Firearms Transaction Record, Part 1, Over-the-Counter

Forms and Documents

Document Name	Status
Form ATF F 4473 (5300.9 Firearms Transaction Record, Part 1, Over-the-Counter Form and Instruction	Modified
Emer_Request_Dec_2011_5103gg FINAL CLEAN.docx Supplementary Document	2011-12-21
Emer_Request_Justification_Dec_2011_5104gg_FINAL_CLEAN -04-12-12.docx Supporting Statement A	2012-04-13
CFR 478.124.doc Supplementary Document	2008-07-22
18 U.S.C. 922.htm Supplementary Document	2008-07-22

IC Document Collections

IC ID	Document Title	Status
12738	Firearms Transaction Record, Part 1, Over-the-Counter Form and Instruction	Modified

ICR Details

OMB Control No: 1140-0020	ICR Reference No: 201112-1140-004
Status: Historical Active	Previous ICR Reference No: 201108-1140-001
Agency/Subagency: DOJ/ATF	Agency Tracking No:
Title: Firearms Transaction Record, Part 1, Over-the-Counter
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Emergency	Approval Requested By: 12/23/2011
OIRA Conclusion Action: Approved with change	Conclusion Date: 04/13/2012
	Date Received in OIRA: 12/23/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2012	6 Months From Approved	11/30/2012
Responses	14,409,616	0	112,073
Time Burden (Hours)	7,204,808	0	56,037
Cost Burden (Dollars)	0	0	0

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Abstract: Under 18 USC 922, ATF requires that a person purchasing a firearm from a Federal firearms licensee complete ATF Form 4473. The form is used to determine the eligibility (under the Gun Control Act) of a person to receive a firearm from a Federal firearms licensee and to establish the identity of the buyer.

Emergency Justfication: Emergency Request for Approval of Collection of Information The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) forwards this request for emergency approval of the collection of information associated with the ATF Form 4473 (5300.9). This emergency review has been requested in accordance with the Paperwork Reduction Act (44 U.S.C. Chapter 3507(j)), because public harm is reasonably likely to result if normal clearance procedures are followed. ATF is making conforming changes to ATF Form 4473 in order for it to be consistent with the Department’s recent legal conclusions concerning the proper scope of prohibitions and requirements in the Gun Control Act. First, based on an opinion of the Department’s Office of Legal Counsel (OLC), dated October 28, 2011, the Department has concluded that the statutory prohibitions in 18 U.S.C. 922(g)(5)(B) on transfer and possession of firearms apply only to nonimmigrant aliens admitted to the United States under a nonimmigrant visa, and do not apply to nonimmigrant aliens whose lawful presence in the United States did not require a visa. Appropriate changes have been made to Form 4473 to conform to OLC’s opinion. Second, the Department has also concluded that, under the language of the Gun Control Act, aliens lawfully present in the United States may not be subject to state residency requirements that are different from those that apply to U.S. citizens. Accordingly, ATF Form 4473 is being revised to strike an instruction on the form requiring aliens to establish residency in a State continuously for a period of at least 90 days prior to acquiring a firearm from a Federal firearms licensee, a requirement that does not apply to U.S. citizens. Immediate revisions to Form 4473 are necessary to conform with the law. If normal clearance procedures are followed, the Department believes there will be widespread confusion among Federal firearms licensees, as well as among aliens lawfully present in the United States who wish to purchase a firearm, about a process that if not performed correctly can result in the imposition of civil or criminal sanctions . Publication of the Federal Register notice advising the public of the emergency request will acquaint licensees and aliens with the Department’s legal positions. Delaying implementation of the new interpretation during a three to six month notice and comment period will generate many questions about which position licensees should follow. Immediate implementation is therefore required.

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Authorizing Statute(s): US Code: 18 USC 922 Name of Law: Unlawful acts
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 80404	12/23/2011
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Firearms Transaction Record, Part 1, Over-the-Counter	ATF F 4473 (5300.9)	Firearms Transaction Record Part I-Over-The-Counter

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	14,409,616	112,073	0	0	14,297,543	0
Annual Time Burden (Hours)	7,204,808	56,037	0	0	7,148,771	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated number of respondents (112,073) and corresponding annual burden hours (56,037) approved under this control number in 2008 were significantly inaccurate due to an underestimation of the number of respondents; the burden estimate per respondent was accurate and is not being changed,but the number of respondents is being changed. Based upon recent statistics concerning firearms transactions involving a federal background check, ATF now estimates there are 14,409,616 respondents each year

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Annual Cost to Federal Government: $1,500,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/23/2011

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