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
27 CFR 478.124.mht Supplementary Document	2012-09-24
18 USC 922.pdf Supplementary Document	2012-09-24
1140-0020 Justification_Supporting Statement 2015 - Final.docx Supporting Statement A	2015-10-20

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: 201510-1140-001
Status: Historical Active	Previous ICR Reference No: 201208-1140-002
Agency/Subagency: DOJ/ATF	Agency Tracking No:
Title: Firearms Transaction Record, Part 1, Over-the-Counter
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 01/05/2016
	Date Received in OIRA: 10/20/2015
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2019	36 Months From Approved	01/31/2016
Responses	14,409,616	0	14,409,616
Time Burden (Hours)	8,540,926	0	7,204,808
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.

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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:
	80 FR 44999	07/28/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 59816	10/02/2015
Did the Agency receive public comments on this ICR? Yes

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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) Part I	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	14,409,616	0	0	0	0
Annual Time Burden (Hours)	8,540,926	7,204,808	0	1,336,118	0	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: To calculate the number of respondents we contacted the FBI NICS group and received a count from them of the number of background checks conducted in 2014 (January 1 – December 31, 2014) for firearms purchases. We then estimated an additional 30% for firearms purchasers who were not required to undergo background checks due to exemptions, such as State-issued permits that act as a waiver for a background check (there are currently 24 States who have permits that act as waivers to background checks), customers picking up NFA firearms who are exempt from a background check, etc., but who would have been required to complete the ATF Form 4473. We also looked at the number of respondents utilized in the previous version and how many background checks were conducted during that period by NICS and compared it to the number conducted in 2014 to see how much of an increase the NICS system experienced compared to 2012.

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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: 10/20/2015

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