Emergency Clearance Request for Revision of Form 4473

U.S. Department of Justice
Bureau of Alcohol, Tobacco,
Firearms and Explosives
Office of Assistant Director
Washington, DC 20226

November 14, 2022
VIA EMAIL
Mr. Joseph B. Nye
OMB Desk Officer
Office of Information and Regulatory Affairs
New Executive Office Building
Washington, DC 20530
Dear Mr. Nye:
As the Assistant Director, Enforcement Programs and Services, Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF), I am requesting an emergency review and
approval of the attached Firearms Transaction Record/Registro de Transacción de Armas
de Fuego (ATF Form 4473) (OMB 1140-0020) pursuant to the requirements of the
Paperwork Reduction Act (PRA). This letter requests emergency approval of the ATF
Form 4473 by November 14, 2022, in accordance with 44 U.S.C. § 3507 and 5 C.F.R. §
1320.13, which permits such expedited approvals when a collection is needed prior to the
expiration of time periods established by the PRA, is essential to the mission of the agency,
would cause public harm if normal clearance procedures are followed, and an
unanticipated event has occurred and the use of normal clearance procedures will prevent
or disrupt the collection of information related to the event. See 44 U.S.C. §§ 3507(j)(1)
and (2).
This emergency processing is essential because compliance with normal clearance
procedures could cause public harm if the normal clearance process is followed, in that:
Federal firearms licensees (FFLs) must comply with statutory requirements that went into
effect on June 25, 2022, and that will be implemented within the Federal Bureau of
Investigation (FBI)’s National Instant Criminal Background Check System (NICS) on
November 14, 2022. FFLs will not be able to provide the required information and will be
placed at risk of violating the statutory changes if the form is not updated to coincide with
the NICS changes; in addition, public safety will be at risk due to prospective firearms
sales to statutorily prohibited persons if the requisite information is not gathered via the
revised form, and NICS background checks will not be able to be fully conducted.
ATF Form 4473 is essential to the ATF, FBI, and NICS public safety missions
Prospective firearm buyers complete the Form 4473, and the FFL relays that
information to the FBI’s NICS electronically or by phone. NICS staff perform a

-2background check on the buyer. That background check verifies the buyer is not prohibited
from purchasing or possessing a firearm. As a result, it is critical that the form remain
updated to include instructions, questions, and spaces for the specific information the
purchasers are required to provide and to remind licensees and prospective purchasers of
legal obligations and requirements. It also serves as a deterrent to prohibited purchases by
identifying penalties, including criminal ones, for violating the requirements.
The Bipartisan Safer Communities Act (the Act) was signed into law and became
effective on June 25, 2022. Among the changes enacted by the Act were a requirement for
FFLs to note when a purchaser is under the age of 21 and to meet additional background
check steps and timelines for mental health adjudication checks before an FFL may sell to
certain purchasers. The Act also included new requirements that FFLs stop a transaction if
they have any reason to believe the person is prohibited to receive or possess a firearm,
prohibits a licensee from transferring a firearm to a person who intends to use the firearm
in trafficking or who is impermissibly acquiring it for another person, and establishes new
criminal penalties for such purchases. The Act also changed the scope of individuals
prohibited from receiving a firearm due to domestic abuse convictions to include
‘boyfriends,’ and changed the scope of entities who must have a license to purchase
firearms for resale. The provisions increase public safety by better identifying people who
present a high danger or risk of misuse if they own a firearm, preventing sale to them and
for trafficking purposes, and deterring certain subterfuge purchases that enable people who
are prohibited or who intend to engage in prohibited actions to receive firearms.
These statutory and regulatory requirements are not reflected on the existing Form
4473. This creates a risk to public safety. The Form 4473 helps to prevent firearms from
being sold to people Congress has determined are too dangerous and helps to deter crimes
committed with ‘ghost guns’ that cannot be traced.
NICS has now updated its system and will begin implementing the changes
indicated above beginning November 14, 2022. The Form 4473 has been updated and
translated into an updated Spanish version. As a result, it is urgent that the updated form be
provided to licensees as soon as possible to protect public safety. The majority of changes
to the form directly implement the statutory and regulatory items outlined above; the
remaining changes to the form are minor administrative items, such as renumbering.
Measures taken to consult with stakeholder agencies and receive public input
The ATF Form 4473 was last approved by OMB in May 2020 and underwent the
full clearance process at that time. Members of the public provided significant input and
comments on the form during the 2019-2020 public notice and comment process, and ATF
responded to those comments, including making all appropriate changes to the form. It
thus minimizes burden on the public as much as possible. The current changes are
narrowly drafted to make the changes necessary to implement the new statutory
requirements and a regulatory change (details below) so that the FFLs are able to provide
the necessary information, protect themselves, and be compliant with the NICS to protect

-3public safety as well. The form thus remains essentially as approved in 2020. ATF has
worked with the FBI and NICS, the agency stakeholders, in making these revisions, so
they have been fully consulted.
Expedited approval provides a temporary measure to allow public safety-related
background checks to be processed
ATF’s request for expedited approval should be granted because it is a temporary
measure to allow firearms public safety background checks to be processed and other
statutorily required information to be collected so that FFLs are in compliance and the
public is protected, while the ATF Form 4473 undergoes the normal clearance procedures.
If additional comments are received during the PRA clearance process, the ATF Form
4473 can be amended. We are therefore requesting temporary emergency approval of the
revised ATF Form 4473, including waiving both notice periods and faster OIRA review.
Thank you for your prompt consideration of this request. Please contact Andrew
Lange, Division Chief, Office of Regulatory Affairs, at 202-648-70224, if you have any
questions or need additional information.
Sincerely,

signed by
MATTHEW Digitally
MATTHEW VARISCO
2022.11.14
VARISCO Date:
12:18:53 -05'00'

Matthew P. Varisco
Assistant Director
Enforcement Programs and Services