Justification for OMB 1140-0011 (ATF Form 1 (5320.1) Final

DEPARTMENT OF JUSTICE
BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND EXPLOSIVES
Information Collection Request
Supporting Statement
OMB 1140-0011 ATF Form 1 (5320.1)
Application to Make and Register a Firearm

A.

JUSTIFICATION
1.

The ATF Form 1 (5320.1) is required to affect the registration of a National
Firearms Act (NFA) (Title 26, United States Code, Chapter 53) firearm by any
person, other than a qualified manufacturer, who wishes to make and register
an NFA firearm. The implementing regulations are in Title 27, Code of
Federal Regulations, Part 479 (§§ 479.61 - 479.71). Under the provisions of
26 U.S.C. § 5822, no person can make an NFA firearm until he or she has
applied for and received approval from the Attorney General (delegated to
ATF). Subject to certain exceptions, the making of an NFA firearm is subject
to a tax of $200 (26 U.S.C. § 5821).
Unless the making is exempt from tax, applicants are required to submit their
tax payment with the Form 1. Section 5822 also requires that the application
form identify the firearm and the maker, and that if the maker is an individual,
his or her fingerprints and photographs must accompany the application. ATF
has identified that the collection of Responsible Person's Social Security
Number, Date of Birth, Race, and UPIN (if applicable) would assist in limiting
delays in the processing of NICS background checks. While this information
is not required it would prove beneficial. In addition, the following changes
are being made to the layout and overall design of the form as part of this
regularly scheduled renewal:
Form Changes. ATF request approval to make the following changes to ATF
Form 1 (5320.1):
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Item 2: Remove "Legal Entity" from Trust box and add
"Corporation" and "Legal Entity" as a separate choices
Item 3d: Add "/Parrish" to County
Item 3f: Remove "optional"
Items 5 & 6: Adjust vertical spacing so text is in middle of box
Item 10: Reduce spacing to save room for additional items
below
New Item 13: Add SSN, DOB, and Race

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ATF Form 1 (5320.1)
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2.

New Item 14: Add State of Birth and Country of Birth
Add UPIN to be Item 16
Definitions/Instructions: 1e: Responsible Person: Break definition into
section A. and B.
Updates to Definitions/Instructions 2d. and 2f. Social Security Number
Item 2a:Update "Legal Entity" to "Other Legal Entity"
Item 5a and Definitions/Instructions 2g, 2h and 2m: Change all references
from "Applicant" to "Transferee"
Item 4g: Obscure "Serial Number " on CLEO Copy
Items 13: Obscure "Social Security Number" on CLEO Copy
Increase Font Size of "Important Information for Currently Registered
Firearms" Section
Definitions/Instructions: 2g: Signatures: Add the statement: "Exceptions: In
the case of eforms or where a variance has been granted a digital/electronic
signature may be used"
Definitions/Instructions: 1q: Restraining Order: Modify "Intimate Partner' to
"Intimate Partner"
Definitions/Instructions: 1s: Alien Admitted to the United States Under a
Nonimmigrant Visa: Change "quesion" to "question"
Item 12: Photo block. Remove "business"
Item 3e: Obscure "Telephone Number" on CLEO Copy
Item 3f:Obscure "E-mail address" on CLEO Copy
Page 2: "Information for the Chief Law Enforcement Officer" Section. The
sentence should read as follows: "A "Yes" answer to items 11.a. through
11.h. or 15.d. or 15.e. could disqualify a person from acquiring or possessing
a firearms."

The information on this form is used by the NFA Division personnel to determine
the legality of the application under Federal, State and local law. Section 5822
provides that an application shall not be approved if the making or possession
would place the person making the firearm in violation of law. An individual
applicant is asked to respond, under penalties of perjury, to questions to determine
whether he or she is prohibited by Federal law from possessing firearms. For a trust
or legal entity, each responsible person will provide this information via the filing
of Form 5320.23, National Firearms Act (NFA) Responsible Person Questionnaire.

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ATF Form 1 (5320.1)
The requirement for fingerprints for both individuals and responsible persons
allows ATF to determine, based on criminal history checks, whether the
applicant or responsible person would be prohibited by Federal law from
possessing a firearm. The law enforcement notification required of the
applicant and any responsible person (via Form 5320.23) allows local law
enforcement authorities to provide any information that would indicate whether
the application or any responsible person is prohibited under Federal law from
making or possessing a firearm. The application is submitted in duplicate. The
approval of the application effectuates the registration of the firearm to the
maker. Both copies of the application are noted to reflect the approval –one
copy is returned to the applicant as proof of registration and the other is
retained by ATF as part of the National Firearms Registration and Transfer
Record. The information is used to verify any subsequent transfer and
registration of the firearm. In addition, registration information is used to
determine the non-registration of a firearm, a violation as specified in § 5861.
3.

The form is currently available for electronic filing on the ATF website at
www.atfonline.gov.

4.

ATF uses a uniform subject classification system to identify duplication and to
ensure that any similar information already available cannot be used or modified
for use for the purpose of this information collection.

5.

The information on this form is unique to the person supplying it and would
have minimal or no impact on small businesses or other small entities.

6.

The consequences of not conducting this collection could result in a person being
in unlawful possession of a firearm. The information is used to ensure the legal
making and possession of a firearm and effectuate the registration of the firearm
from the National Firearms Registration and Transfer Record.

7.

There are no special circumstances associated with this collection and the
collection is conducted in a manner consistent with the requirement in 5 CFR
1320.6.

8.

All comments received during both the 60-day and 30-day Federal Register
notice received a response and/or were incorporated within the ATF Form 1
(5320.1).

9.

No payment or gift is associated with this collection.

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ATF Form 1 (5320.1)

10.

In addition to the requirements for confidentiality contained in the Privacy
Act, this information is classified as "tax information" or "tax return
information" and any release is severely restricted by the Tax Reform Act
(26 U.S.C. § 6103).

11.

This collection of information include questions of a sensitive
nature. These relate to the qualifications of the applicant, such
as whether the applicant has been convicted of any crime, is a
fugitive from justice, is a drug user, is an illegal alien, etc.
This information is needed to determine whether the applicant
is prohibited by Federal law from possessing firearms.

12.

There is a total of 25,716 respondents who respond one (1)
time to this information collection. Of these, 477 Government/Federal
firearm licensee respondents will take 20 minutes per response (159 hours);
21,879 trust and legal entity responders will take 260 minutes per response
(94,809 hours); and 3,360 individual respondents will take 140 minutes per
response (7,840 hours). It takes on average 3.99783 hours to complete the
form. Therefore, the total annual IC burden is 102,808 hours.

13.

The total estimated cost associated with this IC is: $ 1,472,498 which
is calculated as follows: $57.26 (average cost per respondent to prepare and
mail packet with responses) * 25,716 (# total respondents).

14.

The estimated annual cost of $1,129,820.85 to the Federal Government is as
follows:
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15.

Printing Forms 1: $7,941.27 (25,617 forms * $.31 per form)
Processing fingerprints: $600,754.50 ($12.75 * 47,118 individuals
and responsible persons)
Conducting and reviewing background checks of individual and
responsible person respondents: $521,125.08 ($11.06 (15 minutes at
$44.22 per hour) * 47,118)
There are no adjustments associated with this information collection.

16.

The results of this collection will not be published.

17.
18.
B.

ATF does not request approval to not display the expiration date of the
OMB approval for this collection.
There are no exceptions to the certification statement.

Collections of Information Employing Statistical Methods
No statistical methods are associated with this collection.