BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND EXPLOSIVES
Supporting Statement
Information Collection Request
OMB 1140-0020
ATF 4473 (5300.9) Part I, Firearms Transaction Record
Part I, Over-the-Counter
A. Justification
1. The subject form is required under the authority of 18 U.S.C.§ 922 and 923 and 27 CFR 478.124. These sections of the Gun Control Act (GCA) prohibit certain persons from shipping, transporting, receiving or possessing firearms. A Federal firearms licensee may not dispose of a firearm to these persons. A licensee is subject to other restrictions for the disposition of a firearm under the GCA. Age and place of residence also determine whether a person may lawfully receive a firearm. The form 4473 (5300.9) Firearms Transaction Record Part I –Over-The-Counter, poses questions to the potential transferee; his/her answers will allow the transferor (the licensee) to determine the eligibility of the transferee. The form should only be used for sales or transfers where the seller is licensed under 18 U.S.C. 923.
2. Needs and Uses
A person purchasing a firearm from a Federal firearms licensee completes Section A of the form. The purchaser’s answers to the question determine whether or not he/she is eligible to receive the firearm. If the purchaser is eligible to receive the firearm, Section B is completed by the licensee (dealer seller) the licensee must contact the Federal Bureau of Investigation (FBI) NICS or the Point of Contact (POC) State to determine if the firearm can be legally transferred to the purchaser. The form is entered into the licensee’s permanent records and is used primarily in investigations of criminal nature, and secondarily as an inspection tool in determining that the licensee is in conformity with the GCA.
3. Use of Information Technology
The ATF F 4473 is available electronically. The form will be available on the ATF website, to download and print. The industry members that have technical capabilities will be able to download the form to their computer systems. For those respondents that will not be able to access the form electronically the form will be made available at ATF Distribution Center. The Distribution Center will continually stock the ATF F 4473 for distribution.
4. Efforts to Identity Duplication
ATF uses a uniform subject classification system for forms to identify duplication and to ensure that any similar information already available cannot be used or modified for use for the purpose of this information collection.
5. Minimizing Burden on Small Businesses
This collection of information has no impact on small businesses.
6. Consequences of Not Conducting or less frequent Collection
The consequence of not conducting this collection of information or conducting it less frequently would result in the licensee selling and transferring a firearm to a person who is not eligible. The form is critical with regard to the prevention of criminal diversion of firearms and enhances law enforcement’s ability to trace firearms that are recovered in crimes.
The collection of this information will be necessary to comply with the statutory requirements to verify the eligibility of an individual receiving or possessing firearms under the Gun Control Act. There is no discretionary authority on the part of the Agency to waive these requirements. The respondents are required to supply this information as often as necessary to comply with statutory provisions.
7. Special Circumstances
There are no special requirements that would cause the information collection to be conducted in any other manner.
8. Public Comments and Consultations
ATF consulted with licensees, Federal and State law enforcement agencies and FBI (NICS) to obtain their views on the availability of data, frequency of collection, clarity of instructions and recordkeeping, disclosure, or reporting format, and on the data elements to be recorded, disclosed or reported. A 60-day and 30-day Federal Register notice was published in the Federal Register in order to solicit comments from the general public.
9. Provision of Payments or Gifts to Respondents
No payment or gift is offered to the respondent.
10. Assurance of Confidentiality
All records regarding these collections are kept on the dealer’s premises in a secured location. Confidentiality is not assured.
11. Justification for Sensitive Questions
Questions of a sensitive nature are asked to ensure that firearms are not sold to or received by certain persons. The information and certification on the form are designed so that a person licensed under 18 U.S.C. 923 may determine if he or she lawfully may sell or deliver a firearm to the person acquiring the firearm.
12. Estimate of Respondent’s Burden
The number of respondents associated with this information collection is 112,073. Each respondent completes the form 1 time. The total annual responses are 112,073. It is estimated that it takes 30 minutes to complete the form. The total annual burden hours for this information collection is 56,037.
13. Estimate of Cost Burden
There is no cost to respondent due to the fact that the respondent completes the form on the premises in front of the store dealer.
14. Cost to Federal Government
Cost of printing, distributing, and mailing the form is estimated at $875,000.00. The cost includes printing an estimated 15,000,000 forms, shrink wrapping, inserting in envelopes and mailing to the Federal firearms licensees as well as delivering a bulk supply to the ATF Distribution Center for stock.
15. Reason for Change in Burden
There is no change in burden from the previous submission.
16. Anticipated Publication Plan and Schedule
The information collection will not be published.
17. Display of Expiration Date
ATF request authorization to omit printing the expiration date on this form. Printing the expiration date on this form will result in increased cost because of the need to replace inventories that become obsolete by the passage of the expiration date each time OMB approval is renewed. Also, because of the criticality of this form, changes can occur at any time. In addition, usage fluctuates unpredictably. ATF must maintain a substantial inventory of forms at the Distribution Center at all times. For these reasons, ATF request authorization to omit printing the expiration date on the form.
18. Exception to the Certification Statement
There are no exceptions to the certification statement.
B. Statistical Methods:
This collection of information employs no statistical methods.
| File Type | application/msword |
| File Title | OMB JUSTIFICATION |
| Author | ATF |
| Last Modified By | ATF |
| File Modified | 2011-08-04 |
| File Created | 2011-08-04 |