List of Responsible Persons

Forms and Documents

Document Name	Status
Form ATF Form 5400.13A/ List of Responsible Persons Form and Instruction	Modified
PLAW-107 -296-Safe Explosives Act- Title XI, Subtitle C- 11.25.2003.pdf Supplementary Document	2022-04-22
27 CFR 555.57 Change of Control, Change in Responsible Persons, and Change of Employees 4.1.2021.pdf Supplementary Document	2022-04-22
Justification for 1140-0074 (Responsible Person Questionnaire - ATF Form 5400.13A 5400.16) 8.28.23.docx Supporting Statement A	2023-09-25

IC Document Collections

IC ID	Document Title	Status
12853	List of Responsible Persons Form and Instruction	Modified

ICR Details

OMB Control No: 1140-0074	ICR Reference No: 202308-1140-001
Status: Received in OIRA	Previous ICR Reference No: 202204-1140-002
Agency/Subagency: DOJ/ATF	Agency Tracking No:
Title: List of Responsible Persons
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/26/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2025
Responses	11,875	100,000
Time Burden (Hours)	3,958	100,000
Cost Burden (Dollars)	771,875	0

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Abstract: All holders of Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) explosives licensees or permits must report identifying information for each responsible person (RP) and possessor of explosives to ATF. Subsequent changes to their list of RPs must be reported to ATF within 30 days.

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Authorizing Statute(s): PL: Pub.L. 107 - 296 Title XI, Subtitle C Name of Law: Safe Explosives Act
   US Code: 18 USC 843 Name of Law: Licenses and User Permits
  

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:
	88 FR 31032	05/15/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 46813	07/20/2023
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
List of Responsible Persons	ATF Form 5400.13A/5400.16	Explosives Responsible Person Questionnaire

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ICR Summary of Burden

	Total Request	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	11,875	100,000	0	0	-88,125	0
Annual Time Burden (Hours)	3,958	100,000	0	0	-96,042	0
Annual Cost Burden (Dollars)	771,875	0	0	771,875	0	0

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

Burden Increase Due to:

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

Burden Reduction Due to:

Short Statement: ATF currently processes approximately 95,000 explosives background checks per year, 1/8ths of those are for responsible persons. Thus, the current number of respondents is estimated to be 11,875 (1/8 x 95,000 = 11,875). The estimated time per respondent to complete the form was updated to 20 minutes as the form is similar in length and format of other ATF background check forms that have that same estimated time. The annual burden hours were updated based on the estimated respondents and estimated completion time.

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Annual Cost to Federal Government: $120,000

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

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? No

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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: 09/26/2023

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