27 CFR 478.102(d)(1)

[Code of Federal Regulations]
[Title 27, Volume 2]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 27CFR478.102]

[Page 92-93]

TITLE 27--ALCOHOL, TOBACCO PRODUCTS AND FIREARMS

CHAPTER II--BUREAU OF ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES,
DEPARTMENT OF JUSTICE

PART 478_COMMERCE IN FIREARMS AND AMMUNITION--Table of Contents

Subpart F_Conduct of Business

Sec. 478.102 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. 478.124(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

[[Page 93]]

records of the licensee in accordance with the provisions of Sec.
478.129. 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 479;
or
(3) On application of the licensee, in accordance with the
provisions of Sec. 478.150, 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. 478.131.

(Approved by the Office of Management and Budget under control number
1512-0544)

[T.D. ATF-415, 63 FR 58279, Oct. 29, 1998]