsible Person must sign the Form 4.

·       Ensure the appropriate copy is provided to the transferee to mail to their CLEO; the CLEO copy does not show the serial number and payment information.  

-   Each Responsible Person of a trust or other legal entity must submit a Responsible Person Questionnaire for to their respective CLEOs. 

·       Place all the applicable documents (2 copies of the Form 4, fingerprints, check and legal entity documents if applicable) in an envelope FFL submits 2 copies to NFA Division at: Bureau of Alcohol, Tobacco, Firearms and Explosives, P.O. Box 5015, Portland, OR 97208-5015. 

·       Provide the CLEO copy to the transferee who must mail it to their CLEO. 

·       After processing and approval (generally over 9 months) ATF will send the approved Form 4 to your licensed premises. 

·       When the approved Form 4 arrives, [employee or department tbd by company] shall contact the transferee and inform them they may come obtain their firearm.  

·       When the transferee arrives, an employee shall perform the 4473 transfer process in accordance with the requirements above (the employee must check Box 28 for NICS exemption if the only firearm involved is the NFA firearm on the Form 4). 

·       The employee who performs the 4473 transfer shall thereafter provide the 4473 and a copy of the Form 4 to [employee or department tbd by company] for filing. 

·       [employee or department tbd by company] shall file copy of Form 4 / 4473 in the 4473 folder. 

·       [employee or department tbd by company] shall also file copy of Form 4 / 4473 in NFA Form files.  

·       Physically completing the ATF Form 4473 - [employee or department tbd by company]

·       Populating the A&D Book with ATF Form 4473 information – [employee or department tbd by company]

·       Conducting NICS background checks on purchasers – [employee or department tbd by company]

·       Physically completing the Multiple Sales Report – [employee or department tbd by company]

·       Reviewing ATF Form 4473s and Multiple Sales Reports - [employee or department tbd by company]

·       Submitting Multiple Sales Reports to CLEO and ATF – [employee or department tbd by company]

·       Completing ATF Form 4 – [employee or department tbd by company] 

·       Submitting Form 4 to ATF – [employee or department tbd by company]

·       GCA Firearms – Pistols, Revolvers, Rifle, Shotgun, Frames, Receivers, and other non-NFA Firearms such as “Pistol Grip Firearms” over 26” in length

·       NFA Firearms – Silencers, Short Barreled Rifles, Short Barreled Shotguns, Machine Guns, Machine Gun Receivers, Destructive Devices, and “Any Other Weapons”.  For guidance on what items are “Any Other Weapons” or “Destructive Devices” refer to the NFA Handbook available on ATF’s website. 

The following table provides the day upon which an FFL may transfer a firearm if NICS provided a delayed response and the FFL received no further response.  The table assumes no intervening state holidays or closures.