Final Response 2015-0677 For December 14 2015 Release

U.S.
Department of Justice
Bureau of Alcohol, Tobacco,
Firearms and Explosives
www.atf.gov
December 14, 2015
REFER TO: 2015-0677
Mr. David T. Hardy

8987 E. Tanque Verde
PMB 265
Tucson, AZ 85749
Dear Mr. Hardy:
This is in response to your March 12, 2015, Freedom of Information Act (FOIA) request to the
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). Your request is part of ongoing
litigation with this agency. This is the first release of documents that ATF has provided to you in
response to your request. We are providing documents responsive to items 2, 3, 4, 5, and 6 of
your request. We will continue to provide you more documents on a rolling production.
Certain material has been withheld from these documents pursuant to 5 U.S.C. 552(b)(7)(E).
For this release, we have processed a total of 943 pages of potentially responsive material. We
are releasing 835 pages in full, and we are releasing 10 pages in part. There are 98 pages of nonresponsive material. Each page of this production indicates whether it is being released in full
(RIF) or released in part (RIP). Individual redactions identify the exemption pursuant to
which the redacted material has been withheld. If pages were withheld in their entirety, a
deletion sheet is included noting the reason for the withholding.
Sincerely,
Stephanie M. Boucher
Chief, Disclosure Division
Enclosures
U.S. Department of Justice

Bureau of Alcohol, Tobacco, Firearms and Explosives
Order
ATF O 5370.1B
SUBJECT: FEDERAL FIREARMS ADMINISTRATIVE ACTION

POLICY AND PROCEDURES
DATE: 02/08/2013
OPI RECERTIFICATION
DATE: 02/08/2018
OPI: 700000
TO:
All ATF Offices
1.
PURPOSE. This order provides fair and consistent guidelines for administrative remedies
for violations disclosed relative to inspections of Federal firearms licensees (licensees).
2.
DISCUSSION. Administrative action is defined as a Warning Letter (WL), Warning

Conference (WC), fine/suspension, or revocation of a Federal Firearms License (FFL),
including a recommendation of denial of a renewal application or an original application
based on the results of an inspection. The issuance of a Report of Violations, ATF Form
5030.5, is not an administrative action but rather a documentation of inspection findings.
This order does not include all violations for whic h administrative action could be taken.
While it is desirable in the field to have definitive guidelines in this area, every inspection is
unique. This order identifies minimum guidelines for administrative action ; however, within
the provisions of this order, Directors of Industry Operations (DIOs) may determine that the
minimum levels are not necessary to ensure licensee compliance and protect the public.
Only a DIOs determination that violations do not require revocation/denial shall constitute
an alternate decision.
3.
BACKGROUND. This order is for internal use only and is law enforcement sensitive .
4.
a.
Inspections of licensees are conducted to prevent and detect the diversion of

firearms from legal to illegal commerce and to ensure compliance with Feder al
firearms laws. This is accomplished through the education of licensees of their
responsibilities, verification that they are complying with the provisions of the Gun
Control Act (GCA) and its implementing regulations, and analysis of operations to
detect possible diversion of firearms from legal commerce. Compliance with the
GCA by the firearms industry is an essential part of addressing nationwide crime
control and public safety efforts as outlined in ATFs Strategic Plan.
b.
A national policy for determining administrative actions is necessary to promote

consistent and equitable resolutions of violations. All administrative actions should
be pursued in direct relation to the severity of the cited violations and their
surrounding circumstances. The severity of the violations, their potential for
affecting public safety and their impact on ATFs ability to reduce violent crime will
be significant considerations in the decision as to the appropriate administrative
action.
REFERENCES.
a.
The Industry Operations Manual details the most recent standard operating
procedures for ATF Industry Operations Investigators (IOIs) conducting compliance
inspections.
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b.
ATF O 1100.168A, Delegation Order Delegation of Authorities Within the Bureau

of Alcohol, Tobacco, Firearms and Explosives. This order delegates certain
authorities of the Director to the Assistant Director (A D), Field Operations (FO). This
order also redelegates certain authorities of the AD (FO) to DIOs and, in certain
circumstances, to the Deputy Assistant Director (DAD), Industry Operations (IO).
c.
Title 27 CFR Part 478.
d.
Title 18 U.S.C. 923.
e.
ATF O 3200.1, Monitored Case Program.
5.
CANCELLATION. ATF O 5370.1A, Federal Firearms Administrative Action Policy and

Procedures dated 10/30/2009, is hereby cancelled.
6.
POLICY.
a.
Unified Administrative Action Policy and Procedures .

(1)
This order establishes a unified plan of action for resolution of violations

through administrative action. The plan groups types of violations into
categories that necessitate specific administrative action.
(2)
This national policy will assist Special Agents in Charge (SACs), DIOs, field
counsel, area supervisors (A/Ss), and IOIs in making appropriate
recommendations. Refer to Exhibit 1, Violation Chart. See also Exhibits 2
and 3 showing examples of the review process and the different
administrative actions that could be taken after additional review.
b.
Report of Violations. Report of Violations, ATF F 5030.5, shall be issued to the

licensee for all violations identified during the inspection. A determination of
willfulness is not needed for this action.
c.
Warning Letter. The following violations merit a warning letter as the minimum
administrative action. A determination of willfulness is not needed to send a warni ng
letter to a licensee.
(b) (7)(E)
(1)
Failure to timely and/or correctly record the required acquisition entries for
of the licensees total acquisitions during the inspection
(b) (7)(E)
period.
(2)
Failure to timely and/or correctly record the required dispositi on entries for
of the licensees total dispositions during the inspection
(b) (7)(E)
period.
(3)
Failure by the licensee to obtain complete and accurate information for any
item(s) on Forms 4473, (b) (7)(E)
(b) (7)(E)
(b) (7)(E)
(b) (7)(E)
- refer to
subparagraph 6.e.(4)(a).
(4)
(b) (7)(E)
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(5)
Failure to record valid and complete identification (ID) on between (b) (7)(E)
(b) (7)(E) of Forms 4473 examined.
(6)
(7)
Failure to record any ID on (b) (7)(E)
of Forms 4473 examined.
Failure to file multiple sales reports when legally required on (b) (7)(E)
(b) (7)(E)
(8)
Missing (b) (7)(E)

of disposition).
firearms after inventory reconciliation (i.e., no records
(9)
Acceptance of a non-qualifying State permit as a substitute for a National

Instant Criminal Background Check (NICS) check on (b) (7)(E)
(b) (7)(E)
(10)
(11)
Transfer of a long gun to a resident of another State that violates St ate law
on (b) (7)(E)
Transfer of a receiver to a person under the age of 21 on (b) (7)(E)
(b) (7)(E)
d.
(12)
Failure to execute a Form 4473 for return of a firearm that was consigned to
the licensee or the transfer of a firearm to a law enforcement officer for
personal use or for transfer of a firearm out of the business inventory to a
FFL responsible person, provided that the person is not prohibited.
(13)
Failure to conduct a NICS check or obtain alternative permit for return of

firearm that was consigned to the licensee, the transfer of a firearm to a law
enforcement officer for personal use or transfer of a firearm out of the
business inventory to a FFL responsible person, provided that the person is
not prohibited.
(14)
Missing (b) (7)(E)

Forms 4473 for transactions with non-licensees that are
documented in the acquisition and disposition (A&D) record or other
business records (e.g., pawn tickets, credit card receipts, invoices).
(15)
Licensee fails to notify ATF about a change of control, and the FFL is still
valid.
(16)
Licensee is engaged in an activity not authorized by the FFL (e.g. , engaging

in manufacturing firearms without a manufacturers license).
(17)
Failure to initiate a new NICS check when the transaction is not completed
within the 30-day period from the date NICS was initially contacted, provided
that the person is not prohibited.
(18)
Failure to report theft or loss to either ATF or local law enforcement.
Warning Conference. The following violations merit a warning conference as the

minimum administrative action. A determination of willfulness is not needed to hold
a warning conference. Revocation for the following violations may be pursued if the
DIO determines such action is appropriate in light of the particular circumstance s,
and willfulness can be established.
(1)
Failure to timely and/or correctly record the required acquisition entries for
of the licensees total acquisitions, with (b) (7)(E)
during the inspection period.
(b) (7)(E)
(b) (7)(E)
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(2)
Failure to timely and/or correctly record the required disposition entries for
of the licensees total dispositions, with (b) (7)(E)
(b) (7)(E)
(b) (7)(E)
(3)
Failure by the licensee to obtain complete and accurate information for any
item(s) on Forms 4473, (b) (7)(E)
(b) (7)(E)
(b) (7)(E)
(b) (7)(E)
- refer to subparagraph 6.e.(4)(a).
(4)
(b) (7)(E)
(5)
Failure to record valid and complete ID on (b) (7)(E)

4473 examined.
(6)
(7)
of Forms
of Forms 4473 examined.
Failure to file multiple sales reports when legally required in (b) (7)(E)
(b) (7)(E)
(8)
Missing (b) (7)(E)

disposition).
(9)
Acceptance of a non-qualifying State permit as a substitute for a NICS check

on (b) (7)(E)
(10)
Transfer of a long gun to a resident of another State that violates State law
on (b) (7)(E)
(11)
firearms after reconciliation (i.e., no records of
Transfer of a receiver to a person under the age of 21 on (b) (7)(E)

(b) (7)(E)
(12)
Transfer of a handgun or receiver to an out-of-State resident.
(13)
Failure to respond to a trace request within 24 hours.
(14)
Failure to properly mark imported or manufactured firearms .
(15)
Failure to execute a Form 4473 (Note: (b) (7)(E)
(b) (7)(E)
(16)
Failure to conduct a NICS check or obtain alternat ive permit and the person
is not prohibited. (Note: (b) (7)(E)
,
(b) (7)(E)
(17)
Failure to report theft or loss to both ATF and local law enforcement.
(18)
Licensee has previously been the subject of a warning letter or warning

conference, and current inspection warrants a warning letter for repeated
similar violation(s). The DIO may decide that a warning letter may be
appropriate based on significance and number of violations, significance of
any improvement since previous inspection, compliance history, time
elapsed since previous administrative action, and other relevant factors.
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e.
Revocation.
(1)
Willfulness must be established in order to proceed with r evocation. The

term willfulness means a purposeful disregard of, or plain indifference to, a
known legal obligation. ATF is not required to prove the licensee intended to
violate the law. Rather, ATF must prove that the licensee knew his legal
obligations under the GCA and either disregarded those obligations or
demonstrated a plain indifference to them .
(2)
Willfulness can be established in a variety of ways. One method is to

establish that the licensee has a history of similar, repeat violations, and the
inspection report documents that an IOI discussed those violations with the
licensee. The licensees compliance history can also include other efforts by
ATF personnel (including qualification inspections) to educate and inform the
licensee about his legal responsibilities. Inspection reports can be used to
establish willfulness even where no violations were found (i.e.,
Acknowledgement of Federal Firearms Regulations). Statements or
admissions communicated by the licensee or his employees, as well as
actions by a licensee or his employee during an inspection that hindered or
obstructed the inspection, can also establish willfulness.
(3)
In addition, violations such as a licensee knowingly making sales to

prohibited persons or knowingly entering false information in required
records, may establish willfulness. While large numbers of violations may
establish willfulness, the courts have upheld revocations based on a single
GCA violation.
(4)
ATF field counsel is required to evaluate the facts and circumstances

surrounding a licensees alleged violation(s) in order to make a determination
of willfulness prior to submitting to Headquarters (HQ) for further review.
The following violations, when supported by sufficient evidence, m erit
revocation as the minimum administrative action.
(a)
Transfer of a firearm to a prohibited person knowing or having reason

to believe that the transferee is a prohibited person.
(b)
Allow an employee who is a prohibited person to have actual or

constructive possession of firearms knowing or having reason to
believe that the employee is a prohibited person.
(c)
Transfer of a receiver or handgun to an out-of-State resident and is a

repeat violation.
(d)
(b) (7)(E)
(e)
Knowingly engages in a straw purchase transaction (i.e., the licen see

knows or has reasonable cause to believe that the purchaser of
record is not the actual buyer).
(f)
Falsifies a required record, or makes a false or fictitious oral or

written statement in the licensees required records or in applying for
a license.
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(g)
Withholds or misrepresents information to obtain a license

(revocation and/or denial of renewal).
(h)
Failure to execute a Form 4473 and is a repeat violation. (Note:
(i)
(b) (7)(E)
Failure to conduct a NICS check or obtain alternative permit and is a

repeat violation. (Note: (b) (7)(E)
(b) (7)(E)
7.
(j)
Discontinues use of or fails to create an A&D record.
(k)
Failure to report theft or loss to both ATF and local law enforcement
and is a repeat violation.
(l)
Failure to properly mark imported or manufactured firearms and is a

repeat violation.
(m)
Refuses ATF right of entry and inspection during hours of operation

at the licensed premises.
(n)
Missing (b) (7)(E)

firearms after reconciliation and records indicate
firearms were in inventory within the previous 5 years and is a repeat
violation. (e.g., no records of disposition).
(o)
Failure to have secure gun storage or safety devices available,

except in any case in which such devices are temporarily unavailable
due to reasons beyond control of the licensee.
(p)
Licensee has previously been the subject of warning conference

within the last 5 years and current inspection warrants a warning
conference for repeated similar violation(s).
(q)
Any other GCA violation not specifically addressed in this order

where revocation would be appropriate.
GENERAL GUIDANCE.
a.
The division management team has discretion to consider an alternative to

revocation. The DIO shall seek advice of field counsel and the DAD (IO) with
respect to any such alternative. The DAD (IO) may consult with the Deputy Chief
Counsel (DCC) Field and the Assistant Director, Field Operations when considering
such options. Public safety must remain the primary focus in such deliberations.
b.
Violations that occurred during prior inspections but were not uncovered until the
current inspection shall be cited. (b) (7)(E)
(b) (7)(E)
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ATF O 5370.1B
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(b) (7)(E)
8.
c.
Warning conferences must be conducted by a DIO or area supervisor and the area
supervisor will, in all instances, generate a recall inspection whenever a warning
conference is held.
d.
It is expected that division management will ensure that revocation, as well as other
administrative actions, are initiated and completed in a timely manner. Cases
requiring warning conferences should be finalized within 90 days of the beginning of
the DIOs review until the warning conference is held unless there are mitigating
circumstances. Warning letters should be issued by the area supervisor within 10
days of his or her review.
e.
The area office should submit cases involving revocation to the DIO within 60 days
of the on-site end date. The DIO has 120 days upon receipt of the report to issue
the Notice of Revocation. Field counsel should have a minimum of 60 days to
complete their review and prepare the Notice of Revocation in final form for
submission to the DIO for review and issuance. The DAD (IO) will be notified by the
DIO if time frames are not met.
f.
The holding of a warning conference does not prevent the issuance of a Notice of
Revocation based on the same inspection. Generally, conducting or holding a
warning conference does not result in the revocation of a license. In most, if not in
all instances, the licensee has instituted procedural changes to add ress the
violations, improved internal controls to reduce the likelihood of repeating similar
violations, and has convinced the DIO that satisfactory progress has been made to
ensure continued compliance. However, in all cases, the DIO shall use good
judgment giving serious and just consideration to the licensees efforts in addressing
the violations keeping public safety paramount. Criminal violations and those that
impact public safety should be grounds for revocation. If revocation is pursued,
procedures shall be followed to include monitored cases notification and DAD (IO)
review, see 8.a below.
HEADQUARTERS POLICY REVIEW.

a.
As outlined in the delegation orders (Refer to 4.b.) pertaining to administrative

actions, some decisions will be resolved at the Headquarters level, consistent with
ATF O 3200.1, Monitored Case Program (MCP). In order for this determination to
be made and prior to initiating any action for revocation, denial, suspension, and/or
fine, the DIO shall submit to the Field Management Staff (FMS), Investigative
Support Branch (ISB) via the FMS-ISB Microsoft Outlook mailbox a completed
Monitored Case Summary IO Initial Submission (template). Refer to ATF O 3200.1,
specifically Exhibit 8c. The ISB will review the submission (including updates), the
N-Spect case file, and provide the information to the DAD (IO). The DAD (IO) will
advise the DIO if the matter should proceed in the division, or if the matter is highly
complex or sensitive, or if the licensee operations and alleged violations take place
in several field divisions, and therefore should be resolved at the HQ level. The DIO
will wait for this determination prior to proceeding with the noted actions. The DIO is
required to submit to the FMS-ISB Microsoft Outlook mailbox monthly updates
regarding monitored cases using a completed Monitored Case Summary IO Monthly
Update (template). Refer to ATF O 3200.1, specifically Exhibit 8d. These updates
are required by the tenth day of each month and should only include new information
relative to the case.
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9.
b.
The Monitored Case Summary IO Initial Submission (template) replaces the PreSIRS previously used to communicate preliminary case information on revocations
and denials to the DAD (IO). For alternate recommendations to revocations, denials
to include original and renewal applications, and suspensions/fines, the DIO should
proceed with submitting a completed Monitored Case Summary IO Initial Submission
(template) to the DAD (IO) directly.
c.
The DAD (IO) shall review the completed Monitored Case Summary IO Initial
Submission (template) and completed Monitored Case Summary IO Monthly Update
(template) for consistency regarding implementation of policy. Concerns will be
discussed with the DCC Field and division management team.
FIELD RESPONSIBILITIES. Responsibilities for field personnel and management are as

follows:
a.
b.
c.
Industry Operations Investigator.

(1)
The IOI will conduct the inspection per established ATF guideline s, which
include use of the standard narrative report format and associated
worksheets. In the event that violations are uncovered, the IOI will obtain
and preserve all available evidence and document the violations to support
whether the violations were willful, including copies of Forms 4473 and A&D
records. The IOI will then make the appropriate recommendation based on
the guidelines contained herein and forward the inspection report to the A/S.
The IOI in conjunction with the A/S should submit cases involving revocation
to the DIO within 60 days of the on-site end date.
(2)
If, for any reason, the IOI believes that the administrative action requirement
is inappropriate and proposes to make a different recommendation, the IOI
will document the reasons in the narrative and forward the inspection report
to the A/S for review.
Area Supervisor.
(1)
The A/S will review all firearms inspection reports to ensure that the IOIs
recommendation meets established guidelines and evidentiary requirements,
all relevant inspection work steps have been adequately performed, and that
necessary data have been entered correctly in N -Spect.
(2)
If the IOIs recommendation does not conform to established guidelines, the

A/S will make an independent evaluation of the recommendation and
narrative basis. If the A/S agrees or disagrees with the IOI recommendation,
the A/S will document the reason(s) within the recommendation section in NSpect and the inspection report will be forwarded to the DIO for review for all
warning conferences and above recommendations. The area supervisor in
conjunction with the IOI should submit cases involving revocation t o the DIO
within 60 days of the on-site end date.
(3)
The A/S may enter alternate recommendations at the warning letter level or
below for one level down (e.g., warning letter to Report of Violations).
Further review may be conducted at the DIOs discretion.
Director of Industry Operations.

(1)
The DIO will request legal advice from field counsel for the applicable field
division in all administrative actions dealing with revocation, denial of original
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Exhibit 1
VIOLATION CHART
A&D RECORD AND INVENTORY VIOLATIONS
WARNING LETTER
WARNING CONFERENCE
REVOCATION
Failure to timely and/or
Failure to timely and/or correctly
Discontinues use of or fails
correctly record the re(b) (7)(E)d
record the required acquisition
to create A&D record. (See
acquisition entries for
entries for (b) (7)(E)
of
Inspection History.)
of the
the licensees total acquisitions,
(b) (7)(E)
licensees total acquisitions
with (b) (7)(E)
Failure to timely and/or
correctly record the required
(b) (7)(E)
disposition entries for
of the
(b) (7)(E)
licensees total dispositions
Missing (b) (7)(E)
firearms
after inventory reconciliation
(i.e., no records of
disposition).
WARNING LETTER
Failure to execute a Form 4473
for return of a firearm that was
consigned to the FFL or the
transfer of a firearm to a law
enforcement officer for
personal use or for transfer of
a firearm out of business
inventory to a FFL responsible
person provided that the
person is not prohibited.
Missing (b) (7)(E)
Forms
4473 for transactions with
non-licensees that are
documented in the A&D
record or other business
records (e.g., pawn tickets,
credit card receipts, invoices).
Failure by the licensee to
obtain complete and accurate
information for any item(s) on
Forms 4473, (b) (7)(E)
Failure to timely and/or correctly

record the required disposition
entries for (b) (7)(E)
of
the licensees total dispositions,
with (b) (7)(E)
Missing (b) (7)(E)
firearms after
inventory reconciliation (i.e., no
records of disposition).
FORM 4473 VIOLATIONS

WARNING CONFERENCE
Failure to execute a Form 4473.
(b) (7)(E)
See Inspection History below.
Missing (b) (7)(E)

firearms after reconciliation
and records indicate
firearms were in inventory
within the previous 5 years
and is a repeat violation.
REVOCATION
Failure to execute a Form
4473 and is a repeat
violation. (b) (7)(E)
(b) (7)(E)
See Inspection History

below.
Failure by the licensee to obtain

complete and accurate
information for any item(s) on
Forms 4473, (b) (7)(E)
(b) (7)(E) (b) (7)(E)

refer to
subparagraph 6.e.(4)(a)
(Revocation).
Discontinues use of or fails

to create an A&D record.
(See Inspection History
below.)

below.
(b) (7)(E)
refer to Paragraph
6.e.(4)(a) (Revocation).
(b) (7)(E)
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Exhibit 1
FORMS 4473 VIOLATIONS CONTINUED
WARNING LETTER
of Forms 4473
(b) (7)(E)
examined.
WARNING CONFERENCE
(b) (7)(E)
Failure to record any ID on
of Forms 4473
(b) (7)(E)
examined.

below.
Failure to record valid and

complete ID on between (b) (7)(E)
of Forms 4473
(b) (7)(E)
examined.
Failure to record valid and

complete ID on (b) (7)(E)
(b) (7)(E) of Forms 4473 examined.

below.
WARNING LETTER
Acceptance of non-qualifying
State permit as substitute for
NICS check on (b) (7)(E)
NICS VIOLATIONS
WARNING CONFERENCE
Acceptance of non-qualifying
State permit as substitute for a
NICS check on (b) (7)(E)
(b) (7)(E)
(b) (7)(E)
Failure to conduct a NICS

check or obtain alternative
permit for return of firearm that
was consigned to the FFL, the
transfer of a firearm to a law
enforcement officer for
personal use, or transfer of a
firearm to a FFL responsible
person, provided the person is
not prohibited.
Failure to initiate a new NICS
check when the transaction is
not completed within the 30day period from the date NICS
was initially contacted,
provided the person is not
prohibited.
Failure to conduct a NICS check

or obtain alternative permit and
the person is not prohibited.
(b) (7)(E)
WARNING LETTER
Transfer of a long gun to a
resident of another State that
violates State law on (b) (7)(E)
PROHIBITED SALES VIOLATIONS

WARNING CONFERENCE
Transfer of a long gun to a
resident of another State that
violates State law on (b) (7)(E)
(b) (7)(E)
(b) (7)(E)
Transfer of a handgun or receiver

to an out-of-State resident.
Transfer of a receiver to a
person under the age of 21 on
Transfer of a receiver to a person

under the age of 21 on (b) (7)(E)
(b) (7)(E)
(b) (7)(E)
REVOCATION
REVOCATION
below.
Failure to conduct NICS
check or obtain alternative
permit and is a repeat
violation. (b) (7)(E)
(b) (7)(E)
below.
REVOCATION
below.
Transfer of a receiver or
handgun to an out-of-State
resident and is a repeat
violation.
below.
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Exhibit 1
WARNING LETTER
PROHIBITED SALES VIOLATIONS CONTINUED

WARNING CONFERENCE
REVOCATION
(b) (7)(E)
Transfer of a firearm to a
prohibited person knowing
or having reason to believe
that the transferee is a
prohibited person and/or
allows an employee who is
a prohibited person to have
actual or constructive
possession of firearms.
Knowingly engages in a
straw purchase transaction
(i.e. the licensee knows or
has reasonable cause to
believe that the purchaser
of record is not the actual
buyer).
WARNING LETTER
Failure to report theft or loss to
either ATF or local law
enforcement.
Failure to file multiple sales
reports when legally required
on (b) (7)(E)
instances.
FFL fails to notify ATF about a
change of control and the FFL
is still valid.
FFL engaged in an activity not
authorized by the FFL (e.g.,
engaging in manufacturing
firearms without a
manufacturers license).
CONDUCT OF BUSINESS VIOLATIONS

WARNING CONFERENCE
Failure to report theft or loss to
both ATF and local law
enforcement.
REVOCATION
Failure to report theft or
loss to both ATF and local
law enforcement and is a
repeat violation.
Failure to file multiple sales

reports when legally required in
instances.
(b) (7)(E)

below.

below.

below.
Failure to respond to a trace

request within 24 hours.
Failure to properly mark imported
or manufactured firearms.

below
Failure to properly mark
imported or manufactured
firearms and is a repeat
violation.
Refuses ATF right of entry
and inspection during
hours of operation at the
licensed premises.
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ATF O 5370.1B
02/08/2013
Exhibit 1
WARNING LETTER
CONDUCT OF BUSINESS VIOLATIONS CONTINUED

WARNING CONFERENCE
REVOCATION
Failure to have secure gun
storage or safety devices
available, except in any
case in which such devices
are temporarily unavailable
due to reasons beyond
control of the licensee.
Falsifies a required record,
or makes a false or
fictitious oral or written
statement in the licensees
required records or in
applying for a license.
Withholds or misrepresents
information to obtain a
license (revocation and/or
denial of renewal).
Any other Gun Control Act
violation not specifically
addressed in this order
where revocation would be
appropriate.
INSPECTION HISTORY
WARNING LETTER
WARNING CONFERENCE
REVOCATION
Licensee has previously been the

subject of a warning letter or
warning conference, and current
inspection warrants a warning
letter for repeated similar
violation(s). The DIO may decide
that a warning letter may be
appropriate based on
significance and number of
violations, significance of any
improvement since previous
inspection, compliance history,
time elapsed since previous
administrative action, and other
relevant factors.
Licensee has previously

been the subject of a
warning conference within
the last 5 years and current
inspection warrants a
warning conference for
repeated similar
violation(s).
Page 4
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ATF O 5370.1B
02/08/2013
Exhibit 2
FLOWCHART showing review process of inspection

with original warning letter recommendation
Violations disclose Warning Letter (WL) as
minimum administrative action. IOI
recommends WL.
AS reviews report and

concurs with
recommendation and
issues WL within 10 days of
his/her review.
AS reviews report and decides that

based on history, length of time and
improvement since last inspection,
a Report of Violations (ROV) would
be appropriate. (AS may enter
alternate at WL level or below.)
AS reviews report and decides

that a Warning Conference (WC)
should be held with the licensee.
DIO will review this because a WC is

recommended.
DIO may review

this alternate
recommendation
at their discretion.
This review may
result with the DIO
concurring with
ROV.
DIO may review

this alternate
recommendation at
their discretion.
This review may
result with the DIO
disagreeing with
ROV and instead
recommends a WL.
DIO may review

this alternate
recommendation
at their
discretion. This
review may
result with the
DIO disagreeing
and instead
recommends
WC.
DIO review may

result with DIO
concurring with
WC. (WC
should be held
within 90 days
of the beginning
of the DIOs
review.)
DIO review may

result with DIO
recommending
either a WL or
even ROV. (DIO
may enter
alternate at WC
level or below
without DAD (IO)
review.)
DIO review may

result with DIO
recommending a
revocation
instead.
DIO will request legal advice from

Division Counsel concerning willful
determination and significant litigation
hazards. DIO shall seek advice of DAD
(IO). The DAD (IO) may consult with
Deputy Chief Counsel Field and AD
(FO) when considering revocation.
Prior to initiating any revocation action, DIO shall

submit to FMS ISB synopsis of findings and
proposed resolution. ISB will review and provide
info to DAD (IO) who will advise DIO if matter
should proceed in Division or if violations took place
in several divisions, or if matter is highly complex or
sensitive, should be resolved at HQ level. DIO will
wait for determination before proceeding.
14
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ATF O 5370.1B
02/08/2013
Exhibit 3
FLOWCHART showing review process of inspection

with original warning conference recommendation
Violations disclose Warning Conference (WC) as
minimum administrative action. IOI recommends WC.
AS reviews report and decides that a

Warning Conference (WC) or even
Revocation is appropriate.
AS reviews report and decides that

based on history, length of time and
improvement since last inspection,
a WL or even Report of Violations
(ROV) would be appropriate.
DIO will review this because a WC or

Revocation is recommended.
DIO will review because
alternate to WC.
DIO review may result

with the DIO agreeing
that either a WL or
ROV be issued
instead. (WL should
be issued within 10
days once DIO
decides on WL.)
DIO review may

result with DIO
disagreeing with
alternate
recommendation
and instead goes
with WC. (WC
should be held
within 90 days of
the beginning of
the DIOs review.)
DIO review may

result with DIO
concurring with
WC. (WC
should be held
within 90 days
of the beginning
of the DIOs
review.)
DIO review may

result with DIO
recommending
either a WL or
even ROV. (DIO
may enter
alternate at WC
level or below
without DAD (IO)
review.)
DIO review may

result with DIO
recommending a
revocation
instead.
DIO will request legal advice from

Division Counsel concerning willful
determination and significant litigation
hazards. DIO shall seek advice of DAD
(IO). The DAD (IO) may consult with
Deputy Chief Counsel Field and AD
(FO) when considering revocation.
WL or ROV
is issued.
WC is held.
Prior to initiating any revocation action,

DIO shall submit to FMS ISB synopsis of
findings and proposed resolution. ISB will
review and provide info to DAD (IO) who
will advise DIO if matter should proceed
in Division or if violations took place in
several divisions, or if matter is highly
complex or sensitive, should be resolved
at HQ level. DIO will wait for
determination before proceeding.
15
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Prooenv Taken Into Bureau Custodv
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Non-responsive
A.6
Petition for Remission or Mitigation of Forfeiture
A petition for remission or mitigation of forfeiture is a request made to ATF or the USAO for relief from the
forfeiture decision. The petitioner is not challenging the fact that the property is, in fact, subject to forfeiture. A
petition may be filed until the property has been forfeited. If property has been forfeited, a "Revocation of
Administrative Forfeiture" or court or required to set aside the forfeiture.
Petitions for remission on or mitigation for assets subject to forfeiture may require a field investigation as outlined in
"A.6.a Petition Investigation Guidelines."
For petitions regarding assets subject to an administrative forfeiture, after the investigation and SAC concurrence,
the ACC will review all available information and make a recommendation for remission, mitigation, or denial.
Petitions regarding assets subject to a judicial forfeiture are filed with the DOJ. The USAO may direct ATF to
conduct a petition investigation, as outlined in "A.6.a Petition Investigation Guidelines." The ACC will make a final
recommendation from the agency to the USAO. The USAO will then make a recommendation to the chief of
AFMLS, who will make the final determination.
A.6.a
Petition Investigation Guidelines
The petition request will be sent to the Division Operations Officer (DOO) and the FAST. The DOO may request
the special agent to prepare a report on ATF letterhead, through the DOO to the field division SAC and the ACC, or
the U.S. attorney Uudicial forfeitures). Field investigations will include an interview with a petitioner or designated
agent to establish the validity of the petition.
The petition investigation report shall include the following:
(l) Background information: Names, addresses, description of asset, and appraised value in the
first paragraph. If the appraised value at the time of the petition investigation differs from the
appraised value at the time of seizure, information will be included as to why the two
appraisal values are different. Both appraisals must clearly identify the seized asset.
(2) Leased assets:
If the asset under investigation is leased, the following shall be addressed. Identify if the
contract held by the petitioner is in default. The agent will also compute the net amount
unpaid and due under the instrument at the time of the seizure, or on the date of the default (if
it is later than the seizure date), or on the date of the investigation (if there is no default).
When making this computation, the agent will deduct unearned charges, attorney's fees, and
dealer's reserve funds. Unearned finance charges should be computed as of the date of seizure
or the date of default (if it is later than the seizure date), or the date of investigation (if the
contract is not in default);
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The computation of unearned interest by the standard charts or formulas used by many
banks and finance companies is acceptable. If the lack of data precludes a better method
of computing the net investment, the entire finance charge may be prorated on the basis
of the ratio of the actual life of the financing contract and to the contemplated life of the
contract. Actual life means the number of months between the date when the contract was
made and the date on which the asset was seized. Actual life may also mean the date the
default occurred (if the default occurred before the investigation) or the date of the
default (if the contract is not in default). Contemplated life means the number of months
between the date the contract was made and the date specified for completion of
payments. Insurance charges may be computed on a prorated basis as of the date of
seizure; if desired, the special agent may use the AFI to assist in determining.
(3) Petitioner's interest in the asset (other than lien holder): Specify how the interest in the asset
was obtained, from whom obtained, and the date acquired.
(4) Petitioner's record and reputation: The record and reputation of the petitioner becomes a
matter for consideration if the petitioner was the owner and user of the asset at the time of the
violation that resulted in the seizure. Furnish any documentation to support this claim.
(5) Record and reputation of the person dealt with by the petitioner: Indicate whether the person
dealt with by the petitioner at the time of the transaction (sale, lease, loan, etc.) had a record
or reputation for criminal activity.
(6) Petitioner's knowledge of record of person dealt with: If the person dealt with by the
petitioner has a record or reputation, state whether the evidence establishes that the petitioner
had knowledge of such record or reputation at the time of the transaction. If so, state the
verifying evidence and furnish the documentation (statement, record, etc.). Although inquiry
as to record or reputation is no longer a requirement of a person or business gaining interest in
assets, if such inquiry is made, the knowledge so gained is chargeable.
(7) Petitioner's knowledge that the asset would be used unlawfully: Indicate any evidence
showing that at the time of the transaction the petitioner had knowledge of the intended
unlawful use or had reason to believe that the asset would be used unlawfully.
(8) Evidence of straw purchase: The evidence should establish that the person represented by the
petitioner as the purchaser of the asset actually acquired the asset for another person and
whether the petitioner, the agent, or the seller of the asset had knowledge of the straw
purchase arrangement. The record and reputation should be set forth for crimes by the real
purchaser and whether the petitioner, the agent, or seller had knowledge of such record or
reputation at the time of such transaction.
(9) Evidence of the use of an alias: The evidence should indicate that the petitioner knew the
person whom he/she dealt with by some other name or alias and had knowledge that the
person possessed a record or reputation for commercial crimes under any of the names used.
( l 0) Petitioner is prohibited under the provisions of any Federal, State, local or tribal law from
possessing a firearm: If the asset is a firearm or ammunition, indicate whether the petitioner
cannot possess the asset under any Federal, State, local or tribal laws. When appropriate,
furnish supporting documentation to support this claim.
(II) Petitioner's lack of knowledge of the grounds for forfeiture prior to seizure: Indicate any
evidence that the petitioner knew or had reason to know of the asset's involvement in the
violation permitting forfeiture prior to its seizure. Any circumstances that would prevent the
petitioner from having knowledge should be explained.
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(12) Supplemental information: This section will include any other potential owners of the asset,
including insurance companies.
(13) List of witnesses and exhibits: All exhibits will be numbered and attached to the report in the
same manner that they are handled in criminal case reports. The names, addresses, and
telephone numbers of witnesses will be shown.
(14)Brief summation: A summary of pertinent facts that were developed during the investigation
and bearing on the merits of the petition will be included by the reporting special agent.
(15) Recommendation of special agent: Any additional information developed during the
investigation that cannot logically be included under the other captions but has bearing on the
merits of the petition, will be included along with the special agent's recommendations.
( 16) Recommendation of field supervisor: The recommendations and comments of the field
supervisor will be included under this caption.
The special agent shall upload the report, titled "Petition Investigation," to theN-Force "Source Folder."
The special agent shall forward the original and one copy of the report to the DOO, who will forward it to the SAC
for his/her recommendation. The SAC recommendation will be forwarded to the ACC and FAST. These guidelines
are pursuant to 28 C.P.R. Part 9.
A.&.b
Approving, Denying Petitions
When the terms of a granted petition provide for the return of asset:
(I) ACC will instruct the petitioner by letter to contact the seizing field division to take
possession of the asset and provide a copy of the letter to the field division;
(2) When the asset is stored by ATF, the RAC/GS must be furnished with the original and copies
of ATF F 3400.31 and request that he/she arrange for the release of the asset, returning the
executed ATF F 3400.31 to the AFSPD and give the petitioner a date and time to retrieve the
asset. The RAC/GS will also be requested to notify the AFSPD immediately if the petitioner
fails to claim possession of the asset within the allotted period of time. The case agent will
retain a copy of this letter, along with the completed ATF F 3400.31 in the N-Force "Source
Folder;" and
(3) When the asset is stored in paid storage, an ATF F 3400.31 is prepared. The RAC/GS will
then arrange for a SPI to meet with the proprietor of the commercial contract storage facility
where the asset is stored. At that time, the special agent will request the proprietor to have the
form executed, with one copy furnished to the petitioner, one copy retained for the storage
facility's records, and the original sent to the special agent for forwarding to AFSPD.
In the case of a decision granting a mitigation of forfeiture, the ACC may impose terms or monetary conditions on
the release of the asset in accordance with the regulations governing petitions. If the petitioner fails or refuses to
comply with these imposed terms, the subject asset shall be disposed of according to law.
In the case of a denial, the ACC, will issue a letter clearly articulating the reasons for denial and of the petitioner's
right to request reconsideration. Requests for reconsideration must be postmarked or received by the office of ACC
within 10 days of the petitioner receiving the denial and must contain information or evidence not previously
considered that is material to the basis for the denial or presents a basis clearly demonstrating that the denial was
erroneous.
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56093
Rules and Regulations
Federal Register
Vol. 77, No. 177
Wednesday, September 12, 2012

This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by
the Superintendent of Documents. Prices of
new books are listed in the first FEDERAL
REGISTER issue of each week.
DEPARTMENT OF JUSTICE
Drug Enforcement Administration
21 CFR Part 1316
DEPARTMENT OF JUSTICE
28 CFR Parts 8 and 9
[Docket No. OAG 127; AG Order No. 3343
2012]
RIN 1105AA74
Consolidation of Seizure and

Forfeiture Regulations
AGENCY: Drug Enforcement
Administration, Department of Justice.

ACTION: Final rule.
SUMMARY: Consistent with Executive
Order 13563, by this rule the

Department of Justice (the Department)
revises, consolidates, and updates its
regulations regarding the seizure,
forfeiture, and remission of assets. The
rule recognizes that as of 2002 the
Bureau of Alcohol, Tobacco, Firearms,
and Explosives (ATF) is now part of the
Department, and consolidates the
regulations governing the seizure and
administrative forfeiture of property by
ATF with those of the Drug Enforcement
Administration (DEA) and the Federal
Bureau of Investigation (FBI). The rule
also conforms the seizure and forfeiture
regulations of ATF, DEA, FBI, and the
Departments Criminal Division to
address procedural changes necessitated
by the Civil Asset Forfeiture Reform Act
(CAFRA) of 2000. The rule allows ATF,
DEA, and FBI to publish administrative
forfeiture notices on an official Internet
government Web site instead of in
newspapers. Lastly, the rule updates the
regulations to reflect current forfeiture
practice and clarifies the existing
regulations pertaining to the return of
assets to victims through the remission
process.
DATES: Effective Date: This rule is
effective October 12, 2012.
FOR FURTHER INFORMATION CONTACT:
Beliue Risher, Editor, 1400 New York

Avenue NW., Bond Building,
Washington, DC 20530. Telephone:
(202) 5141263.
SUPPLEMENTARY INFORMATION: On May 9,
2011, the Department of Justice (the
Department) published for public
comment proposed regulations
implementing the Civil Asset Forfeiture
Reform Act of 2000 (CAFRA) (76 FR
26660). Before the comment period
closed on July 8, 2011, the Department
received comments from only two
commenters. The comments and the
Departments responses are discussed
below in section III.
I. Executive Summary
This rule complies with the
requirement under Section 6 of
Executive Order 13563 (Jan. 18, 2011) to
modify and streamline outmoded and
burdensome regulations. First, this final
rule recognizes that the Bureau of
Alcohol, Tobacco, Firearms, and
Explosives (ATF) is now part of the
Department of Justice. On November 25,
2002, the President signed into law the
Homeland Security Act (HSA) of 2002,
Public Law 107296, 116 Stat. 2135.
Section 1111 of the HSA established in
the Department of Justice the Bureau of
Alcohol, Tobacco, Firearms, and
Explosives and generally transferred
the law enforcement functions, and
seizure and forfeiture authority, of the
Bureau of Alcohol, Tobacco, and
Firearms from the Department of the
Treasury to the Department of Justice.
This transfer became effective on
January 24, 2003. By this rule, the
Department consolidates its regulations
governing the seizure and
administrative forfeiture of property by
ATF, DEA, and the FBI. Among other
things, this rulemaking identifies the
scope of these regulations, updates
definitions, identifies the scope of
authority available to each of those
seizing agencies to seize property for
forfeiture, and provides procedures
governing practical issues regarding the
seizure, custody, inventory, appraisal,
settlement, and release of property
subject to forfeiture. See 8.18.7 of
this rule.
Second, the rule conforms the seizure
and forfeiture regulations of ATF, DEA,
FBI, and the Departments Criminal
118
Division to address procedural changes

necessitated by the Civil Asset
Forfeiture Reform Act (CAFRA) of 2000,
Public Law 106185, 114 Stat. 202. The
rule also incorporates CAFRAs
innocent owner defense into the
remission regulations. Where CAFRA is
silent or ambiguous on a subject relating
to administrative forfeiture procedure,
the rule interprets CAFRA based on case
law and agency expertise and
experience.
Third, the rule updates the
regulations to conform to other
authorities and current forfeiture
practice. Thus, 8.14 adds a provision
to the Departments regulations allowing
for the pre-forfeiture disposition of
seized property when the property is
liable to perish, or to waste, or to be
greatly reduced in value while being
held for forfeiture, or when the expense
of holding the property is or will be
disproportionate to its value. Section
8.11 clarifies that administrative and
criminal judicial forfeiture proceedings
are not mutually exclusive, and 8.16
affirms that the United States is not
liable for attorney fees in any
administrative forfeiture proceeding.
Section 8.23 adds a provision defining
the allowable redelegations of authority
under the regulations. Section 8.9(a)(1)
updates the forfeiture regulations by
adding the option of publishing notice
for administrative forfeitures on an
official government Internet site instead
of in a newspaper.
Fourth, the rule amends the list of
designated officials at 28 CFR part 9
governing petitions for remission or
mitigation of forfeiture, clarifies the
existing regulations pertaining to
victims, and makes remission available
to third parties who reimburse victims
under an indemnification agreement.
II. Statement of Need
Consistent with Executive Order

13563, this rule is needed to ensure that
the Departments seizure and forfeiture
regulations accurately reflect the current
composition of the Department, the
current state of the law, and current
practices and procedures relating to the
seizure, forfeiture, and remission of
assets. Specifically, the rule is necessary
to recognize ATF as part of the
Department and to bring clarity to the
regulatory framework by consolidating
the ATF, DEA, and FBI regulations
governing the seizure and
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56094
Federal Register / Vol. 77, No. 177 / Wednesday, September 12, 2012 / Rules and Regulations
administrative forfeiture of property.

The rule is also needed to conform the
regulations with the changes to seizure
and forfeiture law included in CAFRA,
which has rendered many of the
existing regulations obsolete. Finally,
this rule is necessary to reflect current
forfeiture practice and to clarify the
existing regulations pertaining to
victims and the remission process.
III. Discussion
A. Consolidation of the Regulations

Governing the Seizure and Forfeiture of
Property by ATF, DEA, and FBI
Consolidating the forfeiture
regulations used by ATF (formerly 27
CFR part 72), DEA (21 CFR part 1316,
subparts E and F), and FBI (28 CFR part
8 and 21 CFR part 1316, subparts E and
F) will achieve greater consistency
within the Department and will promote
overall fairness by helping ensure that
the administrative forfeiture process is
governed by uniform procedures.
The final rule removes 21 CFR part
1316, subparts E and F and replaces
them by adding an amended 28 CFR
part 8 governing the seizure and
forfeiture of property by each agency.
Part 8 is divided into subparts A, B, and
C. Subpart A contains generally
applicable provisions for seizures and
forfeitures by ATF, DEA, and FBI.
Subpart B contains expedited
procedures for property seized by DEA
and FBI for violations involving
personal use quantities of a controlled
substance. Subpart C includes the
permitted redelegations of authority
under these regulations.
However, this consolidation does not
constitute the entirety of the
Departments forfeiture regulations. ATF
continues to enforce and administer the
provisions of the National Firearms Act
(NFA), ch. 757, 48 Stat. 1236 (1934)
(codified at 26 U.S.C. ch. 53). Pursuant
to 18 U.S.C. 983(i)(2), Internal Revenue
Code forfeitures, including NFA
forfeitures, are not subject to CAFRAs
procedural requirements. NFA civil
forfeiture procedure is governed, for the
most part, by the Customs laws (19
U.S.C. 16021618), including the notice
and cost bond requirements. In addition,
pursuant to the Customs laws, the
Governments initial burden of proof in
an NFA civil forfeiture is to demonstrate
probable cause to believe that the
property is forfeitable. See 19
U.S.C. 1615. Further, there is no
innocent ownership defense to
forfeiture under the NFA. However,
NFA forfeitures are subject to CAFRAs
attorney fees requirement.
B. CAFRA Procedural Changes

Incorporated in the Final Rule
The rule incorporates CAFRAs
modifications to the general rules for
civil forfeiture proceedings, see 18
U.S.C. 983, by making certain changes
to the administrative forfeiture process,
including the procedures relating to
notice of seizure, filing of claims,
hardship requests, and releases of
property.
Notice of seizure. Section 983(a)(1)
establishes deadlines and procedures for
sending personal written notices of
seizures to parties with a potential
interest in the property. These deadlines
and procedures are in addition to, and
in some respects different from, the
deadlines and procedures under the
Customs laws. The forfeiture procedures
under Customs laws (19 U.S.C. 1602
1618), which are incorporated by
reference insofar as applicable in
forfeiture statutes enforced by the
Department of Justice (e.g., 21 U.S.C.
881(d)), require that [w]ritten notice of
seizure together with information on the
applicable procedures shall be sent to
each party who appears to have an
interest in the seized article. 19 U.S.C.
1607(a). CAFRA, as codified at 18 U.S.C.
983(a)(1), requires that notice be sent
within 60 days of seizure, or within 90
days of a seizure by a state or local
agency, or within 60 days of establishing
the interested partys
identity if it is not known at the time of
seizure. CAFRA also provides that a
supervisory official of the seizing
agency may grant a single 30-day
extension if certain conditions are
satisfied and that extensions thereafter
may only be granted by a court. Section
8.9 of the rule incorporates these noticerelated provisions of CAFRA.
Filing of administrative claims.
Section 983(a)(2) of title 18 of the
United States Code modifies the
procedure for filing a claim to seized
property and differs in several respects
from Customs laws. Under the Customs
laws applicable to Department of Justice
forfeitures, a claimant to property
subject to forfeiture has 20 days after the
first published notice of seizure to
contest the administrative forfeiture by
filing with the seizing agency both a
claim and a cost bond for $5,000 or 10
percent of the propertys value,
whichever is less, but not less than
$250. See 19 U.S.C. 1608. Section
983(a)(2) eliminates the cost bond
requirement for forfeitures covered by
CAFRA. Section 983(a)(2) also changes
the deadlines for filing claims to contest
the forfeiture. Persons not receiving a
notice letter must file a claim within 30
days after the date of the final published
119
notice. Those who do receive a personal

notice letter may file claims until the
deadline provided in the letter, which
must be at least 35 days after the date
the letter was mailed. Section 983(a)(2)
also adds provisions specifying the
information required for a valid claim.
It reflects the amendments to 18 U.S.C.
983(a)(2)(C)(ii) in the Paul Coverdell
National Forensic Sciences
Improvement Act of 2000, Public Law
106561, 114 Stat. 2787, which
retroactively deleted CAFRAs original
requirements that claimants provide
with their claims documentary evidence
supporting their interest in the seized
property and state that their claims are
not frivolous. Consequently, pursuant to
section 21 of CAFRA (establishing
CAFRAs effective date), the amended
section 983(a)(2)(C)(ii) applies to any
forfeiture proceeding commenced on or
after August 23, 2000. Section 8.10 of
the rule incorporates these section
983(a)(2) changes to the claim
procedures for an administrative
forfeiture.
Release of seized property if forfeiture
is not commenced. Section 8.13 of the
rule provides procedures to implement
18 U.S.C. 983(a)(3). Section 983(a)(3)
requires the release of seized property
pursuant to regulations promulgated by
the Attorney General and prohibits the
United States from pursuing further
action for civil forfeiture if the United
States does not institute judicial
forfeiture proceedings against the
property within 90 days after an
administrative claim has been filed and
no extension of time has been obtained
from a court.
Hardship request. Section 8.15 of the
rule implements 18 U.S.C. 983(f), which
provides procedures and criteria for the
release of seized property (subject to
certain exceptions) pending the
completion of judicial forfeiture
proceedings when a claimants request
for such release establishes that
continued government custody will
cause substantial hardship that
outweighs the risk that the property will
not remain available for forfeiture.
Expedited release of property. Subpart
B ( 8.17 through 8.22) incorporates
and amends, to the extent required by
CAFRA, the pre-existing regulations for
expedited forfeiture proceedings for
certain property. The pre-existing
regulations, 21 CFR part 1316, subpart
F, provided expedited procedures for
conveyances seized for drug-related
offenses and property seized for
violations involving personal use
quantities of a controlled substance. By
repealing 21 U.S.C. 888 (expedited
procedures for seized conveyances),
CAFRA eliminated the statutory basis
RIF
for the expedited procedure regulations

pertaining to drug-related conveyance
seizures. Accordingly, 8.17 through
8.22 omit the 21 CFR part 1316, subpart
F provisions applicable to drug-related
conveyance seizures. The remaining
provisions apply only where property is
seized for administrative forfeiture
involving controlled substances in
personal use quantities.
Remissions and mitigations. For
consistency with CAFRAs uniform
innocent owner defense, 18 U.S.C.
983(d), the rule incorporates the
innocent owner provisions of sections
983(d)(2)(A) and 983(d)(3)(A) in a new
28 CFR 9.5(a)(l).
Forfeitures affected by CAFRA and
the final rule. CAFRAs changes apply
to civil forfeiture proceedings
commenced on or after August 23, 2000,
with the exception of civil forfeitures
under the following statutes listed in 18
U.S.C. 983(i): The Tariff Act of 1930 or
any other provision of law codified in
title 19; the Internal Revenue Code of
1986; the Federal Food, Drug, and
Cosmetic Act (21 U.S.C. 301 et seq.); the
Trading with the Enemy Act (50 U.S.C.
App. 1 et seq.) or the International
Emergency Economic Powers Act (50
U.S.C. 1701 et seq.); or section 1 of title
VI of the Act of June 15, 1917 (22 U.S.C.
401). The final rule similarly applies to
all forfeitures administered by the
Department with the exception of
seizures and forfeitures under the
statutes listed in 18 U.S.C. 983(i). The
authority of seizing agencies to conduct
administrative forfeitures derives from
the procedural provisions of the
Customs laws where those provisions
are incorporated by reference in the
substantive forfeiture statutes enforced
by the agencies.
C. Changes to the Previous Regulations

Governing the Seizure and Forfeiture of
Property by ATF, DEA, and FBI
Pre-forfeiture disposition. The
provision providing for the preforfeiture disposition of seized property,
8.14, implements the authority of 19
U.S.C. 1612(b), which is one of the
procedural Customs statutes
incorporated by reference into the
forfeiture statutes enforced by the
Department. Section 1612(b) authorizes
pre-forfeiture disposal of seized
property, pursuant to regulations, when
the property is liable to perish or to
waste, or to be greatly reduced in value
during its detention for forfeiture, or
when the expense of keeping the
property pending forfeiture is or will be
disproportionate to the propertys value.
The rule enables the Department to use
the authority of section 1612(b) in
appropriate cases.
Internet publication. The rule updates

the forfeiture regulations by adding, in
8.9(a)(1)(ii), a provision for the
publication of administrative forfeiture
notices on an official government
Internet site instead of in newspapers.
The statute governing the publication of
notice in administrative forfeiture
proceedings, 19 U.S.C. 1607, does not
require a specific means of publication.
Section 8.9(a)(1)(ii) will provide ATF,
DEA, and FBI with the choice to use the
official Internet government forfeiture
site, currently www.forfeiture.gov, to
publish notice of administrative
forfeiture proceedings for no cost as an
alternative to the newspaper publication
provided for in 8.9(a)(1)(i). This grant
of authority to the agencies parallels a
similar grant of authority in Rule
G(4)(a)(iv)(C) of the Supplemental Rules
for Admiralty or Maritime Claims and
Asset Forfeiture Actions.
Pursuant to Rule G(4)(a)(iv)(C), in all
civil judicial forfeitures, the
Government may give public notice
through the Internet rather than in a
newspaper. Section 8.9(a)(1)(ii) will
permit the Department of Justice
agencies to likewise use the official
government Web site, currently
www.forfeiture.gov, to provide notice in
administrative forfeitures, a cost savings
that is particularly important as the
volume of administrative forfeitures is
much greater than judicial forfeitures.
There is strong statistical proof that
Internet access is now available to the
vast majority of United States residents.
Internet access continues to grow, while
newspaper circulation is declining, and
in some markets, the option to publish
in a traditional newspaper may not be
available in the future.
D. Regulations at 28 CFR Part 9
Governing the Remission or Mitigation
of Forfeitures
The final rule includes modifications
to the regulations governing the
remission or mitigation of forfeiture at
28 CFR part 9. Section 9.3(e)(2) is
revised by listing DEAs Forfeiture
Counsel as the pertinent official in
DEA forfeiture cases, by deleting
references to ATFs Special Agent in
Charge, Asset Forfeiture and Seized
Property Branch, and referring instead
to ATFs Office of Chief Counsel,
Forfeiture Counsel, as the pertinent
official in ATF forfeiture cases, and by
updating the addresses for both DEA
and ATF. Section 9.1 changes the
designation of the official within ATF to
whom authority to grant remission and
mitigation has been delegated.
Second, the definition of victim in
9.2 is modified to make remission
available to qualified third parties who
120
56095
reimburse a victim pursuant to an

indemnification agreement. In addition,
9.8 is modified to specify the
procedures applicable to persons
seeking remission as victims.
E. Summary of the Impact of the

Changes on the Public
CAFRA enacted additional due
process protections for property owners
in federal civil forfeiture proceedings.
Section 2(a) of CAFRA, codified at 18
U.S.C. 983, requires prompt notification
of administrative forfeiture proceedings.
As a general rule, in any administrative
forfeiture proceeding under a civil
forfeiture statute, the Government must
send written notice of the seizure and
the Governments intent to forfeit the
property to all persons known to the
Government who might have an interest
in the property within 60 days of a
seizure (or 90 days of a seizure made by
state or local law enforcement
authorities and transferred for federal
forfeiture).
CAFRA also changed the procedure
for filing administrative claims. Section
983(a)(2)(B) dictates that when the
agency both publishes and sends notice
of the seizure and its intent to forfeit the
property, an owner who receives notice
by mail has at least 35 days from the
date of mailing, and if the personal
notice is sent but not received, an owner
has 30 days from the date of final
publication of notice of the seizure, to
file a claim with the agency. In addition,
the notice provision in 8.9(a)(1)(ii) was
updated to allow the agencies to publish
administrative forfeiture notices on the
Internet instead of in newspapers,
consistent with the procedure for civil
judicial forfeitures under Rule
G(4)(a)(iv)(C).
The filing of a valid claim compels
the agency to refer the matter to the U.S.
Attorney. To preserve the option to seek
civil judicial forfeiture, the U.S.
Attorney must do one of the following
within 90 days: (1) Commence a civil
judicial forfeiture action against the
seized property; (2) obtain an indictment
alleging the property is subject to
criminal forfeiture; (3) obtain a good
cause extension of the deadline from the
district court; or (4) return the property
pending the filing of a complaint. If the
Government fails to take any of these
steps within the statutory deadline, it
must promptly release the property and
is barred from taking any further action
to civilly forfeit the property in
connection with the underlying offense.
Prior to CAFRA, claims in an
administrative forfeiture required an
accompanying bond of either $5,000 or
10 percent of the value of the seized
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56096
property, whichever was lower. Section

983(a)(2) eliminated the bond
requirement, in forfeitures covered by
CAFRA, to give the property owner
greater access to federal court. However,
to prevent frivolous claims, CAFRA
requires the claimant to state the basis
for his or her interest in the property in
the claim under oath.
Under CAFRA, claimants also have a
right to petition for immediate release of
seized property on grounds of hardship
with a 30-day deadline on judicial
resolution of such petitions. Section
983(f)(7) provides that if the court grants
a petition, it may also enter any order
necessary to ensure that the value of the
property is maintained during the
pendency of the forfeiture action,
including permitting inspection,
photographing, and inventory of the
property, fixing a bond pursuant to Rule
E(5) of the Supplemental Rules for
Certain Admiralty or Maritime Claims,
or requiring the claimant to obtain or
maintain insurance on the property. It
also provides that the Government may
place a lien or file a lis pendens on the
property.
It is important to note that CAFRAs
deadlines apply only to civil forfeiture
actions initiated by commencement of
an administrative proceeding under
section 983(a) and do not apply to
actions commenced solely as civil
judicial forfeitures. However, the vast
majority of civil forfeitures are handled
administratively.
CAFRA changed the procedures for
the expedited release of conveyances
and property seized for drug offenses to
apply only where property is seized for
administrative forfeiture involving
substance.
Although CAFRA enacted a provision
granting attorney fees to substantially
prevailing parties in civil judicial
forfeitures, the regulations make it clear
that the United States is not liable for
attorney fees or costs in administrative
forfeiture proceedings, even if the
matter is referred to the U.S. Attorney
and the U.S. Attorney declines to
initiate a judicial forfeiture on the
property. See 8.16.
In addition to implementing these
CAFRA reforms, the new regulations
authorize the destruction, sale, or other
disposition of seized property prior to
forfeiture whenever it appears that the
property is liable to perish or to waste,
or to be greatly reduced in value during
its detention for forfeiture, or that the
expense of keeping the property is or
will be disproportionate to its value. See
8.14. This disposition must be
authorized by the appropriate official of
the seizing agency. The regulations also
specify that the seizing agency must

promptly deposit any seized U.S.
currency into the Seized Asset Deposit
Fund pending forfeiture. See 8.5.
There is an exception for currency that
must be retained because it has a
significant, independent, tangible
evidentiary purpose. See 8.5(b).
The final rule also changes some of
the procedures relating to crime victims
in 28 CFR part 9. The definition of
victim is modified to make remission
available to qualified third parties who
reimburse a victim pursuant to an
insurance or other indemnification
agreement. See 9.2(w). In addition,
9.8 is reorganized and a new
paragraph (a) is added to specify the
filing procedures applicable to persons
seeking remission as victims. Section
9.8(i) clarifies that the amount of
compensation available to a particular
victim may not exceed the victims
share of the net proceeds of the
forfeiture associated with the activity
that caused the victims loss. In other
words, a victim is not entitled to full
compensation, but only the amount of
compensation available from the
forfeited property. In addition, the new
rule makes the statutory innocent owner
provisions at 18 U.S.C. 983(d)(2)(A) and
(d)(3)(A) applicable to all owner and
lienholder petitions for remission.
IV. Public Comments
The Department received two

comments on the rule. One comment
was a general statement of support for
the rule. The other comment came from
a group of four organizations
representing numerous American
newspapers (collectively, Newspaper
Group). The Newspaper Group
objected to 8.9 (Notice of
administrative forfeiture), which
consolidates seizure and forfeiture
regulations for ATF, DEA, and FBI.
Specifically, the Newspaper Group
objected to 8.9(a)(1), which permits the
seizing agency to provide public
notice of an administrative forfeiture
proceeding by publishing notice either
on an official government Internet site
for at least 30 consecutive days, or once
a week for at least three successive
weeks in a newspaper of general
circulation in the judicial district where
the property was seized. The Newspaper
Group maintained that any Internet
notice is an inadequate substitute for a
printed, fixed newspaper notice and
therefore opposed authorizing agencies
to publish notice of administrative
forfeiture proceedings on an official
government forfeiture Web site as an
alternative to traditional newspaper
publication.
121
The Department has reviewed and

considered the Newspaper Groups
comment and has decided not to make
any changes to the proposed rule. The
following is a summary of the
Newspaper Groups points and the
Departments response to each one.
Comment: The overarching theme of
the Newspaper Groups comment is that
giving the Department the option of
publishing notice of administrative
forfeiture proceedings on the Internet, as
opposed to in newspapers, will
disenfranchise property owners,
particularly those who the Newspaper
Group believes may not have ready
Internet access.
Response: The Newspaper Groups
comment makes passing mention of the
fact that for several years the
Department has been using the Internet
to afford public notice of other
forfeiture notices from other federal
agencies. This is, however, a point
worthy of emphasis at the outset.
Civil judicial forfeitures have been
governed, since December 1, 2006, by
Rule G of the Supplemental Rule for
Admiralty or Maritime Claims and Asset
Forfeiture Actions, Federal Rule of Civil
Procedure (Supplemental Rule G).
Since its inception, Supplemental Rule
G(4)(A)(iv)(C) has provided two
alternative means of affording public
notice of civil judicial forfeitures: (1)
Publication once a week for three
consecutive weeks in a newspaper of
general circulation in the district in
which the forfeiture action is filed or (2)
posting notice of the forfeiture on an
official government forfeiture Web site
for at least 30 consecutive days. The
official government Internet Web site for
posting notices of civil judicial
forfeitures, www.forfeiture.gov, became
operational in December 2007.
In criminal forfeiture cases, postconviction notices of forfeiture are
published according to the provisions of
Rule 32.2 of the Federal Rules of
Criminal Procedure, in conjunction with
section 853(n)(1) of title 21, United
States Code. Rule 32.2 was amended
effective December 1, 2009, to
incorporate by reference the
aforementioned notice provisions of
Supplemental Rule G. See Fed. R. Crim.
P. 32.2(b)(6)(C). Since then, criminal
forfeiture notices also have been posted
on www.forfeiture.gov, thereby
providing free public access to notices
of all judicial forfeitures, civil and
criminal. The success of
www.forfeiture.gov is confirmed by
impressive levels of usage; from 2007 to
July 2011, 72,007 individuals (based on
unique IP addresses) visited the Web
site, and the total number of visits was
158,086. For nearly five years, therefore,
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the Internet has served as an effective

and cost-efficient means of providing
public notice of thousands of federal
civil and criminal judicial forfeiture
proceedings.
Comment: The Newspaper Groups
comment asserts that [t]he point of
public notice is to put information
where people not necessarily looking for
it are likely to find it.
Response: The Supreme Court has
held that, in providing public notice of
administrative forfeiture proceedings,
due process requires only that the
Governments effort be reasonably
calculated to apprise a party of the
pendency of the action. Dusenbery v.
United States, 534 U.S. 161, 170 (2002)
(quoting Mullane v. Central Hanover
Bank & Trust Co., 339 U.S. 306, 315
(1950)). Although Dusenbery involved
direct notice of an administrative
forfeiture, the same due process
standard applies to published notice as
well. See, e.g., United States v. Young,
421 Fed. Appx. 229, 231, 2011 WL
1206664 (3d Cir. Apr. 11, 2011).
The statute governing notices of
administrative forfeiture requires only
that notice of the seizure * * * and the
intention to forfeit * * * be published
for at least three consecutive weeks in
such manner as the [Attorney General]
may direct. 19 U.S.C. 1607(a)
(incorporated by reference and made
applicable to the Attorney General in
statutes such as 18 U.S.C. 981(d) and 21
U.S.C. 881(d)). The statute does not
require a specific means of publication.
The means historically selected by the
Attorney General required that notices
of administrative forfeiture be published
once a week for at least three
successive weeks in a newspaper of
general circulation in the judicial
district in which the [proceeding] for
forfeiture is brought. See, e.g., 21 CFR
1316.75(a). This was, throughout most
of the 20th century, a standard
reasonably calculated to provide
notice to interested parties,
notwithstanding the fact that many
interested parties might be far removed
from the district in question, perhaps
even in a foreign nation, and without
ready access to American newspapers of
general circulation.
The Department believes that in the
Internet era, continued adherence to
newspaper noticing alone places a
burden on persons desirous of receiving
notice, including, but certainly not
limited to: members of our Armed
Forces serving in foreign lands; other
persons residing in foreign countries;
incarcerated persons or those confined
long-term to health care facilities
wherever located; or anyone with
Internet access but far removed from
outlets carrying up-to-date American

newspapers of general circulation. By
contrast, Internet publication will allow
for continuous access to administrative
forfeiture notices for at least 30 days on
a Web site that may easily be found by,
for example, using the term United
States forfeiture on a search engine.
Given the current state of technology,
the Department believes that this
practice is far more reasonably
calculated to provide public notice of
forfeiture proceedings to all interested
persons, whatever their circumstances
and wherever they might be located.
comment assumes that notice of
administrative forfeitures will be posted
only on the Web site of the law
enforcement agency that seized the
subject property. Based on this
assumption, the comment highlights the
alleged deficiencies of using a seizing
agency Web site for such purposes, and
concludes that [n]ewspapers are a
better choice for public notice given
their much broader reach.
Response: The assumption that the
Department will publish notices of
administrative forfeiture proceedings on
seizing agency Web sites is incorrect.
The rule authorizes notice on an
official internet government forfeiture
site, which mirrors the language that
authorizes Internet notice under
Supplemental Rule G, discussed supra.
As with existing judicial forfeiture
notices, administrative forfeiture notices
will be posted on www.forfeiture.gov,
the official internet government
forfeiture site that is dedicated to
providing notice of federal forfeiture
proceedings. Therefore, the comments
line of argument about the alleged
superiority of newspapers over
individual seizing agency Web sites is
inapposite. Nonetheless, the Department
believes the comparative advantages of
the Internet as opposed to newspapers
in providing public notice of forfeiture
proceedings should be addressed more
broadly.
The Department, as noted, has had the
option of publishing notice of civil
judicial forfeitures through the Internet
since Supplemental Rule G became
effective in 2006. Supplemental Rule G
was drafted by the Advisory Committee
on Civil Rules (Committee), a group
composed of federal and state judges,
private and government attorneys, and
law professors, that is responsible for
considering and drafting amendments to
the Federal Rules of Civil Procedure,
including the Supplemental Rules.1
1 The Rules Enabling Act, 28 U.S.C. 20712077,
authorizes the Supreme Court to prescribe general
rules of practice and procedure for the federal
122
56097
The Committee began work on

Supplemental Rule G in 2003.2 Even
then, the limitations of newspaper
publication and the promise of Internet
publication were readily apparent to the
Committee. In the Advisory Committee
Note to Rule G, the Committee observed:
Newspaper publication is not a particularly

effective means of notice for most potential
claimants. Its traditional use is best defended
by want of affordable alternatives. Paragraph
[(4)(a)](iv)(C) [of Supplemental Rule G]
contemplates a government-created internet
forfeiture site that would provide a single
easily identified means of notice. Such a site
would allow much more direct access to
notice as to any specific property than
publication provides.3
Ultimately, the Committees proposed

version of Supplemental Rule G(4)(a)(iv)
authorizing use of the Internet for
publishing public notice of civil judicial
forfeiture proceedings, and the Advisory
Committee Note pertaining thereto,
were embodied verbatim in the official
version that was approved by the
Supreme Court and the Congress and
became effective on December 1, 2006.
In devising Supplemental Rule G, the
Committee acknowledged that the
Internet, by its nature, offers far greater
access to forfeiture notices than
newspapers. Once an Internet
connection is established, every single
user anywhere in the world, at any time
of day, has the ability to access federal
forfeiture notices online. The same
cannot be said of notice published
through a single newspaper, the reach of
which is limited numerically to the
amount of people who read a given
edition and geographically by
circulation limitations. Indeed, the
statistic cited in the Newspaper Groups
comment that nearly 100 million adults
read a newspaper on an average
courts. Under the Act, the Judicial Conference, a

body of federal judges convened by the Chief Justice
of the United States pursuant to 28 U.S.C. 331, must
appoint a Standing Committee and may appoint
advisory committees to recommend new and
amended procedural rules. See 28 U.S.C. 2073(b).
The Advisory Committees currently appointed
consist of the Advisory Committees on the Rules of
Appellate, Bankruptcy, Civil Procedure, Criminal
Procedure, and Evidence. New and amended
procedural rules recommended by the Advisory
Committees are submitted through the Standing
Committee to the United States Supreme Court and
then from the Court to the Congress. See 28 U.S.C.
2074(a). If the Congress does not act on the
proposed procedural rules, they become effective
on December 1 of the year in which they were
submitted. Id.
2 See Report of Civil Rules Advisory Committee,
3 (Dec. 16, 2003), available at http://
www.uscourts.gov/uscourts/RulesAndPolicies/
rules/Reports/CV12-2003.pdf.
3 See Report of Civil Rules Advisory Committee,
92 (May 17, 2004), available at http://
www.uscourts.gov/uscourts/RulesAndPolicies/
rules/Reports/CV5-2004.pdf; see also Fed. R. Civ. P.
Supp. R. G Advisory Committes Note.
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56098
weekday is irrelevant for present

purposes, as it reflects the total
readership of all newspapers combined,
which is not the equivalent of 100
million people having access to notices
published through a single newspaper.
Supplemental Rule G was also drafted
against the backdrop of a dramatic rise
in Internet usage coinciding with a
precipitous decline in newspaper
circulation. Since 2003, these trends
have only accelerated. The most recent
and comprehensive analysis of Internet
penetration is Digital Nation
Expanding Internet Usage, published by
the U.S. Department of Commerce,
National Telecommunications &
Information Administration, in February
2011.4 Statistics from this report show
that an estimated 209 million
Americansabout 72% of all adults and
children aged three years and older
use the internet somewhere, whether at
home, the workplace, schools, libraries,
or a neighbors house. Digital Nation at
28 (emphasis omitted). This represents
an increase from 68.4% (197.9 million)
in 2009. Id. at 17. Internet use through
libraries is particularly important, as it
provides the most widespread
availability of free and regular Internet
access to the general public. The
American Library Associations Public
Library Funds & Technology Access
Study (20102011) reports that 99.3% of
public libraries offer public access to
computers and the Internet.5 According
to a study by the University of
Washington, a third of Americans 14
and older, or about 77 million people,
use public library computers.6
As Internet use has expanded, the
circulation of printed newspapers has
continued to decline. According to The
State of the News Media 2011, a report
issued by the Pew Research Centers
Project for Excellence in Journalism,
daily circulation of U.S. newspapers has
declined 30% in the last 10 years, from
62.3 million in 1990 to 43.4 million in
2010.7 This negative trend is reflected
by national papers such as USA Today,
which in just the past two years has
4 U.S. Department of Commerce, Digital Nation

Expanding Internet Usage (Digital Nation), available
at http://www.ntia.doc.gov/files/ntia/publications/
ntia_internet_use_report_february_2011.pdf.
5 John Carlo Bertot, et al., Libraries Connect
Communities: Public Library Funding & Technology
Access Study 20102011 (Libraries Connect
Communities), at 3, available at http://
viewer.zmags.com/publication/857ea9fd.
6 Samantha Becker, et al., Opportunity for All:
How the American Public Benefits from Internet
Access at U.S. Libraries (Opportunity for All), at 32,
available at http://impact.ischool.washington.edu/
documents/OPP4ALL_FinalReport.pdf.
7 Pew Research Center, The State of the News
Media 2011, at 8, available at http://
stateofthemedia.org/2011/newspapers-essay/datapage-6.
seen its circulation decline by 460,000,

and by big-city metro newspapers such
as the Newark Star Ledger and the San
Francisco Chronicle, each of which lost
about a third of its daily circulation over
the same period. Id. at 9.
In addition to enhanced accessibility
and reach, another factor in favor of
publishing forfeiture notices through the
Internet is cost. The Advisory
Committee that drafted Supplemental
Rule G advised in the note pertaining to
subpart (4)(a) that, in choosing between
newspapers and the Internet as the
means for providing public notice, the
Government should choose * * * a
method that is reasonably likely to reach
potential claimants at a cost reasonable
in the circumstances. Fed. R. Civ. P.
Supp. R. G Advisory Committees Note
(2006) (emphasis added). Currently,
according to the Departments Justice
Management Division, the Department
pays between $10,000 and $12,000 per
day in noticing costs to newspapers.
Alternatively, publishing those same
notices on www.forfeiture.gov, a fully
operational Web site, would be of little
to no additional cost to the Government.
comment predicts that transitioning
from newspapers to the Internet as a
means of providing public notice of
administrative forfeiture proceedings
will disenfranchise the following
groups: key stakeholders, fractional
property stakeholders, the poor, rural
residents, minorities, senior citizens, the
disabled, and the ill.
Response: The Department is
sensitive to this concern but does not
agree that using the Internet to provide
public notice of administrative
forfeiture proceedings will adversely
affect these groups.
Before addressing the substance of
this particular comment, it is important
to note two critical points to place the
Departments response in the
appropriate context. First, the public
notice authorized by 8.9(a) will be in
addition to the personal written direct
notice that must be provided, generally
by mail, directly to every person known
to the Government who appears to have
an interest in the property to be
forfeited. See 8.9(b); see also 19 U.S.C.
1607(a). Thus, the relevant category of
people in the groups identified in the
comment is limited only to those
individuals who have an interest in the
seized property unknown to the
Government, or to those who have an
interest known to the Government, but
for whom the Government lacks
accurate contact information. Only these
individuals will have to rely on public
notice. All other ownersthose with
known interests and contact
123
informationwill receive personal

written notice of the forfeiture
proceedings. Second, the proposed
regulation affords the Government the
option of using the Internet to provide
public notice of administrative
forfeiture proceedings. If the
Government has reason to anticipate
that Internet publication may not be
effective in a given case, it retains the
option of simultaneously publishing
notice in a newspaper.
Key stakeholders
Comment: The comment identifies
prisoners and frequent travelers as key
stakeholders whose interests allegedly
would not be served by Internet notice,
instead of newspaper notice, of
administrative forfeiture proceedings.
Response: Like anyone else, prisoners
who are known by the Government to
have an interest in any seized property
are entitled to personal written notice
from the Government of any federal
forfeiture proceedings against the
property. Moreover, if a prisoners
interest in property subject to forfeiture
is not known to the Government, there
is nothing to guarantee under the
current regulations that the prisoner
will have access to the few newspapers
of general circulation that publish
forfeiture notices. The Newspaper
Groups comment acknowledges that
prisoners lack access to newspapers, but
maintains that news of the forfeiture
could be provided to them through
someone the prisoner knows who sees
the notice in a local newspaper. The
Department believes that it is unlikely
that a significant number of prisoners
currently receive forfeiture notices in
this fashion, as it would require
someone who knows of the prisoners
interest in the property to come across
a forfeiture notice of personal property
in the correct newspaper of general
circulation, to recognize, from both the
property description and the date and
place of seizure, that the notice pertains
to the prisoners property, and then to
convey this information to the prisoner.
The Department does not believe that
such a scenario will become
significantly less likely to transpire if
the notice of the forfeiture is published
on the Internet.
For similar reasons, the Department
does not believe that a traveling
property stakeholder will be
disadvantaged by this change in
noticing practice. The accessibility of
general circulation U.S. newspapers is
quite limited outside the United States,
whereas Internet access to the Federal
Governments Internet forfeiture site is
readily available in most parts of the
world. If the Government is unaware of
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a stakeholders interest in property and

thus does not provide personal written
notice to the stakeholder, the most
likely source for conveying news of the
seizure to the stakeholder would be an
associate of the stakeholder who knows
of both the seizure and the stakeholders
ownership interest. After being alerted
of the seizure, it should be easier for the
traveling stakeholder to find Internet
access than to find and purchase the
correct daily issue of a particular U.S.
newspaper.
Fractional property stakeholders

comment asserts that the rights of a coowner may not be clear to the seizing
agency, and the malfeasance of the
property holder may not be clear to
minority owners, divorced spouses,
unregistered lien holders and others
who might not be reached by any
personal notice.
Response: All persons, including
fractional property stakeholders, whose
interest in seized property is known to
the Government, are entitled to personal
notice of administrative forfeiture
proceedings. In those cases in which a
fractional property stakeholder is not
known to the Government, the
Newspaper Group contends that those
individuals are more likely to learn of
the forfeiture proceedings through
newspaper rather than Internet notice.
But even if such a contention could be
verified, the Government is not required
to provide the most effective notice,
only one reasonably calculated to
apprise a party of the pendency of the
action. See Dusenbery, 534 U.S. at 170.
The Poor
Comment: The comment maintains
that the proposed rule would require
property stakeholders to have basic
technical skills and access to a costly
computer, thus adversely affecting the
poor.
Response: As previously noted,
Internet access is widely available even
for those who do not own a computer.
Also, the statistics cited above suggest
that finding the right newspaper on the
specific dates a particular notice is
published may be even more difficult
and unlikely to provide greater access to
the notice for such property
stakeholders, regardless of whether they
own a computer or possess the required
technical skills. According to a 2010
University of Washington study, those
living below the poverty line had the
highest use of library computers, with
44% having reported using public
library computers for Internet access
during the previous year. Opportunity
for All, supra n.6, at 2. Further, it seems
unreasonable to assume that individuals

too poor to own a computer will
nonetheless have the resources to
subscribe to, or purchase at retail, a
newspaper of general circulation, such
as The Wall Street Journal, until they
obtain an issue containing the forfeiture
notice for the property in which they
have an interest.
Comment: Newspapers may be
written in time-honored basic news
language, not legalese.
Response: Forfeiture notices currently
posted on www.forfeiture.gov use the
same language as those in newspapers.
Comment: Newspapers may be
written in Spanish or German or
Swahili to address a specific nonEnglish-speaking community.
Response: Non-English newspapers
are not newspapers of general
circulation in the United States and
thus cannot be used to publish forfeiture
notices.
Rural Areas
Comment: Statistics show that many
rural areas use dial-up connections
because broadband is unavailable.
Response: Dial-up, though it may be
slower than other means of
connectivity, still provides access to the
Internet. Furthermore, the Digital
Nation study cited previously notes that
the urban-rural gap in Internet use
anywhere receded from 4.4 percentage
points (69.3% versus 64.9%) in 2009, to
3.6 percentage points (72.4% versus
68.8%) in 2010. See Digital Nation,
supra n.4, at 17. There is reason to
expect this trend to continue as rural
areas lacking meaningful internet
service should benefit from recent
federal initiatives to expand broadband
Internet access in rural areas, including
over $3.5 billion in awards under the
Broadband Initiatives Program (funded
by the American Recovery and
Reinvestment Act of 2009), as well as
ongoing rural broadband loan programs
administered by the U.S. Department of
Agricultures Rural Utilities Service.8
Minorities, Senior Citizens, the
Disabled, the Ill
Comment: The Newspaper Group
asserts that [s]urvey after survey has
shown that particular classes will be
disenfranchised if notices are solely
placed on internet sites because certain
classes are less likely to have access to
the internet.
Response: With respect to minorities,
senior citizens, the disabled, and the ill,
the same general themes apply: The
8 See Rural Utilities Service, Satellite Awards,
Broadband Initiatives Program, available at http://
www.rurdev.usda.gov/Publications/
BIPSatelliteFactSheet10-20-10.pdf.
124
56099
Internet offers greater accessibility to

public administrative forfeiture notices
than newspapers of general circulation
for such individuals and their associates
and thus increases the likelihood that
affected individuals in these groups will
be notified of a seizure in which they
have an interest. While average use of
the Internet by these groups may be
lower than it is by other groups, it does
not follow that they will be
disenfranchised if administrative
forfeiture notices are published only
through the Internet, and the comment
does not point to information that says
otherwise. But even if the Newspaper
Groups conclusions could be verified,
that would not alter the fact that the
Government is not required to provide
the most effective notice, only one
reasonably calculated to apprise a
party of the pendency of the action. See
Dusenbery, 534 U.S. at 170.
Comment: According to the
Newspaper Groups comment, libraries
and community centers have limited
budgets and can only purchase and
maintain a limited number of
computers, and some even have long
lines and limited hours of operation.
Response: The Department
acknowledges that libraries and
community centers may have limited
resources, but does not believe that the
limitations of public Internet access are
significant enough to warrant
modification to the final rule. As noted
previously, 99.3% of public libraries
offer public access to computers and the
Internet, enabling a large swath of the
population to access online forfeiture
notices. See Libraries Connect
Communities, supra n.5, at 3.
comment claims that government
Internet posting of notice does not
comport with a long tradition that
public notice must include four
elements: the notice must be published
by an independent third party, the
publication must be capable of being
archived at a reasonable cost, the notice
must be accessible, and the notice must
be verifiable.
Response: The comment does not
reference any statutory or case law to
support the proposition that public
notice must include these four elements.
The Department notes that the
applicable requirements for notice are
encompassed in the constitutional due
process standard governing notice of
forfeiture proceedings discussed earlier.
The element referenced in the
comment requiring that notice be
published by an independent third
party presumes that newspapers, being
independent of the government,
provide the public with an extra layer
RIF
56100
of confidence in the notice than if the

government published them itself. But
this argument mistakes why newspapers
were used in the past and the role they
serve in the notice process. Newspapers
were historically used to provide public
notice because, until the Internet, there
was no comparable alternative method
that was reasonably calculated to
apprise a party of the pendency of the
forfeiture action. It had nothing to do
with their status as an independent
and neutral third party. In fact, for
these purposes, there is nothing
inherently beneficial about newspapers
being independent from the
Government given that they merely act
as a vehicle for publishing notices
prepared and provided by the seizing
agencies.
The comment suggests that records of
Internet notices of federal forfeiture
proceedings will be incomplete or
inadequate, citing statistics about
backlog and budget issues at the
National Archives and Records
Administration (NARA). The
Department does not find this comment
persuasive. As an initial matter, the
statistics about NARA are irrelevant, as
NARA is not charged with preserving
forfeiture notices. Furthermore, all
information concerning notices posted
on www.forfeiture.gov is carefully
maintained and archived, enabling the
Government to provide appropriate
verification of such information to
courts as necessary. This verification, in
the form of an affidavit to the court
verifying the public notice that was
given, has proven satisfactory to courts.
The Department believes that this
method for noticing judicial forfeitures
will work as well with respect to public
notices of administrative forfeitures
posted on the same government Web
site. Further, the process of providing
legal verification of Internet notice is
dramatically streamlined when it is the
Government that can retrieve the
required data from its own Web site, as
opposed to seeking such verification
from newspapers. Finally, the
Department notes that this regulatory
change should correspondingly decrease
the burden on newspapers of having to
provide such information.
Comment: Many newspapers have
adopted a marketing strategy that
publishes an issue in print and the
identical publication issue is then
posted on the newspapers Internet site
on a daily basis. The Governments
Internet sites will not be as user-friendly
as the newspapers dual method of print
and Internet notification.
Response: The Department does not
agree that posting forfeiture notices on
newspaper Web sites is superior to
posting them on www.forfeiture.gov.

Online posting is not part of the
Governments contracts for publication
of forfeiture notices, so newspapers are
under no obligation to make them freely
available to the public online. Moreover,
some newspaper Web sites restrict
access to the full online version of the
newspaper to print subscribers or those
who pay for full online access. A
potential claimant searching for notice
of seized property on such a Web site
would either need a subscription to the
newspaper that is publishing the
forfeiture notice or have to pay a daily
access fee. The potential claimant
would then have to access the
newspapers Web site, go into the full
online edition, search for the forfeiture
notice regarding his or her property, and
select the exact issue in which the oncea-week notice concerning the property
is published. The Department believes it
is unrealistic to assume that such a
process would provide more effective
notice than a freely available Web site
dedicated only to forfeiture notices that
posts the desired notice, 24 hours a day,
for at least 30 consecutive days, in a
searchable database.
comment challenges the Department to
support its contention that internet
sites are more cost effective and reach
more people.
Response: The Department believes it
has demonstrated above how providing
public notice through the Internet can
and indeed already doesreach more
people, more easily, and more directly,
than newspaper notice. Meanwhile, the
cost savings of Internet notice are
significant. As noted, the Department
currently pays approximately $10,000
$12,000 a day, or between $3.5 and $4.5
million a year, in noticing costs to
newspapers. On the other hand, there is
very little cost to the Government in
adding public notices of administrative
forfeiture proceedings to
www.forfeiture.gov, an existing and fully
operational Web site. Thus, the cost
savings to the Government will be what
the Department currently pays for
publication of such forfeiture notices
through newspapers.
Regulatory Certifications
Executive Order 12866 and Executive

Order 13563Regulatory Planning and
Review
This rule complies with the
requirement under Section 6 of
Executive Order 13563 to modify and
streamline outmoded and burdensome
regulations. Specifically, in terms of
updates, the rule recognizes that as of
2002 the Bureau of Alcohol, Tobacco,
125
Firearms, and Explosives (ATF) became

part of the Department, and consolidates
the regulations governing the seizure
and administrative forfeiture of property
by ATF with those of DEA and the FBI.
In terms of burden, the rule would add
the option of publishing notices for
administrative forfeitures on an official
government Internet site instead of in a
newspaper, potentially saving over
$10,000 per day.
Further, this regulation has been
drafted and reviewed in accordance
with Executive Order 12866, section
1(b), Principles of Regulation. The
Department has determined that this
rule is a significant regulatory action
under Executive Order 12866, section
3(f), and accordingly this rule has been
reviewed by the Office of Management
and Budget (OMB). The costs that this
rule imposes (such as additional
personnel and higher administrative
overhead) fall upon the Department, not
upon the general public. The benefits of
this rule, however, are numerous. The
rule increases the efficiency of
forfeitures, requires that the agencies
provide prompt due process and notice,
requires that property be promptly
returned to third parties if appropriate,
eliminates the cost bond and its
administrative burden, and requires
more effective processing and handling
of currency. Moreover, providing
agencies with the option of publishing
administrative forfeiture notices on the
Governments dedicated forfeiture Web
site will save the $10,000 to $12,000 a
day agencies currently spend providing
notice through newspapers. Such notice
will be available through the Internet at
no cost to the general public. For the
reasons explained in its response to
comments, the Department maintains
the benefits of publishing notices on the
newspapers in all circumstances, in
addition to the Internet, do not justify
the costs.
Executive Order 12630Governmental
Actions and Interference With
Constitutionally Protected Property
Rights
Executive Order 12630, section 2(a)(3)

specifically exempts from the definition
of policies that have takings
implications the seizure and forfeiture
of property for violations of law.
Therefore, no actions were deemed
necessary under the provisions of
Executive Order 12630.
Executive Order 12988Civil Justice
Reform
This rule meets the applicable

standards set forth in sections 3(a) and
3(b)(2) of Executive Order 12988.
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56101
Executive Order 13132Federalism

This rule will not have substantial
direct effects on the states, on the
relationship between the Federal
Government and the states, or on
distribution of power and
responsibilities among the various
levels of government. Therefore, in
accordance with Executive Order 13132,
it is determined that this rule does not
have sufficient federalism implications
to warrant the preparation of a
Federalism Assessment.
Regulatory Flexibility Act

The Attorney General, in accordance
with the Regulatory Flexibility Act (5
U.S.C. 605(b)), has reviewed this
regulation, and by approving it certifies
that it will not have a significant
economic impact on a substantial
number of small entities. Some owners
of property subject to administrative or
judicial forfeiture under laws enforced
by ATF, DEA, FBI, and the Departments
Criminal Division may be small
businesses as defined under the
Regulatory Flexibility Act, and under
size standards established by the Small
Business Administration. Although the
regulations affect every administrative
forfeiture initiated by ATF, DEA, and
FBI, and every remission or mitigation
decision by the agencies or the
Departments Criminal Division, the
rule will not change existing forfeiture
laws. It will only revise and consolidate
the seizure and forfeiture regulations of
ATF, DEA, FBI, and the Criminal
Division to conform to CAFRA, and to
fill gaps and address ambiguities in
CAFRA and other seizure and forfeiture
laws. Accordingly, an initial regulatory
flexibility analysis is not required.
Small Business Regulatory Enforcement
Fairness Act of 1996
This rule is not a major rule as
defined by section 251 of the Small
Business Regulatory Enforcement
Fairness Act of 1996, 5 U.S.C. 804. This
rule will not result in an annual effect
on the economy of $100,000,000 or
more, a major increase in costs or prices,
or significant adverse effects on
competition, employment, investment,
productivity, innovation, or the ability
of United States-based enterprises to
compete with foreign-based enterprises
in domestic and export markets.
Unfunded Mandates Reform Act of 1995

This rule will not result in the
expenditure by state, local and tribal
governments, in the aggregate, or by the
private sector, of $100,000,000 or more
in any one year, and it will not
significantly or uniquely affect small
governments. Therefore, no actions were
deemed necessary under the provisions

of the Unfunded Mandates Reform Act
of 1995, Public Law 1049, 44 U.S.C.
3518.
Paperwork Reduction Act of 1995
This final rule does not call for a

collection of information that requires
approval by OMB under the Paperwork
Reduction Act (PRA), 44 U.S.C. 3501 et
seq., because any information collected
in connection with forfeiture
proceedings would fall within the
exceptions to the PRA listed in 44
U.S.C. 3518(c) and 5 CFR 1320.4.
The particular exception that applies
to information collected in connection
with a forfeiture action depends on the
type of forfeiture proceeding that is
occurring. Information collected in
connection with an administrative
forfeiture would fall within the section
3518(c)(1)(B)(ii) exception for the
collection of information during an
administrative action * * * involving
an agency against specific individuals or
entities.
If a claim is properly filed in the
administrative forfeiture, federal
prosecutors must file a civil forfeiture
complaint against the property, include
it in a criminal indictment within the
deadlines laid out by CAFRA, or return
the property. Information collected in
connection with a civil forfeiture would
fall under the section 3518(c)(1)(B)(ii)
exception for collection of information
during a civil action to which the
United States * * * is a party.
Alternatively, if the prosecutors include
the property in a criminal indictment,
any collection of information would
occur during the conduct of a Federal
criminal investigation * * * or during
the disposition of a particular criminal
matter and would fall under the
exception of section 3518(c)(1)(A).
Thus, because a claim or petition filed
in forfeiture proceedings would fall
within one of the exceptions to the PRA,
the final rule does not call for a
collection of information under that
statute and accordingly does not require
the prior approval of OMB.
List of Subjects
21 CFR Part 1316
Administrative practice and

procedure, Authority delegations
(Government agencies), Drug traffic
control, Research, Seizures and
forfeitures.
28 CFR Part 8

procedure, Arms and munitions,
Communications equipment, Copyright,
Crime, Gambling, Infants and children,
126
Motor vehicles, Prices, Seizures and

forfeitures, Wiretapping and electronic
surveillance.
28 CFR Part 9

procedure, Crime, Seizures and
forfeitures.
Accordingly, for the reasons set forth
in the preamble, under the authority of
5 U.S.C. 301, Chapter II of Title 21 and
Chapter I of Title 28 of the Code of
Federal Regulations are amended as
follows:
TITLE 21FOOD AND DRUGS
PART 1316ADMINISTRATIVE
FUNCTIONS, PRACTICES, AND
PROCEDURES
Subparts E and F [Removed]
1. Remove 2l CFR part 1316, subparts
E and F.
TITLE 28JUDICIAL
ADMINISTRATION
2. Revise part 8 to read as follows:
PART 8FORFEITURE AUTHORITY

FOR CERTAIN STATUTES
Subpart ASeizure and Forfeiture of
Property
Sec.
8.1 Scope of regulations.
8.2 Definitions.
8.3 Seizing property subject to forfeiture.
8.4 Inventory.
8.5 Custody.
8.6 Appraisal.
8.7 Release before claim.
8.8 Commencing the administrative
forfeiture proceeding.
8.9 Notice of administrative forfeiture.
8.10 Claims.
8.11 Interplay of administrative and criminal
judicial forfeiture proceedings.
8.12 Declaration of administrative
forfeiture.
8.13 Return of property pursuant to 18
U.S.C. 983(a)(3)(B).
8.14 Disposition of property before
forfeiture.
8.15 Requests for hardship release of seized
property.
8.16 Attorney fees and costs.
Subpart BExpedited Forfeiture
Proceedings for Property Seizures Based
on Violations Involving the Possession of
Personal Use Quantities of a Controlled
Substance
8.17 Purpose and scope.
8.18 Definitions.
8.19 Petition for expedited release in an
8.20 Ruling on petition for expedited
release in an administrative forfeiture.
8.21 Posting of substitute monetary amount
in an administrative forfeiture.
8.22 Special notice provision.
RIF
56102
Subpart COther Applicable Provisions

8.23 Redelegation of authority.
Authority: 5 U.S.C. 301; 8 U.S.C. 1103,

1324(b); 18 U.S.C. 981, 983, 3051; 19 U.S.C.
1606, 1607, 1608, 1610, 1612(b), 1613, 1618;
21 U.S.C. 822, 871, 872, 880, 881, 883, 958,
965; 28 U.S.C. 509, 510; Pub. L. 100690, sec.
6079, 102 Stat. 4181.
Subpart ASeizure and Forfeiture of

Property
8.1 Scope of regulations.
(a) This part applies to all forfeitures

administered by the Department of
Justice with the exception of seizures
and forfeitures under the statutes listed
in 18 U.S.C. 983(i)(2). The authority of
seizing agencies to conduct
administrative forfeitures derives from
the procedural provisions of the
Customs laws (19 U.S.C. 16021618)
where those provisions are incorporated
by reference in the substantive forfeiture
statutes enforced by the agencies.
(b) The regulations in this part will
apply to all forfeiture actions
commenced on or after October 12,
2012.
8.2 Definitions.
As used in this part, the following

terms shall have the meanings specified:
Administrative forfeiture means the
process by which property may be
forfeited by a seizing agency rather than
through a judicial proceeding.
Administrative forfeiture has the same
meaning as nonjudicial forfeiture, as
that term is used in 18 U.S.C. 983.
Appraised value means the estimated
market value of property at the time and
place of seizure if such or similar
property were freely offered for sale by
a willing seller to a willing buyer.
Appropriate official means, in the
case of the Drug Enforcement
Administration (DEA), the Forfeiture
Counsel, DEA. In the case of the Bureau
of Alcohol, Tobacco, Firearms, and
Explosives (ATF), it means the
Associate Chief Counsel, Office of Chief
Counsel, ATF. In the case of the Federal
Bureau of Investigation (FBI), it means
the Unit Chief, Legal Forfeiture Unit,
Office of the General Counsel, FBI,
except as used in 8.9(a)(2), 8.9(b)(2),
8.10, and 8.15, where the term
appropriate official means the office or
official identified in the published
notice or personal written notice in
accordance with 8.9.
Civil forfeiture proceeding means a
civil judicial forfeiture action as that
term is used in 18 U.S.C. 983.
Contraband means
(1) Any controlled substance,
hazardous raw material, equipment or
container, plants, or other property
subject to summary forfeiture pursuant

to sections 511(f) or (g) of the Controlled
Substances Act (21 U.S.C. 881(f) or (g));
or
(2) Any controlled substance
imported into the United States, or
exported out of the United States, in
violation of law.
Domestic value means the same as the
term appraised value as defined in this
section.
Expense means all costs incurred to
detain, inventory, safeguard, maintain,
advertise, sell, or dispose of property
seized, detained, or forfeited pursuant to
any law.
File or filed has the following
meanings:
(1) A claim or any other document
submitted in an administrative
forfeiture proceeding is not deemed filed
until actually received by the
appropriate official identified in the
personal written notice and the
published notice specified in 8.9. It is
not considered filed if it is received by
any other office or official, such as a
court, U.S. Attorney, seizing agent, local
ATF or DEA office, or FBI Headquarters.
In addition, a claim in an administrative
forfeiture proceeding is not considered
filed if received only by an electronic or
facsimile transmission.
(2) For purposes of computing the
start of the 90-day period set forth in 18
U.S.C. 983(a)(3), an administrative
forfeiture claim is filed on the date
when the claim is received by the
designated appropriate official, even if
the claim is received from an
incarcerated pro se prisoner.
Interested party means any person
who reasonably appears to have an
interest in the property based on the
facts known to the seizing agency before
a declaration of forfeiture is entered.
Mail includes regular or certified U.S.
mail and mail and package
transportation and delivery services
provided by other private or commercial
interstate carriers.
Nonjudicial forfeiture has the same
meaning as administrative forfeiture as
defined in this section.
Person means an individual,
partnership, corporation, joint business
enterprise, estate, or other legal entity
capable of owning property.
Property subject to administrative
forfeiture means any personal property
of the kinds described in 19 U.S.C.
1607(a).
Property subject to forfeiture refers to
all property that federal law authorizes
to be forfeited to the United States of
America in any administrative forfeiture
proceeding, in any civil judicial
forfeiture proceeding, or in any criminal
127
Seizing agency refers to ATF, DEA, or

FBI.
8.3 Seizing property subject to forfeiture.
(a) Authority of seizing agents. All

special agents of any seizing agency may
seize assets under any federal statute
over which the agency has investigative
or forfeiture jurisdiction.
(b) Turnover of assets seized by state
and local agencies.
(1) Property that is seized by a state
or local law enforcement agency and
transferred to a seizing agency for
administrative or civil forfeiture may be
adopted for administrative forfeiture
without the issuance of any federal
seizure warrant or other federal judicial
process.
(2) Where a state or local law
enforcement agency maintains custody
of property pursuant to process issued
by a state or local judicial authority, and
notifies a seizing agency of the
impending release of such property, the
seizing agency may seek and obtain a
federal seizure warrant in anticipation
of a state or local judicial authority
releasing the asset from state process for
purposes of federal seizure, and may
execute such seizure warrant when the
state or local law enforcement agency
releases the property as allowed or
directed by its judicial authority.
8.4 Inventory.
The seizing agent shall prepare an

inventory of any seized property.
8.5 Custody.
(a) All property seized for forfeiture

by ATF, DEA, or FBI shall be delivered
to the custody of the U.S. Marshals
Service (USMS), or a custodian
approved by the USMS, as soon as
practicable after seizure, unless it is
retained as evidence by the seizing
agency.
(b) Seized U.S. currency (and, to the
extent practicable, seized foreign
currency and negotiable instruments)
must be deposited promptly in the
Seized Asset Deposit Fund pending
forfeiture. Provisional exceptions to this
requirement may be granted as follows:
(1) If the seized currency has a value
less than $5,000 and a supervisory
official within a U.S. Attorneys Office
determines in writing that the currency
is reasonably likely to serve a
evidentiary purpose, or that retention is
necessary while the potential
evidentiary significance of the currency
is being determined by scientific testing
or otherwise; or
(2) If the seized currency has a value
greater than $5,000 and the Chief of the
Asset Forfeiture and Money Laundering
RIF
Section (AFMLS), Criminal Division,

determines in writing that the currency
is reasonably likely to serve a
evidentiary purpose, or that retention is
necessary while the potential
evidentiary significance of the currency
is being determined by scientific testing
or otherwise.
(c) Seized currency has a significant
independent, tangible evidentiary
purpose as those terms are used in
8.5(b)(1) and (b)(2) if, for example, it
bears fingerprint evidence, is packaged
in an incriminating fashion, or contains
a traceable amount of narcotic residue
or some other substance of evidentiary
significance. If only a portion of the
seized currency has evidentiary value,
only that portion should be retained; the
balance should be deposited.
8.6
Appraisal.
The seizing agency or its designee

shall determine the domestic value of
seized property as soon as practicable
following seizure.
8.7 Release before claim.
(a) After seizure for forfeiture and

prior to the filing of any claim, ATFs
Chief, Asset Forfeiture and Seized
Property Branch, or designee, the
appropriate DEA Special Agent in
Charge, or designee, or the appropriate
FBI Special Agent in Charge, or
designee, whichever is applicable, is
authorized to release property seized for
forfeiture, provided:
(1) The property is not contraband,
evidence of a violation of law, or any
property, the possession of which by the
claimant, petitioner, or the person from
whom it was seized is prohibited by
state or federal law, and does not have
a design or other characteristic that
particularly suits it for use in illegal
activities; and
(2) The official designated in
paragraph (a) of this section determines
within 10 days of seizure that there is
an innocent party with the right to
immediate possession of the property or
that the release would be in the best
interest of justice or the Government.
(b) Further, at any time after seizure
and before any claim is referred, such
seized property may be released if the
appropriate official of the seizing agency
determines that there is an innocent
party with the right to immediate
possession of the property or that the
release would be in the best interest of
justice or the Government.
8.8 Commencing the administrative
An administrative forfeiture
proceeding begins when notice is first
published in accordance with 8.9(a),

or the first personal written notice is
sent in accordance with 8.9(b),
whichever occurs first.
8.9 Notice of administrative forfeiture.
(a) Notice by publication. (1) After

seizing property subject to
administrative forfeiture, the
shall select from the following options
a means of publication reasonably
calculated to notify potential claimants
of the seizure and intent to forfeit and
sell or otherwise dispose of the
property:
(i) Publication once each week for at
least three successive weeks in a
newspaper generally circulated in the
judicial district where the property was
seized; or
(ii) Posting a notice on an official
internet government forfeiture site for at
least 30 consecutive days.
(2) The published notice shall:
(i) Describe the seized property;
(ii) State the date, statutory basis, and
place of seizure;
(iii) State the deadline for filing a
claim when personal written notice has
not been received, at least 30 days after
the date of final publication of the
notice of seizure; and
(iv) State the identity of the
and address where the claim must be
filed.
(b) Personal written notice. (1)
Manner of providing notice. After
seizing property subject to
administrative forfeiture, the seizing
agency, in addition to publishing notice,
shall send personal written notice of the
seizure to each interested party in a
manner reasonably calculated to reach
such parties.
(2) Content of personal written notice.
The personal written notice sent by the
seizing agency shall:
(i) State the date when the personal
written notice is sent;
(ii) State the deadline for filing a
claim, at least 35 days after the personal
written notice is sent;
(iii) State the date, statutory basis, and
place of seizure;
(iv) State the identity of the
and the address where the claim must
be filed; and
(v) Describe the seized property.
(c) Timing of notice. (1) Date of
personal notice. Personal written notice
is sent on the date when the seizing
agency causes it to be placed in the
mail, delivered to a commercial carrier,
or otherwise sent by means reasonably
calculated to reach the interested party.
The personal written notice required by
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56103
8.9(b) shall be sent as soon as

practicable, and in no case more than 60
days after the date of seizure (or 90 days
after the date of seizure by a state or
local law enforcement agency if the
property was turned over to a federal
law enforcement agency for the purpose
of forfeiture under federal law).
(2) Civil judicial forfeiture. If, before
the time period for sending notice
expires, the Government files a civil
judicial forfeiture action against the
seized property and provides notice of
such action as required by law, personal
notice of administrative forfeiture is not
required under paragraph (c)(1) of this
section.
(3) Criminal indictment. If, before the
time period for sending notice under
paragraph (c)(1) of this section expires,
no civil judicial forfeiture action is filed,
but a criminal indictment or
information is obtained containing an
allegation that the property is subject to
forfeiture, the seizing agency shall
either:
(i) Send timely personal written
notice and continue the administrative
forfeiture proceeding; or
(ii) After consulting with the U.S.
Attorney, terminate the administrative
forfeiture proceeding and notify the
custodian to return the property to the
person having the right to immediate
possession unless the U.S. Attorney
takes the steps necessary to maintain
custody of the property as provided in
the applicable criminal forfeiture
statute.
(4) Subsequent federal seizure. If
property is seized by a state or local law
enforcement agency, but personal
written notice is not sent to the person
from whom the property is seized
within the time period for providing
notice under paragraph (c)(1) of this
section, then any administrative
forfeiture proceeding against the
property may commence if:
(i) The property is subsequently
seized or restrained by the seizing
agency pursuant to a federal seizure
warrant or restraining order and the
seizing agency sends notice as soon as
practicable, and in no case more than 60
days after the date of the federal seizure;
or
(ii) The owner of the property
consents to forfeiture of the property.
(5) Tolling. (i) In states or localities
where orders are obtained from a state
court authorizing the turnover of seized
assets to a federal seizing agency, the
period from the date an application or
motion is presented to the state court for
the turnover order through the date
when such order is issued by the court
shall not be included in the time period
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for providing notice under paragraph

(c)(1) of this section.
(ii) If property is detained at an
international border or port of entry for
the purpose of examination, testing,
inspection, obtaining documentation, or
other investigation relating to the
importation of the property into, or the
exportation of the property from, the
United States, such period of detention
shall not be included in the period
described in paragraph (c)(1) of this
section. In such cases, the 60-day period
shall begin to run when the period of
detention ends, if a seizing agency
seizes the property for the purpose of
forfeiture to the United States.
(6) Identity of interested party. If a
seizing agency determines the identity
or interest of an interested party after
the seizure or adoption of the property,
but before entering a declaration of
forfeiture, the agency shall send written
notice to such interested party under
paragraph (c)(1) of this section not later
than 60 days after determining the
identity of the interested party or the
interested partys interest.
(7) Extending deadline for notice. The
may extend the period for sending
personal written notice under the
regulations in this part in a particular
case for a period not to exceed 30 days
(which period may not be further
extended except by a court pursuant to
18 U.S.C. 983(a)(1)(C) and (D)), if the
appropriate official determines, and
states in writing, that there is reason to
believe that notice may have an adverse
result, including: Endangering the life or
physical safety of an individual; flight
from prosecution; destruction of or
tampering with evidence; intimidation
of potential witnesses; or otherwise
seriously jeopardizing an investigation
or unduly delaying a trial.
(8) Certification. The appropriate
official of the seizing agency shall
provide the written certification
required under 18 U.S.C. 983(a)(1)(C)
when the Government requests it and
the conditions described in section
983(a)(1)(D) are present.
8.10 Claims.
(a) Filing. In order to contest the

forfeiture of seized property in federal
court, any person asserting an interest in
seized property subject to an
administrative forfeiture proceeding
under the regulations in this part must
file a claim with the appropriate official,
after the commencement of the
administrative forfeiture proceeding as
defined in 8.8, and not later than the
deadline set forth in a personal notice
letter sent pursuant to 8.9(b). If
personal written notice is sent but not
received, then the intended recipient

must file a claim with the appropriate
official not later than 30 days after the
date of the final publication of the
notice of seizure.
(b) Contents of claim. A claim shall:
(1) Identify the specific property being
claimed;
(2) Identify the claimant and state the
claimants interest in the property; and
(3) Be made under oath by the
claimant, not counsel for the claimant,
and recite that it is made under penalty
of perjury, consistent with the
requirements of 28 U.S.C. 1746. An
acknowledgment, attestation, or
certification by a notary public alone is
insufficient.
(c) Availability of claim forms. The
claim need not be made in any
particular form. However, each seizing
agency conducting forfeitures under the
regulations in this part must make claim
forms generally available on request.
Such forms shall be written in easily
understandable language. A request for
a claim form does not extend the
deadline for filing a claim. Any person
may obtain a claim form by requesting
one in writing from the appropriate
official.
(d) Cost bond not required. Any
person may file a claim under 8.10(a)
without posting bond, except in
forfeitures under statutes listed in 18
U.S.C. 983(i).
(e) Referral of claim. Upon receipt of
a claim that meets the requirements of
8.10(a) and (b), the seizing agency
shall return the property or shall
suspend the administrative forfeiture
proceeding and promptly transmit the
claim, together with a description of the
property and a complete statement of
the facts and circumstances surrounding
the seizure, to the appropriate U.S.
Attorney for commencement of judicial
forfeiture proceedings. Upon making the
determination that the seized property
will be released, the agency shall
promptly notify the person with a right
to immediate possession of the property,
informing that person to contact the
property custodian within a specified
period for release of the property, and
further informing that person that
failure to contact the property custodian
within the specified period for release of
the property will result in abandonment
of the property pursuant to applicable
regulations. The seizing agency shall
notify the property custodian of the
identity of the person to whom the
property should be released. The
property custodian shall have the right
to require presentation of proper
identification or to take other steps to
verify the identity of the person who
seeks the release of property, or both.
129
(f) Premature filing. If a claim is filed

with the appropriate official after the
seizure of property, but before the
commencement of the administrative
forfeiture proceeding as defined in 8.8,
the claim shall be deemed filed on the
30th day after the commencement of the
administrative forfeiture proceeding. If
such claim meets the requirements of
8.10(b), the seizing agency shall
suspend the administrative forfeiture
proceedings and promptly transmit the
claim, together with a description of the
property and a complete statement of
the facts and circumstances surrounding
the seizure to the appropriate U.S.
Attorney for commencement of judicial
forfeiture proceedings.
(g) Defective claims. If the seizing
agency determines that an otherwise
timely claim does not meet the
requirements of 8.10(b), the seizing
agency may notify the claimant of this
determination and allow the claimant a
reasonable time to cure the defect(s) in
the claim. If, within the time allowed by
the seizing agency, the requirements of
8.10(b) are not met, the claim shall be
void and the forfeiture proceedings shall
proceed as if no claim had been
submitted. If the claimant timely cures
the deficiency, then the claim shall be
deemed filed on the date when the
appropriate official receives the cured
claim.
8.11 Interplay of administrative and
criminal judicial forfeiture proceedings.
An administrative forfeiture
proceeding pending against seized or
restrained property does not bar the
Government from alleging that the same
property is forfeitable in a criminal case.
Notwithstanding the fact that an
allegation of forfeiture has been
included in a criminal indictment or
information, the property may be
administratively forfeited in a parallel
proceeding.
8.12 Declaration of administrative
forfeiture.
If the seizing agency commences a

timely proceeding against property
subject to administrative forfeiture, and
no valid and timely claim is filed, the
shall declare the property forfeited. The
declaration of forfeiture shall have the
same force and effect as a final decree
and order of forfeiture in a federal
judicial forfeiture proceeding.
8.13 Return of property pursuant to 18
U.S.C. 983(a)(3)(B).
(a) If, under 18 U.S.C. 983(a)(3), the

United States is required to return
seized property, the U.S. Attorney in
charge of the matter shall immediately
notify the appropriate seizing agency
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that the 90-day deadline was not met.

Under this subsection, the United States
is not required to return property for
which it has an independent basis for
continued custody, including but not
limited to contraband or evidence of a
violation of law.
(b) Upon becoming aware that the
seized property must be released, the
agency shall promptly notify the person
with a right to immediate possession of
the property, informing that person to
contact the property custodian within a
specified period for release of the
property, and further informing that
person that failure to contact the
property custodian within the specified
period for release of the property may
result in initiation of abandonment
proceedings against the property
pursuant to 41 CFR part 12848. The
seizing agency shall notify the property
custodian of the identity of the person
to whom the property should be
released.
(c) The property custodian shall have
the right to require presentation of
proper identification and to verify the
identity of the person who seeks the
release of property.
8.14 Disposition of property before
forfeiture.
(a) Whenever it appears to the seizing

agency that any seized property is liable
to perish or to waste, or to be greatly
reduced in value during its detention for
forfeiture, or that the expense of keeping
the property is or will be
disproportionate to its value, the
may order destruction, sale, or other
disposition of such property prior to
forfeiture. In addition, the owner may
obtain release of the property by posting
a substitute monetary amount with the
seizing agency to be held subject to
forfeiture proceedings in place of the
seized property to be released. Upon
approval by the appropriate official of
the seizing agency, the property will be
released to the owner after the payment
of an amount equal to the Government
appraised value of the property if the
property is not evidence of a violation
of law, is not contraband, and has no
design or other characteristics that
particularly suit it for use in illegal
activities. This payment must be in the
form of a money order, an official bank
check, or a cashiers check made
payable to the United States Marshals
Service. A bond in the form of a
cashiers check or official bank check
will be considered as paid once the
check has been accepted for payment by
the financial institution that issued the
check. If a substitute amount is posted
and the property is administratively
forfeited, the seizing agency will forfeit

the substitute amount in lieu of the
property. The pre-forfeiture destruction,
sale, or other disposition of seized
property pursuant to this section shall
not extinguish any persons rights to the
value of the property under applicable
law. The authority vested in the
appropriate official under this
subsection may not be delegated.
(b) The seizing agency shall
commence forfeiture proceedings,
regardless of the disposition of the
property under 8.14(a). A person with
an interest in the property that was
destroyed or otherwise disposed of
under 8.14(a) may file a claim to
contest the forfeiture of the property or
a petition for remission or mitigation of
the forfeiture. No government agent or
employee shall be liable for the
destruction or other disposition of
property made pursuant to 8.14(a).
The destruction or other disposition of
the property pursuant to this section
does not impair in rem jurisdiction.
8.15 Requests for hardship release of
seized property.
(a) Under certain circumstances a

claimant may be entitled to immediate
release of seized property on the basis
of hardship.
(b) Any person filing a request for
hardship release must also file a claim
to the seized property pursuant to 8.10
and as defined in 18 U.S.C. 983(a).
(c) The timely filing of a valid claim
pursuant to 8.10 does not entitle
claimant to possession of the seized
property, but a claimant may request
immediate release of the property while
the forfeiture is pending, based on
hardship.
(d) A claimant seeking hardship
release of property under 18 U.S.C.
983(f) and the regulations in this part
must file a written request with the
appropriate official. The request must
establish that:
(1) The claimant has a possessory
interest in the property;
(2) The claimant has sufficient ties to
the community to provide assurance
that the property will be available at the
time of trial;
(3) The continued possession by the
Government pending the final
disposition of forfeiture proceedings
will cause substantial hardship to the
claimant, such as preventing the
functioning of a business, preventing an
individual from working, or leaving an
individual homeless;
(4) The claimants likely hardship
from the continued possession by the
Government of the seized property
outweighs the risk that the property will
be destroyed, damaged, lost, concealed,
130
56105
or transferred if it is returned to the

claimant during the pendency of the
proceeding; and
(5) The seized property is not:
(i) Contraband;
(ii) Any property, the possession of
which by the claimant, petitioner, or the
person from whom it was seized is
prohibited by state or federal law;
(iii) Currency, or other monetary
instrument, or electronic funds unless
such currency or other monetary
instrument or electronic funds
constitutes the assets of a legitimate
business that has been seized;
(iv) Intended to be used as evidence
of a violation of law;
(v) By reason of design or other
characteristic, particularly suited for use
in illegal activities; or
(vi) Likely to be used to commit
additional criminal acts if returned to
the claimant.
(e) A hardship release request
pursuant to this section shall be deemed
to have been made on the date when it
is received by the appropriate official as
defined in 8.2(c) or the date the claim
was deemed filed under 8.10(f). If the
request is ruled on and denied by the
appropriate official or the property has
not been released within the 15-day
time period, the claimant may file a
petition in federal district court
pursuant to 18 U.S.C. 983(f)(3). If a
petition is filed in federal district court,
the claimant must send a copy of the
petition to the agency to which the
hardship petition was originally
submitted and to the U.S. Attorney in
the judicial district in which the judicial
petition was filed.
(f) If a civil forfeiture complaint is
filed on the property and the claimant
files a claim with the court pursuant to
18 U.S.C. 983(a)(4)(A) and Rule G(5) of
the Supplemental Rules for Certain
Admiralty and Maritime Claims, a
hardship petition may be submitted to
the individual identified in the public
or personal notice of the civil judicial
forfeiture action.
8.16
Attorney fees and costs.
The United States is not liable for

attorney fees or costs in any
administrative forfeiture proceeding,
including such proceedings in which a
claim is filed, even if the matter is
referred to the U.S. Attorney, and the
U.S. Attorney declines to commence
judicial forfeiture proceedings.
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Subpart BExpedited Forfeiture

Proceedings for Property Seizures
Based on Violations Involving the
Possession of Personal Use Quantities
of a Controlled Substance
8.17 Purpose and scope.
(a) The following definitions,

regulations, and criteria in this subpart
are designed to establish and implement
procedures required by section 6079 of
the Anti-Drug Abuse Act of 1988, Public
Law 100690, 102 Stat. 4181. They are
intended to supplement existing law
and procedures relative to the forfeiture
of property under the identified
statutory authority. These regulations do
not affect the existing legal and
equitable rights and remedies of those
with an interest in property seized for
forfeiture, nor do these provisions
relieve interested parties from their
existing obligations and responsibilities
in pursuing their interests through such
courses of action. These regulations are
intended to reflect the intent of
Congress to minimize the adverse
impact on those entitled to legal or
equitable relief occasioned by the
prolonged detention of property subject
to forfeiture due to violations of law
involving personal use quantities of
controlled substances. The definition of
substance as contained herein is
intended to distinguish between those
small quantities that are generally
considered to be possessed for personal
consumption and not for further
distribution, and those larger quantities
generally considered to be intended for
further distribution.
(b) In this regard, for violations
involving the possession of personal use
quantities of a controlled substance,
section 6079(b)(2) requires either that
administrative forfeiture be completed
within 21 days of the seizure of the
property, or alternatively, that
procedures be established that provide a
means by which an individual entitled
to relief may initiate an expedited
administrative review of the legal and
factual basis of the seizure for forfeiture.
Should an individual request relief
pursuant to these regulations and be
entitled to the return of the seized
property, such property shall be
returned immediately following that
determination, and in no event later
than 20 days after the filing of a petition
for expedited release by an owner, and
the administrative forfeiture process
shall cease. Should the individual not
be entitled to the return of the seized
property, however, the administrative
forfeiture of that property shall proceed.
The owner may, in any event, obtain
release of property pending the
administrative forfeiture by submitting

to the agency making the determination
property sufficient to preserve the
Governments vested interest for
purposes of the administrative
forfeiture.
8.18 Definitions.
As used in this subpart, the following

terms shall have the meanings specified:
Commercial fishing industry vessel
means a vessel that:
(1) Commercially engages in the
catching, taking, or harvesting of fish or
an activity that can reasonably be
expected to result in the catching,
taking, or harvesting of fish;
(2) Commercially prepares fish or fish
products other than by gutting,
decapitating, gilling, skinning,
shucking, icing, freezing, or brine
chilling; or
(3) Commercially supplies, stores,
refrigerates, or transports fish, fish
products, or materials directly related to
fishing or the preparation of fish to or
from a fishing, fish processing, or fish
tender vessel or fish processing facility.
Controlled substance has the meaning
given in 21 U.S.C. 802(6).
Normal and customary manner means
that inquiry suggested by particular
facts and circumstances that would
customarily be undertaken by a
reasonably prudent individual in a like
or similar situation. Actual knowledge
of such facts and circumstances is
unnecessary, and implied, imputed, or
constructive knowledge is sufficient. An
established norm, standard, or custom is
persuasive but not conclusive or
controlling in determining whether an
owner acted in a normal and customary
manner to ascertain how property
would be used by another legally in
possession of the property. The failure
to act in a normal and customary
manner as defined herein will result in
the denial of a petition for expedited
release of the property and is intended
to have the desirable effect of inducing
owners of the property to exercise
greater care in transferring possession of
their property.
Owner means one having a legal and
possessory interest in the property
seized for forfeiture. Even though one
may hold primary and direct title to the
property seized, such person may not
have sufficient actual beneficial interest
in the property to support a petition as
owner if the facts indicate that another
person had dominion and control over
the property.
Personal use quantities means those
amounts of controlled substances in
possession in circumstances where
there is no other evidence of an intent
to distribute, or to facilitate the
131
manufacturing, compounding,
processing, delivering, importing, or
exporting of any controlled substance.
(1) Evidence that possession of
quantities of a controlled substance is
for other than personal use may include,
for example:
(i) Evidence, such as drug scales, drug
distribution paraphernalia, drug
records, drug packaging material,
method of drug packaging, drug
cutting agents and other equipment,
that indicates an intent to process,
package or distribute a controlled
substance;
(ii) Information from reliable sources
indicating possession of a controlled
substance with intent to distribute;
(iii) The arrest or conviction record of
the person or persons in actual or
constructive possession of the
controlled substance for offenses under
federal, state or local law that indicates
an intent to distribute a controlled
substance;
(iv) Circumstances or reliable
information indicating that the
controlled substance is related to large
amounts of cash or any amount of
prerecorded government funds;
(v) Circumstances or reliable
information indicating that the
controlled substance is a sample
intended for distribution in anticipation
of a transaction involving large
quantities, or is part of a larger delivery;
(vi) Statements by the possessor, or
otherwise attributable to the possessor,
including statements of conspirators,
that indicate possession with intent to
distribute; or
(vii) The fact that the controlled
substance was recovered from
sweepings.
(2) Possession of a controlled
substance shall be presumed to be for
personal use when there are no indicia
of illicit drug trafficking or
distributionsuch as, but not limited
to, the factors listed aboveand the
amounts do not exceed the following
quantities:
(i) One gram of a mixture or substance
containing a detectable amount of
heroin;
(ii) One gram of a mixture or
substance containing a detectable
amount of
(A) Coca leaves, except coca leaves
and extracts of coca leaves from which
cocaine, ecgonine, and derivations of
ecgonine or their salts have been
removed;
(B) Cocaine, its salts, optical and
geometric isomers, and salts of isomers;
(C) Ecgonine, its derivatives, their
salts, isomers, and salts of isomers; or
(D) Any compound, mixture, or
preparation that contains any quantity
RIF
of any of the substances referred to in

paragraphs (2)(ii)(A) through (2)(ii)(C) of
this definition;
(iii) 1/10th gram of a mixture or
substance described in paragraph
(e)(2)(ii) of this section which contains
cocaine base;
(iv) 1/10th gram of a mixture or
amount of phencyclidine (PCP);
(v) 500 micrograms of lysergic acid
diethylamide (LSD);
(vi) One ounce of a mixture or
amount of marihuana;
(vii) One gram of methamphetamine,
its salts, isomers, and salts of its
isomers, or one gram of a mixture or
amount of methamphetamine, its salts,
isomers, or salts of its isomers.
(3) The possession of a narcotic, a
depressant, a stimulant, a hallucinogen,
or a cannabis-controlled substance will
be considered in excess of personal use
quantities if the dosage unit amount
possessed provides the same or greater
equivalent efficacy as the quantities
described in paragraph (e)(2) of this
section.
Property means property subject to
forfeiture under 21 U.S.C. 881(a) (4), (6),
and (7); 19 U.S.C. 1595a; and 49 U.S.C.
80303.
Seizing agency means the federal
agency that has seized the property or
adopted the seizure of another agency
and has the responsibility for
administratively forfeiting the property;
Statutory rights or defenses to the
forfeiture means all legal and equitable
rights and remedies available to a
claimant of property seized for
forfeiture.
8.19 Petition for expedited release in an
(a) Where property is seized for

controlled substances in personal use
quantities the owner may petition the
seizing agency for expedited release of
the property.
(b) Where property described in
8.19(a) is a commercial fishing
industry vessel proceeding to or from a
fishing area or intermediate port of call
or actually engaged in fishing
operations, which would be subject to
seizure for administrative forfeiture for
a violation of law involving controlled
substances in personal use quantities, a
summons to appear shall be issued in
lieu of a physical seizure. The vessel
shall report to the port designated in the
summons. The seizing agency shall be
authorized to effect administrative
forfeiture as if the vessel had been
physically seized. Upon answering the
summons to appear on or prior to the

last reporting date specified in the
summons, the owner of the vessel may
file a petition for expedited release
pursuant to 8.19(a), and the provisions
of 8.19(a) and other provisions in this
section pertaining to a petition for
expedited release shall apply as if the
vessel had been physically seized.
(c) The owner filing the petition for
expedited release shall establish the
following:
(1) The owner has a valid, good faith
interest in the seized property as owner
or otherwise;
(2) The owner reasonably attempted
to ascertain the use of the property in a
normal and customary manner; and
(3) The owner did not know of or
consent to the illegal use of the
property, or in the event that the owner
knew or should have known of the
illegal use, the owner did what
reasonably could be expected to prevent
the violation.
(d) In addition to those factors listed
in 8.19(c), if an owner can demonstrate
that the owner has other statutory rights
or defenses that would cause the owner
to prevail on the issue of forfeiture, such
factors shall also be considered in ruling
on the petition for expedited release.
(e) A petition for expedited release
must be received by the appropriate
seizing agency within 20 days from the
date of the first publication of the notice
of seizure in order to be considered by
the seizing agency. The petition must be
executed and sworn to by the owner and
both the envelope and the request must
be clearly marked PETITION FOR
EXPEDITED RELEASE. Such petition
shall be filed with the appropriate office
or official identified in the personal
written notice and the publication
notice.
(f) The petition shall include the
following:
(1) A complete description of the
property, including identification
numbers, if any, and the date and place
of seizure;
(2) The petitioners interest in the
property, which shall be supported by
title documentation, bills of sale,
contracts, mortgages, or other
satisfactory documentary evidence; and
(3) A statement of the facts and
circumstances, to be established by
satisfactory proof, relied upon by the
petitioner to justify expedited release of
the seized property.
8.20 Ruling on petition for expedited
release in an administrative forfeiture
proceeding.
(a) If a final administrative

determination of the case, without
regard to the provisions of this section,
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56107
is made within 21 days of the seizure,

the seizing agency need take no further
action under this section on a petition
for expedited release received pursuant
to 8.19(a).
(b) If no such final administrative
determination is made within 21 days of
the seizure, the following procedure
shall apply. The seizing agency shall,
within 20 days after the receipt of the
petition for expedited release, determine
whether the petition filed by the owner
has established the factors listed in
8.19(c) and:
(1) If the seizing agency determines
that those factors have been established,
it shall terminate the administrative
proceedings and return the property to
the owner (or in the case of a
commercial fishing industry vessel for
which a summons has been issued shall
dismiss the summons), except where it
is evidence of a violation of law; or
(2) If the seizing agency determines
that those factors have not been
established, the agency shall proceed
with the administrative forfeiture.
8.21 Posting of substitute monetary
amount in an administrative forfeiture
proceeding.
(a) Where property is seized for

controlled substances in personal use
quantities, the owner may obtain release
of the property by posting a substitute
monetary amount with the seizing
agency to be held subject to forfeiture
proceedings in place of the seized
property to be released. The property
will be released to the owner upon the
payment of an amount equal to the
government appraised value of the
property if the property is not evidence
of a violation of law and has no design
or other characteristics that particularly
suit it for use in illegal activities. This
payment must be in the form of a
travelers check, a money order, a
cashiers check, or an irrevocable letter
of credit made payable to the seizing
agency. A bond in the form of a
cashiers check will be considered as
paid once the check has been accepted
for payment by the financial institution
which issued the check.
(b) If a substitute amount is posted
and the property is administratively
forfeited, the seizing agency will forfeit
the substitute amount in lieu of the
property.
8.22 Special notice provision.
At the time of seizure of property

defined in 8.18 for violations
involving the possession of personal use
quantities of a controlled substance, the
seizing agency must provide written
notice to the possessor of the property
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specifying the procedures for the filing

of a petition for expedited release and
for the posting of a substitute monetary
bond as set forth in section 6079 of the
Anti-Drug Abuse Act of 1988 and
implementing regulations.
Subpart COther Applicable
Provisions
8.23 Redelegation of authority.
(a) Redelegation of authority

permitted.
(1) The powers and responsibilities
delegated to the DEA Forfeiture Counsel
by the regulations in this part may be
redelegated to attorneys working under
the direct supervision of the DEA
Forfeiture Counsel.
delegated to the FBI Unit Chief, Legal
Forfeiture Unit, by the regulations in
this part may be redelegated to the
attorneys working under the direct
supervision of the FBI Unit Chief, Legal
Forfeiture Unit.
delegated to the Associate Chief
Counsel, Office of Chief Counsel, ATF
may be redelegated to the attorneys
working under the direct supervision of
the Associate Chief Counsel, Office of
Chief Counsel, ATF.
(b) Redelegation of authority not
permitted.
delegated to the DEA Forfeiture
Counsel, the FBI Unit Chief, Legal
Forfeiture Unit, and the ATF Associate
Chief Counsel, Office of Chief Counsel
to make decisions regarding the
disposition of property before forfeiture
pursuant to 8.14 may not be
redelegated.
delegated to the DEA Forfeiture
Counsel, the FBI Unit Chief, Legal
Forfeiture Unit, and the ATF Associate
Chief Counsel, Office of Chief Counsel
to make decisions regarding the delay of
notice of forfeiture pursuant to
8.9(c)(7) and (8) and 18 U.S.C.
983(a)(1)(B) and (C) may not be
redelegated.
3. Revise part 9 to read as follows:
PART 9REGULATIONS GOVERNING
THE REMISSION OR MITIGATION OF
ADMINISTRATIVE, CIVIL, AND
CRIMINAL FORFEITURES
Sec.
9.1 Purpose, authority, and scope.
9.2 Definitions.
9.3 Petitions in administrative forfeiture
cases.
9.4 Petitions in judicial forfeiture cases.
9.5 Criteria governing administrative and
judicial remission and mitigation.
9.6 Special rules for specific petitioners.
9.7 Terms and conditions of remission and

mitigation.
9.8 Remission procedures for victims.
9.9 Miscellaneous provisions.
Authority: 5 U.S.C. 301; 8 U.S.C. 1103,

1324(b); 18 U.S.C. 981, 983, 3051; 19 U.S.C.
1606, 1607, 1608, 1610, 1612(b), 1613, 1618;
21 U.S.C. 822, 871, 872, 880, 881, 883, 958,
965; 28 U.S.C. 509, 510; Pub. L. 100690, sec.
6079.
9.1 Purpose, authority, and scope.
(a) Purpose. This part sets forth the

procedures for agency officials to follow
when considering remission or
mitigation of administrative forfeitures
under the jurisdiction of the agency, and
civil judicial and criminal judicial
forfeitures under the jurisdiction of the
Department of Justices Criminal
Division. The purpose of this part is to
provide a basis for the partial or total
remission of forfeiture for individuals
who have an interest in the forfeited
property but who did not participate in,
or have knowledge of, the conduct that
resulted in the property being subject to
forfeiture and, where required, took all
reasonable steps under the
circumstances to ensure that such
property would not be used, acquired,
or disposed of contrary to law.
Additionally, the regulations provide for
partial or total mitigation of the
forfeiture and imposition of alternative
conditions in appropriate
circumstances.
(b) Authority to grant remission and
mitigation.
(1) Remission and mitigation
functions in administrative forfeitures
are performed by the agency seizing the
property. Within the Federal Bureau of
Investigation (FBI), authority to grant
remission and mitigation is delegated to
the Forfeiture Counsel, who is the Unit
Chief, Legal Forfeiture Unit, Office of
the General Counsel; within the Drug
Enforcement Administration (DEA),
authority to grant remission and
mitigation is delegated to the Forfeiture
Counsel, Office of Chief Counsel; and
within the Bureau of Alcohol, Tobacco,
Firearms, and Explosives (ATF),
authority to grant remission and
mitigation is delegated to the Associate
Chief Counsel, Office of Chief Counsel.
(2) Remission and mitigation
functions in judicial cases are
performed by the Criminal Division of
the Department of Justice. Within the
Criminal Division, authority to grant
remission and mitigation is delegated to
the Chief, Asset Forfeiture and Money
Laundering Section.
delegated by this part may be
redelegated to attorneys or managers
working under the supervision of the
designated officials.
133
(c) Scope. This part governs any

petition for remission filed with the
Attorney General and supersedes any
Department of Justice regulation
governing petitions for remission, to the
extent such regulation is inconsistent
with this part.
(d) The time periods and internal
requirements established in this part are
designed to guide the orderly
administration of the remission and
mitigation process and are not intended
to create rights or entitlements in favor
of individuals seeking remission or
mitigation. This part applies to all
forfeiture actions commenced on or after
October 12, 2012.
9.2 Definitions.
As used in this part:

Administrative forfeiture means the
process by which property may be
forfeited by a seizing agency rather than
through judicial proceedings.
Administrative forfeiture has the same
meaning as nonjudicial forfeiture, as
that term is used in 18 U.S.C. 983.
Appraised value means the estimated
market value of property at the time and
place of seizure if such or similar
property were freely offered for sale
between a willing seller and a willing
buyer.
Assets Forfeiture Fund means the
Department of Justice Assets Forfeiture
Fund or Department of the Treasury
Forfeiture Fund, depending upon the
identity of the seizing agency.
Attorney General means the Attorney
General of the United States or his or
her designee.
Beneficial owner means a person with
actual use of, as well as an interest in,
the property subject to forfeiture.
Chief, Asset Forfeiture and Money
Laundering Section, and Chief, refer to
the Chief of the Asset Forfeiture and
Money Laundering Section, Criminal
Division, United States Department of
Justice.
General creditor means one whose
claim or debt is not secured by a
specific right to obtain satisfaction
against the particular property subject to
forfeiture.
Judgment creditor means one who has
obtained a judgment against the debtor
but has not yet received full satisfaction
of the judgment.
Judicial forfeiture means either a civil
or a criminal proceeding in a United
States District Court that may result in
a final judgment and order of forfeiture.
Lienholder means a creditor whose
claim or debt is secured by a specific
right to obtain satisfaction against the
particular property subject to forfeiture.
A lien creditor qualifies as a lienholder
if the lien:
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(1) Was established by operation of

law or contract;
(2) Was created as a result of an
exchange of money, goods, or services;
and
(3) Is perfected against the specific
property forfeited for which remission
or mitigation is sought (e.g., a real estate
mortgage; a mechanics lien).
Net equity means the amount of a
lienholders monetary interest in
property subject to forfeiture. Net equity
shall be computed by determining the
amount of unpaid principal and unpaid
interest at the time of seizure and by
adding to that sum unpaid interest
calculated from the date of seizure
through the last full month prior to the
date of the decision on the petition.
Where a rate of interest is set forth in
a security agreement, the rate of interest
to be used in this computation will be
the annual percentage rate so specified
in the security agreement that is the
basis of the lienholders interest. In this
computation, however, there shall be no
allowances for attorney fees, accelerated
or enhanced interest charges, amounts
set by contract as damages, unearned
extended warranty fees, insurance,
service contract charges incurred after
the date of seizure, allowances for
dealers reserve, or any other similar
charges.
Nonjudicial forfeiture has the same
meaning as administrative forfeiture as
defined in this section.
Owner means the person in whom
primary title is vested or whose interest
is manifested by the actual and
beneficial use of the property, even
though the title is vested in another. A
victim of an offense, as defined in this
section, may also be an owner if he or
she has a present legally cognizable
ownership interest in the property
forfeited. A nominal owner of property
will not be treated as its true owner if
he or she is not its beneficial owner.
Person means an individual,
partnership, corporation, joint business
enterprise, estate, or other legal entity
capable of owning property.
Petition means a petition for
remission or mitigation of forfeiture
under the regulations in this part. This
definition includes a petition for
restoration of the proceeds of sale of
forfeited property and a petition for the
value of forfeited property placed into
official use.
Petitioner means the person applying
for remission, mitigation, or restoration
of the proceeds of sale, or for the
appraised value of forfeited property,
under this part. A petitioner may be an
owner as defined in this section, a
lienholder as defined in this section, or
a victim as defined in this section,

subject to the limitations of 9.8.
Property means real or personal
property of any kind capable of being
owned or possessed.
Record means two or more arrests for
related crimes, unless the arrestee was
acquitted or the charges were dismissed
for lack of evidence, a conviction for a
related crime or completion of sentence
within ten years of the acquisition of the
property subject to forfeiture, or two
convictions for a related crime at any
time in the past.
Related crime as used in this section
and 9.6(e) means any crime similar in
nature to that which gives rise to the
seizure of property for forfeiture. For
example, where property is seized for a
violation of the federal laws relating to
drugs, a related crime would be any
offense involving a violation of the
federal laws relating to drugs or the laws
of any state or political subdivision
thereof relating to drugs.
Related offense as used in 9.8
means:
(1) Any predicate offense charged in
a federal Racketeer Influenced and
Corrupt Organizations Act (RICO) count
for which forfeiture was ordered; or
(2) An offense committed as part of
the same scheme or design, or pursuant
to the same conspiracy, as was involved
in the offense for which forfeiture was
ordered.
Ruling official means any official to
whom decision-making authority has
been delegated pursuant to 9.1(b).
Seizing agency means the federal
agency that seized the property or
adopted the seizure of another agency
for federal forfeiture.
Victim means a person who has
incurred a pecuniary loss as a direct
result of the commission of the offense
underlying a forfeiture. A drug user is
not considered a victim of a drug
trafficking offense under this definition.
A victim does not include one who
acquires a right to sue the perpetrator of
the criminal offense for any loss by
assignment, subrogation, inheritance, or
otherwise from the actual victim, unless
that person has acquired an actual
ownership interest in the forfeited
property; provided however, that if a
victim has received compensation from
insurance or any other source with
respect to a pecuniary loss, remission
may be granted to the third party who
provided the compensation, up to the
amount of the victims pecuniary loss as
defined in 9.8(c).
Violator means the person whose use
or acquisition of the property in
violation of the law subjected such
property to seizure for forfeiture.
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56109
9.3 Petitions in administrative forfeiture

cases.
(a) Notice of seizure. The notice of

seizure and intent to forfeit the property
shall advise any persons who may have
a present ownership interest in the
property to submit their petitions for
remission or mitigation within 30 days
of the date they receive the notice in
order to facilitate processing. Petitions
shall be considered any time after notice
until the property has been forfeited,
except in cases involving petitions to
restore the proceeds from the sale of
forfeited property. A notice of seizure
shall include the title of the seizing
agency, the ruling official, the mailing
and street address of the official to
whom petitions should be sent, and an
asset identifier number.
(b) Persons who may file.
(1) A petition for remission or
mitigation must be filed by a petitioner
as defined in 9.2 or as prescribed in
9.9(g) and (h). A person or person on
their behalf may not file a petition if,
after notice or knowledge of the fact that
a warrant or process has been issued for
his apprehension, in order to avoid
criminal prosecution, the person:
(i) Purposely leaves the jurisdiction of
the United States;
(ii) Declines to enter or reenter the
United States to submit to its
jurisdiction; or
(iii) Otherwise evades the jurisdiction
of the court in which a criminal matter
is pending against the person.
(2) Paragraph (b)(1) of this section
applies to a petition filed by a
corporation if any majority shareholder,
or individual filing the claim on behalf
of the corporation:
(i) Purposely leaves the jurisdiction of
the United States;
(ii) Declines to enter or reenter the
United States to submit to its
jurisdiction; or
(iii) Otherwise evades the jurisdiction
of the court in which a criminal matter
is pending against the person.
(c) Contents of petition.
(1) All petitions must include the
following information in clear and
concise terms:
(i) The name, address, and social
security or other taxpayer identification
number of the person claiming an
interest in the seized property who is
seeking remission or mitigation;
(ii) The name of the seizing agency,
the asset identifier number, and the date
and place of seizure;
(iii) A complete description of the
property, including make, model, and
serial numbers, if any; and
(iv) A description of the petitioners
interest in the property as owner,
lienholder, or otherwise, supported by
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56110
original or certified bills of sale,

contracts, deeds, mortgages, or other
documentary evidence. Such
documentation includes evidence
establishing the source of funds for
seized currency or the source of funds
used to purchase the seized asset.
(2) Any factual recitation or
documentation of any type in a petition
must be supported by a declaration
under penalty of perjury that meets the
requirements of 28 U.S.C. 1746.
(d) Releases. In addition to the
contents of the petition for remission or
mitigation set forth in paragraph (c) of
this section, upon request of the agency,
the petitioner shall also furnish the
agency with an instrument executed by
the titled or registered owner and any
other known claimant of an interest in
the property releasing interest in such
property.
(e) Filing petition with agency.
mitigation subject to administrative
forfeiture is to be sent to the official
address provided in the notice of
seizure and shall be sworn to by the
petitioner or by the petitioners attorney
upon information and belief, supported
by the clients sworn notice of
representation pursuant to 28 U.S.C.
1746, as set out in 9.9(g).
(2) If the notice of seizure does not
provide an official address, the petition
shall be addressed to the appropriate
federal agency as follows:
(i)(A) DEA: All submissions must be
filed with the Forfeiture Counsel, Asset
Forfeiture Section, Office of Chief
Counsel, Drug Enforcement
Administration, HQS Forfeiture
Response, P.O. Box 1475, Quantico,
Virginia 221341475.
(B) Correspondence via private
delivery must be filed with The
Forfeiture Counsel, Asset Forfeiture
Section (CCF), Office of Chief Counsel,
Drug Enforcement Administration, 8701
Morrissette Drive, Springfield, Virginia
22152.
(C) Submission by facsimile or other
electronic means will not be accepted.
(ii)(A) FBI: All submissions must be
filed with the FBI Special Agent in
Charge at the Field Office that seized the
property.
(B) Submission by facsimile or other
(iii)(A) ATF: All submissions must be
filed with the Office of Chief Counsel,
Attention: Forfeiture Counsel, 99 New
York Avenue NE., Washington, DC
20226.
(B) Submission by facsimile or other
(f) Agency investigation. Upon receipt
of a petition, the seizing agency shall
investigate the merits of the petition and
may prepare a written report containing

the results of that investigation. This
report shall be submitted to the ruling
official for review and consideration.
(g) Ruling. Upon receipt of the
petition and the agency report, the
ruling official for the seizing agency
shall review the petition and the report,
if any, and shall rule on the merits of
the petition. No hearing shall be held.
(h) Petitions granted. If the ruling
official grants a remission or mitigation
of the forfeiture, a copy of the decision
shall be mailed to the petitioner or, if
represented by an attorney, to the
petitioners attorney. A copy shall also
be sent to the United States Marshals
Service (USMS) or other property
custodian. The written decision shall
include the terms and conditions, if any,
upon which the remission or mitigation
is granted and the procedures the
petitioner must follow to obtain release
of the property or the monetary interest
therein.
(i) Petitions denied. If the ruling
official denies a petition, a copy of the
decision shall be mailed to the
petitioner or, if represented by an
attorney, to the petitioners attorney of
record. A copy of the decision shall also
be sent to the USMS or other property
custodian. The decision shall specify
the reason that the petition was denied.
The decision shall advise the petitioner
that a request for reconsideration of the
denial of the petition may be submitted
to the ruling official in accordance with
paragraph (j) of this section.
(j) Request for reconsideration.
(1) A request for reconsideration of
the denial of the petition shall be
considered if:
(i) It is postmarked or received by the
office of the ruling official within 10
days from the receipt of the notice of
denial of the petition by the petitioner;
and
(ii) The request is based on
information or evidence not previously
considered that is material to the basis
for the denial or presents a basis clearly
demonstrating that the denial was
erroneous.
(2) In no event shall a request for
reconsideration be decided by the same
ruling official who ruled on the original
petition.
(3) Only one request for
reconsideration of a denial of a petition
shall be considered.
(k) Restoration of proceeds from sale.
(1) A petition for restoration of the
proceeds from the sale of forfeited
property, or for the appraised value of
forfeited property when the forfeited
property has been retained by or
delivered to a government agency for
official use, may be submitted by an
135
owner or lienholder in cases in which

the petitioner:
(i) Did not know of the seizure prior
to the entry of a declaration of forfeiture;
and
(ii) Could not reasonably have known
of the seizure prior to the entry of a
declaration of forfeiture.
(2) Such a petition shall be submitted
pursuant to paragraphs (b) through (e) of
this section within 90 days of the date
the property is sold or otherwise
disposed of.
9.4 Petitions in judicial forfeiture cases.
(a) Notice of seizure. The notice of

seizure and intent to forfeit the property
shall advise any persons who may have
a present ownership interest in the
property to submit their petitions for
remission or mitigation within 30 days
of the date they receive the notice in
order to facilitate processing. Petitions
shall be considered any time after notice
until such time as the forfeited property
is placed in official use, sold, or
otherwise disposed of according to law,
except in cases involving petitions to
restore property. A notice of seizure
shall include the title of the ruling
official and the mailing and street
address of the official to whom petitions
should be sent, the name of the agency
seizing the property, an asset identifier
number, and the district court docket
number.
(b) Persons who may file. A petition
for remission or mitigation must be filed
by a petitioner as defined in 9.2 or as
prescribed in 9.9(g) and (h).
(c) Contents of petition.
(1) All petitions must include the
following information in clear and
concise terms:
(i) The name, address, and social
security or other taxpayer identification
number of the person claiming an
interest in the seized property who is
seeking remission or mitigation;
(ii) The name of the seizing agency,
the asset identifier number, and the date
and place of seizure;
(iii) The district court docket number;
(iv) A complete description of the
property, including the address or legal
description of real property, and make,
model, and serial numbers of personal
property, if any; and
(v) A description of the petitioners
interest in the property as owner,
lienholder, or otherwise, supported by
original or certified bills of sale,
contracts, mortgages, deeds, or other
documentary evidence.
(2) Any factual recitation or
documentation of any type in a petition
must be supported by a declaration
under penalty of perjury that meets the
requirements of 28 U.S.C. 1746.
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(d) Releases. In addition to the

content of the petition for remission or
mitigation set forth in paragraph (c) of
this section, the petitioner, upon
request, also shall furnish the agency
with an instrument executed by the
titled or registered owner and any other
known claimant of an interest in the
property releasing the interest in such
property.
(e) Filing petition with Department of
Justice. A petition for remission or
mitigation of a judicial forfeiture shall
be addressed to the Attorney General;
shall be sworn to by the petitioner or by
the petitioners attorney upon
information and belief, supported by the
clients sworn notice of representation
pursuant to 28 U.S.C. 1746, as set forth
in 9.9(g); and shall be submitted to the
U.S. Attorney for the district in which
the judicial forfeiture proceedings are
brought.
(f) Agency investigation and
recommendation; U.S. Attorneys
recommendation. Upon receipt of a
petition, the U.S. Attorney shall direct
the seizing agency to investigate the
merits of the petition based on the
information provided by the petitioner
and the totality of the agencys
investigation of the underlying basis for
forfeiture. The agency shall submit to
the U.S. Attorney a report of its
investigation and its recommendation
on whether the petition should be
granted or denied. Upon receipt of the
agencys report and recommendation,
the U.S. Attorney shall forward to the
Chief, Asset Forfeiture and Money
Laundering Section, the petition, the
seizing agencys report and
recommendation, and the U.S.
Attorneys recommendation on whether
the petition should be granted or
denied.
(g) Ruling. The Chief shall rule on the
petition. No hearing shall be held. The
Chief shall not rule on any petition for
remission if such remission was
previously denied by the agency
pursuant to 9.3.
(h) Petitions under Internal Revenue
Service liquor laws. The Chief shall
accept and consider petitions submitted
in judicial forfeiture proceedings under
the Internal Revenue Service liquor laws
only prior to the time a decree of
forfeiture is entered. Thereafter, the
district court has exclusive jurisdiction.
(i) Petitions granted. If the Chief
grants a remission or mitigates the
forfeiture, the Chief shall mail a copy of
the decision to the petitioner (or, if
petitioners attorney) and shall mail or
transmit electronically a copy of the
decision to the appropriate U.S.
Attorney, the USMS or other property
custodian, and the seizing agency. The

written decision shall include the terms
and conditions, if any, upon which the
remission or mitigation is granted and
the procedures the petitioner must
follow to obtain release of the property
or the monetary interest therein. The
Chief shall advise the petitioner or the
petitioners attorney to consult with the
U.S. Attorney as to such terms and
conditions. The U.S. Attorney shall
confer with the seizing agency regarding
the release and shall coordinate
disposition of the property with that
office and the USMS or other property
custodian.
(j) Petitions denied. If the Chief denies
a petition, a copy of that decision shall
be mailed to the petitioner (or, if
petitioners attorney of record) and
mailed or transmitted electronically to
the appropriate U.S. Attorney, the
USMS or other property custodian, and
to the seizing agency. The decision shall
specify the reason that the petition was
denied. The decision shall advise the
petitioner that a request for
reconsideration of the denial of the
petition may be submitted to the Chief
at the address provided in the decision,
in accordance with paragraph (k) of this
section.
(k) Request for reconsideration.
(1) A request for reconsideration of
the denial shall be considered if:
(i) It is postmarked or received by the
Section at the address contained in the
decision denying the petition within 10
days from the receipt of the notice of
denial of the petition by the petitioner;
(ii) A copy of the request is also
received by the appropriate U.S.
Attorney within 10 days of the receipt
of the denial by the petitioner; and
(iii) The request is based on
information or evidence not previously
considered that is material to the basis
for the denial or presents a basis clearly
demonstrating that the denial was
erroneous.
(2) In no event shall a request for
reconsideration be decided by the ruling
official who ruled on the original
petition.
(3) Only one request for
reconsideration of a denial of a petition
shall be considered.
(4) Upon receipt of the request for
reconsideration of the denial of a
petition, disposition of the property will
be delayed pending notice of the
decision at the request of the Chief. If
the request for reconsideration is not
received within the prescribed period,
the USMS or other property custodian
may dispose of the property.
(l) Restoration of proceeds from sale.
136
56111
(1) A petition for restoration of the

proceeds from the sale of forfeited
property, or for the appraised value of
forfeited property when the forfeited
property has been retained by or
delivered to a government agency for
official use, may be submitted by an
owner or lienholder in cases in which
the petitioner:
(i) Did not know of the seizure prior
to the entry of a final order of forfeiture;
and
(ii) Could not reasonably have known
of the seizure prior to the entry of a final
order of forfeiture.
(2) Such a petition must be submitted
pursuant to paragraphs (b) through (e) of
this section within 90 days of the date
the property was sold or otherwise
disposed of.
9.5 Criteria governing administrative and

judicial remission and mitigation.
(a) Remission.
(1) The ruling official shall not grant
remission of a forfeiture unless the
petitioner establishes that the petitioner
has a valid, good faith, and legally
cognizable interest in the seized
property as owner or lienholder as
defined in this part and is an innocent
owner within the meaning of 18 U.S.C.
983(d)(2)(A) or 983(d)(3)(A).
(2) For purposes of paragraph (a)(1) of
this section, the knowledge and
responsibilities of a petitioners
representative, agent, or employee are
imputed to the petitioner where the
representative, agent, or employee was
acting in the course of his or her
employment and in furtherance of the
petitioners business.
(3) The petitioner has the burden of
establishing the basis for granting a
petition for remission or mitigation of
forfeited property, a restoration of
proceeds of sale or appraised value of
forfeited property, or a reconsideration
of a denial of such a petition. Failure to
provide information or documents and
to submit to interviews, as requested,
may result in a denial of the petition.
(4) The ruling official shall presume a
valid forfeiture and shall not consider
whether the evidence is sufficient to
support the forfeiture.
(5) Willful, materially false statements
or information made or furnished by the
petitioner in support of a petition for
remission or mitigation of forfeited
property, the restoration of proceeds or
appraised value of forfeited property, or
the reconsideration of a denial of any
such petition, shall be grounds for
denial of such petition and possible
prosecution for the filing of false
statements.
(b) Mitigation.
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56112
(1) The ruling official may grant

mitigation to a party not involved in the
commission of the offense underlying
forfeiture:
(i) Where the petitioner has not met
the minimum conditions for remission,
but the ruling official finds that some
relief should be granted to avoid
extreme hardship, and that return of the
property combined with imposition of
monetary or other conditions of
mitigation in lieu of a complete
forfeiture will promote the interest of
justice and will not diminish the
deterrent effect of the law. Extenuating
circumstances justifying such a finding
include those circumstances that reduce
the responsibility of the petitioner for
knowledge of the illegal activity,
knowledge of the criminal record of a
user of the property, or failure to take
reasonable steps to prevent the illegal
use or acquisition by another for some
reason, such as a reasonable fear of
reprisal; or
(ii) Where the minimum standards for
remission have been satisfied but the
overall circumstances are such that, in
the opinion of the ruling official,
complete relief is not warranted.
(2) The ruling official may in his or
her discretion grant mitigation to a party
involved in the commission of the
offense underlying the forfeiture where
certain mitigating factors exist,
including, but not limited to: the lack of
a prior record or evidence of similar
criminal conduct; if the violation does
not include drug distribution,
manufacturing, or importation, the fact
that the violator has taken steps, such as
drug treatment, to prevent further
criminal conduct; the fact that the
violation was minimal and was not part
of a larger criminal scheme; the fact that
the violator has cooperated with federal,
state, or local investigations relating to
the criminal conduct underlying the
forfeiture; or the fact that complete
forfeiture of an asset is not necessary to
achieve the legitimate purposes of
forfeiture.
(3) Mitigation may take the form of a
monetary condition or the imposition of
other conditions relating to the
continued use of the property, and the
return of the property, in addition to the
imposition of any other costs that would
be chargeable as a condition to
remission. This monetary condition is
considered as an item of cost payable by
the petitioner, and shall be deposited
into the Assets Forfeiture Fund as an
amount realized from forfeiture in
accordance with the applicable statute.
If the petitioner fails to accept the ruling
officials mitigation decision or any of
its conditions, or fails to pay the
monetary amount within 20 days of the
receipt of the decision, the property

shall be sold, and the monetary amount
imposed and other costs chargeable as a
condition to mitigation shall be
subtracted from the proceeds of the sale
before transmitting the remainder to the
petitioner.
9.6 Special rules for specific petitioners.
(a) General creditors. A general

creditor may not be granted remission or
mitigation of forfeiture unless he or she
otherwise qualifies as petitioner under
this part.
(b) Rival claimants. If the beneficial
owner of the forfeited property and the
owner of a security interest in the same
property each file a petition, and if both
petitions are found to be meritorious,
the claims of the beneficial owner shall
take precedence.
(c) Voluntary bailments. A petitioner
who allows another to use his or her
property without cost, and who is not in
the business of lending money secured
by property or of leasing or renting
property for profit, shall be granted
remission or mitigation of forfeiture in
accordance with the provisions of 9.5.
(d) Lessors. A person engaged in the
business of leasing or renting real or
personal property on a long-term basis
with the right to sublease shall not be
entitled to remission or mitigation of a
forfeiture of such property unless the
lessor can demonstrate compliance with
all the requirements of 9.5.
(e) Straw owners. A petition by any
person who has acquired a property
interest recognizable under this part,
and who knew or had reason to believe
that the interest was conveyed by the
previous owner for the purpose of
circumventing seizure, forfeiture, or the
regulations in this part, shall be denied.
A petition by a person who purchases
or owns property for another who has a
record for related crimes as defined in
9.2, or a petition by a lienholder who
knows or has reason to believe that the
purchaser or owner of record is not the
real purchaser or owner, shall be denied
unless both the purchaser of record and
the real purchaser or owner meet the
requirements of 9.5.
(f) Judgment creditors.
(1) A judgment creditor will be
recognized as a lienholder if:
(i) The judgment was duly recorded
before the seizure of the property for
forfeiture;
(ii) Under applicable state or local
law, the judgment constitutes a valid
lien on the property that attached to it
before the seizure of the property for
forfeiture; and
(iii) The petitioner had no knowledge
of the commission of any act or acts
giving rise to the forfeiture at the time
137
the judgment became a lien on the

forfeited property.
(2) A judgment creditor will not be
recognized as a lienholder if the
property in question is not property of
which the judgment debtor is entitled to
claim ownership under applicable state
or local law (e.g., stolen property). A
judgment creditor is entitled under this
part to no more than the amount of the
judgment, exclusive of any interest,
costs, or other fees including attorney
fees associated with the action that led
to the judgment or its collection.
(3) A judgment creditors lien must be
registered in the district where the
property is located if the judgment was
obtained outside the district.
9.7 Terms and conditions of remission
and mitigation.
(a) Owners.
(1) An owners interest in property
that has been forfeited is represented by
the property itself or by a monetary
interest equivalent to that interest at the
time of seizure. Whether the property or
a monetary equivalent will be remitted
to an owner shall be determined at the
discretion of the ruling official.
(2) If a civil judicial forfeiture action
against the property is pending, release
of the property must await an
appropriate court order.
(3) Where the Government sells or
disposes of the property prior to the
grant of the remission, the owner shall
receive the proceeds of that sale, less
any costs incurred by the Government
in the sale. The ruling official, at his or
her discretion, may waive the deduction
of costs and expenses incident to the
forfeiture.
(4) Where the owner does not comply
with the conditions imposed upon
release of the property by the ruling
official, the property shall be sold.
Following the sale, the proceeds shall be
used to pay all costs of the forfeiture
and disposition of the property, in
addition to any monetary conditions
imposed. The remaining balance shall
be paid to the owner.
(b) Lienholders.
(1) When the forfeited property is to
be retained for official use or transferred
to a state or local law enforcement
agency or foreign government pursuant
to law, and remission or mitigation has
been granted to a lienholder, the
recipient of the property shall assure
that:
(i) In the case of remission, the lien is
satisfied as determined through the
petition process; or
(ii) In the case of mitigation, an
amount equal to the net equity, less any
monetary conditions imposed, is paid to
the lienholder prior to the release of the
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property to the recipient agency or

foreign government.
(2) When the forfeited property is not
retained for official use or transferred to
another agency or foreign government
pursuant to law, the lienholder shall be
notified by the ruling official of the right
to select either of the following
alternatives:
(i) Return of property. The lienholder
may obtain possession of the property
after paying the United States, through
the ruling official, the costs and
expenses incident to the forfeiture, the
amount, if any, by which the appraised
value of the property exceeds the
lienholders net equity in the property,
and any amount specified in the ruling
officials decision as a condition to
remit the property. The ruling official, at
his or her discretion, may waive costs
and expenses incident to the forfeiture.
The ruling official shall forward a copy
of the decision, a memorandum of
disposition, and the original releases to
the USMS or other property custodian
who shall thereafter release the property
to the lienholder; or
(ii) Sale of property and payment to
lienholder. Subject to 9.9(a), upon sale
of the property, the lienholder may
receive the payment of a monetary
amount up to the sum of the
lienholders net equity, less the
expenses and costs incident to the
forfeiture and sale of the property, and
any other monetary conditions imposed.
The ruling official, at his or her
discretion, may waive costs and
expenses incident to the forfeiture.
(3) If the lienholder does not notify
the ruling official of the selection of one
of the two options set forth in paragraph
(b)(2) of this section within 20 days of
the receipt of notification, the ruling
official shall direct the USMS or other
property custodian to sell the property
and pay the lienholder an amount up to
the net equity, less the costs and
expenses incurred incident to the
forfeiture and sale, and any monetary
conditions imposed. In the event a
lienholder subsequently receives a
payment of any kind on the debt owed
for which he or she received payment as
a result of the granting of remission or
mitigation, the lienholder shall
reimburse the Assets Forfeiture Fund to
the extent of the payment received.
(4) Where the lienholder does not
comply with the conditions imposed
upon the release of the property, the
property shall be sold after forfeiture.
From the proceeds of the sale, all costs
incident to the forfeiture and sale shall
first be deducted, and the balance up to
the net equity, less any monetary
conditions, shall be paid to the
lienholder.
9.8 Remission procedures for victims.
This section applies to victims of an

offense underlying the forfeiture of
property, or of a related offense, who do
not have a present ownership interest in
the forfeited property (or, in the case of
multiple victims of an offense, who do
not have a present ownership interest in
the forfeited property that is clearly
superior to that of other petitioner
victims). This section applies only with
respect to property forfeited pursuant to
statutes that explicitly authorize
restoration or remission of forfeited
property to victims. A victim requesting
remission under this section may
concurrently request remission as an
owner, pursuant to the regulations set
forth in 9.3, 9.4, and 9.7. The claims
of victims granted remission as both an
owner and victim shall, like claims of
other owners, have priority over the
claims of any non-owner victims whose
claims are recognized under this
section.
(a) Remission procedure for victims.
(1) Where to file. Persons seeking
remission as victims shall file petitions
for remission with the appropriate
deciding official as described in
9.3(e) (administrative forfeiture) or
9.4(e) (judicial forfeiture).
(2) Time of decision. The deciding
official or his designee as described in
9.1(b) may consider petitions filed by
persons claiming eligibility for
remission as victims at any time prior to
the disposal of the forfeited property in
accordance with law.
(3) Request for reconsideration.
Persons denied remission under this
section may request reconsideration of
the denial, in accordance with 9.3(j)
(administrative forfeiture) or 9.4(k)
(judicial forfeiture).
(b) Qualification to file. A victim, as
defined in 9.2, may be granted
remission, if in addition to complying
with the other applicable provisions of
9.8, the victim satisfactorily
demonstrates that:
(1) A pecuniary loss of a specific
amount has been directly caused by the
criminal offense, or related offense, that
was the underlying basis for the
forfeiture, and that the loss is supported
by documentary evidence including
invoices and receipts;
(2) The pecuniary loss is the direct
result of the illegal acts and is not the
result of otherwise lawful acts that were
committed in the course of a criminal
offense;
(3) The victim did not knowingly
contribute to, participate in, benefit
from, or act in a willfully blind manner
towards the commission of the offense,
or related offense, that was the
underlying basis of the forfeiture;
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56113
(4) The victim has not in fact been

compensated for the wrongful loss of
the property by the perpetrator or
others; and
(5) The victim does not have recourse
reasonably available to other assets from
which to obtain compensation for the
wrongful loss of the property.
(c) Pecuniary loss. The amount of the
pecuniary loss suffered by a victim for
which remission may be granted is
limited to the fair market value of the
property of which the victim was
deprived as of the date of the occurrence
of the loss. No allowance shall be made
for interest forgone or for collateral
expenses incurred to recover lost
property or to seek other recompense.
(d) Torts. A tort associated with illegal
activity that formed the basis for the
forfeiture shall not be a basis for
remission, unless it constitutes the
illegal activity itself, nor shall remission
be granted for physical injuries to a
petitioner or for damage to a petitioners
property.
(e) Denial of petition. In the exercise
of his or her discretion, the ruling
official may decline to grant remission
where:
(1) There is substantial difficulty in
calculating the pecuniary loss incurred
by the victim or victims;
(2) The amount of the remission, if
granted, would be small compared with
the amount of expenses incurred by the
Government in determining whether to
grant remission; or
(3) The total number of victims is
large and the monetary amount of the
remission so small as to make its
granting impractical.
(f) Pro rata basis. In granting
remission to multiple victims pursuant
to this section, the ruling official should
generally grant remission on a pro rata
basis to recognized victims when
petitions cannot be granted in full due
to the limited value of the forfeited
property. However, the ruling official
may consider the following factors,
among others, in establishing
appropriate priorities in individual
cases:
(1) The specificity and reliability of
the evidence establishing a loss;
(2) The fact that a particular victim is
suffering an extreme financial hardship;
(3) The fact that a particular victim
has cooperated with the Government in
the investigation related to the forfeiture
or to a related prosecution or civil
action; and
(4) In the case of petitions filed by
multiple victims of related offenses, the
fact that a particular victim is a victim
of the offense underlying the forfeiture.
(g) Reimbursement. Any petitioner
granted remission pursuant to this part
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56114
shall reimburse the Assets Forfeiture

Fund for the amount received to the
extent the individual later receives
compensation for the loss of the
property from any other source. The
petitioner shall surrender the
reimbursement upon payment from any
secondary source.
(h) Claims of financial institution
regulatory agencies. In cases involving
property forfeitable under 18 U.S.C.
981(a)(1)(C) or (a)(1)(D), the ruling
official may decline to grant a petition
filed by a petitioner in whole or in part
due to the lack of sufficient forfeitable
funds to satisfy both the petition and
claims of the financial institution
regulatory agencies pursuant to 18
U.S.C. 981(e)(3) or (7). Generally, claims
of financial institution regulatory
agencies pursuant to 18 U.S.C. 981(e)(3)
or (7) shall take priority over claims of
victims.
(i) Amount of remission. Consistent
with the Assets Forfeiture Fund statute
(28 U.S.C. 524(c)), the amount of
remission shall not exceed the victims
share of the net proceeds of the
forfeitures associated with the activity
that caused the victims loss. The
calculation of net proceeds includes, but
is not limited to, the deduction of
allowable government expenses and
valid third-party claims.
9.9 Miscellaneous provisions.
(a) Priority of payment. Except where

otherwise provided in this part, costs
incurred by the USMS and other
agencies participating in the forfeiture
that were incident to the forfeiture, sale,
or other disposition of the property shall
be deducted from the amount available
for remission or mitigation. Such costs
include, but are not limited to, court
costs, storage costs, brokerage and other
sales-related costs, the amount of any
liens and associated costs paid by the
Government on the property, costs
incurred in paying the ordinary and
necessary expenses of a business seized
for forfeiture, awards for information as
authorized by statute, expenses of
trustees or other assistants pursuant to
paragraph (c) of this section,
investigative or prosecutive costs
specially incurred incident to the
particular forfeiture, and costs incurred
incident to the processing of the
petition(s) for remission or mitigation.
The remaining balance shall be
available for remission or mitigation.
The ruling official shall direct the
distribution of the remaining balance in
the following order of priority, except
that the ruling official may exercise
discretion in determining the priority
between petitioners belonging to classes
described in paragraphs (a)(3) and (4) of
this section in exceptional

circumstances:
(1) Owners;
(2) Lienholders;
(3) Federal financial institution
regulatory agencies (pursuant to
paragraph (e) of this section), not
constituting owners or lienholders; and
(4) Victims not constituting owners or
lienholders (pursuant to 9.8).
(b) Sale or disposition of property
prior to ruling. If forfeited property has
been sold or otherwise disposed of prior
to a ruling, the ruling official may grant
relief in the form of a monetary amount.
The amount realized by the sale of the
property is presumed to be the value of
the property. Monetary relief shall not
be greater than the appraised value of
the property at the time of seizure and
shall not exceed the amount realized
from the sale or other disposition. The
proceeds of the sale shall be distributed
as follows:
(1) Payment of the Governments
expenses incurred incident to the
forfeiture and sale, including court costs
and storage charges, if any;
(2) Payment to the petitioner of an
amount up to his or her interest in the
property;
(3) Payment to the Assets Forfeiture
Fund of all other costs and expenses
incident to the forfeiture;
(4) In the case of victims, payment of
any amount up to the amount of his or
her loss; and
(5) Payment of the balance remaining,
if any, to the Assets Forfeiture Fund.
(c) Trustees and other assistants. In
the exercise of his or her discretion, the
ruling official, with the approval of the
Section, may use the services of a
trustee, other government official, or
appointed contractors to notify potential
petitioners, process petitions, and make
recommendations to the ruling official
on the distribution of property to
petitioners. The expense for such
assistance shall be paid out of the
forfeited funds.
(d) Other agencies of the United
States. Where another agency of the
United States is entitled to remission or
mitigation of forfeited assets because of
an interest that is recognizable under
this part or is eligible for such transfer
pursuant to 18 U.S.C. 981(e)(6), such
agency shall request the transfer in
writing, in addition to complying with
any applicable provisions of 9.3
through 9.5. The decision to make such
transfer shall be made in writing by the
ruling official.
(e) Financial institution regulatory
agencies. A ruling official may direct the
transfer of property under 18 U.S.C.
981(e) to certain federal financial
139
institution regulatory agencies or an

entity acting on their behalf, upon
receipt of a written request, in lieu of
ruling on a petition for remission or
mitigation.
(f) Transfers to foreign governments.
A ruling official may decline to grant
remission to any petitioner other than
an owner or lienholder so that forfeited
assets may be transferred to a foreign
government pursuant to 18 U.S.C.
981(i)(1), 19 U.S.C. 1616a(c)(2), or 21
U.S.C. 881(e)(1)(E).
(g) Filing by attorneys.
mitigation may be filed by a petitioner
or by his or her attorney or legal
guardian. If an attorney files on behalf
of the petitioner, the petition must
include a signed and sworn statement
by the client-petitioner stating that:
(i) The attorney has the authority to
represent the petitioner in this
proceeding;
(ii) The petitioner has fully reviewed
the petition; and
(iii) The petition is truthful and
accurate in every respect.
(2) Verbal notification of
representation is not acceptable.
Responses and notification of rulings
shall not be sent to an attorney claiming
to represent a petitioner unless a written
notice of representation is filed. No
extensions of time shall be granted due
to delays in submission of the notice of
representation.
(h) Consolidated petitions. At the
discretion of the ruling official in
individual cases, a petition may be filed
by one petitioner on behalf of other
petitioners, provided the petitions are
based on similar underlying facts, and
the petitioner who files the petition has
written authority to do so on behalf of
the other petitioners. This authority
must be either expressed in documents
giving the petitioner the authority to file
petitions for remission, or reasonably
implied from documents giving the
petitioner express authority to file
claims or lawsuits related to the course
of conduct in question on behalf of
these petitioners. An insurer or an
administrator of an employee benefit
plan, for example, which itself has
standing to file a petition as a victim
within the meaning of 9.2, may also
file a petition on behalf of its insured or
plan beneficiaries for any claims they
may have based on co-payments made
to the perpetrator of the offense
underlying the forfeiture or the
perpetrator of a related offense within
the meaning of 9.2, if the authority to
file claims or lawsuits is contained in
the document or documents establishing
the plan. Where such a petition is filed,
any amounts granted as a remission
RIF
must be transferred to the other

petitioners, not the party filing the
petition; although, in his or her
discretion, the ruling official may use
the actual petitioner as an intermediary
for transferring the amounts authorized
as a remission to the other petitioners.
Dated: August 23, 2012.
Eric H. Holder, Jr.,
Attorney General.
[FR Doc. 201221943 Filed 91112; 8:45 am]
BILLING CODE 441009 441002; 4410FY; 441014; P
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
33 CFR Part 117
[Docket No. USCG20120815]
Drawbridge Operation Regulations;

Fort Point Channel, Boston, MA
AGENCY: Coast Guard, DHS.
ACTION: Notice of temporary deviation
from regulations.
SUMMARY: The Commander, First Coast

Guard District, has issued a temporary
deviation from the regulation governing
the operation of the Northern Avenue
Bridge, mile 0.1, across the Fort Point
Channel, at Boston, Massachusetts.
Under this temporary deviation a sixhour advance notice for bridge opening
shall be required at the bridge to
facilitate bridge repairs.
DATES: This deviation is effective from
11 p.m. on September 16, 2012 through
9 a.m. on September 20, 2012.
ADDRESSES: Documents mentioned in
this preamble as being available in the
docket are part of docket USCG2012
0815 and are available online at
www.regulations.gov, inserting USCG
20120815 in the Keyword and then
clicking Search. They are also
available for inspection or copying at
the Docket Management Facility (M30),
U.S. Department of Transportation,
West Building Ground Floor, Room
W12140, 1200 New Jersey Avenue SE.,
Washington, DC 20590, between 9 a.m.
and 5 p.m., Monday through Friday,
except Federal holidays.
FOR FURTHER INFORMATION CONTACT: If
you have questions on this rule, call or
email Mr. John McDonald
john.w.mcdonald@uscg.mil, Project
Officer, First Coast Guard District,
telephone (617) 2238364. If you have
questions on viewing the docket, call
Renee V. Wright, Program Manager,
Docket Operations, telephone 202366
9826.
SUPPLEMENTARY INFORMATION: The
Northern Avenue Bridge, across the Fort

Point Channel, mile 0.1, has a vertical
clearance in the closed position of 7 feet
at mean high water and 17 feet at mean
low water. The existing drawbridge
operation regulations are listed at 33
CFR 117.599.
The waterway has seasonal
recreational vessels of various sizes.
The owner of the bridge, the City of
Boston, requested a temporary deviation
to facilitate the replacement of deck
support. The bridge cannot open while
the stringers are unsecured. A six-hour
advance notice for bridge openings was
requested to allow sufficient time to
safely open the bridge.
Under this temporary deviation the
Northern Avenue Bridge, mile 0.1,
across the Fort Point Channel may
require a six-hour advance notice for
bridge openings between 11 p.m. and 9
a.m. from September 16, 2012 through
September 20, 2012. Vessels that can
pass under the bridge without a bridge
opening may do so at all times. There
are no alternate routes available for
navigation. The bridge cannot open for
an emergency while any steel remains
unsecured.
In accordance with 33 CFR 117.35(e),
the bridge must return to its regular
operating schedule immediately at the
end of the designated time period. This
deviation from the operating regulations
is authorized under 33 CFR 117.35.
Dated: August 31, 2012.
Gary Kassof,
Bridge Program Manager, First Coast Guard
District.
[FR Doc. 201222485 Filed 91112; 8:45 am]
BILLING CODE 911004P
DEPARTMENT OF HOMELAND
SECURITY
Coast Guard
33 CFR Part 165
[Docket Number USCG20120818]
RIN 1625AA00
Safety Zone for Fireworks Display,

Potomac River, National Harbor
Access Channel; Oxon Hill, MD
AGENCY: Coast Guard, DHS.
ACTION: Temporary final rule.
SUMMARY: The Coast Guard is
establishing a safety zone upon

specified waters of the Potomac River.
This action is necessary to provide for
the safety of life on navigable waters
during a fireworks display launched
from a floating platform located within
140
56115
the National Harbor Access Channel at

Oxon Hill in Prince Georges County,
Maryland. This safety zone is intended
to protect the maritime public in a
portion of the Potomac River.
DATES: This rule is effective from 8:30
p.m. on September 12, 2012, through 11
p.m. on September 13, 2012.
ADDRESSES: Documents mentioned in
this preamble are part of docket USCG
20120818. To view documents
mentioned in this preamble as being
available in the docket, go to http://
www.regulations.gov, type the docket
number in the SEARCH box and click
SEARCH. Click on Open Docket
Folder on the line associated with this
rulemaking. You may also visit the
Docket Management Facility in Room
W12140 on the ground floor of the
Department of Transportation West
Building, 1200 New Jersey Avenue SE.,
Washington, DC 20590, between 9 a.m.
and 5 p.m., Monday through Friday,
except Federal holidays.
FOR FURTHER INFORMATION CONTACT: If
you have questions on this rule, call or
email Mr. Ronald L. Houck, Sector
Baltimore Waterways Management
Division, U.S. Coast Guard; telephone
4105762674, email
Ronald.L.Houck@uscg.mil. If you have
questions on viewing or submitting
material to the docket, call Renee V.
Wright, Program Manager, Docket
Operations, telephone (202) 3669826.
SUPPLEMENTARY INFORMATION:
Table of Acronyms
DHS Department of Homeland Security

FR Federal Register
NPRM Notice of Proposed Rulemaking
A. Regulatory History and Information

The Coast Guard is issuing this
temporary final rule without prior
notice and opportunity to comment
pursuant to authority under section 4(a)
of the Administrative Procedure Act
(APA) (5 U.S.C. 553(b)). This provision
authorizes an agency to issue a rule
without prior notice and opportunity to
comment when the agency for good
cause finds that those procedures are
impracticable, unnecessary, or contrary
to the public interest. Under 5 U.S.C.
553(b)(B), the Coast Guard finds that
good cause exists for not publishing a
Notice of Proposed Rulemaking (NPRM)
with respect to this rule because
publishing an NPRM would be
impracticable. The Coast Guard received
the information about the event on
August 6, 2012; delaying the effective
date by first publishing an NPRM would
be contrary to the safety zones intended
objectives as well as to the public
interest because immediate action is
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Case 1:14-cv-01211-JAM-SAB Document 19 Filed 01/09/15 Page 1 of 2

1 DIANE KELLEHER
LISA A. OLSON
2 U.S. Department of Justice
Civil Division, Federal Programs Branch
3 20 Mass. Ave., N.W., Room 7300
Washington, D.C. 20530
4 Telephone: (202) 514-5633
Facsimile: (202) 616-8470
5
Attorneys for Defendants
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IN THE UNITED STATES DISTRICT COURT
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EASTERN DISTRICT OF CALIFORNIA
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CALIFORNIA RIFLE & PISTOL

ASSOCIATION, IN CORPORATED,
CASE NO. 1:14-cv-01211
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Plaintiff,
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v.
ATF'S CERTIFIED SET OF DOCUMENTS

COMPRISING THE RECORD
BUREAU OF ALCOHOL, TOBACCO,

FIREARMS, AND EXPLOSIVES, et al.,
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Defendants.
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California Rifle & Pistol Association, inc. v. ATF, et al., Case No: I :14-cv-01211
ATF'S CERTIFIED LIST OF DOCUMENTS COMPRISING THE RECORD
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RIF

I, Earl Griffith, Acting Chief, Firearms and Ammunition Technology Division, Bureau of
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Alcohol, Tobacco, Firearms, and Explosives, certify that the documents provided comprise a true and
complete copy of the administrative record in the above referenced civil action.
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Executed this 9th January 2015, at Martinsburg, West Virginia.
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California Rifle & Pistol Association, Inc. v. ATF. el al., Case No: I: 14-cv-O 1211
ATF'S C'F.RTIFIFO l.IST OF noc:1 JMFNTS C'OMPRISJNG THF. RF.CORO
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Case 1:14-cv-01211-JAM-SAB Document 19-1 Filed 01/09/15 Page 1 of 4
ADMINISTRATIVE RECORD
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92-94
95-97
98-103
104-113
114-116
Date
Description
Correspondence and Litigation
Legal Memo submitted with EP Arms
July 2013
submission (Davis & Associates)
Classification Letter (Davis & Associates)
February 2014
Legal Memo submitted with EP Arms Request
March 2014
for Reconsideration (Davis & Associates)
Reconsideration Classification Letter (Davis &
Associates)
Classification Letter (Quentin Laser)
March 2010
Classification Letter (Bradley Reece)
November 2013
Classification Letter (Kenney Enterprises)
May 2013
Portion of chapter in The AR-15/M-16
Practical Guide dealing with making an ARtype firearm
Graphic representation of the firing cycle of an
AR-type firearm Semi Auto Functioning of an
AR-15)
AR-15 (Folder)
Classification Letter (ERTW Consulting)
May 2014
Classification Letter (SGW)
May 1983
Classification Letter (Philadelphia Ordnance)
May 1992
Classification Letter (Thomas Miller)
July 1994
Classification Letter (Mega Machine Shop)
December 2002
Classification Letter (Justin Halford)
July 2003
Classification Letter (Continental Machine
January 2004
Tool)
Classification Letter (Randy Paschal)
March 2004
Classification Letter (Continental Machine
January 2004
Tool)
Classification Letter (Kevin Audibert)
July 2006
April 2006
Classification Letter (Kevin Audibert)
August 2007
Classification Letter (Lancer Systems)
March 2011
Classification Letter (Elysium Arms)
April 2012
Classification Letter (Cerro Fabricated
December 2009
Products)
Classification Letter (The Mike Towers Group)
June 2013
Classification Letter (The Mike Towers Group)
June 2013
Classification Letter (Palmetto State Defense)
November 2013
Classification Letter (Kenney Enterprises)
May 2013
Classification Letter (80 Percent Arms)
July 2013
Classification Letter (Palmetto State Defense)
November 2013
143
RIF
117-118
119-120
121-122
123-124
125-134
135-136
137-138
139
140-141
142-143
144-146
147-148
149-150
151-153
154-156
157-158
159-160
161-162
163-165
166
167-168
169-170
171-175
176-177
178-179
180-182
183-184
185
186-187
188-189
190-192
193-194
195
196
197-198
Classification Letter (Technical Grinding &

Machining)
Classification Letter (Battle Born Tactics)
May 2014
Classification Letter (FN Manufacturing)
February 2009
February 2003
Indexing Language
AR Receiver Classification Documents
Referencing Index
Classification Letter (Ultra-Tech)
May 2009
Classification Letter (G&S Precision Machine)
July 2009
Classification Letter (DPM Shops)
February 2011
Classification Letter (West Cobb Tactical)
September 2011
Classification Letter (Island Tool and Die)
February 2013
Classification Letter (LockStone Industries)
December 2013
Classification Letter (Venegas Works)
May 2013
Classification Letter (Nick Pamprome)
June 2013
Classification Letter (DeJong Manufacturing)
December 2013
Classification Letter (TPM Arms)
November 2013
Classification Letter (Alpha Machine)
July 2013
Classification Letter (Range Tool Company)
August 2013
Classification Letter (Range Tool Company)
November 2013
Classification Letter (2nd AM Arms)
January 2014
Machineguns
Classification Letter (Inter American ImportJune 1986
Export)
Classification Letter (Independent Studio
December 2003
Services)
Classification Letter (Poor Mans Pawn)
September 1998
FTB Classification Letter (evaluating Vickers
September 2010
Maxim machinegun)
Classification Letter (Irac)
December 2010
Classification
Letter (Stephen Silverberg)
September 2004
Classification Letter (Hedgehog
July 2003
Manufacturing)
Classification Letter (Long Mountain
April 2006
Outfitters)
Classification Letter (Colt)
May 1986
Classification Letter (IRAC)
October 2010
Classification Letter (Mark Barnes &
September 2004
Associates)
Classification Letter (John Benjamin)
December 1990
Classification Letter (IRAC)
December 2010
Classification Letter (Philadelphia Ordnance)
August 1985
Classification Letter (Saron)
June 1985
Classification Letter (P.A.W.S.)
July 1986
May 2014
144
RIF
199-201
202-203
204
205-207
208
209-210
211-212
213-214
215-216
217-218
219-223
224-226
227-228
229-234
235-251
252-270
271-274
275
276
277
278
279-281
282-284
285-290
291-305
306-317
318-327
Classification Letter (Black Bear

Manufacturing)
Misc. Firearms
Classification Letter (Springfield Armory)
May 1990
Classification Letter (Numrich Gun Parts)
May 2004
Classification Letter (Savage Arms)
June 1981
Classification Letter (Wieslaw Czerepak)
August 1990
Pistol
Classification Letter (National Ordnance)
January 2004
Classification Letter (Hi-Standard
September 2012
Manufacturing)
Classification Letter (Dan Wesson Firearms)
August 2004
Classification Letter (Taurus Intl)
January 2005
Classification Letter (Pine Tree Castings)
December 2005
Legislative History
1964 Congressional Hearing regarding the
statutory change in definition of firearm
Congressional Report
1966
Definition of Firearm under the Federal
Firearms Act (Federal firearms law prior to the
GCA)
Hearings regarding the Original GCA
1968
Regulations
NPRM for the Original GCA Regulations
Final Notice for Original GCA Regulations
Hearings on the Federal Firearms Act
1937
YouTube Videos
YouTube Video regarding the EP Arms
receiver
receiver
receiver
receiver
ATF Reference Material
ATF Reference Material
FTB Bulleting 14-01 Describing Unfinished
80% AR-15 Type Receivers
Technical Publications and Other Photos
Portion of The M16/AR15 Rifle: A Shooters
and Collectors Guide (2d ed.)
Portion of The Complete AR-15/M16
Sourcebook
Portion of The M16/AR15 Rifle: A Shooters
August 2002
145
RIF
328-339
340-350
351-354
355-361
362-376
377-379
and Collectors Guide (2d ed.)

Portion of The Black Rifle (vol. 3)
Portion of The AR-15/M16 Practical Guide
outlining the disassembly of the AR-15 and M16 firearms.
Statistics for the Firearms and Ammunition
Technology Division/ Firearms Technology
Branch (FTB)
Photographs of the EP80
Excerpt from RECOIL Magazine outlining the
80% receivers, including the use of jigs.
Photos of the AR-type firearm including photos
of the upper assembly and lower receiver, a
cutaway view, and the lug and lug hole.
146
RIF
0001
~\J A.L
'Sot- 17'1- M~C...
The law Ojfices of
DAVIS & ASSOCIATES

27201 Puena Real, Suite 300, Mission Viejo, CA 92691
Direct (949) 310-0817/Fax (949) 288-6894 Jason@CalGunLawycrs.com
www.CulGunLawym.com
. ~@~IlW~'-
MJUL 2 4 2013 ~
July 20, 20 t 3
Earl Griffith
Bureau of Alcohol, Tobacco, Firearms, and Explosives
Firearms Technology Branch
244 Needy Road
Martinsburg, West Virginia 25405 USA
VIA FED-EX
Re:
F.T.B.
BY: .......................
In re: EP ARMS, LLC
Dear Mr. Griffith:

I write regarding my client, EP ARMS, LLC (EPA) and their intent to manufacture a partial
lower receiver. Specifically, we are asking for clarification as to whether the incomplete ARtype lower that my client intends to manufacture is a "firearm" as defined in 18 U.S.C.
92l(a)(3} or a merely a casting.
We have enclosed an exemplar EPA AR-15 type casting for your review and examination. The
following features are included on the AR- t 5 casting:
Magazine well;
Magazine catch;
Receiver extension/buffer tube;
Pistol-grip area;
Pistol-grip screw hole;
Pistol-grip upper receiver tension hole;
Pistol-grip tension screw hole;
Bolt catch;
Front pivot-pin takedown hole;
Rear-pivot pin takedown hole.
We believe that these features molded into the raw casting do not render the casting a firearm for
the reasons detailed below. But, in an abundance of caution, we request clarification from the
Bureau of Alcohol, Tobacco, Firearms, and Explosives - Firearms Technology Branch.
0001
147
RIF
0002
The I.aw Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS. LLC
July 20, 2013
Page 2
DEFINITION OF FIREARM
Title I of the Gun Control Act, 18 U.S.C. 921 et seq., primarily regulates conventional
firearms (i.e., rifles, pistols, and shotguns). Title II of the Gun Control Act, also known as the
National Firearms Act, 26 U.S.C. 5801 et seq., stringently regulates machine guns, short
barreled shotguns, and other narrow classes of fireanns. "Firearm" is defined in 921(a)(3) as:
(B) Any weapon (including a starter gun) which will or is designed to or may readily be
converted expel a projectile by the action of an explosive; (B) the frame or receiver of
any such weapon; (C) any firearm muffler or firearm silencer; or (D) any destructive
device. Such tenn does not include an antique firearm.
As noted, the tenn "fireann" means a "weapon ... which will or is designed to or may readily be
converted to expel a projectile," and also "the.frame or receiver of any such weapon." (18
U.S.C . 921(a)(3).) Both the "designed" definition and the "may readily be converted"
definition apply to a weapon that expels a projectile, not to a frame or receiver. A frame or
receiver is not a "weapon," will not and is not designed to expel a projectile, and may not readily
be converted to expel u projectile.
The issue therefore becomes whether the raw material "casting," with the specified features, may
constitute a "frame or receiver."
ATF's regulatory definition, 27 C.F.R. 478.11, provides: "Firearm frame or receiver. That part
of a fireann which provides housing for the hammer, bolt or breechblock, and firing mechanism,
and which is usually threaded at its forward portion to receive the barrel. (The same definition
appears in 27 C.F.R. 479.11.) "Breechblock" is defined as the locking and cartridge head
supporting mechanism of a firearm that does not operate in line with the axis of the bore."
(Glossary ofthe Association ofFirearms and Too/mark Examiners (2"d Ed. 1985, 21 ).)
Assuming that a lower receiver is deemed a "frame or receiver" for licensing purposes, the
statute refers to "the frame or receiver of any such weapon," not raw material which would
require further milling, drilling, and other fabrication to be usable as a frame or receiver.
Referring to ATF's definition in 478.11, an unfinished piece of metal is not a "part" that
"provides housing" (in the present tense) for the hammer, bolt, or breechblock, and other
components of the firing mechanism, unless and until it is machined to accept these components.
The definition docs not include raw materials that "would provide housing" for such components
" ... if further machined." Nor may it be said that such piece of metaJ "is . . . threaded al its
forward portion" so that a barrel may be installed.
0002
148
RIF
0003
71ie law Offices of
DAVIS & ASSOC IATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page 3
In ordinary nomenclature, the frame or receiver is a finished part which is capable of being
assembled with other parts to put together a firearm." (Receiver. The basic unit of a firearm
which houses the firing and breech mechanism and to which the barrel and stock are assembled.
Glossary ofJhe Associalion ofFirearm and Too/mark Examiners (2"d ed. 1985), 111.) Raw
material requires further fabrication. The Gun Control Act recognizes the distinction between
Assembly and "fabrication." (Compare 18 U.S.C. 921(a)(29) (defining "handgun" in part as
"any combination of parts from which a firearm described in subparagraph (A) can be
assemh/ell') with 921 (a)(24) (referring to "any combination of parts, designed or redesigned,
and intended for use in assembling or fabricating a firearm silencer or firearm mufller"
(emphasis added.).) The term "assemble" means "to fit or join together (the parts of something,
such as a machine): to assemble the parts of a kit." (Assemble. Dictionary.com. Collins English
Dictionary - Complete & Unabridged 10th Edition. HarperCollins Publishers.
http://dictionary.reference.com/browse/assemble (accessed: January 23, 2013).) The term
"fabricate" is broader, as it also synonymous with manufacture: '1o make, build, or construct."
(Fabricate. Dictionary.com. Collins English Dictionary- Complete & Unabridged 10th Edition.
HarperCollins Publishers. http://dictionary.reference.com/ browse/fabricate (accessed: January
23, 2013).) Thus, drilling, milling, and other machining would constitute fabrication, but
assembly more narrowly means putting together parts already fabricated.
Moreover, "Congress did not distinguish between receiwrs integrated into an operable weapon
and receivers silfing in a box, mvailing installation." (F.J. Vollmer Co., Inc. v. Higgins, 23 F.3d
448, 450 (D.C. Cir. 1994)(Emphasis added.) The absence ofa single hole and the presence of a
piece of extra metal may mean that an item is not a frame or receiver." (Id. at 452 ("In the case
of the modified HK receiver, the critical features were the lack of the attachment block and the
presence of a hole"; "welding the attachment block back onto the magazine and filling the hole it
had drilled" removed the item from being a machinegun receiver.).)
ANALOGOUS DETERMINATIONS
In an analogous situation, ATF has defined a receiver in terms of whether it was "capable of
accepting all parts" necessary for firing. Like the term "firearm," the term "machinegun" is also
defined to include the "frame or receiver of any such weapon." (26 U.S.C. 5845(b). The same
definition is incorporated by reterence in 18 U.S.C. 921 (a)(3).) The Chief of the ATF Fireanns
Technology Branch wrote in 1978 concerning a semiautomatic receiver which was milled out to
accept a full automatic scar, but the automatic sear hole was not drilled. He opined: "in such a
condition, the receiver is not capable of accepting all parts normally necessary for full automatic
lire. Therefore, such a receiver is not a machinegun. . . . As soon as the receiver is capable of
accepting all parts necessary for full automatic fire, it would be subject to all the provisions of
the NFA." (Nick Voinovich, Chief, ATF Firearms Technology Branch, Feb. 13, 1978,
T:T:F:CHB, 7540. Similar opinions were rendered by the Chief, ATF Firearms Technology
0003
149
RIF
0004
11rc law Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page4
Branch, Aug. 3 1977 (reference number deleted); and C. Michael Hoffman, Assistant Director
(Technical and Scientific Services), May 5, 1978, T:T:F:CHB, 1549?).)
That being said, the ATF has taken differing opinions as lo what extent raw material must be
machined in order to be deemed a firearm.
In a 2002 determination, ATF stated the following about an unfinished lower receiver for an AR
15 that "by performing minor work with hand tools, this receiver can be assembled into a
complete rifle." (Curtis H.A. Bartlett, Chief, Firearms Technology Branch, Oct. 22, 2002,
903050:RV.) The letter continues:
The minor work includes:
1. Drilling the holes for the takedown/assembly pins;
2. Drilling the holes for the trigger and hammer pins;
3. Drilling the holes for the magazine catch; and
4. Drill and tap the holes for the pistol grip screw.
Our evaluation reveals that the submitted receiver can be readily converted to expel a
projectile by the action of an explosive," and is, therefore, a firearm ... .
The above assumes that the "can be readily converted" clause refers to a frame or receiver, when
actually that clause refers to a weapon that can be so converted. A frame or receiver cannot, by
itself, be converted to a weapon that expels a projectile. Thal would require the presence of all
the other firearm parts, and even then the above machine work would be required, together with
assembly.
By contrast, and more recently, ATF determined the following "unfinished AR 15 lower" not to
be sufficiently machined to constitute a frame or receiver:
The FTB examination of your submission confirmed that machining operations have
been performed for the following:
Magazine well;
Magazine catch;
Receiver extension I buffer tube;
Pistol grip;
Bolt catch;
Trigger guard;
Pivot pin and take down holes (drilled).
0004
150
RIF
0005
n,,. LAw Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page 5
The FTB examination found that this item, in its current condition, has not reached a
point in manufacturing to be classified as a "firearm" per the GCA definition, Section
921(u)(3).
(John R. Spencer, Chief, Fireanns Technology Branch, November 19, 2012, 903050:MRC
3311/2012-1034.) (See also: 903050:AG 331112011-703; 903050:KB 3311/300863;
903050:KB33 I 1/300862)
lt is important to note that each side of the submitted casting includes three extrusions. As you
are aware, these extrusions do not exist on completed AR-15 type lowers. They have been added
to the component and must be removed prior to installation of any parts or components. While
these extrusions do contain slight depressions, these depressions are not of sufficient depth to
cross the plane of the either side of the completely machined lower receiver.
It is clear that the EPA casting does not provide housing for the "hammer, bolt or breechblock,
and firing mechanism." In this regard, the operations performed on the exemplar casting are
more akin to the later examination than the former. As such, it is our belief that the exemplar
casting does not constitute a "receiver" or a "firearm.'' But, again, we request your clarification
on this point.
Thank you for taking the time to address this issue. We look forward to hearing from you.
Please let us know if you have any further questions or concerns.
Sincerely,
DAVIS & ASSOCIATES
JASON DAVIS
0005
151
RIF
0006
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0006
152
RIF
0007

Martir11bttrg. ll'V 25405
www.atfgov
903050:MRC
331 11301179
February 7, 2014
Mr. Jason Davis

Davis & Associates
27201 Puerta Real
Suite 300
Mission Viejo, CA 92691
Dear Mr. Davis,
This is in reference to your correspondence, along with an AR-15 type "incomplete

lower," to the Firearms Technology Branch (FTB), Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF). You have submitted this casting on behalf of your
client, EP Arms, for classification under the Gun Control Act of 1968 (GCA).
As you are aware, the GCA, 18 U.S.C. 921(a)(3), defines the term "firearm" as
follows: ... (A) any weapon (including a starter gun) which will or is designed to or may
readily be converted to expel a projectile by the action ofan explosive; (BJ the frame or
receiver ofany such weapon; (C) any firearm muffler or firearm silencer; or (D) any
destructive device. Such term does not include an antique firearm . Further, GCA
implementing regulations, 27 CFR 478.11 define "firearm frame or receiver" as "that
part of a firearm which provides housing for the hammer, bolt or breechblock, and firing
mechanism, and which is usually threaded at its forward portion to receive the barrel."
The FTB examination of this casting confirmed that it has the following features and
characteristics:
1.
2.
3.
4.
5.
6.
Magazine well.
Magazine catch.
Bolt catch.
Pistol grip.
Forming and tapping for receiver-extension/buffer tube.
Front pivot-pin hole.
0007
153
RIF
0008

Mr. Jason Davis
Page2
8. Holes drilled for the detent take-down and pivot pin, retainer buffer, detent
fire-control selector, and pistol-grip screw.
Further examination by FTB revealed that excess material extends past the exterior walls
of the casting, indicating the approximate locations of the holes to be drilled for the
selector, hammer, and trigger pins. We further noted that the fire-control cavity has been
formed and then, at a later time, filled in with plastic material.
It is our determination that when the fire-control cavity was formed during the
manufacturing process, the submitted casting reached a point in its manufacture to be
classified as a " firearm" as defined in 18 U.S.C. 92l(a)(3).
You argue that to be classified as a "firearm frame or receiver," the GCA and
implementing regulations require that the item be completed so that all fire control
components may presently be installed in the frame or receiver. In interpreting the GCA
and implementing regulations as applied to AR-type firearms, ATF has long held that any
machining of the fire-control cavity is the legally significant step in making a receiver.
Further, the filling of the cavity at a later point does not change our classification.
Although the fire-control cavity was filled with plastic material that must be removed
before fire control components may be installed, ATF has long held that this is not
sufficient to destroy the receiver and remove the item from classification as a "frame or
receiver." For your reference we have included the destruction diagram for AR-type
firearms.
Finally, although the definition of "machinegun" includes "frame or receiver,"
determination of what constitutes a machinegun receiver often requires a different
analysis than determining whether something is a firearm under the GCA. In some cases,
machineguns are made from semiautomatic firearms with extra components, and it is the
modification of a receiver to accept these extra components that creates the machinegun
receiver. Although FTB has determined that a semiautomatic receiver was not made into
a machinegun receiver "until the receiver is capable of accepting all parts necessary for
full automatic fire," that reasoning doesn't apply to making a determination of whether
the item is a fireann under the GCA. This is because classifying a semiautomatic receiver
as a machinegun simply because it may be machined to accept machinegun parts would
regulate all such firearms as "machineguns." Therefore ATF's classifications of
machinegun receivers is not premised on the fact that the receiver must be capable of
housing all parts necessary for automatic fire, but that a semiautomatic copy of a
machinegun becomes a machinegun only when this occurs. See Sendra Corp. v. Magaw,
111F.3d162, 163 (D.C. Cir. 1997).
In closing, we caution that the information found in this correspondence with regard to
the evaluation described above is intended only for use by the addressed recipient(s).
Please provide our Branch with a FedEx account number or a UPS shipping label
addressed to yourself so that we may return your sample. Please be advised that we do
0008
154
RIF
0009

Mr. Jason Davis
Page 3
not ship via the U.S. Postal Service. If you don't need to have us return your sample, you
may fax FTB at 304-616-4301 with authorization to destroy it on your behalf.
We thank you for your inquiry and sample, regret that our findings could not be more
positive, but trust the foregoing has been responsive to your request. If you require
further information concerning our findings, we can be contacted at any time.
Sincerely yours,
!'l~w:~
C~ogy Branch
Chief, Firearms
0009
155
RIF
0010
The Law Offices of
DA VIS & ASSOCIATES

2720 I Puerta Real, Suite 300, Mission Viejo, CA 92691
Direct (949) 310-0817/Fax (949) 288-6894 Jason'"!CalGunLawyers.com
www.CalGunLawyers.com
March 4, 2014
Earl Griffith
244 Needy Road
VIA FED-EX
Re:
In re: EP ARMS, LLC
Dear Mr. Griffith:
I write regarding my client, EP ARMS, LLC (EPA). Specifically, we write to request

reconsideration of your conclusion that the product sample submitted is a "firearm" in the
response to your letter dated, February 7, 2014, which was based on a fundamental
misunderstanding of the manufacturing process. {Enclosed.)
Specifically, your letter was a response to our letter dated July 30, 2013 (enclosed), which
requested clarification as to whether a product submitted is a firearm. In your letter you stated
that:
It is our determination that when the fire-control cavity was formed
during the manefacturing process, the submitting casting reached a
point in its manufucturer to be classified as a "firearm" as a defined
in 18 U.S.C. 92l(a){3).
***
Further, the filling of the cavity at a later point does not change our
classification. Although the fire-control cavity was filled with
plastic material that must be removed before fire control
components may be installed, ATF has long held that this is not
sufficient to destroy the receiver and remove the item from
classification as a "frame or receiver." ...
(Emphasis added.)
As stated above, this response is based on a fundamental misunderstanding of the process by
which the submitted sample is manufactured. Specifically, the letter is based on the assumption
0010
156
RIF
0011
The law Offices of
DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
March 4, 2014
Page2
that the receiver is formed, and then it is filled with additional plastic. This is inaccurate. At no
time is a fire-control cavity formed during the manufacturing process, nor is the firecontrol cavity "filled" with plastic material. In fact, at no time does a fire-control cavity
exist in the manufacturing process.
The actual process of manufacturing the sample is the converse of your assumed method, and
takes place in two stages:
Stage 1:
The manufacturing process starts with the production of a core, dubbed a "biscuit." (Enclosed
with this letter are two sample core "biscuits" for your examination and evaluation.) It is made
of a material close to Nylon 66 and is the first part of the manufacturing process. Once the
biscuit is manufactured it has a 2 day curing process before proceeding to Stage 2.
Stage 2:
After the curing has taken place with the biscuit it is placed inside the cavity of a secondary
mold. The secondary mold bonds additional material to the biscuit and creates the overall shape
of the product by means of mold injection. (The previously submitted sample still in your
possession represents the result of Stage 2 production). Thus, at no time does a fire-control
cavity exist.
casting does not constitute a "receiver" or a "firearm." But, again, we request your clarification
on this point.
Please let us know if you have any further questions or concerns. When complete, please
return the submitted parts via Fed-Ex using account number: 321690653.
Sincerely,
DAVIS & ASSOCIATES
JASON DAVIS
0011
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.-.
@)
.

Warti11sh11rg. ll'f' J5.JU5
www.atf.go"
903050:MRC
3311/301179
February 7, 2014
Mr. Jason Davis
Davis & Associates
27201 Puerta Real
Suite 300
Dear Mr. Davis,

client, EP Anns, for classification under the Gun Control Act of 1968 (GCA).
As you are aware, the GCA, 18 U.S.C. 92l(a)(3), defines the term "firearm" as
receiver ofany such weapon; (CJ any firearm muffler or firearm silencer; or (D) any
destructive device. Such term does not include an antique firearm. Further, GCA
implementing regulations, 27 CFR 4 78.11 define "firearm frame or receiver" as "that
part of a fireann which provides housing for the hanuner, bolt or breechblock, and firing
mechanism, and which is usually threaded at its fmward portion to receive the barrel."
characteristics:
1. Magazine well.
2. Magazine catch.
3.
4.
5.
6.
Bolt catch.
Pistol grip.
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Mr. Jason Davis
Page 2
classified as a "fireann" as defined in 18 U.S.C. 921(a)(3).
You argue that to be classified as a "fireann frame or receiver," the GCA and
and implementing regulations as applied to AR-type firearms, A TF has long held that any
firearms.
the item is a firearm under the GCA. This is because classifying a semiautomatic receiver
111F.3d162, 163 (D.C. Cir. 1997).
0013
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Mr. Jason Davis
Page 3
Sincerely yours,
J'J!Afli'~<
~1:iogy
Chief, Firearms
Branch
0014
160
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0015
The Law Offices of
DAVIS & ASSOCIATES

27201 Puerta Real, Suite 300, Mission Viejo, CA 92691
Direct (949) 310-0817/ Fax (949) 288-6894 Jason@CalGunLawyers.com
July 20, 2013

Earl Griffith
244 Needy Road
VIA FED-EX
'i'rl
11\'1 'fP:il~~~~~
b!l~.:.....JU \.I~
MAR 0 6 1014
ij
F.T.B.
BY: ...................... .
In re: EP ARMS, LLC
Re:
Dear Mr. Griffith:

921 (a)(3) or a merely a casting.
following features are included on the AR-15 casting:
Magazine well;
Magazine catch;
Pistol-grip area;
Bolt catch;
0015
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The law Offices of
DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page2
barreled shotguns, and other narrow classes of firearms. "Firearm" is defined in 921 (a)(3) as:
device. Such term does not include an antique firearm.
As noted, the term "firearm" means a "weapon .. . which will or is designed to or may readily be
converted to expel a projectile," and also "the frame or receiver of any such weapon." ( 18
U.S.C. 921 (a)(3).) Both the "designed" definition and the "may readily be converted"
be converted to expel a projectile.
ATF's regulatory definition, 27 C.F.R. 478.11 , provides: "Firearm frame or receiver. That part
of a firearm which provides housing for the hammer, bolt or breechblock, and firing mechanism,
(Glossary of the Association ofFirearms and Too/mark Examiners (2"d Ed. 1985, 21).)
Referring to ATF 's definition in 478. 1I, an unfinished piece of metal is not a "part" that
The definition does not include raw materials that "would provide housing" for such components
" ... if further machined." Nor may it be said that such piece of metal "is ... threaded at its
0016
162
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0017

The Law Offices of
DAVIS & ASSOCIATES
Re:
In re: EP ARMS. LLC
July 20, 2013
Page 3
assembled with other parts to put together a fireann." (Receiver. The basic unit of a firearm
Glossary ofthe Association of Firearm and Too/mark Examiners (2nd ed. 1985), 111.) Raw
"Assembly and "fabrication." (Compare 18 U.S .C. 921 (a)(29) (defining "handgun" in part as
assembled") with 921 (a)(24) (referring to "any combination of parts, designed or redesigned,
and intended for use in assembling or fabricating a firearm silencer or firearm muffler"
Dictionary- Complete & Unabridged 10th Edition. HarperCollins Publishers.
"fabricate" is broader, as it also synonymous with manufacture: "to make, build, or construct."
Moreover, "Congress did not distinguish between receivers integrated into an operable weapon
and receivers sitting in a box, awaiting installation." (F.J Vollmer Co., Inc. v. Higgins, 23 F.3d
448, 450 (D.C. Cir. 1994)(Emphasis added.) The absence of a single hole and the presence of a
piece of extra metal may mean that an item is not a frame or receiver." (Id. at 452 (" In the case
Jn an analogous situation, ATF has defined a receiver in terms of whether it was "capable of
definition is incorporated by reference in 18 U.S.C. 921 (a)(3).) The Chiefof the A TF Fireanns
accept a full automatic sear, but the automatic sear hole was not drilled. He opined: "in such a
fire. Therefore, such a receiver is not a machinegun. . . . As soon as the receiver is capable of
the NFA." (Nick Voinovich, Chief, ATF Fireanns Technology Branch, Feb. 13, 1978,
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The law Offices of
DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page4
That being said, the A TF has taken differing opinions as to what extent raw material must be
I. Drilling the holes for the takedown/assembly pins;
projectile by the action of an explosive," and is, therefore, a firearm . . ..
itself, be converted to a weapon that expels a projectile. That would require the presence of all
assembly.
By contrast, and more recently, A TF determined the following "unfinished AR 15 lower" not to
Magazine well;
Magazine catch;
Pistol grip;
Bolt catch;
Trigger guard;
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The Law Offices of
DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page 5
92l(a)(3).
(John R. Spencer, Chief, Firearms Technology Branch, November 19, 2012, 903050:MRC
331 112012-1034.) (See also: 903050:AG 3311 /2011-703; 903050:KB 3311/300863;
903050:KB33 t t /300862)
It is important to note that each side of the submitted casting includes three extrusions. As you
on this point.
Sincerely,
DAVIS & ASSOCIATES
JASON DAVIS
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Martinsburg, WV 25405
wwwatf.gov
903050:MRC
3311 /301179
Mr. Jason Davis

Davis & Associates
27201 Puerta Real
Suite 300
Dear Mr. Davis,
This is in reference to your letter dated March 4, 2014, requesting reconsideration of the
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) determination that the
EP80 prototype submitted by EP Arms, LLC. (EP Anns) is classified as a "firearm
receiver" under the Gun Control Act of 1968 (GCA). The basis for your request is your
belief that ATF's assumptions concerning the manufacturing process for the EP80 were
integral to our determination that the prototype constitutes a firearm for purposes of the
GCA. That is not correct. To the extent ATF made asswnptions about the manufacturing
process, it was because details about that process were not provided with the July 30,
2013, request for classification. In any event, for the reasons articulated below, the details
provided in your March 4, 2014, letter do not change our ultimate conclusion that the
EP80 is a firearm receiver under the GCA.
readily be converted to expel a projectile by the action ofan explosive; (B) the frame or
receiver ofany such weapon; (C) any firearm mujJler or firearm silencer; or (D) any
implementing regulations, 27 CFR 478.11, define "fireann frame or receiver" as "that
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Mr. Jason Davis
Page 2
Our examination of this EP80 prototype submitted by EP Arms confirmed that it had the
following features and characteristics:
1.
2.
3.
4.
5.
6.
7.
8.
Magazine well.
Magazine catch.
Bolt catch.
Pistol grip.
Fonning and tapping for receiver-extension/buffer tube.
Rear take-down hole.
Holes drilled for the detent take-down and pivot pin, retainer buffer, detent
fire-control selector and pistol-grip screw.
Further examination by the Firearms Technology Branch (FTB) revealed that excess
material extended past the exterior walls of the casting, indicating the approximate
locations of the holes to be drilled for the selector, hammer, and trigger pins.
In our initial classification this office included analysis of two separate and distinct
issues. First, we advised that the EP Arms submission was a firearm receiver because the
fire control cavity was created during the manufacturing process and was later filled with
polymer- the item referred to in your appeal as the "biscuit." In addition, we noted that
filling the fire control cavity with plastic was not sufficient to destroy the firearm.
You have not appealed this determination as being incorrect, but are appealing the
determination that the EP80 receiver is a firearm because the manufacturing process
differs from what is described in our determination letter. In your request for
reconsideration, you describe that during the manufacturing process, the area comprising
the fire control cavity is formed around a nylon core that you refer to as a "biscuit" and
that at no stage in the manufacturing is the EP80 "back filled."
We previously advised that "the filling of the cavity at a later point does not change our
classification .. .. A TF has long held that this is not sufficient to destroy the receiver and
remove the item from classification as a 'frame or receiver."' We included this analysis
to address any contention that inserting the biscuit would remove the item from
classification as a firearm receiver.
However, based upon your newly supplied description of the EP Arms manufacturing
process, we agree that this aspect of our analysis is not applicable to the EP80, as the
biscuit is not meant to destroy the firearm. In fact, we understand that your contention is
that this process prevents the item from reaching a stage of manufacture in which it may
be classified as a "firearm receiver" claiming that "[a]t no time is a fire-control cavity
fonned during the manufacturing process .... In fact; at no time does a fire-control cavity
exist in the manufacturing process." We disagree.
The EP Arms manufacturing process represents a change from the processes by which
AR-type firearms have historically been produced. ATF has long held that items such as
receiver blanks-"castings" or "machined bodies" in which the fire-control cavity area is
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Mr. Jason Davis
Page 3
completely solid and un-machined - have not yet reached a "stage of manufacture" to be
classified as a " fireann receiver." These items are a single piece ofmetal that require a
substantial amount of machining to the vital areas of the firearm. In your request for
reconsideration, you noted several letters in which FTB detennined that certain
submissions were not firearm receivers. However, in each of those examples the firecontrol cavity was the same material as the receiver itself and the material filling the firecontrol cavity is integral to the item; therefore the fire-control "cavity" had not been
created.
To illustrate, photo 1 is a receiver "blank." This is not classified as a "firearm receiver"
because the fire-control cavity has not been machined in any way. It is a single piece of
metal from which a firearm receiver may be produced through further machining.
Location of the Fire Control Cavity
Photo 1
To further illustrate this difference between the EP Arms manufacturing process and
traditional metal "castings" or ''machined bodies," consider the following. Photo 2 is an
AR-type receiver with a fully machined fire-control cavity. The red box outlines the
cavity. This is classified as a firearm receiver pursuant to the GCA.
Photo 2
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Photo 3 is an example of the EP Arms submission. The "biscuit" is the white portionthe exact size and dimensions of the functional fire-control cavity. Notice that the biscuit
outlines the fire-control cavity as shown in photo 2.
Photo 4 is a side-view of the EP Arms design. The top sample is made of clear plastic
and shows that the biscuit creates the internal dimensions of the fire-control cavity.
The photos illustrate that the EP Arms manufacturing process creates a fire-control cavity
through the use of a "biscuit."
Accordingly, based upon your description of the EP Arms manufacturing process, the EP
Anns submission is distinguishable from other "castings" or ''blanks" that are not
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Mr. Jason Davis
Page 5
classified as fireanns. Unlike "castings" or "blanks" which arc formed as a single piece
so that a fire-control cavity has not been made, EP Arms uses the biscuit specifically to
create that fire-control cavity during the injection molding process. As described in your
letter, it appears that the sole purpose of the "biscuit" is to differentiate the fire-control
area from the rest of the receiver and thus facilitate the process of making the receiver
into a functional firearm. ATF has long held that "indexing" of the fire-control area is
sufficient to require classification as a firearm receiver. Based upon the EP Arms
manufacturing process, it is clear that the "biscuit" serves to index the entire fire-control
cavity. In fact, the biscuit is meant to differentiate the fire-control cavity from the rest of
the firearm so that it may be easily identified and removed to create a functional firearm.
See photo 5.
Fire-Control Cavity
Photo S
Therefore, the submitted sample is properly classified as a "firearm" as defined in 18

U.S.C. 921(a)(3) because the fire-control area is created during the manufacturing
process through the use of the biscuit.
In addition to the formation of the fire-control cavity in the manufacturing process, your
manufacturing process results in "excess material extending past the exterior walls of the
casting, indicating the approximate locations of the holes to be drilled for the selector,
hammer, and trigger pins." Based upon our previous understanding of the EP Arms
manufacturing process, we did not analyze whether this excess material, on its own,
would be sufficient to warrant classifying the EP80 as a firearm receiver. However, to
remove any doubt about the correctness of our classification decision, we are including
that analysis here.
The AR-15 platform is a two-part system generally comprised of a lower and an upper
assembly. The lower assembly is classified as the receiver and a "firearm" because it
provides the housing for the hammer and the firing mechanism, and contains mounting
points for the upper assembly which accepts the barrel and houses the bolt or
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Mr. Jason Davis
Page 6
breechblock. As stated above, an AR-15 receiver blank is not classified by ATF as a

firearm. The point in the manufacturing process at which an AR-15 blank is classified as
a firearm is when it has been indexed for or machined in the fire-control recess area.
Such a receiver may also have had other machining performed, such as drilled pivot-pin
and takedown-pin hole(s). However, based upon your explanation of the manufacturing
process, this excess material indexing the location for the holes to be drilled is, by itself,
sufficient to classify the sample as a firearm receiver. See photo 6, below.
Indexing for the selector, hammer, and trigger pins

Photo 6
If you require further information concerning our findings, we can be contacted at any
time.
Sincerely yours,
tJ~
A'Earl ri
Chief, Firearms Tee
ology Branch
0025
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0026

Martmsburi;. West V1rg1ma 25405
903050:ELG
3311/2010-469
www a1f gov
MAR 1 6 201D
Mr. Jason Renschler
Quentin Laser, LLC
751 N. Monterey Street
Gilbert, Arizona 85233
Dear Mr. Renschler:
This is in reference to your recently received correspondence and accompanying, partially
machined, AR-15 pattern receiver forging that was submitted to the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF), Firearms Technology Branch (FTB), for classification with
respect to the provisions of the amended Gun Control Act of 1968 (GCA).
As you are aware, the GCA, 18 U.S.C. 921(a)(3), states that the term "firearm" includes-
... (A) any weapon (including a starter gun) which will or is designed to or may
readily be converted to expel a projectile by the action ofan explosive; (B) the
frame or receiver ofany such weapon...
Based on this definition, a firearm receiver casting or firearm receiver blank can itself be a
"firearm" if completed to the point at which it can be recognized as a firearm frame or receiver.
Previously, FTB has determined that an AR-15 type receiver which has no machining of any
kind performed in the area of the trigger/hammer recess might not be classified as a firearm.
Such a receiver could have all other machining operations performed, including pivot-pin,
takedown-pin hole(s), and clearance for the takedown-pin lug, but must be completely solid and
un-machined in the trigger/hammer recess area.
Our examination revealed that the forging incorporates machining for the selector opening,
which exceeds the allowable machining described above. Due to this operation, FTB finds that
the submitted item is a "firearm" as defined in the GCA. In order to obtain a non-firearm
classification, you must omit this machining operation (also see enclosed photo diagram).
0026
172
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0027
-2-
Mr. Jason Renschler
We thank you for your inquiry and trust that the foregoing has been responsive.
Sincerely yours,
J.
ohn R. Spencer
, F' eanns Technology Branch
Enclosure
0027
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0028
.3.
Mr. Jason Renschler
Obtaining a "Non-Firearm"
0028
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0029
0029
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0030
0030
176
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0031
0031
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0032
f~;A;~::,~i
Quentin Laser LLC

Quentin Defense
751 N. Monterey St.
Suite 115
Gilbert, AZ 85233
480-273-8935
BY: ......................
F.T.B. .
E V/.iL .
cl c I c - '-1-6'? - E. L Gr-

244 Needy Road
Martinsburg, West Virginia 25405
Please accept the following sample piece for examination. The enclosed
piece is being sent to you for a determination as to whether or not it
would be considered a firearm as defined by the Gun Control Act of
1968, 18 U.S.C. Section 921(a)(3) in it's current state of completion.
Please respond with your findings in writing to the address listed above.
Thank you,
~7 q
Jason Renschler
Quentin Laser LLC
0032
178
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0033
Department of Justice I Bureau of Alcohol, Tobacco, Fircanns and Elcplosives

FmEARMS TECHNOLOGY BRANCH
244 Needy Road
CORRESPONDENCE CHECK SHEET
This com:spondcncc chcclc shccl is for inlcmaJ use by FTB employees only. The pwposc or this correspondence chcdc: sheet
is
FTB employees to USC as a guide prior to finalizing and disseminating all C:OITCSpondence outside the FfB office.
ror
Date Received:
Date Assigned:
2.
3.
4.
5.
6.
7.
8.
FTB Number:
Did you understand the request?

Whal research ~id you use?
Mil vets
Review Technical Files
Consult wilh other FEOs
Review Technical Manuals
Review Historical Books
Other
Did you rely on the requester's research?
Did you include your research with your response?
Did you attach photographs?
Did you attach a diagram?
Did you check any cilalions that you referred lo in the
correspondence for accuracy?
Lisi all other research material that you used for formulate
your response lo the correspondence
YES
NO
NIA
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
D
D
0
0
0
0
0033
179
RIF
0034
U.S. Department of .Justice

Fiream1s and Explosives
,\/ur/111s/>11rg, 11 T :JS./05
www atrgov
903050:GR
3311/301252
November 22, 2013

Mr. Bradley Reece
Palmetto State Defense, LLC
555 East Suber Road
Greer, SC 29650
Dear Mr. Reece,
This is in reference to your correspondence to the Bureau of Alcohol, Tobacco, Firearms

and Explosives (ATF), Firearms Technology Branch (FTB), along with a submitted
sample of an AR-15 type receiver blank you refer to as an "80%" receiver. Specifically,
you have requested FTB to determine if the machining operations performed have
reached a point in manufacturing to have this item classified as a "firearm" under the
amended Gun Control Act of 1968 (GCA).
As background, the GCA, 18 U.S.C. Section 92l(a)(3), defines the term "firearm" as-
readily be converted to expel a projectile by the action ofcm explosive; (B) the
fi'ame or receiver ofany such weapon; (C) any.firearm 1111{[/ler or firearm
silencer; or (D) any destructive device. Such term does not include an antique
firearm.
Additionally, and for your information, the ATF does not recognize the term "80%
receiver." This has become an industry term to indicate a partially machined receiverblank, and may be misleading. The point at which a receiver-blank has reached a stage of
manufacture at which it would be officially classified by A TF as a "firearm" as defined in
the GCA is made via a case-by-case determination.
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Mr. Bradley Reece
Page 2
Our Branch has previously determined that an AR-15 type receiver which has no
machining of any kind performed in the area of the trigger/hammer recess might not be
classified as a firearm. Such a receiver could have all other machining operations
performed, including pivot-pin and takedown-pin hole(s) and clearance for the takedownpin lug, but must be completely solid and un-machined in the trigger/hammer-recess area.
The FTB examination of your sample confirmed that the forging has been partially
machined, with no machining of any kind performed in the area of the trigger/hammer
recess. The machining operations performed for this sample include
Implementation of magazine well.

Threads cut for receiver extension.
Holes drilled for front and rear takedown pins.
Holes drilled for front takedown detent and spring.
Hole drilled and machined for magazine catch.
Hole drilled for bolt-catch plunger and spring.
Hole drilled for magazine-release button and spring.
Holes drilled for trigger guard.
Hole drilled for buffer detent and spring.
Hole drilled and tapped for pistol grip screw.
Further, the trigger/hammer recess of your submitted sample is solid, and there are no
index detents machined for the safety lever or the trigger/hammer pins (see photos below
and next page).
Submitted forging, first view
0035
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0036
Mr. Bradley Reece
Page 3
Submitted forging, second view
Based on our examination, FTB finds that the submitted item is not a firearm" as
defined in the GCA. Please note that this classification is based on the item received and
examined by our Branch. Any changes to its characteristics would require re-evaluation
by FTB.
Please provide our Branch with a FedEx account number or common carrier shipping
label within 30 days so that we may return your forging.
We thank you for your inquiry and trust the foregoing has been responsive to your
request.
Sincerely yours,
fi(tf1~(r
Chief, Firearms Technology Branch
0036
182
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0037

""1r,.,i:irrn.;: and Explosives
Martinstur)!., WV
903050: WJS
33111300627
May 17, 2013

Mr. Doug Hughes
Operations Manager
Kenney Enterprises, Inc
4343 East Magnolia Street
Phoenix, AZ 85034
Dear Mr. Hughes,
This is in reference to your correspondence, with enclosed sample, to the Bureau of
Alcohol, Tobacco, Firearms and Explosives (ATF), Firearms Technology Branch (FTB).
In your letter, you asked for a classification of the submitted, partially completed
AR-type receiver your company is planning to manufacture. Specifically, you wish to
know if this item would be classified as a "firearm" under the Gun Control Act of 1968
(GCA).
During the examination of your sample, FTB found that the following machining/drilling
operations performed on the submitted sample:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Front and rear assembly/pivot pin holes drilled.

Front and rear assembly/pivot detent pin holes drilled.
Selector-retainer hole drilled.
Magazine release and catch slots cut.
Trigger-guard holes drilled.
Rear of receiver drilled and threaded to accept buffer tube.
Buffer-retainer hole drilled.
Pistol-grip mounting area faced off, drilled, and threaded.
Magazine well completed.
The machining operations not yet performed are as follows:

1. Milling out of fire-control cavity.
2. Drilling of selector-lever hole.
0037
183
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0038
Mr. Doug Hughes
Page 2
3. Cutting of trigger slot.

4. Drilling of trigger pin hole.
5. Drilling of hammer pin hole.
The FTB examination of your submitted casting and diagrams found that your submitted
item will not be sufficiently complete to be classified as the frame or receiver of a firearm
and thus would not be a "firearm" as defined in the GCA.
In closing, we should point out that the information found in correspondence from our
Branch is intended only for use by the addressed individual or company with regard to a
specific scenario described within that correspondence.
To facilitate return of your sample, please provide FTB with the appropriate FedEx
account information within 60 days of receipt of this letter.
evaluation request. Please do not hesitate to contact us if additional information is
needed.
Sincerely yours,
t_tt?r#Earl~
0038
184
RIF
0039
0039
185
RIF
0040
0040
186
RIF
0041
0041
187
RIF
0042
0042
188
RIF
0043
0043
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0044
9. Building Your Own Rifle

Why build an AR-15? For one thing, building
your own rifle is a real ego trip. But there are a lot
of other good reasons. You can create one of the
AR-15 variations that is not available on the market; in effect, a custom rifle suited to your needs.
Owners of automatic versions of the AR-15 can
benefit from a little do-it-yourself work. Since the
lower receiver carriers the automatic fire mechanism and is the part that is registered, building a
few upper receiver/barrel assemblies can make it
possible for the holder of the automatic weapon
permit to "own" the equivalent of several auto
matic weapons while paying the tax and doing the
paper work for only one auto weapon.
Suppose you own an automatic AR-15 with a
regular length barrel. By building a few upper
assemblies, you could also have a short-barrel car
bine, a heavy-barrel machine gun, a long-barreled
sniper rifle, and a submachine gun in .22 LR (via
a separate barrcl/.22 adapter or just a .22 adapter).
If you go on to buy a .45 ACP or a 9mm upper
conversion you could also have a submachine gun
in these calibers! Six automatic weapons with the
tax and paperwork of one.
With a lower receiver with push pins, you can do
the one-lower-with-a-number-of-uppers trick with a
semiauto action, too, and realize quite a savings
over what the equivalent arsenal would cost with
any other rifle.
Since you'll only shoot one rifle at a time (I
hope), having one lower to a number of uppers
isn't bad except for the looks of your gun rack. As
mentioned elsewhere, having a family of riflesa weapon system-that have identical "controls"
makes for considerable savings in training time
when using a new weapon, savings if you purchase
spare parts, and for a lot less confusion when you
switch from one rifle to another.
If you build your own rifle, you will also be able

to do a lot of the repair work on it when you have
to (most modern gunsmithing work consists of
replacing parts- something you can do after building your own rifle). Knowing how to repair your
weapon can save a lot of money and could be a
life-saver during a battle.
You may realize a slight savings by building a
standard AR-15 rifle, but this should not be your
sole purpose for building a rifle since the savings
will be small, and- if your time is worth anythingyou'll come out about even with what it would
have cost you to get a used Colt AR-15.
You will save money if you want to create a
special type of AR-15 or modify your rifle with a
lot of accessories or replacement parts, such as
a new pistol grip/handguards, stock, flash suppres
sor, heavy barrel, modified upper receiver, or upper
receiver with forward assist. In such a case, building your own rifle allows you to buy the parts that
you want rather than buying a stock rifle and then
buying the accessories and replacement parts for it.
You will end up with an inexpensive rifle rather
than an inexpensive rifle plus a pile of expensive
parts that will probably never be needed even as
replacement parts.
Building your own rifle can also enable you to
obtain a special version of the AR-15 that is not
available on the market. Examples of what you
could build that is not currently on the market include a rifle with a stock an extra inch or
three-quarters of an inch long; a rifle with a regular
stock with a short 16-inch carbine barrel; a heavybarreled sniper rifle; a rifle with a scope mount
(and no carrying handle or sights); etc.
It should be noted that at the time of this writing, Quality Parts Co. (P.O. Box 6659, Woodfords/
Portland, ME 04101, 207/775-1744) will assemble
71
0044
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0045
72

THE AR-15/M16: A PRACTICAL GUIDE
a rifle from parts that you order from them. Rock

Island Armory (420 West Main St., Geneseo, IL
61254, 309/944-5739) makes a number of different, fully assembled AR-15s, including short barreled, automatic versions that may not be available with Colt-only parts; they will assemble a rifle
to your specifications as well.
Is it legal to build a firearm without a permit?
Usually. The U.S. government does not place limits
on the firearms that people make for themselves
provided they are not outside the legal limits of
firearms laws, i.e., the minimum length of the
barrel is 16 inches, the minimum overall length is
26 inches, and the weapon is semiautomatic. You
would be wise to check into state and local laws.
Call the city and state attorneys to find out the
laws. Often police departments are completely
ignorant of the laws.
You might run into some problems if it appears
as if you are building rifles to make money. This is
because the Gun Control Act of 1968 was very
poorly written so that the term "dealer" is never
well defined; nor does the act really come to grips
with what a firearms manufacturer actually is.
You might be considered a dealer by a BATF
agent if you make a few dollars by selling the one
gun you have assembled. Conversely, at the time of
this writing, you probably would not be considered a manufacturer or dealer if you assembled
one or two rifles in a year and traded them or
sold them at a slight profit. (This is only if you
make a rifle complete with lower receiver. You
probably could break the rifle into parts and sell

the lower receiver at cost while still making a profit
on the other parts.)
You can write to the Department of the Treasury, BATF, Washington, DC 20226, to get an
opinion if you have made more than one AR-15
that you wish to sell. BATF people are generally
very willing to help and will probably give you a
written okay to sell your rifles. If they don't, a
Federal Firearms License (FFL) can be obtained
for just $10, and then you can sell as many guns as
you wish or buy guns through the mail.
The final consideration is how hard is it to build
an AR-15? Because the AR-15 was designed to
take advantage of modern manufacturing techniques that make it possible for machines to easily
make parts that stay within the specifications of
the rifle, it is relatively easy to build an AR-15 or
any of its variants from parts. The AR-15 was
designed to allow normal manufacturing tolerances
without degrading the performance of the rifle
when parts are put together without extensive
fitting.
Though many people are a little leery of tackling
such a project, in fact anyone who can chew gum
and work a screwdriver at the same time can probably assemble an AR-15 from a pile of parts. At
the same time, it should be stressed that a rifle that
doesn't function properly is very, very dangerous.
Therefore, if you have any doubts about tackling
this project, try to find someone to help you with
it. Do not proceed with building a rifle if you have
The author is seen here with a doityourself rifle.
0045
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0046

BUILDING YOUR OWN RIFLE
scrme doubt about whether or not you can do it.

The time it will take you to build an AR-15
from parts will vary according to your abilities and
the extra work required if a few parts have to be
hand fitted together (which is pretty rare except
for cleaning up the finish on the receiver-more
about that later). The main thing is to take your
time and do it right. If you don't have the patience
to spend several evenings working at the step-bystep process, forget it. You can't rush through it
or you will end up with a piece of junk. In general,
you will probably need about a week of evenings
to get the job done, though some people can
assemble a rifle in a couple of hours if they have all
the right parts and everything fits the way it
should.
If you want to build a rifle, your first task is to
collect the parts you need. Try to get all the parts
before you start building; nothing is as frustrating
as getting halfway through the building procedure
and then having to wait a week for a part you
ordered.
Of course the best parts to use are brand-new
Colt parts. But the price for Colt parts is usually at
a premium, and often the "genuine Colt" parts
that some dealers sell are not made by Colt. Even
those parts that Colt sells aren't all manufactured
in-house; some of the parts are made by other
manufacturers for Colt. Also, Colt does not make a
lot of the accessories or parts that you may want
to use. You may have to buy non-Colt parts to
build the rifle you want.
So you will find yourself, for one reason or another, with non-Colt parts. The question is, how
good are non-Colt parts? Most of the ones I've
used in building my rifles have worked very well.
Even those that were poorly cast or distorted by
being removed too quickly from a mold usually
work well- even if they look like they would never
do so- provided they fit in the proper position.
If you're buying your parts "in person" from
someone (say at a gun show- not always the most
reliable of places), try to look at the part under a
magnifying glass to see whether it has sharp or
machined-looking edges and surfaces. That is the
way a part should look. If the part has less definition on its edges and maybe even looks slightly
melted or has bubbles on its flat surfaces, then
avoid purchasing it.
Although it would be wise to stick to factory
parts, it is sometimes possible to "roll your own"
p arts. This is especially true with the roll pins,
73
springs, push pins, and the like. More than once

while assembling my own rifles I have had to make
a small roll pin substitute or wind my own spring.
(An excellent spring-winder tool is available from
Brookstone, 127 Vose Farm Rd., Peterborough,
NH 03458, 603/924-9511, for just $13. Brookstone also offers an assortment kit of foot-long
spring wire for $9 to get you started.)
It is possible to leave some parts out when you
build a rifle, although it isn't advisable. The rifle
will operate without the bolt catch, dust cover, forward assist assembly, and the front and rear sights
(if you're planning on using a scope). Doing without these parts might allow you to build a rifle for
a smaller investment. Then you can gradually add
parts as you get the cash and decide what you want
to add.
If you are trying to save money, a better way
than leaving off parts is to watch for bargains that
are offered from time to time by most mail-order
companies. These offers allow you to buy the parts
for the upper receiver, lower receiver, or even all
the parts for the whole rifle at a considerably
smaller cost than you would pay if you purchased
each part separately.
One part that sells at a premium is the Colt
telescoping "shorty" stock. These are good, but
the Colt stock can cost two to three times as much
as the stocks made by SGW or other companies.
The other stocks are practically as good. Unless
you really feel a need for the Colt stock, buy one
of the less expensive stocks.
Most parts for the automatic version of the AR15 will fit in the semiauto Sporter version and vice
versa. There are some spots, however, where you
can't use whatever is handy. Two parts that you
would do well to match up are the upper and lower
receivers. The Colt Sporter semiauto upper and
lower receivers don't match up with the militarystyle receivers. Use a pair of one or the other, but
do not mix them unless you really have to. When
possible buy them as a pair from the same source.
It is possible to mix the receiver halves. You can
even put a military upper or lower receiver with
the opposite number from the Sporter if you use
an offset adapter pin rather than a front push pin.
These are available from a number of dealers. Just
be sure to get the right one: A different one is
needed for the Sporter upper/military lower than is
needed for the military upper/Sporter lower.
Frankly, the only reason to go with the Sporter
upper or lower would be if you can get one at a
0046
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0047
76

possible to reblue or phosphate old parts, parts
may not necessarily be new just because they have
a new finish.
Personally, I prefer to buy parts from mailorder companies. Though it occasionally takes a
little longer to get the parts, they are almost always
of good quality, and the companies will replace a
defective part (provided you discover the defect
within several days of receiving the parts).
There are a number of companies that deal in
rifle parts and accessories for the AR-15. The ones
I've had the best luck with are: Lone Star Ordnance (P.O. Box 29404, San Antonio, TX 78229,
512/681-9280); L.L. Baston Co. (Box 1995, El
Dorado, AR 71730, 800/643-1564); M.A., Inc.
(Box 5383, Shreveport, LA 71106, 318/7973491); Numrich Arms (West Hurley, NY 12491,
914/679-2417); Quality Parts Co. (P.O. Box 6659,
Woodfords/Portland, ME 04101, 207/7751744);
Rock Island Armory (420 West Main St., Geneseo,
IL 61254, 309/944-5739); SGW (624 Old Pacific
Hwy., S.E., Olympia, WA 98503); Sherwood International (18 714 Parthenia St., Northridge, CA
91324, 800/423-5237); and Springfield Armory
(420 West Main St., Geneseo, IL 61254, 309/
944-5138).
I have used parts from all the companies listed
and have purposely mixed parts when building
rifles to see if any problems would occur. I have
found no problems created by poor manufacture
except for one part that looked like it had dropped
from a mold while it was still hot (it was a little
bent out of shape).
All the companies will accept personal checks
(except for M.A., Inc.), but for the very fastest
service, you should send a money order or use a
Visa/MasterCharge card. (You can also send cash;
the postal service frowns on this, but I've never had
any problems doing it.)
M.A., Inc., gives the fastest service; they'll get
the parts shipped within forty-eight hours upon
receipt of your order, and the parts are sent via
UPS. Usually, the parts can get to you within a
week. The company does not back order parts,
which you may find an advantage, depending on
how much of a hurry you're in.
The other companies generally can get the parts
to you within two weeks if you do not use a personal check. (A personal check takes longer since it
has to be processed by a company's local bank to
b e sure the check doesn't bounce.)
Most of the time the companies will-ship via
super-low price or if you don't want the forward

assist on the upper receiver. The forward assist is
not really necessary, although it looks more "military"- an element of some importance to Walter
Mitty types. The forward assist is, however, handy
when you want to quietly chamber a round or
when you're using the gun in an extremely cold
environment.
The military upper receiver does have a real
plus: the forward push pin. While the Sporter AR15 has a double screw on the front of the receiver
halves, the military version has a push pin similar
to the rear one. The rear pin is used as it is on the
Sporter to break the action open when it's time to
clean the rifle. The front pin allows you to quickly
take the gun apart when you wish to store or trans
port it, or when you need to place a new upper
receiver barrel assembly on the original lower
receiver quickly.
Two other parts that must be either Sporter or
military are the disconnector and the trigger.
There's no way to mix the two since the spring
well in the trigger is in a different spot for each
type. Either go with the ARl5 Sporter (usually
listed as " AR-15" parts in the mailorder catalogs)
or the AR-15 military parts (generally called
"Ml6" parts).
The Ml6 parts kits are usually cheaper and work
just as well as the Sporter parts. Just be sure to
make the modification (described in the assembly
steps) to the disconnector as soon as the parts kit
comes m.
If you order a parts kit that does not specify
which type of parts you'll be getting, chances are
that it will contain the military automatic rifle
parts without the auto sear. These parts work well
and are generally the better buy. Since the auto
matic sear is missing from the kit, you should not
run into any problems with the BATF in regard to
having an illegal automatic weapon provided y ou
make the one small modification to the discon
nector outlined below.
Where should you get the parts? You can pick
them up at gun shows, but be very careful if you
go this route. A lot of good parts, which have
very little wear, are sold as government surplus.
There are also a lot of worn parts stripped from
old M 16 rifles available, and they are more apt to
tum up at a show than on the shelves o f a reput
able parts dealer. If you buy parts at a gun show,
be sure to look them over carefully. Since it is
0047
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0048

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0048
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RIF
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78

overnight carriers, C.O.D., or the like if you are

willing to pay the extra charges.
The only part that can't be ordered without a
Federal Firearms License is the lower receiver.
Your local gunsmith or gun store should be able
to order one for you for a small fee. Try to get
both the upper and lower receiver at the same time
so you 'II get a matching set.
When you build a rifle yourself, you don't need
any special permit from the federal government
but you should check local government regulations. In general, if you make the rifle for your
own use, it's legal to assemble it.
PARTS LIST
Here's a parts list of what you'll need to com
plete an AR-15 (it's quicker and easier to buy
parts sets, so that's all that's listed. Use the exploded diagram if you're going for separate parts) :
1. Lower receiver. The military style with forward push pin is usually best.
2. Upper receiver. The military style with push
pins and forward assist is usually best.
3. Forward assist assembly (if you have a military-style upper receiver). Two types are available:
the round handled and the tear-drop shaped
handle. The tear-drop is considered better by
many, but you won't go too wrong by just getting
the least expensive style.
4. Lower receiver parts set.
5. Complete bolt. Avoid the chromed bolt
since the chrome generally flakes off.
6. Bolt carrier with screws and key. Avoid the
all-chromed bolt carrier because it wears out the
inside of the upper receiver. The carrier should be
chromed on the inside where the bolt will ride.
Bolt carriers for use with the forward assist need
to have slots cut down the ejection port side for
the assist claw.
7. Charging handle.
8. Firing pin. This part should be chromed.
9. Firing pin retaining pin.
10. Bolt cam pin.
11. Buffer tube. It is not needed with a
"shorty" telescoping stock.
12. Buffer spring. This part comes with most
shorty stock kits.
13. Buffer. The buffer usually comes with
shorty stock kits; a special one is needed with the
telescoping stock.
14. Stock end plate. It is not needed with
shorty stock. This part may come with the stock.
15. Rear swivel. This part may come with the

stock and is not needed for the shorty stock.
16. Stock. Several different styles are available
including the shorty telescoping stock.
17. Pistol grip. A number of styles are available,
but the trap door style is probably the best.
18. Pistol grip screw and lock washer.
19. Barrel handguards. Several styles are available, hut handguards with aluminum liners are the
best. Most shooters prefer round handguards.
20. Rear sight assembly. You may wish to buy
the new style with finger adjustable windage compensator.
21. Front sight assembly. This part may already
be with the barrel.
22. Gas tube and roll pin.
23. Barrel. A number of lengths are available
as well as heavy barrels and stainless steel barrels.
A chrome lining, if available, is a good idea. Try to
get a barrel with the front sight assembly mounted
and barrel nut in place; avoid stainless steel barrels
if possible for combat rifles since they quickly
overheat.
24. Barrel snap ring.
25. Barrel weld spring.
26. Barrel slip ring, also known as the Delta
ring. Get a tapered ring if possible.
27. Flash suppressor. The government style is
cheapest and works well, though many prefer those
with built-in compensators.
28. Flash suppressor lock ring.
29. Front sw ivel.
30. Front swivel roll pin.
TOOLS
You can build an AR-15 with just a few tools
that would normally be in any household shop, but
there are a few that will make your job a lot easier.
One handy tool is an M16 armorer's wrench,
which allows you to tighten or loosen the barrel
nut, the flash suppressor, some styles of buffer
tubes, and a few other odds and ends. This tool is
usually available from the same company from
which you buy your parts.
Barrel vise jaw blocks are very handy, the best
being made of aluminum so that they do not
scratch the barrel. They work with a regular shop
vise and hold the barrel in whatever position is
needed. When you're working on your rifle, the
blocks are almost as handy as having a third hand
to help you hold things. They are available from a
number of companies which sell AR-15 partS.
0049
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,,..-
0050
[
The AR-15 does not have a lot of screws, though
there are a few. When you use a regular screwdriver
on a gun, you generally mess up the slot because
gun screws are more shallow and thinner than
regular screws. If you want to put together a rifle
that looks like it was professionally done (rather
than something a trained ape assembled), you
would do well to get a set of good gun screwdrivers.
My favorite set is the Chapman Gun Screwdriver
Set available from Parellex (1285 Mark Street,
Bensenville, IL 60106, 800/323-3233) for $20.
This set includes a number of blades, as well as a
driver and a ratchet extension. (In addition to
being handy for assembling your rifle, you'll find
yourself using it around the house all the time. )
A front/rear sight tool can facilitate matters
when you are assembling the front sight and when
you're zeroing in the rifle. It depresses the detent
on the front and rear sights and allows you to
make large adjustments quickly. With the new
Ml6-A2 or AR-15s modified with a hand-adjustable windage knob, this tool may not be as useful.
A set of chamber gauges is practically essential
if you are buying a barrel, used gun, or reloading
ammunition for your rifle. A nice set of these
is available from Quality Parts, as well as a number
of other companies. Gauges currently cost $20
each, and a set of three ($60) is ideal.
The gauges can be used to determine whether
or not the chamber is the proper size. Though barrel chambers purchased from the companies recommended above will usually be the correct size,
those bought from other sources may not be.
If you frequent gun shows or have some doubts
about a barrel that seems too cheap to be true,
you would be wise to check it with a set of gauges.
When a rifle is fired a number of times, the head
space may change. This normally is not a problem
unless you are using hot loads. The chamber/bolt
may then become so battered that the chamber
actually stretches and the bolt lock-up lugs become
deformed. In such a case, excessive headspace may
result. This means that the brass in the chamber
will not be supported by the chamber walls when
a round is fired. Most likely the case will burst, and
then gases will escape around the bolt and explode
back into the receiver and magazine well. If you
are lucky, you will only ruin your rifle instead of
a bystander or yourself! Headspace gauges can be
used to avoid such problems.
79
GAUGES
There are three types of gauges : "Go," "No-go,"

and "Field" gauges. To use the gauges, it is usually
wise to remove the ejector and extractor. (If you
are in a hurry, you can leave them in place if
your gauges have a cut-out for the ejector and a
groove for the extractor. Be sure to line up the
ejector hole on the gauge with the ejector when
you drop the gauge into the chamber. Be gentle, or
you will be replacing the extractor or ejector after
breaking them!)
If you are checking out a barrel that is not
mounted in a receiver, screw it onto a receiver and
place a bolt and bolt carrier in the receiver. (You
could simply try fitting a bolt to the barrel and
turning the lugs into their positions in the barrel
extension by hand, but you really need to know
what you are doing.) If you are checking the chamber on an assembled AR-15, it is best to pull out
the rear push pin and swivel the top receiver down.
The rifle or receiver/barrel is held with the
muzzle pointing down. The gauge is dropped into
the chamber; the gauge is lined up with a small tool
if you have not removed the ejector from the bolt;
and the bolt and bolt carrier are pushed toward the
chamber. By watching the bolt from the bottom of
the upper receiver, you can tell whether or not it
turns and locks into position. Do not force the
bolt. Be sure to use gentle pressure to see whether
or not the bolt will lock with the gauge in place.
With the go gauge, the bolt should close and
lock with the gauge in the chamber. This means
the chamber will accommodate any properly
loaded ammo, down to the minimum dimensions
for the .223/5.56mm, and that the rounds will
chamber easily (provided the chamber is reasonably clean when you are shooting).
If the action does not close on the go gauge, the
chamber has not been set to the correct depth or
the bolt is oversized. (Changing bolts may help,
but the problem will generally be in the chamber
size.) Though the barrel might accept some cartridges, the chance that it will not chamber some
rounds would be great.
A rifle which won't accept a go gauge may also
be prone to slam fires when the chamber becomes
somewhat fouled; cartridges hang up in the chamber and the floating firing pin then hits the primer
with extra force, firing the cartridge.
Purchasing a barrel or rifle which does not
accept the go gauge should obviously be avoided
0050
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0057

www.atf.gov
Mft I/1
f) cJ
... 2"... H
903050:EAG
331 1/301685
Mr. Jason McNulty

ERTW Consulting, LLC
2209 Tawhee Drive
Madison, WI 53711
Dear Mr. McNulty,

and Explosives (ATF), Firearms Technology Branch (FTB), along with a partially
machined AR-10 pattern receiver prototype (see photos, next two pages). As indicated,
you are requesting FTB to examine this item to determine whether it is classified as a
"firearm" per provisions of the amended Gun Control Act of 1968 (GCA).
As you are aware, the GCA, 18 U.S.C. 92l(a)(3), states that the term "firearm"
includes-
frame or receiver ofany such weapon ....
Based on this definition, a firearm receiver casting or firearm receiver blank can itself be
a "firearm" if completed to the point at which it can be recognized as a firearm frame or
receiver.
As you may know, FTB has previously determined that an AR-10 type receiver which
has no machining of any kind performed in the area of the trigger/hammer (fire-control)
~might not be classified as a firearm. Such a receiver could have all other
0057
203
RIF
0058

Mr. Jason McNulty
Page2
machining operations performed, including pivot-pin and takedown-pin hole(s) and

clearance for the takedown-pin lug, but must be completely solid and un-machined in the
fire-control recess area.
The FTB examination of your item confirmed the followingThe polyaryletherketone/polvvinylalcohol/polystyrene/acrylonitrylebutadiene styrene
polymer/glass fiber composition contains a "filler" material in the fire-control recess area.
In addition, indexing holes are visible in the following locations:
Pivot pin hole.

Takedown pin hole.
Safety-selector hole.
Hammer/trigger pin hole.
Trigger cavity.
Submitted forging
0058
204
RIF
0059

Mr. Jason McNulty
Page3
Submitted forging
As submitted, this "prototype receiver" is classified as a "firearm" as defined in the GCA,

921 (a)(3) since the fire-control recess area contains a filler and is not completely solid.
We emphasize that this classification is based on the prototype received and examined by
our Branch.
evaluation request. The item will be returned to you under separate cover.
Sincerely yours,
~gy
"""~
Chief, Firearms
Branch
0059
205
RIF
0060
'
"'
3 MAY 1983
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0060
206
RIF
0061
,
RIFLE BARRELS
CHAMBER REAMERS
S.G.W. INC.
624 O LD PACIFIC HWY. S.E.
OLYMPIA, WA. 98503
PHONE: (206) 456-3471
LOWER RECEIVERS
GUNSMITHING
March 25, 198J

BATF
Federal Building
Washi~ton, D.c. 20226
Attn: Mr . Edward M. Owen, Jr.
Subject: Status of unfinished Ar-15 mype Lower Receivers .
Dear Sir:
Enclosed is a sample unfinished AR-15 type Lower Receiver Forging. Tou
will note that the area for the trigger, Hammer, and Disconnector is
basically still unmachined and solid.
It would require additional machining
to become functional.
A customer requests that we supply him with receiver forgings in this
machined condition without prior markings Cidentification) with serial No.
caliber and manufacturer's name ,
He will t hen finish them under his
manufacturer s license and put on the required markings .
Would we be authorized to ship these unfinished forgings per sample supplied
without any prior markings?
Sincerely :
~G~
Henry A. Roehrich
SGW, Inc.
General Manager
0061
207
RIF
0062
LIIPI'l'BIIMO
3311 . 1
MAY 2 5 1992
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Ar. &obert Bower, Jr.

Vhiladelpbia Ordnance, Iaa .
orel&DI Indaatrial Part
OralDf1 Paanaylvania 11172
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Dew lk. Bowar 1
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ftia rafara to JOK letter of May 11, lJI2 1 witb vhicb you
aabeltt414 DllfiDiabad AR-15 type MCei. .r Cor
claeaification.
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1-f::C
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Bxamination of the sgbaittad ..-pla, no ..rial nu~er,

inticatea that it ~ ideatifiable .. tbe receiver of a
ficeara. The roeivar ia baaically coaplete excep tba~ the
taterior cavity baa not been coapla~ly aacbine4.
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receiver in baaically ~ . . . . . .ntitarat on .._

pravieualy IIHn swalttecJ by aaotlMar
ht. It wu
foand tlaat ~ reciftr onla ~ -.h ColaO ual .,. *Ulint
out tbe eavi~ wi~ a 5/1 inab drill and
fiaia~ with
a 1/2 inob rot.., file. Baaed on that exaalnation, 1t ~
detefllinad tut afinielaad u-15 type t . . .i ftn in ~
baaia configuration aa that aubaitted by yor fira are
firear .. ae defined.
~berafore,
the aa.ple aa .-bait~ fa elaaaified as a

fia:Nfll u tbat tara ia clafined in Section 121 (a) (3) (A) ,
Chapter U, 'l'itl.a 11, ODlted tataa Code.
~be
aubaittad
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baiag returned abdar a-..rte eo.,r.
'rpat that the foreC)Oillt bas been reapeoei.. t:o your

inquiry. If we aay be of any further aaalatance 1 plaaae
Jfe
contact aa .
lincarely JOUn ,
J-s/
Blwara M. OWe&, Jr.
Claief, Pbur.. 'Mcbftol09Y Bruoh
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M YIEWa R
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jl-noPtU.. I8 ''7al
...VIIIWall
'
CO- - - -V-DCUIAMNC&
avvn
..,.......
.~
.........,a- ....-~
0062
208
RIF
0063
DEPARTMENT OF THE TREASURY

BUR E AU OF ALCOHOL , TOBACCO AND FIREARMS
WASHINGTON . D .C . 20226
JUL I 4 1994
LE:F:TE:RLB
3311.4
Mr. Thomas c. Miller

Attorney at Law
1540 South Pearl Street, Suite B
Denver, Colorado 80210
Dear Mr . Miller:
This refers to your letter of July 1, 1994, concerning
an unfinished, sample AR-15 type receiver, which you
submitted for our examination and classification.
As defined in 18 u.s.c. Section 921(a) (3) (A) the term
"firearm" is defined, for the purposes of the Gun
Control Act of 1 968 (GCA), to mean any weapon
(including a starter gun) which will or is designed to
or may readily be con verted to expel a projectile by
the action of an explosive; Section 921(a) (3) (B) also
inc ludes the frame or receiver of a ny such firearm.
Examination of the sample disclosed that it is
identifiable as the frame or receiver of an AR-15 type
firea rm and it may readily be converted to function as
the frame or receiver of a firearm. The submitted
sample is basically complete, except for a block of
metal which is located in the area of the front pivot
pin and two (2) holes which must be drilled through the
receiver walls to al low installation of the trigger and
hammer pivot pins. The magazine opening and the
r e ceiver cavity are completely machined out and the
sample receiver is capable of excepting various
components to include, but not limited to, the
magazine, magazine catch assembly, selector, rear take
down pin, lower receiver retainer with complete buffer
assembly, trigger guard, various small detent pins and
springs.
Based on our examination of the submitted sample, we
have determined that the unfinished receiver, as
submitted, has reached a stage of manufacture where it
would be classified as a "firearm" under Section 921
(a) (3) and, therefore, subject to all the controls of
the GCA .
0063
209
RIF
0064
-2-
Mr. Thomas
c. Miller
since the sample receiver is classified as a firearm

for the purposes of the GCA, your client must be
licensed under the provisions of the GCA as a
manufacturer of firearms. In addition, any person
manufacturing such an article would be responsible for
all marking requirements, to include the manufacturers
identification and serialization, as provided in the
regulations, 27 CFR Section 178.92.
If a customer of your client requires unfinished
receivers of this type, without conventional serial
numbers or other markings, we would be happy to
consider your written request for a variance from the
marking requirements. Please understand that an
alternate form of identification can be approved only
if it is determined that the proposed markings are
reasonable under the particular circumstances involved,
and will not hinder effective administration of the law
and its implementing regulations. Further, it may
still be necessary for your client to apply some sort
of identifying mark to the unfinished receiver to
identify the client as the original manufacturer.
With respect to United States vs. Seven Miscellaneous
Firearms, this district court decision is not legal
prec edent and is, therefore, inapplicable to this
matter .
The sample receiver is being returned to you unde r
separate cover.
We trust that the foregoing has been responsive to your
inquiry. If you have further questions concerning this
matter, please contact us.
Sincerely yours,
~~.P?,E~-
0064
210
RIF
0065

BUREAU OF ALCOHOL, TOBACCO AND FIREARMS
CORRESPONDENCE APPROVAL AND CLEARANCE
iJEC 2 7 2J02
Mr. Lane Browne

Mega Machine Shop, Incorporated
5323 Joppa s.w.
Tumwater, Washington 98512-8020
903050:RDC
3311/2003-016
l_
Dear Mr. Browne:

This refers to four AR-15 type lower receiver samples
that were received by this office on October 3, 2002,
for the purposes o f examination and classification.
You indicate that each of the samples represents a
separate stage in the manufacturing process. The
samples are labeled "OP-1," "OP-2," "OP-3," and "OP4."
Receiver sample "OP-1" is a solid casting having holes

drilled for the takedown pins, sel ector, hammer,
trigger, bolt catch, rear takedown pin retainer, and
magazine catch. Further, the areas for the magazine
catch and bolt catch have been partially machined and
the rear ring threaded for the buffer tube. Machining
of the interior cavity and magazine well has not been
made on this sample.
Receiver sample "OP - 2," in addition to the operat ions
above, has had the magazine well and interior cavity
machined, trigger slot machined, trigger guard holes
drilled, and the slots for the magazine catch and bolt
catch completed.
Receiver sample "OP- 3," in addit ion to the operations
above, has had the hole drilled in the receiver ring
for the buffer retainer.
REVIEWER
REVIEWER
REVIEWER
u.s . Goernment Prinwl; Oftiot: 2002 - 49tI11/535SJ
0065
211
RIF
0066


-2-
Mega Machine Shop, Inc.

Receiver sampl e "OP-4," in addition to the operations
above, has had the hole for the grip screw drilled and
tapped, and the markings applied. The left side of
the magazine well is marked, in descending order,
"DALPHON," "SHELTON, WA.," "MULTI-CALIBER," "MODEL
B.F.D.," and "COB 0806." "FIRE" and "SAFE" are marked
adjacent to the safety selector hole.
We have determined that an AR -15 receiver can still
function as a firearm receiver without a magazine
opening or the threaded hole for the buffer tube. In
addition, we previously examined an AR-15 style
receiver in a similar condition to your receiver
sample "OP-1" having the holes for the trigger and
hammer pins, but with a solid interior. The interior
cavity of the previously examined sample was finished
in approximately 75 minutes time using a 5/8 -inch
drill and a rotary file. This receiver was determined
to be a "firearm" as defined in Title 18, United
States Code (U.S. C. ), 921(a) (3). Therefore , your
sample "OP-1" is also a firearm as defined .
Receiver samples "OP-2," "OP-3," and "OP-4 " are
manufactured to the point where they wi ll accept AR-15
type semiautomatic fire control components, the
magazine catch, the bolt catch, both takedown pins,
rear takedown pin retaine r, and buffer tube.
Therefore, each of these samples constitutes a
"firearm" as defined in Tit le 18, U.S.C. 92 1 (a) (3 ) .
We trust the foregoing has been responsive to your
inqui ry. If we can be of any further assistance,
please contact us.
Sincerely yours,
Curtis H.A . Bartlett

Chief, Fi rearms Technology Branch
INITIATOR
REVIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
CODE
SURNAME
DATE
ATF F 9310.3A (7-97) (Formerly ATF F 1325.6A, which mey sllll De u sed)
0066
212
RIF
0067
OEPARTMENTOFTH E TREASURY
B UREA U O F ALCOH OL, T OBACCO A N D F I REARM S
Jut ctJ 2003
Mr. Justin Halford

312 Oxford Cove
Jonesboro, Arkansas
903050:RLB
3311/2003-327
72404
Dear Mr. Halford:

This is in response to your letter dated March 4,
2003, to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF) . In your letter , you ask about the
classification of an unfinished AR-15 type receiver.
Along with your letter you provided this office wit h a
sample of the unfinished receiver that has been CNC
machined from a block of aluminum. The external
profile has been machined and the magazine well has
been cut out. The receiver cavi ty is in semiautomatic
configuration and is complete with the exception of
the trigger port and various holes for the fire
control components and takedown pins. Based on our
examination of the unfinished receiver, it is our
opinion that the subject sample has received
sufficient machining to be classified as the frame or
receiver for a "firearm" as that term is defined in
section 921(a) (3) (B) of Title 18, United States Code,
Chapter 44 and is therefore subject to the controls
and provisions of the Gun C~ntrol Act of 1968.
The submitted sample is being returned to you under
separate cover.
Sincerely yours,
Branch
Chief,
WWW . ATF . T REAS .GOV
0067
213
RIF
0068
,../~
U.S. Department of J ustice

JAN 2 9 2004
903050 :RDC
3311/2004-738
wwwalf.JOY
Mr. Mark Malkowski

Continental Mac hine Tool Company, Incorporated
515 John Downey Drive
New Britain, Connecticut 06051
Dear Mr. Malkowski:
This refers to two AR-15 type unfinished aluminum
lower receivers that were received by the Firearms
Technology Branch (FTB), Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF), on September 17, 2003,
for the purposes of examination and classification.
As you may be aware, the Gun Control Act of 1968
(GCA), 18 U.S.C. 921(a) (3), defines the term
"firearm" to include "any weapon (including a starter
gun) which will or is designed to or may be readily
converted to expel a projectile by the action of an
explosive . The term also includes the frame or
receiver of any such weapon."
Our evaluation indi cates that both of the recei vers
have had several machin ing operations performed,
creating the following:
Magazine well;
Trigger slot;
Cavity for the t rigger, hammer, disconnector,
safety selector;
Initial o pening for the buffer tube;
slot for magazine catch;
Slot for the bolt catch;
Right hand relief cut for forward takedown
pin; and
Center relief cut for forward takedown p in .
0068
214
RIF
0069
-2-
Mr. Mark Malkowski
The following is a list of machining operations that

were not accomplished:
Trigger, hammer, safety selector, trigger guard,

and bolt catch crosspin holes;
Opening for the magazine catch shaft and release
button;
Enlarging and threading of buffer tube attachment
point (receiver "ring");
takedown pin holes (front and rear); and
pistol grip mount.
The FTB examination of the submitted samples revealed

that both have reached the stage of manufacture
whereby they are identifiable as the frame or receiver
of an AR-15 type firearm.
Each is therefore a
"firearm" as defined in the GCA. However, a solid
AR-15 type receiver casting, without having the
critical internal areas machined (magazine well and
central area for the fire control components) or
crosspin holes drilled, would not constitute a
"firearm" as defined in the NFA.
We thank you for your inquiry, along with submitted
parts, and trust the foregoing assessment is
responsive.
Sincerely yours,
Sterling Nixon
0069
215
RIF
0070
U.S. Depa rtment of Justice
,.
Bureau of Alcohol , Tobacco,

Fi rearms and Explosives
MAR 1 0 2004
903050:CLB
3311/2004-278
www.;ur.gov
Mr. Randy Paschal

2049 Meander Road
Granbury, TX 76049
Dear Mr. Paschal:
This is in reference to your lener to the Bureau of Alcohol, Tobacco, Firearms and Explosives
(ATF), Firearms Technology Branch, dated January 6, 2004, in which you ask several questions
about modifications to AR-15 type receivers.
As you may be aware, the National Firearms Act (NFA), 26 U.S.C. 5845(b), defines a
machinegun as... any weapon which shoots, is designed to shoot, or can be readily restored to shoot, automatically more
than one shot, without manual reloading, by a single function of the trigger. The term shall also include
the frame or receiver of any such weapon, any part designed and intended solely and exclusively, or
combination of parts designed and intended, for use in converting a weapon into a machinegun, and any
combination of parts from which a machinegun can be assembled if such parts are in the possession or
under the control of a person.
Based on this definition, an AR-15 type receiver which has been modified by the drilling of a
hole through both receiver walls in the proper location for the installation of an M 16 automatic
sear cross pin, and which has had the receiver cavity milled out to a width sufficient to facilitate
the installation of an M 16 automatic sear, is a frame or receiver a machinegun. Therefore, it is a
machinegun as defined. Further, an AR-15 type receiver, which has been modified as above, or
an M 16 receiver which has had the automatic sear cross pin holes covered and or material filled
into the receiver cavity, is still a machinegun frame or receiver.
For further guidance, we suggest that you read through the Additional Information section of the
Federal Firearms Regulations Reference Guide (ATF P 5300.4). This guide is also available on
the ATF Web site, www.atf.gov.
Also, based upon your correspondence, it appears that you may be in possession of an
unregistered machinegun. Should this be the case, we suggest you contact your local ATF office
to coordinate abandoning it.
0070
216
RIF
0071
-2-
Mr. Randy Paschal
We thank you for your inquiry and trust the foregoing has been responsive.
Sincerely yours,
0
~ Sterling~n
0071
217
RIF
0072
,../~

JAN 2 9 2004
903 050: RDC

3311/2004-738
www atf.gov
Mr. Mark Malkowski

Continental Machine Tool Company, Incorporated
Dear Mr. Malkowski:
As you may be awar e, the Gun Control Act of 1968
convert ed t o expel a projecti l e by the action of a n
e xp losive. Th e term also includes the frame or
r eceive r of any such weapon."
Our evaluation indicates that both of the receivers
hav e had several machining operations performed,
c reating the following:
Magazine well;
Trigger slot;
Cavity for the trigger, hammer, disconnector,
safety selector ;
Ini tial opening for the buffer tube;
Slot for magazine catch;
Slot for t he bolt ca t ch;
p in; and
Center relief cut for forward t akedown pin .
0072
218
RIF
0073
, ./
f
-2-
Mr. Mark Malkowski
The following is a list o f machining o perations that

Trigger, hammer, safety se lector, trigger guard ,

Opening f o r the magazine catch shaft and release
button;
pistol grip mount.
The FTB examinat ion of the submitted samples revealed

Each is therefore a
critical internal areas machined (magaz ine well and
central area for the fire control components) o r
c r osspin hol es drilled, would not constitute a
We thank you for y our inquiry, along with submitted
r esponsive.
Sincerely yours,
Sterling Nixon
Chief, Firearms Techno logy Branch
0073
219
RIF
0074

Martinsburg, WV
www.atf.gov
25401
903050:AG
33 11/2006-896
JUL2 6 m
Mr. Kevin Audibert

27 Overvale Road
Wolcott, Connecticut 06716
Dear Mr. Audibert:
This is in reply to your correspondence dated June 6, 2006, to the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF), Firearms Technology Branch (FfB). Your inquiry was
forwarded to FTB's new location, Martinsburg, West Virginia. Included in your correspondence
are blueprints for a partially machined AR-15 pattern receiver, for which you are requesting
classification under the Gun Control Act of 1968 (GCA).
During our examination of the submitted prints, FTB determined that an item machined to the
submitted specifications would require the following machining operations to allow its use as the
receiver of a firearm:
Machine takedown pin hole(s).

Machine trigger pin hole(s).
Machine hammer pin hole(s).
Additional minor machining/threading or fitting operations may also be required.

For your information, previous determinations by FTB have classified AR-15 pattern receivers
(with less machining than your print depicts) as "firearms." Since your submitted prints depict a
receiver which is nearly complete, and would require only minor modifications to allow it to
function as the frame or receiver of a firearm, a receiver machined to your submitted
speci fications would be a firearm as defined in 18 USC 921 (a)(3).
Please note that an AR-15 type receiver which has no machining performed at all in the area of
the trigger/hammer recess might not be classified as a firearm. Such a receiver could have all
other machining operations performed, including pivot pin and takedown pin hole(s) and
clearance for the takedown pin lug, but must be completely solid and un-machined in the
trigger/hammer recess area. The photo insert (see page 2) depicts a sample which has been filled
with clay by FTB to illustrate this area.
If you are interested in having such an item formally classifi ed, you must submit a machined
prototype to FTB for examination.
0074
220
RIF
0075
~----------
-2-
Mr. Kevin Audibert
Absent an actual submission, this response cannot constitute a classi fication of a receiver having
a solid trigger/hammer area.
C lay-filled Sample AR-15 Type Receiver
ll
We thank you for your inquiry, and trust that the foregoing has been responsive.
Sincerely yours,
s:~ l l
Sterling Nixon
0075
221
RIF
0076
0076
222
RIF
0077
f'
0077
223
RIF
0078

Martjnsburg. WV 25401
www.alf.gov
903050:AG
331112006-601
APRHmi
Mr. Justin Halford
312 Ox ford Cove
Jonesboro, Arkansas 72404
Dear Mr. Halford:
This is in reply to your correspondence, dated January 26, 2006, along with you your submitted
item, to the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), Firearms Technology
Branch (FTB). The submitted item is a partially m achined AR- 15 pattern receiver, which you
have submitted for classification with respect to its status under the Gun Control Act (GCA) of
1968.
The FTB examination determined that the receiver would need the machining operations for the
following holes or openings to enable it to be used as the receiver of a firearm:
Machine pivot pin hole(s).

Machine trigger pin ho le(s).
Machine trigger opening in the bottom of the trigger/hammer recess.
Additional minor machining or fitting operations may also be required.

For your information, previous determinations by FTB have classified as "firearms," receivers
featuring less machining than your sample. Since your sample is nearly complete, requiring only
minor modifications to allow it to function as the frame or receiver of a firearm, it is a firearm as
defined in 18 USC 921 (a)(3).
As you are aware, an AR-15 type receiver which has absolutely no machining performed in the
area of the trigger/hammer recess might not be classified as a firearm. Such a receiver could
have all other machining operations performed, including the boring of pivot pin and takedown
pin hole(s) and clearance for the takedown pin lug, but it must be completely solid and unmachined in the trigger/hammer recess area. Your sample has been filled with clay by FTB to
illustrate this area (see photo, next page). If you are interested in having such a modified item
formally classified, you must re-submit the prototype to FTB for examination.
0078
224
RIF
0079
-2-
Mr. Justin Halford
Please note that, absent an actual submission, this response cannot constitute a classification of a
receiver having a solid trigger/hammer area.
Sincerely yours,
Sterling Nixon
0079
225
RIF
0080

AUG 2 9 2007
Martinsburg, WV
25401
www.atf.gov
903050:KEM
33 11 /2007-667
Mr. Kevin Audibert

27 Overdale Road
Dear Mr. Audibert:
This refers to your correspondence to the Bureau of Alcohol, Tobacco, Firearms and Explosives
(ATF), Firearms Teclmology Branch (FTB), in which you requested that two accompanying
sample AR 15 style receivers be evaluated to determine if they have reached a stage in
manufacture at which they would be considered firearms. Your correspondence and samples
were redirected to FTB's new location, Martinsburg, West Virginia, for reply.
As you may be aware, the Gun Control Act of 1968 (GCA), 18 U.S.C. 92 1(a)(3), defines the
term "firearm" to mean, in part, " ... any weapon (including a starter gun) which will or is
designed to or may be readily converted to expel a projectile by the action of an explosive" or
"the frame or receiver of any such weapon .... "
The FTB examination of the submitted samples indicates they have been machined from solid
castings of aluminum stock. Both samples resemble an AR-15 type receiver and have had
several machining operations performed, creating the following:
Magazine well.
Magazine catch slot, magazine catch shaft, and release button.
Bolt catch slot.
Hole for the bolt-catch cross pin.
Trigger slot.
Cavity for the trigger, hammer, disconnector, and safety selector.
Opening for the buffer tube assembly attachment point .
Relief cut for pistol grip mount.
In addition to the above, "Sample 2" has had the following additional operations preformed:
Holes for both front and rear trigger guard pins.

Front takedown pin holes.
0080
226
RIF
0081
-2-
Mr. Kevin Audibert
Based on our review of the submitted receivers, including the features enumerated above, FTB
has determined that the number and complexity of the operations made are sufficient to classify
these submitted AR-15 type receivers as "firearms" as defined in 18 U.S.C. 92l(a)(3).
Therefore, both samples are subject to GCA provisions.
We regret the delay in our reply, but trust that the foregoing has been responsive to your request
for an evaluation and additional information.
Sincerely yours,
~v~/
Acting Chief,
Firearm:!u~ology Branch
0081
227
RIF
0082

MnnfnJbu'l . WtJI llif'JiniD }j40j
www.atf.aov
Mr. Kas McManus

Lancer Systems
7566 Morris Court, Suite 300
Allentown, Pennsylvania 18106
903050:AG
33 11/2011 -246
ftAR 1 6 ZDII
Dear Mr. McManus:

This is in reference to your submitted item, a partially machined AR-15 pattern receiver, along
with supporting correspondence, recently received by the Firearms Technology Branch (FTB),
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). You have submitted this receiver
(photo provided, next page) for classification under the Gun Control Act of 1968 (GCA).
In a prior letter, FTB informed you that our Branch had previously determined that an AR-15
type receiver which has no machining of any kind performed in the area of the trigger/hammer
(fire-control) recess might not be classified as a firearm. Such a receiver could have all other
machining operations performed, including pivot-pin and takedown-pin hole(s) and clearance for
the takedown-pin lug, but must be completely solid and un-machined in the fire-control recess
area.
You have submitted the current item for classification with the above qualifications in mind.
Our examination confirmed that the receiver has been partially machined, including clearance for
the takedown-pin lug. With respect to this particular cut, our evaluation found that the length of
the clearance for the takedown-pin lug is approximately 1.860 inches, measured from
immediately forward of the front of the buffer retainer hole. Since (in a finished AR-15 pattern
receiver) the front of the takedown-pin lug clearance area merges with the back of the
lire-control recess. it was necessary to determine the point at which the takedown-pin lug
clearance area stops, and the fire-control recess begins. Accordingly. we have determined that
in order to be considered " completely solid and un-machlned in the fire-control recen
a rea," the takedown-pin lug clearance area must be no longer than .800 inch, measured
from immediately forward of the front of the buffer retainer hole.
Since the takedown-pin lug clearance area of the submitted item is longer than .800 inch, FTB
finds that the submitted item is not completely solid and un-machined in the fire-control recess
area. Atcordingly, the submitted item has been classified as a " firearm" as defined in the GCA.
0082
228
RIF
0083
-2-
Mr. Kas McManus
Submitted item
If your current design is modified to incorporate a takedown-pin lug clearance area of .800 inch
or less in length, ITB is ready to reevaluate it as soon as we receive a new sample.
We thank you for your inquiry, regret that our present findings could not be more favorable, but
trust that the foregoing has been responsive to your evaluation request.
Sloc=ly~
ohn R. Spencer
, F' earms Technology Branch
0083
229
RIF
0084

Bureau of Alcohol. Tobacco,
Fireanns and Explosives
www .a lf.guv
Mr. Davis L. Mueller

Elysium Anns, LLC
I 0 I Bacon Street
Raton, New Mexico 87740
903050: GR
3311/2012-362
APR 1 0 2012
Dear Mr. Mueller:

This refers to your letter to the Fireanns Technology Branch (FTB), Bureau of Alcohol,
Tobacco, Fireanns and Explosives (ATF), along with submitted samples of the following items:
a serialized Elysium Anns EA-15, AR-15 type tireann receiver; and a left and right set ofunserialized castings of an EA-15 receiver. All samples are produced by your company. The
purpose of your inquiry is to have FTB continn the classification of the receiver halves,
specifically, to detennine if they constitute firearms. You also submit a number of follow-up
questions for reply.
As background, the amended Gun Control Act of 1968 (GCA), 18 U.S.C. 921(a)(3), defines
the tenn "firearm" as follows:
... (A) any weapon (including a starter gun) which will or is designed to or may readily be
converted to expel a projectile by the action ofan explosive; (B) the frame or receiver ofany
such weapon; (C) any firearm muffler or firearm silencer; or (D) any destructive device. Such
term does not include an antique firearm.
Additionally, 27 CFR 4 78. 11 defines the firearm frame or receiver as being that part ofa
firearm which provides housing for the hammer, bolt or breechblock, and firing mechanism, and
which is usually threaded at its forward portion to receive the barrel.
Further, 27 CFR 478.92 states the following:
... each licensed manufacturer or licensed importer ofany firearm manufactured or imported shall
legibly identify each such firearm by engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped (impressed) or placed on the frame
or receiver thereof in a manner not susceptible of being readily obliterated, altered, or removed, an
individual serial number not duplicating any serial number placed by the manufacturer or importer
on any other firearm, and by engraving, casting, stamping (impressing), or otherwise conspicuously
0084
230
RIF
0085
-2-
placing or causing to be engraved, cast, stamped (impressed), or placed on the frame or receiver, or
barrel thereof in a manner not susceptible of being readily obliterated, altered or removed, the
model, if such designation has been made; the caliber or gauge; the name (or recognized
abbreviation ofsame) ofthe manufacturer and also, when applicable, of the importer; in the case of
a domestically made firearm, the city and State (or recognized abbreviation thereof) wherein the
licensed manufacturer maintains its place ofbusiness; and in the case ofan importedfirearm, the
name ofthe country in which manufactured and the city and State (or recognized abbreviation
thereof) ofthe importer.
Furthermore, for firearms manufactured or imported on and after January 30, 2002, the
engraving, casting, or stamping (impressing) of the serial number must be to a minimum depth of
.003 inch and a minimum height of 1116 inch. All other markings must be of a minimum depth
of .003 inch.
The FTB examination of the submitted casting samples revealed that they consist of left and
right half sections of an AR-1 5 type firearm frame or receiver. The castings are made from a
non-ferrous metal and contain part of the fire-control cavity and, also, areas designed to assist in
the housing of a magazine, pistol-grip attachment, and receiver extension; they also have the
receiver pivot-pin and takedown-pin ho1e(s) to facilitate attachment of a barreled upper
assembly. In addition, FTB found that the left side section contains the housing ring for the
receiver extension. The castings also feature several male and female attachment points which
align both halves (see enclosed photos). These attachment points contain pre-indexed drill-hole
guides which facilitate drilling holes for bolts to hold the two halves together.
The following are FTB's answers to your specific questions, which are paraphrased and
italicized:
Q: Do these raw castings constitute a "receiver " by themselves; ifso, is one specific side, or the
combination ofthe two the receiver?
t\,: The "raw castings" to which you refer consist of a set of left and right sections of a modular
firearm receiver. Additionally, regarding the Elysium Arms EA-15 receiver as submitted, FTB
has determined that the left-side section contains part of the fire-control cavity and areas
designed to assist in the housing of fire-control components; a magazine; pistol-grip attachment;
and receiver extension. Further, this section contains the receiver pivot-pin and takedown-pin
hole(s) to facilitate attachment of a barreled upper assembly and selector. It also contains the
housing ring for the receiver extension.
Overall, FTB determined that this receiver has been manufactured to a point at which it can be
classified a firearm frame or receiver, and thus constitutes a "firearm" as defined in 18 U.S.C.
921(aX3)(A). Additionally, as a firearm, the left-side section of the EA-15 would require a serial
number and markings per 27 CFR 478.92.
0085
231
RIF
0086
,.
-3Mr. Davis L. Mueller
Q: What machining can be done and still sell these as a "NONfirearm"?
A: When manufacturing receiver blanks or castings for an EA-15, AR-1 S type firearm, in order
to ensure an "unfinished receiver" classification (i.e., the making of an item that has not been
machined sufficiently for designation as a receiver), the likely procedure to follow is to refrain
from drilling or machining of any kind in the left-side section, in the area of the trigger/hammer
(fire-control) recess. This restraint would include the avoidance of any drilling/machining for
trigger and mounting pivot-pin holes. or selector-lever holes). The resulting product could have
all other machining operations performed, including takedown-pin hole(s) and clearance for the
takedown-pin lug, but must be completely solid and un-machined in the fire-control recess area.
We caution that the indexing of any of the fire-control pivot pins or the selector-lever locations is
tantamount to forming them.
Also, we should point out for clarification purposes that, in the case of an AR-15 pattern
receiver, the front of the takedown-pin lug clearance area merges with the back of the firecontrol recess; thus it was necessary during our examination to determine the point at which the
takedown-pin lug clearance area stops, and the fire-control recess begins. Accordingly. FTB has
found that in order to be considered "completely solid and un-machined in the fire-control recess
area." the takedown-pin lug clearance area must be no longer than .800 inch. measured from
immediately forward of the front of the buffer retainer hole (see photo enclosed).
Additionally, when a left-side receiver blank as described above is possessed with a right-side
receiver section, the right side section also must have no machining or drilling of any kind
performed in the area of the trigger/hammer (fire-control) recess.
We trust that the foregoing has been responsive to your concerns. If we can be of further
assistance, feel free to contact FTB directly at any time.
Enclosure
0086
232
RIF
0087
~--------------------------------------------------------------------

903050:AG
3 311/201 0-13 7
W'WW.atf.gov
DEC 2 4 2009
Mr. Terry S. Campbell
Cerro Fabricated Products, Inc.
300 Triangle Drive
Weyers Cave, Virginia 24486
Dear Mr. Campbell:
This is in reference to your submitted item, a partially machined AR-15 pattern receiver forging,
along with correspondence dated November 12,2009, received by the Fireanns Technology
Branch (FTB), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). You have
submitted this forging for classification under the Gun Control Act of 1968 (GCA).
In prior correspondence (please see #2007-500), FTB informed you that our Branch had
previously determined that an AR-I 5 type receiver which has no machining of any kind
performed in the area of the trigger/hammer recess might not be classified as a firearm. Such a
receiver could have all other machining operations performed, including pivot-pin and
takedown-pin hole(s) and clearance for the takedown-pin lug, but must be completely solid and
While you have submitted the current item for classification with the above qualifications in
mind, our examination revealed that the forging incorporates three machining operations which
surpass the allowable machining described above. These additional operations are the machining
of theI . selector hole;
2. the hammer-pin hole; and
3. the trigger-pin hole.
Due to these additional operations, FTB finds that the submitted item is a "fireann" as defined in
the GCA. In order to obtain a non-fireann classification, you must omit the three additional
machining operations described above (also see photo diagram, next page). The reconfigured
item must also be submitted for evaluation.
0087
233
RIF
0088
-2-
Submitted item
Sincerely yours,
0088
234
RIF
0089

!'1rearms and Explosives
903050:AG
3311/300980
June 14, 2013

Mr. Mike Towers
The Mike Towers Group, LLC
150 Shady Trail
Pipe Creek, TX 78063
Dear Mr. Towers,
This is in reference to your submitted item, a partially machined AR-15 pattern receiver,
along with supporting correspondence, recently received by the Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF), Firearms Technology Branch (FTB). You
have submitted this item (photo enclosed) for classification under the Gun Control Act of
1968 (GCA).
As you may be aware, an AR-15 type receiver which has no machining of any kind
performed in the area of the trigger/hammer (fire-control) recess might not be classified
as a firearm. Such a receiver could have all other machining operations performed,
including pivot-pin and takedown-pin hole(s) and clearance for the takedown-pin lug, but
must be completely solid and un-machined in the fire-control recess area. Further, as you
may know, FTB has previously determined that in order to be considered "completely
solid and un-machined in the fire-control recess area," the takedmvn-pin lug clearance
area must be no longer than .800 inch, measured from immediately forward of the front
of the buffer-retainer hole.
Our examination confirmed that the submitted item incorporates several features of an
AR-15 pattern firearm receiver, including a selector hole. The item also incorporates a
small recess into which the finger-lever of an AR-15 pattern trigger has been installed
and secured with a roll pin. Finally, the takedmvn-pin lug clearance area measures
am)roXIInat:e1y .900
measured from immediately forward of the front of the buffer
retainer hole. Due to the presence
features, we have determined that the sample
item is NOT "completely solid and un-machined in the fire-control recess area."
Accordingly, the submitted item has been classified as a "firearm" as defined in the GCA.
0089
235
RIF
0090

Mr. Mike Towers
Page 2
evaluation request. Please contact our Branch to arrange for the return of this item.
Sincerely yours,
Enclosure
0090
236
RIF
0091
Mr. Mike Towers
Page 3
Submitted item:
0091
237
RIF
0092

903050:AG
3311/300980
June 14, 2013

Mr. Mike Towers
150 Shady Trail
Dear Mr. Towers,
1968 (GCA).
0092
238
RIF
0093

Mr. Mike Towers
Page 2
Sincerely yours,
Enclosure
0093
239
RIF
0094
Mr. Mike Towers
Page 3
Submitted item:
0094
240
RIF
0095

,\/ur/111s/>11rg, 11 T :JS./05
www atrgov
903050:GR
3311/301252
November 22, 2013

Mr. Bradley Reece
555 East Suber Road
Greer, SC 29650
Dear Mr. Reece,

firearm.
0095
241
RIF
0096
Mr. Bradley Reece
Page 2

and next page).
0096
242
RIF
0097
Mr. Bradley Reece
Page 3
by FTB.
request.
Sincerely yours,
fi(tf1~(r
0097
243
RIF
0098

Martinstur)!., WV
903050: WJS
33111300627
May 17, 2013

Mr. Doug Hughes
Operations Manager
Phoenix, AZ 85034
Dear Mr. Hughes,
(GCA).
1.
2.
3.
4.
5.
6.
7.
8.
9.


0098
244
RIF
0099
Mr. Doug Hughes
Page 2

needed.
Sincerely yours,
t_tt?r#Earl~
0099
245
RIF
0100
0100
246
RIF
0101
0101
247
RIF
0102
0102
248
RIF
0103
0103
249
RIF
0104

Martinsburg,
rvv
25405
w;nv.atfgov
903050:WJS
3311/300833
July 15, 2013

Mr. Tilden Smith
80 Percent Arms
202 East Alton A venue
Suite A
Santa Ana, CA 92707
Dear Mr. Smith,
This is in reference to your correspondence, with enclosed samples, to the Bureau of
In your letter, you asked for a classification of the partially completed AR-type receivers
your company is planning to manufacture (see enclosed photos). Specifically, you want
to know ifthe three submitted items, identified as samples 1, 2, and 3 (and reviewed
below) would be classified as "firearms" under the Gun Control Act of 1968 (GCA).
SAMPLE#l
During the examination of this sample, FTB found that the following machining/drilling
operations had been performed:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.

Front and rear assembly/pivot-detent pin holes drilled.
Magazine-release and catch slots cut.
Pistol-grip mounting area faced off and threaded.
Trigger guard machined.
Receiver end-plate area machined.
Pistol-grip mounting area threaded.
Selector-lever detent hole drilled.
0104
250
RIF
0105
Page 2
Mr. Tilden Smith

The machining operations
1.
2.
3.
4.
5.
yet performed are as follows:
Milling out of fire-control cavity.

Selector-lever hole drilled.
Cutting of trigger slot.
Drilling of trigger pin hole.
Drilling of hammer pin hole.
The FTB examination of your submitted casting found that SAMPLE #1 is not
sufficiently complete to be classified as the frame or receiver of a firearm and thus would
not be a "firearm" as defined in the GCA.
SAMPLE#2
During the examination of Sample #2, FTB observed that the following
machining/drilling operations had been performed:
1. Front and rear assembly/pivot pin holes drilled.
2. Front and rear assembly/pivot-detent pin holes drilled.
3. Magazine release and catch slots cut.
4. Rear of receiver drilled and threaded to accept buffer tube.
5. Buffer-retainer hole drilled.
6. Pistol-grip mounting area faced off and threaded.
7. Magazine well completed.
8. Trigger guard machined.
9. Receiver end-plate area machined.
10. Pistol-grip mounting area threaded.
11. Selector-lever detent hole drilled.
12. Selector-lever hole drilled.
1.
2.
3.
4.

The FTB examination of this casting found that SAMPLE #2 is sufficiently complete to
be classified as the frame or receiver of a firearm and thus ~ a "firearm" as defined in the
GCA.
SAMPLE#3
During the examination of this

1. Front and rear
2. Front and rear
FTB found that the following machining/drilling

pin holes drilled.
pin holes drilled.
0105
251
RIF
0106

Mr. Tilden Smith
Page 3
3. Magazine-release and catch slots cut.

12. Hole machined into fire-control cavity; measuring approximately Yi inch in
diameter and approximately 9/16 inch deep.
1.
2.
3.
4.
Complete milling out of fire-control cavity.

The FTB examination of the submitted casting found that SAMPLE #3 is sufficiently
complete to be classified as the frame or receiver of a firearm and thus~ a "firearm" as
defined in the GCA.
In conclusion, we stress that the information found in correspondence from our Branch is
intended only for use by the addressed individual or company with regard to a specific
scenario described within that correspondence.
To facilitate return of your samples, please provide FTB with the appropriate FedEx
evaluation request, noting that two findings did not meet your expectations. Please do
not hesitate to contact us if additional information is needed concerning our
determinations.
Sincerely yours,
Enclosure
0106
252
RIF
0107
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0113
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0114

,\/ur/111s/>11rg, 11 T :JS./05
www atrgov
903050:GR
3311/301252
November 22, 2013

Mr. Bradley Reece
555 East Suber Road
Greer, SC 29650
Dear Mr. Reece,

firearm.
0114
260
RIF
0115
Mr. Bradley Reece
Page 2

and next page).
0115
261
RIF
0116
Mr. Bradley Reece
Page 3
by FTB.
request.
Sincerely yours,
fi(tf1~(r
0116
262
RIF
0117

'

www.atf.gov
903050:EAG
3311/301809
Mr. Dennis Scheel

Technical Grinding & Machining
2201 107th Lane North East
Blaine, MN 55449
Dear Mr. Scheel,
This is in reference to your submitted item, a partially machined AR-15 pattern receiver
forging, along with supporting correspondence received by the Firearms Technology
Branch (FTB), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). Your letter
indicates that you are requesting FTB to confirm that this forging (photos provided on the
following page) constitutes a "non-firearm" not subject to any restrictions enforced under
the amended Gun Control Act of 1968 (GCA).
includes... (A) any weapon (including a starter gun) which will or is designed to or may
frame or receiver ofany such weapon ...
receiver.
recess (or cavity). does not contain any holes or dimples (indexing marks) for the trigger,
hammer, and selector might not be classified as a firearm. Such a receiver could have all
other machining operations performed, including pivot-pin and takedown-pin hole(s) and
fire-control recess area. We have determined that in order to be considered "completely
0117
263
RIF
0118

Mr. Dennis Scheel
Page2
solid and un-machined in the fire-control recess/cavity area,) the takedown-pin lug
clearance area must be no longer than .800 inch, measured from immediately forward of
the front of the buffer-retainer hole.
Our examination confirmed that the forging has been partially machined, to include
drilling for the pivot-pin and takedown-pin holes. The forging also features a drilled hole
forward of the pistol grip and screw hole; however, these holes do not encroach into the
Submitted forging
Accordingly, FTB finds that the submitted item is not a "firearm" as defined in the GCA.
Please note that this classification is based on the item received and examined by our
Branch. Any changes to its characteristics would require re-evaluation.
evaluation request. Please provide our Branch with a Federal Express account number or
common carrier shipping label so that we may return this forging.
Sincerely yours,
~
Chief, Firearms
~ogy Branch
0118
264
RIF
0119

www.atf.gov
903050:RKD
331 11302071
Mt.Y ~ 5 2~1 4
Mr. Jacob DeCremer
Battle Born Tactics, LLC
216 Lemmon Drive
Suite 387
Reno, NV 89506
Dear Mr. DeCremer,
forging, along with supporting correspondence, recently received by the Firearms
Technology Branch (FTB), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF).
You have submitted this forging (photo provided, next page) for classification under the
Gun Control Act of 1968 (GCA).
Note: FTB uses the following terms to describe certain items:

The term "receiver blank" is used to describe forgings, castings, or machined bodies
(defense articles~ such as AR-15 receiver castings, AK receiverflats, etc. in various
stages offolding/machining which are not classified as firearms.
"Incomplete receiver" is used to describe forgings, castings, or machined bodies
(defe nse articles) which have been classified as firearms but are not completely machined
for use as a functional firearm receiver.
"Receiver" is used to describe functional firearm frames or receivers.
0119
265
RIF
0120

Mr. Jacob DeCremer
Page2
The FTB examination confirmed that the forging has been partially machined, with no
machining of any kind performed in the area of the trigger/hammer recess. The
machining operations performed for this sample include
Implementation of magazine well area.

Hole drilled and tapped for pistol-grip screw.
Takedown pin lug clearance cut of less than .800 inch.
Further, the trigger/hammer recess of your submitted sample (see below) is solid, and
there are no index detents machined for the safety lever or the trigger/hammer pins.
Branch. Any changes to its characteristics would require re-evaluation by FTB.
evaluation request. The forging will be returned via your postage-paid USPS priority
shipping box.
Sincerely yours,
-~
Chief, Firearm
0120
266
RIF
1 DIANE KELLEHER
LISA A. OLSON
4 Telephone: (202) 514-5633
Facsimile: (202) 616-8470
5
6
7
8
9
10

ASSOCIATION, INCORPORATED,
11
Plaintiff,
12
13
v.

14
Defendants.
15
16
CASE NO. 1:14-cv-01211

ATFS NOTICE OF MOTION AND MOTION
TO DISMISS, OR ALTERNATIVELY, FOR
SUMMARY JUDGMENT
Date:
Time:
Judge:
Crtrm:
March 25, 2015

9:30 a.m.
Honorable John A. Mendez
6, 14th Floor
NOTICE OF MOTION AND MOTION
17
PLEASE TAKE NOTICE that, on March 25, 2015, at 9:30 a.m., or as soon thereafter as the
18
matter may be heard, in the courtroom of the Honorable John A. Mendez, at 501 I Street, Courtroom 6,
19
14th Floor, Sacramento, California, defendants Bureau of Alcohol, Tobacco, Firearms, and Explosives,
20
Attorney General Eric Holder, and B. Todd Jones (collectively, ATF) will and do move to dismiss this
21
case for lack of subject matter jurisdiction pursuant to Federal Rule of Civil Procedure 12(b)(1), and
22
move for summary judgment pursuant to Federal Rule of Civil Procedure 56.
23
The motion is based on this notice and the accompanying memorandum of points and authorities;
24
any declarations, exhibits, and/or request for judicial notice filed in support of the motion; together with
25
such oral and/or documentary evidence as may be presented at the hearing on this motion.
26
27
28
267
RIF
1
2 Dated: January 9, 2015
Respectfully submitted,
3
4
By:
/s/ Lisa A. Olson

LISA A. OLSON
DIANE KELLEHER
LISA A. OLSON
20 Mass. Ave., N.W., Room 7300
Telephone: (202) 514-5633
Facsimile: (202) 616-8470
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
268
RIF
1 DIANE KELLEHER
LISA A. OLSON
4 Telephone: (202) 514-5633
Facsimile: (202) 616-8470
5
6 Attorneys for Defendants
7
8
10
11
12
13
14
15
16
17
18
19

CASE NO. 1:14-cv-01211 JAM-SAB
Plaintiff,
MEMORANDUM IN SUPPORT
OF DEFENDANTS MOTION TO
DISMISS, OR ALTERNATIVELY,
FOR SUMMARY JUDGMENT
v.

Date:
Time:
Judge:
Crtrm:
Defendants.
20
March 25, 2015

9:30 a.m.
6, 14th Floor
21
22
23
24
25
26
27
28
29
MEMORANDUM IN SUPPORT OF DEFENDANTS MOTION TO DISMISS, OR

ALTERNATIVELY, FOR SUMMARY JUDGMENT
California Rifle & Pistol Assoc., Inc. v. ATF, et al,, No. 14-cv-01211 JAM-SAB
269
RIF
TABLE OF CONTENTS
PAGE
3 INTRODUCTION ...........................................................................................................................1
4 BACKGROUND .............................................................................................................................3
5 A.
Applicability of the Gun Control Act of 1968 to Receivers ................................................3
6 B.
The Receiver of the AR-15 Rifle .........................................................................................4
7 C.
General Classification Criteria for Receivers ......................................................................6
8 D.
The EP80s Already Formed Fire-Control Cavity and Indexing .........................................8
9 E.
ATFs Classification of the EP80 as a Firearm Receiver .................................................8
10 ARGUMENT .................................................................................................................................10
11 I.
THE CASE SHOULD BE DISMISSED FOR LACK OF JURISDICTION

BECAUSE PLAINTIFF LACKS STANDING TO PURSUE ITS CLAIMS ...................10
12
13
14
Plaintiff Lacks Representational Standing .............................................................11
B.
Plaintiff Lacks Prudential Standing .......................................................................12
15
SUMMARY JUDGMENT SHOULD BE GRANTED FOR DEFENDANTS

BECAUSE THEIR ACTIONS WERE NOT ARBITRARY AND CAPRICIOUS ..........13
16
A.
The Standard of Review is Narrow ........................................................................13
17
B.
ATF's Classification of Plaintiffs EP80 as a Receiver Was Reasonable ..............15
18
II.
A.
1.
The EP80's Fire-Control Cavity is Not Solid or Unformed,

and the Biscuit and Protrusions Provide Guidance As to How
to Complete It ............................................................................................15
2.
ATFs Classification of the EP80 is Consistent with Its Prior

Decisions on Other Items ...........................................................................18
19
20
21
CONCLUSION ..............................................................................................................................21
22
23
24
25
26
27
28
29

270
RIF
TABLE OF AUTHORITIES
CASES
PAGE(S)
3 Allen v. Wright,
468 U.S. 737 (1984) .................................................................................................................. 11
4
Anderson v. Liberty Lobby, Inc.,
5
477 U.S. 242 (1986) .................................................................................................................. 13
6 Associated Gen. Contractors, Inc. v. Coal. for Econ. Equity,
950 F.2d 1401 (9th Cir. 1991) ................................................................................................... 11
7
Associated Gen. Contractors of Am. v. Cal. Dept. of Transp.,
8
713 F.3d 1187 (9th Cir. 2013) .................................................................................................. 11
9 Ariz. Cattle Growers' Ass'n v. U.S. Fish & Wildlife, BLM,
273 F.3d 1229 (9th Cir. 2001) .................................................................................................. 14
10
Balt. Gas & Elec. Co. v. Natural Res. Def. Council, Inc.,
11
462 U.S. 87 (1983) .................................................................................................................... 14
12 Barnes v. U.S. Dep't of Transp.,
655 F.3d 1124 (9th Cir. 2011) .................................................................................................. 14
13
Celotex Corp. v. Catrett,
14
477 U.S. 317 (1986) .................................................................................................................. 13
15 Citizens to Preserve Overton Park, Inc. v. Volpe,
401 U.S. 402 (1971) .................................................................................................................. 14
16
Defenders of Wildlife v. Flowers,
17
414 F.3d 1066 (9th Cir. 2005) .................................................................................................. 14
18 Elk Grove Unified Sch. Dist. v. Newdow,
542 U.S. 1 (2004) ...................................................................................................................... 12
19
Fair Empt Council v. BMC Mktg. Corp.,
20
28 F.3d 1268 (D.C. Cir. 1994) .................................................................................................. 13
21 Farmer v. Higgins,
907 F.2d 1041 (11th Cir. 1990) ................................................................................................ 14
22
Fla. Power & Light Co. v. Lorion,
23
470 U.S. 729 (1985) .................................................................................................................. 14
24 Gilbert Equip. Co. v. Higgins,
709 F. Supp. 1071 (S.D. Ala. 1989)................................................................................ 3, 15, 18
25
Gun South, Inc. v. Brady,
26
877 F.2d 858 (11th Cir. 1989) .................................................................................................. 15
27
28
29

271
RIF
1 Inland Empire Pub. Lands Council v. Glickman,

88 F.3d 697 (9th Cir. 1996) ...................................................................................................... 14
2
Innovator Enters. v. Jones,,
__ F. Supp. 2d. __, 2014 U.S. Dist. LEXIS 35535 (D.D.C. Mar. 19, 2014) .............................. 3
3
4 J.L. v. SSA, 971 F.2d 260 (9th Cir. 1992).....................................................................................12
5 Lake Mohave Boat Owners Assn v. Natl Park Serv.,
78 F.3d 1360 (9th Cir. 1996) .................................................................................................... 11
6
Lexmark Int'l, Inc. v. Static Control Components, Inc.,
134 S. Ct. 1377 (2014) .............................................................................................................. 12
7
8 Lopez v. Candaele,
630 F.3d 775 (9th Cir. 2010) .................................................................................................... 11
9
Lujan v. Defenders of Wildlife,
504 U.S. 555 (1992) .................................................................................................................. 11
10
11 Lycurgan, Inc. v. Jones,
No. 14-cv-00548-JLS-BGS (S.D. Cal. filed March 11, 2014) ................................................. 12
12
March v. Or. Natural Res. Council,
490 U.S. 360 (1989) .................................................................................................................. 14
13
14 Modern Muzzleloading v. Magaw,
18 F. Supp. 2d 29 (D.D.C. 1998) ........................................................................................ 15, 18
15
Mullenix v. ATF,
2008 WL 2620175 (E.D.N.C. July 2, 2008) ....................................................................... 15, 18
16
17 N. Plains Res. Council, Inc. v. Surface Transp. Bd.,
668 F.3d 1067 (9th Cir. 2011) .................................................................................................. 14
18
Native Vill. of Kivalina IRA Council v. U.S. Evtl. Prot. Agency,
687 F.3d 1216 (9th Cir. 2012) .................................................................................................. 14
19
20 Occidental Eng'g Co. v. I.N.S.,
753 F.2d 766 (9th Cir. 1985) .................................................................................................... 13
21
Police Automatic Weapons Servs. v. Benson,
837 F. Supp. 1070 (D. Or. 1993) ................................................................................................ 3
22
23 Renne v. Geary,
501 U.S. 312 (1991) .................................................................................................................. 11
24
Singleton v. Wulff,
428 U.S. 106 (1976) .................................................................................................................. 13
25
26 Steel Co. v. Citizens for a Better Env't,
523 U.S. 83 (1988) .................................................................................................................... 11
27
U.S. v. 16,179 Molso Italian .22 Caliber Winlee Derringer Convertible
28
29

272
RIF
1
2
3
Starter Guns,
443 F.2d 463 (2d Cir. 1971).................................................................................................. 6, 17
U.S. v. Mullins,
446 F.3d 750 (8th Cir. 2006) ................................................................................................ 6, 17
4 U.S. v. Reed,
114 F.3d 1053 (10th Cir. 1997) ............................................................................................ 6, 17
5
U.S. v. Smith,
477 F.2d 399 (8th Cir. 1973) ................................................................................................ 7, 17
6
7 U.S. v. Stewart,
2001 WL 194917 (D. Ariz)................................................................................................... 6, 17
8
Valley Forge Christian Coll. v. Am. United for Separation of Church & State,
454 U.S. 464 (1982) .................................................................................................................. 10
9
10 Warth v. Seldin,
422 U.S. 490 (1975) .................................................................................................................. 11
11
Wetlands Action Network v. U.S. Army Corps of Eng'rs,
222 F.3d 1105 (9th Cir. 2000) .................................................................................................. 14
12
13 STATUTES
14 5 U.S.C. 701 et seq..................................................................................................................... 13
5 U.S.C. 702, 706 ..................................................................................................................... 13
15 5 U.S.C. 706(2)(A)..................................................................................................................... 13
18 U.S.C. 921 et seq................................................................................................................. 1, 3
16 18 U.S.C. 921(a)(23) .................................................................................................................. 20
18 U.S.C. 921(a)(28) .................................................................................................................... 4
17 18 U.S.C. 921(a)(3) ............................................................................................................. passim
18 U.S.C. 922(q)(1) ..................................................................................................................... 8
18 18 U.S.C. 922(t) ........................................................................................................................... 4
18 U.S.C. 923(a) .......................................................................................................................... 4
19 18 U.S.C. 923(i) ........................................................................................................................... 4
18 U.S.C. 926 ............................................................................................................................... 3
20 26 U.S.C. 5845(b) ...................................................................................................................... 20
21
REGULATIONS
22 27 C.F.R. 478.11 .................................................................................................................. 4, 5, 6
27 C.F.R. 478.41 .......................................................................................................................... 4
23 27 C.F.R. 478.92 .......................................................................................................................... 4
28 C.F.R. 0.130(a)(1), (2) ............................................................................................................ 3
24
25 FEDERAL RULES OF CIVIL PROCEDURE
Fed. R. Civ. P. 12(b)(1)................................................................................................................. 11
26
Fed. R. Civ. P. 56(c) ..................................................................................................................... 13
27
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1 LEGISLATIVE MATERIALS
2 Interstate Shipment of Firearms: Hearing on S. 1975 and S. 2345 Before the
S. Comm. on Commerce, 88th Cong. 286 (1964) ..................................................................... 6
3
S. Rep. No. 90-1097, at 28 (1968), reprinted in 1968 U.S.C.C.A.N. 2112, 2113-2114 ............. 3, 8
4
Technical Explanation of Amendments to the Federal Firearms Act Proposed by
S. 1975 (89th Cong., 1st Sess.) .................................................................................................. 6
5
6 MISCELLANEOUS
7 Webster's New World College Dictionary 207 (4th ed. 2010) ....................................................... 4
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
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INTRODUCTION
1
2
For more than three decades, the Bureau of Alcohol, Tobacco, Firearms, and Explosives
3 ("ATF") has reviewed numerous items to determine if they should be properly classified as
4 firearms under the Gun Control Act of 1968, 18 U.S.C. 921 et seq., as amended ("Gun
5 Control Act" or "Act"). In making these determinations, ATF brings its technical, scientific, and
6 mechanical expertise to bear. In this case, ATF reasonably determined that the item at issue (the
7 EP80) can easily and simply be made suitable for use as part of a functional weapon, and that the
8 EP80 is therefore a firearm within the meaning of the Gun Control Act.
9
But as a threshold matter, plaintiff cannot bring a federal lawsuit challenging ATF's
10 decision without the participation of the EP Arms, the manufacturer of the EP80, and the entity
11 affected by the ATF decision. EP Arms is not a plaintiff in this action. Plaintiff, a firearms12 related organization, avers that EP Arms is one of its members, but such an allegation is not
13 sufficient to confer standing on plaintiff itself. The complaint does not allege that EP Arms
14 suffered any harm, and plaintiff lacks representational and prudential standing to champion the
15 cause of those who have chosen not to assert their own rights. As a result, the case should be
16 dismissed.
17
Even if plaintiff did have standing, however, defendants are entitled to summary
18 judgment because ATF's decision was a reasonable and based on longstanding precedent.
19 Plaintiffs primary objection to ATF's decision that it allegedly did not take into account the
20 sequence in which the EP80 was manufactured -- does not undermine ATFs decision. Items
21 which meet the statutory definition of a firearm are subject to regulatory restrictions designed
22 to keep firearms out of the hands of those not legally entitled to possess them and to assist law
23 enforcement in combatting crime. Firearms are defined as weapons that can be readily
24 converted to expel a projectile by the action of an explosive, as well as the receivers of such
25 weapons. The receiver is the part of a weapon that houses vital fire-control components that
26 allow the weapon to shoot, such as the trigger and hammer. AR-type receivers such as the EP80
27 have a space within them called the fire-control cavity, which accommodates the firing
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1 components. ATF has properly classified the EP80 as subject to federal firearms regulations
2 because it can be made suitable for use as part of a functional weapon in less than an hour, using
3 commonly available tools and no special skill.
4
ATF's decision regarding the EP80 is consistent with its prior decisions and its
5 experience in making similar technical assessments about other items submitted for its review.
6 In accordance with federal statutory and case law, and guided by its own expertise, ATF has
7 determined that where the fire-control cavity area on a product has been even partially formed or
8 marked where drilling should occur to create it (so-called indexing), the device should be
9 classified as a receiver. On the other hand, where the fire-control cavity area is a solid, single
10 block of metal or plastic and is unindexed, the device should not be classified as a receiver.
11 ATFs classifications are based on the degree of difficulty involved in the necessary machining
12 and drilling, the cost and availability of the tools needed, the skill required, and the time it would
13 take to fashion the unmachined object, or "blank," into a completed receiver. That is to say, an
14 individual with a receiver whose critical areas have been partially fashioned or indexed can more
15 easily make the item suitable for use as part of a functional weapon -- one that will fire.
16
The device at issue in this case, the EP80, has properly been classified as a receiver
17 because it contains a completely formed fire-control cavity, as well as indexing in that area for
18 the holes that attach the firing components. Although the cavity is filled with plastic, that plastic,
19 which is also of a contrasting color, can be easily removed with commonly available tools,
20 leaving a pocket of the dimensions necessary to accommodate the fire-control components.
21 Plaintiff's claims to the contrary fail to show that ATF's decision was incorrect. First, plaintiff
22 argues that the EP80 is not a receiver because the plastic filler, which plaintiff calls a biscuit, is
23 allegedly formed first (to the dimensions of the fire-control cavity), and the remainder of the
24 device is then built around it. But how and in what order that cavity was created is irrelevant for
25 purposes of ATFs proper classification of the EP80 as a receiver. What matters is that the EP80
26 contains a fully formed fire-control area whose measurements are clearly defined -- three27 dimensionally -- by plastic that can be removed with ordinary tools and no particular skill. As
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1 set forth in more detail below, and as reflected in the agencys administrative record, ATFs
2 determination that the EP80 should be properly classified as a firearm is reasonable, and
3 defendants are entitled to summary judgment.
BACKGROUND
4
5 A.
Applicability of the Gun Control Act of 1968 to Receivers
Congress enacted the Gun Control Act to help keep firearms out of the hands of those not
7 legally entitled to possess them because of age, criminal background, or incompetency, and to
8 assist law enforcement authorities to combat the ever increasing prevalence of crime in the
9 United States. S. Rep. No. 90-1097, at 28 (1968), reprinted in 1968 U.S.C.C.A.N. 2112, 211310 2114; Gilbert Equip. Co. v. Higgins, 709 F. Supp. 1071, 1081-82 (S.D. Ala. 1989). As Congress
11 noted, [t]he ready availability; that is, ease with which any person can anonymously acquire
12 firearms (including criminals, juveniles without the knowledge or consent of their parents or
13 guardians, narcotic addicts, mental defectives, armed groups who would supplant duly
14 constituted authorities, and others whose possession of firearms is similarly contrary to the
15 public interest) is a matter of serious national concern. S. Rep. No. 90-1097, at 28. ATF is the
16 federal agency charged with the administration of the Act. See 18 U.S.C. 926 (The Attorney
17 General may prescribe only such rules and regulations as are necessary to carry out the
18 provisions of this chapter [18 U.S.C. 921 et seq.] . . . .). This enforcement authority is
19 delegated to the Director of ATF. 28 C.F.R. 0.130(a)(1), (2).
20
Among ATFs responsibilities is the classification of firearms, which is handled by the
21 Firearms Technology Branch (FTB) (now called the Firearms and Ammunition Technology
22 Division), ATFs technical authority relating to firearms and their classification under federal
23 firearms laws. See Innovator Enters. v. Jones, __ F. Supp. 2d. __, 2014 WL 1045975, *5
24 (D.D.C. Mar. 19, 2014) (The Firearms Technology Branch of ATF has expertise in classifying
25 firearms and firearm silencersmuch more so than the Court. When considered at this high
26 level of generality, FTB's expertise weighs in favor of deference.); see also Police Automatic
27 Weapons Servs. v. Benson, 837 F. Supp. 1070, 1074 (D. Or. 1993) ([T]he Firearms Technology
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1 Branch is the division of the ATF responsible for testing and evaluating firearms for
2 'classification under' the GCA.") FTB routinely inspects devices submitted by the public or
3 industry and classifies the submissions accordingly. See
4 http://www.atf.gov/content/firearms/firearms-technology. FTB issued approximately 253
5 classification letters in 2013 and approximately 242 classification letters in 2014. Administrative
1
6 Record ("AR") 351-352.
A firearm is defined in the Gun Control Act as:
(A) any weapon (including a starter gun) which will or is designed

to or may readily be converted to expel a projectile by the action of
an explosive; (B) the frame or receiver of any such weapon; (C)
any firearm muffler or firearm silencer; or (D) any destructive
device.
8
9
10
11
12
13
14
18 U.S.C. 921(a)(3) (emphasis added); see also 27 C.F.R. 478.11 (same). Pursuant to its
authority to enforce the Act, ATF defines a receiver as that part of a firearm which provides
housing for the hammer, bolt or breechblock, and firing mechanism, and which is usually
threaded at its forward portion to receive the barrel. 27 C.F.R. 478.11.
15
16
17
18
19
20
21
22
23
Those who wish to import, manufacture, or deal in firearms as defined by the Act must be
licensed by the Attorney General, 18 U.S.C. 923(a), 27 C.F.R. 478.41; must mark each
firearm for identification purposes, 18 U.S.C. 923(i), 27 C.F.R. 478.92; and must maintain
records of their firearms transactions, 27 C.F.R. Subpart H. Firearm licensees must also perform
a background check on persons to whom they are transferring a firearm. 18 U.S.C. 922(t).
B.
The Receiver of the AR-15 Rifle

The weapon at issue in this case is an AR-15-type firearm. The designation AR is a
reference to the company that originally designed the weapon, Armalite Rifle, although the AR15 is currently manufactured by the Colt company. The AR-15 is the particular model of the
24
25
26
1
27
The Administrative Record has been filed contemporaneously herewith.
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2
1 weapon, which is a semi-automatic, civilian version of the 5.56 -caliber M-16 machinegun used
2 by the United States military. A semi-automatic weapon is one that fires a single round with
3 each function (push or pull) of the trigger. Semiautomatic firearms include handguns, rifles and
4 shotguns. See, e.g., 18 U.S.C. 921(a)(28). A semi-automatic contrasts, for example, with a
5 fully automatic weapon, such as a machine gun, which can automatically shoot more than one
6 shot, without manual reloading, with a single function of the trigger.
7
The AR-15 is composed of two separate parts -- an upper assembly and a lower
8 receiver. See Figure 1 (attached as Exhibit 1); AR 377. In this case the receiver is called the
3
9 EP80, the product designation given to it by its manufacturer, EP Arms. In accordance with the
10 regulatory definition, 27 C.F.R. 478.11, the receiver of the AR-15 houses the firing
11 mechanism, whose parts consist of the hammer, trigger, disconnector, selector, pins, and springs.
12 AR 281. The parts comprising the firing mechanism are contained in the fire control cavity, AR
13 281, and are the components of the weapon necessary to initiate the firing. AR 295-297. The
14 receiver of the AR-15 also contains mounting points at the places where the upper assembly is
15 connected to the barrel. AR 341-42, 379.
16
The upper assembly of the AR-15 contains various other parts of the weapon. These
17 include the bolt-carrier group and the attachment point for the barrel and the gas tube, which
18 collectively assist in loading and chambering a cartridge, and which return pressurized gas to
19 cycle the operation of the weapon. AR 303, 317, 330-31. At times the upper assembly of a
20 weapon is somewhat imprecisely referred to as the upper receiver. AR 279. The upper
21 assembly does contain the bolt and is usually threaded at its forward portion to receive the
22 barrel, features which are consistent with the regulatory definition of a receiver. See 27 C.F.R.
23 478.11. However, ATF does not consider the upper assembly to be the receiver because it
24
A caliber is "the diameter of the bore of a gun, usually measured in hundredths of

25 inches or in millimeters." Webster's New World College Dictionary 207 (4th ed. 2010).
26
The terms "precursor" and "80% receiver" used in the Complaint, see, e.g., Complaint
20,
are
plaintiffs
own terminology and are not terms recognized in federal law.
27
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1 does not contain the firing mechanism, and the upper assembly has not been legally classified as
2 the receiver since passage of the Act. AR 294. The upper assembly of the AR-15 is therefore
4
3 not a firearm and is generally unregulated under the Act. AR 294. Accordingly, the parts
4 composing the upper assembly can be bought and sold without meeting licensing, marking,
5 recordkeeping, or background-check requirements of the Act.
6 C.
General Classification Criteria for Receivers
The term receiver blank is used to describe forgings, castings, or machined bodies such
8 as AR-15 receiver castings, in various stages of folding or machining, which are not classified as
9 firearms. AR 119. For a casting to qualify as a receiver, it must have reached a certain advanced
10 stage of manufacture. AR 63, 119. ATF makes this determination based upon the difficulty of
11 the process (i.e., of machining and drilling), the cost and availability of the tools required, the
12 skill required, and the time it would take to fashion the blank into a an item suitable for use as
13 part of a functional weapon . AR 60, 62. These criteria are informed, although not controlled,
14 by the statute and by judicial decisions which somewhat analogously provide guidance as to
15 when a weapon may readily be converted to expel a projectile by the action of an explosive, 18
16 U.S.C. 921(a)(3). See, e.g., U.S. v. Mullins, 446 F.3d 750, 756 (8th Cir. 2006) (finding gun
17 was readily convertible where it could be converted to expel a projectile without any
18 specialized knowledge in less than an hour, and in minutes by an expert); U.S. v. Reed, 114 F.3d
19 1053, 1057 (10th Cir. 1997) (upholding firearms conviction where the defense expert testified
20 that the gun was workable after fifteen to twenty minutes of manipulation); U.S. v. 16,179 Molso
21
22
23
24
25
26
27
The upper assembly, along with all other parts of the weapon, were originally regulated
under the Federal Firearms Act (the operative federal law prior to the Gun Control Act of 1968).
However, in passing the latter Act, Congress determined that the lower receiver was the only "part"
of the firearm that would be considered the regulated "receiver" under federal law. The reason for
the decision to limit regulation to the lower receiver was that it had become "impracticable, if not
impossible, to treat each small part of a firearm as if it were a weapon." AR 223, Interstate Shipment
of Firearms: Hearing on S. 1975 and S. 2345 Before the S. Comm. on Commerce, 88th Cong. 286
(1964) (Technical Explanation of Amendments to the Federal Firearms Act Proposed by S. 1975
(89th Cong., 1st Sess.)). Accordingly, Congress determined to eliminate all but frames and receivers
from the provisions of the Act. Id. The agency was responsible for defining what would constitute a
receiver. AR 235-36.
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1 Italian .22 Caliber Winlee Derringer Convertible Starter Guns, 443 F.2d 463, 465-66 (2d Cir.
2 1971) (holding that starter guns that could be converted to fire live ammunition in twelve
3 minutes or less by means of an electric drill were readily convertible); U.S. v. Stewart, 2001
4 WL 194917, *1-2 (D. Ariz) (finding that parts kit was a firearm where it contained all parts
5 necessary to complete the rifle, and had a partially machined receiver whose manufacturing
6 could be completed in thirty minutes.); see also U.S. v. Smith, 477 F.2d 399, 400 (8th Cir. 1973)
7 (per curiam) (holding that a machine gun could be readily restored to shoot automatically
8 where process would take an eight-hour day in a properly equipped machine shop).
ATF's technical experts have determined that for an AR-type receiver blank to remain
10 outside the purview of the Act, its fire-control area must remain solid, viz., uncreated, unformed,
11 and unmachined in any way. See AR 57-59, 69, 82; see also AR 279, 286-90. In order to ensure
12 consistency, ATF created this uniformly applicable baseline standard, determining that the
13 critical manufacturing process occurs when any step is taken toward completion of the critical
14 area. In the case of AR-type firearms this is the fire-control cavity on the lower receiver, as
15 indicated in Figure 2 (attached as Exhibit 1). AR 379.
As an example of ATF's adherence to this standard, the upper and lower portions of the
16
17 weapon are attached by a lug on the upper assembly which is inserted into a hole on the receiver.
18 See Figure 8 (attached as Exhibit 1); AR 294, 297, 379. ATF has specified that, in order for the
19 receiver to be considered completely solid and un-machined in the fire-control recess area,
20 that hole must be no longer than .800 inch, measured from immediately forward of the front of
21 the buffer retainer hole. See AR 82, 86, 285. The purpose of this specification is to prevent any
22 encroachment into the fire-control cavity by the drilling of a hole that is any larger. See e.g. AR
23 82.
24
The same rationale applies to ATFs determination that the indexing of any part of the
25 fire-control area would require a device to be classified as a firearm receiver. See e.g. AR 86,
26 135, 138, 140. The term indexing refers to the placement of marks on a receiver to indicate
27 the exact location where one or more critical machining operations are necessary to make the
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RIF
1 weapon functional. See e.g. AR 138. An AR-15 has been indexed if (1) the fire control cavity
2 has been milled or marked with appropriate dimensions; or (2) any of the pin holes into which
3 the fire-control component are mounted have been drilled or marked with appropriate
4 dimensions. AR 140.
ATFs position that the fire-control area must remain completely solid and unindexed is
6 supported by law enforcement and public safety considerations. To allow that an item must be
7 fully operational before it may be classified as a firearm would enable manufacturers to produce
8 devices that are all but fully functional weapons, but that cannot be classified as firearms because
9 they require some very minimal amount of tooling before they can shoot. Such classification
10 decisions would thereby allow manufacturers to circumvent licensing, regulation, and
11 serialization requirements, and would allow individuals to evade background checks, thereby
12 undermining the Gun Control Act. See, e.g., 18 U.S.C. 922(q)(1) (Congressional finding that
13 crime . . . involving guns, is a pervasive, nationwide problem); see also S. Rep. No. 90-1097..
14 D.
The EP80's Already Formed Fire-Control Cavity and Indexing
15
The receiver at issue here, the EP80, is made of Nylon-type reinforced polymer. AR 11.
16 Its fire-control cavity is filled with polymer of a different color, AR 23-25, 275-78, as pictured in
17 Figure 3-4 (attached as Exhibit 1). AR 355-61.
In contrast, the receiver blanks that ATF has determined are not firearms do not have a
18
19 fire-control cavity that has been created, altered, or filled with any insert or otherwise indexed in
20 any way. AR 57-59, 95-113. A receiver blank is pictured in Figure5 (attached as Exhibit 1). AR
21 279. The EP80 also has material protruding from the exterior walls of the casting at the spots
22 where holes must be drilled for the selector (the switch that allows a gun to be placed in safety
23 mode or firing mode) and the pins that attach the hammer and trigger. AR 355, 357. These
24 protrusions are indicated in the picture of the EP80 in Figure 7 (attached as Exhibit 1). The
25 exterior walls of the casting on receiver blanks, on the other hand, are completely smooth and
26 unindexed, as shown in Figure 6 (attached as Exhibit 1). AR 279.
27 E.
ATFs Classification of the EP80 as a "Firearm Receiver"
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On July 20, 2013, EP Arms, the manufacturer of the EP80 and a member of plaintiff
2 California Rifle and Pistol Association, asked ATF for a determination as to whether the EP80
3 should be classified as a firearm. AR 1. EP Arms contended that the casting it submitted was
4 not a firearm because it would require further machining in order to be capable of being
5 assembled with other parts to put together a firearm. AR 3. Citing prior determinations, EP
6 Arms claimed that ATF had offered inconsistent opinions regarding the extent to which such raw
7 material must be machined in order to be deemed a firearm. AR 4.
ATF responded on February 7, 2014, that the EP80 was properly classified as a firearm
9 receiver because the fire-control cavity had been formed during the manufacturing process. AR
10 8. Although the fire-control cavity was filled with plastic material, or polymer, the submitted
11 casting had reached a point in its manufacture to be classified as a firearm. AR 8. The fact that
12 the polymer had to be removed before the fire-control components could be installed did not
13 alter the fact that the fire-control cavity was formed. AR 8. ATF also noted the existence of
14 protrusions on the exterior walls of the casting device indicating the approximate locations of
15 holes to be drilled for the selector, hammer, and trigger pins. AR 8.
EP Arms then filed an appeal on March 4, 2014, claiming that ATF's decision was based
16
17 on a misunderstanding of the process by which the EP80 was manufactured. AR 10.

18 Specifically, EP Arms explained that the plastic core of the item, or "biscuit," was manufactured
19 first and then placed inside the cavity of a secondary mold, which was then injected with
20 material to create the overall shape of the product. AR 11. Therefore, according to EP Arms, the
21 casting was not a receiver or firearm, because "at no time does a fire-control cavity exist." AR
22 11.
23
ATF declined to reverse its determination, AR 20. ATF explained that it has long held
24 that items such as receiver blanks castings or machined bodies in which the fire-control
25 cavity area is completely solid and unmachined have not yet reached a stage of manufacture
26 to be classified as a firearm receiver, but that, unlike the EP80, [t]hese items are a single
27 piece of metal that require a substantial amount of machining to the vital areas of the firearm.
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1 AR 21-22. As ATF noted, each of the instances cited by plaintiff in which FTB had determined
2 that certain submissions were not firearm receivers involved a fire-control cavity that was the
3 same material as the receiver itself and the material filling the fire-control cavity is integral to the
4 item; therefore the fire-control cavity had not been created. AR 22. Such characteristics
5 contrast with the EP80, whose fire-control cavity was formed and filled with a different material
6 than the surrounding parts.
7
ATF pointed out that the manufacturing process for the EP80 created a fire-control cavity
8 through the use of a biscuit during the molding process of the exact size and dimensions of
9 the functional fire-control cavity. AR 23-24. In contrast to castings or blanks which are
10 formed as a single piece in which the fire-control cavity has not been made, the biscuit actually
11 creates the internal dimensions of the fire-control cavity. AR 23. In fact, it appeared that the
12 sole purpose of the biscuit is to differentiate the fire-control area from the rest of the receiver
13 and thus facilitate the process of making the receiver into a functional firearm. AR 24. Based
14 on the EP Arms manufacturing process, it was clear that the biscuit served to index the entire
15 fire-control cavity so that it could be easily identified and the biscuit could be removed to create
16 a working firearm. AR 24. ATF concluded that the EP80 was therefore properly classified as a
17 firearm as defined in 18 U.S.C. 921(a)(3) because the fire-control area is created during the
18 manufacturing process through the use of the biscuit. AR 24.
19
ATF also pointed out that the manufacturing process results in excess material
20 extending past the exterior walls of the casting, indicating the approximate locations of the holes
21 to be drilled for the selector, hammer, and trigger pins. AR 24. According to ATF, the point
22 in the manufacturing process at which an AR-15 blank is classified as a firearm is when it has
23 been indexed for or machined in the fire-control recess area. AR 25. Thus, ATF concluded that
24 the excess material indexing the location for the holes to be drilled is, by itself, sufficient to
25 classify the sample as a firearm receiver. AR 25.
26
27
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ARGUMENT
1
2 I.
THE CASE SHOULD BE DISMISSED FOR LACK OF JURISDICTION

BECAUSE PLAINTIFF LACKS STANDING TO PURSUE ITS CLAIMS
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
Plaintiff has failed to meet its burden of establishing this Courts subject matter
jurisdiction over its claims because it does not meet the bedrock constitutional requirement
that it present a justiciable case or controversy for this Courts decision. See Valley Forge
Christian Coll. v. Am. United for Separation of Church & State, 454 U.S. 464, 471 (1982).
Article III of the U.S. Constitution confines the federal courts to adjudicating actual
cases and controversies.'" Allen v. Wright, 468 U.S. 737, 750 (1984). The doctrine of
standing is an essential and unchanging part of the case-or-controversy requirement of Article
III. Lujan v. Defenders of Wildlife, 504 U.S. 555, 560 (1992). Plaintiffs bear the burden of
pleading sufficient factual information to conclude that this Court has jurisdiction. See Renne v.
Geary, 501 U.S. 312, 315 (1991); Lopez v. Candaele, 630 F.3d 775, 787 (9th Cir. 2010); see Fed.
R. Civ. P. 12(b)(1). Because standing goes to the power of a federal court to adjudicate a case,
resolution of the standing question is necessarily antecedent to any decision on the merits. Steel
Co. v. Citizens for a Better Env't, 523 U.S. 83, 94 (1988).
A.
Plaintiff Lacks Representational Standing
Plaintiff lacks standing to obtain relief as a result of ATF's determination regarding the
EP80 submitted by EP Arms, which is not a party to this case. Plaintiff asserts that EP Arms is
one of its members and is the manufacturer of the EP80. Complaint 24. However, an
organization may have "representational" standing to bring claims based on the rights of
individual members only when it demonstrates, inter alia, that neither the claim asserted nor the
relief requested requires the participation of individual members in the lawsuit. Associated
Gen. Contractors of Am. v. Cal. Dept. of Transp., 713 F.3d 1187, 1194 (9th Cir. 2013);
Representational standing does not exist where claims are not common to the entire
membership, nor shared by all in equal degree, but rather whatever injury may have been
suffered is peculiar to the individual members concerned, and both the fact and extent of the
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29

285
RIF
1 injury would require individualized proof. Lake Mohave Boat Owners Assn v. Natl Park
2 Serv., 78 F.3d 1360, 1367 (9th Cir. 1996) (citing Warth v. Seldin, 422 U.S. 490, 515-16 (1975),
3 and Associated Gen. Contractors, Inc. v. Coal. for Econ. Equity, 950 F.2d 1401, 1408 (9th Cir.
4 1991)); see also J.L. v. SSA, 971 F.2d 260, 268 n.8 (9th Cir. 1992) (noting that even to sue on its
5 own behalf, an association "must, like any other plaintiff, satisfy the constitutional and prudential
6 considerations of standing").
7
Here, individual participation by EP Arms would be necessary to determine whether it
8 relied on ATF's determination and was actually injured by such reliance, and whether plaintiff's
9 requested injunctive and declaratory relief would redress any such injury. EP Arms has not seen
10 fit to sue ATF on its own to challenge the decision regarding the EP80, and the complaint does
11 not plead that EP Arms even wants the relief being sought on its behalf. Indeed, while plaintiff
12 purports to represent, among others, California purchasers, manufacturers, and sellers of
13 products like the EP80 throughout California, Complaint 4, 5, at least one other California
14 purveyor of the EP80 has brought its own lawsuit against ATF raising claims that are nearly
15 identical to those raised in the present case. Lycurgan, Inc. v. Jones, No. 14-cv-00548-JLS-BGS
16 (S.D. Cal. filed March 11, 2014). Moreover, although plaintiff purportedly seeks relief on behalf
17 of EP Arms, it is unclear whether EP Arms would consider itself bound by an adverse ruling in
18 this case, and ATF could very well face another lawsuit brought by EP Arms itself that is
19 identical to this one.
20
Finally, as the complaint indicates, the EP80 was manufactured in a novel way with
21 distinct features. See Complaint 25-32. An ATF classification was sought for the EP80 itself.
22 Id. 24. A general and unspecified statement that plaintiff represents other entities that are also
23 generally interested in purveying similar items, see id. 5, is insufficient to connect them to the
24 device and decision at issue in this matter. Plaintiff therefore does not meet the test for
25 associational standing.
26
B.
Plaintiff Lacks Prudential Standing
27
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RIF
A plaintiff must also satisfy the prudential requirements for standing that have been
2 adopted by the judiciary. See Elk Grove Unified Sch. Dist. v. Newdow, 542 U.S. 1, 11-12
3 (2004). These prudential limits on standing, which must be satisfied in addition to Article III
4 constitutional standards, include the general prohibition on a litigants raising another persons
5 legal rights, the rule barring adjudication of generalized grievances more appropriately addressed
6 in the representative branches, and the requirement that a plaintiffs complaint fall within the
5
7 zone of interests protected by the law invoked. See Elk Grove, 542 U.S. at 12. Prudential
8 standing requirements preclude a plaintiff from asserting the rights of a third party. See Fair
9 Empt Council v. BMC Mktg. Corp., 28 F.3d 1268, 1277 (D.C. Cir. 1994). Federal courts must
10 hesitate before resolving a controversy ... on the basis of the rights of third persons not parties to
11 the litigation. Singleton v. Wulff, 428 U.S. 106, 113 (1976). First, the courts should not
12 adjudicate such rights unnecessarily, and it may be that in fact the holders of those rights either
13 do not wish to assert them, or will be able to enjoy them regardless of whether the in-court
14 litigant is successful or not. Id. at 11314. Second, third parties themselves usually will be the
15 best proponents of their own rights. Id. at 114.
16
The entity actually allegedly harmed by ATF's decision is the appropriate one to
17 challenge it, not a third-party organization which has diffuse objectives, see Complaint 4, and
18 which therefore might not represent the best interests of a particular purveyor of the EP80.
19 Plaintiff is not the manufacturer of the EP80 and did not seek out ATFs classification decision.
20 It lacks the right to seek review of that decision on its own. Plaintiff's complaint should
21 therefore be dismissed for lack of standing.
22
23
24
25
26
27
In Lexmark International, Inc. v. Static Control Components, Inc., 134 S. Ct. 1377,
1387 (2014), the Supreme Court recently clarified that the term "prudential standing" is a
"misnomer," and that the traditional prudential limits on standing are either arguments with
respect to Article III standing or issues of statutory interpretation. The Court did not address the
question of whether the prohibition on asserting anothers rights was constitutionally based, and
in a footnote noted that [t]he limitations on third-party standing are harder to classify . . . and
consideration of that doctrines proper place in the standing firmament can await another day.
Id. at n. 3. However the bar on asserting another partys rights is characterized, it is clear that
plaintiff's assertion of EP Arms' rights here is precisely the sort of situation where third party
standing has been found inappropriate. See id.
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1 II.
SUMMARY JUDGMENT SHOULD BE GRANTED FOR DEFENDANTS

BECAUSE THEIR ACTIONS WERE NOT ARBITRARY AND CAPRICIOUS
2
3
4
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6
7
8
9
10
11
12
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14
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23
24
25
26
A.
The Standard of Review is Narrow
Summary judgment is appropriate when, after considering the record as a whole, there is
no genuine issue of material fact, and the movant is entitled to judgment as a matter of law. See,
e.g., Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 247-8 (1986); Fed. R. Civ. P. 56(c). The
movant initially must demonstrate the absence of a genuine issue of material fact. See, e.g.,
Celotex Corp. v. Catrett, 477 U.S. 317, 325 (1986). Once the movant has met its burden, the
nonmoving party generally may not rely on the allegations or denials in its pleading, but must
come forward with specific facts showing a genuine issue for trial. See, e.g., Anderson, 477 U.S.
at 248. Summary judgment is an appropriate mechanism for determining whether or not as a
matter of law the evidence in the administrative record permitted the agency to make the
decision it did. Occidental Engg Co. v. I.N.S., 753 F.2d 766, 769 (9th Cir. 1985).
Plaintiff alleges that ATFs classification of the EP80 as a firearm constitutes arbitrary,
capricious, and unlawful agency action under the Administrative Procedure Act (APA), 5 U.S.C.
701 et seq. Complaint 68-69. The APA provides for circumscribed judicial review of
agency action. 5 U.S.C. 702, 706. Under the APA, a court may overturn agency action only
if the action was arbitrary, capricious, an abuse of discretion, or otherwise not in accordance
with law . . . . Id. 706(2)(A); see Native Vill. of Kivalina IRA Council v. U.S. Evtl. Prot.
Agency, 687 F.3d 1216, 1219 (9th Cir. 2012). The standard of review is narrow, Barnes v.
U.S. Dept of Transp., 655 F.3d 1124, 1132 (9th Cir. 2011), and the agencys action is entitled to
a presumption of regularity, Citizens to Preserve Overton Park, Inc. v. Volpe, 401 U.S. 402,
415 (1971). The court is not empowered to substitute its judgment for that of the agency.
Overton Park, 401 U.S. at 416; Ariz. Cattle Growers Assn v. U.S. Fish & Wildlife, BLM, 273
F.3d 1229, 1236 (9th Cir. 2001) (internal citations and quotation marks omitted); see also
Barnes, 655 F.3d at 1132.
27
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A court must evaluate an agencys decision based on the administrative record that was
2 before the agency at the time of its decision. See Fla. Power & Light Co. v. Lorion, 470 U.S.
3 729, 743 (1985); see also Inland Empire Pub. Lands Council v. Glickman, 88 F.3d 697, 703 (9th
4 Cir. 1996). The reviewing court must determine whether the agency has considered the relevant
5 factors and articulated a rational connection between the facts found and the choice made. Balt.
6 Gas & Elec. Co. v. Natural Res. Def. Council, Inc., 462 U.S. 87, 105 (1983); Defenders of
7 Wildlife v. Flowers, 414 F.3d 1066, 1073 (9th Cir. 2005). So long as there is a rational basis,
8 an agencys decision will only be overturned if the agency committed a clear error in
9 judgment. Wetlands Action Network v. U.S. Army Corps of Engrs, 222 F.3d 1105, 1114-15
10 (9th Cir. 2000) (quoting March v. Or. Natural Res. Council, 490 U.S. 360, 378 (1989)).
11
Finally, a court "generally must be 'at its most deferential' when reviewing scientific
12 judgments and technical analyses within the agency's expertise." N. Plains Res. Council, Inc. v.
13 Surface Transp. Bd., 668 F.3d 1067, 1075 (9th Cir. 2011) (quoting Balt. Gas & Elec. Co. v.
14 Natural Res. Def. Council, Inc., 462 U.S. 87, 103, 103 S. Ct. 2246, 76 L. Ed. 2d 437 (1983)); see
15 also Farmer v. Higgins, 907 F.2d 1041, 1045 (11th Cir. 1990) ("[w]e must defer to the Bureau's
16 interpretation of the Gun Control Act and its regulations absent plain error in the Bureau's
17 interpretation."), citing Gun South, Inc. v. Brady, 877 F.2d 858, 864 (11th Cir. 1989). Moreover,
18 "[i]t matters not whether the ATF's decision is ultimately a good one or whether the court agrees
19 with the ATF's decision. . . . Rather, what matters is whether plaintiff has presented sufficient
20 evidence to meet his burden of proving that the defendant's decision in this case is arbitrary
21 and capricious." Mullenix v. ATF, 2008 WL 2620175, at *5 (E.D.N.C. July 2, 2008) (internal
22 citation omitted); Modern Muzzleloading v. Magaw, 18 F. Supp. 2d 29, 37 (D.D.C. 1998) (ATF
23 "does not bear the burden of convincing the Court that its position is betterit merely need
24 convince the Court that the decision was not arbitrary and capricious."); Gilbert Equipment Co.,
25 Inc. v. Higgins, 709 F. Supp. 1071, 1076 (S.D. Ala. 1989) (It "is of no moment that the
26 administrative record might also support the opposite conclusion, as the court needs only
27 determine that a rational basis exists for [ATF's] decision.").
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B.
ATF's Classification of Plaintiffs EP80 as a Receiver Was Reasonable
In determining whether items should be classified as firearms, ATF relies on its technical
3 and scientific expertise, as well as its long experience in reviewing and classifying firearms.
4 When it reviewed the EP80, ATF considered the relevant factors and applied the appropriate
5 criteria in classifying the EP80 as a firearm receiver. The agencys determination was
6 reasonable.
7
1.
The EP80's Fire-Control Cavity is Not Solid or Unformed, and the

Biscuit and Protrusions Provide Guidance As to How to Complete It
8
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20
21
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23
24
25
26
The fire-control cavity of plaintiffs EP80 is created during the manufacturing process
and formed by a piece of polymer of a different color that plaintiff calls a biscuit. AR 21-24.
The biscuit occupies the fire-control cavity, and the rest of the EP80 is allegedly wrapped around
it. Complaint 32. Once the EP80 is complete, and because polymer is inherently easier to
machine than metal, the biscuit can be removed with any number of tools that are readily
available at most hardware and home improvement stores or through the internet, such as a drill
press, hand drill, Dremel tool (a versatile, handheld rotary bit tool that can be used to cut, grind,
drill, sand, and mill various materials), or other type of milling equipment. See AR 280. ATF
has consistently determined that in order for an AR-type receiver blank to remain outside the
purview of the Act, its fire-control cavity must remain solid and unformed. In accordance with
this position, the EP80 was properly classified as a firearm because the fire-control area was
fully formed during the manufacturing process through the use of the biscuit. AR 21-24.
Furthermore, by differentiating the fire-control cavity from the rest of the receiver, the
biscuit facilitates the process of making the receiver into a functional firearm. AR 24. The
biscuit is molded so that the entire fire-control cavity will be filled by it. AR 23-24. Hence, the
biscuit defines the exact size and dimensions of the fire-control cavity space, so that once the
biscuit is removed, the hammer, trigger, and other components of the firing mechanism can be
inserted. AR 23-24. Plaintiff itself calls the biscuit a color-coded guide. Complaint 26.
27
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RIF
1 Thus, the biscuit supplies three-dimensional indexing for the entire fire-control cavity. AR 232 24.
3
In addition, plaintiffs EP80 contains indexing on the exterior walls of the fire-control
4 cavity for the pin holes that hold the hammer and trigger pins, and for the hole that houses the
5 selector. AR 24. This indexing results from the manufacturing process, which creates material
6 that protrudes from the exterior walls of the casting at the approximate location of the holes to be
7 drilled. AR 24. Without this indexing, certain skill and expertise would be required to drill
8 holes at the proper locations for the selector and the hammer and trigger pins. AR 319. Holes of
9 the proper size can easily be made using drill-bits of the correct diameter. AR 363, 365. Hence,
6
10 the indexing on the exterior walls of the fire-control cavity, by itself, is sufficient to classify the
11 EP80 as a firearm receiver, because it is tantamount to forming the holes themselves and thereby
7
12 facilitates the conversion of the EP80 into an operational weapon. See AR 25, 86.
13
Plaintiffs EP80 can be made into a functional firing mechanism simply by removing the
8
14 biscuit, drilling out the indexed holes, and inserting the appropriate (unregulated) fire-control
15 parts. AR 275-78. The process takes less than two hours and requires no particular skill. In
9
16 fact, it is accurately demonstrated on a YouTube video in under 1 hour.
17
Even if the Court disagrees that the EP80 was otherwise properly classified as a firearm
18 receiver, it should still uphold ATF's decision on the basis of the indexing provided by the
protrusions in the fire-control cavity area.
19
20
21
22
23
24
Plaintiff claims that because the remainder of the device is cast around the biscuit in the
EP80, an actual "cavity" never exists during the creation of the EP80, and the device therefore
cannot be considered a firearm. Complaint 32. But the sequence of manufacturing is not
relevant to ATFs determination. What matters is the fact that the EP80 contains a threedimensionally indexed fire-control cavity as well as indexing for the fire-control component
holes. These features are the reason the EP80 has properly been classified as a receiver and a
firearm, regardless of how or in what order the fire-control cavity was formed and its indexing
was created, or when the cavity was occupied by plastic. AR 20-25.
25
26
Only the "frame or receiver" are regulated. See 18 U.S.C. 921(a)(3).
Plaintiff claims that the removal of 1/16 of an inch of material surrounding the biscuit
requires
precise
machining. Complaint 34. However, as the video shows, and as ATF has
27
determined, the removal from the fire-control cavity of this and all other material necessary to
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291
RIF
1 https://www.youtube.com/watch?v=pxcSlOVeXlQ (accessed on Jan. 7, 2015) AR 275-78. As

2 shown on the video, portions of the biscuit can ultimately be pried out with a pair of pliers
3 thereby countering Plaintiffs claim and demonstrating that the biscuit and the receiver are two
10
4 separate pieces. See Video Clip at 4:06. Hence, the EP80 has reached an advanced enough
5 stage of manufacture that it must be classified as a firearm under longstanding ATF precedent.
6 AR 20-25; see 18 U.S.C. 921(a)(3); cf. U.S. v. Mullins, 446 F.3d at 756; U.S. v. Reed, 114
7 F.3d at 1057; U.S. v. 16,179 Molso, 443 F.3d at 465-66; U.S. v. Stewart, 2001 WL 194917, *18 2; cf. also, U.S. v. Smith, 477 F.2d at 400.
9
The EP80 manufacturing process contrasts with the manufacture of receiver blanks.
10 Such blanks that are formed as a completely solid, single piece of metal or plastic that requires a
11 substantial amount of precise machining and expertise to create a fire-control cavity. AR 22.
12 For example, the machining of such a solid metal block would take approximately seven hours,
13 and considerable skill would be required to drill the cavity and holes to the precise measurements
14 needed. AR 292, 294. Such castings are not classified as receivers because of the time and
15 expertise required to convert them into properly functioning weapons. See, e.g., AR 183-84. On
16 the other hand, the machining of the EP80 can be completed in a relatively short time, using
17 commonly available tools, and requiring no particular skill or expertise. The indexing supplied
18 by the biscuit and exterior-wall protrusions and the relative ease with which plastic can be
19 removed facilitates this process.
20
ATFs requirement that receivers outside the scope of the Gun Control Act must be blank
21 reflects the agencys technical expertise and allows for fair enforcement. Otherwise, ATF would
22
23
allow for the insertion of the fire-control parts can be accomplished in less than an hour with no
24 special expertise. AR 275.
25
10
ATF official Michael Curtis, the FTB Firearms Enforcement Officer, also removed the
biscuit from the fire-control cavity of the EP80 using commonly available tools and a process
26 similar to that demonstrated in the YouTube video. The excavation of the fire-control cavity
27 took less than an hour and required no particular expertise.
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292
RIF
1 have to base classifications on a potentially infinite number of miniscule increments in the

2 amount of machining performed on a device or in the indexing that has been placed on it. The
3 classification of the EP80 reflects ATF's expertise and exercise of its discretion and is not an
4 arbitrary and capricious determination. Because ATF acted rationally, its decision should be
5 upheld. See Mullenix, 2008 WL 2620175, at *5; Modern Muzzleloading, 18 F. Supp. 2d at 37;
6 Gilbert Equipment, 709 F. Supp. at 1076.
2.
ATFs Classification of the EP80 is Consistent with Its Prior Decisions

on Other Items
8
9
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12
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16
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24
25
Plaintiff erroneously contends that ATF's classification of the EP80 is not based on "any"
of its prior opinions, which allegedly found that "only when a fire-control cavity is created is
there an actual . . . 'receiver' capable of being regulated." Complaint 42, 48. While FTB has
never before been asked to evaluate a casting with a polymer-filled fire-control cavity like the
EP80, ATFs decision that the EP80 is a receiver is consistent with the principles governing
ATFs prior decisions. ATF has consistently classified AR-type receiver-castings as firearms if
any of the fire-control cavity has been milled or indexed, or if the receiver-castings have holes or
indexing marks for the fire-control components. See, e.g., AR 57-69, 74-91, 104-113, 121-22,
137-38 (classifying as firearms or receivers AR-type castings that contained holes, cavities,
or indexing). By the same token, it has declined to classify items as firearms that are
completely solid and un-machined in the fire-control recess area and are unindexed in that
area. See, e.g., AR 95-103, 117-20, 135-36, 139-40, 142-65 (declining to classify as firearms
or receivers AR-type casting that did not contain holes, cavities, or indexing). 11
The record is replete with examples of ATF's consistency with respect to AR-type
receivers. For instance, at least as early as 1983, ATF classified an AR-type design as a firearm
receiver where it required 75 minutes of drilling and filing to be made functional. AR 60. ATF
made a similar decision in 1992 with respect to a receiver whose interior cavity had not been
26
11
27
Moreover, even if this were the case, the EP80's pinholes are an independent basis for
its classification as a firearm. See supra n.6.
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293
RIF
1 completely machined, but that could be made functional with some minimal additional drilling
2 and filing. AR 62. In 2002 ATF again determined that even if the AR-15 submission had a solid
3 interior, it would still be considered a firearm if it had holes for the trigger and hammer pins
4 because it would take only about 75 minutes of drilling and filing to make such an item
5 functional. AR 66. Similarly, in 2012, where the AR-15-type submission had been split length6 wise into two halves, but with the fire-control cavity area hollowed out in each half, ATF
7 classified the left half as a firearm receiver because the submission could be made into a
8 functional weapon simply by bolting the two halves together. AR 85. Because the fire-control
9 cavity of the left half was machined, that half was classified as a receiver even though it could
10 not by itself be made into a working weapon given that the right half contained all of the vital
11 components. AR 84-86. The classification of the EP80 as a receiver because of the formation of
12 the fire-control cavity and the relative ease with which the EP80 can be made a suitable part of
13 an operating weapon is consistent with these determinations.
14
Similarly, with respect to the indexing of fire-control component holes, ATF has
15 consistently determined that an AR-type receiver-blank [which] possessed indexing marks for
16 the fire-control components (trigger group) was finished to the point that it was properly
17 classified as a firearm frame or receiver. AR 135; see also AR 137-38. In the same vein, where
18 there are no index detents machined for the safety lever or the trigger/hammer pins (and the
19 fire-control cavity is solid), ATF has consistently determined that the submission is not a firearm.
20 AR 143, 145. ATFs decision to classify the EP80 as a firearm on the basis of its indexing of the
21 holes to be drilled for the selector and the hammer and trigger pins is consistent with these
22 decisions.
23
The three ATF classification determinations that plaintiff cites to support its position,
24 Complaint 39, are instead consistent with ATFs prior determinations and its classification of
25 the EP80 as a firearm in this case. The two instances cited by plaintiff involving solid metal
26 receiver blanks with no indexing or machining of the fire-control cavity were not classified as
27 firearms. See AR 96 (not a firearm receiver because there are no index detents machined for
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294
RIF
1 the safety lever or the trigger/hammer pins.); AR 37-38 (not a firearm because no machining
2 operations had been performed on the fire-control cavity and none of the holes has been drilled
3 or indexed for the firing components). On the other hand, the submission that had machining
4 for the selector opening was classified as a firearm receiver. See AR 26. Here, the EP80 has
5 both a fully formed and indexed fire-control cavity as well as indexing, not just for the selector
6 hole as in the example above, but for the hammer/trigger pin holes as well. AR 24. Its
7 classification as a firearm receiver adheres to the principles applied in the decisions plaintiff
8 cites, as well as the other decisions discussed herein.
9
Even in connection with other firearm designs, ATF has consistently applied the same
10 principles, finding that the determination of whether the item should be classified as a firearm
11 would depend on whether the item can be brought to a stage of completeness that will allow it
12 to accept the firearm components [for] . . . which it is designed . . ., using basic tools in a
13 reasonable amount of time. AR 188. For example, ATF decided that the right side plate of a
14 machine gun replica was a firearm receiver where the side plate was otherwise nearly
15 completely machined and matched the dimensions of an actual machine gun. AR 171-75, 187.
16 ATF also found that the number and complexity of operations already made were sufficient to
17 classify a sample pistol frame as a firearm where a remaining critical operation could be
18 completed in a minimal amount of time by a competent individual having the necessary
19 equipment. AR 213-14. And ATF determined that a machinegun conversion device called a
20 drop-in auto sear, even in unfinished condition, met the definition of a machine gun because it
21 was part of a combination of parts designed and intended . . . for use in converting a weapon
22 into a machine gun pursuant to 26 U.S.C. 5845(b); see also 18 U.S.C. 921(a)(23). AR 170.
23
Plaintiff argues that ATFs decision not to classify jigs as firearms is inconsistent with its
24 decision to classify the EP80 as a receiver because the use of the jig is tantamount to indexing.
25 Complaint 48. A jig is a flat metal device into which openings are cut to match the surface
26 dimensions of the fire-control cavity or other necessary fire-control apertures on a receiver. AR .
27 The jig can be laid on the fire-control cavity area to guide the machining of the proper surface
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295
RIF
1 dimensions of the cavity. AR 362-74. However, the jig does not provide any guidance for the
2 proper measurements of the three-dimensional cavity, as does the biscuit in the EP80. AR 3623 74. The creation of an accurately measured three-dimensional fire-control cavity requires
4 significantly more skill and machining than would the removal of the polymer filler in the EP80.
5 AR 362-66. Even with a jig to define the surface dimensions of the fire-control cavity, the
6 process of hollowing out the cavity to accurate dimensions would not take significantly less time
7 than hollowing out the entire fire-control cavity.
CONCLUSION
8
9
Plaintiff lacks standing to bring this lawsuit simply because it is unhappy with ATF's
10 decision regarding the EP80, when the manufacturer that sought ATF's decision has not seen fit
11 to assert its own rights, and this case should be dismissed. Alternatively, the classification of the
12 EP80 reflects ATF's scientific and technical expertise, and the agency reasonably determined that
13 it should be treated as a firearm under the Gun Control Act. ATFs decision was based on a
14 consideration of the relevant factors, and it reflects a rational connection between the facts found
15 and the conclusions made. Defendants' motion for summary judgment should therefore be
16 granted.
17
18 Dated: January 9, 2015
19
20
By:
21
/s/ Lisa A. Olson

LISA A. OLSON
DIANE KELLEHER
LISA A. OLSON
Telephone: (202) 514-5633
Facsimile: (202) 616-8470
22
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26
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1 DIANE KELLEHER
LISA A. OLSON
4 Telephone: (202) 514-5633
Facsimile: (202) 616-8470
5
6
7
9
10
11

Plaintiff,
12
v.
13
14

15
Defendants.
16
CASE NO. 1:14-cv-01211

ATFS REQUEST FOR PERMISSION TO
DISPENSE WITH THE REQUIREMENT OF
FILING A STATEMENT OF UNDISPUTED
FACTS AND [PROPOSED] ORDER
Date:
Time:
Judge:
Crtrm:
March 25, 2015

9:30 a.m.
6, 14th Floor
17
18
Defendants, through their attorneys, hereby respectfully submit their Request for Permission to
19 Dispense with the Requirement of Filing a Statement of Undisputed Facts as required under Eastern
20 District Local Rule 260(a) because this Courts review of plaintiff's claims under the Administrative
21 Procedure Act (APA) is limited to the administrative record. [R]equests to dispense with the
22 requirement of filing a statement of [undisputed] facts are routinely granted in this District because
23 [i]n APA cases, statements [of undisputed facts] are generally redundant because all relevant facts are
24 contained in the agencys administrative record. San Joaquin River Group. Auth. v. Natl Marine
25 Fisheries Serv., 819 F. Supp. 2d 1077, 1084 (E.D. Cal. 2011). Accordingly, defendants request that the
26 Court permit them to dispense with Local Rule 260(a)s requirement of filing a Statement of Undisputed
27 Facts when they file their Motion to Dismiss, or Alternatively, for Summary Judgment on January 9, 2015.
28
297
RIF

1
Dated: January 9, 2015
2
3
By:
/s/ Lisa A. Olson

LISA A. OLSON
DIANE KELLEHER
LISA A. OLSON
Telephone: (202) 514-5633
Facsimile: (202) 616-8470
5
6
7
8
9
10
ORDER
11
12
IT IS SO ORDERED.
13
Dated: ___________________
14
15
___________________________________
JOHN A. MENDEZ
UNITED STATES DISTRICT JUDGE
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Plaintiff,
CASE NO. 1:14-cv-01211 JAM-SAB

v.

Defendants.
EXHIBIT INDEX IN SUPPORT OF DEFENDANTS MOTION TO DISMISS, OR

Contents
Exhibit 1
- Figure 1: Image of the Upper Assembly separated from the Lower Receiver
- Figure 2: Image of the biscuit and fire-control cavity in an opaque receiver
- Figure 3: Image of the biscuit in a transparent receiver
- Figure 4: Image of the fire-control cavity and the biscuit shown from above
- Figure 5: Image of a receiver blank
- Figure 6: Image of an example of a firearm blank
- Figure 7: Image of a side view of the EP80
- Figure 8: Image of the lug of the Upper Assembly and the Lug Hole in the Lower
Receiver
299
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EXHIBIT 1
300
RIF
301
RIF
0120

Mr. Jacob DeCremer
Page2

shipping box.
Sincerely yours,
-~
Chief, Firearm
0120
302
RIF
0121

Ma~insbug, West Vi,gini a 25405
903050:AG
33 11 /2009-336
~'WW.atf.gov
F"EB 1 1 2009
FN Manufacturing, Inc.
P.O. Box 24257
Columbia, South Carolina 29224
To Whom It May Concern:
This is in reference to two items submitted to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF), Firearms Technology Branch (FfB), for classification under the Gun Control
Act of 1968(GCA). The submitted items are M16A4 receiver castings-one raw, the other
partially machined.
During the FTB examination, it was determined that the partially machined casting would
require the following major machining operations to allow both the attachment of an AR-15
pattern upper receiver assembly and the firing of a cartridge from the entire assemblage:

Also, additional minor machining or fitting operations could be required.

For your information, previous determinations by FTB have classified receivers having less
machining than your sample as " firearms." Since your sample is nearly complete, requiring only
defined in 18 U.S.C. 921 (aX3).
As you may be aware, an AR-15 type receiver which has no machining performed whatsoever in
the area of the trigger/hammer recess might not be classified as a firearm. Such a receiver could
have all other machining operations performed, including pivot pin and takedown pin hole(s) and
clearance for the takedown pin lug, but would have to be completely solid and un-machined in
the trigger/hammer recess area (see photo insert below). If you are interested in having such a
modified item formally classified, you must submit it to FTB for examination.
0121
303
RIF
0122
-2-
hypothetical receiver having a solid trigger/hammer area.
Sincerely yours,
0122
304
RIF
0123
DEPARTMENTOFTHETREASURY
BUREA U OF ALCOHOL, TOBACCO AND FIREARM S
903050:RLB
3311/2003 - 227
..,:j....
\
Mr . Justin Halfor d
312 Oxford Cove
Dear Mr. Halford :
~his i s in response to your letter dated January 21,
2003 , to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF).
I n your letter you ask about
man ufacturing 80% complete receiver s.
The terms 50%, 80% and 90% complete receivers are

commonly used for advertisement purposes.
Such terms
do not accurately identify the condition of a
partially completed or u n finished receiver and have no
precise meaning . Further, such terms did not
originate with ATF, are not used by ATF and have no
legal or technical meaning within ATF.
In order for us to render any opinion regarding the
status of a pa r tially finished receiver, we need to
physically examine a sample . If you care to submit a
sample of the subject receiver, we will be happy to
exami ne it and provide you with an appropriate
classification and any related determinations. Upon
completion o f our e xamination, the sample w~ l1 be
returned to you.
However, y ou should be aware that if
the sample is found to be a machinegun re ceiver or
otherwise subject to the purview of the National
Firearms Act, it could not b e returned and would have
to be abandoned t o the g overnment .
WWW .ATF . T REAS. GOV
0123
305
RIF
0124
-2 -
Samples may be forwa rded to the below-listed address:

Bureau of Alcohol, Tobacco , Firearms and Explos i ves
Firearms Technology Branch, Room 6450
650 Massachusetts Avenue, NW
Washington, DC 20226
We regret that we are unable to respond more fully at
the present time.
I f we may be of any further
ass i stance, pl e ase contact us .
Sincerely yours ,
( / /~ ~:;/
___
Curtis H.A. Bartlett

Chief, Firearms Technology Branc h
0124
306
RIF
0125
AR Receiver classification documents referencing index:

73703 (2009-840) Correspondence was date stamped July 24, 2009. FTB was asked to classify
two samples of partially machined AR-15 type receiver-castings (current and proposed).
The FTB evaluation of current found that the following machining operations had been
completed:
Milling to shape, from aluminum alloy, of an AR-15 receiver.
Milling of recesses for the bolt stop and magazine release.
Milling of the forward and rear take-down pins.
Milling of the magazine well.
Threading for the attachment of the buffer tube assembly.
Drill and tap for the pistol-grip screw.
Hole for the take-down retaining pin and spring.
Drilling of the selector-lever pivot holes.
Milling of the cavity for the fire-control (trigger-group) components.
Selector-lever position markings: FIRE and SAFE
The machining operations were not completed:
Drilling of the fire-control (trigger-group) component pivot-pin holes.
Removal of excess metal on the left side used to secure and align the block for
machining.
Sample proposed was identical to current except in the amount of excess material on the left
side of the receiver that is used to secure and align the block for machining. The correspondence
stated that FTB had previously determined that if an AR-type receiver-blank possessed either
pivot pin holes or indexing marks for the fire-control components (trigger group), or, if any of
the cavity for the trigger group has been milled, then the receiver-blank would have been
finished to the point at which it could be recognized as a firearm or receiver. Each of the
submitted samples contained at least one of these critical features (the trigger-group cavity).
FTB found that both samples are finished to the point at which they would be classified as
firearms pursuant to 921(a)(3) and regulated by the GCA.
301809 Correspondence was date stamped May 21, 2014. FTB was asked to classify an AR-15
pattern receiver forging. The correspondence stated that FTB had previously determined that an
AR-15 type receiver which has no machining of any kind performed/present in the area of the
trigger/hammer (fire-control) recess (or cavity), does not contain any holes or dimples (indexing
marks) for the trigger, hammer, and selector might not be classified as a firearm. Such a receiver
could have all other machining operations performed, including pivot-pin and takedown-pin
hole(s) and clearance for the takedown-pin lug, but must be completely solid and un-machined
(or cast solidly) in the fire-control recess area. It further stated that in order to be considered
completely solid or un-machined in the fire-control recess/cavity area, the takedown-pin lug
clearance area must be no longer than .800 inch, measured from immediately forward of the
front of the buffer-retainer hole. FTB determined that the forging had been partially machined,
to include drilling for the pivot-pin and takedown-pin holes. The forging also featured a drilled
hole forward of the pistol grip and screw hole; however, these holes do not encroach into the
fire-control recess area. FTB determined that the submitted item is not a firearm as defined in
the GCA.
0125
307
RIF
0126
302071 Correspondence was date stamped May 5, 2014. FTB was asked to classify a partially
machined AR-15 pattern receiver forging. The correspondence provided definitions for the
following terms used by FTB: receiver blank, incomplete receiver, and receiver. It also stated
that FTB had previously determined that an AR-15 type receiver which has no machining of any
Such a receiver could have all other machining operations performed, including pivot-pin and
un-machined in the trigger/hammer-recess area. The FTB examination confirmed that the
forging had been partially machined, with no machining of any kind performed in the area of the
trigger/hammer recess. The machining operations performed for this sample include:
Threads cut out for receiver extension.
Further, the trigger/hammer recess of the submitted sample was solid, and there were no index
detents machined for the safety lever or the trigger/hammer pins. FTB found that the submitted
item was not a firearm as defined in the GCA.
301269 Correspondence was dated January 13, 2014. FTB was asked to classify an AR-15 type
receiver blank. The correspondence stated that FTB had previously determined that an AR-15
recess might not be classified as a firearm. Such a receiver could have all other machining
operations performed, including pivot-pin and takedown-pin hole(s) and clearance for the
takedown-pin lug, but must be completely solid and un-machined in the trigger/hammer-recess
area. FTBs examination of the sample confirmed that the forging had been partially machined,
with no machining of any kind performed in the area of the trigger/hammer recess. The
machining operations performed for this sample include:
Threads cut from receiver extension.
0126
308
RIF
0127
The trigger/hammer recess of your submitted sample is solid and there are no index detents
machined for the safety lever or the trigger/hammer pins. FTB determined that the submitted
item is not a firearm as defined in the GCA.
301012 Correspondence is dated December 17, 2013. FTB was asked to classify an aluminum
AR-15 type receiver blank. The correspondence stated that FTB had previously determined that
an AR-15 type receiver which has no machining of any kind performed in the area of the
trigger/hammer recess might not be classified as a firearm. Such a receiver could have all other
the takedown-pin lug, but must be completely solid and un-machined in the trigger/hammer
recess area. The FTB examination of the sample confirmed that the forging had been partially
machined, with no machining of any kind performed in the area of the trigger/hammer recess.
The machining operations performed for this sample include:
Implementation of the magazine well.
detents machined for the safety lever or the trigger/hammer pins; however there were two
indexing-type indent holes encroaching in the restricted area. FTB found that the submitted item
was not a firearm as defined in the GCA.
301048 Correspondence is dated December 3, 2013. FTB was asked to classify an AR-15 type
takedown-pin lug, but must be completely solid and un-machined in the trigger/hammer recess
area. The FTB examination of the sample confirmed that the forging had been partially
0127
309
RIF
0128

301252 Correspondence is dated November 22, 2013. FTB was asked to classify an AR-15 type
0128
310
RIF
0129

301349 Correspondence is date stamped November 12, 2013. FTB was asked to classify a
partially machined AR-15 pattern receiver forging. The correspondence stated that FTB had
previously determined that an AR-15 type receiver which has no machining of any kind
un-machined in the trigger/hammer recess area. FTB confirmed that the forging had been
partially machined, with no machining of any kind performed in the area of the trigger/hammer
recess. The machining operations performed for this sample include:
The magazine well.
Threads cut for the receiver extension.
Hole drilled for magazine catch.
Take-down pin clearance recess not exceeding .800 inch in length.
The trigger/hammer recess of the submitted sample is solid, and there are no index detents
301235 Correspondence was dated August 9, 2013. FTB was asked to classify a partially
machined AR-15 pattern receiver forging. The correspondence stated that FTB had previously
determined that an AR-15 type receiver which has no machining of any kind performed in the
have all other machining operations performed, including pivot-pin and takedown-pin hole(s)
and clearance for the takedown-pin lug, but must be completely solid and un-machined in the
trigger/hammer recess area. The FTB examination confirmed that the forging had been partially
The machining operations performed on this sample include:
The magazine well.
0129
311
RIF
0130

Further, the trigger/hammer recess of the submitted sample is solid, and there are no index
detents machined for the safety lever or the trigger/hammer pins. FTB determined that the
submitted item is not a firearm as defined in the GCA.
301181 Correspondence was dated July 30, 2013. FTB was asked to classify a partially
machined AR-15 pattern receiver. The correspondence stated that FTB had previously
area of the trigger/hammer (fire-control) recess might not be classified as a firearm. Such a
un-machined in the trigger/hammer recess area. The FTB examination confirmed that the
submitted forging had been partially machined, but had no machining of any kind performed in
the area of the trigger/hammer recess. The machining operations performed included the
following:
Clearance of magazine well.
Hole drilled for bolt-catch plunger and spring. Hole drilled for magazine-release button
and spring.
Clearance for integral trigger guard.
Hole drilled for buffer-detent and spring.
The trigger/hammer recess of the sample was solid, and there were no index detents machined
for the safety lever or the trigger/hammer pins. FTB determined that the submitted forging is not
a firearm as defined in the GCA.
300968 Correspondence is dated June 5, 2013. FTB was asked to classify a partially machined
AR-15 pattern receiver. The correspondence stated that FTB had previously determined that an
AR-15 type receiver which has no machining of any kind performed in the area of the
recess area. FTB confirmed that the forging had been partially machined, but had no machining
of any kind performed in the area of the trigger/hammer recess. The manufacturing operations
performed include:
Clearance for magazine well.
Holes drilled for front taking detent and spring.
0130
312
RIF
0131
Hole drilled for bolt catch plunger and spring.

The trigger/hammer recess of the sample was solid, and there was no index detents machined for
the safety lever or the trigger/hammer pins. FTB determined that the submitted forging is not a
firearm as defined in the GCA.
300746 Correspondence is date stamped May 13, 2013. FTB was asked to classify a partially
trigger/hammer recess area. FTB confirmed that the forging had been partially machined, but
had no machining of any kind performed in the area of the trigger/hammer recess. The
manufacturing operations performed for this sample include:
The magazine well.
The trigger/hammer recess of the submitted sample was solid, and there was no index detents
300354 Correspondence is date stamped March 7, 2013. FTB was asked to classify a partially
trigger/hammer-recess area. FTB confirmed that the forging had been partially machined, but
machining operations performed on this sample include:
The magazine well.
0131
313
RIF
0132

75688 (2011-394) Correspondence was date stamped February 9, 2011. FTB was asked to
classify two partially machined AR-15 type receivers. The correspondence stated FTB has
previously informed the requestor that an AR-15 type receiver which has no machining of any
kind performed in the area of the trigger/hammer (fire-control) recess might not be classified as a
firearm. Such a receiver could have all other machining operations performed, including pivotpin and takedown-pin hole(s) and clearance for the takedown-pin lug, but must be completely
solid and un-machined in fire-control recess area. Although one of the submitted samples has a
reference hole which is necessary for a broaching operation (this reference hole is located in the
fire-control recess area), the magazine well is the only significant machining operation which has
been preformed. The second sample has been partially machined in the magazine-well area, but
has not yet been broached and does not incorporate the indexing hole mentioned above. Neither
of the submitted items has been machined to a point at which it is capable of being used as the
frame or receiver of a firearm. Accordingly, the submitted items are not firearms as define in the
GCA.
73428 (2009-565) Correspondence was date stamped May 20, 2009. FTB was asked to classify
a partially machined AR-15 type receiver-casting. The FTB evaluation found that the following
machining operations had been completed:
Casting to shape, from aluminum alloy, of an AR-15 receiver.
The following operations were not completed:
The correspondence stated that FTB had previously determined that if an AR-type receiver-blank
possessed either pivot pin holes or indexing marks for the fire-control components (trigger
group), or, if any of the cavity for the trigger group has been milled, then the receiver-blank
would have been finished to the point at which it could be recognized as a firearm or receiver.
The submitted sample did not contain any of these critical features. FTB found that the sample
AR-15 type receiver-casting is not yet finished to the point at which it would be classified as a
firearm and would not be regulated by the GCA or NFA.
76287 (2011-993) Correspondence was date stamped September 7, 2011. FTB was asked to
classify a receiver blank. The blank appeared to be intended (in its finished state) to be a
0132
314
RIF
0133
primary component of a modular receiver-assembly somewhat based upon the layout of an ARtype receiver. The following machining operations were observed:
The top has a radiused cut made along its length.
The bottom rear has a radiused cut for the grip area.
Holes have been drilled for the upper-assembly front and rear mounting pins.
Indexing holes have been made for the
o Hammer.
o Trigger.
o Safety/selector.
o Forward trigger-guard mounting pin.
o Trigger slot.
o Selector detent.
o Grip mounting screws.
o Buttstock alignment pin.
The correspondence stated that ATF had determined that an AR-type receiver-blank that has
either (1) the fire-control cavity milled or indexed; or (2) any of the fire-control component
mounting pin holes drilled or indexed, in any way, is sufficiently complete to constitute the
frame or receiver of a firearm as defined in 921(a)(3). FTBs examination of the sample
indicated that it may be based on an AR-type firearm receiver design; it also appeared to
incorporate substantial departures from the basic AR design. FTB requested a more complete
version of the sub-assembly and possibly a fully assembled receiver assembly.
301685 Correspondence date stamped May 5, 2014. FTB was asked to classify a partially
machined AR-10 pattern receiver prototype. The correspondence stated that FTB had previously
un-machined in the fire-control recess area. The FTB examination confirmed the
polyaryletherketone/polyvinylalcohol/polystyrene/acrylonitrylebutadiene styrene polymer/glass
fiber composition contains a filler material in the fire-control recess area. In addition, indexing
holes were visible in the following locations:
Pivot pin hole.
Takedown pin hole.
Trigger cavity.
FTB determined that the submitted prototype receiver is classified as a firearm as defined in
the GCA, 921(a)(3) since the fire-control recess area contains a filler and is not completely
solid.
300980 Correspondence was dated June 14, 2013. FTB was asked to classify a partially
completed polymer AR-15 pattern receiver. The correspondence stated that FTB had previously
determined that an AR-15 type receiver which has no machining/molding or cavity of any kind
receiver could have all other machining/molding/additive manufacturing operations performed,
0133
315
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0134
including pivot-pin and takedown-pin hole(s) and clearance for the takedown-pin lug, but must
be completely solid and un-machined/molded in the trigger/hammer-recess area. FTGB
determined that the item had been partially machined/molded /additive-manufactured, but had no
machining/molding of any kind performed in the area of the trigger/hammer recess. The
manufacturing operations performed for this sample included:
Completion of magazine-well cavity.
Threads cut/molded for receiver extension.
Holes drilled/molded for front and rear takedown pins.
Holes drilled/molded for front takedown detent and spring.
Hole drilled/molded for magazine catch.
Hole drilled/molded for bolt-catch plunger and spring.
Hole drilled/molded for magazine-release button and spring.
The trigger/hammer recess area of the submitted sample was solid, and there were no index
submitted item was not a firearm as defined in the GCA.
0134
316
RIF
0135

Maninsburz. V.'c$t V11gin1a 25405
903050:MMK
3311 /2009-565
www.attgov
Mr. C hris Coad

Ultra-Tech, Inc.
3003 Power Drive
Kansas City, Kansas 66106
MAY 2 0 2009
Dear Mr. Coad :

This refers to your letter to the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF),
Fireanns Technology Branch (FTB), with an accompanying sample of a partially machined
AR-15 type receiver-casting. You have requested a classification of the sample.
The FTB evaluation of this casting found that the following machining operations had been
completed:
Casting to shape, from aluminum alloy, of an AR-15 type receiver.

Threading for the attachment of the buffe:r tube assembly.

Additionally, we noted that there were no external markings on the receiver.

Our Branch has previously determined that if an AR-type receiver-blank possessed either pivot
pin holes or indexing marks for the fire-control components (trigger group); or if any of the
cavity for the trigger group had been milled, then the receiver-blank would have been finished to
the point at w'hich it could be recognized as a firearm frame or receiver. Your submitted sample
does not contain any of these critical features.
0135
317
RIF
0136
-2-
Mr. Chris Coad
Based on our examination, FTB finds that this sample AR-15 type receiver-casting i1s not yet
finished to the point at which it would be classified as a fircann. As such, it is not regulated by
the Gun Control Act or National Fireanns Act.
To facilitate the return of the submitted sample, please provide FTB with the appropriate FedEx
or other common carrier account information within 60 days of receipt of this letter. If you
intend to use UPS, you must make arrangements with them to pick up the item at our location.
Alternatively, if you wish to abandon the sample to ATF, you may notify us in writing.
We trust the foregoing has been responsive to your request Ifwe can be of any further
assistance, please contact us.
Sincerely yours,
ohn R. Spencer
anns Technology Branch
0136
318
RIF
0137

W~hingtoo . fX.' 2022(
903050:MMK
3311/2009-840
JUL 2 4 2009
Mr. Rick W. Miller
G&S Precision Machine
I 08 Pine !Rd.
Newnan, Georgia 30263
Dear Mr. Miller:
This refers to your letter to the Firearms Technology Branch (FTB), Bureau of A lfohol,
Tobacco, Firearms and Explosives (ATF}. whieh was aecompanied by two samples of partially
machined AR-15 type receiver-castings (see enclosed photos). You have requested a
classification of the samples with respect to the Gun Control Act of 1968 (GCA), 18 U.S .C.
921 (a)(3). For clarity, we will refer to the samples as you have marked them- "Current" and
"Proposed."
The FTB evaluation of sample "Current" found
been completed:
~hat
the following machining operations !have
Milling to shape, from aluminum alloy, of an AR-15 type receiver.

Mjlling of the forward and rear take-down pins.
lhreading for the attachment of the buffer. tube assembly.
Hole for the take-<lown retaining pin and spring.
Selector-lever position markings: "FIRE' and "SAFE".

machining.
0137
319
RIF
0138
-2Mr. Rick W. Miller
Sample "Proposed" was identical to "Curr ent" c:xccpt in the amount of excess material on the
left side of the receiver that is used to secure and align the block for machining. Additionally,
we noted that there were no external manufacturer's markings and no serial number on either
receiver.
Our Branch 'has previously determined that if an AR-type receiver-blank possessed either pivot
pin holes or indexing marks for the fire-control components (trigger group), or, if any of the
cavity for the trigger group has been milled, then the receiver-blank would have been finished to
the point at which it could be recognized as a firearm frame or receiver. Each of your submitted
samples contains at least one of these critical features (the trigger-group cavity).
Based on our examination, FTB finds that both sample AR-15 type receiver-castings are finished
to the point at which they would be classified as "firearms" pursuant to 92l(a)(3). As .such,
they are regulated by the GCA. As per your request, we have enclosed a photo depicting the
areas which must not be machined in order to preclude GCA regulation.
To facilitate the return of your samples, please provide FTB with the appropriate FedEx or other
common carrier account information within 60 days of receipt of this letter. If you intend to use
UPS, you must make arrangements with them to pick up the items at our location. Alternatively,
if you wish to abandon the samples to ATF, you may notify us in writing.
We regret th.at our findings could not have been more favorable, but trust the foregoing has been
responsive to your request. If you have any additional questions, or if we can be of further
Sincerely yours,
Chic ,
ohn R. Spencer
rearms Technology Branch
Enclosures
0138
320
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0139
U.S. Department of Jusllce
Bureau of Alcohol, Tobacco.

Firearms and Ei<plosives
Mont111bt;rr , War Yirginio 1Sf0S
9030SO:AG
331 1/2011-394
FEB 0 9 2011
Mr. Garren Fannin

DPM Shops
224 Dig Run Road
l.exington. Kentucky 40503
Dear Mr. Fannin:
This is in reference to two partially machined AR- IS type receivers, a:s well as correspondence
dated January 24, 2011, to the Firearms Technology Branch (FTB). Bureau of Alcohol, Tobacco,
Firearms and Explosives (A1F). You bave submitted these items (photos provided, next page)
for classification under the Gu.n Control Act of 1968 (GCA).
As FTB previously informed Mr. Krimrn, DPM Shops, an AR-IS type receiver which has no
machjnjng performed at all in lhc area of the trigger/hammer Cfire<ontrOI) recess might not be
classified as a firearm. Such a receiver could have 111 other machining operations performed,
inciuding pivot-pin and takcdown-pin hole(s) and clearance for the takedown-pin lug, but must
be completely solid and un-machined in the fire-control recess area. Although one of the
submincd samples has a reference hole which is necessary for a broaching operation (this
reference hole is located in the fire-control recess area). the magazine well is the only significant
machining operation which has been performed. The second sample bas been partially machined
in the magazine-well area, but has not yet been broached and does not incorporate the indexing
hole mentioned above. Neithc'I' of the submitted items has been machined to a point at which it
is capable of being used as the frame or receiver of a Ii rearm.
Accordingly, the submilled items are not "firearms" as defined in the GCA. We caution that this
clussification is based on the items received and examined by our Branch. Any changes to the
charnctcris!ics of the~e item~ would require re-evaluation by FTB.
We thank you for your inquiry and trust that the foregoing has been responsive. Please contact
our Branch to arrange for the r.ctum of the submined items.
Sincerely yours,
~If.
--"-; ~..:.ooc
hn R. Spencer
earms Technology Branch
Enclosure
0139
321
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0140
ta
U.S. Department
'W
or Justice

903050:MMK
331112011-993
SEP 0 7 2011
Mr. William Bussey

West Cobb Tactical
4297 Bristlecone Dr.
Marietta, Georgia 30064
Dear Mr. Bussey:
This is in respons.e to your letter to the Bureau of Alcohol, Tobacco, Firearms and Explosive
(ATF), Firearms Technology Branch (FTB), with accompanying sample receiver bl.arik that you
want FTB to evaluate per the Oun Control Act of 1968, 18 U.S.C. 92l(a)(3).
The submitted sample appears to be a blank intended (in its finished state) to be the primary
component of a modular receiver-assembly somewhat based upon the layout of an AR-type
receiver. The FTB evaluation noted that the submitted sample (photos enclosed) is a semirectangular block of aluminum 5-15116 inches long, 1-13/16 inches high, and 15/16-inch wide.
The following machining operations were observed:
I.
2.
3.
4.
The top has a "radiused" cut made along its length.

Indexing holes have been made for the--
a. Hammer.
b.
c.
d.
e.
f.
g.
h.
Trigger.
Safety/selector.
Forward trigger-guard mounting pin.
Trigger slot.
Selector detent.
Grip mounting screws.
Buttstock alignment pin.
For your informat ion, A TF has determined that an AR-type receiver-blank that has either (I) the
fire-control cavity milled or indexed; or (2) any of the fire-control component mounting pin
holes drilled or indexed, in any way, is sufficiently completed to constitute the frame or receiver
ofa "firearm" as defined in 921(a)(3). While our examination of your sample indicated that it
may be based on an AR-type firearm receiver design, it also appears to incorporate substantial
0140
322
RIF
0141
-2
Mr. William Buss:ey

departures from the basic AR design. In order to make a fully accurate classification of the
submitted sample, FTB would need to see a more complete version of this sub-assembly and
possibly a fully assembled receiver assembly. (It would be very helpful if you would reference
the file nwnber in. the upper right hand comer of this reply when submitting additional samples
in connection with this evaluation.)
Should you choose to withdraw your request for evaluation and decide not to submit additional
samples, please notify FTB in writing. Additionally, in order to facilitate the return of your
submission(s), please provide us with the appropriate return shipment information. If using
FedEx, you may simply furnish your account nwnber, and we can print a return label at our
office. If you use another common carrier or the U .S. Postal Service, you will need to submit a
postage-paid retum label.
We thank you for your inquiry and trust that the foregoing has been responsive. Do not hesitate
to contact us if additional information is needed.
ohn R. Spencer
Chie , E rearms Technology Branch
Enclosure
0141
323
RIF
0142

Bureau
903050:RKD
33111300354
February 28, 2013

Marshall Swanson
CEO
Island Tool and Die, Inc
292 Third Street N.E.
Pine Island, MN 55963-7631
Dear Mr. Swanson,
Our Branch had previously determined that an AR-15 type receiver which has no
The FTB examination confirmed that the forging has been partially machined, but has no
The
well.
Holes drilled for front takedmvn detent and spring.
0142
324
RIF
0143
Marshall Swanson
Page2
index detents machined for the safety lever or the trigger/hammer pins. Accordingly,
FTB finds that the submitted item is not a "firearm" as defined in the GCA. Please note
that this classification is based on the item received and examined by our Branch. Any
changes to its characteristics would require re-evaluation by FTB.
Submitted forging
We thank you for your inquiry and trust that the foregoing has been responsive to your
evaluation request. Please provide our Branch with a FedEx account number or common
carrier shipping label within 30 days so that we may return your forging.
Sincerely yours,
u u-;-
Earl-h
0143
325
RIF
0144

.l/11rti11sb11rg. WI' 2j.//J5
www.atf.gov
903050:GR
3311/301-012-GR
December 17, 2013

Mr. Lou Volk
LockStone Industries
1587 Dell Avenue
# 320835
Los Gatos, CA 95032
Dear Mr. Volk,

sample of an aluminum AR-15 type receiver blank. Specifically, you have requested
FTB to determine if the machining operations performed have reached a point in
manufacturing to have this item classified as a "firearm" under the amended Gun Control
Act of 1968 (GCA).
As background, the GCA, 18 U.S.C. Section 921 (a)(3), defines the term "firearm" as-
... (A) any weapon (including a slarler gun) which will or is designed to or may
readily be conver1ed 10 expel a projectile by the action of an explosive; (B) lhe
fi"ame or receiver ofany such weapon; (C) any.firearm 11111/fler or.firearm
silencer; or (D) any deslructive device. Such term does not include an anlique
fire'1rm .
0144
326
RIF
0145
Mr. Lou Volk
Page2

index detents machined for the safety lever or the trigger/hammer pins; however there are
two indexinu-tvpe indent holes encroaching in the restricted area noted above (see photos
below).
0145
327
RIF
0146
Mr. Lou Volk
Page 3
Based on our examination, FTB finds that the submitted item is not a 'firearm" as
defined in the GCA.
However, we caution that any drilling or machining in the fire control area may alter the
classification of a receiver blank of this type. Additionally, if you were to move the
positions of the two indent holes such as those that are on the sample you submitted, and
place them to a position that would align with any fire control component hole or slot, the
item would be subject to reexamination for classification.
request.
Sincerely yours,
Jllr
Earl Griffith
0146
328
RIF
0147

rirearms and Explosives
l 3 2011 .
903050:RKD
3311/300746
Mr. Tommy Venegas

President
Venegas Works, Inc.
5671 Sonoma Drive
Pleasanton, California 94566
Dear Mr. Venegas:
Technology Branch (FTB), Bureau of Alcohol, Tobacco, Firearn1s and Explosives (ATF).
machining of any kind perforn1ed in the area of the trigger/hammer recess. The
The magazine well.

Holes drilled for front takedmvn detent and
Hole drilled for
catch.
Hole drilled for bolt-catch
and spring.
0147
329
RIF
0148
Page2
Mr. Tommy Venegas

Submitted forging
Finally, we recommend that you confirm that possessing or constructing a partially

completed lower receiver does not violate particular State laws and local ordinances that
may employ a different definition for "firearm" than those found in the GCA or the
National Firearms Act.
evaluation request.
Sincerely yours,
0148
330
RIF
0149

www.atf.gov
903050:RKD
3311/300968
June 5, 2013
Mr. Nick Parnprome
35175 Pashal Place
Wildomar, WA 92595
Dear Mr. Pamprome,
submitted this forging (photo provided, next page) for classification under the Gun
Control Act of 1968 (GCA).
performed, including pivot-pin and takedown-pin hole(s) and clearance for the takedownpin lug, but must be completely solid and un-machined in the trigger/hammer recess area.
machining operations preformed include the following:

0149
331
RIF
0150
Mr. Nick Pamprome
Page2
The trigger/hammer recess of your sample is solid, and there are no index detents
machined for the safety lever or the trigger/hammer pins. Accordingly, FTB finds that
the submitted forging is not a "firearm" as defined in the GCA. Please note that this
classification is based on the item received and examined by our Branch. Any changes to
its characteristics would require re-evaluation by FTB.
Submitted forging
evaluation request. Your sample will be returned to in the postage-paid U.S. Postal
Service Priority Mail envelope that accompanied your submission.
Sincerely yours,
ijll/1/7
Earl~
0150
332
RIF
0151

Marti11sburg. 11'1' 25./05
www alf gov
903050:GR
3311/301048
December 3, 2013
Shelley Delong
President
DeJong Manufacturing, Inc
26229 Jefferson A venue
Murrieta, CA 92562
Dear Shelley Delong,

and Explosives (ATF), Firearms Technology Branch (FTB), along with a sample of an
AR-15 type receiver blank, requesting FTB to determine if the machining operations
performed on the blank have reached a point in manufacturing for it to be considered a
"firearm" under the amended Gun Control Act of 1968 (GCA).
As background, the GCA, 18 U.S.C. Section 92l(a)(3), defines the term "firearm" as... (A) uny weapon (including a sfarter gun) which will or is designed to or may
reudily be converted to expel a projectile by the action ofan explosive; (B) the
frame or receiver ofany such weapon; (C) any firearm muffler or firearm
silencer; or (D) any destructive device. Such term does not include an anlique
firearm.
recess.
0151
333
RIF
0152
Shelley DeJong
Page 2
The machining operations perfonned for this sample include

index detents machined for the safety lever or the trigger/hammer pins (see photos
below).
0152
334
RIF
0153
Shelley Delong
Page 3
Based on our examination, FTB finds that the submitted item is not a 'firearm" as
by FTB.
We thank you for your inquiry and trust the foregoing is responsive to your request.
Sincerely yours,
./.~
}"qEarl~
Chief, Fireanns Technology Branch
0153
335
RIF
0154

,\/ar1insb11rg. 11'1' 25./05
wwwaif.gov
903050:GR
3311/301171
November 22, 2013

Mr. David Trease
President
TPM Arms, LLC
1000 West Bradley Avenue
Suite J
El Cajon, CA 92020
Dear Mr. Trease,

sample of an AR-15 type receiver blank, to determine if the machining operations
performed have reached a point in manufacturing for your item to be considered a
As background, the GCA, 18 U.S.C. Section 92l(a)(3), defines the term "firearm" as... (A) any weapon (including a starter gun) which will or is designed to or may
fhune or receiver of any such weapon; (C) any firearm 1111!/fler or.firearm
silencer; or (D) (111)' destructive device. Such term does 1101 include cm antique
firearm.
performed, including pivot-pin and takedown-pin hole(s) and clean:mce for the takedownpin Jug, but must be completely solid and un-machined in the trigger/hammer-recess area.
0154
336
RIF
0155
Mr. David Trease
Page 2
The FTB examination of your sample confinned that the forging has been partially

below).
0155
337
RIF
0156
Mr. David Trease
Page 3
--
-
~
Ii
~
.al
-- ~
Based on our examination, FTB finds that the submitted item is not a "firearm" as
by FTB.
Sincerely yours,
0156
338
RIF
0157
903050:RKD
3311/301181
July 30, 2013

Mr. Paul Amstutz
Alpha Machine
1604 N. 161st E. Ave.
Tulsa, Oklahoma 74116
Dear Mr. Amstutz:
machining of anv kind performed in the area of the trigger/hammer recess might not be
The FTB examination confirmed that your submitted forging has been partially
machined, but has no machining of any kind performed in the area of the trigger/hammer
recess. The machining operations performed include the following:
Clearance for m::tgazmte well.

Holes drilled for front and rear takedown
Hole drilled for
catch.
0157
339
RIF
0158
Mr. Paul Amstutz
Page 2

Submitted forging
evaluation request. Your sample will be returned using the postage-paid UPS Ground
shipping label that accompanied your submission.
Sincerely yours,
btK"~
0158
340
RIF
0159

Firearms and Explc>snres
903050:RKD
3311/301235
August 9, 2013
Michael Peterson
Owner
Range Tool Company, LLC
310 North Broadway
P.O. Box 713
Gilbert, Minnesota 55741
Dear Mr. Peterson,
rr!!fn!!!!!!g.Q!.J!!J.YJilll!;!J2~Qil~Q.J.!1]~.filS@:JliJ.t!&Jn~~t!fillli!~.TI:'.!~mightnotbe
machining operations performed for this sample includ~
The
well.
Holes drilled for front and rear takedovm
Holes drilled for front takedow11 detent and
Hole drilled and machined for magazme
and
0159
341
RIF
0160
Michael Peterson
Page 2

Submitted forging
Sincerely yours,
/PllK
f!,J/t:
0160
342
RIF
0161

Alarri11sh11rg, WI }5./05
www.alfgov
903050:RKD
3311/301349
NOV 1 2 2013
Mr. Michael Peterson

Owner
The Range Tool Company, LLC
310 North Broadway Avenue
Gilbert, MN 55741
Dear Mr. Peterson,
machining of any kind perfom1ed in the area of the trigger/hammer recess might not be
The magazine well.

Holes drilled for front takedown delenl and spring.
0161
343
RIF
0162
Michael Peterson
Page2

Submitted forging
evaluation request. We will return your forging via your provided shipping account.
Sincerely yours,
0162
344
RIF
0163

Alartinsb11rg. WI' 25./05
www.ntfgov
903050:GR
3311/301269
January 13, 2014
Mr. Benjamin Matanle
Vice Operations Manager
2nd AM Arms, LLC
5443 l l 5th Avenue North
Clearwater, FL 33760
Dear Mr. Matanle,
This is in reference to your correspondence to the Bureau of Alcohol, Tobacco, Fireanns
and Explosives (ATF), Fireanns Technology Branch (FTB), along with a submitted
sample of an AR-15 type receiver blank. Specifically, you have requested FTB to
determine ifthe machining operations performed have reached a point in manufacturing
to have this item classified as a "fireann" under the amended Gun Control Act of 1968
(GCA).
As background, the GCA, 18 U.S.C. Section 921(a)(3), defines the term "firearm" as... (A) any weapon (including a slarler gun) which will or is designed to or may
frame or receiver of any such weapon; (C) any firearm mujjler or firearm
firearm.
manufacture at which it would be officially classified by ATF as a "fireann" as defined in
0163
345
RIF
0164

Page2

and next page).
0164
346
RIF
0165

Page 3
byFTB.
request.
Sincerely yours,
fa'ef
Earl Griffith
0165
347
RIF
0166
419~
LE:F:TE:EMO
7540
Otr:l
03:
.. g
;;
Mr. E. L. Faust
Inter American Inport-Export Company
P.O. Box 8022
Sacranento, California 95818
..
(f)Z
)"
()::r
Dear Mr. Faust:

This refers to your letter of June 3 1986 with which
you submitted a sample of a partially machined riqht
side plate for a Browning Ml919 type machinequn.
Examination of the submitted sample, hearinq Serial Number
VE88, indicates that it is a steel plate which has been
cut to the approximate outline of a Browning Ml919 type
machinegun receiver side plate .
In its present configuration, the plate is not considered a firearm subject to
the provisions of the Gun Control Act of 1968 (GCA) or
the National Firearms Act (NFA). Therefore, the sample
as submitted is not a firearm.
At such tine as the internal slots are milled, holes
drilled for the attachment of internal camminq surfaces
and the cocking slot machined, the side plate would be
considered a machinequn as that term is defined in Section
5845(b) of the NFA .
Please note that if any additional machining operations
are performed to the unfinished plate as described in
paragraph 2, the plate could be classified as a firearm
as that term is defined in Section 92l(a)(3) of the GCA .
Should you contemplate any additional machinino of the
plate it is suqqested that a sanple be provided to this
office for examination and classification.
The submitted sanple is beinq returned under separate cover .
He trust that the foreqoinq has been responsive to your
inquiry .
If we can be of any further assistance , please
contact us .
Sincerely.
Edward 11. Owen, Jr.

Chief , Firearms Technoloqy Branch
CODa
-
8Uit
DATa
~EIN"lTOrt
~'
rtl:v1aw._a
RRYIKW'I:R
M.'II!WI.R
fii:EV1WE ..
REVIEWER
RYII:WEft
: :-r.
C'iuu--
~/'~
ATP P S3H. 12 7Sl

CORMS~NOaNCa A~VAL AND CLIEAR.At,CE
MPL.ACaSATP:FORM82(873lWHICH MAY BE. USED
orP'"rNtO' , .. ,....,..,...
.u.s. GPO un-467
0166
348
RIF
0167
OEPARTMENTOFTHETREASURY
BUREA U O F A LCOH O L. T OBACCO A ND F I R E A R MS
DEC - 2 2003
903050:GKD
3311/2004-117
Mr. Roland Bleitz
General Manager, Weapons Department
Independent Studio Services
9545 Wentworth Street
Sunland, California 91040
Dear Mr. Bleitz:
This refers to your communication of October 29, 2003, to
the Bureau of Alcohol, Tobacco, Firearms and Explosives
{ATF), Firearms Technology Branch, requesting
classification of a dummy receiver you submitted. You
state that the receiver has been manufactured with the aim
of ensuring that is not classifiable as a firearm frame or
receiver: its intended use is for assembly of a non -gun
AK47 replica machinegun.
For your information, 26 U. S.C. Section 5845{b) def i nes a
"machinegun" as follows:
...any weapon which shoots, is designed to shoot, or can be readily
restored to shoot, automatically more than one shot, without
manual reloading, by a si ngle function of the trigger. The term
shall also include the frame or receiver of any such weapon, any
part designed and intended solely and exclusively, or combination
of parts designed and intended, for converting a weapon into a
machinegun, and any combination of parts from which a machinegun
can be assembled if such parts are in the possession or under
then control of a person.
Additionally, the Gun Control Act o f 1968 {GCA), 18 U.S.C.
Section 92l{a) {3), in part, defines a "firearm" as:
...any weapon (including a starter gun) which will or is designed
to or may readily be converted to expel a projectile by the
action of an explosive; (B) the frame or receiver of any such
weapon....
WWW . ATF. T RE A S.GOV
0167
349
RIF
0168
-2-
Mr. Roland Bleitz
Examination of your submitted sample revealed that the body

of the device has been milled from a block of ferrous
metal. The trigger, trigger guard/magazine catch, top
tang, selector, pistol grip attachment lug, and a portion
of the trunnion have been welded in place on the exterior
of the device. A blind magazine well approximately 1-1/16
inches deep has been milled into the bottom and is
configured to accept AK47 compatible magazines.
Furthermore, a cavity approximately 1-3/8 inches deep,
15/16 inch wide, and 5-7/16 inches long has been milled in
the top rear of the device, in the approximate space for
the location of internal fire c ontrol components. This
space, which opens the rear of the device, is partially
closed at the top by the installation of the tang assembly.
Also, the appearance of component mounting pins has been
created by round lugs adhered t o the exterior of the
device. No pin holes have been drilled.
The left side o f
the original trunnion installed in the device bears
original markings to include a serial number, 1972DM0386.
Our assessment has found that in the condition received,
your device is not sufficiently completed to be class ified
as a firearm frame or receiver under the provisions of the
GCA or the NFA.
Hence, the device, as we have rece ive d it,
is not a "firearm" as defined in the GCA or the NFA. Of
course, if the design or dimensions of the item were
changed to another configurati o n, this c l assification wo u l d
be subject to review.
We thank you for your inquiry and trus t the forego ing has
been responsive .
Sinc erely yours,
c--- .. ,
~
~1''
Ster 1ng N1xon

0168
350
RIF
0169

WASHINGTON, D C
20226
SEP- 2 1998
Mr. Ernest Wrenn

Poor Man ' s Pawn
616 Atomic Road
North Augusta, South Carolina
F:FPD:FTB:CHB
3311
29841
Dear Mr. Wrenn:

This refers to your letter of August 13, 1998, in
which you ask about manufacture of unfinished AR-15
drop-in auto sears by a subcontractor.
You enclosed a drawing of a complete auto sear that
has been annotated as follows :
1. The auto sear body is square cut at the back
and the radius on the sides is omitted.
2. The pin hole in the sear body is not drilled
and is marked with a dimple only .
3.
The sear (paddle) is complete .
4.
The spring is omitted.
5.
The pin is omitted.
You propose that the contractor would supply partially

completed sear bodies and complete~ sears (paddles) .
You state that no complete assemblies will be made by
the subcontractor. You further advise that any
assemblies which you complete will be marked with a
"Post 86 DS" designation with serial numbers for law
enforcement firearms only.
0169
351
RIF
0170
-2-
Mr. Ernest Wrenn

ATF Ruling 81-4 held that an AR-15 drop
meets the definition of a machinegun in
5845(b). However, this ruling does not
sears manufactured before the effective
ruling, November 1, 1981.
in auto sear
26 U.S . C.
apply to auto
date of the
The definition of a machinegun in 26 U. S . C. 5845(b)

as amended by Public Law 99-308, effective May 19,
1986, includes any part designed and intended solely
and exclusively, or combination of parts designed and
intended, for use in converting a weapon into a
machinegun.
We have previously determined that the drop-in auto
sear body and the sear (paddle), even in unfinished
condition, are parts which meet the above definition
of a machinegun. The pin and spring are essentially
hardware items that are not specifically designed and
intended for use in converting a weapon into a
machinegun.
A subcontractor who makes unfinished drop-in auto sear
bodies and sears (paddles) needs to pay special
(occupational) tax as a manufacturer of firearms and
must register any such parts and transfer such parts
in accordance with the provisions of the NFA .
We trust that the foregoing has been responsive to
your inquiry. If you have further questions
concerning this matter, please contact us.
Sincerely yours,
Edward M. Owen, Jr.

0170
352
RIF
0171
U.S.Deparbnentof Justice
Bureau ofAlcohol, Tobacco,
Office of the Director
18 U.S.C. 921(a)(23): DEFINITIONS (MACHINEGUN)

18 U.S.C. 923(i): IDENTIFICATION OF FIREARMS
26 U.S.C. 5842(a): IDENTIFICATION OF FIREARMS
26 U.S.C. 5845(a): DEFINITIONS (FIREARM)
26 U.S.C. 5845(b): DEFINITIONS (MACHINEGUN)
27 CFR 478.11: DEFINITIONS (FIREARM FRAME OR RECEIVER,
MACIDNEGUN)
27 CFR 478.92: IDENTIFICATION OF FIREARMS
27 CFR 479.11: DEFINITIONS (FIREARM, FRAME OR RECEIVER,
MACHINEGUN)
The right side-plate ofa Vickers/Maxim-type firearm, manufactured with its
camming lobe affixed in the proper location, and without an ATF approved block that
prevents installation ofmachinegunfire control components, is a machinegun receiver,
and therefore, a "machinegun" as defined by the Gun Control Act of 1968, 18 U.S.C.
921 (a)(23), the National Firearms Act, 26 U.S.C. 5845(b), and their implementing
regulations, 27 CFR 478.11 and 479.11. Provided it has not been disassembled into its
component parts, a complete Vickers/Maxim-type machinegun that is currently registered
in the National Firearms Registration and Transfer Record with its serial number located
on a component part ofthe receiver box other than the right side-plate has been lawfully
registered under the National Firearms Act and may be lawfully possessed by the
registrant under 18 U.S.C. 922(0).
ATF Rul. 2010-3

The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) has received requests for
clarification from persons asking what part of Vickers/Maxim-type machineguns
constitutes the "frame or receiver" that must be marked with a serial number and required
identifying information and registered in the National Firearms Registration and Transfer
Record (NFRTR).
ATF examined various types of Vickers/Maxim-type firearms in both semi-automatic and
machinegun configurations. The design of these firearms, in either configuration, consists
of forward and rear sections. The forward section is made of a reciprocating barrel
assembly. The majority of the barrel assembly is contained inside a jacket. The jacket has
a rear ring (often integrally formed with the trunnion), an outer body, and a forward ring or
cap. The forward ring incorporates a mounting point for an accelerator and guide for the
0171
353
RIF
0172

-2-
forward part of the barrel. The rear section is made of the receiver-box, which contains the
internal fire control components of the firearm and provides housing for the rear portion of
the barrel assembly and the ammunition feed tray. The receiver-box consists of a left and a
right side-plate, bottom channel, and trunnion that are held together by a number of rivets.
The receiver-box also provides mounting for the handle block, top cover, and recoil
mechanism. Camming lobes, which are permanently affixed to the inside portion of each
side-plate, hold the lock piece in place and guide the movement of the extractor, which is
attached to the lock piece. Vickers/Maxim-type side-plates are recognizable and properly
classified as side-plates for this weapon when the camming lobe has been affixed. The
right side-plate of the Vickers/Maxim-type machinegun provides housing for the hammer,
breechblock, and firing mechanism, and attaches to the trunnion, which holds the rear
portion of the barrel. The right side-plate typically contains a mounting point for the
cocking-lever assembly.
ATF evaluated Vickers/Maxim-type firearms and parts in the folloWing configurations:
1.
2.
3.
4.
5.
6.
7.
A completely assembled Vickers/Maxim-type firearm;

A complete receiver-box;
A left side-plate;
A right side-plate (both automatic and semi-automatic configurations);
A trunnion;
A parts kit containing a right side-plate; and
A parts kit containing a left side-plate.
During the evaluations, complete, original models of Vickers and German MG-08 MaX:imtype machineguns were tested and found to fire automatically more than one round of
ammunition by a single function of the trigger. Additionally, a reference model of a
Vickers-type machinegun was tested for function; first, by partially removing the right
side-plate, and then after completely removing the right side-plate. Although the sample
firearm was capable of firing one shot With a partial right side-plate, once the entire right
side-plate was removed, testing demonstrated the sample was not capable of functioning
Without the right side-plate. Accordingly, it was determined that neither a Vickers nor any
Maxim-type machinegun would be capable of firing With the entire right side-plate
removed. Nonetheless, ATF has previously examined semi-automatic versions of the
Vickers/Maxim firearm where the right side-plate has an approved block that prevents
installation ofmachinegun fire control components. These semi-automatic firearms have
been classified by ATF as "firearms" under the Gun Control Act of 1968 (GCA), but not as
"machineguns" under the GCA or the National Firearms Act (NF A).
The NFA, 26 U.S.C. 5845(a)(6), and its implementing regulation, 27 CFR 479.11, define
the term "firearm," in part, as "a machinegun." The term "machinegun" is defined by the
GCA, 18 U.S.C. 921(a)(23), the NFA, 26 U.S.C. 5845(b), and their implementing
regulations, 27 CFR 478.11and479.11, as "any weapon which shoots, is designed to
shoot, or can be readily restored to shoot, automatically more than one shot, Without
manual reloading, by a single function of the trigger. The term shall also include the frame
0172
354
RIF
0173
Case 1:14-cv-01211-JAM-SAB Document 23-1I Filed 01/09/15 Page 54 of 70

-3or receiver of any such weapon .... " The term "frame or receiver" is defined in 27 CFR
478.11 and 479.11 as "[t]hat part of a firearm which provides housing for the hammer, bolt
or breechblock and firing mechanism, and which is usually threaded at its forward portion
to receive the barrel."
A completely assembled Vickers/Maxim-type machinegun is a weapon that shoots
automatically more than one shot, withoutmanual reloading, by a single function of the
trigger. Therefore, a completely assembled Vickers/Maxim-type machinegun is a
"machinegun" as defined by the GCA, 18 U.S.C. 921(a)(23), the NFA, 26 U.S.C. 5845(b),
and their implementing regulations, 27 CFR 4 78.11 and 4 79 .11.
Moreover, though not necessary for classification, only with a complete right side-plate
could the Vickers/Maxim-type machinegun shoot automatically more than one shot,
without manual reloading, by a single function of the trigger. Therefore, the right sideplate of a Vickers/Maxim-type machinegun, either stand-alone or assembled as part of the
complete receiver-box, is a machinegun receiver, and therefore, a "machinegun," as
defined by the GCA, NFA, and their implementing regulations. The right side-plate of the
Vickers/Maxim-type machinegun is illustrated below.
0173
355
RIF
0174
-4Because the right side-plate of a Vickers/Maxim-type machinegun is the machinegun

receiver, any kit or collection of parts of a Vickers/Maxim-type firearm containing the
right side-plate is also a machinegun. In contrast, any individual part of a Vickers/Maxim.type firearm other than the machinegun's right side-plate, or any kit or collection of parts
of a Vickers/Maxim-type firearm that does not contain the machinegun right side-plate is
not a machinegun receiver, and therefore, not a "machinegun," as defined by the GCA,
NF A, and their implementing regulations.
Machineguns are required to be identified by a serial number, pursuant to 18 U.S.C. 923(i),
26 U.S.C. 5842, 27 CFR 478.92, and 479.102. Under 27 CFR 478.92(a)(l) and (2) and
479.102(a)(l) and (e), the serial number must be placed on the frame or receiver of a
machinegun regardless of whether it is part of a complete firearm. Thus, the right sideplate, either unattached or assembled as part of a complete Vickers/Maxim-type
machinegun, must be identified with a serial number and registered in the NFRTR.
ATF is aware that, without the benefit of this ruling, some complete Vickers/Maxim-type
machineguns registered in the NFRTR were identified with serial numbers located on parts
other than the right side-plate. Federal regulations at 27 CFR 478.92(a)(4) and 479.102(c)
provide that the Director of ATF may authorize other means of identification of firearms if
the other method is reasonable and will not hinder the effective administration of the
regulations. Provided that it has not been disassembled into its component parts, ATF
finds that a complete Vickers/Maxim-type machinegun identified with a serial number on a
component part of the receiver box other than the right side-plate has been registered in the
NFRTR in a manner that will not hinder the effective administration of the NFA or its
regulations.
However, ifthe complete machinegun is disassembled, such as for resale of the right sideplate, the right side-plate must be marked with its registered serial number and name of the
manufacturer, as required by 26 U.S.C. 5842(a) and 27 CFR 479.102. If disassembled
without its required markings, the unmarked right side-plate of a Vickers/Maxim-type
firearm would be a machinegun receiver not identified or registered in the NFRTR, and
therefore, unlawful to transfer and possess, pursuant to 18 U.S.C. 922(0) and 26 U.S.C.
5861.
Held, the right side-plate of a Vickers/Maxim-type firearm, manufactured with its
prevents installation ofmachinegun fire control components, is a machinegun receiver, and
therefore, a "machinegun" as that term is defined by the Gun Control Act of 1968, 18
U.S.C. 921(a)(23), the National Firearms Act, 26 U.S.C. 5845(b), and their implementing
regulations, 27 CFR 478.11and479.11.
Held further, provided it has not been disassembled into its component parts, a
complete Vickers/Maxim-type machinegun that is currently registered in the National
Firearms Registration and Transfer Record with its serial number located on a component
part of the receiver box other than the right side-plate, has been lawfully registered under
0174
356
RIF
0175

-5-
the National Firearms Act and may be lawfully possessed by the registrant under 18 U.S.C.
922(0).
To the extent this ruling is inconsistent with any prior classifications, they are hereby
superseded.
Date approved:
~ ~~I t:J
Deputy Director
0175
357
RIF
0176

Martiflsbu"' . WtJI JlirgiltitJ 1S40J
www.atfp
Mr. Steve Carter

!rae, Inc.
P.O. Box 989
Waynesville, Ohio 45068
903050:MMK
3311/2010-1091
DEC 1 4 ZOIO
Dear Mr. Carter:

(ATF), Firearms Technology Branch (FTB), which accompanied your submitted sample nonfiring replica of a Browning Automatic Rifle (BAR) receiver. Specifically, you requested an
examination and classification of the "dummy" receiver with respect to the Gun Control Act of
1968 (GCA), 18 U.S.C. 921(aX3).
As you may be aware, the GCA, 92l(aX3), defines the term "firearm" to include:
such weapon. ...
Also, a firearm frame or receiver is identified in 27 CFR 478.11 asThat part ofa firearm which provides housing for the hammer, bolt or breechblock. and firing
mechanism, and which is usually threaded at its forward portion to receive the barrel.
The FTB evaluation of the submitted sample noted that it incorporated the following
characteristics and features:
Cast generally to shape from aluminum or aluminum alloy.

The internal cavity formed and partially milled generally to shape.
The cavity inside the "hump'' formed sufficiently to allow the locking block of a
bolt-assembly to toggle upward.
The mounting pin hole for the attachment of the trigger group was drilled.
Attachment for the fore grip assembly machined.
At the forward end, an opening formed and threaded for the attachment of a barrel.
The ejection port formed.
The slot for the cocking handle formed.
0176
358
RIF
0177
-2
Mr. Steve Carter
The following critical features were omitted:
Material was removed from the sides of the fire-control cavity so that bolt guide rails
could not be formed.
Although the cavity for the locking block was formed , the locking surface against which
the locking block of the bolt-assembly locks was left unformed, and material that would
prevent the forming of such a locking surface by simple machining alone was removed.
No guide rail formed for the gas piston.
The opening in the front of the block for the gas piston was not formed or indexed.
The installation/takedown hole for the hammer pin was not drilled; thus, if a bolt
assembly, gas piston, and cocking handle were installed, they could not be linked
together.
Provision not made for mounting a buffer assembly.
In order for this sample not to be considered a firearm receiver, along with the above noted
modifications, one additional feature needs to be omitted from the design: The cavity formed for
the toggling portion (the locking block) of the bolt-assembly must be omitted. We have filled in
the noted area with clay and have enclosed a photo with this correspondence for your reference.
We caution that these findings are based on the sample as submitted. If the design, dimensions,
configuration, method of operation, or materials used were changed, our conclusions would be
subject to review.
The sample will be returned under separate cover using the return information provided.
We thank you for your inquiry, and trust the foregoing has been responsive. Please do not
hesitate to contact us if you have additional questions.
Sincerely yours,
. 4~
Jbhn R. Spencer
Chie Firearms Technology Branch

...../
Enclosure
0177
359
RIF
0178

SEP ! 7 2004
www.atf.gov
903050:RDC
3311 /2004-614
Mr. Stephen Silverberg

1455 Roosevelt
Ypsilanti, Ml 48197
Dear Mr. Silverberg:
This refers to your letter of August 9, 2004, to the Bureau of A lcoho l, Tobacco, Firearms and
Explosives (ATF), Firearms Technology Branch (FTB), in which you inquire about the legality
of a nonfunctiona l replica of a British Bren Mkll .303 caliber light machinegun and a
nonfunctional replica of an M20 3.5 inch rocket launcher that you purchased from the
Sportsman's Guide retai l store.
As you may be aware, the Gun Control Act of 1968 (GCA), 18 U.S.C. 921(a)(3), defines the
tenn " firearm" to include " (A) any weapon (including a starter gun) which will or is designed
to or may be readily converted to exp el a projectile b y the action of an explosive; (B) the
fram e or receiver of any such weapon; (C) any fireann muffier or silencer; or (D) any destructive
device. S uch tenn [the definition adds] does not include an antique firearm."
Also, the National Firearms Act (NFA), 26 U.S.C. 5845(b), defines the tenn " m acbinegun" as
follows:
... any weapon which shoots, is designed to shoot, or can be readily restored to shoot, automatically more
than one shot, without manual reloading, by a single function of the trigger. This term shall also include
Finally, the NFA, 26 U.S.C . 5845(1), defines "destructive d evice" as... (I) any explosive, incendiary, or poison gas (A) bomb, (B) grenade, (C) rocket having a propellant
charge of more than four ounces, (D) missile having an explosive or incendiary charge of more than onequarter ounce, (E) mine, or (F) similar device; (2) any type of weapon by whatever name known which
will, or may be readily converted to, expel a projectile by the action of an explosive or other
propellant, the barrel or barrels of which have a bore of more than one-half inch in diameter,
except a shotgun or shotgun shell which the Secretary find s is generally recognized as particularly
suitable for sporting purposes; and (3) any combination of parts either designed or intended for use in
converting any device into a destructive device as defined in subparagraphs (I) and (2) and from which a
0178
360
RIF
0179
-2Mr. Stephen Silverberg

destructive device may be readily assembled. The term "destructive device" shall not include any device
which is neither designed nor redesigned for use as a weapon; any device, although originally designed
for use as a weapon, which is redesigned for use as a signaling, pyrotechnic, line throwing, safety, or
similar device; surplus ordnance sold, loaned, or given by the Secretary of the Army pursuant to the
provisions of 10 U.S.C. 4684(2), 4685, or 4686, or any other device which the .. .[U.S. Attorney
General] fmds is not likely to be used as a weapon, or is an antique or is a rifle which the owner intends to
use solely for sporting purposes.
Based upon FfB's analysis of the photographs accompanying your correspondence, the receiver
of the Bren Mkll replica appears to have been formed from solid metal stock. Outwardly, the
receiver silhouettes the profile of an authentic Bren Mkli light machinegun receiver. A cavity
within the top of the receiver has been machined, allowing attachment of a magazine. No other
interior machining was visible in the photographs.
For your information, a nonfunctional replica of a Bren Mkll light machinegun having a solid
metal receiver that is incapable of accommodating any of the original Bren Mkll components
would not be a "firearm" as defined in the GCA. Additionally, it is not a weapon which shoots,
is designed to shoot, or can be readily restored to shoot, automatically more than one shot,
without manual reloading, by a single function of the trigger. Nor does it incorporate the frame
or receiver of any such weapon. Therefore, the described nonfunctional replica would not
constitute a "machinegun" as defined in the NFA.
With respect to FTB-recommended procedures for removal of a rocket launcher from the NFA,
the steps are (I) to drill a hole approximately equal to the diameter of the bore, near the highpressure chamber area and (2) to weld a rod into the muzzle end of the barrel. (The welded rod
prevents the insertion of a rocket or other projectile.) These modifications would effectively
destroy a rocket launcher. The enclosed photographs depict an M20 3.5-inch rocket that appears
to have been destroyed in this manner. If, in fact, they are accurate, this launcher would not
constitute a "destructive device" as defined in the NFA and would be removed from NFA
provisions.
Sincerely yours,
~......,....__~Sterling Nixon
0179
361
RIF
0180

WASHINGTON, DC 20226
JUL 2 9 i.003
90305 0 :GKD
3 311 / 2 00 3 - 388
Mr. Kris Hartwig

Hedgehog Manufacturing
1933 East Wayne Street
Fort Wayne, Indiana 46803
Dear Mr. Hartwig :
This refers lo your letter to the Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF) of March 6, 2 00 3,
requesting classification of a firearm you intend to
manufacture. Along with your correspondence is a
submission of various firearm components with drawings.
ATF has received the following components in your
enclosure: one each, FN30 full automatic bolt, barrel
extension, and sear; one each, full automatic FN39 bolt,
barrel extension, and sear; one each, semiautomatic FN38
bolt, barrel extension, and sear; one full automatic top
plate; and one semiautomatic top plate.
In your letter, you state that you intend to manufacture
and market semiautomatic versions of the Fabrique
Nationale-produced FN30 series of machineguns (FN30/37 and
FN38/39 models) . The FN30 series of machineguns is derived
from the Browning designed machineguns, Models 1917, 1919,
and later versions.
You further state that the right receiver side plate will
be manufactured from a steel plate having a m1n1mum
thickness of .250 inch that will be machined to original
specifications, leaving a raised portion on the interior
surface located to eliminate the ability to install any
original, unmodified bolt and/or barrel extension. In the
final assembly, this right side plate will be deep seam
electric fusion welded to the top plate, bottom plate, and
trunnion.
Additionall y , your redesigned trigger bar will be
permanently installed in the top plate and offset
approximately .025 inch to the left. The removable trigger
bar pivot pin will be replaced by a cross pin held
WWW . AT rt' .. TREAS .GOV
0180
362
RIF
0181
-2-
Mr. Kris Hartwig

permanentl y in place by a second l ocking pin, preventing
the trigger bar from being readily removed . The locking
pin will be mounted in a blind hole and staked or welded in
place. A spring-loaded disconnector will replace the
ramped contact surface at one end of the trigger bar.
The top plate will have an offset relief cut for the
trigger bar that wil l also be wider than the original cut.
If a machinegun trigger bar were to be installed in the
modified top plate, the increased width of the relief cut
would resul t in unreliable operation of that trigger bar.
The bol t will be altered by removal of metal from the right
side to allow clearance for the internal ra ised section of
the right side plate. The sear slot will be widened and
the lips of the original sear slot removed, preventing
installation of a machinegun sear. New sear slots will be
cut to accommodate the semiautomatic sear.
The barrel extension will be machined the length of the
right side to remove sufficient met al to provide clearance
when installed with the semiautomatic side plate .
Finally, the sear will have the ramped contact surface
removed. The new contact surface will be a squared lug
approximately . 17 inch wide and will provide contact with
the disconnector compone nt of the new trigger bar. The
sear body will be widened by a permanently attached spacer
on the sear body, this spacer corresponding with the new
sear slots of the modified semiautomatic bolt.
Based on your correspondence and enclosure, our judgment is
that if manufactured and assembled in the manner described,
the semiautomatic FN30 series of firearms would not have a
machinegun frame or receiver a nd would not be readily
converted to be machineguns. Of course, the semiautomatic
configuration frame or receiver and, also, a complete
semiautomatic firearm manufactured as described would be
"firearms" as defined in Title 18, United Stat es Code
(U.S.C.), Chapter 44, Section 921(a) (3).
0181
363
RIF
0182
-3-
Mr. Kris Hartwig
We thank you for your inquiry and trust that the foregoing
has been r esponsive. We are enclosing the items that
accompanied your letter to ATF.
Sincerely yours,
~1

Ster ~ng N~xon

Enclosure
0182
364
RIF
0183

APRo~
www.at[gov
903050:RV
3311 /2006 580
Mr. Dan Shea

Long Mountain Outfitters, LLC
631 N. Stephanie St., #560
Henderson, Nevada 890 14
Dear Mr. Shea:
This refers to your letter of March 22,2006, to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF), Firearms Technology Branch (FTB), along with a sample M 134 Minigun
receiver casting submitted for evaluation. You have requested a determination regarding
whether this casting has reached a stage of completion at which it would qualify as a firearm.
We compared your casting to a complete M 134 Minigun receiver and found the following
differences (see enclosures, pp. 3 7):
The front opening of the casting for the forward rotor assembly bearing has an internal
diameter of 4.550 inches.
The front of the complete M 134 receiver has an internal diameter of 4. 775 inches, which
a difference of .225 inch.
The rear opening for the casting's rear rotor assembly bearing has an internal diameter of
2.965 inches.
The rear opening for the rear motor assembly of the complete M 134 Minigun is 3.145
inches, a difference of .180 inch.
Additionally, FTB found that the following mounting holes have not been made:
Mounting hole, gun drive motor adapter (three).

Mounting hole, feeder/de-linker-quick release pin (four).
Locating slot, feed guide.
Hole, feed guide locating pin (two).
Hole, feed guide retaining bolt (two).
Hole, mount assembly bolt (eight).
Retaining hole, bolt roller guide/quick release pin (four).
Hole, quick release retaining pin sating sector cover (two).
Timing pin hole (two).
0183
365
RIF
0184
-2-
Mr. Dan Shea
The M 134 Mini gun is a very sophisticated mac hi negun, and the completion of the missing steps
cannot be accomplished with common hand tools. Therefore, FTB finds that the Ml34 Minigun
casting submitted for evaluation has not reached a state of completion at which it would be
considered a firearm under the Gun Control Act and, further, that it is not a machinegun under
the National Firearms Act.
Our determination pertains to the sample as received; any modifications to future samples could
change this classification.
We trust the foregoing was responsive to your request for an evaluation. The casting will be
returned to you under separate cover.
Sincerely yours,
~~
Chi{[ Firearms Technology Branch

Enclosures
0184
366
RIF
0185
MAY 3se&
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0185
367
RIF
0186
U.S. Department or Justice

Martinsburg, Wts1 Virginia 25405
903050:MCP
3311 /20 I 0-1093
......-ww.atf.gov
Mr. Steve Carter

IRAC, Inc.
P.O. Box 989
OCT 1 8 2010
Dear Mr. Carter:

Firearms Technology Branch (FTB), which accompanied your submitted sample replica of a
Browning M2-type machinegun. Specifically, you requested an examination and classification
of this sample, the physical characteristics and identity of which are provided below, along with
a description of the markings:
IRAC. Model M2. no serial number
No barrel.
No fire-control components.
Spade grip assembly.
Markings. receiver right side plate
IRAC INC.
M-2 .50 CAL.
REPLICA
As background, the amended Gun Control Act of \968 (GCA), 18 U.S.C. 921 (aX3). defines
the term " firearm" to include any weapon (including a starter gun) whith will or is designed to
or may he readily conwrted to t!Xpel a projectile by the action ofan explosive ... [and] ... the
.fi"ame or receiwr o[anv .w ch weapon ....
Further, the National Firearms Act (NFA), 26 U.S.C. 5845(b), defines "machinegun" to mean
... any weupon which shoots, is designed to shoot, or can be reudily restored to shoot,
automatically more than one shot. without manual reloading. by a single function ()(the trigger.
The term shall also include the frame or receiver o[anv such weapon. any part designed and
intended solely and exclusively. or combination ofparts designed and intended. j iJr use in
conwrting a weapon into a machinegun, and any combination ofparts jiom which a
machinegun can be assembled ifmch parts are in the possession or under the control ofa
person.
0186
368
RIF
0187
'
-2-
Mr. Steve Carter
Additionally, please note that 27 CFR 478.92 states the following:

... each licensed manufacturer or licensed importer of any firearm manufactured or imported shall
or receiver thereof in a manner not susceptible ofbeing readily obliterated, altered, or removed, an
barrel thereof in a manner not susceptible ofbeing readily obliterated, altered or removed, the
model, ifsuch designation has been made; the caliber or gauge: the name (or recognized
abbreviation of same) ofthe manufacturer and also, when applicable, ofthe importer; in the case of
a clomestical/y made firearm, the city and State (or recognized abbreviation thereof) wherein the
licensed manufacturer maintains its place ofbusiness; and in the case ofan imported firearm , the
name ofthe country in which manufactured and the city and Stale (or recognized abbreviation
engraving. casting, or stamping (impressing) of the serial number must be to a minimum depth of
.003 inch and a minimum height of 1/ 16 inch. All other markings must be of a minimum depth
of .003 inch.
The FTB examination revealed that the submitted sample has been assembled utilizing a steel
right side plate that is dimensionally correct to that of an actual M2 machinegun right side plate
(see enclosure for photos). All machining operations have been accomplished on the submitted
side plate with the exception of two non-critical cuts on its back side. Because the FTB
examination finds that the submitted side plate is the receiver of a firearm, it is a "firearm" as
defined in 18 U.S.C. 921 (a)(3). Moreover, since the side plate is also the receiver of a
machinegun, it is a "machinegun" as defined in 26 U.S.C. 5845(b). Consequently, the. right
side plate is subject to regulation under the provisions ofthe GCA and NFA.
The submitted sample will be returned to you under separate cover; however, the right side plate
will be retained by ATF.
We trust that the foregoing has been responsive to your evaluation request. lf you have
additional questions, please do not hesitate to contact us.
Silcerely
, I
yo~urs,
. \
4R.
~-
Spencer
Chief; Firearms Technology Branch
Enclosure
0187
369
RIF
0188

SEP 14- 2004

www.atf.gov
903050:RV
3311/2004-653
Mark Barnes & Associates

1350 Eye Street, Suite 1255
Gentlemen:
This is in response to your letter dated July 19, 2004, to the Firearms Technology Branch (FTB),
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), in which you request a
classification on M6AI machinegun receivers.
Specifically, you want to know at which point during the manufacturing process would the
forgings warrant classification as a firearm receiver. To amplify your inquiry, you have
submitted photographs, blue prints, and portions of a technical manual to indicate the step-bystep machining process.
ln determining whether a partially completed receiver is, in fact, at a stage where it should be
classified as a firearm, FTB evaluates the level of completion of the submitted sample--in this
case via an examination of detailed photographs--and makes a comparison with a sample of a
completed firearm of the same type. Then we determine if the submitted sample can be brought
to a stage of completeness that will allow it to accept the firearm components to which it is
designed for, using basic tools in a reasonable amount of time.
After examining the photographs with the instructions provided, FTB has determined that upon
completion of"operation 307," all of the critical dimensions would be completed (see
enclosure). Therefore, at this stage the item has reached a stage that it would be classified as a
receiver under the Gun Control Act of 1968.
The plans and photographs submitted with this request will be placed on fil e with this letter.
Any deviation or departure from the steps indicated could change our classification.
0188
370
RIF
0189
-2-
We trust that the foregoing has been responsive to your inquiry. If you have further questions
Sincerely yours,
1\
,.:_pu
Sterling Nixo':!>O
Chi~, Firearms Technology Branch
Enclosure
0189
371
RIF
0190
..
LEsFsTEaEMO
()
()
Mr. John Benjamin

1537 NE 11 AYenue
Port and, Oregon 97231
Dear Mr. Benjaain:
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....
....<
....
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Thia refer to your letter of Dec..ber 17, 1998, in which

you ask about the receivers for MGl (MG42) machineguns.
to
::s
The receiver for the weapon in queation la a folded and

welded sheet metal housing which enoaaea the barrel, bolt,
and recoil mechanism of the weapon. The buttstock ia
mounted to the rear of the receiver .
'8...
..,.
1-'
!a.
We have previously deterained that unfiniahed sheet metal

receivers are firearas when they have r ..ched a atage in
manufacture where tbey have been foldea to abape. Tke fact
that certain we aing, drillin , and other aaaembly
operation8 bave aot been perforae4 bas DO bearing on ~
claaeificatlon. Yherefore, the anfiniebed KGJ reoaiera iD
question are machineguna defined.
.....
\Q
::s
With reapect to your question concernin9 tbe front portion

of the NC3' machinegun, this component s a detachable
barrel jacket which ia not a firearm receiver . The receiver
of the MGJ' is a uaahined bouaing which encaaea the bo t
mechanism and to wh cb tbe barrel jacket is attached.
'1:1
Ad4itioaally, we are not aware of the forward sections of

tbe M~2 receiver be ng approved for importation . The
receiver of the MG42 ls essentially the same type of sheet
..tal housing as is used in the manufaature of the MG3 .
No trU&t that the fo.e~oing baQ bQan ce~pon~i & to y~u.
inquiry. If we can be of any further as !stance, please
contact ua.
Sincerely yours,
(Slsn d l
rd .._
own.
n.,
Edward M. OW.n, Jr .
Chief, Pirar.. Yeebnology Branch
coo
INITIATOR
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0190
372
RIF
0191
....
John Benjamin
1537 NE 141 Ave
Portland, Or 97230
December 17 1990
ATF
Firearms Technology Attn1 Mr OWens
Dear Ed:
I had a little problem with some MG 3 housings that I ordered recently
and I am informed that you have one of these parts. This part is
.anfactured in a completly different method than the WW II MG 42
family of machineguns. I did not get what I expected when I was shown
what came in the box to be sure.
The question I have is how can I import a few of these parts for
testing and evaluation. I have no intention in manfacturing any
NFA weapon from these parts. Is there some method I could import these
if something was done to the housing to make it impossible to build
a fire arm from the part. What I am interested in is the amount of
springback and dimensional accuracy that the housings have prior to
there being manufactured into a firearm. I am also interested in the
the work hardening the metal in the final assembly prior to welding.
As an interesting observation the MG 42 guns which I use in product
development pound themselves into destruction quite quickly and
frequent work is required on the locking cam sheet metal suporting
structure. I found much to my dismay that the unlocking
cams are extremely difficult to replace if any welding is done to
build up the sheet metal. It took me about a week just to get my
gun to work after I removed the unlocking cam housing. Alignment
is very critcal and it must be aligned in three planes within about
.005 inches on the sheet metal or the gun simply does not work at all.
I have included a page from the field manual for your reference.
Other people have imported the front ends of MG 42's and the fronts
of MG 34's . These at one time were firearms. I am interested in the
manfacturing process for the gun not building firearms from non
completed stamping&. What I require for my engineering studies is
non completed receiver housings prior to them being finisnJor straightened
on alignment jigs.
Please be aware that I have been informed that for weapons parts
all nomenclature must match. If I order something that is not listed in
a factory manual by the name in the manual it is not possible to
get export licenses. All the names must match on the import license,
the purcase order, the factory invoice and in the parts manual to
obtain EUR export licenses.
Thank you for taking the time to consider my request.
C,vcL I 4-S
0191
373
RIF
0192
.
II . TECHNICALDATA
5. Other Data
All data are mean values and are within the allowable
manufact ur ing tolerances .
Sight ing device:

Open sighting. using
front and rear sights
Safety range in direction of firing
Safet y range lefi and right
I. Dimensions
Calibre
Length of gun with butt
Length of gun without butt
Width of gun
Height of gun with AA sight raised
He1ght of gun with AA sight lowered
l ength of barrel with locking piece
Length of rifled section
7.62 mm
1225 mm
1075 mm
130mm
270 mm
205 mm
565 mm
476 mm
from 200 to 1200 m

5000 m
1000 m each
Ill. TECHNICAL DESCRIPTION
R/H
T WISt
No. of rifles
Distance between front and rear sight
Height of muzzle with bipod unfolded
430 mm
300 mm
---
2. Weights
Weapon with bipod and sling
iWeapon withoul b ipod and sling
Barrel
11 .5kg
10.5 kg
1.7 kg
3. Performance Da ta
Gas pressure
Muzzle velocit y (V )
Muzzle energy (E;)
Rate of fire
~aximum
range
3360 bar
820 m/ sec
3200 N M
appx. 1150 150 rds/ min
appx. 4 000 m
Fia. 2: Components o( MG J
Housma
Barrel
1.1 . Operating D ata
Req uired trigger pulling force

Recoil travel of barrel
Recoil travel of barrel t ogether with bol t.
unul bolt is unlocked
12
IJ
Recoil booster
Barrel au Ide slee' e
Reco1l sprna
Feed mechmsm
14
Pivot ptn
P1stol &np
15 Oust C'O\er
16 Tonional sprl spnn&
Bolt
Cock ina shdc

Rearco,-cr
appx. 6 to 8 kgf
appx . 21 mm
8 Butt
appx. 8 mm
\-\-o\~
-t:'o.-
\~'::f:JI:I'
8 1pod
10 Shn&
II
17 P~ot pm
18 Split coucr pm
19 E)cbolt
20 Ant1 A m~nn S&ht
~to..~.~ ui\J-1-ti\JI'::I~c(
0192
374
RIF
0193
,,.

Martinsburg .
We~t
Virginia lJ40j
www.atf.aov
903050:AG
3311/2011-014
DEC 2 2 2010
Mr. Steven Carter
IRAC, Inc.
P.O. Box 989
Dear Mr. Carter:
This is in response to your letter to the Firearms Technology Branch (FTB). Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF), requesting an evaluation of a "dummy," MK 19 type,
40rnm machinegun, which is enclosed with your correspondence. Specifically, you asked FTB
to determine if your submitted sample was a firearm or a "durnmy"/"non-gun."
For your information, the Gun Control Act of 1968 (GCA), 18 U.S.C. Section 921(a)(3), defines
a "firearm," in part, as " ... any weapon (including a starter gun) which will or is designed to or
may readily be converted to expel a projectile by the action of an explosive ... [or] ... the frame or
receiver of any such weapon .. .. "
Further, the National Firearms Act (NFA), 26 U.S.C. Section 5845(b), defines a "machinegun"
as follows:
... any weapon which shoots, is designed tu shoot, or can be readily restored to shoot,
automatically more than one shot, without manual reloading, by a single f unction ofthe trigger.
The term shall also include the frame or receiver ofany such weapon. any part desig ned and
intended solely and exclusively, or combination ofparts designed and intended, for use in
converling a weapon into a machinegrm, and any combination ofparts from whi,h a
machinegun can be assembled ifs uch parts are in the possession or under the control ofa
person.
Upon examination, FTB found that the submitted MK 19 "dummy" receiver is a newly
manufactured item. The "receiver" portion of the item is milled from an aluminum casting and
mimics the shape and appearance of a MK 19 machinegun receiver. The submitted item includes
a solid, steel " barrel," as well as other non-functional components which are designed to
replicate the appearance of MK 19 components such as the control-grip assembly, sear assembly,
and feed mechanism.
0193
375
RIF
0194
-2-
Mr. Steve Carter
The FTB examination confirmed that the aluminum "dummy" receiver is incapable of accepting
an MK 19 machinegun barrel, bolt assembly, feed mechanism, or sear assembly. Moreover, the
submitted item is not designed to expel a projectile by the action of an explosive and, in addition,
does not incorporate the frame or receiver of a firearm and may not be readily converted to expel
a projectile by the action of an explosive. Therefore, the submitted item is not a " firearm" as
defined in the GCA or a "machinegun" as defined in the NFA, and its sale and possession would
not be regulated under Federal law. This finding is based on the item as submitted to FTB. Any
changes to its design or dimensions would make this classification subject to review.
We thank you for your inquiry and trust the foregoing has been responsive to your evaluation
request.
Sincerely yours,
ohnR.Sp<~
Ch" f, Ijrearms Technology Branch
._/
0194
376
RIF
0195
L :FrTD1ENO
7540
0
0
..
Hr . Robert Bower
Philadelphia Ordnance, Incorporated
Orelan Industrial Park
Oreland, Pennsylvania 19075
O!'l
...... ::
(110
;>;::
l'l
(/')
)o
(')
'....""
Dear Hr. l!ower
HI
This refers t your letter of July 2, 1985, with which

you aubmitted a sa ple of an unfinished receiver tube for
an MP- 38/HP-40 aubmachine!Jun receiver , a threaded barrel
bushing and a partially completed aoaaine houalng for
the above firearn. The parts were aubmltted for claseification under tho provietona of the GUn Control
Act of l96R (GCA) and the lational Firearms Act CNFA).
U>O.
0.
t"'
.......
:SOD
~
"'
-.II
NW
00
l}1
>'
0
'....""
0
HI
(l)
Exa ination of the su~itted parts indicates that tho

receiver tube has been achined at the rear to accept an
IP-38 or tP- 40 submachlnegun rip fra e . No holes or
slots have been achined for the aear, cocking handle,
~aoaaine port, ejection port, latch pin , ejector , or roar
sight. The receiver tube, as described, has not yet reached
a stage in nanufacture where it would be classified as a
firearm . The barrel bushing and JNgasine housing are not
subject to the provision of the GCA or the NFA. However,
if any additional r-achining operation are performed on
the tube , or if any additional c~nenta are sold with
the tube , this classification is sudject to review.
"'l
.....
11
CD
01
g
(ll
......<
It is &UIJgested t.hat you notify any purchasers of these

parts that the construction of a serviceable or unserviceablo
HP- 38 or tP-40 type submachin&Oun without payment of the
appropiate aak i no tax and prior approval fro ATF is a
violation of the NPA.
The submitted samples are being returned under separate
cover.
we
tur at that the foregoing has been responsive to your

inquiry . If we can be ot any further assistance , plea ..
contact us .
Sincerely yours,
Edward u. owen , Jr .
Chief, Firearoa ~echnology Branch
coo.
OMnATOII
.....
V~ff: F re
D A'n
1<;--.!)..~~
ATPF
lttJ~.
t.sD.8fZ ~
.,.......
.-vtEWaR
M.vtzwa"
REVIIIWEa
REVIIIWd"
MYI. W.: IIt
..1
COftltESPONHNC.IIII'PAOVALANDCL.aAAAHCIE
o~""'" .,.'- "'0'
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-~UATPPOIIMN,.7~WMICHIIAYaRUUD
e V 8- GP01
Jt~- 461-lll
0195
377
RIF
0196
..W I 8 1985
r. Charles Steen
Sarco, Incorporated
323 Union Street
Stirling, New Jersey
Dear
07980
r. Ste nt
This refers to your letter of June 10, 1985, with which

you au itted a sample of a dumMy STEN aubnachinegun for
classification under the provisions of the Gun Control Act
of 196 (GCII) and the ational Pi reams Act H'P'A).
Examination of the aubmitte~ sample indicates that it is
constructed utilizing a STEN submachinegun barrel, nagazine
housing, trig er housing, buttstock, buttatock retainer
plun er, and rocoil spring retainer. The du~y also
contains the forward portion of a eTcN submachinegun bolt
an a ortion of recoil spring. The receiver has been
constructed fro solid alu inu bar stock which has been
bar d out in the front, and the forward portion of the
bolt has been olued in lace.
The receiver has been cut out in tbe area of the ejection
port and magaaine vall, aRd a slot has been achined tn
the right aide of the receiver to accept a dummy cocklng
handle. The remainder of the receiver is solid bar stock.
ased on the sample supplied, the above described du y
RTEN subnlachinegun 1a not a fiream as that term 1a
defined in the GCA or the tFA.
owever, if the ~ethod of
construction or dimensions are changed, this classification
would be subject to change.
The subnitted sample is being returned under separate
cover.
REVII.WER
IUVIE.WI"
0196
378
RIF
0197
..
r.ca FtT&a Et o
7540
Hr. Robert J. Imel

P. A.l .s., Inc.
8175 River Road, ~.E.
Sale , Oregon 97303
Dear Mr . Imel:
Thia refers to your lettP-r of June 2, 1986, with which you
sub itted samples of your ZXS subnachin~oun receivers in
various stages of proouction. Also submitted, waR an "GH
ode) Xfl5Al receiver which has been moditied to Hl6
conlinuration.
F.xa ination of the subNitted ZX5 receiver tubes bearing
serial numbers 0306, Ol78 , and 0369 indicates that serial
numbers 0306 and 0278 have reached a ~int in manufacture
where they are considered to be machinegun receivers as
defined in Section 5845(b), Chapter 53, :ritle 26, United
St~tee Code , the National Firearms Act ( NFA ).
Xbe tube
bearing serial number 0369 is escentially in the sa~e
oonfiouration aa that submitted by your fl~ in 1977.
This tube has not yet reached a ataQe in manufacture whore
it can be considered a receiver for a machinegun. Addi tionally, it is not considered a firearm as that term is
defined in Section 92l ( a) ( 3), Chapter 44, Title 18, United
States Code, the Gun Control Act of 1968.
The XH15Al receiver, bearing aerial number 3305, has been
re anufecturcC to the configuration of a~ Ml6 selective
fire rifle and is a nachinogun subject to the making,
registration, and transfer provicions of tho ~FA. Your
comparison of the 1116 type receiver to ZX5 receiver without eiection port or cocking slot lS not relevant, since the
Hl6 type ~eaign does not utilize a cocking olot or ejection
port in the receiver of the weapon.
0197
379
RIF
0198
-2-
rr . Pobert J. Iroel
The submitted samples
ar~t
being returned under separate cover .
We trust that foregoinQ has been responsi ve to your inquiry .

If we can be of any further as&iatance , please contact us .
Sincerely,
Chief,
Edward M. OWen, Jr .
Fi rea~s Technology Branch
EMOWEN: h j:?-1-86
Di sk 1 30 Line
cc :
~N?TO~
CODE
~~-~
SUR
laJ,
NAM.
DATE
I nspec t or Lee Ruthe r f ord

BATF , Compliance Operatio ns
Por tland , Or egon
7.
,_EVII!WER
MYIEWI!R
REIII!WE. R
SAC
RRA
REVIEWER
Fir ear ms Div.
REVIEWER
REVIEWER
_.,
12- / -~
ATr& P: 1325.e f2 75)

llti:~C ES ATF FORM St2f 73 )
COIItRES PONOENC A PPROVAL AND CLEARANCE

WHICH MA Y BE USED
!."""
Oof'...JIII"'rMi:,.J o ,-no Uti ...
. u.s.
cPOl UU-467- tlO
0198
380
RIF
0199

AUG 1 6 2002
903050:GKD
3311/2002-354
Mr. Mark R. Jacobs

Black Bear Manufacturing L td.
10080 N. Palmyra Road
North Jackson, Ohio 44451
Dear Mr . Jacobs:
This refers to your letter of March 4, 2002, with
which you submitted a sample of a semiautomatic
replica of a Vickers water-cooled machinegun for
classification.
The submitted firearm has no
manufacturer's marks of identification or serial
number .
As defined in Title 26, United Sta te s Code (U . S.C.),
Chapter 53, section 5845(b), the term machi n e gun means
any weapon which shoots, is designed to shoot, or can
be readi ly restored to s hoot , automatica lly more than
one shot, witho ut manual reloading, by a single
function of the trigger.
The term shall also include
the frame or receiver of any such weapon.
Examination of the submitted firearm indicated that
the left sideplate is approximately .132 of an inch
thick. The right sideplate, approximately . 132 of an
inch th i ck exclusive of the ribs, has been
manufactured with two integral steel ribs that
protrude from t he inside of the sideplate into the
receiver cavity.
These ribs begin near the rear end
of the trunnion and extend approximat ely two inches
toward the rear o f the sideplate . Each rib is
approxi mately 3/32 of an inc h high and approximately
.OS of an inch thick . The purpose of the ribs is to
p revent the installat i on of standard Vi cke rs
machinegun side rails (recoil plates) . The right side
rail has two re li ef c uts t o accommodate the ribs of
the sidep l ate.
REVI EWER
REVIEWER
REVIE WER
"U.S . Gcwmrncnt PrinbngCMfiol: 2002 - 4tl -811/53553
0199
381
RIF
0200


-2 -
Mr. Mark R. Jacobs
A metal bar has been installed in the receiver

directly unde r the mounting screw for the top cover to
prevent installation of a standard Vickers lock
casing.
The top front portion of the lock casing has
been notched to accommodate this metal bar. The top
cover has had metal removed to allow it to close over
t he metal bar.
The top cover has a stop block installed in a
temporary manner, which you state would be a weld
installation o n the production firearms. This block
prevents the i nstal l ation of a full automati c trigger
bar. The modified trigger bar present in the top
cover has a spring-loaded disconnector installed. The
trigger bar is in severa l pieces. The front section
disconnects from the rear section when the bol t moves
to the rear. Additionally, the trigger (sear) on the
bolt has a vertically sliding plunger that engages the
front of the trigger bar.
Further examination disclosed that a simple
modification such as installation of a meta l shim or
block under the disconnector could cause the firearm
to function as a machinegun as originally designed. To
test this possibility, a folded piece of sheet brass
was placed under the disconnector and the firearm
subjected to a test firing in this config uration.
This test was conducted at the ATF test range,
Washington, D.C . The submitted Vickers firearm was
capable of discharging more than one round of
ammunition, without manual reloading, by a singl e
Based on the above examination and test firing, the
Vickers type firearm you submitted is a machinegun as
defined and is subject to the provisions o f the
National Firearms Act (NFA) .
It is illegal to
transfer or possess such a firearm unless it is
registered in the National Fi rearms Registration and
INITIATOR
RE VIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
CODE
SURNAME
DATE
ATF F 9310.3A (7 97) (Formerly ATF F 1325.6A, whiCh may still be used)
tJ.S. Gcwei'Mien1 Ptint.ng OH10e. 2002 - 491811153553
0200
382
RIF
0201


-3-
Mr. Mark Jacobs
Transfer Record (NFRTR) . In accordance with NFA

controls, we are unabl e to re turn an unregistered NFA
firea rm to you.
The fo l lowing opt i ons are availab l e :
A.
Voluntary abandonment t o AT F f or disposition.
B.
Removal and retent ion o f t he right sideplate by
ATF a nd return of the remaining components t o you.
We regret that o ur response could not be more
favorabl e at t h is time.
If we can be of any fur t her
Sincere ly yours,
Curtis H.A. Bartl ett

Chief, Firearms Techno l ogy Branc h
INITIATOR
REVI EWER
REVIEWER
REVI EWER
REVIEWER
REVIEWER
REVIEWER
CODE
SURNAME
DATE
ATF F 9310.3A 797)(Former! y ATF F 1325.6A, which may still be used)
U.S. GoYemment Pnnt.ng Olli00. 2002 - 491 8 11/53553
0201
383
RIF
0202
,.
MAY I 0 ll8l
LEI F :TE I C.'10
to. '\athleen A. Ryan

Gpringf eld Armory
42 Neat :-tain Street
G ne eo, Illinoio 61254
Dear H Ryana
cefcr to your let .c of Hay 2, 1990, in \1hich ou a k
about the lmporta.: on of unfini h-d rcc lve
and c
onent
pa t fo the A 9 cc AGJ.Il 9
ca ibe carbine . Y u
ndicato~ that ~pr ngf e d Ar ory p an
to comp ete
munuf c ur of the cceiver and a semb e the ~eapon
Un ted tate A nmple of the untln bed receive
ubm tted o th
office on lay 9, 199
Th
An exam1nation of the GUblil1tted ample indicate ~h

t
a f at rec~angular p1ece of heet metal approximate y 11-3/4
1nchc 10 length and app oximatcly 4-3/0 1che.. in w dth .
The ejection port ha been cut lllld two trengt. en i9 lb have
been pre~sed nto the b an~. A~ 1ndicated n your letter
tho fol owing ope ..a ion are to be per o.med by your fi 1
l.
2.
3.
4.
S.
6.
to n U haped channel.
wtnmp out the bolt handle cock~ng handle olot .
Pcrfor a di."plo-.. nd-pu.1ch operat~on for he carrying
hllndle.
Held a bolrrc~ re-a.nor collar in place to ~roperly
.ocate the barrel in the receiver .
Held
rottnfo.ccmont br:o.ckoc in place ..o g1vo trongth
to the receiver: and allow the location 11nd in tallat on
of the front trigger hou ng .
Drill to properly locate the rear tr gger count ng
pJ. cement.
I'0-1>1
T o unf~ni hod rece vcr for the Algioec A~l carbine, as

de cr bod bovo, ha not reach_d o. ctag~ n manu.actu c
who e 1t wou d be c1n
f1ed as a f oa
CODE
1?~~:-rz;JJ:?
NAME
V(}Lb--
D ATE.
s-~<7--t:?O
SUfll
IIIEVIEWER
REVIEWER
R EVI!WER
ATF F 132.5 S !a -7.5 1

CO..RESPONDENC APPROVAL A
.. E~LACES ATfl FORM 92 18731 WHICH MAY BE USED
"
REVIEWE R
'
D CL.EAAA ICE
'lEVIEWER
REVIEWER
,....,.,. .. T
., .._...., Of' lill-COMOL
H~ACCO
..1[
,.l.A.tllln'
..... 0 I
at.AitQ
U S GPO 1iai0 228538
0202
384
RIF
0203
,..._ .
-2-
Kath een A. Ryan
00
0 ....
,..
.. rn
Plcaae be adv.L ed that thl c a ~ification !a ba ad on th...

onnple a received . If the desion, di en on 1 or nunbec of
lllllnuf ctur ng operation ... arc ch.:mgcd, thi c a
flcat on
ubjcct ~o revici.
Cllt"'
>I
(')N
.co
~;o
><
O>
H!z:
<:
HO
T
ubject unf ni hod rcce.Lve haQ rene ed a tage in
manufacturo where i _ identiflable a~ a defen c art1clc1
therofoce, an ATF Form 61 Applicatton and Pe m t for
Importat1on of Arr.1 1 AL::aun:a.tion and I.plement of Har1 wi.Ll
bo required for the . porta ion of the unfini hed rece1vcrs .
CllO
H(')
ZV1
I
ID
Your que t on concern1.ng record ke':!p ng baa been referred to

tho Fi ca
and Explo ivc Ope~a~ions Brunch, Compliance
Opcrnt ... on They vill .te pond conoern.ng thi que tion.
The
uum ttcd
amp e i
being rotu ned undet
ID
""
eparate co c
t:e trust tha
the foregoing t.a bee., re pon ve to your

nqui y . If we m:ly be of any further n l. tance, please
contact u
Sincerely your
Ed~ard M. owen, J
Chief , Pirearm ..:Oechno ogy Dr ncb
COOl!
INITIATOR
REV III! WEA
REVIEWER
REVI1 WEA
AEVIEWE!It
REVIEWER
REVIEWER
SUR
NAME
DATE
AT~
F" 132$ 612751

CORRESPONDENCE APPROVAL AND C.LIEAAAt'ICE
REPLACES AT I" FORM 21731 WHICH MAY BE USED
,.,dJI
ufltAU Of
0 _"" ..
Hf , .. ~~...,
A.&.COt<O.. T~C.CO "''"0 f fli..A.to'ltll
u 8 GP10 tle8 0 228-5)8
0203
385
RIF
0204

903050:MRC
3311 /2004-179
MAY -5 2004
Mr. Neil Amodeo
Numrich Gun Parts Corporation
226 Williams Lane
P.O. Box 299
West Hurley, NY 12491
www.atf.gov
Dear Mr. Amodeo:

This is in response to your letter dated November 28, 2003, to the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF), Firearms Technology Branch, with reference to your submitted
AMT Automag-type casting. ln your correspondence, you inquire whether this item qualifies as
a "firearm" under the Gun Control Act of 1968.
Following examination of the example you submitted, our Branch determined that the following
machining operations would be necessary for this casting to be considered a firearm:
I.
2.
3.
4.
5.
6.
7.
8.
9.
Cut frame rails.

Drill hammer and sear pin holes.
Drill hole for trigger bar spring.
Drill hole for trigger bar stop pin.
Drill slide stop pin hole.
Drill and tap for grip screws.
Drill hole for hammer strut and spring.
Final prep of feed ramp.
Drill hole for trigger pivot pin.
Therefore, the particular casting you submitted does not meet the definition of a "ftrearm"
presented in 18 U.S.C. Section 921(a)(3). However, any deviation from the example would void
this classification.
Sincerely yours,
~.._ s?n~
0204
386
RIF
0205
...
Jm 1 a 1981
01
to yrur: lett:JN: of J\llla 3

cpin1or1 on
c1
cat.1m of a
firoom frJae OS: nx:e1:
0205
387
RIF
0206
. s......
.:{
est-
'81.-m
File:
SAVAGE ARMS
Sprin!jdale Road
WesH1eld, Massachuselts 01085
Telephone: (413) 562-2361 Telex: 95-5440
June 3, 1981
Firearms Technical Branch
Bureau of Alcohol, Tobacco
P.O. BOX 784
Washington, D. C. 20044
& Firearms
Gentlemen:
I have been asked by your Springfield, Massachusetts office
to write to you.
I would like to receive a written opinion as to whether or not
bolt action rifle receiver blanks, as illustrated in the
enclosed polaroid picture, have to be serial numbered before
sale to a custom gunsmith who will make match rifle receivers
from them.
These blanks are made by cutting a steel bar to length and
then drilling and broaching. There are no other operations performed on this piece of steel by Savage Arms. The exterior is
unfinished and over sized .
The custom gunsmith who was to furnish these into receivers would
have put on a serial number after machining has been completed.
We will not ship any of these blanks until we receive your
opinion.
R~c:;;_%~
RAG/gk
R. A. Greenleaf
Customer Services Manager
encl
0206
388
RIF
0207
...
0207
389
RIF
0208
I
oc
0 ...
LE:F:TE:EMO
Dl
:or
(l)t"'
)Ill
.. "'
(")N
tr. ~ieolaw Czercpnk

3809 w. 77th Place
Chicago, Illinois 60652
Doer tr. Czercpak:
This ref r to your otter of July 24, l99B, in which you
aok about selling t\P4C suboachinegun receivero which are
"80\ flnishod.
CIO
......
e do not J;~Z~I;e clnssifl.cationo ba ed on tho percentage of

co pletenooo of a particular ito The terminology "80'
f.nished is not uood by thi~ office.
l
"'
051
c have classified certain unfinished receivers as n t being

firea
Those unf niehed submachin gun type receivers,
wh ch have been clas ified as not being firear s, are solid
ba
w1th no 1nte nal macb.ning perfor ed. The exter or of
tb bar ha been profi ed to the opproxi ate al~ e of the
finished te
If you
ol d ba hnv1n the exte~~ e
of nn
chine un receiver nd having no nternal
sachin1n, the itc1 wou d not be a firer If any
operat ons were performed tbi claosifi~at on
ubject to review.
e tru t that the foregoin bas been re
inquiry. If we
y be of any further a
contact u
Sincer
(SicnedJ Edward
Ch ef,
CODI:
t NJTIATOA
"IIVIEWER
onsive to your
1 .. tance, p e o
y yours,
u.
Oreo, Jr
. 0 en, Jr.
cchnology Dtanch
REVIEWER
RI!VIEWER
REVIEWER
REVIEWER
SUIIt
NAM I.
DATI!
ATJI' F 1325
e 12 7 5 1
COAAE:SPI'ONDI!NCE A,.._M>VAL ANO CLEARAtiCE
llti: ~C I:S A'TF FORM !JZ UJ-73) WHfCH ""AY BE USED
aonu
"t~OI'
Uof flllA9....,
av"'*"'"' Olt 41.C:OMCX. fOeAC:'-0 a ... o L.t.ltilll$
U SOPO 118a:Q..228.&38
0208
390
RIF
0209

903050:MRC
JAN 1 3 2004
3311/2004-233
www.~tf.gov
Mr . Steve Lazzara
National Ordnance Company
5514 W 34th Street
Houston, Texas 77092
Dear Mr. Lazzara :
This is in response to your letter dated November 28,
2003, to the Firearms Technology Branch, Bureau of
Alcohol, Tob acco, Firearms and Explosives (ATF), in
which you ask for a classification of an accompanying
sample of a Government 1911Al type casting .
.
- -- ---
Upon a n exami nation of the submitted sample, our

Branch determined the following machining ope r ations
would have to be performed:
I. Cutting fra me rails;
2.
3.
4.
5.
6.
Drilling of hammer and sear pin holes;

Drilling of plunger tube holes;
Dril ling of slide stop pin hole;
Dri ll ing of disconnector hol e ;
Drilling of hol es for ejec t or legs;
7. Drilling of hole for thumb safety;
8. Finishing machining for magazine catch;
9. Cutting groves for mainspring housing; and
IO.Drilling and tapping for grip bushings.
Furthermore, based on the examination of the submitted

casting , we concluded that it does not meet the
definition of a "firearm" provided in 18 U.S . C.
92 l (a ) (3) . However, any devia tion from the submit ted
item woul d void this classification.
0209
391
RIF
0210
.'
-2-
Mr. Steve Lazzara

We thank you for your inquiry, along with ac'companying
sample, and trust that the foregoing has been
responsive to your request for an evaluat ion .
Sincere l y yours,
~Sterling Nixon
Chief , Firearms Technol ogy Branch
0210
392
RIF
0211
~
. ....
l !.S. Department of Justice

Bureau of Alcohol. Tobacco.
903050:WJS
331112012-1201
Mr. Alan Aronstein

Hi-Standard Manufacturing Company
5151 Mitchelldale, Ste. B II
SEP Z 8 2012
Dear Mr. Aronstein:

This is in reference to your recent correspondence to the Bureau of Alcohol, Tobacco, Firearms
and Explosives (ATF), Firearms Technology Branch (FTB), with accompanying samples (see
enclosed photos) for evaluation and classification per provisions of the Gun Contro l Act of 1968
(GCA), 18 U.S.C. 921(a)(3).
As background to our discussion, the GCA, 921 (a)(3), defines the term "firearm" to include:
converted to expel a projectile by the action ofan explosive; [and] (B) the frame or receiver of
any such weapon ....
Please note that any receiver-casting or receiver-blank that has been fini shed to the point at
which it can be recognized as a firearm frame or receiver is a "firearm." Our Branch has held
that in order not to be recognized as a "firearm," a semiautomatic-style receiver-blank or
receiver-casting must not have: a) slide rails or slide rail indexing marks; b) a barrel seat; and
c) more than two of any of the following four critical holes drilled- I) slide-stop pivot, 2) sear
pivot, 3) disconnector, or 4) hammer pivot pin.
The FTB examination of your submitted 1911-type sample found that is has had the following
machining operations partially or fully completed:
Casting from steel, the outside profile of which is generally to shape, with recess for the
hammer slot and the magazine well.
The ramp partially formed, partially machined.
Relief cut in front strap for the magazine floor-plate.
Thumb-safety detent area partially machined.
Magazine-catch opening machined.
Trigger-assembly opening machined.
0211
393
RIF
0212
Mr. Alan Aronstein
We noted that there is no barrel seat; there are no mounting pin holes for the hammer, trigger,
sear or takedown pin; and no slide guide rails have been formed or indexed.
Further, the FTB examination of your target-pistol type sample disclosed that it has had the
following machining operations partially or fully completed:
hammer slot machined.
Magazine well partially machined.
Feed ramp formed and machined.
Magazine-catch area on front strap machined.
Opening for magazine-catch roller and roller pin machined.
Trigger recess machined.
Trigger stop-pin hole machined.
Barrel seat partially machined.
Barrel take-down pin hole machined.
We noted that there is a partially machined barrel seat; however, there are no mounting pin holes
for the hammer, trigger, and sear, and no slide guide rails have been formed or indexed.
In conclusion, the FTB evaluation finds that the submitted Hi-Standard, 1911-type receiver blank
and Hi-Standard, target-pistol type receiver blank are not "firearms" as defined.
In order to facilitate the return of your samples, please provide us with your FedEx account or a
U.S. Postal Service, UPS, or other appropriate carrier return-shipping label within 30 days of the
receipt of this letter.
We thank you for your inquiry and trust the foregoing has been responsive. Should you have any
additional questions, do not hesitate to contact us.
.
cerely you
, ;+
\ s
c-
hn R. Spencer
Fir arms Technology Branch
Enclosure
0212
394
RIF
0213

AUG 1 9 2004
www.atr.gov
903050:RDC
33 11/2004-564
Mr. Robert Serva

Dan Wesson Firearms
5169 Highway 12 South
Norwich, NY 13815
Dear Mr. Serva:
This refers to an unfini shed 1911 -type semiautomatic pistol frame sample, which was received
by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), Firearms Technology
Branch (FTB), on July 25, 2004, for examination and classification.
Examination of the submitted unfinished frame revealed that the following machining operations
have been made, implementing these essential features:
Slide stop crosspin holes.

Sear pin hole.
Hammer pin hole.
Thumb safety pin hole.
Main spring housing pin hole.
Disconnector port.
Stock screw bushing threads.
Frame plunger tube mounting holes.
Feed ramp.
Barrel link surfaces.
Frame interior passages/slots.
Frame safety lever cutout.
In an accompanying letter, you note that the submitted slide rails have not been cut and that there
is an additional .015 inch of material left on top of the rail area. AdditionaUy, you state that the
sides are approximately .004 inch in width.
The only critical operation yet to be made is the cutting of the slide rails. Although critical, this
work can be completed in a minimal amount of time by a competent individual having the
necessary equipment.
--- - - - - - -
0213
395
RIF
0214
-2Mr. Robert W. Serva
Based on our review of the submitted frame, including the features enumerated above, FTB has
determined that the number and complexity of the operations made are suffici ent to classify this
sample as a " firearm" as defined in 18 U.S.C. 921 (a)(3).
We trust the foregoing has been responsive to your inquiry. If we can be of any further
Sincerely yours,
;e...OY/
~Sterling ~n
0214
396
RIF
0215

JAN 2 5 2005
www.a1f.gov
903050:AG
3311 /2005- 141
Mr. Si H Bloom
General Counsel
Taurus International
16175 N.W. 49'h Avenue
Miami, FL 33014-6314
Dear Mr. Bloom:
This is in response to your letter dated December I 5, 2004, to the Fireanns Technology Branch
(FTB), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), in which you ask for a
classification of the four investment castings you submitted in order to detennine their
importabi lity.
The FTB examination of the submitted samples has determined that the following major
machining operations would need to be perfonned on items 1-3 (revolver-type receiver castings)
to enable them to meet the definition of a firearm:
Machine barrel channel.

Machine cylinder pin hole(s).
Machine firing pin tunnel.
Other minor machining operations might also be required.

The FTB examination of the last submitted sample has determined that the following major
machining operations would need to be perfonned on item 4 (pistol-type receiver casting) to
enable it to meet the definition of a firearm :
Machine bore of barrel.

Machine slide rails.
Machine mainspring channel.
Other minor machining operations might also be required .
0215
397
RIF
0216
-2-
Mr. Si H. Bloom
In conclusion, the FTB examination of the submitted sample castings has determined that they
do not meet the definition of a "firearm" found in 18 U.S.C. Section 921(a)(3) and may be
imported into the United States. However, any deviation from the examples submitted would
void this finding.
We thank you for your inquiry and trust that the foregoing has been responsive to your request
for an evaluation.
Sincerely yours,
~~~
1e~~:~l:gy Branch
Chief, Firearms
0216
398
RIF
0217

DEC - 4 2005
www.atf.gov
903050:AG
33 11/2006-124
Mr. Eric Unger

General Manager
Pine Tree Castings
411 Sunapee Street
Sunapee,~ 03773
Dear Mr. Unger:
This is in response to your correspondence dated November 4, 2005, to the Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF}, Firearms Technology Branch (FTB), in which you ask
for a c lassification of two pistol-type (Smith & Wesson/Walther) rrame castings that you
submitted to FTB.
The FTB examination confirmed that the submitted samples are ferrous metal, pistol-type fram e
castings. The castings resemble firearm frames, but are missing several features that would
permit their use as firearm rrames.
The following major machining operations are required for these items to meet the definition of a
"firearm" (see photos provided on pages 3 and 4) :
Machine barrel tunnel/feed ramp.

Machine barrel retaining pin hole.
Machine trigger guard recess and pivot pin hole.
Machine trigger pin hole.
Machine trigger recess.
Machine tri gger bar recess.
Machine sear hole(s) and recess(es).
Machine mainspring cap retaining pin hole (PPK/S only).
Machine mainspring c learance/grip panel screw hole area (PPK only).
Machine hammer drop safety recess.
Other minor machining operations may also be required.
0217
399
RIF
0218
-2-
Mr. Eric Unger
Accordingly, the FTB examination has determined that the Smith & Wesson!Walther pistol type
frame castings you submitted are not "firearms" as defined in 18 U.S.C. 92l(a)(3).
This classification is based on the characteristics and features of the samples as received (one
PPK type and one PPK/S type). Any alteration of the dimensions and/or configuration of these
items will void this classification and require reevaluation by FTB.
for an evaluation.
Sincerely yours,
s -~
{
Sterling Nixon
0218
400
RIF
0219
INTERSTATE SHIPMENT OF
FIREAR~/
/~-/$-/.
HEARINGS
BBll'ORB TBB
COMMITI'EE ON COMMERCE
UNITED STATES SENATE
EIGHTY-EIGHTH CONGRESS
l'IRST AND SECOND SESSIONS
ON
s. 197~
f!;R,? 17t,
A BILL ro .illEN:'(> THiii i'EDI!JRAL lfIREARMS ACT
AND
s.
2345
A DILL TO AMEND THE Jl'EDERAL l!'JREARMS ACY.I.' TO 1''URTHER

RESTRICT THE US>! OF J:llSTRUMENTALITIES OF INTERSTATE
lilt FOltBIOZ.: COllUll&RCkl l!'OR 'i'HE ACQU18l'J.'IO~ 01!' l!'lREARMS
FOR UNLAWFUL PURPOSES
DEOEHDER 18 .AND 18, 1008; JANUARY 23, 24, AND 30, AND
MA.ROH 4, 1004
Serial No. 45
Prl11te4 for the un of the Oommlttee 011 Oomwerce
U.8. OOVERNMENT PR1NTINO ORICll
""If'
WASHINGTON : 19&1
0219
401
RIF
0220
..
'
' ..
APPENDIX
AGENCY COMMENTS
DEPAllTllY.NT 0 .. l:l'l'ATI!:,
Hilu. lVWN
o: M.\qli~soN,
Wa1tl&l1111hm, D.<J., Novm11bor l..f, 1968.
Ol&airnUJ.n. OoinmUtco ot~. Oomtncrae,

U.S. Senate.
DEAR Me. OnAUt'MAN : l nm writing in rep))' to your letter or August 8, 1008,
rl'C}uestlng tbe oonnnente of tho DcJ>nrlment on S. 107G, a bill to nmtmd thu l!'cd
eral Flroarms.Act. ~
S. 107u would nmeud tho flrat five sections ot the l!'c<lernl Flrcmrms A<!t for tho
1mrpose of resttl~ttt\g the siil~ of mall-order handguns to juveniles nnd undeelr
ablo ndulbJ; Wlill"' tile Depat-tment flnds no objections to thcMe 1>rovlslo11s, lt ta
noteil'thai' tbo 8ccrofoeyor ~aury, hy the tt.>rmH of the li'ctlcrnl l'lrmuu,ap Act1
bas res1>onslbtllty tor tta administration. It la furtlicr iiotcd tlu\t 11ectlofa r or
8. 1970 would odd 11 new sL-ctton 10 to tho l!~<!tnl Flrcnrlmi A<t to tlrcscrvo th~
requlrcment.s of SCl'tlon 414 of tllo Afutunl Sucurll')" 'Act 6f lOIS4; nH 1UhN1detl,
whlcb. aro =nchnlnlsWL'ed by tho Seorotory ot St.4t.e! 011 delegation ,from "tho
1
Ur~ldent.
1i .
.-
..
,,
. .
..
..
, ._
!l'h" il>opnrtmcnt .would have ho object.ton to 8; 11070 wltlt.tbe lueluslon ot MIC~

tlon 7 to clarify.tho ludlvldual rosponelbllltlee )f the Seercturles ot tho Trc~umry
ntul Stntc.
,
.
. ;
.
. ,.
The lhtrenu. ()J! the tBttd~t od\l1.1estJ1ot from the etandtiolnt ot Um 111hnlulHttll
lion's pro1rn1n there.IA no objection to ttio submlAAlol\ of thhc rc10rt.
.lt I cnn be of f.u rther aselstn11ce to you :In thlit nultter1 1>le111m tlo not lw1tltnle
to let mo know.
. .. . .
1 Slncorely yourB,
.
FBEDEa1ox o..Du'l"'l'ON, ...
Aaaialcmt 8ool'ott1111.
...
. ,.
llon. WAmu,~N G. fd4'~NU80N,

.
a11afnnan, Gmn,11ltteo o~ 0<m~ncrc6, .
. i .
. DErA.llTMENT o~ $TA.TE, ,
1Voal&11'1lon, Docombc_r: ~. 1968.
.. !
S~malo, : . ...
.
.
. . ... ,
. . DKAR MR. CuAJllMAN : I nm. \\'rlt.lng to the rcspon&O of your llttor of J)e('01nhe~
2, .Ultl.11:requt?fft1ng tho comments of the Det>nrtment on tJJo amendmonbt lntonded
to h~ propoaecl by Senator Dodd to B. 197G amd on S. 2345, both bllhs to nmend
ll.S.
thn l!'odornl l!'lrenrma Act.

..
..
.
.
. The Department ndvl.sod tho commtttee on November 14, 100:1, thatJ 1lt would
have no obJectlon to 8. 1075 with the lncluslou of sootlon 'f .to Clnrlfy tho tn,
dMcluol l'Q8J>0n11lbllltJea ot. the Socretartca of Tteneur7 aud State. . The
amoncltn<>nbl intended to be p1oposed bl' SeuntA>r. Dod<l havo boon rcvlewod. :ond
tho De1mrtan~nt Ouds no re111olt to alter Its poeltion with ret11KJCt .to .tho blll it
amended ns 1>roposod. !
.
.
. While the l>opnrtmeut. .would have no objection to tho onn:>ll,>Pnt of .S; 234G,
It wnuld nppanr that 8. lO'llS, to<'thor with the amondments hltondod to bo pro11osro, would mom nllequatoly nccomplleh the committee's Intended objeotlveH.
Howcivor, this Ill n 1matter thnt oould beaddroseed inoro approprlatt'ly by tho
'l'renfl\ley Depattmcnt which bas rca1>0natbtut~ for tho admhtlatratlon ot the
lt'edetal-l!,lrearma Act1 .. . ,. . ! '' . .
..
.
1
Tb& Bured11 of tbo BudptadvtaC!d that.. from the standpoint of the admlnlstrn~
tlon' .proR?am. tbore le no obJeotlon to the aubmlsslon of.this report.
Sln<'<'rely yours,
,,
..
.
I .
: .. : '
. .
.Jl'lumRIO.K
! .. '
G.
DUTl'ON, .
A111l11tm1e 8aoretaru
(For tho 3ccrotary of fltate),

283
0220
402
RIF
0221

II
284
INTERSTAT!l SBIPMENT OP l'IRJ!WWS

DEPARTMENT
or STA.TF.,
Waahlnoton, Jatat1ar11 t~. 196.f.
Hon. WABRF.N G. MAONU80Jf,
Olla,rtnon, <Jomm41tee on Commerce,

U.S. Ssnale.
am
DJWI MB. CHAIRMAN : I

writing in reBPODlle to your letter ot December 13,
1068, r(!Questlng the comments of the Department on nmendment No. 800 In
tended to be proposed by Senator Dodd to 8. 197G, n bill to amend the Fcdt>tnt
FJrearms Act.
By lt!tter dated December 9, 1968, the Department t.ransmltted comments
relative to amendment No. BM to 8. 197~. The Department has no objoctton
to amendment No. 860 and would request that the vtewe exprecaed In the De<>ember 9, 1003, lettar be considered as applying equally to amendment No. 860.
The nuree.u of the Budget advises that from. the st.andpotnt of the admln
fstrat1011's program there ts no objection to the snbmtlon of this report.
Sincerely yours,
li'REDUIOJC
o. DU'I'l'ON,
A11lalont BeorelarfJ
(For the Secretary of State).
Gmu:au Cowsa,.
Tall.l8UB1' DEPA&TMSNT,
Wa11llnglot1-, Novom'ber 1.f, 1968.
Hon. WA.BREN G. MAo1'U801',

Ollalrman, OommlUee o" Commerce,
U.S. Senate, Waalllnglon, D.C.
Du.a Ma. OKAIBllA!I : In 7our letter dated August 8, 1968, to the Secretary
of the Treasury, you stated that your committee would be pleased to receive
RDY comments tho Treasury Department would care to make on the amend
ments to the Federal Firearms Ad (ch. 18, title lts, Unlted States Code; G~
Stat.12ro) proposed tn S.197G (88th Cong., 1st aesa.) .
We understand that this bill Is the result of a series of hearings 4.'0nducted
by the Subcommittee on Juvenlle Deltnquency of the Senate Judiciary c.om.
1ntttee. During those hearings the problem ot Juventles easily obtaining h11ndguns through so-called mall-order deliveries across State lines was exposed.
It appears that the bill la prfmarlly designed to cope with this problem. S. Urtr>
would accomplish this objective through tncorporatlng epeclftc reetrlctlous on
Interstate ahlpments to juvenlles ot handpns and ganptert:vpe firearm <JUbject t.o the National Firearms Act (cb. fi8, title 26, United Stat.ea Code). These
restrictions would not app})' to sporting-type rUlee and shotcuns.
Ba1dcall1, these reatrtctlona Involve three elements: Ont, the penon who
orders the handgUn (or gangater-t7pe firearm) must establish his tdcnt1t
to the shipper by submission ot a awom statement att.eeted to by a notaey
public to the e.frect that he 11 18 years or more of age, that he ls not a persr.u
prohibited b;v the act from recelvlng a firearm In lnteretate or forefp commerce,
and that there are no provlstona ot law, regulation&, or ordlnancee applicable
to the locaUt,y to which the handgun or Orearm will be shipped wblch wlll be
violated by bis receipt or po88f881on of the handgun or ftreann: second, the
manufacturer or deale.l" shipping to a person other than a federal})' licensed
manufacturer or dealer or to a person boldllll' a State license to purchase a
ftrearm, could not ship a handgun (or 1angater~type firearm) tn lnteratate or
foreign commerce Jn the absence of the required swom statement, and the
shipper would be .required to notlf;v the carter ot the contents of the shipment~
and third, the common or contract cnrrler transporting the handgun (or ganptertJpo firearm) tn interstate or foreign commerce would be prohibited from
dellverfng such handgun or firearm to any person with knowledge or with
reasonable call88 to believe that auch person ta under 18 yeara of age.
Jn.addition to the provlslona designed to deal with the mall-order trafllc In
handguns to ;Juveniles, the blll would also amend the ll'ederal Firearms Act tu
other respects In order to bring the act up to date In tho light ot problems
which hate been experienced In the admtntstratlon ot the act. Detailed comment
as to the nature and effect of e.ach ot th~ amendments fs contaJned In a tecbnlcal
explanation of the blll, which ta attached hereto.
The other amendments to the act contained In the bill appear to be prlncl1l8.Uy
designed
to,
0221
403
RIF
0222
INTERSTATE SHIPMENT OF FIREARMS
285
(1) Incrooeo the annual license fees to a more ~nllstlc level (tor examtlle,
tho present denier fee ot ft ls not adequnt~ to cover the cost of t>roceMlng
the appltcatlon ond lfl8ulog the license)
(2) Clarify ond effect needed tmproftment.a in lll'enalng provisions of
the act.
(8) Clarify the application to manufacturers of tbe recordkeeplng provlalona of the act.
( 4) Eliminate firearms ammunltton and small parts of firearms from
the coverage of tho act since It has been found Impracticable to effectl\'ely
administer the provlslons of the act relating thereto.
(5) Olarlfy other language of t~ act and delete obsolete provisions such
as references to "t.errlt.orlee."
(6) Protect tho rlahta of llccnaeee, by permlttlns licensees under Indict
ment to continue operations under their Hl.BtJng licenses until any conviction under the Indictment becomes final, and by excluding antt-trust-cype
violations from tllo felony criteria npplfcable to the Issuance of licenses
ond the Interstate transportatllon ond receipt ot ftre1mns.
('I) Mako It clear that the Federal ll"ireerma Act wlll not be conatrued as
modifying or affecting seetlon 414 of the Mutual Securicy Act. of lOM wlth
resJJtet to the manufacture, exportation, and Importation of arms. ammunition, and implements ot war.
Thie bill doea not lnvolYe Federal re,letratlon of any cype of ftrearm. no1
does it appear to Impinge upon the conaUtuUonal right of citizens to keep or
bear arms.
It le the view ot the Treasuey Department that the provisions ot 8. 1976 are
In the pubUc Interest and would etrect needed improvements In the Federal
Firearms Act. The Department, therefore, favor the enactment of 8. 1975.
The Bureau of the Budget has advised the Treaaury Department that there
is no objection from the standpoint ot the administration's program to the
pre1entaUon of thla report.
8lncerel1 1oura,
G. D'ANDELOT BELIN,
Oenetal Cotmael.
TECJINJQAL EXPLANATION OF .AMENDMENT& TO THE FEDERAL li"JRRABMB ACT PROPOSED
DY 8. 18'111 ( 88TB OONO., l 8T SE88.)
Tho enactment of 8. 1915 (88th Cong., lat seas.) would strencthen the Federal
Firearms Act (cb. 18, title 15, United States Code; 52 Stat. 12a0) by locorpo
rating In the act speclftc restrictions on Interstate shipments of moat firearms
(excluding onlJ' sportlogtJPG rifles and shotguns) to Juveniles, removing certain
lnconslatencles and amblpltles, deleting obsolete prov1alona, and simplifying
administration of the act.
The admlnietratJon of the Federal Frearms Act, a statute designed to control
the movement of firearms In Interstate and foreign commerce, la vested In the
Secretary or the Treasuey and ls presently administered by the Alcohol and
Tobacco Taz Dlvielon of tba Internal Revenue Senlce. Begulattons under the
Federal Firearms Act are contained In part 1'17 of title 26, Code of Federal
ReguJatlone. That Division also admlllls~rs the National Firearms Act (ch.
58 ot the Internal Revenue Code ot 1964; 48 Stat. 123'1), which provides, b7 u11e
of the taldog power, tor control over the manufacture, "making," transfer, oud
ownership of certain cypea of firearms such as machine guns, sawed-ofr shotguns,
sawed-off rlftea, and gadget-cype weapons.
.
.
For the purpose ot convenience, we are setting forth below the text of each
nmendment propoaed ln the blll, followed by on explanation ot the efl'ect of, an(t
our comments on, the amendment. Minor technical changes to certain amendments are suggested.
Scollon 1 of the lJlll
"That the first 8'Ctlon ot the Federal FJrearm11 Act (G2 Stat. 1250) 111 amended
to read aa follow11 :
" 'That as used ln this Act- " (ltnes 8-3, p. 1, of the blll).
.
Sectl~n . 1. of the act contains deftnlttona of. terms used In the act. Each proposed deftnltlon la followed by our comments thereon. 8Ucb deftnltloos woulcl be
amended to read ae follows:
"(1) The term 'person' Includes an .Sudlvldual, partnership, aeeoclatlon, or
corporation" (llnee 8-'1, p.1 ot the bill).
0222
404
RIF
0223
286:
INTERSTATE SHIPMENT OF. FIREARMS
. This dcftnitlon of "tKlrson" is the same as the deftnltlon ot that te1n1 now lu
the oct.
"(2) The term 'Interstate or foreign commerce' meana commerce between any
Stato or p08He98lon (not lncludlug the OoUl Zone), or the District or Cohunbla,
and any place otttslde tbereof; or betWl.>eD points within the same State or
poqesslon (not lncludln the Oanal Zone), or tho District of Columbia, but
through any 11lace outside thereof : or within any possession or the District of
Oolumbla. The term 'State' shall be held to include the commonwealth of Puerto
Rico and tho District . ot Columbia" (ltues 8-11, p. 1; aud lines 1-6, p. 2, of the
blll).
1q_-bls deftnltlou, as ainended, will Includes basic features of the presont <leflnttlon of the term. However, the term "territory" ls omitted since there ls no
"territory" at the present time., Tile last sentence- of the deOnttlon was in
sert.ed to clarify the status of the act in Puerto Rico and the District of Co
lumbla. The U.S. district: court In the Commonwoalth ot Puerto Rico bas held
thflt the .net Is -not appll~ble to trnn&nctlons oceurrlng wholly within the
Commonwenltb. In addltton, section 2(c) of the net (lG u.s.c. 90'l(c)) ls <le
signed to lmpletnent 18tate laws requiring a Ueense tor tlJo 1>Urcl1aso o.'. a flrcarm
bltt the iMtfon doee not implement- such : laws ln the Dlstl.'lct ot Columbia or
Puerto Rico. The etntement In this deftnttlon that the terin ''Stnte" will :tnchl<le
thesl' nre-ns will, we believe. remove any doubt l'lS to tho appllcntton of the act
In Puerto Rico and the District-of Columbia, which ta desirable.'
'
1 '(8) ~he t.erm''ftreorm'meQns nny weapon; <,y whatsoever name known, whlC'b
will, or le designed to, or which D\l\Y be readily converted to, CX1>el n p~oJc!tllo
orproJecttles by tho action of ab esp1011lve,- the frameor -~olver ornny snl'h
weapon~ or t\n:V ftrru.rm. nrnmer or ilrearm sllence'l'" :(lines 6-10, p, 2. ot the but).
Tbe1misent definition of thllt term lncl\1t1~ \lllY "part" rjfn flr<>nrm. Jt 11R'ii
been founcl thnt 11t ls 1 lmpr11cttcnble; If not lmposslble, to'. tn"llt" ench s"'"n purt
ot n ftreRnn l\8 1f It Wel'e Weftpon.1 ' This is pRrtlc\llftt1y trne wlth rt'ltpt"-<'t to
the reror<lke<'plng t>ro\'lstons of the net slnl'c smnll pnrt& nr~ nobmRlly ld~ntlft~l
by n serlnl number. A<'<'Ordlngly, there ls no objt-ctlon b) modifying this <l<'flnl
tlon so tbnt nll pnrts; otl1c'r tluu1 frnmes nncl rc('elvers, nrn l'llmlunted from thP.
provlslons
the net. It shouhl be noted thnt mufflers ond sll1mcP.rs ~till come
within th<' <lcflnltlon of " ftreurms."
.
1nmc past, we ha'te experienced some dlmculty In lltlgatton Involving a tempot"n rlly 1mservl<'enble firearm. For es:nm1,1e, a shotgun without n firing 11111
"~n~;hcl~ ~Y !l,91~t:rlct - ~our~ not to be n ftr.e!1r1~1 even tf19ugh ~n~th('r fh;l,n~ .pin,
e\'cn n 'nn1\.:.r:ould en~Jly be _lnsertcd, to ftlnlce th<: W~fl)>O~ flr~.- Tbc 'prot>Ol!Cd
deftnttton wo\Ud innlt" tt cl~nt' thnt n11y wenpon whtcli mny be \'.PndUy converted
tq Ari comrs wttbln th'e' n1enntng of the - ~erm "llrenrm!"
-' . ' The <hnng('S pro1iokcil"tn the definition 'Of "flrcarin"w,ttl mltt('rlntJ'.\' nld" ln tlfo
etiforre-itlent ot the net. ._ '
'. . "
' . .
: .. .
.
'
-'
, " ( 4) Tlte term 'hnn<lgt111' m<'ftns nny pistol or l'~volver ortghinlly .clc~rgncd to
ti~' flr('cl hy' th(d1scf of (\ Slilgle band, ot''tlny 'Oth<!l".1lr4!arrii' Ol11glnolly d~.1dgnM to
liiHll'e<t hy the _\1se'of 'helngle bttnd1' (lirles 11-14, p; 2 tit the btll). -
. orbls 'terrn Iii hof defthed in: ~he net ot tlfo prertent'tlinc/ ' The dl'!flnltlon will
nU1ke '1t clehr \~Hht weapons nr.e lnt1t14'~ lb the bandgun:~ttpe whh~h 't1ersonJ
uncJer 18 )lcnrs ot ,'ftgc
bC urohlblted from \"(i~lvlt>'ir In "lnt('tk~ntc- or roriltgn
comuier('e. "Iii ndt:JU;fori, the <leftnttlon ke:vlJ in with 'tlic proposed requtremeht
thrtt shippers ot -pftckag&s containing hn.'ndguns mu\it glte the clommou -t'nrl"ler
notice of theontenhl'of such pnckilge1i''Where 'Bhlpped'to nny ~r1mn other thnh
a licensed d~aler ot R lkensed n\nnufarlt\irer.

The cleftn(tlon of ~andgun" Includes jit!ltOllJ and revoll'ersas well ne gflclgct:

type wenf)()ne snch na 'f11\shllght, 1*n::~iui, or 'Palm t>lstllls."

'(~) The tertn 'ritilnutnctureJ.' menntJ nuy person englagi!d'ln 'the mnuufn<'tnre
or importation ot firearms foi':'purposes of sn1e"or' dfstrlb\\tlon ; nnd the term
'lleensed mnnutacturer' means any such person Ucensecl uricfor the provltdons
ot this Act" (lines 11>-lD, p. 2, of the bill).
'.
. Thie deftnltlon eubsta.Jltlally ccm(C?,rllls wltb the preiwp~ dE>tlnltlon o( thl,s term.
rlowevcr, It elfmlnateA those per sons who mnnufachire or imp'oi:f "mmu#ltlon,
cnrtrhlge <'Rscs, primers, ~ullets, qr,propellnnt. powder, fr~m. lta CO\'ernJ.te. The
oinlssl<>n 1of mnnufn~tur~r11 nnd ~lmpbr~ers of such .ortl9les .froin . th~- denil{tlon
Is provo!JOO since' l\1111Dnltlon wlh b8. ~ll;nlnated'from th~ c:overali~ p(.tbe act.
of
or
u-m
At the present time, f!ectlon 1(1)' ot'tlie nc~ (US U,'S.C, 11()1.(7)) .J!c.'fl~<'r- "'lm
~un~tlon~~ {ls 1 pl~tol _q.n~ reyol'\'er ti_~u~t~lon . Sl1~t~tb :'~~11~~ qctnlJl<' .=
nltlon autf:nbl e fol' use onlytu rlftes and .2~ c~U~rl, ~'1<l, !JnUIJ:\' ,a~m~'4\lll
0223
405
RIF
0224
Calendar No. 1835

89TH CoNGRF.88
BdSeasi<Jn
SENATE
REPORT
No. 1866
FEDERAL FIREARMS AMENDMENTS OF 1966
OcTOBER 10, Hl66.-0rdered to
bo printed
Mr. HRUSKA, from the Committee on the Judiciary, submitted

the following
REPORT
together with
INDIVIDUAL VIEWS
[To accompany S. 3767]
'l'he Committee on the Judiciary, to which was referred the bill
(S. 3767) to amend the Federal Firearms Act, having considered the
same, re~orts favorably thereon, without amendment, nncl recommends

that the bill do pass.
PURPOSE
'rhe pmposo of the proposed legislation is to nmend exist.ing !f~ecl

eral firearms control law to(1) regulate more effectively interstate commerce in firear1rn;
so as to re.luce the likelihood that they
into the hands of t.hc
lawless or those who might misuse t.hem;
(2) assist the States and their political subdivisjons to enforce
their firearms control laws and ordinances;
(3) help combat the skr,rocketing increase in t.llC incidence of
8erious crime in t.lie Umted States.
It-is not tho purpose of t.his bill to interfere with the legitimate
uses of firenrms by t.he millions of law-abiding citizens who acquire,
transport and possess t.hem for hunting nnd other rer.rcn.tionnl pursuits, Helf-protect.ion, nnd at.her lawful purposes.
ran
MAJOn PnovrstoNs
OF
S. 3767
l. No carrier in interstate or foreign. commerce nm.y deliver 1my

hnndg!_Jn to tmy person under 21 yeiirs of age.
2. No manu~acturer or dealer may 'ship any handgun in interstate
or for~ign commerce to any person, except a licensed manufacturer
or dealer, unless thn.t person submits to the shipper n. sworn statement
that he
69-688 0-8&-1
0224
406
RIF
0225
13
JI. lo'EDERAL lo'IREARMS ACT 01'' 19381 AS AMENDED
(a) Requires the licensing of mn.nufo.cturen4 and importer:-; of, n.nd

deniers in, firearrm1 1 1unmtmition 1md components thereof t
(b) Provid~ certain restrict.ions on the movement of firearms nncl
nmrmmition in intel'Stnte or foreign commerce;
(c) Prohibit."! convicted felons, persons under indictment, and fugitives Crom justice from Hhipping, trnnsport.ing, or recehing fireu.rms or
ammunition in interstnte or foreign commerce;
(d) Prohibits the shipment., iru.nsport.ntion, or recElipt of stolen
firearms or t\mmtmition, or firenrms from which the Herinl number hns
been removed, obliterntcd or nltcred.
C. MAILING OF CONCEALABLE FIREARMS (18 U.8.C. 1716)
(a) Prohibit!-! the muilin~ of concealable firearms (i.e., handguns)

except to officerH oft.he Active m Rm~erve Forces; to htw-enforcemont
officers whmm duty is to serve wnrrnnt11 df 1\rrest or commitment, to
employees of the poKlnl service; n.ncl to watchmen engaged in gunrding
uny Government property;
(b) Permits t.11e mailing of concealable firear1m1 to or between
firearms manufacturers and dealers.
D. WEAPONS ABOARD AIRCRAFT
(49 U.S.C. 1472(1))
(a) Prohibit.'i the carrying on or about t.he person while aboard nu

aircraft engaged in air t.rnnsportation of n. <!oncealcd deadly or du.ngerous weapon;
(b) Permits the carrying of such weapon 1iboard such nircraft by
any law-enforcement officer authorized to car17 arms, or by any person
authorized by regulations is!med by the Admmistrator of the li'cdernl
Aviation Agency.
E. MUTUAL SECURITY ACT OF 1964 (22 U.S.C. 1934)
(a) Gives aut.hority to tho President to control the export 1\.nd

import of arms, ammunition, implements of war, 1md technical <laita
related thereto.
(b) Req!Jires all persons engaging .in these transnctions to register
with the U.S. Government, pay registration fees, nnd Hecurc import
licenses for all such materials imported into this country.
8EcTtoNAL ANAI.YHls oF rm; Pnov1RtoN8 Oto'
8. :J767
HEC'rlON 1
8eetion 1 of 8. a767 lllllends HeC'tfon 1 or t.he.Ji'edernl Ji'irea\l'ms A<l

(52 8tat. 1250) by re.'itating and <'11\rifyin(( exiHtin~ definitimt!i <'OTltuined in the tl.<'t 1md tt.ddinn Heverttl new definitions.
'l'he definition of "peraon ' 'iH ml<'hnnged. 'l'he termli "inte1-st1Lte or
foreign eommer<e," "firel\rm," 11 m1m11f1wtt1rer," "<lel\ler," and "fugitive from j m1t.i<'e," hu
been restnled nnd <ltirified. 'l'he term
"ammunition" has been deJ.,ted. The termH "Stale,'' "pawnbroker,"
"secretary," "crime of vfolence," and "indictment" are new.
,.e
0225
407
RIF
0226
14
Paragraph, (1)
The definition of t.he term "person" in _paragraph (1) of the bill is
unclumged from t.hc exiRting ltlw (15 U.8.C. 901 (1)).
Paragraph (2)
Paragraph (2) of section I of the bill adds a new definition "State"
to Rimplify and clarify ln.t.er provisions of the bill and the existing law.
The Canal Zone h~ included in the definition. Previously it was excluded. Also included are the Commonwealth of Puerto Rico,
Guam, the Virgin Islands, and American Samoa, the principal Commonwealth and possessions of the United States.
Paragraph (S)
Pam~rnph (:l} restates the existing
forci~n commerce" (15 U.S.C. 901 (2)) .
definition of "interstate or
However, language has been
removed tlrn.t has been defined in paragraph (2) above.
Paragraph (4)
Pn.ragraph (4} restates the definition of "firearm" and revises it to
exclude from the tlct antique lirenrma made in 1898 or earlier. Also
mufflers 1uul ttilcnccrs for firearms a.re removed from t.hc definition.
The year 1898 wns selected as tho "cutoff" dale on the basis of
tmttimony presented to Congress by several gun collectors organizations and to be consistent with the rogultltions on importation of
firc1mns issued by tho Department of Sta.to pursuant to section 414 of
the M utunl Security Act of 1954.
Mufilcr~ and silencers for firearms are excluded from coverage since
theso items tLro included presently in the National Firearms Act
(Uh. 53 of the Internal Revenue Code of 1954). This a.ct provides !or
hc1Lvy t.rnnsfor t1lxes and rcgistrat.ion of all such items.
Also excluded from t.lrn presen t definition of the term ''fircu.rm" is
"nny p1Lrt or p,nrls" of a firearm . Experience in the administration of
t.ho Ic'cdcr o.l I irc1\rms Ac t has indicated tho.t it is impra.ntical to treat
each small part us if it were 1.1. firearm . The revised definition subs ti tu tos the words " frame or receiver" for tho words "any pa.r t or
part.'4.''
Added to t.he t.erm "fiream1 11 a.re weapons which "may be readily
converted to" R. firen.nn. The J>Urpose of this addition is to include
spccificnlll 1my starter gun designed for use with blank ammunition
which wil or which may be readily <~onverted to expel a projectile or
>rojectiles by the action of an explosive. Such so-called starter pistols
iave been found to be n matter of 1-1erious concern to law enforcement
officers.
Paragraph (6)
The definition of the lem1 11lumdgun" in paragraph (5) is a new
provision. 'l'hiH definition is necessary because of later provisions
of the bill which have application solely to the8e firearms . There is
no intention that handguns be exempted Crom any of the other provision of t.he bill since a handgun is a fireann within the meaning of
paragraph (4) above.
.
The tenn include.<t "pistols/' "revolvers" and "any other weapons
originally designed to be firea by the use of a single hand" which are
made to be fired by the use of a. single hand and which are designed to
fire or are capable of firing fixed cartridge ammunition.
0226
408
RIF
0227
Page 1238
'!TIU: 15.-COMMERCE AND TRADE
001
Ralclgh County, all mines on Lhe Conl River branch

of the <;hesa1>cnke and Ohio Railroad and north
thereof.
Nlcholas County, that pnrt south of and not served
by the Baltimore and Ohio Railroad.
Wyoming county, that portion served by Gilbert
branch of the Virginian Rnllway lying west of the
mouth of Skin Fork of Guyandot River.
The following counties In Virginia: Dickinson, Lee,
RUlisell, Scott, Wise.
All of Buchanan County, except that Portion on the
hrndwaters of Dismal Creek, east of Lynn Cnmp
Creek <tributary of Dl.5mal Creek> and that portion
served by the Richlands-Jewell Ridge branch of the
Norfolk nnd Western Rallroad.
Tazewell County, except portions served by the
Dry Fork branch of Norfolk nnd Western Railroad
and branch from Bluestone Junction to Bolssevain
of Norfolk nnd Western Rallroad and RlchlandsJewcll Ridge branch of the Norfolk and Western
Rollrond.
The followlng counties In Kentucky: Bell, Boyd,
Brrnthltt, Cnrter, Clay, Elllott, Floyd, Greenup, Harlan, Jackson, Johnson, Knott, Knox, Laurel, Lawrence, Lee, Leslie, Letcher, McCreary, agoffin,
Mn1tl11, Morgan, Owsley, Perry, Pike, Rockcastle,
Wnyne, Whitley.
The following counties In Tennessee: Ander:;on,
Campbell, Claiborne, Cumberland, Fentress, Morgan,
Overton, Roane, Scott.
The following counties in North' Carolina: Lee,
Chatham, Moore.
WEST KENTUCKY
District 9. The following counties in Kentucky:
Du! lr'r, Christian, Crittenden, Daviess, Hancock, Hendc1sun, E.'nklns, Logan, McLean, Muhlenberg, Ohio,
Simpson, 'Lt!(:, Union, Warren, Webster.
:!.LINOIS
District 10. All coal-producing counties In Dllnois.
INDIANA
District 11. All coal-producing counties in Indinnn..
IOWA
District. 12. All coal-producing counties In Iowa.
SOUTHEASTERN
District 13. All coal-producing counties in Alabama.
The following counties in Georgia: Dade, Walker.
The followlng counties In Tennessee: Marlon,
GrnndY, Hamllton, Bledsoe, Sequatchie, White, Van
Buren, Warren, McMinn, Rhea.
ARKANSAS-OKLAHOMA
District 14. The following counties In Arkansas:
All counties in the State.
The following counties in Oklahoma: Haskell,
Le Flore, Sequoyah.
SOUTHWESTERN
District 15. All coal-producing counties In Kansas. All coal-producing counties in Texas. All coalproduclng counties in Missouri.
The following counties in Oklahoma: Coal, Craig,

Latimer, Muskogee, Okmulgee, Pittsburg, Rogers,
Tulsa, Wagoner.
NORTHERN COLORADO
District 16. The following counties in Colorado:
Adams, Arapahoe, Boulder, Douglas, Elbert, El Paso,
Jackson, Jefferson, Larimer, Weld.
SOUTHERN COLORADO
All counties not included in northern Colorado district.
The following counties in New Mexico: All coalproducing counties In the State of New Mexico, except those Included in the New Mexico district.
NEW MEXICO
District 18. The followlng counties in New Mexico: Grant, Lincoln, McKinley, Rio Arriba, Sandoval,
San Juan, San Miguel, Santa Fe, Socorro.
The following counties In Arizona: Pinal, Navajo,
Graham, Apache, Coconino.
All coal-producing counties in Cnllfornla.
WYOMING
District 19. All coal-producing counties In Wyoming.
The following counties in Idnho: Fremont, Jefferson, Madison, Teton, Bonneville, Bingham, Bannock,
Power, Caribou, Oneida, Franklin, Bear Lake.
UTAH
District 20. All coal-producing counties in Utah.
NORTH DAKOTA-SOUTH DAKOTA
District 21. All coal-producing counties In North
Dakota. All coaH.>roducing counties In South
Dakota.
MONTANA
District 22. All coal-producing counties ln Montana.
WASHINGTON
District 23. All coal-producing counties In Washington. All coal-producing counties In Oregon.
The Territory of Alaska.
Chapter 18.-INTERSTATE TRANSPORTATION OF
FIREARMS
Sec.
001. Definitions.
002. Trnnsportlng, shipping, or receiving firearms or ammunition In lnterstnte or foreign commerce: nets
prohibited.
003. License to transport, ship, or receive ftrcnrms or ammunition.
004. Excepted persons.
005. Pennltles.
000. E!Jectlve date of chnptcr.
907. Rules nnd regulntlons.
908. Sepnrablllty clause.
009. Short title.
901. Definitions.
A'l used Jn this chapter(1) The term "person" Includes an individual,
partnership, association, or corporation.
(2) The term "Interstate or foreign commerce"
0227
409
RIF
0228
Page 1239
TITLE 15.-COMMERCE AND TRADE
1903
means commerce between any State, Territory, or nJtlon to have been transported or shipped ln viola
possession <Including the Philippine Islands but not tlon of su dlvl.slon Ca> of this section.
Including the Canal Zone>, or the District of ColumCc> It shall be unlawful .for any licensed manU
bia, and any place outside thereof; or between facturer or denier to trnnsport or ship any nrearm
points within the snme Stnte, Territory, or posses- ln Interstate or foreign commerce to any P<irson
sion <Including the Philippine Islands but not includ- other than n licensed manufacturer or dealer in any
ing the Canal Zone>, or the District of Columbia, but State the laws of \'rhlch require that a license be obthrough any place outside thereof; or with.In any tained for the purchase of such firearm, unless 11uch
Territory or possession or the District of Columbia. license ls exhibited to such manufacturer or dealer
C3> The term "firearm" means any weapon, by by the prospective purchaser.
whatever name known, which ls designed to expel
Cd> It shall be unlawful for (lny person to ship,
a projectile or projectiles by the action of an explo- transport, or cnuse to bo shipped or transported ln
sive and a firearm muffler or firearm silencer, or any Interstate or foreign commerce any firearm or ammunition to any person lmowlna or having renso.npart or parts of such weapon.
<4> The term "manufacturer" means any person ablo cause to believe that such person ls under
engaged In the manufacture or Importation of fire- indictment or has been convicted ln any court of Uic
arms, or ammunition or cartridge cases, primers, United States, the several mates, Territories, possc~I
bullets, or propellent powder for purposes of sale slons (Including the Ph1Upplne Islands>, or the Disor distribution; and the term "licensed manufac- trict of Columbia of a crime of violence or ls 11
'
turer" means any such person licensed under the !ugutlve 1 from Justice.
Ce> It shall be unlawful fpr any person who ill
provisions of this chapter.
under indictment or who has been convicted of a
(5) The term "dealer" means any person engaged
ln the business of sclllng firearms or ammunition or crime of violence or who ls a fugutive 1 from Justice
cartridge cases, primers, bullets or propellent powder, to ship, transport, or cause to be shipped or transat wholesale or retail, or any person engaged ln the ported in interstate or foreign commerce any ftrtiarm
business of repairing such firearms or of manufac- or ammunition.
turing or fitting special barrels, stocks, trigger mechCO It shall be unlawful for any person who has
anisms, or breach 1 mechanisms to firearms, and the been convicted of a crime of violence or ls a fugutlve 1
term "licensed dealer" means any such person from Justice to receive any firearm or ammunition
which has been shipped or trnnsported in interstate
licensed under tho provisions of this chapter.
CO> The term "crime of violence" means murder, or foreign commerce, and the possession of a flreEU'm
manslaughter, rape, mayhem, kldnaplng, burglary, or ammunition by nny such person shl\11 be presumphousebreaking: assault with Intent to kill, commit tive evidence that :iuch firearm or ammunJUon was
rape, or rob; assault with a dangerous weapon, or shipped or transported or received, as the case may
assault with Intent to commit any offense punish- be, by such person in violation of this chapter.
able by imprisonment for more than one year.
Cg) It shall be unlawful for any person to transC7> The term "fugitive from Justice" means any port or ship or cause to be transported or ship1Jd
person who has fled from any State, Territory, the in Interstate or foreign commerce any stolen firearm
District of Columbia, or possession of the United or ammunition, knowing, or having reasonable cause
States to avoid prosecution for a crime of violence to believe, same to have been stolen.
or to avoid giving testimony in any crlmlnnl proCh> It shall be unlawful for any person to receive,
ceeding,
concel\l, store, barter, sell, or disptJse of any flreann
C8) The term "ammunition" shall include only or ammunition or to pledge or accept as security !or
pistol or revolver ammunition. It shalt not include a loan any firearm or ammunition moving ln or which
shotgun shells, metalllc ammunition suitable for use Is a part of lnter:itate or foreign commerce, and
only ln rifles, or any .22 caliber rlmflro ammunition. which while so moving or constituting such part hns
<June 30, 1938, ch. 850, 1, 52 Stat. 1250; Aug. 6, been stolen, knowing, or having rellsonable cause to
1939, ch. 500, 53 Stat. 1222.>
believe the same to have been stolen.
1 So In original.
Probably should read "breech."
(l) It shall be unlawful for any person to transport, ship, or knowingly receive In interstate or
CROSS REFERENCE
foreign commerce any firearm from which the manuNational Firearms Act, see note to section 009 of this
facturer's serial number has been removed, oblittitle.
erated, or altered, and the possessll)n of any such
902. Transporting, shipping, or receiving firearms or firearm shall be presumptive evidence that such flreammunition in interstate or foreign commerce; 1U'Ill was transported, shipped, or r-ecelved, ns the
acts prohibited.
case may be, by the possessor In violation of this
Ca> It shall be unlawful for any manufacturer or chapter. (June 30, 1938, ch. 850, 2, 52 Stat. 1250.>
dealer, except a manufacturer or dealer having a
1 so In orJgtnal.
Probnbly should read "fugitive".
license issued under the provisions of this chapter,
CROSS REFERENCE
to transport. ship, or receive any firearm or ammuHntlonal Flrenrms Act, see note to scctlc.n 009 of this
nition ln interstate or foreign commerce.
title.
Cb> It shall be unlawful for any person to receive
any firearm or ammunition transported or shipped 903. License to transport, ship, or receive firearms
or ammunition.
in interstate or foreign commerce in violation of
subdivision Ca> of this section, knowing or having
Ca> Any manufacturer or dealer desiring a license
reasonable cause to belleve such firearms or ammu- to transport, ship, or receive firearms or ammunJtlon
2o~(JjS'-ll-vol.
1--82
0228
410
RIF
0229
-...
DEI'ARTMEN'r
SM
QF
tl'HE tt'REl\SURY
INTERNA& REVENUE SERVICE
....
In~:
OF
1'rwPoSED RMULATfP~
TO iMPLEMENT RECENTLY ENACTED tEGt!St.rtpN Ci'NCE:RNED.
DETERlllNING Tlm SU!TABif-iTY
Wl'I1H FEDERAL REGTitATiON OF CQMMERCE JN :FtffEARMS
AND AMMUNiJ'.'ION
AuditoMum
Freer 8t41$ry
'12!lt St?'!? et ~nd '9efte:t'son Drive
Waaffting1ion~ D. c.
Thur8'ay, November 21. 1968
~he
above-ent'iled mater cmne on for
hea~ing.
J)Ursuan to nQtii&, a.t 9t)O oel~k a.11.

BEFGREr
M. HARILD A, SERR (P.resadj.ng., D-e\o~ A!colllol. and
Ta\f4.:<t T~ :0:\ vision
MR. JOHN _McCARREN,_Assie'9.t D1fta\Q#, Aleohol and

'rebaccQ Tax ..gal Divte1Qn
.
MR. CHARJ.Es HUMP~'l'ONE, Dep~\oi' Special Assistd to
the Seareta1...y for Law Enfo:t'lcenien\, 'reasury
Depar1'ment
MBo THURMOOD SHAW- Jhief, Tech.n1cal Branc~. Alcohol
and
Tobac~o
Tax Legal Division
MR,, CE4:t:t WOLFE 'laief 1 ~p&l'ations Coordination Section,

Alcohol ana Tobacco Tax Enforcement Branah
MR. DCJNALD CHADSEY, Operations Coordination Section,

Al~olio:. and Tobacco Tax Enforcement Branch
0229
411
RIF
0230

2
cJ.m
-C -0"N..... T- E -N T- -S
--..
MORNIN~ SES~IOO
STATEMENT OF:
Robert c. Zimmer,
Sporting Arms and Ammunition M:lnuracturer's
Institute
12
Kenneth C. Cole,
Illinois Retail Merchants Association
41
Frank C. Daniel,
N9tional Rifle Association of America
43
William E. Rollow,
National Skeet Union Association
50
Charles Dickey,
.National Shooting Sports Foundation, Inc.
52
Paul Wagner,
Eastern Gun and Supply Company, Inc.
63
Arthur Cooke,
Whole Distributors of Firearms and
Ammunition and ~elated Supplies
67
Hugh Mc Kinley,
Amateur Trapshooting Association of America
72
Leon C. Jackson,
United Sportsmen of America; the Texas Gun
Collectors Association; the Ark-la-Tex Gun
Collectors Association
Paul L. Shumaker,
Ohio Gun Collectors Association, Michigan Gun
Club Association, and American Society of
Arms Collectors
. I
83
'
0230
412
RIF
0231
. ....
0 A.if ...-.:R N~T ::JI;"" >

. . . . . . . - _.,.. r;-.
.. . -
PAGE
STATEMENT OF:
..
Walter Marvin, Jr.,

TOltnship ot Middleton, State
~t
New
Jei-Sey
95
William carter,
Csrter Gun WoPks 1 Charlottesv1ll8 1 Virginia
101
William B. Edwal'Oe,
Benet Arms Oompa117, Waynesbwo, V1rg1n1a
lo8
Mio.bael Parkel', Bsq.-,

Washington,, D.C.
119
"
Charles Seen,
.
Sa~co, Inc., St1~11ng, New'Jarsey
o.
'
136
Adams,
-Kevin Inc D/B/A", Ki tteriy Trading Ptiet,

Route 1, Kittery, Maine
139
--
EXHIBITS
............ ...... ...
MARKED
EXHIBIT NO: :
..
RECEIVED
12
12
40
44
44
95
95
6 thru 10
14-'l
143
11 thru 15
144
144
16 thru 20
145
145
21 thnu 24
146
146
5-a,
~ncJ
125
Simon .Atla'S,
a
Washington, D.C.
Kevin
25
147
147
0231
413
RIF
0232
23
in the manner required by section 178.44 ot this
part.
An applicant ror a threeyear license shall
submit with his application the requitied anntial tee
fdr all three years and no portion
or
suQh remittance
.
'
shall be. refundable."

We. are aaying here th&n that it' you have reputable
110.ensees who
. have. been lieensed tor at least three yt&ars. in
or
tha past, you give them the option
~ioenaa,,
and
t~ey
irta11Ufa~tu:\'er,,
prov1cl fqr a
l1cens~~
a ,Qopy Qf that
ao.qu1r1ng a thre:v-ear
.
th~
ancl for
distribtQr,
next three
yt::ar~
he
lf Y"U f i:nd SOm6th1Qg wrong,

<
r~eon
YQil have
~an re9uir~
'
to suepec.t that thar4' ijl something
v.
.,..
a.t th!! end of that t':it'Cit yea,
..
w.reng,
~hat ~
you
submit
.'
and at the end af two years he $ubmit a Form
'
Fo~m
7,
T~rning
now. to
. 92 or th& proposed reguJ,at1cn.

ara
Tequir~d
firearms,,
.
ident~fi~ation 9f
Fiv~
classea or
7.
~action
~nforrni1t1on
to be placed upon a fi,i>ea,i>m frame 0:11 receiver.
We think
that in essence
.
.
~~ause
of the u39
Qf. in4er~hangeable
b41rt'eJs and
b~cat..V3e
of the
~iz~
. ..
of
&01?1$
.receivtrs, 1t is
Just too sma11

to include all .the information
.
.
. required.
Tt:ie proposed
~eg\llatiol'\& a~ould
b amended t.-o. require
that thEl .. seriaf nu.mber be pl.J:lQ&d .on the frame o:r
and
tna~
r~ceiver
the
ea~iber
re~eiver,.
.or gauge be placed on the barrel or the
at the option of th.e manufacturr.
And the location
of. the other required information should be left to the option
0232
414
RIF
0233
133
.
~
39
and that is if a corporation altd individual is bGth engaged in

importing and manufaoture are they required to obtain separate
licenses or
is
one license good for both?
MR. WOLFE:
Separate licenses ..
MR. STEEN:
Separate
l~censes,
I sea.
In 178.11, I would like to commend you on a very clear

definition of a primary
but one question does
receiver~
somet~ing
tQ my mind.
~ome
we didnt have before,
With the definition of a
receiver th9re are some cases of used firearms presently in exis-
tence where the number may have been placed on that

firearm on other than the frame
~r
parti~ular
receiver, and if you are
selling a. f'rame or receiver by this definition per chance it may

not have a number on it.
The
ques~ion
might arise as to how to
We are ba'31Call in the pa?'ts business
handle this situation.
and we sell these separate components.

MR. SHAW:
Th~
identification
requi~emente
go only to
or
firearms manufactured or imported after the effective date
the
Act.
MR. STEEN:
I see.
old definition then.
I see.
Up to this point we would use the
1 would .also like to commend the committee on the
requirement of oles.ranee to sQDleone who is refused a license,

something which in many situations hasn't happened 1n the past,
and if someone is refused a license he should know exactly where

he stands.
0233
415
RIF
0234
147
(The described statement was
53
marked Exhibit Mo. 25 and

received.)
MR. SERR:
want to
~hank
I think that completes our hearing, and I
all yoti gentlemen for appearing and helping in
Jihis work.
!{'hartk YQU-
(Thereu.pon, st 3: 10 o clock,, p.m., the hearj_ng in the
above-entitl&d matter was cancluoed.f
0234
416
RIF
0235

:7'"_,.~
j ., "'
,1 ,..,
";
''. . I;,.- ,i.,.~ ; ; '
PROPOSED:iRULE~ MAKING'. I~/.
:~:-;1.~.:~~..; ~~~/ ~;i", : .. ~
....
- .
...,
.:1 If
16285
. . ..
"
, .. 14 .CFR .. Part~7J. Ji~;:t.riJ;;(,~;t:; \:.-Thls atnendment b proposed under the Aviation
(Alrapace Octet No;~ 0f:~1,YtS; authority of 307<a> of the Federo.1

.
. .. :. "l'.'"H.:"-"-..;ijr;-.;, ~vlatlon Act of 1958 <49 u.s.c. 1348>. .
TRANSlt.ION A~~~~-~t;';?;'~(;u1 :: :rssued at Kansas c1t:i:. Mo., on ocwbcr
Proposed Deslgnotlon ..:~J:Xt- 15. 1968.

r...
.. .. ~;- _,. . .
......
. ..
t:owAno c. MARsa, .
fs considering amending Part:'Ilot.:tht(/ ... . . .
Dfrector,CentralR.Qolon.
Federal Aviation Regulations: ao u:1to (P.R. Doc. eB-13403; Flied, Nof. &, 1000:
designate a transition areo.-at.:Fteeport/
e:45 n.m.J
nl.
r . i. ~:) ..~ .. ~}-;t.JA~i1tl.
Interested persons ma:v;ilattlc~pa.t&:.iii
l 14 CFR Part 71.l ..
the proposed rule anaklng. bY'.8Ubm.lttlngo'
liUch written d11ta. views/ or:. ~rauments
(AJrapace Docket No.138--0E-Hl
as they may desire. CommunJeatlons
'.fRANSITION AREA
ehould be submitted 1n tripllcato'to-th&
Director, Central Reslon,:>'Attentlon:
Proposed Designation
Chief, Air Trame Division, Federal 'Avt:. . .
atton AdmJnlstrotlon, Federal ;BUUdinir,:.
The 'Fcdera.1 Avlo.tlon Administration
601 Ea.st 12th Street, Kansa.s City,;Mo. ls c:onaldcrlng amending Part '11 o.t t.he
64106. All communications; .'recalved '- Fcdaral Aviation Regulations so as to
wlthln 45 da.ys after publlcatJon of ,this' . ~eslgne.ta
tre.nsltlon area at Morris,
notice In the FED!:RAJ. R1:01s~ '\IJill'be. Minn.
.
..
considered befom aetfon ls taken on tho.. . Interested. persons may partle1pate In
prOPosed amendment.
pub]jc hearing: the proposed role making by 6Ubmlt'ting
is contemplated at this time;.;"but'&\r such written do.ta., views, or 11.rgwnents
rangements for informal : con!erenl?es" as they may desire. Commun!catlona
withFedera1AvJat1onAdmln!stratlon'of.... should be submitted ln trlp11ca.te to the
:ficlals may be made by eontacttna the. Director, central Region, ,Attention:
Regional Atr Trame Dlvtsfon Chief. :t-';~~. ' Chief. Alr Tra.mc Dlvlslon. Federal Avie.Any datG, views, or ar11iiments pre-'. t1on Administration, Federal Building.
sented durinz such conterencen .must; 601 Ee.st 12th Street, Kansu City, Mo.
also bo ioubO'Jtted In wrlting 1n accord-~ 64106. AU communlc11Uon4 .recelvcd
once wtth thla notice In order to beeom!t' wlttiln. 45 day11 after publ:fcatlon or this
po.rt of the record for cons!deratton~ The. notice in the FzozRi.r. REotsua will be
proposal cr.ntafned In this notice 'mntlle' cons1dered before e.ction ls taken on the
changed In the llgbt of. c:omtnents re proposed n.mendme:nt. No public hearinr
celved.
.: :Y. ,:.:'..". ,:!, :iw ts contemlllated at thJs time, but arrange.
A publlc docket wm be avs.Ilable for ments for Informal conference.! with
examination by interested .pereon!r m: Federnl Aviation Aclmin11!tratfon officials
the omce o! the Regional Counsel, Fed'. tnny be made by contacting the Regional
eral Aviation Adtninlstratlon.;:Federal". Air Trafilc Dlvfs1on Chier.
..
.Building, 601 East 12th .Stre9t,' mmsa.s. Any data, views, or arITT1D1cnts pre
Cit;y, Mo. 611011.
. . . . ;-: .. ~! ,.. ,'' :... . eented during nu ch cont'erencea must also
A new. public use lnstrUme:i{iappro~ch:: be aubmltted 1n writing in .accordance
:proceciure hrus been developed"'for tho: w!th ~hta notlce In order to become part
AJbcrtU! Airport; Freepo~; m:; utlll!ln~: _ot tho recor~ for conslderatlon. The pro
a cityRowned radlobeacon _as a: J:iavl~ posaI contnmed In th.la notice may be
gational nld. Conscquen~b'." lt '!a :nec:cii.i: changed 1n the light . o~, comn;i;nt..
sary to provide controlled atrace 'pro- :received.
tectJon fQI:' .aircraft eltccutlng .this new . A publlc docket will bo available for
npproach procedr:re by desfgnatlng' a~ e:iuunlnatlon by Interested persona 1n tho
transition area. a.t Freeport. m. 'l'he new . O!llce of the Regional Counsel, Federal
procedure wlU become eirectt.ve concur- Avla.tlon Administration, Federal Bulldrcmtl.v with the dcslsnatfon of the transl ln!f, 601 En.st 12th Street, Kansas ctty,
tlon a.res.. The Chlc:igo Air Route Tramo Mo. B4106.
_.
Control Center, thrCJugh the Rock!ord.
A new pubUc use instrument opproach
DI., Flight Service Statton, will control proi.:edure has been developed for tho
IPR afr tra.mc 1nto and out ot Albertu.s Morris, MJnnesota Muntcfp11l Airport
.. . ..
utJlizlng a State-owned rndlo beacon n3
Alri>ort.
,
In consideration of the foregotn~. f.lie Ii nn.vlgntlonnl afd. Consequently, ft 15
Federal Avtatlon Adlninl.stratli,!, riro- n~ceBS'-!'Y to provide controlled nfrspn.ce
posc."J to amend Part 'll ot Ule Federal protectlon !or o.lrcro.ft c:icccutlng thu new
AvJBt1on Reguln.tlons as he:.~J.nalter ae& . approach procedure by <designating o
forth:
trnns1Uon area nt MorrJs, Minn, The ne\v
a "118l <
procedure wUl become etrcctlve concmJ n ll
33 P.R. 213'7), the follow~ rently with the designation o! the transl
Ing t.rnnsltlon area ls added::. '
tlon area. The M1nncnpolls AJr Rout~
F&EEPOllT. tU..
.
Trnffio Control Center, through the
Withln n a.mno rnd1ua of Albortua Al~~ Alexnndrfll, Minn., Flight Service Sta(la.tUudB 42"15'50'' N., longitude 0[)"31'110" tlon, WJH COntroJ lFR nlr traffic fnto llDd
W.); ancl wttb.ln :i: mile each elc2e or tho out of Morris Mun1clpal Airport.
oo~ bo11rln11 from Albortu. AJ.rport, extencl
In consideration or the foregoing, the
1.llg from tho 6-m.Uo rad!ua area. to 6 mile Fecleral Avia.Uon AdmlnlstmUon pronortlleut of tho nLrport.
poses to o.me:id Pnrt '11 of the Federo.1
1:
JC:'.,11::.~ ~
Tho Federal Aviation Admlnlstratfon
Regulatlons as hcrelnn.Ctcr :iet
!orth:
In I '11.181 <33 F.R. 2137), the follow-
mg transition area is added;
Mon.n1s, MINN.
. Thot. l11ropnco extending upward from 700
feet nbove the surtncc within n c-mlle r11dh1s
or Morrl11 Munlclpnl Airport (latitude
4534'0/j" N., long:Ltudo 05'58'10" W.); nnd
1111thln 2 01Hc11 cncb. side or the 140 beo:rlng
from Morris Munlclpal Airport, e!ltendlng
fl:'Om the a-mile rnd1us aren toe m!les south-
tmat ot tha nlrport; nod thnt nlrspace extendlng upward from 1,200 feet nbo11c the
aurtnc:o within !i mllcs southwc:;t nnd e rnllca
111orthen11I: ot the 140 bcnrlng from Morris
Munlclp11l Airport, extending rrom tho airport to ~2 tnllcs i;authcast ot the n!rport.
This amendment Is proposed under the
nuthorlty o! 307Ca.> of the Federal Avln.tlon Act of 1958 C40 u.s.c. 1348>.
Issued nt Kansas City, Mo .. on October 14, 1!168.
EDWARD
No
c.
M1.11sn,
Dlrcceor, Ccneral Rcaion.

[F.R
oa.
tla-la~~!~ tr!:jd
Nov.
5
iooa;
DEPARTMENT Of THE TREASURY

Internal Revenue Service
t 26 CFR Parts 177, 178 l
COMMERCE lN FIREARMS AND
AMMUNITION
Notice of Proposed Rule Making
Notice ls hereby i:rtven that the regulations set torth ln tentntlve form below
. are pro:msed to be prescribed by the
commlsstoner or Internnl Revenue, with
tho approve.I of the Secretn.ry or the
Treasury or his dcleaate. Notice Js nlso
given of a. public henrJng to be held at
9 a.m., e.s.t.
On November 21, l!lliB, In tho Audltorlum of the Freer Gallery of Art, 12th
street nncl Jefferson DrJve SW .. Washington, D.C., a.t whlch Um& nnd place
all Interested pnrtles wlll be nflordcd opportunity to be heard, In person or by
nuthorlzed rcnrcsentatlve, wlth refcre """to tho :iropascd regulatl:ma. Written
dutn, views. or nrgwnent.s relevant to the
proposed rcgula.tlons mny be submitted,
1n duplicntc, !or incorporation into the
i-ccord of hen.ting <D by malling the
same to the Director, Alcohol nnd Tobacco Tax Dlvislon, Internal !!venue
Service. Washington, D.C. 20224, pro1lded they nrc recclved prior t.o the tcrnlinnUon ol the hearing, or <2> by 1irc.z;entlng the some nt said hcnrlng. Any
written comments or sug~cstlons not spc.
cillca.lly dcslrrnntcd ns confldcnt!nl In nccordnncc with 2G CPR 001.GOl<IJ) mn.y
be ln~pected by nny person upon writkn
request. Tlle proposed rcgulnllons n.rc to
be Issued under the uutho:-lly con lnlntd
In 18 U,S.C. 926 <82 Stnt. 122Gl.
SHELDON S. CO.HEN',
.:.1)mmlsslo11cr of T11lcrnal llcvcri Ile.
[SEAL]
1
-..fEDEW"IEGISTEt. VOL. l3, NO. 217-WEDNESDAY1 NOVEMDU 6, 1968
0235
417
RIF
0236
\;_
,.....
'PROPOSED 'RULE MAKrNG,
.: .~ ~6286
. Iil order to bnptemen~~:tli~"provi.slons''

. SubpartE-Llc1n1Pro_C11dln;1
: of Title I, S~ate Fireal'Jll!I COntrol AMlst ~:.,. 1 DcniEll ciJ 1!.ll Appllcllilon !o; Jlce!o.s".
, ance <U..S.C., title 18, -chapter 44),- of
the Oun Cont.rel Act o! 1968 (82 Btat.
1213>, e.nd Tl.tie VII, Unlawful Possesslon or Rccelpt of Flrea.rms CB3 Stat.
236>, or the Omnibus Crime Control and
Safe Btreeta Act of 1968 (82 Stat, 197),.
es amended by Title m -of the Oun Control Act of 1969 (82 Stat. l23E:> 0 tho fol1ow1n"' regula.tlons aro hereby prescrlbed
es Part 178 of Title 26 of thB code of
Federal Rcirulations:
.,; - ..,,'.
Prea.rrLble. 1. These regillat!ons, 26
CFR Pl\rt 176, "Commerce In F1reo.nrui
and Ammun1t1on," BUJJCroode rcEIUla
tlons 26 CFR Po.rt 1'17 li;suect under the
Federal Flrea.rms Act <U.S.C., Utle 15,
chapter 18),
' -. " ... ',
. 2. 'These resulatlons Bhall not al!cct
any act done or any llablllty or right
accurlng, or nccr-.ied, or any !SUit or procecdJng had or commenced before the
effective date of these rcsulo.tloll.! .'
3. These regulo.tlons ehll.tl be cfrlx:t.lve
on and ll.ltcr December 16, 1966.
PART 178-COMMERCE IN FIRE..

ARMS AND AMMUNITION
"
17a'.'I'~
1'e11.rlng attor appllca.uon dental .

:rotlce of col!.templnted revocation.
Rcqueat tor hearing after notice
t'7S.'111
1'7.S.76
Heating n1tcr notice of revoclltfon.

n.ccommcmdc~. dcclalan of bearing
eumlnor.
Ccrtlllell.tl.ol\ nnd trnnsmlttl\.l ot
rocord and recommC1ndod dl'cl-
178'1'3
rm'.74
173.17
J'lB.79
l'TB.70
l'TB.SO
l'TB.81
l'TB.8:1
~7~.ll~
1711.30
1'18.3L
ccrtl11ed cop1 of llccnee.

Out-or-et.ate nod man ordeuu.loe.
170.118
Bo.lea or dellvcrl11a of deatructlvB

devlcos and certn.1 n ftre11nrn1,
Certain Pi: ob I b 1t e d 1111111$ or
dellverlcs.
l'Ta.100 accord ot trllll11o.ctlona,
l'Ta.oo
l't!f 113
171' ';it
' 178.32
Out-of-State
dhlpo1l~o1.;.
o, ll.reartnf.
by nonl1ceruiee1,
Dell very by collllllOl:I. ..,. contract
ca.rrler.
" ,
l'~ol:llblted. 1blpment. tramport
&Ion, or recelp' cl dnla.rma and
11.mmunltlon bf cerl'.llln per1ona,
179.33
178.3t
Stolen firearm& ancl. ammunition.
278.H
178.42
1'18.43
1'18.44
171J.41i
178.48
178.47
178.48
178.49
178.50
Oenernl,
Removed, obllte.l'ate(ll,
rlo.l number,
or Altered
te
178.61
179.67
178.53
178.M
1'1B.55
17a.lil)
179.57
176.ll!I
Ch~~;c
c!
Subpari G--lmpo1totlan
Genert1l.
ImpN~11tl"n by a llt.dn1111d Import(;',
Ic?;i ':itlon by otb~r Ucalllle-11.
l".."l'?r &tBt.iOQ by me-.nber1 Of tJ.e \/,;:!,
'""'.:..! A''Orce11.
.a'rtl.11J ".1em:lt Ln,portl\tlon

Oo.idltloool lmportaUoc.
176.116
Subpcid H-l1eordt
l'TB.121
cienerel,
J'lecorda maintained by lmpt" ..'JTll.

178.123 if.ecordl ma1nl'.lllne<1 by 1>Mnutnc
179.123
l'TfJ.J'O;J
turer11,
Flrenrlt\5 trananctlon record.
Record oi receipt ana cllspoeltlon,
Furnlahlng trn.n1Rntlon 1nform11tlou,
176.'1:17
Dlacontlnuane11 oi busU1011.
178.1~;
l'T6.J2~
Subpcirt l-El'mptlan1
I": 1. "1 Oenern!.
l'l'uH:a Eitect or Prc1ld11ntle.I pnrdon,
I 15.143 IUlllet from dltabllltlca Incurred by
Indictment.
l'TS.144
178.145
:nuea:cb.
orsanlzl\tlon.1,
me.
cr:nt.ro!~
CantlnuJng partnt.r1hlpa.
IURht of llUC:Ce&!llOll by ce;tnlc
persona,
[lt111)Qntlnuance of busl.aeu.
sea t.o or other la.w,
Rolle! from dl1abllltlct1 Incurred. by

convlctloo.
l'T9.14G D111lvarle1 by mllill to certain per11on11.

11a.1.i.1 Repair ot ft1"11nn,
178.14!1 Ammun11.1on toodtng for peraonml
Subpart D-llc11u"
License tees.
Llcie-n~e fee not 1ie-ru11!tqbJe.
OJ'lg1n"I llce!nae.
:Ren~wnl of llcenae.
Procedure by Dlatrlc:t Director.
I&Su11nce of llccc.n.
Corroctlon of error on llce111e,
Durr.tlon ot llceme.
LC>c:lltl on 11 covered by llcetlJle,
t.lccn11e not tranererabte,
Change ot 11.ddre-a.
Change In trade name.
a llcomc1
Loo.n or rental 01 tlrea.rma.
178.lL
;l.'.'~.2g
collector.
l'T8.97
Subpart B-D111'nlllon1
Mc1rnlng ot ter1111.
rncnt11.
'
Right or cmtrT aml. examtnatlr,n.
Pltbl111hlld ordlnartce11.
DL&cloaure of Information,
oCJurlo and rctlla d11termJna.t1on.,
Destructlvct dovlco doe-~rmln&tlon.
'I'r.anaportatlon ot de1truoth1 de
vlce11 a.-id cert111n fire.um.
Out.at-State acqulalUon f !!.rearm.a by nonllcemee1,
Authorized opora.tlona by
l'TB.96
' , l'l'B.111
:notation to other provl!lona of la.w. 176.11:1
178.23
178.2t
178.25
178.28
178.27
178.211
f:!!~~:c:~L~~~~:~Clanne.
Bnlcs or dcllverlee between Jlcec..scOC1.
S11bpo11 C-Adm!nl1flatlve and Mhc1llan1ou1

Provldon1
1'18.2L
:f'orma prescrlblld.
1'18.23
Emorgcmcy va:l11tlot1.1 !r'1m req1.1lre-
Service o:i llppllcant or Jlcon.sl!!I.

Reproa~ntat\j)l:l e.t a heo.rt.ng.
Dcelgnll~ place e;t heBrlng,
Opor11Uoru1 bp' llceneeea After nct!cc.
:l'l'B.9ol.
l'T8.D!I
Swbpart A-lnPr11d~cPlon.
0~1~~0~0'f~~;~~r.
Subpari F-Cond11d ofllu1lne11

.
178 91
1 g
S&c.
178.1
178.2
SCOp<j of rogul11Uom.
ot contemplated rcvoclltlon.
511bpall J-Penaltr11, S1l1u1u, and Forflh11

170.161 Fa lee atutement or repre1entatlon.
1?0.16~ Tlaruporui tlon or receipt to commit
a crime.
or
170.163 C:ommlulon n Federal crime,

176.161 Rcc1ilpt, etc., or fir1inrma b;y ccrt.J.n
peHons.
170.165 Receipt, etc,. or nrcarma by certain
employee1.
l73.l66 &!lzure ond!orfelture.
178.171
$ubpari K-Eporfollon
Export.atloc,
AU'tHOnrrT:
The pro11lelon11 ot tble Po.rt
1'1S l&!luod under 82 Stat, 1213-1226, 10 u.s.o.

atot. :ml, aa amcmded, unle11
Q:I t-028, 8~
otberwlae noted.
Subpart A-Introduction
178. l
Scope of regulut(ons.
<a) In general. The regula.tlons cortte.lncd :In thls part rclat.e to <:omme:ce
tn fl.rearms and ummunlt!on :md n1e
promutg11wd to lmplcmcnt Tltlc I, St.ale
Firearms Control Assistance HB u.s.c.
Cha.ptcr 44>, of the Gun Control Act of
1968 C82 Stat. 1213), and Title VII, Unlo.wful E"osse.sslon or Rccclp~ of Firearms
(82 Stat. 2313), of tllc omnibus Cl'lmc
Control and Sa.fc Streets Act or 1968 <32
Sto.t, U>'l> as amended by Title III of
the Gun control Act of 1960 rn2 Stat.
1230).
(bl Procedural and substantive rnaulrcments. Tb.ls part contnlns the proccdure.L n.nd substontlvc requirements
rela.t1ve to:
Cl) 'l'h~ 1ntcl'Sta~ or foreign commerce in fi1,arms and omnmnltlon;
(21 The iJ.censlng o! manu!o.cturer:;,
importers, and collectors or. and dealers
1n, ftrcnrms and nmmunlt.lon:
(3) The conduct o! buslncss of u.
censces:
<4> The lmpo1tatlon of firenl'ms an :3
ammun1tlon:
(61 The records nnd report.s rcqul!cd
o! llcensce::
(6) Relief from dlsabLUtles under thl.;
part: and
<'11 EKcmpt lntersta.tc aml !mcLr.in
conuncr1;e In flr<)arms 1111<1 ammunition.
(c) Federal Firearms Act licenses. Thi!!
part fully aJJt1llcs to opemtlons by persons licensed undc1 the Federal Firearms
Act 11.nd Pni:t 1'17 or this chnpter who Ell'e
contlnu.Lng lhclr oIJcnitlons under such
license pursuant to section 007 or the
Omnibus Cdmc Control o.nd Safe Streets
Ad at 1968 <82 Stat. 2:l5l. Any reference
1n thJs pnrt to "llccnsc," "licensee," Jl.
ccnsed dealer,'' "licensed importer," "II
ccnsed manufacturer," etc., shall o.pplll
equally as the case may be t.o licenses
and persons licensed under the Fctlcrnl
Flreorms Act who arc continuing opcrn.tlons pursunnt to a license lssucd under
tho.t Act.
178.2 Relation lo CJlhcr IJfO'lll11io11s or
law.
The pro11lslons In this pait o.rc In addition to, and are nol ln llcu of, any other
provision o! la.w, or regulations, respecting traffic in firearms or ammunition, For
regulations appllcable to trn.mc In mnchlne suns, destructive devices, nnd certain other firearms, see E>art L7!1 of this
chapter. For statutes nr>pllcable to the
reslstraUon and Jtcenslng of JJersons engaged In the business of manufnctminfi,
lmpor~Lng or exporting n.tms, nmnnmi
Uon, or implements of wn r, sec section
414 of thci Mutual Scc:urlLy Act of l95<!
(22 U.S.C. 1934>, and rl'!lUlntlons thereunder. For statutes nppllcnblc to non
mallo.ble firearms, sec 10 u.s.c. 1715 1111t1
reguln.tlons thereunder,
Subpart B-Definitions
176. ll M111ning 0 tcruu.
Wbcn used ln this part nnd In Corms
prcscrlbed under this pa.-t, where not
FEDERAL lEGISTEI, VOL. 33, NO, 217-WEDNESDAY, NOVEMBER 6 1 19611
0236
418
RIF
0237

16237
.PROPOSED RULE .MAKING

otherwise distinctly exprez!s~d-or manl- oJl'enslve or derenslve weapons. To be
fc,st.ly Incompatible wJth the Intent there- recognized as curlos or rellcs, firearms
of, terms eho.ll hnve the meanings' as- nnd ammunltlon must !v.U wlthln one of
cribed In this section, Woi.:ds ln the plural the following categories:
<n> Firearms e.nd nmmunltlon which
!onn &hall lncluc!e the alngulBr, nnd.vlce
versa, nnd words importing the nutscu- were mo.nu!11cturcd at least 50 yea.rs p11or
to the cu1rent date, but not includJng
Un~ gender shall include the. femlnlnc.
The tenns "includes" and "Jncludlng" do replicas thereor:
not eKelude other things not enumer:atcd
 Firearms e.nd nmmunltion which
whlcl\ o.re In the same ~eneral clnss or arc certillcd by the curator o! a rmmlcl
010 otherwise within the scopa thereof. pal, Stn.tc, or Federal museum which exAct. Chapter 44 ot tltle 18 of the United hibits fl.rearms to be curlos or relics of
mu.sewn tnterest: and
Strttes Code.
Ammunition. Ammunltlon or Cl\rta:ldge
<c> Any other firearms or ammunition
cnses, primers, bullets, or p1opellent pow- which derive a. substantial po.rt o! their
der dcslr:mcd for use ln any firearm.
monetary value from the fact that they
Antique firearm. (J) Any fireatm. Cln- nro novel, rare, blznrre, or because of
cludlng e.ny Oren.nn with a. m(l.tchlock, their assoclatlon wlth some hlstorlcal
ntntlock, percussion ca.p, or slmll!\r typo figure, pel'lod, or event. Proof of quallof ignition system> ma.nutacturcd ln or flcntion of n pe.rttcula.r firearm or ltem
before l89B: o.nd (2) any rcpllcn ot any of ammunition unde rthls category mny
tlrea.rm described In U > of this defini- be established by evidence o! present
tton If such replica. <l> is not designed or vnlue and evidence thnt ltkt? firearms or
redesigned for using rlmfiro or conven- ammunltlon nte not avnllable except ns
tlonnl centcrftre fixed ammunition. or collector'a Items, or that the value of like
<lU uses rJmtlre or conventional center- 1lrearm.s or nmmunltlon a.vallnble In orftre flxed ammunition which la no lonscr dinary commcrcJal channels Ls aubstan- mimurnctured In the United States .and ti111ly less.
Customs o[JLcer. Any omcer o! tho Buwhich ls not readily available 1n the or
reau o! Customs or any agent. or other
dlnn.ry chnnnels of commercial tmde.
Assf.Jtane R.catonai Com.musloner.. An person authorized by lo.w or by the SecAssistant Rcglonnl Commls&loner-. Al- retary of the Treasury, or appointed In
cohol and Tobacco Tax1 Who ls respon- writing by a. District Director or CUstoms,
sible to, and !unctions under tho dlrec- to perform the duties of an officer of the
Uon n.nd .supervision or. a Regional Com- Bureau of Customs.
Date ol mportation. The date of rerntssloncr of Internn.I Revenue. : ' .~.
Buslnesa prcmlsc1. The property on lease of firearms or ammunltlon front
which firearms or ammunition' import Customs custody.
Dealer. Any person engaged Jn the
Ing, mnnufncturlng or den.Ung b.uslnesa
111 or will be conducted. A 11nvate dwell- business ot sclllng firearms or onunWlltion
at wholesale or ietail; n.ny person
ing, no part ot which ls open to the pub-_
Uc, sho.11 not be recognized as comln!l engaged 1n the business ot repairing firearms or o! maklng or nttlng special barwithin the meaning o! the term; .,: :,
Collector. Any person who acquires, rels, stockB, or trigger mechanisms to
holds, or .disposes of flrenrms or ammu~ firearms; or any person who ls o pawn nltlon ns curios or relfos.
'' broker.
Destructtve device. (a) Any explosive,
Commerce. Tro.vcl, trade; traffic, commc1co, transportation, or communication Incendiary, or &>Olson gas <1> bomb, (2)
among the several Stai.es, or between grenade, <3> rocket having a propellant
the DistrJct ot ColumbJa and any State, charge of more than 4 ounces, C4) mlsor between any foreJgn country or any ello having an explosive or lnccndlBry
territory or possession and any State or charge or more than one-quarter ounce,
the District of Colwnbia. or between (5) mine, or (6) device similar to any
points Jn the same State but through any of the dcvlccs de5crJbed Jn the p1eccding
other Sta.ta or the District o! Oolwnbin c~4uses; <b) nny type or weapon (other
or a foreign country.
than a. shotsun or a. .shotcun shell which
Co111mfssloner. The coinmlssloner ot the Dlrecto:t flnd5 ls gcnernlly recognized
Internal Revenue.
as particularly suitnblc !or sporting purCrime punishable bl) fmprlstmment for posesr by whatever name known which
a term exceeding 111ear. Any offense for wm, or which mny be rcndlly convcrl;ed
which the maximum penalty, whcthe1 or. to, expel a. proJcctlle by the actlon of
not Imposed, is capital punishment or nn exploslve or other propellant, end
Imprisonment 1n cxcesa of 1 year. The which h1u nny barrel with n. bore of more
term sho.11 not Include C1 > any Federal tho.n oneuhnlf inch ln cilnmet.cr: and
or State offenses perto.ln1ng to e.ntltrus~ Cc> any combination or parts elther devlolatlons, unfllir trnde pracUccs. re- signed or Intended for use 1n converting
straints of trade, or other similar offenses any device into nny destructive device
rein.Ung to the regulations of business described In <a> or (b) of this definition
prc.etlccs ns may be provided In thla part, and from which o. destructive device
or <2> any Stnte ofrcn:ie (other thnn one may be readily a:isembled. The term shall
not Include nny device wh!ch Is ncUher
lnvol~Jng B firearm or explosive> clasiiified by the laws at the State e.s a m2s- designed nor redes1gned tor U.'iC as a
weapon; any Jevicc, although origJnnlly
d~r !ncanor nnd punlahnblc by a term
of Imprisonment of 2 yc.ar/J or less.
designed !01 use ns a. wenpon. which ts
Curios or relics. Firearms or ammu- redesigned for use as o. signaling, pyronition which nre or special Interest to technic, line throwing, safety, or s1mllo.r
col!'.?ctors by reason o! some quality device: surplus 01dnance sold, loaned, or
other than Is ordlnarJly ~soclBted with given by the Secretary of the Anny pur firemms Intended for sportinir v.se or o.s sunnt to the provisions ot .section 4681
(2), 4685, or 4680 of title 10, Unlttd

States Code; or any other device which
the Director ftnds ls not likely to be used
as a wcnpon, Is nn nntiquc, or is n rl11e
wh1ch the owner intends to use solely for
5Port1ng purposes.
Director_ The Director. Alcollol and
Tobacco Tn>e Division, Internal Revenue
Service, T1cnsury Depn1tment. Wnshini.:ton, n_c. 20224.
Discharged u.mlcr disiw1rnra!Jlc co11d:-
tions. Scparallon from the U.S. Arm<'d

Forces resulting from a Bad Conduct Dlschargc oL n Dishonorable Dl:>chn1ge.
District Director. A District Direclor
ot lnternnl Revenue.
Executed under vcrwllics oj vcrjury.
Slsncd with the p1e.!icl'lbcd cleclnrntion
Wlder the J)f;llallics or perjury as provldecl on or with respect to the return.
fonn, or other doi;:umcnt or. where 110
form of decluratlon ls prc.<>crlbcd, wlth
tho decla.mtlon: "I declare 1.:.ntlcr the
penaUles of perjury lhat thls-linscrt
type of document, such as, stntclllent,
application, request, certlficatc>, lnclud~
lng the documents submitted 1n support
thereof', has been examined by me and,
to the best 01 my knowledge and bell.er,
ls true, correct, and complete:
Federal Fkcarms Act. Chapter 18 ot
title 15, United St.ates Cade. ns In effect
on December 15, 196B.
Felo1111. Auy offense Ptlllislrnble by im~
pri.sonrnent for a term exceeding l year.
The term shall not Jncl ude any offense
<athe1 tlmn one Involving a firearm or
explosive l clnsslfled ns a misdemeanor
under the lnws of a Stnt.c and punishable
by o. term o! imprisonment o! .2 years
or less.
.Flrcarm_ Any weapon, Jncludl11g n
starter gun, which wHl or is designed to
or may readily be conve1tcd to expel a
proJcctlle by the action of an explosive;
the frame or receiver of any such
weapon: any firearm muITTcr or firearm
sHcncer; or any destructive de\2ce: but
the term shall not include an ant.lriue
firearm. In the case or a licensed collector, the term shall mean only curios and
rcllcs.
Firearm. frame or receiver_ That part of
a. firearm which provide!! housing for the
hammer, bolt or brccchlock nnd firing
mecbanlsm, and whJch Js usually
threaded at Jts forwa1d portion to receive
the barrel.
Fu(lititJc from iuslicc. Any person who
has ftcd from any State to nvold ,;iosecutlon for a c,lmc or to nvolcl glvirr.g testimony in nny c1tml11nl Pl"Occcding,
11np0Ttatlon. The b1inglng or a firearm or ammunlUon Into lhc United
Stales; except that the bringing or n flrearm or nmmunit.lon !rorn outside the
Unltcd Stat.cs into a forclgn-lmdc w11e
tor ston1gc pending shipment to a foreign COUJl~l'Y or subsequent Importation
Into this country, pmswmt lo this pn rt.
shall not be deemed lmporlnl.1011.
Im110rtcr . .l\n.Y t>crson ct1Rni;c<l ln the
business or imporling or brlns.:lng nrcn.nns or nmmunltlon Into lhc United
Stntcs for purposes e>[ sale or dlstrlbuUon.
lnd1ctmc1lt. Includes an Indictment or
tnformntlon In nny court under which a
crlmo Plllllsbnbl" by lmprisonmrm t for
. fEDE!tAL REGISTER, VOL. :Jl, NO. :Z17-WEDNl!SDAY, NOVEMBER 6 1 1968
0237
419
RIF
0238
16288
PROPOSED RLILF. MAKING
a. tenn exceeding l Yciir tnll.f be }'rose- furn!shcd. to ench licensee under tbla tlons, and limltntions shnll automntlca.lly temilnC\.LO U1e nuthol'lly for wch
part.
cuted.
Internal Rct1e11.ue Code of 1954. 'Title

26, United st.ates Code. .
Internal rce1e:n-u.e ctlstr!ct. An lntemal
ievenue district und~r the Jur:lsdlctlon of
~ Plstrlct. Director o! Internal Revenue.
Internal rcvc1mc rcoton. An Internal
revenue region und~r the Jw1scUctlon of
n. Regional Connnissloncr of tntcmnl
Re11enut?.
Intcrsiate
clud~s
or foreign. com rierc e. In
cnmmcrcc between 11.0JI pla.ce 1n a.

State nnd any ptncc outside of thtJ.t Stare,
or within a.ny possession of the Vnltcd
St.ates (not Including the Cnnml Zone> or
il1e District of Coltnnbla, 'l'he term shall
not include eommercc bet.ween pln.ces
wlthln the same Sta.to b'ut thro11gh any
Pl!Lcc outside of ih(l ~ St11te.
l..~censct:L coltcctor. A colltictor o! curios
n.ncl rellcs only o.nd licctl!ied under the
provislons of this part.
l..lccnscci daa~cr. A den.ter llcemied un
der the provls1ons of thlll part. nnci a
dealer lJecn.scd under the Federal Fire
11.nn11 Act if Buch license I~ deemed vn11d
under i5ectlon 907 of Publlo LBW G0-351
C82 StElt. 235) ,
Lice713cct
~m11ortcr.
An Importer U
censcd under the provisions ot this pa.rt,

n.nd a. mnnnfecturcr <ns that tenn was
dcflned In the Federal Firenrm.5 A.ct> II
censed Wlder the Federal Firon.rms Act If
&uctt license 1s deemed vo.Lld under sec
Uon 907 o! Publlc Law D0-351 CB2 Stnt.
235).
Licensed maauJacturer. A manufacturer Ucensed under the pmin:ilons of
this part, and a manufacturer ( 115 thn.t
tei:m wns claOncd In tho Federal Fire
c.rms Act> llccnscd under Cho Federal
FJrenrms Ac~ It such Uccnse 1.s deemed
valld under st.::tlo:l OO'l o! l?tibllc Lo.w
l>0-351 <B2 Stnt. 235 >,
Mac1llue amt. Any weapon which
shoots, is des1'1ned to shoot. er can be
readUY restored to shoot, .automaUcallY
more thao one shot, witnout manual reloading, by c. single :fwictlon o:f tha trlEf
ger. Tl1e term sh!Ul also Include the
frame m receiver ot nny such: wcn.J)<ln,
any combJnntlon or pa1ts desfgnad and
1ntcndcd ro r use Ln converting e weapon
into B nmchlne g-un, nnd any c:omblnatlon o! parts from Which 11 machfno gun
co.n be nsscmbled lf such parts arc ln
the possessfon or under the c:ont..rol o! IL
person.
Ma1mJacfarer. Any peracm mntnsed

In the mnnufo.oturc of firearms or nmmun1tlo11 for purposes of sale o'r distribution.
National E'trearm$ Act. Chapter 53 of
thCl Internal Revenue Code of 10.54,
Pawnbroker. Any person wh~se bus1
nes~ or occu1lnLlon Includes th& taldng or
1ecelvlng, by wo.11 or pledge or pawn, of
any firearm or ammunition ns security
lo~ the pnymcnt or repayment or ntoney.
Person. Any lndlv!dnn.!, !:-Ot'porat!on,
company, nssoclaUon, firm, partnership,

society, or Joint stock compa.ny.
PublfsTica ordinance. A publlW1ed la.w
of n.ny Jlolltlc&I SUbdMslon or II. State
wblch the DJrcctor determines t:.o be releva.11t to the en forcctnent of thl$ part and
which is contlllned on n lJst compllod by
the Direct.or, which list ts publl..'lhed ln the
FEDERAL R~crsTElt, revJsed annually, and
Becrfanat Ccnnmlssfoner. A Reclonal

dommlssloner of Intemo.l Revenue.
BepUca. A reproduction, copy or facalmlLe of nn nntlcr~e Hrcann whlch 1s incapnble at firing fu<cd amrnunit1on.
Rifle, A weapon designed or redesJgned,
mndc 01 remade, and lnt-Onded tr:> be
fired from the shoulder, and deslsned or
redesjgned nnd mnde or remade to use
tho enorcy o! the C1lploslve In n nxcd
metallic cartridge to fire only n. single
proJcctllc through " rifled bore for cnch
single pull or the trigger.
Slmrt-barrclcrl rifle-, A rlfie having one
or more bn.rrcls less than 16 Inches In
length, nnd nny weapon made from a
ilile, whether by a.ltcrat1011, modUlcntlon,
or oiherwJse, l! such weapon. n1 modlflcd,
has an overc.11 leni=th or le:.~ thnn 26
inches.
Sh-ort-barrclecl ~hot(l'tl11. A shotgun
havlng one or more barrels less than 16
inches In length, and any weapon mnde
from a shotgun, whether by alteratton,
modlfl.ca.tlon, or otherw1se, U such.
weapon as modified hl!::i an overall length
of lca:i than 26 Inches.
Sfote. A State of the Unl'!ied Btn.~s.
designed, made or remade, nnd lntcnded
to be ftrcd from the shoulder, and designed or redesigned and made or remade
to use the energy of the exploslvc in n.
fixed she tgun shell to ftre throur:rh n.
smooth bore either o number or boll shot
or P slnBle projectile for cnch isinglo
pull of the trigger.
Staec. A Stnte or the United Smtcs.
The term shnll include the D.lstrlot of
Columbia, the Commonweolth of Puerto
Rico, 11.nd the possessions ot the United
States <not including &he Canal Zone).
Unscrvkcable firearm. A firearm which
ts lncapablr, o! discharging n shot by
means at an cx11loslve cmd ls incapable of
bclng rcndlly restored to o. firlng
condUlon.
u.s.c. The United Stntc:s Code.
vll.t'latlons. and the licensee thereupon

shall !ully comply with the PL'csc1tbcd
l'CQUlt'cmcnts of icgulntlons fl'Olh wh\ch
the Vtll'lnt!ons were nuthorlzed. Aulho~-
1tY !or 11.ny \'nrlatlon muy be wlihclrnwn

whenever 111 Lhe J ud~mcnt of tho D!rcc tor the cffeotlvt.' admlnlstl'ntlon of tills
part Is hindered IJ.v Lile coutimmLio11 o!
such vnrlu.Lion. ./\ licc11scc \\'ho clc;;l 1c~; Lu
employ such variation shall ~;ulmilt a
Wt'ittcn nt>lllkntloi so lo do, in L1iplicatr.
to tho AssJstnnt Hciilonnl Co1mnl!'i:>lo11cr
for trnnsmllLnl to Lile Direct.or. 'l'hc nppllcntlon shnll dcscrll>c the i;101>0.~ed
vnrlntlon and set f'JL'th I.lie 1cnsun:;
therefor. A 1.1uiatlot\ shnll 11ot he employed until the nppUc:ntlon has hr.:cn
npp1ovcd. 1."hc Uccnscc shall rctttln, ns
pa.1t of his recorc.ls, a.vallablc for exam
lnntlon by lntcrnnl revenue oJnccrs, a.ny
a.pplicatlon opproved by the Dlrecwr
under the p1ovlslons of t.h[s section.
178.23 lli,:lit 11r l.'nlry aml <irnmi1111i<m.
Any lnt.crnlll rc\enue officer m11y enter during business hours I.he p1cmlscs,
JnClUcJln~ ptaCCS Of Sl.ol'nl!e, of RUY fil'C-
n.rtnS or .o.mm\.ll'lltlon bnpotltt, mnnufacturer, dealer, or collector for the

purpose o! lns1)ect.lng or cxl\n\inlng nny
rcco1ds or documents icqulred to be kcp~
by such 1mpc.rtcr, mn.11urn.clurn1, dei\lc1,
or coUcetor under the movlsions or the
Act or t.hls pnrt, n.nd any fi1c:i.m1s m nm~
munition kept or stored by such lm
pol'tcr, mnnufa.cturnr, d<!alcr. or collector
nt such premises.
178,24 l 111l11l~l1e.il or1li1111t1~1~.
The Dlrcctor Is authorized to complle.
publlsh ln the FEmmAt If.Ee rsnn,1 mmua.lly revise, and furnish to cnch liccn.scc,
a. llst ot published 01dl11n.nces whlch nrc
relevant; to the cnfo1cctncnt o! Lhls imrl.
178.25 l>ie1:!41M11rc of infnr111aliu11.
Upon receipt of written rcq_ticsL of n11y
State or o.ny polltlcal subdivision thereSubpart C-Adminlslrctlve and
of, tho Asslslant RcglonnJ Commissioner
Miscellaneous Provisions
may make D.Vallablc to such State or nny
l '2.8.:n Fortna prccril1cd.
polltlcal subdivision thereof, nny i11tormo.tlon which the AsslsLnnt.. H.culonul
The Director Is authorized to pre. Commissioner
nmy obtain by ten.c;on or
acrJbc all !01ms reciulred by this pa.rt.
All ar the lnronnntlon C.'1.llcd tor 1n encll tho Jlrovlslons of the Act. with icspC"cL t.o
form shall be furnished, as tndlcntc.Q. by t.ho Identification of pe1sons within Mtch
the headings on the rorm o.nd the tn- Stntc or po!lt.lcnl subcllvl~lan tllcreof.
struotlomi thereon or Lssucd In respect who hnvl! tmtchnscd or rcccl~cd firc:ann:.
or nmmunltion, to~cthc1 wlth ;~ dcscrl11thereto, nt1d es required by this part.
tlon or such firenrms 01 ::unmunltlon.
5 178.22 Emcri;:cnt'f v11riudo11s (ro111 re. S 1711,26 Curio nnd rclic cll'l~r1ni1111tiun.
c1u ire 111 en ls.
A licensed cc1llector who dc$lrc~s to ob<a.> The Director may approve va.rlaUons from the reqnlrcment.s of thts pa.rt
when ho finds that an cm~rgcncy cxls!.s

and thnt the proposed vn.1iatlons from
tho spcc:l.Oc requirements CU nre necesfillry, 12) wm nat hlnder the effective
Qdm.!nlstrn.tlon of t.hJs part, and (3) wUl
not be contrary to o.ny provistons of law.
Cb> Varlo.~lons 1 r om requirements
granted under this scetlon nre condlttoncd on compUo.nco with tho proce.
dures, oondltlons, a.nd llrnJtntlom with
respect thereto set; forth In the approval
or the appllco.tlon. l'aflure to comply 1n
good !oJth w1lh such rirooedures, condt:.
tain n detcr111111."l.tlon wlwlhc.' 1 n pnrtkii Jnr fi1cni-m or ammunition fa R uirlo or

relic slinll sul.Jmlt a written rc11uc:;t, t:i
duplicn.te, for a rullns Lhcno11 ~n ti 1P
Assisinnt. Rcr,ionnl Commlss!oticr. Each
such request shall be cxccutccl uncllr tlw
pcnnltfos of perjury and f.hidl co11t1~!11 a
oomDl~k and flCClll'~tc c.l<!~Cl'lptlo11 of lhc
tlrea.rm O!' nmnmnlUon, and suc:h pl1otogrnphs, dlai:rr;i.ms, or drnwlnl!s ns mav
be necessary to cnnble the As,o,;lst:m.t
Rcglonnt Commissioner to mnkc his clc-
tcnnlnn.tlon. The
Ai;.!)istant
Rci~lonnl
FEDERAL IEGISIER, VOL 33, NO. 217-WEDNESDAY, NOVEMBER: 6, t968

0238
420
RIF
0239

PROPOSED P.ULE MAKING
IG28!J
Commissioner may require the submls ls not Inconsistent with the Jaws o.t the Importer, licensed mnnufucturcr, licensed
dealer, or licensed collector, nny package
slon to him, or to an officer deslgno.ted by place or destination.
him, or the ftrcnnn or runmWlltlon !or
(b) No person shnll transport o.ny or other container in wl1lch Lhcrc ts any
cxnminntlon nnd testing. If the submls- destrucUve device, machine gun, short- firearm or ammunition wltt10ut written
slon or the flrcnrm or ammunition 1s barreled shot.gun, or short-barreled rifle notice to the caITicr that such firN11m or
lmpracticnl, the licensed collector she.ll In lnterstntc or foreign commerce under nnimunition ls being Lrarl!;portctl or
so ndvlse the Assistant Regional Com- the provisions of this section &ntll he shipped: Provided, That any p:i.ssenger
missioner and designate the place where hne received upeclfic nuthorlzatlon t;O to who owns or lc~ally posscssc5 a llrenrm
the firearm or nmrnt.lltion will be do Crom the Assistant Rcclonal commls- or ammunition llclng tran5portcd nbonrd
nvnilnble !o1 cxnmina.Hon o.nd testing,
stoner. Authorization ~rnntcd under this any common or contrnct carrier for
llct1lr11<:the devir.c clclcrrnlnu section docs not cany or Import rellef movement wlth the passcrw:cr in inter 178.27
lion.
fl'om nny other statutory or rcgule.tory . state or fore:gn commerce nrny dcli\'cr
said firearm or nrnmunition into the cusprovision rein.ting to firearms.
The Dh'ector shnll determine In c.c<c> ThJs section shnll not be con- tody of the J)Llot, cnptain. concluctor 01
cordance with 18 U.S.C. 921<n> <4> stl'Ued ns rcquh'lng licensees to obtain operator or such common or contract
whether a dcvlcc Is excluded from the c.uthorizo.tlon to transport destructive carrier for the duration or thnt trh) withdefinition of a destructive device. A per- devices, machine guns, short-barreled out. violating any provision of till!> part.
lb) No common or contract carrier
son who desires to obtain a. dctcrmlna shotguns. nnd short-barreled rifles ln lntlon under thnt. piovl.slon "of law for any terstate or !orelcn commerce: Provided, shall tran.sp01t or tlcllvcr in lntcrslnte
or
foralgn commerce nny flrcurm or amdcvlcc whkh he believes is not likely to Thnt such n licensee hn.s authority. oo
be used as a wcnpon sha.11 &Ubmlt P. writ engage u1 the buslnc11s wJth respect to the munlUon wl~h knowlcdi.:-e or rcnwnable
cause to bcllcvc thnt the shipment. trunsten request, ln triplicate, !or a -rullnlJ w,capon to be trnnsported.
partat.lon, or receipt thereof would be in

t.he1e<1n to the Asslsto.nt Regional Commissioner for tranamlttal to the Dtrcc fi 178.29 0111-or-S tn1c n c q uh ii lo n of vJolatlon of any provl.slon of this part:
toi-. Eu.ch such request shall bo executed
firc11rm11 h:r norillccnecca.
Provided, 1wwcvcr, That the provisions or
under t.he penaltle.s o! perjury and conNo person, other than o. licensed lm- this paragraph shall not apply ln rcspcet
taln o complete n.nd accurate descrlp porter, Ucenscd manufacturer. Hccnsed to I.he t.rnnsportntion or firearms or amtton of the device, the nnme and aC!dre88 denier, or licensed collector, aha.11 trans- munition ln In-bond shipmen~ under
of the mnnu!ncturcr or importer thereof.. JJOrt into or receive In the State where he Customs lnws and regulations.
the purpose of nnd use for which it ls. resides <or If n. corporation or other busl- 178.32 l'roh\hi1Nl ... i.i11mc111, 1rnn,.1mr.
lntcnded, and such photograpm, dla. . ness entity, wher_ It. maintains a. place of
lulion, or rclci11t uf fireurm" nr11l 11!n
grams, or drawings as may bo, necessary bttsin~ss> any firearm purch.ased or
n11111i1ion l1y l'l'rluin r1eri<1111 ...
to enn.ble tht' Director to mn.ke his deter- otherwise abtalned by such person outCa> No person may ship or transport
mlnation, The DJrector may requtre the nlde that State: ProvCded, That the prosubm1sslon to him, or to an omcer dcelg visions of this section (ll) shn.11 not pre- any n1cann 01 ammunition ln 1nterslntc
matcd by him, or o. sample of auch device elude any person who lawfully o.cqulrcs or roreJgn commerce, or 1ecclvc nny Orefor cxnm1natlon or tcstlng. It the sub a firearm by bequest or intestate succes- o.rm or nmmunltlon whlch has been
mlssion of such device Is lmpractlble, the slon in o. St.ate other thWl his sto.te of shlppcd or t.rnusporlcd In lntcrstnte or
person request.Ing the rultng aha.11 so nd residence from trn.nsportlng the firearm foreign commerce, who cl> Is under In.vise the Director nnd deslsno.te the plo.ce into or receMng Jt 1n that Sta.te, if 1t Is dictment !or, or who hos been convicted
where the device wlll ho a.vallable for ex- lawful !or such l)erson to purchase or 1n- any court o!, n crlmc punishable by
a.mlnatlon nnd testing,
Possess such fircnnn in that State, (b) lmprlsonmcnt for n tcm1 cx~cdlng I
170.28 Trlln11portadon ot dci 1ructSvo shall not apply to the transportation or year, C2) ls a Cu~ltlvc from justice, CJ)
receipt of o. rifle or shotgun obtained in Is nn unlawful user of or addlcLed Lo
1Jc,icc11 ond ccrtuin fircurn11,
conrormlt.y with the provisions of mnrlh'uana or any depressant or stJmu~
<n) 'I11c Assh>hmt Reglono.l Commlsy H 178.30, 178.96, and 178.97, and Cc> lant drug (as denned !u section 201Cv >
stoner tor the internal revenue region shall not apply to the transportation of ot: the Federal Food, Dniu, nnd CosmcUc
In which B person resides may authorize nny firearm n.cqUircd In nny State prior Actl, or narcotic drug ens de:lned In section 473Ual o! the Intc:nnl Revenue
tho.t person to tro.nspo~t in 1ntereta.te or to the eft'ecUve date o! the Act,
Code ol 1954>, or <4 I has been ndJudlrorclsn commerce nny destructive device,
machine gun, short-barreled shotgun, or 178.30 0111.of.Sro'c dil'flOIJilion of fire cn.ted o.s a mcntnl defccUve or who Juts
arms by nordiccrt&cc11.
been cornmJttcd to a m~ntctl lt1stlt.uUon:
si1ort~bnrreled rlfle. lf he .finda that such
<bl A flrcam1 may 11ot lJe rcccl\cd,
transportatJon Is reasonably necessary,
No nonllcensee shall transfer, sell,
Is consistent with publlc so.t:cty, and Jo trade, give t.rausport, or dcU11er any fire- possessed. or Lranspol'ted !n commerce or
not Inconsistent with State or lcc11l law. arm to any other uonllccnsce, who the afTeetlng conuncrci:: by ony person who
A person who desires to tro.nsport 1n transferor knows or has reasonnblc cause <l> hns been convicted by it court or the
Interstate or foreign commerce nny such to bcltcve resides In any Stnt.c other than United Stntes or of n Sti.tc or any podevice or weapon shall submit a. written tha.t In which the trnnsfcror resides Cor llt1cal subdh'li;lon thereof of n Jelony, 12 1
request so to do, In duplicate, to tho As- Ir a corporation or other buslne1.!l "ntlty, has been dlselinri::cd from the Armed
slstnnt Rcr:fonnl Commls3loner. The re- where lt maintains a place of business>; Forces under dlshonornblc condlllons,
ProvCded, Thnt t:i1e provisions of thls sec- (3) hns been nclJudgecl by n court. or th~
quest shall contain:
, Cl> A complete description and lden- tion shall not apply to <a> the trn.nsfer, United St.ntes or ot n SLn le 01 any polillt1!\co.tlon or the device or weapon to be trnnsportatlon, or delivery of a ftrco.nn cnl .subdivision thereof o! bclni; mc11made to carry out o. bequest of a firearm to.1Jy Incompetent, or 14) hnvln~~ bcc11 :1.
tmnspol'ted:
<2) A statement whether such trans- to, or o.ny o.cqulsltton by Intestate i;uccea- citizen of the United States Ji:1s rr
slon or a. firearm by, ll. person who ts pc:r- nounccd his citizen.ship, 01 r !) 1 being n11
portation involves a transfer of title;
C3) Tim need for such tra:nsporto.tlon: mitted to ocqufre or possess B firearm allcn lf-1 lllc~nlly ln tlw Unlttcl !:::it.Hll'li.
Ce) Any lndlvldunl Whl) lo J1is knowl under the lows of the state or his resi(4l The approximate date such trans- denoo,
and the !oen or rental ct a edGe and whUc bcirrn crniiioycd by any
pcltation Is to tuke plu\;e;
flrea1m to any 1>crson for tempomry lL'ic pe1son comlu~ wlt11!11 n cl1rn.slllca1 i(Jll
(5) 'I11e present locn.tlon or such deconLnlncd hi J>nrni::rnpll 1 bl of thl.'i sec
!or lBw!ul sporting purposes.
vice or wcnpon and tl1e Dlaca to whlch It
tlon, may not ln the cou rsc of such ('IJl 178,:U Delivery l1y c:ommou or con. ploytnent iccclvc, posse!;!;, or transport
Is to be transported;
trnd
currier.
CG> The mode of tro.nsporta.tlon to be
a fil'ea1m In co111111ene or alfl'cli11g
used Oncluding, IC by common or contact
Co.) No person shnll knowingly deliver commcl'cc.
Ctlrl'lcr, the nnme and nddrcss of such or cause to be dcllve1ed to o.ny common
<d> 111e pro,lsiorn; of pa nu~ raph b 1
or contract carrier tor trnnsportntlon or or tills section shall no L Ol)Jlly Lo any
carder> ; nnd
<7> E::vldencc thtlt the transporto.tlon shipment in lntcrstntc or foreign com- prlSOllCr Who by l"t,!US()ll Of dull(.'s C<Jllll<'Clor possession or such devlce or weapon merce to any person other than B licensed Cd with law cnfo1ce1nc11t !tris c:-<prc:.:;Jy
4
FEDERAL REGISIEJf, VOL. 33, NO. :Z 17-\'/EDNESDAY, NOVEMBER 6, 1968
0239
421
RIF
0240
16290
PROPOSED Rt.:LE MAKING
been entrusted wJLh a. flren.rm by compa
tent a.uthorny er the pr:faon. and the

provisions of paragraphS Cb) nnd (C) of
this .section shnll nob npply to o.ny person, or any employee employed by such
person, who hn.s been pnrdoncd b1 tha
President of the United S ~at.es or tho
chleC executive o! n. State and has expressly been auU101'l7.cdby the President
or such chlet executive, as the ~n.se may
be, to rccch-c, g>assess, or tt:anspo:rt in
comincrca a firearm.
l 7ll.33
S1olc11 firearm! and a11m;un[.
lion.
No person slmll ttansport or shJp ln

Interstate or foreign commerco any
stolen firearm or stol'!n nmmunltlon
knowing or having rensonllble ca.use to
believe that tho firearm or :DmmunlUon
wns stolen, o.nd no person shall receive,
conceal, store, bllrler, sell, or dispose of
any stolen firllllrm or stolen a.mm.unltlon
which ls moving ns, which. ls a pnrt of,
or which constEtutcs lntcrstate or !ore!sn
commerce, knowing or hn.v1ng rensonablo
co.usn to b<!Uevt?" thnt tho Orcnrm or am
munition wns stolen,
176.3 1 Removed, oLUtcra1edt or al
lcrcd 11criol numLcl'.
No person sho.11 knowlnsly tr11.nsport,
1
ship, or receive In lntcrstote or foreign

commerec ony :flrenrm which bM had tho
importer's or mnnutncturer'$ :semi nwn
bcr removed, obliterated, or n.ltered.
Subpart D-Ucer,m1s
6 176.41 Crm~ruL .
(al Each person tntcndln!I to engage
in business cs 1m importer or tnanufac
turer of, or B den.Jar In, flrunms or am
taunttJon rihllll. be!ore commencing such
business, obta5n the Jlccn!o r.ectu.1red by
this subpart :for the business to bo OP
crtded. Each. person who dce1rea to obtain
the privllcgu sr1mted by the Act and
thf!J part to a llcllnsed collcc't()r- ma:v ob
taln BUch B license under tho lllovlslona
of thla .mbpnrt.
Cb> Each person lntendlni? to engago
tn business n.s a. ftrenrms or 11.m.munltlon
importer. mn.nurneturer, o:r denier, or
aecktng th~ privllcgee o! a collector 11-censcd under this pnrt shall :Ole :11n BPPll
cntlon, wlth the rcqulreid tee C11cc
1118.42), with tho District Dlrecoor for
tho lntl'.!r:no.l tllV1muc district In which his
premises nro to be loco.ted, and, pur
.sunnt to I I7B.4'1, rcccJvo tha lJconse rc-qulrcd for such business or the Ucenso
covering collcct.Lni:r curios o.nd reILcs from
the Asslstnnt Rcstonnl Commll!Sloncr. A
iscpnrntc license must be obtained for
Clch business or acLlvlty nnd l'!l~h plnca
ot which the nppllcnnt l.s to do business
or conduct. coUccUng actMty. Such JI~
censa shnll. rmbJect to the provJslons of
the Act n.ttd other nppllcu.ble 1Provlalons
af !aw. entttte the l!!:cn~~ to trana;>::;rt,
ship, nr.d :receive nrcnrms and arnmunlLlon covered by such license In Lnter.stnoo
er forel!{n commerce, nnd lo engage In
Lhe busJness or acLlvity BJJOO!fied by the
l1censc. o.t tho locntlon dcscrtbect on tho
license, o.nd for the period stntcd on tho
license: Provided, '11mt It shall not bo
necessary for a. licensed importer 01' n
licensed mo.nu!ncturer to nlso obto.ln o

dealer's license In order to cnsnga 1n
business on his licensed prcmJses as a
cnr:mi::e In business, or who l1as not L rl)>'

submitted nppllcntlon !or rcne~\nl c
Is
previous license Issued under tMs J
shall, except n.s provided In pnrn1na,
(c) or this section, file wlth the Dlstl'iL:
Director for the Internal revenue district
dealer 1n the so.me i)lllC or firearms or

o.mmunltlon o.uthortzed by his license to
be lmp0rtcd or manufactured: Provided
fUTefter, That the payment Of the license In which the appHcnnt Is to <lo buslt1css
fee as an importer or mnnufacturcr of, on Rl>I>licn.tlon, Form 7 1 Firearms l, In
or a. dealer In, destructive devlecs nnd duplicate. The a.ppllcntlon, Form 7 cPi reo.mmunlt1on tor destructive devices In- arms), shnll include lnlonna.tion ns to
cludes the prlvlle~e o:f Lm:portlng, ti111nu the owne~sl11p or t11e business. ttic type of
facturlng or dealing In, as the case mny tlreo.rms or nmnnmition to be clcnlt In,
be, ft.rearms other tho.n destructive dc- the type of business ptcmlscs, the b11slvlccs lmd nmmunltlon for other them ne.s:; hours. the business history, nnd the
destructive devices by such n licensee at 1dentlty of the responsible persons In the
business. The n1lpllcntlon must be
his licensed prem!scs.
Cc> The collector llcensc provided by execut,cd under the pcnnltks of perjury
thls part shall npply only to tmnsnctlons and the penalties Jmposcd by 1a U.S.c.
related to a collector's nctlylty ln ncciuir- 024. The appllcatlon ~halt be uccom1ng, l1oldlng or disposing of curios nnd panied by the npmoprlatc !cc in the
rcllcs, A collector's license docs notll.U form or Ul cash. or <2> money order or
tl1orl:zo the collector to engage ln n check made paynblc to the Intcn1l\l
busEness required to be licensed under Revenue Setvlcc. Forms 7 CFircn1m5}
the Act or this po.rt. Therefore. 1! the may bo obtained from ri.ny Assistant
o.cqulslUons nnd dispositions or cur1os Rcgionnl Commisslonet or trom nny
11.nd relics by o. collccto:r bring the coL- Dlstrlct D1rcclor.
 Any person who dcslrcs to obtain
lector within the deftnltlon of a mnnu
facturer. Importer or dealer under thls tho pdvileE:es granted to u licensed colpnrt. he l!lhnll qun.llty cu such. <See also lector under lha Act nnd thJs part 011 or
after Lhe efillcUve dllte or this pal't, or
J 178.03 oC this part.)
who hos not timely submitted oppllcntlon
173.4-2 Llccn11c fees,
for rcmewnl of his previous llccnsc lssucd
E'B(:h o.ppllcant shall pay a. fee for und1:r this part: shall file with the Dlsobtn.tnlng a license. ll scpnrnte fee being trlct Dlrcctor for tho lntcmal ie~cnuo
required for each business or collectlng district 1n whlch t.hc npi>licnnt Js to cnoctLvHy at. ench plncc ot such busfnllss so.go In such activity cm npJJllcnLlon,
or 11cUvlty, as follows:
Fann 7 (Flre1ums>, Jn dupllcnte. The
Ca.) For B mnnufo.cturcr:
nppUcntlon. Form 7 <Firearms), shall
Cl) Of destructive dovlc('S or ammunl lncludo tn!ormntlon ns to the ownership
tlon for des~ructJve devlccs-$1,000,JJer of the nclilllity, the type ot i>l'cmiscs Lo
:year,
ba mnlnto.lned by the npplicnn.t for the
(2) Of fl rearms other than destructlva actlvltY', OlJd the ldentlLy o! the tcspondcv1ccs.-$5D i:ier ycn.r.
alble persons in the nctlvlty, The nppllcn<3> o.r nmmW11tlon for flreo.nns ot11cr tlon must ho execut.cd lUldcr t.hc penal&ban dcetrucUve dc111ccs-$10 per year.
ties of perjury nnd the r>ennlttes Imposed
Cb) For an Importer:
by 18 U.S.C. 024. The nppllcnt.lon shall
Cl> Of destruct!vo devices or ntnmUni bo o.ccompnn.led by o. $10 fee In the roi-m
t1on for dcstructJvo dcvJccs--$1,000 :per of (1) ca.sh, or l2) money order or check
year.
mado pn.yable to the Internal H.cvcmic
C2 > Of firearms other than dcstructlva Service. Forms 7 <Firenrms) mn.y be obdevices or nmmunlUon for firenrms other tained from o.ny Assistant Heglonnl Co111than destructive devJces.-$50 per yeo.r.
mtssloner or from nny DisLrlct. Dlrcctor.
Cc> For n dealer:
Cc> Any person holding n. 110.lld license
Cl) In dcstrucLl11c dcvfocs or ammuni- f~sucd purs:.i.nnt to the movj:>lons of the
tion for destructtvo devlccs-$1,000 per Fcclcrnl Firennns Act to mnnufncLure.
.year.
or deal In nrcn1ms 01 nmmunl{2) Who Is n. pa.wnbroker deallng In 1mp0rt
tlon for pJstoJs or revolvers mny continue
nreo.rms other than dllstructlvc devices to conduct such business under such lior ammunition for flrcnrms other tho.n cense until thn.t license cxplt'cs ucconldestructive devtccs-$25 per yenr.
1ng to tis teams, unh:ss that. license be
(3) Who Is not B dellJer ln destructive sooner tcrmlnnled pursunn~ to lllJJ>lkndevices or a po.wnbtokcr-$10 per year. bio pro11:tslons of law. If the holdct of 1L
'd> For o. collector o! curlos and license lssulld purstmnt to the lblctid Act
relJcs-110 per yen.r.
Intends to continue his n1ea1ms or 11111munltlon business following th<: cxptrn~ 178 ..t:
Llccmie rec not rduruluLlc.
tlon of such llcensc, he shnll comply with
No refund of nny pa.rt or the amount tho provisions eontalncd In rmrn~1nph
paid as e. l:tcensce rec shaU bl! tor.de where Cn) of this section prior to tile elmtrntlon
the opllro.tlons o! ihB licensee nre, fr.r of the period co\lercd uy U1c Uccnsc, and
any rcnson, discontln~l:!d dl!!'!.tl!r tho upon compUnnce \\:lth those Pl;Ol"i:-Jiuns
pcrlod o.r on Issued Hccnso.
.such nn applicant mny continue such
operntlotts as \Vere nuthorlzcd by his ex 173.4-i Original Jlcc1111ic.
pired llcemic under this f)n1t until hl:i
la)o Any person who Intends to cngnga
Iii business ns n flren.rms or nmmun1tlon appUcntlon Is flnnlly nctcd upon.
Importer, mnnufacturllr, or denier on or }78,15 (t11u1ornl or JirPll.P.
o.Ctcr t.~e errcctlvc dnte or thi.s part, or
Ir B licensee Intends Lo cuntlnur the
who hns not previously been licensed business or actlvity c.ICSCl'ilJcd on n license
Under Ulc provisions of this Pllrt to 50 1ssucd under th ls part du1l11g nny portion
flOEllAL REGISTER, VOL 33, NO. 217'-WEONESDAV. NOVEMBU 6, Hl6B
0240
422
RIF
0241

PROPOSED RULE MAKING
of the ensuing year, he shall, unless

otherwise notified in writlnir by the .A.s
slstant Regional Commissioner, execute
and fl.le prior to the expiration. of his
llcense an application for license renewal, Form 8 <Firearms> <Part 3). accompanied by the required fee. with
the District Director for the internal
revenue district in which the business or
activity ls operated. The ASslstant Re
glono.l Commissioner may, 1n wrltlns, require an applicant for license renewal to
also file completed Form 7 <Firearms> in
the manner required by I 178.U. In the
event the licensee does not timely ftle a
Form 8 CFirearms> <Part 3). hemust tlle
a. Form 7 <Firearms> as required by
178.44, and obtain the required license
before contlnulng business or collecting
activity. If a Form 8 <Firearms> CPart 3)
ls not timely received through the malls,
the licensee should so notify his Assistant
Regional Commissioner.
178.46
Procc1Jure b:r Dialrict Direclor.
UPon receipt of an application for an

original license on Form '1 (Firearms> or
an application for renewal of & license
on Form 8 <Firearms> <Part 3), accompanied by the required. f~, the District
Director shall deposit such fee and for
ward the license application to the .A.s
sistant Regional Commissioner. Where
an application is filed with an Insufficient
fee, the appl!catlon and any fee submitted shall be returned by the District
Director.
178.47
baunnce of licente.
<a> Upon receipt of a properly executed application for a license on Form 7

<Firearms>, or Form 8 <Firearms> .(Part
3>, the Assistant Regional Commissioner may, upon finding through further
Inquiry or tnvestlgatlon, or otherwise,
that the applicant ls entitled thereto,
issue the appropriate 11cense and a copy
thereof. Each license shall bear a serial
number and such number may be assigned to the licensee to whom issued for
so long as he maintains continuity of
annual renewal in the same Internal
revenue district.
 The Assistant Regional Commissioner shall approve a properly executed
application for license on Form '1 <Flrea1ms), or Form 8 <Firearms) <Part 3>, if:
 The o.ppllcant <Including, In the
case of a corparatlon, partnership, or
as:soclo.t.lon. a.ny individual l>OSSCUlng,
directly or indirectly, the power to direct
or cause the direction of the manaaement and policies of the corporation,
partnership, or association> ls not prohl blted from transporting, shipping, or
receiving firearms or ammunition ln lntersta tc or foreign commerce under the
provisions of the Act:
<3> The applicant has not willfully
violated any "If the provisions of the Act
or this part;
<4 > The applicant has not willfully
failed to disclose any material lnfonnatlon required, or has not made any false
statement as to any material fact, ln
connection with his application;
No. 217--4
<5> The applicant has in a State m

premlsea from which he conducts buslsubject to license under the Act
or from which he Intends to conduct
.such business within a reasonable period
of tbne, or In the case of a collector,
premises from which he conducts hJs
collecting subject to license under the
Act or from which he intends to conduct
such collecting within a reasonable
period. of time: and
<6> The applicant ls not prohibited by
the provisions of Title VII of Public
Law 90-351 <82 Stat. 236) from receiving, possessing or transporting firearms
In commerce or affecting commerce, 1f
the application ls for a license relating
to firearms.
<c> The Assistant Regional Commissioner shall approve or deny an appllca.tlon for license within the 45-day period
beginning on the date the application
was received by the District .Director:
Provided, That when an applicant for
license renewal is a p-erson who ls, purauant to the provisions of 1178.143 or
1178.144, conducting business or collecting activity under a previously Issued
license, action regardt.ng the application
wm be held in abeyance pending final
determination of the appllcant's criminal case, or final action by the Commissioner of an appllcatlon for relief submitted pursuant to 178.144, as the case
n~
may be.
<d> When the Assistant Regional

Commissioner falls to act on an application for Ucense within the 45hday
period prescribed by paragraph <c> of
this section, the appllcant may file an
action under section 1361 of title 28,
United States Code, to compel the
Assistant Regional Commissioner to act.
178.48 Corrcclion ol error on license.
<a> UPon receipt of a license ls.sued
under the provisions of this part, each
licensee shall examine same to ensure
that the information contained thereon
ls accurate. If the llcense ls Incorrect, the
licensee shall return the license, and the
copy thereof furnished with the Ucense,
to the Assistant Regional Commissioner
with a statement showing the nature of
the error. The Assistant Regional Comntlssloner shall correct the error, If the
error was made in his c:>mce, and return
the license and the copy thereo!. However. if the eiror resulted from information contained In the licensee's application for the llcense, the Assistant Regional Commissioner shall reQ.uire the
licensee to file an amended application
setting forth the correct information and
a st.a.t.ement explaining the error contained in the application. Upon receipt
or the amended application and a satls!e.crory explanation of the error, the
Assistant Regional Commissioner shall
make the correction on the license, and
the copy thereof, and return same to the
licensee.
 When the Assistant. Regional
Commissioner finds through any means
other than notice from the licensee that
an incorrect Ucense has been issued, the
Assistant Regional Conunlssloner may
require the holder of the incorrect licel'l.'3e
to <lJ return the license, and the copy
16291
thereof furnished with the license, tor
correction, and <2> if the error resulted
from information contained in t.he licensee's application for the license, the
Assistant Regional Commissloncl' shall
require the licensee to ftle an amended
appllcatlon setting forth the correct lnrormatlon, and a statement cxplalnlng
the error contained in the application.
The Assistant Regional Commissioner
then may make the correction on tne license and the copy thereof, and return
same to the licensee.
178.49
Dura1io11 or li1e111<r.
A license shall not be issued !or a

period of less than l year. The license!
shall entitle the Pe!"son to whom Issued
to engage in the business or activity
speclfled on the license, within the l!mltatlons of the Act and the regulat.lons
contained In this part, !or the period
stated on the license, unless sooner
terminated.
178.50
Loc111inn" 1overed liy liten1<>.
The license covers the class of business or the activity specified ln the 11cense at the address described therein.
Accord1ngiy, a separate license must be
obtained for each location at which a
firearms or ammunition business or
activity requiring a license under this
part ls conducted; however, no license is
required to cover a separate warehouse
used by the licensee solely for storage of
firearms or ammunition I! the records required by this part arc maintained at the
licensed premises served by such warehouse: Provided. That a llcensed collector may acquire curios and relics at any
location, and dispose of curios or relics
to any licensee, or to other persons who
are residents of the State where the collector's license Is held and the disposition ls made.
178.51
l.icen~e
not 1r1111,.r1ruhlc.
Licenses issued under this part arc not

transferable. In the event of the lease.
sale, or othc1 transfer of the operations
authorized by the license, the successor
must obtain the license rcQulred by this
part prior to commencing such operations. However, for rules on right of succession, see 1'78.56.
178.52
Ch1111irn uf nclclrrN~.
A licensee may remove his business or

activity to a new location v. lthout procuring a new license. However, In every
case, whether or not the removal ls from
one lntcrnnt revenue rcl'Jlon to nnother,
notification of the new location of the
business or act! vlty must. be given not
less than 10 dn;i.s prior to snch removnl
to the Assistant Regional CommisRioner
for the Internal revenue region from
which or within which the removal Is to
be made, and the Assistant Re(Jlonnl
Commissioner for the lntcrnnl revenue
region to which tile removal ls to be
made. In each Instance, the license 1111d
the copy thereof furnished wiLh the license must be submitted for endorsement to the Assistant Rcgiorrnl Commissioner having Jurisdiction over the internal revenue region to which or within
FEDEaAL HGISTElt, VOL. 33, NO. 217-WEDNESDAY, NOVEMIEll 6, 1961
0241
423
RIF
0242

PROPOSED RULE MAKrNG
16292
removal is to be mnde. After en
doraement or the llccnso and thB cow
't.l1e1-eo! to show the new add.re.s.s, and tho
new license number, 1t any, tho A!sl.stu.nt Regional Contmissloner will retw:n
&lllllO to the licensee.
173,53 Clumsc in lrQdc nnme .

A llcensro conLLnulng to conduct" bWll
ncss at the location sl1own on ti.Ls llceoaa
is not required to obtnln a new llcense by
l ~ason of a mere cho.nge in trnde name
under wblch Ile conduct! hl.! buatness!
Proutdcd, That such. Uccnsco turnlshea
his license ror endorsement of euch
change to the Assistant Regional Commissioner for the internal revenue reslon
ln which the llcenscc conducts hie bust-
ness within 30 days from the do.te tho
licensee beglns his business under tho
new trade name.
~hlcb
178.Si
Change of control.
In the co.se or a corporl'Ltlon or n.e.soclo.tlon holding a license under tws part,
It actual or legal control o! the eorpo-
ro.tlon or assoc1o.tlon chanses, directly or

lndirectly-, whether by reason of change
ln stock ownership or control C!n the
licensed corporation or 1n any other corporation) , by opcrotlon.!1 ot law, or in
o.ny other manner, the l!censce llhall.
within 30 days o! such change, gL11ewrit-
ten notlftcnUon thereor, execute<3 under

the peno.tttes o! perjury, to the Assistn.nt
Reglono.l Commissioner. - Upon explro.
t1on or tha llcensc, the corporation or
e.ssoclatton mu.st. fllo e.Fonn 'l (FJren.nn.s>
as required by I l 78.44.
173.SS C.ontl.nulng par1.ne11hlp1o=
Where. wider the lo.w11 of the par
tJcula.r State, tho pnrtner.&hip i.s not termlno.ted on death or 1.ruolvenc;v of a
pa.ltner. but. continues until the wind
fng up of tho po.rtnershlp de.lr11 :i1J coin
pletcd, and the surviving .]:lartI:ler has
the exclusive right to the control and
possesslon or the po.rtnershlp n.s.seta for
the purpose or Urtutdat1on nnd !!ettle
ment, such flurv1vlng partner may con
tinue to operate the business. under the
Ucense or the partnership. U e.uch. survLvJng partner o.cqulrea the 'business on
completion o! the settlement al the partnership. he eiball obtnln o. license 1n lilil
own name rrom tho date o! a.cciuJsltlon,
rui provldcd In 178.44. Tberulci set !orth
In this section shall nlsa a.ppJ.y where
there Is more thnn one sur:vivlnS" lJnrtner.
178.SG Hicl1t 0 uccc111loR b1 cerl11ln
IJC!n50flll.
" <n>
Certnln persons other than the

llccnsce may secure t11e light to carry
on tho snmc Orcn.l'Jll8 or ammunjUon
busln~ nt the snme address shown on,
ruid !or the remainder o! the term or.
a current llccnsc. Such pe.rsons n.ro:
<l) 'Iho surviving spouse or child, or
exccut.or. ndmintst.rator, or ether legal
reprcscntntlvo of a. deceo.sed llccnsee:
and
<2> A rec.elver or trustw In bll.llkrup ooy, or an ossignce !o't' benefit o!
credltom.
(b) In order~ .secure th& tight provided by this section, the person or persons contlnulng the bUBlnCM shall fur-
nlsh the license for thn!; business for decision confirmlna or rcvelsEng the
endorsement of rruch. succes.slon t.o the dcn1e.1 ot the nppUca.tlon. If I.ho decision
As.slsmnt Regton11l Cotl'Unlssl.oner tor the i.'I that tho deninl should stnntl, n cerll
internal revenuo reglon 1n which the fled copy of the Assistant Rcalonn.l Combusiness 15 conducted wl.t.hin 30 dn:rs mlsstoner's tlndtnr;rs nnd coneluslons
from the dato on wh.kh the succe~or be shall be furnished t-0 the nppllca.nt with
o. fl.nol notice cif dcninl, Fonn 4501- A
~ to. carry oh the business.
copy or t.he application, marked "Dis 178.57 Diecontlnunncll or bu.lne11o
approved.'' will be returned to the nppllWhere a. ftren.rm or o.mmun1Uon busl- co.nt. If the dcc1sion Is t htl.t the llce:nsc
ncss 1s either disconttnucd or succeeded applied ror should be issued, tllc nppl!by a. new owner, the owner of tho bu.o;t- cant shnll be so notlflcd, tn wrlttrlg, nnd
ncss d.lscont.tnued or succeeded shall tho Uconsc shull lte Issued ns provided
witb.Ln :30 days thereo! !um1sh to the A!l by 176.47.
slsto.nt Rcgtono.l Comml.ss1oner for the
Noti~c of co111c:m11lnLccl r,<>
. :internal :revenue relr.lon in which hls fj 178.73
ca lion.,
bustne:Ss wns lOCllt.ed notillco.ttcn or the
Whenever tht? Asslstnnt Retiionnl
dlsconUnuance or succession. <See also
Commlssloncr hos rcnso11 to believe tlln.t
1'16. 127.)
n. licensee has vlolnled nny provision of
~ 170.SB Sw1e or otliC!r l 11w
the Act or thls pl\rt, he may 1ssuc a.
A l1cense l.ssued under th!s po.rt. con- notice, on Fann 4409, or contemplntcd
fersno r:lght or privtlei;e to conduct. bust- revocation ot the license, "!"he not.lee
ness or activity contro.l'Y tn Stnt..e or other shall set 1o1Lh the mn t.tcrs o! fact conlnw. The holder or such 11 license is not stttutlnr; the \'lointlons s(.)ccif1cd, dates.
by reason of the rl.ghts and prLvilcEJC! places, anrl the sections or la.w nnd 1egugrantcd. by thn.t lleenso Jnmt.ma from lntlons \'lol11tcd. The Asslstnnt Rcglonnl
punlshment for operating o. firearm or Con1mJssloncr sh111l nflord the licensee
ammunition business or nctMty 1n vfo~ 15 d11ys from the date of rc.celpt. or the
lation or the provisions or any State or nollcc in whlch to request a. hcarln~
otber lo.w. Shnilla.rly. compllo.nco with prior ta rc"ocrit.lon of tho license. rr the
the provtslons or any Sta.ta or other law_ llccnseo does nnt me a. timely icqucst for
afi'ord3 no 1mmun1ty under Federo.l law a. hearing, the As:;!stn.nt Rcgionnt Comor regulatiow.
rrusstonor shall lssue a. not.lee of rcvoca-
Subpcrt E-Llccnso Proceedings

l7D.?l
DcnJnl of an. n11plicnllon for

Ucensc.
Whenever tho A.sslstn.nt Regional

commtssloner has raa.son to believe that
an oppllc:a.nt ls not cllglblo to receive
nllcense under the tirovlslo:M o! a178.t'T.
he llUl.5' 1ssue a notice of denial, on Forni.
4499, to the n~pllcant. '1110 notice sho.11
aci. fortb tho mnttcrs ot !net and law
relied upen 1n detcrm.ining thnt the apPllco.tlon should be ClenJcd, and siiall nrford the applicant 15 da.ys !rom tha do.to
of receipt of the n.otlca in whlch. to reciuest a. hearing to review tho denJal. I!
no rcQucst for a heQ.rlng Is filed within
such time. the o.ppllcat1on shall bo disapproved n.nd a copy, so mlll'ked, sho.11 be
returned to the applicant.
,
17D.72 IlculnG alter Ppplicaalon de
nlo.I.
:U the appUcant for an orlginnl or l"Cnewal Ilcense desires. a. bearing to review
the denial of his appllcnt.lon he shall
tlle ll. request therefor, In duplicate, wJth
tlon, Form '11500, a.s tm>vlded In
178.74.
178.74 fC-..q1c11t for ht<ari11i: 11r1~~r 110tico of con1cmpli11cd rc"o~n1ion.
H a licensee dcshcs a hca11ni: pursuant to receipt or ll llOtlce or contcmplo.tcd

revoca.tlon or his license, he slrnll me
o. request t.l1ereror, tn dupltcntc, with the
Asststnnt. Rcglonnl Commissioner within
15 days alter l'ecelpt of tllc notice of
contemplated rcvocntton. On receipt
thcreo!, tho &slstnnt. Rcglonnl Commisaloner Bhnll, ns expeditiously ns possible,
make tho necessary 111mngcmcnts for
- tho hcnrJng n.nd ndvisa t11e licensee o!
the dare. time, local.Ion and the nnme
or the officer before whom the henrlnr,
will
held. Such no~lficaUon shnll b~
mnde not less tlmn 10 dnys tn ndv11ncc
of the dnt.e set for the hcnrl ng. On concluslon of the hearing nnd consldcrntion
of all rcle11nnt prcscntallons mndc by the
licensee or his represcntn.t.lvc. the Ar:;slstnnt Rci;:lonnl Comm1sslancr ~hall
render his decision imd stui.11 1ncpmc t~
brlor summnry o! the nndl111~.s o.nd conclustons 011 Wh[ch Lhe dcdst.on ls ba:;ccl.
If the dcclslon ls that the Ilccnsc should
be revoked, n ccruned coi,Y of the summnry shall be furnlshel.l t.o the l1ccnscc
wnh the notice of rcvocn.tian on Form
4500. If tho decision Is llmt. the license
should not be ievokcd, the Uccm;ec .shnll
bo so nottned In wtithl!Ifi 178,75 11eUrill~ uf(cr l10li1e or rC\U
be
the Asslstnnt Reglonn.1 commissioner

wltbtn 15 dnys after rcccl1>t of tho notlca
o! den1a.l. The request should include a
stn.tcmcnt of the rcnsons therefor. On
recclf.Jt o! the request, the Asslstu.nt Regfonal commlssloner shall, 65 expcdltfously a.a possible, ton.kc the necessary
arrongemcnt.s fOf the hearing a.nd l'J.dVlfle
the ap_pllcnnt of the date, t.tme, locatton,
cution.
u.nd the name of the omcer be!ore whom
(n) No Jicar110 held Jlrior to 1wlicc of
the hcD.rlng will be held. Such notlflca.- revocation, It the licensee dld not rcoue!it
Uon shall be made :not icss thWl iO days fl hcurlna on receipt or the tiotlcc or cnn~
In advance of the da.te set. for the ht.'ilr tcmplated revocnllon of his llccnst>,
lni;r. On conclusion or tha hearJng Bnd
consldcro.Uon of o.lt rclcvnnt fn.cts and Fonn 440!1. but docs me 11 llmcty l'CC]lll'!>L
c1rcumstnnccs presented by the applt for o. hco.rlng D.gcr bring secvcd Lile
cant or his rcpresontn.tlvc. t.hc Asslst.ant notice or :revocation, Form 4500, the
Regional Commtsstoner shnll render his Assistant Reslonnl Commlssloner sllllll
FEDERAi. REGISTEll. VOL 33, -NO. :I !;'-WEDNESDAY, NOVEMBER 6, 1968
0242
424
RIF
0243

arrange for, nnd conduct, a. hearing 1n ahn.ll tnclude a statement o! Ute flndJngs
the mnnncr prescribed in 1176.74, exec.Pt and conclusions upon which lt is baaed,
. that the place of hearing w111 be deter including hls rullng on ench proposed
mined ns provided bl( I 178.81, U, after flncUng, conclusion, nnd exccptlon to tho
hearing, the Assistant Rtglonal Com-. examiner's recommended dcclslon, tomissioner Is still or the opl.n1on thnt tho gether wlth n statement of his findings
license should be revoked, ho will serve nnd conclusions, and reasons or basts
final notice of revocation, Form 4501, on therefor. upan all material ls.sues of fact,
the Ucensce, with 11. copy of his flncUngs lBW, or dlscrctlon presented on the record.
and conclusions. I:! he decides thnt tho A signed duplicate orlglnn.l of the declllcense should not be revoked, h0 will so slon shll.11 be served on the licensee nnd
notify the licensee, in wrltlni.
o. copy contnlnlng certifica.te or service
 Hearing hclcl pror to notice o/ shall be retained by Ute Asslsto.nt Rerevacat101t. If a hen.ring wn.s held prior glona.l Commissioner fpr hls files, and t..he
to notice of revocation. Form 4500, nnd original eh11ll be plnced In the officio.I
the llccnseo files n timely requeet tor a record of the procccdlng.
hcnrlng n!ter receipt or o. notlco of revo- 178.79 Service on 11ppliconl or llce11Hcc,
cntlon, the Assistant Reglono.1 Commissioner sliall refer the matter to the hearAll notices and other tormo.l documcnts required to be served on e.n o.pplll ng exam1ncr, appolatc d und er 5 U .S.C, co.nt or licensee under this subpart aha.II
3105, designated to preside over such
hen.tlng. The exnmlner eho.ll set a time be seaved by certified mall or by personal
.i
I
i
dellvery. Where service ls by certified
an1.1 p nee or the heat1nir and sho.I1 serve mall, a. signed dupllco.te orl"inal copy
notice thereof on the licensee and the
"
Assistant Regional commissioner nt or the !01mal document shall be malled,
Jenst 10 dnys in advance of the hearing with return receipt requested, to the update. Suck\ hcnilng shult be ~ond\aeted plicimt or licensee nt the address stated
under the ap)lllcnble provisions ot Part in his ll.l>Plleatlon or license, or at his
Inst known address. Where service ls by
200 ot t. hi s chapter, inc l u di ng those wit h personal delivery, a signed dupllcnte
respect to stipulations nt hearings, evl- original copy of the fotmal document
dence, and closing of hcarlngs,
shall be dellvcred to the applicant or
178. 76 ltccommendctl dcd1ion of he.or licensee, or, ln tlm CILSC of ~ co1pora.tlon,
111~ e1rnmincr.
pmtnershlp, or assoclntlon, by dellvcrWlthln a iensonnblc time after the Ing it to nn officer, mnnngcr, or ccneml
conclusion of a hcnrlng held as pro- agent thel'eof, or to Its atto1ncy of record.
vidcd in D 178.75, and as ('Xpeditlousl,y as l 78,80 Itcprcscnaaliun ul 11 hearing.
possible, the examiner shalt render a
recommended decision, such dec1slon
An appllcnnt or licensee mo.y be repshall become a part of the record and, resented by cm attorney or other person
It proposed findings and conclusions recognized to ptactlce before the Internal
hnve been tiled, sbo.11 show the exam- Revenue Service as provided 1n 31 CFR
lner's ruling upon each of such proposed Part 10 <T1easu1y Department Clrculo.r
findings and conclusions. Dr:clslons shall No. 230), If he has otherwJse complied
consist or <s> a brle! statement of the with the hPJ>llcnblc rcqulrements of
Issues or tac~ Involved in tl:e proceed- ID tiOl.521-601.527 or this chnpter. The
tng; Cb) the examiner's findlnsa and Assistant Rcglonnl Comm1ssloner may
concluslonEI, ns wen D.5 the relll!on.s and be represented in Proceedings under
basis theLeror, upon all the material D17B.76Cb> by an o.ttorney In the office
Issues of !net, law or dlsc1etlon presented or the reglonul counsel who la authorized
on the record; nnd <c) tho examiner's to execute and file motions, briers and
recommended determination on the other papers in the pmccedlnfI, on berccord.
hn.lf o! the Assistant Heglonal Commissioner. In his own nnme ns "Attorney tor
173.77 Ccr1ificu1io11 and lrn111mlt111I or the Government."
record 111111 reco111111cndcd dccl11lo11 10
Uircclor.
l 76.81
De~ii;nnltcl
JJluce of hearing.
The designated pla.cc of hea1111g shnll

Arter 1encl1ini; hJs decision, the exam
iner shalt certify to tho complete record be such as meets the needs or the pnrtles:
of the ptocecdin" beforo him nnd ehnll Provided, That nny hcnrlns held arter
lmmcdlntcly forward It, torether with notice or cont.empln.ted revocation but
two copies or his recommended dcclslan, prior to the notice o! revocntlou sho.1J hP.
to the Director. nud will forward two at the office o! the Assistant Regional
copies of his recommended decision to Commissioner.
the Asslstnnt Reglont1.l Commissioner Co1 178.82 011er111iu1111 h7 licento1c<'ll ofter
hls files.
1101ice,
l 73. 71l Dcd11iu11 or Direelor.
In atlY case where denial or revbcntlon
IC, After considemt.lon o! tho reco1d proceedings arc pending before the Inand the recommended decision of the ternal Revenue Se1vlcc, or notice of
examiner, the Director shall approve or denlnl or revocation has been served on
disapprove the findlmrs. eoncluslon. and the licensee nnd he has flied timely rcrecommended dcc!s!cn cf the exnm!ner. Qucst for a l1cailns, the Ueeusc 1n. the
nnd he shnll direct the Assistant Re- possession of the llccnscc ahnll remnln
cionnl Commissioner to isSuo o. final In effect e1cn though <o.> such license
notice of revocation on Form 4501; or to has expired or (b) the revocation date
ln!oam the licensee that the license shall spccitlcd in the notlce ot revocation on
remain In effect. Any decLslon of the Di- Form 4500 served on the licensee hns
rector for the rcvoca.tton or a license po.sscd. If a licensee is dissatisfied with
n postllearlng decls1on revoking the license or denying tlle appllcutlon, as the

<:use may be, he mny, pursuant to 18
U.S.C. 923Cfl <3l, wit.hin GO days nHer
receipt of the nnnl notice dcny1t1r;: the
appllco.tlon or revoking the license, me a
petition for Judlclnl review of sucl1 action. Such petition should be filed wlllt
the U.S. district cou1t !o1 the district.
In which the applicant or llccnsce resides
or has his principal place of business.
In such case, when the Assistant Rcglonnl Commissioner finds lhnt justice
so requires, he may CU postpone the cf
tcct.lve date o! revocation of a llccnse or
<2> nuthorlzc co11t1nued opera.lions under the expired license, ns nppllcnble,
pending Judlclul review.
Subpart F-Conduct of Business

178.91
l'u:.tini.: of lil'l.'ll~l'
Any license Issued under this pnrt sllall

be kept posted nnd kept. nvallnble for
inspection on the preml!lcs covered by the
license.
17ll.92
lcl..-111ifhntio11
or linurm~.
Ea.ch llcenscd mnnulacturcr or llccnsed

importer of any firearm mnnufnctured
or impo1tcd on or ctftcr the eliectlve date
o:! this pal"t shnll legibly Identify cnch
such firearm by cn[!rnving, cnsl111g,
stamping <lmprcsi;lng), or otlwnvlse conspicuously pll\cing or cnusing to be engmved, cost, stnmpcd <Impressed) or
JJlnced on the lrnme or receiver thereof
In a mnnncr not susceptible of bclni.:
rea.dlly obllternted, ultcl'cd. or iemo\cd,
Cn.> nn lndhldunl serlnl ntunbcr not duplico.tlng nny serial number plnced by
tho manu!ncturcr or Importer on nny
other flre11rm, (b) tile model. IC such cleslgnatlon has been rnndc, lcl the cnllbcr
or gunge, Cd) the nnmc lor recognized
abbreviation of same> of the manufacturer nnd nlso, when nppl!cnble, or the
1mpo1ter, <el In the case of n domest.lcn.lly mnde firearm. the city nnd State
<or re-cognlzed nbbrcvlnllon tllcrcon
wherein the licensed manufacturer
malnlnlns his place or business, nnd ( f)
in the case or nn lmportt'd firearm, the
name or the country In which manufactured nud ihe city and Slate 'ur
recognized n bbrc\Jnllon thl'reof 1 of the
importer: Protiide,l, That tile Dh'cclor
mny authorize othel' Jnl'nns of idN1 tlficatlon of tl1e !Jcenscd manufHclllrl'r or lJce11sed importer upon recPiJlt uC IL' l Ler
ltl>Pllcnllon, Ill d111>llcate, from :wmc
showing- l:\:-o. such other tdcnllflc;ati<111
ls reasonable 11 ... ! wl!l nol hindtr Liu t'ftectlve ndmlnlstrn tlan nf Lill:; part: 1'10vldcd. further. Tliat In lw .._;1 ~c of a dPstructlve device, the Dlre::tor 111ay nu-
tho1lze other menns of lctcntifylni.:- th:il.

weapon Won l"t'ceipt of lcttcr npplllntlon, In dup!lcntc, from tl1e licensecl mnnu!ncturcr or Hctntltd Itnportcr .show nu!
that cngmvhiJ.!, cnslinJ.!, or stnmpin!J
1 irn-
p1cs..-;!11gl sucll a we;ipon would be dnngerous or lmpractlcablc. A firennn frn11w

or receiver which is not n cotnpunen L
Jmrt of n co11111Jcte weapon l\t tile time
it ls sold, shipped, or otherwise
dispo~td
fEOERAL REGISTER, VOl. 33, NO. 211-WEDNESDAY, NOVEMBER 6, 1968
0243
425
RIF
0244
., ..

16294
of lby a licensed mMU!ncturcr Of licensed ~l:llall be pn.ld by (l) ~a.sh. Or C2} money o.nd whoso rifle or 1;1loti:::un has I.Jeon los~
r.Jrder or check mado pa.ye.bla to the In- or atolen or hns become ioo1>crn tlve In
the State In whlch the licensed denier's
bf this uctlon.
tern.al Revenue Service.
premises ore located, Lr such person pn.~
170.93 Authoriu-11 opcrnllom L1 lJ.,- 118.96 Out-of-Stale and mall order sent.a to the Uccnscd denlcr o. swom
ccm1ed coJleclor.
J
. .la.
. statement, 1n duplicate, (1) Umt his rltlc
Tha bccnse 1.ssued to a eoUector ot cu..
Ca> The prov1s1ons of this section shn.ll or .i;hotgun wns lost or stolen or became
rlos or relics under the p:rovlsloU5 of thb JIPPlY 1.n any ca.:ie where n :fircn.nn pur- Inoperative while parLlclpn tine in sttch
part shall cover only transactions by tile ~based by or delivered to the person so n. match or contest. ot whJlc cni::ngcd In
licensed collector tn curios nnd rcllca, receiving tho firearm ls not otherwJso huntlng, ln the Sta.le 1n which the Hcenscd denier's business premises arc
The collector's license js o! no force or prohlblted by the Act or this pnrt.
ecre-ct and o licensed cotlcctor 1s ot the
 A lfi::cnscd :tmporter. llccnscd m.o.n- located. (2) scttlnr::: forth the nnme und
samt> stn.tus under the Act e.nd th!! pa.r:t u!acturer. or Ucensed denier may sell a nddress or the onrnnlzcd rtno or shotrrnn
R8 a :non.Uconsce wltb respect to <a> 11.ttY nI'earm to a person who docs not. appear match or contest, or the nnturc nnd locnocQu1e1tion or dlsposltlon ot ftrearml!I er in peraon .o.t the Uccnscoa bu.elnes.s prem- tlon of the hunting, nnd the CircumrunmunJUon other than curios or rellu, !sea U such person C1> Is a resident oUhe stances surroundini:r the nrcnrm's loss
or nn;r tranapartaU;..n, 11h1pmcnts, or re- same Stnto ln which the llooruee1i,. busl- or theft, or the rcnson why the nrc:um
ce1pt oC firearms o:.. nmmunltlon other nc.M prcm!se111 nre located, nnd. (2> such ha.s become lnopernLlvc, nnd <3> idcnthlln curLos or relics in intarstnte or for- JJCrson submit.a to the licensee tl1e ftre tlfylni:r the chief lnw enrorccmcnl:. omcct
elsn com~ercc, nnd Cb) e.ny transnct.lorui arm.s tramactlon record, Form 4473, re- <sheriif, chief of t,olicEJ, or police im:~
with nomlcensc-cs tnvolvjng o.ny tlrennn11 quired by 1178.124, Tho pcreon purcho.a- clnct captain> or the locnUty 1n which
or ommu.nltlon other tlinn curios ot ing the nreerm shn.11 attach to aucn rec- suc11 person ?csldcs. Immedlo.tcly upon
reUcs.
.ord a tru& copy of any permlt or other delivery of the rlfle or shot.Run to such
1nformntlon required pursut1.nt to lUlY' person. tho licensed dealer shnll tol'wnrd
Cl 171);,94 Sulc or dcU~cdct. between li statute of the Stat.a and published ordl n copy o! the sworn stntcmcnt, by rctrlsccnscca.
nn.nce appllcable to the locnllt.y 1n whkh tcred mail, to tho chJef lt1.w enCorcemcnt.
An 1rr '.>ttcr, manutadurer, dealer, or he resides. Tbe 11eonsce ahn.11 Cl> prior to officer numed by such person. Tim
c:ollector oclll.ng or o~henvli!e d.JsPOfllllG shipment or delivery of the Orccinn to licensee shnll rctnln the orlclnnl sworn
or firco.rms or nmmuul~lon to another u- such purchnser. forwnrd by registered or statement, .nnd evidence of delivery or
censoo shall ve11!y tl1e Wentlty and ll certlflcd mall <return recclpt requested> the copy thereof to I.he chief lnw enCorccc::cnsed status or the tra.nsferee. Such llo copy oC the record. Form 073, to the ment officer, n.s o. pnrt ot the 1ccord:1
vcnflcatlon shall be cshbllsbed by the chief Jo.w en:rorccc1cnt omcer named on :tequlrcd of him under Subpurt li or this
t:ni:n:i!ei'co furnJshlng ~, tho trll.IISferor such iccord by the purchaser. and (2) depart.
e. <:crl"lficd copy of th<1 tran.slercef.& 11- lny shipment. or delivery of the firen.rm 170.97 l..01111 or rc111al ut fir1:ur11111.
ccnse e.nd by such oU:er menm as the to the purcha!Jer tor o. pcrlod of at lenat
A licensee rnay loan or rent 11 f11e1um
tra:mi!eror deems neceesary. Each trane 'J days !ollowLng receipt by U1e Ileen.see
fcrca .&hall obtllln 11.nd lot mnke a eerti o! m the rat.urn rccelpt evidencing to any person for tempomry us!'.? for
ned copy or hls llccnsi ror such use lllU'-- delivery of tho copy of the return. Fonn lawful :;porting purposes: Provided, Th11t
4473. to such chleC 111.w enforcement om- the delLvcry of the :Orenrm to such persull.11~ to 1178.95.
cer, or cm the return of the copy of the son l.'f not prohibited by a 17B.99Cb) or
fi 178.95 CA:!rlllioocop,.ofUccnac.
return. Form. -44'13, to hhn due to tho I 1'78.99 Cc>. and the llccJJsec records such
En.ch person llcen;.ed under tho provi.. refusal of such chJef law enforcement lonn or rcntnl tn tile records required to
slCJ:tl3 or this p.o.rt ah11ll be furnlshed to- omcer to a.cccpt11amc 1n accordn.nce wlth be kept by hltn under Subpart H a! this
gether wttb his license a copy themot tor lf.S. Post omce Department :reitJ]atlons. po.rt.
hlJ certlflc.o.Uon. II. ISUCh. o. pcl'$0n de :the orlatnal record, Fonn 44'73, and eviSnlc1 or 1lclJvcrlC'11 ol dc11tr11~.
11Jre1111.n Jlddltlon11l copy or bb Jlcell!o:t'o:r dence of rcceJpt or rejection of delivery of 178.96
I.Ive dcvice11111d certain lirc11nn11,
cert1.ncat1on nnd for u.sa pursuen~ to the copy ot the return. Form 14-13, sent
Tho snle or delivery by n. licensee ot any
I 178.!a4, he shall:
to the chlet low enforcement omcer shall
Mn.ke a reproduction of tho cop;y be retotncd by t.he licensee M a part of dcstructlvo device, mllchlnc gun, shortbo.rreled
shotgun, or shor~-bnrrclcd rlnc,
ot JljsJ1consc and execute sn.mo. or
the records reQujred of him to be kept
CbJ Mnkll! a r,eproduct.lon of his 11 under the provlslons o! Subpart H of this to any person other thnn ~mother Uccnscc
who ls Uccnsed under thls part to recense. and, IC a11 indJvfc!ual. tmter uPOn part.
ceive such device or firearm, ts r,rosuch reproductlr.n the statement: "'I cer(c) A licensed imPortcr. llccnsed mmntlry that; this reproduct.1on ls a true &nd. u!octurer. or llcensed dealer, may sell or hlbltcd unless the person to recelvc such
correct ieopy of my llconse."' and slgn his dellvcr a rJfle or shotgun Cu. Hcenacd col~ dovlce or .firearm hns In his possession n
name adjacent thereto, or, 1! tho ncene lcctor m11y sell ot' deliver a rifle or shot- sworn statement, ln triplicate, cKccuLcd
has been Issue<'. to a. corporation or other iWl only lf lt Is n. curlo or rellcl to o. r!lsl- by tho chief lnw en1orcemcnt. officer
bWiiness cntlt:,. n person authorized to dent of a Slate conUguow to the State 1n <she1JIJ, chlef of police, or police precinct
nct;-on behalf c.r such corpoiauon or other which the Jfconsee'a plo.cc or buslnes.s Is . capto.ln> of the location wherein such
buslm:ss flntlL'I shall enter upen auch re located It the purchnser's St.nte of resi- person resides, nttcsUng tlrnt en> Lllcrc
production th a st11tcmcnt: ''I certify tho.t dence penn!ts such snle or deltvery by ts no :provision o! lnw, regulation or orcUth!s :rcprodur tton Is n truo nnd eorrE?et law. the sale fuJJy complies with lhe legal nnnco which would be vlolntcd by such
COP?r" or 1.he Ucense issued to this busL- -:ondltlons of sale in both such contlgu- person's rccchJt or po:;..;csslon thcruof.
nc.ss." and sJgn his name and t1tle ndJa OWI st.o.tcs, ELnd the purchaser nnd tho and thnt such chic!! la.w enforcement.
cent thereto, or
Ucensca h11.vo. prior to the sn.Le. or deliv- officer is sntlsfictl thnt <D the rccclpt. 01
(cl Submit a rcQuest. ~n wrUlng, tor ery ror s.o.lc, or the rifle 01 ehotQ'UJl. com possessLon of the dt:st1ucLLve device. mng,ddUJonal c:mlcs or his license to the &- plJed with all the i:equlrcmcnt.s of cblno gun. 1Sh01t.-bnrrclcd shotgun. 01sis Lant Rc~ionnl Commissloner tor tho 1mrnaraph Cb) of this section nppllc.o.blo Bhort.-bnrrelcd rJfic fa Intended tor lawInternal l:'e1enue region in which tbo li- to lntrnstatc transactions occurring on ful uumoses by the llflrson pmchnsh1g 01
cense was Issued. The :request shnll ect other thnn the llcensce111 business oUmrwJsc ncquhinc such d1wlcc or v.:c:upon, and (2) there ls a rcnsonnblc uccc.srorf.ll the r:runc, trade nnme (If nny> aruf premises.
nddrc.ss or the Jlcensco. amt tho numbei:
Cd) A licensed dealer mny ecll to any slty Cor such person to 1m1chm;e or otheror copies or the lfccnse desired. There P!lrson who la & resident ot I\ Stnt~ other wise acqulre the devlco or wcnpon. and
E!ho.!l be- l 1npo.~md a fee o! $! !or e=.c!: t1:m.n the Sta.to in Which ihc iLcen.scd <3> that; such pc:rson's rocci1,t 01 ponsescopy o1 B l1cense Issued by the A!slstnnt detilers premises 11rc locaLcd, and who is slon of the device or wcnpon would not Lie
R<!sJonai Commissloncir under the pro- po.rtlclpnting ln .o.nY organized rine or 1_nconslstcnt wlU1 pnbllc snfcly. Such
vislon.s or this pn.ro.gra.ph. Fee pnymcn.t. 11hatglUl match or cont.est, or Is engaged sworn stntcmcut shnll be dlsll'lbukcl In
slm.U ace ompony cnch .such request tor !n hunting, ln the State in whJeh t.he acc:ordnnce with the pzovislons conta.lt1cd
nddU!llnial copies o! o license. such !ee Uccnscd denier's premises arc locll.ted, in Vnrt l '19 or this chnlllcr, Mnc:hlnc
.lmporCcr. shall be ld.enW!cd a.s required
Ca'
fEDEAAL lEGISJU, VOL 3 J, NO. 217-WEONESOAY, NOVEMBER 6, t 961l
0244
426
RIF
0245

, PROPOSED RULE MAKING
Ouna and Ccrta.ln Other F.trenrms. Tlle

sl\le or delivery of the devica or wea.pan
sl1o.U not be mo.de until the appllca.tlon
for t.ro.ns!er ts e.pp1'0ved by the Director
r.nd returned to the licensee Ctranaferoi:_).
o.s provided In Po.rt 179 of th.15 chapter.
178.99 Cirlt1in 11rohil1ilcd salct or de
Uwcrie..
<n> A licensed lmportcr,
position. unless the 1mparter, rnr:mufnc

. turcr, dealer or collector knows or ho.s
reasona.ble causo to bcl!eve tho.t the pur
cbaso orpos,sesslon would not be In viola.ti.on cf such State law or such published
ordlno.n.ce.
(C) A licensed Importer. llcensed mo.nufacturer, licensed dealer, or llccnsed col~

Jector ~all not sell or ot11erwloo dl.5tloso
of any firearm or amtnunl tlon to any
person knowing or hn vlng teaoono.ble
causo to believe thnt ~mch person (1) fB
except a.s provided Wldcr l '18.143, under
indictment for, or, except ns provided
under 1178.144, hM been convicted 1n
any court of a crime tnm1shnble by Im
pr1Bonment !or o. tcnn exceeding 1 yei.r,
(2) 18 a fugitive from Ju.'ltlce, <3J ta o.n
unlaV/!ul user of or nddJctoo to mart...
huann. or any depressant or stlmUlant
drug (O.S defined In section 201<v) or the
Federal Food, Drug, nnd Cosmetic Act>,
or narcotic drug <as deflned In section
4731 Ca.) ot the Internal Revenue Codo
ot 1054>, <0r (4 > hl1.!I been ndJudlcatcd ns
a mental defectlve or hllB been committed
to u.ny mental Institution,
178.100 RccGrd or tr11.n11"clion11.
Every licensee sbnll malntaln firearms
records in such form and manner a.s 1s
prescribed by Subpart H ot thl.fJ part.
16295
Stn.tcs by n licensed importer (as defined
in 178.11) unless ( 1> tf 11 Orcann, Ii is
identified as required by this part, nnd

(2) the Director has nuthorlzcd the lmw
portl\tlon ot the 1lrcnrm or nmmunlUon,

or (3) the firearm or nmmwiltlon ls llslcd
on the Importation List compiled uy Urn
Director ns prov!dcd by parngrnpll <cl er
thls acctlon.
(b) An nppllcntlon for n permit, Fc.nm
urn.cturer, or licensed dealer, or llunsed
O CFlrenrms>, to Import or urln~ n fl recollector shnll not sell or deliver any fire
arm or nmmuniUon lnt<J the Unllcd
o.nn to nnY person not llccnscd under. this
states or n possession Lhcreor under this
part, or the Federal Flrca.rm5 Act, and
section sha.11 be filed. In ll'IJJllcnLc. with
who the licensee knows or has reasonable
the Director. The nppllcnuon shall concause to bellcvo does not reside in <or lf
tnln (1) the no.me, address, and license
a corporation or other business Qntlcy,
number ot the 1mpo1tcr, C2> n dcscrlpdoes not mn1nta1n n place of bus1nesa la.>
Uon o! the flrc1um or nmmunltlozi to be
the Ste.to ln whlch the llcensee's p]a.ce of
imported, Jncludll1g lypc Ce,g.: rifle,
bustnes,, or nctlvit.Y 111 located: Provdecl,
ahotcun, pl13Lol, revolver>. model, cnllbcr,
Tho.t the forcirotng provislODJJ Of this
slZO (If nmmunHlon> or gauge, barrel
PAragmph ( ll shall not o.pply to tho
length (If a firearm>, country or mn.nuso.le or delivery of n. rlfio or 11hotgun
racture, nnd name of the manufacturer,
Ccurlo or relic, ln the ca.so of a. licensed
(3) the unit cost or the firearm to be
collector> to a. resident or a State con
1mport.cd, C4) the country from which to
tlsuou.s to tho Stnto 1n which tho Hcenbe Imported, CS) the name nnd nddrcss
aces plnco or business or o.cUvlty 111 lo
of the foreign seller and the foreh.:n
cnted If the ~urchascr's Bto.te or restdenco
shipper,
(6) verification that If a fircnnn,
pcnnlts such snlc or dcllvecy by le.w, tho
1t will be ldent.1.0cd ns required by this
sale fully complies wil:.h the legal condl-
pnrt. and (7) m lf imparted or brnui,:ht
tlon.s of sale 111 both such contiguous
1n for scientific or J'CSCl\rch purposes, a
States, ond the purchaser o.nd the Ileenstn.tcmcnt dcscrlblnr:r such purposes, or
!lei! have, prlor to t11c sale, ot.cl.cllvery for
Subpart G-lm~ortation
<lll if for use In connection with compeante, or the rifle or shotgun, compiled
r
tltlon or tr.o.Lninl'.! pursuant. to chapter
With the requirements of l'18.96(b), (2) 11n.111 Cencrnl.
401 ot title 10, U.S.C., a statement deel10.ll hot npply to the loan or l."ento.1 of
(o,) Section 922(a) (3) of the Act scribing such Intended use, or Ull> l! nn
a flreo.rm to o.n:v person for temp0rocy makes tt uniawfUl, With ccrtnln excep- unservlccnble firearm <other than n mo.\lse for lawrul s110rth\1t purposes, and (3) tlons not pertinent here. !or any person chino gun) being imported ns a curio or
shall not preclude nny person who b other than u. licensee, t-0 transport Into musewn piece, o. clcsertptlon or how 1t
P11rtlclpa.ttng in any organized. l'Ule or
th st te h
h
Id
ihotgun match or contest. or is engaged or recelvo 1n
c a. w ere e res es was rendered unscrvJcooble and nn cxany 1\rearm purchased or othcrwlBc ob- plano.tlon of why lt Is n curio or museum
ln hwitlng. tn a State other thE111 h15 ta.lned by hlm outside of that state. How- ptcce, or Clv l 1I a fircnrtn, other U1an n.
Sta.te of residence o.nd whom rlfte or ever, iiectlon 025 Co.) <4, provides n limited .fiurplus mmtn1-y ftrcann, o! n type that
8hotgllll has been Jost or stolon or ha5 exception for tho transportation~ shlp- docs not fall withln the definition of n
bCoome Inoperative 111 sucn other Btatft, m nt r eelpt or lrnportalfon of certain firearm b:r section 5645Cn) ot the Infrom purchasing a nflo or IShotaun 1n
e e
b
taln tcmnl Revenue Code or 1D54, nnd Is for
IJUch other SW.te from a llcerucd dealer 1lreal'Dl8 and nmmunltlon 1 ~r
UPOR Presentation by such person to l!IUch members ot tho United States o.rmed spartlng purposes, a.n explanation ot why
dealer a sworn statement, fn dupltcate. forcca. Section 022C1) of tho Act mLlkcs thc nppllcant believes the fireann ls &cn(i) tho.t hls rlRe or shotgun was lost. or it unla.w!ul for nny person knowingly to erally rccoITTtlzcd ns parUculnrly sul table
stolen or became inoperative while par- Import or br1nir Into the 'O'nlted States !or or readily adaptable to sporting J>Ur
ttclpo.ttng: 1n such a. match or contest or or a.ny possession thereof any firearm or poses, or <v> 1f ammunition being imwhile engaged ln hunting. In euch other ammunition except a.s J:Jrovlded by sec- ported !or sporUug pui-poses, a st.nl..cmcnt
Sta.tc o.nd m> identifying tho chtcr law tion 925(dJ of the Act. which section pro wh.v the appllcnnt believes It ls i:cncr.ally
enforecment omcer <sherUf, <:htcr of vldea stnndards !or importing or bringing recocnlzed as particularly suitable for
police or police precinct captain) of the flrcnnns or nmmunltlon Into tho United or readily ndaJJtablc to spa1L1ng purp0scs.
Joca.Uty tn which such person resides (for Stutes. Accordingly, no firearm or am- In determlnln~ wl1ethcr I\ 111carm or nm8Uch dealer's disposition of aueh sworn munition may be Imported or brousht munltlon ls parllcula1ly sullnl>lc for 01
statement, see a178.96(d)).
tnto the United Stutes except as Provided rc~dlly odapiable to sporlln~ put1>01;es,
the Director may seek the rccommcndn(bJ A licensed importer, Uccnecd man by this part.
urncturer, l!ccn.sed dealer, or l!ccnscd
<b) Where a firearm or ammunition ls tlon ot the advisory board n uthorlzed by
collector shnll not :iell or detJver (1) nny Imported and the o.uthorlzatlon !or im- paragraph <c> ot Lhls section. If lhc
fircann or nmrnW11tlon to any tndividunl portatlon reQulrcd by this subpart hes Director approves the nppllcatton, i;nch
who the lmp0rter manufacturer dealer: not been obt.ained by the person lmportBPI>rovcd nJmllcntlon shnll serve us Lhc
o:r collector knows or has rewnable lng same. such person shall:
permit t.o import the flrcnrnrn or ammuco.use to beUeve is less than 18 yeara of
(1) Store, o.t his expense, such ftrenrm
ngc, nnd, II the .fi1co.rm. or ammunition, or o.mmunJtlon at a !ncllity designated nition desctlbcd therein, nnd lmportn tion
Is other thnn a shotswi or rifle, or om- by U.S. Customs to nwnlt the issuo.nce o! of such flrcnrms or nnunu111t1on mny
munt.lon !or n shotirun or rlfiB, to 11.n:v the rcqutred nuthorJzatlon or other continue to be made l>y Lhc licensed in:lndMduo.1 who tha Importer, mn.nU!ac disposlt.lon; or
port.cr under tllc approved nppllcntlon
turcr, denier, or collector knows or has
(2J Abandon such firenr nor ammunl- (permit> du1lntt the pcrlocl s1>cctncd
rensonnblc cause to bcllevo is le!I! than tJon to the u .a. Government; or
thereon. The Direct.or sho!! !urnl;;h th;J
21 years or ngc, or C2) any flrco.im or
cs; Export such iircnrm or ammWll approved
nppllcntlon (J>crmltJ lo tile np.
o.mmwtltlon to nny person In nny Btnte
where the purchnse or posses.sJon by euch tlon.
pllcnnt nnd retain two copies thereof for
t>er.son or such fircnnn or ammunition 178.112 lmpo11111ion Jiy 11 lic~nneil ltn administrative use. It the Dlrccto1 dls:lPwould be ln violation of any State law or
i~rtet'.
proves the nppllcntlon, the llccmld Im o.t1y published ordinance o.pplJeabJe at
Ca> No flrcnrm. or ammunition Bha.11 be porter shnll be noll!lcd o! the l>n.\ls fur
the plnce of snle, dcllvcry or other dis imported or brought Snto the Unltcd tho dlsappro\al.
licensed man-
RDERA.L lEGISTU, VOL 33, NO. 217-WEDNESDAY. NOYEM!!EA,6, 1968
0245
427
RIF
0246

16296
<c) Tho Director may complle- 'an lmJlorta.Uon Lis~ of fuenrma nnd .amm.unltton which he detcnnlnes to be aenernllY
rceoantzcd e..s purtlcularly su.Jt.ab!e !or
<:Jr rend.Uy ado.lltable to sport1n1& t:ruJ'l)t)ses.
The determlnatton of the Dlrt-ctor thn'
a fl.rearm or mnmunU!on ts genera.Uy rec~gnized t<> ba tio.rt1eularlS" aultabl& for
o:r readily adap to blc to sporting pur:poses
may be made wJth tho nssista.nce ot' nn
adrlsory board to bo nppolnted by the
Commissioner. such board may be com-

wsetl of ~rson.s from wlthln and without.
s-0.-ernmcntnl ngencles who are reeognt:z;ed. as beln[I pn rtleularly knowledgeable
in tho use and elassJficatlon of tlremrms
and o.mmunllion. No ftrennn ahall be
:placed on the lmporta.tlon Ltsf, unless Jt
is found thtlt U> the caliber or ga.u11e of
tl1e firearm la au:ltable for use 1n n reeognlzeo:I ehootlng .sport, <2> tho tyoo o:f :nrcerm ts generally r~gntzed M- particularly suit.able !or or rcncIJJy adn.ptable
to such use, nnd (3) the use of the :fire
pea.ring ora the Form BA CFh:carms> certJJled by Customs. (2) pursuant to I 1'18.92. pJo.ce 11.ll required identlfico.tlon data
on each 1mported fireann If sa.me did not
bear such idcntlfication di'J.ta e.t the ttme
of lts relcnse !rom customs custody. n.nd
rn> post; In the records required to be
mo.Lntalnecl by him unc!er Subpart. H of
thb part, all required lnCormatlon rcgo.rdinS the importntlon.
178.113 lmporlntlori Ly od1cr ll
~cn11ec11.
other tl)tm a llcensed

lmr.>orter ens denned 1n f 178.11) shall
engage Jn tho business or lmporUnK fire
1u1ru1 or ammunition. Thcre!ore, no fire~
nrm or ammuntton shnll be Imported or
brought. Into the United States or a possession thereot by nny licensee other
than " lJcenscd importer unless the Dlrcctor issues a permit authorlzlug the
lmPortD.~lon of the fireaLm or ammu
nltlon.
<b) An application tor a. permit, Fonn
arm in a. recognized shooting- .&pert. wm
:not endanger the person using Lt due to a <FJrcarms}. to import or brtng a fire
deterJoro.tion thmuab such 1Jse orber.nuse arm or ammunition into the United
of lnfcrtor workmnnshlp. ma'l.er1n.Ia or Sta.tes or 11. possesslon thereof by a li1rles!gn. No ammunH!on shall be placed censee, ether tho.n a lJcensed importer.
o0n the Importation List unless &t Is found sbn.tt ha filed, In trlpllc:n.tc, with the Dl
that m the crutbor, size or go.uge .at ~a rector. The appllcntton shall canto.In U>
ammunition Js autta.blc for use Ln a rec the name, address, and ~ho license numcErnl2':ed shooting sport, uo the tyr:ic or ber of the nppllcnnt, <2J a description
ammunition Is generally recocn1ud rui o1 the ftrermn or ammunition to be imJJti.tUcularly suJ ~o.bJc !or or rendlly ndn.pt ported. b'lcludJng type Ce.er.: rifle. shotabte to i;uch us~. !L"ld OH> the use o! the gun, plstol, revolver). model. caliber.
ammunition 1n 11 rei:OgnJztid 15hootlng &tze d:f ammunition> or gauge, barrel
sport. will not c11dnnger the person uslng Iengtll Clf a Hrca.rml, country of mnnurncture. and name or tho rncmufncturer,
H.
(c;l) A nrcimnor nmmunltion. lmported C3> theunlt.costor thcflrcnrmore.rnmuer brought into the United States by o nitlon to be imported, C4J tho name and
JJcaru;ed Importer mny be released from address of the roreJgn seller and the
customs custody to tho licensed Importer foreign shipper, C5) tl1c country from
upon his showlns that he hll.!I obtained which the firearm or ammunition ls to
a permit from the Director tor tht) Jm- bo Jmportcd, (6) except; as provided Jn
i;ortntfon ot th~ ftreann or ammunltlon }laragraph Ce> of this .sectlan, vcrtftcato be relen5ec:I, or that tho flretirm or tlon that the fircann ta be imported wlll
ornmunlUon nppenrs on the lmporlintlon bo ldent!fied ns required by this pa.rt.
List. ln obtalnJng the release from cus- and <'1> (I) lt the :flrcann or nmmunttfon
toms custody of n firearm or nmmunl- is being imported or brought In tor scitl1.m a.uthorlzed by this section to be lm- cntlflc or i:csearch purposes, a &tntement
lPOrted through use of a permU or be- describing such Jllli'.i)oses. or <II> it tor
cause the firearm or ummunltlon appears use Jn connection with competition or
on the lmportoLton Llst. the llc:ensed trntnlns pursunnt to ell.apter 401 of title
Importer shall prepare Form 6A CFlre 10, u.a.o., a staternent describlns such
nnns>, In dupllcnte, o.nd furnish the intended use, or <HD 1! an unservlccnble
original Form BA tFJrcnnns) to the CUs firearm Cother than a machJnc aunl bet.oms omccr rel1mslnK tho firearm or nm- ing Imported ns n curio or museum pleec.
mWl ltlon. The Customs officer shall. n dcscrlpt.lon of how lt wns rendered unafter ccrtUlcntJon, forward .the Form 6A serviceable nnd an explann.tton of why
<Firennns) to the Assistant Regional fl; ls a. curio or museum plccc, or <Iv> 1? n
Commissioner !or the region wherein the firearm, ether than a surplus military
Jlcenscd lmport<!r malntalrui hh place firearm, of n type thnt docs not. !nll withor business. Tho Fonn 6A (Fire.arms> in tl1e do:finltton of a firen.rm unci1.1~
shall show the name, address. and li- 58f5(1al of the Internal Revenue Code
cense number of the Importer, the nn.rno of 1954. nnd Is ror sporting purposes, a.n
ot tho manutncturer ot the ftrets:rm or explnnnt!on of why the appllcnnt benmmunltfon, the tountt:v of manufac- lieves the fircnrm Is genern.lly recognized
ture, the type model, and cnJlber, size as partlculnrly sultllblo !or or readily
~If ammunlUonl or go.uge. anct the numadnptnblc to spo1tln11 purposes, or (V)
ber o! Orearn1s or rounds of ammunit.lon H nmmunltlon being Imported for spo1tin11 purpo.s<?s. a statement why the applir~leo.scd.
Cel Within 15 dmys of the date of re- cant believes it ls scncrnlly recognized
1-ense from customs custody. the lfccnsed ns port.1..;nlarly sultnbJr ror or readily
:Ll!lpo.rt{)r E!h!!U co rarwnrd to !.hie A~t~ o.daptuble L" BporUng purposes. U the
nnt Reglonal Commissioner o copy or uJrector approves the application, such
Farm BA <Fircnnr..!i > an which. slm.t! be approved nppi!'latlon shall serve as tho
reported ony error or discrepc.nw ap- permit to Import tho 1}renrm or nmmu<a> No person
nltiou described t1te1eln. The Director

shall furnish the nppro\cd npp?tcnUon
Cpennlt> to the allt)llcnt\t nnd retnln
two coplcs thereof for ndmlnlstrntlvc
use. If the Dlrcctor dlsn.1)provcs the oppUcntlon, the applicant sl)oll be notified
ot the basis for the dlsapprovnl.
Cc) A tlrcrmn or o.mmunltlon imP<>rtcd
or brought into the Unlted Stn t.cs or a.
possession thereof under the provlslons
of thls section may be released from Customs custody to the JLccnsec lmr>ortlng
th& fircnnn or ammunition upon his
showing thnt he hos obtnllicd fl r>crmlt
from tho Director for the impoitntion, rn
obtnln1ng the rclensc or the firca.inl or
o.mrnunltion from Customs custody, tl1c
licensee impcrtlng sn.mc sllnll prepare
Fonn GA <Ffrenrms>. ln dupllente. a.ncl
!umlsh ~he 01Jglnnl Form GA <FJrcnrms>
to tho Customs officer rclco.slng the firearm or ammunition. The Customs officer
ahn.ll, nr~r ccrtl!ltntJon. forward the
Form 6A (PJrenr111Bl to the Assistant
Rcglonnl Commissioner for the region
wherein tho llccnsec ln11>ortlng the flrc.
arm or nmmunlLion mnb1tnlns his licensed premLses. The Fonn GA <Pirc~
arms> sho.ll show the 1u1me, address. nnd
the 11cense number of the tlccuscc. the
nnme of the mn.nufru:turcr, the countty
of mnnutncturo. nnd the type, model, Rnd
caliber, size Uf ammunition> or gauge or
the firearm or nmmun1tlon so rclcnscd,
o.nd, 1f nppllcn.blo, the numbor of fircBTm.!J or 1ou11ds of 11mmunHlon relcnscd.
Cd> Wlthln 15 do.Ys o! the dn te of release from customs cus!.ody, the licensee
Jmpartlna the fitc1111n or nmmunltlon
sho.ll Cl) Jn the case of nn Imported nre.
O.l1tl, ptnce nll req,ulled ldcntlficntlon di1tn
required by this part !except ns J>rovldcd
Jn parasroph fo) o! this scctlo11> on the
fircnrm It the tlrctarm did not po~scss
.such ldcntlficotlon dnLn. nt tile lime of Its
relea.se from Customs custody. nnd ( 2}
forward to the Assistant nc~fonnl Commissioner a COl)Y' o! Form 6A <Ffrcnrms >
on wll!ch shall be re[)Ortcd nn:y crior or
di.serepo.ncy nppcnrhlt: on t.hc Form GA
<Fitearms> CCi'tifled by Customs. nnd the
ldentlficntlon scrfa.l 11umllcr of the firearm or tho 1dcnt1fyb1g ntfltka ol tllc ntn
munition. Whctt a flrcnrm itnJJortcd
Under the provJslons or thls sactlon docs
not possess an ldcnti!ylni; scrlnl number
at the time of its rclcnsc from Customs
custody, the licensee lmportini; such fire
arm shnll obt.nln nn lcl(mtflylmr scrhLI
number from the Asslstant lk({lonal

Commissioner.
Ce) Notwithstunding lhc ldc11tlflcatlon
rcqulr'emcnt.s of ~ 178.!12 n flrenrm Im
poit:d or brous:ht Into t.he United Stat.es
or a. possession L~1crcor under this sec
Uon shnll not be required to bear the
no.me, clty, nnd SLnt.c of the llcenscc

lmportlnr; or brinmm: In t.hc flrc1tr111.
Ho
178.l lJ lm1wrl111io11 by 11wml1,.,.,. 11(

tho U.S. ,\rr11ttl For1(1t,
Ca.) 1-'or the J>Urf>oscs of this st."cLlon,
Cl> u. mem\Jcr ui ~he U.S. Armed Poree:;
on active duty sh.o.ll be considered to be a
:resident or the Stnl.c Jn wl1Jch his
pemumcnt duly station L'> locnlcd. and
FSDEAAl IEGISTER, VOL J3, NO. 217-WEONESOA't', NOVEMBEl 6, 1968
0246
428
RIF
0247
..,
MAKfNG '
16297
p PROPOSED RULE
.
"-~.r . . . ~ q "~ -;.--~:otn..
~
~
<2> tho term "UnJted Sta.tea when used . 1stmtlve pUrposes, It the Director dis tton shnll bo relei:.-:cd f:rom CLLo;;torns cusfn other than "United States :Armed I npprov~ the appUcatlon. the appllca.nt tody In the manner prescribed In the conForces" sho.ll mean each of the several . .she.ll be notlftcd of the bn.sis for the dla- ditional authorlzntlon Issued by. the Director.
Sta.te.s and the Dlatrlct. of COiumbia.) ... : .i.' approval
Subpart H-Records
Cb) The Director may lssUo. a. r>ermJt
(c) Upon receipt o! n.n approved apnuthorlz!ng the tmpartat.iQn o! a firearm pllca.tlon <permit) to imJ>Ort the fireo.rm 178.121 Gcnern1.
or nmmunitlon Jnto the United Bto.tes to or emmunltlon, tho eppllcnnt shall pro-
the pince of resJdcnco of any member cccd in aceorda.nce with tho provislons
of the U.S. Armed Forces whe> Is on ac- oonta.lned In 178.113 <c>-Ce). However,
tlve duty outside the United States, or where the nppllco.nt ts on acUve duty
who hM been on o.ctlve duty outside tho outs.tdo tho United States, he may apUnlted Statc.s within tho 60-daY period point, In writing, an o.gent to obta.ln the
Jmmedia.tclY preceding the intended im.. telea.so of the firearm or nmmun!Uon
portatlon. An application for such a. ner:!. from customs custody fo1 him. Such
wt, Form 6 <Flrco.rms> I shall be filed.. agent shall present sufficient identlflcnfn trlpllcnte, wlth the Director. The aP-. tlon of himself and the wrltten author:pllcatlon. .shall contain ( 1) the name wid lzatlon to net on behal! ot the applicant
current llddress of tho o.pplleant, C2) to th~ Customs omi:cr who is to release
certlflcn.tlon that the tra.nspart.a.tlon, re the firearm or ammunition. Such agent
ccipt. or possession of the firearm or llhall also be responsible tor ensuring"
o.mmun1tion to be imported would not that all provis1otl3 contnlncd ln a 170.113
constitute u vlolo.tlon of any provision Cc)-Ce> a.re fully met.
of tho Act, Title VII of the Omnibus 178,115 Excmpl hnporlnlion.
Crtme Control and sate Street.!.'! Act of
1968 (82 stat. 236), or of WlY state Ja.w
Cn.> Flreo.rms nnd wnmun1tlon mo.~ be
or local ordlna.nce n.t the plnce of tho brought lnto the Unit.ca States or twY
nppllcant's residence, (3) a descrJpt1on possession thereof by any person who can
ot the nrc 11rm or nnununtt1on to be im establish to the Bat4sCactlon ot CUstoms
ported, including type <e.ir.: rtne, shot;.; tha~ suc:1 nrea.rm or Pmmunltion was
gun. pistol, ievolvcr>, model, caliber. atze prov!ouscy taken out o! tho UJutcd States
ut runmurutlcn> or gauge, barrel length or AnY possession U1crcof by such
Ci! m firearm>. country of mnnuttlcture, person.
and nn.mo of the mllllufacturer. (4) tho
Cb> Flrenim.s n.nd a1rununltlon may
unit cost ot the firearm or ammunition be imported or brought into the United
to be lmPOrted, (5) the name and ad- States by or !or the United States or
dress of the toreJgn seller Clf applicable) nny department. or agenc1 thereof, or
and tho !or!11gn shipper, (6) tho coun.. any State or o.ny deJJo.rtment, agency,
try from which the nrearm or 'ommunt or polltlcal subcilvtslon thereof. A ftretlon 15 to be 1mp0rted, ('l) verlfica.tton a.rm or o.nununitlon lmportesJ. or brought
that, 1t n ftrearm, proper 1dentUlcat1on Into the UnJted State::s Wlder this pare.d11.ta will be placed on tho :ftrea.rm, (8) (l) mph may be released from CUstolll.!
that the firearm or IUllDlunjtion being custody upon o. .&hewing that the ftrelmported Is tor tho perso11nl use ot nnn or arnmunltlon Is bclng imported or
the applicant, nnd <11> if the ftrcann brought into the United Sto.tcs by or tor
Is being 1mPortcd tor sparting purpose.a, such a governmental entity.
.
a sta1.tcmcnt thP.t tho flreann I!! no; a <c> 'l'he provisions of tws subpo.rt
surplus milltnrY flrea.rm, that lt does ahaU not o.ppJy with respect to the tmnot !all within tho definition of a firearm portatlon into tho United Stn.tca of o.n:y
under 5U45Ca.> of tho Internal RevenuQ ant1quefire~
.
Code of 19M, o.nd an explano.Uon of why l7lU16 Conditionallmporlallon.
the applicant bellcves the flrearri1 fa gen ..
erally recognized os porUcularly suitable
Tho Di.rector mo.y permit the condl
tor or rep.d.lly adaptable to sporting pur tlonBI impo11'at1on or brlng'lng into the
po:ies, or (ill) Ir ammunition belng 1m.. United States or nny possession thereof
p0rted tor sporLfng purposC3, e. statement of any :ftrearm or ammtmltlon for tho
why the appllclLtlt believe$ tt J.s generally purposo o! exrunlnJng a.nd testing tho
recognized 03 pa.rtlcularJy aultoble tor flrearm or nmtnunltlon In conriectlon
or ren.cillY ll.daptablo to sporting purposes, w!th making a determlna.tlon as to
or <Iv) If a fuen.rm being imported as o. whether tho lmPOrtntlon or bringing ln
type determined by the Dcpartmen,t of ot such ftrce.rm or nmmunit!on will bo
Defense to be normnlly clD&SlOcd a.s a authorized under this pa.rt. An o.ppllcn.we.r souvenir, n. copy of such determine. tlon !or such conditional Importation
tlon or other proor or evidence of such shall bo flied, In duplicate, with the Dideeerinlna.tlon, and co> the appllc11Dt'11 rector. The Dlrcctor may lm.POse condi ..
do.to of birth, bis rank or grade, hlll place tfons upon e.ny importation under this
of residence, hls present forefgn duty section lncludiug o. requirement that tho
station or his last foreign duty station, 1lree.rm or ammunition be sh,1ppcd dins the case mny be, tho dote o! his rea:1 rcctly !rom curitoms cust.ody to the Dislgnmcnt to a duty station withJn the rector. und that the person tJnpartJng or
United St.ates. j ! n.ppllcable, a.nd the brlnslnB in tho firearm or ammunition
mmto.1y bran~h ot which he 1s a. member. must agree to cJther cxp0rt the ft rearm
It the-Olrector opprovcs the appllcat!on, or ammWlltlon or destroy same If a
.such approved applicotlon shall servo as dct.c1mJn1it!on !s made tha~ the firem:m
ihe permit to lm:port tho firearm or am- or ammunition may not be imparted or
munJtfon described therein. The I>lrcc- brought In under this part. A firearm or
tor sholl fu1nlsh the approved oppUca- ammunition imPOrtcd or brought into
Uon <permit> to the applicant and shrul tho United Stnt.cs or any possession
retain the two co1>cs thereof !or Q.dm1n- tllcrcof under the provlslons of this sec-
(n) The reCQrds prescribed by this part

shall be In pennnnent form, und sha 11 bo
rctnlned on the licensed premises Jn t11c
manner prescribed by th!.s subpnl't.
(b) Intcmnl revenue o!Ilcers mny cnlcr
the premises o! any licensed Importer,
licensed manuCnt~iurer, licensed dealC?r,
or licensed collector tor the purpose of
examining or lnspcctinp: any record or
docwnent required by or obt.Hlncd under
thi13 part (see 17 IJ.23). Sec lion 923 cg)
o! tho Act requires licensed fa11>ort,!!"rs,
licensed manufacturers, 1lcc11sed deniers,

and llcensed collectors lo mnke such records avo.llulJlc! for such cxamlnn llon or
J..nspcctlon at nll reasonable times.
Cc) Each licensed lmp0rtcr, licensed
mnnufacture1, licensed dealer. and 11c.enscd collector sho.11 mnlntnln such records of importntlon, 1Jroductlon, shipment, reccl!}t, sale, or other dls1>0s1Uon.
whet.her temrwro.ry or permnnent, or
firearms and ammunition ns the regulations contnlncd In this pn.rt prescribe.
Section 922<mJ or tile Act mo.kcs lt unlawful for nrl.y Uct:nsed impcrter. licensed
mnnu!ncturcr, llccnscd dealer, or llcenscd
collector knowingly to mnkc any fnlse
,entry In, to rnu to snnke n1>1>roprlnte
entry In, or to foJ] to properly nrnlntnln
any such rcco1d.
fl 178.122 Rccor1l11 muintuiill'tl liy im
J>Drlcra,
Ench licensed Importer shnll,
Within 15 dillis of tl1C dnte or Importation
or other acqulslllon, record the type,
<n>
model, caliber or gaui;:e, manufacturer.

country of mnnufncture, and the serial
number of ench firearm he imports or
otherwise ncqulrcs, and the date such
hnportnUon or other acquisition wns
ma.de. Each lfcenscd lm11ortcr shnll,
within 15 days of the date of 1mportntlon
or other ncqu1sl~lon, record the type, callbct\ size or i;:auge, manufacturer, country
of manU!actuic, 1Scr1nl number (If nny),
and any other Identifying marks or the
ammunition he lmpmt.s or otherwise acquires. and the d11le such lmportutlun or
other ncquJslLlon wns made.
 A separate record of 11rcnrms nncl
ammunition disposed of by a. llc<.'nsc<l
importer to unotber licensee shall be
ma1nta.1ucd by the licensed Importer on
h1s licensed premises nnd shall ohow tho
Quantity, type, mnnufacturer, country o!
manufacture, caliber, size <Ir nmmunJtlon> or gnut;e, serial number <and In the
case or runmunltlon, Urn lc!C?ntirylnr.
marks), nnd the nnmc, nddress. license

number and the method or vcrlfyln1~ thr,
licensed status o! the Hcens!!e to whom
the firearms nnd nmmunlLlon wC're
transrcrrcd. The lnformnllon rl'riulred bv
this paragraph shnll be <'lltl'n.'d Jn n pcr-mnnent record book not latm U1an the
close of the next busl11ci;s dn} fullowln;{
the date of the transaction, iwd such
Information shnll be rcco1dcd u nclcr the
!ollowfnc format:
FEDERAL IEGfSTEI, VOL 33, NO. 217-WECNESOAY, NOVEMBER 6, .1968

',
""
0247
429
RIF
0248
16298
PROPOSED RULE .MA.ICING
QUiil\
1u1
Typo
Mwu
facti.110&'
~1-
CounU,
of
IJlllQll
facture
. Jd"olllll
Barllll
No,
:Namt, 11ddniM,
ant! JloenM No.

o!
lle<lO!IOll lo
wbom Cmru!omid
!J~lhod
ot'l'nl
tytn111 Uooll.!O
at.atu! arm11
llco!JSQll
Datoot
lhoCtatlll-
mc:Uon
,'
<cl Notwithstanding tho provlejons ot manufa.cturer and I.he country or manu-
11a.rnara.ph or thle section, the.Amst faeture need not ha recorded If the
nn.t Reglonol Comml!UJloner ma)" . aU firearm or e.ttllllUnltlon ls o! the nu1nutJiorJze o.lternate records to be mnln :tacturer'a own manu!acture,
tamed by o. licensed l.mporter to record
Co) Notwlthstnndtng the provisions or
his odlsPOse.l of firearms and a.rnmunJUon pnrngrnph Cb> of th1s ~cUon, the
when. It Js shown by thelicenaed i.ml'C)rter Asslsta.nt Reslono.l Comml5sloner mBY
tlint tiuch alternate records wUl accu- o.uthorlzc nltemntc records to be malnrate!~ a.nd readily disclose the huotma. ta.lned by a lloonsed manutncturer to
ti-on :required by parasroph (bl of thl8 record his cllt.Poso.l or :l'Jreo.rms nnd
eectlon. A licensed. lmporter who pro- nmmunl t.ton when It ts shown by the
pose$ to use a..ltcmate record.! aholl aub- llcensed manufacturer that euch o.ltermlt a letter o.pplic::at1on, in dupUcn.te, to no.te records wlll accurately and readJly
the Asststnnt Reclonol commissioner nnd dlBclose the lntormotlon re4ulred by
sl1n11 describe the propoecd Bltemo.te-rec~ para1naplt Cb) of this sec ~Ion. A licensed
ords and the need therefor. Such 11.lte:r- moquru..oturer Vlho proposes to use olterno.te records shall not be employed by nnte records shn.ll submit a. letter appllthi? llccnscd lmpoi"te.r until approval In ca.tlon, Jn dupllcate. to the A.sslsto.nt
!Uch recBrd ts rcccl11ed from thei AM!st- Reglonnl Commissioner and shall de~
nn~ Rcq!ono.l Ct>mm1Mloner.
scribe the vroposed alternat.e records
Cdl Each 11cc:nsed importer !!hnll nnd the need therefor. Such olternata
mainto.ln lleparat~ records of the eaJes records aho.ll not be employed by the u.
o.r other dlsposltlons mode or ftrcamu censed manufacturer until approval 1n
a.n~ ammunition to nonllcensees. Suen such regard is received !rom the .Assistrecords shall be mBlnta1ncd In the tonn ant Reglonal CommlasJoner.
a.no manner es prescribed by &178.124 Cd) ED.ch 11cen.'ied tnnnuracturer ahall
In regnrd to flrenr:ms trn.nsnctlon ti:corcls, mnintaJn sepa..rate Tecords of the sales
a.nd by ti 1'18.124 and 178.1:.!li jn rego.rd or other dispositions ma.de of firearms
to Orearms transaction records and rec- o.nd ammunJUon to no:nllccmsccs. Such
ords or dlsposlttona, made o! Dreamu records aho.ll be maintained tn tho form
Bnd mn.nner RS prescribed by G 178.124
and ammunltlon.
In rega:rd to firearms transaction rec:.,.
6 l?B.123 nccorcl malntufncd Lr man~ orda, e.nd by U 178.124 and. 178.125 1n
uoc1urcre.
,
K"egard to firco.nn.s tru.naaetion records
~a) Each licensed manufacturer shall nnd. rcoords of dlsPOsltlons me.de o! fire
record tho type. model. caliber or Efauge, anus and a.mmunJtion.
a.nd serial number or llaeh complete fire- ..... 6 178.124 Firearms lrim!o.cllon record,
e.rm he mnnutru:tures or otherwise ac.
q_lilres. and the date such manufacture
Ca.) A licensed Importer, licensed
l)J: other ncqulsltlon waa mnde. Each manttfncturer,
l!ceneed dealer, or
licensed ma.nufac.turer aho.11 record tho llcenscd. collector &hall not l!cll or other&ype, en.Uber, size or gauge, scrlnl nu.mbC!r wise dispose. temporortly or permment(Jfany>. and nny otheridcntlfYlni maru IY. O! any ft:renrm to e.ny pc.rson, other
or the ammunition he mtmufa.ctures or tha.rt nno~her licensee. unle.sa he records
oLherwlsc uqulre.s, Tbo lnforma.tEon re- the transnctlon on a Form 4173, Flreqltlred by this paragraph shall~ re- arnm Transaction Record. A licensed
corded not later than the close o! the lmpo:rter, licensed rnanulacturer, llneJCt business day followlne the date Cell!led dealer, or licensed eollector shall
11ueh numU!e.cture or other aci;iull51tJon retain, Jn chronolo11lcal o:rder and as a
was ma.de.
part of his permanent. records, each
~b) A record ol firearms and ammu- Form 4473 he obtains In the course of
nitlon disposed ol bi a llcensecI: mo.nu- transfertJng custody of his fl.reanns.
111.Cturer to onot.het Jlceru:ee &hall be
Cb) Prior to transferring 11o ;firearm to
maintained by the licensed ma.nufo.c- B nonllccnsee, the llcen~d Importer,
lurer on his licensed premlse:s anct 8he.ll licensed manuracturer, llc1'!nsed denier, or
show the quantity, type, calJber, slzo (Jt licensed colleetor shall obtain a Form
nrnmunltlon> or ga.use, serfe.t number 44'13 !rom the transferee showing the
$nd In the cl!.S& of ammunltton the no.me, o.ddress, d11te and pla.ee o! birth,
Ed<mtlfylng mntksJ. and tho nami a.d- height, weight. and race of the transferee
dre&.!J, license number and method ot o.nd Bhow2ng that tho receipt or posscs\'.e::-:l1ylng tho licensed statu11 of the 11- slon of the ftrearnt by the 1.rnusfereo
ciensee to whom the ni:carm.s and am.mu- wouid not be Jn vlola.tion of any prov1..
ti.I ~ton were transferred. The in!ormat!on 8lons of the Act, The tre.nslereo shall, If
r!Qulrcd by thl.s po.re.graph 11hall be he is obtaJnJng the nrearm by lntrasta.to
entered in a. perm.anent. record boot not mn.ll order or otherwise ls not oppe11t'1ng
lo.ter tha.n the close of the next business In per5on at the licensee's premises, or Js
da.y l!'ollowins the date of the t:ramoo- B resident or n contliruous St1d.c. execut.~
Uon, nnd such lnl!'ormatlon shall be re- and date the stn.temcnt reciuJred
s~~:
c:.orded Wlder th1' ronn11ot prescr:Jbed by tlon 922 ! cJ or the Act and contained cm
I l.78.122 except t.hst. tne ne.me o! t.he the Fonn 4473, nnd attach thereto a tz;ue
j
"
by-
copy or any pcnr.it or other lnCormn.tlon

reQ.ut:red pursua.nt to nn.v stntute of the
State and published ordinance a.pplica blc
to the locauty In which he resides. The
licensee shnll identify the ftrco.nn to be
t;ansfelrei.t by listh1g Jn the Form 4473
the name at the ma.nufllcturcr, the nnmc
of the importer m anyJ, the ty1)e, model,
caliber or gnuce. and the sc11n1 numbc1
or the flrenrm. Bcto1c tmnr.fcrrlng the
flrcnrm described In the Form 4473, the
Ileen.see shall, in the case of nn ovcrthc-countcr transaction, cause the trnnstcrce to identify himsclr ln nny mnnnc1
customarlly used In commercial trnnso.ctions <e.c.: a.. driver's llccnsc). ntid
rihnll taotc on the form the method used.
In tho case of n trnnsnctlon otlwt' tbnn
nn over-the-counter trnnsnctlon, the
licensee shall obtain verlftcatlon as to
the 1dcntlty or the transferee thmu~h
certlflcatlon on the Form 4473 by a notary publlc, or a Federal, State, or locCLl
la.w enforcement officer of the locnllty
whcreln t11e trcmsfcrco resides, attesting
that such omcia.1 knows or has established the identity ot the tmnsfercc.
(c) A licensee who sells or otherwise
disposes of a. ft~cann to a nonI1cenBcc
who fa other tlmn an lndlvldual, shall
obtain from the trnnsfcrec the lntormntlon required by paragraph Cb> or this
eccUon from nu lndlvLdua.J autho1Jz:ed
to act on behalf of tho transferee. In
addition, the licensee shnll obtain from
the lndlvldunl acting on bchulf o! the
transferee ll written statement, executed
under the penanles ot perJury, that the
fl.r?arm ls being acquired for the use
o! and wlll he the property ot the tmnstcree. nnd showing t.he name nnd nddrcss
ot tho.t trnnsfeee.
Cdl Fo1m 4473 shall be 1mmnrcd and
submJLted ln duplicate to the llcensc:e
by n transre1ec who ls purchasl ng or
otherwise ncqull'Jng a flrcal'&n by other
than an ovcr-tho-oountcr tl"nnsnctlon, or
who Is a r(!sldent of a contiguous State.
Upon receipt of such Forms 4473, the
llccnsce shall <1l prior to shipment or
dallvery or the firearm to such transferee. forward by registered or. certified
m111l <return rcc?lpt requested> a copy or
the Form 4473 to the chief l11w c11!01c.!ment officer nnmed ln the Form 1'173 by
the tro.nstcrcc, and 12) delay :;hirm1cnt
or dcllvery ot Lhe flrcnnn to the transferee !or a perlod or nt least 7 days
following rccelp~ by the licensee or (!)
the return receipt cvldcnclng dcllvcay
o! the r.npy ot the return, Form 4473. to
such chief lnw enforccmt!nL officer, ot
(!t) the l'eturn or the copy of the 1ctum,
Form 4473, to h1m due to the refusal or
such chic! Jaw 1?nfo1ce111cnt officer to
ace;ept same In n.ccordnncc wltb U.S.
Post Office Department reeulntlons. 'l'he
orlglnal Fo1m 4473, and evidence of l'C:celpt or rcJer.Llon e>f dcUvcry of the copy
o!thc return, Form 4473, sent to the chief
law enforcement officer shnll be rctnlncd
by the licensee ILS a pnrt or the retol'ds
required of him to bo kept undc1 this
f!Ubpart.
CeJ A licensee shnll ntlnch to nnd mnkc

part of the relnte-;l Fo:rm 44i3" he retains for his records, th(! sworn statement furnished to him pu1sunnt t.o
~
L78.!l61d) ot' l'l8.08.
JEGHAL IEGl5TH. VOL 3l, NO. 217-WIDNESOAY, NOVEM!IU 6, 1961
0248
430
RIF
0249

16299
.PROPOSED RULE MAKING ..

Cf) Tho
requ!remcn~ of ,tl~ :~ti~z{. date of such purchnse or a~qulsitlon. Tho
shaU be In additlon to any other record- record she.11 snow the date ench firearm.
keeplng reqqlrement contained !n;thls... ammunition, curio or relJc, wo.s pnrpart.
' - . chased or otherwise acquired, the typC',
(g) A Ileen.see me.y obtaln, upan re- mn.nura.cture, importer H! any), caliber,
Q.uest, a supply or Fo1m 44'13 trom any s!Ze Hr runmun1tton> or r:-nugc, model,
/.sslsta.nt Regional Commissioner or any name o.nd nddress o! the person from
Dlstrlc1. Director.
..... .
. :,.~ ... whom received, and the seriul number of
. ,
the fireorm, or firearm curio or relic,
D118.125 Record or receipt und d!P~ or the serial number or other identifying
nhion.
; ~' ~ marks of the ammunition. The sale or
Ca> Each licensed dealer .sha.11 prepnro . other dlsposltlon of a. firearm, o.mmunl a permanent record of eMh :area.rm nnd tion, curlo or relic shall he r1?Cordcd by
or the nmmunltion In hts ln.ven~ry on the licensed dealer or the llccnscd colthe cmx:tivc datcoc this part, o,nd there- lcctor at the tlme of such transaction,
after enter 1n such record en.ch recelpt and the Information escrlbed !or the
ond ea.ch dlspesltlon of flrearnuJ nncl .record required by thi... paragraph shall
11.mmunitlon. Each Ucensed collector be In addtuon to the firearms transncUon
is,hnll upon rceclpt o! his llcenze :prepare record, Fonn 4473, required by 178.124
n. pcrmo.nent record o! each curio n.nd of this part. The record .she.II show the
relic In his collection, ancl thereafter dnte of the sale or other disposltlon o!
enter tn such reeord each receipt a.nd '<'ach flrea.nn, nmmunltlon, curio, or relic.
disposition of curios nnd rell~. The the name, address, i>nd the license nwnrecord required by this paragraph &hall ber Cl! any) o.nd the date of birth of the
be maintained jn bound .torm undu traris!eree It such person Is not a llcensee.
the fonno.t prcscl"lbed below. The pur- The record required by this paragraph
chnsa or other acquisition o! a Orenrm. shall be mnintalned in chronological
or nmmuntuon by the Jlcensec;I dealer, or order by date the Jlrcanru, ammunltlon,
of a curio or relic by a llcensed collector, curios or relJeis are purchased or otherlllUst be recorded not later than the closa wise BCCIUlred. The format required for
of the next business day following the the record of re(:elpt and dlsp0sitlon is:
...AcQ!31SmO?f
Dnl11
Typ0
llfanuracluror
Imporlir
(U IWY)
Moc!cl
Cnllbor, alte
\II nmmunl
on) or 11nu11e
S<!rlnl No. (nndJor Nnrno nnd nddrus or

lll<'nutytnii marks, porSOll (rom Whom
ll n111umultlo11)
rccolvod
DurOlllllO:-N
On.ta
Nnmo or (ll!r.IOn to
wborn
tran~rorrcd
Addr~
or pcnoa
towhllrn
ttollJ!ornid
Lleo11seNo.
(ll 11. llooll$00)
Date of L>ltlh
(U a llonllconsco)
Mct111111-0r vorlrylnc tho

ldunUly of tho ~11J'CIJIJ.SOI'
Cb> Notwithstanding the provlsfons of

paragraph Ca) o! this section. the AB
slstant Regional Commissioner may nu-
thorlze olternnte records to . be mam:..
ta1ncd by a licensed dealer or a :Ucel\$ed
collector to record his acqulsltton B.nd
dl.spall!'\l or fireanns nnd a.mnnlnltil)n, or
curioo and rellcs, when it 1s shown by tho
Cd> Each licensed importer o.nd Ucen:ied manufacturer selllng or otherwise dlspo.stng of firearms to nonlJcensees
shall m;11lntnln such records of m1r.h
transe.c.Uons ns a.re required ~! : :.- : "~ ;
dealers e.nd licensed <:ollcctors by
I 1'18.124.
6
118.126 Furnishing lraneuclion infor.
Ucensed. denier or the licensed collector
n1atJon,
that such nlterno.te records will BC
<o> Each llcensee shall, when required
curately and rcad1ly dJsclo.se the In
fonnatlon required by paragraph Ca) of by letter issued by the Assistant Regional
thf.s .section. A licensed dealer or :!censed Commlfl:lloncr, and until notified to the
collector who proposes to use alternate contrary in writing by such officer, subrecords li.ha.11 submit a letter appli<:atlcn. mit on Form 4483, Repo1t ot Firearms
in duplicate, to the Assistant Regional Tro.nsactlons, for the periods and at the
Commissioner and shall describe tho tfmcs specified in the letter Issued by the
proposed alterr1ato records f.nd the need Assistant Reglonnl CommJssloner, o.11
theretor. Such alternate fe(:Ords ahall record ln.!ormo.tion required by thiB subnot be employed by the licensed dealer part, or such lesser record tnronnntlon
or the licensed collector until approval as the Asslsta.nt Regional Commissioner
in such regard Js received from the In his letter may spectry.
Assistant Regional Commissioner.
(b) The Assistant Reglonol CommJsCc> Each Ucen.scd importer and ]l.. sloncr may nuthorlzc the fnfonnatlon to
censed roo.nufact.urer selJlng or other- be submitted inn manner other then. that
wise dlspbsing of firearms or ammuni- prescribed Jn paragraph <al of this section to nonllcensees GhnU ma.lntam such tion when 1t ls shown by n Ucenimc thnt
reemls of such trnnsactions B3 are re nn alternate method ot reporting is reaquired of llcensed dealers and lJcerul'.ld sonably necessary o.nd wm not unduly
collectors . by pnrnsraph <R> ot th.l:J binder the ctrcctlve ndmtnlstra.tton of
t11.fs pan. A licensee who proposes to uso
section.
No. 217--ll
nn altcrnatl'; tcthod o! rcporllng shall

submit a letter llJlpllcatJ0:1, ln duplicate,
to the Assistant Heglunat Commissioner

nnd shall describe the' prnposed al tern ate
method of reporlin!f nnd the need lherefor. An alternate mdhod of reportin~
shall not be employed by the licensee until o.pproval In such rci:nrd ls rrccl\'ccl
trom the Assistant H.cg!onnl Commissioner.
178.127 Discuutiu \UUcc of ni:-i tlf'."
Where n J1real'lns or ammunitlon business ls dlscontiuucd and succrcdcd by n
new licensee, the ir-cords prescribed IJ,
this subpart shall approp1fatcly reflect
such facts and shall be delhered to the
successor. Where dlscont.lnuancc of the
business Is absolute, the records pre.scribed by thls subpart shnll be delivered
within 30 days following the business
discontinuance to the Assistant Regional
Commissioner for the lntf'rnnl revenue
region fn which the business wns opcro.ted: Providc.d. however, Where State
law or Jt:ical ordinance requires the delivery of records to other 1 esponsible
nuthorlly, the Assistant Reglonnl Com
missioner may arrange for the delivery
of the records required by thls subpart to
such authority.
Subpart r-Exemptions
178.141
Gcnl'r11l,
The provisions of this po.rt shall not

apply with respect to:
<a> The transportation, shipment, receipt, or Importation of any firearm or
ammunition imported for, sold or shlpt:Jed
to, or issued for the use of, the United
States or any d<mnrtment. or agency
thereof or any Stnw or nny dcpartmr.nt,
agency, or political subdivision thereof.
{b) The shipment or l'ccclpt of ftren.nns or e.tr.n1Unl Uon when sold or issued
b1 the Secretary of t..he Army pursuant
to section 4308 of title 10, u.s.c., and the
transporta.t.Lon or nny such fireann or
nmmunltJon cnrrled out to enable a person, who lawfully received such firearm
or nrnmunlUon !rom the Secretary of
ttie Army, to engage in mUltary trnlnlns
, '.n competitions.
(c) The shipment, unless otllenvlse
prohibited b:.: the Act or nny other l"cdcrol law, by a licensed Importer, llccnsed
manufacturer, or llccnscd denier to a
member of the U.S. Anned F'ol'ces on nctive duty outside the United States 01
to clubs, recognized by the DcpnrLmcrit o!
Defen~. whose entll'c membership Is
composed of such mctnbcrs o! the U.S.
Anncd Forces. nnd such members er

clubs mny rceclvc a fircann or ammunition determined by the D1n:ctor to be
generally rccognlzed ns pnrtlcularl~ suitable !or sporting pur!mscs rmd 1ntenciccl
for the person11l 1we of such member or
club. Before mnklni: a. s 11lpment of firearms or ammunition under t!ie p1ovblons
ot this pa.ragrnph, a llcen:;ed lmp01ter,
licensed mnnufnct.urcr, or llcensccl dealer
may submJt n. written request, !ii rlupl!catc, to the Director for n determination
by the Dhcctoi' 1.vhethcr such shi11n1cnl
would constitute a \.'loin tlon of the Ac" 01
nn,v other Federal Jn.w, or whether tht!
firearm or nmmunl lion ls considered by
the Dlrector to be gcncrnlly 1ccom1lzccl
FECEllAl. .REGISTR, VOt.. :13, NO. 2l7-WEONESDAY, NOVEMBER 6, 1969
0249
431
RIF
0250
Case 1:14-cv-01211-JAM-SAB Document 23-2 ...,,

Filed
.... 01/09/15 Page 61 of 62
16300
cdJ Whenever
tho
Commissioner or controlling, dli-cctly o\ lnclirectly, the
granf.1: relief to any person pursuant to policies and manngement of such orsnthis sectJon, he sh11ll promptly pubHsh 1n nlzatlon, the nature and imn1osc of tlH!
the FEDERAL REGISTER notice or such ac- rescnrch bein~ concluctcd, a dcsc11ptlon
tlon. together with the reasons therefor. or the de\'Jces and weanons to be
Cc> A person who ho.s been granted received, 11.nd the ldentlty of the 1icrson
rel1e~ under th~s section shell be relJcvcd or persons from whom such devices nnd
of any dlsnbHltles Imposed by Federal weapons arc to be r<!ccivcd.
laW.s: WJth respect to the l1CQUIG1t1on, re- 178.J.t(i Dclinric1< J1y mnil In 1Nl1tit1
ceJ:pt, transfer, sh:IJJmcnt, or possession -.
person~.
ol firearms nnd !ncurrccl by reason bf
such conviction.
The provJslons of thls rrnrt hall not

a) ( u A llcensee who fs convicted of be construed tis t>rohlbltin~ u Ucensed
a. crime punishable by JmprJsonmcnt for Jmportcr, licensed manurncturcr, 01
a. ~e1m excecdlng 1 year during' the term licensed denier from depositlng n flrcot a current license or while he has pend- arm for conveyance ln the mnlls to nny
cur-..ed by Indictment.
Lng a license renewal appUcntlon, and: officer. employee, agant, or wnLchman

A licensed lmporter, Jlcenscd manufac- who quo.Ufics under thls section to me nn who, pursuant to the provisions of sccturer, Ucensed dealer, or llccnscd collec- e.:ppllcatlon for removal of dlsebllltles re- Uon 1715 of title 18, U.S.C., is eligible to
tor who Is indicted for ~ crlnle punfsh- suitlng from such conv.ictle>n, sheJI not be i-ecelve throuuh the molls pistols,
nble by imprisonment !ore. term exceed- barred from licensed operations for- 30 revolvers, e.nd other firenrms cnpnble or
ing l year may, n'ltwllbstandlng an:v d
.. t
hi 1 hJ
being conc:e11Jcd on the person. tor use
aye 8 rt C?r th e un. e uvon w c 1 5 con- in connection with his omcln] dutlC!s.
other provJslon of the Act, continue oper- , v1ctlon
becomes final, and If he files his
..
ntlons pursuo.nt to hls exfst1ng license D])pllcatfon tor relfor ns provided by f,h1s 178.14-7 RcJmir of fireur1u.
during the term. o! suchJndlctmcnt end
A person not otherwise prol1lbltcd by
until any conviction pursuant to the ln- se-cUon within such 30-dllZ period, he
dlctment becomes final: ProvEt:iecl, That may further continue licensed opera- Federal, State or local lnw ma.y ship o.
If the tenn of tho license expires durlng tlons during the pendency of his n.ppU- firearm to .a IEcensed JmporLcr, licensed
the period bet.ween thedaleol the Indict- cation, A licensee wll() is not qualJficd manufacturcC'. or Uca11scd dealer for the
ment and the dnte the conv!ctton thereunder this sectlo.n to file an appllcntlon sole purpose of repair or customizing,
under beeomcs final, such importer, - ror r~lle! or, It so qualified, does.not tile notwlthstnnd1ng any other provJs1on or
ll.ppUcatlon within 30 days from the this part, the licensed Importer, licensed
manufacturer. dealer, or collector must such
date hJs conviction becomes :final sha.ll
file n timely appllcntlon for the renewal not continue licensed operations beyond manufacturer, or licensed dealer may
or hls license ln order to continue opera- 30 dliys !rom the date hls convtcUi:m be- return ln Interstate or foreign comtions. Such n.ppllcntlon 5llnln tbow that comes ftna.l.
.
mcrce to that person the repaired firethe upplicant. Is under indictment for a
C2~ In the event the term of n Ilcense arm or a 1:Cp!ncement firearm of the
crime punishable by lmprlsonment.ror a of a Person quaUfted to seek relle! under- same kJnd nnd type,
term exceeding 1 ycur.
this section e.xplrcs du1lng the 30-da.y 178.148 A111111u11ilion lo111U11g for 11cr.
11oml1 uHc,
.
178.14'' Ttdicf Crom dho1Jili1iu in period fallowing the date upon which his
currcJ by conviclion.
con'l/lctlon becomes tlnal or durlng the . The UeCJ1slng provh;!ons of this part
(a) Any ]lerson may mnke appllcatJon pcndency or his a~pllcatton for rcuer. he shnll not apply to any person who et~
for relic! from the disabilities under Fed must file a. timely 11.ppllcatlon for renewal gages only 311 hand landing, relondini;,
eral ICJ.w incurred by reason of a convfc- ot his llt>ense in order to continue llc~nsed or custom loading nmmunitlon for h1s
tfon o! a crime punishable by imprison- operations. Such Ucense appllcattonsha.11 own firearm, a.nd who docs not hnnd
ment for a term eiccccdlng l yeur lf such ~how that the npp1lctmt ha.s been con- load, reload, or ustom lond ammunlUon
conv3ctfon wns not of a cdme involvf.ng" vlct.ed or a crJme punishable by 1m- for others.
the use ot a firearm or e>thcr weapon or prJsonmcnt for a term cxceedlng 1 year,
C3> A llccnsco sha.!1 not continua 11- Subpart J-PE!nalties, Seizure5, and
a vlolnUon <Jf the Act <Jr the :National
censed ppcrntlons beyond 30 days followForfeitures
Firearms Act.
Ing the date the Commissioner issues
<bl An npnllca~lon forzsuchrelle! shall nr1tffica.tlon that the llcensees eppllcn- 178.161 1~:1l~c 1<h1lr111ent or rcrnc~cll
be addressed t.o the Commlss~oner and t!on for removal of dlsa.blllties resu!Llng
- latlo ...
shall tnclude such supporting data. u the 1.rom
a convlctlon :hns been denl~d.
Any person who knowitt14ly nmkas uny
applicant deems npproprlate. 111 the case
<41 When as pro"lded ln tills sectlon fnlse sta.tcmcnt or rcprcsen tutlo n with
of a corP<Jrn'Uon, the supportlng de.ta
licensee may no longer continue respect to any lnformntton re111drcd by
should Include Jn1ormotJc~1 as to the ab- a.
llccn.sed operations, any nppllcatlon for the pravls2ons of the Act or this pal't to
sence or: cuipablllty In tbe oUense of renewal of Uccn~e flied by the licensee be
kept In tl1e records of a r>enmn enwhich tha corporation wos contlicted, or- during the term of hls Indictment or gaged
or nmmunition busiof o.ny pecson .,n.vini; the J;lDW.e-r to dtrei.:t. the pcndcncy or his npplJcatlon for ness, orinJnfirearms
applying for nny l\ccn.sc, cicor control Ule management of the ct1r- removal or dlsablllUes resulting from empt1on, or rellc! from disability, under
porat1on. if such be the fact. The appU such convicLlon. shall be denied by tho the provisions of the Act., shall be fined
eatton sl1aU be filed, tn trf,pHcate, with Assistant Rcg!om1.l CommJss!onar.
not more thnn $5,000 oi- lmprlsomncnt
the AsslsWmt Reg:onnl Commlssloner for
not more than 5 yenrs. or both.
the 1ntarnal revenue rcglon wher~l.n the 113.) 45 fl~SC'itn"h Or~11ni:wli1;m9,
applicant resides, end, if appllcable,
The provlslons of this part with 178.162 Tr1111~11nr1aticm or rript '"
wherein the sppJlcnnt dcslies fo con- respect to the sale or delivery o! decommit 11 crinic.
duct his buslness or o.cttvity.
structlve devices. n.ach!ne guns, sllortAny person who shi11s. Ltani-.1m1 t:;, 111
Cc> The Comm2ssloner may grant re- barrl"lCd shotguns, and short-ba.rrelcd receives a flreru'lll or nny :m1 rn unll ion 111
lic! to an applicant if It 1s estacl!shed to rifles shall not apply to the sale or de- lntel'stntc Qr foreign comt11e!ce with inthe satisfaction of the Commls'11oner thtit llvcry of such devices and wcnpons to tent to commit thcl'cWith nn ofTcn~e
th(' circumstances regardJng the convJc- a.ny research organfaatlon deslgnntcd by punlshnblc by tmmlsonmcnt tor a k1111
Uon, and the opp~lcnnt's rco.ml and rep- the Director to rcccL11~ same. A research exceeding I yen:-. or with know!Nh~c nncl
utntlon n.re such tnut the P.Pi;>Uctmt wlll organization deslring such dcslgnntlon rcasormble cnusc to bclie\e t!wt nu orsubmit n Jetter application, In fense punlslrnblc by lmpri~omucnt for
not be llkely to act. 1n a. manner danger shali
duplicate. to the Dlrcct.ar. SUt>h nppllco- n. term exccc-din1~ I yciu- is t-:> be comous to public safety, and that the grant- tlon shall canto.In the nama nnd address ml!.lcd thHc,,Jlh. shall be nnec! not more
ing of the reno! would no~ be contrary of th!! resenrch organtz:atfon, the names than SI 0.000, or imprl.so11ccl 11ot mon~
to the publlc Interest.
and addresses of Ule persons dlrcctlng tho.n 10 yc:us, or both.
as particularly suitable !or apor~ln.g purposes.

..,
<d> The trnnspo.rtetloh, ahlpment, rccelp t, or importation ol SJ.lY antique
firearm.
178.142 EITect or Prc&idci.tial paz:..don.

A pardon granted by the PrcsJdent ot
the Unll:ed States regnrdlne- .a eonvlctlon
for n crime punlshnble by lmprlsorunent
for o. term exceeding l yea.r eha.U remove
any dlsnbfHty whlch otherwise vrould be
bnp0sed by the provision~ o~ this part in
respect to that.conviction.
178.143 Rll'lid from di1ablll1le1 lu-
IFEOEltAL REC.HSIU, VOL 33, NO. 21 l'-WEONESDAV, NOVEMBER 6, 1969
0250
432
RIF
0251

16301

Commiuion of a .Fo_dcral receive, p0.ssess, or transport 1n commerce a firearm.
Any person who uses e. firearm to com- 178.166 Seizure and forfeiture.
mit any felony which ma.y be prosecuted
AJ:i.y firearm or ammWlltlon Involved
in a court o! the United States, or car- tn, or used or Intended to be used In, a.ny
ries e. firearm Wlla wfully durln1 the com- violation of the provisions of the Act or
mission of a.ny felony which may be of th1s part, or 1n violation of any other
pro~uted 1n a court of the United criminal law of the Unlted States, shall
States. shall be sentenced to a term of be subject to seizure and forfeiture, and
imprisonment for not less than 1 year &11 provisions of the Internal Revenue
nor more than 10 years. In the case of Code of 1954 relating to the seizure, fora person's second or sub.sequent convic- feiture, and dlsposltlon of firearms, as
tion under this section, such person .shall defined in section 5848Ca> of that Code,
be sentenced to a term of imprisonment shall, so far as appllcable, extend to seitor not less than 5 years. nor more than zures and forfeitures urtder the provisions
25 years. and notwtth.stanclin1 any other of the Act.
provision of law, the court l!hall not sws
Subpart K-Exportation
pend the sentence of such person or aitve
him a probationary sentence.
178.171 Exportution.
178.164 Receipt, etc., o( firearm b7
Firearms and ammunition shall be excertain pcrl!>Oms.
ported ln accordance with the appllcable
Any person who (a) has been. con- provisions iJf section 414 of the Mutual
victed of a. felony, has been dis- Security Act of 1954 <22 U.S.C. 1934> and
charged from the Armed Forces under regulations thereunder. However, lidishonorable conditions, <c> has been ad censed manufacturers, ltcensed importjudged by a oourt of the United States ers, and llcensed dealers exporting fireor of a State or any pcllttcal aubd.ivislon arms and ammunition shall maintain
thereof of being mentally liicompetent, records showing the manufacture or ac<d> having been a cittzen of the United quisition of the firearms and ammunition
States has renounced his citizenship, or as required by this part and records
le> being an alien 1.s !llegally or unlaw- showing the name and address of the
fully ln the United States, who receives, foreign consignee of the firearms and
possesses, or transports In commerce or ammWlition and the date the firearms
affecting commerce, any firearm shall be and ammWlltlon were exvorted.
fined not more than $10,000 or impris- tl".n. Doc. 68-13482; l"tled, Nov. ll, 1968;
oned !or not more than 2 yea.rs. or8:48a.m.)
both: Provided, however. That the provl
sions of this section shall not apply to
any prisoner who by reason of duties connected with law enforcement has ex
prcsi;ly been entrusted with a firearm
by competent authority of the prison, or
to any person who has been pardoned
I 49 CFR Part 1056 l
by the President of the United States or
the chief executive of a State and has
[Ex Pa.rte No. MC-19 (Sub-No. 5) I
expressly been authorized by the President or such chief executive as the case PRACTICES OF MOTOR COMMON
CARRIERS OF HOUSEHOLD GOODS
may be, to receive, possess, or transport
ln commerce a firearm.
Determination of Weights
178.16:> Rccdpl 1 etc,. of farcar~ LT
NOVEMBER 1, 1968.
ccrlain em1~loyces.
At a session of the Interstate ComAny individual who to bis knowledge
and while being employed by any person merce Commission, D1v1s1on 2, held at its
who <a> has been convicted of a felony, omce tn Washington. D.C.. on the 21st
Cb> has been discharged from the Armed dny of October 1968.
It appearing, that the Interstate ComForces Wlder dishonorable condltlons,
cc> has been adjudged by a court of the merce Commission has prescribed rules
and
regulations, as set forth at 49 CFR
United States or o! a State or any pollticnl subdivision thereof of bcin~ mentally 1056.3, !or the determination of the
incompetent, Cd> having been a citizen weights of shipments of household goods,
of the United States baa renounced his as defined at 49 CFR 1056.1 Ca>;
And 1t further appearing, that by peticltlzcnshlp, or <e> being an alien ts Illegally or unlawfully ln the United States, tion filed on July 30, 1968, the Household
and who, in the course of such employ Goods Carriers Bureau prays that the
mcnt, receives, pcsr.esses, or transports ln Conunlssion consider a new subpart to 49
commerce or nfil.'ctlng cc.m~erce, any CFR 1056.3 partially reltevlng household
firearm shall be fined not mo1e than goods carriers from the rules and regula
$10,000 or imprisoned for not more than tlons pertaining to the detenninatlon of
2 years. or both: Provided, however. That weights; that this request ls supported by
the provisions of this section shall not the Movers' & Warehousemen's Assocla
apply to an employee employed by a per- tlon of America, Inc.; and good cauoo ap
son who has been pardoned by the Pres! pcartngtherefor:
It i! ordered. That a rule-making prodent o! the United States or the chief
executive o! a State a.nd has expressly ceed1ng be , o.nd lt ls hereby, 1nstltuted
been authorized by the President or such Wlder the autho11ty o! part II of the
chief executive, as the case may be, to Interstate ~mmerce Act and section 4
178.163
crin1c.
INTERSTATE COMMERCE
COMMISSION
of the Administrative Procedure Act to

determine whether a.nd to what extent
the motor common carriers of household
goods should be relieved from the i-ules
and regulations specified above on shipments of machinery and its auxiliary nnd
component parts.
It 3 further ordered, That all motor
common carriers of household i~oods
operating tn Interstate or foreign commerce and subject to the Interstate Commerce Act be, and they are hereby, made
resp0ndents ln this procecdln!{.
It ts Jurtlwr ordered, That nil person.r,,
Including the respondents, who wish
actively to participate in this proceeding
and to file and to receive copies of plendings shall make known that fact by
notifying the Commission In writing on
or before December 16, 1968. To consr.tve time and to avoid unnecessary
exmmse, persons having common Interests should endeavor to consolldate their
presentation to the greatest extent Possible. Individual participation is not precluded; how(}ver, mere casual interest
does not justify r:i.rticlpatlon. The Commission desires !1articlpatlon only of
those who Intend to take an active part
1n the proceed!ng.
It i! further ordered. That: Ca> ns
soon as practicable aft-Or December 16,
1968, the Secretary w111 serve a list of
the names and addresses of all persons
upon whom service of all verified statements, replles, or other pleadings must
be made: (b) within 30 days following
the service of such list, any party may
file an original and two copies of a verified statement and exhibits thereto with
the Commission and one copy upon each
party named ln the service Ust; <c>
within 10 days tbercafter any party may
file a. reply statement (original and two
copies) with the Commission nnd one
copy upan each party named in the service list; (d) within 10 days after the date
for replles has expired any party may
request a hearing for the purpose of
cross-exnmining any witness submittlm~
a verlfled statement by notifying the
Commission and all parties.
And it is further ordered, Thnt n copy
of this order bf! served upon the Houi>ehold Goods Cnrricrs Bureau: th~
Movers' & Warehousemen's Association
of America. Inc.; the motor common cal"rier respondents; the Public Utility Com.
mission, Doard, or similar re~ulu toi ~
body of each State hnvlng ju11sdJ(t!. n
over the transpo1tatlon here in\'olwd:
and that a copy be posted In the officP of
the Secretary of this Commission: a::J
that a copy be delivered t.o tile Director.
Division o! Fcdernl Rci:istN, for publication ln the FEoEHAL H.Ec;1s1En.
By the Commission, Divisl<>ll ::!.
n. NY.IL G1111soN,
rsEALl
Scc:rctary_
[F.R. Doc.
(lS--13417;
8:46
In lleu
or
Filed,
Nm.
[1,
HJGR:
fl.Ill.]
\crlfk"Uon 1m1kr ""tll. an\
prepared &tntement mny be math' s111JJ1.ct t.1

the !ollowlng dcclarntlon: "I :;oil'mnly <IPclo.re that 1 hn\e examined the rorei;uln~
ct0cumcnt. nnd thnt the ~tntcmcnts of rat~

. contained therein nrc t.ruC'."
(Stg1111ture).
FEDERAL IEGISTEll, VOL. 33, NO. 217-WEDNESDAY, NOVEMBER 6, 1968
0251
433
RIF
0252

18555

Title 26-INTERNAL REVENUE
Chapter I-Internal Revenue Servii:e,
Department of" the Treasury
SUBCHAPTER E-ALCOHOL, TOBACCO, AND
OTHElt EXCISE TAJCES
PART 178-COMMERCE IN FIRE-
ARMS AND AMMUNITION

On November 6, 1968, a notice o{ p10-
poscd rule making and hearing to issue

26 CFR Part 1'78, wlth respect to commerce in firearms and ammunition, was
published 1n the FEDERAL REGISTER <33
F.R. 16285>. ln nccordnnce with the
notice, interested persons were afforded
nu opportunity to submit written comments or suggestions, or to be heard at
n hearing held on November 21, 1968.
After consideration of all written and
orlll comments, the regulations ns publlshed, including the corrnctlon pubUshed
in the FEDERAL REGlSTEI\ (33 F.R. 1664'0
nre hereby adopted, subject to t.he
changes set forth below:
PARAGRAPH l. 178.1 is changed as
follows:
(A) By striking in paragraph Ca) "(82
Stat. 236>" and by Inserting in lieu thereof "C82 Stat. 236; 18 U.S.C. Appendix)".
(B) By st.rtktng the word "of" after
the word "business" 1n paragraph Cb)
(3) and Inserting in llcu thereof the
words "or activity by".
Pt.R. 2. Section 178.2 is changed by
stl'iking the word "tramc" and inserting
in lieu thereof the word "commerce".
PAR. 3. Section 178.11 1s changed as
follows:
CA> The definition of "Ammunition"
Is changed by str!ki..~g the period at the
end thereof and inserting in lieu thereol
"other than an antique firearm. The
term shall not Include <a> any shotgWl
shot or pellet not designed for use as the
single, complete projectile load for one
shotgun hull or casing, nor Cb> any unloaded nonmetallic shotgun hull or cas1.ag not having a primer."
 The definltlon of "Antique fircann" 1s changed by striking the dcslgnatJom "CU", .. (2}''. "CU", "<l)", and
.. (ii) "and inserting in lleu thereof "(a) ",
"", "paragraph (a)", "CU", and
.. <2> ", respectivelY.
(C) Immediately after the definition
of "Business premises" there is Inserted
a new definition.
CD> The definition of "Crhne punishable by imprisonment for a term. exceeding I year" is revised to reflect edltorlal
changes.
<E> The definition of "Customs omccr"
is changed.
CF) The definition of "Date of importation" is deleted.
<G> The definition of "Destructive device" Is changed by strlldng the word
"clauses" in paragraph Ca) (6) and inscrtlni:t in lieu thc1eor the words "subpa.mgraphs of this definition"; and by
inserting in po.ragm1>h (cl the word
"paragraph" immediately before the designations "<a> or ".
(fl) The definition of "Firearm frnme
or rccclver" is chnnged by striking the
word "brccchlock" and inserting in lieu
thereof the word "brccchblock,".
cn The dctlnitlons of "Licensed
denier", "Licensed Importer", and ''Licensed mnnufactmer" are changed by
strlldng the words "Public Law 90-351"
and insertini:t in lieu thereof the words
"the Omnibus Cl'ime Control and Safe
Streets Act of 1968".
CJ) The definition of "Replica", immediately following the definition of Regional Commissioner, is deleted.
CK) Immediately following the definition of "State'' there is inserted a new
definition.
PAR. 4. Section 178.23 is 1evlscu to pmvlde clarifying changes.
PAR. 5. Section 178.26 Is changed by
striking the word "testing" in each place
it appears and inserting in lieu thereof
the word "evaluation".
striking from the second sentence thereof the words "to the Assistant Regional
Commissioner for transntltte.l"; by
striking from the fourth sentence
thereof the words , or to an officer designated by him.'': by striking from the
fou1'th sentence the words "or testing."
and by inserting in lieu thereof the words
"and evaluation."; by strlklng from the
fifth sentence the word "lmpractlble"
a.nd the word "testing.", and inserting in
lieu thereof the word "impracticable"
and the word "evaluation.", respectively.
PAR. 7. Section 178.28 ls changed as
follows:
CA> The first sentence of paragraph
(a) is changed to read as follows: "(a)
The Assistant Regional C01nmissloner
for the internal revenue iegion in which
a person resides may authorize thnt person to tnmsport in interstate or foreign
commerce any destructive device, ma.chine gun, short-barreled shotgun, or
short-barreled rifte, 1f he ftnds that such
transportation is reasonably nccessm'Y
and is consistent with public safety and
nppllco.ble State and local le.w."
(B) Paragraph <c> is changed.
PAR. 8. Section 178.30 is changed by
1m;crting after the word "give" in the
.first sentence thereof a",".
PAR. 9. Immediately after 178.34 there
Is inserted a. new l'iS.35.
PAR. 10. Paragraph (b} of 178.41 ls
revised to make editorial changes; paragraph Cc> Is rcdeslgne.ted as paragraph
<d) : and a. new paragraph (c) is added.
'PAR. 11. Section 178.43 is changed by
adding a new sentence at the end thereof
to read as follows: "However, the license
fee submitted with an application :for a
license shall be refunded if that applicntlon is denied."

PAn. 12. Section 178.44 Is changed by
stl'lklng from the first sentence of paragraph Cb> t11e words .. engage in such
activity" nncl Inserting In lieu thereof
the words "maintain his collection
premises"; nnd by inserting ln the second sentence of paragraph Cc) the word
"Firearms" immediately following the
wol'd "Federnl''.
PAR. 13. Section 178.46 Is changed.
PAn. 14. Pnragmphs (6) and Cc)
of ~ 178.47 are changed.
stl'lking the words ", and the copy
thereof furnished with the license," from
each pince they appear; by striking the
words "and the copy thereof" and ", and
the copy thereof," fmtn each place they
appear; and by striking the word "may"
in the Inst sentence of pa.ragmph (b)
-and inserting in lieu thcl'eof the word
"shall".
PAn. 10. Section 178.52 ls changed by
revising the first sentence thereof to
read: "A licensee may during the term
of hls current llcense remove his business
or activity to a new location nt which he
intends rcguln.rly to carry on such business or activity, without procurlng a new
Jlccru;e.''
PAR. 17. Immediately after 178.58
there arc inserted two new sections,
178.59o.nd178.60.
PAR. 18. The first sentence of 178.78
ls changed by striking the words "If,
after" and Inserting in lieu thereof the
word "After".
strtking the words "such as meets the
needs of the Parties:" and Inserting lu
lieu thereof the words "at a location convenient to the aggrieved party:".
is changed by adding e. "," immediately
following the words "has expired"; and
by adding a proviso hnmediately following the words "licensee has passed" to
read as follows: ":Provided, That under
the condition of paragraph Ca) of this
section, the licensee has timely filed an
application .for the renewal of his
license".
PAR, 21. Section 1'78.92 is cbani:ted CA)
by striking the designation "(a)"; 
by striking tbe designation "Cb)" and Inserting in lieu thereof the words "and by
engraving, casting, stamping Cin1Pressing) , or otherwise conspicuously placing
or causing to be engraved, cast, stamped
<impressed) or placed on the frame, receiver, or barrel thereof In a manner not
susceptible of being readily obliterated,
altered or removed,"; CC> by striking the
designn.tlon ", Cc)" and inserting in lieu
thereof ";"; <D> by striking the words
"guagc, Cd)" and Inserting in lieu thereof
the word "gauge;"; CE> by striking the
designation ", <e)" and inserting In lleu
thereof ";" and CF> by striking the words
FEDERAL REGISTER, VOL. 33, NO. 243-SATURDAY, DECEMBER 14, 1968
0252
434
RIF
0253
18556
RULES AND REGULATIONS
", and (f) " and Inserting in Ucu thereof

the word": and''.
PAR. 22. Section 178.93 ls changed by
strlkfng the word "shlpments" in para
graph <a> thereof and inse1t1.ng in Ueu
thereof the word "shipment"; and by
striking the text folluwlng "and Cb)'' and
Inserting In Heu thereof "any transaction
with n nonUcensee involving any flrenrm
01 ammunition other than a cm1o 01
relic. <See also 178.50.)"
PAR. 23. Section 178.94 is changed.
PAR. 24. Section 178.95 is changed liS
follows:
<A> by changing paragmph 
thereof to re11d: " Make a reproduc
tiou of his license, enter upon such repro.
duction the statement: t certify that this
is a true col>Y of a license issued to me to
engage Jn the business speclfled 1n Ite:m
5,' and sign his name adjacent thereto,
or": and
 by striking the \vord "additional"
in the first sentence of paragraph <c>
thereof and inserting ln lieu thereof the
word "certified".
PAR. 25. Paragraphs , <c>, and (d)
of 178.96 are changed.
PAR. 26. Sections 178.97 and 178.98 are
changed.
PAR. 27. Paragraphs <a> and <c> of
178.99 are changed.
adding the words "and ammunition" lm
mediately following the word "firearms".
PAR. 29. Paragraph (1) of 178.111
~ changed, and paragraph Cc) is added.
PAR. 30. Section 178.112 is changed as
follows:
CA> Paragraph <a> ls changed by
striking "> unless Cl> If o. firearm, it is
identified as required by this part, and
<2>" and by deleting "<3>" Immediately
following "ammunition, or".
 Paragraphs and <d> are
changed by striking "<If ammunition>"
immediately following the word "size".
PAR. 31. Section 178.113 ls ch mged as
follows:
<A> Paragraph Is changed by
deleting "<if ammunltlon>" Immediately
following the word "size" 1n subparagraph <2>, by Inserting the word "and"
following existing text of subparagraph
(5), by deleting all of subparagraph <6>.
and by renwnbering subparagt:aph "<7>"
as "<6>".
 Paragraph Cc> ls changed by re
vising the second sentence to read "In
obtaining the release of the firearm or
ammunition from Customs custody, the
licensee importing same shall furnish a Fo1m 6A <Firearms> to the
Customs officer releasing the fh'ea1m or
anununitlon."
<C> Paragraphs (d) and <e> are
deleted.
deleting paragmph <a>: redestgnating
paragraphs and <c> as paragraphs
<a> and <bl, respectively, and revising
such redesignated paragraphs; and add
ing a new paragraph Cc>.
adding at the end of paragraph <a>,
"Registration on Customs Form 4457 or
on any other registration document
available for this purpose may be completed before departure from the United
States at any U.S. customhouse or nny

office of nn Assistant Regional Commls
sloncr. A bill of sale 01 other commercial
document showing transfer of the fire~
nrm cir ammunition Jn the United States
to such pe1son also may be used to es
tnbllsh prnof that the fireat'm or nm
munition was tnken out of the United
States by such pel'son. Firearms and
nmmunltlon furnished under the proviw
slons of section 925<a> <3> of the Act to
milltary members of the U.S. Armed
Forces on active duty outside of the
United States also may be imported into
the United States or nny possession
thereof by such milltary members upon
establishing to the sntlsfactton of customs that such firearms and ammuni
tlon were so obtained."; and by adding
a new paragrnph <d>.
PAR. 34. section 178.116 ls changed by
nddlng, in the last sentence and lmmedfw
ntely following the wo1ds "teleased from
Customs custody" the words "upon the
payment of customs duties, if appllcable,
and".
PAR. 35. A new section, 178.117, is
added immediately following 178.116.
PAR. 36. Parag1aph <a> of 178.121 ls
changed.
PAR. 37. Paragmphs Ca>, . and
(d)
of 178.122 and 178.123 are
changed.
PAR. 38. Sections 178.124 and 178.125
are changed.
PAR. 39. Paragraph Cb> of 178.144 is
changed by revising the last sentence to
read "The application shall be filed, in
triplicate,.- with the Assistant Regional
Commissioner for the internal revenue
region wherein the applicant resides."
striking "5848<a>" and by lnsertlng in
lieu thereof "5845<a> ".
Because these regulations implement
Title I, State Firearms Control Assistance
<18 U.S.C., chapter 44) of the Gun Control Act of 1968 <82 Stat. 1213> which
becomes elfective December 16, 1968, it
is found that it is impracticable and con
trary to the public interest to publlsh
these regulations subject to the effective
date limitation of 5 U.S.C. 553Cd). Ac
cordingly, these regulations shall become
effective on December 16, 1968.
SHELDON
s.
Com:N,
Commissioner of Internal .Revenue.

Approved: December 12, 1968.
JAMES PONEROY HENDRICK.
Special Assistant to the Secretary
<for Enforcementr.
tlons 26 CFR Pnrt 177 issued under the

Fedeml Fbenrms Act <U.S.C., title 15,
chapter 18>.
2. These regulations shall not affect
nny act done or any llablllty or right
accuring, or accrued, or any suit or proceeding had or commenced before tu~
effective dnte of these regulations.
3. These regulntions shall be effective
on nnd after December 16, 1968.
PART 178-COMMERCE IN FIRE

ARMS AND AMMUNmON
Sec.
178.1
178.2
Scopo or rogi1lntlona.
Rotation to other provisions or law.
178.11
Menning ot terms.
Subpart B-Dennltrans
Subpart C-Admlnlstratlve and Miscellaneous
Prov1Jlon1
178.21
Forms prescrl.bed.
178.22
Emergency variations .from require170.23
178.24
178.25
178.26
178.27
178.28
178.29
178.30
178.31
178.32
178.33
178.34
178.35
ments.
Right of entry nnd examlnntlon.
Published ordinnnces.
Disclosure of informntlon.
Curio nnd relio deterlllinRtlon.
Destructive devlco determination.
Transportation or destructive do
vices nnd certain firearm11.
Out-or-state ncqulaltloti. of firenrms by ti.onlicensec&.
Out-or-state disposition or flrenrme
by nonlicensees.
Dellvery by common or contract
carrier.
Prohibited shipment, transportation, or receipt or firearms and
ammunition by certain persons.
Stolen firea.rm.s and IUDDlUllltlon.
aemoved, obliterated, or altered serlnl number.
Skeet, trap, target, and 11lm1lnr
shooting activltlee.
Subpart D-Llcen111
178.41
Genera\.
178.42
License :Cee11.
178.43
Llconse fee not rerundnble.
178.44
OrlglnRl llcense.
178.45
Renewal of llccnse.
178.46 ' Proocdure by Dl11trlct Director.
178.47
IB$Uance ot license.
1'18.48
Correction of error on license.
178.49
Duration or license.
178.50
LOcations covered by llcense.
178.51
License not transferable.
178,52
Change of address.
178.53
Chnllge in trnde name.
178.54
Chnnge of control.
!78.55
OontlnUing partnerships.
178.56
:Right of succession by certain
178.57
178.58
178.59
178.60
In order to implement the provisions

of Title I, State Firearms Control Assist
ance <18, U.S.C., chapter 44>, of the Gun 178.71
Control Act of 1968 <82 Stat. 1213), and 178.72
Title VII, Unlawful Possession or Receipt 178.73
of Firearms <82 Stat. 236; 18 U.s.c., AP 178.74
pendix>, of the Omnibus Crto.1e Control 178.75
and Safe Streets Act of 1968 <82 Stat. 178.76
197), as amended by Title m of the Gun
Control Act of 1968 <82 Stat. 1236> , the 178.77
following regulations are hereby prew
scrtbed as Part 1'78 of Title 26 of the
178.78
Code of Federal Regulations:
Preamble. 1. These regulations, 26 178.70
178.80
CFR Part 178, "Commerce 1n Firearms 178.81
and Ammunition," supersede regu]a- 178.82
persons.
Dlscontinuancc or business.
state or other law.
Abandoned application.
Certain contlnunnces of business.
Subpart E-Llcense Proceeding
Dental of 11n appllc11tlon for UcenGc,

Henrlng after 11ppllcatlon dental.
?orotice o! contemplated revocation.
Request for hearing nrter notice
of contemplated revocntion.
Hearing after notlce of revocation.
Recommended decision of hen.ring
examiner.
Certification 11nd tmnamlttal ot
record and recommended decision to Director.
Decision or Director.
Service on appllcant or licensee.
Representation at a hearing.
Deslgnl\ted place of helU'1ng.
Operations by licensees after notice.
0253
435
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0254

18557
RULES AND REGULATJONS

Subpart F-C:ond11d of 8u1lne11
Soc.
Posting ot llccnso.
Idcntlficl\tlon or flrcnrnts.
Authorized opcrntlons by n licensed
collector.
Snlcs or dell vcrlcs bctweell licensees.
1711.04
Ccrtlllcd copy of Ucenso.
178.05
Out-of-St.nt.c nnd mnU order snlcs.
178.00
Lonn or rentnl of flrenrme.
17B.1l7
Snlcs or deliveries of destructive
178.08
devices l\lld ccrtn.ln :!lrcl\rms.
ccrtn.tn p r oh lb t to d enlcs or
178.110
dell verles.
176.100 Record of trnnsnctlons,
178.01
178.02
178.03
Subpart G--lmporlotlon
176.111 Ocncrnl.
176.112 Importation by o Uccnsctl Importer.
178.113 Importntlon by other llccn11ccs,
178.114 Importntlon by member!) of tho U.S.
Armed Forces.
178.115 Exempt lmportn.tlon.
178.116 Condltlonnl Importation.
178.11'7 Function outside n custome terri-
tory.
178.121
178.122
178.123
178.124
178.125
178.120
178.127
Subpart H-Rocords
Ocncrnl.
Records mnlntnlnecl by Importers.
Records mnlntn1J1cd by mnnutncturero.
Firearms trnnsnctlon record.
Record ot receipt nnd disposition.
Furnishing trnns11.ctlon Information.
Dlscontlnunncc ot business.
Subpart 1-Ewomptlont
178.141 OenernJ,
178.142 Effect of Presldcntlnl pnrdon.
178.143 Relief from disabilities incurred by
1ndlctmont.
Relief from dlsnbll1tlcs Incurred by
conviction.
Rcscnreh orgnnlzntlons.
Dellvcrles by moil to cortnln persons.
Repair of flrenrm.
Ammunition loudlng for p1m1onn\
 Procedural and substantive requirements, This part contains the procedural and substantive requirements
1elntlve to:
<1) The Interstate or foreign commerce in fi1earms nnd ammunition;
<2) The licensing of manufacturers,
importers, and collectors of, and dealers
in, firen1ms and ammunition;
C3> The conduct of business or activity
by licensees;
C4) The lmpo1tat1011 of firearms and
ammunition:
(5) The rccol'ds and reports required
of licensees;
(6) Relief from disabilities under this
po.rt: and
<7> Exempt lntel'stnte and foreign
commerce In firearms and ammunition.
(c) Federal Firearms Act licenses. This
part fully appUes to operations by pel'sons licensed under the Federal Flrearms
Act and Part 1'17 of this cha1lte1 who are
continuing their operations under such
license pursuant to section 907 of the
Omnibus Crime Control and Safe Stmets
Act of 1968 <82 Stat. 235). Any reference
in this pm't to "license," "licensee," licensed dealer," "licensed Importer," "licensed manufacturer," etc., shall apply
equally as the case may be to licenses
and 11crsons licensed under the Federal
Fh'cal'ms Act who are continuing opemtlons 1mrsuimt to a license issued undu1
thnt Act.
178.2 Rel111io11 lo other 1rovl11ionH or
Jow,
pellet not designed for use as the single,

complete projectile load for one shotgun
hull or en.sing, nor <b) nny unloaded,
non-metallic shotgun hull or casing not
having a primer.
Antique firearm. (a) Any firearm (including any firearm with a matchlock,
flintlock, percussion cap, or similar type
of Ignition system) manufactured in 01
before 1898; and any repllca of any
firea1m described Jn 1mragraph <a> of
this definition Jf such replica <1 > Is not
deshmed 01 1edesbmed for using rimfire
or conventional centerftre fixed ammunition, or (2) uses rlmfire or conventional ccntl!1firc fixed ammunition which
is no longer manufactured in the United
States and which Is not readily available
in the ordinary cl1nnnels or commercial
trade.
Assistant Reuional Commissioner. An
Assistant Regional Commissioner, Alcohol and Tobacco Tax, who Is iesponsible to, and !unctions unde1 the dlrcctlon and supervision of, a Regional Commlssione1 of Internal Revenue.
Business premises. The property on
Which firearms or ammunition importing, manufacturing or dealing business
Js or will be conducted. A private dwelling, no part of which is open to the public, shall not be recognized as coming
within the meaning of the term.
Collection premises. The premises described on the license of a collector as
tne location at which he maintains his
collectiol:' of curios and relics.
Collector. Any person who acquires,
holds, or disposes of firearms or ammunition as curios or relics.
Commerce. Travel, trade, traffic, commerce, tl'ansportatlon, 01 communication
among the several States, or between
the District of Columbia and any Stat!:!,
or between any foreign country or any
territory or possession and any State or
the Dist11ct of Columbia, or between
points In the same State but th1ough any
other State or the District of Columbia
Commissioner. The Commissioner of
Internal Revenue.
The provisions in this part arc In addition to, and are not in lieu of, any other
1'18.14&
provision of law, or regUlatlons, respect178.146
ing commerce in fbearms or ammunition.
1'78.147
For 1egulatlons applicable to traffic in
178.148
machine guns, destructive devices, and
UllO,
certain other firearms, see Part 1'19 of
this chapter. For statutes applicable to
Subpart J-Peno:ltlH, Selzure1, and forfeitures
the registration and licensing of persons
1'78.101 Fnlso st.ntcment or representation.
ln the business of manufacturengaged
1'78.162 Trnnsportntlon or receipt to commit
ing, importing or exporting arms, ammun crime.
178.163 Commission of n Federal crime.
nition, or implements of war, see section
1'78.164 Receipt, etc., or fironrms by certnln 414 of the Mutual Security Act of 1954
persons.
<22 U.S.C. 1934), and regulations there178.165 Receipt, etc., or firearms by certain under. For statutes applicable to nonCrime punishable by imprisonment for
employees.
"
mailable firearms, see 18 u.s.c. 1715 and a term exceeding l 11ear. Any offense for
1'18.106 Sclztmi and tortelture.
regulations thereunder.
which the maximum penalty, whether or
Subpart K-Exportotlon
not imposed, is capital punishment or
Subpart B-Deflnitions
imprisonment in excess of 1 year. The
178.171 E:xportntlon.
178.11 M_,imingoC terms.
term shall not Include <a> any Federal
AVTHORrrY: The provisions of this Part
178 Issued under 82 Stnt. 1213-1226, 18 u.s.c.
When used in this part and In forms or State offenses pertaining to antitrust
921-928, 82 Stat. 236, ns nmendcd, unless prescribed under this part, where not violations, unfair trade practices, reotherwise noted.
otherwise distinctly expressed or mani- straints of trade, or other similar offenses
festly incompatible with the Intent there- rela.tlng to the regulations of business
of, terms shall have the meanings as- practices excluded from the meaning of
178.l Scope or rcgulotlons.
cribed in this section. Words in the plural the te1m under provisions -<iontained in
this pa.rt, or Cb) any State offense <other
<a> In general. The regulations conform shall include the slngUlar, and vlce them one Involving a firearm 01 explotained 1n this part relate oo commerce versa, and words importing the mascu- sive> classified by the laws of the State ns
ln firearms and ammunition and are line gender shall include the feminine. a misdemeanor and punishable by a term
promulgated to implement Title I, State The terms "includes" and "Including" do of imprisonment of 2 years or less.
Firearms Control Assistance <18 U.S.C. not exclude other things not enumerated
Curios or relics. Firearms or ammuChapter 44), of the Gun Control Act of which are in the same general class or nition which are of special Interest to
1968 (82 Stat. 1213>, and Tltle Vll, Un- are otherwise within the scope thereof. collectors by reason of some quality
Act. Chapter 44 of title 18 of the United
lawful Possession or Receipt of Firearms States
other tha.n ls ordinarily associated wlth
Code.
(82 Stat. 236; 18 U.S.C. Appendix) of the
Ammunition. Ammunition or cartridge firearms intended for sporting use or as
Omnibus Crime Control and Safe Streets cases, primers, bullets, or propellent pow- offensive or defensive weapons. To be
Act of 1968 C82 Stat. 197) as amended by der designed for use in any firearm other recognized as curios or relics, firearms
Title m of the Gun Control Act of 1968 than an antique fl.rearm. The term shall and ammwiltion must fall within one of
not include <a> any shotgun shot or the following categories:
<82 Stat.1236>.
178.144
0254
436
RIF
0255
18558
<a.> Firca.1ms and ammunition which be used. as a wenpon, ls an nntlque, or .ls

were mnnu.fnctured at least 50 years prior o. rifle which the owner Intends to use
to the current date, but not including aolely for spo1t1ng purposes.
Director. The Dlrectol', Alcohol and
replicas thereof;
 Flrcnrms and ammunition which Tobacco Tax Dlv1slon, Internal Revenue
are certitled by the curator of a munici- Service, Treasury Department, Washingpal, State, or Federal museum which ex- ton, D.C. 20224.
Discliaroed. 2tnd.er cUslwnorable condihibits firearms to be curios or relics of
tions. Separation from the U.S. Armed
museum interest; nnd
<c) Any other firearms or ammWlitlon Forces :resulting from a Bnd Conduct Diswhich derive o. substnnt10.l part of their charge or a Dlshonornblc Discharge.
District Director. A District Director
moueta.ry value from the fact tllnt they
arc novel, rn.re, bizane, or because of of Internal Revenue,
Executed under penalties of pcrimv.
their association with some historical
figure, period, or event. Pl'Oof of ci.uo.11- Signed with tl1e prescribed declaration
wider
the pcnnltlcs of perjury as proficntlon of n particular firearm or item
of ammunition tmdcr tbls category may vlded on 01 with :respect to the return,
be established by evidence of present fonn, or other document or, where no
value and evidence that like firearms or f01m of declaration ls prescribed, with
ammunition a1e not nvnllable except as the declarntion: "I declare under the
collecto1's items, or tho.t the value of llkc penalties of perjury that this-(lnsert
firearms or ammunition avallnble in or- type of document, such a.s, statement,
dinary commercial channels ls substnn- appllcatton, request, certlflca.te), including the documents submitted in support
tially less.
Customs oUlcer. Any officer of the Bu- thereof, has been examined by me and,
reau of Customs or any agent 01 other to the best of my knowledge and belief,
person authorized by law or by the Sec- ls true, correct, and complete."
retary of the T1:easury, or appainted in
Federal Firearms Act. Chapter 18 of
wrltlng by a Regional Commissioner of title 15, United States Code, as in effect
customs, or by another principal customs on December 15, 1968.
officer under delegated authorlty, to perFelony. Any offense punishable by imform the duties of an officer of the Bu- prlsonment for a term exceeding l year.
reau of customs.
The term shall not include any offense
Dealer. Any person engaged in the Cother than one involving a firearm or
business of selllng firearms or ammun1- explosive> classified as a misdemeanor
tlon at wholesale or retaU; any person under the laws of a State and punishable
engaged ln the business of repairing fire~ by a term of lmpl'Jsonment of 2 years
arms or of making or fitting special bar- or less.
rels, stocks, or trigger mechanisms to
Firearm. Any weapan, including a
fire1mns: or llllY person who is a pawn- starte1 gun, which will or is designed to
broker.
01 may readUy be converted to expel a
Destructive device. Ca> Any explosive, proJectlle by the action of an explosive:
lncendlary, or poison gas <D bomb, <2> the frame or receiver of any such.
grenade, C3) rocket having a propellant weapon; any firearm mumer or ftreann
charge of more than 4 ounces, <4> mis- silencer; or any destructive device; but
slle having an explosive or incendiary the term shall not include an antique
charge of more than one-quarter oooce, firearm. In the case of a licensed collec<5> mine, or (6) device simUar to n.ny tor, the term shall mean only curios and
of the devices described in the preceding reUcs.
subpamgraphs of this definition; 
Ftrearm frame or receiver. That part of
any type of weapon Cother than a shot- a firearm which Provides hoUslng for the
gun or a shotgun shell which the Di- hammer, bolt or breechblock, and firing
rector finds is gene1ally recognized as mechanism, and which 1s usually
partlcuiarly sUltable for sporting pur- threaded at its fotwa1d Portion to receive
poses) by whatever name known which the barrel.
will, or which may be readily converted
Fugitive from justice. Any person who
to, expel a projectile by the action of has fled from any State to avoid prosecuan explosive nr other propellant, and tlon for a crime or to avoid giving testlwhich has any banel with a bore of mo1e mony in any c1lmlnal proceedlng.
than one-half inch in diameter: and
Impartation. The bringing of a fireCc) any combination of parts either de- nrm or ammunition into the United
signed or intended for use in converting States; except that the bringing of a fireany device into any destructive device a1'Dl or ammunition from outside the
descrlbtld in paragraph <a> or Cb> of this United States into a foreign-trade zone
definition and from which a destructive for storage pending shipment to a fordevice may be readily assembled. The eign country or subsequent importation
tel'm shall not include any device which into this country pursuant to this part
'
ls neither designed nor redesigned for use shall not be deemed importation
lmpcrter. Any person engaged 'tn the
as a. weapon; any device, although onglnally designed for use as a weapon, business of imparting or bringing fire~
which Is redesigned for use as a signal- arms or ammunition into the United
ing, pyrotechnic, line throwing, safety, States for purposes of sale or distribution.
Indictment. Includes an indictment or
or similar device; surplus ordnance sold,
loaned, or given by the Secretary of the lnfonnation in any cc;urt under which a
Army pursuant t;o the provisions of sec- crhne Pl.Ullsbable by imprisonment for
term exceeding 1 year may be prosetion 4684(2), 4685, or 4686 of title 10, acuted.
United States Code; or any other device
Internal Revenue Code of 1954. Title
which the Director finds is not likeIY to 26, UnJted States Code.
l7!ternal revenue district. An internnl

l'evenuc district under the jurlsdlctlort of
n District Dll'ector of Internal Revenue.
Internal revenue region. An internal
revenue region under the jurlsdlctlon of
l1. Regional Commissioner of Internal
Revenue.
Interstate or foreign comme1ce. Ineludes commerce between nny place in a
State and any place outside of that SLnte,
or within any possession of the United
States <not Including the Canal Zone> or
the District of Columbia. The term shall
not include commerce between places
within the same State but through any
place outside of thn.t State.
Licensed collector. A collect.or of curios
and rcllcs only and licensed under the
p1ovlslons of this part.
Licensed dealer. A dealer Ucensed under the provisions of this part, and a.
dealer licensed under the Federal Firearms Act lf such license ls deemed valid
under section 907 of the Omnibus Cl'lme
Contl'Ol and Safe Streets Act of 1968
<82 Stat. 235).
Licensed importer. An importer 11censed Wlder the provisions of this part,
and a manufacturer <as that term was
defined in the Federal Firearms Act> 11censed under the FeCleral Firearms Act if
such license ls deemed valld under section 907 of the omnibus Cl'lme Control
and Safe Streets Act of 1968 C82 Stat.
235).
Lfecn.qetl manufacturer. A manUfacturcr licensed under the provisions of
this part, and a manufacturer <as that
term was defined ln the Federal Flrearms Act> licensed under the Federal
Firearms Act if such Ucense Is deemed
valld unCler section 907 of the Omnibus
Crime Control and Safe Streets Act of
1068 <82 Stat. 235).
Machine gun. Any weaPon which
shoots, is dr~slgned to shoot, or can be
readily restored to shoot, automatically
more than one shot, without manual reloading, by a single function of the trigger. The term shall also include the
frame or receiver of any such weapon
any combination or parts designed and
intended for use in converting a weapon
into a machine gun, and any combine.tlon of parts from whleh a. machine gi.m
can be assembled lf such parts are in
the possession or under the control of a
person.
Manufacturer. Any person engaged
in the n:ianufactu1e of firearms or ammunitlon for pu11>0ses of sale or distribution.
National Firearms Act, Chapter 53 of
the Internal Revenue Code of 1954.
.
.
Pawnvroker. Any peison whose business or occupation includes the taking or
receiving, by way of pledge or pawn, of
any firearm or ammunition as security
for the payment or repayment of money.
Person, Any Individual, corporation,
company, association, firm, partnership,
society, or joint stock company.
Publis1iea ordinance. A published law
or any Political subdivision of a State
which the Director determines to be relevant to the enforcement of this part and
which ls contained on a list complied by
the Direct.or, which list Js published in the
FEDERAL REGISTER, revised annually, and
FEDERAL REGISTER, VOL, 33, NO. 243-SATURDAY, DECliMllER 14, 1968
0255
437
RIF
0256

RULES AND
furnished to eneh licensee under this

part.
Reotonal Cr:nnmlsstoner. A Regional
Commlssioner of 1ntemal Revenue.
Rifle. A weapon designed or redesigned,
made or remade, and intended to be
fired from the shoulder, and designed 01
redesigned and made or remade to use
the energy of the explosive in a fixed
metallic cartridge to fire only a single
projectile through n rJfled bore for each
Short-barreled rifle. A ilfle 1111.ving one
or more barrels less than 16 Inches Jn
length, and any weapon made from a
rltle, whether by alte1atlon, modification,
or otherwise, if such weapon, as modified,
has an overall length of less than 26
inches.
Short-barreled shotgun. A shotgun
having one or more barrels less than 18
inches 1n length, and any weapon made
from a shotgun, whether by alteration,
modification, or otherwise, If such
weap0n as modified has an overall length
of Jess than 26 Inches.
,t:;hotoun. A weapon designed or iedeslgned, made or remade, and Intended
to be fired from the shoulder, and designed or redesigned and made or remade
to use the energy or the explosive in a
fixed shotgun shell to fire through a
smooth bore either a nwnber of ball shot
or a single projectile fo1 each single
State. A State of the United States.
The term shall include the District of
Columbia, the Commonwealth of Puerto
Rico, and the possessions of the United
States <not including the canal Zone>.
.State of residence. The State in which
an individual regularly resides, or mntntatns his home, or if such person Is on
active duty as a member of the United
States Armed Forces, the State in which
his permanent duty station ls located:
Provided, That an alien who is legally
in the United States shall be considered
to be a. resident of the State in which
<a.> he Is residing and has so resided for
a period of at least 90 days prior to the
date of sale or delivery or a firearm or
ammunition, or (b) his embassy or consulate is located if the principal officer
of such embassy or consulate Issues .a.
written statement to such alien authorizing his acquisition of a. firearm or ammunition. Temporary sojourn in a. State
does not make the State of tempora.:rv
sojourn the State of iesidence.
E:wmpll:l 1.. A nmlntalns hlB home in Stnte
X. He travels to State Y on a hunting, fishing, business or other t.ype of trip. He does
not become a resident of State Y by renson
ot such trip.
Example 2. A ma.lntnlns a. home in State
X nnd a home tn Stnte Y. Ho resides in Stn.te
X except for the summer monthr:; of the ycnr
and in State Y tor the summer montb.G of the
ycnr. During tbe time thnt he nctunlly resides in State X he ls a iesldent or State
X, and during the time that he actually resides In State Y he ls a resident of Stnto Y.
RE~ULATIONS
Subpart C-Adminislratlve and

178,21
Forms prescribed.
The Director is authorized to prescribe nil forms required by this part.

All or the information called .for in each
form shall be furnish~. as indicated by
the headings on the form and the inst1uctlons the1eon or issued in respect
thereto, and ns required by this pal't.
178.22 Emergency \"uriutions from re
quire men ts.
<a> The D1recto1 may approve variations from the requirements or this part
when he finds tI1at an emergency exists
and that the proposed variations from
the specific requirements arc necessary, <2> wm not hinder the effective
ndmln!strat!on of this part, and <3> will
not be contrary to any provisions of law.
 Varia:".lons from requirements
granted under this section are conditioned on compliance with the procedures, conditions, and llmJtatlons with
respect thereto set forth in the approval
of the application. Failure to comply Jn
good faith with such procedures, conditions, and llmttatlons shall automatically terminate the authority for such
variations, and the Ucensee thereupon
shall fully comply with the prescribed
requirements of regulations from which
the variations were authorized. Authority for any variation may be withdrawn
whenever in the judgment of the Dll'ec~
tor the effective admlnlsttation of this
part ts hindered by the continuation of
such variation. A licensee who desires to
employ such variation shall submit a
written appllca.tion so to do, in triplicate,
to the Assistant Regional CommJssloncr
for transmittal to the Director. The application shall describe the proposed
vai1atlon and set forth the reasons
therefor. A variation shall not be employed until the app!lcatlon has been
approved. The licensee shall retain, as
part of his records, available for examination by inten1al revenue officers, any
application approved by the Director
under the provisions of this section.
18559
of, the Assistant Regional Commissioner
may make available to such State or any
political subdivision thel'eof, any information which the Assistant Regional
Commissioner may obtain by reason of
the provisions of the Act with respect to
the identification of persons within such
state or polltlcal subdivision thereof,
who have purchased or received flrea.rms
01' ammunition, together with a deEcriptlon of such firearms or ammunition.
178.26
Curio nnd relic de1crminu1io11.
A llcenscd collector who desires to obtain a determination whethe1 a particular firearm or ammunition is a curio or
relic shall submit a written request, in
duplicate, fo1 a ruling thereon to the
Assistant Regional Commissioner. Each
such request shall be executed wider the
penalties of perjury and shall contain a
complete and accurate description of the
flrea1m or ammunltion, and such photographs, diagrams, or drawings as may
be necessary to enable the Assistant
Regional Commissioner to make his detenninatlon. The Assistant Regional
Commissioner may requJre the submission to him, or to an officer designated by
him, of the firearm or nnunwlltlon for
examinntlon nnd evaluation. If the submiBBion of the firearm or ammunition ts
Impractical, the licensed collector shall
so e.dvlse the Asslsto.nt Regional commlsslonel' and designate the place where
the firearm or ammunition will be
available for examination and evaluation.
178.27
beslrucrive device dcterndm1-
tion.
Any inte1nal 'revenue officer may enter during business hours the premises,
including_ places of storage, of any licensed Importer, licensed manUfacturer,
licensed dealer, or licensed collector for
the purpose of inspecting or examining
any records or documents requll'ed to be
kept by such importer, manUfacturer,
dealer, or collector wide1 this pa.rt, and
any firearms or ammunition kept or
stored by such importer, manufacturer,
dealer, or collector at such premises.
The Director shall determine in accordance with 18 u.s.c. 92l<a.) (4)

whether a device ls excluded from the
definition of a destructive device. A person who desires to obtain a determination under tl1at provision of law for any
device which he believes Is not likely to
be used as a weapon shall submit a written request, in triplicate, for a iullng
thereon to the Director. Each such request shall be executed under the penalties of Perjury and contain a complete
and accurate descrlption of the device,
the name and address of the manufacturer or Importer thereof, the pmpose of
and use for which It is intended, and
such photographs, diagrams, or drawings as may be necessary to enable the
Director to make his determination. The
Director may require the submission to
him, of a sample of such device for examination and evaluation. If the submission of such device is impracticable,
the person requesting the ruling shall so
advise the Director and designate the
place where the device will be available
for examination and evaluation.
178.24
178.28
178.23 Right or entrr and cx11min11

lion.
Tr1msporU1tion of des1n1clive
devices and ccrlain firearn1s,
The Director ls authorized to compile,

Ca> The Assistant Regional Commispublish in the FEDERAL REGISTER, annually revise, and furnish t.o each licensee, sioner for the internal revenue region
Unseniiceable firearm. A firearm which a list of publlshed ordinances which are in which a. person resides may authorize
is incapable of discharging a shot by relevant to the enforcement of thls part. that person to transport in interstate or
foreign commerce any destructive device,
means of an explosive and Is incapable of
machine gun, short-barreled shotgun, or
being readily restored to a firing 178.25 Disclosure or inrormnrion.
short-baneled
rifle, if he finds that such
condition.
Upon receipt of written request of any
U.S.C. The United States Code.
State or any political subdlVislon there- ~ranspo1-tntlon is reasonably necessary
No. 243--2
0256
438
RIF
0257
18560
and is consistent. with public snfcty and

nppllcable Stnte nnd locnl lnw. A person
who deslles to transpo1t In Interstate or
foreign commerce any such clevlce or
weapon shnll submit n written 1equest so
to do, In duplicate, to the Assistant Regional Commlssloncr. The iequest shall
contain:
( 1 > A complete description and Identification of the device or weapon to be
transported:
<2J A statement whether such twnsportation involves n transfer of title:
<3> The need for such transportation:
<4> The approximate dnte such trn.nspo1tatlon is to tnke place:
(5) The present location of such device 01 weapon and the place to which it
ts to be transported:
.
(6) The mode of trnnsportntlon to be
used Clncludlng, If by common or contact
carrier, the nnme nnd address of such
carder>: and
(7) Evidence that the trnnsportntlon

or possession of such device or weapon
ls not inconsistent with the laws at the
place of destination.
Cb> No person shall transport any
destructive device, machine gun, shortbarrcled shotgun, or short-barreled rifle
In interstate or foreign commerce under
the provisions of this section 1.a1tll he
has received speclftc authorization so to
do from tho Assistant Regional Commissioner. Autho112atlon granted under this
section does not car1y or import relief
from any other statutocy or regulatory
pl'ovision relating to firearms.
Cc> This section shall not be construed as requiring licensees to obtain
authorlzo.tlon to transport destructive
devices, machine guns, sho1t-barreled
shotgWlS, and short-batTeled rifles ln inte1state or foreign commerce: Provided,
Tha.t In the case of a licensed importer,
licensed manufacturer, or licensed
dealer, such a licensee ls qualified under
the National Fll'earms Act <see also Part
1'79 of this chapter) and this part to
engage in the business with respect to
the device or weapon to be transported,
and that in the cnse of a licensed collector, the device or weapon to be transported ls a. cul'lo or rellc.
178.29 Out-of-State acquisition of
fircnrms b;r nonlicensees.
No person, other than a llcensed im-
porter, licensed manufacturer, licensed

dealer, or licensed collector, shall transport into or receive in the State where he
resides (or If a corporation or other business entity, where it maintains a. place of
business> any firearm purchased or
otherwise obtained by such person outside that State: Provided, That the provisions of this section <a> shall not preclude any person who lawfully acquires
a firearm by bequest or intestate succession in o. State other than his State of
residence from transporting the firearm
into or receiving It in that State, if It is
lawful for such person to purchase or
possess such flreal'm in that State, 
sllall not BPPIY to the transportation or
receipt of a rifle or shotgun obtained in
confol'll!ity with the provisions of
178.30, 178.96, and 1'78.97, and (c)
shall not apply to the transportation of of the Federal Food, Drug, o.nd Cosmetic
any firea1m acquired In any State prior Act>, or narcotic drug (ns defined In section 4731 Co.> of tho Internal Revenue
to the effective date of the Ac~.
Code of 1954>, or (4) has been adjudi 178.30 Out-of.Stutc di1111ositio11 of fire
cated
as a mental defective or who has
t\l'1ns ll)' 1\onliccnsccs.
been committed to a m.?ntal institution.
No nonlicensee shall transfer, sell,
Cb> A firearm may not be received,
trnde, give, trnnsport, or deliver any fire- possessed, or transported In commerce or
arm to any other nonllcensce, who the affecting commerce by any person who
trnnsfero1 knows or has l'Casonnblo cause <1 > has been convicted by a court of the
to belleve resides in any state other tho.n United States or of a. State or any Pothat In which the trnnsfel'Ol' resides Cor litical subdivision thereof of o. felony, C2>
if a cor11orntlon or other business entity, has been discharged from the Armed
where It maintains a place of business) : Forces under dishonorable conditions,
Provided, That the provisions of this sec- <3> has i:leen adjudged by a court of the
tion slmll not apply to (a) the transfer, United States or of a State or any politi~
transporto.tlon, or delivery of a firearm cal subdivision thereof of being menmade to ca.ny out a bequest of a firearm tally incompetent, or (4) having been a
to, or any acquisition by Intestate succes- citizen of the United States has resion of a nrearm by, a person who is per- nounced his cltizeru;Wp, or (5) being an
mitted to acquire or possess a firearm alien is 1llegally in the United States.
under the laws of the State of hls resiCc> Any individual who to his know!~
dence, and the loan or rental of a edge and whlle being employed by any
firearm to any person for temporary use person coming within a classification
for lawful sporting purposes.
contained In paragl'aph of this. sec 178.31 Delivery L;r common or con tion, may not in the course of such employment receive, possess, or transpart
tr11ct currier.
a firearm in commerce or affecting
(a) No person shn:\J. knowingly deliver commerce.
or cause to be dellver~d to any common
The provisions of paragraph Cb)
or contract carl'ier for transpartation or of Cd)
this section shall not apply to any
shipment 1n interstate or foreign com- prisoner
by reason of duties connectmerce to any person other than a licensed ed with who
law enforcement has expressly
importer, licensed manufacturer, licensed been entrusted
a firearm by compedealer, or licensed collector, any package tent authority with
of the prison, and the
or other container 1n which there is any provisions of paragraphs
(b) and Cc> of
firearm or ammunition without written this section shall not apply
to any pernotice to the carrier that such :firearm or son, or any employee employed
such
ammunition ls being transported or person, who has been pardonedby
the
shipped: Provlded, That any passenger President of the United States by
or the
who owns or legally possesses a firearm chief executive of a state and has
exor ammunition being transported aboal'.d pressly been authorized by the President
any common or contract carrier for or such chief executive, as the case may
movement with the passenger in inter- be, to receive, possess, or transport 1n
state or foreign commerce may deliver commerce
a firearm.
said firearm or ammunition into the ci<StodY of the pilot, captain, conductor or 178.33 S1olcn firennns and nmnmnition,
opera.tor of such common or contract
carrler for the duration of that trip withNo person shall tran5port or ship in
out violating any provJ.slon of this part. interstate or foreign commerce any
(b) No 'Common or contract ca:rrier stolen firearm or stolen ammunition
shall transport or deliver 1n Interstate knowing or having reasonable cause to
or foreign commerce any firearm or am- believe that the firearm 01 ammunition
mwiltion with knowledge or reasonable was stolen, and nc person shall receive,
cause to believe that the shipment, trans- co.nceal, store, barter, sell, or dispose of
Pol'tatlon, or receipt thereof would be in any stolen firearm or stolen ammunition
violation of any provision of this part: which is moving as, which is a part of,
Provtded, liowever, That the provisions of or which constitutes interstate or foreign
this paragraph shall not appiy 1n respect commerce, knowing or having reasonable
to the transportation of firearms or am- cause to belleve that the :firearm or ammunition in in-bond sl1lpment under mUnitlon was stolen.
Customs laws and reguiations.
178.32 Prohibited shipment, ll'ansportntion, or receipt of firenrrns nnd nm
munition b;r certain personl!I.
Ca> No pe1son may ship or transpart
178.34 Removed, obliterated, or altered serinl number.
No person shall knowingly transport,

ship, or receive in interstate or foreign
any firearm which has had the
any firea.nn or ammunition Jn interstate commerce
or foreign commerce, or receive any fire- importer's or manufacturer's serial numamt or ammunition which has been ber removed, obliterated, or altered.
shipped or transparted in interstate or 178.35 Skcer, trnp, target, und similar
foreign commerce, who (1) is under inl!lhooting activities,
dictment for, or who has been convicted
Licensing and recordkeeping requi1ein any court of, a crime punishable by ments, including permissible alternate
imprisonment for a. term exceeding 1
year, (2) is a. fugitive from justice, (3) records, for skeet, trap, target, and simiis an unlawful user of or addicted to lar organized activities shalJ be determarlhuana or any depressant or stimu- mined by the Assistant Regional Comlant drug <as defined tn section 201 <v> missioner on a. case by case basts.
FEDERAL llEGISTER, VOL. 33, NC?. 243-SATUllDAY; DECEMBER 14, 1968
0257
439
RIF
0258

18561

D-Licenses
relics. A collector's llcense does not authorize the collector to engage in a
Gcn<'rul.
business required to be licensed under the
<e.> Ench pe1son intending to engage Act or this part. Therefore, if the acqut. in business as In Importer or manufac- sittons and dispositions of curios and
turer of, or a dealer in, firearms or am- iellcs by a collector bring the collector
munition shall, before commencing such wltWn the deftnition of a manufacturer,
business, obtain the license required by Importer, or dealer under this 1mrt, he
this subpart for the business to be op- shall qualify as such. <See also 178.93 of
crated. Each person who desires to obtain this part.)
the privileges granted by the Act and 178.42 License fee~.
this part to a licensed collector may obtain such a license Wlder the provisions
Each applicant shall pay a fee for
of this subpal't.
obtaining a license, a separate fee being
 Each person Intending to engage required for each business or collecting
In business as a firearms or a.mmunltlon activity at each place of such business
importer, manuiacturer, or dealer shall 01 activity, ns follows:
file an application, with the required fee
Ca> For a manufacturer:
<see 178.42), with the District Director
(1) Of destructive devices or nmmunlfor the Internal revenue distl'lct in which tlon for destructive devices-$1,000 per
his premises are to be located, and, pur- yea1.
suant to 178.47, receive the license re<2> Of firearms other than destructive
qUlred for such business from the Assist- devices-$50 per year.
ant Reglone.1 Commissioner. A separate
(3) Of ammWlition for firearms other
license must be obtained tor each bus!- than destructive devlces-$10 per year.
 For an Importer:
ness and each place at which the appl!cant is to do business. such license shall,
U> Of destructive devices or ammunlsubJect to the provisions of the Act and tlon for d.estructlve devlces-$1,000 per
other applicable provisions of law, entitle year.
the licensee to transport, shJp, and re<2> Of firearms other than destructive
celve firearms and nmmWlltion covered devices or ammunition for firearms other
by such license in interstate or foreign than destructive devlces-$50 per year.
cc> For a d<Jaler:
commerce, and to engage in the business
speclfled by the license, at the location
U> In destructive devices or ammunldescribed on the license, and for the pe- tlon for destructive devlces--$1,000 per
rlod stated on the license: Provided, That year.
<2> Who 1s a pawnbroker deallng In
It shall not be necessary for a licensed
importer or a licensed manl.ifacturer to firearms other than destructive devices
also obtain a dealer's license In order to or ammunition for firearms other than
engage in business on his licensed prem- destructive devlces-$25 per year.
l.ses as a dealer 1n the same type of fire<3) Who is not a dealer in destructive
arms or anununitlon authorized by his devices or a pawnbroker-$10 per year.
<d) For a collector of curios and
license to be Imported or manufactured:
Provided further, That the payment of rellcs-$10 per Year.
the license tee as an Importer or manu- 178.43 Liccn11c lee not rcCunduble,
facturer of, or a dealer in, destructive
No refund of any part of the amount
devices and ammunition for destructive paid
as a Ucensee fee shall be made where
devices Includes the privilege of import- the operations
of the licensee are, for
ing, manufacturing or dealing in, as the any reason, discontinued
dur1ng the
case may be, firearms other than de- period of an Issued license. However,
the
structive devices and anuttWlltion for license fee submitted with an application
other than destructive devices by such a for n. license shall be refunded if that
licensee at his licensed premises.
<c> Each person seeking the Privileges application is denied.
of a collector licensed under this part 178.44 Original license.
shall fl.le an application, with the re<a> Any person who Intends to engage
quired fee <see 178.42), with the District ln business as a firearms or ammunition
Director for the internal revenue district importer, manufacturer, or dealer on 1Jr
1n which his collection premises are to after the effective date of this part, or
be located, and, pursuant to 1'18.47, re- who has not previously been llcensed
ceive from the Assistant Regional Com- under the provisions of this part to so
mlssloner the lleense covering the collec- engage in business, or who has not timely
~on of curios and relics. A separate li- submitted application for renewal of his
cense may be obtained for each collec- previous llcense Issued under tWs part,
tion premises, and such license shall, shall, except as provided in paragraph
subject to the provisions of the Act and <c> of this section, file with the District
other applicable proVislons of law, en- Director for the internal revenue district
title the licensee to transport, ship, rein which the applicant ls to do business
ceive, and acquire curios and relics 1n an application, Form 7 <Firearms> , in
Interstate or foreign commerce, and to duplicate. The application, Form 'l (Firemake disposition of curios and relics in arms), shall include tnfonnation as to
Interstate or foreign commerce to any the ownership of the business, the type of
other person licensed under the provi- :firearms or ammunition to be dealt in,
sions of this part, for the period stated
the type of buslness premises, the busion the license.
(d) The collector license provided by ness hours, the business history, and the
this part shall appiy only to transactions identity of the responsible persons in the
related to a collector's activity Jn acquir- business. The application must be
ing, holding or disposing of curios and executed under the penalties of perJul'Y
Subpart
178.41
and the penalties Imposed by 18 U.S.C.

924. The application shall be accomtmnled by the appl'oprlate fee In the
form of <l> cnsh, or (2) money 01der or
check mnde payable to the Internal
Revenue Service. Forms 7 <Firearms>
may be obtained from any Assistant
Regional Commissioner or from any
District Director.
Cb) Any person who desires to obtain
the privileges gmnted to a licensed collector under the Act and this part on or
after the effective date of this part, or
who has not timely submitted application
for renewal of his previous license issued
under this part, shall file with the Distrlct Director for the internal revenue
district In which the applicant ls to
maintain his collectlon pl'emlses an application, Form 7 <Firearms>, in duplicate. The application, Form 7 <Firearms>, shall include information as to
the ownership of the activity, the type of
premises to be maintained by the applicant for the activity, and the Identity of
the responsible persons In the activity.
The application must he executed under
the penalties or perjury and the penalties imposed by 18 U.S.C. 924. The application shall be accompanied by a $10 fee
In the forni of <1> casn, or <2> money
order or check made pn.yable to the Interned Revenue Service. Forms 7 <Ftrea1ms> may be obtained from any Assistant Regional Commissioner or f1001 any
District Director.
<c> Any person holding a valid license
Issued pursuant to the provisions of the
Federal l<'irearms Act to manufacture,
impart or deal in firearms or amniunlt1on for pistols or revolvers may continue
to conduct such business Wlder such license until that Ucense expires accol'dlng to Its terms, Wlless that license be
sooner terminated pursuant to applicable provisions of law-If the holder of a
license issued pursuant to the :Federal
Firearms Act intends to continue his
firearms or ammunition business following the expiration of such license, he
shall comply with the provisions contained in paragmph <a> of this section
prior to the expiration of the period
covered by the license, and upon compliance with those provisions such an
applicant may continue such operations
as were authorized by his expired llcense
under this part until his appllcatlon Is
finally acted upon.
178.45 Renewal of licen@c.
If a licensee intends to continue the
business or activity desc1lbed on a license
issued under this part during any por.tlcm
of the ensuing ear, he shall, unless
othe1-wlse notiftecJ in writing by the Assistant Reglonl,!.l Commissioner, execute
and file prior to the expiration of his
license an a.ppllcatton for llcense renewal, Form 8 CFirearms) <Part 3), accompanied by the required fee, with
the District Director for the Internal
actlvlty ls operated. The Assistant Regional Commissioner may, in writing, require an applicant for license renew1d to
also file completed Form 7 <Flrt.MMS) in
the manner required by 178.44. In the
event the licensee does not timely file a
0258
440
RIF
0259

18562
Form 8 <Fil'eanns> <PEtrt 3>, he must ftle
a Form 7 <Firearms> us required by
178.44, and obtnin the iequhed license
be!o1e continuing business or collecting
a.ctlvity. If a Fol'm a (Fil'enrms) (Part 3)
Is not timely received thiough the malls,
178"16
Proce<lurc by Dislricl Diteclor,
Upon receipt of an application for an

original license on Form 7 <Firearms> or
nn application for renewal of a license
on Form a <Firemms> <Part 3> or a required Form 7 <Firearms), the District
Director shall deposit the fee accompanying the license application and forward the application to the Assistant
Regional Conunlssloner. Where an application is filed with an lnsufllclent fee, the
application and any fee submitted shall
be returned.
178.47
lssunnec of lkene.
(a) Upon receipt of a j)roperly executed application for n llcen.e on Form 7

<Firearms> , or Form 8 (Flrea.:i::ms> <Part
inquiry or investigation, or otherwise,
that the applicant ls entltled thereto,
Issue the appropriate license and a copy
number and such number may be assigned to the licensee to whom Issued for
annual renewal in the same internal
revenue district.
 The Assli>tant Regional Commissioner shall approve a properly executed
application for license on Form 7 <Flreanns), or Form 8 <Firearms> <Part3>,1f:.
(1) The applicant Is 21 years of age or
over;
<2> The applicant <including, in the
case of a coiporatJon, partnership, or
nasoclatlon, any individual possessing,
directly or Indirectly, the power to direct
or ca.use the direction of the management and policies of the corporation,
partnership, or association> is not prohibited from transporting, sWpplng, or
receiving firearms or ammunition in interstate or foreign commerce under the
provisions of the Act;
v1ola.ted any of the provisions of the Act
or this part~
(4) .rhe applicant has not willfully
failed to disclose any material information required, or has not made any false
statement as to any material fact, in
<5> The applicant has in a State (1)
premises from which he conducts business subject to license under the Act
or from which he intends to conduct
such business within a ieasonable period
of time, or cm in the case of a collector,
premises from wWch he conducts his
pertod of time; and
(6) The applicant is not proWbtted by
the provisions of Title VII of the Omnibus
1968, as amended (82 Stat. 236; 18 u.s.c.
Appendix> from receiving, possessing or
trnnsportlng flicnnns in commerce or

affecting commerce, if the application ls
fo1 n license relating to ftrenrms.
<c> The Assistant Regional Commissioner shall approve or deny nn appllcaw
tlou for license within the 45-day period
was received by the District Dh'ector:
license renewal is a person who ls, pursuant to the p1ovislons of 178.82,
178.143, or 178.144, conducting business or collecting activity under a previously issued license, action regardJng
the application wlll be held in aboynnce
pending the completion of the proceedings against the applicant's existing
license or license application, final de
termination of the applicant's criminal
case, or final action by the Commissioner of an application for relief submitted pursuant to 178.144, as the case
may be.
Cd> When the Assistant Regional
Commissioner falls to act on an application for license within the 45-day
pel"Jod prescl"Jbed by pamgraph <c> of
this section, the applicant- may file an
United States Code, to compel the A~ist
ant Regional Commissioner to act.
178.48
Correelion of error on license.
<a> Upon iecelpt of a. license issued

is accurate. If the license ls incorrect, the
licensee shall return the license to the
A&sistnnt Regioual commissioner with
a statement showing the nature of the
error. The Assistant Regional Commissioner shall correct the error, if the
error was made in hls office, and return
the license. However, if the error resulted
from Information conto.lned in the licensee's application for the license, the
Assistant Regional commissioner shall
require the licensee to file an amended
application setting forth the correct informatlon and a statement explaining
Upon 1-eceipt of the amended application
and a. satisfactory explanation of the
error, the Assistant Regional Commissioner shall make the colTectlon on the
license and return same to the licensee.
 When the Assistant Regional
other than notice from the Ucensee that
an incorrect license has been issued, the
Assistant Regional Commissioner. may
require the bolder of the incorrect license
to return the license for correction,
and <2> if the error resulted from information contained in the llcensce's
application for the license, the Assistant
Regional Commissioner shall require the
licensee to 1lle an amended application
setting forth the correct information,
and a statement explaining the error
contained in the application. The Assistant Regional Commissioner then shall
make the correction on the license and
return same to the licensee.
shall entitle the person to whom Issued

specified on the license, within the limitations of the Act and the regulations
contained In this part~ for the period
termlnatcd.
178.50
f,ot111ions co,ered l1y license.
The license covers the class of business or the activity specified In the license at the address described therein.
Accordingly, a separate license must be
obtained for each location at which o.
part is conducted; however, no license is
firearms or ammui:..aton if the records required by this part are maintained at the
licensed premises served by such warehouse: Provided., That a licensed collecte>r may scqulre curios and relics at any
are re&idents of the State where the collector's license is held and the disposition Is made.
178.51
License not lrnnsfernble.
Licenses issued under this part are not

transferable. In the event of the lease,
sale, or other transfer of the operations
authorized by the license, the successor _
must obtain the license required by thlS
pa.rt prior to commencing such operations. However, for rules on right of succession, see 178.56.
178.52
Clmnge of address.
A licensee may during the term of his

current license remove hfs business or
activity to a new location at which he
intends regularly to carry on such business or actlVity, without procuring a
new license. However, 1n every case,
whether or not the removal 1s from
one internal revenue region to another,
business or activity must be given not
less than 10 days prior to such remo,al
for the inteinal revenue region from
which or wlthln which the removal ls tn
be me.de, and the Assistant Regional
Conunissioner for the internal revenue
region to which the removal 1s to be
me.de. In each instance, the license and
the copy thereof furnished with the license must be submitted for endorsement to the Assistant Regional Conunissioner having JurisdJctlon over the internal revenue region to which or within
which removal ls to be made. After endorsement of the license and the copy
thereof to show the new address, and the
new license number, If any, the Assistant Regional Commissioner will retu1n
178.53
Change in lrudc name.
A licensee continuing to conduct business at the location shown on his license

ls not required to obtain a new license by
reason of a mere change 1n trade name
178.49 Duration of license.
under wWch he conducts his business:
A license shall not be issued for a Provided, That such Uceru;ee furnishes
period of Jess than 1 year. The license his license for endorsement of such
FEDERAL REGISlER, VOL. 33, NO. 243-SATURDAY, DECEMBER 14, 1968
0259
441
RIF
0260

18563

change to the Assistant Regional Commissioner for the Internal revenue l'egion
In which the licensee conducts his business within 30 days from the date the
licensee begins his business under the
new trade name.
178.51 f.hn11gc o[ control.
In the case of a corporation 01 association holding a Ucense unde1 this pa1t,
if actual or legal control of the corporation or association changes, directly or
Indirectly, whether by reason of change
1n stock ownership or cor..::rol fn tl1o
licensed corporation or 1n any ot.he1 cot
poratlon>, by operations of law, or In
any other manner, the licensee shall,
within 30 days of such change, give written notification thereof, executed under
the penalties of perjury, ta the AsslstEJ,nt
Regional Commissioner. Upon expiration of the license, the corporation or
association must file a. Form 7 <Firearms>
as required by 178.44.
118.55 Continuing parsncrships.
Where, under the laws of the po.r
tlcular State, the partnership is not terminated on death or lnsoJvency of a
partner, but continues until the winding up of the partnership affairs Js completed, and the surviving partner has
the exclusive right to the control nnd
possession of the partnership assets for
the purpose of liquidation and settlement, such surviving partner ma.y con
tinue to operate the business under the
license of the partnership, If such surviving partner acquires the business on
completion of the settlement of the part~
nersh1p, he shall obtain a license 1n his
own name from the date of acqulsltlon,
as provided in 1'18.44. The rule set forth
in this section shall also apply where
there Is more than one surviving partner.
178.56 Rig11t of succession J,y ee.-toir;i
penio'!s
<a>
Certain persons other than the

licensee may secure the rlght to cnrry
on the same firearms or ammunition
business at the same address shown on,
and for the remainder of the term of,
a current license. Such persons are:
(1) The surviving spouse or child, or
executor, admJn1strator, or other legal
representative of a deceased licensee;
o.nd
<2> A receiver or trustee in bankruptcy, or an assignee for benefit of

creditors.
Cb> In order to secure the right provided by this section, the person or pero
sons continuing the business shall furnish the license for that business for
endorsement of such succession to the
Assistant Regional Commissioner for the
internal revenue region in which the
business is conducted within 30 days
from the date on which the successor begins to carry on the business.
178.57 Disconlinunnce of business.
Where a firearm or ammunition buslness ls either discontinued or succeeded
by a new owner, the owner of the business discontinued or succeeded shall
within 30 days thereof furnish to the Asslsta.nt Regional Commissioner for the
internal revenue region in which his
business WM located notlflcatlon of the

discontinuance or rucccsslon, <see also
1'18.12'1.>
178.58 Stoic o.- otlacdnw.

A license Issued under this pal't con-
fel'S no iight or pl"lvllege to conduct business or activity co11tra1'Y t.o State or other
law. The holder of such a license Js not
by l'eason of the rights and privileges
gnmted by that license Immune from
punishment for operating a firearm or
nmmunition business or activity .n vlofatlt;in or the p1ovlsions of any State or
other lo.w. Simlllarly, compliance with
the provisions of nny State or other law
affords no immunity unde1 Federal law
or regulations.
170.59
.i\h1nulou('d uppli~,.,ion.
lnrr. On conclusion of the l1cnrfng and

consideration of nil relevant facts lllld
circumstances presented by the appJlco.nt or his rcprescntatlve, the Assistant
Regional Commissioner shnll render his
decision confirming or reversing the
denial of the application. If the declslon
Is that the denial should stand, a certified copy of the Assistant Regional Commissioner's findings and conclusions
shnll be furnished to the appllcant with
a final notice of denial, Form 4501. A
copy of the application, mmked "Disapproved," will be returned to the applicant. If the decision Is that the license
applied for -should be Issued, the o.t>Pllcant shall be so notified, In wrttlng, and
the license shnll be issued ns provided
by 178.4'1.
Upon receipt of an incomplete or lm- 178.73 Notice o[ contemplnacd tcvoeulion.

propel'ly executed application on Fonn 7
(Firearms> , or Form 8 CFlrcanns> <Part
Whenever the Assistant Regional
3), the applicant shall be notified of the Commissioner has reason to believe tho.t
deficlency in the application. If the ap- a licensee has violated any provision of
plication is not corrected and returned the Act or this part, be may issue a.
within 30 days following the date of notice, on Form 4499, of contemplated
notification, the at'Pllcatlon shall be revocation of the license. The notice
considered as having been abandoned sho.lJ set forth the matters of fact conand the license fee returned.
stituting the violations SPeclfied, dates,
178.60 Certuln eontinmmees of' lmsi- places, and the sections of Jaw and regulations violated. The Assistant Regional
n('ss.
Commissioner shall afford the licensee
A licensee who furnishes his license to 15 days from the date of receipt of the
the Assistant Regional Commissioner for notice in which to request a. hearing
conectlon or endorsement In compliance prior to revocation of the license. If the
with the provlslons contained ln this Ucensee does not file a timely request for
subpnrt may conUnue his operations a hearing, the Assistant Regional Comwhile awaiting its return.
missioner shall issue a notice of revocation, :Form 4500, as provided 1n 1'78.74.
Subpart E-Lfcense Proceedings
Denial of an nppllcution for
license.
178.11

Commissioner has reason to believe that
an ~pplicant 1s not eligible to receive
a Jicen.se under the provisions of 178.47,
he may issue a nottce of den1a.l, on Form
4498, to the applicant. The notice shall
set forth the matters of fact r..nd Ja.w
relied upon in determining tbi&t the application should be denied, and shall efford the applicant 15 days from the date
of receipt of the notice 1h which to request a hea:rlng to review the denial. If
no l'equest for a hearing ls :filed within
mch time, the application shall be disapproved and a. copy, so marked, shall be
178.72 Hearing after applic111ion denial,
178.74
tice
Request Co.- bearing afte.- no
or contemplu.ted rcvoeution.
If a licensee desires a. hearing pursuant to recelpt of a notice of contemplated

revocation of his license, be shall file
a request therefor, In duplicate, with the
Assistant Regional Commissioner within
15 days after receipt of the notice of
contemplated revocation. On receipt
thereof, the Assistant Regional Commissioner shall, as expeditiously as possible,
make the necessary arrangements for
the hearing and advise the licensee of
the date, time, location and the name
of the officer before whom the hearing
will be held. Such notification shall be
made not less th.an 10 days in advance
of the date set for the hearing. on conclusion of the heating a.nd consideration
of all relevant presentations made by the
licensee or his representative, the Assistant Regional Commissioner shall
render his decision and shall prepare a
brief summary of the findings and conclusions on which the decision is based.
If the decision ls that the license should
be revoked, a certified copy of the summru.7 shall be furnished to the licensee
with the notice of revocation on Fo1m
4500. If the declslon ls that the license
should not be revoked, the licensee shall
be so notified In writing,
178.75 llering nflcl' notice of .-evo-
If the applicant for ti.n original or renewal llcerise desires a hearing to review
the denial of his application, he shall
file a request therefor, in dupUcate. wlth
tlle Assistant Regional Commissionel'
within 15 days after receipt of the notice
of denial. The request should Include a
statement of the reasons therefor. On
receipt of the request, the Assistant Reglonal CQmmis1>ioner shall, as expedJtlo?sly as possible, make the necessary
arrn.ngements _for the hearing and adVitie
cnlion.
the applicant of the date, time, location,
and the name of the omcer before whom
<a> No hearing lield prior to notice of
the hearing will be held. Such notlflca- revocation. If the licensee did not request
tion shall be made not less than 10 days a hearing on receipt of the notice of conJn advance of the date set for the hear- templated revocation of his l!cense,
0260
442
RIF
0261

18564
Fol'm 44!Hl, but docs file n timely 1equest
fol' a hcnring nrtcr Lelng served tho
notice of rcvocn.tlon, Form 4500, the
Assistant Rcgionnl Commissioner shnll
nnnnge for, and conduct, n hearing in
the manner prescribed in 178.74, except
that the place or hearing will be determined ns provided' by 178.81. If, after
heal'ing, the Assistnnt Regional Com
missioner is still of the opinion that the
license should be revoked, he will serve
ilnnl notice of revocation, Fonn 4501, on
the licensee, with a copy or his findings
and conclusions. If he decides that the
license should not be revoked, he will so
notify the licensee, In writing,
(b) Hearlng held prlor to notice of
revocation. If n henring was held prior
to notice of revocation, Form 4500, and

the licensee files n timely request for a
hearing nrter receipt of a notice of 1evo
cation, the Asslstnnt Regional Commissioner shall iercr the matte1 to the hear
1ng examiner, appointed under 5 U.S.C.
3105, designated to p1eslde over such
heartng. The exnminer shall set a time
and place for the hearing and shall serve
Assistant Regional Commissioner at
least 10 days In ndvance of the hearing
date. Such hearing shall be conducted
under the a!Jpllcable provisions of Part
200 of this chapter, including those with
1espect to stipulations at hearings, evl
dence, and closl.ng of hearl.ngs,
n.:ltlcc or ievocntlon on Fonn 4501: or to

Inform the licensee thnt the license shall
remnln in effect. Any decision of the Director for the revocation of a license
shall include n statement or the flndln1w
and conclusions upon which it is based,
Including his rulinrr on ench proposed
finding, conclusion, nnd exception to the
examiner's recommended decision, to
gether with a statement c~ his flndlngs
nnd conclusions, nnd reasons or basis
therefor, unon ull material Issues of met,
lnw, or <liscrction m'esented on the record.
A signed duplicnte original of the decision slmll be served on the licensee nnd
a copy contulnlng certificate of service
shall be retnlned by the Assistant Re
glonnl Commissioner for his files, nnd tllo
orlglual shnll be plnced In the official
record of the proceeding.
178.79 Service on 11p11lic1ml or licensee,
All notices and other fo1mnl docu

men.ts required to be served on an applicant or licensee unde1 this subpart shnll
be served by certified mall or by personal
delivery. Whe1e service is by certified
mo.ii, a signed .duplicate orlglnnl copy
of the formal document shall be malled,
with return receipt requested, to the ap.
pUcant or licensee at the address stated
in his application or license, or nt his
la.st known address. Where service is by
perso11nl delivery, o. signed dupllcate
original copy of the formal docwnent
shall be delivered to the applicant or
178. 76 Uccommcndcd dcci11ion or hcnr- llcElnsee, 01, In the cnse of o. corporation,
ing cxnmincr.
partnership, or assoclatlon, by deliver~
Within a rensonable time after the ing It to an officer, mnnager, or geneml
conclusion of a hearing held as pro. agent thereof, or to Its attorney of record.
vided in 178.75, and as expeditiously as 178.80 Reprcscntntion ut n hearing,
possible, tho examiner shall render a
An applicant or licensee may be reprecommended decision. Such decision
shall become a part of the record and, 1esented by an attorney or other person
1f proposed findings and conclusions recognized to practice before the Intemal
ho.ve been filed, shall show the exam- Revenue Service as provided in 31 CFR
iner's ruling upon each of such proposed Part 10 <TIeasury Department Circular
findings and conclusions. Decisions shall No. 230>, 1f he bns otherwise compiled
consist of (a) a brief statement of the with the applicable requirements of
issues of fnct Involved In the proceed- 601.521-601.527 of this chnpter. The
ing; the examiner's findings and Assistant Regional Commissioner may
conclusions, as well as the reasons and l>e l'epresented ln proceedings under
bnsls therefor, upon all the mnterlal 178.75 by an attomey In the office
issues of fact, law or dfscretlon presented of the regional counsel who ts authol'lzed
on the record; and <c> the examiner's to execute and file motions, briefs and
recommended detennlnatlon on the other papers in the proceeding, on behalf of the Assistant Regional Commisrecord.
sioner, ln his own nnme as "Attorney for
178.77 Ccrlificution nnd lrnnsmittnl of the Government."
record nnd recommended decision to
173.81
Director.
Dcsi~"tllllCd
plu<'c or hc11ri11g.
After reaching h1s decision, the examiner shall certify to the complete record
of the proceeding before him and shall
immediately forward It, together with
two copies of his recommended decision,
to the Director, and will forward two
copies of ms recommended decision to
the Assistant Regional Commissioner for
hls files.
The designated place of hea1'lng shall

be at o. location convenient to the aggrieved party: Provided, That any hearing held after notice of contemplnted
revocation but prior to the notice of revocation shall be at the ofllce of the As
sistant Regional Commissioner.
Decision oCDir~tor.
In any case where denial or revocation

proceedings are pending before the Internal Revenue Service, or notice of
de1.ial or revocation has been served on
the licensee and he has filed timely request for a hearing, the llcense In the
possession of the licensee shall remain
ln effect even though <o.> such llcense
178.78
After considemtlon of the record

and the recommended decision of the
examiner, the Director shall approve or
disapprove the findings, conclusion, and
recommended decision of the examiner,
and he shaJl direct the Assistant Regional Coounlssloner to Issue a final
178.82
Opcl'lltions by licensees nftcr

notice.
hns expired, or Cb> the revocation dute

spccUlcd In tho notice of revocation on
l"onn 4500 served 011 the licensee hns
pnssod: Provided, Thnt wider the c1.mdl
tlon of 1mmgmph (n) of this sect.Ion, the
licensee has timely flied nn npplicntion
for the rcnewnl of his license. If u licensee ls cllssntlsfled with n posLhearing
decision revoking the license 01 denying
.the applicntion, ns the case mny be, he
mny, pursunnt to 18 U.S.C. 923(f) (3),
within 60 days after receipt of the final
notice denying the npnllcnUon or re
voklng the license, men petition for judicial 1evicw of such action. Such petition should be flied with tl1e U.S. distl'lct
court foi the district In which the applicnnt or licensee resides or hns his princl-pnl place of business. In such case, when
the Assistant Regional Commissioner
finds that Justice so requires, he mo.y authorize continued
operations wide1 the expired license, as
ntmllcnble, pending judicial review.
178.91
Posting or license.
Any llccmse Issued uud1 !' this part shall

be kept posted and kepc aV!l.ilable for
inspection on the premises covered by the
license.
Each licensed manufactmer or licensed
lmpol'ter of any firearm manufactured
or Imported on or after the effective date
of this part shall legibly Identify each
such firearm by engraving, casting,
stamping <impressing) , or otherwise conspicuously placing or causing to be engraved, cast, stamped (impressed> or
plnced on the frame or receiver thereof
In a manner not susceptible of being
readily obliterated, altered, or removed,
an individual serial number not duplicating any serial number placed by the
manufacturer or importer on any other
firearm, and by engraving, casting,
stamping (Impressing>, or otherwise
conspicuously placing or causing to be
engmved, cast, stamped (impressed) or
placed on the f1ame, receiver, or barrel
thereof in a manner not susceptible or
being readily obliterated, altered or removed, the model, if such designation
has been made; the caliber or gauge;
the name (or recognized abbreviation of
same> of the manufacturer and also,
when applicable, of the importer; in the
case of a domestically made firearm, the
city and State <or recognized abbreviation thereon wherein the licensed manufacturer maintains his place of busi
ness; and ln the case or an imported
firearm, the name of the country in
which manufactured and the city and
State <or recognized abbreviation thereof) of the lmpol'ter: Provided, That the
Director may nuthorize othe1 means of
Identification of the licensed manufacturer or licensed hnporter upon receipt
of letter application, ln duplicate, from
same showing that such other identlfica-tlon ls reasonable and wlll not hinder
the effective administration of this part:
Provided, further, That in the case of a
destructive device, the Director may authorize other means of identifying that
weapon up9n receipt or letter appllca
FEDERAL REGISTER, V?L 33, NO. 243-SATURDAY, DECEMBER 14, 1969
0261
443
RIF
0262

18565
RULES .AND REGULATIONS

tlon, tn duplicate, from the licensed man~
ufacturcr or llcen.sed Importer sl1owlng
that engraving, casting, or stamping Hmpre.sslns> such a weapon would be daniierotll!l or lmpractlcable. A tlrearm frame
or receiver which 1s not a component
part of a complete weapon at the time
It ls sold, shipped, or otherwise disposed
of by a. licensed mnnufacturer or licensed
lmparter, shall be ldentUlcd as required
by this 6Cctlon.
f 178.93 Autboa-ized opPra\ion1 lty & Ji.
cc:nKd colkctor,
The llcense Issued to a. collector of curios or relics under the provisions of this
part shall cover only transactions by tho
licensed collector in curios and relfcs.
The collector's license 1s of no force or
effect nnd a. licensed collector ls of the
same status under the Act and this part
as a nonllcensee with respect to <a> any
acqulisltlon or dlsPo.sltlon of firearms or
ammunition other than curios or relics,
or any transportation, shipment, or recelpt of fireanns or anununltlon other
than curios or relics In lntersta.tc or foreign commerce, and any transaction
with a nonllcensee Involving any firearm
or rumnunltlon other than a. curio or
relic. <See also 1'18.50.)
178.95
~rlifir.I
r"Y of licrner.
Each person licensed under the provisions of this part shall be fumlshed together with bis license a copy the1 rof for
his certiflca.tion. If such o. person de111res
an additional copy of his licenl5e for certlflcatlon and :!or U8e pursuant to t 1'18.U, he ghalI:
Ca> Make a reproduction of the copy
of his license and execute snme, or
 Make a reproduction of his license, enter upon such reproduction the
statement: "I certify that this ls a. true
copy of a uc ... nse issued to me t.o engage
in the bus!nes::; specified in Item 5" and
shin his name adjacent thereto, or
<c> Submit a request, In writing, for
certified copies of his license to the As
slstant Regional Commissioner for the
Internal revenue region In which the license was issued. The request shall set
forth the name, trade name <If any) and
address of the licensee, and the number
of copies of the license desired. There
shall be imposed a fee of $1 tor each
copy of a license Issued by the Assistant
Regional Commissioner under the provisions of this paragraph. Fee payment
shall accompany each such request tor
additional copies of a llcense. Buch fee
fi 118.94 Sales or dclivcrice 'between shall be paid by Cl> cash, or C2> money
order or check made payable to the Inlicen11eee.
ternal Revenue Service.
A licensed Importer, llccnsed ma.nutacturer, or licensed dealer selling or 178.96 011t-of-S1nte nnd mnil orclrr
eoleti.
otherwise disposing of firearms or ammunltlon, aml o. licensed collector seIUng
<a> The provlslons of tWs section shall
or otherwise dlspos!.ng of curlos or relics, apply In any case where a firearm purto another licensee shall verify the Iden- chased by or delivered to the person so
tity and licensed status of the trans- receiving the firearm ls not otherwise
feree prlor to making the tiansaction. prohibited by the Act or this part.
On and alter February 14, 1969, such
 A licensed Importer, lfcensed manverification shall be establ!shed by the ufacturer, or Jlcensed dealer may sell a
transferee .furnishing t.o the transferor n. firearm to a nonllcensee who does not apcertified copy of the transferee's license pear In person at the J!censee's business
and by such other means as the trans- premises U the nonllcensee Is a resident
feror deems necessary: Provided, That It of the same State in which the licensee's
shall not be required <a> for a trans- business premises are located, and the
feree who has fumlshed a certified copy nonltccnsee furnishes to the licensee the
of hJs license to a transferor to again firearms transaction record, Form 44'13,
furnish such certified copy to that trans- required by 1'18.124. The nonlicensee
feror during the term of the transferee's shall attach to such record a true copy
current license, a.nil for licensees of of any permit or other lnformatlon remultllicensed bus1ness organizations to quired pursuant to any statute of the
furnish certified copies of tbeir licenses state and publfshed ordinance applicable
to other licensed locations operated by to the locality in which he resides. The
such organization: Provided Jurt1ier, licensee shall prior to shipment or deThat a multilicensed business organiza- livery of the firearm, forward by registion may furnish to a transferor, in lleu tered or certified mail (return receipt reof a certified copy of each llcense, a llst, quested> a copy of the record, Form 4473,
certlfled to be true, correct and com- to the chief law enforcement officer
. plete, containing the name, address, named on such record, and delay shiplicense number, and the date of license ment or delivery or the firearm for a
expiration of each licensed location op- period of at least 7 days following reerated by such organization, and the ceipt by the licensee of the return receipt
transferor may sell or otherwise dispose evidencing delivery of the copy of the
of firearms and ammunition as provided record to such chief law enforcement ofby tWs section to any licensee appearing ficer, or the retum of the copy of the
on such list without requiring a certlfiecl record to him due to the refusal of such
copy of a license therefrom. A transferor chief law enforcement officer to accept
licensee who has the certlfied informa- same 1n accordance with U.S. Post omce
tion required by this section may sell or Department regulations. The original
dispose of firearms or ammunition to a Form 4473, and evidence of receipt or
rejection of delivery of the copy of the
licensee for not more than 45 days fol- Form 4473 sent to the chief law enforcelowing the expiration date Of the trans- ment officer shall be retained by the licensee as a part of the records required
feree's license.
of him to be kept under $he provialons of

Subpart Hof this part.
<c> A Ilcerued importer, llcem1ed manufacturer, or licensed dealer may l'lell or
deliver a. rille or shot&:'un, and <u Jiccmed
collector may sell or deliver a rine or
shotgun which Is a cur.lo or rellc), to a
nonlicenscd resident or a State contli:u
oUB to the State In wlllch the licenlll!e's
place o! business is located if the purchaser's State or residence has enacted
legislation, cunently In force, specifically authorizlnr, a resident of that State
to purchase a Jnte or shotgun in a contiguous State, the sale fully complies
with the legal cond!tlons of sale in both
such contiguous States, and the purchaser and the ilccnisee have, prior to the
sale or delivery for sale, of the rltle or
shotgun, complied with all the reqU1rementis of paragraph (b) of this section
applicable to Intra.state t.ransactions occurring on other than the llcenaee's business premises.
Cd> A licensed dealer may sell to any
nonllcer.sec who Is a resident of a State
other than the State in which the licensed dealer's premises are located, and
who is participating in any organized
rifle or shotgun match or conteist, or 1s
engaged in hunting, ln the State 1n
whlch the Ilcensed dealer's premises are
located, and whose rifle or shotgun has
been lost or stolen or has become mopcra tive ln the State In which the licensed
dealer's premises are located, if the nonlfcensee presents to the Ilceruied dealer a
sworn statement, 1n dupllcate, Cl) that
his rlfie or shotgun was lost or stolen or
became inoperative while part.lclpating
In such a match or contest, or while engaged in hunting, In the state in which
the Ucensed denier's business premises
are located, <2) setting forth the namo
and address of the organl:r.cd rifle or
shotgun match or contest, or the nature
and location of the hunting, and the clrcwnstances surrounding the 1lrearm's
loss or theft, or the reason why the firearm has become Inoperative, and C3)
identifying the chief law enforcement .
officer Cshel'iff, chief of police, or police
precinct captain> of the locallty in which
the nonllcensee resides. Immediately
upon delivery of the rifle or shotgun to
the nonlicensee, the licensed dealer shall
forward a copy of the sworn statement,
by registered mall, to the chief law en~
forcement officer named by the nonllcensee. The licensee shall retain the
original sworn statement, and evidence
of delivery or the copy thereof to the
chief law enforcement officer, as a part
of the iecords required of hilll under
Subpart Hof tWs part.
178.97 Loan or ren1nl of firearm,..
A llcensee mny loan or rent a firearm
to nny person for telllporary use oft' the

premises of the Itcensec for lawful sport-
ing purposes: Provided, That the delivery of the fl.rearm to such person is not
prohibited by 178.99 Cb) or 178.99<c),

and the licensee records such loan or
rental in the records required to be kept
by him under Subpart H of this part. A
club, associntlon, or s!m!lar organization temporarily fumlshlng firearms
0262
444
RIF
0263
18566
<whether by loan, rental, or otherwise>

to participants in n skeet, trap, tnrget,
or simllar shooting activity for use nt
the time and place such activity ls held
does not, unattended by other circumstances, cause such club, association, or
similar 01ganizatlon to be engaged In
the business of a dealer in firearms or as
engaging in firearms transactions. Therefore, the licensing'and recordkeeping iequircments contained in this 11art pertaining to firenrms transnctlons would
not apply to this temporary furnishing
of flrenrms for use on premises on which
such nn activity Is conducted.
11U.93 S11ll'11 or deliveries of dcstruc
thc 1levicc!4 and certnin firenrms.
The sale or delivery by a licensee of any

destructive device, machinegWl, shortbarreled shotgun, or short-baneled rifle,
to any person other than another licensee
who is licensed under this part to deal in
such device or firearm, Is prohibited
unless the person to receive such device
or firearm furnishes to the licensee a.
sworn statement, in triplicate, setting
forth (a) the reasons why there Is a reasonable necessity for such person to purchase or otherwise acquire the device or
weapon, and Cb) that such person's receipt or Possession of the device or
weapon would be consistent with public
safety. Such sworn statement shall be
attached to the application to transfer
and register the firearm required by
Part 179 of this chapter. The sale or
dellvery of the device or weapon shall
not be made until the application for
transfer ls approved by the Directol' and
returned to the llcensee <t1ansferor> as
provided 1n Part 179 of this chapter,
178.99 Certnin prohibited sales or de
liveries.
<a> A licensed Importer, llcensed mantJfacturer, licensed dealer, or licensed

collector shall not sell or deliver any firearm to any person not llcensed Wlder
this part, or the Federal Firearms Act,
and who the llccnsee knows or has reasonable cause to believe does not reside
in Cor If a corporation or other business
entity, does not maintain a place of business in) the State 1n which the licensee's
plaee of business or activity is located:
Provided, That the foregoing provisions
of this pnrograph (1) shall not apply to
the sale or delivery of a rlile or shotgun
<curio or relic, in the case of a licensed
collector> to a resident of a State contiguous to the State 1n which the licensee's Place of business or collection
premises ls located 1f the requirements of
l'l8.96Cc> are fully met, (2) shall not
preclude any person who is participating
In any organized rifle or shotgun match
or contest, or is engaged 1n hunting, in a
State other than his State of residence
and whose rifle or shotgun has been lost
or stolen or has become inoperative in
such other State, from purchasing a rlfie
or shotgun in such other State from a
licensed dealer if the :a.equlrements of
178.96Cd) are fully met, and <3> shall
not apply to the loan or rental of a fire ..
arm to any pr son for temporary use for
lawful sporting purposes <see A 178.9'1).
<b) A licensed ltnp0rter, Ucensed man~

ufacttll'er, llcensed dealer, or licensed
collector shall not sell or deliver <U any
fl.rearm or ammunition to nny lndividunl
who the 1mpa1te1, manufacturer, dealer,
or collector knows or has 1easonablB
Cl\USo to believe Is less than 18 years of
age, and, If the fireaim, 01 ammunition,
Is other than a. shotgun or rlfie, or amnnmtlon for a shotgun or rifle, to any
individual who the imPorier, manufac
turer, dealer, or collector knows or has
reasonable cause to believe is less than
21 years or age, or <2> nny fireann or
ammunition to any person In any Stato
whe1e the pwchase or possession by such
person of such firearm or ammunition
woUld be in violation of any state law or
any published ordinance applicable at
the place of sale, dellvery or other dis.
p0sitio11, unless the lm1>0rtcr, manufnc
tmer, dealer 01 collector knows or has
reasonable cause to believe that the purchase or Possession woUld not be in viola
tlon of such State law 01 such published
ordinance.
<c> A licensed importer, licensed manufacturer, licensed dealer, or licensed col
lector shall not sell or otherwise dispose
of any firearm or ammWlltlon to any
person knowing or having reasonable
cause to believe that such person (1) Is
except as provided under 178.143, Wlder
Indictment for, or, except as provided
under 178.144, has been convicted 1n
any court of a. crime punishable by im
prisonment for a term exceeding 1 year,
(2) is a fugitive from Justice, <3> ls an
WJlawful user of or addicted to marl
hunna or any depressant or stimulant
d1-ug <as defined in section 201Cv> of the
Federal Food, Drug, and cosmetic Act:
21 U.S.C. 32l<v>), or narcotic drug <es
defined in section 4731 Ca> of the Internal
Revenue Code of 1954>, or (4) has been
adjudicated as a mental defective or has
been committed to any mental institu
tion,
178,100 Uceord of 1r11nsnctio11s.
Every llcensee shall maintain firearms
and arnmunttlon records in such form
and manner as ls prescribed by Subpart
Hof this part.
Subpart G-lmportation
178.111
General,
<a> Section 922<a> <3> of the Act

makes it unlawful, with certain exceP
tions not pertinate here, for anY person
other tha.n a llcensee, to transport into
or receive 1n the State where he resides
any firearm purchased or otherwise ob
tainecl by him outside of that State. Howeer, section 925<a> (4) provides a limited
exception for the transportation, shipment, receipt or Importation of certain
firearms and ammWlltion by certain
members of the United States armed
forces. Section 922 of the Act, which section provides standards for importing or bringing
firearms or ammunition into the United
States. Accordln1s!~, no :flrea.rm or am-
munition mny be Imported or b1ought

Into tile United States except ns provided
by this part.
 Where a firearm or ammunition Is
Imported and the authorization for importation required by this subpart has
not been obtained by the person importing same, such pe1son shall:
<1> Store, at his expense, such firearm
or ar.imunltlon at a facility designated
by U.S. Customs or the Assistant Regional Commissioner to awn.it the issuance of the requil'ed authoiizatlon or
other disposition; or
(2) Abandon such firearm or ammunition to the U.S. Oovemment; or
(3) F.xport such firearm or ammunition,
<c> Any Inquiry relative to the Pl'Ovislons or procedures under this subpart,
other than that pertaining to the payment of customs duties or the release
from customs custody of fl.rearms or
ammunition authodzed by the Director
to be imported, shall be directed to the
Asslstnnt Regional Commissioner for
reply,
178.112 lmporlnlion by a licensed im.
porter.
Ca) No firearm. or ammunl.tl.on shall be

Imported or brought Into the United
States by a licensed importer <as defined
In 178.11> unless the Director has authorized the Importation of the firearm
or ammunition, or the ftrea1m or ammunition Is listed on the Importation List
compiled by the Director as p1ovlded by
par111na.ph Cc> of this section.
(ibJ An appllca.tlon for a permit, Form
6 <Firearms>, to imp0rt or bring a firearm or ammunition into the United
States or a possession thereof under this
section shall be filed, in tripllcate, with
the Director. The application shall contain (1) the name, address, and license
number of the Importer, <2> a. description of the firearm or ammunition to be
impo1ted, Including type <e.g.: rifle,
shotgun, pistol, revolver>, model, caliber,
size or gauge, barrel length (If a. firearm>, country of manufacture, and name
of the manufactmer, (3) the unit cost
of the firearm to be imported, <4> the
country' from which to be imported, (5)
the nome and address of the foreign
seller nnd the foreign shipper, (6) verification that 1f a firearm, it will be
identified as required by this pa.rt, and
<7> m If imported or brought in for
selentiftc or research purposes, a statement describing such purposes, or <m
1f for use in connection with competition or training pursuant to chapter
401 of title 10, U.S.C., a statement descrlblng such Intended use, or <ill> 1f an
unserviceable firearm <other than a machine gun> being imPOrted as a curio or
museum piece, a desc11ptlon of how it
was rendered unserviceable and an explanation of why it Is a curio or museum
piece, or <iv> if a firearm, other than a
surplus mllitary firearm, of a type that
does not fall witWn the deftnitlon of a
firearm by section 5845(a) of the Internal Revenue Code of 1954, and is for
sporting purposes, an explanation of why
the applicant believes the firearm is generally recognized as partlcUlarly suitable
FEDERAL REGISTER, VOL. 33, NO. 243-SATURDAY, DECEMBElt 14, 1968
0263
445
RIF
0264

]8;j67
tor or readily adaptable to sporting pur- cause the firearm or ammunition appears a description of how It was rendered unposes, or <v> 11' ammunition being im- on the Importntlon List. the licensed
ported for sporting purposes, n stntcment importer shall prepare Form OA <Firewhy the applicant believes It is generally arms), in duplicate, and furni::1h the
recognized ns particularly suitable for original Fonn 6A <Firearms) to the Cusor readily adaptable to sporting purposes. toms officer releasing the flre:mm or amIn detennlnlng whether a firearm or ammunition. The Customs officer shnll,
munition is pnrtlculnrly suitable for or after certification, forward the F01m 6A
readily adaptable to sporllng purposes, <Firearms> to the Assistant Regional
the Dfrccto1 mny seek the 1ecommenda- Commissioner for the reulon whe1eln the
tlon of the advlsol'y board authorized by llcenscd importer maintains his place
parn.grnph <c> of this section. If the of business. The Form 6A <Firearms>
Director amJroves the npplicatlon, such shall show the name, address, and liapproved nppl!cutlon shall sc1-ve ns the cense number of the Importer, the name
pcnu1t to impo1't the flrea1ms or ummu- of the manufacturer of the firearm or
nition described therein, nnd Importation nmmu1.itfon, the country of manufacof such firearms or nmmunltlon may tul'C, the type, model, and caliber, size
wnllnue to be made by the licensed im- or gauge, and the number of firearms or
porter under the approved nppllcatlon rounds of ummunltion released.
(c) Within 15 days of the date of re(permit> during the period spccUled
thereon. The Director shall furnish the . lease from customs custody, the licensed
apIJroved appllcntion (permit) to the ap- importer shall (1) forward to the Assistplicant and retain two copies thereof for ant Regional Commissioner a copy or
administrative use. If the Director cllsnP- Form 6A <Firearms) on whlcl1 shall be
proves the appllcntlon, the licensed im- reported any erl'Or or discrepancy apporter shall be notified o! the basis !or pearing on the Form 6A <Firearms) certified by Customs, (2) pursuant to 178.the dlsnpproval.
(c) The Director may conmllo nn Im- 92, place all required Identification data
portation List of firearms and ammuni- on each Imported firearm if same <lid not
tion which he dctcnnlncs to be generully bear such Identification data at the time
recognized as particularly suitable for of its release from Customs custody, and
or readily adaptable to sporting purposes. C3) post In the records required to be
The determination of the Dlrecto1 that maintained by him under Subpart H of
this part, all required Information reLI. firearm or ammunition Js generally recognized to be particularly suitable !or garding the lmpo1'tatlon.
or readily adaptable to sporting purposes 178.113 lmportulion l1r other limay be made with the assistance of an
censees.
advisory board to be appolnt.cd by the
<a> No person other than a licensed
Commissioner. Such board mny be compased of persons from within and without importer <as defined in 178.11) shall
governmental agencies who are recog- engage in the business of Importing firenized as being particularly knowledgeable arms or ammunition. Therefore, no fire1n the use and classification of firearms arm or ammuntion shall be Imported or
and ammunition. No firearm shall be brought into the United Stntes or a posplnccd on the Importation List unless It session thereof by any licensee other
1s found that Cl) the cnllber or gauge of than a licensed importer unless the Dithe firearm is suitable for use In n recog- rector Issues a permit authorizing the
nized shooting sport, <2) the type of fire- Importation of the firearm or ammuarm is generally recognized as particu- nition.
larly suitable !or or readily adaptable
Cb) An application for a permit, Form
to such use, and <3> the use of the fire- 6 <Firearms), to Import or bring n firearm in a recognized shooting sport will arm or ammunition into the United
not endanger the person using it due to States or a possession thereof by a lideterioration through such use or because censee, other than a licensed Importer,
of Inferior workmanship, materinls or shall be filed, 1n triplicate, with the Didesign. No ammunition shall be placed rector. The application shall contain (1)
on the Imt>ortation List unless it is found the name, address, and the license numthat (1) the caliber, size or gauge of the ber of the applicant, <2> a description
ammunition is suitable for use In a rec- of the firearm or ammunition to be Imognized shooting sport, cm the type of ported, Including type (e.g.: rifle, shotammunition ls generally recognized as gun, pistol, revolver), model, caliber,
particularly suitable fo1 or ieadlly adapt- size or gauge, bancl length <If a fireable to such use, and <HO the use of the arm>, country of manufacture, and
ammunition in n recognized shooting name of the manufacturer, (3) the unit
sport will not endanger the person using cost of the firearm or ammunition to be
it.
imparted, <4> the nnme and address of
Cd) A firearm or ammunition imported the foreign seller and tlle forel!m shipor brought into the United States by a per, <5> the countiy from which the
licensed importer may be released from firearm or ammunition ls Lo be impol'tcd,
Customs custody to the licensed importer and (6) m if the firearm or ammunition
upon his showing that he has obtained is being imported or brought in tor scia. permit fl'om the Director for the im- entific or research purpos.:is, a statement
portation of the firearm or ammunition describing such purposes, or cm If for
to be released, or that the fireann or use in connection with competition or
ammunition appears on the Importation training pursuant to chapter 401 of title
List. In obtaining the release from cus- 10, U.S.C., a statement describing such
toms custody of a firearm or ammuni- Intended use, or (iii) if an unserviceable
tion authorized by this section to be im- firearm <other than a machine gun) bepo1"ted through use of a permit or being imported as a curio or museum piece,
No. 243--a
t;erviceablc and an cx1ilannllon of why

It is n curio or museum piece. or Ov> if a
firearm, other than a surplus military
fircan11, of a type that docs not fall within the definition of a Orcann under
5845 (a) of the Intemnl Revenue Code
of 1954, and is for sporlinrr rmrposes, 1m
explanation of wl1y the applicant believes the firearm Is generally recognfaed
as pnrlicularly suitable for or readily
adaptable to sportlnrr pumoscs, or (V)
if mnmunltion bellm Imported for sporting: pmposcs, a statement why the aplJ!lcant believes it ls generally recoGnlzcd
as particularly suitable for or readily
adaptable to sporting purposes. If the
Director approves the application, such
approved application shall serve as the
permit to import the firearm or ammunition described therein. T11e Director
shall furnish the approved am>licatlon
(permit> to the applicant and retain
two copies thereof for admlnlstrathe
use. If the Director disapproves the application, the appllcar.t shall be notlfted
of the basls for the disapproval.
<c> A firearm or ammunltlon Imported
ur brought into the United States or n
possession thereof under the provisions
of i!Ils section may be released from Customs custody to the llcenscc importing
the firearm or ammunition upon his
showing that he has obtained a permit
from the Director foi the importatlon. In
obtaining the relense of the firearm or
ammunition from customs cus~ody, the
licensee imporLlng same shall furnish n.
Form 6A <Firearms> to the Customs
officer releasing the fi1earm or ammunition. The customs officer shall,
after certlJlcation, forward the Form
GA <Flrearms> to the Assistant. Re
glonal Commissioner for the r.::glon
wherein the licensee Importing the firearm or ammunition maintains his 11censed premises. The Form GA <Firearms) shall show the name, address, and
the license number of the licensee, the
name of the manufacturer, the country
of manufacture, and the type, model, and
ca.Uber, size (If ammwlltlon> or gauge of
the firearm or ammunition so released,
and, If applicable, the number of fir.; arms or rounds of ammunition released.
178.114 lmporlntion by
the U.S. Arnted Force"
memhe~
of
<n.> T11c Director may Issue a permit

authorizing the importation of a firearm
or ammunition Into the United States to
the place of residence of any mllltnry
member of the U.S. Armed Forces who Is
on active duty outside the United States,
or who hns been on active duty outside
the United States within the 60-dny
period immediately :!)receding the intended importation: Provided, Thnt such
fi1ennn or ammunition Is generally iecognized as particularly suitable for or
readily adaptable to sporting purposes
and is intended for the personal use of
such member. An application for such a.
Permit, Fonn 6 <Firearms>, shall be filed,
in triplicate, with the Director. The application shall contain (1) the name and
current address of the applicant, <2>
certification that the transportation, receipt, or possession of the firearm or
0264
446
RIF
0265
18568
ammunition to be imported would not

constitute a viola.tlon of any provision
of the Act, Title vn of the omnibus
Crime Control a.nd Safe Streets Act of
1968, as amended <82 Stat. 236: 18 u.s.c.
Appendix> , or of a.ny State law or local
ordinance at the place of the applicant's
residence, <3> a description of the firearm or ammunition to be imported, including type <e.g.: rifle, shotgun, pistol,
revolver>, model, caliber, size or gauge,
barrel length <1! a firearm> , countrJ of
manufacture, and the name of the manufacturer, <4> the Wlit cost of the firearm. or ammunition to be imported, <5>
the name and address of the foreign
seller <ll applicable> and the foreign
shipper, CS> the country fl'om which the
firearm or ammunition is to be imported,
<'1> m that the firearm. or ammunition
being imPQrted is for the personal use of
the applicant, and <ii> if a firearm. ti
statement that it is not a surplus mllltary fl.rearm, that it does not fall within
the definition of a firearm. under section
5845<a> of the Intei"Dal Revenue Code
of 1954, and an explanation of why the
applicant believes the firearm. is genera.lly recognized as particularly suitable
for or readilY adaptable to sPortlng purposes, or <W> If ammunition, a statement
why the applicant believes 1t ls generally
recognized as particularly suitable for
or rea.dlly adaptable to sp0rting purposes,
and CS> the applicant's da.te of birth, his
rank or grade, his place of residence,
his present foreign duty station or his
last foreign duty station, as the case may
be, the date of his reassignment to a.
duty station within the United States, if
appllcable, and the mllita.ry branch of
which he is a. member. If the Director approves the application, such approved
application shall serve as the pe11nit to
import the firearm or ammunition de
scribed therein. The Director shall furnish the approved application <permit>
to the appllcant and shall retain the two
copies thereof for admln1strativo pmposes. If the Director disapproves the application, the appllcant shall be notified
of the basis for the disapproval.
Cb> Upon receipt of an approved ap.
pllcation (permit> to import the firearm
or ammunition, the applicant may obtain the release of same from Customs
custody upon his showlng that he has
obtained a. permit from the Director
for the importation. In obtaining the
release of the firearm or ammunition
from Customs custody, the military
member of the U.S. Armed Forces Importing same shall furnish a Form 6A
<Firearms> to the Customs officer releasing the firearm or ammunition. The
Customs officer shall, after certification,
forward the Form BA <Firearms> to the
Assistant Iiegional Commissioner for the
region wherein the State of residence of
the mlllta.ry member of the U.S. Armed
Forces is located. The Form 6A (Firearms> shall show the name and address
of such military member, the name of
the manufactmer, the country of manufacture, and the type, model, and caliber,
size or gauge of the firearm or ammunJ-
tlon so released, and, !f appllca.ble, the for legitimate hunting or lawful sportnumber of firearms or rowids of e.m- ing purposes, and such firearms and
mwiltlon released. However, when such such ammunition as remains following
military member is on active duty out- such shooting activity a.re to be taken
side the United States, he may appaint, back out of the tenitorlal limits of the
in writing, an agent to obtain the release United States by such person upon conof the firearm or ammunition from Cus- clusion of the shooting activity;
toms custody for him. Such agent shall
<2> Foreign milltary personnel on ofpresent sufficient identification of him- ficial assignment to the United States
self and the written authorization to act who bring such :firearms or ammunition
on behalf of such military member to into the United States fol" their exclusive
the Customs officer who is to release the use whUe on omcial duty in the United
firearm or ammunition.
States:
<c> Firearms determined by the De(3) Official representatives of foreign
partment of Defense to be war souvenirs governments who are accredited to the
nui.y be imported into the United States U.S. Government or are en route to or
by the military members of the U.S. from other countlies to which acArmed Forces under such provisions and credited;
procedures as the Department of De<4> Officials of foreign governments
fense may issue.
and distinguished foreign visitors who
have been so destignated by the Depart 178.115 Exempt imporlulion.
Ca> Firearms and ammunition me.y be ment of State; and
<5> Foreign law enforcement officers
bronght into the United States or any
possession thereof lJy any person who CEl,,tl of friendly foreign governments entering
the United States on official law enestablish to the satisfaction of Customs
that such firearm or ammunition was forcement business.
pre'wiously taken out of the United States 178.116 Condilion11l impor111tion.
or any possession thereof by such person.
The Director may permit the condiRegistration on Customs Form 445'1 or
on any other registration document tional importation or bringing into the
avaUable for this purpose may be com- United States or any passession thereof
pleted before departure from the United of any firearm or ammunition for the
States at any U.S. customhouse or any purpose of examining and testing the
office of an Assistant Regional Commis- firearm or ammunition in connection
a determination as to
sioner. A bill of snle or other commer- with making
the importation or bringing in
cial document showing transfer of the whether
of
such
fl.rearm
ammunition wlll be
firearm or ammunition in the United authorized underor
this pa.rt. An applicaStates to such person also may be used
to establish proof that the firearm or tion for such conditional importation
be filed, in duplicate, with the Diammunition was ta.ken out of the United shall
The Director may impose condiStates by such person. Firea1ms and am- rector.
munition furnished under the pro'Visions tions upon any importation under this
of section 925<a> (3) of the Act to mUi- section including a requiiement that the
or ammunition be shipped ditary members of the U.S. Armed Forces firearm
from Customs custody to the Dion active duty outside of the United rectly
and that the person importing or
States also may be imparted . into the rector
bringing 1n the :ftrea1m or nmmunition
United States or any possession thereof must
agree
to eithel" export the firea1m
by such military members upon establishing to the satisfaction of Customs or ammunition or destroy same if a.
is mRde that the firearm
that such firearms and ammunition determination
or ammunition may not be imparted or
were so obtained.
 Firearms and ~mmunition may be brought in under this part. A firearm or
imported or brought into the United ammunition Imported or brought into
United States or any possession
States by or for the United States or the
a.ny department or agency thereof, 01 thereof under the provisions of this secany State or any department, agency, tion shall be released from Customs cusor political subdivision thereof. A fire- tody upon the payment of customs duties,
arm or ammunition imported or brought if applicable, and in the manner prein the conditional authorization
into the United States wider this para- scribed
graph may be released from Customs issued by the Director.
custody upon a showing that the fire- 178.117 Func1ion outside n customs
arm or ammunition is being imPOrted or
tcrrilory.
,.
brought into'the United States by or for
In the insular possessions of the United
such a governmental entity.
States outside customs terrlt.ory, the
Cc) The provislons of this subpart functions performed by U.S. Customs
..shall not apply with respoot to the im- officers under this subpart within a cusportation into the United States of any toDlS terl'itory may be performed by the
antique firearm.
appropriate authorities of a territorial
<d> Firearms and ammunition are not goverruneni or other offl.cers of the
imported into the United States, and United States who have been designated
the provisions of this subpart shall not to perform such functions. For the purapply, when sueh firearms and ammunt- pose of this subpart, the tenn customs
tlon are brought into the United States territory means the United States, tile
by:
Distrlet of Colwnble., and the CommonCl> A nonresident of the United States wea.J.th of Puerto Rico.
FEDERAl REGISTER, VOL. 33, NO. 243-SATURDAY, DECEMBER 14, 1968
0265
447
RIF
0266

18569

Subpart H-Records
178.121
178.122 Recurds niaintnined by im

porters.
Gcncrnl.
Ca) Each licensed importer shall,

within 15 days of the date of importation
or other acquisition. record the type,
model, caliber or gauge, manufacturer,
country of manufacture, and the serial
number of ea.ch firearm he imports or
otherwise acquires. and the date such
importation or other acquisition was
made. Each licensed importer shall,
within 15 days of the date of release from
Customs custody or other acquisition,
record the type, caliber, size -0r gauge
manufacturer, and country of manufacture of the ammunition he impo1ts or
otherwise acquires, and the date such
importation or other acqUisition was
made.
 A record of firearms and a sepe.rate record of n1lllllunition disposed of
by a licensed imp0rter to another licensee
shall be maintained by the licensed importer on his licensed premises and shall
show the quantity. type, manufacturer,
coWltry of manufacture, caliber, size or
gauge, serial number <in the case of firearms only), of the firearms or ammunition so transferred, the name, address,
and license number of the licensee to
whom the firearms or ammunition were
transferred, and the date of the transaction. The information required by this
paragraph shall be entered in tli.c proper
record book not later than the seventh
day following the date of the transaction,
and such information shall be recorded
under the following format:
(a) The records pertaining to firearms

transactions prescribed by this part
shall be in permnnen t form, and shall be
retained on the licensed premises in the
manne1 prescribed by this subpa1t. The
records peitnining to ammunition prescribed by this part shnll be retained
on the licensed premises in the manner
prescribed by 178.125.
(b) Internal revenue omcers may enter
the premises of any licensed importer,
licensed manufacturer, licensed dealer.
or licensed collector for the purpose of
examining or inspecting any record or
d1>cument required by or obtained Wlder
this part <see 178.23). Sectio11 923(g)
of the Act requires licensed irnPorters,
licensed manufacturers, licensed dealers,
and licensed rollectors to make such records available for such examination or
inspection at all reasonable times.
(c) Each licensed importer, licensed
manufacturer, licensed denier, and licensed collector shall maintain such records of importation, production, shipment, receipt, sale, or other disposition,
whether temporary or permanent, of
fl.rearms and ammunition as the regulations contained in this pa.rt prescribe.
Section 922<m) of the Act makes it unlawful for any licensed Importer, licensed
manufacturer, licensed dealer, or licensed
collector knowingly to make any false
entry ln, to fail to make appropriate
entry in, or to fail to properly maintain
any such record.
Quam-
Typo
t!ty
Country
of
llfonu
facturer
mnn11fncturo
Clllibor,
sizo
or
go.ugo
Morl<ll
Bert Ill
No.
Nnmc, nddl'l'SS,
and U<:enso No.
of llccnsf1" to
whom tmnsforrnd
DCltll of
U1ntmns-
notion
<c> Notwithstanding the provisions of

paragraph (b) of this section, the Assistant Regional Commissioner may authortze alternate records to be maintained by a licensed importer to record
his disposal of firearms and ammunition
when it is shown by the licensed importer
that such alternate records Will accure. tely and readily disclose the information required by paragraph Cb> of this
section. A licensed importer who proposes to use alternate records shall submit a letter application, in duplicate, to
tile Assistant Regional Commissioner and
shall describe the proposed alternate records and the need therefor. Such alternate records shall not be employed by
the licensed importer until approval in
such regard is received from the Assistant Regional Commissioner.
<dl Each licensed importer shall
maintain separate records of the sales
or other dlsposttlons made of firearms
and ammunition to nonltcensees. Such
recor& shall be maintained in the form
nnd manner as prescribed by 178.125
ln rega.Td to ammunition transactions,
and by 178.124 and 178.125 in regard
to firearms transaction records and records of acqulsitlon and disposition of
fl.rearms.
178.123 R~ords mnintained by mnnufacturcrs.
Cal En.ch licensed manufacturer shall

record the type, model, caliber or gauge,
and serial number of each complete firearm. he manufactures or otherwise acquires, and the date such manufacture
or other acquisition wns made. Each
licensed manufacturer shall record the
type, caliber, size or gauge of the am.munition he manufactures or otherwise
acquires. The information required by
this paragraph sl1all be recorded not
later thnn the seventh day following the
date such manufacture or other acquisition was made.
Cb) A record of firearms and a. separate record of runmunltlon dfspascd of
by a licensed manufacturer to another
licensee shall be maintained by the licensed manufacturer on his licensed
p1emlses and shall show the quantity,
type, caliber, size or gauge, serial number
<hl the case of firearms only), of the fl.rearms or ammunition so transferred, the
nnme, address, and license number of tho
licensee to whom the firearms or ammunition were transferred, and the date of
the transaction. The information 2equired by this paragraph shall be entered
in the proper record book not later than
the seventh day following the date of the

transaction, and such Information shall
be recorded under the format prescribed
bY 178.122 except that the name of the
manufacturer and the country of mar.uf a.cture need not be recorded if the :fireann or ammunition is of the manufacturer's own manufnctuTe.
(c) Notwithstanding the provisions of
paragraph of this section, the
Assistant Regional Commissioner muy
authorize a.lternate records to be maintained by a licensed manufacturer to
iecord his ili.;posal of :firearms and
ammunition when it is shown by the
licensed manufacturer that such alternate records will accurn.tely and readily
disclose the information required by
paragraph (b} of this section. A licensed
manufacturer who proposes to use alternate records shall submit a letter appllcation, in duplicate, to the Assistant
Regional Commissioner and shall descdbe the proposed alternate records
and the need therefor. Such alternate
1ecords shall not be employed by the licensed manufacturer until approval in
such rega.id ls received from the Assistant Regional Commissioner.
(d) Each licensed manufacturer shall
or other dispositions mnde of firea.rms
and ammunition to nonllcensees. Such
records shall be maintained in the fonn
and mnnne1 ns prescribed by 178.125 in
regard to ammunition transactions, and
by 178.124 and 178.125 in regard to
firearms transaction records and records
of acquisition nnd disposition of firearms.
173.124
1''ircnr1,us 1rnm111etion record.
A licensed importer, licensed manufacturer, or licensed dealer shall not

sell or otherwise dispose, temporarily or
pernmnentlv. of any firearm to any person, othe1 than another licensee, and a
licensed collector shall not sell or other~
wise dU;pose of any curio or relic to any
person, other than another Ucensee, unless he records the transaction on a firearms transaction record, Form 4473:
Provided-, That a firearms transaction
record, Form 4473, shall not be required
to record the disposition made of a. firemm delivered to a licensee for the sole
purpose of repair or customizing when
such :firea1'ln is i-eturned to the person
from whom ieccived.
Cb> A licensed ilnpOl'ter, licensed
manufacturer, licensed dealer, OT liceru;ed collector shall retain in alphabetical (by name of purchaser) , chronological <by date of disposition>. or numerical <by transaction serial number>
order, and as a part of his permanent
records, each Form i473 he obtains in the
course of transfening custody of his
firearms.
Cc> Prior to making nn over~the
counter transfer of a firearm to a nonllcensee who ls a resident of the state in
Which the licensee maintains his business or collection premises, the licensed
importer, licensed manufacturer, licensed dealer, or licensed collector so
transferring the firearm sha.11 obtain a
Fonn 4473 from the transferee showing
the name, address, date and place of
(a}
FEDERAL REGISTER, VOL 33, NO. '243-SATURDAY, DECEMBER 14, 1968
0266
448
RIF
0267
18570
birth, height, weight, and race of the

transferee, and certification. by the
transferee that he ls not prohibited by
the Act or Title vn of the Omnibus
1968 <82 Stat. 236; 18 U.S.c. AppendlX>
from receiving a firearm In interstate or
foreign commerce. The licensee shall
identify the firearm to be transferred by
listing in the Form 4473 the name of the
manUfacturer, the name of the importer
<If any), the type, model, caliber or
gauge, and the serial number of the fl.rearm. Before transferring the firearm described In the Form 4473, the licensee 
shall cause the transferee to Identify
himself ln any manner customarily used
1n commercial transactions <e.g., a
driver's license>, and shall note on the
form the method used, and C2) if satisfied that the transferee Is lawfully entitled to receive theitfireann, shall sign
and date the form.
Cd> Prior to making an over-the~coun
ter transfer of a shotgun or rWe to a
nonllcensee who ls not a resident of the
State In which the licensee maintains his
business or collection premises, and such
nonlicensee ts acquiring the shotgun or
rifle under the provisions contained in
178.96<d>, the licensed dealer so transferring the shotgun or rifle, and such
transferee, shall comply with the requirements of pa1egraph <c> of this section.
In addition, the sworn statement requirements imposed upon the transferee and
the licensee by 178,96Cd) also shall be
fully met.
<e) Prior to making a transfer of a
firearm to any nonllcensee who is not a
resident of the State in which the licensee maintains his business or coIIec:.
tlon premJses, and such nonllcel1See Is
acquiring the firea.nn by loan or rental
from the licensee for temporary use for
laWful sporting purposes, the licensed
Importer, licensed manufacturer, licensed dealer, or licensed collector so
furntshlng the firearm, and such transferee, shall comply with the requirements
of paragraph <c> of this sectlon.
<f> Form 4473 shall be submitted, In
duplicate, to a licensed importer, licensed manufacturer, licensed dealer,
or licensed collector, by a transferee
who; <1> 1s purchasing or otherwise acqUlring 1!. firearm by other than an overthe--counter transaction, and who ts a.
resident of the State in which the licensee maintains his business or collection premises, or <2> Is purchasing or
otherwise acquiring a shotgun or rifle,
and who ls a resident of a. State contiguous to the State in which the licensee
ma.lnta.lns hls business or collection
premises. The Form 4473 shall show the
name, add:-ess, date and place of birth,
height, weight, and race of the transferee; and the title, name, and address of
the principal law enforcement officer of
the locality to which the firearm will be
delivered. The transferee also must date
and execute the swom statement contained on the form showing that, in case
the firearm to be transferred ls a. firearm
other than a shotgun or rifie, he is 21
years or more of age; that, In case the

firearm to be transferred is a shotgun
or rlfle, he is 18 years or more of age;
that he is not prohibited by the provisions of the Act from receiving a fire
arm in interstate or foreign commerce;
a.nd that his receipt of the firearm would
not be in violation of any statute of the
State and published ordinance appllcable to the locality in which he resides.
licensee shall Identify the firearm to be
transferred by listing in the Forms 4473
the r:.ame of the manufacturer, the name
of the importer <If any>, the type, model,
caliber or gauge, and the serie.1 number
of the firearm to be transferred. The
licensee shall prior to shipment or dellvery of the firearm to such transferee, forward by registered or certified mall <return receipt requested> a copy of the
Fonn 4473 to the chief law enforcement
officer named 1n the Form 4473 by the
transferee, and shall delay shipment or
delivery of the firearm to the transferee
for a period of at least 7 days following
recetpt by the licensee of the retum recelpt evidencln.g delivery of the copy
of the Form 4473 to such chief law enforcement officer, or the return of the
copy of the Form 4473 to the licensee
due to the refusal of such chief la.w enf orcement officer to accept same In accordence with u.s. Post omce Department regulations. The original Form
4473, and evidence of receipt or rejection
of delivery of the copy of the Form 4473
th h f la nf
m
sen t t
e c le we orcement 0 cer,
shall be retained by the licensee 83 a
~:~t ~~e~ r:;:~~bi~~ of him to be
(g) A licensee who sells or otherwise

disposes of a firearm to a nonllcensee,
who is other than an Individual, shall obtaln from the transferee the infonnatlon
requlred by this section from an indiVidual a.uthorlzed to act on behalf of the
transferee. In addition, the licensee shall
obtain from the Individual acting on behalf of the transferee a written statement, executed under the penalties of
perjury, that the firearm is being ac
quired for the use of and wlll be the
property of the transferee, and showing
the name and address of that transferee.
Ch> The requirements of this section
shll.11 be in addition to any other record
keeping requirement contained in this
Part.
Dnto
Mnnurncturcr
C!il!bar,
gnugc, or
typo of
component
m A licensee may obtain, upon request, a supply of Form 4473 from any
Asslstant Regional Commissioner or any
District Director.
178.125 Record of recl'ipt and disposition.
<a.> Ea.ch licensed dealer shall maintain records of all ammunition he receives for the purposes of sale or distrlbutlon. Such record may consist of
invoices or other commercial records
which shall be filed in an orderly manner
separate from other commercial records
he maintains, and be readlly available for
Inspection. Such record shall: Cl> show
the name of the manufacturer and the
transferor, and the type, c.iallber or gauge,
and quantity of the ammunltlon acquired
in the transaction, and the date of such
acquisltlon, and (2) be retained on the
licensed premises of the dealer for a
period of not less than two years followIng the date of the acqUlsit1on.
 Each licensed collector shall malntaln records of all ammunition he acquires as curios or relics for his collection. Such record may consist of invoices
or other commercial records which shall
be filed 1n an orderly manner separate
from other commercial records he maintains, and be readily available for lnspection. Such records shall show the informatlon required by paragraph <a> of
this section and be retained 1n the same
manner.
<c> The sale or other disposition of
ammunition, or of an ammunition curio
graph (d) of tbls section, be recorded
in a bound record at the time such transaction Is made. The bound record entry
shall show; <1> the date of the transaction, (2) the name of the manufacturer, the caliber, gauge or type of component, and the quantity of the ammu nitlon transferred, (3) the name, address,
and date of birth of the purchaser
<transferee>, and <4> the method used
by the licensee to establish the Identity
of the purchaser <transferee) . The bound
record shall be maintained in chronologlcal order by date of sale or disposition
of the ammunition, and shall be retained
on the licensed premises of tbe licensee
for a period of not less then two years
following the date of the sa.le or dlspositlon of the ammunition recorded therein.
The format required for the bound record
Is as follows:
Qunntlty Nnmo
Cd) When a commercial record ls made

at the time of sale or other disposition of
or relic, and such record contains all Information required by the bound record
prescribed by paragraph <c> o.f this sectlon, the licensed dealer or licensed collector transferring the ammunition, or
ammunition curio or relic, may, for a
Address . Dato or
birth
Modo or ldontlflcallon
Driver's llconso
. (JI)
Other
(spcclFy)
pel'lod not exceeding 7 days following t11e

date of such transfer, delay ma.king the
requfred entry into such bound record:
Provided, That the commercial record
p.ertaining to the transfer ls: (1) maintatned by the licensed dealer or licensed
collector separate from other commercial
documents maintained by such licensee,
and <2> Is readily available for inspection
FEDERAL REGISTER, VOL. 33, NO. 243-SATURDAV, DECEMBER 14, 1968
0267
449
RIF
0268

18571
on the licensed premises until such time

as the required entry into the bound record is made.
Ce> Each licensed dealer and each licensed collector shall on and after tlle
effective date of this part enter into a
permanent record each receipt and disposition of firearms or fl.rearms curios
or relics. In addition, before commencing
or continuing firearms business or firearms curio and relic collection, each licensed dealer and licensed collector shall
inventory the firearms or :firearms curios
and relics poss~d for such business or
in such collection and shall record same
in the record required by this paragraph:
Provided, That when a licensed dealer
or llcenSed collector has records maintained under the Federal Firearms Act
which readily dlsclose bis inventory of
fl.rearms or :flreanns curios and relics,
such inventory need not be recorded in
the record required by this paragraph.
The record required by this paragraph
shall be maintained in bound form under the format prescribed below. The
purchase or other acquisition of a fire. arm by a licensed dealer, or of a firearm
curio or relic by a licensed collector, shall,
except as provided in paragraph Cf) of
this section, be recorded not later than
the close of the next business day following the date of such purchase or acquisition. The record shall show the date of
receipt, the name and address or the
name and license number of the person
from whom received, the name of the
manufacturer and lmporter <If any>, the
model, serJal number, type of action, and
the caliber or gauge of the flreann or
firearm curio or relic. The sale or other
dlsposltlon of a firearm or of a firearm
curio or relic shall be recorded by tlle
licensed dealer or the licensed collector
not later than seven days folloWing the
date of such transaction. When such disposition is made to a nonllcensee, the
firearms transaction record, Form 4473,
obtained by the licensed dealer or the
licensed collector shall be retained, until
the transaction Is recorded, separate
:from his Form 4473 file and be readily
available for Inspection. When such disposition is made to a licensee, the commercial record of the transaction shall
- be ietalned, until the tri:&nsa.ctlon ls recorded, separate from other commercial
docwnent,s malntPfned by the licensed
dealer or licensed collector, and be readily
available for Inspection. The record shall
show the date of the sale or other disposition of each firearm or firearm curio
or relic, the name of the person to whom
the firearm curio or relic is transferred,
and the address or license number of the
person to 'Whom transferred if such person Is a licensee, or the firearms transaction record, Form 44'73, serial number
If the lfcensed dealer or the licensed collector transferring the firearm or curio
or relic serially numbers his Forms 4473
and files them nwnerically. The format
required :for the record of receipt and
disposition of firearms or firearms curios
and relics Is as follows:
Fu!EABllB A.CQOJSJTION AND DJSrOSJTION REOORD
Dll."ICl'lptlon or ftreenn
Mnnuroc.
turer nnd/or Mc><fol

Importer
S~rlru
No.
Typo
of
0
action
Disposition
Rcoolpt
Cnllbcr
nnd
gnugo
.Addrcs:: or llccnso No.
From whom
(name 1111d
Dnto address or namo Dnto
<f> When a commercial record Is held

by a licensed dealer or licensed collect.or
showing his acquisition of a firearm or

firearm curio or relic, and such record
contains all acquisition information required by the bound record prescribed
by paragraph Ce> of this section, the licensed dealer or lfcensed collector acquiring such firearm or curio or relic,
may, for a period not exceeding seven
days following the date of such acquisition, delay me.king the required entry
into such bound record: Provided, That
the commercial record is, until such ti.me
as the required entry into the bound record is made, (1) maintained by the licensed dealer or licensed collector separate from other commercial docwnents
maintained by such licensee, and (2) is
readily available for inspection on the
Ucensed premises; Provided, further.
That when disposition fs made of a firearm. or firearm curio or relic not entered
in the bound record under the provisions
of this para.graph, the licensed dealer or
licensed collector making such disposition shall enter all required acquis!.tlon
1nformatlon regarding the firearm or
firearm curio or rellc in the bound record
at the time such transfer or disposition
is made.
(g) Notwithstanding the provisions of
paragraphs <c> and <e> of this section.
the Assistant Regional commissioner
may authorize alternate records to be
maintained by a licensed dealer or a licensed collector to record his acquisition and disposal of firearms and ammunition, or curios and relics, when It Is
shown by the licensed dealer or the licensed collector that such alternate records will accurately and readily disclose
the required information. A llcensed
dealer or licensed collector who proposes
to use alternate records shall submit a
letter application, In duplicate, to the
Assistant Regional Commissioner and
shall describe the proposed alternate
records and the need therefor. Such alternate records shall not be employed b:y
the licensed dealer or the licensed collector until approval In such regard is
received from the Assistant Regional
Commissioner.
(h) Each licensed importer and licensed manufaeturer selling or otherwise disposing of ft.rearms or ammunition to nonllcensees shall maintain such
records of such transactions as are required of licensed dealers and licensed
collectors by this section.
1111d llconso
Nnmo
number)
Ullco.msco, or Form
4473 Serini No. If
Fonns 4473 filed

numcrtcnlly
178.126 Furnishing transaction information.
<a> Each licensee shall, when required

by letter Issued by the Assistant Regional
Commissioner, and until nottfied to the
contrary In writing by such officer, submit on Form 4483, Report of Firearms
Transactions, for the periods and at the
times specified in the letter issued by the
As~fstant Regional Commissioner, all
record Information reqUlred by this subpart, or such lesser record Information
as the Assistant Regione.I Commissioner
In his letter may specUy.
(b) The Assistant Regional Commissioner may authorize thb information to
be submitted In a manner other than that
prescribed In paragraph Ca> of this section when it fs shown by a licensee that
an alternate method of reporting 1s reasonably necessary and wlll not unduly
hinder the effective administration of
this part. A licensee who proposes to use
an alternate method of reporting shall
submit a letter application, In duplicate,
and shall describe the proposed alternate
method of reporting and the need tberefor. An alternate method of reporting
shall not be employed by the licensee Wltll approval in such regard Is received
from the ASslstant Regional Commissioner.
178.127
Diseontinuanee of business.
Where a. firearms or ammunition business Is discontinued and succeeded by a

new licensee, the recordS prescribed by
this subpart shall appropriately reflect
such facts and shall be delivered to the
successor. Where discontinuance of the
business Js absolute, the record& prescribed by thts subpart shall be delivered
within so days follov,ring the business
region in which the business was operated: Provided. however, Where State
law or local ordinance requJres the delivery of records to (lther 1esPonslble
authorJty, the Assistant Regional Commissioner may arrange for the delivery
of the records required by thfo subpart to
such authority.
Subpart I-Exemptions
178.141
Genernl.
The provisions of thJs part shall not

ca> The transportation, shipment, receipt, or fmportatlon of any :flrearm or
FEDERAL REGISTER, VOL. 33, NO. 243-SATURDAY, DECEMBER 14. 1968
0268
450
RIF
0269
18572
ammunition imported for, sold or shipped

states or any department or agency
thereof or any State or any department,
agency, or political subdivision thereof,
 The shipment or receipt of firearms or ammunition when sold or Issued
bY the Secretary of the Army pursuant
to section 4308 of tltle 10, U.S.C., and the
transportation of any such firearm or
ammunition carried out to enable a person, who lawfully received such firearm
or ammw11tlon from the Secretary of
the Army, to engage ln military training
or 1n competitions.
<c> The shipment, unless otherwise
prohibited by the Act or any other Federal law, by a licensed importer, Ucensed
manutacturer, or licensed dealer to a
member of the U.S. Armed Forces on active duty outside the United States or
to clubs, recognized bY the Department of
Defense, whose entire membership ls
composed of such members of the U.S.
Armed Forces, and such members or
clubs may receive a firearm or ammunition determined by the Director to be
generally recognized as particularly suitable for sporting purposes and intended
for the personal use of such member or
club. Before making a shipment of firearms or ammunition Wlder the provisions
of this paragraph, a licensed importer,
Ucensed manufacturer, or llceni>ed dealer
may submit a written request, In duplicate, to the Director for a determination
by the Director whether such shipment
woUld constitute a Violation of the Act or
any other Federal law, or whether the
firearm or ammunition ls considered by
the Director to be gcneralty recognized
as particularly suitable for .sporting purposes.
<d> The transportation, shipment, receipt, or importat!.on of any antique
firearm.
178.144 Relief from disabilities in

clll'l"ed by conviction.
<a> Any person may make application

for relief from the disabilities under Federal law Incurred by reason of a conVictlon of a crime punishable by Imprisonment for a term exceeding 1 year if such
conviction was not of a crime involving
the use of a flreann or other weapon or
a violation of the Act or the National
Firearms Act.
(b) An application for such relief shall
be addres.sed to the Commll>sioner and
shall include such supPQrtlng data as the
applicant deems appropriate. In the case
of a corporation, the SUPPQrtlng data
should include information as to the absence of culpabillty in the offense of
which the corporation was convicted, or
of any person having the Power to direct
or control the management of the corporation, if such be the fact. The application shall be filed, 1n triplicate, with
the Assistant :Regional Commissioner for
the internal revenue region wherein the
applicant resides.
(c) The Commissioner may grant relief to an applicant if it ls established to
the satisfaction of the Commissioner that
the circumstances regarding the conviction, o.nd the appllcant's record and reputation are such that the applica.nt will
not be likely to act in a manner dangerous to publlc safety, and that the granting of the relief would not be contrary
to the publlc interest.
(d) Whenever
the Commlssloner
grants relief to any person pursuant to
this section, he shall promptly publish in
the FEDERAL REGISTER notice of such action, together with the reasons therefor.
Ce> A person who has been granted
relief undc1 this section shall be ielleved
of any dll>abllitles imposed by Federal
laws with respect to the acquisition, receipt, transfer, shipment, or possession
178.142 Effect of Presidential pnrdon. of firearms and incurred by reason of
A pardon granted by the President of such conviction.
(f) <1) A licensee who ls convicted of
the United States regarding a conviction a crime
punishable by imprisonment for
for a ertme punll>hable by imprisonment
for a term exceeding 1 year shall remove a term exceeding 1 year du11ng the term
any disability which otherwise would be of n current license or while he bas pendImposed by the provisions of this part tn ing a license renewal application, and
who qualifies under this section to ftle an
respect to that conviction.
nppllcation for removal or disabilities re 178.143 Relief from disabilities in sulting from such conviction, shall not be
curred Ly indictment.
barred from licensed operations for 30
A llcensed Importer, licensed manufac- days after the date upon which his conturer, licensed dealer, or licensed collec- Viction becomes final, and if he files his
tor who Js indicted for a crflne puntsh- application for relief as provided by this
able by impri~mnment for a term exceed- section within such 30-day period, he
ing l year may, notwithstanding any may further continue licensed operaother provision of the Act, continue oper- tions during the pendency of his appliations pursuant to his existing license cation. A licensee who is not qualified
during the term of such indictment and under this section to file an application
until any conviction pursuant to the In- for relief or, if so qualified, docs not file
dictment becomes final: Provided, That such application within 30 days from the
if the term of the Ucense expires during date his conviction becomes final shall
the period between the date of the indict- not continue licensed operations beyond
ment and the date the conviction there- 30 days from the date his conviction beunder becomes final, such Importer, comes final.
manufacturer, dealer, or collector must
C2> In the event the term of a Jlcense
file a timely application for the renewal of a person qualified t.o seek relief under
of his license in order to continue opera- this section expires during the 30-day
tions. Such application shall show that period following the date up0n which his
the applicant is under indictment for a conviction becomes final or during the
crime punishable by impr1soruneut for a pcndency of hfs application for relief, he
term exceeding 1 year.
must file a timely application for ~enewal
of his license in order to continue licensed

opemtlons. Such license application shall
show that the applicant has been conVicted of a crime punishable by imprisonment for a term exceeding 1 year.
(3) A licensee shall not continue licensed operations beyond 30 days following the date the Commissioner issues
notification that the licensee's application for iemoval of disabillties resulting
from a ccmvictlon has been denied.
<4) When as provided In this section
a licensee may no longer continue
licensed operntlons, any application for
renewal of license filed by the licensee
dw"lng the tenn of his Indictment or
the pendency of his application for
removal of disabillties resulting from
such conviction, shall be denied by the
178.145
Research orgnnizalions.
The provisions of this part with

respect to the sale or delivery of destructive devices, machine guns, short.
barreled shotguns, and short-barreled
rifies shall not apply to the sale or deli very of such devices and weapons to
any research organization designated by
the Director to receive same. A research
organization desiring such designation
shall submit a letter application, in
duplicate, to the Director. Such appllca.tlon shall contain the name and address
of the research organization, the names
and addresses of the persons directing
or controlling, dlrectty or indlrectiy, the
pollcies and management of such orga.nlzatlon, the nature and purpose of the
research being conducted, a description
of the devices and weapons to be
received, and the identity of the person
or persons from whom such devices and
weapons are to be received.
178.146 Deliveries by mnil to certnin
persons.
The proVisions of this part shall not

be construed as prohibltfng a licensed
importer, ltcensed manufacturer, or

licensed dealer from depositing a. firearm for conveyance in the mails to any
officer, employee, agent, or watchman
who, pursuant to the provisions of section 1715 of title 18, u.s.c .. ls eligible to
receive through the malls pistols,
revolvers, and other fbearms capable of
being concealed on the person, for use
in connection with his official duties.
173.147 Re1mir of firearm,
A person not otherwise prohibited by
Federal, State or local law may ship a

fireatm to a llCensed importer, licensed
manufacturer, or licensed dealer for the
sole purpose of repair or customizing,
and notwithstanding any other provision
of this pnrt, the licensed importer, licensed manufacturer, or licensed dealer
may return In Interstate or foreign commerce to that person the repaired firearm or a replacement firearm or the
same kind and type.
178.143 Ammunilion londing for 11erso11nl use,
The Ucensing provisions of this part

slmll not aPP1Y to any person who engages only in hand loading, reloading,
0269
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RIF
0270

18573
any prisoner who by reason of duties connected with law enforcement has expressly been entrusted with a firearm
Research
by the President of the United States or Chapter I-Agricultural
the chief executive of a. State and has
Service, Department of Agriculexpressly
been
authorized
by
the
Presi 178.161 False slalemenl or represcnture
dent or such chief executive as the case
tntion.
may be, t.o receive, possess, or transport SUBCHAPTER C-INTERSTATE TRANSPORTATION
Any person who knowingly makes any in conur.erce a firearm.
OF ANIMALS AND POULTRt
false statement or representation with
respect to any information required by 178.165 Receipt, etc., of firearms by PART 97-0VERTIME SERVICES REcertain employees.
LATING TO IMPORTS AND EXPORTS
the provisions of the Act or this part t.o
Any individual who to his knowledge Administrgtive lnstrutfions Prescribing
be kept In the records of a person engaged in firearms or ammunition busi- and while being employed by any person
Commuted Traveltime Allowances
ness, or In applYfng for any license, ex who <a> has been convicted of a felony,
emption, or relief from disability, under Cb> has been discharged from the Armed
Pursuant to the authority conferred
the provisions of the Act, shall be fined Forces Wlder dishonorable conditions, upon the Director of the Animal Health
<c>
has
been
adjudged
by
a
court
of
the
not more than $5,000 or imprisonment
Division by 97 .1 of the regulations conUnited States or of a State or any politi- cerning overtime services relating to imnot more than 5 years, or both.
cal
subdivision
thereof
of
being
mentally
ports
and exports, effective Juiy 31, 1966,
178.162 Transporlntion or receipt to incompetent, (d) having been a citizen
(9 CFR 97.1>, administrative instruccommit a crime.
of the United States has renounced his tions <9 CFR 97.2> effective JUly 30, 1963,
AnY person who ships, transports, or citizenship, or <e> being an alien is me- as amended May 18, 1964 <29 F .R. 6318>,
recelves a firearm or any ammunition ln gally or unlawfully in the United States, December 7, 1964 <29 F.R. 16316>, April
interstate or foreign commerce with in- and who, in the course of such employ- 12, 1965 <30 F.R. 4609), June 18, 1965
tent to commit therewith an offense ment, receives, Possesses, or transports In (30 F.R. 7893), June 7, 1966 C31 F.R.
punlShable by Imprisonment for a. term commerce or affecting commerce, any 8020), October 11, 1966 (31 F.R. 13114),
exceeding l year, or with knowledge a.nd firearm shall be fined not more than November 1, 1966 <31 F.R. 13939), Noreasonable ca.use to belfeve that an of- $10,000 or imprisoned for not more than vember 23, 1966 (31 F.R. 14826>, Februfense punishable by imprisonment for 2 years, or both: Provided, however, The.t ary 14, 1967 <32 F.R. 20843>, Aprll 15,
a term exceeding 1 year ls to be com- the provisions of this section shall not 1967 <32 F.R. 602D. August 26, 1967 <32
mitted therewith, shall be fined not more apply to an employee employed by a per- F.R. 12441>, September 29, 1967 <32 F.R.
than $10,000, or imprisoned not more son who has been pardoned by the Presi- 13650), February 9, 1968 (33 F.R. 2756),
than 10 years, or both.
dent of the United States or the chief March 7, 1968 <33 F.R. 4248), July 13,
178.163 Commission of a Federal executive of a State and hM expressly 1968 C33 F.R. 10085>, July 31, 1968 (33
been authorized by the President or such F.R. 10839>, August 15, 1968 C33 F.R.
crin1e.
chief executive, as the case may be, to 11587>, September 25, 1968 (33 F.R.
Any person who uses a ftrea1m to com- receive, oossess, or transp0rt in com- 14399>,
and November 8, 1968 (33 F.R.
mit any felony which may be prosecuted merce a firearm.
16382>, prescribing the commuted travelin a court of the United States, or cartlme
that
shall be included In each period
ries a firearm unlawfuily during the com- 178.166 Seizure and forfeilure.
of overtime or holiday duty, are hereby
mission of any felony which may be
Any firearm or ammunition involved amended
by adding to or deleting from
prosecuted In a. court of the United in, or used or intended to be used in, any
States, shall be sentenced to a term of violation of the provisions of the Act or the respective "lists" therein as follows:
OUTSIDE METltOl'OLIT<\N AREA
imprisonment !or not less than 1 year of this part, or in violation of any other
nor more than 10 years. In the case of criminal law of the United States, shall
FOUl'I HOUllB
a person's second or subsequent convlc- be subJect to seizure and forfeiture, and
Dc11lte: Anncortee, Wn.sll. (served from
tlon under this section, such person shall all provislona o! the Internal Revenue Blntne
or Senttlc, Wnsh.)
be sentenced to a term of Jmpl'isonment Code of 1954 relating to the seizure, forTHR&E HOUllS
for not less than 5 years nor more than feiture, and dispc>sition of firearms, as
25 years, and notwithstanding any other defined in section 5845(a) of that Code,
Add: Anncortes, Wneh. (served !rom Elnlnc,
provision of law, the court slmll not sus- shall, so far a.s applicable, extend to sei- Wneh.)
FOUH HOURS
pend the sentence of such person or give zures and forfeitures under the provisions
of the Act.
Add: Anncortea. Wnsh. (served !rom scnttlc, Wnsh.)
178.164 Rcccipl, Cle., or fircnrms lty
cerauin persons.
These commuted traveltime periods
178.171 Exporlalion.
have been established as nearly as may be
Any person who Ca> has been conFirearms and ammunition shall be ex- practicable to cover the time necessarily
Vlcted of a felony, Cb) has been discharged from the Armed Forces unde1 ported In accordance with the applicable spent in reporting to and returning from
dishonorable conditions, <c> has been ad- provisions of section 414 of the Mutual the place nt which the employee perSecurity Act of 1954 (22 U.S.C. 1934) and forms such overtime or holiday duty
judged by a court of the United States iegulatlons
thereunde1. However, lisuch travel ls performed solely on
or of a State or any political subdlvislon censed manufacturers, licensed Import- when
account of such overtime or holiday duty.
thereof of being mentally incompetent, ers, and licensed dealers exporting fire- Such
establlshment depends upon facts
<d> having been a citizen of the United artns and ammunition shall maintain within the knowledge of the Animal
States has renounced his citizenship, or records showing the manufactme or ac- Health Division.
It Js to the benefit of the public that
<e> being an alien is lllegally or unlaw- quisition of the firearms and ammunition
fully in the United States, who receives, as requh"ed by this part and records these Instructions be made effective at
the
eal'liest practicable date. A<:cordlngly,
possesses, or transports In commerce or sl,lowing the name and address of the pursuant
to 5 U.S.C. 553, It Js found upon
affecting commerce, any firearm shall be foreign consignee of the firearms and good cause that notice and public profined not mo1e than $10,000 or impris- ammunition and the date the firearms cedure on these lnstmctlons are imoned for not more than 2 yen.rs, or and .ammunition weie exported.
practicable, unnecessary, and contrary to
both: Provided, however, That the provi- [F.R. Doc. G8-149D6; Flied, Dec. 13, J96B; the public Interest, and good cause ls
B:4D ll..ln.J
found for making these Instructions efor custom loading ammunition for his
own firearm, and who does not hand
load, reload, or custom load ammunition
for others.
Subpart J_..:..Penalties, Seizures, and
Forfeitures
Title 9-ANIMALS AND

ANIMAL PRODUCTS
FEDERAL REGISTER, VOL, 33, NO. 243-SATURDAY, DECEMBER 14, 1968
0270
452
RIF
0271
FIREARMS
HEARING
Bl-:l'OR11 A
SUBCOMMITTEE OF rnE COMMITTEE ON
INTERSTATE AND FOREIGN COMMERCE
HOUSE OF REPRESENTATIVES
SEVENTY.FIFTH CONGRESS
FIRST SESSION
ON
S.3
TO REGULATE COMMERCE IN FIREARMS
JUNE 22. 1937
Printed for the uae of the

Committee on Interstate and Foreign Commerce
Cle
UNJTF.O RTATEB
GOVEllNMlt}NT l'IUNTINlJ Ol<'FICm
WASlUNOTON: 1031
0271
453
RIF
0272
3
4. '.rhe 1>rov1Hlona of thlH Act sl1aU not u1,1>lY wlt.b rc11pcct to the truuM
portatlon, sblpmcnt, rt.>eol1t, or lm1>0rtatlon of uu.v ftreurm, or aounuultlou, NOhl
or 11bl11pod to, or IYMued tor tho mro of, ( 1) tile United Stot<lll or nny dl!pnrtmont,
fndepc11dent e11tabllshment, or ugcncy thereof; (~) 1U1y Stotc, Territory, or
11oaSOHatlo111 or tliu District of Colmubfn, or au.v department, lnde1>e11dent t-ata.b
l111hn)eut1 ugoncy, or any 110Utlc11l 1mb<llvMon thereof; (8) nuy duly l'OW
ml111doncd omco1 or ugont ot tho Uultc<l Htutea, a. l:ltatc, Territory, or VC)1tfM!1t11lon,
or tbe Dbstrlct of Colmnblo, or any poUUcul 8Uh<llv1a.lon thereof; (4) or to a~y
bank, 1mbllc carrlor, uprcHY, or nrmo1cd-tr1rnk !ompnuy org1ullzc1l uud 01>crllt
J11g in good t11ltll tor th uum11>0rtnt1011 of monl'y nnd vulunbles: (ti) or to any
rcMcarcll labor11tory deHlgnuted by tho Secretary of Commerco: Provfde1l, That
11uch bunk, public carriers, cx1>roHB, und armored-truck com1>anlcs uro grnctod
~xcmptlon by tllo ~ecretnry of Commerce: 1wr to the tram~portatlou, H'1l1>ment,
or rcc>l1>t ('f nny nnUrruo ~;.
ftreurms, or mnmunltloo, iioHHCHHcd
nml hcl<l us c11rlos o
nm pieces.
811:0. 6. Any t)(I
\lolntlng nny of the pro
nny 1:1tntt!mcnt 111 01>1>IY
und rlgulntlo . omulgutO(l horeuu<lcr, or who m
Ing for tho
nae or oxemptlo~cled tor 111 tlll11
t, knowing Huch Rtatu
Ii.thereof, he 11110 ot more thnn $2,000,
mcnt to b nlsc, shall, upon co
or lmprl ed tor not more th11n',1lvo Yctt'fltt or both.
Sm
b111 Act 11llRUAtlke deet thirty ~ays nftcr lt11 en tment.
Sr.c. . Tho Sccrc_1'1' ot~~Comnult<'C mfJl''prl!Hcrlbe such ru nnd regull1tlo11A
lls h ooms neceJlll?J to rr:v onftt.&w. provlsf.llot this Act.
8
8. Shout~ sec on or f~cctlon
ts Act be
Rtlt ionnl, the
lalalr'nn\ohon of.the Ac fllui rcmntn h
Sr..c.
.
.r,.--;..-...,_
\.
.
c. n. Thl11 Act may b~;r.~4 nA tlle F~crft Flrerttms Act.
ctl
r. PEARRON. I migh staw,. to yoti aenilu.en who n.r resent and

in l'eRted hl'this.matte ;.tblt~f~~1~nrin~ will he ~nth y informal.
"~Wll.l\t to ~CIU' nS 11l,llUY of p~ .gentlcmon RS We call. flow YOU to
tn 0 your s~tement;,,,en<l th "i I
~Oll are wilJi 'g to am\W~t
1m ~qucs~1ong~t.th'tem~1s o tl1' mm1tt~~1may w . t to tlRk, if
J'on'L an
.
'"&etw. "
'
' '
sl~ou1d ll"M' to hear G~nl R~01d .fll"At, if w6\mav.
t:atiit.
STATE
VICE
"'"'1'~
'(
=.
BT OF BUG: GD. llTOlt'A. REC

D, EXECUTIVE
, ESmERT,,lTIOftt' RIFLE ASSOC}' ION, AD1UTA1'T
GENERA
F THE STATE OF MARYLABJJ,. i
'~. Chnfrm11iQ-.afflt'~entlemen
Gener!\} RECKO
of the com:
mittce, I shall hens brJef tulJ01pa!Ml1'1e, hut I would greatly nppl'cciate
it if, ns I go along, the committee would interrupt me 1md ask ques
tions that may come to their mind.
The history of Senate 3, which is the bill before the committee
this mo1nin~, might be of interest in that when the bill started out
originally, it was the l'esnlt of n st.udy of the crime situation by
the so-called Cl'ime Committee of the Senate, headecl by Senator
Cot>eland, of New Yol'k.
'fhat committee ho.d pl'e))nl'ed n. bill which was, in the judgment

of those of us \.'{ho al'o the heads of ce1'tain sportsmen's groups,
seriously objectionable. It was very drastic in many res(>ects. \V1th
all dne respect to the gentlemen who drew the bill, 1t was very
t>oorly drawn. Definitions were bad. We could 11c\e1 Aeem to reach
the Senators. They did not give us an opp<_>rtunity to confer with
them, alt)1ough we almost pleaded to be heard.
So finally we we1e not hen.rd until t;he bill WllS being hearcl by
a committee similar to the way this bill is now being beard by your
committee, Mr. Chairman.
0272
454
RIF
0273
4
At. thnt hrtuing. ~1tmt01 Cop<'lnnd ttddrtH~<l hiH J'tnuuks to mo
tmd f;tnhd t hnt. Jiu won Id 11nw lwnr 11~ 011 t lm hill; t hut tho l>i 11
would ht~ 1t1ul lim by lhll'. nnd wt wouhl hl gi\'lm nn opport.nnity
to ohjl~d. to nuyt hing m 1111lw oltjNt.iouuhlu in t.)10 hill.
\VtJl, ht' Juul l'taul only to t Ill' third Hsu' wlmn wo offt1rt~1t ohj~c
t ion h<eft llHt' of t ht hw<;J'l t lt cfolinit ion of n fi1t1nrm. 1fo n~aoo<l
i1maw<liRtely, n~ will lw. Hhown in tll(' Jw111h1jl'1 to uliminnto thoso
1 1
word~.
\\"'ti wtint th1ou,,rh t.ho bill thnt tlnv nnd wlwn we finislwcl t.ho
hi II WH~ t'llllll'lt~'ilntt<I. 'f)u1 8t111ntor ,:udt!tl t Im htnring hy Hatyingi
0
lVtJI, Ur11t>rnl. yuu nml I nit uot so fu1 npnrt nfhw 1ill, 1uo we~'
I t\l\id, 0 No, Kil'; hut, plt11Ht )ook 1tt. yo111 bill. It h1 t.nrn llll ,t.o
}lil'<~(it.'' "\Vtll". Ju 1-mill, "will you Hit. <lown with us nrnl hr.lp UH
pn~1m l'l' n hill t hnt. you t)(lopl" \,.ill Rttppmt V"
\Vt 1tlautly OJ.tl'l <cl to clo thnt 1111<1 thC'. J>l't'Hl'llt. hi]), Sc,nat.o 3, whicla
i~ lwfort nm tmlny, iH Hu.' 1'tsult. of tlm work done uftoa t.lult hmuing
on tlw <>l'~lo(innl hill. whi<h lmtl unot.hN' uumlmr tlt thnt. tim<, which
~lip~ 1110 for t lu momont.
8t111tte a ns tlmftl"il tlwn Juul in 11e<tion 7 n. l'~Jmal of th<'. Nntionnl
Jt'frt1ums Ad, which is tho }fadaill(.' Oun Act, tml'!."lt'cl 3 01 4
wnti-; n;.ro. ~lnntor Coptlnncl nml thmm of us intt!l'<~stotl in t.hii;
ltgislntion ft\lt, in ritw of th~ fnd. thnt thi~ hill is tfotdgnlld t.o kl1op
nil the1umt' f1om tho lumdl.\ of tho U1uh1'\\'01ld, wti might UH woll
rtpt>n I tht' ot ht.1 net. whil'l1 huH numy bud ftlltlll'(:-1 1 gtit ri<l of t.Jmt
1wt. n1111 ma\ kt' th is n11 i ti<' htHi \'l',
nut. wh~n \\'(' Wt'l'(' bdoro tho rommitfloo in th(\ Senntn on Sena.to 3,
us thnfhd nt tluit tinw, tlmro wus ohj~ction from tho Attornoy Gc11t1nl's Offitt, l\fr. Kt'l'llltn, Hpt~1tkh1~, Htntcd thl\t thiti hill wn.H u. stop
in tht\ right dit't't'tiou; hut. not nH tlmt. they wnnhd, but the ono
ubj(lct ion tlwy haul wns ~ml'tion 7, whil'11 i~plmfo<l tho Mndliue Gnn
Act. 'J'lutt wnfi the objtc.t ion oftt~1~d. So nf!cr confcrtmco fol.Jowing
the lulxm:i of thftt. day, thut section w1u1 Hh1cke11 from the lnll.
~() tlmt ns th(\ bill rom(\S before your committi.!e to<ltly, M1. Chn.ir
mnn. ns fu1 ns wt~ know, thC're is 110 objection on the p11rt of the Attoruiw Getlc.'ml'~ Ofli<.t~i be<'1mst t.hat objectiou, ns expre~~d in t.he
Sellnte hen1ings, )Uts been met.
Ml'. Pt:AnaoN. This bill, then, is really n complement t.o t.he Nationnl Fh~ Arms AcU
Gem1nl Rt:cKuno. Yes; I would sn:v so. although t.llc Nutionn..1 Firo
Al'ms Act <leah1 with mnchim~ guns, sn\,c<l-off shotg1rns, Hawecl-oft'
l'ifles with bnr1el lengths Jess tlmn 18 inches, and mnke.q certain requil'<'ment~ with respect to r"gistatit.ion tmcl 1epo1t of o.ll who own
1 1
thosE".
But the bill that we hn.\e today RJ>Pl'ORches the subjoct from a
difl'et't'nt angle. This bill stntes thnt the nnderwol'ld shnll not have o.
{he arm of nny kind. It docs not touch the law-abiding citizen. It
does not toueh the gun in yom home 01 my home. It doen not. compel
you to go out. and 1egistcr it unless the law of your State requires
such i~gistl'ation. You may have as mnny guns as you y1lense, under
tl1is bill-shotguns, iiftes, Ol' pistols-but the lnwhreak'r ma.y have
none of those, undcl' this bill.
Ml'. HoL11ES. How are you going to stop t11e lawbreaker from
getting guns1 They do not buy them; they steal t.l1em. The underworld steal:; their guns.
0273
455
RIF
0274
I' I UNA Hl\Ui
Oo1u11td lb:<'1u>1m. YtH. 'l'Jw mi11uhi t.lml. mun iH fournl with 1\ gun
of uny t.~11e, nuder thil'4 hill, Im will ho unw1mhh!. 'l'lm minnh~ ho iH
fouruf with n ~1111 of 1rny lyp11 C!\'111 1\ f11~it.ivo from foHtho camnot
croH.~ tho :;into lilm cnr1yi11g n u1111 with, ham hucnuH11 tfm nwu~1mt ho
h1 J>1drntl up un<l Jm lmM Ihut 1-(llll, lu>. JS 1uncnnhl11 11nchr thJH ln.w.
j mil. mtult' t hut. lotl\llC'J'td Ht nt mmmt, #.(<mt.lrmM1, nnd if you wi~h t.o
p;o lhl'o11gh tho hill, I 1d11ill hu nwy gl11d to t~xpluin ench i-w1:tion, if you
cruu to Juwo mo <lo t luit.
Ml', Pt:AllHON. 1 I hough I if Wt~ 1ou Ill tlo t h1tt. without. ~ui11~ into
t.on mud1 chilnil, lhat. would Im 1ulviHtlhll~, Ot!ll<!l'nl.
Gl'l1cml lb:<:m11m. Suh~wct io11 1, UK you will oh1ml'\'l', <h\fhwH ''pm-
~rm."
Ptlt'llgl'llph 2 1fofhmH "hil urHt 1itt <>I' foruign <0111t1w1c1'. 11

Timm i8 0110 point. in thii; nn1f t htl1. is t lrnt. 111uh!I' t11iH cfofiuit.ion
''inflll'Hlt\.f o 01 furto.i~n co11111wrcc!" indmfoH going from
81u.t.o to
nllof hm t\.nd huck i nt.o t.hc Slltln or torl'it 01y, l\H \\'<!II llli goi II:.( from
ono Atiih~ lo nuot.h1 1.
Now, t.lm tlofinition of "ff1c~ nrm" iH tho hrotulm;t cleOnit ion t.tmt. we
could nmlm, '"~"""Ht' wu nro cfo1di11g with tho crook. 'J'humfol'l!t t.hifs
<loftnition includcK fire iums of uveiv dtK<!tiplion; not onl)'. pu-1t.o!H
11.1111 11.woh'N'H, hut ffro 1\.l'IUH or (!\'ory (loHCl'l(>t IOU Ul'C inclucfocl m U1i~
'lofini1 ion,
Ml'. }J:AllHON. !tight lhNo, (fonoml, it. lrn!i IKcn l'<'oC:ommcmlod by,
I ooliovo, the Dcpu.rluumt of Conunmco tho.t t.hu.t cfoflnit.ion ho Oil
hlrgod HO nH lo inuht<fo t.110 li\.11gm1g~ "or purlH t horaof."
Gcnorn.l lbmKom>. ltfr. Clmittmm, wo nt'C willing ntul J't!tuly t.o fm\) ..
scribo t.o nny t\m"mlnmnt. of t.h11t kiml yom commith!o f'l!H fit to
tllo.oo u1>011 tho hill, hut. \\'t\ <lo not holiovc tlmt. is nectffHn.ry.
Mr. I r.A11HoN. It w1u; HnggcKted t lmt. in t 11e ahflcn<!e of tllUt, part.a
might bo shipJ>ocl in inle1'Ht11tc 1om11mrcc nml then 1m\HHe11tlllml aucl
the J>Ul'(JOSOfJ of tho act dcfcatc<l.
Gcueml lb:conu. Mny I rend then for the 1t!c01cl u. lettm, si. copy of
which or u. Himiln.r letter 110 clouht you h11n~ 1eclh'(Hl, from Mr.
Imln.yt
0
'"'
Mr. PRAIU!ON. Yes, sh-.
Gcmcl'Rl Ur.cK01t1>. Mr. lmlily iH an attorney fo 'V1lsbingto11 who

has hacl long cxpctienco with firoUl'lllH legislntion, dating hack I
think to 1920 01 1025, when ho was tL memhet of the Committee on
Uniform Fire Arms Act of t.he American Ual' .A!i.c.ioci11tion. HiR
answer to that is that you could add the words "or any part or parts
of such wott}lon" 1ight 11t the end of this language, hut he doe.CJ not
tbink that is necessary. He feels that the court could ''ery easily
handle thnt matter, that a reasonable number of p11rts would he construed by the com't as being a gun.
.
Mr. Dimmick of the O>lt Co. who is p1eRCnt, coming down with
me this momiug in a. taxicab, discussecl that veJ'y feature with me
and 1>ointed out the fact that the s.!an conld not pussibl>' do that and
comply with 11.nothe1 section. of this bill which 1ec1mres that you
must have a. number, an identifying numbel' on. your gun, and in
securing parts he would not bo able to secure a number. Therefore,
we feel that that amendment ;s not necessa1y, that the patts to the
IJlln would be construed by the court r.s a ~un.
Mr. WADSWORTH. That p1ovision 1-elatmg to the serial number,
as found on page 5, line 14, makes it unlawful fo1 any pet-son to
0274
456
RIF
0275
0275
457
RIF
0276
0276
458
RIF
0277
0277
459
RIF
0278
0278
460
RIF
0279
ARTYPEFIREARMVISUALREFERENCEGUIDE
UPPERRECEIVERS:NOTFIREARMS
CASTINGS/FORGINGS:NOTFIREARMS
DEFENSEARTICLESFORPURPOSESOFIMPORTATION
RECEIVERS:FIREARMS
ALLMARKINGSREQUIRED
461
0279
RIF
0280
MACHINESandEQUIPMENT
FINISHING
FIXTURE(JIG)
DRILLPRESS
COMMONHAND
TOOLS
CNCMACHINE
MILLINGMACHINE
462
0280
RIF
0281
PARTS
.:1
0
0
't#MJ.
~
WI/INWI "'iii
c
)
.
.--.Jooo_
0
_~_
_,
Takedown Detent Spring

PIVot Detent Spring
Takedown Pin Detent

PIVot Pin Detent
Selector Sprlng
IIIWill
Bott Catch Spring
rrurYrran
Dl sconnector
Buffer Retainer Spring
Selector Detent
..
Bott Catch Buffer
a.tter Retainer
IW,UJ
Dl sconnector Spring
Hammer
WMW
Magazine Catch Spring
=s
Trlgger Spring
Trtgger Guard
Roll Pin
Bott Catch
Roll Pin
Hammer Spring
0-
Pistol Grip Lock Washer

Magazine
Catch Button
Magazine Catch
-=:1
Trlgger Pin
Hammer Pin
Takedown Pin
463
Pistol Grip Screw
PO!ot Pin
0281
RIF
0282
AKTYPEFIREARMVISUALREFERENCEGUIDE
FLAT/CHANNEL:NOTFIREARMS
RECEIVER:FIREARM
ALLMARKINGSREQUIRED
464
0282
RIF
0283
FLATBENDINGDIESET
HYDRAULICPRESS
COMMON
HANDTOOLS
AKTEMPLATE
465
0283
RIF
0284
PARTS
Dust Cover
\
Carrier Spring
'Forand Cap
Pistol-~
Grip
Forend
Butt stock
Grip
" ' -I
/
Magazine
466
0284
RIF
0285
ATF Firearms Technology Branch

Technical Bulletin 14-01
UNCLASSIFIED/LAW ENFORCEMENT SENSITIVE
November 1, 2013
Unfinished 80% AR-15 Type Receivers

There are many unfinished AR-15 type receivers being marketed as so-called 80% receivers.
It is important to note that Federal firearms statutes and supplemental regulations do not employ
the terms 80%, 80% finished, or 80% complete.
These terms are industry vernacular and are neither recognized nor defined in Federal firearms
statutes and regulations. These marketing terms are used by the industry to indicate that, in their
opinion, an unfinished receiver has not yet reached a point in the manufacturing process where it
should be classified as a firearm as defined in the amended Gun Control Act of 1968 (GCA).
As background, the GCA, 18 U.S.C. 921(a)(3), defines the term firearm to include any
weapon (including a starter gun) which will or is designed to or may be readily converted to
expel a projectile by the action of an explosive[and]the frame or receiver of any such
weapon.
Unfinished AR-15 type receivers that do not meet the definition of a firearm are not subject to
regulation under GCA provisions; however, they are still considered defense articles per the U.S.
Munitions Import List and, therefore, require an ATF Form 6 for importation into the U.S.
The ATF Firearms Technology Branch (FTB) has previously determined that an AR-15 type
receiver which has no machining of any kind performed in the area of the trigger/hammer (firecontrol) recess (or cavity) might not be classified as a firearm. Such an unfinished receiver could
fire-control recess/cavity area. We have determined that in order to be considered completely
solid and un-machined in the fire-control recess/cavity area, the takedown-pin lug clearance
area must be no longer than .800 inch, measured from immediately forward of the front of the
buffer-retainer hole. (See following photo.)

Page 1 of 6
November 1, 2013
0285
467
RIF
0286
ATF Firearms Technology Branch Technical Bulletin 14-01
However, FTB has examined many unfinished 80% AR-15 type receivers and has found that,
in some cases, items being marketed as 80% actually meet the definition of a firearm as
defined.
The following photos depict the most commonly encountered variations of unfinished 80%
AR-15 type firearm receivers and are provided to assist you in determining their classification
status.

Page 2 of 6
November 1, 2013
0286
468
RIF
0287
Example 1
Example 2

Page 3 of 6
November 1, 2013
0287
469
RIF
0288
Example 3
Example 4
Page 4 of 6
November 1, 2013
0288
470
RIF
0289
Example 5
Example 6
Page 5 of 6
November 1, 2013
0289
471
RIF
0290
Example 7
Example 8
This general guidance is provided to assist ATF Special Agents and Industry Operations
Investigators and our Federal, State and local law enforcement partners, but is not meant to be used
in lieu of a formal determination. FTB cannot render a formal determination without physically
examining a submitted sample.
If you encounter any variations not depicted or described in this bulletin, or, if you have any
additional questions, please contact FTB at (304) 616-4300 or email LowerReceiver@atf.gov. This
inbox also serves to collect information related to unfinished AR type receivers and firearms
completed with unmarked AR type receivers that are recovered or encountered by ATF field
personnel and our law enforcement partners.

Page 6 of 6
November 1, 2013
0290
472
RIF
0291

000335
0291
473
RIF
0292
99
v~~o7 102~~ o~
-
t t 100
IUO
~'il ~s,106
91
104
~ sg90
~v
'
98
96-97
" .....
93..,
92
94
8788
21
C\
23
6/22
~24
,25
39
20CJIJ
3~111
,, 68
~
67
26
.. F ',,
$
(;'
"' 28
27
~:d
6~
7\'
sl ~ ~
000336
'12
~ tY'
9""
Iii::
36
29 3211
30'6
/./~
~1
~p
&3
<:l
48
49
5S~F~o
dij--W\{~1
54
(~
71
p
t .~ 12 rJ'i, 69
53
&1
~ ~
62
73~~75
~~/~7
74/~,n
~7
II:Yf'
76
56
Gtt78
).79
fj 'fi
81
~
..
">;,..
58
' 60 59
~
52
'.Ji
10
M16/AR15A2/M41M4A1 Exploded View

Copyright C North Cape Publications, Inc.
474
0292
RIF
0293
)II (1/Alll5il2/)1Ll/)1Lllll
J~][~J~()J)I~I) VII~lf
1
2
3
4
5
6
7
a
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
Butt plate
Butt plate screws
Butt plate door
Retaining pin
Plunger spring
Plunger
Butt plate spacer
Hinge
Hinge pin
Sling swivel
Butt stock
Receiver extension tube
Action spring
Buffer assembly
Carbine sliding butt stock
Release lever
Lock nut
Pin
Receiver extension nut
End plate
Buffer
Action spring
Release lever lock pin
Spring
Lower receiver
Takedown detent spring
Takedown detent
Plunger spring
Trigger guard plunger
Trigger guard
Trigger guard pin
Trigger guard pivot pin
Rear receiver pin
Magazine button spring
Magazine release button
Forward takedown pin
Detent spring
Forward takedown pin detent
Bolt release pin
Bolt release
Magazine release plunger
Plunger spring
Magazine release
Buffer retainer spring
Buffer retainer
Selector
Disconnector (SAt
Hammer(SA)
Hammer pin (SA)
Trigger pin (SA)
Trigger spring (SA)
Trigger (SA)
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100
101
102
103
104
Hammer spring
Disconnector spring
Disconnector (A)**
Trigger (A)
Trigger pin (A)
Trigger spring (A)
Automatic sear pin (A)
Automatic sear bushing (A)
Automatic sear spring (A)
Automatic sear (A)
Hammer spring (A)
Hammer (A)
Hammer pin (A)
Hammer (B)***
Semiautomatic
disconnector (B)
Burst disconnector (B)
Trigger(B)
Burst cam (B)
Clutch spring (B)
Hammer pin (B)
Hammer spring (B)
Burst disconnector spring (B)
Semiautomatic
disconnector spring (B)
Trigger pin (B)
Trigger spring (B)
Automatic sear (B)
Automatic sear spring (B)
Automatic sear bushing (B)
Automatic sear pin (B)
Lower Handguard
Upper handguard
Barrel
Gas tube
Handguard retaining ring
Slip ring springs
Handguard slip ring
Barrel nut
Handguard cap
Sling swivel
Front sight taper pin (rear)
Swivel rivet
Front sight taper pin (front)
Gas tube pin
Compensator spacer
or washer
Compensator
Front sight post
Front sight detent
Detent spring
Front sight
Bolt carrier
Gas seal rings
105
106
107
108
109
110
111
112
113
114
115
116
117
118
119
120
121
122
123
124
125
126
127
128
129
130
131
132
133
134
135
136
137
138
139
140
141
142
143
144
145
146
147
148
149
150
151
152
153
154
Bolt
Ejector pin
Ejector spring
Ejector
Extractor pin
Extractor spring
Rubber insert or 2nd spring
Extractor
Bolt cam pin
Key
Bolt key screws (2)
Firing pin retainer pin
Firing pin
Upper receiver
Dust cover pin
Split ring
Dust cover spring
Dust cover
Forward Assist Pin
Plunger spring
Pawl and pin
Pawl
Plunger pin
Forward assist plunger
Charging handle
Roll pin
Charging spring
Latch
Elevation index
Elevation knob
Elevation index screw
Helical spring
Ball bearing
Index screw
Elevation knob
Spring pin
Helical spring
Ball bearing
Helical spring
Ball bearing
Rear sight base
Flat spring
Aperture
Windage screw
Clamp screws (front & rear)
Flat top upper receiver
Dowel pins
Carry handle base
Bar clamp
Handle nuts
Semiautomatic Trigger (SA)
Automatic Trigger (A)
Burst (B)
ix
475
0293
RIF
0294
The rear sight assembly is mounted on

the detachable carry
handle and the standard 0.270 by 0 .390
oval mounting hole is
also cut into the trough
of the carry handle .
assembly. The butt

stock (fixed or collapsible) slides over
the receiver extension
~
<SSfJ... 23
and is secured by the
24
receiver extension
nut.
The
original
22
buffer was a hollow
tube containing five
Lower
" Edgewater" ring
Receiver
springs. The ring
springs had alternatAccording to the proing male and female
20
visions of the 1968 Gun
ends and were
Control Law, the
shaped to act like
lower receiver is the
19
wedges when com"gun" as it contains the
pressed , a clever
firing mechanism in
idea that worked in
the fonn of the trigger
the laboratory and on
assembly. It also con- Fig. 49. M16/AR151ower receiver assembly: 1) lower receiver, 2) selector, 3) buffer
the range but not in
tains the magazine as- retainer, 4) buffer retainer spring, 5) takedown detent, 6) takedown detent spnng, 1)
the field. Oil, dust
sembly. the pistol grip magzlne release, 8) magazine release plunger, 9) plunger spring, 10) bolt release. 11)
bolt release pin, 12) magazine well, 13) trigger well, 14) receiver extension housing,
and debris affected
and the butt stock as- 15) trigger guard, 16) trigger guard plunger, 17) plunger spring. 18) trigger guard pivot
their performance,
sembly including the pin, 19) rear receiver pin, 20) magazine release button, 21, button spring, 22) forward
and they were rerecoil spring assembly, receiver pin. 22) takedown pin detent. 23) detent, 24) detent spring.
placed in December
see Figure 4-9.
The lower receiver of both models is forged or cast alu- 1966 by a new buffer design from Colt. The Colt-designed
minum alloy. Military models are forged as are many com- buffer assembly replaced the "Edgewater ring springs" with a
mercial lower receivers. A casting, if properly done and heat- polyurethane "bumper" or shock absorber. The bumper imtreated, is neither stronger nor weaker than a properly ex- pacted five sliding weights in the body that were separated by
butyl rubber disks to prevent the bolt carrier from rebounding
ecuted and heat-treated forging.
The front of the lower receiver has two ears or lugs. The at the end of the stroke.
The new Colt buffer was three times heavier than the old
front lug fits between the two lugs on the lower receiver and is
and
so
acted to reduce the cyclic rate in full auto fire . A very
held by a two-piece takedown pin in civilian models or a captive single-piece retaining pin. A recess milled into the lower fast cyclic rate had caused excessive jamming and parts breakreceiver at the back, just ahead of the recoil spring housing, age. Military cartridges loaded with the original Olin WC846
provides room for the upper receiver's rear lug which is se- baU powder had been found to raise cyclic rates as high as 850
cured by a takedown pin. The takedown pin is held in the to 900 rounds per minute with the old buffer.
The buffer assembly is held in the receiver extension by
lower receiver by a spring-loaded detent.
At the front of the lower receiver is the magazine well . the buffer retainer driven by a coil spring. When removing
Immediately to the rear on the right side is the magazine re- the buffer assembly always make certain you hold the buffer
lease button housing. Below and behind are the two ears for piston in place as you depress the buffer retainer. The buffer
the trigger guard which is held in place with the spring-loaded is under heavy spring pressure and could cause injury if alplunger at the front and a roll pin at the rear. The rear roll pin lowed to fly loose.
The spring that drives the buffer is referred to as the .. acshould only be removed and reinstalled using a 1/ 8 inch flatfaced punch. Be careful not to let the punch slip or you will tion spring." It is formed from steel wire 0.070 inches in dideform the ears. The front pin can be depressed on the right ameter. The spring is 0.940 inches in diameter and has 38
side with the point of a cartridge to lower the trigger guard for coils. Military specifications require the spring to be between
11.75 and 13.5 inches long.
use when wearing heavy gloves.
The buffer is piston-shaped with three flats around the
circumference of its head (0. 980 inches), and the tubular porReceiver Extension
AI the rear of the lower receiver is the threaded ring to which tion is 0.695 inches in diameter and 2.86 inches long. The
the receiver extension is mounted and which contains the buffer polyurethane shock absorber is shaped like a truncated cone
and pinned into the open end of the buffer.
'
38
476
0294
RIF
0295
Solid Butt Stock Receiver Extension - The solid butt stock

receiver extension screws into the rear of the receiver. It is a
smooth, round tube 1.25 inches in diameter and 10 inches
long. The end of this receiver extension is rebated into a cap
7.25 inches in diameter flattened on two sides and drilled and
tapped for the upper butt stock screw, see Figure 4-10.
Fig. 4-11 . Collapsible stock buffer assembly: 1) receiver extension

tube, 2) buffer assembly, 3) action spring, 4) receiver end plate, 5)
receiver extension nut.
an operation best left to an experienced gunsmith with the

proper torque wrench and vise jaw inserts.
Trigger Assembly
Fig. 4- 10. Solid butt stock receiver extension; 1) receiver
extension tube, 2) action spring and 3) buffer assembly.
The solid butt stock model uses a s epara~ e stepped spacer

at the end of the receiver extension. It is 1.20 inches in diam~
eter and 0.820 inches long. The stepped end is 0. 720 inches in
diameter and 0.210 inches high. A recess on the opposite end
is 0.755 inches in diameter and 0 .210 inches high. The butt
stock screw (upper screw in butt plate) threads into a hole
dri lled into the end of the extension tube (arrow).
Three trigger assemblies have been developed for the Ml6/

AR15. The first was semiautomatic only in function with two
positions, "SAFE" and "SEMIAUTOMATIC. " The second
was select fi re in function with three positions, ~SAFE,"
"SEMIAUTOMATIC" and "AUTOMATIC." The third was
developed for the A2 military rifle and also had three positions , "SAFE, " "SEMIAUTOMATIC," and "BURST."
The semiautomatic trigger mechanism has eight parts:
1) trigger, 2) trigger spring, 3) hammer, 4) hammer spring,
5) disconnector, 6) disconnector spring, 7) hammer pin and 8)
trigger pin, see Figure 41 2.
Collapsing Butt Stock Receiver Extension - Rifles or carbines equipped with the coHapsing butt stock use a tube 1.45
inches in diameter and 7.25 inches long with raised channel
along the bottom for the sliding butt stock catch, see Figure 4ll. A steel collar or "end plate" fits between the recejver and
the receiver extension nut. The hole through its center has a
key with a channel cut along the threaded end of the receiver
extension tube. The plate holds the rear takedown pin spring
and detent in place, provides support to the receiver extension
and serves as a washer for the receiver extension nut to be
torqued against. The after end of the receiver extension has a
small, 0.085 inch diameter hole drilled through it to allow air
to escape when the bufte r is being compressed by the bolt
carrier.
Note: If for any reason you remove the solid butt stock rifle
receiver extension, it must be tightened when replaced to between 35 to 39 ft-lbs using a torque wrench and the combination wrench. If a carbine receiver extension, the correct torque
setting is 38 to 42 ftalbs. Since the lower receiver must be
gripped in a vise is such a way that it is not deformed, this is
Fig. 4 12. Semiautomatic trigger assembly.
The trigger, disconnector and hammer are pinned into

the receiver by and pivot on two cross pins. The same pin
passes through the trigger, trigger spring and disconnector.
39
477
0295
RIF
0296
If the hammer is pivoted back far enough, the trigger

nose - the squared forward end of the trigger - engages a
slot in the bottom of the hammer and holds it in the cocked
position.
When the trigger is depressed, either the trigger nose or
the disconnector releases the hammer and it flies forward to
strike the firing pin at the rear of the bolt. The trigger return
spring forces the trigger back into its normal position when it
is released by the shooter.
The rearward movement of the bolt carrier pushes the
hammer back where it is once again engaged by the trigger
nose and held until the trigger is again depressed.
The full automatic tdgger mechanism has fou r more
parts that the semiautomatic trigger. It consists of: 1) hammer, 2) hammer pin, 3) hammer spring, 4) disconnector, 5)
disconnector spring, 6) trigger, 7) trigger pin, 8) trigger spring,
9) automatic sear pin, 10) automatic sear spring bushing, 11)
automatic sear spring and 12) the automatic sear.
the rifle is cocked , the hammer is tipped back far enough for
the vertical nose on the disconnector to engage the "automatic sear hook" on the top rear of the hammer. When the
trigger is pulled to the rear. the disconnector nose releases the
automatic sear hook and the hammer revolves forward and
strikes the firing pin. As long as the trigger is held back, the
hammer will continue to be released on each cycle as both the
trigger nose and disconnector nose are to low to catch the
lower hammer slot or automatic sear hook.
The full automatic trigger and selector switch is found in
theM 16, Ml6Al and Al -style carbines and AR15A 1 models
sold in conformance to National Firearms Act rules. It is also
found in some A2 models as well, refer to Table 3- l .
The three-round burst mechanism adds four parts to
the automatic trigger assembly: 1) burst disconnector, 2) burst
disconnector spring, 3) burst cam and 4) the clutcl! spring,
see Figure 4-14. The other parts include: 5) hammer. 6) ham
mer spring, 7) hammer pin, 8) semiauto disconnector, 9}
disconnector spring, 10) trigger, 11) trigger pin, 12) trigger
spring, 13) automatic sear, 14) automatic sear bushing, 15)
automatic sear pin and 16) automatic sear spring. The hammer has an additional sear notch at the rear and an automatic
sear hook. The auto sear has one stop ; the burst disconnector
has two hooks - one at the front offset to the right to engage
the burst disconnector and a second at the rear to engage the
rear hammer notch.
Fig. 4-13. Full automatic trigger assembly.

Fig. 4 14. Three -round burst tngger assembly.
The full automatic trigger mechanism differs from the

semiautomatic trigger mechanism in that the trigger bar is
forced lower by a cam on the seleclOr lever, thus moving the
trigger nose out of possible alignment with the hammer slot.
The automatic hammer has an additional "automatic sear hook"
on the top rear of the hammer (arrow), and the automatic
disconnector has a vertical nose that rises at a sharp angle
(arrow), see Figure 4- 13.
When the automatic mode is selected, a cam on the selector lever forces the trigger bar and disconnector down. When
How the three-round burst mechanism functions is quite

simple but explaining it is not easy. When the hammer is
cocked, the front hook on the burst disconnector rests in one
of the two stop notches on the burst cam. The burst cam also
has two pair of shallow notches opposite of one another.
When the trigger is pulled, it releases the hammer to fire
the first round. As the hammer falls forward, the clutch spring
releases the burst cam, but the front hook on the burst
disconnector prevents the cam from turning.
40
478
0296
RIF
0297
As the bolt carrier moves rearward, it forces the hammer

back which now allows the clutch spring to engage the burst
cam and rotate it one notch counter clockwise. When the hammer reaches its full rearward position, the auto sear tips forward and engages the hammer stop at the top of the hammer.
At the same time, the front hook on the burst discmmector
drops into the first notch on the burst cam.
As the bolt carrier is pushed forward by the buffer assembly, the rear hook on the auto sear releases the hammer
stop and it flies forward to strike the firing pin and ignite the
second cartridge. This again forces the bolt carrier to the rear,
moving the hammer back with it to be caught by the auto sear
and the front hook on the burst disconnector to engage the
second notch on the burst cam.
The cycle is repeated once more but this time the front
hook on the disconnector drops into the deeper "stop" notch
on the burst cam. This causes the burst disconnector to tip
forward far enough for the rear hook to engage the rear hammer notch and prevent it from firing a fourth cartridge, even
if the shooter holds the trigger back.
Only by releasing the trigger and allowing the hammer to
rise far enough to be caught by the trigger nose does the burst
cam reset itself, ready to fire three rounds again.
Trigger a11d Hammer Pins

Both the trigger and hammer pins are 0. 17 inches in diameter
and 0. 90 inches long. They penetrate the walls of the lower
receiver to serve as an axis for both pieces. The trigger pin
has a circular slot at each end into which the legs of the hammer spring fit to hold it in place. The hammer spring legs go
over the top of the trigger pin.
The hammer pin has a single circular slot in its center.
The hammer has an internal spring which projects into the
hammer axis hole and engages the circular slot in the hammer
pin to hold it in place.
hammer, see Figure 4-16.

When turned to the SAFE position, the diameter of the selector lever immobilizes the trigger
bar and prevents it from being
moved to release the hammer.
The selector lever is held in
Fig. 4-15. Semiautomatic
position by a pointed detent
selector lever.
driven by a coil spring. The detent rides into a vertical hole
drilled into the right lower side of the receiver and the spring
is captured in a hole drilled into
the right side top of the pistol
grip. When removing the pistol
grip be careful not to lose the
spring, refer to Figure 4-9, parts
5 and 6.
Trigger Guard
The M16/AR15's "winter" trig~
Fig. 4- 16. Automatic
ger guard can be lowered for use
selector lever.
while wearing gloves . The right
side front of the trigger guard has a spring-loaded pin that can
be depressed with a bullet point, allowing the trigger guard to
pivot down against the pistol grip. The after end of the trigger
guard (l) is held in place with a l /8 inch split pin (2) at the
rear and a plunger (3) at the front, Figure 4-17.
Selector Lever
The selector lever is mounted in the lower receiver in alignment
with the trigger mechanism. Envision an "L" shaped object with
the short side of the .. L" flattened into a thumb piece and the
long side fonned into a cylinder. The selector lever is held in
place by a spring-loaded detent and rotates to select the mode of
operation: SAFE (9 o'clock) AUTO (12 o'clock) and SEMI (3
o'clock) in the Ml6alXI SAFE(9o'clock) and SEMI (12 o'clock)
in the AR15. In the Ml6A2, BURST replaces AUTO.
The semiautomatic selector lever has a shallow flat (cam)
milled on one side of the cylinder only that prevents the trigger bar and disconnector from being depressed far enough to
catch the lower hammer slot, see Figure 4- 15.
The automatic selector has a second, deeper cam that when
turned into the proper position. allows the trigger bar and
disconnector to be depressed far enough that neither the trigger nose will catch the tower hammer slot nor the disconnector
nose will engage the automatic sear hook on the top rear of the
Fig. 4-17. Tngger guard.
Takedown Pin
The takedown pin is at the rear of the lower receiver. It is
1.15 inches long and 0. 25 inches in diameter. The pin has a
rounded, rivet head 0.375 inches in diameter. The pin penetrates both sides of the lower receiver from the right and the
rear lug on the upper receiver. It is held in place by a springdr iven detent that penetrates the rear of the lower receiver
under the stock ferrule. The pin has a channel milled along
one side in which the detent rides. se caution when removing the butt stock, see Figure 4-18.
41
479
0297
RIF
0298
Bolt Release
The bolt release consists of the 1) bolt catch, 2) bolt catch pin
and 3) bolt catch spring, see Figure 4-20. The bolt release
holds the bolt )n the rear position when the last cartridge is
fi red as a warning to the shooter that the magazi ne is empty. It
functions by allowing the magazine floor plate to rise high
enough to lift the bolt release into the path of the bolt, blocking it from moving forward. The bolt release can also be activated by drawing the bolt back with a magazine in place, or
when the magazine is absent, by depressing the bolt release.
Fig. 4-18. Rear takedown pin (1). The detent and spring are under
the receiver end plate (2).
Magazine Release
The magazine release assembly consists of the 1) magaz ine
button, 2) magazine button coil spring, 3) magazine release,
4) magazine release plunger and 5) plunger spring. see Figure
4-19.
Essentially, the magazine release is a bar with rectangular detent on its forward end that fits into a rectangular hole in
the right side of the magazine. The release bar has a threaded
tail at right angles that fits into a hole through the lower receiver at the rear of the magazine well . A coil spring fits over
the tait, and the magazine buuon screws omo the threaded end
to hold the assembly in place. Pushing in on the magazine
button pushes the bar away from the left side of the receiver,
withdrawing the plunger from the hole in the magazine and
allowing it to drop free.
Fig 4-20. Bolt release assembly.
The bolt release fits into a slot in the left side of the lower
receiver behind the magazine well and above the magazine
release bar. A spring forces the end of the bolt stop (arrow) to
remain below the path of the bolt until the magazine floor
plate raises it into the path of the bolt when the magazine is
empty. A split pin holds the assembly in place. Be careful
when removing the split pin that you do not allow the plunger
and spring to escape.
Bolt Assembly
The bolt assembly consists of six major components: I ) bolt
carrier, 2) key, 3) bolt, 4) bolt cam pin, 5) fi ring pin and 6)
firing pin retaining pin, sec Figure 4-21 , overleaf.
Bolt Carrier
Fig. 4-19. Magazine release assembly.
The magazine release can be disassembled by using a

punch to push the magazine button in as far as it will go and
then unscrewing the protruding magazine catch.
The bolt carrier fo r the 5. 56 NATO caliber rifle and carbine

has two gas relief ports on the right side, beneath the key.
Behind the gas ports on the bolt carrier arc a series of notches
which the bolt assist engages when pushing a cartridge into
the chamber. Only the very earliest XM 16 bolts did not have
these notches .
42
......____,;_____
-.- - - -
480
0298
RIF
0299
T he key is
mounted on top of
the bolt carrier with
two socket head
screws which are
s taked to prevent
backing out. The key
is a hollow tube
which captures the
propellant gas from
the gas lube and
drives the bolt carrier to the rear.
The holt itself is
inserted into the
front of the bolt car
R g. 4-21 . Bolt and carrier assembly.
rier and is retained
by the bolt cam pin. The bolt cam pin fits into a hole in the top
of the bolt carrier, beneath the key. It rotates 1/ 2 turn to allow
the bolt to lock and unlock.
The firing pin is inserted through the bolt carrier and into
the bolt's firing pin tunnel. It is retained by a firing pin retaining pin which is similar to a split pin. Do not attempt to substitute a common split pin for the proper firing pin retaining pin
as it may not hold.
The 9 mm NATO submachine gun bolt differs considerably as it is powered by the recoil of the cartridge and not gas
pressure from the bore. Therefore. it does not have a carrier
but is solid. It also lacks the bolt carrier key, bolt cam pin and
has a springloaded firing pin
and a smaller,
different extractor. Sec Figure
4-22. The rifle
bolt weighs 11
ounces; the submachine gun bolt
weighs 15 . 9
ounces.
Bolt
T he rifle bo lt
(refer to Figure
Fig. 4-22. 5.56 mm bolt and carrier (R). 9 mm
4~21) consists of
bolt and carrier (L).
ten parts: 7) extractor. 8) rubber insert or second spring, 9) extractor spring,
lO) extractor pin , 11 ) ejector, 12) ejector spring, 13) ejector
pin 14) rings (three).
The bolt head has seven locking lugs around its circumference with the eighth locking lug being supplied by the extractor. These tugs rotate into and out of matching receptacles
in the receiver extension to lock or unlock the bolt. The ejec-
tor
protrudes
through the boll
face beneath the
lug at the 12
o' clock position .
The opening for
the firing pin nose
is centered in the
bolt face. The extractor lip overlaps
the bolt face at the
6 o'clock position.
Extractor
The extractor is a
curved plate with a
lip that fits into a
channel cut fo r it on the right side of the bolt. The extractor
spring is captured between the extractor and the bolt in a depression in the rear of the channel.
The extractor is pinned at about mid~length which allows
it to pivot in and out. A short coil spring at the rear supplies
pressure to keep it closed. When assembling, the flared base
of the spring must be seated in the extractor and the rubber
insert seated in the narrow end that fits inside the bolt. Later
bolts substitute a second spring . Failing to seat the spring(s)
and/or rubber insert properly may cause malfunctions
Ejector
The ejector is a steel dowel rounded at the forward end. The
top of the ejector has an arc cut out for the ejector pin to hold
it in place. The ejector spring is at the rear of the pin and is
contained in a tunnel in the bolt.
Firing Pin
The M 16/ AR 15 firing pin looks something like a duplex or
scaffold nail. The firing pin is 3.277 inches long and may be
made of chrome-moly, stainless steel or titanium. This last is
a new material for AR15 firing pins. It is intended to produce
a lighter and stronger firing pin that will fall faster when struck
by the hammer.
The firing pin should not protrude excessively past the
face of the bolt. Check with firing pin gage (Colt part #62679)
whenever a new firing pin is installed.
Gas Seal Rings

The three gas seal split rings are contained in a groove cut into
an expanded area along the firing pin tunnel. The rings press
against the walls of the bolt tunnel just behind the gas ports to
contain any gas that might escape from the breech if a cartridge or primer ruptures. This prevents the hot gases from
flowing back through the bolt carrier and out and up into the
shooter's face .
43
481
0299
RIF
0300
bolt to prevent the firing pin from backing out. The pin passes
between two flanges on the afterend of the firing pin.
The gas seal rings should be checked periodically to make

certain that they have not cracked, twisted or bent. If they
must be replaced, it is best to do all three at the same time.
Barrel
Assembly
Note: Do not remove

the rings (or a ring)
unless you have replacements on hand .
Once removed, do not
reinstall the same ring.
Lubricate and use
gentle but steady pressure when installing.
New rings will be
slightly oversized and
must wear in.
The barrel assembly

consists of five sub~
assemblies : barrel,
retaining assembly,
front sight assembly,
compensator, gas
system and handguards, see Figure 423.
Barrel
The Ml6tARI5 barKey

rel is made in many
lengths, diameters
The key is an angled
and rifling types .
tube closed at the after
Two common barrel
end and mounted on
types, the MI6Al
plate that attaches to
and the ARI5 Sporter
two socket head Fig. 4-23. M16/AR15 barrel assembly: 1) barrel, 2) barrel extension, 3)
II barrels are shown
handguard retaining ring, 4) slip ring springs (4), 5) handguard slip ring. 6) barrel
in Figure 4-24. Cusscrews. The key fills nut, 7) handguard cap, 8) sling swivel, 9) front sight taper pins, 10) swivel rivet,
tom barrels can be
with hot gases bled 11) gas tube pin, 12) compensator spacer or washer, 13) compensator, 14) front
from the bore when a sight post, 15) front sight detent, 16) detent spring, 17) gas tube, 18) upper
and are cut in a varicanridge is fired. T he handguard, 19} lower handguard, 20) handguard heat sh1eld, 21) front sight.
ety of diameters and
lengths as well as
force of the gas acting on the key drives the bolt carrier back,
causing the holt to rotate along its cam and unlock from the shapes. Those used in service rifles tend to follow the conreceiver extension. When the bolt carrier returns to battery, tour, si7.e and weight pattern of military rifles, see Figure 425. Those used in non-service match shooting are limited only
the key slides over the gas vent in the upper receiver.
It is not a good idea to remove the key and its screws by the gunsmith's imagination and experience. See Table 4-1
from the boh carrier unless it has been damaged. The screws and Figure 5-1 (page 67) for types and dimensions.
The barrel's after end contains the chamber and is threaded
are staked in by deforming the metal of the key around the
circumference of the screw heads. For this reason, do not for the barrel extension. The muzzle end is threaded for the
attempt to tighten or loosen the screws.
If you do replace the key, new screws must be used.
Tighten with a torque wrench to between 35 to 40 inch pounds
and restake securely.
Bolt Cam Pin

The bolt cam pin has a flat, rectangular head with rounded
corners and a hole through its shaft for the firing pin. The pin
slides through a cam way cut into the top of the bolt carrier
and passes through a hole drilled in the bolt. When the bolt
carrier moves forward or back, the bolt cam pin moves in the
boh carrier cam way. Because the cam way is angled, a rotary
motion is imparted to the bolt to cause the locking lugs to
unlock or lock.
Firing Pin Retaining Pin

The firing pin retaining pin passes through the side wall of the
Fig. 4-24. AR15A1 sporter barrel configuration (top), AR15A2

HBAR configuration (bottom).
44
482
0300
RIF
0301
Table 4-1
Barrel Configurations, Lengths and Rifling Rates
Light Machine Gun, heavy barrel, 20", 1 :7
A2 Heavy Barrel Rifle, squad automatic,
20", 1:7
A2 Heavy match, straight, no reductions.
20", 1:7
Fig. 4-25. M16A2 military barrel configuration.
A2 HBAR. three step reduction, 20", 1:7
compensator if intended for military use, or if manufactured

before late 1994 as a civilian sporting rifle in the United States,
see Figure 4-26. Barrels manufactured for civilian sale after
late 1994 may have an unthreaded rebated end to which a
muzzle extension
in the form of a
muzzle brake may
be permanently
affixed.
Custom1 "-h i-.. '""~
made
barrels
rarely use a compensator nor are
F1g. 4-26. Military and pre-1994 barrel and
they threaded or
compensator.
rebated, see Figure 4-27. An alignment pin is fixed at the top dead center
position 0 .07 inches from the end. The ring 0.135 inches wide
and 1. 165 inches in diameter encircles the barrel and butts
against the upper receiver wall. The alignment pin indexes the
barrel in the correct vertical position. The barrel nut (described
below) slides
over the barrei
and
screws to the
front of the
upper
receiver. It bottoms against
the ring and
holds the barrel, retaining Fig. 4-27. Post-1994 and most custom-built match
ring, slip ring AR15s lack a compensator.
spring and
slip ring in position.
The barrel extension is 0. 82 inches long and 1 inch in
diameter. It is screws onto the barrel (160 foot-pounds) and
provides the locking lugs for the bolt. The barrel extension
fits over the chamber end of the barrel and has eight machined
lugs into which the bolt locks when in battery, see Figure 428 . The barrel extension penetrates the upper receiver.
Barrel Nut Assembly
A2 Service, enlarged diameter forward .

20" , 1:7
Configuration
A 1 SeiVice, reduced diameter forward ,

20", 1:12
A2 Carbine, two step reduction. 16", 1:7
A1 Carbine, reduced diameter forward, no
groove for grenade launcher, 16". 1:12
A 1 Carbine, reduced diameter, groove for
grenade launcher, 16". 1:12
A2 Carbine, two step reduction, no groove
for grenade launcher, 20" 1 :7
A2 Carbine, two step reduction, groove for
grenade, 16", 1:7
Calibers
.223 (5.56 NATO)
*This table includes current and past Colt and U.S. military
model configurations. See Table 3-1, M16/AR15, list of
Models for specific models and manufacturers
indexed by the alignment pin. The barrel is

secured to the receiver
with a barrel nut which
threads onto the front
of the upper receiver,
see Figure 4-29, 1.
Retaining Ring- The
retaining ring is a slip
or snap ring which is
fitted with snap ring
pliers having straight
0 _045 inch tips. The
ring must be comFig. 4-28. M16/AR15 barrel extension.
pressed to fit inside the
slip ring. To do so, the tips of the snap ring pliers are inserted
into the holes in the retaining ring on either side or the split
and squeezed together, refer to Figure 4-29, 2.
The barrel slips into the front of the upper receiver and is
45
0003
483
0301
RIF
0302
Slip Ring Spring - The slip ring spring is actually composed

of four split rings made of spring steel. Each ring is slightly
kinked so that when the ring is compressed horizontally. outward force is exerted against both the receiver face and the
rim of the slip ring, refer to Figure 4-29, 3.
Slip Ring - The slip ring is shaped like a truncated cone (AI)
or a cylinder (A2) with a rim around the interior of its forward end. It is large enough to hold the barrel nut, slip ring
and retaining ring, refer to Figure 4-29, 4.
Assembling the Barrel to the Upper Receiver

Doing so is not difficult with the proper tools and an under
standing of the process. But unless you are an experienced
gunsmith, do not attempt to fit a custom barrel that has not
been machined to final shape with the shoulder and indexing
stud properly located. The barrel extension also should be
fully machined and the barrel already headspaced.
You will need an M 16/ AR 15 combination wrench, a torque
wrench capable of exerting and measuring accurately at least
60 foot pounds and a set of barrel remover fixtures. See Appendix A, Item 34 for assembly/disassembly details.
were narrO\ er
than the body of
the flash suppressor. The XM16
and MI6/ AR15
also employed a
three - pronged
flash suppressor of
a slightly different
des ign.
The
pronged (or open)
flas h suppressor
worked well but Fig. 430. Types of compensators used on
had a tendency to the M16/AR15: top, early prong and bottom,
closed cage types.
catch in vegetation
and to kick up dirt when fired from the prone position.
It was replaced by the caged compensator installed on
latter M 16A II AR 15A 1 models. Starting with the A2, a closed
compensator was installed on it and subsequent models which
had five narrow elongated ovals cut through the top circumference but had a closed bottom. This design reduced the
amount of dust and debris kicked up by propellant gases from
the muzzle when the rifle was fired from the prone position,
see Figure 4-30.
The XM 177 series of submachine guns and carbines were
equipped with an elongated version of the cage compensator
which not only reduced muzzle jump and served as a flash
suppressor but also acted to reduce the excessive muzzle blast
from the shortened barrel. The front end of the compensator
had six elongated oval cutouts which extended around the cir
cumference. see Figure 4-31.
Compensator
The compensator functions to reduce muzzle climb when the
rifle is fired and also the amount of heat emitted as light at 1hc
muzzle, thus preserving 1he soldier's night vision. The compensator on the M16/ARI5 is variously known as a muzzle
brake, flash hider and flash suppressor. The compensator works
by both venting gas to the side and upward to drive the muzzle
down and by absorbing heat from the hot gases leaving the
muzzle to reduce the amount of illumination. Original compensators for the M 161AR 15 series of rifles wiii have flats
milled on either side so that the combination wrench can be
used to mount or dismount them.
The original ARI5 compensator (sec Figure 4-30, top)
was really a flash suppressor with three prongs. The prongs
Fig. 4-31. Extended compensators like those installed on

the XM77 and later carbine models may also act as sound
suppressors.
Numerous variations of this type of compensator produced

for nonmilitary use have been observed. The reader is cautioned that the Bureau of Alcohol , Tobacco and Firearms has
classified some of these elongated compensators as .. sound
suppressors. " It is best to check with the Technical branch of
the BATF before acquiring or installing one ( phone 202 9277777).
Other elongated types of compensators have been used to
make short barrels legal. For instance, compensators 5 inches
46
484
0302
RIF
0303
long have been permanently attached to 11 .5 inch barrels to

make them legal for civilian sale. Before purchasing a barrel
shorter than the legal 16 inch minimum, make certain that the
compensator not only brings it to the legal length of 16 inches
but that it is permanently attached to the barrel. These types
of compensators can usually be identified by the lack of flats
on either side of the mount for the combination wrench. A
close inspection will also reveal brazing at the barrel/compensator join with the barrel.
No matter which type of cage compensator is used, it
must be installed so that the middle slot is at top dead center
(TDC).
Note: It will have not escaped notice that antigun elitist politi
cians have fastened onto the compensator or "flash suppressor" as one characteristic of the so-called "assault rifle. " One
California state senator responsible for that state's 1999 Assault Rifle law believes that the flash suppressor eliminates
the muzzle flash at night and is therefore an aid to criminals
since the weapon cannot be seen by the police when it is fired.
Since antigun elitist politicians cannot possibly seek advice
from those knowledgeable about firearms, they and their brethren will probably continue in their ignorance until removed
from office by the voters - as were his two predecessors
responsible for ~he 1989 California assault rifle law.
Compensator Lock Washer
Ii
I
The compensator lock washer exerts pressure between the

rebated end of the barrel and the compensator to prevent the
latter from unscrewing. All A I and early A2 models used a
thick, split ring washer. Newer A2 civilian models use a thin
washer and military A2s use a "peel" washer. The peel washer
consists of a series of steel laminates. When the cage-type
compensator is installed , the middle slot must be at top dead
center (TDC) or within 10 degree's of TDC. To bring the
compensator to this position, laminates can be "peeled" off
the washer. As each laminate is 0.0002 inches thick, the angular position of the compensator will move 10 degrees clock
wise for each lamination removed.
Gas System
The gas system drives the M16/AR15 rifle. Propellant gases
bled from the bore flow through a port drilled in the barrel.
The gases flow back through a stainless steel tube into the
hollow key attached to the bolt carrier. The energy imparted
by the propellant gases to the bolt carrier via the key drives
the bolt carrier backward, causing the bolt to unlock from the
lugs in the barre] extension. The bolt carrier continues back in
its track in the upper receiver, cocking the hammer as it goes,
until the spring-loaded buffer overcomes its rearward motion
and drives it forward aga in, stripping a new round from the
magazine and loading it into the chamber . The final step of
the forward motion causes the bolt to turn as it moves along
the cam way and lock into the barrel extension again.
The gas system consists of the 1) barrel pori , 2) front
sight base and 3) gas tube , see Figure 4-32.
Fjg. 4-32. M16/AR15 gas system assembly. shown separated.
The diameter of the barrel's gas port is critical to proper

fu nctioning. The gas port in the standard configuration 20 inch
rifle barrel is 0.82 inches in diameter. In the 16 inch barreled
carbine it is 0.62 inches in diameter and 0.92 inches in diameter in the 11 inch Commando mode\.
The gas system includes the front sight assembly and gas
tube. The rear front sight assembly is drilled to provide a vent
for the propellant gases leaving the barrel through the port.
The gas tube fits into the rear of the front sight assemb~y and
leads back through a hole in the front wall of the upper receiver. It projects 1.0 inch into the upper receiver. When the
bolt is in battery, the hollow key fits over the gas tube projection.
Front Sight Assembly

The front sight assembly is mounted on a triangular tower
through which the barrel passes, refer to Figure 4-32. The
front sight mount also serves as channel for propellant gases
vented from the barrel. The muzzle end of the gas tube fits
into a hole drilled into the rear lower section (above the barrel) of the front sight. The front sight post screws into a threaded
socket at the top of the front sight assembly. The front sight
post is mounted on a disk with notches cut around its perimeter. A spring loaded detent beneath the front sight post keeps
it from moving under recoil.
The front sight post used with the XM16 and Ml6Al /
AR15Al is round with a flat top. To improve visibility, the
front sight post installed on theM 16A2/AR15A2 has four flat
sides. Turning the latter sight one click at a time moves the
front post up or down l/4 minute of angle.
To prevent the front sight from moving once the rifle is
zeroed, you can coat the front sight post threads with " Loctite. "
Or you can have a gunsmith drill and tap a hole beneath the
front sight post and insert a set screw. The set screw is turned
in until it presses against the bottom of the front sight post.
Using the set screw rather than Loctite allows you to make
47
485
0303
RIF
0304
changes to the front sight post easily. With Loctite, you have
to heat the front post to break the bond and remove it completely tore-coat it before reinstalling and readjusting.
Stock Assembly
The stock assembly consists of the following subassemblies:
I) bull stock, 2) bull plate, 2) hand guards and 3) pistol grip.
Three types of hand guard were used and three styles of butt
stocks. All are made from reinforced polymers. The butt stocks
arc foam-filled for reinforcement.
Butt Stocks
Three types of butt stocks are used, two solid and one sliding.
which are used primarily on carbines.
Solid Butt stocks - The first type of buttstock installed on

the XM16 and Ml6Al / AR15A1 rifles were 9.5 inches long.
The second type installed on the M 16A21AR 15A2 are lO .1
inches long. Both are 5.20 inches high at the butt plate, see
Figure 4-33
t)
2
12~
Fig. 4-33. M16/AR15 fixed butt stock: 1) butt stock. 2) 0-ring, 3)

sling swivel, 4) hinge pin, 5) hinge, 6) butt plate, 7) butt plate screws
(2}, B) butt plate spacer, 9) butt plate door. 10) retaining pin, 11)
plunger spring and 12) plunger.
The rifle butt has two holes. The upper hole is 1.13 inches
in diameter and slides over the receiver extension tube. The
lower hole is 1.1 wide x 1.85 inches high and 7/8 inches deep
and is used to store the rifle cleaning kit. Competition shooters often use the lower hole to hold lead weights to improve
the balance of the rifle.
Note: When removing the butt stock, do so slowly and carefully so that the rear retaining pin detent spring, which is compressed in a tunnel between the receiver and butt stock, is not
lost.
Sliding Butt stocks - The sliding, or collapsible, butt stock

was developed for use on the carbine versions of the M 16.1
AR15, see Figure 4 -34. When closed, this butt stock is 6.8
inches long; when open, it is 10.1 inches long, the same as the
solid butt
stock.
The sliding
butt stock
consists of a
replacement
receiver extension with
its own buffer
and spring assembly, receiver end
plate and receiver extension nut. The
receiver extension has an
inverted
channel for
the polymer
F1g. 4-34. M16/AR15 carbme sl1ding buttstock: 1)
buffer, 2) end plate, 3) receiver extension nut, 4)
butt stock
receiver extension tube, 5) action spring, 6) slid ing
which slides
butt stock, 7) release lever locking p in, B) spring, 9)
over the rerelease lever, 10) lock nut and 12) pin.
ceiver extension. A spring-loaded release lever controls the position of the
butt stock on the receiver extension. It has three positions,
closed, half extended and fully extended.
The top of the sliding butt stock has a mounting slot that
allows the use of a sling over the top of the rifle. The front of
the sling attaches to the front sight with a clip that slips around
the rear of the front sight and under the gas tube.
The rear of the sliding butt stock is formed into a flat,
oval butt pad. Those manufactured by Colt are 1.765 inches
in diameter and 4.25 inches high. A nonslip diamond pattern
with eight diamonds to an inch is molded into the butt pad.
The butt pad is cut out for the receiver extension end.
The lever is a wide "V" shaped trigger which bears against
the bottom of the stock. When depressed, it pulls a springloaded steel pin out of a hole cut in the bottom of the inverted
channel on the receiver extension so that the sliding butt stock
can be moved to a new position.
Hand Guards
All hand guards are made in two pieces (lefl and right in
the XM16 and M16Al / AR15AI, and upper and lower in
the M 16A2 and M4A 1) and clamped in place around the
barrel by the barrel slip ring at the receiver end and a hand
guard cap at the muzzle end, directly behind the front sight
assembly.
48
00038
486
0304
RIF
0305
The original hand guards installed on the XM 16 and

M 16A 11AR 15A 1 were triangular in cross section and wider
at the receiver end (2.6 inches) than the muzzle end ( 1. 7 inches)
and 12.25 inches long. They had ten oblong cooling holes
across the top and five along the bottom for heat dissipation,
sec Figure 4-35.
effective when the rifle is fired on full automatic.

The pistol grip assembly consists of the pistol grip, pistol
grip screw, and pistol grip screw lock washer. In addition, the
pistol grip holds the buffer detent and its spring in place.
Two types of pistol grip were used, see Figure 4-36. The
Ml6AI /ARI5Al pistol grip has a checkered panel on either
side and a smooth front and rear surface . The MI6A2/AR15A2
pistol grip has vertical ridges at the rear and finger grips.
A machine screw and split ring lock washer are inserted
through the bottom of the pistol grip to thread into a lug behind
and below the trigger assembly. Immediately ahead of the
pistol grip is the lug mounting for the front rear of the trigger
guard which is held in place by the rear trigger guard pin.
Finish
Fig. 4-35. M161AR15 handguards: A 1-type below and A2 type

above.
Hand guards on theM 16A2/AR15A2 were round in cross~

section with a slight taper from rear to front. At the rear, the
hand guards are 2.5 inches in diameter and at the front , 2.05
inches. Length is 12.25. They have fifteen round cooling holes,
top and bottom.
Hand guards instaUed on carbines arc shorter at 7 inches
long. They are 2.8 inches in diameter at the rear and 2.5
inches in d iameter at the muzzle end. They have six round
cooling holes top and bottom.
All hand guards have metal liners riveted to the interiors
to provide heat protection for the shooter's off hand.
Pistol Grip
The pistol grip on the Ml6/ARI5 is four inches long and angled
to the rear 60 degrees to help the shooter position his or her
hand so that the trigger finger is more in line with the trigger
than if the hand were grasping a straight stock. It is most
Fig. 4-36. Rtght, M 16A 1 ptstol grip ; left. M 16A2 pistol grip.
The standard finish for the military M 16 rifle steel parts of

whatever configuration is a matt gray-black parkerizing.
Parkerizing is the trade name for a process by which a coat of
manganese phosphate is applied to the metal to slow down the
rusting and corrosion process. Notice, I said slow down, not
prevent. Aluminum parts are anodized. Both finishes are applied to matt polished metal to produce a non-reflective surface that will not reflect light.
Parkerizing is applied to all steel surfaces on military rifles,
including bolt carriers. The U.S. Army does allow nonparker ized bolts to be installed in rifles used within the borders of the Continental United States (CONUS), but only
parkerized bolts can be used overseas.
Aluminum parts such as upper and lower receivers arc
hard anodized to Military A8625, Type III , Class II finish
which provides a dull gray-black coating. A finish coat of
nickel acetate is applied as a sealant.
The plastic used to make stock and hand guards is colored
a nonreflective matt gray-black. The color ing material is em
bedded in the plastic.
On most commercial AR15 rifles steel parts are parkerized
to something approaching the military Mil-Spec standard .
Aluminum parts are hard anodized to a variety of standards.
In earlier years, some manufacturing companies painted upper and lower receivers and other aluminum parts with various types of enamel paint. Obviously, this will not be as long~
wearing a finish as anodizing .
After use or cleaning, the sur face of your Ml6/AR15
should be wiped down with a clean cloth. Dirt can be removed with a mild solvent or soap and water. The surface
sboutd then be wiped with an oily rag to leave a coat of lubricant on the surface to retard rust and corrosion. Do not apply
so much oil that the rifle becomes slippery and hard to hold.
For lo ng term storage, oil lightly with a silicone-based
lubr icant and store the rifle o r parts in airtight bags with a
desiccant. Silicone lubricants arc also rust preventatives.
49
487
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488
0306
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0307
Chapter 1
Beginnings
Because of its checkered past, as well as a design
very different from what Americans had carried in the
past, the AR-15 sparked more controversy than any other
rifle in recent history. It has inspired both hatred and love
among those who have carried it on the battlefield, into
the field to plink, or in the back of a patrol car.
In part, these emotional reactions stem from the
rifle's design. Where walnut and polished blue steel
nom1ally arc found, the AR-15 boasts waterproof plastics
and an aluminum receiver. And even though the gun is
becoming old (as military fircanns designs go these
days), its styling and good human engineering continue
to give it a space-age appearance that traditionalists view
with horror, even though the gun is now pushing the halfcentury mark.
The AR-15 was among the first firearms of the 20th
century designed to take advantage of modem industrial
methods. This allowed for streamlined production
without a lot of special milling while also giving the
shooter a lightweight, durable weapon that didn't look
like it had been cobbled together by a plumber and sheetmetal worker. The usc of plastics and aluminum in major
assemblies along with castings and steel stampings
allowed many machining operations to be done away
with, which also made the gun less expensive to
manufacture, an important factor in the marketplace.
At the same time, nothing was sacrificed in quality.
Employing modem industrial machinery to fabricate rifle
parts also allowed tight enough tolerances to permit
ready substitution of parts when repair or replacement is
necessary, a real plus for military users and a boon to
gunsmiths. likewise, the tight tolerances made off-theshelf AR-15s as accurate as any highly modified target
version of previous military rifles.
The AR-15 was conceived as a light and handy gun
chambered for a cartridge that would produce a light
recoil while shooting a bullet that took advantage of the
high-velocity wounding potential of a small projectile.
The overall result was a very potent battlefield weapon.
Despite the initial adverse reactions, it wasn't long

before the excellence of the AR-15's design became
apparent to everyone. In fact, its design features have
been copied by manufacturers of many other military
rifles, and more than a few knockoffs can be found in
such diverse places as the People's Republic of China
and the U.S. civilian market.
Like the rifle itself, the .223 Remington cartridge
(also known as the 5.56x45mm and the 5.56mm NATO)
that was developed for it has greatly influenced military
thinking and has proven to be the most effective rifle
cartridge ever created for combat. While the future will
undoubtedly see the fielding of a more lethal round, the
.223 Remington is going to be a hard act to follow. Little
wonder, then, that many countries have adopted the
round for their battle rifles and that the former Soviet
Union switched to a very similar round for its AK-74
assault rifles. Little by little, the cartridge (or one
virtually identical to it) has been adopted by all the major
military powers of the world.
ARMALITE'S BETTER IDEA

The lineage ofthe AR-15 can be traced to the 1950s.
Interested in creating a small business, engineer and
attorney George Sullivan, then the chief patent counsel
for Lockheed Aircraft Corporation, initiated plans for
creating rifles that departed radically from previous
civilian firearms as well as those used by the U.S.
military. Some brainstorming with firearms inventor and
international arms broker Jacques Michault produced
sketches and plans for rifles that would use aluminum
receivers, fiberglass stocks, and straight-line, high sight
layouts with a rear sight that doubled as a carrying
handle-all of which later found their way to the AR-15.
Feeling that such firearms had a great potential in the
civilian marketplace as well as with the U.S. military,
Sullivan soon invested in a machine shop in Hollywood
with the intention of fa bricating experimental rifles
489
0307
RIF
0308
TIE COMPLm AR-15/M16 SOURCEBOOK
German rifles like this Sturmgewehr MP44 bUilt cheaply by using modem industrial techniques, paved the way for later assault rilles' that would be developed through the
last half of the 20th century
.!:IF J.
around the proposed designs. A short time later at a
luncheon conference, Sullivan found himself sitting next
to RichardS. Boutelle, president of Fairchild Engine and
Airplane Corporation, and took the opportunity to tell the
executive about the new rifle ideas and designs. Boutelle
quickly became interested in the project, and on October
I, 1954, the Annalite Division of Fairchild Engine and
Airplane Corporation opened its doors in California.
The first rifle created by the fledgling company was
the AR-1 (Annalite Rifle number I), based on a design of
Sullivan and his brother-in-law, Charles Dorchester (who
later became the plant manager for the new company).
The two had actually started working on the rifle in 1947,
so it was quickly completed once the new company
started operation. The result was Annalite's Parasniper
Rifle, a scoped, bolt-action sporting rifle that could
double as a military sniper rifle. The rifle was chambered
in .308 Winchester round (7.62mm NATO) and
incorporated three features that would be seen in later
rifles of the series: a fiberglass stock (filled with foam),
an aluminum receiver, and an aluminum barrel with a
steel lining.
Annalite's charter required that it develop prototypes
and, when the designs were perfected, license the
manufacturing rights to other companies. It was hoped
this would quickly generate money for the fledgling
company while minimizing capital outlays.
Consequently, since there were no buyers for the design,
the AR-1 never got beyond the prototype stage. The rifle
did show the potential for creating a fireann with modem
materials and techniques, however, and opened the door
for the designs that would soon pour from the company.
; l !;;;-.;;
9J
'
"/
Stoner patent drav. ,.g tor the r fle deslg!llte brought w tl't hl'll to the Afmalite
company_
Eugene Stoner is the man whose name most often comes

to mind as the designer of the AR-15. And nghtly so,
since it is obvious the lion's share of features found on
the guns leading up to the AR-15 were his ideas. Stoner
was not with Armalite from the start but joined the
fledgling operation as Armalite's chief engineer, winning
this position with a semiautomatic rifle design he had
brought with him to the business. Stoner continued
working on this rifle, which would eventually become the
company's AR-3.
So although the AR-3 never went into large-scale
production either, it embodied many of the features that
later found on the AR-15, including an aluminum body
and a fiberglass stock. And it too demonstrated the
practicality of Annalite's goals and blazed the path for
subsequent rifles.
Eugene Stoner
A former marine and am1y ordnance technician,
490
Ill
0308
RIF
0309
BlGIIIIIMBS
The AR-3 prototype rifle (Photo by Randy Green l
mn
AR3 barrel and gas tube. (Photo by Randy Green 1
The AR-3trigger group and bol assembly. (Pho!o by Randy Green.)
..
...
...
.....: '.. . ., .,.

. .;,.:.::.-"'.
'
The AR3 barrel bolt assembly, and earner above recOil spring (Photo by Randy
Green.)
...j
~t
:i"
"AR-3" stamp nslde receiver. (Photo by Randy Green )
Two other talented workers were soon teamed up

with Eugene Stoner: L. James Sullivan (no relation to
George Sullivan), who worked as a designer/draftsman,
and Robert Fremont, who supervised prototype
manufacture and led studies that determined whether the
tolerances needed for rifles would be practical from a
mass-production standpoint. These three men worked on
a number of the Armalite weapons and became the
driving forces behind the company's design work (as
well as such work worldwide in the decades to come).
Both Stoner and Sullivan would later go on to
Vtew of AR-3 receiver. (Photo by Randy Gfeen.)
491
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RIF
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THE COMPLETl AR-15/M16 SOURCEBOOK

offered to licensing companies, but not when they
actually went into production.
Many of the guns never even got into production
and some hardly got off the drawing boards. The AR-2,
AR-4, AR-6, and AR-8 never went into production or
were even offered for licensing as far as anyone knows.
Exactly what these "missing" models might have been is
unknown, and they may or may not have been similar to
the company's other firearms (for example, the AR-13,
according to company officials, was a "hyper-velocity
aircraft gun"). And some of the models, such as the AR16, were limited to prototypes because no manufacturers
expressed interest in purchasing the rights to them.
While working on this book, I was contacted by

Randy Greenfield, who happened to have bought the
AR-3 prototype. The pictures shown here are
possibly the only ones ever to appear In print The
gun was well machined and looks like a production
firearm. And while the layout and many of the
components are not consistent with the design that
would eventually be adopted for the AR-1 0 and AR15, they point to the route the designers were taking
that would eventually lead to these guns. As such,
this makes this a very interesting bit of history. As
Greenfield wrote,
1used a magnet to test the rifle and the

following parts are non-magnetic and presumably
were machined aluminum blocks:
THE AR-5
Armalite's first brush with commercial success came
in 1957 with the AR-5 rifle, which was designed for the
U.S. Air Force's requirements for an aircrew survival
weapon. Work on the AR-5 was apparently initiated by
the friendship between Boutelle and Gen. Curtis LeMay,
who headed the U.S. Strategic Air Command.
The AR-5 was a bolt-operated rifle chambered for
the .22 Hornet. The rifle used a detachable magazine,
designed for the Harrington & Richardson (H&R) M4
survival rifle being built for the air force, and a barrel that
was held to the front of the receiver by a threaded ring;
the rifle was 30 1/2 inches long when assembled and 14
inches when broken down, making it short enough to
meet the air force's length requirements.
The rifle's receiver/action, barrel, and magazine
could all be stowed in the A-S 's hollow fiberglass stock
when the firearm was broken down for storage. The
materials used to make the rifle were so light that the rifle
could float on water because of the buoyancy of the
hollow stock (undoubtedly a strong selling point for a
survival rifle, which might conceivably sec use in a life
raft or near the water). In addition to holding the rifle
components, the hollow stock had a small storage
compartment for a kit of matches, needles, fishhooks, and
so forth, making it a survival package in itself.
Twelve AR-5s were fabricated for air force testing
and, with some minor modifications, accepted for use on
military planes. The AR-5 was designated the MAl by
the air force, but Annalite never saw any great monetary
results from the rifle because the air force's large
inventory ofM4 and M6 Survival Guns precluded the
purchase of significant numbers of the AR-5 (MA I).
Nevertheless, the experience of dealing with the
military and the enthusiasm shown for the gun by those
testing it suggested to those running Armalite that there
might be a market for military firearms. Thus the
company adjusted its initial marketing thrust, which
Receiver
Trigger housing
Magazine housing
Front sight
The magazine Itself has a stamped aluminum
housing and machined aluminum follower block. The
assembly is similar to the M14 with the barrel fitting
Into the stock and the trigger group locking it from
the bottom. The trigger group is held to the stock
with two screws, a machine screw forward of the
magazine and a wood screw behind the trigger. I
weighed the complete rifle on a reasonably accurate
scale and It is In the 6-7 pound range.
create a variety of new firearms and related products.

Sullivan is credited with extensive work on such
firearms and products as the AT-22, Ultimax I 00
LMG, Hughes Chain Gun, Ruger Models 77 & Mini14, and C-Mag, as well as many other designs that
haven't met with as much success and recognition as
these have enjoyed.
By the Numbers
It should be noted that several Armalite firearms
were being developed during the same period rather than
just one after another as might be suggested by the
numbers the company gave the various models.
Apparently, such designations were assigned to rifles as
new models were put into development, and so it's
probable that several firearms were in various stages of
development at any one time. The numbers only indicate
to some extent the order in which the fireanns were
492
0310
RIF
0311
BEIINNINGS
AR 5 survival rifle.
focused on ci\'tlian buyers while considering later

advancement into military sales, and embarked on a twopronged development course that would produce guns
aimed at civilian as well as military buyers.
Although Armalite actually produced a few of these

firearms and sold them to the public, rather than tic up its
production equipment with the rifle it sold the rights to the
AR-7 to Charter Arms Corporation in mid-1973. Charter
Arms produced the firearm for a number of years as the
AR-7 Explorer and later sold a pistol version called the
Explorer Pistol. (This pistol version may have been created
earlier by Armalite, although Charter Anns has generally
received credit for this design; a photo of Sullivan
surrounded by Armalite's firearms shows him holding a
Golden Gun shotgun in one had while holding what
appears to be a pistol version of the AR-7 in the other.)
[n I 990, Survival Arms, Inc. took over production of
the AR-7, working under a license agreement with
Charter Arms. [n the late 1990s, AR-7 Industries, LLC
also commenced production of the AR-7. [n 1998, the
design came full circle and was introduced into the
product line of the newly reorganized Armalite company.
(For a more detailed look at the AR-7 and its many
variations, spin-offs, and accessories, see AR-7: Super
Systems, avai lable from Paladin Press).
THE AR-7
To take advantage of the work it had done on the
AR-5 as well as create a viable moneymaker, Armalite
created the AR-7 with an eye toward the commercial
market in the United States. The rifle had the basic layout
of the AR-5 but was chambered for the more popular .22
LR and changed to a semiauto blowback action (which
was inexpensive to manufacture). The detachable
aluminum barrel (w1th steel lining) was lengthened to I 6
inches to confonn to the U.S. Bureau of Alcohol,
Tobacco, and Fiream1s (BATF) regulations for civilian
rifles. The ability of the rifle to be broken down and
stored in the hollow stock was retained, as was its ability
to float on water.
THE AR-17 GOLDEN GUN

Annalite's AR-9 was a semiautomatic shotgun with
an aluminum barrel and body incorporating a number of
design features that later found their way into the AR-1 0
and AR-15 rifles (including a rotating bolt design).
Rather than market the 5 112-pound shotgun, Armalite
decided in 1955 to shelve the design and instead exploit
many of its features for a commercial shotgun that was
AR 7 Explorer Pistol
AR-7 Industry rifles.
493
0311
RIF
0312
THE COMPlETE U-15/M16 SOBRCEBIOK
,.....,
t
---- ..
-----~~
AR-17 Golden Gun.
Three AR 10 prototypes created by Stoner
eventually marketed as the AR-17 Golden Gun. This twocartridge semiauto shotgun met with limited success and
was in many ways ahead of its time, with a polycarbonate
stock and an anodized aluminum barrel and receiver (both
of which normally had a gold-colored finish).
cartridge (feeding off a Browning Automatic Rifle

magazine) and was later modified for the new 7.62mm
NATO cartridge, which appeared to be on its way to
becoming the standard round for much of the free world.
As with most modem firearm designs, Stoner's work
built upon earlier systems. Much of the bolt and receivermounted recoi I tube of the AR-1 0 (and later the AR- 15)
can be traced to the original design of the Johnson light
machine gun, which had been created at the end of World
War II by American inventor Melvin M. Johnson Jr.
While this automatic rifle saw only limited use during
THE AR-10
Development of the AR-1 0 can be traced back to
1953 to a design Stoner created before joining Annalite.
Stoner's rifle was originally chambered for the .30-'06
494
0312
RIF
0313
BliiNIIICS
World War II, it did prove to be a successful and
forward-looking design, and it is obvious from a casual
inspection of the AR- 10 that Johnson's gun had a strong
influence on Annalite' s designers.
In fact, it' s possible that Johnson himself had a hand
in some of the developmental work with the AR-10
because he was on Annalite's payroll as "military rifle
consultant and publicist" - perhaps one of the odder job
descriptions o f the century. At any rate, one of the most
important features of the light machine gun to find its
way into the AR-1 0 was the cam-controlled rotary bolt,
which locked into the barrel, rather than the receiver, of
the new gun. This made it possible to use a lightweight
aluminum receiver with the fireann since the barrel
supported all the gas pressure produced when the weapon
was fired.
Another feature that enabled the AR-lO's light weight
was a simplification of its gas system. In lieu of a complex
rod and spring assembly, a blast of gas was diverted
through a gas port in the barrel and routed down a tube to
unlock the fireann's chamber shortly after a round was
fired. This, too, was borrowed from a previous fireann
design, the Swedish Ljungman Gevar 42, which, in tum,
was later employed with the 1944 and 1949 MAS rifles.
Even today, Annalite is a bit touchy about the
suggestion that it built upon past designs, arguing that the
AR-10 gas system is not the same as that of the Ljungman.
In a sense this is true, since the gas system of the AR-1 0
and subsequent Annalite designs based on it employ a
camming bolt and carrier, which are unlocked by gas
pressure pushing against the bolt carrier key. However, it
should be noted that the Ljungman system, like the later
AR-1 0, has a tube that ports gas from the barrel to a cavity
in the bolt carrier, thereby causing the gun to cycle. This in
no way takes away from the genius of Stoner in building
on the past to assemble a system that was greater than the
sum of the parts borrowed from past tireanus.
Even though no one was injured, the potential for hann to

testers was obvious, and the rifle was immediately pulled
from the trials.
Stoner- with the assistance of annorers at the U.S.
Springfield Annory-quickly fabricated an all-steel,
conventional-style barrel for the rifle so the testing could
be resumed. Ironically, it was later discovered that milling
longitudinal cuts into the steel barrels allowed the rifles to
remain as light as those with aluminum-and-steel barrels.
One of the main features of the rifle, an efficient
muzzle brake that had originally been made of
"duralumin," was replaced by an equally efficient but
more durable- and also more expensive- one made of a
titanium alloy. This added considerably to the expense of
the tireann. And the "Buck Rogers" look of the rifle
undoubtedly met with some negative reaction from
conservative forces in the military. Add the minor
malfunctions, part breakage, and the barrel failure, and
the U.S. Army's enthusiasm for the new Annalite rifle
quickly dropped off. A short time later, the anny chose
the Ml4 rifle over the Belgian Fabrique Nationale (FN)
FAL and the AR-10.
The Dutch AR-10

Even though the AR-10 was still being redesigned
by Stoner and L. James Sullivan, Fairchild had actively
promoted the rifle worldwide. In 1957 Annalite licensed
the government-owned arsenal of Artillerie-Inrichtingen
of Hembrug, Holland, to manufacture the new rifle with
an eye toward sales to the Dutch military as well as to
other buyers around the world.
For a time the Dutch military seemed poised to
purchase large quantities ofthe AR-10; ArtillerieInrichtingen quickly invested $2.5 million to tool up for
producing the new rifle, undoubtedly with a hope o f
some large initial sales at home. During this period the
AR-lOA design was modified, with the gas tube being
moved from the side of the barrel to run instead from the
front sight/gas port assembly and down along the top of
the barrel to a "gas key" coupled to the bolt carrier.
Since the Dutch military wanted the capability to
launch rifle grenades from any rifle it adopted, the
efficient muzzle brake ofthe original AR- 10 was
sacrificed for a more conventional flash hider that could
accommodate a rifle grenade. This was an unfortunate
trade-off because it sacrificed much of the lightweight
rifle's ability to handle full-auto fire without loss of
control by the shooter.
Because Fairchild executives expected large sales of
the AR- I 0, the Artillerie-lnrichtingcn arsenal was licensed
to build, but not sell, the new rifles. Worldwide sales rights
were broken down and sold by Armalite to lnterarms
(which was to handle sales to Norway, Sweden, and
Trials and Tribulations

A version of the AR-1 0, the AR-1 OA, was submitted
to the U.S. Springfield Annory in 1956 for testing as a
possible replacement for theM I Garand rifle. The AR-1 0
was able- unlike the M14-to shoot in the automatic
mode while remaining easy to control due to its straightback design and a special titanium muzzle brake. The
rifle met with success, and soon the anny expressed an
interest in more rifle trials with the new weapon.
Unfortunately, Annalite switched from the first
prototype guns with their had steel barrels to a new
design that used a steel liner surrounded by an aluminum
jacket {similar to that developed for the earlier Annalite
survival guns); during military tests early in 1957, the
barrel burst just ahead of the soldier firing the weapon.
495
0313
RIF
0314
THE CIMPI.ETE 11-15/116 SIUBCIBIIK
"Family" of AR-1Os created by Artillerie-lnnchtingen
10
496
0314
RIF
0315
BEGINNIMBS
The CUban-Sudanese verSIOil of the ARlO.
several light machine gun (LMG) variations, and a sniper

model. Included were belt-fed guns as well as a clever
high-capacity magazine that utilized a spring-lifter that
enabled a standard AR-1 0 to feed hundreds of cartridges
without the need to reload or modify the gun for belted
operation. Later, Colt's went on to modify the gas tube
and spring-load it for use with quick-change barrels and
developed a belt-fed model of the rifle. But, as with later
firearms families, none of the variations attracted much
interest among military buyers.
Today most authorities see the AR-10 as an excellent
weapon that missed its place in history because of poor
timing and marketing. And despite rumors of
manufacturers tooling up to construct a version of the
AR-10 for the public, such civilian models have all been
AR-15 variants chambered for the .308 round. A true AR10 built to the specs of the original design has ne\'er
materialized. The problem with creating a new AR-1 0 is
one of economics; it will always be cheaper to produce an
AR-15 chambered for the .308 than to completely retool
for a true AR-1 0 rifle that is not much different and has
little to offer other than historic interest to the buyer.
While exact figures aren't known, it appears that the
numbers of AR-1 0 rifles sold by Annalite and its
contracts during this original organization of the company
(not to be confused with the current operation covered
later in this book) were quite small. Among these were a
few apparently chambered for the Soviet/Russian
7.62x39mm cartridge, which were tested by Finland as a
possible alternative to its AK-47-style Valmet rifles.
Most of these AR-!Os were simply for testing and
evaluation. Additionally, Nicaragua ordered 7,500 AR1Os but canceled the order when one of the test
weapons allegedly blew up. The total numbers
produced are as follows:
Finland, as well as all South American sales and African

sales south of the Sahara) and Cooper-Macdonald, Inc.
(which was to handle Southeast Asian sales).
The first AR-1 Os Artilleric-Inrichtingen produced
were plagued with problems, including poor accuracy
due to improper heat treatment of the cold-forged barrels.
By the time these problems were solved, countries
shopping for a 7.62-caliber battle rifle had adopted the
FN FAL or weapons offered by other manufacturers. The
nail in the coffin for the AR-1 0 came when the large
Dutch contract that had been expected fell through.
In the end, Artillcrie-Inrichtingen manufactured
fewer than 6,000 AR-1 Os. Cuba, Mexico, and Panama
purchased only a handful of the guns for testing;
Venezuela chose to buy only 6; Finland asked for 10, and
Guatemala purchased from 200 to 500. The "large
numbers" went to Sudan, which acquired from I ,500 to
I ,800; Portugal, which procured from 800 to I ,000; and
Nicaragua, which bought 7,500.
In short, the AR-10 was a commercial failure.
Artillerie-Inrichtingen finally halted production of the
rifle in 1959, and Colt's Patent Fireanns was licensed to
manufacture the improved version of the AR-JOA. By this
time the weapon had seen major improvements in the fonn
of a stronger extractor, a more reliable magazine system,
and a cocking handle that had been moved from inside the
carrying handle to the rear of the receiver. It had become
an excellent weapon with no interested buyers, since both
the Fabrique Nationale and Heckler & Koch now were
offering similar rifles in the same chambering that had had
the advantage of extensive military testing by some of the
major armies of the world. In short, no one wanted to take
a chance on the AR-1 0 when there were other "safe"
choices that had been adopted by Germany, Britain, and
other large military powers.
AR-10 Innovations at Armalite
Country
Cuba
Finland
Guatemala
While developing designs for the Artillerielnrichtingen, Annalite devised several innovative
versions of the AR- 10, including a short-barreled carbine,
Quantity
I
6-10
200-500
11
497
0315
RIF
0316
Til CIIIIPlm IR1511116 SOIICflltllll
12
498
0316
RIF
0317
IEGIIIIIIIIIS
Mexico
Panama
Portugal
Sudan
Venezuela
I
I
800-1,000
I ,500- 1,000
1
but never went beyond the prototype stage. The AR-14

was the sporting version of the AR- t 0 with a
conventional Monte Carlo stock (without a pistol grip)
and iron sights. It was chambered for .308
Winchester 7.62mm NATO, .243, and .358.
The AR-16 rifle appeared during 1959 and was
notable because it exploited the inexpensive
manufacturing techniques pioneered by the AR-12.
Chambered for the 7.62 NAT0/.308 Winchester, the
AR-16 wasn't commercially successful; only three of the
guns were ever made. But the rifle did break ground for
the development of the AR-18, which would eventually
become a competitor with the AR-15 for use among the
militaries of the free world.
LESS WELL-KNOWN ARMALITE RIFLES

Armalitc also created the AR-11, which boasted a
conventional stock and resembled the AR-3 (and was
chambered for the .222 Remington cartridge that
eventually would be modified to become the round used
in the AR-15). The company's AR-12 was a steelstampings version of the AR- 10, the basic design of
which was modified to make it easy to mass-produce in
Third World countries; the AR-12 was
chambered for the 7.62mm NATO and
might have been made at about half the
cost ofthe AR-10
THE AR-15
Whereas Armalite's timing had been all wrong and
economic failures seemed to be the norm for previous
offerings from the company, the AR-15 enjoyed
T~~~::~~~~~~~==~j:ust the opposite.

The rifle captured the
imagination of buyers and had
several Iucky breaks that made
the sales of the gun skyrocket.
One could conclude that
this was to be expected,
however, considering all the
work Armalite had put into the
design of the guns that led up
to the AR-15. Add to that the
fact that company officials,
salesmen, and other personnel
had by now created a lot of
good contacts within the
industrial-military complex as
well as becoming more savvy
marketers of fireanns in
general. Having gained
valuable experience with
D~agram showing the operation of the ARl5. Hot gas ts

bled from the barrel and piped down the tube to shove
the bolt carrier rearward, camming the bolt and
extracting the empty brass as it travels backward. The
bolt and carrie!' are then shoved forward by tile buHer
spring to strip another round from the magazine and
chamber it as the bolt locks back into the barrel.
The XAA150l prototype that would eventually lead to the AR-15 design.
13
499
0317
RIF
0318
Edition,
ised and
panded
500
0318
RIF
0319
" Edgewater " ring

springs. T he ring
springs had alternating
According to the promale and female ends
;~23
visions of the 1968
and were shaped to
24
Gun Control Law, the
act like \Vedges when
compressed, a clever
"gun" as it contains
idea that worked in
22
the firing mechanism
in the form of the trig
the range hut not in the
ger assembly. It also
field .
contains the magazine
Oil , dust and debris
assembly, the pistol
atrectcd their perfor20
grip and the buttstock
mance, and they were
0
assembly including
replaced in December
25
the recoil spring as17--.A
1966 by a new buffer
sembly, see Figure
design from Colt.
59.
This Colt bu f~
5
The lower refer assembly replaced
ceiver of both models Fig 5-9. M16/AR 151owerreceiver assembly 1) lower receiver. 2) sel ector. 3) buffer
the "Edgewater ring
is forged or cast alu- retainer. 4) buffer retainer spring. 5) takedown detent. 6) takedown detent sprmg, 7)
springs" with a poly
magzine release. 8) magazine release plunger. 9) plunger spring, 10) bolt release, 11)
minum alloy. Military bolt release pin . 12} magazme well, 13) trigger well, 14) receiver extensron housing,
urethane "bumper" or
models are forged as 15) trigger guard, 16) trigger guard plunger. 17) plunger spring, 18) trigger guard pfvot
shock absorber . The
are many commercial pin, 19) rear receiver pin, 20) magazine release button, 21) button spnng. 22) forward
bumper impacted five
lower receivers . A takedown prn, 23) takedown pm detent. 24) detent spnng, and 25) trigger guard pin.
sliding weights in the
casting, if properly
body that were sepadone and heat- treated , is neither stronger nor weaker than a rated by butyl rubber disks to prevent the bolt carrier from
properly executed and heat-treated forging.
rebounding at the end of the stroke.
The front of the lower receiver has two ears or lugs.
The new Colt buffer was three times heavier than the
The front lug fits between the two lugs on the lower receiver old and so acted to reduce the cyclic rate in full auto fire. A
and is held by a two-piece takedown pin in civilian models very fast cyclic rate had caused excessive jamming and parts
or a captive single-piece retaining pin. A recess milled into breakage. Military cartridges loaded with the original Olin
the lower receiver at the back, just ahead of the recoil spring WC846 ball powder had been found to raise cyclic rates as
housing, provides room for the upper receiver's rear lug which high as 850 to 900 rounds per minute with the old buffer.
is secured by a takedown pin. The takedown pin is held in the
the buffer retainer driven by a coil spring. When removing
At the front of the lower receiver is the magazine well.
the buffer assembly always make certain you hold the buffer
Immediately to the rear on the right side is the magazine repiston in place as you depress the buffer retainer. The buffer is
lease button housing. Below and behind are the two ears for
under heavy spring pressure and could cause injury if allowed
the trigger guard which is held in place with the spring-loaded
to fly loose.
plunger at the front and a roll pin at the rear. The rear roll
The spring that drives the bu1l'er is referred to as the
pin should only be removed and reinstalled using a 118-inch
"action
spring." It is formed from steel wire 0.070 inch in
flat-faced punch. Be careful not to let the punch slip or you
will deform the ears. The front pin can be depressed on the diameter. The spring is 0.940 inch in diameter and has 38
right side with the point of a cartridge to lower the trigger coils. Military specifications require the spring to be between
ll. 75 and 13.5 inches long.
guard for use when wearing heavy gloves.
of its head (0. 980 inch), and the tubular porcircumference
Receiver Extension
At the rear of the lower receiver is the threaded ring to which tion is 0.695 inch in diameter and 2.86 inches long. The
the receiver extension is mounted and which contains the polyurethane shock absorber is shaped like a truncated cone
buffer assembly. The buttstock (fixed or collapsible) slides and pinned into the open end of the buffer.
Lower
Receiver
over the receiver extension and is secured by the receiver

extension nut.
The original buffer was a hollow tube containing five
'
li
Solid Buttstock Receiver Extension- The solid buttstock

receiver extension screws into the rear of the receiver. It is
49
501
0319
RIF
0320

a smooth, round tube I .25 inches in diameter and 10 inches
7.25 inches in diameter flattened on two sides and drilled and
tapped for the upper buttstock screw, see Figure 5-10.
Fig. 5-11. Collapsible stock buffer assembly: 1) receiver extension

Trigger Assembly
Fig. 5-10. Solid buttstock receiver extension: 1) receiver
The solid buttstock model uses a separate stepped spacer

at the end of the receiver extension. It is 1.20 inches in diameter and 0.820 inch long. The stepped end is 0.720 inch in
diameter and 0 .210 inch high. A recess on the opposite end
is 0.755 inch in diameter and 0.210 inch high. The buttstock
screw (upper screw in butt plate) threads into a hole drilled
into the end of the extension tube (arrow).
Collapsing Buttstock Receiver Extension - Rifles or carbines equipped with the collapsing buttstock use a tube 1.45
along the bottom for the sliding bunstock catch, see Figure
5-11. A steel collar or "end plate" fits between the receiver
and the receiver extension nut. The hole through its center
has a key with a channel cut along the threaded end of the
receiver extension tube. The plate holds the rear takedown pin
spring and detent in place, provides support to the receiver
extension and serves as a washer for the receiver extension
nut to be torqued against. The after end of the receiver extension has a small, 0.085-inch-diameter hole drilled through it
to allow air to escape when the buffer is being compressed
by the bolt carrier.

ARtS. The first was semiautomatic only in function with
two positions, safe and semiautomatic, marked "SAFE" and
"FIRE." The second was select fire in function with three positions, safe, semiautomatic, and automatic, marked "SAFE,"
"SEMI" and "AUTO." The third was developed for the A2
military rifle and also had three positions, safe, semiautomatic
and burst, marked "SAFE," "SEMI," and "BURST."
5) disconnector, 6) disconnector spring, 7) hammer pin and
8) trigger pin, see Figure 5-12.
Fig. 5-12. Semiautomatic trigger assembly.
Note: If for any reason you remove the solid buttstock rifle
receiver extension, it must be tightened when replaced to
between 35 to 39 ft-lbs using a torque wrench and the combination wrench. If a carbine receiver extension, the correct
torque setting is 38 to 42 ft-lbs. Since the lower receiver must
be gripped in a vise in such a way that it is not deformed, this
is an operation best left to an experienced gunsmith with the
The trigger, disconnector and hammer are pinned into the

receiver by and pivot on two cross pins. The same pin passes
through the trigger, trigger spring and disconnector.
50
502
0320
RIF
0321
position.
strike the tiring pin at the rear of the bolt. The trigger return
spring forces the trigger back into its normal position when
it is released by the shooter.
The full automatic trigger mechanism has four more
parts than the semiautomatic trigger. It consists of: 1) hammer,
2) hammer pin, 3) hammer spring, 4) disconnector, 5) disconnector spring, 6) trigger, 7) trigger pin, 8) trigger spring, 9)
automatic sear pin, 10) automatic sear spring bushing, 11)
forced lower by a cam on the selector lever, thus moving
pulled to the rear, the disconnector nose releases the automatic

sear hook and the hammer revolves forward and strikes the
firing pin. As long as the trigger is held back, the hammer
will continue to be released on each cycle as both the trigger
nose and disconnector nose are too low to catch the lower
hammer slot or automatic sear hook.
the M 16, M 16A 1 and A 1-style carbines and AR 15A 1 models
sold in conformance to National Fireanns Act rules. It is also
found in some A2 models as well, refer to Table 3-3.
The three-round-burst mechanism adds four parts to the
automatic trigger assembly: 1) burst disconnector, 2) burst
discomzecror spring, 3) burst cam and 4) the clutch spring,
see Figure 5-14. The other parts include: 5) hammer, 6)
hammer spring, 7) hammer pin, 8) semiauto disconnector, 9)
disconnector spring, 10) trigger. 11) trigger pin, 12) trigger
automatic sear pin and 16) automatic sear spring. The hammer
has an additional sear notch at the rear and an automatic sear
hook. The auto sear has one stop; the burst disconnector has
two hooks- one at the front offset to the right to engage the
burst disconnector and a second at the rear to engage the rear
hammer notch.
12
~
~1
Fig, 5-14. Three-round-burst trigger assembly.
How the three- round-burst mechanism functions is quite

of the two stop notches on the burst cam. The burst cam also
When the trigger is pulled, it releases the hammer to
fire the first round. As the hammer falls forward, the clutch
spring releases the burst cam, but the front hook on the burst
As the bolt carrier moves rearward, it forces the ham~
mer back which now allows the clutch spring to engage the
burst cam and rotate it one notch counterclockwise. When
the trigger nose out of possible alignment with the hammer

slot. The automatic hammer has an additional "automatic
sear hook" on the top rear of the hammer (arrow), and the
automatic disconnector has a vertical nose that rises at a sharp
angle (arrow), see Figure 5-13.
When the automatic mode is selected , a cam on the selector lever forces the trigger bar and disconnector down. When
the rifle is cocked, the hammer is tipped back far enough for
the vertical nose on the disconnector to engage the "automatic
sear hook" on the top rear of the hammer. When the trigger is
51
503
0321
RIF
0322

the hammer reaches its full rearward position, the auto sear
tips forward and engages the hammer stop at the top of the
hammer. At the same time, the front hook on the burst disconnector drops into the first notch on the burst cam.
Only by releasing the trigger and allowing the hammer
to rise far enough to be caught by the trigger nose does the
burst cam reset itself, ready to fire three rounds again.
and disconnector to be depressed far enough that neither the

trigger nose will catch the lower hammer slot nor the disconnector nose will engage the
automatic sear hook on the
top rear of the hammer. see
Figure 5-16.
When in the SAFE position, the shaft prevents it
from being moved to release
the hammer.
The selector lever is
held in position by a pointFig. 5-16. Automatic selector
ed detent driven by a coil
lever.
spring. The detent rides into
a vertical hole drilled into the right lower side of the receiver,
and the spring is captured in a hole drilled into the right side
top of the pistol grip. When removing the pistol grip, be careful not to lose the spring, refer to Figure 5-9, parts 5 and 6.
Trigger Guard
The Ml6/AR15's "winter" trigger guard can be lowered for
use while wearing gloves . The right side front of the trigger
guard has a spring-loaded pin that can be depressed with a
bullet point, allowing the trigger guard to pivot down against
the pistol grip. The after end of the trigger guard (I) is held
in place with a l/8-inch split pin (2) at the rear and a plunger
(3) at the front, Figure 5-17.
Trigger and Hammer Pins

Both the trigger and hammer pins are 0.17 inch in diameter
and 0 .90 inch long. They penetrate the walls of the lower receiver to serve as an axis for both pieces. The trigger pin has
a circul~r slot at each end into which the legs of the hammer
spring fit to hold it in place. The hammer spring legs go over
the top of the trigger pin.
Selector Lever
The selector lever is mounted in the lower receiver in alignment with the trigger mechanism. Envision an "L" -shaped
object with the short side of the "L" flattened into a thumb
piece and the long side formed into a cylinder. The selector
lever is held in place by a spring-loaded detent and rotates
to select the mode of operation: SAFE (9 o'clock), AUTO
(12 o 'clock) and SEMI (3 o'clock) in the Ml6 and SAFE (9
o'clock) and SEMI (12 o'clock) in the AR15. In the M16A2,
BURST replaces AUTO.
The semiautomatic selector lever has a shallow fiat (cam)
milled on one side of the cylinder only that prevents the trigger bar and disconnector from
being depressed far enough to
catch the lower hammer slot,
see Figure 5-15.
The automatic selector has
a second , deeper cam that
when turned into the proper
selector lever.
position, allows the trigger bar
Fig. 5-17. Trigger guard.
Takedown Pin
The takedown pin is at the rear of the lower receiver. It is 1.15
inches long and 0.25 inch in diameter. The pin has a rounded,
rivet head 0.375 inch in diameter. The pin penetrates both
sides of the lower receiver from the right and the rear lug on
the upper receiver. It is held in place by a spring-driven detent
that penetrates the rear of the lower receiver under the stock
ferrule. The pin has a channel milled along one side in which
the detent rides . Use caution when removing the buttstock,
see Figure 5-18.
52
504
0322
RIF
0323
Bolt Release
holds the bolt in the rear position when the last cartridge is
fired as a warning to the shooter that the magazine is empty.
It functions by allowing the magazine floor plate to rise high
enough to lift the bolt release into the path of the bolt, blocking
it from moving forward . The bolt release can also be activated
by drawing the boll back with a magazine in place , or when
the magazine is absent, by depressing the bolt release.
Fig. 5- 18. Rear takedown pin ( 1). The detent and spring are under
Magazine Release
The magazine release assembly consists of the 1) magazine
4) magazine release plunger and 5) plunger spring, see Figure
5-19.
Essentially, the magazine release is a bar with rectangular
detent on its forward end that fits into a rectangular hole in the
right side of the magazine . The release bar has a threaded tail
at right angles that fits into a hole through the lower receiver
at the rear of the magazine well. A coil spring fits over the
tail, and the magazine button screws onto the threaded end
Fig. 5-20. Bolt release assembly.
release bar. A spring forces the end of the bolt stop (arrow)
to remain below the path of the bolt until the magazine floor
Bolt Assembly
The bolt assembly consists of six major components: 1) bolt
carrier, 2) key and both bolt screws, 3) bolt, 4) bolt cam pin,
5) firing pin and 6) firing pin retaining pin, see Figure 5-21.
Bolt Carrier
The bolt carrier for the 5.56 NATO caliber rifle and carbine
Behind the gas ports on the bolt carrier are a series of notches
the chamber. Only the very earliest XM16 bolts did not have
these notches.

53
505
0323
RIF
0324

through the bolt face beneath the lug at the 12 o 'clock position. The opening for the firing pin nose is centered in the bolt
face. The extractor lip overlaps the bolt face at the 6 o'clock
position.
The key is mounted on top of the bolt carrier with two

socket head screws which are staked to prevent backing out.
The key is a hollow tube which captures the propellant gas
from the gas tube
and drives the
bolt carrier to the
rear.
The bolt itself
is inserted into the
front of the bolt
carrier and is retained by the bolt
cam pin. The bolt
cam pin fits into a
hole in the top of
the bolt carrier,
beneath the key.
It rotates 1/2 turn
to allow the bolt to
lock and unlock.
The firing pin
FJ{}. 5-21. Bolt and carrier assembly.
Extractor
The extractor is a
curved plate with
a Iip that fits into
a channel cut for
it on the right side
of the bolt. The
extractor spring
is captured between the extractor and the bolt
in a depression
in the rear of the
channel.
The extractor is
pinned at about
mid-length which
allows it to pivot in and out. A short coil spring at the rear
keeps it closed. When assembling, the flared base of the spring
must be seated in the extractor and the rubber insert seated in
the narrow end that fits inside the bolt. Later bolts substitute
a second spring. Failing to seat the spring(s) and/or rubber
insert properly may cause mal functions.
is inserted through
the bolt carrier and into the bolt's firing pin tunnel. It is retained by a firing pin retaining pin which is similar to a split
pin. Do not attempt to substitute a common split pin for the
proper firing pin retaining pin as it may not hold.
pressure from the bore. Therefore, it does not have a carrier
but is solid . It also lacks the bolt carrier key , bolt cam pin and
has a spring-loaded firing pin and a smaller, d ifferent extrac
tor. See Figure 5-22. The rifle bolt weighs 11 ounces; the
submachine gun
bolt weighs 15. 9
ounces.
Ejector
The ejector is a steel dowel rounded at the forward e nd. The
Firing Pin
Bolt
.....
Fig. 5-22. 5.56 mm bolt and carrier (R); 9 mm
The M16/AR15 firing pin lo oks something like a duplex or

scaffold nail . The firing pin is 3.217 inches long and may be
made of chrome-moly, stainless steel or titanium. This last is a
newer material for AR15 firing pins. It is intended to produce
by the hammer. The firing pin should not protrude excessively
past the face of the bolt. Check with firing pin gage (Colt part
#62679) whenever a new firing pin is installed .
T he rifle bolt
(refer to Figure
5 -21) consists
o f ten parts: 7 )
extractor, 8)
rubber insert or
second spring,
9 ) extractor
spring, 10) extractor pin, 11)
ejector, 12) ejector spring, 13)
Gas Seal Rings

The three gas seal split rings are contained in a groove cut
into an expanded area along the firing pin tunnel. The rings
press against the walls of the bolt tunnel just behind the gas
ports to contain any gas that might escape from the breech if
a cartridge or primer ruptures. This prevents the hot gases
from flowing back through the bolt carrier and out and up
into the shooter's face.
ejector pin, and 14) rings (three).

The bolt head has seven locking lugs around its circumference with the extractor as the eighth locking lug. These lugs
rotate into and out of matching receptacles in the receiver
extension to lock or unlock the bolt. The ejector protrudes
54
506
0324
RIF
0325

must be replaced, it is best to do aU three at the same time.
the bolt to prevent the firing pin from backing out. The pin
passes between two flanges on the aftcrcnd of the fi ring pin.
14
15
: 16
Note: Do not remove

unless you have re
placements on hand.
Once removed. do
not reinstall the same
ring. Lubricate and
use gentle but steady
pressure when install
ing. New rings will be
must wear in .
2~12~
\)
13
~Tta&fhl~ ~
()~
(j 4 5
.. 11
' )
~0
Barrel Assembly
The barrel assembly
consists of five subassemblies: barrel,
retaining asse mbly ,
front sight assembly ,
compensator, gas system and handguard s ,
see Figure 5-23 .
Barrel
The MI6/ ARI5 bar
rei is made in many
lengths, diameters and
rifting types. The commo nes t barrel type,
the MI6AI and the
AR 15 Sporrer barrel,
is shown in Figure 524 . Custom barrels can
be a nd are cut in a
variety of diameters
and lengths as well as
s hapes . Those used
Key

tube closed at the after end and mounted
on plate that attaches
to the bolt carrier F1g. 5-23. M16/AR15 barrel assembly . 1) barrel, 2) barrel extensron, 3) handguard
with two socket head retainmg ring, 4) slip ring springs (4), 5) handguard slfp nng, 6) barrel nut, 7)
handguard cap, 8) sling swivel, 9) front sight taper pins, 10) swivel rivet, 11) gas tube
screws . The key fills pin, 12) compensator spacer or washer, 13) compensator, 14) front sight post, 15)
with hot gases bled front sight detent, 16) detent spring, 17) gas tube, 18) upper handguard, 19) lower
from the bore when a handguard, 20) handguard heat shield. 21) front s~ght.
cartridge is fired . The
causing the bolt to rotate along its cam and unlock from the
receiver extension. When the bolt carrier returns to battery,
It is not a good idea to remove the key and its screws
from the bolt carrier unless it has been damaged. The screws
are staked in by defonning the metal of the key around the
circumference of the screw heads. For this reason, do not
If you do replace the key, new screws must be used. Fig. 5-24. M16A1 and AR15A 1 sporter barrel configuration.
Tighten with a torque wrench to between 35 to 40 inch-pounds
and res take securely.
in service rifles tend to follow the contour, size and weight
pattern of military rifles, see Figure 5-25. Those used in nonBolt Cam Pin
The bolt cam pin has a flat, rectangular head with rounded service match shooting are limited only by the gunsmith's
carrier moves forward or back, the bolt cam pin moves in
the bolt carrier cam way. Because the cam way is angled, a
rotary motion is imparted to the bolt to cause the locking lugs
to unlock or lock .

The firing pin retaining pin passes through the side wall of
F1g. 5-25. M16A2 military barrel configuration.
55
507
0325
RIF
0326

imagination and experience. See Table 5-l and Figure 6-21
for types and dimensions.
for the barrel extension. The muzzle end is threaded for the
see Figure 5-26. Barrels manufactured for civilian sale between
late 1994 and late 2005 may have an unthreaded rebated end
to which a muzzle
extension in the
form of a muzzle
brake may be permanently affixed.
Custom - made
barrels rarely use
Ftg. 5-26. Mifitary and pre-1994 and post-2005 a compensator nor
barrel and compensator.
are they threaded
or rebated, see
Figure 5-27. An alignment pin is fixed at the top dead center
position 0.07 inch from the end. The ring 0.135 inch wide and
1. 165 inches in diameter encircles the barrel and butts against
the upper receiver wall. The alignment pin indexes the barrel in the correct vertical position. The barrel nut {described
below) slides over the barrel and screws to the front of the
upper receiver. It bottoms against the ring and holds the barrel, retaining ring, slip ring spr~ng and slip ring in position.
The barrei extension
Ftg. 5-27. Post-1994
and most custom-built
is 0.82 inch
match AR15s Jack a
long and I inch
compensator.
in diameter.
It is screwed
onto the barrel
(31 - 35 footpounds) and
provides the
locking lugs
for the bolt. The barrel extension fits over the chamber end
of the barrel and has eight machined lugs into which the bolt
locks when in battery. see Figure 5-28. The barrel extension
penetrates the upper receiver.
Barrel Nut Assembly

The barrel slips into the front of the upper receiver, is indexed
by the alignment pin, and secured to the receiver with a barrel
nut which threads onto the front of the upper receiver, see
Figure 5-29, 1. See Appendix A, Level 3, Note .
Retaining Ring- The retaining ring is a slip or snap ring
which is fitted with snap ring pliers having straight 0.045inch tips. The ring must be compressed to fit inside the slip
ring . To do so, the tips of the snap ring pliers are inserted
into the holes in the retaining ring on either side of the split
Table 5-1
Barrel Configurations, Lengths and Rifling Rates*
Light Machine Gun, heavy barrel, 20", 1:7
20", 1:7
A2 Heavy Match, straight, no reductions,
20", 1:7
A2 HBAR. three-step reduction, 20", 1:7
A2 Service, enlarged diameter forward,
20", 1:7
Configuration
A 1 Service, reduced diameter forward,

20", 1:12
A2 Carbine, two-step reduction, 16", 1;7
A1 Carbine, reduced diameter forward, no
groove for grenade launcher, 16", 1:12
grenade launcher, 16", 1:7
A2 Carbine, two-step reduction, no groove
for grenade launcher, 16", 1:7
A2 Carbine, two-step reduction, groove for
grenade launcher, 14.5", 1 :7
Calibers
.223 (5.56 mm NATO)
This table includes recent and past Colt and U.S. military
model configurations. See Table 3-3, M16/AR15, List of

kinked so that when
the ring is compressed
horizontally, outward
force is exerted against
both the receiver face
and the rim of the slip
ring, refer to Figure
5-29, 3.
SUp Ring - The slip
ring is shaped like a
truncated cone (AI) or
a cylinder (A2) with a
rim around the interior Fig. 5-28. M16/AR15 barrel extension.
of its forward end. It is
large enough to hold the barrel nut, slip ring and retaining
ring, refer to Figure 5-29, 4 .
56
508
0326
RIF
0327
muzzle when the

rifle was fired from
the prone position,
see Figure 5-30.
The XM177
series of submachine guns and
carbines were
equipped with an
elongated version
of the cage compensator which
not only reduced Fig, 5-30. Types of compensators used on
muzzle jump and the M161AR15: top, early prong and bottom,
served as a flash closed cage types.
suppressor but also
acted to reduce the excessive muzzle blast from the shortened
barrel. The front end of the compensator had six elongated
oval cutouts which extended around the circumference, see
Figure 5-31 .
Numerous variations of this type of compensator pro~
duced for nonmilitary use have been observed. The reader is
cautioned that the Bureau of Alcohol, Tobacco, Firearms and
Explosives has classified some of these elongated compensators
as "sound suppressors. " It is best to check with the Technical
branch of the BA TFE before acquiring or installing one.
make short barrels legal. For instance, compensators 5 inches
long have been permanently attached to 11.5-inch barrels to
shorter than the legal 16-inch minimum, make certain that the

Doing so is not difficult with the proper tools and an understanding of the process . But unless you are an experienced
You will need an Ml6/AR15 combination wrench, a
torque wrench capable of exerting and measuring accurately
at least 40 foot-pounds and a set of barrel remover fixtures.
See Appendix A, Item 34 for assembly/disassembly details.
Compensator
rifle is fired and also the amount of heat emitted as light at
the muzzle, thus preserving the soldier 's night vision. The
compensator on the M 16/ AR 15 is variously known as a muzzle
brake, flash hider and flash suppressor. The compensator
works by both venting gas to the side and upward to drive the
muzzle down and by absorbing heat from the hot gases leaving the muzzle to reduce the amount of illumination. Original
compensators for the M 16! AR 15 series of rifles will have flats
The original AR15 compensator (see Figure 5-30, top)
were narrower than the body of the flash suppressor. The
XM 16 and M 16/ AR 15 also employed a three-pronged flash
suppressor of a slightly different design. The pronged (or
open) flash suppressor worked well but had a tendency to
catch in vegetation and to kick up dirt when fired from the
prone position.
later M16A IIAR15Al models. Starting with the A2, a closed
had five narrow elongated ovals cut through the top circumference but had a closed bottom. This design reduced the amount
of dust and debris kicked up by propellant gases from the
Fig. 5-31. Extended compensators like those mstafled on

suppressors.
but that it is permanently attached to the barrel. These types of

compensators can usually be identified by the lack of flats on
either side of the mount for the combination wrench. A close
inspection will also reveal brazing at the barrel/compensator
join with the barrel.
(TDC).
57
509
0327
RIF
0328
EDWARD C. EZELL
510
0328
RIF
0329
The Early Colt AR-15
87
The Air Force's End Run Around the Army

As mentioned, a major justification for the Ordnance Corps'
Ml4 Light Rifle program was that the one new weapon and the
7.62mm NA10 round were supposed to replace four weapons
and three different cartridges of the previous small arms
"family"; the Ml rifle, M2 Carbine, M3Al submachine gun
and the BAR. While the US Air Force had ceased to be an
Army element after World War II, small arms for Air Force
ground personnel were still acquired through Army suppJy
channels. The Air Force had been offered the M14, but had
pronounced it overly heavy and bulky. Accordingly, SAC-base
security forces around the world were still armed with M2
Carbines, for which, ironically, the Army was no longer stocking

spare parts.
. .on the fourth of July P960J, which happened to be

Boutelle's birthday, and every year he had quite a pany.
it was presently manufactured. 7his is when Colt.. and we
went up there, and I took along three watennelons, and I

put [one} out at 50)f:lrds, and the other at about 150 yards,
and he shot both of them, and as you probably know, the
explosive feature ofthe buller takes all the water out ofthe
watennelon. So he walked up to both of them and put his
hand down in there and picked this stuff up, and I won't
say what he said, but it was quite impressive - he was
impressed. So I asked him "Do you want to shoot the other
one?" He said, "Hell no, let's ear it." So that's the way
we did fit].
The upshot of the demonstration at Boutelle's Maryland

farm was General LeMay's offer to recommend the AR-15
as a potential replacement for the Air Force's ageing M2
Carbines. Macdonald quickly sent LeMay three new Colt
model Ols, which were soon on their way to the Air Force's
main training base at Lackland AFB in Texas, for initial
familiarization.
Sadly, however, for some who gave indispensable service to the

cause of the AR-15, there was no reward. As Bobby Macdonald
later related, " ..In the meantime, Colt was taken over by
another group of fmanciers, and in the course of it they fired all
the people that I had been doing business with... Fairchild also
went through a change in management several times. Based
on this rifle, and the F-27 airplane, Mr. Boutelle got fired .."
The friendship between Fairchild president Richard BouteUe

and Air Force General Curtis LeMay has already been mentioned in connection with the adoption of the MA-l survival
rifle. Bobby Macdonald later described to the Ichord subcommittee how, armed with a new business arrangement with
both Colt and ArmaLite, he had written to Gen eral LeMay,
by this time the Deputy Chief of Staff of the Air Force, inviting
him to a demonstration of the AR-15:
His fann was all set up outside Hagerstown, with a skeet

field, trap field, archery, pistol ranges, you name it. It was
beautifolly equipped from a shooting angle.
So LeMay was a .friend ofBoutelle's, and I suggested that
we gn together and he have a chance to shoot the rifle as
Colt's First Manual

- the "Basic Infantry Weapon, AR-15"
Looking ahead determinedly to the eventual return of
military interest in the AR-15, Colt's prepared and published a manual ''for the information and guidance of
ordnance personnel whose duties involve the use, maintenance and repair of the caliber .223 Basic Infantry
Weapon, AR-15". The Colt manual went on to make some

most enthusiastic claims for the AR-15, " the most modem light
weight combat rifle combining the accuracy of a sniper rifle
with the firepower of a machine gun .." as a virtually maintenance-free weapon:
Disassembly, assembly, cleaning and minor repairs may

be undertaken by anybody. . .An occasional simple cleaning
will keep the weapon fonctioning indefinitely. Ubrldng pans
can be cleaned by wiping with a cloth. 7he simplicity of
field cleaning tnakes it possible to quickly and easily train
a recruit in minimum time.
and maintenance ofthe Colt AR-15 to an absolute minimum.
Firing ofthe Colt AR-15 with complete absence oflubricallts

in a chemically cleaned condition has in every country where
this test has taken place resulted in a peifonnance far
exceeding any requirements.
7he Colt AR-15 rifle will fire longer without cleaning or
oiling than any other known rifle.
.. Corrosion resistant materials facilitate the assembly

and interchangeability of parts and reduce the service
511
0329
RIF
0330
Explaining the Action of the AR-15

HAMMER
NOTCH
of the AR-15, loaded and ready to fire with selector l~er set
to SEMI. Hammer notch engaged with trigger sear.
'\
TRIGGER
SEAR
TRIGGER
GAS TUBE
GAS PORT
BOLT
CARRIER
106. As the trigger is pulled, the hammer is released and rotates forward,
striking the firing pin and firing the chambered canridge. As the buller passes
512
the gas pon, gas is routed through the gas rube and bolt carrier key, and
into the cylinder fonned between the bolt and bolt carrier.
0330
RIF
0331
The Action of the AR-15
J(Jl. Ga.s pressure in the cylinder drives the bolt carrier to the rear. As this
happens, the bolt cam pin rotates the bolt and disengages the bolt lugs from
the lugs in the barrel extension. 1he hammer is "turned to the cockedposition,
89
and the action spring is compressed. As the bolt and carrier move rearward,
the extractor withdraws the spent canridge case from the chamber, and the
ejector throws it out the ej ection pan .
+--MAGAZINE
108. 1he rearward motion ofthe bolt carrier is arrested by the buffer assembly
in the action spring gutde. 1he compressed action spring then forces the bolt
carrier foni/Qrd. 1he face of the bolt picks up the top cartridge from the
magazine, and thrusts it into the chamber.
513
0331
RIF
0332
90
UPPER
HAMMER
HOOK ON
DISCONNECT
NOTCH
109. As the bolt lugs enter the barrel extension, the ejector is depressed against
the canridge case, and the extractor snaps into the extracting groove. During
the final halfinch of the closing stroke, the bolt cam pin moves out of the
receiver guide and rotates the bolt to the kicked position. The upper hammer
notch is held by the hook of the disconnect. When the trigger is released,
the trigger spring causes the trigger to return to its nonnal position, carrying
the disconnect backward, releasing the hammer, which drops from the disconnect to the cocked position on the trigger sear.
llU Rotating the change II!\V!r to AUTO changes the function oftwO key pans.
On the fono.urri or counter-recoil stroke, the automatic sear engages the top
outside hammer notch, holding the hammer in a cocked position. The bolt
carrier, in closing, strikes the upper edge of the automatic sear, rotating it
and releasing the hammtr to fire the next round. This cycle will repeat until
the trigger is released or the magazine is empty.
~..-.~=--BOlT
TOP OUTSIDE
HAMMER NOTCH
CARRIER
DISCONNECT
514
0332
RIF
0333
Examining the AR-15
91
JJJ. From Colt 'sftrst rnn ofAR-15s: pointillg out the "recoil spring guide"
on Model OJ serial no. (){)()JOO.
A Forced Examination of the Colt AR-15

Meanwhile, in the summer of 1960 just before the famous
4th ofjuly watermelon shoot, Colt's had formally approached
Ordnance R&D with a request for a re-test of the AR-15 they
now designated the model 01. A number of small but significant
improvements had been made in the course of their tooling
up for manufacture, they said, which warranted a further look
on the part of the Army.
Of course, neither Colt's nor ArmaLite possessed anything
like the vast pool of engineering development expertise and
resources which were available at the various Ordnance stations.
Thus, despite the enthusiasm of their first manual, a good part
of Colt's motive was to avail themselves of an otherwise prohibitively expensive full-scale Ordnance engineering evaluation
of their "Basic Infantry Weapon" before they got locked in
to real quantity production.
To their dismay, Colt's soon received a wire back from
Dr. Carten refusing their request, citing as a reason the
lack of any military requirement for such an arm . He was

soon forced to eat his words, however, for a request arrived
at the Pentagon from Lackland Air Force Base, asking
Ordnance to qualify the AR-15 as a potential candidate for
replacement of the Air Force's obsolescent M2 Carbines.
This coincided with a sympathetic ear being given, at the
Congressional level, to the plight of the Colt/ArmaLite camp
and their "unsaleable" products: suddenly some highly
placed people wanted to know about the Ordnance Corps'
boycott of ArmaLite weapons.
A chagrined Dr. Carten was directed to arrange the Air
Force test without delay, to be run at Aberdeen concurrently
with tests on six samples of the AR-10 rifle as made under
license in Holland by Artillerie-Inrichtingen. In fact, it
appears that the whole event had already been adroitly
turned into some first-rate exposure for the AR-15, with the
Ordnance Corps footing the bill:
515
0333
RIF
0334
92
Examining the AR-15
112. Retracting the bolt on Colt 's AR-15 serial no. 000300. Note the ''R' 'and
cloclcwise arrow markings on the early Colt fY!ar sight elevation knob.
1960 SEP 12
l!NCIAS ORD 10508 RJH D&PS COL Dl/BIA FROM OHDIS CAKlEN
.. AR-15 CAliBER .223 RIFLES AND AMMUNffiON
WIU BE SUBMliTED 10 YOUR SI'ATION TN THE
IMMEDIA1E FUlURE BY COOPER-MACDONALD, INC
RF.IJUESFFINALFNGINEFRING TFSJ'OF11l/S WEAPON
BE CONDUCTED DURING THE SAME PERIOD THAT
SIMILAR TESTS ARE BETNG CONDUCTED ON THE
AR-10 7.62MM RIFLE. REQUEST AMMUNffiON PERRJRMANCE TRIAL5 PREVIOUSLY CONDUCTED WITH
THE AR-15 RIFLES ALSO BE INCLUDED.
516
REQUEST YOUR SI'ATION MAKE AVAILABLE 10 THE

COMPANY FAClllllES RJR DEMONS1RAI10N OFAR-15
RIFLES 10 /NTERESlFD M/UFARY PERSONNEL DATE
RJR T1f.JS DFMONSI'RATION IS TENTA11VEl..Y SET RJR
26 SEPTEMBER 1960. GENERAL LEMAY. DCS, USAF,
AND U GEN TRUDEAU, CRD, ARE EXPECTED 10
ATIFND, ALONG WITH aTHER REPRESENTATIVES OF
AIR RJRCE AND ARMY
0334
RIF
0335
Examining the AR-15
93
113. Comparison oftrigger mechanisms. Above: an early ("Cuba/Sudan")

Dutch-made AR-Ja Below: Colt model OJ AR-15. Photo courtesy Jean Huon
517
0335
RIF
0336
94

Examining the AR-15
Gas Tube Assembly
/14. Colt model OJ AR-15 barrel, gas tube and handguard assemblies.
As noted in chapter 3, the final versions of two other Aberdeen engineering test reports by Larry Moore, one being No.
DPS 101 A Test ofRifle, AR-10 of November 1960 and the other
as discussed below, contain no recommendations or conclusions.
Certainly from Dr. Garten's viewpoint, none were required,
in the absence of any formal Army interest in either arm: he
was simply giving Cooper-Macdonald and the Colt/ArmaLite
people as little encouragement as possible, while providing the

Air Force with a record of tests conducted and leaving any
conclusions up to the trials team at Lackland.
Some of Larry Moore's interesting comments regarding the
three Colt model 01 AR-15s he tested, serial numbers 000614,
000682 and 000835, are reprinted below:
Aberdeen Proving Ground

Development and Proof Services
No. DPS 96
A Test of RiDe, Caliber .223, AR-15

November, 196()
Introduction
1he AR-15 rifle was previously tested at this station
between 20 March and 21 November 1958. 1he results of
that test are contained in {the fifty-seventh repon on
Ordnance Project TS2-2015; chapter 3]. 1he rifle tested
518
previously rn'JS an experimental modelproduced in a limited

quantity. 1he rifle submittedfor this test rn'JS mass produced
and it incorporated various minor design changes from the
experimental rifle..
0336
RIF
0337
Examining the AR-15
95
J/5. Closeup of receiver markings of Colt AR-15 serial no. 000614, used in
the Aberdeen ' Test of Rifle, Caliber . 223, AR-15 ' ' September, 1960.
Photo credit: Eric Long, Smithsonian Institution
Abstract
A total of24,443 rounds were fired. The AR-15 rifle, which

has a weigh! of692 pounds when folly loaded and an avemil
length of388inches,fi~ Cartridge, aJliber .223. The average
velocity of the 55-groin bullet at 78 feet lms 3.104 fps. In
the 100-yard bench-rest accurocy test the averoge mean
radius for 10-round targets as 1.5 inches. The averoge
number of rounds fired semi-automatically in one minute
in the rwe-of-aimed-fire test oos 84.2 and the avemge number
of hits obtained on the ""target at a runge of /00 yards
as 77.8 During automatic firing in this test, the average
number ofrounds fired as 128 7, and the average number
ofhits as 41.3. The average malfunction rote with the rifle
held nonnal/y lWlS a25 per hundred rounds. Only ten parts
were broken in firing 18,()()() rounds in the enduronce test.
One ofthese parts, an extractor spring, llW broken during
disassembly of the extroctor. 1he AR-15 rifle gave nearnonnal perfonnance in the unlubricated, dust, extreme-cold
and min tests, and it completed the mud test. [A modified
rain test as also conducted, wherein the bolt llW retracted
slightly with the muzzle held down to facilitate droinage,
before firing/. A cook-off occurred after firing 140 rounds
in 54 seconds, but no cook-offoccurred in firing 120 rounds
in 39 seconds. When fired with a telescopic sight from a
bench rest at 100 yards two rifles gave an averoge mean
radius of 1.1 inches for four 10-shot groups from each rifle
with each of two lots of ammunition.
Even in the absence of conclusions and recommendations

it appears from the above that the performance of the 1960
Colt ARI5s, especially in the scoped-accuracy and adverse
condition tests, was little short of phenomenal. Indeed, a
perusal of other standard light rifle tests, such as are to be
found in previous Collector Grade books, will show the above
results superior to most if not all the developmental weapons

of the period, including the Ml and T44E4 "control" rifles.
However, even though Dr. Carten's repon to the Chief of R&D
grudgingly summed up the AR-15 as only " reasonably satisfactory", the AR-15 was approved for Air Force trial as
requested.
Three rifles were subjected to the light auJomatic rifle test

and two rifles were subjected to additional accumcy tests.
519
0337
RIF
0338
96

Examining the AR-15
' \''\<
/ '
"
oJ - I
'
'\
'~
I
116. Fig. 9from Aberdeen :S 1960 trial: disassembled view ofColt AR-15 serial
no. 000614.
Aberdeen Proving Ground photo, courtesy James Alley
The Air Force Attempts to Buy the AR-15

There followed a series of USAF firing tests at Lackland,
wherein the AR-15 was shot in comparison with the M2 Carbine
and the M14. Gene Stoner himself proudly recorded that 43% of
the firers qualified as expert with the AR-15 as opposed to only
22% with the M14. This favorable experience, coupled with the
results from Aberdeen, convinced General LeMay that the
AR-15 was indeed the riJle the Air Force was looking for. Accordingly, he requested authority to buy a cumulative total of80,000
rifles, to be obtained over the period of several years, during
which time the M2 Carbines would be phased out. As it turned
out, this was the beginning of a very happy relationship between
the Air Force and the AR-15, but it took General LeMay three
determined tries to get his purchase request approved.
520
In the summer of 1961 Deputy Defense Secretary Roswell

Gilpatrick proposed to include 8,500 Colt AR-15 rifles as
part of the Air Force's slice of that year's fiscal "pie",
subject to Congressional approval, but the watchdog subcommittee on DOD appropriations was not convinced that
the Air Force's need was sufficiently pressing to justify another
rifle in the system, and the request was denied. General LeMay
next brought the matter up in a meeting with President
Kennedy that December, after the President had first seen an
AR-15 at a Sea Power demonstration during the fall, but again
with no success.
0338
RIF
0339
Examining the AR-15
Meanwhile, "optimum platoon" trials by the Combat

Development Experimentation Center (CDEC) woere in progress
at the Hunter-Liggett military reservation, Fort Ord, California
Early CDEC findings, published after trials with the first
bipod-equipped, ArmaLitemade AR-15s in 1959, had indicated
that a 5- to 7-man squad armed with a light weight, high
velocity rifle like the AR-15 would have a greater hit and kill
potential than eleven men equipped with the M14.
As we shall see, by the time General LeMay's purchase

was finally approved in May of 1962 events in Southeast
Asia had heated up to the point where the original 8,500
Air Force AR-15s formed much the smaller part of a
"package" including over 20,000 rifles for Navy SEAL
teams, some special South Vietnamese Army units and their
US advisors.
Rifle by Colt - Barrel by Winchester

A key figure in the development of the AR-15 at Colt' s was
Robert E. Roy, who today is the finn's director of military sales.
Rob Roy recalls that his first job after joining the firm in 1961
was to devise and supervise the installation of .22 caliber barrel
rifling machinery. as prior to that time Colt's had not possessed
521
the capability to produce rifle-length barrels. In fact, the first

18,000 AR-15 barrels were subcontracted to Winchester, where
they were broach-rifled with a 14" rifling twist. Colt's subsequent barrels were button-rifled, a superior rifling process
which produced more uniform lands and grooves.
0339
RIF
97
0340
522
0340
RIF
0341
8. Disassembly
From time to time it will be necessary to take
down the rifle to lubricate it or to carry out routine maintenance. Do not take the rifle apart any
more than is necessary; each time a part is removed
from the lower receiver or other areas not involved
in field stripping, the part's fit is not as tight when
reassembled.
with it. The bolt carrier group should be pulled

back so that it can be grasped and removed . After
the carrier group is removed, the charging handle
can be removed by pulling it back and downward
through the slot in the key channel.
5. The firing pin retaining pin ( 1-1) can be removed by punching it out with a tip of a small
tool. Push from the ejection port side of the carrier.
6. Once the retaining pin is removed, the firing
pin (1-2) can be removed by tilting the carrier up
so the bolt faces upward and the firing pin can
fall free through the rear of the carrier.
7. Twist the bolt assembly (14) so that the cam
pin (1-3) is clear of the bolt key (1-13C). The cam
can now be lifted free and removed.
8. With the cam pin removed, pull the bolt
assembly ( 1-4) from the front of the bolt carrier.
Care should be taken in disassembling the bolt as
a number of easily lost parts will be freed.
9 . The extractor spring (1 -7) is under compression, so be careful not to let the extractor ( 1-6) get
away when it is released. While holding the extractor in place, use a small wire or drift punch to push
the extractor pin (1-5) out of the bolt. Carefully
remove the extractor, its spring, and the small
nylon plug that is often nestled in the spring.
10. The ejector (1-9) and its spring (1-10) can
be removed by drifting out the pin (1-8) that retains it. The spring is under tension so be careful
not to let it get away. Placing an empty brass into
the bolt face and using it to hold the ejector in
place can make the removal of the ejector pin
eas1er.
11. It is seldom necessary to remove the handguards (3-1, 2) unless they need to be replaced or
the weapon is full of mud. Although in theory the
handguards are easily removed by pushing the
FIELD STRIPPING
The AR-15 is very simple to field-strip and easy
to lubricate. Unlike many assault rifles, it has few
small parts that can be lost during the field stripping. It's a good idea to wear safety glasses when
field stripping the rifle just as it is when shooting
or assembling the AR-15.
Use the exploded diagrams to locate parts mentioned in this section if you have any doubts about
the piece or its location.
1. Remove the magazine from the AR-15 and
check the chamber to be sure the action is closed;
release the bolt carrier if it's held open so that it
is closed.
2. Place the selector in the "safe" position.
3 . Push out the rear take-down pin (1-35) from
the selector side of the lower receiver and pull it
out from the opposite side of the receiver until it
locks open. This will release the upper receiver so
it can be rotated downward. The front pivot pin
(2-1A) may also be pushed outward if it is necessary to remove the upper receiver from the lower;
on the AR-15 Sporter, the receivers are held to the
front with a double screw. To remove the upper
receiver from the lower on the Sporter, use two
screwdrivers to unscrew the two; a drift punch may
be needed to push out the inside screw from the
outer one.
4. Pull the charging handle (1 14) back; the bolt
carrier group (13-A, B, C, D, E) will come back
61
523
0341
RIF
0342
0'1
1\.)
-Receiver pivot pin
tt1
Bolt carrier
~
I
.....
Vt
.........
~
.....
0'1
..
~
~
r-
::j
Q
t--o
-....,...hanrin2 handle
Bolt
s
~
Sling
Magazine
C')
Forward assist assembly
.,po .,. -- --- .,.. ..,
524
0342
RIF
0343
{;')
~
~
5
12
}~
~~
DIAGRAM 1 -BOLT CARRIER GROUP

11 : Firing pin retaining pin ; 1-2: firing pin; 1-3: bolt cam pin ; 1-4: bolt assem bly; 15 : extra ctor pin ; 1-6 : extra ctor; 17 : extractor spring ; 1-8 : ejector pin ; 1-9: ejector ; 1 -10 : ejector
spring ; l-11 : gas rings (3 ); 1-12: bolt ; 1-1 3: bolt carrier assembly (without forward assist grooves); 113A : bolt carrier assembly (forward assist style) ; 1-lJB: key bolts (2); 1-lJC : key;
1-130: bolt carrier (with forward assist grooves); 1-13E: bolt carri er (without forward assist grooves); 1-14 : c harging handle assembly.
525
O'l
0343
RIF
0344
~
~
~ ......
.;""'/
'
28
<
33 34 42
1--'~0 D-32\2!
b~y
t":j
......
~
~
.:...
v.
..........
37
~
......
~
~
..............
...................
' , .......
~
~
Q
t'-<
27A~
C)
41
sb
l'::l
DIAGRAM 2- LOWER RECEIVER GROUP

2 -1: Magazine; 2-1 A: front push pin (pivot pin- dual screws on some models); 2-2 : hammer/trigger pins (2); 2-3: hammer; 2-4: hammer spring ; 2-S : auto sear pin ; 2-6: automatic sear;
2-7: selector lever; 2-8: disconnector; 29: trigger; 2-10 : trigger spring; 211 : disconnector spring; 2-12 : bolt catch roll pin; 2-13: bolt catch ; 2-14: bolt catch plunger; 215 : bolt catch
spring; 2-16 : magazine catch; 2-17: magazine catch spring; 2-18 : magazine release button; 2-19: pistol grip screw ; 2-20: pistol grip lock washer; 2 -21 : pistol grip; 2-22: safety detent
spring (same as ejector spring); 2-23 : selector lever (safety) detent ; 2-24 : buffer spring; 2 -25 : buffer; 226: top stock screw; 2-27: stock assembly; 2-27A: sling; 2-28: rear swivel pin (oldstyle stocks only); 2-29: rear swivel assembly (old-style stocks only); 2-30: rear swivel pin (old-style stocks only); 2 -31: rear swivel (old-style stocks only ); 2-32: swivel stud; 2 -32A:
stock; 2-33: rear push pin detent spring; 2-34: rear push pin detent ; 2-35 : rear push pin (takedown pin); 2-36: buffer pin (military models only) ; 2-3 7: buffer tube (lower receiver e:~tten
sion); 2-38: buffer retainer; 2 -39: buffer retainer spring; 2-40: trigger guud roll pin; 2-41 : trigger guard and its front spring and pin; 2 -42: lower receiver.
526
0344
RIF
0345
39
30
./31 29
28 <::!'
~34~j)/~j,
trfT1iTe;
25 27
38 33 3736 35
--- ---
-- --
5
..............................
-- --- -
tl
t;)
~
("l
t"-t
~
4 3
hNtH~S I 2 1 I 31
I 41
PART OF ASSEMBlY NO.5
DIAGRAM 3- UPPER RECEIVER GROUP

31: Handguard half (old style) ; 3-2: hilndguard half (old style); 3-3: flash suppressor; 3-4 : flash suppressor lo ck washer; 35: barrel and sight assembly; 3-6: front sight pin; 37 : front
sight; 3-8: bilrrel assembly; 3-9: front swi vel pin; 3 10: front swivel; 311 : front sight post; 3-12: fr ont sight detent; 313: front sight detent spring; 314: ha nd guard ca p; 3-15 : gas tube
pin; 316: gas tube ; 3-17: snap ring; 3-18: slip ring spring; 3-19: barrel nut; 320: slip ring; 3-21 : ejection port cover pin ; 322 : ~jection port cover retaining ring; 3-23: ejection port
cover spring; 3-24 : ejection port cover ; 325. rear sight windilge drum pin; 3-26: rear sight windage drum ; 327 : rear sight detent; 3-28 : rear sight detent spring; 329: rear sight screw;
3 -30: rear sight; 331: rear sight spring; 332: for wilrd assist pin; 3-33: forward assist plunger spring; 334: pawl pivot pin; 335 : forward assist pawl ; 336: paw l detent ; 3-37: PilWI detent
spring; 3-38: forwud assist; 339 : upper receiver (without forward assist well); 3-40: upper receiver (with forward assist well).
527
o.,
<.J-.
0345
RIF
0346
66

THE AR -15j J116: A PRACTICAL GUIDE
Top: semiauto bolt carrier. Bottom : selective-fire carrier.
weld ring (3-20) tm\'ard the receiver, in reality

there is often enough tension in the weld spring
( 1-18) to make this hard for most people to do.
One solution is to usc a scrcwdri\'er or other tool
to carefully pry the ring away from one h alf of
the handgu<trd until it Cdn be wiggled free. Repeat
the procedure with the other half of the handguard. This will have to be repeated to get the
handguards back on, if it was necessary to pry
them off. Be careful not to scar up the finish on
the rifle when using a tool as a lever on the weld
nng.
12. To remove the buffer (2-5) and its spring
(2-25 ), it is necessary to depress the buffer retainer
plunger (2-38) while restraining the buffer and its
spring. Be sure the hammer is in its cocked position
before trying to remove the buffer from its tube.
Once the buffer is out, the spring can be wiggled
out without holding the plunger down.
Assembly of the rifle is basically a reversal of all
the above procedures. Be sure the cam pin and
firing pin retaining pin are in place as the rifle
would be dangerous to fire without them .
TOTAL DISASSEMBLY
All other disassembly of the AR-15 or any major
work done on the rifle should be done by a compe
tent gunsmith. Work on your rifle only if you are
sure of your abilities to do so. Probably more rifles
are ruined by amateur work than by accidental
breakage. Don't be too proud to get someone else
to do work that you can't do. Such pride can be
expensive or even dangerous in the long run. Do
not work on your rifle if you are not sure of what

you are doing!
The only time that you might <tttempt the following disassembly (unless you are experienced
with working on fi rearms) would be in a survival
or combat situation where you might prefer the
risk of damaging your gun than being without
a working weapon.
If you must disassemble the rifle, do only the
following steps that are necessary. You should skip
any that are not necessary to carry out the work
that needs to be done. Consult the section of this
book on assembling an AR-15 to reassemble the
rifle if you run into any problems.
1. The three gas rings (1-11) should be left in
place unless they are damaged. ~ew rings are
placed on the bolt by gently spreading each one
enough to get it in place. Don't line the spaces up
on the rings.
2. The charging handle latch and its spring
should be left on the charging handle ( 1-14) when
possible. The roll pin holding them can be drifted
o ut of place if necessary.
3. The key (1-13C) and its bolts (1-13B) should
be left in place unless they absolutely need to be
replaced. It may be necessary to grind off the
metal holding the bolts in place as they are peened
on most carriers. A hex wrench is necessary to remove the two bolts.
4. The flash suppressor {3-3) screws off the barrel. Be careful not to lose the lo ck washer (3-4 ).
The flash suppressor is most easily removed by
clamping the barrel into place.
528
0346
RIF
0347

DISASSEMBLY
5. The front sight assembly (3-5) can be removed by drifting out the two pins (3-6) from the
base of the assembly. The pins must be pushed out
toward the ejection port side of the rifle. The base,
along with the gas tube (3-16), can be moved off
the barrel from the muzzle end of the barrel.
6. The front swivel (3-10) can be removed by
drifting out the pin holding it. On some AR-15s
this is a rivet that must be ground off.
7. The front sight post (3-11 ), sight detent (312), and their spring (3-13) can be released by
depressing the detent and unscrewing the front
sight post. A front/rear sight tool is useful for
doing this.
8. If the front sight has been removed, the gas
tube (3-16) can be removed by drifting out its pin
(3-15). The gas tube can also be removed without
removing the sight base by drifting out the gas tube
pin and pushing the tube to the rear of the upper
receiver, pulling the tube slightly to the side of the
front sight base, and pulling it out of the receiver
toward the muzzle of the barrel.
Front sight assembly
67
9. With the gas tube removed, the barrel nut

(3-19) can be unscrewed to remove the barrel. An
armorer's wrench is necessary to do this. The barrel can be pulled straight out of the receiver once
the nut is removed (it may be necessary to wiggle
the barrel a bit to make it creep out).
10. The handguard snap ring (3 -17) along with
the weld ring (3-18) and slip ring (3-20) will stay
on the barrel nut when it is removed. If you wish
to remove them, use a pair of needle-nosed pliers
to pull the snap ring free of its groove in the barrel
nut.
11. If the barrel is off, the ejection port dust
cover (3-24) along with its spring (3-23) and its
pin (3-21) can be removed by sliding the pin
toward the barrel side of the receiver. If the barrel
is left on the upper receiver, then the "C" ring
(3-22) can be popped off the pin, and the pin
slipped out toward the rear of the receiver thereby
freeing the port cover and its spring. (This is a
hassle with receivers that have a bolt assist, but it is
possible to do on all AR-15 rifles.)
Carrying handle
Flash suppressor
P~rts
identification diagram
529
0347
RIF
0348
68

000392
Tl/ AR-15/.\116: A PRACTICAL GUIDE
..i.
.:
000392
0348
530
RIF
0349

000393
DISASSEMBLY
69
Carrier key bolts can be peened into place.
12. The rear sight windage drum (3-26) can be

removed by drifting out the windage drum pin
(3-24) and removing the drum, detent (3-27),
and dctent spring (3-28). The spring is under tension so he careful when freeing it.
I 3. The rear sight (3-30) can be removed by
unscrewing the rear sight screw (3-29). This will
free the rear sight spring ( 3-31 ).
14. If the rifle has a forward assist, the assembly
can be removed by drifting out the pin (3-32) that
holds the assembly. Generally it should be drifted
out from the top of the receiver tO\rnrd the lower
part of the receiver.
J 5. The forward assist ;1sstmbly can be disassembled by drifting out the pawl pi\'ot pin (3-34).
16. Remove the pistol grip (2-21) and its screw
loc k ring (2-20) by unscrewing its screw (2-19).
This will also release the selector clctent (2-23) and
its spring (2-22).
I 7. Once the pistol grip is off, the selector (2 -7)
can be removed from the bolt release side of the
receiver. (The hammer should be cocked to do
this. )
18. The hammer (2-3) and its spring (2-4) can
be remoYed b y drifting out their pin (2-2). The
spring can he removed by gently pulling one side
off the hub. Remember how the spring is positioned on the hammer if you have t o remove it.
19. The trigger (2-9), trigger spring (2-10), disconnector (2-8), and the disconnector spring (2-11)
can be removed by drifting out the pin (2-2) holding them. The spring can he removed by gently
pulling one side off the huh. Remember how the
spring is positioned on the trigger.
20. If the rifle has one, the auto sear (2-6) can
be removed by drifting out its pin (2-5).
21. Use a drift punch to remove the bolt release
pin (2 12). This will free the bolt release (2-13),
its plungtr (2-14), and its spring (2-15).
22. Push the magazine release button (2-18)
down as far as possible with a small tool and
unscrew the magazine catch (2-16). This will free
the two parts along with their spring (2-17).
23. The front push pin (2-1J\) can be removed
on most rifles by pulling the pin all the way to its
release position, then inserting a small tool or wire
from the barrel side of the pin through the hole in
it. This will depress the detent (2-34) and its spring
(2-33), allowing you to pull the pin out. Be careful
not to lose the spring and detent as they are under
tension.
If the push pin does not have a hole in it
through which the wire can be inserted, it will be
necessary to use an L-shaped tool which is inserted
down the pin groove and used to depress the
detent so the pin can be pulled free. This tool can
be made by grinding a small Lwrench down to a
flat bar o n its short end.
24. The stock (2-32A) can be removed by unscrewing the screw (2-26) at its rear. This will also
000393
0349
531
RIF
0350
70

000394
THE AR-15/i\JJ6: A PRACTICAL GUIDE
release the rear pin detent and its spring which in

tum will free the rear push pin (2-35).
25. The buffer tube (23 7) can be unscrewed on
most models of the AR-15. On some rifles (especially military weapons) a pin (2-36) may have to
be drifted out to allow the tube to be unscrewed.
If the tube has Loctite or similar material on it, it
may be necessary to dissolve it with acetone.
26. On old style rifles (without the trap door
on the stock), the rear swivel (2-31, 2-32) can be
removed and disassembled by drifting out its pins
(2-28, 2-30).
2 7. On rifles with a trap-door stock, the lower
screw can be removed to separate the door assembly from the stock and to free the rear swivel.
28. On the telescoping stock, the rear of the
stock can be removed from the buffer tube by
levering up the spring-loaded bolt that holds its
release handle down. This will allow the stock to
be slid off the buffer.
29. To remove the trigger guard (2-41), use a
small tool to depress the front pin (which is
spring loaded) so that it releases the front of the
guard. Next, drift out the rear roll pin (2-40).
For assembly tips, sec the section on building
an AR-15 rifle.
DISASSEMBLY OF MAGAZINES
The magazines should be disassembled occasionally for cleaning and lubrication. On metal
magazines, the metal base on the bottom of the

magazine slides out. Some magazines require a
small tool to release the plate, which may be held
in place by pressure from the spring.
l'\ewer plastic magazines generally have a catch
somewhere on their side. Locate it and gently
push it in with a screwdriver or similar tool. When
removing the bottom plate from a plastic magazine, be careful not to over flex it as it might become deformed or even crack.
The spring is under pressure and will pop part
way out after the floor plate is removed. Jiggle the
spring the rest of the way out. The follower will
come out with the spring. Do not remove the follower from the spring. If the spring comes loose
from the follower, quickly note the way the spring
is aligned in the magazine and put the follower
back on the spring before doing anything else. If
the spring is placed on the follower backward, the
magazine will not feed properly!
Carefully wipe all dirt from the magazine and
very lightly lubricate it. Too much oil will attract
dirt.
When reassembling the magazine, jiggle the
spring back into place after placing the follower so
that its front faces the front of the magazine.
Slide the base plate back into place. Be sure the
printing is facing so that you can see it on the outside of the bottom of the magazine. Check to make
sure the base plate is secure and won't come loose.
000394
0350
532
RIF
0351
FATD Workload
Fiscal Year
Evaluations
Cases (Exhibits)
FY 14
264
492 (1462)
FY 13
258
512 (1228)
FY 12
232
494 (1150)
FY 11
241
565 (1579)
FY 10
257
579 (1348)
FY 09
225
604 (1750)
FY 08
204
566 (1451)
0351
533
RIF
0352
FTB Workload
Evaluations
Cases
Exhibits
800
700
600
500
400
300
200
100
0
FY 08
FY 09
FY 10
FY 11
FY 12
FY 13
FY 14
0352
534
RIF
0353
Field Support Statistics

FY 2009
FY 2010
FY 2011
ATF Case Assignments

(Evidence Evaluations)
604
575
566
Number of evidence exhibits evaluated
1733
1512
1576
Evidence Evaluation Expedites
115
112
130
Trial Testimony
42
47
38
Search Warrant Assistance
10
21
17
Travel to assist Agents with firearms

identification
15
31
20
Training Provided by FTB
23
25
61
PGA Support (Range shoots)
15
Seminars/Conferences Attended
20
26
Lee Imrey
2007
0353
535
RIF
0354
Industry / Public Statistics

FY 2009
FY 2010
FY 2011
Total Correspondence
1247
1158
1191
Variance Requests
627
574
625
Freedom of Information Act (FOIA)

requests
16
14
Congressional Responses
Email Responses from Public/Industry
128
346
576
Tours
58
80
67
Industry Visitors
12
Estimated Phone calls per day
50
50
50
Lee Imrey
2007
0354
536
RIF
0354

FY 2009
FY 2010
FY 2011
1247
1158
1191
Variance Requests
627
574
625

requests
16
14
128
346
576
Tours
58
80
67
Industry Visitors
12
50
50
50
Lee Imrey
2007
0354
537
RIF
0355
0355
538
RIF
0356
0356
539
RIF
0357
0357
540
RIF
0358
0358
541
RIF
0359
.)
0359
542
RIF
0360
0360
543
RIF
0361
0361
544
RIF
0362
COMPLETE YOUR OWN BO-PERCENT AR-15 LOWER RECEIVER

hen
we itecided to embark on this
ro ect dec1dm ust how to a
roach
removm metal from the 80 - ercent

for
despite having access to a Haas and a
be loaded only in the Z (vertical) axis ,
couple of Bridgeports, it was only right
and even though you 're only ever going
and proper that we use the most basic
to be plunging end mi lls into t he work,
was a tou h decision Everyone
equipment possible. And that means
you're still going to induce side loads.
wa nts to see impeccably machi ned bil-
a cheap dri ll press, handtools and, of
This means it's going to protest by
let and flawless surfaces, but clamping
course, the inevitable almighty Dremel.
the piece in a CNC machine and press-
Bear in mind that you 're abusing
in
vibrating like crazy and trying to spit

the work piece into your soft parts , so
ing " play" would detract from the ethos
the drill press more than just a little
wear safety glasses and take appropri -
of the build. In the end , we decided that
during th is adventure. It's designed to
ate precautions.
0362
545
RIF
0363
SOME TIPS
BEFORE YOU BEGIN
Ensu re that the work is clamped
securely to the table
Run the slowest speed possible

and use a light hand
It Clear chips away often and use

plenty of cutting fluid
Take your time to set everythi ng
up right. It's all too easy to get
drawn into making chips, but the
key to a good result is in setu p.
W HAT YOU NEED

Other than a drill press (the bigger
and heavier the better), you'll need
the following:
C-c lamps (again , bigger is better, though we ran out of room

on our tiny drill press table to
use more than one)
'Vi- inch two-flu te, center-c utting
end mill
Jt '/a- inch two-flute, center-cutting

end mi ll
7'1- inch drill bit
%-inch drill bit
5/,, -inch drill bit
B Cutting fluid (WD-40 works well
on aluminum)
Not Pictured:
B 80-percent jig
Dremel with sa nding drum and
1/s-inch rotary ra sp
Hand files
Hammer, trigger, and safety
selector to test fi t
Insert a 'Vi.-inch drill bit into the chuck and tighten well. Clamp the jig and receiver to the drill press table and , with the drill not running, touch the tip of the drill
to the top of the receiver. You 'll now set the depth of cut , so that the tip ends up 1Ya
inches from the top of the receiver. If your dril l press has a scale, use it. If not, use
a steel rule to set the distance from the stop nut to the surface it contacts on the
dri ll press casting.
Look at a com pleted AR-15 receiver and you'll see the fire control pocket has
two areas. We're goi ng to first remove materia l from the deeper of the two. Line up
the jig so that the side of the dri ll bit almost contacts the fixtu re. If you want to get
su per precise , you can hold it away from the wall .003 of an inch, simply by using a
piece of printer paper as a feel er gauge.
0363
546
RIF
0364
It's now time to make the first cu t. Take a deep breath and fire up the drill. Squ irt a little cutting flu id
and start drillin g, raisi ng it ofte n to clear away chips. Drill all arou nd the first area of the fire control
pocket, removing as much alum inu m as you ca n.
Now swap out the drill bit for the %-inch end mill. Set the depth of cut Vs- inch deeper, to l1!4 inches,
in the sa me way as for the drill then go back arou nd to fini sh hogging out the fire control pocket .
..,.-- ~~~ ~ ...
I
'
'
--
---
-----
Now that you have the hang of re movi ng material , reconfigure your jig as necessary and follow the same
procedures used to set up to remove material from the shallower area of the fire control pocket. Once
completed, the rece iver should look like th is.
0364
547
RIF
0365
We're now going to mil l out a slot for the trigger. Set up the jig so that the trigger slot is correctly positioned and chuck up the 5/i,-inc h end mil l. Usi ng the jig as a gu ide, ru n it com pletely through the receiver,
breaking out into the trigger guard area. Repositi on as necessary and repeat until you 've removed as much
materia l as possible.
Fli p the jig over onto its sid e and

prepare to drill the ham mer and trigger
pin holes with the %2 -inch drill bit.
With the drill off, position the jig so that
whe n you bring the dri ll bit down, it
doesn't make contact with the ho les in
the jig, in stead pass ing clean ly through
them. Now hit the switch and start drill ing, stopping when you break through
into the fire control pocket. Fli p the jig
over and repeat the process from the
opposite side.
Set up the Jig as above and repeat
the process with the %-inch dril l bit to
drill the %- inch hole for the selector.
0365
548
RIF
0366
You can now break down the jig and

remove the rece iver in preparation for
hand finishing. Using your Dremel with
a sanding drum, flatten out the peaks
and valleys ca used by the end mill s.
Carefu lly use the rotary rasp to flatten
out the very bottom of the pocket, then
swi tch to hand files for a final fini sh.
Use the
hammer, trigger,
an d selector
from your lower
parts kit to test
fi t as you go,
rem oving only as
much materia l as
necessary.
Once the three components wi ll drop in , inse rt the pins

and check for fun ction. With th e selector on Safe, press on
the back of the ham mer and pu ll the trigger. The hammer
shou ldn't drop -
if it does, you have a problem ca used
by t he re lative placeme nt of the f ire control holes . If it

passes muster, congratu lations ' You now have a choice to
make as to what type of fin ish to apply to your
fully functional Death Star AR-15
recei ver.
Brownells I www.brownells.com
Grainger I www.grainger.com
McMaster-Carr I www.mcmaster.com
Billet Rifle System s I www.billet80.corr
American Spirit Arms I www.americanspirita rms.corr
0366
549
RIF
0367
u
FIND AN
80-PERCENT
LOWER YOU
FANCY SO
YOU CAN
BUILD YOUR
VERY OWN AR
BY RECOIL STAFF
lfi h :~ ramoi.;s essa Sa ,
ffance rom
llMll:!lN4"1411HlfilfilM!JD
Ral h Waldo Emerson ar ues strenue sl for individualism for avoidin
c:_onform1t , and for all to "trust th self."
The strength of the individual is a
core tenet of our great country, and no

less than the Bil l of Right s explicitly
guarantees personal freedoms for all
Americans -
including, of course, the
right to bear arms.

What better way to pract ice selfretiance than by bu ild ing your very
own f irearm with your own two hands?
Articles elsewhere in this issue cover
the legalities and step-by-step detai ls
of manufacturing your own firearm . This
buyer's guide outlines a selection of
so-called 80-percent towers from which
you can build your rendition of the most
American of firearms, an AR-15 pattern
rifle. Please note that there are many
80-percent towers available on the
market; we are Just showing a represent ative sample in this guide.
0367
550
RIF
0368
80% Arms offers billet lowers in your choice

of bead-blasted rawor black anodized, and in
6061 or 7075 aluminum. Shown is the black
anodized receiver. Thelowers have engraved
selector markings ("SAFE" and "SEMI") on
both sides, integral winter trigger guards, and
flared magwells.
MDDIL:
80% Lower Receiver Billet AR-15 Lower

MATIRIAL:
6061 or 7075
PIHllH:
Raw (bead -blasted) or black anodized
80% Arms' Easy Jig is designed specifically for

its own billet lowers, allowing you to complete
your build more quickly and using only com monly available hand tools. Milling is done witt
a router; you need not have a mill or drill press.
The jig features hefty side plates with various
adapters and tem plates to complete each
operation. It completely encloses the integral
trigger guard on the billet lower. Note the Easy
Jig is not compatible even with standard forgec
lowers - 80% Arms does offer a universal jig
for $90 (raw) or $98 (anodized), which we did
not have to test.
MSRP:
MDDl.L:
$!05 (raw 6061 )

$110 (anodized 6061 )
$125 (raw 7075)
$130 (anod ized 7075)
80% ARIS Easy Jig

flHISH:
Anodized
MSRP:
$150
URL:
www.80percentarms.com
u
w
"'
0368
551
RIF
0369
Billet versus forged: 80-percent low-
Arms forged , wh ich coined the phrase
ers are available in both forged and bil-
"95-percent lower" for its offering, Ares
that, generally speaking, forged lowers
let (or more accurately, machined from
billet , and Col fax forged) have addition-
are compatible with all jigs, but bi llet
aluminum bi ll et) variants . Last issue,
ally started the fire-control pocket for you
we covered billet upper/lower sets, and
at the rear of the lower.
are designed to be universal. Note
the same considerations apply here.

Forged lowers will be stronger, ounce
Finish : Those who like to "go big
for ounce, than the ir billet counter-
or go home" and do things by the
pa rts -
book shou ld probably choose a raw
but both will function perfectly
well. Forged lowers more or less all
lower, complete the machining and any
look the same, while billet lowers can
engravings, surface fin ish to prefer-
be machined to incorporate addit ional
ence (i.e. bead-blast), and anodize the
features and aesthetic concerns. Billet
finished product. Whi le more expensive,
lowers also comm and a price premium.
this will ensure the entire lower (in particular, the pin holes) is hard -coat anod-
Material: Forged lowers are made
ized. Alternate ly, many a home bu ilder
from 7075 alum inum, but you may
has started with an anodized SO-per-
often have a choice between 6061 and
cent lower and either left the internal
7075 for billet lowers. How to choose?
machined surfaces and pin holes in the
7075 1s stronger, but more expensive.
raw, or hit them with someth ing simpler
"AFOOLISH
CONSISTENCY
IS THE
HOBGOBLIN
OF LITTLE
MINDS,
ADORED BY
LITTLE
STATESMEN
AND
PHILOSOPHERS
AND DIVINES."
lowers may or may not be, depending

on their part icular design characteristics. Exactly what makes bill et lowers
more unique and distinctive can make
them incompatible with other jigs. For
exa mple, differences in t he co ntour of
the magazine release fence, flares
in
the magwell, or extra thic kness in the

lower's " tail " may interfere with the
shape of certain jigs.
Some other consid erations in choosing a ji g include its rigidity and clamping surface, which help to stabilize the
work piece and reduce chatter from
vibration. This unfortunately can be
difficult to assess, as it will depend
6061 can be easier to work on for your
and more economical like Cerakote. But
not only on the lower you se lect, but
average garage tinkerer and, when
if intended for hard use and high round
also the mill vise or other equ ipment
machined from billet, is more corrosion
counts, our preference would be to
that you're using -
resistant than 7075 (forgings can be a
start with a raw receiver and then type
you to think carefully about this; for
we encourage
di fferent matter, hence issues that you
Ill hard-coat anodize it afterwards.
instance, the integral trigger guards
may have read about during the early
on bi llet lowers may protrude from the
days of the AR-15 platform). Some may
Jigs: If possib le, purchasing a jig
prefer to pay a little extra to get the
from the same manufac turer as your
jigs utilize the front and rear take-down

holes for locator pins. Some jigs have
bottom of some jigs. Almost all of the
strongest material, but don't feel bad
lower ensures that they will be perfectly
about going with 6061. Both will get
compatibl e. However, many jigs will
replaceabl e bushings for t heir drill
the job done just fine .
work with a va riety of lowers, as noted
to enhance the ir ability to be used
in the compatibility grid, and some
multiple times.
hole ~
Features: Billet lowers may have vari ous addit ional features, such as integral
trigger guard s, flared magazine wel ls,
and pins with screws to replace those
annoying ro ll pins. You can also shop
around to find one that suits the look
yo u want.
80-percent versus 95-percent: All of

these partially formed pieces of aluminum have been determined by the ATF
not to be firearms. Most lowers require
you to hog out the entire fire-control
pocket and drill holes for the trigger bow,
safety selector, hammer pin, and trigger
pin. Some (including the American Spirit
ARE THEY COMPATIBLE?

80%ARMS
JIG
ARlS
ARMOR JIG
CNC
Bill[] Rlrtl
COlfAX
JUGGRNAU1
lACllCAl JR NA8l
IJHING lACTICAl
SYSHMSJIG GUNSM
JIG lACTICAl JIG K ARMS JIG MACHINING JIG
JIG
JIG
----
80%Arms lower
x
x
x
v'
v'
v'
v'
v'
American Spirit Arms lower
x
v'
v'
v'
v'
v'
v'
v'
AresArmor forgedlower
x
v'
v'
v'
v'
v'
v'
v'
AresArmor Billet lower
x
x
v'
v'
v'
v'
x
v'
Ares Armor Siqnaturelower
x
v'
x
v'
x
x
v'
x
Billet Rifle Systemslower
v'
v'
v'
v'
x
v'
v'
x
Coifax Tactical lower
x
v'
v'
v'
v'
v'
v'
v'
Juqgernaut lactical lower
x
v
v
x
x
x
x
x
K Armsforged lower
v'
v'
x
v'
v'
v'
v'
v'
v'
v'
KE Arms Billet lower
v'
v'
v'
v'
x
x
v'
v'
Tactical Machining Lower
v'
v'
v'
v'
x
v'
v
v'
v
TR Enablinqlower
v'
v'
v'
x
x
DISCLAIMER: fitment information based on our sample products. Manufacturers mayupdate products from timeto time. so please verify before purchasing.
NOTE: All lowers thal are availablewith anodizingare type Ill hard anodized. Additionally, all magazine wells are broach cut unlessotherwise noted.
x
v'
x
x
x
v
x
v'
v'
v'
v'
0369
552
RIF
0370
Bil let Rifle Systems makes

BO-percent lowers in 6061
and 7075, availab le raw or
black anodized. The lower has
an angula r look and features
an integral trigger guard,
flared magwell, threaded rear
takedown pin detent hole, and
a pin and set screw for the bolt
catch. The magwell is mach ined.
The lowers also have engraved
pictograms for the se lector
markings on both sides.
Independence
The Jig Set from Billet Rifle

Systems is very affordable and
comes with two side plates and
a single top plate that screws in
and flips around to accomplish
each operation. The jig fully
encloses the integral trigger
guard. The side plates are not a~
thick as so me of the other jigs,
but they get the job done (see
it used in the DIY on page 40).
Tool ing is optional and includes
a Ys-inch end mill, Yi.- inch end
mill, Yi1 -inch drill bit, and 'loinch dri ll bit.
MATERIAL:
MDHL:
MDDIL:
6061 or 7075
BO-Percent Jig Set
PllllSll:
PllllSll:
Raw (steel ball burnished) or black

anodized
MHP:
MSRP:
$129 (raw 6061)

$159 (ra w 7075)
$174 (anodized 7075)
Raw
$72 (jig)
$64 (too ling)
URL:
www.billetBO.com
MDDL:
(
The other jigs in this guide use the takedown pin holes to align thejig and work piece, and are designed to be used with typical 80-percent lowers sold
today which require the fire-control pocket to be milled out. The CNC Gunsmithing jig doesn't utilizethe takedown pin holes, requiring more careduring
setup, but also allowing more flexibility, as it is designedto handle other operations on 80-percent receivers of differing styles, includingthose that
originally had the fire-control pocket already milled out. You can infer fromthisjust how long CNCGunsmithing's track record has been in the 80-percent
business; they focus primarily on jigs and do not sell AR-15 lowers (though they do offer an interesting 80% AR45 lower that accepts greasegun
magazines). The jig alsodoes not fully enclose the lower, which you should keep in mind as you consider how you will secure it. The CNC jig has twoside
plates and several adapters, sold separately; it was compatible with all of the lowers in this guide. In sum, though, it is the most expensive jig set.
AR-15 drilling jig, milling

adapter kit, trigger slot
adapter kit
FINISH:
Anodized
MSRP:
$100 (jig)
$125 (milling ada pter)
$50 (trigger slot)
URL:
www.cncguns.com
0370
553
RIF
0371
American Spirit Arms offers a traditional forged

receiver with a nice tumbled finish. They were
one of thefirst to push to machine as much as
they could while still receiving a favorable determination from theATF. ASA calls it a 95- percent
lower - compared to many other 80-percent
lowers, the fire-control pocket has been started
with the upper receiver rear lug pocket already
machined. The magazine well is EDM wire cut
and moderately beveled.
As one of the more high-profile purveyors of 80-percent receivers,

Ares Armor offers a full li ne of products, including forged, billet,
and premium Signature billet lowers. They can be ordered raw
(usually tumbled, though theforged lower shown is bead-blasted)
or black anodized for a $10 surcharge. The forged lower's magwell
has additional beveling. The billet receiver has subtle styli ng with a
mag fence similar tothe forged; it also features an integral trigger
guard and, like the ASA, the rear of the fire-control pocket has
already been machined. The Signature billet lower (shown anodized
black) has more squared-off lines and an integral trigger guard notethat it is only compatible with a few jigs in this guide.
MDDIL:
ASA M4 AR-15 95-Percent Lower Receiver

MATERIAL:
7075 (forged)
FINISH:
Raw (tumbled)
MSRP:
$150 ($120 on sa le)

URL:
www.americanspiritarms.com
MDHL:
MDDIL:
MDDIL:
80-Percent AR-15
Lower Receiver
Ares Armor
Signature Billet
MATERIAL:
80-Percent Billet
AR-15 Lower
Receiver
7075 (forged)
MATIRIAL:
7075
FINISH:
7075
FINISH:
Raw (tumbled) or
black anodized
FINISH:
Raw (tumbled) or
black anodized
MSRP:
$80 (raw)
$90 (anodized)
Raw (tumbled) or
black anodized
MSRP:
$160 ($90 on
sale, raw)
SIOO (anodized)
MATERIAL:
MSRP:
$160 ($125 on
sa le, raw)
$135 (anod ized)
TheAres Armor jig has thick anod ized aluminum side plates with drill bushings for the
trigger pin, hammer pin, and safety selector
hole. Thetop plates are madeof steel and
provide templates to hog out the fire-con trol
group. The jig completely encloses the integral
trigger guard on the billet lowers and was
compatible with all but two of the billet lowers
in this guide.
MDDIL:
80 -Percent AR-1 5Jig

FINISH:
Anodized
MSRP:
$135
URL:
www.aresa rmor.com
0371
554
RIF
0372
Colfax has a very nice forged receiver in

your choice of raw tumbled (shown here),
raw bead-blasted or black anodized.
The magwell has extra beveling. Similar
to the ASA, the rea r of the fire-control
pocket has already been started .
MDDIL:
AR-1 5 80-Percent Lower

MATERIAL:
7075 (forged)
FINISH:
Colfax's jig includes side plates and a

single top plate. Note th is jig does not
include a template to drill the trigger
hole - because Colfax is concerned
about potential drift when drilling from
the top, given the distance between
the template and the bottom of the
receiver. Thus, they advise customers
to use coordinates instead. The jig does
completely enclose integral trigger
guards on the other billet lowers.
Raw (tumbled or bead blasted) or black

anod ized
M UHL:
MSRP:
PINISN:
$79 (raw)
$90 (anod ized)
MSRP:
AR Jig
Raw
$99
URL:
www.colfaxtactical.com
MaaL:
au&GERHAUT TADTIDAL I
Juggernaut Tactical's bi llet lower has a unique look with an integral winter trigger guard, fla red magwell, and
grooves on the front of the magwell. The distinctive fence around the mag release and bolt catch also makes it
incompatible with most of the jigs in this guide. Selector markings ("SAFE " and "SEMI ") are engraved on the left
side, and anodized models wear Juggernaut's logo. Available in 6061 or 7075, and either raw or anodized in several
colors. Note that Juggernaut does not charge extra for 7075.
AR-15 80-Percent Lower

Receiver
MATERIAL:
6061 or 7075
PINISH:
Raw (tumbled) or anodized

(black, FO Eor camo)
MSRP:
$155 (raw)
$165 (a nod ized black. FOE,
or pink)
$175 (anodized camo)
Also unique is Juggerna ut

Tactical 's Universa l Jig, which
sports an indexing system
that utilizes the threading
for the receiver extension to
accept an adapter, ensuring
proper centering of the
receiver in the jig. There are
three top adapter plates
for the various operations.
Laser-etched markings on the
side plates indicate which
drill bits to use. The jig was
compatible with all of the
lowers in this guide; however,
it may not completely enclose
all billet lowers - for
instance, the TR Enabling's
rather large trigger guard
protrudes beneath the jig.
The optional tooling pa ckage
includes four Cobalt drill bits
(0484, 0.375, 0.156, 0.125 inch) and two carbide end
mills (VB , !4-inch).
MaaL:
Universal Jig
PINISH:
Anodized
MSRP:
$140 (jig)
$85 (tooling)
URL:
www.jtactical.com
0372
555
RIF
0373
~ARMS- --~
KE Arms makes forged and billet 80-percenl lowers. The forged
receiver is exactly what you'd expect, and the billet lower looks
pretty similar. As a result, of the billet lowers in this guide, KE
Arms' offering was compatible with most other jigs. working with all
but Tactical Machining's jig and 80% Arms' Easy Jig (which is not
intended to be universal).
..
--
.
. . --.'
--- ~.
~
-
~-
~,....
..
'
19
.
-----~
~
:-
---.-.
0
<J
Maaa:
Forged 80-Percent KE-15

Lower
MATERIAL:
7075 (forged)
JIHISH:
Raw (tumbled) or black

anodized
MSRPI
$100 ($80 on sale, raw)

$120 ($100 on sale, anodized)
MDDIL:
Billet 80-Percent KE-15 Lower

MATERIAL:
7075
PIHISH:

anodized
MSRP:
$130 ($96 on sale, raw)

The jig from KEArms has steel

bushings to drill the pins and selector
hole. It also has convenient etchings
to remind you ot which tooling to
use. There aretwo top plates with
templates to mill out the fire-control
pocket and trigger hole. The jig does
guards on the other billet lowers and is
compatible with all but three of them.
MDDIL:
KE-15 80-Percent Finishing Jig

MATERIAL:
7075
PIHISH:
Anodized
MSRP
$150 ($130 on sale)
I URL:
\ www.kearms.com
0373
556
RIF
0374
r-.
ll-aT1aaL .v.aa1t1111a
____J
L ~--- ------- ----------- --- _ __
Tactical Machining sticks to the

basics with a traditiona l forged
80-percent lower - there's
nothing wrong with that, and it's
also the cheapest in this guide
to boot. You can select between
raw and black anod ized. The
magwell features add itional
beveling.
Tactical Machining 's jig features

side plates with steel drill
bushings for the hammer pi n,
trigger pin, and safety selector
ho le. It has three top plates for
the additional operations. The
side plates are a little too short
to enclose the integral trigger
guards on bi llet lowers.
MODEL:
MDDIL:
80-Percent AR-15 Lower Receiver
80-Percent AR-15 Jig Gen 2
MATERIAL:
FINISH:
7075 (forged)
Anodized
FINISH:
MSllP:
Raw (deburred and tumbled) or

bl ack anodized
$90
URL:
MSRP:
www.tacticalmachining.com
$78 (raw)
$88 (a nod ized)
[!R _~NABLINli
TREnabling's billet 80-percent receiver has
some chunky styl ing cues with a large integral
trigge r guard, flared magwell, pin and set
screw for the bolt catch, and a threaded rear
takedown pin detent hole. It is only availab le
in raw tumb led form and is the cheapest bil let
lower in th is guide.
TR Enabling's Jig is also the most economical

of the bu nch . It has two side plates and
a single top plate with tem plates for the
mi lling operations. The top plate secures
with screws and fl ips arou nd to line up for
the appropriate cuts. The jig fu lly encloses
the integral trigge r guard.
MDL:
M DDIL:
AR-15 Milling Jig
MATERIAL:
FINISH:
5051
Raw
FINISH:
MSRP:
Raw (tumbled)
$59
MSRP:
URL:
$95 ($79 on sale)
www.tr-enabl ing.com
0374
557
RIF
0375
YEP. 80-PF.RCENT l O~JERS ARI: 100-PFRCENT KOSHFR

,
BY RECOI L STAFF
are, you need to read on and find out
a partially formed lower receiver that
~So, empower your arsenal
s the old axiom oes knowled e
more about what you can and can't do
req uires the owner to tool in the mis s-
by building your own firea rm from
with an BO-percent lower. Because , as
ing 20 percent -
an BO-percent lower rece iver. Make
Duke taught us in t he 'BOs, knowing is
This usually means you 'll have to drill
your own gun? " Isn't that il legal?" you
ha lf the battle.
might ask. Well, actually, it's not. According to federal law, it's comp letely
legal to make your own firea rm .
Under t he Gun Control Act of l 96B
hence the name.
or machine out the fire-control pocket ,

as well as drill ho les for the trigger,
WHAT'S AN 80-PERCENT
LOWER?
Thin k of it as an incomplete
(GCA), an individual can make a fire-
sculpture that sti ll needs some stone
arm for personal use. Surprised? If you
to be chipped away. Essential ly, it 's
safety selector, hammer pin, and trigger pin. Once you've done that, you
have a working lower that you can use
to assem ble a firearm.
0375
558
RIF
0376
HOW IS THIS LEGAL?
lure service or re pair. It'll be a lot easier
place between private (unlicensed) per-
for a gunsmith or coating company to
sons who reside in the same state, the
so. The Bureau of Alcohol, Tobacco,
keep track of your receiver, and some
GCA does not require any recordkeep-
Firearms and Explosives (ATF) has
may be uncomfort ab le working on an
ing, " the ATF says. "It is not necessary
determ ined that 80 -percent lowers are
unmarked lower.
under federa l law for a federal f irearms
CAN I SELL MY BO-PERCENT

LOWER?
transfer when the buyer and seller are
Because the federal governme nt says
licensee (FFL) to assist in the sale or
not firearms. In the eyes of the law, it's

just a blank piece of material, for all
intents and pu rposes.
Su re. If it's stil l in 80-percent form,
SO AN 80-PERCENT LOWER IS
NOT A FIREARM, BUT CAN I
BUILD A FIREARM FROM IT?
Yep -
at least from the federa l
government's po int of view. (Check your
then it's not a firearm and you're free to
states that an un licensed indiv idual
ments, so make sure you research them.
sell it just like you would smartphones

or si lver bullion -
or like t hat vintage
Walkma n you had hoped would become

a collector's item ... but didn't.
state laws for restrictions.) The GCA

can make a firearm as defined in the
'same-state' residents." Your state may

have additiona l restrictions or require-
CAN I SELL MY FINISHED

80-PERCENT LOWER?
CAN I USE MY 80-PERCENT

LOWER TO BUILD A FULL-AUTO,
SHORT-BARRELED RIFLE WITHOUT ANY BIG BROTHER INTERFERENCE?
Negative. Al l other f irea rm laws
-
i.e. the Nationa l Firearms Act and
GCA for personal use, but not for sale
This question has been a source of
or distribution. That means it's kosher
much ha rangu ing on the lnterwebs. The
regulations in your state , cou nty, and

mun icipa li ty -
stil l app ly.
to comp lete an 80 -percent lower and
ATF says that "a firearm may be made
assembl e a work ing firearm from it, so
by a non -licensee prov ided it is not for
long as:
sa le and the maker is not prohibited
you an unpaid vacat ion to Club Fed . If
It's for personal use: No gifting,
from possessing firearms." The key
you want to make an SBR from your
phrase be ing "provided it is not for
80-percent receiver, you 'll need to get
transferring, or willing it to relatives.
Making a full-auto firearm can score
You build it yourself: You can't bribe
sale." The questi on here is not whether
the ATF 's approval and pay the $200
Tim " The Tool Man" Taylor to do the
you can sel l it, but whether you had the
tax stamp for building an NFA gun.
dirty work for you.
intent to sel l it before finishing it.
Always check the laws in your area first.
You're not prohibited from owning a
If a court can be persuaded that
firearm: Sorry, fe lons , but there's no
you did indeed have t hat intent, then
loophole here for you to exploit. If
you can kiss your liberty goodbye for a
you 're already proh ibited from owning
wh ile. While this may be a tough one to
a regular firearm , the same penal-
prove , we are not about to add to the
ties apply to possessing one that you
body of case law on this subject , so
made yourself.
none of our personally made firearms

will ever end up on GunBroker.com or
DO I NEED TO PUT A SERIAL

NUMBER ON IT?
Nope. Serial numbers are on ly
requi red on guns sol d and distributed
the Revo lvr app. However, if you do

decide to sel l a homemade lower at
some point, and if your state allows it,
you will t hen need to engrave on the
by licensed manufacturers. "Individua ls
rece iver you r name (or recognized ab-
manufacturing sporting-type f irearms
breviation) , a serial number, the caliber
for the ir own use need not hold fe deral
of the firearm, and the cit y and state
firearms licenses," says the ATF, though
where you made it.
officials there suggest that you "at

least identify the firearm with a serial
number as a safeguard in the event that
the firearm is lost or stolen."
Anoth er reason why you might want a
unique marking on your lower is for fu-
DOES THIS SALE NEED TO GO

THROUGH AN FFL?
No, not under federa l law, so long as
you're sel ling it to someone who lives in
you r state. "When a transaction takes
SDURCES
Bureau of Alcohol , Tobacco ,
Fi rea rms, and Explosives
www.atf.gov
United States Code
(Title 18 , Chapte1 44)
uscode. house .gov
0376
559
RIF
0377
0377
560
RIF
0378
0378
561
RIF
0379
Lug Hole
Fire Control Cavity
0379
562
RIF
0001
~\J A.L
'Sot- 17'1- M~C...
The law Ojfices of
DAVIS & ASSOCIATES

27201 Puena Real, Suite 300, Mission Viejo, CA 92691
Direct (949) 310-0817/Fax (949) 288-6894 Jason@CalGunLawycrs.com
www.CulGunLawym.com
. ~@~IlW~'-
MJUL 2 4 2013 ~
July 20, 20 t 3
Earl Griffith
244 Needy Road
VIA FED-EX
Re:
F.T.B.
BY: .......................
In re: EP ARMS, LLC
Dear Mr. Griffith:

92l(a)(3} or a merely a casting.
following features are included on the AR- t 5 casting:
Magazine well;
Magazine catch;
Pistol-grip area;
Bolt catch;
0001
563
RIF
0002
The I.aw Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS. LLC
July 20, 2013
Page 2
barreled shotguns, and other narrow classes of fireanns. "Firearm" is defined in 921(a)(3) as:
device. Such tenn does not include an antique firearm.
As noted, the tenn "fireann" means a "weapon ... which will or is designed to or may readily be
converted to expel a projectile," and also "the.frame or receiver of any such weapon." (18
U.S.C . 921(a)(3).) Both the "designed" definition and the "may readily be converted"
be converted to expel u projectile.
ATF's regulatory definition, 27 C.F.R. 478.11, provides: "Firearm frame or receiver. That part
of a fireann which provides housing for the hammer, bolt or breechblock, and firing mechanism,
(Glossary ofthe Association ofFirearms and Too/mark Examiners (2"d Ed. 1985, 21 ).)
Referring to ATF's definition in 478.11, an unfinished piece of metal is not a "part" that
The definition docs not include raw materials that "would provide housing" for such components
" ... if further machined." Nor may it be said that such piece of metaJ "is . . . threaded al its
0002
564
RIF
0003
71ie law Offices of
DAVIS & ASSOC IATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page 3
assembled with other parts to put together a firearm." (Receiver. The basic unit of a firearm
Glossary ofJhe Associalion ofFirearm and Too/mark Examiners (2"d ed. 1985), 111.) Raw
Assembly and "fabrication." (Compare 18 U.S.C. 921(a)(29) (defining "handgun" in part as
assemh/ell') with 921 (a)(24) (referring to "any combination of parts, designed or redesigned,
and intended for use in assembling or fabricating a firearm silencer or firearm mufller"
Dictionary - Complete & Unabridged 10th Edition. HarperCollins Publishers.
"fabricate" is broader, as it also synonymous with manufacture: '1o make, build, or construct."
Moreover, "Congress did not distinguish between receiwrs integrated into an operable weapon
and receivers silfing in a box, mvailing installation." (F.J. Vollmer Co., Inc. v. Higgins, 23 F.3d
448, 450 (D.C. Cir. 1994)(Emphasis added.) The absence ofa single hole and the presence of a
piece of extra metal may mean that an item is not a frame or receiver." (Id. at 452 ("In the case
In an analogous situation, ATF has defined a receiver in terms of whether it was "capable of
definition is incorporated by reterence in 18 U.S.C. 921 (a)(3).) The Chief of the ATF Fireanns
accept a full automatic scar, but the automatic sear hole was not drilled. He opined: "in such a
lire. Therefore, such a receiver is not a machinegun. . . . As soon as the receiver is capable of
the NFA." (Nick Voinovich, Chief, ATF Firearms Technology Branch, Feb. 13, 1978,
0003
565
RIF
0004
11rc law Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page4
That being said, the ATF has taken differing opinions as lo what extent raw material must be
1. Drilling the holes for the takedown/assembly pins;
projectile by the action of an explosive," and is, therefore, a firearm ... .
itself, be converted to a weapon that expels a projectile. Thal would require the presence of all
assembly.
By contrast, and more recently, ATF determined the following "unfinished AR 15 lower" not to
Magazine well;
Magazine catch;
Pistol grip;
Bolt catch;
Trigger guard;
0004
566
RIF
0005
n,,. LAw Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page 5
921(u)(3).
(John R. Spencer, Chief, Fireanns Technology Branch, November 19, 2012, 903050:MRC
3311/2012-1034.) (See also: 903050:AG 331112011-703; 903050:KB 3311/300863;
903050:KB33 I 1/300862)
lt is important to note that each side of the submitted casting includes three extrusions. As you
casting does not constitute a "receiver" or a "firearm.'' But, again, we request your clarification
on this point.
Sincerely,
DAVIS & ASSOCIATES
JASON DAVIS
0005
567
RIF
0006
----- -
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Martir11bttrg. ll'V 25405
www.atfgov
903050:MRC
331 11301179
February 7, 2014
Mr. Jason Davis

Davis & Associates
27201 Puerta Real
Suite 300
Dear Mr. Davis,

client, EP Arms, for classification under the Gun Control Act of 1968 (GCA).
As you are aware, the GCA, 18 U.S.C. 921(a)(3), defines the term "firearm" as
receiver ofany such weapon; (C) any firearm muffler or firearm silencer; or (D) any
implementing regulations, 27 CFR 478.11 define "firearm frame or receiver" as "that
characteristics:
1.
2.
3.
4.
5.
6.
Magazine well.
Magazine catch.
Bolt catch.
Pistol grip.
0007
569
RIF
0008
Mr. Jason Davis
Page2
classified as a " firearm" as defined in 18 U.S.C. 92l(a)(3).
You argue that to be classified as a "firearm frame or receiver," the GCA and
and implementing regulations as applied to AR-type firearms, ATF has long held that any
firearms.
the item is a fireann under the GCA. This is because classifying a semiautomatic receiver
111F.3d162, 163 (D.C. Cir. 1997).
0008
570
RIF
0009
Mr. Jason Davis
Page 3
Sincerely yours,
!'l~w:~
C~ogy Branch
Chief, Firearms
0009
571
RIF
0010
The Law Offices of
DA VIS & ASSOCIATES

2720 I Puerta Real, Suite 300, Mission Viejo, CA 92691
Direct (949) 310-0817/Fax (949) 288-6894 Jason'"!CalGunLawyers.com
March 4, 2014
Earl Griffith
244 Needy Road
VIA FED-EX
Re:
In re: EP ARMS, LLC
Dear Mr. Griffith:
I write regarding my client, EP ARMS, LLC (EPA). Specifically, we write to request

reconsideration of your conclusion that the product sample submitted is a "firearm" in the
response to your letter dated, February 7, 2014, which was based on a fundamental
misunderstanding of the manufacturing process. {Enclosed.)
Specifically, your letter was a response to our letter dated July 30, 2013 (enclosed), which
requested clarification as to whether a product submitted is a firearm. In your letter you stated
that:
It is our determination that when the fire-control cavity was formed
during the manefacturing process, the submitting casting reached a
point in its manufucturer to be classified as a "firearm" as a defined
in 18 U.S.C. 92l(a){3).
***
Further, the filling of the cavity at a later point does not change our
classification. Although the fire-control cavity was filled with
plastic material that must be removed before fire control
components may be installed, ATF has long held that this is not
sufficient to destroy the receiver and remove the item from
classification as a "frame or receiver." ...
(Emphasis added.)
As stated above, this response is based on a fundamental misunderstanding of the process by
which the submitted sample is manufactured. Specifically, the letter is based on the assumption
0010
572
RIF
0011
The law Offices of
DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
March 4, 2014
Page2
that the receiver is formed, and then it is filled with additional plastic. This is inaccurate. At no
time is a fire-control cavity formed during the manufacturing process, nor is the firecontrol cavity "filled" with plastic material. In fact, at no time does a fire-control cavity
exist in the manufacturing process.
The actual process of manufacturing the sample is the converse of your assumed method, and
takes place in two stages:
Stage 1:
The manufacturing process starts with the production of a core, dubbed a "biscuit." (Enclosed
with this letter are two sample core "biscuits" for your examination and evaluation.) It is made
of a material close to Nylon 66 and is the first part of the manufacturing process. Once the
biscuit is manufactured it has a 2 day curing process before proceeding to Stage 2.
Stage 2:
After the curing has taken place with the biscuit it is placed inside the cavity of a secondary
mold. The secondary mold bonds additional material to the biscuit and creates the overall shape
of the product by means of mold injection. (The previously submitted sample still in your
possession represents the result of Stage 2 production). Thus, at no time does a fire-control
cavity exist.
on this point.
Please let us know if you have any further questions or concerns. When complete, please
return the submitted parts via Fed-Ex using account number: 321690653.
Sincerely,
DAVIS & ASSOCIATES
JASON DAVIS
0011
573
RIF
0012
.-.
@)
.

Warti11sh11rg. ll'f' J5.JU5
www.atf.go"
903050:MRC
3311/301179
February 7, 2014
Mr. Jason Davis
Davis & Associates
27201 Puerta Real
Suite 300
Dear Mr. Davis,

client, EP Anns, for classification under the Gun Control Act of 1968 (GCA).
receiver ofany such weapon; (CJ any firearm muffler or firearm silencer; or (D) any
destructive device. Such term does not include an antique firearm. Further, GCA
implementing regulations, 27 CFR 4 78.11 define "firearm frame or receiver" as "that
part of a fireann which provides housing for the hanuner, bolt or breechblock, and firing
mechanism, and which is usually threaded at its fmward portion to receive the barrel."
characteristics:
1. Magazine well.
2. Magazine catch.
3.
4.
5.
6.
Bolt catch.
Pistol grip.
0012
574
RIF
0013
Mr. Jason Davis
Page 2
classified as a "fireann" as defined in 18 U.S.C. 921(a)(3).
You argue that to be classified as a "fireann frame or receiver," the GCA and
and implementing regulations as applied to AR-type firearms, A TF has long held that any
firearms.
the item is a firearm under the GCA. This is because classifying a semiautomatic receiver
111F.3d162, 163 (D.C. Cir. 1997).
0013
575
RIF
0014
Mr. Jason Davis
Page 3
Sincerely yours,
J'J!Afli'~<
~1:iogy
Chief, Firearms
Branch
0014
576
RIF
0015
The Law Offices of
DAVIS & ASSOCIATES

27201 Puerta Real, Suite 300, Mission Viejo, CA 92691
Direct (949) 310-0817/ Fax (949) 288-6894 Jason@CalGunLawyers.com
July 20, 2013

Earl Griffith
244 Needy Road
VIA FED-EX
'i'rl
11\'1 'fP:il~~~~~
b!l~.:.....JU \.I~
MAR 0 6 1014
ij
F.T.B.
BY: ...................... .
In re: EP ARMS, LLC
Re:
Dear Mr. Griffith:

921 (a)(3) or a merely a casting.
following features are included on the AR-15 casting:
Magazine well;
Magazine catch;
Pistol-grip area;
Bolt catch;
0015
577
RIF
0016
The law Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page2
barreled shotguns, and other narrow classes of firearms. "Firearm" is defined in 921 (a)(3) as:
device. Such term does not include an antique firearm.
As noted, the term "firearm" means a "weapon .. . which will or is designed to or may readily be
converted to expel a projectile," and also "the frame or receiver of any such weapon." ( 18
U.S.C. 921 (a)(3).) Both the "designed" definition and the "may readily be converted"
be converted to expel a projectile.
ATF's regulatory definition, 27 C.F.R. 478.11 , provides: "Firearm frame or receiver. That part
of a firearm which provides housing for the hammer, bolt or breechblock, and firing mechanism,
(Glossary of the Association ofFirearms and Too/mark Examiners (2"d Ed. 1985, 21).)
Referring to ATF 's definition in 478. 1I, an unfinished piece of metal is not a "part" that
The definition does not include raw materials that "would provide housing" for such components
" ... if further machined." Nor may it be said that such piece of metal "is ... threaded at its
0016
578
RIF
0017
The Law Offices of
DAVIS & ASSOCIATES
Re:
In re: EP ARMS. LLC
July 20, 2013
Page 3
assembled with other parts to put together a fireann." (Receiver. The basic unit of a firearm
Glossary ofthe Association of Firearm and Too/mark Examiners (2nd ed. 1985), 111.) Raw
"Assembly and "fabrication." (Compare 18 U.S .C. 921 (a)(29) (defining "handgun" in part as
assembled") with 921 (a)(24) (referring to "any combination of parts, designed or redesigned,
and intended for use in assembling or fabricating a firearm silencer or firearm muffler"
Dictionary- Complete & Unabridged 10th Edition. HarperCollins Publishers.
"fabricate" is broader, as it also synonymous with manufacture: "to make, build, or construct."
Moreover, "Congress did not distinguish between receivers integrated into an operable weapon
and receivers sitting in a box, awaiting installation." (F.J Vollmer Co., Inc. v. Higgins, 23 F.3d
448, 450 (D.C. Cir. 1994)(Emphasis added.) The absence of a single hole and the presence of a
piece of extra metal may mean that an item is not a frame or receiver." (Id. at 452 (" In the case
Jn an analogous situation, ATF has defined a receiver in terms of whether it was "capable of
definition is incorporated by reference in 18 U.S.C. 921 (a)(3).) The Chiefof the A TF Fireanns
accept a full automatic sear, but the automatic sear hole was not drilled. He opined: "in such a
fire. Therefore, such a receiver is not a machinegun. . . . As soon as the receiver is capable of
the NFA." (Nick Voinovich, Chief, ATF Fireanns Technology Branch, Feb. 13, 1978,
0017
579
RIF
0018
The law Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page4
That being said, the A TF has taken differing opinions as to what extent raw material must be
I. Drilling the holes for the takedown/assembly pins;
projectile by the action of an explosive," and is, therefore, a firearm . . ..
itself, be converted to a weapon that expels a projectile. That would require the presence of all
assembly.
By contrast, and more recently, A TF determined the following "unfinished AR 15 lower" not to
Magazine well;
Magazine catch;
Pistol grip;
Bolt catch;
Trigger guard;
0018
580
RIF
0019
The Law Offices of

DAVIS & ASSOCIATES
Re:
In re: EP ARMS, LLC
July 20, 2013
Page 5
92l(a)(3).
(John R. Spencer, Chief, Firearms Technology Branch, November 19, 2012, 903050:MRC
331 112012-1034.) (See also: 903050:AG 3311 /2011-703; 903050:KB 3311/300863;
903050:KB33 t t /300862)
It is important to note that each side of the submitted casting includes three extrusions. As you
on this point.
Sincerely,
DAVIS & ASSOCIATES
JASON DAVIS
0019
581
RIF
0020

wwwatf.gov
903050:MRC
3311 /301179
Mr. Jason Davis

Davis & Associates
27201 Puerta Real
Suite 300
Dear Mr. Davis,
This is in reference to your letter dated March 4, 2014, requesting reconsideration of the
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) determination that the
EP80 prototype submitted by EP Arms, LLC. (EP Anns) is classified as a "firearm
receiver" under the Gun Control Act of 1968 (GCA). The basis for your request is your
belief that ATF's assumptions concerning the manufacturing process for the EP80 were
integral to our determination that the prototype constitutes a firearm for purposes of the
GCA. That is not correct. To the extent ATF made asswnptions about the manufacturing
process, it was because details about that process were not provided with the July 30,
2013, request for classification. In any event, for the reasons articulated below, the details
provided in your March 4, 2014, letter do not change our ultimate conclusion that the
EP80 is a firearm receiver under the GCA.
readily be converted to expel a projectile by the action ofan explosive; (B) the frame or
receiver ofany such weapon; (C) any firearm mujJler or firearm silencer; or (D) any
implementing regulations, 27 CFR 478.11, define "fireann frame or receiver" as "that
0020
582
RIF
0021
Mr. Jason Davis
Page 2
Our examination of this EP80 prototype submitted by EP Arms confirmed that it had the
following features and characteristics:
1.
2.
3.
4.
5.
6.
7.
8.
Magazine well.
Magazine catch.
Bolt catch.
Pistol grip.
Fonning and tapping for receiver-extension/buffer tube.
Rear take-down hole.
Holes drilled for the detent take-down and pivot pin, retainer buffer, detent
fire-control selector and pistol-grip screw.
Further examination by the Firearms Technology Branch (FTB) revealed that excess
material extended past the exterior walls of the casting, indicating the approximate
locations of the holes to be drilled for the selector, hammer, and trigger pins.
In our initial classification this office included analysis of two separate and distinct
issues. First, we advised that the EP Arms submission was a firearm receiver because the
fire control cavity was created during the manufacturing process and was later filled with
polymer- the item referred to in your appeal as the "biscuit." In addition, we noted that
filling the fire control cavity with plastic was not sufficient to destroy the firearm.
You have not appealed this determination as being incorrect, but are appealing the
determination that the EP80 receiver is a firearm because the manufacturing process
differs from what is described in our determination letter. In your request for
reconsideration, you describe that during the manufacturing process, the area comprising
the fire control cavity is formed around a nylon core that you refer to as a "biscuit" and
that at no stage in the manufacturing is the EP80 "back filled."
We previously advised that "the filling of the cavity at a later point does not change our
classification .. .. A TF has long held that this is not sufficient to destroy the receiver and
remove the item from classification as a 'frame or receiver."' We included this analysis
to address any contention that inserting the biscuit would remove the item from
classification as a firearm receiver.
However, based upon your newly supplied description of the EP Arms manufacturing
process, we agree that this aspect of our analysis is not applicable to the EP80, as the
biscuit is not meant to destroy the firearm. In fact, we understand that your contention is
that this process prevents the item from reaching a stage of manufacture in which it may
be classified as a "firearm receiver" claiming that "[a]t no time is a fire-control cavity
fonned during the manufacturing process .... In fact; at no time does a fire-control cavity
exist in the manufacturing process." We disagree.
The EP Arms manufacturing process represents a change from the processes by which
AR-type firearms have historically been produced. ATF has long held that items such as
receiver blanks-"castings" or "machined bodies" in which the fire-control cavity area is
0021
583
RIF
0022
Mr. Jason Davis
Page 3
completely solid and un-machined - have not yet reached a "stage of manufacture" to be
classified as a " fireann receiver." These items are a single piece ofmetal that require a
substantial amount of machining to the vital areas of the firearm. In your request for
reconsideration, you noted several letters in which FTB detennined that certain
submissions were not firearm receivers. However, in each of those examples the firecontrol cavity was the same material as the receiver itself and the material filling the firecontrol cavity is integral to the item; therefore the fire-control "cavity" had not been
created.
To illustrate, photo 1 is a receiver "blank." This is not classified as a "firearm receiver"
because the fire-control cavity has not been machined in any way. It is a single piece of
metal from which a firearm receiver may be produced through further machining.
Location of the Fire Control Cavity
Photo 1
To further illustrate this difference between the EP Arms manufacturing process and
traditional metal "castings" or ''machined bodies," consider the following. Photo 2 is an
AR-type receiver with a fully machined fire-control cavity. The red box outlines the
cavity. This is classified as a firearm receiver pursuant to the GCA.
Photo 2
0022
584
RIF
0023
Mr. Jason Davis
Page4
Photo 3 is an example of the EP Arms submission. The "biscuit" is the white portionthe exact size and dimensions of the functional fire-control cavity. Notice that the biscuit
outlines the fire-control cavity as shown in photo 2.
Photo 4 is a side-view of the EP Arms design. The top sample is made of clear plastic
and shows that the biscuit creates the internal dimensions of the fire-control cavity.
The photos illustrate that the EP Arms manufacturing process creates a fire-control cavity
through the use of a "biscuit."
Accordingly, based upon your description of the EP Arms manufacturing process, the EP
Anns submission is distinguishable from other "castings" or ''blanks" that are not
0023
585
RIF
0024
Mr. Jason Davis
Page 5
classified as fireanns. Unlike "castings" or "blanks" which arc formed as a single piece
so that a fire-control cavity has not been made, EP Arms uses the biscuit specifically to
create that fire-control cavity during the injection molding process. As described in your
letter, it appears that the sole purpose of the "biscuit" is to differentiate the fire-control
area from the rest of the receiver and thus facilitate the process of making the receiver
into a functional firearm. ATF has long held that "indexing" of the fire-control area is
sufficient to require classification as a firearm receiver. Based upon the EP Arms
manufacturing process, it is clear that the "biscuit" serves to index the entire fire-control
cavity. In fact, the biscuit is meant to differentiate the fire-control cavity from the rest of
the firearm so that it may be easily identified and removed to create a functional firearm.
See photo 5.
Fire-Control Cavity
Photo S
Therefore, the submitted sample is properly classified as a "firearm" as defined in 18

U.S.C. 921(a)(3) because the fire-control area is created during the manufacturing
process through the use of the biscuit.
In addition to the formation of the fire-control cavity in the manufacturing process, your
manufacturing process results in "excess material extending past the exterior walls of the
casting, indicating the approximate locations of the holes to be drilled for the selector,
hammer, and trigger pins." Based upon our previous understanding of the EP Arms
manufacturing process, we did not analyze whether this excess material, on its own,
would be sufficient to warrant classifying the EP80 as a firearm receiver. However, to
remove any doubt about the correctness of our classification decision, we are including
that analysis here.
The AR-15 platform is a two-part system generally comprised of a lower and an upper
assembly. The lower assembly is classified as the receiver and a "firearm" because it
provides the housing for the hammer and the firing mechanism, and contains mounting
points for the upper assembly which accepts the barrel and houses the bolt or
0024
586
RIF
0025
Mr. Jason Davis
Page 6
breechblock. As stated above, an AR-15 receiver blank is not classified by ATF as a

firearm. The point in the manufacturing process at which an AR-15 blank is classified as
a firearm is when it has been indexed for or machined in the fire-control recess area.
Such a receiver may also have had other machining performed, such as drilled pivot-pin
and takedown-pin hole(s). However, based upon your explanation of the manufacturing
process, this excess material indexing the location for the holes to be drilled is, by itself,
sufficient to classify the sample as a firearm receiver. See photo 6, below.
Indexing for the selector, hammer, and trigger pins

Photo 6
If you require further information concerning our findings, we can be contacted at any
time.
Sincerely yours,
tJ~
A'Earl ri
Chief, Firearms Tee
ology Branch
0025
587
RIF
0026

Martmsburi;. West V1rg1ma 25405
903050:ELG
3311/2010-469
www a1f gov
MAR 1 6 201D
Mr. Jason Renschler
Quentin Laser, LLC
751 N. Monterey Street
Gilbert, Arizona 85233
Dear Mr. Renschler:
This is in reference to your recently received correspondence and accompanying, partially
machined, AR-15 pattern receiver forging that was submitted to the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF), Firearms Technology Branch (FTB), for classification with
respect to the provisions of the amended Gun Control Act of 1968 (GCA).
As you are aware, the GCA, 18 U.S.C. 921(a)(3), states that the term "firearm" includes-
frame or receiver ofany such weapon...
Based on this definition, a firearm receiver casting or firearm receiver blank can itself be a
"firearm" if completed to the point at which it can be recognized as a firearm frame or receiver.
Previously, FTB has determined that an AR-15 type receiver which has no machining of any
Such a receiver could have all other machining operations performed, including pivot-pin,
takedown-pin hole(s), and clearance for the takedown-pin lug, but must be completely solid and
Our examination revealed that the forging incorporates machining for the selector opening,
which exceeds the allowable machining described above. Due to this operation, FTB finds that
the submitted item is a "firearm" as defined in the GCA. In order to obtain a non-firearm
classification, you must omit this machining operation (also see enclosed photo diagram).
0026
588
RIF
0027
-2-
Mr. Jason Renschler
Sincerely yours,
J.
ohn R. Spencer
, F' eanns Technology Branch
Enclosure
0027
589
RIF
0028
.3.
Mr. Jason Renschler
Obtaining a "Non-Firearm"
0028
590
RIF
0029
0029
591
RIF
0030
0030
592
RIF
0031
0031
593
RIF
0032
f~;A;~::,~i
Quentin Laser LLC

Quentin Defense
751 N. Monterey St.
Suite 115
Gilbert, AZ 85233
480-273-8935
BY: ......................
F.T.B. .
E V/.iL .
cl c I c - '-1-6'? - E. L Gr-

244 Needy Road
Please accept the following sample piece for examination. The enclosed
piece is being sent to you for a determination as to whether or not it
would be considered a firearm as defined by the Gun Control Act of
1968, 18 U.S.C. Section 921(a)(3) in it's current state of completion.
Please respond with your findings in writing to the address listed above.
Thank you,
~7 q
Jason Renschler
Quentin Laser LLC
0032
594
RIF
0033
Department of Justice I Bureau of Alcohol, Tobacco, Fircanns and Elcplosives

FmEARMS TECHNOLOGY BRANCH
244 Needy Road
CORRESPONDENCE CHECK SHEET
This com:spondcncc chcclc shccl is for inlcmaJ use by FTB employees only. The pwposc or this correspondence chcdc: sheet
is
FTB employees to USC as a guide prior to finalizing and disseminating all C:OITCSpondence outside the FfB office.
ror
Date Received:
Date Assigned:
2.
3.
4.
5.
6.
7.
8.
FTB Number:
Did you understand the request?

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November 22, 2013

Mr. Bradley Reece
555 East Suber Road
Greer, SC 29650
Dear Mr. Reece,

firearm.
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Mr. Bradley Reece
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903050: WJS
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May 17, 2013

Mr. Doug Hughes
Operations Manager
Phoenix, AZ 85034
Dear Mr. Hughes,
(GCA).
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Mr. Doug Hughes
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9. Building Your Own Rifle

Why build an AR-15? For one thing, building
your own rifle is a real ego trip. But there are a lot
of other good reasons. You can create one of the
AR-15 variations that is not available on the market; in effect, a custom rifle suited to your needs.
Owners of automatic versions of the AR-15 can
benefit from a little do-it-yourself work. Since the
lower receiver carriers the automatic fire mechanism and is the part that is registered, building a
few upper receiver/barrel assemblies can make it
possible for the holder of the automatic weapon
permit to "own" the equivalent of several auto
matic weapons while paying the tax and doing the
paper work for only one auto weapon.
Suppose you own an automatic AR-15 with a
regular length barrel. By building a few upper
assemblies, you could also have a short-barrel car
bine, a heavy-barrel machine gun, a long-barreled
sniper rifle, and a submachine gun in .22 LR (via
a separate barrcl/.22 adapter or just a .22 adapter).
If you go on to buy a .45 ACP or a 9mm upper
conversion you could also have a submachine gun
in these calibers! Six automatic weapons with the
tax and paperwork of one.
With a lower receiver with push pins, you can do
the one-lower-with-a-number-of-uppers trick with a
semiauto action, too, and realize quite a savings
over what the equivalent arsenal would cost with
any other rifle.
Since you'll only shoot one rifle at a time (I
hope), having one lower to a number of uppers
isn't bad except for the looks of your gun rack. As
mentioned elsewhere, having a family of riflesa weapon system-that have identical "controls"
makes for considerable savings in training time
when using a new weapon, savings if you purchase
spare parts, and for a lot less confusion when you
switch from one rifle to another.
If you build your own rifle, you will also be able

to do a lot of the repair work on it when you have
to (most modern gunsmithing work consists of
replacing parts- something you can do after building your own rifle). Knowing how to repair your
weapon can save a lot of money and could be a
life-saver during a battle.
You may realize a slight savings by building a
standard AR-15 rifle, but this should not be your
sole purpose for building a rifle since the savings
will be small, and- if your time is worth anythingyou'll come out about even with what it would
have cost you to get a used Colt AR-15.
You will save money if you want to create a
special type of AR-15 or modify your rifle with a
lot of accessories or replacement parts, such as
a new pistol grip/handguards, stock, flash suppres
sor, heavy barrel, modified upper receiver, or upper
receiver with forward assist. In such a case, building your own rifle allows you to buy the parts that
you want rather than buying a stock rifle and then
buying the accessories and replacement parts for it.
You will end up with an inexpensive rifle rather
than an inexpensive rifle plus a pile of expensive
parts that will probably never be needed even as
replacement parts.
Building your own rifle can also enable you to
obtain a special version of the AR-15 that is not
available on the market. Examples of what you
could build that is not currently on the market include a rifle with a stock an extra inch or
three-quarters of an inch long; a rifle with a regular
stock with a short 16-inch carbine barrel; a heavybarreled sniper rifle; a rifle with a scope mount
(and no carrying handle or sights); etc.
It should be noted that at the time of this writing, Quality Parts Co. (P.O. Box 6659, Woodfords/
Portland, ME 04101, 207/775-1744) will assemble
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a rifle from parts that you order from them. Rock

Island Armory (420 West Main St., Geneseo, IL
61254, 309/944-5739) makes a number of different, fully assembled AR-15s, including short barreled, automatic versions that may not be available with Colt-only parts; they will assemble a rifle
to your specifications as well.
Is it legal to build a firearm without a permit?
Usually. The U.S. government does not place limits
on the firearms that people make for themselves
provided they are not outside the legal limits of
firearms laws, i.e., the minimum length of the
barrel is 16 inches, the minimum overall length is
26 inches, and the weapon is semiautomatic. You
would be wise to check into state and local laws.
Call the city and state attorneys to find out the
laws. Often police departments are completely
ignorant of the laws.
You might run into some problems if it appears
as if you are building rifles to make money. This is
because the Gun Control Act of 1968 was very
poorly written so that the term "dealer" is never
well defined; nor does the act really come to grips
with what a firearms manufacturer actually is.
You might be considered a dealer by a BATF
agent if you make a few dollars by selling the one
gun you have assembled. Conversely, at the time of
this writing, you probably would not be considered a manufacturer or dealer if you assembled
one or two rifles in a year and traded them or
sold them at a slight profit. (This is only if you
make a rifle complete with lower receiver. You
probably could break the rifle into parts and sell

the lower receiver at cost while still making a profit
on the other parts.)
You can write to the Department of the Treasury, BATF, Washington, DC 20226, to get an
opinion if you have made more than one AR-15
that you wish to sell. BATF people are generally
very willing to help and will probably give you a
written okay to sell your rifles. If they don't, a
Federal Firearms License (FFL) can be obtained
for just $10, and then you can sell as many guns as
you wish or buy guns through the mail.
The final consideration is how hard is it to build
an AR-15? Because the AR-15 was designed to
take advantage of modern manufacturing techniques that make it possible for machines to easily
make parts that stay within the specifications of
the rifle, it is relatively easy to build an AR-15 or
any of its variants from parts. The AR-15 was
designed to allow normal manufacturing tolerances
without degrading the performance of the rifle
when parts are put together without extensive
fitting.
Though many people are a little leery of tackling
such a project, in fact anyone who can chew gum
and work a screwdriver at the same time can probably assemble an AR-15 from a pile of parts. At
the same time, it should be stressed that a rifle that
doesn't function properly is very, very dangerous.
Therefore, if you have any doubts about tackling
this project, try to find someone to help you with
it. Do not proceed with building a rifle if you have
The author is seen here with a doityourself rifle.
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scrme doubt about whether or not you can do it.
The time it will take you to build an AR-15
from parts will vary according to your abilities and
the extra work required if a few parts have to be
hand fitted together (which is pretty rare except
for cleaning up the finish on the receiver-more
about that later). The main thing is to take your
time and do it right. If you don't have the patience
to spend several evenings working at the step-bystep process, forget it. You can't rush through it
or you will end up with a piece of junk. In general,
you will probably need about a week of evenings
to get the job done, though some people can
assemble a rifle in a couple of hours if they have all
the right parts and everything fits the way it
should.
If you want to build a rifle, your first task is to
collect the parts you need. Try to get all the parts
before you start building; nothing is as frustrating
as getting halfway through the building procedure
and then having to wait a week for a part you
ordered.
Of course the best parts to use are brand-new
Colt parts. But the price for Colt parts is usually at
a premium, and often the "genuine Colt" parts
that some dealers sell are not made by Colt. Even
those parts that Colt sells aren't all manufactured
in-house; some of the parts are made by other
manufacturers for Colt. Also, Colt does not make a
lot of the accessories or parts that you may want
to use. You may have to buy non-Colt parts to
build the rifle you want.
So you will find yourself, for one reason or another, with non-Colt parts. The question is, how
good are non-Colt parts? Most of the ones I've
used in building my rifles have worked very well.
Even those that were poorly cast or distorted by
being removed too quickly from a mold usually
work well- even if they look like they would never
do so- provided they fit in the proper position.
If you're buying your parts "in person" from
someone (say at a gun show- not always the most
reliable of places), try to look at the part under a
magnifying glass to see whether it has sharp or
machined-looking edges and surfaces. That is the
way a part should look. If the part has less definition on its edges and maybe even looks slightly
melted or has bubbles on its flat surfaces, then
avoid purchasing it.
Although it would be wise to stick to factory
parts, it is sometimes possible to "roll your own"
p arts. This is especially true with the roll pins,
73
springs, push pins, and the like. More than once

while assembling my own rifles I have had to make
a small roll pin substitute or wind my own spring.
(An excellent spring-winder tool is available from
Brookstone, 127 Vose Farm Rd., Peterborough,
NH 03458, 603/924-9511, for just $13. Brookstone also offers an assortment kit of foot-long
spring wire for $9 to get you started.)
It is possible to leave some parts out when you
build a rifle, although it isn't advisable. The rifle
will operate without the bolt catch, dust cover, forward assist assembly, and the front and rear sights
(if you're planning on using a scope). Doing without these parts might allow you to build a rifle for
a smaller investment. Then you can gradually add
parts as you get the cash and decide what you want
to add.
If you are trying to save money, a better way
than leaving off parts is to watch for bargains that
are offered from time to time by most mail-order
companies. These offers allow you to buy the parts
for the upper receiver, lower receiver, or even all
the parts for the whole rifle at a considerably
smaller cost than you would pay if you purchased
each part separately.
One part that sells at a premium is the Colt
telescoping "shorty" stock. These are good, but
the Colt stock can cost two to three times as much
as the stocks made by SGW or other companies.
The other stocks are practically as good. Unless
you really feel a need for the Colt stock, buy one
of the less expensive stocks.
Most parts for the automatic version of the AR15 will fit in the semiauto Sporter version and vice
versa. There are some spots, however, where you
can't use whatever is handy. Two parts that you
would do well to match up are the upper and lower
receivers. The Colt Sporter semiauto upper and
lower receivers don't match up with the militarystyle receivers. Use a pair of one or the other, but
do not mix them unless you really have to. When
possible buy them as a pair from the same source.
It is possible to mix the receiver halves. You can
even put a military upper or lower receiver with
the opposite number from the Sporter if you use
an offset adapter pin rather than a front push pin.
These are available from a number of dealers. Just
be sure to get the right one: A different one is
needed for the Sporter upper/military lower than is
needed for the military upper/Sporter lower.
Frankly, the only reason to go with the Sporter
upper or lower would be if you can get one at a
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possible to reblue or phosphate old parts, parts
may not necessarily be new just because they have
a new finish.
Personally, I prefer to buy parts from mailorder companies. Though it occasionally takes a
little longer to get the parts, they are almost always
of good quality, and the companies will replace a
defective part (provided you discover the defect
within several days of receiving the parts).
There are a number of companies that deal in
rifle parts and accessories for the AR-15. The ones
I've had the best luck with are: Lone Star Ordnance (P.O. Box 29404, San Antonio, TX 78229,
512/681-9280); L.L. Baston Co. (Box 1995, El
Dorado, AR 71730, 800/643-1564); M.A., Inc.
(Box 5383, Shreveport, LA 71106, 318/7973491); Numrich Arms (West Hurley, NY 12491,
914/679-2417); Quality Parts Co. (P.O. Box 6659,
Woodfords/Portland, ME 04101, 207/7751744);
Rock Island Armory (420 West Main St., Geneseo,
IL 61254, 309/944-5739); SGW (624 Old Pacific
Hwy., S.E., Olympia, WA 98503); Sherwood International (18 714 Parthenia St., Northridge, CA
91324, 800/423-5237); and Springfield Armory
(420 West Main St., Geneseo, IL 61254, 309/
944-5138).
I have used parts from all the companies listed
and have purposely mixed parts when building
rifles to see if any problems would occur. I have
found no problems created by poor manufacture
except for one part that looked like it had dropped
from a mold while it was still hot (it was a little
bent out of shape).
All the companies will accept personal checks
(except for M.A., Inc.), but for the very fastest
service, you should send a money order or use a
Visa/MasterCharge card. (You can also send cash;
the postal service frowns on this, but I've never had
any problems doing it.)
M.A., Inc., gives the fastest service; they'll get
the parts shipped within forty-eight hours upon
receipt of your order, and the parts are sent via
UPS. Usually, the parts can get to you within a
week. The company does not back order parts,
which you may find an advantage, depending on
how much of a hurry you're in.
The other companies generally can get the parts
to you within two weeks if you do not use a personal check. (A personal check takes longer since it
has to be processed by a company's local bank to
b e sure the check doesn't bounce.)
Most of the time the companies will-ship via
super-low price or if you don't want the forward

assist on the upper receiver. The forward assist is
not really necessary, although it looks more "military"- an element of some importance to Walter
Mitty types. The forward assist is, however, handy
when you want to quietly chamber a round or
when you're using the gun in an extremely cold
environment.
The military upper receiver does have a real
plus: the forward push pin. While the Sporter AR15 has a double screw on the front of the receiver
halves, the military version has a push pin similar
to the rear one. The rear pin is used as it is on the
Sporter to break the action open when it's time to
clean the rifle. The front pin allows you to quickly
take the gun apart when you wish to store or trans
port it, or when you need to place a new upper
receiver barrel assembly on the original lower
receiver quickly.
Two other parts that must be either Sporter or
military are the disconnector and the trigger.
There's no way to mix the two since the spring
well in the trigger is in a different spot for each
type. Either go with the ARl5 Sporter (usually
listed as " AR-15" parts in the mailorder catalogs)
or the AR-15 military parts (generally called
"Ml6" parts).
The Ml6 parts kits are usually cheaper and work
just as well as the Sporter parts. Just be sure to
make the modification (described in the assembly
steps) to the disconnector as soon as the parts kit
comes m.
If you order a parts kit that does not specify
which type of parts you'll be getting, chances are
that it will contain the military automatic rifle
parts without the auto sear. These parts work well
and are generally the better buy. Since the auto
matic sear is missing from the kit, you should not
run into any problems with the BATF in regard to
having an illegal automatic weapon provided y ou
make the one small modification to the discon
nector outlined below.
Where should you get the parts? You can pick
them up at gun shows, but be very careful if you
go this route. A lot of good parts, which have
very little wear, are sold as government surplus.
There are also a lot of worn parts stripped from
old M 16 rifles available, and they are more apt to
tum up at a show than on the shelves o f a reput
able parts dealer. If you buy parts at a gun show,
be sure to look them over carefully. Since it is
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overnight carriers, C.O.D., or the like if you are

willing to pay the extra charges.
The only part that can't be ordered without a
Federal Firearms License is the lower receiver.
Your local gunsmith or gun store should be able
to order one for you for a small fee. Try to get
both the upper and lower receiver at the same time
so you 'II get a matching set.
When you build a rifle yourself, you don't need
any special permit from the federal government
but you should check local government regulations. In general, if you make the rifle for your
own use, it's legal to assemble it.
PARTS LIST
Here's a parts list of what you'll need to com
plete an AR-15 (it's quicker and easier to buy
parts sets, so that's all that's listed. Use the exploded diagram if you're going for separate parts) :
1. Lower receiver. The military style with forward push pin is usually best.
2. Upper receiver. The military style with push
pins and forward assist is usually best.
3. Forward assist assembly (if you have a military-style upper receiver). Two types are available:
the round handled and the tear-drop shaped
handle. The tear-drop is considered better by
many, but you won't go too wrong by just getting
the least expensive style.
4. Lower receiver parts set.
5. Complete bolt. Avoid the chromed bolt
since the chrome generally flakes off.
6. Bolt carrier with screws and key. Avoid the
all-chromed bolt carrier because it wears out the
inside of the upper receiver. The carrier should be
chromed on the inside where the bolt will ride.
Bolt carriers for use with the forward assist need
to have slots cut down the ejection port side for
the assist claw.
7. Charging handle.
8. Firing pin. This part should be chromed.
9. Firing pin retaining pin.
10. Bolt cam pin.
11. Buffer tube. It is not needed with a
"shorty" telescoping stock.
12. Buffer spring. This part comes with most
shorty stock kits.
13. Buffer. The buffer usually comes with
shorty stock kits; a special one is needed with the
telescoping stock.
14. Stock end plate. It is not needed with
shorty stock. This part may come with the stock.
15. Rear swivel. This part may come with the

stock and is not needed for the shorty stock.
16. Stock. Several different styles are available
including the shorty telescoping stock.
17. Pistol grip. A number of styles are available,
but the trap door style is probably the best.
18. Pistol grip screw and lock washer.
19. Barrel handguards. Several styles are available, hut handguards with aluminum liners are the
best. Most shooters prefer round handguards.
20. Rear sight assembly. You may wish to buy
the new style with finger adjustable windage compensator.
21. Front sight assembly. This part may already
be with the barrel.
22. Gas tube and roll pin.
23. Barrel. A number of lengths are available
as well as heavy barrels and stainless steel barrels.
A chrome lining, if available, is a good idea. Try to
get a barrel with the front sight assembly mounted
and barrel nut in place; avoid stainless steel barrels
if possible for combat rifles since they quickly
overheat.
24. Barrel snap ring.
25. Barrel weld spring.
26. Barrel slip ring, also known as the Delta
ring. Get a tapered ring if possible.
27. Flash suppressor. The government style is
cheapest and works well, though many prefer those
with built-in compensators.
28. Flash suppressor lock ring.
29. Front sw ivel.
30. Front swivel roll pin.
TOOLS
You can build an AR-15 with just a few tools
that would normally be in any household shop, but
there are a few that will make your job a lot easier.
One handy tool is an M16 armorer's wrench,
which allows you to tighten or loosen the barrel
nut, the flash suppressor, some styles of buffer
tubes, and a few other odds and ends. This tool is
usually available from the same company from
which you buy your parts.
Barrel vise jaw blocks are very handy, the best
being made of aluminum so that they do not
scratch the barrel. They work with a regular shop
vise and hold the barrel in whatever position is
needed. When you're working on your rifle, the
blocks are almost as handy as having a third hand
to help you hold things. They are available from a
number of companies which sell AR-15 partS.
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The AR-15 does not have a lot of screws, though
there are a few. When you use a regular screwdriver
on a gun, you generally mess up the slot because
gun screws are more shallow and thinner than
regular screws. If you want to put together a rifle
that looks like it was professionally done (rather
than something a trained ape assembled), you
would do well to get a set of good gun screwdrivers.
My favorite set is the Chapman Gun Screwdriver
Set available from Parellex (1285 Mark Street,
Bensenville, IL 60106, 800/323-3233) for $20.
This set includes a number of blades, as well as a
driver and a ratchet extension. (In addition to
being handy for assembling your rifle, you'll find
yourself using it around the house all the time. )
A front/rear sight tool can facilitate matters
when you are assembling the front sight and when
you're zeroing in the rifle. It depresses the detent
on the front and rear sights and allows you to
make large adjustments quickly. With the new
Ml6-A2 or AR-15s modified with a hand-adjustable windage knob, this tool may not be as useful.
A set of chamber gauges is practically essential
if you are buying a barrel, used gun, or reloading
ammunition for your rifle. A nice set of these
is available from Quality Parts, as well as a number
of other companies. Gauges currently cost $20
each, and a set of three ($60) is ideal.
The gauges can be used to determine whether
or not the chamber is the proper size. Though barrel chambers purchased from the companies recommended above will usually be the correct size,
those bought from other sources may not be.
If you frequent gun shows or have some doubts
about a barrel that seems too cheap to be true,
you would be wise to check it with a set of gauges.
When a rifle is fired a number of times, the head
space may change. This normally is not a problem
unless you are using hot loads. The chamber/bolt
may then become so battered that the chamber
actually stretches and the bolt lock-up lugs become
deformed. In such a case, excessive headspace may
result. This means that the brass in the chamber
will not be supported by the chamber walls when
a round is fired. Most likely the case will burst, and
then gases will escape around the bolt and explode
back into the receiver and magazine well. If you
are lucky, you will only ruin your rifle instead of
a bystander or yourself! Headspace gauges can be
used to avoid such problems.
79
GAUGES
There are three types of gauges : "Go," "No-go,"

and "Field" gauges. To use the gauges, it is usually
wise to remove the ejector and extractor. (If you
are in a hurry, you can leave them in place if
your gauges have a cut-out for the ejector and a
groove for the extractor. Be sure to line up the
ejector hole on the gauge with the ejector when
you drop the gauge into the chamber. Be gentle, or
you will be replacing the extractor or ejector after
breaking them!)
If you are checking out a barrel that is not
mounted in a receiver, screw it onto a receiver and
place a bolt and bolt carrier in the receiver. (You
could simply try fitting a bolt to the barrel and
turning the lugs into their positions in the barrel
extension by hand, but you really need to know
what you are doing.) If you are checking the chamber on an assembled AR-15, it is best to pull out
the rear push pin and swivel the top receiver down.
The rifle or receiver/barrel is held with the
muzzle pointing down. The gauge is dropped into
the chamber; the gauge is lined up with a small tool
if you have not removed the ejector from the bolt;
and the bolt and bolt carrier are pushed toward the
chamber. By watching the bolt from the bottom of
the upper receiver, you can tell whether or not it
turns and locks into position. Do not force the
bolt. Be sure to use gentle pressure to see whether
or not the bolt will lock with the gauge in place.
With the go gauge, the bolt should close and
lock with the gauge in the chamber. This means
the chamber will accommodate any properly
loaded ammo, down to the minimum dimensions
for the .223/5.56mm, and that the rounds will
chamber easily (provided the chamber is reasonably clean when you are shooting).
If the action does not close on the go gauge, the
chamber has not been set to the correct depth or
the bolt is oversized. (Changing bolts may help,
but the problem will generally be in the chamber
size.) Though the barrel might accept some cartridges, the chance that it will not chamber some
rounds would be great.
A rifle which won't accept a go gauge may also
be prone to slam fires when the chamber becomes
somewhat fouled; cartridges hang up in the chamber and the floating firing pin then hits the primer
with extra force, firing the cartridge.
Purchasing a barrel or rifle which does not
accept the go gauge should obviously be avoided
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www.atf.gov
Mft I/1
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... 2"... H
903050:EAG
331 1/301685
Mr. Jason McNulty

ERTW Consulting, LLC
2209 Tawhee Drive
Madison, WI 53711
Dear Mr. McNulty,

and Explosives (ATF), Firearms Technology Branch (FTB), along with a partially
machined AR-10 pattern receiver prototype (see photos, next two pages). As indicated,
you are requesting FTB to examine this item to determine whether it is classified as a
"firearm" per provisions of the amended Gun Control Act of 1968 (GCA).
includes-
frame or receiver ofany such weapon ....
receiver.
~might not be classified as a firearm. Such a receiver could have all other
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Mr. Jason McNulty
Page2
machining operations performed, including pivot-pin and takedown-pin hole(s) and

The FTB examination of your item confirmed the followingThe polyaryletherketone/polvvinylalcohol/polystyrene/acrylonitrylebutadiene styrene
polymer/glass fiber composition contains a "filler" material in the fire-control recess area.
In addition, indexing holes are visible in the following locations:
Pivot pin hole.

Takedown pin hole.
Trigger cavity.
Submitted forging
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Mr. Jason McNulty
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Submitted forging
As submitted, this "prototype receiver" is classified as a "firearm" as defined in the GCA,

921 (a)(3) since the fire-control recess area contains a filler and is not completely solid.
We emphasize that this classification is based on the prototype received and examined by
our Branch.
evaluation request. The item will be returned to you under separate cover.
Sincerely yours,
~gy
"""~
Chief, Firearms
Branch
0059
621
RIF
0060
'
"'
3 MAY 1983
..nn
Ill
n
......
~
>
!Il"'
-~
a ....'
...
0.
wI
~
........
been reepottal" t r w I ury.

coacenl
t I aatter. lea
0060
622
RIF
0061
,
RIFLE BARRELS
CHAMBER REAMERS
S.G.W. INC.
624 O LD PACIFIC HWY. S.E.
OLYMPIA, WA. 98503
PHONE: (206) 456-3471
LOWER RECEIVERS
GUNSMITHING
March 25, 198J

BATF
Federal Building
Washi~ton, D.c. 20226
Attn: Mr . Edward M. Owen, Jr.
Subject: Status of unfinished Ar-15 mype Lower Receivers .
Dear Sir:
Enclosed is a sample unfinished AR-15 type Lower Receiver Forging. Tou
will note that the area for the trigger, Hammer, and Disconnector is
basically still unmachined and solid.
It would require additional machining
to become functional.
A customer requests that we supply him with receiver forgings in this
machined condition without prior markings Cidentification) with serial No.
caliber and manufacturer's name ,
He will t hen finish them under his
manufacturer s license and put on the required markings .
Would we be authorized to ship these unfinished forgings per sample supplied
without any prior markings?
Sincerely :
~G~
Henry A. Roehrich
SGW, Inc.
General Manager
0061
623
RIF
0062
LIIPI'l'BIIMO
3311 . 1
MAY 2 5 1992
01:1
o .....
01
0
Cllt'
)lo l
Ar. &obert Bower, Jr.

Vhiladelpbia Ordnance, Iaa .
orel&DI Indaatrial Part
OralDf1 Paanaylvania 11172
(") ...
CSl
~;
oo tll
1;11-1
Dew lk. Bowar 1
<:
.....
ftia rafara to JOK letter of May 11, lJI2 1 witb vhicb you
aabeltt414 DllfiDiabad AR-15 type MCei. .r Cor
claeaification.
:z:-111
tilt"!
1-f::C
00
Ul
I
N
Bxamination of the sgbaittad ..-pla, no ..rial nu~er,

inticatea that it ~ ideatifiable .. tbe receiver of a
ficeara. The roeivar ia baaically coaplete excep tba~ the
taterior cavity baa not been coapla~ly aacbine4.
0\
\Q
receiver in baaically ~ . . . . . .ntitarat on .._

pravieualy IIHn swalttecJ by aaotlMar
ht. It wu
foand tlaat ~ reciftr onla ~ -.h ColaO ual .,. *Ulint
out tbe eavi~ wi~ a 5/1 inab drill and
fiaia~ with
a 1/2 inob rot.., file. Baaed on that exaalnation, 1t ~
detefllinad tut afinielaad u-15 type t . . .i ftn in ~
baaia configuration aa that aubaitted by yor fira are
firear .. ae defined.
~berafore,
the aa.ple aa .-bait~ fa elaaaified as a

fia:Nfll u tbat tara ia clafined in Section 121 (a) (3) (A) ,
Chapter U, 'l'itl.a 11, ODlted tataa Code.
~be
aubaittad
..-pl~1
baiag returned abdar a-..rte eo.,r.
'rpat that the foreC)Oillt bas been reapeoei.. t:o your

inquiry. If we aay be of any further aaalatance 1 plaaae
Jfe
contact aa .
lincarely JOUn ,
J-s/
Blwara M. OWe&, Jr.
Claief, Pbur.. 'Mcbftol09Y Bruoh
co-
aua-
D Aft
l~~~
n"). -
..,..wa
UVI-11
M YIEWa R
~s-~
jl-noPtU.. I8 ''7al
...VIIIWall
'
CO- - - -V-DCUIAMNC&
avvn
..,.......
.~
.........,a- ....-~
0062
624
RIF
0063

BUR E AU OF ALCOHOL , TOBACCO AND FIREARMS
WASHINGTON . D .C . 20226
JUL I 4 1994
LE:F:TE:RLB
3311.4
Mr. Thomas c. Miller

Attorney at Law
1540 South Pearl Street, Suite B
Denver, Colorado 80210
Dear Mr . Miller:
This refers to your letter of July 1, 1994, concerning
an unfinished, sample AR-15 type receiver, which you
submitted for our examination and classification.
As defined in 18 u.s.c. Section 921(a) (3) (A) the term
"firearm" is defined, for the purposes of the Gun
Control Act of 1 968 (GCA), to mean any weapon
(including a starter gun) which will or is designed to
or may readily be con verted to expel a projectile by
the action of an explosive; Section 921(a) (3) (B) also
inc ludes the frame or receiver of a ny such firearm.
Examination of the sample disclosed that it is
identifiable as the frame or receiver of an AR-15 type
firea rm and it may readily be converted to function as
the frame or receiver of a firearm. The submitted
sample is basically complete, except for a block of
metal which is located in the area of the front pivot
pin and two (2) holes which must be drilled through the
receiver walls to al low installation of the trigger and
hammer pivot pins. The magazine opening and the
r e ceiver cavity are completely machined out and the
sample receiver is capable of excepting various
components to include, but not limited to, the
magazine, magazine catch assembly, selector, rear take
down pin, lower receiver retainer with complete buffer
assembly, trigger guard, various small detent pins and
springs.
Based on our examination of the submitted sample, we
have determined that the unfinished receiver, as
submitted, has reached a stage of manufacture where it
would be classified as a "firearm" under Section 921
(a) (3) and, therefore, subject to all the controls of
the GCA .
0063
625
RIF
0064
-2-
Mr. Thomas
c. Miller
since the sample receiver is classified as a firearm

for the purposes of the GCA, your client must be
licensed under the provisions of the GCA as a
manufacturer of firearms. In addition, any person
manufacturing such an article would be responsible for
all marking requirements, to include the manufacturers
identification and serialization, as provided in the
regulations, 27 CFR Section 178.92.
If a customer of your client requires unfinished
receivers of this type, without conventional serial
numbers or other markings, we would be happy to
consider your written request for a variance from the
marking requirements. Please understand that an
alternate form of identification can be approved only
if it is determined that the proposed markings are
reasonable under the particular circumstances involved,
and will not hinder effective administration of the law
and its implementing regulations. Further, it may
still be necessary for your client to apply some sort
of identifying mark to the unfinished receiver to
identify the client as the original manufacturer.
With respect to United States vs. Seven Miscellaneous
Firearms, this district court decision is not legal
prec edent and is, therefore, inapplicable to this
matter .
The sample receiver is being returned to you unde r
separate cover.
We trust that the foregoing has been responsive to your
inquiry. If you have further questions concerning this
matter, please contact us.
Sincerely yours,
~~.P?,E~-
0064
626
RIF
0065

iJEC 2 7 2J02
Mr. Lane Browne

Mega Machine Shop, Incorporated
5323 Joppa s.w.
Tumwater, Washington 98512-8020
903050:RDC
3311/2003-016
l_
Dear Mr. Browne:

This refers to four AR-15 type lower receiver samples
that were received by this office on October 3, 2002,
for the purposes o f examination and classification.
You indicate that each of the samples represents a
separate stage in the manufacturing process. The
samples are labeled "OP-1," "OP-2," "OP-3," and "OP4."
Receiver sample "OP-1" is a solid casting having holes

drilled for the takedown pins, sel ector, hammer,
trigger, bolt catch, rear takedown pin retainer, and
magazine catch. Further, the areas for the magazine
catch and bolt catch have been partially machined and
the rear ring threaded for the buffer tube. Machining
of the interior cavity and magazine well has not been
made on this sample.
Receiver sample "OP - 2," in addition to the operat ions
above, has had the magazine well and interior cavity
machined, trigger slot machined, trigger guard holes
drilled, and the slots for the magazine catch and bolt
catch completed.
Receiver sample "OP- 3," in addit ion to the operations
above, has had the hole drilled in the receiver ring
for the buffer retainer.
REVIEWER
REVIEWER
REVIEWER
u.s . Goernment Prinwl; Oftiot: 2002 - 49tI11/535SJ
0065
627
RIF
0066


-2-
Mega Machine Shop, Inc.

Receiver sampl e "OP-4," in addition to the operations
above, has had the hole for the grip screw drilled and
tapped, and the markings applied. The left side of
the magazine well is marked, in descending order,
"DALPHON," "SHELTON, WA.," "MULTI-CALIBER," "MODEL
B.F.D.," and "COB 0806." "FIRE" and "SAFE" are marked
adjacent to the safety selector hole.
We have determined that an AR -15 receiver can still
function as a firearm receiver without a magazine
opening or the threaded hole for the buffer tube. In
addition, we previously examined an AR-15 style
receiver in a similar condition to your receiver
sample "OP-1" having the holes for the trigger and
hammer pins, but with a solid interior. The interior
cavity of the previously examined sample was finished
in approximately 75 minutes time using a 5/8 -inch
drill and a rotary file. This receiver was determined
to be a "firearm" as defined in Title 18, United
States Code (U.S. C. ), 921(a) (3). Therefore , your
sample "OP-1" is also a firearm as defined .
Receiver samples "OP-2," "OP-3," and "OP-4 " are
manufactured to the point where they wi ll accept AR-15
type semiautomatic fire control components, the
magazine catch, the bolt catch, both takedown pins,
rear takedown pin retaine r, and buffer tube.
Therefore, each of these samples constitutes a
"firearm" as defined in Tit le 18, U.S.C. 92 1 (a) (3 ) .
We trust the foregoing has been responsive to your
inqui ry. If we can be of any further assistance,
please contact us.
Sincerely yours,
Curtis H.A . Bartlett

Chief, Fi rearms Technology Branch
INITIATOR
REVIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
CODE
SURNAME
DATE
ATF F 9310.3A (7-97) (Formerly ATF F 1325.6A, which mey sllll De u sed)
0066
628
RIF
0067
OEPARTMENTOFTH E TREASURY
B UREA U O F ALCOH OL, T OBACCO A N D F I REARM S
Jut ctJ 2003
Mr. Justin Halford

312 Oxford Cove
Jonesboro, Arkansas
903050:RLB
3311/2003-327
72404
Dear Mr. Halford:

This is in response to your letter dated March 4,
2003, to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF) . In your letter , you ask about the
classification of an unfinished AR-15 type receiver.
Along with your letter you provided this office wit h a
sample of the unfinished receiver that has been CNC
machined from a block of aluminum. The external
profile has been machined and the magazine well has
been cut out. The receiver cavi ty is in semiautomatic
configuration and is complete with the exception of
the trigger port and various holes for the fire
control components and takedown pins. Based on our
examination of the unfinished receiver, it is our
opinion that the subject sample has received
sufficient machining to be classified as the frame or
receiver for a "firearm" as that term is defined in
section 921(a) (3) (B) of Title 18, United States Code,
Chapter 44 and is therefore subject to the controls
and provisions of the Gun C~ntrol Act of 1968.
The submitted sample is being returned to you under
separate cover.
Sincerely yours,
Branch
Chief,
WWW . ATF . T REAS .GOV
0067
629
RIF
0068
,../~

JAN 2 9 2004
903050 :RDC
3311/2004-738
wwwalf.JOY
Mr. Mark Malkowski

Continental Mac hine Tool Company, Incorporated
Dear Mr. Malkowski:
As you may be aware, the Gun Control Act of 1968
converted to expel a projectile by the action of an
explosive . The term also includes the frame or
receiver of any such weapon."
Our evaluation indi cates that both of the recei vers
have had several machin ing operations performed,
creating the following:
Magazine well;
Trigger slot;
Cavity for the t rigger, hammer, disconnector,
safety selector;
Initial o pening for the buffer tube;
slot for magazine catch;
Slot for the bolt catch;
pin; and
Center relief cut for forward takedown p in .
0068
630
RIF
0069
-2-
Mr. Mark Malkowski
The following is a list of machining operations that

Trigger, hammer, safety selector, trigger guard,

Opening for the magazine catch shaft and release
button;
pistol grip mount.
The FTB examination of the submitted samples revealed

Each is therefore a
critical internal areas machined (magazine well and
central area for the fire control components) or
crosspin holes drilled, would not constitute a
We thank you for your inquiry, along with submitted
responsive.
Sincerely yours,
Sterling Nixon
0069
631
RIF
0070
U.S. Depa rtment of Justice
,.

Fi rearms and Explosives
MAR 1 0 2004
903050:CLB
3311/2004-278
www.;ur.gov
Mr. Randy Paschal

2049 Meander Road
Granbury, TX 76049
Dear Mr. Paschal:
This is in reference to your lener to the Bureau of Alcohol, Tobacco, Firearms and Explosives
(ATF), Firearms Technology Branch, dated January 6, 2004, in which you ask several questions
about modifications to AR-15 type receivers.
As you may be aware, the National Firearms Act (NFA), 26 U.S.C. 5845(b), defines a
machinegun as... any weapon which shoots, is designed to shoot, or can be readily restored to shoot, automatically more
than one shot, without manual reloading, by a single function of the trigger. The term shall also include
Based on this definition, an AR-15 type receiver which has been modified by the drilling of a
hole through both receiver walls in the proper location for the installation of an M 16 automatic
sear cross pin, and which has had the receiver cavity milled out to a width sufficient to facilitate
the installation of an M 16 automatic sear, is a frame or receiver a machinegun. Therefore, it is a
machinegun as defined. Further, an AR-15 type receiver, which has been modified as above, or
an M 16 receiver which has had the automatic sear cross pin holes covered and or material filled
into the receiver cavity, is still a machinegun frame or receiver.
For further guidance, we suggest that you read through the Additional Information section of the
Federal Firearms Regulations Reference Guide (ATF P 5300.4). This guide is also available on
the ATF Web site, www.atf.gov.
Also, based upon your correspondence, it appears that you may be in possession of an
unregistered machinegun. Should this be the case, we suggest you contact your local ATF office
to coordinate abandoning it.
0070
632
RIF
0071
-2-
Mr. Randy Paschal
Sincerely yours,
0
~ Sterling~n
0071
633
RIF
0072
,../~

JAN 2 9 2004
903 050: RDC

3311/2004-738
www atf.gov
Mr. Mark Malkowski

Continental Machine Tool Company, Incorporated
Dear Mr. Malkowski:
As you may be awar e, the Gun Control Act of 1968
convert ed t o expel a projecti l e by the action of a n
e xp losive. Th e term also includes the frame or
r eceive r of any such weapon."
Our evaluation indicates that both of the receivers
hav e had several machining operations performed,
c reating the following:
Magazine well;
Trigger slot;
Cavity for the trigger, hammer, disconnector,
safety selector ;
Ini tial opening for the buffer tube;
Slot for magazine catch;
Slot for t he bolt ca t ch;
p in; and
Center relief cut for forward t akedown pin .
0072
634
RIF
0073
, ./
f
-2-
Mr. Mark Malkowski
The following is a list o f machining o perations that

Trigger, hammer, safety se lector, trigger guard ,

Opening f o r the magazine catch shaft and release
button;
pistol grip mount.
The FTB examinat ion of the submitted samples revealed

Each is therefore a
critical internal areas machined (magaz ine well and
central area for the fire control components) o r
c r osspin hol es drilled, would not constitute a
We thank you for y our inquiry, along with submitted
r esponsive.
Sincerely yours,
Sterling Nixon
Chief, Firearms Techno logy Branch
0073
635
RIF
0074

Martinsburg, WV
www.atf.gov
25401
903050:AG
33 11/2006-896
JUL2 6 m
Mr. Kevin Audibert

27 Overvale Road
Dear Mr. Audibert:
This is in reply to your correspondence dated June 6, 2006, to the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF), Firearms Technology Branch (FfB). Your inquiry was
forwarded to FTB's new location, Martinsburg, West Virginia. Included in your correspondence
are blueprints for a partially machined AR-15 pattern receiver, for which you are requesting
classification under the Gun Control Act of 1968 (GCA).
During our examination of the submitted prints, FTB determined that an item machined to the
submitted specifications would require the following machining operations to allow its use as the
receiver of a firearm:

Additional minor machining/threading or fitting operations may also be required.

For your information, previous determinations by FTB have classified AR-15 pattern receivers
(with less machining than your print depicts) as "firearms." Since your submitted prints depict a
receiver which is nearly complete, and would require only minor modifications to allow it to
function as the frame or receiver of a firearm, a receiver machined to your submitted
speci fications would be a firearm as defined in 18 USC 921 (a)(3).
Please note that an AR-15 type receiver which has no machining performed at all in the area of
the trigger/hammer recess might not be classified as a firearm. Such a receiver could have all
other machining operations performed, including pivot pin and takedown pin hole(s) and
clearance for the takedown pin lug, but must be completely solid and un-machined in the
trigger/hammer recess area. The photo insert (see page 2) depicts a sample which has been filled
with clay by FTB to illustrate this area.
If you are interested in having such an item formally classifi ed, you must submit a machined
prototype to FTB for examination.
0074
636
RIF
0075
~----------
-2-
Mr. Kevin Audibert
Absent an actual submission, this response cannot constitute a classi fication of a receiver having
a solid trigger/hammer area.
C lay-filled Sample AR-15 Type Receiver
ll
Sincerely yours,
s:~ l l
Sterling Nixon
0075
637
RIF
0076
0076
638
RIF
0077
f'
0077
639
RIF
0078

Martjnsburg. WV 25401
www.alf.gov
903050:AG
331112006-601
APRHmi
Mr. Justin Halford
312 Ox ford Cove
Dear Mr. Halford:
This is in reply to your correspondence, dated January 26, 2006, along with you your submitted
item, to the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), Firearms Technology
Branch (FTB). The submitted item is a partially m achined AR- 15 pattern receiver, which you
have submitted for classification with respect to its status under the Gun Control Act (GCA) of
1968.
The FTB examination determined that the receiver would need the machining operations for the
following holes or openings to enable it to be used as the receiver of a firearm:

Machine trigger pin ho le(s).
Machine trigger opening in the bottom of the trigger/hammer recess.
Additional minor machining or fitting operations may also be required.

For your information, previous determinations by FTB have classified as "firearms," receivers
featuring less machining than your sample. Since your sample is nearly complete, requiring only
defined in 18 USC 921 (a)(3).
As you are aware, an AR-15 type receiver which has absolutely no machining performed in the
have all other machining operations performed, including the boring of pivot pin and takedown
pin hole(s) and clearance for the takedown pin lug, but it must be completely solid and unmachined in the trigger/hammer recess area. Your sample has been filled with clay by FTB to
illustrate this area (see photo, next page). If you are interested in having such a modified item
formally classified, you must re-submit the prototype to FTB for examination.
0078
640
RIF
0079
-2-
Mr. Justin Halford
receiver having a solid trigger/hammer area.
Sincerely yours,
Sterling Nixon
0079
641
RIF
0080

AUG 2 9 2007
Martinsburg, WV
25401
www.atf.gov
903050:KEM
33 11 /2007-667
Mr. Kevin Audibert

27 Overdale Road
Dear Mr. Audibert:
(ATF), Firearms Teclmology Branch (FTB), in which you requested that two accompanying
sample AR 15 style receivers be evaluated to determine if they have reached a stage in
manufacture at which they would be considered firearms. Your correspondence and samples
were redirected to FTB's new location, Martinsburg, West Virginia, for reply.
As you may be aware, the Gun Control Act of 1968 (GCA), 18 U.S.C. 92 1(a)(3), defines the
term "firearm" to mean, in part, " ... any weapon (including a starter gun) which will or is
designed to or may be readily converted to expel a projectile by the action of an explosive" or
"the frame or receiver of any such weapon .... "
The FTB examination of the submitted samples indicates they have been machined from solid
castings of aluminum stock. Both samples resemble an AR-15 type receiver and have had
several machining operations performed, creating the following:
Magazine well.
Magazine catch slot, magazine catch shaft, and release button.
Bolt catch slot.
Hole for the bolt-catch cross pin.
Trigger slot.
Cavity for the trigger, hammer, disconnector, and safety selector.
Opening for the buffer tube assembly attachment point .
Relief cut for pistol grip mount.
In addition to the above, "Sample 2" has had the following additional operations preformed:
Holes for both front and rear trigger guard pins.

Front takedown pin holes.
0080
642
RIF
0081
-2-
Mr. Kevin Audibert
Based on our review of the submitted receivers, including the features enumerated above, FTB
has determined that the number and complexity of the operations made are sufficient to classify
these submitted AR-15 type receivers as "firearms" as defined in 18 U.S.C. 92l(a)(3).
Therefore, both samples are subject to GCA provisions.
We regret the delay in our reply, but trust that the foregoing has been responsive to your request
for an evaluation and additional information.
Sincerely yours,
~v~/
Acting Chief,
Firearm:!u~ology Branch
0081
643
RIF
0082

MnnfnJbu'l . WtJI llif'JiniD }j40j
www.atf.aov
Mr. Kas McManus

Lancer Systems
7566 Morris Court, Suite 300
Allentown, Pennsylvania 18106
903050:AG
33 11/2011 -246
ftAR 1 6 ZDII
Dear Mr. McManus:

This is in reference to your submitted item, a partially machined AR-15 pattern receiver, along
with supporting correspondence, recently received by the Firearms Technology Branch (FTB),
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). You have submitted this receiver
(photo provided, next page) for classification under the Gun Control Act of 1968 (GCA).
In a prior letter, FTB informed you that our Branch had previously determined that an AR-15
(fire-control) recess might not be classified as a firearm. Such a receiver could have all other
the takedown-pin lug, but must be completely solid and un-machined in the fire-control recess
area.
You have submitted the current item for classification with the above qualifications in mind.
Our examination confirmed that the receiver has been partially machined, including clearance for
the takedown-pin lug. With respect to this particular cut, our evaluation found that the length of
the clearance for the takedown-pin lug is approximately 1.860 inches, measured from
immediately forward of the front of the buffer retainer hole. Since (in a finished AR-15 pattern
receiver) the front of the takedown-pin lug clearance area merges with the back of the
lire-control recess. it was necessary to determine the point at which the takedown-pin lug
clearance area stops, and the fire-control recess begins. Accordingly. we have determined that
in order to be considered " completely solid and un-machlned in the fire-control recen
a rea," the takedown-pin lug clearance area must be no longer than .800 inch, measured
from immediately forward of the front of the buffer retainer hole.
Since the takedown-pin lug clearance area of the submitted item is longer than .800 inch, FTB
finds that the submitted item is not completely solid and un-machined in the fire-control recess
area. Atcordingly, the submitted item has been classified as a " firearm" as defined in the GCA.
0082
644
RIF
0083
-2-
Mr. Kas McManus
Submitted item
If your current design is modified to incorporate a takedown-pin lug clearance area of .800 inch
or less in length, ITB is ready to reevaluate it as soon as we receive a new sample.
We thank you for your inquiry, regret that our present findings could not be more favorable, but
trust that the foregoing has been responsive to your evaluation request.
Sloc=ly~
ohn R. Spencer
, F' earms Technology Branch
0083
645
RIF
0084

Bureau of Alcohol. Tobacco,
www .a lf.guv

Elysium Anns, LLC
I 0 I Bacon Street
Raton, New Mexico 87740
903050: GR
3311/2012-362
APR 1 0 2012
Dear Mr. Mueller:

This refers to your letter to the Fireanns Technology Branch (FTB), Bureau of Alcohol,
Tobacco, Fireanns and Explosives (ATF), along with submitted samples of the following items:
a serialized Elysium Anns EA-15, AR-15 type tireann receiver; and a left and right set ofunserialized castings of an EA-15 receiver. All samples are produced by your company. The
purpose of your inquiry is to have FTB continn the classification of the receiver halves,
specifically, to detennine if they constitute firearms. You also submit a number of follow-up
questions for reply.
As background, the amended Gun Control Act of 1968 (GCA), 18 U.S.C. 921(a)(3), defines
the tenn "firearm" as follows:
such weapon; (C) any firearm muffler or firearm silencer; or (D) any destructive device. Such
term does not include an antique firearm.
Additionally, 27 CFR 4 78. 11 defines the firearm frame or receiver as being that part ofa
firearm which provides housing for the hammer, bolt or breechblock, and firing mechanism, and
which is usually threaded at its forward portion to receive the barrel.
Further, 27 CFR 478.92 states the following:
... each licensed manufacturer or licensed importer ofany firearm manufactured or imported shall
or receiver thereof in a manner not susceptible of being readily obliterated, altered, or removed, an
0084
646
RIF
0085
-2-
barrel thereof in a manner not susceptible of being readily obliterated, altered or removed, the
model, if such designation has been made; the caliber or gauge; the name (or recognized
abbreviation ofsame) ofthe manufacturer and also, when applicable, of the importer; in the case of
a domestically made firearm, the city and State (or recognized abbreviation thereof) wherein the
licensed manufacturer maintains its place ofbusiness; and in the case ofan importedfirearm, the
name ofthe country in which manufactured and the city and State (or recognized abbreviation
engraving, casting, or stamping (impressing) of the serial number must be to a minimum depth of
.003 inch and a minimum height of 1116 inch. All other markings must be of a minimum depth
of .003 inch.
The FTB examination of the submitted casting samples revealed that they consist of left and
right half sections of an AR-1 5 type firearm frame or receiver. The castings are made from a
non-ferrous metal and contain part of the fire-control cavity and, also, areas designed to assist in
the housing of a magazine, pistol-grip attachment, and receiver extension; they also have the
receiver pivot-pin and takedown-pin ho1e(s) to facilitate attachment of a barreled upper
assembly. In addition, FTB found that the left side section contains the housing ring for the
receiver extension. The castings also feature several male and female attachment points which
align both halves (see enclosed photos). These attachment points contain pre-indexed drill-hole
guides which facilitate drilling holes for bolts to hold the two halves together.
The following are FTB's answers to your specific questions, which are paraphrased and
italicized:
Q: Do these raw castings constitute a "receiver " by themselves; ifso, is one specific side, or the
combination ofthe two the receiver?
t\,: The "raw castings" to which you refer consist of a set of left and right sections of a modular
firearm receiver. Additionally, regarding the Elysium Arms EA-15 receiver as submitted, FTB
has determined that the left-side section contains part of the fire-control cavity and areas
designed to assist in the housing of fire-control components; a magazine; pistol-grip attachment;
and receiver extension. Further, this section contains the receiver pivot-pin and takedown-pin
hole(s) to facilitate attachment of a barreled upper assembly and selector. It also contains the
housing ring for the receiver extension.
Overall, FTB determined that this receiver has been manufactured to a point at which it can be
classified a firearm frame or receiver, and thus constitutes a "firearm" as defined in 18 U.S.C.
921(aX3)(A). Additionally, as a firearm, the left-side section of the EA-15 would require a serial
number and markings per 27 CFR 478.92.
0085
647
RIF
0086
,.
-3Mr. Davis L. Mueller
Q: What machining can be done and still sell these as a "NONfirearm"?
A: When manufacturing receiver blanks or castings for an EA-15, AR-1 S type firearm, in order
to ensure an "unfinished receiver" classification (i.e., the making of an item that has not been
machined sufficiently for designation as a receiver), the likely procedure to follow is to refrain
from drilling or machining of any kind in the left-side section, in the area of the trigger/hammer
(fire-control) recess. This restraint would include the avoidance of any drilling/machining for
trigger and mounting pivot-pin holes. or selector-lever holes). The resulting product could have
all other machining operations performed, including takedown-pin hole(s) and clearance for the
takedown-pin lug, but must be completely solid and un-machined in the fire-control recess area.
We caution that the indexing of any of the fire-control pivot pins or the selector-lever locations is
tantamount to forming them.
Also, we should point out for clarification purposes that, in the case of an AR-15 pattern
receiver, the front of the takedown-pin lug clearance area merges with the back of the firecontrol recess; thus it was necessary during our examination to determine the point at which the
takedown-pin lug clearance area stops, and the fire-control recess begins. Accordingly. FTB has
found that in order to be considered "completely solid and un-machined in the fire-control recess
area." the takedown-pin lug clearance area must be no longer than .800 inch. measured from
immediately forward of the front of the buffer retainer hole (see photo enclosed).
Additionally, when a left-side receiver blank as described above is possessed with a right-side
receiver section, the right side section also must have no machining or drilling of any kind
performed in the area of the trigger/hammer (fire-control) recess.
We trust that the foregoing has been responsive to your concerns. If we can be of further
assistance, feel free to contact FTB directly at any time.
Enclosure
0086
648
RIF
0087
~--------------------------------------------------------------------

903050:AG
3 311/201 0-13 7
W'WW.atf.gov
DEC 2 4 2009
Cerro Fabricated Products, Inc.
300 Triangle Drive
Weyers Cave, Virginia 24486
Dear Mr. Campbell:
This is in reference to your submitted item, a partially machined AR-15 pattern receiver forging,
along with correspondence dated November 12,2009, received by the Fireanns Technology
Branch (FTB), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). You have
submitted this forging for classification under the Gun Control Act of 1968 (GCA).
In prior correspondence (please see #2007-500), FTB informed you that our Branch had
previously determined that an AR-I 5 type receiver which has no machining of any kind
While you have submitted the current item for classification with the above qualifications in
mind, our examination revealed that the forging incorporates three machining operations which
surpass the allowable machining described above. These additional operations are the machining
of theI . selector hole;
2. the hammer-pin hole; and
3. the trigger-pin hole.
Due to these additional operations, FTB finds that the submitted item is a "fireann" as defined in
the GCA. In order to obtain a non-fireann classification, you must omit the three additional
machining operations described above (also see photo diagram, next page). The reconfigured
item must also be submitted for evaluation.
0087
649
RIF
0088
-2-
Submitted item
Sincerely yours,
0088
650
RIF
0089

903050:AG
3311/300980
June 14, 2013

Mr. Mike Towers
150 Shady Trail
Dear Mr. Towers,
1968 (GCA).
0089
651
RIF
0090
Mr. Mike Towers
Page 2
Sincerely yours,
Enclosure
0090
652
RIF
0091
Mr. Mike Towers
Page 3
Submitted item:
0091
653
RIF
0092

903050:AG
3311/300980
June 14, 2013

Mr. Mike Towers
150 Shady Trail
Dear Mr. Towers,
1968 (GCA).
0092
654
RIF
0093
Mr. Mike Towers
Page 2
Sincerely yours,
Enclosure
0093
655
RIF
0094
Mr. Mike Towers
Page 3
Submitted item:
0094
656
RIF
0095

,\/ur/111s/>11rg, 11 T :JS./05
www atrgov
903050:GR
3311/301252
November 22, 2013

Mr. Bradley Reece
555 East Suber Road
Greer, SC 29650
Dear Mr. Reece,

firearm.
0095
657
RIF
0096
Mr. Bradley Reece
Page 2

and next page).
0096
658
RIF
0097
Mr. Bradley Reece
Page 3
by FTB.
request.
Sincerely yours,
fi(tf1~(r
0097
659
RIF
0098

Martinstur)!., WV
903050: WJS
33111300627
May 17, 2013

Mr. Doug Hughes
Operations Manager
Phoenix, AZ 85034
Dear Mr. Hughes,
(GCA).
1.
2.
3.
4.
5.
6.
7.
8.
9.


0098
660
RIF
0099
Mr. Doug Hughes
Page 2

needed.
Sincerely yours,
t_tt?r#Earl~
0099
661
RIF
0100
0100
662
RIF
0101
0101
663
RIF
0102
0102
664
RIF
0103
0103
665
RIF
0104

Martinsburg,
rvv
25405
w;nv.atfgov
903050:WJS
3311/300833
July 15, 2013

Mr. Tilden Smith
80 Percent Arms
202 East Alton A venue
Suite A
Santa Ana, CA 92707
Dear Mr. Smith,
This is in reference to your correspondence, with enclosed samples, to the Bureau of
In your letter, you asked for a classification of the partially completed AR-type receivers
your company is planning to manufacture (see enclosed photos). Specifically, you want
to know ifthe three submitted items, identified as samples 1, 2, and 3 (and reviewed
below) would be classified as "firearms" under the Gun Control Act of 1968 (GCA).
SAMPLE#l
During the examination of this sample, FTB found that the following machining/drilling
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.

Front and rear assembly/pivot-detent pin holes drilled.
Magazine-release and catch slots cut.
Pistol-grip mounting area faced off and threaded.
Trigger guard machined.
Receiver end-plate area machined.
Pistol-grip mounting area threaded.
Selector-lever detent hole drilled.
0104
666
RIF
0105
Page 2
Mr. Tilden Smith

The machining operations
1.
2.
3.
4.
5.
yet performed are as follows:

Selector-lever hole drilled.
The FTB examination of your submitted casting found that SAMPLE #1 is not
sufficiently complete to be classified as the frame or receiver of a firearm and thus would
not be a "firearm" as defined in the GCA.
SAMPLE#2
During the examination of Sample #2, FTB observed that the following
machining/drilling operations had been performed:
1. Front and rear assembly/pivot pin holes drilled.
2. Front and rear assembly/pivot-detent pin holes drilled.
3. Magazine release and catch slots cut.
12. Selector-lever hole drilled.
1.
2.
3.
4.

The FTB examination of this casting found that SAMPLE #2 is sufficiently complete to
be classified as the frame or receiver of a firearm and thus ~ a "firearm" as defined in the
GCA.
SAMPLE#3
During the examination of this

1. Front and rear
2. Front and rear
FTB found that the following machining/drilling

pin holes drilled.
pin holes drilled.
0105
667
RIF
0106
Mr. Tilden Smith
Page 3
3. Magazine-release and catch slots cut.

12. Hole machined into fire-control cavity; measuring approximately Yi inch in
diameter and approximately 9/16 inch deep.
1.
2.
3.
4.
Complete milling out of fire-control cavity.

The FTB examination of the submitted casting found that SAMPLE #3 is sufficiently
complete to be classified as the frame or receiver of a firearm and thus~ a "firearm" as
defined in the GCA.
In conclusion, we stress that the information found in correspondence from our Branch is
intended only for use by the addressed individual or company with regard to a specific
scenario described within that correspondence.
To facilitate return of your samples, please provide FTB with the appropriate FedEx
evaluation request, noting that two findings did not meet your expectations. Please do
not hesitate to contact us if additional information is needed concerning our
determinations.
Sincerely yours,
Enclosure
0106
668
RIF
0107
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675
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0114

,\/ur/111s/>11rg, 11 T :JS./05
www atrgov
903050:GR
3311/301252
November 22, 2013

Mr. Bradley Reece
555 East Suber Road
Greer, SC 29650
Dear Mr. Reece,

firearm.
0114
676
RIF
0115
Mr. Bradley Reece
Page 2

and next page).
0115
677
RIF
0116
Mr. Bradley Reece
Page 3
by FTB.
request.
Sincerely yours,
fi(tf1~(r
0116
678
RIF
0117
'

www.atf.gov
903050:EAG
3311/301809
Mr. Dennis Scheel

Technical Grinding & Machining
2201 107th Lane North East
Blaine, MN 55449
Dear Mr. Scheel,
forging, along with supporting correspondence received by the Firearms Technology
Branch (FTB), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). Your letter
indicates that you are requesting FTB to confirm that this forging (photos provided on the
following page) constitutes a "non-firearm" not subject to any restrictions enforced under
the amended Gun Control Act of 1968 (GCA).
includes... (A) any weapon (including a starter gun) which will or is designed to or may
frame or receiver ofany such weapon ...
receiver.
recess (or cavity). does not contain any holes or dimples (indexing marks) for the trigger,
hammer, and selector might not be classified as a firearm. Such a receiver could have all
other machining operations performed, including pivot-pin and takedown-pin hole(s) and
fire-control recess area. We have determined that in order to be considered "completely
0117
679
RIF
0118
Mr. Dennis Scheel
Page2
solid and un-machined in the fire-control recess/cavity area,) the takedown-pin lug
clearance area must be no longer than .800 inch, measured from immediately forward of
the front of the buffer-retainer hole.
Our examination confirmed that the forging has been partially machined, to include
drilling for the pivot-pin and takedown-pin holes. The forging also features a drilled hole
forward of the pistol grip and screw hole; however, these holes do not encroach into the
Submitted forging
Branch. Any changes to its characteristics would require re-evaluation.
evaluation request. Please provide our Branch with a Federal Express account number or
common carrier shipping label so that we may return this forging.
Sincerely yours,
~
Chief, Firearms
~ogy Branch
0118
680
RIF
0119

www.atf.gov
903050:RKD
331 11302071
Mt.Y ~ 5 2~1 4
Mr. Jacob DeCremer
Battle Born Tactics, LLC
216 Lemmon Drive
Suite 387
Reno, NV 89506
Dear Mr. DeCremer,
Note: FTB uses the following terms to describe certain items:

The term "receiver blank" is used to describe forgings, castings, or machined bodies
(defense articles~ such as AR-15 receiver castings, AK receiverflats, etc. in various
stages offolding/machining which are not classified as firearms.
"Incomplete receiver" is used to describe forgings, castings, or machined bodies
(defe nse articles) which have been classified as firearms but are not completely machined
for use as a functional firearm receiver.
"Receiver" is used to describe functional firearm frames or receivers.
0119
681
RIF
0120
Mr. Jacob DeCremer
Page2

shipping box.
Sincerely yours,
-~
Chief, Firearm
0120
682
RIF
0120
Mr. Jacob DeCremer
Page2

Hol.e drilled and machined for magazine catch.
Accordingly, FTB finds that the submitted item is not a " firearm" as defined in the GCA.
shipping box.
Sincerely yours,
"'{ti
Chief, Firearm
0120
683
RIF
0121

Ma~insbug, West Vi,gini a 25405
903050:AG
33 11 /2009-336
~'WW.atf.gov
F"EB 1 1 2009
P.O. Box 24257
Columbia, South Carolina 29224
To Whom It May Concern:
This is in reference to two items submitted to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF), Firearms Technology Branch (FfB), for classification under the Gun Control
Act of 1968(GCA). The submitted items are M16A4 receiver castings-one raw, the other
partially machined.
During the FTB examination, it was determined that the partially machined casting would
require the following major machining operations to allow both the attachment of an AR-15
pattern upper receiver assembly and the firing of a cartridge from the entire assemblage:

Also, additional minor machining or fitting operations could be required.

For your information, previous determinations by FTB have classified receivers having less
machining than your sample as " firearms." Since your sample is nearly complete, requiring only
defined in 18 U.S.C. 921 (aX3).
As you may be aware, an AR-15 type receiver which has no machining performed whatsoever in
the area of the trigger/hammer recess might not be classified as a firearm. Such a receiver could
have all other machining operations performed, including pivot pin and takedown pin hole(s) and
clearance for the takedown pin lug, but would have to be completely solid and un-machined in
the trigger/hammer recess area (see photo insert below). If you are interested in having such a
modified item formally classified, you must submit it to FTB for examination.
0121
684
RIF
0122
-2-
hypothetical receiver having a solid trigger/hammer area.
Sincerely yours,
0122
685
RIF
0123
DEPARTMENTOFTHETREASURY
BUREA U OF ALCOHOL, TOBACCO AND FIREARM S
903050:RLB
3311/2003 - 227
..,:j....
\
312 Oxford Cove
Dear Mr. Halford :
~his i s in response to your letter dated January 21,
2003 , to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF).
I n your letter you ask about
man ufacturing 80% complete receiver s.
The terms 50%, 80% and 90% complete receivers are

commonly used for advertisement purposes.
Such terms
do not accurately identify the condition of a
partially completed or u n finished receiver and have no
precise meaning . Further, such terms did not
originate with ATF, are not used by ATF and have no
legal or technical meaning within ATF.
In order for us to render any opinion regarding the
status of a pa r tially finished receiver, we need to
physically examine a sample . If you care to submit a
sample of the subject receiver, we will be happy to
exami ne it and provide you with an appropriate
classification and any related determinations. Upon
completion o f our e xamination, the sample w~ l1 be
returned to you.
However, y ou should be aware that if
the sample is found to be a machinegun re ceiver or
otherwise subject to the purview of the National
Firearms Act, it could not b e returned and would have
to be abandoned t o the g overnment .
WWW .ATF . T REAS. GOV
0123
686
RIF
0124
-2 -
Samples may be forwa rded to the below-listed address:

Bureau of Alcohol, Tobacco , Firearms and Explos i ves
Firearms Technology Branch, Room 6450
650 Massachusetts Avenue, NW
We regret that we are unable to respond more fully at
the present time.
I f we may be of any further
ass i stance, pl e ase contact us .
Sincerely yours ,
( / /~ ~:;/
___
Curtis H.A. Bartlett

Chief, Firearms Technology Branc h
0124
687
RIF
0125
AR Receiver classification documents referencing index:

73703 (2009-840) Correspondence was date stamped July 24, 2009. FTB was asked to classify
two samples of partially machined AR-15 type receiver-castings (current and proposed).
The FTB evaluation of current found that the following machining operations had been
completed:
Milling to shape, from aluminum alloy, of an AR-15 receiver.
Selector-lever position markings: FIRE and SAFE
The machining operations were not completed:
machining.
Sample proposed was identical to current except in the amount of excess material on the left
side of the receiver that is used to secure and align the block for machining. The correspondence
stated that FTB had previously determined that if an AR-type receiver-blank possessed either
pivot pin holes or indexing marks for the fire-control components (trigger group), or, if any of
the cavity for the trigger group has been milled, then the receiver-blank would have been
finished to the point at which it could be recognized as a firearm or receiver. Each of the
submitted samples contained at least one of these critical features (the trigger-group cavity).
FTB found that both samples are finished to the point at which they would be classified as
firearms pursuant to 921(a)(3) and regulated by the GCA.
301809 Correspondence was date stamped May 21, 2014. FTB was asked to classify an AR-15
pattern receiver forging. The correspondence stated that FTB had previously determined that an
AR-15 type receiver which has no machining of any kind performed/present in the area of the
trigger/hammer (fire-control) recess (or cavity), does not contain any holes or dimples (indexing
marks) for the trigger, hammer, and selector might not be classified as a firearm. Such a receiver
could have all other machining operations performed, including pivot-pin and takedown-pin
hole(s) and clearance for the takedown-pin lug, but must be completely solid and un-machined
(or cast solidly) in the fire-control recess area. It further stated that in order to be considered
completely solid or un-machined in the fire-control recess/cavity area, the takedown-pin lug
clearance area must be no longer than .800 inch, measured from immediately forward of the
front of the buffer-retainer hole. FTB determined that the forging had been partially machined,
to include drilling for the pivot-pin and takedown-pin holes. The forging also featured a drilled
hole forward of the pistol grip and screw hole; however, these holes do not encroach into the
fire-control recess area. FTB determined that the submitted item is not a firearm as defined in
the GCA.
0125
688
RIF
0126
302071 Correspondence was date stamped May 5, 2014. FTB was asked to classify a partially
machined AR-15 pattern receiver forging. The correspondence provided definitions for the
following terms used by FTB: receiver blank, incomplete receiver, and receiver. It also stated
that FTB had previously determined that an AR-15 type receiver which has no machining of any
Such a receiver could have all other machining operations performed, including pivot-pin and
un-machined in the trigger/hammer-recess area. The FTB examination confirmed that the
forging had been partially machined, with no machining of any kind performed in the area of the
trigger/hammer recess. The machining operations performed for this sample include:
301269 Correspondence was dated January 13, 2014. FTB was asked to classify an AR-15 type
takedown-pin lug, but must be completely solid and un-machined in the trigger/hammer-recess
area. FTBs examination of the sample confirmed that the forging had been partially machined,
with no machining of any kind performed in the area of the trigger/hammer recess. The
machining operations performed for this sample include:
Threads cut from receiver extension.
0126
689
RIF
0127
The trigger/hammer recess of your submitted sample is solid and there are no index detents
301012 Correspondence is dated December 17, 2013. FTB was asked to classify an aluminum
AR-15 type receiver blank. The correspondence stated that FTB had previously determined that
an AR-15 type receiver which has no machining of any kind performed in the area of the
recess area. The FTB examination of the sample confirmed that the forging had been partially
detents machined for the safety lever or the trigger/hammer pins; however there were two
indexing-type indent holes encroaching in the restricted area. FTB found that the submitted item
was not a firearm as defined in the GCA.
301048 Correspondence is dated December 3, 2013. FTB was asked to classify an AR-15 type
0127
690
RIF
0128

0128
691
RIF
0129

301349 Correspondence is date stamped November 12, 2013. FTB was asked to classify a
partially machined AR-15 pattern receiver forging. The correspondence stated that FTB had
previously determined that an AR-15 type receiver which has no machining of any kind
un-machined in the trigger/hammer recess area. FTB confirmed that the forging had been
partially machined, with no machining of any kind performed in the area of the trigger/hammer
recess. The machining operations performed for this sample include:
The magazine well.
301235 Correspondence was dated August 9, 2013. FTB was asked to classify a partially
trigger/hammer recess area. The FTB examination confirmed that the forging had been partially
The machining operations performed on this sample include:
The magazine well.
0129
692
RIF
0130

Further, the trigger/hammer recess of the submitted sample is solid, and there are no index
submitted item is not a firearm as defined in the GCA.
301181 Correspondence was dated July 30, 2013. FTB was asked to classify a partially
machined AR-15 pattern receiver. The correspondence stated that FTB had previously
un-machined in the trigger/hammer recess area. The FTB examination confirmed that the
submitted forging had been partially machined, but had no machining of any kind performed in
the area of the trigger/hammer recess. The machining operations performed included the
following:
Clearance of magazine well.
Hole drilled for bolt-catch plunger and spring. Hole drilled for magazine-release button
and spring.
The trigger/hammer recess of the sample was solid, and there were no index detents machined
for the safety lever or the trigger/hammer pins. FTB determined that the submitted forging is not
a firearm as defined in the GCA.
300968 Correspondence is dated June 5, 2013. FTB was asked to classify a partially machined
AR-15 pattern receiver. The correspondence stated that FTB had previously determined that an
AR-15 type receiver which has no machining of any kind performed in the area of the
recess area. FTB confirmed that the forging had been partially machined, but had no machining
of any kind performed in the area of the trigger/hammer recess. The manufacturing operations
performed include:
0130
693
RIF
0131

The trigger/hammer recess of the sample was solid, and there was no index detents machined for
the safety lever or the trigger/hammer pins. FTB determined that the submitted forging is not a
firearm as defined in the GCA.
300746 Correspondence is date stamped May 13, 2013. FTB was asked to classify a partially
trigger/hammer recess area. FTB confirmed that the forging had been partially machined, but
manufacturing operations performed for this sample include:
The magazine well.
The trigger/hammer recess of the submitted sample was solid, and there was no index detents
300354 Correspondence is date stamped March 7, 2013. FTB was asked to classify a partially
trigger/hammer-recess area. FTB confirmed that the forging had been partially machined, but
machining operations performed on this sample include:
The magazine well.
0131
694
RIF
0132

75688 (2011-394) Correspondence was date stamped February 9, 2011. FTB was asked to
classify two partially machined AR-15 type receivers. The correspondence stated FTB has
previously informed the requestor that an AR-15 type receiver which has no machining of any
kind performed in the area of the trigger/hammer (fire-control) recess might not be classified as a
firearm. Such a receiver could have all other machining operations performed, including pivotpin and takedown-pin hole(s) and clearance for the takedown-pin lug, but must be completely
solid and un-machined in fire-control recess area. Although one of the submitted samples has a
reference hole which is necessary for a broaching operation (this reference hole is located in the
fire-control recess area), the magazine well is the only significant machining operation which has
been preformed. The second sample has been partially machined in the magazine-well area, but
has not yet been broached and does not incorporate the indexing hole mentioned above. Neither
of the submitted items has been machined to a point at which it is capable of being used as the
frame or receiver of a firearm. Accordingly, the submitted items are not firearms as define in the
GCA.
73428 (2009-565) Correspondence was date stamped May 20, 2009. FTB was asked to classify
a partially machined AR-15 type receiver-casting. The FTB evaluation found that the following
machining operations had been completed:
Casting to shape, from aluminum alloy, of an AR-15 receiver.
The correspondence stated that FTB had previously determined that if an AR-type receiver-blank
possessed either pivot pin holes or indexing marks for the fire-control components (trigger
group), or, if any of the cavity for the trigger group has been milled, then the receiver-blank
would have been finished to the point at which it could be recognized as a firearm or receiver.
The submitted sample did not contain any of these critical features. FTB found that the sample
AR-15 type receiver-casting is not yet finished to the point at which it would be classified as a
firearm and would not be regulated by the GCA or NFA.
76287 (2011-993) Correspondence was date stamped September 7, 2011. FTB was asked to
classify a receiver blank. The blank appeared to be intended (in its finished state) to be a
0132
695
RIF
0133
primary component of a modular receiver-assembly somewhat based upon the layout of an ARtype receiver. The following machining operations were observed:
The top has a radiused cut made along its length.
Indexing holes have been made for the
o Hammer.
o Trigger.
o Safety/selector.
o Forward trigger-guard mounting pin.
o Trigger slot.
o Selector detent.
o Grip mounting screws.
o Buttstock alignment pin.
The correspondence stated that ATF had determined that an AR-type receiver-blank that has
either (1) the fire-control cavity milled or indexed; or (2) any of the fire-control component
mounting pin holes drilled or indexed, in any way, is sufficiently complete to constitute the
frame or receiver of a firearm as defined in 921(a)(3). FTBs examination of the sample
indicated that it may be based on an AR-type firearm receiver design; it also appeared to
incorporate substantial departures from the basic AR design. FTB requested a more complete
version of the sub-assembly and possibly a fully assembled receiver assembly.
301685 Correspondence date stamped May 5, 2014. FTB was asked to classify a partially
machined AR-10 pattern receiver prototype. The correspondence stated that FTB had previously
un-machined in the fire-control recess area. The FTB examination confirmed the
polyaryletherketone/polyvinylalcohol/polystyrene/acrylonitrylebutadiene styrene polymer/glass
fiber composition contains a filler material in the fire-control recess area. In addition, indexing
holes were visible in the following locations:
Pivot pin hole.
Takedown pin hole.
Trigger cavity.
FTB determined that the submitted prototype receiver is classified as a firearm as defined in
the GCA, 921(a)(3) since the fire-control recess area contains a filler and is not completely
solid.
300980 Correspondence was dated June 14, 2013. FTB was asked to classify a partially
completed polymer AR-15 pattern receiver. The correspondence stated that FTB had previously
determined that an AR-15 type receiver which has no machining/molding or cavity of any kind
receiver could have all other machining/molding/additive manufacturing operations performed,
0133
696
RIF
0134
including pivot-pin and takedown-pin hole(s) and clearance for the takedown-pin lug, but must
be completely solid and un-machined/molded in the trigger/hammer-recess area. FTGB
determined that the item had been partially machined/molded /additive-manufactured, but had no
machining/molding of any kind performed in the area of the trigger/hammer recess. The
manufacturing operations performed for this sample included:
Completion of magazine-well cavity.
Threads cut/molded for receiver extension.
Holes drilled/molded for front and rear takedown pins.
Holes drilled/molded for front takedown detent and spring.
Hole drilled/molded for magazine catch.
Hole drilled/molded for bolt-catch plunger and spring.
Hole drilled/molded for magazine-release button and spring.
The trigger/hammer recess area of the submitted sample was solid, and there were no index
submitted item was not a firearm as defined in the GCA.
0134
697
RIF
0135

Maninsburi. Wc$1 V11gin11 2540S
Mr. Chris Coad

Ultra-Tech, foe.
3003 Power Drive
Kansas City, Kansas 66106
903050:MMK
331112009-565
MAY 2 0 2009
Dear Mr. Coad:

Firearms Technology Branch (FTB), with an accompanying sample of a partially machined
AR-15 type receiver-casting. You have requested a classification of the sample.
The FTB evaluation of this casting found that the following machining operations had been
completed:
Casting to shape, from aluminum alloy, of an AR-15 type receiver.

The following operations were not compieted:

Milling of the cavity for the fire-control (1rigger-group) components.
Additionally, we noted that there were no external markings on the receiver.

Our Branch has previously determined that if an AR-type receiver-blank possessed either p ivot
pin holes or indexing marks for the fire-control oomponents (trigger group); or if any of the
cavity for the trigger group had been milled, then the receiver-blank would have been finished to
the point at w'.hich it could be recognized as a firearm frame or receiver. Your submitted sample
does not contain any of these critical features.
0135
698
RIF
0136
-2Mr. Chris Coad
Based on our examination, FTB finds that this sample AR-15 type receiver-casting i1s not yet
finished to the point at which it would be classified as a firearm. As such, it is not regulated by
the Gun Control Act or National Firearms Act.
To facilitate the return of the submitted sample, p lease provide FTB with the appropriate FedEx
or other comn1on carrier account information within 60 days of receipt of this letter. lfyou
intend to use UPS, you must make arrangements with them to pick up the item at our location.
Alternatively, if you wish to abandon the sample to ATF, you may notify us in writing.
We trust the foregoing has been responsive to your request. lfwe can be of any further
Sincerely yours,
ohn R. Spencer
arms Technology Branch
0136
699
RIF
0137

Fircanns and Explosives
Was.hing1on. rx; 2022<1
903050:MMK
3311/2009-840
JUL 2 4 2009
Mr. Rick W. Miller
G&S Precision Machine
108 Pine Rd.
Newnan, Georgia 30263
Dear Mr. Miller:
This refers to your letter to the Firearms Technology Branch (FTB), Bureau of Al~ohol,
Tobacco, Firearms and Explosives (ATF}. whih was accompanied by two samples of partially
machined AR-15 type receiver-castings (see enclosed photos). You have requested a
classification of the samples with respect to the Gun Control Act of 1968 (GCA). 18 U.S.C.
92 l(a)(3). For clarity, we will refer to the samples as you have marked them- "Curre1u" and
"Proposed."
The FTB evaluation of sample "Current" found ~hat the following machining operations !have
been completed:
Milling to shape, from aluminum alloy, of an AR-15 type receiver.

Mjlling of the forward and rear take-down pins.
lhreading for the attachment of the buffer. tube assembly.
Selector-lever position markings: "FIRE' and "SAFE".

machining.
0137
700
RIF
0138
-2Mr. Rick W. Miller
Sample "Proposed" was identical to "Curr ent" except in the amount of excess material on the
left side of the receiver that is used to secure and align the block for machining. Additionally,
we noted that there were no external manufacturer's markings and no serial number on either
receiver.
Our Branch has previously determined that if an AR-type receiver-blank possessed either pivot
pin holes or indexing marks for the fire-control components (trigger group), or, if any of the
cavity for the trigger group has been milled, then the receiver-blank would have been finished to
the point at which it could be recognized as a firearm frame or receiver. Each of your submitted
samples contains at least one of these critical features (the trigger-group cavity).
Based on ou:r examination, FTB finds that both sample AR- l 5 type receiver-castings are finished
to the point at which they would be classified as "firearms" pursuant to 92J(a)(3). As such,
they are regulated by the GCA. As per your request, we have enclosed a photo depicting the
areas which must not be machined in order to preclude GCA regulation.
To facilitate the return of your samples, please provide FTB with the appropriate FedEx o.r other
common carrier account information within 60 days of receipt of this letter. If you intend to use
UPS, you must make arrangements with them to pick up the items at our location. Alternatively,
if you wish to abandon the samples to ATF, you may notify us in writing.
We regret that our findings could not have been more favorable, but trust the foregoing has been
responsive to your request. If you have any additional questions, or if we can be of further
assistance, please contacl us.
Sincerely yours,
Chic ,
ohn R. Spencer
rearms Technology Branch
Enclosures
0138
701
RIF
0139

Bureau of Alcoltol. Tobacco,
FilUlms and Exl>losives
Mnrtf111btlfJ , Wnt Yirglnio 1S40J
Mr. Garrett Fannin

DPM Shops
224 Dig Run Road
Lexingion. Kentucky 40S03
9030SO:AG
331 1/2011-394
FEB 0 9 2011
Dear Mr. Fannin:

This i.s in reference to two partially machined AR-15 type receivers, as well as correspondence
dated January 24, 2011, to the Fircanns Technology Branch (FTB), Bureau of Alcohol, Tobacco,
Firearms and Explosives (A1F). You bave submitted these items (photos provided, next page)
for classification under the Gun Control Act of 1968 (GCA).
As FTB previously informed Mr. Krimm. DPM Shops, an AR IS type reiver which has no
macbjojng performed at all in !he area of the trigger/hammer Cli~ontroll recess might not be
classified as a firearm. Such a receiver could have all other mac;hining operations performed,
Including pivot-pin and takcdown-pin hole(s) and clearance for the takedown-pin lug. but must
be completely solid and un-machined in the fire-control recess area. Although one of the
submitled samples has a reference hole which is necessary for a broaching operation (this
reference hole is located in the: fire-control recess area), the magazine well is the only significant
machining operation which has been performed. The second sample bas been partially machined
in the magazine-well area, but has not yet b.een broached and docs not incorporate the indexing
hole mentioned abo.-e. Neithc:r of the submitted items has been machined to a point a1 which it
is capable of being used as the frame or receiver of a firearm.
Accordingly, the submitted iten1s are not "firearms" as defined in the GCA. We caution th3t this
clussificaiion is based on the items received and e.xamined by our Branch. Any changes to the
ch11rnc1eris!i~$ of t!w~c; item~ would require re-evaluation by FTB.
We thank you for your inquiry and trust that the foregoing has been responsive. Please contact
our Branch to arrange for the r.ctum of the submitted items.
Sincerely yours,
~4 -oc..:: ~~
ho R. Spencer
earrns Technology Branch
Enclosure
0139
702
RIF
0140
ta

903050:MMK
33 [ 112011-993
SEP 0 7 2011
Mr. William Bussey

West Cobb Tactical
4297 Bristlecone Dr.
Mariena, Georgia 30064
Dear Mr. Bussey:
This is in respons.e to your letter to the Bureau of Alcohol, Tobacco, Firearms and Explosive
(ATF), Firearms Technology Branch (FTB), with accompanying sample receiver bl.ank that you
want FTB to evaluate per the Gun Control Act of 1968, 18 U.S.C. 921(a)(3).
The submitted sample appears to be a blank intended (in its finished state) to be the primary
component of a modular receiver-assembly somewhat based upon the layout of an AR-type
receiver. The FTB evaluation noted that the submitted sample (photos enclosed) is a semirectangular block of aluminum 5-15116 inches long, 1- 13116 iJ1ches high, and 15/16-incb wide.
The following machining operations were observed:
I.
2.
3.
4.
The top bas a "radiused" cut made along its length.

Indexing holes have been made for the--
a. Hammer.
b.
c.
d.
e.
f.
g.
h.
Trigger.
Safety/selector.
Forward trigger-guard mounting pin.
Trigger slot.
Selector dctcnt.
Grip mounting screws.
Buttstock alignment pin.
For your infonnation, A TF has determined that an AR-type receiver-blank that has either (I ) the
fire-control cavity milled or indexed; or (2) any of the fire-control component mounting pin
holes drilled or indexed, in any way, is sufficiently completed to constitute the frame or receiver
ofa "firearm" as defined in 921(a)(3). While our examination of your sample indicated that it
may be based on an AR-type firearm receiver design, it also appears to incorporate substantial
0140
703
RIF
0141
-2
Mr. William Bussey

departures from the basic AR design. In order to make a fully accurate classification of the
submitted sample, FTB would need to see a more complete version of this sub-assembly and
possibly a fully assembled receiver assembly. (It would be very helpful if you would reference
the file number in the upper right hand comer of this reply when submitting additional samples
in connection with this evaluation.)
Should you choose to withdraw your request for evaluation and decide not to submit additional
samples, please notify FTB in writing. Additionally, in order to facilitate the return of your
submission(s), please provide us with the appropriate return shipment information. If using
FedEx, you may simply furnish your account number, and we can print a return label at our
office. If you use another common carrier o.r the U.S. Postal Service, you will need to submit a
postage-paid return label.
We thank you for your inquiry and trust that the foregoing has been responsive. Do not hesitate
to contact us if additional information is needed.
ohn R. Spencer
Chic , E rearms Technology Branch
Enclosure
0141
704
RIF
0142

Bureau
903050:RKD
33111300354
February 28, 2013

Marshall Swanson
CEO
Island Tool and Die, Inc
292 Third Street N.E.
Pine Island, MN 55963-7631
Dear Mr. Swanson,
The
well.
Holes drilled for front takedmvn detent and spring.
0142
705
RIF
0143
Marshall Swanson
Page2
Submitted forging
Sincerely yours,
u u-;-
Earl-h
0143
706
RIF
0144
.)
r('~ij
L, ~
., .. - ,

M11rti11sh11rg. WI' 2j.//J5
www.atf.gov
903050:GR
3311/301-012-GR
December 17, 2013

Mr. Lou Volk
LockStone Industries
1587 Dell Avenue
# 320835
Los Gatos, CA 95032
Dear Mr. Volk,

sample of an aluminum AR-15 type receiver blank. Specifically, you have requested
FTB to determine if the machining operations performed have reached a point in
manufacturing to have this item classified as a "firearm" under the amended Gun Control
Act of 1968 (GCA).
As background, the GCA, 18 U.S.C. Section 921 (a)(3), defines the term "firearm" as-
... (A) any weapon (including a slarler gun) which will or is designed to or may
readily be conver!ed lo expel a projectile by the action of an explosive; (B) lhe
fh11ne or receiver ofany such weapon; (C) any.firearm 11111/fler or.firearm
silencer; or (D) any deslructive device. Such lerm does not include an anlique
fireC1rm.
0144
707
RIF
0145
Mr. Lou Volk
Page2

index detents machined for the safety lever or the trigger/hammer pins; however there are
two indexinu-tvpe indent holes encroaching in the restricted area noted above (see photos
below).
0145
708
RIF
0146
Mr. Lou Volk
Page 3
Based on our examination, FTB finds that the submitted item is not a ' firearm" as
defined in the GCA.
However, we caution that any drilling or machining in the fire control area may alter the
classification of a receiver blank of this type. Additionally, if you were to move the
positions of the two indent holes such as those that are on the sample you submitted, and
place them to a position that would align with any fire control component hole or slot, the
item would be subject to reexamination for classification.
request.
Sincerely yours,
JJ!ffr
Earl Griffith
0146
709
RIF
0147

rirearms and Explosives
l 3 2011 .
903050:RKD
3311/300746
Mr. Tommy Venegas

President
Venegas Works, Inc.
5671 Sonoma Drive
Pleasanton, California 94566
Dear Mr. Venegas:
Technology Branch (FTB), Bureau of Alcohol, Tobacco, Firearn1s and Explosives (ATF).
machining of any kind perforn1ed in the area of the trigger/hammer recess. The
The magazine well.

Holes drilled for front takedmvn detent and
Hole drilled for
catch.
and spring.
0147
710
RIF
0148
Page2
Mr. Tommy Venegas

Submitted forging
Finally, we recommend that you confirm that possessing or constructing a partially

completed lower receiver does not violate particular State laws and local ordinances that
may employ a different definition for "firearm" than those found in the GCA or the
National Firearms Act.
evaluation request.
Sincerely yours,
0148
711
RIF
0149

www.atf.gov
903050:RKD
3311/300968
June 5, 2013
Mr. Nick Parnprome
35175 Pashal Place
Wildomar, WA 92595
Dear Mr. Pamprome,
machining operations preformed include the following:

0149
712
RIF
0150
Mr. Nick Pamprome
Page2
Submitted forging
evaluation request. Your sample will be returned to in the postage-paid U.S. Postal
Service Priority Mail envelope that accompanied your submission.
Sincerely yours,
ijtl/1/7
Earl~
0150
713
RIF
0151

Marti11sburg. 11'1' 25./05
www.alf gov
903050:GR
3311/301048
December 3, 2013
Shelley Delong
President
DeJong Manufacturing, Inc
26229 Jefferson Avenue
Murrieta, CA 92562
Dear Shelley Delong,

and Explosives (ATF), Firearms Technology Branch (FTB), along with a sample of an
AR-15 type receiver blank, requesting FTB to determine if the machining operations
performed on the blank have reached a point in manufacturing for it to be considered a
As background, the GCA, 18 U.S.C. Section 92l(a)(3), defines the term "firearm" as... (A) any weapon (including a sfarter gun) which will or is designed lo or may
readily be converted lo expel a projectile by the action ofan explosive; (BJ the
frame or receiver ofany such weapon; (CJ any firearm muffler or firearm
firearm.
recess.
0151
714
RIF
0152
Shelley DeJong
Page 2
The machining operations performed for this sample include

Hole drilled for bolt.catch plunger and spring.
Hole drilled for magazinerelease button and spring.
Hole drilled and tapped for pistolgrip screw.
Further. the trigger/hammer recess of your submitted sample is solid, and there are no
below).
0152
715
RIF
0153
Shelley DeJong
Page 3
Based on our examination, FTB finds that the submitted item is not a ..firearm" as
by FTB.
Sincerely yours,
./.~
J"q Earl~
Chief, Fireanns Technology Branch
0153
716
RIF
0154
~-=
'
{
I
.I
~
--

Bureau of Alcohol, Tobacco.
,\/ur1i11sb11rg. II 'I' 25./05
wwwaif.gov
903050:GR
33111301171
November 22, 2013

Mr. David Trease
President
TPM Arms, LLC
1000 West Bradley Avenue
Suite J
El Cajon, CA 92020
Dear Mr. Trease,

sample of an AR-15 type receiver blank, to determine if the machining operations
performed have reached a point in manufacturing for your item to be considered a
As background, the GCA, 18 U.S.C. Section 921(a)(3), defines the term "firearm" as-
fi-cune or receiver of any such weapon; (C) any firearm 1111!/fler or.firearm
silencer; or (D) w1y destructive device. Such term does not include cm antique
firearm.
0154
717
RIF
0155
Mr. David Trease
Page 2
The FTB examination of your sample confinned that the forging has been partially

below).
0155
718
RIF
0156
Mr. David Trease
Page 3
by FTB.
Sincerely yours,
0156
719
RIF
0157
903050:RKD
3311/301181
July 30, 2013

Mr. Paul Amstutz
Alpha Machine
1604 N. 161st E. Ave.
Tulsa, Oklahoma 74116
Dear Mr. Amstutz:
machining of anv kind performed in the area of the trigger/hammer recess might not be
The FTB examination confirmed that your submitted forging has been partially
machined, but has no machining of any kind performed in the area of the trigger/hammer
recess. The machining operations performed include the following:
Clearance for m::tgazmte well.

Holes drilled for front and rear takedown
Hole drilled for
catch.
0157
720
RIF
0158
Mr. Paul Amstutz
Page 2

Submitted forging
evaluation request. Your sample will be returned using the postage-paid UPS Ground
shipping label that accompanied your submission.
Sincerely yours,
PhK"~
0158
721
RIF
0159

Firearms and Explc>snres
903050:RKD
3311/301235
August 9, 2013
Michael Peterson
Owner
Range Tool Company, LLC
310 North Broadway
P.O. Box 713
Gilbert, Minnesota 55741
Dear Mr. Peterson,
rr!!fn!!!!!!g.Q!.J!!J.YJilll!;!J2~Qil~Q.J.!1]~.filS@:JliJ.t!&Jn~~t!fillli!~.TI:'.!~mightnotbe
machining operations performed for this sample includ~
The
well.
Holes drilled for front and rear takedovm
Holes drilled for front takedow11 detent and
Hole drilled and machined for magazme
and
0159
722
RIF
0160
Michael Peterson
Page 2

Submitted forging
Sincerely yours,
/PllK
f!,J/t:
0160
723
RIF
0161
....,,.__
(\
... . . . . .

Marri11s/>11rg, WI' 25./05
www.alfgov
903050:RKD
3311/301349
NOV 1 2 2013
Mr. Michael Peterson

Owner
The Range Tool Company, LLC
310 North Broadway Avenue
Gilbert, MN 55741
Dear Mr. Peterson,
machining of anv kind perfom1ed in the area of the trigger/hammer recess might not be
The magazine well.

0161
724
RIF
0162
Michael Peterson
Page2

Submitted forging
evaluation request. We will return your forging via your provided shipping account.
Sincerely yours,
0162
725
RIF
0163

A/Jminsb11rg. WI' 25./05
www.ntfgov
903050:GR
3311/301269
January 13, 2014

Vice Operations Manager
2nd AM Anns, LLC
5443 I 15th A venue North
Clearwater, FL 33760
Dear Mr. Matanle,

and Explosives (ATF), Fireanns Technology Branch (FTB), along with a submitted
sample of an AR-15 type receiver blank. Specifically, you have requested FTB to
determine if the machining operations performed have reached a point in manufacturing
to have this item classified as a "fireann" under the amended Gun Control Act of 1968
(GCA).
As background, the GCA, 18 U.S.C. Section 921(a)(3), defines the term "firearm" as-
... (A) any weapon (including a star/er gun) which will or is designed to or may
readily be converled lo expel a projectile by the action ofan explosive; (B) the
trame or receiver of any such weapon; (C) any firearm muffler or firearm
firearm .
manufacture at which it would be officially classified by ATF as a " fireann" as defined in
0163
726
RIF
0164
Page2

and next page).
0164
727
RIF
0165
Page 3
byFTB.
request.
Sincerely yours,
fa'~
Earl Griffith
0165
728
RIF
0166
419~
LE:F:TE:EMO
7540
Otr:l
03:
.. g
;;
Mr. E. L. Faust
Inter American Inport-Export Company
P.O. Box 8022
Sacranento, California 95818
..
(f)Z
)"
()::r
Dear Mr. Faust:

This refers to your letter of June 3 1986 with which
you submitted a sample of a partially machined riqht
side plate for a Browning Ml919 type machinequn.
Examination of the submitted sample, hearinq Serial Number
VE88, indicates that it is a steel plate which has been
cut to the approximate outline of a Browning Ml919 type
machinegun receiver side plate .
In its present configuration, the plate is not considered a firearm subject to
the provisions of the Gun Control Act of 1968 (GCA) or
the National Firearms Act (NFA). Therefore, the sample
as submitted is not a firearm.
At such tine as the internal slots are milled, holes
drilled for the attachment of internal camminq surfaces
and the cocking slot machined, the side plate would be
considered a machinequn as that term is defined in Section
5845(b) of the NFA .
Please note that if any additional machining operations
are performed to the unfinished plate as described in
paragraph 2, the plate could be classified as a firearm
as that term is defined in Section 92l(a)(3) of the GCA .
Should you contemplate any additional machinino of the
plate it is suqqested that a sanple be provided to this
office for examination and classification.
The submitted sanple is beinq returned under separate cover .
He trust that the foreqoinq has been responsive to your
inquiry .
If we can be of any further assistance , please
contact us .
Sincerely.
Edward 11. Owen, Jr.

Chief , Firearms Technoloqy Branch
CODa
-
8Uit
DATa
~EIN"lTOrt
~'
rtl:v1aw._a
RRYIKW'I:R
M.'II!WI.R
fii:EV1WE ..
REVIEWER
RYII:WEft
: :-r.
C'iuu--
~/'~
ATP P S3H. 12 7Sl

CORMS~NOaNCa A~VAL AND CLIEAR.At,CE
MPL.ACaSATP:FORM82(873lWHICH MAY BE. USED
orP'"rNtO' , .. ,....,..,...
.u.s. GPO un-467
0166
729
RIF
0167
OEPARTMENTOFTHETREASURY
BUREA U O F A LCOH O L. T OBACCO A ND F I R E A R MS
DEC - 2 2003
903050:GKD
3311/2004-117
Mr. Roland Bleitz
General Manager, Weapons Department
Independent Studio Services
9545 Wentworth Street
Sunland, California 91040
Dear Mr. Bleitz:
This refers to your communication of October 29, 2003, to
the Bureau of Alcohol, Tobacco, Firearms and Explosives
{ATF), Firearms Technology Branch, requesting
classification of a dummy receiver you submitted. You
state that the receiver has been manufactured with the aim
of ensuring that is not classifiable as a firearm frame or
receiver: its intended use is for assembly of a non -gun
AK47 replica machinegun.
For your information, 26 U. S.C. Section 5845{b) def i nes a
"machinegun" as follows:
...any weapon which shoots, is designed to shoot, or can be readily
restored to shoot, automatically more than one shot, without
manual reloading, by a si ngle function of the trigger. The term
shall also include the frame or receiver of any such weapon, any
part designed and intended solely and exclusively, or combination
of parts designed and intended, for converting a weapon into a
machinegun, and any combination of parts from which a machinegun
can be assembled if such parts are in the possession or under
then control of a person.
Additionally, the Gun Control Act o f 1968 {GCA), 18 U.S.C.
Section 92l{a) {3), in part, defines a "firearm" as:
...any weapon (including a starter gun) which will or is designed
to or may readily be converted to expel a projectile by the
action of an explosive; (B) the frame or receiver of any such
weapon....
WWW . ATF. T RE A S.GOV
0167
730
RIF
0168
-2-
Mr. Roland Bleitz
Examination of your submitted sample revealed that the body

of the device has been milled from a block of ferrous
metal. The trigger, trigger guard/magazine catch, top
tang, selector, pistol grip attachment lug, and a portion
of the trunnion have been welded in place on the exterior
of the device. A blind magazine well approximately 1-1/16
inches deep has been milled into the bottom and is
configured to accept AK47 compatible magazines.
Furthermore, a cavity approximately 1-3/8 inches deep,
15/16 inch wide, and 5-7/16 inches long has been milled in
the top rear of the device, in the approximate space for
the location of internal fire c ontrol components. This
space, which opens the rear of the device, is partially
closed at the top by the installation of the tang assembly.
Also, the appearance of component mounting pins has been
created by round lugs adhered t o the exterior of the
device. No pin holes have been drilled.
The left side o f
the original trunnion installed in the device bears
original markings to include a serial number, 1972DM0386.
Our assessment has found that in the condition received,
your device is not sufficiently completed to be class ified
as a firearm frame or receiver under the provisions of the
GCA or the NFA.
Hence, the device, as we have rece ive d it,
is not a "firearm" as defined in the GCA or the NFA. Of
course, if the design or dimensions of the item were
changed to another configurati o n, this c l assification wo u l d
be subject to review.
We thank you for your inquiry and trus t the forego ing has
been responsive .
Sinc erely yours,
c--- .. ,
~
~1''
Ster 1ng N1xon

0168
731
RIF
0169

WASHINGTON, D C
20226
SEP- 2 1998
Mr. Ernest Wrenn

Poor Man ' s Pawn
616 Atomic Road
North Augusta, South Carolina
F:FPD:FTB:CHB
3311
29841
Dear Mr. Wrenn:

This refers to your letter of August 13, 1998, in
which you ask about manufacture of unfinished AR-15
drop-in auto sears by a subcontractor.
You enclosed a drawing of a complete auto sear that
has been annotated as follows :
1. The auto sear body is square cut at the back
and the radius on the sides is omitted.
2. The pin hole in the sear body is not drilled
and is marked with a dimple only .
3.
The sear (paddle) is complete .
4.
The spring is omitted.
5.
The pin is omitted.
You propose that the contractor would supply partially

completed sear bodies and complete~ sears (paddles) .
You state that no complete assemblies will be made by
the subcontractor. You further advise that any
assemblies which you complete will be marked with a
"Post 86 DS" designation with serial numbers for law
enforcement firearms only.
0169
732
RIF
0170
-2-
Mr. Ernest Wrenn

ATF Ruling 81-4 held that an AR-15 drop
meets the definition of a machinegun in
5845(b). However, this ruling does not
sears manufactured before the effective
ruling, November 1, 1981.
in auto sear
26 U.S . C.
apply to auto
date of the
The definition of a machinegun in 26 U. S . C. 5845(b)

as amended by Public Law 99-308, effective May 19,
1986, includes any part designed and intended solely
and exclusively, or combination of parts designed and
intended, for use in converting a weapon into a
machinegun.
We have previously determined that the drop-in auto
sear body and the sear (paddle), even in unfinished
condition, are parts which meet the above definition
of a machinegun. The pin and spring are essentially
hardware items that are not specifically designed and
intended for use in converting a weapon into a
machinegun.
A subcontractor who makes unfinished drop-in auto sear
bodies and sears (paddles) needs to pay special
(occupational) tax as a manufacturer of firearms and
must register any such parts and transfer such parts
in accordance with the provisions of the NFA .
We trust that the foregoing has been responsive to
your inquiry. If you have further questions
Sincerely yours,
Edward M. Owen, Jr.

0170
733
RIF
0171
U.S.Deparbnentof Justice
Bureau ofAlcohol, Tobacco,
Office of the Director
18 U.S.C. 921(a)(23): DEFINITIONS (MACHINEGUN)

18 U.S.C. 923(i): IDENTIFICATION OF FIREARMS
26 U.S.C. 5842(a): IDENTIFICATION OF FIREARMS
26 U.S.C. 5845(a): DEFINITIONS (FIREARM)
26 U.S.C. 5845(b): DEFINITIONS (MACHINEGUN)
27 CFR 478.11: DEFINITIONS (FIREARM FRAME OR RECEIVER,
MACIDNEGUN)
27 CFR 479.11: DEFINITIONS (FIREARM, FRAME OR RECEIVER,
MACHINEGUN)
The right side-plate ofa Vickers/Maxim-type firearm, manufactured with its
prevents installation ofmachinegunfire control components, is a machinegun receiver,
and therefore, a "machinegun" as defined by the Gun Control Act of 1968, 18 U.S.C.
921 (a)(23), the National Firearms Act, 26 U.S.C. 5845(b), and their implementing
regulations, 27 CFR 478.11 and 479.11. Provided it has not been disassembled into its
component parts, a complete Vickers/Maxim-type machinegun that is currently registered
in the National Firearms Registration and Transfer Record with its serial number located
on a component part ofthe receiver box other than the right side-plate has been lawfully
registered under the National Firearms Act and may be lawfully possessed by the
registrant under 18 U.S.C. 922(0).
ATF Rul. 2010-3

The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) has received requests for
clarification from persons asking what part of Vickers/Maxim-type machineguns
constitutes the "frame or receiver" that must be marked with a serial number and required
identifying information and registered in the National Firearms Registration and Transfer
Record (NFRTR).
ATF examined various types of Vickers/Maxim-type firearms in both semi-automatic and
machinegun configurations. The design of these firearms, in either configuration, consists
of forward and rear sections. The forward section is made of a reciprocating barrel
assembly. The majority of the barrel assembly is contained inside a jacket. The jacket has
a rear ring (often integrally formed with the trunnion), an outer body, and a forward ring or
cap. The forward ring incorporates a mounting point for an accelerator and guide for the
0171
734
RIF
0172
-2-
forward part of the barrel. The rear section is made of the receiver-box, which contains the
internal fire control components of the firearm and provides housing for the rear portion of
the barrel assembly and the ammunition feed tray. The receiver-box consists of a left and a
right side-plate, bottom channel, and trunnion that are held together by a number of rivets.
The receiver-box also provides mounting for the handle block, top cover, and recoil
mechanism. Camming lobes, which are permanently affixed to the inside portion of each
side-plate, hold the lock piece in place and guide the movement of the extractor, which is
attached to the lock piece. Vickers/Maxim-type side-plates are recognizable and properly
classified as side-plates for this weapon when the camming lobe has been affixed. The
right side-plate of the Vickers/Maxim-type machinegun provides housing for the hammer,
breechblock, and firing mechanism, and attaches to the trunnion, which holds the rear
portion of the barrel. The right side-plate typically contains a mounting point for the
cocking-lever assembly.
ATF evaluated Vickers/Maxim-type firearms and parts in the folloWing configurations:
1.
2.
3.
4.
5.
6.
7.
A completely assembled Vickers/Maxim-type firearm;

A complete receiver-box;
A left side-plate;
A right side-plate (both automatic and semi-automatic configurations);
A trunnion;
A parts kit containing a right side-plate; and
A parts kit containing a left side-plate.
During the evaluations, complete, original models of Vickers and German MG-08 MaX:imtype machineguns were tested and found to fire automatically more than one round of
ammunition by a single function of the trigger. Additionally, a reference model of a
Vickers-type machinegun was tested for function; first, by partially removing the right
side-plate, and then after completely removing the right side-plate. Although the sample
firearm was capable of firing one shot With a partial right side-plate, once the entire right
side-plate was removed, testing demonstrated the sample was not capable of functioning
Without the right side-plate. Accordingly, it was determined that neither a Vickers nor any
Maxim-type machinegun would be capable of firing With the entire right side-plate
removed. Nonetheless, ATF has previously examined semi-automatic versions of the
Vickers/Maxim firearm where the right side-plate has an approved block that prevents
installation ofmachinegun fire control components. These semi-automatic firearms have
been classified by ATF as "firearms" under the Gun Control Act of 1968 (GCA), but not as
"machineguns" under the GCA or the National Firearms Act (NF A).
The NFA, 26 U.S.C. 5845(a)(6), and its implementing regulation, 27 CFR 479.11, define
the term "firearm," in part, as "a machinegun." The term "machinegun" is defined by the
GCA, 18 U.S.C. 921(a)(23), the NFA, 26 U.S.C. 5845(b), and their implementing
regulations, 27 CFR 478.11and479.11, as "any weapon which shoots, is designed to
shoot, or can be readily restored to shoot, automatically more than one shot, Without
manual reloading, by a single function of the trigger. The term shall also include the frame
0172
735
RIF
0173
I
-3or receiver of any such weapon .... " The term "frame or receiver" is defined in 27 CFR
478.11 and 479.11 as "[t]hat part of a firearm which provides housing for the hammer, bolt
or breechblock and firing mechanism, and which is usually threaded at its forward portion
to receive the barrel."
A completely assembled Vickers/Maxim-type machinegun is a weapon that shoots
automatically more than one shot, withoutmanual reloading, by a single function of the
trigger. Therefore, a completely assembled Vickers/Maxim-type machinegun is a
"machinegun" as defined by the GCA, 18 U.S.C. 921(a)(23), the NFA, 26 U.S.C. 5845(b),
and their implementing regulations, 27 CFR 4 78.11 and 4 79 .11.
Moreover, though not necessary for classification, only with a complete right side-plate
could the Vickers/Maxim-type machinegun shoot automatically more than one shot,
without manual reloading, by a single function of the trigger. Therefore, the right sideplate of a Vickers/Maxim-type machinegun, either stand-alone or assembled as part of the
complete receiver-box, is a machinegun receiver, and therefore, a "machinegun," as
defined by the GCA, NFA, and their implementing regulations. The right side-plate of the
Vickers/Maxim-type machinegun is illustrated below.
0173
736
RIF
0174
-4Because the right side-plate of a Vickers/Maxim-type machinegun is the machinegun

receiver, any kit or collection of parts of a Vickers/Maxim-type firearm containing the
right side-plate is also a machinegun. In contrast, any individual part of a Vickers/Maxim.type firearm other than the machinegun's right side-plate, or any kit or collection of parts
of a Vickers/Maxim-type firearm that does not contain the machinegun right side-plate is
not a machinegun receiver, and therefore, not a "machinegun," as defined by the GCA,
NF A, and their implementing regulations.
Machineguns are required to be identified by a serial number, pursuant to 18 U.S.C. 923(i),
26 U.S.C. 5842, 27 CFR 478.92, and 479.102. Under 27 CFR 478.92(a)(l) and (2) and
479.102(a)(l) and (e), the serial number must be placed on the frame or receiver of a
machinegun regardless of whether it is part of a complete firearm. Thus, the right sideplate, either unattached or assembled as part of a complete Vickers/Maxim-type
machinegun, must be identified with a serial number and registered in the NFRTR.
ATF is aware that, without the benefit of this ruling, some complete Vickers/Maxim-type
machineguns registered in the NFRTR were identified with serial numbers located on parts
other than the right side-plate. Federal regulations at 27 CFR 478.92(a)(4) and 479.102(c)
provide that the Director of ATF may authorize other means of identification of firearms if
the other method is reasonable and will not hinder the effective administration of the
regulations. Provided that it has not been disassembled into its component parts, ATF
finds that a complete Vickers/Maxim-type machinegun identified with a serial number on a
component part of the receiver box other than the right side-plate has been registered in the
NFRTR in a manner that will not hinder the effective administration of the NFA or its
regulations.
However, ifthe complete machinegun is disassembled, such as for resale of the right sideplate, the right side-plate must be marked with its registered serial number and name of the
manufacturer, as required by 26 U.S.C. 5842(a) and 27 CFR 479.102. If disassembled
without its required markings, the unmarked right side-plate of a Vickers/Maxim-type
firearm would be a machinegun receiver not identified or registered in the NFRTR, and
therefore, unlawful to transfer and possess, pursuant to 18 U.S.C. 922(0) and 26 U.S.C.
5861.
Held, the right side-plate of a Vickers/Maxim-type firearm, manufactured with its
prevents installation ofmachinegun fire control components, is a machinegun receiver, and
therefore, a "machinegun" as that term is defined by the Gun Control Act of 1968, 18
U.S.C. 921(a)(23), the National Firearms Act, 26 U.S.C. 5845(b), and their implementing
regulations, 27 CFR 478.11and479.11.
Held further, provided it has not been disassembled into its component parts, a
complete Vickers/Maxim-type machinegun that is currently registered in the National
Firearms Registration and Transfer Record with its serial number located on a component
part of the receiver box other than the right side-plate, has been lawfully registered under
0174
737
RIF
0175
-5-
the National Firearms Act and may be lawfully possessed by the registrant under 18 U.S.C.
922(0).
To the extent this ruling is inconsistent with any prior classifications, they are hereby
superseded.
Date approved:
~ ~~I t:J
Deputy Director
0175
738
RIF
0176

Martiflsbu"' . WtJI JlirgiltitJ 1S40J
www.atfp
Mr. Steve Carter

!rae, Inc.
P.O. Box 989
903050:MMK
3311/2010-1091
DEC 1 4 ZOIO
Dear Mr. Carter:

(ATF), Firearms Technology Branch (FTB), which accompanied your submitted sample nonfiring replica of a Browning Automatic Rifle (BAR) receiver. Specifically, you requested an
examination and classification of the "dummy" receiver with respect to the Gun Control Act of
1968 (GCA), 18 U.S.C. 921(aX3).
As you may be aware, the GCA, 92l(aX3), defines the term "firearm" to include:
such weapon. ...
Also, a firearm frame or receiver is identified in 27 CFR 478.11 asThat part ofa firearm which provides housing for the hammer, bolt or breechblock. and firing
mechanism, and which is usually threaded at its forward portion to receive the barrel.
The FTB evaluation of the submitted sample noted that it incorporated the following
characteristics and features:
Cast generally to shape from aluminum or aluminum alloy.

The internal cavity formed and partially milled generally to shape.
The cavity inside the "hump'' formed sufficiently to allow the locking block of a
bolt-assembly to toggle upward.
The mounting pin hole for the attachment of the trigger group was drilled.
Attachment for the fore grip assembly machined.
At the forward end, an opening formed and threaded for the attachment of a barrel.
The ejection port formed.
The slot for the cocking handle formed.
0176
739
RIF
0177
-2
Mr. Steve Carter
The following critical features were omitted:
Material was removed from the sides of the fire-control cavity so that bolt guide rails
could not be formed.
Although the cavity for the locking block was formed , the locking surface against which
the locking block of the bolt-assembly locks was left unformed, and material that would
prevent the forming of such a locking surface by simple machining alone was removed.
No guide rail formed for the gas piston.
The opening in the front of the block for the gas piston was not formed or indexed.
The installation/takedown hole for the hammer pin was not drilled; thus, if a bolt
assembly, gas piston, and cocking handle were installed, they could not be linked
together.
Provision not made for mounting a buffer assembly.
In order for this sample not to be considered a firearm receiver, along with the above noted
modifications, one additional feature needs to be omitted from the design: The cavity formed for
the toggling portion (the locking block) of the bolt-assembly must be omitted. We have filled in
the noted area with clay and have enclosed a photo with this correspondence for your reference.
We caution that these findings are based on the sample as submitted. If the design, dimensions,
configuration, method of operation, or materials used were changed, our conclusions would be
subject to review.
The sample will be returned under separate cover using the return information provided.
We thank you for your inquiry, and trust the foregoing has been responsive. Please do not
hesitate to contact us if you have additional questions.
Sincerely yours,
. 4~
Jbhn R. Spencer
Chie Firearms Technology Branch

...../
Enclosure
0177
740
RIF
0178

SEP ! 7 2004
www.atf.gov
903050:RDC
3311 /2004-614
Mr. Stephen Silverberg

1455 Roosevelt
Ypsilanti, Ml 48197
Dear Mr. Silverberg:
This refers to your letter of August 9, 2004, to the Bureau of A lcoho l, Tobacco, Firearms and
Explosives (ATF), Firearms Technology Branch (FTB), in which you inquire about the legality
of a nonfunctiona l replica of a British Bren Mkll .303 caliber light machinegun and a
nonfunctional replica of an M20 3.5 inch rocket launcher that you purchased from the
Sportsman's Guide retai l store.
As you may be aware, the Gun Control Act of 1968 (GCA), 18 U.S.C. 921(a)(3), defines the
tenn " firearm" to include " (A) any weapon (including a starter gun) which will or is designed
to or may be readily converted to exp el a projectile b y the action of an explosive; (B) the
fram e or receiver of any such weapon; (C) any fireann muffier or silencer; or (D) any destructive
device. S uch tenn [the definition adds] does not include an antique firearm."
Also, the National Firearms Act (NFA), 26 U.S.C. 5845(b), defines the tenn " m acbinegun" as
follows:
... any weapon which shoots, is designed to shoot, or can be readily restored to shoot, automatically more
than one shot, without manual reloading, by a single function of the trigger. This term shall also include
Finally, the NFA, 26 U.S.C . 5845(1), defines "destructive d evice" as... (I) any explosive, incendiary, or poison gas (A) bomb, (B) grenade, (C) rocket having a propellant
charge of more than four ounces, (D) missile having an explosive or incendiary charge of more than onequarter ounce, (E) mine, or (F) similar device; (2) any type of weapon by whatever name known which
will, or may be readily converted to, expel a projectile by the action of an explosive or other
propellant, the barrel or barrels of which have a bore of more than one-half inch in diameter,
except a shotgun or shotgun shell which the Secretary find s is generally recognized as particularly
suitable for sporting purposes; and (3) any combination of parts either designed or intended for use in
converting any device into a destructive device as defined in subparagraphs (I) and (2) and from which a
0178
741
RIF
0179
-2Mr. Stephen Silverberg

destructive device may be readily assembled. The term "destructive device" shall not include any device
which is neither designed nor redesigned for use as a weapon; any device, although originally designed
for use as a weapon, which is redesigned for use as a signaling, pyrotechnic, line throwing, safety, or
similar device; surplus ordnance sold, loaned, or given by the Secretary of the Army pursuant to the
provisions of 10 U.S.C. 4684(2), 4685, or 4686, or any other device which the .. .[U.S. Attorney
General] fmds is not likely to be used as a weapon, or is an antique or is a rifle which the owner intends to
use solely for sporting purposes.
Based upon FfB's analysis of the photographs accompanying your correspondence, the receiver
of the Bren Mkll replica appears to have been formed from solid metal stock. Outwardly, the
receiver silhouettes the profile of an authentic Bren Mkli light machinegun receiver. A cavity
within the top of the receiver has been machined, allowing attachment of a magazine. No other
interior machining was visible in the photographs.
For your information, a nonfunctional replica of a Bren Mkll light machinegun having a solid
metal receiver that is incapable of accommodating any of the original Bren Mkll components
would not be a "firearm" as defined in the GCA. Additionally, it is not a weapon which shoots,
is designed to shoot, or can be readily restored to shoot, automatically more than one shot,
without manual reloading, by a single function of the trigger. Nor does it incorporate the frame
or receiver of any such weapon. Therefore, the described nonfunctional replica would not
constitute a "machinegun" as defined in the NFA.
With respect to FTB-recommended procedures for removal of a rocket launcher from the NFA,
the steps are (I) to drill a hole approximately equal to the diameter of the bore, near the highpressure chamber area and (2) to weld a rod into the muzzle end of the barrel. (The welded rod
prevents the insertion of a rocket or other projectile.) These modifications would effectively
destroy a rocket launcher. The enclosed photographs depict an M20 3.5-inch rocket that appears
to have been destroyed in this manner. If, in fact, they are accurate, this launcher would not
constitute a "destructive device" as defined in the NFA and would be removed from NFA
provisions.
Sincerely yours,
~......,....__~Sterling Nixon
0179
742
RIF
0180

WASHINGTON, DC 20226
JUL 2 9 i.003
90305 0 :GKD
3 311 / 2 00 3 - 388
Mr. Kris Hartwig

Hedgehog Manufacturing
1933 East Wayne Street
Fort Wayne, Indiana 46803
Dear Mr. Hartwig :
This refers lo your letter to the Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF) of March 6, 2 00 3,
requesting classification of a firearm you intend to
manufacture. Along with your correspondence is a
submission of various firearm components with drawings.
ATF has received the following components in your
enclosure: one each, FN30 full automatic bolt, barrel
extension, and sear; one each, full automatic FN39 bolt,
barrel extension, and sear; one each, semiautomatic FN38
bolt, barrel extension, and sear; one full automatic top
plate; and one semiautomatic top plate.
In your letter, you state that you intend to manufacture
and market semiautomatic versions of the Fabrique
Nationale-produced FN30 series of machineguns (FN30/37 and
FN38/39 models) . The FN30 series of machineguns is derived
from the Browning designed machineguns, Models 1917, 1919,
and later versions.
You further state that the right receiver side plate will
be manufactured from a steel plate having a m1n1mum
thickness of .250 inch that will be machined to original
specifications, leaving a raised portion on the interior
surface located to eliminate the ability to install any
original, unmodified bolt and/or barrel extension. In the
final assembly, this right side plate will be deep seam
electric fusion welded to the top plate, bottom plate, and
trunnion.
Additionall y , your redesigned trigger bar will be
permanently installed in the top plate and offset
approximately .025 inch to the left. The removable trigger
bar pivot pin will be replaced by a cross pin held
WWW . AT rt' .. TREAS .GOV
0180
743
RIF
0181
-2-
Mr. Kris Hartwig

permanentl y in place by a second l ocking pin, preventing
the trigger bar from being readily removed . The locking
pin will be mounted in a blind hole and staked or welded in
place. A spring-loaded disconnector will replace the
ramped contact surface at one end of the trigger bar.
The top plate will have an offset relief cut for the
trigger bar that wil l also be wider than the original cut.
If a machinegun trigger bar were to be installed in the
modified top plate, the increased width of the relief cut
would resul t in unreliable operation of that trigger bar.
The bol t will be altered by removal of metal from the right
side to allow clearance for the internal ra ised section of
the right side plate. The sear slot will be widened and
the lips of the original sear slot removed, preventing
installation of a machinegun sear. New sear slots will be
cut to accommodate the semiautomatic sear.
The barrel extension will be machined the length of the
right side to remove sufficient met al to provide clearance
when installed with the semiautomatic side plate .
Finally, the sear will have the ramped contact surface
removed. The new contact surface will be a squared lug
approximately . 17 inch wide and will provide contact with
the disconnector compone nt of the new trigger bar. The
sear body will be widened by a permanently attached spacer
on the sear body, this spacer corresponding with the new
sear slots of the modified semiautomatic bolt.
Based on your correspondence and enclosure, our judgment is
that if manufactured and assembled in the manner described,
the semiautomatic FN30 series of firearms would not have a
machinegun frame or receiver a nd would not be readily
converted to be machineguns. Of course, the semiautomatic
configuration frame or receiver and, also, a complete
semiautomatic firearm manufactured as described would be
"firearms" as defined in Title 18, United Stat es Code
(U.S.C.), Chapter 44, Section 921(a) (3).
0181
744
RIF
0182
-3-
Mr. Kris Hartwig
We thank you for your inquiry and trust that the foregoing
has been r esponsive. We are enclosing the items that
accompanied your letter to ATF.
Sincerely yours,
~1

Ster ~ng N~xon

Enclosure
0182
745
RIF
0183

APRo~
www.at[gov
903050:RV
3311 /2006 580
Mr. Dan Shea

Long Mountain Outfitters, LLC
631 N. Stephanie St., #560
Henderson, Nevada 890 14
Dear Mr. Shea:
This refers to your letter of March 22,2006, to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF), Firearms Technology Branch (FTB), along with a sample M 134 Minigun
receiver casting submitted for evaluation. You have requested a determination regarding
whether this casting has reached a stage of completion at which it would qualify as a firearm.
We compared your casting to a complete M 134 Minigun receiver and found the following
differences (see enclosures, pp. 3 7):
The front opening of the casting for the forward rotor assembly bearing has an internal
diameter of 4.550 inches.
The front of the complete M 134 receiver has an internal diameter of 4. 775 inches, which
a difference of .225 inch.
The rear opening for the casting's rear rotor assembly bearing has an internal diameter of
2.965 inches.
The rear opening for the rear motor assembly of the complete M 134 Minigun is 3.145
inches, a difference of .180 inch.
Additionally, FTB found that the following mounting holes have not been made:
Mounting hole, gun drive motor adapter (three).

Mounting hole, feeder/de-linker-quick release pin (four).
Locating slot, feed guide.
Hole, feed guide locating pin (two).
Hole, feed guide retaining bolt (two).
Hole, mount assembly bolt (eight).
Retaining hole, bolt roller guide/quick release pin (four).
Hole, quick release retaining pin sating sector cover (two).
Timing pin hole (two).
0183
746
RIF
0184
-2-
Mr. Dan Shea
The M 134 Mini gun is a very sophisticated mac hi negun, and the completion of the missing steps
cannot be accomplished with common hand tools. Therefore, FTB finds that the Ml34 Minigun
casting submitted for evaluation has not reached a state of completion at which it would be
considered a firearm under the Gun Control Act and, further, that it is not a machinegun under
the National Firearms Act.
Our determination pertains to the sample as received; any modifications to future samples could
change this classification.
We trust the foregoing was responsive to your request for an evaluation. The casting will be
returned to you under separate cover.
Sincerely yours,
~~
Chi{[ Firearms Technology Branch

Enclosures
0184
747
RIF
0185
MAY 3se&
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0185
748
RIF
0186

Martinsburg, Wts1 Virginia 25405
903050:MCP
3311 /20 I 0-1093
......-ww.atf.gov
Mr. Steve Carter

IRAC, Inc.
P.O. Box 989
OCT 1 8 2010
Dear Mr. Carter:

Firearms Technology Branch (FTB), which accompanied your submitted sample replica of a
Browning M2-type machinegun. Specifically, you requested an examination and classification
of this sample, the physical characteristics and identity of which are provided below, along with
a description of the markings:
IRAC. Model M2. no serial number
No barrel.
No fire-control components.
Spade grip assembly.
Markings. receiver right side plate
IRAC INC.
M-2 .50 CAL.
REPLICA
As background, the amended Gun Control Act of \968 (GCA), 18 U.S.C. 921 (aX3). defines
the term " firearm" to include any weapon (including a starter gun) whith will or is designed to
or may he readily conwrted to t!Xpel a projectile by the action ofan explosive ... [and] ... the
.fi"ame or receiwr o[anv .w ch weapon ....
Further, the National Firearms Act (NFA), 26 U.S.C. 5845(b), defines "machinegun" to mean
... any weupon which shoots, is designed to shoot, or can be reudily restored to shoot,
automatically more than one shot. without manual reloading. by a single function ()(the trigger.
The term shall also include the frame or receiver o[anv such weapon. any part designed and
intended solely and exclusively. or combination ofparts designed and intended. j iJr use in
conwrting a weapon into a machinegun, and any combination ofparts jiom which a
machinegun can be assembled ifmch parts are in the possession or under the control ofa
person.
0186
749
RIF
0187
'
-2-
Mr. Steve Carter
Additionally, please note that 27 CFR 478.92 states the following:

... each licensed manufacturer or licensed importer of any firearm manufactured or imported shall
or receiver thereof in a manner not susceptible ofbeing readily obliterated, altered, or removed, an
barrel thereof in a manner not susceptible ofbeing readily obliterated, altered or removed, the
model, ifsuch designation has been made; the caliber or gauge: the name (or recognized
abbreviation of same) ofthe manufacturer and also, when applicable, ofthe importer; in the case of
a clomestical/y made firearm, the city and State (or recognized abbreviation thereof) wherein the
licensed manufacturer maintains its place ofbusiness; and in the case ofan imported firearm , the
name ofthe country in which manufactured and the city and Stale (or recognized abbreviation
engraving. casting, or stamping (impressing) of the serial number must be to a minimum depth of
.003 inch and a minimum height of 1/ 16 inch. All other markings must be of a minimum depth
of .003 inch.
The FTB examination revealed that the submitted sample has been assembled utilizing a steel
right side plate that is dimensionally correct to that of an actual M2 machinegun right side plate
(see enclosure for photos). All machining operations have been accomplished on the submitted
side plate with the exception of two non-critical cuts on its back side. Because the FTB
examination finds that the submitted side plate is the receiver of a firearm, it is a "firearm" as
defined in 18 U.S.C. 921 (a)(3). Moreover, since the side plate is also the receiver of a
machinegun, it is a "machinegun" as defined in 26 U.S.C. 5845(b). Consequently, the. right
side plate is subject to regulation under the provisions ofthe GCA and NFA.
The submitted sample will be returned to you under separate cover; however, the right side plate
will be retained by ATF.
We trust that the foregoing has been responsive to your evaluation request. lf you have
additional questions, please do not hesitate to contact us.
Silcerely
, I
yo~urs,
. \
4R.
~-
Spencer
Chief; Firearms Technology Branch
Enclosure
0187
750
RIF
0188

SEP 14- 2004

www.atf.gov
903050:RV
3311/2004-653

1350 Eye Street, Suite 1255
Gentlemen:
This is in response to your letter dated July 19, 2004, to the Firearms Technology Branch (FTB),
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), in which you request a
classification on M6AI machinegun receivers.
Specifically, you want to know at which point during the manufacturing process would the
forgings warrant classification as a firearm receiver. To amplify your inquiry, you have
submitted photographs, blue prints, and portions of a technical manual to indicate the step-bystep machining process.
ln determining whether a partially completed receiver is, in fact, at a stage where it should be
classified as a firearm, FTB evaluates the level of completion of the submitted sample--in this
case via an examination of detailed photographs--and makes a comparison with a sample of a
completed firearm of the same type. Then we determine if the submitted sample can be brought
to a stage of completeness that will allow it to accept the firearm components to which it is
designed for, using basic tools in a reasonable amount of time.
After examining the photographs with the instructions provided, FTB has determined that upon
completion of"operation 307," all of the critical dimensions would be completed (see
enclosure). Therefore, at this stage the item has reached a stage that it would be classified as a
receiver under the Gun Control Act of 1968.
The plans and photographs submitted with this request will be placed on fil e with this letter.
Any deviation or departure from the steps indicated could change our classification.
0188
751
RIF
0189
-2-
We trust that the foregoing has been responsive to your inquiry. If you have further questions
Sincerely yours,
1\
,.:_pu
Sterling Nixo':!>O
Chi~, Firearms Technology Branch
Enclosure
0189
752
RIF
0190
..
LEsFsTEaEMO
()
()
Mr. John Benjamin

1537 NE 11 AYenue
Port and, Oregon 97231
Dear Mr. Benjaain:
t:l
....
....<
....
0
Thia refer to your letter of Dec..ber 17, 1998, in which

you ask about the receivers for MGl (MG42) machineguns.
to
::s
The receiver for the weapon in queation la a folded and

welded sheet metal housing which enoaaea the barrel, bolt,
and recoil mechanism of the weapon. The buttstock ia
mounted to the rear of the receiver .
'8...
..,.
1-'
!a.
We have previously deterained that unfiniahed sheet metal

receivers are firearas when they have r ..ched a atage in
manufacture where tbey have been foldea to abape. Tke fact
that certain we aing, drillin , and other aaaembly
operation8 bave aot been perforae4 bas DO bearing on ~
claaeificatlon. Yherefore, the anfiniebed KGJ reoaiera iD
question are machineguna defined.
.....
\Q
::s
With reapect to your question concernin9 tbe front portion

of the NC3' machinegun, this component s a detachable
barrel jacket which ia not a firearm receiver . The receiver
of the MGJ' is a uaahined bouaing which encaaea the bo t
mechanism and to wh cb tbe barrel jacket is attached.
'1:1
Ad4itioaally, we are not aware of the forward sections of

tbe M~2 receiver be ng approved for importation . The
receiver of the MG42 ls essentially the same type of sheet
..tal housing as is used in the manufaature of the MG3 .
No trU&t that the fo.e~oing baQ bQan ce~pon~i & to y~u.
inquiry. If we can be of any further as !stance, please
contact ua.
Sincerely yours,
(Slsn d l
rd .._
own.
n.,
Edward M. OW.n, Jr .
Chief, Pirar.. Yeebnology Branch
coo
INITIATOR
fte\'IIIW.R
,..VII! WE"
M VIZW . R
llti:VI.W E "
R I!VII.W ...
MVIaWa R
IL.K : F t f~
au11lrouAD
........
OAT.
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ATPP 13U.II'"IJ: 71!1)
COitMSPONMNC. _,..OVALANO C:LEAAAt iCil
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M.COtiOI. ~0-...c.co ..11t0 "'. .. . -
U SOPO 1118-G-22'6-&345
0190
753
RIF
0191
....
John Benjamin
1537 NE 141 Ave
Portland, Or 97230
December 17 1990
ATF
Firearms Technology Attn1 Mr OWens
Dear Ed:
I had a little problem with some MG 3 housings that I ordered recently
and I am informed that you have one of these parts. This part is
.anfactured in a completly different method than the WW II MG 42
family of machineguns. I did not get what I expected when I was shown
what came in the box to be sure.
The question I have is how can I import a few of these parts for
testing and evaluation. I have no intention in manfacturing any
NFA weapon from these parts. Is there some method I could import these
if something was done to the housing to make it impossible to build
a fire arm from the part. What I am interested in is the amount of
springback and dimensional accuracy that the housings have prior to
there being manufactured into a firearm. I am also interested in the
the work hardening the metal in the final assembly prior to welding.
As an interesting observation the MG 42 guns which I use in product
development pound themselves into destruction quite quickly and
frequent work is required on the locking cam sheet metal suporting
structure. I found much to my dismay that the unlocking
cams are extremely difficult to replace if any welding is done to
build up the sheet metal. It took me about a week just to get my
gun to work after I removed the unlocking cam housing. Alignment
is very critcal and it must be aligned in three planes within about
.005 inches on the sheet metal or the gun simply does not work at all.
I have included a page from the field manual for your reference.
Other people have imported the front ends of MG 42's and the fronts
of MG 34's . These at one time were firearms. I am interested in the
manfacturing process for the gun not building firearms from non
completed stamping&. What I require for my engineering studies is
non completed receiver housings prior to them being finisnJor straightened
on alignment jigs.
Please be aware that I have been informed that for weapons parts
all nomenclature must match. If I order something that is not listed in
a factory manual by the name in the manual it is not possible to
get export licenses. All the names must match on the import license,
the purcase order, the factory invoice and in the parts manual to
obtain EUR export licenses.
Thank you for taking the time to consider my request.
C,vcL I 4-S
0191
754
RIF
0192
.
II . TECHNICALDATA
5. Other Data
All data are mean values and are within the allowable
manufact ur ing tolerances .
Sight ing device:

Open sighting. using
front and rear sights
Safety range in direction of firing
Safet y range lefi and right
I. Dimensions
Calibre
Length of gun with butt
Length of gun without butt
Width of gun
Height of gun with AA sight raised
He1ght of gun with AA sight lowered
l ength of barrel with locking piece
Length of rifled section
7.62 mm
1225 mm
1075 mm
130mm
270 mm
205 mm
565 mm
476 mm
from 200 to 1200 m

5000 m
1000 m each
Ill. TECHNICAL DESCRIPTION
R/H
T WISt
No. of rifles
Distance between front and rear sight
Height of muzzle with bipod unfolded
430 mm
300 mm
---
2. Weights
Weapon with bipod and sling
iWeapon withoul b ipod and sling
Barrel
11 .5kg
10.5 kg
1.7 kg
3. Performance Da ta
Gas pressure
Muzzle velocit y (V )
Muzzle energy (E;)
Rate of fire
~aximum
range
3360 bar
820 m/ sec
3200 N M
appx. 1150 150 rds/ min
appx. 4 000 m
Fia. 2: Components o( MG J
Housma
Barrel
1.1 . Operating D ata
Req uired trigger pulling force

Recoil travel of barrel
Recoil travel of barrel t ogether with bol t.
unul bolt is unlocked
12
IJ
Recoil booster
Barrel au Ide slee' e
Reco1l sprna
Feed mechmsm
14
Pivot ptn
P1stol &np
15 Oust C'O\er
16 Tonional sprl spnn&
Bolt
Cock ina shdc

Rearco,-cr
appx. 6 to 8 kgf
appx . 21 mm
8 Butt
appx. 8 mm
\-\-o\~
-t:'o.-
\~'::f:JI:I'
8 1pod
10 Shn&
II
17 P~ot pm
18 Split coucr pm
19 E)cbolt
20 Ant1 A m~nn S&ht
~to..~.~ ui\J-1-ti\JI'::I~c(
0192
755
RIF
0193
,,.

Martinsburg .
We~t
Virginia lJ40j
www.atf.aov
903050:AG
3311/2011-014
DEC 2 2 2010
Mr. Steven Carter
IRAC, Inc.
P.O. Box 989
Dear Mr. Carter:
This is in response to your letter to the Firearms Technology Branch (FTB). Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF), requesting an evaluation of a "dummy," MK 19 type,
40rnm machinegun, which is enclosed with your correspondence. Specifically, you asked FTB
to determine if your submitted sample was a firearm or a "durnmy"/"non-gun."
For your information, the Gun Control Act of 1968 (GCA), 18 U.S.C. Section 921(a)(3), defines
a "firearm," in part, as " ... any weapon (including a starter gun) which will or is designed to or
may readily be converted to expel a projectile by the action of an explosive ... [or] ... the frame or
receiver of any such weapon .. .. "
Further, the National Firearms Act (NFA), 26 U.S.C. Section 5845(b), defines a "machinegun"
as follows:
... any weapon which shoots, is designed tu shoot, or can be readily restored to shoot,
automatically more than one shot, without manual reloading, by a single f unction ofthe trigger.
The term shall also include the frame or receiver ofany such weapon. any part desig ned and
intended solely and exclusively, or combination ofparts designed and intended, for use in
converling a weapon into a machinegrm, and any combination ofparts from whi,h a
machinegun can be assembled ifs uch parts are in the possession or under the control ofa
person.
Upon examination, FTB found that the submitted MK 19 "dummy" receiver is a newly
manufactured item. The "receiver" portion of the item is milled from an aluminum casting and
mimics the shape and appearance of a MK 19 machinegun receiver. The submitted item includes
a solid, steel " barrel," as well as other non-functional components which are designed to
replicate the appearance of MK 19 components such as the control-grip assembly, sear assembly,
and feed mechanism.
0193
756
RIF
0194
-2-
Mr. Steve Carter
The FTB examination confirmed that the aluminum "dummy" receiver is incapable of accepting
an MK 19 machinegun barrel, bolt assembly, feed mechanism, or sear assembly. Moreover, the
submitted item is not designed to expel a projectile by the action of an explosive and, in addition,
does not incorporate the frame or receiver of a firearm and may not be readily converted to expel
a projectile by the action of an explosive. Therefore, the submitted item is not a " firearm" as
defined in the GCA or a "machinegun" as defined in the NFA, and its sale and possession would
not be regulated under Federal law. This finding is based on the item as submitted to FTB. Any
changes to its design or dimensions would make this classification subject to review.
We thank you for your inquiry and trust the foregoing has been responsive to your evaluation
request.
Sincerely yours,
ohnR.Sp<~
Ch" f, Ijrearms Technology Branch
._/
0194
757
RIF
0195
L :FrTD1ENO
7540
0
0
..
Hr . Robert Bower
Philadelphia Ordnance, Incorporated
Orelan Industrial Park
Oreland, Pennsylvania 19075
O!'l
...... ::
(110
;>;::
l'l
(/')
)o
(')
'....""
Dear Hr. l!ower
HI
This refers t your letter of July 2, 1985, with which

you aubmitted a sa ple of an unfinished receiver tube for
an MP- 38/HP-40 aubmachine!Jun receiver , a threaded barrel
bushing and a partially completed aoaaine houalng for
the above firearn. The parts were aubmltted for claseification under tho provietona of the GUn Control
Act of l96R (GCA) and the lational Firearms Act CNFA).
U>O.
0.
t"'
.......
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~
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-.II
NW
00
l}1
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0
'....""
0
HI
(l)
Exa ination of the su~itted parts indicates that tho

receiver tube has been achined at the rear to accept an
IP-38 or tP- 40 submachlnegun rip fra e . No holes or
slots have been achined for the aear, cocking handle,
~aoaaine port, ejection port, latch pin , ejector , or roar
sight. The receiver tube, as described, has not yet reached
a stage in nanufacture where it would be classified as a
firearm . The barrel bushing and JNgasine housing are not
subject to the provision of the GCA or the NFA. However,
if any additional r-achining operation are performed on
the tube , or if any additional c~nenta are sold with
the tube , this classification is sudject to review.
"'l
.....
11
CD
01
g
(ll
......<
It is &UIJgested t.hat you notify any purchasers of these

parts that the construction of a serviceable or unserviceablo
HP- 38 or tP-40 type submachin&Oun without payment of the
appropiate aak i no tax and prior approval fro ATF is a
violation of the NPA.
The submitted samples are being returned under separate
cover.
we
tur at that the foregoing has been responsive to your

inquiry . If we can be ot any further assistance , plea ..
contact us .
Sincerely yours,
Edward u. owen , Jr .
Chief, Firearoa ~echnology Branch
coo.
OMnATOII
.....
V~ff: F re
D A'n
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ATPF
lttJ~.
t.sD.8fZ ~
.,.......
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M.vtzwa"
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COftltESPONHNC.IIII'PAOVALANDCL.aAAAHCIE
o~""'" .,.'- "'0'
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-~UATPPOIIMN,.7~WMICHIIAYaRUUD
e V 8- GP01
Jt~- 461-lll
0195
758
RIF
0196
..W I 8 1985
r. Charles Steen
Sarco, Incorporated
323 Union Street
Stirling, New Jersey
Dear
07980
r. Ste nt
This refers to your letter of June 10, 1985, with which

you au itted a sample of a dumMy STEN aubnachinegun for
classification under the provisions of the Gun Control Act
of 196 (GCII) and the ational Pi reams Act H'P'A).
Examination of the aubmitte~ sample indicates that it is
constructed utilizing a STEN submachinegun barrel, nagazine
housing, trig er housing, buttstock, buttatock retainer
plun er, and rocoil spring retainer. The du~y also
contains the forward portion of a eTcN submachinegun bolt
an a ortion of recoil spring. The receiver has been
constructed fro solid alu inu bar stock which has been
bar d out in the front, and the forward portion of the
bolt has been olued in lace.
The receiver has been cut out in tbe area of the ejection
port and magaaine vall, aRd a slot has been achined tn
the right aide of the receiver to accept a dummy cocklng
handle. The remainder of the receiver is solid bar stock.
ased on the sample supplied, the above described du y
RTEN subnlachinegun 1a not a fiream as that term 1a
defined in the GCA or the tFA.
owever, if the ~ethod of
construction or dimensions are changed, this classification
would be subject to change.
The subnitted sample is being returned under separate
cover.
REVII.WER
IUVIE.WI"
0196
759
RIF
0197
..
r.ca FtT&a Et o
7540
Hr. Robert J. Imel

P. A.l .s., Inc.
8175 River Road, ~.E.
Sale , Oregon 97303
Dear Mr . Imel:
Thia refers to your lettP-r of June 2, 1986, with which you
sub itted samples of your ZXS subnachin~oun receivers in
various stages of proouction. Also submitted, waR an "GH
ode) Xfl5Al receiver which has been moditied to Hl6
conlinuration.
F.xa ination of the subNitted ZX5 receiver tubes bearing
serial numbers 0306, Ol78 , and 0369 indicates that serial
numbers 0306 and 0278 have reached a ~int in manufacture
where they are considered to be machinegun receivers as
defined in Section 5845(b), Chapter 53, :ritle 26, United
St~tee Code , the National Firearms Act ( NFA ).
Xbe tube
bearing serial number 0369 is escentially in the sa~e
oonfiouration aa that submitted by your fl~ in 1977.
This tube has not yet reached a ataQe in manufacture whore
it can be considered a receiver for a machinegun. Addi tionally, it is not considered a firearm as that term is
defined in Section 92l ( a) ( 3), Chapter 44, Title 18, United
States Code, the Gun Control Act of 1968.
The XH15Al receiver, bearing aerial number 3305, has been
re anufecturcC to the configuration of a~ Ml6 selective
fire rifle and is a nachinogun subject to the making,
registration, and transfer provicions of tho ~FA. Your
comparison of the 1116 type receiver to ZX5 receiver without eiection port or cocking slot lS not relevant, since the
Hl6 type ~eaign does not utilize a cocking olot or ejection
port in the receiver of the weapon.
0197
760
RIF
0198
-2-
rr . Pobert J. Iroel
The submitted samples
ar~t
being returned under separate cover .
We trust that foregoinQ has been responsi ve to your inquiry .

If we can be of any further as&iatance , please contact us .
Sincerely,
Chief,
Edward M. OWen, Jr .
Fi rea~s Technology Branch
EMOWEN: h j:?-1-86
Di sk 1 30 Line
cc :
~N?TO~
CODE
~~-~
SUR
laJ,
NAM.
DATE
I nspec t or Lee Ruthe r f ord

BATF , Compliance Operatio ns
Por tland , Or egon
7.
,_EVII!WER
MYIEWI!R
REIII!WE. R
SAC
RRA
REVIEWER
Fir ear ms Div.
REVIEWER
REVIEWER
_.,
12- / -~
ATr& P: 1325.e f2 75)

llti:~C ES ATF FORM St2f 73 )
COIItRES PONOENC A PPROVAL AND CLEARANCE

WHICH MA Y BE USED
!."""
Oof'...JIII"'rMi:,.J o ,-no Uti ...
. u.s.
cPOl UU-467- tlO
0198
761
RIF
0199

AUG 1 6 2002
903050:GKD
3311/2002-354
Mr. Mark R. Jacobs

Black Bear Manufacturing L td.
10080 N. Palmyra Road
North Jackson, Ohio 44451
Dear Mr . Jacobs:
This refers to your letter of March 4, 2002, with
which you submitted a sample of a semiautomatic
replica of a Vickers water-cooled machinegun for
classification.
The submitted firearm has no
manufacturer's marks of identification or serial
number .
As defined in Title 26, United Sta te s Code (U . S.C.),
Chapter 53, section 5845(b), the term machi n e gun means
any weapon which shoots, is designed to shoot, or can
be readi ly restored to s hoot , automatica lly more than
one shot, witho ut manual reloading, by a single
The term shall also include
the frame or receiver of any such weapon.
Examination of the submitted firearm indicated that
the left sideplate is approximately .132 of an inch
thick. The right sideplate, approximately . 132 of an
inch th i ck exclusive of the ribs, has been
manufactured with two integral steel ribs that
protrude from t he inside of the sideplate into the
receiver cavity.
These ribs begin near the rear end
of the trunnion and extend approximat ely two inches
toward the rear o f the sideplate . Each rib is
approxi mately 3/32 of an inc h high and approximately
.OS of an inch thick . The purpose of the ribs is to
p revent the installat i on of standard Vi cke rs
machinegun side rails (recoil plates) . The right side
rail has two re li ef c uts t o accommodate the ribs of
the sidep l ate.
REVI EWER
REVIEWER
REVIE WER
"U.S . Gcwmrncnt PrinbngCMfiol: 2002 - 4tl -811/53553
0199
762
RIF
0200


-2 -
Mr. Mark R. Jacobs
A metal bar has been installed in the receiver

directly unde r the mounting screw for the top cover to
prevent installation of a standard Vickers lock
casing.
The top front portion of the lock casing has
been notched to accommodate this metal bar. The top
cover has had metal removed to allow it to close over
t he metal bar.
The top cover has a stop block installed in a
temporary manner, which you state would be a weld
installation o n the production firearms. This block
prevents the i nstal l ation of a full automati c trigger
bar. The modified trigger bar present in the top
cover has a spring-loaded disconnector installed. The
trigger bar is in severa l pieces. The front section
disconnects from the rear section when the bol t moves
to the rear. Additionally, the trigger (sear) on the
bolt has a vertically sliding plunger that engages the
front of the trigger bar.
Further examination disclosed that a simple
modification such as installation of a meta l shim or
block under the disconnector could cause the firearm
to function as a machinegun as originally designed. To
test this possibility, a folded piece of sheet brass
was placed under the disconnector and the firearm
subjected to a test firing in this config uration.
This test was conducted at the ATF test range,
Washington, D.C . The submitted Vickers firearm was
capable of discharging more than one round of
ammunition, without manual reloading, by a singl e
Based on the above examination and test firing, the
Vickers type firearm you submitted is a machinegun as
defined and is subject to the provisions o f the
National Firearms Act (NFA) .
It is illegal to
transfer or possess such a firearm unless it is
registered in the National Fi rearms Registration and
INITIATOR
RE VIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
REVIEWER
CODE
SURNAME
DATE
ATF F 9310.3A (7 97) (Formerly ATF F 1325.6A, whiCh may still be used)
tJ.S. Gcwei'Mien1 Ptint.ng OH10e. 2002 - 491811153553
0200
763
RIF
0201


-3-
Mr. Mark Jacobs
Transfer Record (NFRTR) . In accordance with NFA

controls, we are unabl e to re turn an unregistered NFA
firea rm to you.
The fo l lowing opt i ons are availab l e :
A.
Voluntary abandonment t o AT F f or disposition.
B.
Removal and retent ion o f t he right sideplate by
ATF a nd return of the remaining components t o you.
We regret that o ur response could not be more
favorabl e at t h is time.
If we can be of any fur t her
Sincere ly yours,
Curtis H.A. Bartl ett

Chief, Firearms Techno l ogy Branc h
INITIATOR
REVI EWER
REVIEWER
REVI EWER
REVIEWER
REVIEWER
REVIEWER
CODE
SURNAME
DATE
ATF F 9310.3A 797)(Former! y ATF F 1325.6A, which may still be used)
U.S. GoYemment Pnnt.ng Olli00. 2002 - 491 8 11/53553
0201
764
RIF
0202
,.
MAY I 0 ll8l
LEI F :TE I C.'10
to. '\athleen A. Ryan

Gpringf eld Armory
42 Neat :-tain Street
G ne eo, Illinoio 61254
Dear H Ryana
cefcr to your let .c of Hay 2, 1990, in \1hich ou a k
about the lmporta.: on of unfini h-d rcc lve
and c
onent
pa t fo the A 9 cc AGJ.Il 9
ca ibe carbine . Y u
ndicato~ that ~pr ngf e d Ar ory p an
to comp ete
munuf c ur of the cceiver and a semb e the ~eapon
Un ted tate A nmple of the untln bed receive
ubm tted o th
office on lay 9, 199
Th
An exam1nation of the GUblil1tted ample indicate ~h

t
a f at rec~angular p1ece of heet metal approximate y 11-3/4
1nchc 10 length and app oximatcly 4-3/0 1che.. in w dth .
The ejection port ha been cut lllld two trengt. en i9 lb have
been pre~sed nto the b an~. A~ 1ndicated n your letter
tho fol owing ope ..a ion are to be per o.med by your fi 1
l.
2.
3.
4.
S.
6.
to n U haped channel.
wtnmp out the bolt handle cock~ng handle olot .
Pcrfor a di."plo-.. nd-pu.1ch operat~on for he carrying
hllndle.
Held a bolrrc~ re-a.nor collar in place to ~roperly
.ocate the barrel in the receiver .
Held
rottnfo.ccmont br:o.ckoc in place ..o g1vo trongth
to the receiver: and allow the location 11nd in tallat on
of the front trigger hou ng .
Drill to properly locate the rear tr gger count ng
pJ. cement.
I'0-1>1
T o unf~ni hod rece vcr for the Algioec A~l carbine, as

de cr bod bovo, ha not reach_d o. ctag~ n manu.actu c
who e 1t wou d be c1n
f1ed as a f oa
CODE
1?~~:-rz;JJ:?
NAME
V(}Lb--
D ATE.
s-~<7--t:?O
SUfll
IIIEVIEWER
REVIEWER
R EVI!WER
ATF F 132.5 S !a -7.5 1

CO..RESPONDENC APPROVAL A
.. E~LACES ATfl FORM 92 18731 WHICH MAY BE USED
"
REVIEWE R
'
D CL.EAAA ICE
'lEVIEWER
REVIEWER
,....,.,. .. T
., .._...., Of' lill-COMOL
H~ACCO
..1[
,.l.A.tllln'
..... 0 I
at.AitQ
U S GPO 1iai0 228538
0202
765
RIF
0203
,..._ .
-2-
Kath een A. Ryan
00
0 ....
,..
.. rn
Plcaae be adv.L ed that thl c a ~ification !a ba ad on th...

onnple a received . If the desion, di en on 1 or nunbec of
lllllnuf ctur ng operation ... arc ch.:mgcd, thi c a
flcat on
ubjcct ~o revici.
Cllt"'
>I
(')N
.co
~;o
><
O>
H!z:
<:
HO
T
ubject unf ni hod rcce.Lve haQ rene ed a tage in
manufacturo where i _ identiflable a~ a defen c art1clc1
therofoce, an ATF Form 61 Applicatton and Pe m t for
Importat1on of Arr.1 1 AL::aun:a.tion and I.plement of Har1 wi.Ll
bo required for the . porta ion of the unfini hed rece1vcrs .
CllO
H(')
ZV1
I
ID
Your que t on concern1.ng record ke':!p ng baa been referred to

tho Fi ca
and Explo ivc Ope~a~ions Brunch, Compliance
Opcrnt ... on They vill .te pond conoern.ng thi que tion.
The
uum ttcd
amp e i
being rotu ned undet
ID
""
eparate co c
t:e trust tha
the foregoing t.a bee., re pon ve to your

nqui y . If we m:ly be of any further n l. tance, please
contact u
Sincerely your
Ed~ard M. owen, J
Chief , Pirearm ..:Oechno ogy Dr ncb
COOl!
INITIATOR
REV III! WEA
REVIEWER
REVI1 WEA
AEVIEWE!It
REVIEWER
REVIEWER
SUR
NAME
DATE
AT~
F" 132$ 612751

CORRESPONDENCE APPROVAL AND C.LIEAAAt'ICE
REPLACES AT I" FORM 21731 WHICH MAY BE USED
,.,dJI
ufltAU Of
0 _"" ..
Hf , .. ~~...,
A.&.COt<O.. T~C.CO "''"0 f fli..A.to'ltll
u 8 GP10 tle8 0 228-5)8
0203
766
RIF
0204

903050:MRC
3311 /2004-179
MAY -5 2004
Mr. Neil Amodeo
Numrich Gun Parts Corporation
226 Williams Lane
P.O. Box 299
West Hurley, NY 12491
www.atf.gov
Dear Mr. Amodeo:

This is in response to your letter dated November 28, 2003, to the Bureau of Alcohol, Tobacco,
Firearms and Explosives (ATF), Firearms Technology Branch, with reference to your submitted
AMT Automag-type casting. ln your correspondence, you inquire whether this item qualifies as
a "firearm" under the Gun Control Act of 1968.
Following examination of the example you submitted, our Branch determined that the following
machining operations would be necessary for this casting to be considered a firearm:
I.
2.
3.
4.
5.
6.
7.
8.
9.
Cut frame rails.

Drill hammer and sear pin holes.
Drill hole for trigger bar spring.
Drill hole for trigger bar stop pin.
Drill slide stop pin hole.
Drill and tap for grip screws.
Drill hole for hammer strut and spring.
Final prep of feed ramp.
Drill hole for trigger pivot pin.
Therefore, the particular casting you submitted does not meet the definition of a "ftrearm"
presented in 18 U.S.C. Section 921(a)(3). However, any deviation from the example would void
this classification.
Sincerely yours,
~.._ s?n~
0204
767
RIF
0205
...
Jm 1 a 1981
01
to yrur: lett:JN: of J\llla 3

cpin1or1 on
c1
cat.1m of a
firoom frJae OS: nx:e1:
0205
768
RIF
0206
. s......
.:{
est-
'81.-m
File:
SAVAGE ARMS
Sprin!jdale Road
WesH1eld, Massachuselts 01085
Telephone: (413) 562-2361 Telex: 95-5440
June 3, 1981
Firearms Technical Branch
Bureau of Alcohol, Tobacco
P.O. BOX 784
Washington, D. C. 20044
& Firearms
Gentlemen:
I have been asked by your Springfield, Massachusetts office
to write to you.
I would like to receive a written opinion as to whether or not
bolt action rifle receiver blanks, as illustrated in the
enclosed polaroid picture, have to be serial numbered before
sale to a custom gunsmith who will make match rifle receivers
from them.
These blanks are made by cutting a steel bar to length and
then drilling and broaching. There are no other operations performed on this piece of steel by Savage Arms. The exterior is
unfinished and over sized .
The custom gunsmith who was to furnish these into receivers would
have put on a serial number after machining has been completed.
We will not ship any of these blanks until we receive your
opinion.
R~c:;;_%~
RAG/gk
R. A. Greenleaf
Customer Services Manager
encl
0206
769
RIF
0207
...
0207
770
RIF
0208
I
oc
0 ...
LE:F:TE:EMO
Dl
:or
(l)t"'
)Ill
.. "'
(")N
tr. ~ieolaw Czercpnk

3809 w. 77th Place
Chicago, Illinois 60652
Doer tr. Czercpak:
This ref r to your otter of July 24, l99B, in which you
aok about selling t\P4C suboachinegun receivero which are
"80\ flnishod.
CIO
......
e do not J;~Z~I;e clnssifl.cationo ba ed on tho percentage of

co pletenooo of a particular ito The terminology "80'
f.nished is not uood by thi~ office.
l
"'
051
c have classified certain unfinished receivers as n t being

firea
Those unf niehed submachin gun type receivers,
wh ch have been clas ified as not being firear s, are solid
ba
w1th no 1nte nal macb.ning perfor ed. The exter or of
tb bar ha been profi ed to the opproxi ate al~ e of the
finished te
If you
ol d ba hnv1n the exte~~ e
of nn
chine un receiver nd having no nternal
sachin1n, the itc1 wou d not be a firer If any
operat ons were performed tbi claosifi~at on
ubject to review.
e tru t that the foregoin bas been re
inquiry. If we
y be of any further a
contact u
Sincer
(SicnedJ Edward
Ch ef,
CODI:
t NJTIATOA
"IIVIEWER
onsive to your
1 .. tance, p e o
y yours,
u.
Oreo, Jr
. 0 en, Jr.
cchnology Dtanch
REVIEWER
RI!VIEWER
REVIEWER
REVIEWER
SUIIt
NAM I.
DATI!
ATJI' F 1325
e 12 7 5 1
COAAE:SPI'ONDI!NCE A,.._M>VAL ANO CLEARAtiCE
llti: ~C I:S A'TF FORM !JZ UJ-73) WHfCH ""AY BE USED
aonu
"t~OI'
Uof flllA9....,
av"'*"'"' Olt 41.C:OMCX. fOeAC:'-0 a ... o L.t.ltilll$
U SOPO 118a:Q..228.&38
0208
771
RIF
0209

903050:MRC
JAN 1 3 2004
3311/2004-233
www.~tf.gov
Mr . Steve Lazzara
National Ordnance Company
5514 W 34th Street
Dear Mr. Lazzara :
This is in response to your letter dated November 28,
2003, to the Firearms Technology Branch, Bureau of
Alcohol, Tob acco, Firearms and Explosives (ATF), in
which you ask for a classification of an accompanying
sample of a Government 1911Al type casting .
.
- -- ---
Upon a n exami nation of the submitted sample, our

Branch determined the following machining ope r ations
would have to be performed:
I. Cutting fra me rails;
2.
3.
4.
5.
6.
Drilling of hammer and sear pin holes;

Drilling of plunger tube holes;
Dril ling of slide stop pin hole;
Dri ll ing of disconnector hol e ;
Drilling of hol es for ejec t or legs;
7. Drilling of hole for thumb safety;
8. Finishing machining for magazine catch;
9. Cutting groves for mainspring housing; and
IO.Drilling and tapping for grip bushings.
Furthermore, based on the examination of the submitted

casting , we concluded that it does not meet the
definition of a "firearm" provided in 18 U.S . C.
92 l (a ) (3) . However, any devia tion from the submit ted
item woul d void this classification.
0209
772
RIF
0210
.'
-2-
Mr. Steve Lazzara

We thank you for your inquiry, along with ac'companying
sample, and trust that the foregoing has been
responsive to your request for an evaluat ion .
Sincere l y yours,
~Sterling Nixon
Chief , Firearms Technol ogy Branch
0210
773
RIF
0211
~
. ....
l !.S. Department of Justice

Bureau of Alcohol. Tobacco.
903050:WJS
331112012-1201
Mr. Alan Aronstein

Hi-Standard Manufacturing Company
5151 Mitchelldale, Ste. B II
SEP Z 8 2012
Dear Mr. Aronstein:

This is in reference to your recent correspondence to the Bureau of Alcohol, Tobacco, Firearms
and Explosives (ATF), Firearms Technology Branch (FTB), with accompanying samples (see
enclosed photos) for evaluation and classification per provisions of the Gun Contro l Act of 1968
(GCA), 18 U.S.C. 921(a)(3).
As background to our discussion, the GCA, 921 (a)(3), defines the term "firearm" to include:
converted to expel a projectile by the action ofan explosive; [and] (B) the frame or receiver of
any such weapon ....
Please note that any receiver-casting or receiver-blank that has been fini shed to the point at
which it can be recognized as a firearm frame or receiver is a "firearm." Our Branch has held
that in order not to be recognized as a "firearm," a semiautomatic-style receiver-blank or
receiver-casting must not have: a) slide rails or slide rail indexing marks; b) a barrel seat; and
c) more than two of any of the following four critical holes drilled- I) slide-stop pivot, 2) sear
pivot, 3) disconnector, or 4) hammer pivot pin.
The FTB examination of your submitted 1911-type sample found that is has had the following
machining operations partially or fully completed:
hammer slot and the magazine well.
The ramp partially formed, partially machined.
Thumb-safety detent area partially machined.
Magazine-catch opening machined.
Trigger-assembly opening machined.
0211
774
RIF
0212
Mr. Alan Aronstein
We noted that there is no barrel seat; there are no mounting pin holes for the hammer, trigger,
sear or takedown pin; and no slide guide rails have been formed or indexed.
Further, the FTB examination of your target-pistol type sample disclosed that it has had the
following machining operations partially or fully completed:
hammer slot machined.
Magazine well partially machined.
Feed ramp formed and machined.
Magazine-catch area on front strap machined.
Opening for magazine-catch roller and roller pin machined.
Trigger recess machined.
Trigger stop-pin hole machined.
Barrel seat partially machined.
Barrel take-down pin hole machined.
We noted that there is a partially machined barrel seat; however, there are no mounting pin holes
for the hammer, trigger, and sear, and no slide guide rails have been formed or indexed.
In conclusion, the FTB evaluation finds that the submitted Hi-Standard, 1911-type receiver blank
and Hi-Standard, target-pistol type receiver blank are not "firearms" as defined.
In order to facilitate the return of your samples, please provide us with your FedEx account or a
U.S. Postal Service, UPS, or other appropriate carrier return-shipping label within 30 days of the
receipt of this letter.
We thank you for your inquiry and trust the foregoing has been responsive. Should you have any
additional questions, do not hesitate to contact us.
.
cerely you
, ;+
\ s
c-
hn R. Spencer
Fir arms Technology Branch
Enclosure
0212
775
RIF
0213

AUG 1 9 2004
www.atr.gov
903050:RDC
33 11/2004-564
Mr. Robert Serva

Dan Wesson Firearms
5169 Highway 12 South
Norwich, NY 13815
Dear Mr. Serva:
This refers to an unfini shed 1911 -type semiautomatic pistol frame sample, which was received
by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), Firearms Technology
Branch (FTB), on July 25, 2004, for examination and classification.
Examination of the submitted unfinished frame revealed that the following machining operations
have been made, implementing these essential features:
Slide stop crosspin holes.

Sear pin hole.
Hammer pin hole.
Thumb safety pin hole.
Main spring housing pin hole.
Disconnector port.
Stock screw bushing threads.
Frame plunger tube mounting holes.
Feed ramp.
Barrel link surfaces.
Frame interior passages/slots.
Frame safety lever cutout.
In an accompanying letter, you note that the submitted slide rails have not been cut and that there
is an additional .015 inch of material left on top of the rail area. AdditionaUy, you state that the
sides are approximately .004 inch in width.
The only critical operation yet to be made is the cutting of the slide rails. Although critical, this
work can be completed in a minimal amount of time by a competent individual having the
necessary equipment.
--- - - - - - -
0213
776
RIF
0214
-2Mr. Robert W. Serva
Based on our review of the submitted frame, including the features enumerated above, FTB has
determined that the number and complexity of the operations made are suffici ent to classify this
sample as a " firearm" as defined in 18 U.S.C. 921 (a)(3).
We trust the foregoing has been responsive to your inquiry. If we can be of any further
Sincerely yours,
;e...OY/
~Sterling ~n
0214
777
RIF
0215

JAN 2 5 2005
www.a1f.gov
903050:AG
3311 /2005- 141
Mr. Si H Bloom
General Counsel
Taurus International
16175 N.W. 49'h Avenue
Miami, FL 33014-6314
Dear Mr. Bloom:
This is in response to your letter dated December I 5, 2004, to the Fireanns Technology Branch
(FTB), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), in which you ask for a
classification of the four investment castings you submitted in order to detennine their
importabi lity.
The FTB examination of the submitted samples has determined that the following major
machining operations would need to be perfonned on items 1-3 (revolver-type receiver castings)
to enable them to meet the definition of a firearm:
Machine barrel channel.

Machine cylinder pin hole(s).
Machine firing pin tunnel.
Other minor machining operations might also be required.

The FTB examination of the last submitted sample has determined that the following major
machining operations would need to be perfonned on item 4 (pistol-type receiver casting) to
enable it to meet the definition of a firearm :
Machine bore of barrel.

Machine mainspring channel.
Other minor machining operations might also be required .
0215
778
RIF
0216
-2-
Mr. Si H. Bloom
In conclusion, the FTB examination of the submitted sample castings has determined that they
do not meet the definition of a "firearm" found in 18 U.S.C. Section 921(a)(3) and may be
imported into the United States. However, any deviation from the examples submitted would
void this finding.
for an evaluation.
Sincerely yours,
~~~
1e~~:~l:gy Branch
Chief, Firearms
0216
779
RIF
0217

DEC - 4 2005
www.atf.gov
903050:AG
33 11/2006-124
Mr. Eric Unger

General Manager
Pine Tree Castings
411 Sunapee Street
Sunapee,~ 03773
Dear Mr. Unger:
This is in response to your correspondence dated November 4, 2005, to the Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF}, Firearms Technology Branch (FTB), in which you ask
for a c lassification of two pistol-type (Smith & Wesson/Walther) rrame castings that you
submitted to FTB.
The FTB examination confirmed that the submitted samples are ferrous metal, pistol-type fram e
castings. The castings resemble firearm frames, but are missing several features that would
permit their use as firearm rrames.
The following major machining operations are required for these items to meet the definition of a
"firearm" (see photos provided on pages 3 and 4) :
Machine barrel tunnel/feed ramp.

Machine barrel retaining pin hole.
Machine trigger guard recess and pivot pin hole.
Machine trigger pin hole.
Machine trigger recess.
Machine tri gger bar recess.
Machine sear hole(s) and recess(es).
Machine mainspring cap retaining pin hole (PPK/S only).
Machine mainspring c learance/grip panel screw hole area (PPK only).
Machine hammer drop safety recess.
Other minor machining operations may also be required.
0217
780
RIF
0218
-2-
Mr. Eric Unger
Accordingly, the FTB examination has determined that the Smith & Wesson!Walther pistol type
frame castings you submitted are not "firearms" as defined in 18 U.S.C. 92l(a)(3).
This classification is based on the characteristics and features of the samples as received (one
PPK type and one PPK/S type). Any alteration of the dimensions and/or configuration of these
items will void this classification and require reevaluation by FTB.
for an evaluation.
Sincerely yours,
s -~
{
Sterling Nixon
0218
781
RIF
0219
INTERSTATE SHIPMENT OF
FIREAR~/
/~-/$-/.
HEARINGS
BBll'ORB TBB
COMMITI'EE ON COMMERCE
UNITED STATES SENATE
EIGHTY-EIGHTH CONGRESS
l'IRST AND SECOND SESSIONS
ON
s. 197~
f!;R,? 17t,
A BILL ro .illEN:'(> THiii i'EDI!JRAL lfIREARMS ACT
AND
s.
2345
A DILL TO AMEND THE Jl'EDERAL l!'JREARMS ACY.I.' TO 1''URTHER

RESTRICT THE US>! OF J:llSTRUMENTALITIES OF INTERSTATE
lilt FOltBIOZ.: COllUll&RCkl l!'OR 'i'HE ACQU18l'J.'IO~ 01!' l!'lREARMS
FOR UNLAWFUL PURPOSES
DEOEHDER 18 .AND 18, 1008; JANUARY 23, 24, AND 30, AND
MA.ROH 4, 1004
Serial No. 45
Prl11te4 for the un of the Oommlttee 011 Oomwerce
U.8. OOVERNMENT PR1NTINO ORICll
""If'
WASHINGTON : 19&1
0219
782
RIF
0220
..
'
' ..
APPENDIX
AGENCY COMMENTS
DEPAllTllY.NT 0 .. l:l'l'ATI!:,
Hilu. lVWN
o: M.\qli~soN,
Wa1tl&l1111hm, D.<J., Novm11bor l..f, 1968.
Ol&airnUJ.n. OoinmUtco ot~. Oomtncrae,

U.S. Senate.
DEAR Me. OnAUt'MAN : l nm writing in rep))' to your letter or August 8, 1008,
rl'C}uestlng tbe oonnnente of tho DcJ>nrlment on S. 107G, a bill to nmtmd thu l!'cd
eral Flroarms.Act. ~
S. 107u would nmeud tho flrat five sections ot the l!'c<lernl Flrcmrms A<!t for tho
1mrpose of resttl~ttt\g the siil~ of mall-order handguns to juveniles nnd undeelr
ablo ndulbJ; Wlill"' tile Depat-tment flnds no objections to thcMe 1>rovlslo11s, lt ta
noteil'thai' tbo 8ccrofoeyor ~aury, hy the tt.>rmH of the li'ctlcrnl l'lrmuu,ap Act1
bas res1>onslbtllty tor tta administration. It la furtlicr iiotcd tlu\t 11ectlofa r or
8. 1970 would odd 11 new sL-ctton 10 to tho l!~<!tnl Flrcnrlmi A<t to tlrcscrvo th~
requlrcment.s of SCl'tlon 414 of tllo Afutunl Sucurll')" 'Act 6f lOIS4; nH 1UhN1detl,
whlcb. aro =nchnlnlsWL'ed by tho Seorotory ot St.4t.e! 011 delegation ,from "tho
1
Ur~ldent.
1i .
.-
..
,,
. .
..
..
, ._
!l'h" il>opnrtmcnt .would have ho object.ton to 8; 11070 wltlt.tbe lueluslon ot MIC~

tlon 7 to clarify.tho ludlvldual rosponelbllltlee )f the Seercturles ot tho Trc~umry
ntul Stntc.
,
.
. ;
.
. ,.
The lhtrenu. ()J! the tBttd~t od\l1.1estJ1ot from the etandtiolnt ot Um 111hnlulHttll
lion's pro1rn1n there.IA no objection to ttio submlAAlol\ of thhc rc10rt.
.lt I cnn be of f.u rther aselstn11ce to you :In thlit nultter1 1>le111m tlo not lw1tltnle
to let mo know.
. .. . .
1 Slncorely yourB,
.
FBEDEa1ox o..Du'l"'l'ON, ...
Aaaialcmt 8ool'ott1111.
...
. ,.
llon. WAmu,~N G. fd4'~NU80N,

.
a11afnnan, Gmn,11ltteo o~ 0<m~ncrc6, .
. i .
. DErA.llTMENT o~ $TA.TE, ,
1Voal&11'1lon, Docombc_r: ~. 1968.
.. !
S~malo, : . ...
.
.
. . ... ,
. . DKAR MR. CuAJllMAN : I nm. \\'rlt.lng to the rcspon&O of your llttor of J)e('01nhe~
2, .Ultl.11:requt?fft1ng tho comments of the Det>nrtment on tJJo amendmonbt lntonded
to h~ propoaecl by Senator Dodd to B. 197G amd on S. 2345, both bllhs to nmend
ll.S.
thn l!'odornl l!'lrenrma Act.

..
..
.
.
. The Department ndvl.sod tho commtttee on November 14, 100:1, thatJ 1lt would
have no obJectlon to 8. 1075 with the lncluslou of sootlon 'f .to Clnrlfy tho tn,
dMcluol l'Q8J>0n11lbllltJea ot. the Socretartca of Tteneur7 aud State. . The
amoncltn<>nbl intended to be p1oposed bl' SeuntA>r. Dod<l havo boon rcvlewod. :ond
tho De1mrtan~nt Ouds no re111olt to alter Its poeltion with ret11KJCt .to .tho blll it
amended ns 1>roposod. !
.
.
. While the l>opnrtmeut. .would have no objection to tho onn:>ll,>Pnt of .S; 234G,
It wnuld nppanr that 8. lO'llS, to<'thor with the amondments hltondod to bo pro11osro, would mom nllequatoly nccomplleh the committee's Intended objeotlveH.
Howcivor, this Ill n 1matter thnt oould beaddroseed inoro approprlatt'ly by tho
'l'renfl\ley Depattmcnt which bas rca1>0natbtut~ for tho admhtlatratlon ot the
lt'edetal-l!,lrearma Act1 .. . ,. . ! '' . .
..
.
1
Tb& Bured11 of tbo BudptadvtaC!d that.. from the standpoint of the admlnlstrn~
tlon' .proR?am. tbore le no obJeotlon to the aubmlsslon of.this report.
Sln<'<'rely yours,
,,
..
.
I .
: .. : '
. .
.Jl'lumRIO.K
! .. '
G.
DUTl'ON, .
A111l11tm1e 8aoretaru
(For tho 3ccrotary of fltate),

283
0220
783
RIF
0221
II
284
INTERSTAT!l SBIPMENT OP l'IRJ!WWS

DEPARTMENT
or STA.TF.,
Waahlnoton, Jatat1ar11 t~. 196.f.
Hon. WABRF.N G. MAONU80Jf,
Olla,rtnon, <Jomm41tee on Commerce,

U.S. Ssnale.
am
DJWI MB. CHAIRMAN : I

writing in reBPODlle to your letter ot December 13,
1068, r(!Questlng the comments of the Department on nmendment No. 800 In
tended to be proposed by Senator Dodd to 8. 197G, n bill to amend the Fcdt>tnt
FJrearms Act.
By lt!tter dated December 9, 1968, the Department t.ransmltted comments
relative to amendment No. BM to 8. 197~. The Department has no objoctton
to amendment No. 860 and would request that the vtewe exprecaed In the De<>ember 9, 1003, lettar be considered as applying equally to amendment No. 860.
The nuree.u of the Budget advises that from. the st.andpotnt of the admln
fstrat1011's program there ts no objection to the snbmtlon of this report.
Sincerely yours,
li'REDUIOJC
o. DU'I'l'ON,
A11lalont BeorelarfJ
(For the Secretary of State).
Gmu:au Cowsa,.
Tall.l8UB1' DEPA&TMSNT,
Wa11llnglot1-, Novom'ber 1.f, 1968.
Hon. WA.BREN G. MAo1'U801',

Ollalrman, OommlUee o" Commerce,
U.S. Senate, Waalllnglon, D.C.
Du.a Ma. OKAIBllA!I : In 7our letter dated August 8, 1968, to the Secretary
of the Treasury, you stated that your committee would be pleased to receive
RDY comments tho Treasury Department would care to make on the amend
ments to the Federal Firearms Ad (ch. 18, title lts, Unlted States Code; G~
Stat.12ro) proposed tn S.197G (88th Cong., 1st aesa.) .
We understand that this bill Is the result of a series of hearings 4.'0nducted
by the Subcommittee on Juvenlle Deltnquency of the Senate Judiciary c.om.
1ntttee. During those hearings the problem ot Juventles easily obtaining h11ndguns through so-called mall-order deliveries across State lines was exposed.
It appears that the bill la prfmarlly designed to cope with this problem. S. Urtr>
would accomplish this objective through tncorporatlng epeclftc reetrlctlous on
Interstate ahlpments to juvenlles ot handpns and ganptert:vpe firearm <JUbject t.o the National Firearms Act (cb. fi8, title 26, United Stat.ea Code). These
restrictions would not app})' to sporting-type rUlee and shotcuns.
Ba1dcall1, these reatrtctlona Involve three elements: Ont, the penon who
orders the handgUn (or gangater-t7pe firearm) must establish his tdcnt1t
to the shipper by submission ot a awom statement att.eeted to by a notaey
public to the e.frect that he 11 18 years or more of age, that he ls not a persr.u
prohibited b;v the act from recelvlng a firearm In lnteretate or forefp commerce,
and that there are no provlstona ot law, regulation&, or ordlnancee applicable
to the locaUt,y to which the handgun or Orearm will be shipped wblch wlll be
violated by bis receipt or po88f881on of the handgun or ftreann: second, the
manufacturer or deale.l" shipping to a person other than a federal})' licensed
manufacturer or dealer or to a person boldllll' a State license to purchase a
ftrearm, could not ship a handgun (or 1angater~type firearm) tn lnteratate or
foreign commerce Jn the absence of the required swom statement, and the
shipper would be .required to notlf;v the carter ot the contents of the shipment~
and third, the common or contract cnrrler transporting the handgun (or ganptertJpo firearm) tn interstate or foreign commerce would be prohibited from
dellverfng such handgun or firearm to any person with knowledge or with
reasonable call88 to believe that auch person ta under 18 yeara of age.
Jn.addition to the provlslona designed to deal with the mall-order trafllc In
handguns to ;Juveniles, the blll would also amend the ll'ederal Firearms Act tu
other respects In order to bring the act up to date In tho light ot problems
which hate been experienced In the admtntstratlon ot the act. Detailed comment
as to the nature and effect of e.ach ot th~ amendments fs contaJned In a tecbnlcal
explanation of the blll, which ta attached hereto.
The other amendments to the act contained In the bill appear to be prlncl1l8.Uy
designed
to,
0221
784
RIF
0222
INTERSTATE SHIPMENT OF FIREARMS
285
(1) Incrooeo the annual license fees to a more ~nllstlc level (tor examtlle,
tho present denier fee ot ft ls not adequnt~ to cover the cost of t>roceMlng
the appltcatlon ond lfl8ulog the license)
(2) Clarify ond effect needed tmproftment.a in lll'enalng provisions of
the act.
(8) Clarify the application to manufacturers of tbe recordkeeplng provlalona of the act.
( 4) Eliminate firearms ammunltton and small parts of firearms from
the coverage of tho act since It has been found Impracticable to effectl\'ely
administer the provlslons of the act relating thereto.
(5) Olarlfy other language of t~ act and delete obsolete provisions such
as references to "t.errlt.orlee."
(6) Protect tho rlahta of llccnaeee, by permlttlns licensees under Indict
ment to continue operations under their Hl.BtJng licenses until any conviction under the Indictment becomes final, and by excluding antt-trust-cype
violations from tllo felony criteria npplfcable to the Issuance of licenses
ond the Interstate transportatllon ond receipt ot ftre1mns.
('I) Mako It clear that the Federal ll"ireerma Act wlll not be conatrued as
modifying or affecting seetlon 414 of the Mutual Securicy Act. of lOM wlth
resJJtet to the manufacture, exportation, and Importation of arms. ammunition, and implements ot war.
Thie bill doea not lnvolYe Federal re,letratlon of any cype of ftrearm. no1
does it appear to Impinge upon the conaUtuUonal right of citizens to keep or
bear arms.
It le the view ot the Treasuey Department that the provisions ot 8. 1976 are
In the pubUc Interest and would etrect needed improvements In the Federal
Firearms Act. The Department, therefore, favor the enactment of 8. 1975.
The Bureau of the Budget has advised the Treaaury Department that there
is no objection from the standpoint ot the administration's program to the
pre1entaUon of thla report.
8lncerel1 1oura,
G. D'ANDELOT BELIN,
Oenetal Cotmael.
TECJINJQAL EXPLANATION OF .AMENDMENT& TO THE FEDERAL li"JRRABMB ACT PROPOSED
DY 8. 18'111 ( 88TB OONO., l 8T SE88.)
Tho enactment of 8. 1915 (88th Cong., lat seas.) would strencthen the Federal
Firearms Act (cb. 18, title 15, United States Code; 52 Stat. 12a0) by locorpo
rating In the act speclftc restrictions on Interstate shipments of moat firearms
(excluding onlJ' sportlogtJPG rifles and shotguns) to Juveniles, removing certain
lnconslatencles and amblpltles, deleting obsolete prov1alona, and simplifying
administration of the act.
The admlnietratJon of the Federal Frearms Act, a statute designed to control
the movement of firearms In Interstate and foreign commerce, la vested In the
Secretary or the Treasuey and ls presently administered by the Alcohol and
Tobacco Taz Dlvielon of tba Internal Revenue Senlce. Begulattons under the
Federal Firearms Act are contained In part 1'17 of title 26, Code of Federal
ReguJatlone. That Division also admlllls~rs the National Firearms Act (ch.
58 ot the Internal Revenue Code ot 1964; 48 Stat. 123'1), which provides, b7 u11e
of the taldog power, tor control over the manufacture, "making," transfer, oud
ownership of certain cypea of firearms such as machine guns, sawed-ofr shotguns,
sawed-off rlftea, and gadget-cype weapons.
.
.
For the purpose ot convenience, we are setting forth below the text of each
nmendment propoaed ln the blll, followed by on explanation ot the efl'ect of, an(t
our comments on, the amendment. Minor technical changes to certain amendments are suggested.
Scollon 1 of the lJlll
"That the first 8'Ctlon ot the Federal FJrearm11 Act (G2 Stat. 1250) 111 amended
to read aa follow11 :
" 'That as used ln this Act- " (ltnes 8-3, p. 1, of the blll).
.
Sectl~n . 1. of the act contains deftnlttona of. terms used In the act. Each proposed deftnltlon la followed by our comments thereon. 8Ucb deftnltloos woulcl be
amended to read ae follows:
"(1) The term 'person' Includes an .Sudlvldual, partnership, aeeoclatlon, or
corporation" (llnee 8-'1, p.1 ot the bill).
0222
785
RIF
0223
286:
INTERSTATE SHIPMENT OF. FIREARMS
. This dcftnitlon of "tKlrson" is the same as the deftnltlon ot that te1n1 now lu
the oct.
"(2) The term 'Interstate or foreign commerce' meana commerce between any
Stato or p08He98lon (not lncludlug the OoUl Zone), or the District or Cohunbla,
and any place otttslde tbereof; or betWl.>eD points within the same State or
poqesslon (not lncludln the Oanal Zone), or tho District of Columbia, but
through any 11lace outside thereof : or within any possession or the District of
Oolumbla. The term 'State' shall be held to include the commonwealth of Puerto
Rico and tho District . ot Columbia" (ltues 8-11, p. 1; aud lines 1-6, p. 2, of the
blll).
1q_-bls deftnltlou, as ainended, will Includes basic features of the presont <leflnttlon of the term. However, the term "territory" ls omitted since there ls no
"territory" at the present time., Tile last sentence- of the deOnttlon was in
sert.ed to clarify the status of the act in Puerto Rico and the District of Co
lumbla. The U.S. district: court In the Commonwoalth ot Puerto Rico bas held
thflt the .net Is -not appll~ble to trnn&nctlons oceurrlng wholly within the
Commonwenltb. In addltton, section 2(c) of the net (lG u.s.c. 90'l(c)) ls <le
signed to lmpletnent 18tate laws requiring a Ueense tor tlJo 1>Urcl1aso o.'. a flrcarm
bltt the iMtfon doee not implement- such : laws ln the Dlstl.'lct ot Columbia or
Puerto Rico. The etntement In this deftnttlon that the terin ''Stnte" will :tnchl<le
thesl' nre-ns will, we believe. remove any doubt l'lS to tho appllcntton of the act
In Puerto Rico and the District-of Columbia, which ta desirable.'
'
1 '(8) ~he t.erm''ftreorm'meQns nny weapon; <,y whatsoever name known, whlC'b
will, or le designed to, or which D\l\Y be readily converted to, CX1>el n p~oJc!tllo
orproJecttles by tho action of ab esp1011lve,- the frameor -~olver ornny snl'h
weapon~ or t\n:V ftrru.rm. nrnmer or ilrearm sllence'l'" :(lines 6-10, p, 2. ot the but).
Tbe1misent definition of thllt term lncl\1t1~ \lllY "part" rjfn flr<>nrm. Jt 11R'ii
been founcl thnt 11t ls 1 lmpr11cttcnble; If not lmposslble, to'. tn"llt" ench s"'"n purt
ot n ftreRnn l\8 1f It Wel'e Weftpon.1 ' This is pRrtlc\llftt1y trne wlth rt'ltpt"-<'t to
the reror<lke<'plng t>ro\'lstons of the net slnl'c smnll pnrt& nr~ nobmRlly ld~ntlft~l
by n serlnl number. A<'<'Ordlngly, there ls no objt-ctlon b) modifying this <l<'flnl
tlon so tbnt nll pnrts; otl1c'r tluu1 frnmes nncl rc('elvers, nrn l'llmlunted from thP.
provlslons
the net. It shouhl be noted thnt mufflers ond sll1mcP.rs ~till come
within th<' <lcflnltlon of " ftreurms."
.
1nmc past, we ha'te experienced some dlmculty In lltlgatton Involving a tempot"n rlly 1mservl<'enble firearm. For es:nm1,1e, a shotgun without n firing 11111
"~n~;hcl~ ~Y !l,91~t:rlct - ~our~ not to be n ftr.e!1r1~1 even tf19ugh ~n~th('r fh;l,n~ .pin,
e\'cn n 'nn1\.:.r:ould en~Jly be _lnsertcd, to ftlnlce th<: W~fl)>O~ flr~.- Tbc 'prot>Ol!Cd
deftnttton wo\Ud innlt" tt cl~nt' thnt n11y wenpon whtcli mny be \'.PndUy converted
tq Ari comrs wttbln th'e' n1enntng of the - ~erm "llrenrm!"
-' . ' The <hnng('S pro1iokcil"tn the definition 'Of "flrcarin"w,ttl mltt('rlntJ'.\' nld" ln tlfo
etiforre-itlent ot the net. ._ '
'. . "
' . .
: .. .
.
'
-'
, " ( 4) Tlte term 'hnn<lgt111' m<'ftns nny pistol or l'~volver ortghinlly .clc~rgncd to
ti~' flr('cl hy' th(d1scf of (\ Slilgle band, ot''tlny 'Oth<!l".1lr4!arrii' Ol11glnolly d~.1dgnM to
liiHll'e<t hy the _\1se'of 'helngle bttnd1' (lirles 11-14, p; 2 tit the btll). -
. orbls 'terrn Iii hof defthed in: ~he net ot tlfo prertent'tlinc/ ' The dl'!flnltlon will
nU1ke '1t clehr \~Hht weapons nr.e lnt1t14'~ lb the bandgun:~ttpe whh~h 't1ersonJ
uncJer 18 )lcnrs ot ,'ftgc
bC urohlblted from \"(i~lvlt>'ir In "lnt('tk~ntc- or roriltgn
comuier('e. "Iii ndt:JU;fori, the <leftnttlon ke:vlJ in with 'tlic proposed requtremeht
thrtt shippers ot -pftckag&s containing hn.'ndguns mu\it glte the clommou -t'nrl"ler
notice of theontenhl'of such pnckilge1i''Where 'Bhlpped'to nny ~r1mn other thnh
a licensed d~aler ot R lkensed n\nnufarlt\irer.

The cleftn(tlon of ~andgun" Includes jit!ltOllJ and revoll'ersas well ne gflclgct:

type wenf)()ne snch na 'f11\shllght, 1*n::~iui, or 'Palm t>lstllls."

'(~) The tertn 'ritilnutnctureJ.' menntJ nuy person englagi!d'ln 'the mnuufn<'tnre
or importation ot firearms foi':'purposes of sn1e"or' dfstrlb\\tlon ; nnd the term
'lleensed mnnutacturer' means any such person Ucensecl uricfor the provltdons
ot this Act" (lines 11>-lD, p. 2, of the bill).
'.
. Thie deftnltlon eubsta.Jltlally ccm(C?,rllls wltb the preiwp~ dE>tlnltlon o( thl,s term.
rlowevcr, It elfmlnateA those per sons who mnnufachire or imp'oi:f "mmu#ltlon,
cnrtrhlge <'Rscs, primers, ~ullets, qr,propellnnt. powder, fr~m. lta CO\'ernJ.te. The
oinlssl<>n 1of mnnufn~tur~r11 nnd ~lmpbr~ers of such .ortl9les .froin . th~- denil{tlon
Is provo!JOO since' l\1111Dnltlon wlh b8. ~ll;nlnated'from th~ c:overali~ p(.tbe act.
of
or
u-m
At the present time, f!ectlon 1(1)' ot'tlie nc~ (US U,'S.C, 11()1.(7)) .J!c.'fl~<'r- "'lm
~un~tlon~~ {ls 1 pl~tol _q.n~ reyol'\'er ti_~u~t~lon . Sl1~t~tb :'~~11~~ qctnlJl<' .=
nltlon autf:nbl e fol' use onlytu rlftes and .2~ c~U~rl, ~'1<l, !JnUIJ:\' ,a~m~'4\lll
0223
786
RIF
0224
Calendar No. 1835

89TH CoNGRF.88
BdSeasi<Jn
SENATE
REPORT
No. 1866
OcTOBER 10, Hl66.-0rdered to
bo printed
Mr. HRUSKA, from the Committee on the Judiciary, submitted

the following
REPORT
together with
INDIVIDUAL VIEWS
[To accompany S. 3767]
'l'he Committee on the Judiciary, to which was referred the bill
(S. 3767) to amend the Federal Firearms Act, having considered the
same, re~orts favorably thereon, without amendment, nncl recommends

that the bill do pass.
PURPOSE
'rhe pmposo of the proposed legislation is to nmend exist.ing !f~ecl

eral firearms control law to(1) regulate more effectively interstate commerce in firear1rn;
so as to re.luce the likelihood that they
into the hands of t.hc
lawless or those who might misuse t.hem;
(2) assist the States and their political subdivisjons to enforce
their firearms control laws and ordinances;
(3) help combat the skr,rocketing increase in t.llC incidence of
8erious crime in t.lie Umted States.
It-is not tho purpose of t.his bill to interfere with the legitimate
uses of firenrms by t.he millions of law-abiding citizens who acquire,
transport and possess t.hem for hunting nnd other rer.rcn.tionnl pursuits, Helf-protect.ion, nnd at.her lawful purposes.
ran
MAJOn PnovrstoNs
OF
S. 3767
l. No carrier in interstate or foreign. commerce nm.y deliver 1my

hnndg!_Jn to tmy person under 21 yeiirs of age.
2. No manu~acturer or dealer may 'ship any handgun in interstate
or for~ign commerce to any person, except a licensed manufacturer
or dealer, unless thn.t person submits to the shipper n. sworn statement
that he
69-688 0-8&-1
0224
787
RIF
0225
13
JI. lo'EDERAL lo'IREARMS ACT 01'' 19381 AS AMENDED
(a) Requires the licensing of mn.nufo.cturen4 and importer:-; of, n.nd

deniers in, firearrm1 1 1unmtmition 1md components thereof t
(b) Provid~ certain restrict.ions on the movement of firearms nncl
nmrmmition in intel'Stnte or foreign commerce;
(c) Prohibit."! convicted felons, persons under indictment, and fugitives Crom justice from Hhipping, trnnsport.ing, or recehing fireu.rms or
ammunition in interstnte or foreign commerce;
(d) Prohibits the shipment., iru.nsport.ntion, or recElipt of stolen
firearms or t\mmtmition, or firenrms from which the Herinl number hns
been removed, obliterntcd or nltcred.
C. MAILING OF CONCEALABLE FIREARMS (18 U.8.C. 1716)
(a) Prohibit!-! the muilin~ of concealable firearms (i.e., handguns)

except to officerH oft.he Active m Rm~erve Forces; to htw-enforcemont
officers whmm duty is to serve wnrrnnt11 df 1\rrest or commitment, to
employees of the poKlnl service; n.ncl to watchmen engaged in gunrding
uny Government property;
(b) Permits t.11e mailing of concealable firear1m1 to or between
firearms manufacturers and dealers.
D. WEAPONS ABOARD AIRCRAFT
(49 U.S.C. 1472(1))
(a) Prohibit.'i the carrying on or about t.he person while aboard nu

aircraft engaged in air t.rnnsportation of n. <!oncealcd deadly or du.ngerous weapon;
(b) Permits the carrying of such weapon 1iboard such nircraft by
any law-enforcement officer authorized to car17 arms, or by any person
authorized by regulations is!med by the Admmistrator of the li'cdernl
Aviation Agency.
E. MUTUAL SECURITY ACT OF 1964 (22 U.S.C. 1934)
(a) Gives aut.hority to tho President to control the export 1\.nd

import of arms, ammunition, implements of war, 1md technical <laita
related thereto.
(b) Req!Jires all persons engaging .in these transnctions to register
with the U.S. Government, pay registration fees, nnd Hecurc import
licenses for all such materials imported into this country.
8EcTtoNAL ANAI.YHls oF rm; Pnov1RtoN8 Oto'
8. :J767
HEC'rlON 1
8eetion 1 of 8. a767 lllllends HeC'tfon 1 or t.he.Ji'edernl Ji'irea\l'ms A<l

(52 8tat. 1250) by re.'itating and <'11\rifyin(( exiHtin~ definitimt!i <'OTltuined in the tl.<'t 1md tt.ddinn Heverttl new definitions.
'l'he definition of "peraon ' 'iH ml<'hnnged. 'l'he termli "inte1-st1Lte or
foreign eommer<e," "firel\rm," 11 m1m11f1wtt1rer," "<lel\ler," and "fugitive from j m1t.i<'e," hu
been restnled nnd <ltirified. 'l'he term
"ammunition" has been deJ.,ted. The termH "Stale,'' "pawnbroker,"
"secretary," "crime of vfolence," and "indictment" are new.
,.e
0225
788
RIF
0226
14
Paragraph, (1)
The definition of t.he term "person" in _paragraph (1) of the bill is
unclumged from t.hc exiRting ltlw (15 U.8.C. 901 (1)).
Paragraph (2)
Paragraph (2) of section I of the bill adds a new definition "State"
to Rimplify and clarify ln.t.er provisions of the bill and the existing law.
The Canal Zone h~ included in the definition. Previously it was excluded. Also included are the Commonwealth of Puerto Rico,
Guam, the Virgin Islands, and American Samoa, the principal Commonwealth and possessions of the United States.
Paragraph (S)
Pam~rnph (:l} restates the existing
forci~n commerce" (15 U.S.C. 901 (2)) .
definition of "interstate or
However, language has been
removed tlrn.t has been defined in paragraph (2) above.
Paragraph (4)
Pn.ragraph (4} restates the definition of "firearm" and revises it to
exclude from the tlct antique lirenrma made in 1898 or earlier. Also
mufflers 1uul ttilcnccrs for firearms a.re removed from t.hc definition.
The year 1898 wns selected as tho "cutoff" dale on the basis of
tmttimony presented to Congress by several gun collectors organizations and to be consistent with the rogultltions on importation of
firc1mns issued by tho Department of Sta.to pursuant to section 414 of
the M utunl Security Act of 1954.
Mufilcr~ and silencers for firearms are excluded from coverage since
theso items tLro included presently in the National Firearms Act
(Uh. 53 of the Internal Revenue Code of 1954). This a.ct provides !or
hc1Lvy t.rnnsfor t1lxes and rcgistrat.ion of all such items.
Also excluded from t.lrn presen t definition of the term ''fircu.rm" is
"nny p1Lrt or p,nrls" of a firearm . Experience in the administration of
t.ho Ic'cdcr o.l I irc1\rms Ac t has indicated tho.t it is impra.ntical to treat
each small part us if it were 1.1. firearm . The revised definition subs ti tu tos the words " frame or receiver" for tho words "any pa.r t or
part.'4.''
Added to t.he t.erm "fiream1 11 a.re weapons which "may be readily
converted to" R. firen.nn. The J>Urpose of this addition is to include
spccificnlll 1my starter gun designed for use with blank ammunition
which wil or which may be readily <~onverted to expel a projectile or
>rojectiles by the action of an explosive. Such so-called starter pistols
iave been found to be n matter of 1-1erious concern to law enforcement
officers.
Paragraph (6)
The definition of the lem1 11lumdgun" in paragraph (5) is a new
provision. 'l'hiH definition is necessary because of later provisions
of the bill which have application solely to the8e firearms . There is
no intention that handguns be exempted Crom any of the other provision of t.he bill since a handgun is a fireann within the meaning of
paragraph (4) above.
.
The tenn include.<t "pistols/' "revolvers" and "any other weapons
originally designed to be firea by the use of a single hand" which are
made to be fired by the use of a. single hand and which are designed to
fire or are capable of firing fixed cartridge ammunition.
0226
789
RIF
0227
Page 1238
'!TIU: 15.-COMMERCE AND TRADE
001
Ralclgh County, all mines on Lhe Conl River branch

of the <;hesa1>cnke and Ohio Railroad and north
thereof.
Nlcholas County, that pnrt south of and not served
by the Baltimore and Ohio Railroad.
Wyoming county, that portion served by Gilbert
branch of the Virginian Rnllway lying west of the
mouth of Skin Fork of Guyandot River.
The following counties In Virginia: Dickinson, Lee,
RUlisell, Scott, Wise.
All of Buchanan County, except that Portion on the
hrndwaters of Dismal Creek, east of Lynn Cnmp
Creek <tributary of Dl.5mal Creek> and that portion
served by the Richlands-Jewell Ridge branch of the
Norfolk nnd Western Rallroad.
Tazewell County, except portions served by the
Dry Fork branch of Norfolk nnd Western Railroad
and branch from Bluestone Junction to Bolssevain
of Norfolk nnd Western Rallroad and RlchlandsJewcll Ridge branch of the Norfolk and Western
Rollrond.
The followlng counties In Kentucky: Bell, Boyd,
Brrnthltt, Cnrter, Clay, Elllott, Floyd, Greenup, Harlan, Jackson, Johnson, Knott, Knox, Laurel, Lawrence, Lee, Leslie, Letcher, McCreary, agoffin,
Mn1tl11, Morgan, Owsley, Perry, Pike, Rockcastle,
Wnyne, Whitley.
The following counties In Tennessee: Ander:;on,
Campbell, Claiborne, Cumberland, Fentress, Morgan,
Overton, Roane, Scott.
The following counties in North' Carolina: Lee,
Chatham, Moore.
WEST KENTUCKY
District 9. The following counties in Kentucky:
Du! lr'r, Christian, Crittenden, Daviess, Hancock, Hendc1sun, E.'nklns, Logan, McLean, Muhlenberg, Ohio,
Simpson, 'Lt!(:, Union, Warren, Webster.
:!.LINOIS
District 10. All coal-producing counties In Dllnois.
INDIANA
District 11. All coal-producing counties in Indinnn..
IOWA
District. 12. All coal-producing counties In Iowa.
SOUTHEASTERN
District 13. All coal-producing counties in Alabama.
The following counties in Georgia: Dade, Walker.
The followlng counties In Tennessee: Marlon,
GrnndY, Hamllton, Bledsoe, Sequatchie, White, Van
Buren, Warren, McMinn, Rhea.
ARKANSAS-OKLAHOMA
District 14. The following counties In Arkansas:
All counties in the State.
The following counties in Oklahoma: Haskell,
Le Flore, Sequoyah.
SOUTHWESTERN
District 15. All coal-producing counties In Kansas. All coal-producing counties in Texas. All coalproduclng counties in Missouri.
The following counties in Oklahoma: Coal, Craig,

Latimer, Muskogee, Okmulgee, Pittsburg, Rogers,
Tulsa, Wagoner.
NORTHERN COLORADO
Adams, Arapahoe, Boulder, Douglas, Elbert, El Paso,
Jackson, Jefferson, Larimer, Weld.
SOUTHERN COLORADO
All counties not included in northern Colorado district.
The following counties in New Mexico: All coalproducing counties In the State of New Mexico, except those Included in the New Mexico district.
NEW MEXICO
District 18. The followlng counties in New Mexico: Grant, Lincoln, McKinley, Rio Arriba, Sandoval,
San Juan, San Miguel, Santa Fe, Socorro.
The following counties In Arizona: Pinal, Navajo,
Graham, Apache, Coconino.
All coal-producing counties in Cnllfornla.
WYOMING
District 19. All coal-producing counties In Wyoming.
The following counties in Idnho: Fremont, Jefferson, Madison, Teton, Bonneville, Bingham, Bannock,
Power, Caribou, Oneida, Franklin, Bear Lake.
UTAH
District 20. All coal-producing counties in Utah.
NORTH DAKOTA-SOUTH DAKOTA
District 21. All coal-producing counties In North
Dakota. All coaH.>roducing counties In South
Dakota.
MONTANA
District 22. All coal-producing counties ln Montana.
WASHINGTON
District 23. All coal-producing counties In Washington. All coal-producing counties In Oregon.
The Territory of Alaska.
Chapter 18.-INTERSTATE TRANSPORTATION OF
FIREARMS
Sec.
001. Definitions.
002. Trnnsportlng, shipping, or receiving firearms or ammunition In lnterstnte or foreign commerce: nets
prohibited.
003. License to transport, ship, or receive ftrcnrms or ammunition.
004. Excepted persons.
005. Pennltles.
000. E!Jectlve date of chnptcr.
907. Rules nnd regulntlons.
908. Sepnrablllty clause.
009. Short title.
901. Definitions.
A'l used Jn this chapter(1) The term "person" Includes an individual,
partnership, association, or corporation.
(2) The term "Interstate or foreign commerce"
0227
790
RIF
0228
Page 1239
TITLE 15.-COMMERCE AND TRADE
1903
means commerce between any State, Territory, or nJtlon to have been transported or shipped ln viola
possession <Including the Philippine Islands but not tlon of su dlvl.slon Ca> of this section.
Including the Canal Zone>, or the District of ColumCc> It shall be unlawful .for any licensed manU
bia, and any place outside thereof; or between facturer or denier to trnnsport or ship any nrearm
points within the snme Stnte, Territory, or posses- ln Interstate or foreign commerce to any P<irson
sion <Including the Philippine Islands but not includ- other than n licensed manufacturer or dealer in any
ing the Canal Zone>, or the District of Columbia, but State the laws of \'rhlch require that a license be obthrough any place outside thereof; or with.In any tained for the purchase of such firearm, unless 11uch
Territory or possession or the District of Columbia. license ls exhibited to such manufacturer or dealer
C3> The term "firearm" means any weapon, by by the prospective purchaser.
whatever name known, which ls designed to expel
Cd> It shall be unlawful for (lny person to ship,
a projectile or projectiles by the action of an explo- transport, or cnuse to bo shipped or transported ln
sive and a firearm muffler or firearm silencer, or any Interstate or foreign commerce any firearm or ammunition to any person lmowlna or having renso.npart or parts of such weapon.
<4> The term "manufacturer" means any person ablo cause to believe that such person ls under
engaged In the manufacture or Importation of fire- indictment or has been convicted ln any court of Uic
arms, or ammunition or cartridge cases, primers, United States, the several mates, Territories, possc~I
bullets, or propellent powder for purposes of sale slons (Including the Ph1Upplne Islands>, or the Disor distribution; and the term "licensed manufac- trict of Columbia of a crime of violence or ls 11
'
turer" means any such person licensed under the !ugutlve 1 from Justice.
Ce> It shall be unlawful fpr any person who ill
provisions of this chapter.
under indictment or who has been convicted of a
(5) The term "dealer" means any person engaged
ln the business of sclllng firearms or ammunition or crime of violence or who ls a fugutive 1 from Justice
cartridge cases, primers, bullets or propellent powder, to ship, transport, or cause to be shipped or transat wholesale or retail, or any person engaged ln the ported in interstate or foreign commerce any ftrtiarm
business of repairing such firearms or of manufac- or ammunition.
turing or fitting special barrels, stocks, trigger mechCO It shall be unlawful for any person who has
anisms, or breach 1 mechanisms to firearms, and the been convicted of a crime of violence or ls a fugutlve 1
term "licensed dealer" means any such person from Justice to receive any firearm or ammunition
which has been shipped or trnnsported in interstate
licensed under tho provisions of this chapter.
CO> The term "crime of violence" means murder, or foreign commerce, and the possession of a flreEU'm
manslaughter, rape, mayhem, kldnaplng, burglary, or ammunition by nny such person shl\11 be presumphousebreaking: assault with Intent to kill, commit tive evidence that :iuch firearm or ammunJUon was
rape, or rob; assault with a dangerous weapon, or shipped or transported or received, as the case may
assault with Intent to commit any offense punish- be, by such person in violation of this chapter.
able by imprisonment for more than one year.
Cg) It shall be unlawful for any person to transC7> The term "fugitive from Justice" means any port or ship or cause to be transported or ship1Jd
person who has fled from any State, Territory, the in Interstate or foreign commerce any stolen firearm
District of Columbia, or possession of the United or ammunition, knowing, or having reasonable cause
States to avoid prosecution for a crime of violence to believe, same to have been stolen.
or to avoid giving testimony in any crlmlnnl proCh> It shall be unlawful for any person to receive,
ceeding,
concel\l, store, barter, sell, or disptJse of any flreann
C8) The term "ammunition" shall include only or ammunition or to pledge or accept as security !or
pistol or revolver ammunition. It shalt not include a loan any firearm or ammunition moving ln or which
shotgun shells, metalllc ammunition suitable for use Is a part of lnter:itate or foreign commerce, and
only ln rifles, or any .22 caliber rlmflro ammunition. which while so moving or constituting such part hns
<June 30, 1938, ch. 850, 1, 52 Stat. 1250; Aug. 6, been stolen, knowing, or having rellsonable cause to
1939, ch. 500, 53 Stat. 1222.>
believe the same to have been stolen.
1 So In original.
Probably should read "breech."
(l) It shall be unlawful for any person to transport, ship, or knowingly receive In interstate or
CROSS REFERENCE
foreign commerce any firearm from which the manuNational Firearms Act, see note to section 009 of this
facturer's serial number has been removed, oblittitle.
erated, or altered, and the possessll)n of any such
902. Transporting, shipping, or receiving firearms or firearm shall be presumptive evidence that such flreammunition in interstate or foreign commerce; 1U'Ill was transported, shipped, or r-ecelved, ns the
acts prohibited.
case may be, by the possessor In violation of this
Ca> It shall be unlawful for any manufacturer or chapter. (June 30, 1938, ch. 850, 2, 52 Stat. 1250.>
dealer, except a manufacturer or dealer having a
1 so In orJgtnal.
Probnbly should read "fugitive".
license issued under the provisions of this chapter,
CROSS REFERENCE
to transport. ship, or receive any firearm or ammuHntlonal Flrenrms Act, see note to scctlc.n 009 of this
nition ln interstate or foreign commerce.
title.
Cb> It shall be unlawful for any person to receive
any firearm or ammunition transported or shipped 903. License to transport, ship, or receive firearms
or ammunition.
in interstate or foreign commerce in violation of
subdivision Ca> of this section, knowing or having
Ca> Any manufacturer or dealer desiring a license
reasonable cause to belleve such firearms or ammu- to transport, ship, or receive firearms or ammunJtlon
2o~(JjS'-ll-vol.
1--82
0228
791
RIF
0229
-...
DEI'ARTMEN'r
SM
QF
tl'HE tt'REl\SURY
INTERNA& REVENUE SERVICE
....
In~:
OF
1'rwPoSED RMULATfP~
TO iMPLEMENT RECENTLY ENACTED tEGt!St.rtpN Ci'NCE:RNED.
DETERlllNING Tlm SU!TABif-iTY
Wl'I1H FEDERAL REGTitATiON OF CQMMERCE JN :FtffEARMS
AND AMMUNiJ'.'ION
AuditoMum
Freer 8t41$ry
'12!lt St?'!? et ~nd '9efte:t'son Drive
Waaffting1ion~ D. c.
Thur8'ay, November 21. 1968
~he
above-ent'iled mater cmne on for
hea~ing.
J)Ursuan to nQtii&, a.t 9t)O oel~k a.11.

BEFGREr
M. HARILD A, SERR (P.resadj.ng., D-e\o~ A!colllol. and
Ta\f4.:<t T~ :0:\ vision
MR. JOHN _McCARREN,_Assie'9.t D1fta\Q#, Aleohol and

'rebaccQ Tax ..gal Divte1Qn
.
MR. CHARJ.Es HUMP~'l'ONE, Dep~\oi' Special Assistd to
the Seareta1...y for Law Enfo:t'lcenien\, 'reasury
Depar1'ment
MBo THURMOOD SHAW- Jhief, Tech.n1cal Branc~. Alcohol
and
Tobac~o
Tax Legal Division
MR,, CE4:t:t WOLFE 'laief 1 ~p&l'ations Coordination Section,

Alcohol ana Tobacco Tax Enforcement Branah
MR. DCJNALD CHADSEY, Operations Coordination Section,

Al~olio:. and Tobacco Tax Enforcement Branch
0229
792
RIF
0230
cJ.m
-C -0"N..... T- E -N T- -S
--..
MORNIN~ SES~IOO
STATEMENT OF:
Robert c. Zimmer,
Sporting Arms and Ammunition M:lnuracturer's
Institute
12
Kenneth C. Cole,
Illinois Retail Merchants Association
41
Frank C. Daniel,
N9tional Rifle Association of America
43
William E. Rollow,
National Skeet Union Association
50
Charles Dickey,
.National Shooting Sports Foundation, Inc.
52
Paul Wagner,
Eastern Gun and Supply Company, Inc.
63
Arthur Cooke,
Whole Distributors of Firearms and
Ammunition and ~elated Supplies
67
Hugh Mc Kinley,
Amateur Trapshooting Association of America
72
Leon C. Jackson,
United Sportsmen of America; the Texas Gun
Collectors Association; the Ark-la-Tex Gun
Collectors Association
Paul L. Shumaker,
Ohio Gun Collectors Association, Michigan Gun
Club Association, and American Society of
Arms Collectors
. I
83
'
0230
793
RIF
0231
. ....
0 A.if ...-.:R N~T ::JI;"" >

. . . . . . . - _.,.. r;-.
.. . -
PAGE
STATEMENT OF:
..
Walter Marvin, Jr.,

TOltnship ot Middleton, State
~t
New
Jei-Sey
95
William carter,
Csrter Gun WoPks 1 Charlottesv1ll8 1 Virginia
101
William B. Edwal'Oe,
Benet Arms Oompa117, Waynesbwo, V1rg1n1a
lo8
Mio.bael Parkel', Bsq.-,

Washington,, D.C.
119
"
Charles Seen,
.
Sa~co, Inc., St1~11ng, New'Jarsey
o.
'
136
Adams,
-Kevin Inc D/B/A", Ki tteriy Trading Ptiet,

Route 1, Kittery, Maine
139
--
EXHIBITS
............ ...... ...
MARKED
EXHIBIT NO: :
..
RECEIVED
12
12
40
44
44
95
95
6 thru 10
14-'l
143
11 thru 15
144
144
16 thru 20
145
145
21 thnu 24
146
146
5-a,
~ncJ
125
Simon .Atla'S,
a
Washington, D.C.
Kevin
25
147
147
0231
794
RIF
0232
23
in the manner required by section 178.44 ot this
part.
An applicant ror a threeyear license shall
submit with his application the requitied anntial tee
fdr all three years and no portion
or
suQh remittance
.
'
shall be. refundable."

We. are aaying here th&n that it' you have reputable
110.ensees who
. have. been lieensed tor at least three yt&ars. in
or
tha past, you give them the option
~ioenaa,,
and
t~ey
irta11Ufa~tu:\'er,,
prov1cl fqr a
l1cens~~
a ,Qopy Qf that
ao.qu1r1ng a thre:v-ear
.
th~
ancl for
distribtQr,
next three
yt::ar~
he
lf Y"U f i:nd SOm6th1Qg wrong,

<
r~eon
YQil have
~an re9uir~
'
to suepec.t that thar4' ijl something
v.
.,..
a.t th!! end of that t':it'Cit yea,
..
w.reng,
~hat ~
you
submit
.'
and at the end af two years he $ubmit a Form
'
Fo~m
7,
T~rning
now. to
. 92 or th& proposed reguJ,at1cn.

ara
Tequir~d
firearms,,
.
ident~fi~ation 9f
Fiv~
classea or
7.
~action
~nforrni1t1on
to be placed upon a fi,i>ea,i>m frame 0:11 receiver.
We think
that in essence
.
.
~~ause
of the u39
Qf. in4er~hangeable
b41rt'eJs and
b~cat..V3e
of the
~iz~
. ..
of
&01?1$
.receivtrs, 1t is
Just too sma11

to include all .the information
.
.
. required.
Tt:ie proposed
~eg\llatiol'\& a~ould
b amended t.-o. require
that thEl .. seriaf nu.mber be pl.J:lQ&d .on the frame o:r
and
tna~
r~ceiver
the
ea~iber
re~eiver,.
.or gauge be placed on the barrel or the
at the option of th.e manufacturr.
And the location
of. the other required information should be left to the option
0232
795
RIF
0233
133
.
~
39
and that is if a corporation altd individual is bGth engaged in

importing and manufaoture are they required to obtain separate
licenses or
is
one license good for both?
MR. WOLFE:
Separate licenses ..
MR. STEEN:
Separate
l~censes,
I sea.
In 178.11, I would like to commend you on a very clear

definition of a primary
but one question does
receiver~
somet~ing
tQ my mind.
~ome
we didnt have before,
With the definition of a
receiver th9re are some cases of used firearms presently in exis-
tence where the number may have been placed on that

firearm on other than the frame
~r
parti~ular
receiver, and if you are
selling a. f'rame or receiver by this definition per chance it may

not have a number on it.
The
ques~ion
might arise as to how to
We are ba'31Call in the pa?'ts business
handle this situation.
and we sell these separate components.

MR. SHAW:
Th~
identification
requi~emente
go only to
or
firearms manufactured or imported after the effective date
the
Act.
MR. STEEN:
I see.
old definition then.
I see.
Up to this point we would use the
1 would .also like to commend the committee on the
requirement of oles.ranee to sQDleone who is refused a license,

something which in many situations hasn't happened 1n the past,
and if someone is refused a license he should know exactly where

he stands.
0233
796
RIF
0234
147
(The described statement was
53
marked Exhibit Mo. 25 and

received.)
MR. SERR:
want to
~hank
I think that completes our hearing, and I
all yoti gentlemen for appearing and helping in
Jihis work.
!{'hartk YQU-
(Thereu.pon, st 3: 10 o clock,, p.m., the hearj_ng in the
above-entitl&d matter was cancluoed.f
0234
797
RIF
0235
:7'"_,.~
j ., "'
,1 ,..,
";
''. . I;,.- ,i.,.~ ; ; '
PROPOSED:iRULE~ MAKING'. I~/.
:~:-;1.~.:~~..; ~~~/ ~;i", : .. ~
....
- .
...,
.:1 If
16285
. . ..
"
, .. 14 .CFR .. Part~7J. Ji~;:t.riJ;;(,~;t:; \:.-Thls atnendment b proposed under the Aviation
(Alrapace Octet No;~ 0f:~1,YtS; authority of 307<a> of the Federo.1

.
. .. :. "l'.'"H.:"-"-..;ijr;-.;, ~vlatlon Act of 1958 <49 u.s.c. 1348>. .
TRANSlt.ION A~~~~-~t;';?;'~(;u1 :: :rssued at Kansas c1t:i:. Mo., on ocwbcr
Proposed Deslgnotlon ..:~J:Xt- 15. 1968.

r...
.. .. ~;- _,. . .
......
. ..
t:owAno c. MARsa, .
fs considering amending Part:'Ilot.:tht(/ ... . . .
Dfrector,CentralR.Qolon.
Federal Aviation Regulations: ao u:1to (P.R. Doc. eB-13403; Flied, Nof. &, 1000:
designate a transition areo.-at.:Fteeport/
e:45 n.m.J
nl.
r . i. ~:) ..~ .. ~}-;t.JA~i1tl.
Interested persons ma:v;ilattlc~pa.t&:.iii
l 14 CFR Part 71.l ..
the proposed rule anaklng. bY'.8Ubm.lttlngo'
liUch written d11ta. views/ or:. ~rauments
(AJrapace Docket No.138--0E-Hl
as they may desire. CommunJeatlons
'.fRANSITION AREA
ehould be submitted 1n tripllcato'to-th&
Director, Central Reslon,:>'Attentlon:
Proposed Designation
Chief, Air Trame Division, Federal 'Avt:. . .
atton AdmJnlstrotlon, Federal ;BUUdinir,:.
The 'Fcdera.1 Avlo.tlon Administration
601 Ea.st 12th Street, Kansa.s City,;Mo. ls c:onaldcrlng amending Part '11 o.t t.he
64106. All communications; .'recalved '- Fcdaral Aviation Regulations so as to
wlthln 45 da.ys after publlcatJon of ,this' . ~eslgne.ta
tre.nsltlon area at Morris,
notice In the FED!:RAJ. R1:01s~ '\IJill'be. Minn.
.
..
considered befom aetfon ls taken on tho.. . Interested. persons may partle1pate In
prOPosed amendment.
pub]jc hearing: the proposed role making by 6Ubmlt'ting
is contemplated at this time;.;"but'&\r such written do.ta., views, or 11.rgwnents
rangements for informal : con!erenl?es" as they may desire. Commun!catlona
withFedera1AvJat1onAdmln!stratlon'of.... should be submitted ln trlp11ca.te to the
:ficlals may be made by eontacttna the. Director, central Region, ,Attention:
Regional Atr Trame Dlvtsfon Chief. :t-';~~. ' Chief. Alr Tra.mc Dlvlslon. Federal Avie.Any datG, views, or ar11iiments pre-'. t1on Administration, Federal Building.
sented durinz such conterencen .must; 601 Ee.st 12th Street, Kansu City, Mo.
also bo ioubO'Jtted In wrlting 1n accord-~ 64106. AU communlc11Uon4 .recelvcd
once wtth thla notice In order to beeom!t' wlttiln. 45 day11 after publ:fcatlon or this
po.rt of the record for cons!deratton~ The. notice in the FzozRi.r. REotsua will be
proposal cr.ntafned In this notice 'mntlle' cons1dered before e.ction ls taken on the
changed In the llgbt of. c:omtnents re proposed n.mendme:nt. No public hearinr
celved.
.: :Y. ,:.:'..". ,:!, :iw ts contemlllated at thJs time, but arrange.
A publlc docket wm be avs.Ilable for ments for Informal conference.! with
examination by interested .pereon!r m: Federnl Aviation Aclmin11!tratfon officials
the omce o! the Regional Counsel, Fed'. tnny be made by contacting the Regional
eral Aviation Adtninlstratlon.;:Federal". Air Trafilc Dlvfs1on Chier.
..
.Building, 601 East 12th .Stre9t,' mmsa.s. Any data, views, or arITT1D1cnts pre
Cit;y, Mo. 611011.
. . . . ;-: .. ~! ,.. ,'' :... . eented during nu ch cont'erencea must also
A new. public use lnstrUme:i{iappro~ch:: be aubmltted 1n writing in .accordance
:proceciure hrus been developed"'for tho: w!th ~hta notlce In order to become part
AJbcrtU! Airport; Freepo~; m:; utlll!ln~: _ot tho recor~ for conslderatlon. The pro
a cityRowned radlobeacon _as a: J:iavl~ posaI contnmed In th.la notice may be
gational nld. Conscquen~b'." lt '!a :nec:cii.i: changed 1n the light . o~, comn;i;nt..
sary to provide controlled atrace 'pro- :received.
tectJon fQI:' .aircraft eltccutlng .this new . A publlc docket will bo available for
npproach procedr:re by desfgnatlng' a~ e:iuunlnatlon by Interested persona 1n tho
transition area. a.t Freeport. m. 'l'he new . O!llce of the Regional Counsel, Federal
procedure wlU become eirectt.ve concur- Avla.tlon Administration, Federal Bulldrcmtl.v with the dcslsnatfon of the transl ln!f, 601 En.st 12th Street, Kansas ctty,
tlon a.res.. The Chlc:igo Air Route Tramo Mo. B4106.
_.
Control Center, thrCJugh the Rock!ord.
A new pubUc use instrument opproach
DI., Flight Service Statton, will control proi.:edure has been developed for tho
IPR afr tra.mc 1nto and out ot Albertu.s Morris, MJnnesota Muntcfp11l Airport
.. . ..
utJlizlng a State-owned rndlo beacon n3
Alri>ort.
,
In consideration of the foregotn~. f.lie Ii nn.vlgntlonnl afd. Consequently, ft 15
Federal Avtatlon Adlninl.stratli,!, riro- n~ceBS'-!'Y to provide controlled nfrspn.ce
posc."J to amend Part 'll ot Ule Federal protectlon !or o.lrcro.ft c:icccutlng thu new
AvJBt1on Reguln.tlons as he:.~J.nalter ae& . approach procedure by <designating o
forth:
trnns1Uon area nt MorrJs, Minn, The ne\v
a "118l <
procedure wUl become etrcctlve concmJ n ll
33 P.R. 213'7), the follow~ rently with the designation o! the transl
Ing t.rnnsltlon area ls added::. '
tlon area. The M1nncnpolls AJr Rout~
F&EEPOllT. tU..
.
Trnffio Control Center, through the
Withln n a.mno rnd1ua of Albortua Al~~ Alexnndrfll, Minn., Flight Service Sta(la.tUudB 42"15'50'' N., longitude 0[)"31'110" tlon, WJH COntroJ lFR nlr traffic fnto llDd
W.); ancl wttb.ln :i: mile each elc2e or tho out of Morris Mun1clpal Airport.
oo~ bo11rln11 from Albortu. AJ.rport, extencl
In consideration or the foregoing, the
1.llg from tho 6-m.Uo rad!ua area. to 6 mile Fecleral Avia.Uon AdmlnlstmUon pronortlleut of tho nLrport.
poses to o.me:id Pnrt '11 of the Federo.1
1:
JC:'.,11::.~ ~
Tho Federal Aviation Admlnlstratfon
Regulatlons as hcrelnn.Ctcr :iet
!orth:
In I '11.181 <33 F.R. 2137), the follow-
mg transition area is added;
Mon.n1s, MINN.
. Thot. l11ropnco extending upward from 700
feet nbove the surtncc within n c-mlle r11dh1s
or Morrl11 Munlclpnl Airport (latitude
4534'0/j" N., long:Ltudo 05'58'10" W.); nnd
1111thln 2 01Hc11 cncb. side or the 140 beo:rlng
from Morris Munlclpal Airport, e!ltendlng
fl:'Om the a-mile rnd1us aren toe m!les south-
tmat ot tha nlrport; nod thnt nlrspace extendlng upward from 1,200 feet nbo11c the
aurtnc:o within !i mllcs southwc:;t nnd e rnllca
111orthen11I: ot the 140 bcnrlng from Morris
Munlclp11l Airport, extending rrom tho airport to ~2 tnllcs i;authcast ot the n!rport.
This amendment Is proposed under the
nuthorlty o! 307Ca.> of the Federal Avln.tlon Act of 1958 C40 u.s.c. 1348>.
Issued nt Kansas City, Mo .. on October 14, 1!168.
EDWARD
No
c.
M1.11sn,
Dlrcceor, Ccneral Rcaion.

[F.R
oa.
tla-la~~!~ tr!:jd
Nov.
5
iooa;
DEPARTMENT Of THE TREASURY

Internal Revenue Service
t 26 CFR Parts 177, 178 l
COMMERCE lN FIREARMS AND
AMMUNITION
Notice of Proposed Rule Making
Notice ls hereby i:rtven that the regulations set torth ln tentntlve form below
. are pro:msed to be prescribed by the
commlsstoner or Internnl Revenue, with
tho approve.I of the Secretn.ry or the
Treasury or his dcleaate. Notice Js nlso
given of a. public henrJng to be held at
9 a.m., e.s.t.
On November 21, l!lliB, In tho Audltorlum of the Freer Gallery of Art, 12th
street nncl Jefferson DrJve SW .. Washington, D.C., a.t whlch Um& nnd place
all Interested pnrtles wlll be nflordcd opportunity to be heard, In person or by
nuthorlzed rcnrcsentatlve, wlth refcre """to tho :iropascd regulatl:ma. Written
dutn, views. or nrgwnent.s relevant to the
proposed rcgula.tlons mny be submitted,
1n duplicntc, !or incorporation into the
i-ccord of hen.ting <D by malling the
same to the Director, Alcohol nnd Tobacco Tax Dlvislon, Internal !!venue
Service. Washington, D.C. 20224, pro1lded they nrc recclved prior t.o the tcrnlinnUon ol the hearing, or <2> by 1irc.z;entlng the some nt said hcnrlng. Any
written comments or sug~cstlons not spc.
cillca.lly dcslrrnntcd ns confldcnt!nl In nccordnncc with 2G CPR 001.GOl<IJ) mn.y
be ln~pected by nny person upon writkn
request. Tlle proposed rcgulnllons n.rc to
be Issued under the uutho:-lly con lnlntd
In 18 U,S.C. 926 <82 Stnt. 122Gl.
SHELDON S. CO.HEN',
.:.1)mmlsslo11cr of T11lcrnal llcvcri Ile.
[SEAL]
1
-..fEDEW"IEGISTEt. VOL. l3, NO. 217-WEDNESDAY1 NOVEMDU 6, 1968
0235
798
RIF
0236
\;_
,.....
'PROPOSED 'RULE MAKrNG,
.: .~ ~6286
. Iil order to bnptemen~~:tli~"provi.slons''

. SubpartE-Llc1n1Pro_C11dln;1
: of Title I, S~ate Fireal'Jll!I COntrol AMlst ~:.,. 1 DcniEll ciJ 1!.ll Appllcllilon !o; Jlce!o.s".
, ance <U..S.C., title 18, -chapter 44),- of
the Oun Cont.rel Act o! 1968 (82 Btat.
1213>, e.nd Tl.tie VII, Unlawful Possesslon or Rccelpt of Flrea.rms CB3 Stat.
236>, or the Omnibus Crime Control and
Safe Btreeta Act of 1968 (82 Stat, 197),.
es amended by Title m -of the Oun Control Act of 1969 (82 Stat. l23E:> 0 tho fol1ow1n"' regula.tlons aro hereby prescrlbed
es Part 178 of Title 26 of thB code of
Federal Rcirulations:
.,; - ..,,'.
Prea.rrLble. 1. These regillat!ons, 26
CFR Pl\rt 176, "Commerce In F1reo.nrui
and Ammun1t1on," BUJJCroode rcEIUla
tlons 26 CFR Po.rt 1'17 li;suect under the
Federal Flrea.rms Act <U.S.C., Utle 15,
chapter 18),
' -. " ... ',
. 2. 'These resulatlons Bhall not al!cct
any act done or any llablllty or right
accurlng, or nccr-.ied, or any !SUit or procecdJng had or commenced before the
effective date of these rcsulo.tloll.! .'
3. These regulo.tlons ehll.tl be cfrlx:t.lve
on and ll.ltcr December 16, 1966.
PART 178-COMMERCE IN FIRE..

ARMS AND AMMUNITION
"
17a'.'I'~
1'e11.rlng attor appllca.uon dental .

:rotlce of col!.templnted revocation.
Rcqueat tor hearing after notice
t'7S.'111
1'7.S.76
Heating n1tcr notice of revoclltfon.

n.ccommcmdc~. dcclalan of bearing
eumlnor.
Ccrtlllell.tl.ol\ nnd trnnsmlttl\.l ot
rocord and recommC1ndod dl'cl-
178'1'3
rm'.74
173.17
J'lB.79
l'TB.70
l'TB.SO
l'TB.81
l'TB.8:1
~7~.ll~
1711.30
1'18.3L
ccrtl11ed cop1 of llccnee.

Out-or-et.ate nod man ordeuu.loe.
170.118
Bo.lea or dellvcrl11a of deatructlvB

devlcos and certn.1 n ftre11nrn1,
Certain Pi: ob I b 1t e d 1111111$ or
dellverlcs.
l'Ta.100 accord ot trllll11o.ctlona,
l'Ta.oo
l't!f 113
171' ';it
' 178.32
Out-of-State
dhlpo1l~o1.;.
o, ll.reartnf.
by nonl1ceruiee1,
Dell very by collllllOl:I. ..,. contract
ca.rrler.
" ,
l'~ol:llblted. 1blpment. tramport
&Ion, or recelp' cl dnla.rma and
11.mmunltlon bf cerl'.llln per1ona,
179.33
178.3t
Stolen firearm& ancl. ammunition.
278.H
178.42
1'18.43
1'18.44
171J.41i
178.48
178.47
178.48
178.49
178.50
Oenernl,
Removed, obllte.l'ate(ll,
rlo.l number,
or Altered
te
178.61
179.67
178.53
178.M
1'1B.55
17a.lil)
179.57
176.ll!I
Ch~~;c
c!
Subpari G--lmpo1totlan
Genert1l.
ImpN~11tl"n by a llt.dn1111d Import(;',
Ic?;i ':itlon by otb~r Ucalllle-11.
l".."l'?r &tBt.iOQ by me-.nber1 Of tJ.e \/,;:!,
'""'.:..! A''Orce11.
.a'rtl.11J ".1em:lt Ln,portl\tlon

Oo.idltloool lmportaUoc.
176.116
Subpcid H-l1eordt
l'TB.121
cienerel,
J'lecorda maintained by lmpt" ..'JTll.

178.123 if.ecordl ma1nl'.lllne<1 by 1>Mnutnc
179.123
l'TfJ.J'O;J
turer11,
Flrenrlt\5 trananctlon record.
Record oi receipt ana cllspoeltlon,
Furnlahlng trn.n1Rntlon 1nform11tlou,
176.'1:17
Dlacontlnuane11 oi busU1011.
178.1~;
l'T6.J2~
Subpcirt l-El'mptlan1
I": 1. "1 Oenern!.
l'l'uH:a Eitect or Prc1ld11ntle.I pnrdon,
I 15.143 IUlllet from dltabllltlca Incurred by
Indictment.
l'TS.144
178.145
:nuea:cb.
orsanlzl\tlon.1,
me.
cr:nt.ro!~
CantlnuJng partnt.r1hlpa.
IURht of llUC:Ce&!llOll by ce;tnlc
persona,
[lt111)Qntlnuance of busl.aeu.
sea t.o or other la.w,
Rolle! from dl1abllltlct1 Incurred. by

convlctloo.
l'T9.14G D111lvarle1 by mllill to certain per11on11.

11a.1.i.1 Repair ot ft1"11nn,
178.14!1 Ammun11.1on toodtng for peraonml
Subpart D-llc11u"
License tees.
Llcie-n~e fee not 1ie-ru11!tqbJe.
OJ'lg1n"I llce!nae.
:Ren~wnl of llcenae.
Procedure by Dlatrlc:t Director.
I&Su11nce of llccc.n.
Corroctlon of error on llce111e,
Durr.tlon ot llceme.
LC>c:lltl on 11 covered by llcetlJle,
t.lccn11e not tranererabte,
Change ot 11.ddre-a.
Change In trade name.
a llcomc1
Loo.n or rental 01 tlrea.rma.
178.lL
;l.'.'~.2g
collector.
l'T8.97
Subpart B-D111'nlllon1
Mc1rnlng ot ter1111.
rncnt11.
'
Right or cmtrT aml. examtnatlr,n.
Pltbl111hlld ordlnartce11.
DL&cloaure of Information,
oCJurlo and rctlla d11termJna.t1on.,
Destructlvct dovlco doe-~rmln&tlon.
'I'r.anaportatlon ot de1truoth1 de
vlce11 a.-id cert111n fire.um.
Out.at-State acqulalUon f !!.rearm.a by nonllcemee1,
Authorized opora.tlona by
l'TB.96
' , l'l'B.111
:notation to other provl!lona of la.w. 176.11:1
178.23
178.2t
178.25
178.28
178.27
178.211
f:!!~~:c:~L~~~~:~Clanne.
Bnlcs or dcllverlee between Jlcec..scOC1.
S11bpo11 C-Adm!nl1flatlve and Mhc1llan1ou1

Provldon1
1'18.2L
:f'orma prescrlblld.
1'18.23
Emorgcmcy va:l11tlot1.1 !r'1m req1.1lre-
Service o:i llppllcant or Jlcon.sl!!I.

Reproa~ntat\j)l:l e.t a heo.rt.ng.
Dcelgnll~ place e;t heBrlng,
Opor11Uoru1 bp' llceneeea After nct!cc.
:l'l'B.9ol.
l'T8.D!I
Swbpart A-lnPr11d~cPlon.
0~1~~0~0'f~~;~~r.
Subpari F-Cond11d ofllu1lne11

.
178 91
1 g
S&c.
178.1
178.2
SCOp<j of rogul11Uom.
ot contemplated rcvoclltlon.
511bpall J-Penaltr11, S1l1u1u, and Forflh11

170.161 Fa lee atutement or repre1entatlon.
1?0.16~ Tlaruporui tlon or receipt to commit
a crime.
or
170.163 C:ommlulon n Federal crime,

176.161 Rcc1ilpt, etc., or fir1inrma b;y ccrt.J.n
peHons.
170.165 Receipt, etc,. or nrcarma by certain
employee1.
l73.l66 &!lzure ond!orfelture.
178.171
$ubpari K-Eporfollon
Export.atloc,
AU'tHOnrrT:
The pro11lelon11 ot tble Po.rt
1'1S l&!luod under 82 Stat, 1213-1226, 10 u.s.o.

atot. :ml, aa amcmded, unle11
Q:I t-028, 8~
otberwlae noted.
178. l
Scope of regulut(ons.
<a) In general. The regula.tlons cortte.lncd :In thls part rclat.e to <:omme:ce
tn fl.rearms and ummunlt!on :md n1e
promutg11wd to lmplcmcnt Tltlc I, St.ale
Firearms Control Assistance HB u.s.c.
Cha.ptcr 44>, of the Gun Control Act of
1968 C82 Stat. 1213), and Title VII, Unlo.wful E"osse.sslon or Rccclp~ of Firearms
(82 Stat. 2313), of tllc omnibus Cl'lmc
Control and Sa.fc Streets Act or 1968 <32
Sto.t, U>'l> as amended by Title III of
the Gun control Act of 1960 rn2 Stat.
1230).
(bl Procedural and substantive rnaulrcments. Tb.ls part contnlns the proccdure.L n.nd substontlvc requirements
rela.t1ve to:
Cl) 'l'h~ 1ntcl'Sta~ or foreign commerce in fi1,arms and omnmnltlon;
(21 The iJ.censlng o! manu!o.cturer:;,
importers, and collectors or. and dealers
1n, ftrcnrms and nmmunlt.lon:
(3) The conduct o! buslncss of u.
censces:
<4> The lmpo1tatlon of firenl'ms an :3
ammun1tlon:
(61 The records nnd report.s rcqul!cd
o! llcensce::
(6) Relief from dlsabLUtles under thl.;
part: and
<'11 EKcmpt lntersta.tc aml !mcLr.in
conuncr1;e In flr<)arms 1111<1 ammunition.
(c) Federal Firearms Act licenses. Thi!!
part fully aJJt1llcs to opemtlons by persons licensed undc1 the Federal Firearms
Act 11.nd Pni:t 1'17 or this chnpter who Ell'e
contlnu.Lng lhclr oIJcnitlons under such
license pursuant to section 007 or the
Omnibus Cdmc Control o.nd Safe Streets
Ad at 1968 <82 Stat. 2:l5l. Any reference
1n thJs pnrt to "llccnsc," "licensee," Jl.
ccnsed dealer,'' "licensed importer," "II
ccnsed manufacturer," etc., shall o.pplll
equally as the case may be t.o licenses
and persons licensed under the Fctlcrnl
Flreorms Act who arc continuing opcrn.tlons pursunnt to a license lssucd under
tho.t Act.
178.2 Relation lo CJlhcr IJfO'lll11io11s or
law.
The pro11lslons In this pait o.rc In addition to, and are nol ln llcu of, any other
provision o! la.w, or regulations, respecting traffic in firearms or ammunition, For
regulations appllcable to trn.mc In mnchlne suns, destructive devices, nnd certain other firearms, see E>art L7!1 of this
chapter. For statutes nr>pllcable to the
reslstraUon and Jtcenslng of JJersons engaged In the business of manufnctminfi,
lmpor~Lng or exporting n.tms, nmnnmi
Uon, or implements of wn r, sec section
414 of thci Mutual Scc:urlLy Act of l95<!
(22 U.S.C. 1934>, and rl'!lUlntlons thereunder. For statutes nppllcnblc to non
mallo.ble firearms, sec 10 u.s.c. 1715 1111t1
reguln.tlons thereunder,
Subpart B-Definitions
176. ll M111ning 0 tcruu.
Wbcn used ln this part nnd In Corms
prcscrlbed under this pa.-t, where not
FEDERAL lEGISTEI, VOL. 33, NO, 217-WEDNESDAY, NOVEMBER 6 1 19611
0236
799
RIF
0237
16237
.PROPOSED RULE .MAKING

otherwise distinctly exprez!s~d-or manl- oJl'enslve or derenslve weapons. To be
fc,st.ly Incompatible wJth the Intent there- recognized as curlos or rellcs, firearms
of, terms eho.ll hnve the meanings' as- nnd ammunltlon must !v.U wlthln one of
cribed In this section, Woi.:ds ln the plural the following categories:
<n> Firearms e.nd nmmunltlon which
!onn &hall lncluc!e the alngulBr, nnd.vlce
versa, nnd words importing the nutscu- were mo.nu!11cturcd at least 50 yea.rs p11or
to the cu1rent date, but not includJng
Un~ gender shall include the. femlnlnc.
The tenns "includes" and "Jncludlng" do replicas thereor:
not eKelude other things not enumer:atcd
 Firearms e.nd nmmunltion which
whlcl\ o.re In the same ~eneral clnss or arc certillcd by the curator o! a rmmlcl
010 otherwise within the scopa thereof. pal, Stn.tc, or Federal museum which exAct. Chapter 44 ot tltle 18 of the United hibits fl.rearms to be curlos or relics of
mu.sewn tnterest: and
Strttes Code.
Ammunition. Ammunltlon or Cl\rta:ldge
<c> Any other firearms or ammunition
cnses, primers, bullets, or p1opellent pow- which derive a. substantial po.rt o! their
der dcslr:mcd for use ln any firearm.
monetary value from the fact that they
Antique firearm. (J) Any fireatm. Cln- nro novel, rare, blznrre, or because of
cludlng e.ny Oren.nn with a. m(l.tchlock, their assoclatlon wlth some hlstorlcal
ntntlock, percussion ca.p, or slmll!\r typo figure, pel'lod, or event. Proof of quallof ignition system> ma.nutacturcd ln or flcntion of n pe.rttcula.r firearm or ltem
before l89B: o.nd (2) any rcpllcn ot any of ammunition unde rthls category mny
tlrea.rm described In U > of this defini- be established by evidence o! present
tton If such replica. <l> is not designed or vnlue and evidence thnt ltkt? firearms or
redesigned for using rlmfiro or conven- ammunltlon nte not avnllable except ns
tlonnl centcrftre fixed ammunition. or collector'a Items, or that the value of like
<lU uses rJmtlre or conventional center- 1lrearm.s or nmmunltlon a.vallnble In orftre flxed ammunition which la no lonscr dinary commcrcJal channels Ls aubstan- mimurnctured In the United States .and ti111ly less.
Customs o[JLcer. Any omcer o! tho Buwhich ls not readily available 1n the or
reau o! Customs or any agent. or other
dlnn.ry chnnnels of commercial tmde.
Assf.Jtane R.catonai Com.musloner.. An person authorized by lo.w or by the SecAssistant Rcglonnl Commls&loner-. Al- retary of the Treasury, or appointed In
cohol and Tobacco Tax1 Who ls respon- writing by a. District Director or CUstoms,
sible to, and !unctions under tho dlrec- to perform the duties of an officer of the
Uon n.nd .supervision or. a Regional Com- Bureau of Customs.
Date ol mportation. The date of rerntssloncr of Internn.I Revenue. : ' .~.
Buslnesa prcmlsc1. The property on lease of firearms or ammunltlon front
which firearms or ammunition' import Customs custody.
Dealer. Any person engaged Jn the
Ing, mnnufncturlng or den.Ung b.uslnesa
111 or will be conducted. A 11nvate dwell- business ot sclllng firearms or onunWlltion
at wholesale or ietail; n.ny person
ing, no part ot which ls open to the pub-_
Uc, sho.11 not be recognized as comln!l engaged 1n the business ot repairing firearms or o! maklng or nttlng special barwithin the meaning o! the term; .,: :,
Collector. Any person who acquires, rels, stockB, or trigger mechanisms to
holds, or .disposes of flrenrms or ammu~ firearms; or any person who ls o pawn nltlon ns curios or relfos.
'' broker.
Destructtve device. (a) Any explosive,
Commerce. Tro.vcl, trade; traffic, commc1co, transportation, or communication Incendiary, or &>Olson gas <1> bomb, (2)
among the several Stai.es, or between grenade, <3> rocket having a propellant
the DistrJct ot ColumbJa and any State, charge of more than 4 ounces, C4) mlsor between any foreJgn country or any ello having an explosive or lnccndlBry
territory or possession and any State or charge or more than one-quarter ounce,
the District of Colwnbia. or between (5) mine, or (6) device similar to any
points Jn the same State but through any of the dcvlccs de5crJbed Jn the p1eccding
other Sta.ta or the District o! Oolwnbin c~4uses; <b) nny type or weapon (other
than a. shotsun or a. .shotcun shell which
Co111mfssloner. The coinmlssloner ot the Dlrecto:t flnd5 ls gcnernlly recognized
Internal Revenue.
as particularly suitnblc !or sporting purCrime punishable bl) fmprlstmment for posesr by whatever name known which
a term exceeding 111ear. Any offense for wm, or which mny be rcndlly convcrl;ed
which the maximum penalty, whcthe1 or. to, expel a. proJcctlle by the actlon of
not Imposed, is capital punishment or nn exploslve or other propellant, end
Imprisonment 1n cxcesa of 1 year. The which h1u nny barrel with n. bore of more
term sho.11 not Include C1 > any Federal tho.n oneuhnlf inch ln cilnmet.cr: and
or State offenses perto.ln1ng to e.ntltrus~ Cc> any combination or parts elther devlolatlons, unfllir trnde pracUccs. re- signed or Intended for use 1n converting
straints of trade, or other similar offenses any device into nny destructive device
rein.Ung to the regulations of business described In <a> or (b) of this definition
prc.etlccs ns may be provided In thla part, and from which o. destructive device
or <2> any Stnte ofrcn:ie (other thnn one may be readily a:isembled. The term shall
not Include nny device wh!ch Is ncUher
lnvol~Jng B firearm or explosive> clasiiified by the laws at the State e.s a m2s- designed nor redes1gned tor U.'iC as a
weapon; any Jevicc, although origJnnlly
d~r !ncanor nnd punlahnblc by a term
of Imprisonment of 2 yc.ar/J or less.
designed !01 use ns a. wenpon. which ts
Curios or relics. Firearms or ammu- redesigned for use as o. signaling, pyronition which nre or special Interest to technic, line throwing, safety, or s1mllo.r
col!'.?ctors by reason o! some quality device: surplus 01dnance sold, loaned, or
other than Is ordlnarJly ~soclBted with given by the Secretary of the Anny pur firemms Intended for sportinir v.se or o.s sunnt to the provisions ot .section 4681
(2), 4685, or 4680 of title 10, Unlttd

States Code; or any other device which
the Director ftnds ls not likely to be used
as a wcnpon, Is nn nntiquc, or is n rl11e
wh1ch the owner intends to use solely for
5Port1ng purposes.
Director_ The Director. Alcollol and
Tobacco Tn>e Division, Internal Revenue
Service, T1cnsury Depn1tment. Wnshini.:ton, n_c. 20224.
Discharged u.mlcr disiw1rnra!Jlc co11d:-
tions. Scparallon from the U.S. Arm<'d

Forces resulting from a Bad Conduct Dlschargc oL n Dishonorable Dl:>chn1ge.
District Director. A District Direclor
ot lnternnl Revenue.
Executed under vcrwllics oj vcrjury.
Slsncd with the p1e.!icl'lbcd cleclnrntion
Wlder the J)f;llallics or perjury as provldecl on or with respect to the return.
fonn, or other doi;:umcnt or. where 110
form of decluratlon ls prc.<>crlbcd, wlth
tho decla.mtlon: "I declare 1.:.ntlcr the
penaUles of perjury lhat thls-linscrt
type of document, such as, stntclllent,
application, request, certlficatc>, lnclud~
lng the documents submitted 1n support
thereof', has been examined by me and,
to the best 01 my knowledge and bell.er,
ls true, correct, and complete:
Federal Fkcarms Act. Chapter 18 ot
title 15, United St.ates Cade. ns In effect
on December 15, 196B.
Felo1111. Auy offense Ptlllislrnble by im~
pri.sonrnent for a term exceeding l year.
The term shall not Jncl ude any offense
<athe1 tlmn one Involving a firearm or
explosive l clnsslfled ns a misdemeanor
under the lnws of a Stnt.c and punishable
by o. term o! imprisonment o! .2 years
or less.
.Flrcarm_ Any weapon, Jncludl11g n
starter gun, which wHl or is designed to
or may readily be conve1tcd to expel a
proJcctlle by the action of an explosive;
the frame or receiver of any such
weapon: any firearm muITTcr or firearm
sHcncer; or any destructive de\2ce: but
the term shall not include an ant.lriue
firearm. In the case or a licensed collector, the term shall mean only curios and
rcllcs.
Firearm. frame or receiver_ That part of
a. firearm which provide!! housing for the
hammer, bolt or brccchlock nnd firing
mecbanlsm, and whJch Js usually
threaded at Jts forwa1d portion to receive
the barrel.
Fu(lititJc from iuslicc. Any person who
has ftcd from any State to nvold ,;iosecutlon for a c,lmc or to nvolcl glvirr.g testimony in nny c1tml11nl Pl"Occcding,
11np0Ttatlon. The b1inglng or a firearm or ammunlUon Into lhc United
Stales; except that the bringing or n flrearm or nmmunit.lon !rorn outside the
Unltcd Stat.cs into a forclgn-lmdc w11e
tor ston1gc pending shipment to a foreign COUJl~l'Y or subsequent Importation
Into this country, pmswmt lo this pn rt.
shall not be deemed lmporlnl.1011.
Im110rtcr . .l\n.Y t>crson ct1Rni;c<l ln the
business or imporling or brlns.:lng nrcn.nns or nmmunltlon Into lhc United
Stntcs for purposes e>[ sale or dlstrlbuUon.
lnd1ctmc1lt. Includes an Indictment or
tnformntlon In nny court under which a
crlmo Plllllsbnbl" by lmprisonmrm t for
. fEDE!tAL REGISTER, VOL. :Jl, NO. :Z17-WEDNl!SDAY, NOVEMBER 6 1 1968
0237
800
RIF
0238
16288
PROPOSED RLILF. MAKING
a. tenn exceeding l Yciir tnll.f be }'rose- furn!shcd. to ench licensee under tbla tlons, and limltntions shnll automntlca.lly temilnC\.LO U1e nuthol'lly for wch
part.
cuted.
Internal Rct1e11.ue Code of 1954. 'Title

26, United st.ates Code. .
Internal rce1e:n-u.e ctlstr!ct. An lntemal
ievenue district und~r the Jur:lsdlctlon of
~ Plstrlct. Director o! Internal Revenue.
Internal rcvc1mc rcoton. An Internal
revenue region und~r the Jw1scUctlon of
n. Regional Connnissloncr of tntcmnl
Re11enut?.
Intcrsiate
clud~s
or foreign. com rierc e. In
cnmmcrcc between 11.0JI pla.ce 1n a.

State nnd any ptncc outside of thtJ.t Stare,
or within a.ny possession of the Vnltcd
St.ates (not Including the Cnnml Zone> or
il1e District of Coltnnbla, 'l'he term shall
not include eommercc bet.ween pln.ces
wlthln the same Sta.to b'ut thro11gh any
Pl!Lcc outside of ih(l ~ St11te.
l..~censct:L coltcctor. A colltictor o! curios
n.ncl rellcs only o.nd licctl!ied under the
provislons of this part.
l..lccnscci daa~cr. A den.ter llcemied un
der the provls1ons of thlll part. nnci a
dealer lJecn.scd under the Federal Fire
11.nn11 Act if Buch license I~ deemed vn11d
under i5ectlon 907 of Publlo LBW G0-351
C82 StElt. 235) ,
Lice713cct
~m11ortcr.
An Importer U
censcd under the provisions ot this pa.rt,

n.nd a. mnnnfecturcr <ns that tenn was
dcflned In the Federal Firenrm.5 A.ct> II
censed Wlder the Federal Firon.rms Act If
&uctt license 1s deemed vo.Lld under sec
Uon 907 o! Publlc Law D0-351 CB2 Stnt.
235).
Licensed maauJacturer. A manufacturer Ucensed under the pmin:ilons of
this part, and a manufacturer ( 115 thn.t
tei:m wns claOncd In tho Federal Fire
c.rms Act> llccnscd under Cho Federal
FJrenrms Ac~ It such Uccnse 1.s deemed
valld under st.::tlo:l OO'l o! l?tibllc Lo.w
l>0-351 <B2 Stnt. 235 >,
Mac1llue amt. Any weapon which
shoots, is des1'1ned to shoot. er can be
readUY restored to shoot, .automaUcallY
more thao one shot, witnout manual reloading, by c. single :fwictlon o:f tha trlEf
ger. Tl1e term sh!Ul also Include the
frame m receiver ot nny such: wcn.J)<ln,
any combJnntlon or pa1ts desfgnad and
1ntcndcd ro r use Ln converting e weapon
into B nmchlne g-un, nnd any c:omblnatlon o! parts from Which 11 machfno gun
co.n be nsscmbled lf such parts arc ln
the possessfon or under the c:ont..rol o! IL
person.
Ma1mJacfarer. Any peracm mntnsed

In the mnnufo.oturc of firearms or nmmun1tlo11 for purposes of sale o'r distribution.
National E'trearm$ Act. Chapter 53 of
thCl Internal Revenue Code of 10.54,
Pawnbroker. Any person wh~se bus1
nes~ or occu1lnLlon Includes th& taldng or
1ecelvlng, by wo.11 or pledge or pawn, of
any firearm or ammunition ns security
lo~ the pnymcnt or repayment or ntoney.
Person. Any lndlv!dnn.!, !:-Ot'porat!on,
company, nssoclaUon, firm, partnership,

society, or Joint stock compa.ny.
PublfsTica ordinance. A publlW1ed la.w
of n.ny Jlolltlc&I SUbdMslon or II. State
wblch the DJrcctor determines t:.o be releva.11t to the en forcctnent of thl$ part and
which is contlllned on n lJst compllod by
the Direct.or, which list ts publl..'lhed ln the
FEDERAL R~crsTElt, revJsed annually, and
Becrfanat Ccnnmlssfoner. A Reclonal

dommlssloner of Intemo.l Revenue.
BepUca. A reproduction, copy or facalmlLe of nn nntlcr~e Hrcann whlch 1s incapnble at firing fu<cd amrnunit1on.
Rifle, A weapon designed or redesJgned,
mndc 01 remade, and lnt-Onded tr:> be
fired from the shoulder, and deslsned or
redesjgned nnd mnde or remade to use
tho enorcy o! the C1lploslve In n nxcd
metallic cartridge to fire only n. single
proJcctllc through " rifled bore for cnch
Slmrt-barrclcrl rifle-, A rlfie having one
or more bn.rrcls less than 16 Inches In
length, nnd nny weapon made from a
ilile, whether by a.ltcrat1011, modUlcntlon,
or oiherwJse, l! such weapon. n1 modlflcd,
has an overc.11 leni=th or le:.~ thnn 26
inches.
Sh-ort-barrclecl ~hot(l'tl11. A shotgun
havlng one or more barrels less than 16
inches In length, and any weapon mnde
from a shotgun, whether by alteratton,
modlfl.ca.tlon, or otherw1se, U such.
weapon as modified hl!::i an overall length
of lca:i than 26 Inches.
Sfote. A State of the Unl'!ied Btn.~s.
designed, made or remade, nnd lntcnded
to be ftrcd from the shoulder, and designed or redesigned and made or remade
to use the energy of the exploslvc in n.
fixed she tgun shell to ftre throur:rh n.
smooth bore either o number or boll shot
or P slnBle projectile for cnch isinglo
Staec. A Stnte or the United Smtcs.
The term shnll include the D.lstrlot of
Columbia, the Commonweolth of Puerto
Rico, 11.nd the possessions ot the United
States <not including &he Canal Zone).
Unscrvkcable firearm. A firearm which
ts lncapablr, o! discharging n shot by
means at an cx11loslve cmd ls incapable of
bclng rcndlly restored to o. firlng
condUlon.
u.s.c. The United Stntc:s Code.
vll.t'latlons. and the licensee thereupon

shall !ully comply with the PL'csc1tbcd
l'CQUlt'cmcnts of icgulntlons fl'Olh wh\ch
the Vtll'lnt!ons were nuthorlzed. Aulho~-
1tY !or 11.ny \'nrlatlon muy be wlihclrnwn

whenever 111 Lhe J ud~mcnt of tho D!rcc tor the cffeotlvt.' admlnlstl'ntlon of tills
part Is hindered IJ.v Lile coutimmLio11 o!
such vnrlu.Lion. ./\ licc11scc \\'ho clc;;l 1c~; Lu
employ such variation shall ~;ulmilt a
Wt'ittcn nt>lllkntloi so lo do, in L1iplicatr.
to tho AssJstnnt Hciilonnl Co1mnl!'i:>lo11cr
for trnnsmllLnl to Lile Direct.or. 'l'hc nppllcntlon shnll dcscrll>c the i;101>0.~ed
vnrlntlon and set f'JL'th I.lie 1cnsun:;
therefor. A 1.1uiatlot\ shnll 11ot he employed until the nppUc:ntlon has hr.:cn
npp1ovcd. 1."hc Uccnscc shall rctttln, ns
pa.1t of his recorc.ls, a.vallablc for exam
lnntlon by lntcrnnl revenue oJnccrs, a.ny
a.pplicatlon opproved by the Dlrecwr
under the p1ovlslons of t.h[s section.
178.23 lli,:lit 11r l.'nlry aml <irnmi1111i<m.
Any lnt.crnlll rc\enue officer m11y enter during business hours I.he p1cmlscs,
JnClUcJln~ ptaCCS Of Sl.ol'nl!e, of RUY fil'C-
n.rtnS or .o.mm\.ll'lltlon bnpotltt, mnnufacturer, dealer, or collector for the

purpose o! lns1)ect.lng or cxl\n\inlng nny
rcco1ds or documents icqulred to be kcp~
by such 1mpc.rtcr, mn.11urn.clurn1, dei\lc1,
or coUcetor under the movlsions or the
Act or t.hls pnrt, n.nd any fi1c:i.m1s m nm~
munition kept or stored by such lm
pol'tcr, mnnufa.cturnr, d<!alcr. or collector
nt such premises.
178,24 l 111l11l~l1e.il or1li1111t1~1~.
The Dlrcctor Is authorized to complle.
publlsh ln the FEmmAt If.Ee rsnn,1 mmua.lly revise, and furnish to cnch liccn.scc,
a. llst ot published 01dl11n.nces whlch nrc
relevant; to the cnfo1cctncnt o! Lhls imrl.
178.25 l>ie1:!41M11rc of infnr111aliu11.
Upon receipt of written rcq_ticsL of n11y
State or o.ny polltlcal subdivision thereSubpart C-Adminlslrctlve and
of, tho Asslslant RcglonnJ Commissioner
may make D.Vallablc to such State or nny
l '2.8.:n Fortna prccril1cd.
polltlcal subdivision thereof, nny i11tormo.tlon which the AsslsLnnt.. H.culonul
The Director Is authorized to pre. Commissioner
nmy obtain by ten.c;on or
acrJbc all !01ms reciulred by this pa.rt.
All ar the lnronnntlon C.'1.llcd tor 1n encll tho Jlrovlslons of the Act. with icspC"cL t.o
form shall be furnished, as tndlcntc.Q. by t.ho Identification of pe1sons within Mtch
the headings on the rorm o.nd the tn- Stntc or po!lt.lcnl subcllvl~lan tllcreof.
struotlomi thereon or Lssucd In respect who hnvl! tmtchnscd or rcccl~cd firc:ann:.
or nmmunltion, to~cthc1 wlth ;~ dcscrl11thereto, nt1d es required by this part.
tlon or such firenrms 01 ::unmunltlon.
5 178.22 Emcri;:cnt'f v11riudo11s (ro111 re. S 1711,26 Curio nnd rclic cll'l~r1ni1111tiun.
c1u ire 111 en ls.
A licensed cc1llector who dc$lrc~s to ob<a.> The Director may approve va.rlaUons from the reqnlrcment.s of thts pa.rt
when ho finds that an cm~rgcncy cxls!.s

and thnt the proposed vn.1iatlons from
tho spcc:l.Oc requirements CU nre necesfillry, 12) wm nat hlnder the effective
Qdm.!nlstrn.tlon of t.hJs part, and (3) wUl
not be contrary to o.ny provistons of law.
Cb> Varlo.~lons 1 r om requirements
granted under this scetlon nre condlttoncd on compUo.nco with tho proce.
dures, oondltlons, a.nd llrnJtntlom with
respect thereto set; forth In the approval
or the appllco.tlon. l'aflure to comply 1n
good !oJth w1lh such rirooedures, condt:.
tain n detcr111111."l.tlon wlwlhc.' 1 n pnrtkii Jnr fi1cni-m or ammunition fa R uirlo or

relic slinll sul.Jmlt a written rc11uc:;t, t:i
duplicn.te, for a rullns Lhcno11 ~n ti 1P
Assisinnt. Rcr,ionnl Commlss!oticr. Each
such request shall be cxccutccl uncllr tlw
pcnnltfos of perjury and f.hidl co11t1~!11 a
oomDl~k and flCClll'~tc c.l<!~Cl'lptlo11 of lhc
tlrea.rm O!' nmnmnlUon, and suc:h pl1otogrnphs, dlai:rr;i.ms, or drnwlnl!s ns mav
be necessary to cnnble the As,o,;lst:m.t
Rcglonnt Commissioner to mnkc his clc-
tcnnlnn.tlon. The
Ai;.!)istant
Rci~lonnl
FEDERAL IEGISIER, VOL 33, NO. 217-WEDNESDAY, NOVEMBER: 6, t968

0238
801
RIF
0239
PROPOSED P.ULE MAKING
IG28!J
Commissioner may require the submls ls not Inconsistent with the Jaws o.t the Importer, licensed mnnufucturcr, licensed
dealer, or licensed collector, nny package
slon to him, or to an officer deslgno.ted by place or destination.
him, or the ftrcnnn or runmWlltlon !or
(b) No person shnll transport o.ny or other container in wl1lch Lhcrc ts any
cxnminntlon nnd testing. If the submls- destrucUve device, machine gun, short- firearm or ammunition wltt10ut written
slon or the flrcnrm or ammunition 1s barreled shot.gun, or short-barreled rifle notice to the caITicr that such firN11m or
lmpracticnl, the licensed collector she.ll In lnterstntc or foreign commerce under nnimunition ls being Lrarl!;portctl or
so ndvlse the Assistant Regional Com- the provisions of this section &ntll he shipped: Provided, That any p:i.ssenger
missioner and designate the place where hne received upeclfic nuthorlzatlon t;O to who owns or lc~ally posscssc5 a llrenrm
the firearm or nmrnt.lltion will be do Crom the Assistant Rcclonal commls- or ammunition llclng tran5portcd nbonrd
nvnilnble !o1 cxnmina.Hon o.nd testing,
stoner. Authorization ~rnntcd under this any common or contrnct carrier for
llct1lr11<:the devir.c clclcrrnlnu section docs not cany or Import rellef movement wlth the passcrw:cr in inter 178.27
lion.
fl'om nny other statutory or rcgule.tory . state or fore:gn commerce nrny dcli\'cr
said firearm or nrnmunition into the cusprovision rein.ting to firearms.
The Dh'ector shnll determine In c.c<c> ThJs section shnll not be con- tody of the J)Llot, cnptain. concluctor 01
cordance with 18 U.S.C. 921<n> <4> stl'Ued ns rcquh'lng licensees to obtain operator or such common or contract
whether a dcvlcc Is excluded from the c.uthorizo.tlon to transport destructive carrier for the duration or thnt trh) withdefinition of a destructive device. A per- devices, machine guns, short-barreled out. violating any provision of till!> part.
lb) No common or contract carrier
son who desires to obtain a. dctcrmlna shotguns. nnd short-barreled rifles ln lntlon under thnt. piovl.slon "of law for any terstate or !orelcn commerce: Provided, shall tran.sp01t or tlcllvcr in lntcrslnte
or
foralgn commerce nny flrcurm or amdcvlcc whkh he believes is not likely to Thnt such n licensee hn.s authority. oo
be used as a wcnpon sha.11 &Ubmlt P. writ engage u1 the buslnc11s wJth respect to the munlUon wl~h knowlcdi.:-e or rcnwnable
cause to bcllcvc thnt the shipment. trunsten request, ln triplicate, !or a -rullnlJ w,capon to be trnnsported.
partat.lon, or receipt thereof would be in

t.he1e<1n to the Asslsto.nt Regional Commissioner for tranamlttal to the Dtrcc fi 178.29 0111-or-S tn1c n c q uh ii lo n of vJolatlon of any provl.slon of this part:
toi-. Eu.ch such request shall bo executed
firc11rm11 h:r norillccnecca.
Provided, 1wwcvcr, That the provisions or
under t.he penaltle.s o! perjury and conNo person, other than o. licensed lm- this paragraph shall not apply ln rcspcet
taln o complete n.nd accurate descrlp porter, Ucenscd manufacturer. Hccnsed to I.he t.rnnsportntion or firearms or amtton of the device, the nnme and aC!dre88 denier, or licensed collector, aha.11 trans- munition ln In-bond shipmen~ under
of the mnnu!ncturcr or importer thereof.. JJOrt into or receive In the State where he Customs lnws and regulations.
the purpose of nnd use for which it ls. resides <or If n. corporation or other busl- 178.32 l'roh\hi1Nl ... i.i11mc111, 1rnn,.1mr.
lntcnded, and such photograpm, dla. . ness entity, wher_ It. maintains a. place of
lulion, or rclci11t uf fireurm" nr11l 11!n
grams, or drawings as may bo, necessary bttsin~ss> any firearm purch.ased or
n11111i1ion l1y l'l'rluin r1eri<1111 ...
to enn.ble tht' Director to mn.ke his deter- otherwise abtalned by such person outCa> No person may ship or transport
mlnation, The DJrector may requtre the nlde that State: ProvCded, That the prosubm1sslon to him, or to an omcer dcelg visions of this section (ll) shn.11 not pre- any n1cann 01 ammunition ln 1nterslntc
matcd by him, or o. sample of auch device elude any person who lawfully o.cqulrcs or roreJgn commerce, or 1ecclvc nny Orefor cxnm1natlon or tcstlng. It the sub a firearm by bequest or intestate succes- o.rm or nmmunltlon whlch has been
mlssion of such device Is lmpractlble, the slon in o. St.ate other thWl his sto.te of shlppcd or t.rnusporlcd In lntcrstnte or
person request.Ing the rultng aha.11 so nd residence from trn.nsportlng the firearm foreign commerce, who cl> Is under In.vise the Director nnd deslsno.te the plo.ce into or receMng Jt 1n that Sta.te, if 1t Is dictment !or, or who hos been convicted
where the device wlll ho a.vallable for ex- lawful !or such l)erson to purchase or 1n- any court o!, n crlmc punishable by
a.mlnatlon nnd testing,
Possess such fircnnn in that State, (b) lmprlsonmcnt for n tcm1 cx~cdlng I
170.28 Trlln11portadon ot dci 1ructSvo shall not apply to the transportation or year, C2) ls a Cu~ltlvc from justice, CJ)
receipt of o. rifle or shotgun obtained in Is nn unlawful user of or addlcLed Lo
1Jc,icc11 ond ccrtuin fircurn11,
conrormlt.y with the provisions of mnrlh'uana or any depressant or stJmu~
<n) 'I11c Assh>hmt Reglono.l Commlsy H 178.30, 178.96, and 178.97, and Cc> lant drug (as denned !u section 201Cv >
stoner tor the internal revenue region shall not apply to the transportation of ot: the Federal Food, Dniu, nnd CosmcUc
In which B person resides may authorize nny firearm n.cqUircd In nny State prior Actl, or narcotic drug ens de:lned In section 473Ual o! the Intc:nnl Revenue
tho.t person to tro.nspo~t in 1ntereta.te or to the eft'ecUve date o! the Act,
Code ol 1954>, or <4 I has been ndJudlrorclsn commerce nny destructive device,
machine gun, short-barreled shotgun, or 178.30 0111.of.Sro'c dil'flOIJilion of fire cn.ted o.s a mcntnl defccUve or who Juts
arms by nordiccrt&cc11.
been cornmJttcd to a m~ntctl lt1stlt.uUon:
si1ort~bnrreled rlfle. lf he .finda that such
<bl A flrcam1 may 11ot lJe rcccl\cd,
transportatJon Is reasonably necessary,
No nonllcensee shall transfer, sell,
Is consistent with publlc so.t:cty, and Jo trade, give t.rausport, or dcU11er any fire- possessed. or Lranspol'ted !n commerce or
not Inconsistent with State or lcc11l law. arm to any other uonllccnsce, who the afTeetlng conuncrci:: by ony person who
A person who desires to tro.nsport 1n transferor knows or has reasonnblc cause <l> hns been convicted by it court or the
Interstate or foreign commerce nny such to bcltcve resides In any Stnt.c other than United Stntes or of n Sti.tc or any podevice or weapon shall submit a. written tha.t In which the trnnsfcror resides Cor llt1cal subdh'li;lon thereof of n Jelony, 12 1
request so to do, In duplicate, to tho As- Ir a corporation or other buslne1.!l "ntlty, has been dlselinri::cd from the Armed
slstnnt Rcr:fonnl Commls3loner. The re- where lt maintains a place of business>; Forces under dlshonornblc condlllons,
ProvCded, Thnt t:i1e provisions of thls sec- (3) hns been nclJudgecl by n court. or th~
quest shall contain:
, Cl> A complete description and lden- tion shall not apply to <a> the trn.nsfer, United St.ntes or ot n SLn le 01 any polillt1!\co.tlon or the device or weapon to be trnnsportatlon, or delivery of a ftrco.nn cnl .subdivision thereof o! bclni; mc11made to carry out o. bequest of a firearm to.1Jy Incompetent, or 14) hnvln~~ bcc11 :1.
tmnspol'ted:
<2) A statement whether such trans- to, or o.ny o.cqulsltton by Intestate i;uccea- citizen of the United States Ji:1s rr
slon or a. firearm by, ll. person who ts pc:r- nounccd his citizen.ship, 01 r !) 1 being n11
portation involves a transfer of title;
C3) Tim need for such tra:nsporto.tlon: mitted to ocqufre or possess B firearm allcn lf-1 lllc~nlly ln tlw Unlttcl !:::it.Hll'li.
Ce) Any lndlvldunl Whl) lo J1is knowl under the lows of the state or his resi(4l The approximate date such trans- denoo,
and the !oen or rental ct a edGe and whUc bcirrn crniiioycd by any
pcltation Is to tuke plu\;e;
flrea1m to any 1>crson for tempomry lL'ic pe1son comlu~ wlt11!11 n cl1rn.slllca1 i(Jll
(5) 'I11e present locn.tlon or such deconLnlncd hi J>nrni::rnpll 1 bl of thl.'i sec
!or lBw!ul sporting purposes.
vice or wcnpon and tl1e Dlaca to whlch It
tlon, may not ln the cou rsc of such ('IJl 178,:U Delivery l1y c:ommou or con. ploytnent iccclvc, posse!;!;, or transport
Is to be transported;
trnd
currier.
CG> The mode of tro.nsporta.tlon to be
a fil'ea1m In co111111ene or alfl'cli11g
used Oncluding, IC by common or contact
Co.) No person shnll knowingly deliver commcl'cc.
Ctlrl'lcr, the nnme and nddrcss of such or cause to be dcllve1ed to o.ny common
<d> 111e pro,lsiorn; of pa nu~ raph b 1
or contract carrier tor trnnsportntlon or or tills section shall no L Ol)Jlly Lo any
carder> ; nnd
<7> E::vldencc thtlt the transporto.tlon shipment in lntcrstntc or foreign com- prlSOllCr Who by l"t,!US()ll Of dull(.'s C<Jllll<'Clor possession or such devlce or weapon merce to any person other than B licensed Cd with law cnfo1ce1nc11t !tris c:-<prc:.:;Jy
4
FEDERAL REGISIEJf, VOL. 33, NO. :Z 17-\'/EDNESDAY, NOVEMBER 6, 1968
0239
802
RIF
0240
16290
PROPOSED Rt.:LE MAKING
been entrusted wJLh a. flren.rm by compa
tent a.uthorny er the pr:faon. and the

provisions of paragraphS Cb) nnd (C) of
this .section shnll nob npply to o.ny person, or any employee employed by such
person, who hn.s been pnrdoncd b1 tha
President of the United S ~at.es or tho
chleC executive o! n. State and has expressly been auU101'l7.cdby the President
or such chlet executive, as the ~n.se may
be, to rccch-c, g>assess, or tt:anspo:rt in
comincrca a firearm.
l 7ll.33
S1olc11 firearm! and a11m;un[.
lion.
No person slmll ttansport or shJp ln

Interstate or foreign commerco any
stolen firearm or stol'!n nmmunltlon
knowing or having rensonllble ca.use to
believe that tho firearm or :DmmunlUon
wns stolen, o.nd no person shall receive,
conceal, store, bllrler, sell, or dispose of
any stolen firllllrm or stolen a.mm.unltlon
which ls moving ns, which. ls a pnrt of,
or which constEtutcs lntcrstate or !ore!sn
commerce, knowing or hn.v1ng rensonablo
co.usn to b<!Uevt?" thnt tho Orcnrm or am
munition wns stolen,
176.3 1 Removed, oLUtcra1edt or al
lcrcd 11criol numLcl'.
No person sho.11 knowlnsly tr11.nsport,
1
ship, or receive In lntcrstote or foreign

commerec ony :flrenrm which bM had tho
importer's or mnnutncturer'$ :semi nwn
bcr removed, obliterated, or n.ltered.
Subpart D-Ucer,m1s
6 176.41 Crm~ruL .
(al Each person tntcndln!I to engage
in business cs 1m importer or tnanufac
turer of, or B den.Jar In, flrunms or am
taunttJon rihllll. be!ore commencing such
business, obta5n the Jlccn!o r.ectu.1red by
this subpart :for the business to bo OP
crtded. Each. person who dce1rea to obtain
the privllcgu sr1mted by the Act and
thf!J part to a llcllnsed collcc't()r- ma:v ob
taln BUch B license under tho lllovlslona
of thla .mbpnrt.
Cb> Each person lntendlni? to engago
tn business n.s a. ftrenrms or 11.m.munltlon
importer. mn.nurneturer, o:r denier, or
aecktng th~ privllcgee o! a collector 11-censcd under this pnrt shall :Ole :11n BPPll
cntlon, wlth the rcqulreid tee C11cc
1118.42), with tho District Dlrecoor for
tho lntl'.!r:no.l tllV1muc district In which his
premises nro to be loco.ted, and, pur
.sunnt to I I7B.4'1, rcccJvo tha lJconse rc-qulrcd for such business or the Ucenso
covering collcct.Lni:r curios o.nd reILcs from
the Asslstnnt Rcstonnl Commll!Sloncr. A
iscpnrntc license must be obtained for
Clch business or acLlvlty nnd l'!l~h plnca
ot which the nppllcnnt l.s to do business
or conduct. coUccUng actMty. Such JI~
censa shnll. rmbJect to the provJslons of
the Act n.ttd other nppllcu.ble 1Provlalons
af !aw. entttte the l!!:cn~~ to trana;>::;rt,
ship, nr.d :receive nrcnrms and arnmunlLlon covered by such license In Lnter.stnoo
er forel!{n commerce, nnd lo engage In
Lhe busJness or acLlvity BJJOO!fied by the
l1censc. o.t tho locntlon dcscrtbect on tho
license, o.nd for the period stntcd on tho
license: Provided, '11mt It shall not bo
necessary for a. licensed importer 01' n
licensed mo.nu!ncturer to nlso obto.ln o

dealer's license In order to cnsnga 1n
business on his licensed prcmJses as a
cnr:mi::e In business, or who l1as not L rl)>'

submitted nppllcntlon !or rcne~\nl c
Is
previous license Issued under tMs J
shall, except n.s provided In pnrn1na,
(c) or this section, file wlth the Dlstl'iL:
Director for the Internal revenue district
dealer 1n the so.me i)lllC or firearms or

o.mmunltlon o.uthortzed by his license to
be lmp0rtcd or manufactured: Provided
fUTefter, That the payment Of the license In which the appHcnnt Is to <lo buslt1css
fee as an importer or mnnufacturcr of, on Rl>I>licn.tlon, Form 7 1 Firearms l, In
or a. dealer In, destructive devlecs nnd duplicate. The a.ppllcntlon, Form 7 cPi reo.mmunlt1on tor destructive devices In- arms), shnll include lnlonna.tion ns to
cludes the prlvlle~e o:f Lm:portlng, ti111nu the owne~sl11p or t11e business. ttic type of
facturlng or dealing In, as the case mny tlreo.rms or nmnnmition to be clcnlt In,
be, ft.rearms other tho.n destructive dc- the type of business ptcmlscs, the b11slvlccs lmd nmmunltlon for other them ne.s:; hours. the business history, nnd the
destructive devices by such n licensee at 1dentlty of the responsible persons In the
business. The n1lpllcntlon must be
his licensed prem!scs.
Cc> The collector llcensc provided by execut,cd under the pcnnltks of perjury
thls part shall npply only to tmnsnctlons and the penalties Jmposcd by 1a U.S.c.
related to a collector's nctlylty ln ncciuir- 024. The appllcatlon ~halt be uccom1ng, l1oldlng or disposing of curios nnd panied by the npmoprlatc !cc in the
rcllcs, A collector's license docs notll.U form or Ul cash. or <2> money order or
tl1orl:zo the collector to engage ln n check made paynblc to the Intcn1l\l
busEness required to be licensed under Revenue Setvlcc. Forms 7 CFircn1m5}
the Act or this po.rt. Therefore. 1! the may bo obtained from ri.ny Assistant
o.cqulslUons nnd dispositions or cur1os Rcgionnl Commisslonet or trom nny
11.nd relics by o. collccto:r bring the coL- Dlstrlct D1rcclor.
 Any person who dcslrcs to obtain
lector within the deftnltlon of a mnnu
facturer. Importer or dealer under thls tho pdvileE:es granted to u licensed colpnrt. he l!lhnll qun.llty cu such. <See also lector under lha Act nnd thJs part 011 or
after Lhe efillcUve dllte or this pal't, or
J 178.03 oC this part.)
who hos not timely submitted oppllcntlon
173.4-2 Llccn11c fees,
for rcmewnl of his previous llccnsc lssucd
E'B(:h o.ppllcant shall pay a. fee for und1:r this part: shall file with the Dlsobtn.tnlng a license. ll scpnrnte fee being trlct Dlrcctor for tho lntcmal ie~cnuo
required for each business or collectlng district 1n whlch t.hc npi>licnnt Js to cnoctLvHy at. ench plncc ot such busfnllss so.go In such activity cm npJJllcnLlon,
or 11cUvlty, as follows:
Fann 7 (Flre1ums>, Jn dupllcnte. The
Ca.) For B mnnufo.cturcr:
nppUcntlon. Form 7 <Firearms), shall
Cl) Of destructive dovlc('S or ammunl lncludo tn!ormntlon ns to the ownership
tlon for des~ructJve devlccs-$1,000,JJer of the nclilllity, the type ot i>l'cmiscs Lo
:year,
ba mnlnto.lned by the npplicnn.t for the
(2) Of fl rearms other than destructlva actlvltY', OlJd the ldentlLy o! the tcspondcv1ccs.-$5D i:ier ycn.r.
alble persons in the nctlvlty, The nppllcn<3> o.r nmmW11tlon for flreo.nns ot11cr tlon must ho execut.cd lUldcr t.hc penal&ban dcetrucUve dc111ccs-$10 per year.
ties of perjury nnd the r>ennlttes Imposed
Cb) For an Importer:
by 18 U.S.C. 024. The nppllcnt.lon shall
Cl> Of destruct!vo devices or ntnmUni bo o.ccompnn.led by o. $10 fee In the roi-m
t1on for dcstructJvo dcvJccs--$1,000 :per of (1) ca.sh, or l2) money order or check
year.
mado pn.yable to the Internal H.cvcmic
C2 > Of firearms other than dcstructlva Service. Forms 7 <Firenrms) mn.y be obdevices or nmmunlUon for firenrms other tained from o.ny Assistant Heglonnl Co111than destructive devJces.-$50 per yeo.r.
mtssloner or from nny DisLrlct. Dlrcctor.
Cc> For n dealer:
Cc> Any person holding n. 110.lld license
Cl) In dcstrucLl11c dcvfocs or ammuni- f~sucd purs:.i.nnt to the movj:>lons of the
tion for destructtvo devlccs-$1,000 per Fcclcrnl Firennns Act to mnnufncLure.
.year.
or deal In nrcn1ms 01 nmmunl{2) Who Is n. pa.wnbroker deallng In 1mp0rt
tlon for pJstoJs or revolvers mny continue
nreo.rms other than dllstructlvc devices to conduct such business under such lior ammunition for flrcnrms other tho.n cense until thn.t license cxplt'cs ucconldestructive devtccs-$25 per yenr.
1ng to tis teams, unh:ss that. license be
(3) Who Is not B dellJer ln destructive sooner tcrmlnnled pursunn~ to lllJJ>lkndevices or a po.wnbtokcr-$10 per year. bio pro11:tslons of law. If the holdct of 1L
'd> For o. collector o! curlos and license lssulld purstmnt to the lblctid Act
relJcs-110 per yen.r.
Intends to continue his n1ea1ms or 11111munltlon business following th<: cxptrn~ 178 ..t:
Llccmie rec not rduruluLlc.
tlon of such llcensc, he shnll comply with
No refund of nny pa.rt or the amount tho provisions eontalncd In rmrn~1nph
paid as e. l:tcensce rec shaU bl! tor.de where Cn) of this section prior to tile elmtrntlon
the opllro.tlons o! ihB licensee nre, fr.r of the period co\lercd uy U1c Uccnsc, and
any rcnson, discontln~l:!d dl!!'!.tl!r tho upon compUnnce \\:lth those Pl;Ol"i:-Jiuns
pcrlod o.r on Issued Hccnso.
.such nn applicant mny continue such
operntlotts as \Vere nuthorlzcd by his ex 173.4-i Original Jlcc1111ic.
pired llcemic under this f)n1t until hl:i
la)o Any person who Intends to cngnga
Iii business ns n flren.rms or nmmun1tlon appUcntlon Is flnnlly nctcd upon.
Importer, mnnufacturllr, or denier on or }78,15 (t11u1ornl or JirPll.P.
o.Ctcr t.~e errcctlvc dnte or thi.s part, or
Ir B licensee Intends Lo cuntlnur the
who hns not previously been licensed business or actlvity c.ICSCl'ilJcd on n license
Under Ulc provisions of this Pllrt to 50 1ssucd under th ls part du1l11g nny portion
flOEllAL REGISTER, VOL 33, NO. 217'-WEONESDAV. NOVEMBU 6, Hl6B
0240
803
RIF
0241

of the ensuing year, he shall, unless
otherwise notified in writlnir by the .A.s
slstant Regional Commissioner, execute
and fl.le prior to the expiration. of his
llcense an application for license renewal, Form 8 <Firearms> <Part 3). accompanied by the required fee. with
the District Director for the internal
activity ls operated. The ASslstant Re
glono.l Commissioner may, 1n wrltlns, require an applicant for license renewal to
also file completed Form 7 <Firearms> in
the manner required by I 178.U. In the
event the licensee does not timely ftle a
Form 8 CFirearms> <Part 3). hemust tlle
a. Form 7 <Firearms> as required by
178.44, and obtain the required license
before contlnulng business or collecting
activity. If a Form 8 <Firearms> CPart 3)
ls not timely received through the malls,
178.46
Procc1Jure b:r Dialrict Direclor.
UPon receipt of an application for an

original license on Form '1 (Firearms> or
an application for renewal of & license
on Form 8 <Firearms> <Part 3), accompanied by the required. f~, the District
Director shall deposit such fee and for
ward the license application to the .A.s
sistant Regional Commissioner. Where
an application is filed with an Insufficient
fee, the appl!catlon and any fee submitted shall be returned by the District
Director.
178.47
baunnce of licente.
<a> Upon receipt of a properly executed application for a license on Form 7

<Firearms>, or Form 8 <Firearms> .(Part
Inquiry or tnvestlgatlon, or otherwise,
that the applicant ls entitled thereto,
issue the appropriate 11cense and a copy
number and such number may be assigned to the licensee to whom issued for
annual renewal in the same Internal
revenue district.
 The Assistant Regional Commissioner shall approve a properly executed
application for license on Form '1 <Flrea1ms), or Form 8 <Firearms) <Part 3>, if:
 The o.ppllcant <Including, In the
case of a corparatlon, partnership, or
as:soclo.t.lon. a.ny individual l>OSSCUlng,
directly or indirectly, the power to direct
or cause the direction of the manaaement and policies of the corporation,
partnership, or association> ls not prohl blted from transporting, shipping, or
receiving firearms or ammunition ln lntersta tc or foreign commerce under the
provisions of the Act:
violated any "If the provisions of the Act
or this part;
<4 > The applicant has not willfully
failed to disclose any material lnfonnatlon required, or has not made any false
statement as to any material fact, ln
No. 217--4
<5> The applicant has in a State m

premlsea from which he conducts buslsubject to license under the Act
or from which he Intends to conduct
.such business within a reasonable period
of tbne, or In the case of a collector,
premises from which he conducts hJs
period. of time: and
<6> The applicant ls not prohibited by
the provisions of Title VII of Public
Law 90-351 <82 Stat. 236) from receiving, possessing or transporting firearms
In commerce or affecting commerce, 1f
the application ls for a license relating
to firearms.
<c> The Assistant Regional Commissioner shall approve or deny an appllca.tlon for license within the 45-day period
was received by the District .Director:
license renewal is a p-erson who ls, purauant to the provisions of 1178.143 or
1178.144, conducting business or collecting activity under a previously Issued
license, action regardt.ng the application
wm be held in abeyance pending final
determination of the appllcant's criminal case, or final action by the Commissioner of an appllcatlon for relief submitted pursuant to 178.144, as the case
n~
may be.
<d> When the Assistant Regional

Commissioner falls to act on an application for Ucense within the 45hday
period prescribed by paragraph <c> of
this section, the appllcant may file an
United States Code, to compel the
Assistant Regional Commissioner to act.
178.48 Corrcclion ol error on license.
<a> UPon receipt of a license ls.sued
ls accurate. If the llcense ls Incorrect, the
licensee shall return the license, and the
copy thereof furnished with the Ucense,
with a statement showing the nature of
the error. The Assistant Regional Comntlssloner shall correct the error, If the
error was made in his c:>mce, and return
the license and the copy thereo!. However. if the eiror resulted from information contained In the licensee's application for the llcense, the Assistant Regional Commissioner shall reQ.uire the
licensee to file an amended application
setting forth the correct information and
a st.a.t.ement explaining the error contained in the application. Upon receipt
or the amended application and a satls!e.crory explanation of the error, the
Assistant Regional Commissioner shall
make the correction on the license, and
the copy thereof, and return same to the
licensee.
 When the Assistant. Regional
other than notice from the licensee that
an incorrect Ucense has been issued, the
Assistant Regional Conunlssloner may
require the holder of the incorrect licel'l.'3e
to <lJ return the license, and the copy
16291
thereof furnished with the license, tor
correction, and <2> if the error resulted
from information contained in t.he licensee's application for the license, the
Assistant Regional Commissloncl' shall
require the licensee to ftle an amended
appllcatlon setting forth the correct lnrormatlon, and a statement cxplalnlng
The Assistant Regional Commissioner
then may make the correction on tne license and the copy thereof, and return
178.49
Dura1io11 or li1e111<r.
A license shall not be issued !or a

period of less than l year. The license!
shall entitle the Pe!"son to whom Issued
speclfled on the license, within the l!mltatlons of the Act and the regulat.lons
contained In this part, !or the period
terminated.
178.50
Loc111inn" 1overed liy liten1<>.
The license covers the class of business or the activity specified ln the 11cense at the address described therein.
Accord1ngiy, a separate license must be
obtained for each location at which a
part ls conducted; however, no license is
firearms or ammunition I! the records required by this part arc maintained at the
licensed premises served by such warehouse: Provided. That a llcensed collector may acquire curios and relics at any
are residents of the State where the collector's license Is held and the disposition ls made.
178.51
l.icen~e
not 1r1111,.r1ruhlc.
Licenses issued under this part arc not

transferable. In the event of the lease.
sale, or othc1 transfer of the operations
authorized by the license, the successor
must obtain the license rcQulred by this
part prior to commencing such operations. However, for rules on right of succession, see 1'78.56.
178.52
Ch1111irn uf nclclrrN~.
A licensee may remove his business or

activity to a new location v. lthout procuring a new license. However, In every
case, whether or not the removal ls from
one lntcrnnt revenue rcl'Jlon to nnother,
business or act! vlty must. be given not
less than 10 dn;i.s prior to snch removnl
to the Assistant Regional CommisRioner
for the Internal revenue region from
which or within which the removal Is to
be made, and the Assistant Re(Jlonnl
Commissioner for the lntcrnnl revenue
region to which tile removal ls to be
made. In each Instance, the license 1111d
the copy thereof furnished wiLh the license must be submitted for endorsement to the Assistant Rcgiorrnl Commissioner having Jurisdiction over the internal revenue region to which or within
FEDEaAL HGISTElt, VOL. 33, NO. 217-WEDNESDAY, NOVEMIEll 6, 1961
0241
804
RIF
0242
PROPOSED RULE MAKrNG
16292
removal is to be mnde. After en
doraement or the llccnso and thB cow
't.l1e1-eo! to show the new add.re.s.s, and tho
new license number, 1t any, tho A!sl.stu.nt Regional Contmissloner will retw:n
&lllllO to the licensee.
173,53 Clumsc in lrQdc nnme .

A llcensro conLLnulng to conduct" bWll
ncss at the location sl1own on ti.Ls llceoaa
is not required to obtnln a new llcense by
l ~ason of a mere cho.nge in trnde name
under wblch Ile conduct! hl.! buatness!
Proutdcd, That such. Uccnsco turnlshea
his license ror endorsement of euch
change to the Assistant Regional Commissioner for the internal revenue reslon
ln which the llcenscc conducts hie bust-
ness within 30 days from the do.te tho
licensee beglns his business under tho
new trade name.
~hlcb
178.Si
Change of control.
In the co.se or a corporl'Ltlon or n.e.soclo.tlon holding a license under tws part,
It actual or legal control o! the eorpo-
ro.tlon or assoc1o.tlon chanses, directly or

lndirectly-, whether by reason of change
ln stock ownership or control C!n the
licensed corporation or 1n any other corporation) , by opcrotlon.!1 ot law, or in
o.ny other manner, the l!censce llhall.
within 30 days o! such change, gL11ewrit-
ten notlftcnUon thereor, execute<3 under

the peno.tttes o! perjury, to the Assistn.nt
Reglono.l Commissioner. - Upon explro.
t1on or tha llcensc, the corporation or
e.ssoclatton mu.st. fllo e.Fonn 'l (FJren.nn.s>
as required by I l 78.44.
173.SS C.ontl.nulng par1.ne11hlp1o=
Where. wider the lo.w11 of the par
tJcula.r State, tho pnrtner.&hip i.s not termlno.ted on death or 1.ruolvenc;v of a
pa.ltner. but. continues until the wind
fng up of tho po.rtnershlp de.lr11 :i1J coin
pletcd, and the surviving .]:lartI:ler has
the exclusive right to the control and
possesslon or the po.rtnershlp n.s.seta for
the purpose or Urtutdat1on nnd !!ettle
ment, such flurv1vlng partner may con
tinue to operate the business. under the
Ucense or the partnership. U e.uch. survLvJng partner o.cqulrea the 'business on
completion o! the settlement al the partnership. he eiball obtnln o. license 1n lilil
own name rrom tho date o! a.cciuJsltlon,
rui provldcd In 178.44. Tberulci set !orth
In this section shall nlsa a.ppJ.y where
there Is more thnn one sur:vivlnS" lJnrtner.
178.SG Hicl1t 0 uccc111loR b1 cerl11ln
IJC!n50flll.
" <n>
Certnln persons other than the

llccnsce may secure t11e light to carry
on tho snmc Orcn.l'Jll8 or ammunjUon
busln~ nt the snme address shown on,
ruid !or the remainder o! the term or.
a current llccnsc. Such pe.rsons n.ro:
<l) 'Iho surviving spouse or child, or
exccut.or. ndmintst.rator, or ether legal
reprcscntntlvo of a. deceo.sed llccnsee:
and
<2> A rec.elver or trustw In bll.llkrup ooy, or an ossignce !o't' benefit o!
credltom.
(b) In order~ .secure th& tight provided by this section, the person or persons contlnulng the bUBlnCM shall fur-
nlsh the license for thn!; business for decision confirmlna or rcvelsEng the
endorsement of rruch. succes.slon t.o the dcn1e.1 ot the nppUca.tlon. If I.ho decision
As.slsmnt Regton11l Cotl'Unlssl.oner tor the i.'I that tho deninl should stnntl, n cerll
internal revenuo reglon 1n which the fled copy of the Assistant Rcalonn.l Combusiness 15 conducted wl.t.hin 30 dn:rs mlsstoner's tlndtnr;rs nnd coneluslons
from the dato on wh.kh the succe~or be shall be furnished t-0 the nppllca.nt with
o. fl.nol notice cif dcninl, Fonn 4501- A
~ to. carry oh the business.
copy or t.he application, marked "Dis 178.57 Diecontlnunncll or bu.lne11o
approved.'' will be returned to the nppllWhere a. ftren.rm or o.mmun1Uon busl- co.nt. If the dcc1sion Is t htl.t the llce:nsc
ncss 1s either disconttnucd or succeeded applied ror should be issued, tllc nppl!by a. new owner, the owner of tho bu.o;t- cant shnll be so notlflcd, tn wrlttrlg, nnd
ncss d.lscont.tnued or succeeded shall tho Uconsc shull lte Issued ns provided
witb.Ln :30 days thereo! !um1sh to the A!l by 176.47.
slsto.nt Rcgtono.l Comml.ss1oner for the
Noti~c of co111c:m11lnLccl r,<>
. :internal :revenue relr.lon in which hls fj 178.73
ca lion.,
bustne:Ss wns lOCllt.ed notillco.ttcn or the
Whenever tht? Asslstnnt Retiionnl
dlsconUnuance or succession. <See also
Commlssloncr hos rcnso11 to believe tlln.t
1'16. 127.)
n. licensee has vlolnled nny provision of
~ 170.SB Sw1e or otliC!r l 11w
the Act or thls pl\rt, he may 1ssuc a.
A l1cense l.ssued under th!s po.rt. con- notice, on Fann 4409, or contemplntcd
fersno r:lght or privtlei;e to conduct. bust- revocation ot the license, "!"he not.lee
ness or activity contro.l'Y tn Stnt..e or other shall set 1o1Lh the mn t.tcrs o! fact conlnw. The holder or such 11 license is not stttutlnr; the \'lointlons s(.)ccif1cd, dates.
by reason of the rl.ghts and prLvilcEJC! places, anrl the sections or la.w nnd 1egugrantcd. by thn.t lleenso Jnmt.ma from lntlons \'lol11tcd. The Asslstnnt Rcglonnl
punlshment for operating o. firearm or Con1mJssloncr sh111l nflord the licensee
ammunition business or nctMty 1n vfo~ 15 d11ys from the date of rc.celpt. or the
lation or the provisions or any State or nollcc in whlch to request a. hcarln~
otber lo.w. Shnilla.rly. compllo.nco with prior ta rc"ocrit.lon of tho license. rr the
the provtslons or any Sta.ta or other law_ llccnseo does nnt me a. timely icqucst for
afi'ord3 no 1mmun1ty under Federo.l law a. hearing, the As:;!stn.nt Rcgionnt Comor regulatiow.
rrusstonor shall lssue a. not.lee of rcvoca-
Subpcrt E-Llccnso Proceedings

l7D.?l
DcnJnl of an. n11plicnllon for

Ucensc.
Whenever tho A.sslstn.nt Regional

commtssloner has raa.son to believe that
an oppllc:a.nt ls not cllglblo to receive
nllcense under the tirovlslo:M o! a178.t'T.
he llUl.5' 1ssue a notice of denial, on Forni.
4499, to the n~pllcant. '1110 notice sho.11
aci. fortb tho mnttcrs ot !net and law
relied upen 1n detcrm.ining thnt the apPllco.tlon should be ClenJcd, and siiall nrford the applicant 15 da.ys !rom tha do.to
of receipt of the n.otlca in whlch. to reciuest a. hearing to review tho denJal. I!
no rcQucst for a heQ.rlng Is filed within
such time. the o.ppllcat1on shall bo disapproved n.nd a copy, so mlll'ked, sho.11 be
,
17D.72 IlculnG alter Ppplicaalon de
nlo.I.
:U the appUcant for an orlginnl or l"Cnewal Ilcense desires. a. bearing to review
the denial of his appllcnt.lon he shall
tlle ll. request therefor, In duplicate, wJth
tlon, Form '11500, a.s tm>vlded In
178.74.
178.74 fC-..q1c11t for ht<ari11i: 11r1~~r 110tico of con1cmpli11cd rc"o~n1ion.
H a licensee dcshcs a hca11ni: pursuant to receipt or ll llOtlce or contcmplo.tcd

revoca.tlon or his license, he slrnll me
o. request t.l1ereror, tn dupltcntc, with the
Asststnnt. Rcglonnl Commissioner within
15 days alter l'ecelpt of tllc notice of
contemplated rcvocntton. On receipt
thcreo!, tho &slstnnt. Rcglonnl Commisaloner Bhnll, ns expeditiously ns possible,
make tho necessary 111mngcmcnts for
- tho hcnrJng n.nd ndvisa t11e licensee o!
the dare. time, local.Ion and the nnme
or the officer before whom the henrlnr,
will
held. Such no~lficaUon shnll b~
mnde not less tlmn 10 dnys tn ndv11ncc
of the dnt.e set for the hcnrl ng. On concluslon of the hearing nnd consldcrntion
of all rcle11nnt prcscntallons mndc by the
licensee or his represcntn.t.lvc. the Ar:;slstnnt Rci;:lonnl Comm1sslancr ~hall
render his decision imd stui.11 1ncpmc t~
brlor summnry o! the nndl111~.s o.nd conclustons 011 Wh[ch Lhe dcdst.on ls ba:;ccl.
If the dcclslon ls that the Ilccnsc should
be revoked, n ccruned coi,Y of the summnry shall be furnlshel.l t.o the l1ccnscc
wnh the notice of rcvocn.tian on Form
4500. If tho decision Is llmt. the license
should not be ievokcd, the Uccm;ec .shnll
bo so nottned In wtithl!Ifi 178,75 11eUrill~ uf(cr l10li1e or rC\U
be
the Asslstnnt Reglonn.1 commissioner

wltbtn 15 dnys after rcccl1>t of tho notlca
o! den1a.l. The request should include a
stn.tcmcnt of the rcnsons therefor. On
recclf.Jt o! the request, the Asslstu.nt Regfonal commlssloner shall, 65 expcdltfously a.a possible, ton.kc the necessary
arrongemcnt.s fOf the hearing a.nd l'J.dVlfle
the ap_pllcnnt of the date, t.tme, locatton,
cution.
u.nd the name of the omcer be!ore whom
(n) No Jicar110 held Jlrior to 1wlicc of
the hcD.rlng will be held. Such notlflca.- revocation, It the licensee dld not rcoue!it
Uon shall be made :not icss thWl iO days fl hcurlna on receipt or the tiotlcc or cnn~
In advance of the da.te set. for the ht.'ilr tcmplated revocnllon of his llccnst>,
lni;r. On conclusion or tha hearJng Bnd
consldcro.Uon of o.lt rclcvnnt fn.cts and Fonn 440!1. but docs me 11 llmcty l'CC]lll'!>L
c1rcumstnnccs presented by the applt for o. hco.rlng D.gcr bring secvcd Lile
cant or his rcpresontn.tlvc. t.hc Asslst.ant notice or :revocation, Form 4500, the
Regional Commtsstoner shnll render his Assistant Reslonnl Commlssloner sllllll
FEDERAi. REGISTEll. VOL 33, -NO. :I !;'-WEDNESDAY, NOVEMBER 6, 1968
0242
805
RIF
0243

arrange for, nnd conduct, a. hearing 1n ahn.ll tnclude a statement o! Ute flndJngs
the mnnncr prescribed in 1176.74, exec.Pt and conclusions upon which lt is baaed,
. that the place of hearing w111 be deter including hls rullng on ench proposed
mined ns provided bl( I 178.81, U, after flncUng, conclusion, nnd exccptlon to tho
hearing, the Assistant Rtglonal Com-. examiner's recommended dcclslon, tomissioner Is still or the opl.n1on thnt tho gether wlth n statement of his findings
license should be revoked, ho will serve nnd conclusions, and reasons or basts
final notice of revocation, Form 4501, on therefor. upan all material ls.sues of fact,
the Ucensce, with 11. copy of his flncUngs lBW, or dlscrctlon presented on the record.
and conclusions. I:! he decides thnt tho A signed duplicate orlglnn.l of the declllcense should not be revoked, h0 will so slon shll.11 be served on the licensee nnd
notify the licensee, in wrltlni.
o. copy contnlnlng certifica.te or service
 Hearing hclcl pror to notice o/ shall be retained by Ute Asslsto.nt Rerevacat101t. If a hen.ring wn.s held prior glona.l Commissioner fpr hls files, and t..he
to notice of revocation. Form 4500, nnd original eh11ll be plnced In the officio.I
the llccnseo files n timely requeet tor a record of the procccdlng.
hcnrlng n!ter receipt or o. notlco of revo- 178.79 Service on 11ppliconl or llce11Hcc,
cntlon, the Assistant Reglono.1 Commissioner sliall refer the matter to the hearAll notices and other tormo.l documcnts required to be served on e.n o.pplll ng exam1ncr, appolatc d und er 5 U .S.C, co.nt or licensee under this subpart aha.II
3105, designated to preside over such
hen.tlng. The exnmlner eho.ll set a time be seaved by certified mall or by personal
.i
I
i
dellvery. Where service ls by certified
an1.1 p nee or the heat1nir and sho.I1 serve mall, a. signed dupllco.te orl"inal copy
"
Assistant Regional commissioner nt or the !01mal document shall be malled,
Jenst 10 dnys in advance of the hearing with return receipt requested, to the update. Suck\ hcnilng shult be ~ond\aeted plicimt or licensee nt the address stated
under the ap)lllcnble provisions ot Part in his ll.l>Plleatlon or license, or at his
Inst known address. Where service ls by
200 ot t. hi s chapter, inc l u di ng those wit h personal delivery, a signed dupllcnte
respect to stipulations nt hearings, evl- original copy of the fotmal document
dence, and closing of hcarlngs,
shall be dellvcred to the applicant or
178. 76 ltccommendctl dcd1ion of he.or licensee, or, ln tlm CILSC of ~ co1pora.tlon,
111~ e1rnmincr.
pmtnershlp, or assoclntlon, by dellvcrWlthln a iensonnblc time after the Ing it to nn officer, mnnngcr, or ccneml
conclusion of a hcnrlng held as pro- agent thel'eof, or to Its atto1ncy of record.
vidcd in D 178.75, and as ('Xpeditlousl,y as l 78,80 Itcprcscnaaliun ul 11 hearing.
possible, the examiner shalt render a
recommended decision, such dec1slon
An appllcnnt or licensee mo.y be repshall become a part of the record and, resented by cm attorney or other person
It proposed findings and conclusions recognized to ptactlce before the Internal
hnve been tiled, sbo.11 show the exam- Revenue Service as provided 1n 31 CFR
lner's ruling upon each of such proposed Part 10 <T1easu1y Department Clrculo.r
findings and conclusions. Dr:clslons shall No. 230), If he has otherwJse complied
consist or <s> a brle! statement of the with the hPJ>llcnblc rcqulrements of
Issues or tac~ Involved in tl:e proceed- ID tiOl.521-601.527 or this chnpter. The
tng; Cb) the examiner's findlnsa and Assistant Rcglonnl Comm1ssloner may
concluslonEI, ns wen D.5 the relll!on.s and be represented in Proceedings under
basis theLeror, upon all the material D17B.76Cb> by an o.ttorney In the office
Issues of !net, law or dlsc1etlon presented or the reglonul counsel who la authorized
on the record; nnd <c) tho examiner's to execute and file motions, briers and
recommended determination on the other papers in the pmccedlnfI, on berccord.
hn.lf o! the Assistant Heglonal Commissioner. In his own nnme ns "Attorney tor
173.77 Ccr1ificu1io11 and lrn111mlt111I or the Government."
record 111111 reco111111cndcd dccl11lo11 10
Uircclor.
l 76.81
De~ii;nnltcl
JJluce of hearing.
The designated pla.cc of hea1111g shnll

Arter 1encl1ini; hJs decision, the exam
iner shalt certify to tho complete record be such as meets the needs or the pnrtles:
of the ptocecdin" beforo him nnd ehnll Provided, That nny hcnrlns held arter
lmmcdlntcly forward It, torether with notice or cont.empln.ted revocation but
two copies or his recommended dcclslan, prior to the notice o! revocntlou sho.1J hP.
to the Director. nud will forward two at the office o! the Assistant Regional
copies of his recommended decision to Commissioner.
the Asslstnnt Reglont1.l Commissioner Co1 178.82 011er111iu1111 h7 licento1c<'ll ofter
hls files.
1101ice,
l 73. 71l Dcd11iu11 or Direelor.
In atlY case where denial or revbcntlon
IC, After considemt.lon o! tho reco1d proceedings arc pending before the Inand the recommended decision of the ternal Revenue Se1vlcc, or notice of
examiner, the Director shall approve or denlnl or revocation has been served on
disapprove the findlmrs. eoncluslon. and the licensee nnd he has flied timely rcrecommended dcc!s!cn cf the exnm!ner. Qucst for a l1cailns, the Ueeusc 1n. the
nnd he shnll direct the Assistant Re- possession of the llccnscc ahnll remnln
cionnl Commissioner to isSuo o. final In effect e1cn though <o.> such license
notice of revocation on Form 4501; or to has expired or (b) the revocation date
ln!oam the licensee that the license shall spccitlcd in the notlce ot revocation on
remain In effect. Any decLslon of the Di- Form 4500 served on the licensee hns
rector for the rcvoca.tton or a license po.sscd. If a licensee is dissatisfied with
n postllearlng decls1on revoking the license or denying tlle appllcutlon, as the

<:use may be, he mny, pursuant to 18
U.S.C. 923Cfl <3l, wit.hin GO days nHer
receipt of the nnnl notice dcny1t1r;: the
appllco.tlon or revoking the license, me a
petition for Judlclnl review of sucl1 action. Such petition should be filed wlllt
the U.S. district cou1t !o1 the district.
In which the applicant or llccnsce resides
or has his principal place of business.
In such case, when the Assistant Rcglonnl Commissioner finds lhnt justice
so requires, he may CU postpone the cf
tcct.lve date o! revocation of a llccnse or
<2> nuthorlzc co11t1nued opera.lions under the expired license, ns nppllcnble,
pending Judlclul review.

178.91
l'u:.tini.: of lil'l.'ll~l'
Any license Issued under this pnrt sllall

be kept posted nnd kept. nvallnble for
inspection on the preml!lcs covered by the
license.
17ll.92
lcl..-111ifhntio11
or linurm~.
Ea.ch llcenscd mnnulacturcr or llccnsed

importer of any firearm mnnufnctured
or impo1tcd on or ctftcr the eliectlve date
o:! this pal"t shnll legibly Identify cnch
such firearm by cn[!rnving, cnsl111g,
stamping <lmprcsi;lng), or otlwnvlse conspicuously pll\cing or cnusing to be engmved, cost, stnmpcd <Impressed) or
JJlnced on the lrnme or receiver thereof
In a mnnncr not susceptible of bclni.:
rea.dlly obllternted, ultcl'cd. or iemo\cd,
Cn.> nn lndhldunl serlnl ntunbcr not duplico.tlng nny serial number plnced by
tho manu!ncturcr or Importer on nny
other flre11rm, (b) tile model. IC such cleslgnatlon has been rnndc, lcl the cnllbcr
or gunge, Cd) the nnmc lor recognized
abbreviation of same> of the manufacturer nnd nlso, when nppl!cnble, or the
1mpo1ter, <el In the case of n domest.lcn.lly mnde firearm. the city nnd State
<or re-cognlzed nbbrcvlnllon tllcrcon
wherein the licensed manufacturer
malnlnlns his place or business, nnd ( f)
in the case or nn lmportt'd firearm, the
name or the country In which manufactured nud ihe city and Slate 'ur
recognized n bbrc\Jnllon thl'reof 1 of the
importer: Protiide,l, That tile Dh'cclor
mny authorize othel' Jnl'nns of idN1 tlficatlon of tl1e !Jcenscd manufHclllrl'r or lJce11sed importer upon recPiJlt uC IL' l Ler
ltl>Pllcnllon, Ill d111>llcate, from :wmc
showing- l:\:-o. such other tdcnllflc;ati<111
ls reasonable 11 ... ! wl!l nol hindtr Liu t'ftectlve ndmlnlstrn tlan nf Lill:; part: 1'10vldcd. further. Tliat In lw .._;1 ~c of a dPstructlve device, the Dlre::tor 111ay nu-
tho1lze other menns of lctcntifylni.:- th:il.

weapon Won l"t'ceipt of lcttcr npplllntlon, In dup!lcntc, from tl1e licensecl mnnu!ncturcr or Hctntltd Itnportcr .show nu!
that cngmvhiJ.!, cnslinJ.!, or stnmpin!J
1 irn-
p1cs..-;!11gl sucll a we;ipon would be dnngerous or lmpractlcablc. A firennn frn11w

or receiver which is not n cotnpunen L
Jmrt of n co11111Jcte weapon l\t tile time
it ls sold, shipped, or otherwise
dispo~td
fEOERAL REGISTER, VOl. 33, NO. 211-WEDNESDAY, NOVEMBER 6, 1968
0243
806
RIF
0244
., ..
16294
of lby a licensed mMU!ncturcr Of licensed ~l:llall be pn.ld by (l) ~a.sh. Or C2} money o.nd whoso rifle or 1;1loti:::un has I.Jeon los~
r.Jrder or check mado pa.ye.bla to the In- or atolen or hns become ioo1>crn tlve In
the State In whlch the licensed denier's
bf this uctlon.
tern.al Revenue Service.
premises ore located, Lr such person pn.~
170.93 Authoriu-11 opcrnllom L1 lJ.,- 118.96 Out-of-Stale and mall order sent.a to the Uccnscd denlcr o. swom
ccm1ed coJleclor.
J
. .la.
. statement, 1n duplicate, (1) Umt his rltlc
Tha bccnse 1.ssued to a eoUector ot cu..
Ca> The prov1s1ons of this section shn.ll or .i;hotgun wns lost or stolen or became
rlos or relics under the p:rovlsloU5 of thb JIPPlY 1.n any ca.:ie where n :fircn.nn pur- Inoperative while parLlclpn tine in sttch
part shall cover only transactions by tile ~based by or delivered to the person so n. match or contest. ot whJlc cni::ngcd In
licensed collector tn curios nnd rcllca, receiving tho firearm ls not otherwJso huntlng, ln the Sta.le 1n which the Hcenscd denier's business premises arc
The collector's license js o! no force or prohlblted by the Act or this pnrt.
ecre-ct and o licensed cotlcctor 1s ot the
 A lfi::cnscd :tmporter. llccnscd m.o.n- located. (2) scttlnr::: forth the nnme und
samt> stn.tus under the Act e.nd th!! pa.r:t u!acturer. or Ucensed denier may sell a nddress or the onrnnlzcd rtno or shotrrnn
R8 a :non.Uconsce wltb respect to <a> 11.ttY nI'earm to a person who docs not. appear match or contest, or the nnturc nnd locnocQu1e1tion or dlsposltlon ot ftrearml!I er in peraon .o.t the Uccnscoa bu.elnes.s prem- tlon of the hunting, nnd the CircumrunmunJUon other than curios or rellu, !sea U such person C1> Is a resident oUhe stances surroundini:r the nrcnrm's loss
or nn;r tranapartaU;..n, 11h1pmcnts, or re- same Stnto ln which the llooruee1i,. busl- or theft, or the rcnson why the nrc:um
ce1pt oC firearms o:.. nmmunltlon other nc.M prcm!se111 nre located, nnd. (2> such ha.s become lnopernLlvc, nnd <3> idcnthlln curLos or relics in intarstnte or for- JJCrson submit.a to the licensee tl1e ftre tlfylni:r the chief lnw enrorccmcnl:. omcct
elsn com~ercc, nnd Cb) e.ny transnct.lorui arm.s tramactlon record, Form 4473, re- <sheriif, chief of t,olicEJ, or police im:~
with nomlcensc-cs tnvolvjng o.ny tlrennn11 quired by 1178.124, Tho pcreon purcho.a- clnct captain> or the locnUty 1n which
or ommu.nltlon other tlinn curios ot ing the nreerm shn.11 attach to aucn rec- suc11 person ?csldcs. Immedlo.tcly upon
reUcs.
.ord a tru& copy of any permlt or other delivery of the rlfle or shot.Run to such
1nformntlon required pursut1.nt to lUlY' person. tho licensed dealer shnll tol'wnrd
Cl 171);,94 Sulc or dcU~cdct. between li statute of the Stat.a and published ordl n copy o! the sworn stntcmcnt, by rctrlsccnscca.
nn.nce appllcable to the locnllt.y 1n whkh tcred mail, to tho chJef lt1.w enCorcemcnt.
An 1rr '.>ttcr, manutadurer, dealer, or he resides. Tbe 11eonsce ahn.11 Cl> prior to officer numed by such person. Tim
c:ollector oclll.ng or o~henvli!e d.JsPOfllllG shipment or delivery of the Orccinn to licensee shnll rctnln the orlclnnl sworn
or firco.rms or nmmuul~lon to another u- such purchnser. forwnrd by registered or statement, .nnd evidence of delivery or
censoo shall ve11!y tl1e Wentlty and ll certlflcd mall <return recclpt requested> the copy thereof to I.he chief lnw enCorccc::cnsed status or the tra.nsferee. Such llo copy oC the record. Form 073, to the ment officer, n.s o. pnrt ot the 1ccord:1
vcnflcatlon shall be cshbllsbed by the chief Jo.w en:rorccc1cnt omcer named on :tequlrcd of him under Subpurt li or this
t:ni:n:i!ei'co furnJshlng ~, tho trll.IISferor such iccord by the purchaser. and (2) depart.
e. <:crl"lficd copy of th<1 tran.slercef.& 11- lny shipment. or delivery of the firen.rm 170.97 l..01111 or rc111al ut fir1:ur11111.
ccnse e.nd by such oU:er menm as the to the purcha!Jer tor o. pcrlod of at lenat
A licensee rnay loan or rent 11 f11e1um
tra:mi!eror deems neceesary. Each trane 'J days !ollowLng receipt by U1e Ileen.see
fcrca .&hall obtllln 11.nd lot mnke a eerti o! m the rat.urn rccelpt evidencing to any person for tempomry us!'.? for
ned copy or hls llccnsi ror such use lllU'-- delivery of tho copy of the return. Fonn lawful :;porting purposes: Provided, Th11t
4473. to such chleC 111.w enforcement om- the delLvcry of the :Orenrm to such persull.11~ to 1178.95.
cer, or cm the return of the copy of the son l.'f not prohibited by a 17B.99Cb) or
fi 178.95 CA:!rlllioocop,.ofUccnac.
return. Form. -44'13, to hhn due to tho I 1'78.99 Cc>. and the llccJJsec records such
En.ch person llcen;.ed under tho provi.. refusal of such chJef law enforcement lonn or rcntnl tn tile records required to
slCJ:tl3 or this p.o.rt ah11ll be furnlshed to- omcer to a.cccpt11amc 1n accordn.nce wlth be kept by hltn under Subpart H a! this
gether wttb his license a copy themot tor lf.S. Post omce Department :reitJ]atlons. po.rt.
hlJ certlflc.o.Uon. II. ISUCh. o. pcl'$0n de :the orlatnal record, Fonn 44'73, and eviSnlc1 or 1lclJvcrlC'11 ol dc11tr11~.
11Jre1111.n Jlddltlon11l copy or bb Jlcell!o:t'o:r dence of rcceJpt or rejection of delivery of 178.96
I.Ive dcvice11111d certain lirc11nn11,
cert1.ncat1on nnd for u.sa pursuen~ to the copy ot the return. Form 14-13, sent
Tho snle or delivery by n. licensee ot any
I 178.!a4, he shall:
to the chlet low enforcement omcer shall
Mn.ke a reproduction of tho cop;y be retotncd by t.he licensee M a part of dcstructlvo device, mllchlnc gun, shortbo.rreled
shotgun, or shor~-bnrrclcd rlnc,
ot JljsJ1consc and execute sn.mo. or
the records reQujred of him to be kept
CbJ Mnkll! a r,eproduct.lon of his 11 under the provlslons o! Subpart H of this to any person other thnn ~mother Uccnscc
who ls Uccnsed under thls part to recense. and, IC a11 indJvfc!ual. tmter uPOn part.
ceive such device or firearm, ts r,rosuch reproductlr.n the statement: "'I cer(c) A licensed imPortcr. llccnsed mmntlry that; this reproduct.1on ls a true &nd. u!octurer. or llcensed dealer, may sell or hlbltcd unless the person to recelvc such
correct ieopy of my llconse."' and slgn his dellvcr a rJfle or shotgun Cu. Hcenacd col~ dovlce or .firearm hns In his possession n
name adjacent thereto, or, 1! tho ncene lcctor m11y sell ot' deliver a rifle or shot- sworn statement, ln triplicate, cKccuLcd
has been Issue<'. to a. corporation or other iWl only lf lt Is n. curlo or rellcl to o. r!lsl- by tho chief lnw en1orcemcnt. officer
bWiiness cntlt:,. n person authorized to dent of a Slate conUguow to the State 1n <she1JIJ, chlef of police, or police precinct
nct;-on behalf c.r such corpoiauon or other which the Jfconsee'a plo.cc or buslnes.s Is . capto.ln> of the location wherein such
buslm:ss flntlL'I shall enter upen auch re located It the purchnser's St.nte of resi- person resides, nttcsUng tlrnt en> Lllcrc
production th a st11tcmcnt: ''I certify tho.t dence penn!ts such snle or deltvery by ts no :provision o! lnw, regulation or orcUth!s :rcprodur tton Is n truo nnd eorrE?et law. the sale fuJJy complies with lhe legal nnnco which would be vlolntcd by such
COP?r" or 1.he Ucense issued to this busL- -:ondltlons of sale in both such contlgu- person's rccchJt or po:;..;csslon thcruof.
nc.ss." and sJgn his name and t1tle ndJa OWI st.o.tcs, ELnd the purchaser nnd tho and thnt such chic!! la.w enforcement.
cent thereto, or
Ucensca h11.vo. prior to the sn.Le. or deliv- officer is sntlsfictl thnt <D the rccclpt. 01
(cl Submit a rcQuest. ~n wrUlng, tor ery ror s.o.lc, or the rifle 01 ehotQ'UJl. com possessLon of the dt:st1ucLLve device. mng,ddUJonal c:mlcs or his license to the &- plJed with all the i:equlrcmcnt.s of cblno gun. 1Sh01t.-bnrrclcd shotgun. 01sis Lant Rc~ionnl Commissloner tor tho 1mrnaraph Cb) of this section nppllc.o.blo Bhort.-bnrrelcd rJfic fa Intended tor lawInternal l:'e1enue region in which tbo li- to lntrnstatc transactions occurring on ful uumoses by the llflrson pmchnsh1g 01
cense was Issued. The :request shnll ect other thnn the llcensce111 business oUmrwJsc ncquhinc such d1wlcc or v.:c:upon, and (2) there ls a rcnsonnblc uccc.srorf.ll the r:runc, trade nnme (If nny> aruf premises.
nddrc.ss or the Jlcensco. amt tho numbei:
Cd) A licensed dealer mny ecll to any slty Cor such person to 1m1chm;e or otheror copies or the lfccnse desired. There P!lrson who la & resident ot I\ Stnt~ other wise acqulre the devlco or wcnpon. and
E!ho.!l be- l 1npo.~md a fee o! $! !or e=.c!: t1:m.n the Sta.to in Which ihc iLcen.scd <3> that; such pc:rson's rocci1,t 01 ponsescopy o1 B l1cense Issued by the A!slstnnt detilers premises 11rc locaLcd, and who is slon of the device or wcnpon would not Lie
R<!sJonai Commissloncir under the pro- po.rtlclpnting ln .o.nY organized rine or 1_nconslstcnt wlU1 pnbllc snfcly. Such
vislon.s or this pn.ro.gra.ph. Fee pnymcn.t. 11hatglUl match or cont.est, or Is engaged sworn stntcmcut shnll be dlsll'lbukcl In
slm.U ace ompony cnch .such request tor !n hunting, ln the State in whJeh t.he acc:ordnnce with the pzovislons conta.lt1cd
nddU!llnial copies o! o license. such !ee Uccnscd denier's premises arc locll.ted, in Vnrt l '19 or this chnlllcr, Mnc:hlnc
.lmporCcr. shall be ld.enW!cd a.s required
Ca'
fEDEAAL lEGISJU, VOL 3 J, NO. 217-WEONESOAY, NOVEMBER 6, t 961l
0244
807
RIF
0245
, PROPOSED RULE MAKING

Ouna and Ccrta.ln Other F.trenrms. Tlle
sl\le or delivery of the devica or wea.pan
sl1o.U not be mo.de until the appllca.tlon
for t.ro.ns!er ts e.pp1'0ved by the Director
r.nd returned to the licensee Ctranaferoi:_).
o.s provided In Po.rt 179 of th.15 chapter.
178.99 Cirlt1in 11rohil1ilcd salct or de
Uwcrie..
<n> A licensed lmportcr,
position. unless the 1mparter, rnr:mufnc

. turcr, dealer or collector knows or ho.s
reasona.ble causo to bcl!eve tho.t the pur
cbaso orpos,sesslon would not be In viola.ti.on cf such State law or such published
ordlno.n.ce.
(C) A licensed Importer. llcensed mo.nufacturer, licensed dealer, or llccnsed col~

Jector ~all not sell or ot11erwloo dl.5tloso
of any firearm or amtnunl tlon to any
person knowing or hn vlng teaoono.ble
causo to believe thnt ~mch person (1) fB
except a.s provided Wldcr l '18.143, under
indictment for, or, except ns provided
under 1178.144, hM been convicted 1n
any court of a crime tnm1shnble by Im
pr1Bonment !or o. tcnn exceeding 1 yei.r,
(2) 18 a fugitive from Ju.'ltlce, <3J ta o.n
unlaV/!ul user of or nddJctoo to mart...
huann. or any depressant or stlmUlant
drug (O.S defined In section 201<v) or the
Federal Food, Drug, nnd Cosmetic Act>,
or narcotic drug <as deflned In section
4731 Ca.) ot the Internal Revenue Codo
ot 1054>, <0r (4 > hl1.!I been ndJudlcatcd ns
a mental defectlve or hllB been committed
to u.ny mental Institution,
178.100 RccGrd or tr11.n11"clion11.
Every licensee sbnll malntaln firearms
records in such form and manner a.s 1s
prescribed by Subpart H ot thl.fJ part.
16295
Stn.tcs by n licensed importer (as defined
in 178.11) unless ( 1> tf 11 Orcann, Ii is
identified as required by this part, nnd

(2) the Director has nuthorlzcd the lmw
portl\tlon ot the 1lrcnrm or nmmunlUon,

or (3) the firearm or nmmwiltlon ls llslcd
on the Importation List compiled uy Urn
Director ns prov!dcd by parngrnpll <cl er
thls acctlon.
(b) An nppllcntlon for n permit, Fc.nm
urn.cturer, or licensed dealer, or llunsed
O CFlrenrms>, to Import or urln~ n fl recollector shnll not sell or deliver any fire
arm or nmmuniUon lnt<J the Unllcd
o.nn to nnY person not llccnscd under. this
states or n possession Lhcreor under this
part, or the Federal Flrca.rm5 Act, and
section sha.11 be filed. In ll'IJJllcnLc. with
who the licensee knows or has reasonable
the Director. The nppllcnuon shall concause to bellcvo does not reside in <or lf
tnln (1) the no.me, address, and license
a corporation or other business Qntlcy,
number ot the 1mpo1tcr, C2> n dcscrlpdoes not mn1nta1n n place of bus1nesa la.>
Uon o! the flrc1um or nmmunltlozi to be
the Ste.to ln whlch the llcensee's p]a.ce of
imported, Jncludll1g lypc Ce,g.: rifle,
bustnes,, or nctlvit.Y 111 located: Provdecl,
ahotcun, pl13Lol, revolver>. model, cnllbcr,
Tho.t the forcirotng provislODJJ Of this
slZO (If nmmunHlon> or gauge, barrel
PAragmph ( ll shall not o.pply to tho
length (If a firearm>, country or mn.nuso.le or delivery of n. rlfio or 11hotgun
racture, nnd name of the manufacturer,
Ccurlo or relic, ln the ca.so of a. licensed
(3) the unit cost or the firearm to be
collector> to a. resident or a State con
1mport.cd, C4) the country from which to
tlsuou.s to tho Stnto 1n which tho Hcenbe Imported, CS) the name nnd nddrcss
aces plnco or business or o.cUvlty 111 lo
of the foreign seller and the foreh.:n
cnted If the ~urchascr's Bto.te or restdenco
shipper,
(6) verification that If a fircnnn,
pcnnlts such snlc or dcllvecy by le.w, tho
1t will be ldent.1.0cd ns required by this
sale fully complies wil:.h the legal condl-
pnrt. and (7) m lf imparted or brnui,:ht
tlon.s of sale 111 both such contiguous
1n for scientific or J'CSCl\rch purposes, a
States, ond the purchaser o.nd the Ileenstn.tcmcnt dcscrlblnr:r such purposes, or
!lei! have, prlor to t11c sale, ot.cl.cllvery for
Subpart G-lm~ortation
<lll if for use In connection with compeante, or the rifle or shotgun, compiled
r
tltlon or tr.o.Lninl'.! pursuant. to chapter
With the requirements of l'18.96(b), (2) 11n.111 Cencrnl.
401 ot title 10, U.S.C., a statement deel10.ll hot npply to the loan or l."ento.1 of
(o,) Section 922(a) (3) of the Act scribing such Intended use, or Ull> l! nn
a flreo.rm to o.n:v person for temp0rocy makes tt uniawfUl, With ccrtnln excep- unservlccnble firearm <other than n mo.\lse for lawrul s110rth\1t purposes, and (3) tlons not pertinent here. !or any person chino gun) being imported ns a curio or
shall not preclude nny person who b other than u. licensee, t-0 transport Into musewn piece, o. clcsertptlon or how 1t
P11rtlclpa.ttng in any organized. l'Ule or
th st te h
h
Id
ihotgun match or contest. or is engaged or recelvo 1n
c a. w ere e res es was rendered unscrvJcooble and nn cxany 1\rearm purchased or othcrwlBc ob- plano.tlon of why lt Is n curio or museum
ln hwitlng. tn a State other thE111 h15 ta.lned by hlm outside of that state. How- ptcce, or Clv l 1I a fircnrtn, other U1an n.
Sta.te of residence o.nd whom rlfte or ever, iiectlon 025 Co.) <4, provides n limited .fiurplus mmtn1-y ftrcann, o! n type that
8hotgllll has been Jost or stolon or ha5 exception for tho transportation~ shlp- docs not fall withln the definition of n
bCoome Inoperative 111 sucn other Btatft, m nt r eelpt or lrnportalfon of certain firearm b:r section 5645Cn) ot the Infrom purchasing a nflo or IShotaun 1n
e e
b
taln tcmnl Revenue Code or 1D54, nnd Is for
IJUch other SW.te from a llcerucd dealer 1lreal'Dl8 and nmmunltlon 1 ~r
UPOR Presentation by such person to l!IUch members ot tho United States o.rmed spartlng purposes, a.n explanation ot why
dealer a sworn statement, fn dupltcate. forcca. Section 022C1) of tho Act mLlkcs thc nppllcant believes the fireann ls &cn(i) tho.t hls rlRe or shotgun was lost. or it unla.w!ul for nny person knowingly to erally rccoITTtlzcd ns parUculnrly sul table
stolen or became inoperative while par- Import or br1nir Into the 'O'nlted States !or or readily adaptable to sporting J>Ur
ttclpo.ttng: 1n such a. match or contest or or a.ny possession thereof any firearm or poses, or <v> 1f ammunition being imwhile engaged ln hunting. In euch other ammunition except a.s J:Jrovlded by sec- ported !or sporUug pui-poses, a st.nl..cmcnt
Sta.tc o.nd m> identifying tho chtcr law tion 925(dJ of the Act. which section pro wh.v the appllcnnt believes It ls i:cncr.ally
enforecment omcer <sherUf, <:htcr of vldea stnndards !or importing or bringing recocnlzed as particularly suitable for
police or police precinct captain) of the flrcnnns or nmmunltlon Into tho United or readily ndaJJtablc to spa1L1ng purp0scs.
Joca.Uty tn which such person resides (for Stutes. Accordingly, no firearm or am- In determlnln~ wl1ethcr I\ 111carm or nm8Uch dealer's disposition of aueh sworn munition may be Imported or brousht munltlon ls parllcula1ly sullnl>lc for 01
statement, see a178.96(d)).
tnto the United Stutes except as Provided rc~dlly odapiable to sporlln~ put1>01;es,
the Director may seek the rccommcndn(bJ A licensed importer, Uccnecd man by this part.
urncturer, l!ccn.sed dealer, or l!ccnscd
<b) Where a firearm or ammunition ls tlon ot the advisory board n uthorlzed by
collector shnll not :iell or detJver (1) nny Imported and the o.uthorlzatlon !or im- paragraph <c> ot Lhls section. If lhc
fircann or nmrnW11tlon to any tndividunl portatlon reQulrcd by this subpart hes Director approves the nppllcatton, i;nch
who the lmp0rter manufacturer dealer: not been obt.ained by the person lmportBPI>rovcd nJmllcntlon shnll serve us Lhc
o:r collector knows or has rewnable lng same. such person shall:
permit t.o import the flrcnrnrn or ammuco.use to beUeve is less than 18 yeara of
(1) Store, o.t his expense, such ftrenrm
ngc, nnd, II the .fi1co.rm. or ammunition, or o.mmunJtlon at a !ncllity designated nition desctlbcd therein, nnd lmportn tion
Is other thnn a shotswi or rifle, or om- by U.S. Customs to nwnlt the issuo.nce o! of such flrcnrms or nnunu111t1on mny
munt.lon !or n shotirun or rlfiB, to 11.n:v the rcqutred nuthorJzatlon or other continue to be made l>y Lhc licensed in:lndMduo.1 who tha Importer, mn.nU!ac disposlt.lon; or
port.cr under tllc approved nppllcntlon
turcr, denier, or collector knows or has
(2J Abandon such firenr nor ammunl- (permit> du1lntt the pcrlocl s1>cctncd
rensonnblc cause to bcllevo is le!I! than tJon to the u .a. Government; or
thereon. The Direct.or sho!! !urnl;;h th;J
21 years or ngc, or C2) any flrco.im or
cs; Export such iircnrm or ammWll approved
nppllcntlon (J>crmltJ lo tile np.
o.mmwtltlon to nny person In nny Btnte
where the purchnse or posses.sJon by euch tlon.
pllcnnt nnd retain two copies thereof for
t>er.son or such fircnnn or ammunition 178.112 lmpo11111ion Jiy 11 lic~nneil ltn administrative use. It the Dlrccto1 dls:lPwould be ln violation of any State law or
i~rtet'.
proves the nppllcntlon, the llccmld Im o.t1y published ordinance o.pplJeabJe at
Ca> No flrcnrm. or ammunition Bha.11 be porter shnll be noll!lcd o! the l>n.\ls fur
the plnce of snle, dcllvcry or other dis imported or brought Snto the Unltcd tho dlsappro\al.
licensed man-
RDERA.L lEGISTU, VOL 33, NO. 217-WEDNESDAY. NOYEM!!EA,6, 1968
0245
808
RIF
0246
16296
<c) Tho Director may complle- 'an lmJlorta.Uon Lis~ of fuenrma nnd .amm.unltton which he detcnnlnes to be aenernllY
rceoantzcd e..s purtlcularly su.Jt.ab!e !or
<:Jr rend.Uy ado.lltable to sport1n1& t:ruJ'l)t)ses.
The determlnatton of the Dlrt-ctor thn'
a fl.rearm or mnmunU!on ts genera.Uy rec~gnized t<> ba tio.rt1eularlS" aultabl& for
o:r readily adap to blc to sporting pur:poses
may be made wJth tho nssista.nce ot' nn
adrlsory board to bo nppolnted by the
Commissioner. such board may be com-

wsetl of ~rson.s from wlthln and without.
s-0.-ernmcntnl ngencles who are reeognt:z;ed. as beln[I pn rtleularly knowledgeable
in tho use and elassJficatlon of tlremrms
and o.mmunllion. No ftrennn ahall be
:placed on the lmporta.tlon Ltsf, unless Jt
is found thtlt U> the caliber or ga.u11e of
tl1e firearm la au:ltable for use 1n n reeognlzeo:I ehootlng .sport, <2> tho tyoo o:f :nrcerm ts generally r~gntzed M- particularly suit.able !or or rcncIJJy adn.ptable
to such use, nnd (3) the use of the :fire
pea.ring ora the Form BA CFh:carms> certJJled by Customs. (2) pursuant to I 1'18.92. pJo.ce 11.ll required identlfico.tlon data
on each 1mported fireann If sa.me did not
bear such idcntlfication di'J.ta e.t the ttme
of lts relcnse !rom customs custody. n.nd
rn> post; In the records required to be
mo.Lntalnecl by him unc!er Subpart. H of
thb part, all required lnCormatlon rcgo.rdinS the importntlon.
178.113 lmporlntlori Ly od1cr ll
~cn11ec11.
other tl)tm a llcensed

lmr.>orter ens denned 1n f 178.11) shall
engage Jn tho business or lmporUnK fire
1u1ru1 or ammunition. Thcre!ore, no fire~
nrm or ammuntton shnll be Imported or
brought. Into the United States or a possession thereot by nny licensee other
than " lJcenscd importer unless the Dlrcctor issues a permit authorlzlug the
lmPortD.~lon of the fireaLm or ammu
nltlon.
<b) An application tor a. permit, Fonn
arm in a. recognized shooting- .&pert. wm
:not endanger the person using Lt due to a <FJrcarms}. to import or brtng a fire
deterJoro.tion thmuab such 1Jse orber.nuse arm or ammunition into the United
of lnfcrtor workmnnshlp. ma'l.er1n.Ia or Sta.tes or 11. possesslon thereof by a li1rles!gn. No ammunH!on shall be placed censee, ether tho.n a lJcensed importer.
o0n the Importation List unless &t Is found sbn.tt ha filed, In trlpllc:n.tc, with the Dl
that m the crutbor, size or go.uge .at ~a rector. The appllcntton shall canto.In U>
ammunition Js autta.blc for use Ln a rec the name, address, and ~ho license numcErnl2':ed shooting sport, uo the tyr:ic or ber of the nppllcnnt, <2J a description
ammunition Is generally recocn1ud rui o1 the ftrermn or ammunition to be imJJti.tUcularly suJ ~o.bJc !or or rendlly ndn.pt ported. b'lcludJng type Ce.er.: rifle. shotabte to i;uch us~. !L"ld OH> the use o! the gun, plstol, revolver). model. caliber.
ammunition 1n 11 rei:OgnJztid 15hootlng &tze d:f ammunition> or gauge, barrel
sport. will not c11dnnger the person uslng Iengtll Clf a Hrca.rml, country of mnnurncture. and name or tho rncmufncturer,
H.
(c;l) A nrcimnor nmmunltion. lmported C3> theunlt.costor thcflrcnrmore.rnmuer brought into the United States by o nitlon to be imported, C4J tho name and
JJcaru;ed Importer mny be released from address of the roreJgn seller and the
customs custody to tho licensed Importer foreign shipper, C5) tl1c country from
upon his showlns that he hll.!I obtained which the firearm or ammunition ls to
a permit from the Director tor tht) Jm- bo Jmportcd, (6) except; as provided Jn
i;ortntfon ot th~ ftreann or ammunltlon }laragraph Ce> of this .sectlan, vcrtftcato be relen5ec:I, or that tho flretirm or tlon that the fircann ta be imported wlll
ornmunlUon nppenrs on the lmporlintlon bo ldent!fied ns required by this pa.rt.
List. ln obtalnJng the release from cus- and <'1> (I) lt the :flrcann or nmmunttfon
toms custody of n firearm or nmmunl- is being imported or brought In tor scitl1.m a.uthorlzed by this section to be lm- cntlflc or i:csearch purposes, a &tntement
lPOrted through use of a permU or be- describing such Jllli'.i)oses. or <II> it tor
cause the firearm or ummunltlon appears use Jn connection with competition or
on the lmportoLton Llst. the llc:ensed trntnlns pursunnt to ell.apter 401 of title
Importer shall prepare Form 6A CFlre 10, u.a.o., a staternent describlns such
nnns>, In dupllcnte, o.nd furnish the intended use, or <HD 1! an unservlccnble
original Form BA tFJrcnnns) to the CUs firearm Cother than a machJnc aunl bet.oms omccr rel1mslnK tho firearm or nm- ing Imported ns n curio or museum pleec.
mWl ltlon. The Customs officer shall. n dcscrlpt.lon of how lt wns rendered unafter ccrtUlcntJon, forward .the Form 6A serviceable nnd an explann.tton of why
<Firennns) to the Assistant Regional fl; ls a. curio or museum plccc, or <Iv> 1? n
Commissioner !or the region wherein the firearm, ether than a surplus military
Jlcenscd lmport<!r malntalrui hh place firearm, of n type thnt docs not. !nll withor business. Tho Fonn 6A (Fire.arms> in tl1e do:finltton of a firen.rm unci1.1~
shall show the name, address. and li- 58f5(1al of the Internal Revenue Code
cense number of the Importer, the nn.rno of 1954. nnd Is ror sporting purposes, a.n
ot tho manutncturer ot the ftrets:rm or explnnnt!on of why the appllcnnt benmmunltfon, the tountt:v of manufac- lieves the fircnrm Is genern.lly recognized
ture, the type model, and cnJlber, size as partlculnrly sultllblo !or or readily
~If ammunlUonl or go.uge. anct the numadnptnblc to spo1tln11 purposes, or (V)
ber o! Orearn1s or rounds of ammunit.lon H nmmunltlon being Imported for spo1tin11 purpo.s<?s. a statement why the applir~leo.scd.
Cel Within 15 dmys of the date of re- cant believes it ls scncrnlly recognized
1-ense from customs custody. the lfccnsed ns port.1..;nlarly sultnbJr ror or readily
:Ll!lpo.rt{)r E!h!!U co rarwnrd to !.hie A~t~ o.daptuble L" BporUng purposes. U the
nnt Reglonal Commissioner o copy or uJrector approves the application, such
Farm BA <Fircnnr..!i > an which. slm.t! be approved nppi!'latlon shall serve as tho
reported ony error or discrepc.nw ap- permit to Import tho 1}renrm or nmmu<a> No person
nltiou described t1te1eln. The Director

shall furnish the nppro\cd npp?tcnUon
Cpennlt> to the allt)llcnt\t nnd retnln
two coplcs thereof for ndmlnlstrntlvc
use. If the Dlrcctor dlsn.1)provcs the oppUcntlon, the applicant sl)oll be notified
ot the basis for the dlsapprovnl.
Cc) A tlrcrmn or o.mmunltlon imP<>rtcd
or brought into the Unlted Stn t.cs or a.
possession thereof under the provlslons
of thls section may be released from Customs custody to the JLccnsec lmr>ortlng
th& fircnnn or ammunition upon his
showing thnt he hos obtnllicd fl r>crmlt
from tho Director for the impoitntion, rn
obtnln1ng the rclensc or the firca.inl or
o.mrnunltion from Customs custody, tl1c
licensee impcrtlng sn.mc sllnll prepare
Fonn GA <Ffrenrms>. ln dupllente. a.ncl
!umlsh ~he 01Jglnnl Form GA <FJrcnrms>
to tho Customs officer rclco.slng the firearm or ammunition. The Customs officer
ahn.ll, nr~r ccrtl!ltntJon. forward the
Form 6A (PJrenr111Bl to the Assistant
Rcglonnl Commissioner for the region
wherein tho llccnsec ln11>ortlng the flrc.
arm or nmmunlLion mnb1tnlns his licensed premLses. The Fonn GA <Pirc~
arms> sho.ll show the 1u1me, address. nnd
the 11cense number of the tlccuscc. the
nnme of the mn.nufru:turcr, the countty
of mnnutncturo. nnd the type, model, Rnd
caliber, size Uf ammunition> or gauge or
the firearm or nmmun1tlon so rclcnscd,
o.nd, 1f nppllcn.blo, the numbor of fircBTm.!J or 1ou11ds of 11mmunHlon relcnscd.
Cd> Wlthln 15 do.Ys o! the dn te of release from customs cus!.ody, the licensee
Jmpartlna the fitc1111n or nmmunltlon
sho.ll Cl) Jn the case of nn Imported nre.
O.l1tl, ptnce nll req,ulled ldcntlficntlon di1tn
required by this part !except ns J>rovldcd
Jn parasroph fo) o! this scctlo11> on the
fircnrm It the tlrctarm did not po~scss
.such ldcntlficotlon dnLn. nt tile lime of Its
relea.se from Customs custody. nnd ( 2}
forward to the Assistant nc~fonnl Commissioner a COl)Y' o! Form 6A <Ffrcnrms >
on wll!ch shall be re[)Ortcd nn:y crior or
di.serepo.ncy nppcnrhlt: on t.hc Form GA
<Fitearms> CCi'tifled by Customs. nnd the
ldentlficntlon scrfa.l 11umllcr of the firearm or tho 1dcnt1fyb1g ntfltka ol tllc ntn
munition. Whctt a flrcnrm itnJJortcd
Under the provJslons or thls sactlon docs
not possess an ldcnti!ylni; scrlnl number
at the time of its rclcnsc from Customs
custody, the licensee lmportini; such fire
arm shnll obt.nln nn lcl(mtflylmr scrhLI
number from the Asslstant lk({lonal

Commissioner.
Ce) Notwithstunding lhc ldc11tlflcatlon
rcqulr'emcnt.s of ~ 178.!12 n flrenrm Im
poit:d or brous:ht Into t.he United Stat.es
or a. possession L~1crcor under this sec
Uon shnll not be required to bear the
no.me, clty, nnd SLnt.c of the llcenscc

lmportlnr; or brinmm: In t.hc flrc1tr111.
Ho
178.l lJ lm1wrl111io11 by 11wml1,.,.,. 11(

tho U.S. ,\rr11ttl For1(1t,
Ca.) 1-'or the J>Urf>oscs of this st."cLlon,
Cl> u. mem\Jcr ui ~he U.S. Armed Poree:;
on active duty sh.o.ll be considered to be a
:resident or the Stnl.c Jn wl1Jch his
pemumcnt duly station L'> locnlcd. and
FSDEAAl IEGISTER, VOL J3, NO. 217-WEONESOA't', NOVEMBEl 6, 1968
0246
809
RIF
0247
..,
MAKfNG '
16297
p PROPOSED RULE
.
"-~.r . . . ~ q "~ -;.--~:otn..
~
~
<2> tho term "UnJted Sta.tea when used . 1stmtlve pUrposes, It the Director dis tton shnll bo relei:.-:cd f:rom CLLo;;torns cusfn other than "United States :Armed I npprov~ the appUcatlon. the appllca.nt tody In the manner prescribed In the conForces" sho.ll mean each of the several . .she.ll be notlftcd of the bn.sis for the dla- ditional authorlzntlon Issued by. the Director.
Sta.te.s and the Dlatrlct. of COiumbia.) ... : .i.' approval
Subpart H-Records
Cb) The Director may lssUo. a. r>ermJt
(c) Upon receipt o! n.n approved apnuthorlz!ng the tmpartat.iQn o! a firearm pllca.tlon <permit) to imJ>Ort the fireo.rm 178.121 Gcnern1.
or nmmunitlon Jnto the United Bto.tes to or emmunltlon, tho eppllcnnt shall pro-
the pince of resJdcnco of any member cccd in aceorda.nce with tho provislons
of the U.S. Armed Forces whe> Is on ac- oonta.lned In 178.113 <c>-Ce). However,
tlve duty outside the United States, or where the nppllco.nt ts on acUve duty
who hM been on o.ctlve duty outside tho outs.tdo tho United States, he may apUnlted Statc.s within tho 60-daY period point, In writing, an o.gent to obta.ln the
Jmmedia.tclY preceding the intended im.. telea.so of the firearm or nmmun!Uon
portatlon. An application for such a. ner:!. from customs custody fo1 him. Such
wt, Form 6 <Flrco.rms> I shall be filed.. agent shall present sufficient identlflcnfn trlpllcnte, wlth the Director. The aP-. tlon of himself and the wrltten author:pllcatlon. .shall contain ( 1) the name wid lzatlon to net on behal! ot the applicant
current llddress of tho o.pplleant, C2) to th~ Customs omi:cr who is to release
certlflcn.tlon that the tra.nspart.a.tlon, re the firearm or ammunition. Such agent
ccipt. or possession of the firearm or llhall also be responsible tor ensuring"
o.mmun1tion to be imported would not that all provis1otl3 contnlncd ln a 170.113
constitute u vlolo.tlon of any provision Cc)-Ce> a.re fully met.
of tho Act, Title VII of the Omnibus 178,115 Excmpl hnporlnlion.
Crtme Control and sate Street.!.'! Act of
1968 (82 stat. 236), or of WlY state Ja.w
Cn.> Flreo.rms nnd wnmun1tlon mo.~ be
or local ordlna.nce n.t the plnce of tho brought lnto the Unit.ca States or twY
nppllcant's residence, (3) a descrJpt1on possession thereof by any person who can
ot the nrc 11rm or nnununtt1on to be im establish to the Bat4sCactlon ot CUstoms
ported, including type <e.ir.: rtne, shot;.; tha~ suc:1 nrea.rm or Pmmunltion was
gun. pistol, ievolvcr>, model, caliber. atze prov!ouscy taken out o! tho UJutcd States
ut runmurutlcn> or gauge, barrel length or AnY possession U1crcof by such
Ci! m firearm>. country of mnnuttlcture, person.
and nn.mo of the mllllufacturer. (4) tho
Cb> Flrenim.s n.nd a1rununltlon may
unit cost ot the firearm or ammunition be imported or brought into the United
to be lmPOrted, (5) the name and ad- States by or !or the United States or
dress of the toreJgn seller Clf applicable) nny department. or agenc1 thereof, or
and tho !or!11gn shipper, (6) tho coun.. any State or o.ny deJJo.rtment, agency,
try from which the nrearm or 'ommunt or polltlcal subcilvtslon thereof. A ftretlon 15 to be 1mp0rted, ('l) verlfica.tton a.rm or o.nununitlon lmportesJ. or brought
that, 1t n ftrearm, proper 1dentUlcat1on Into the UnJted State::s Wlder this pare.d11.ta will be placed on tho :ftrea.rm, (8) (l) mph may be released from CUstolll.!
that the firearm or IUllDlunjtion being custody upon o. .&hewing that the ftrelmported Is tor tho perso11nl use ot nnn or arnmunltlon Is bclng imported or
the applicant, nnd <11> if the ftrcann brought into the United Sto.tcs by or tor
Is being 1mPortcd tor sparting purpose.a, such a governmental entity.
.
a sta1.tcmcnt thP.t tho flreann I!! no; a <c> 'l'he provisions of tws subpo.rt
surplus milltnrY flrea.rm, that lt does ahaU not o.ppJy with respect to the tmnot !all within tho definition of a firearm portatlon into tho United Stn.tca of o.n:y
under 5U45Ca.> of tho Internal RevenuQ ant1quefire~
.
Code of 19M, o.nd an explano.Uon of why l7lU16 Conditionallmporlallon.
the applicant bellcves the flrearri1 fa gen ..
erally recognized os porUcularly suitable
Tho Di.rector mo.y permit the condl
tor or rep.d.lly adaptable to sporting pur tlonBI impo11'at1on or brlng'lng into the
po:ies, or (ill) Ir ammunition belng 1m.. United States or nny possession thereof
p0rted tor sporLfng purposC3, e. statement of any :ftrearm or ammtmltlon for tho
why the appllclLtlt believe$ tt J.s generally purposo o! exrunlnJng a.nd testing tho
recognized 03 pa.rtlcularJy aultoble tor flrearm or nmtnunltlon In conriectlon
or ren.cillY ll.daptablo to sporting purposes, w!th making a determlna.tlon as to
or <Iv) If a fuen.rm being imported as o. whether tho lmPOrtntlon or bringing ln
type determined by the Dcpartmen,t of ot such ftrce.rm or nmmunit!on will bo
Defense to be normnlly clD&SlOcd a.s a authorized under this pa.rt. An o.ppllcn.we.r souvenir, n. copy of such determine. tlon !or such conditional Importation
tlon or other proor or evidence of such shall bo flied, In duplicate, with the Dideeerinlna.tlon, and co> the appllc11Dt'11 rector. The Dlrcctor may lm.POse condi ..
do.to of birth, bis rank or grade, hlll place tfons upon e.ny importation under this
of residence, hls present forefgn duty section lncludiug o. requirement that tho
station or his last foreign duty station, 1lree.rm or ammunition be sh,1ppcd dins the case mny be, tho dote o! his rea:1 rcctly !rom curitoms cust.ody to the Dislgnmcnt to a duty station withJn the rector. und that the person tJnpartJng or
United St.ates. j ! n.ppllcable, a.nd the brlnslnB in tho firearm or ammunition
mmto.1y bran~h ot which he 1s a. member. must agree to cJther cxp0rt the ft rearm
It the-Olrector opprovcs the appllcat!on, or ammWlltlon or destroy same If a
.such approved applicotlon shall servo as dct.c1mJn1it!on !s made tha~ the firem:m
ihe permit to lm:port tho firearm or am- or ammunition may not be imparted or
munJtfon described therein. The I>lrcc- brought In under this part. A firearm or
tor sholl fu1nlsh the approved oppUca- ammunition imPOrtcd or brought into
Uon <permit> to the applicant and shrul tho United Stnt.cs or any possession
retain the two co1>cs thereof !or Q.dm1n- tllcrcof under the provlslons of this sec-
(n) The reCQrds prescribed by this part

shall be In pennnnent form, und sha 11 bo
rctnlned on the licensed premises Jn t11c
manner prescribed by th!.s subpnl't.
(b) Intcmnl revenue o!Ilcers mny cnlcr
the premises o! any licensed Importer,
licensed manuCnt~iurer, licensed dealC?r,
or licensed collector tor the purpose of
examining or lnspcctinp: any record or
docwnent required by or obt.Hlncd under
thi13 part (see 17 IJ.23). Sec lion 923 cg)
o! tho Act requires licensed fa11>ort,!!"rs,
licensed manufacturers, 1lcc11sed deniers,

and llcensed collectors lo mnke such records avo.llulJlc! for such cxamlnn llon or
J..nspcctlon at nll reasonable times.
Cc) Each licensed lmp0rtcr, licensed
mnnufacture1, licensed dealer. and 11c.enscd collector sho.11 mnlntnln such records of importntlon, 1Jroductlon, shipment, reccl!}t, sale, or other dls1>0s1Uon.
whet.her temrwro.ry or permnnent, or
firearms and ammunition ns the regulations contnlncd In this pn.rt prescribe.
Section 922<mJ or tile Act mo.kcs lt unlawful for nrl.y Uct:nsed impcrter. licensed
mnnu!ncturcr, llccnscd dealer, or llcenscd
collector knowingly to mnkc any fnlse
,entry In, to rnu to snnke n1>1>roprlnte
entry In, or to foJ] to properly nrnlntnln
any such rcco1d.
fl 178.122 Rccor1l11 muintuiill'tl liy im
J>Drlcra,
Ench licensed Importer shnll,
Within 15 dillis of tl1C dnte or Importation
or other acqulslllon, record the type,
<n>
model, caliber or gaui;:e, manufacturer.

country of mnnufncture, and the serial
number of ench firearm he imports or
otherwise ncqulrcs, and the date such
hnportnUon or other acquisition wns
ma.de. Each lfcenscd lm11ortcr shnll,
within 15 days of the date of 1mportntlon
or other ncqu1sl~lon, record the type, callbct\ size or i;:auge, manufacturer, country
of manU!actuic, 1Scr1nl number (If nny),
and any other Identifying marks or the
ammunition he lmpmt.s or otherwise acquires. and the d11le such lmportutlun or
other ncquJslLlon wns made.
 A separate record of 11rcnrms nncl
ammunition disposed of by a. llc<.'nsc<l
importer to unotber licensee shall be
ma1nta.1ucd by the licensed Importer on
h1s licensed premises nnd shall ohow tho
Quantity, type, mnnufacturer, country o!
manufacture, caliber, size <Ir nmmunJtlon> or gnut;e, serial number <and In the
case or runmunltlon, Urn lc!C?ntirylnr.
marks), nnd the nnmc, nddress. license

number and the method or vcrlfyln1~ thr,
licensed status o! the Hcens!!e to whom
the firearms nnd nmmunlLlon wC're
transrcrrcd. The lnformnllon rl'riulred bv
this paragraph shnll be <'lltl'n.'d Jn n pcr-mnnent record book not latm U1an the
close of the next busl11ci;s dn} fullowln;{
the date of the transaction, iwd such
Information shnll be rcco1dcd u nclcr the
!ollowfnc format:
FEDERAL IEGfSTEI, VOL 33, NO. 217-WECNESOAY, NOVEMBER 6, .1968

',
""
0247
810
RIF
0248
16298
PROPOSED RULE .MA.ICING
QUiil\
1u1
Typo
Mwu
facti.110&'
~1-
CounU,
of
IJlllQll
facture
. Jd"olllll
Barllll
No,
:Namt, 11ddniM,
ant! JloenM No.

o!
lle<lO!IOll lo
wbom Cmru!omid
!J~lhod
ot'l'nl
tytn111 Uooll.!O
at.atu! arm11
llco!JSQll
Datoot
lhoCtatlll-
mc:Uon
,'
<cl Notwithstanding tho provlejons ot manufa.cturer and I.he country or manu-
11a.rnara.ph or thle section, the.Amst faeture need not ha recorded If the
nn.t Reglonol Comml!UJloner ma)" . aU firearm or e.ttllllUnltlon ls o! the nu1nutJiorJze o.lternate records to be mnln :tacturer'a own manu!acture,
tamed by o. licensed l.mporter to record
Co) Notwlthstnndtng the provisions or
his odlsPOse.l of firearms and a.rnmunJUon pnrngrnph Cb> of th1s ~cUon, the
when. It Js shown by thelicenaed i.ml'C)rter Asslsta.nt Reslono.l Comml5sloner mBY
tlint tiuch alternate records wUl accu- o.uthorlzc nltemntc records to be malnrate!~ a.nd readily disclose the huotma. ta.lned by a lloonsed manutncturer to
ti-on :required by parasroph (bl of thl8 record his cllt.Poso.l or :l'Jreo.rms nnd
eectlon. A licensed. lmporter who pro- nmmunl t.ton when It ts shown by the
pose$ to use a..ltcmate record.! aholl aub- llcensed manufacturer that euch o.ltermlt a letter o.pplic::at1on, in dupUcn.te, to no.te records wlll accurately and readJly
the Asststnnt Reclonol commissioner nnd dlBclose the lntormotlon re4ulred by
sl1n11 describe the propoecd Bltemo.te-rec~ para1naplt Cb) of this sec ~Ion. A licensed
ords and the need therefor. Such 11.lte:r- moquru..oturer Vlho proposes to use olterno.te records shall not be employed by nnte records shn.ll submit a. letter appllthi? llccnscd lmpoi"te.r until approval In ca.tlon, Jn dupllcate. to the A.sslsto.nt
!Uch recBrd ts rcccl11ed from thei AM!st- Reglonnl Commissioner and shall de~
nn~ Rcq!ono.l Ct>mm1Mloner.
scribe the vroposed alternat.e records
Cdl Each 11cc:nsed importer !!hnll nnd the need therefor. Such olternata
mainto.ln lleparat~ records of the eaJes records aho.ll not be employed by the u.
o.r other dlsposltlons mode or ftrcamu censed manufacturer until approval 1n
a.n~ ammunition to nonllcensees. Suen such regard is received !rom the .Assistrecords shall be mBlnta1ncd In the tonn ant Reglonal CommlasJoner.
a.no manner es prescribed by &178.124 Cd) ED.ch 11cen.'ied tnnnuracturer ahall
In regnrd to flrenr:ms trn.nsnctlon ti:corcls, mnintaJn sepa..rate Tecords of the sales
a.nd by ti 1'18.124 and 178.1:.!li jn rego.rd or other dispositions ma.de of firearms
to Orearms transaction records and rec- o.nd ammunJUon to no:nllccmsccs. Such
ords or dlsposlttona, made o! Dreamu records aho.ll be maintained tn tho form
Bnd mn.nner RS prescribed by G 178.124
and ammunltlon.
In rega:rd to firearms transaction rec:.,.
6 l?B.123 nccorcl malntufncd Lr man~ orda, e.nd by U 178.124 and. 178.125 1n
uoc1urcre.
,
K"egard to firco.nn.s tru.naaetion records
~a) Each licensed manufacturer shall nnd. rcoords of dlsPOsltlons me.de o! fire
record tho type. model. caliber or Efauge, anus and a.mmunJtion.
a.nd serial number or llaeh complete fire- ..... 6 178.124 Firearms lrim!o.cllon record,
e.rm he mnnutru:tures or otherwise ac.
q_lilres. and the date such manufacture
Ca.) A licensed Importer, licensed
l)J: other ncqulsltlon waa mnde. Each manttfncturer,
l!ceneed dealer, or
licensed ma.nufac.turer aho.11 record tho llcenscd. collector &hall not l!cll or other&ype, en.Uber, size or gauge, scrlnl nu.mbC!r wise dispose. temporortly or permment(Jfany>. and nny otheridcntlfYlni maru IY. O! any ft:renrm to e.ny pc.rson, other
or the ammunition he mtmufa.ctures or tha.rt nno~her licensee. unle.sa he records
oLherwlsc uqulre.s, Tbo lnforma.tEon re- the transnctlon on a Form 4173, Flreqltlred by this paragraph shall~ re- arnm Transaction Record. A licensed
corded not later than the close o! the lmpo:rter, licensed rnanulacturer, llneJCt business day followlne the date Cell!led dealer, or licensed eollector shall
11ueh numU!e.cture or other aci;iull51tJon retain, Jn chronolo11lcal o:rder and as a
was ma.de.
part of his permanent. records, each
~b) A record ol firearms and ammu- Form 4473 he obtains In the course of
nitlon disposed ol bi a llcensecI: mo.nu- transfertJng custody of his fl.reanns.
111.Cturer to onot.het Jlceru:ee &hall be
Cb) Prior to transferring 11o ;firearm to
maintained by the licensed ma.nufo.c- B nonllccnsee, the llcen~d Importer,
lurer on his licensed premlse:s anct 8he.ll licensed manuracturer, llc1'!nsed denier, or
show the quantity, type, calJber, slzo (Jt licensed colleetor shall obtain a Form
nrnmunltlon> or ga.use, serfe.t number 44'13 !rom the transferee showing the
$nd In the cl!.S& of ammunltton the no.me, o.ddress, d11te and pla.ee o! birth,
Ed<mtlfylng mntksJ. and tho nami a.d- height, weight. and race of the transferee
dre&.!J, license number and method ot o.nd Bhow2ng that tho receipt or posscs\'.e::-:l1ylng tho licensed statu11 of the 11- slon of the ftrearnt by the 1.rnusfereo
ciensee to whom the ni:carm.s and am.mu- wouid not be Jn vlola.tion of any prov1..
ti.I ~ton were transferred. The in!ormat!on 8lons of the Act, The tre.nslereo shall, If
r!Qulrcd by thl.s po.re.graph 11hall be he is obtaJnJng the nrearm by lntrasta.to
entered in a. perm.anent. record boot not mn.ll order or otherwise ls not oppe11t'1ng
lo.ter tha.n the close of the next business In per5on at the licensee's premises, or Js
da.y l!'ollowins the date of the t:ramoo- B resident or n contliruous St1d.c. execut.~
Uon, nnd such lnl!'ormatlon shall be re- and date the stn.temcnt reciuJred
s~~:
c:.orded Wlder th1' ronn11ot prescr:Jbed by tlon 922 ! cJ or the Act and contained cm
I l.78.122 except t.hst. tne ne.me o! t.he the Fonn 4473, nnd attach thereto a tz;ue
j
"
by-
copy or any pcnr.it or other lnCormn.tlon

reQ.ut:red pursua.nt to nn.v stntute of the
State and published ordinance a.pplica blc
to the locauty In which he resides. The
licensee shnll identify the ftrco.nn to be
t;ansfelrei.t by listh1g Jn the Form 4473
the name at the ma.nufllcturcr, the nnmc
of the importer m anyJ, the ty1)e, model,
caliber or gnuce. and the sc11n1 numbc1
or the flrenrm. Bcto1c tmnr.fcrrlng the
flrcnrm described In the Form 4473, the
Ileen.see shall, in the case of nn ovcrthc-countcr transaction, cause the trnnstcrce to identify himsclr ln nny mnnnc1
customarlly used In commercial trnnso.ctions <e.c.: a.. driver's llccnsc). ntid
rihnll taotc on the form the method used.
In tho case of n trnnsnctlon otlwt' tbnn
nn over-the-counter trnnsnctlon, the
licensee shall obtain verlftcatlon as to
the 1dcntlty or the transferee thmu~h
certlflcatlon on the Form 4473 by a notary publlc, or a Federal, State, or locCLl
la.w enforcement officer of the locnllty
whcreln t11e trcmsfcrco resides, attesting
that such omcia.1 knows or has established the identity ot the tmnsfercc.
(c) A licensee who sells or otherwise
disposes of a. ft~cann to a nonI1cenBcc
who fa other tlmn an lndlvldual, shall
obtain from the trnnsfcrec the lntormntlon required by paragraph Cb> or this
eccUon from nu lndlvLdua.J autho1Jz:ed
to act on behalf of tho transferee. In
addition, the licensee shnll obtain from
the lndlvldunl acting on bchulf o! the
transferee ll written statement, executed
under the penanles ot perJury, that the
fl.r?arm ls being acquired for the use
o! and wlll he the property ot the tmnstcree. nnd showing t.he name nnd nddrcss
ot tho.t trnnsfeee.
Cdl Fo1m 4473 shall be 1mmnrcd and
submJLted ln duplicate to the llcensc:e
by n transre1ec who ls purchasl ng or
otherwise ncqull'Jng a flrcal'&n by other
than an ovcr-tho-oountcr tl"nnsnctlon, or
who Is a r(!sldent of a contiguous State.
llccnsce shall <1l prior to shipment or
dallvery or the firearm to such transferee. forward by registered or. certified
m111l <return rcc?lpt requested> a copy or
the Form 4473 to the chief l11w c11!01c.!ment officer nnmed ln the Form 1'173 by
the tro.nstcrcc, and 12) delay :;hirm1cnt
or dcllvery ot Lhe flrcnnn to the transferee !or a perlod or nt least 7 days
following rccelp~ by the licensee or (!)
the return receipt cvldcnclng dcllvcay
o! the r.npy ot the return, Form 4473. to
such chief lnw enforccmt!nL officer, ot
(!t) the l'eturn or the copy of the 1ctum,
Form 4473, to h1m due to the refusal or
such chic! Jaw 1?nfo1ce111cnt officer to
ace;ept same In n.ccordnncc wltb U.S.
Post Office Department reeulntlons. 'l'he
orlglnal Fo1m 4473, and evidence of l'C:celpt or rcJer.Llon e>f dcUvcry of the copy
o!thc return, Form 4473, sent to the chief
law enforcement officer shnll be rctnlncd
by the licensee ILS a pnrt or the retol'ds
required of him to bo kept undc1 this
f!Ubpart.
CeJ A licensee shnll ntlnch to nnd mnkc

part of the relnte-;l Fo:rm 44i3" he retains for his records, th(! sworn statement furnished to him pu1sunnt t.o
~
L78.!l61d) ot' l'l8.08.
JEGHAL IEGl5TH. VOL 3l, NO. 217-WIDNESOAY, NOVEM!IU 6, 1961
0248
811
RIF
0249
16299
.PROPOSED RULE MAKING ..

Cf) Tho
requ!remcn~ of ,tl~ :~ti~z{. date of such purchnse or a~qulsitlon. Tho
shaU be In additlon to any other record- record she.11 snow the date ench firearm.
keeplng reqqlrement contained !n;thls... ammunition, curio or relJc, wo.s pnrpart.
' - . chased or otherwise acquired, the typC',
(g) A Ileen.see me.y obtaln, upan re- mn.nura.cture, importer H! any), caliber,
Q.uest, a supply or Fo1m 44'13 trom any s!Ze Hr runmun1tton> or r:-nugc, model,
/.sslsta.nt Regional Commissioner or any name o.nd nddress o! the person from
Dlstrlc1. Director.
..... .
. :,.~ ... whom received, and the seriul number of
. ,
the fireorm, or firearm curio or relic,
D118.125 Record or receipt und d!P~ or the serial number or other identifying
nhion.
; ~' ~ marks of the ammunition. The sale or
Ca> Each licensed dealer .sha.11 prepnro . other dlsposltlon of a. firearm, o.mmunl a permanent record of eMh :area.rm nnd tion, curlo or relic shall he r1?Cordcd by
or the nmmunltion In hts ln.ven~ry on the licensed dealer or the llccnscd colthe cmx:tivc datcoc this part, o,nd there- lcctor at the tlme of such transaction,
after enter 1n such record en.ch recelpt and the Information escrlbed !or the
ond ea.ch dlspesltlon of flrearnuJ nncl .record required by thi... paragraph shall
11.mmunitlon. Each Ucensed collector be In addtuon to the firearms transncUon
is,hnll upon rceclpt o! his llcenze :prepare record, Fonn 4473, required by 178.124
n. pcrmo.nent record o! each curio n.nd of this part. The record .she.II show the
relic In his collection, ancl thereafter dnte of the sale or other disposltlon o!
enter tn such reeord each receipt a.nd '<'ach flrea.nn, nmmunltlon, curio, or relic.
disposition of curios nnd rell~. The the name, address, i>nd the license nwnrecord required by this paragraph &hall ber Cl! any) o.nd the date of birth of the
be maintained jn bound .torm undu traris!eree It such person Is not a llcensee.
the fonno.t prcscl"lbed below. The pur- The record required by this paragraph
chnsa or other acquisition o! a Orenrm. shall be mnintalned in chronological
or nmmuntuon by the Jlcensec;I dealer, or order by date the Jlrcanru, ammunltlon,
of a curio or relic by a llcensed collector, curios or relJeis are purchased or otherlllUst be recorded not later than the closa wise BCCIUlred. The format required for
of the next business day following the the record of re(:elpt and dlsp0sitlon is:
...AcQ!31SmO?f
Dnl11
Typ0
llfanuracluror
Imporlir
(U IWY)
Moc!cl
Cnllbor, alte
\II nmmunl
on) or 11nu11e
S<!rlnl No. (nndJor Nnrno nnd nddrus or

lll<'nutytnii marks, porSOll (rom Whom
ll n111umultlo11)
rccolvod
DurOlllllO:-N
On.ta
Nnmo or (ll!r.IOn to
wborn
tran~rorrcd
Addr~
or pcnoa
towhllrn
ttollJ!ornid
Lleo11seNo.
(ll 11. llooll$00)
Date of L>ltlh
(U a llonllconsco)
Mct111111-0r vorlrylnc tho

ldunUly of tho ~11J'CIJIJ.SOI'
Cb> Notwithstanding the provlsfons of

paragraph Ca) o! this section. the AB
slstant Regional Commissioner may nu-
thorlze olternnte records to . be mam:..
ta1ncd by a licensed dealer or a :Ucel\$ed
collector to record his acqulsltton B.nd
dl.spall!'\l or fireanns nnd a.mnnlnltil)n, or
curioo and rellcs, when it 1s shown by tho
Cd> Each licensed importer o.nd Ucen:ied manufacturer selllng or otherwise dlspo.stng of firearms to nonlJcensees
shall m;11lntnln such records of m1r.h
transe.c.Uons ns a.re required ~! : :.- : "~ ;
dealers e.nd licensed <:ollcctors by
I 1'18.124.
6
118.126 Furnishing lraneuclion infor.
Ucensed. denier or the licensed collector
n1atJon,
that such nlterno.te records will BC
<o> Each llcensee shall, when required
curately and rcad1ly dJsclo.se the In
fonnatlon required by paragraph Ca) of by letter issued by the Assistant Regional
thf.s .section. A licensed dealer or :!censed Commlfl:lloncr, and until notified to the
collector who proposes to use alternate contrary in writing by such officer, subrecords li.ha.11 submit a letter appli<:atlcn. mit on Form 4483, Repo1t ot Firearms
in duplicate, to the Assistant Regional Tro.nsactlons, for the periods and at the
Commissioner and shall describe tho tfmcs specified in the letter Issued by the
proposed alterr1ato records f.nd the need Assistant Reglonnl CommJssloner, o.11
theretor. Such alternate fe(:Ords ahall record ln.!ormo.tion required by thiB subnot be employed by the licensed dealer part, or such lesser record tnronnntlon
or the licensed collector until approval as the Asslsta.nt Regional Commissioner
in such regard Js received from the In his letter may spectry.
(b) The Assistant Reglonol CommJsCc> Each Ucen.scd importer and ]l.. sloncr may nuthorlzc the fnfonnatlon to
censed roo.nufact.urer selJlng or other- be submitted inn manner other then. that
wise dlspbsing of firearms or ammuni- prescribed Jn paragraph <al of this section to nonllcensees GhnU ma.lntam such tion when 1t ls shown by n Ucenimc thnt
reemls of such trnnsactions B3 are re nn alternate method ot reporting is reaquired of llcensed dealers and lJcerul'.ld sonably necessary o.nd wm not unduly
collectors . by pnrnsraph <R> ot th.l:J binder the ctrcctlve ndmtnlstra.tton of
t11.fs pan. A licensee who proposes to uso
section.
No. 217--ll
nn altcrnatl'; tcthod o! rcporllng shall

submit a letter llJlpllcatJ0:1, ln duplicate,
to the Assistant Heglunat Commissioner

nnd shall describe the' prnposed al tern ate
method of reporlin!f nnd the need lherefor. An alternate mdhod of reportin~
shall not be employed by the licensee until o.pproval In such rci:nrd ls rrccl\'ccl
trom the Assistant H.cg!onnl Commissioner.
178.127 Discuutiu \UUcc of ni:-i tlf'."
Where n J1real'lns or ammunitlon business ls dlscontiuucd and succrcdcd by n
new licensee, the ir-cords prescribed IJ,
this subpart shall approp1fatcly reflect
such facts and shall be delhered to the
successor. Where dlscont.lnuancc of the
business Is absolute, the records pre.scribed by thls subpart shnll be delivered
within 30 days following the business
Commissioner for the lntf'rnnl revenue
region fn which the business wns opcro.ted: Providc.d. however, Where State
law or Jt:ical ordinance requires the delivery of records to other 1 esponsible
nuthorlly, the Assistant Reglonnl Com
missioner may arrange for the delivery
of the records required by thls subpart to
such authority.
Subpart r-Exemptions
178.141
Gcnl'r11l,
The provisions of this po.rt shall not

<a> The transportation, shipment, receipt, or Importation of any firearm or
ammunition imported for, sold or shlpt:Jed
States or any d<mnrtment. or agency
thereof or any Stnw or nny dcpartmr.nt,
agency, or political subdivision thereof.
{b) The shipment or l'ccclpt of ftren.nns or e.tr.n1Unl Uon when sold or issued
b1 the Secretary of t..he Army pursuant
to section 4308 of title 10, u.s.c., and the
transporta.t.Lon or nny such fireann or
nmmunltJon cnrrled out to enable a person, who lawfully received such firearm
or nrnmunlUon !rom the Secretary of
ttie Army, to engage in mUltary trnlnlns
, '.n competitions.
(c) The shipment, unless otllenvlse
prohibited b:.: the Act or nny other l"cdcrol law, by a licensed Importer, llccnsed
manufacturer, or llccnscd denier to a
member of the U.S. Anned F'ol'ces on nctive duty outside the United States 01
to clubs, recognized by the DcpnrLmcrit o!
Defen~. whose entll'c membership Is
composed of such mctnbcrs o! the U.S.
Anncd Forces. nnd such members er

clubs mny rceclvc a fircann or ammunition determined by the D1n:ctor to be
generally rccognlzed ns pnrtlcularl~ suitable !or sporting pur!mscs rmd 1ntenciccl
for the person11l 1we of such member or
club. Before mnklni: a. s 11lpment of firearms or ammunition under t!ie p1ovblons
ot this pa.ragrnph, a llcen:;ed lmp01ter,
licensed mnnufnct.urcr, or llcensccl dealer
may submJt n. written request, !ii rlupl!catc, to the Director for n determination
by the Dhcctoi' 1.vhethcr such shi11n1cnl
would constitute a \.'loin tlon of the Ac" 01
nn,v other Federal Jn.w, or whether tht!
firearm or nmmunl lion ls considered by
the Dlrector to be gcncrnlly 1ccom1lzccl
FECEllAl. .REGISTR, VOt.. :13, NO. 2l7-WEONESDAY, NOVEMBER 6, 1969
0249
812
RIF
0250
...,,
16300
....
cdJ Whenever
tho
Commissioner or controlling, dli-cctly o\ lnclirectly, the
granf.1: relief to any person pursuant to policies and manngement of such orsnthis sectJon, he sh11ll promptly pubHsh 1n nlzatlon, the nature and imn1osc of tlH!
the FEDERAL REGISTER notice or such ac- rescnrch bein~ concluctcd, a dcsc11ptlon
tlon. together with the reasons therefor. or the de\'Jces and weanons to be
Cc> A person who ho.s been granted received, 11.nd the ldentlty of the 1icrson
rel1e~ under th~s section shell be relJcvcd or persons from whom such devices nnd
of any dlsnbHltles Imposed by Federal weapons arc to be r<!ccivcd.
laW.s: WJth respect to the l1CQUIG1t1on, re- 178.J.t(i Dclinric1< J1y mnil In 1Nl1tit1
ceJ:pt, transfer, sh:IJJmcnt, or possession -.
person~.
ol firearms nnd !ncurrccl by reason bf
such conviction.
The provJslons of thls rrnrt hall not

a) ( u A llcensee who fs convicted of be construed tis t>rohlbltin~ u Ucensed
a. crime punishable by JmprJsonmcnt for Jmportcr, licensed manurncturcr, 01
a. ~e1m excecdlng 1 year during' the term licensed denier from depositlng n flrcot a current license or while he has pend- arm for conveyance ln the mnlls to nny
cur-..ed by Indictment.
Lng a license renewal appUcntlon, and: officer. employee, agant, or wnLchman

A licensed lmporter, Jlcenscd manufac- who quo.Ufics under thls section to me nn who, pursuant to the provisions of sccturer, Ucensed dealer, or llccnscd collec- e.:ppllcatlon for removal of dlsebllltles re- Uon 1715 of title 18, U.S.C., is eligible to
tor who Is indicted for ~ crlnle punfsh- suitlng from such conv.ictle>n, sheJI not be i-ecelve throuuh the molls pistols,
nble by imprisonment !ore. term exceed- barred from licensed operations for- 30 revolvers, e.nd other firenrms cnpnble or
ing l year may, n'ltwllbstandlng an:v d
.. t
hi 1 hJ
being conc:e11Jcd on the person. tor use
aye 8 rt C?r th e un. e uvon w c 1 5 con- in connection with his omcln] dutlC!s.
other provJslon of the Act, continue oper- , v1ctlon
becomes final, and If he files his
..
ntlons pursuo.nt to hls exfst1ng license D])pllcatfon tor relfor ns provided by f,h1s 178.14-7 RcJmir of fireur1u.
during the term. o! suchJndlctmcnt end
A person not otherwise prol1lbltcd by
until any conviction pursuant to the ln- se-cUon within such 30-dllZ period, he
dlctment becomes final: ProvEt:iecl, That may further continue licensed opera- Federal, State or local lnw ma.y ship o.
If the tenn of tho license expires durlng tlons during the pendency of his n.ppU- firearm to .a IEcensed JmporLcr, licensed
the period bet.ween thedaleol the Indict- cation, A licensee wll() is not qualJficd manufacturcC'. or Uca11scd dealer for the
ment and the dnte the conv!ctton thereunder this sectlo.n to file an appllcntlon sole purpose of repair or customizing,
under beeomcs final, such importer, - ror r~lle! or, It so qualified, does.not tile notwlthstnnd1ng any other provJs1on or
ll.ppUcatlon within 30 days from the this part, the licensed Importer, licensed
manufacturer. dealer, or collector must such
date hJs conviction becomes :final sha.ll
file n timely appllcntlon for the renewal not continue licensed operations beyond manufacturer, or licensed dealer may
or hls license ln order to continue opera- 30 dliys !rom the date hls convtcUi:m be- return ln Interstate or foreign comtions. Such n.ppllcntlon 5llnln tbow that comes ftna.l.
.
mcrce to that person the repaired firethe upplicant. Is under indictment for a
C2~ In the event the term of n Ilcense arm or a 1:Cp!ncement firearm of the
crime punishable by lmprlsonment.ror a of a Person quaUfted to seek relle! under- same kJnd nnd type,
term exceeding 1 ycur.
this section e.xplrcs du1lng the 30-da.y 178.148 A111111u11ilion lo111U11g for 11cr.
11oml1 uHc,
.
178.14'' Ttdicf Crom dho1Jili1iu in period fallowing the date upon which his
currcJ by conviclion.
con'l/lctlon becomes tlnal or durlng the . The UeCJ1slng provh;!ons of this part
(a) Any ]lerson may mnke appllcatJon pcndency or his a~pllcatton for rcuer. he shnll not apply to any person who et~
for relic! from the disabilities under Fed must file a. timely 11.ppllcatlon for renewal gages only 311 hand landing, relondini;,
eral ICJ.w incurred by reason of a convfc- ot his llt>ense in order to continue llc~nsed or custom loading nmmunitlon for h1s
tfon o! a crime punishable by imprison- operations. Such Ucense appllcattonsha.11 own firearm, a.nd who docs not hnnd
ment for a term eiccccdlng l yeur lf such ~how that the npp1lctmt ha.s been con- load, reload, or ustom lond ammunlUon
conv3ctfon wns not of a cdme involvf.ng" vlct.ed or a crJme punishable by 1m- for others.
the use ot a firearm or e>thcr weapon or prJsonmcnt for a term cxceedlng 1 year,
C3> A llccnsco sha.!1 not continua 11- Subpart J-PE!nalties, Seizure5, and
a vlolnUon <Jf the Act <Jr the :National
censed ppcrntlons beyond 30 days followForfeitures
Firearms Act.
Ing the date the Commissioner issues
<bl An npnllca~lon forzsuchrelle! shall nr1tffica.tlon that the llcensees eppllcn- 178.161 1~:1l~c 1<h1lr111ent or rcrnc~cll
be addressed t.o the Commlss~oner and t!on for removal of dlsa.blllties resu!Llng
- latlo ...
shall tnclude such supporting data. u the 1.rom
a convlctlon :hns been denl~d.
Any person who knowitt14ly nmkas uny
applicant deems npproprlate. 111 the case
<41 When as pro"lded ln tills sectlon fnlse sta.tcmcnt or rcprcsen tutlo n with
of a corP<Jrn'Uon, the supportlng de.ta
licensee may no longer continue respect to any lnformntton re111drcd by
should Include Jn1ormotJc~1 as to the ab- a.
llccn.sed operations, any nppllcatlon for the pravls2ons of the Act or this pal't to
sence or: cuipablllty In tbe oUense of renewal of Uccn~e flied by the licensee be
kept In tl1e records of a r>enmn enwhich tha corporation wos contlicted, or- during the term of hls Indictment or gaged
or nmmunition busiof o.ny pecson .,n.vini; the J;lDW.e-r to dtrei.:t. the pcndcncy or his npplJcatlon for ness, orinJnfirearms
applying for nny l\ccn.sc, cicor control Ule management of the ct1r- removal or dlsablllUes resulting from empt1on, or rellc! from disability, under
porat1on. if such be the fact. The appU such convicLlon. shall be denied by tho the provisions of the Act., shall be fined
eatton sl1aU be filed, tn trf,pHcate, with Assistant Rcg!om1.l CommJss!onar.
not more thnn $5,000 oi- lmprlsomncnt
the AsslsWmt Reg:onnl Commlssloner for
not more than 5 yenrs. or both.
the 1ntarnal revenue rcglon wher~l.n the 113.) 45 fl~SC'itn"h Or~11ni:wli1;m9,
applicant resides, end, if appllcable,
The provlslons of this part with 178.162 Tr1111~11nr1aticm or rript '"
wherein the sppJlcnnt dcslies fo con- respect to the sale or delivery o! decommit 11 crinic.
duct his buslness or o.cttvity.
structlve devices. n.ach!ne guns, sllortAny person who shi11s. Ltani-.1m1 t:;, 111
Cc> The Comm2ssloner may grant re- barrl"lCd shotguns, and short-ba.rrelcd receives a flreru'lll or nny :m1 rn unll ion 111
lic! to an applicant if It 1s estacl!shed to rifles shall not apply to the sale or de- lntel'stntc Qr foreign comt11e!ce with inthe satisfaction of the Commls'11oner thtit llvcry of such devices and wcnpons to tent to commit thcl'cWith nn ofTcn~e
th(' circumstances regardJng the convJc- a.ny research organfaatlon deslgnntcd by punlshnblc by tmmlsonmcnt tor a k1111
Uon, and the opp~lcnnt's rco.ml and rep- the Director to rcccL11~ same. A research exceeding I yen:-. or with know!Nh~c nncl
utntlon n.re such tnut the P.Pi;>Uctmt wlll organization deslring such dcslgnntlon rcasormble cnusc to bclie\e t!wt nu orsubmit n Jetter application, In fense punlslrnblc by lmpri~omucnt for
not be llkely to act. 1n a. manner danger shali
duplicate. to the Dlrcct.ar. SUt>h nppllco- n. term exccc-din1~ I yciu- is t-:> be comous to public safety, and that the grant- tlon shall canto.In the nama nnd address ml!.lcd thHc,,Jlh. shall be nnec! not more
ing of the reno! would no~ be contrary of th!! resenrch organtz:atfon, the names than SI 0.000, or imprl.so11ccl 11ot mon~
to the publlc Interest.
and addresses of Ule persons dlrcctlng tho.n 10 yc:us, or both.
as particularly suitable !or apor~ln.g purposes.

..,
<d> The trnnspo.rtetloh, ahlpment, rccelp t, or importation ol SJ.lY antique
firearm.
178.142 EITect or Prc&idci.tial paz:..don.

A pardon granted by the PrcsJdent ot
the Unll:ed States regnrdlne- .a eonvlctlon
for n crime punlshnble by lmprlsorunent
for o. term exceeding l yea.r eha.U remove
any dlsnbfHty whlch otherwise vrould be
bnp0sed by the provision~ o~ this part in
respect to that.conviction.
178.143 Rll'lid from di1ablll1le1 lu-
IFEOEltAL REC.HSIU, VOL 33, NO. 21 l'-WEONESDAV, NOVEMBER 6, 1969
0250
813
RIF
0251
16301

Commiuion of a .Fo_dcral receive, p0.ssess, or transport 1n commerce a firearm.
Any person who uses e. firearm to com- 178.166 Seizure and forfeiture.
mit any felony which ma.y be prosecuted
AJ:i.y firearm or ammWlltlon Involved
in a court o! the United States, or car- tn, or used or Intended to be used In, a.ny
ries e. firearm Wlla wfully durln1 the com- violation of the provisions of the Act or
mission of a.ny felony which may be of th1s part, or 1n violation of any other
pro~uted 1n a court of the United criminal law of the Unlted States, shall
States. shall be sentenced to a term of be subject to seizure and forfeiture, and
imprisonment for not less than 1 year &11 provisions of the Internal Revenue
nor more than 10 years. In the case of Code of 1954 relating to the seizure, fora person's second or sub.sequent convic- feiture, and dlsposltlon of firearms, as
tion under this section, such person .shall defined in section 5848Ca> of that Code,
be sentenced to a term of imprisonment shall, so far as appllcable, extend to seitor not less than 5 years. nor more than zures and forfeitures urtder the provisions
25 years. and notwtth.stanclin1 any other of the Act.
provision of law, the court l!hall not sws
pend the sentence of such person or aitve
178.171 Exportution.
178.164 Receipt, etc., o( firearm b7
Firearms and ammunition shall be excertain pcrl!>Oms.
ported ln accordance with the appllcable
Any person who (a) has been. con- provisions iJf section 414 of the Mutual
victed of a. felony, has been dis- Security Act of 1954 <22 U.S.C. 1934> and
charged from the Armed Forces under regulations thereunder. However, lidishonorable conditions, <c> has been ad censed manufacturers, ltcensed importjudged by a oourt of the United States ers, and llcensed dealers exporting fireor of a State or any pcllttcal aubd.ivislon arms and ammunition shall maintain
thereof of being mentally liicompetent, records showing the manufacture or ac<d> having been a cittzen of the United quisition of the firearms and ammunition
States has renounced his citizenship, or as required by this part and records
le> being an alien 1.s !llegally or unlaw- showing the name and address of the
fully ln the United States, who receives, foreign consignee of the firearms and
possesses, or transports In commerce or ammWlition and the date the firearms
affecting commerce, any firearm shall be and ammWlltlon were exvorted.
fined not more than $10,000 or impris- tl".n. Doc. 68-13482; l"tled, Nov. ll, 1968;
oned !or not more than 2 yea.rs. or8:48a.m.)
both: Provided, however. That the provl
any prisoner who by reason of duties connected with law enforcement has ex
prcsi;ly been entrusted with a firearm
I 49 CFR Part 1056 l
by the President of the United States or
the chief executive of a State and has
[Ex Pa.rte No. MC-19 (Sub-No. 5) I
expressly been authorized by the President or such chief executive as the case PRACTICES OF MOTOR COMMON
CARRIERS OF HOUSEHOLD GOODS
may be, to receive, possess, or transport
ln commerce a firearm.
Determination of Weights
178.16:> Rccdpl 1 etc,. of farcar~ LT
NOVEMBER 1, 1968.
ccrlain em1~loyces.
At a session of the Interstate ComAny individual who to bis knowledge
and while being employed by any person merce Commission, D1v1s1on 2, held at its
who <a> has been convicted of a felony, omce tn Washington. D.C.. on the 21st
Cb> has been discharged from the Armed dny of October 1968.
It appearing, that the Interstate ComForces Wlder dishonorable condltlons,
cc> has been adjudged by a court of the merce Commission has prescribed rules
and
regulations, as set forth at 49 CFR
United States or o! a State or any pollticnl subdivision thereof of bcin~ mentally 1056.3, !or the determination of the
incompetent, Cd> having been a citizen weights of shipments of household goods,
of the United States baa renounced his as defined at 49 CFR 1056.1 Ca>;
And 1t further appearing, that by peticltlzcnshlp, or <e> being an alien ts Illegally or unlawfully ln the United States, tion filed on July 30, 1968, the Household
and who, in the course of such employ Goods Carriers Bureau prays that the
mcnt, receives, pcsr.esses, or transports ln Conunlssion consider a new subpart to 49
commerce or nfil.'ctlng cc.m~erce, any CFR 1056.3 partially reltevlng household
firearm shall be fined not mo1e than goods carriers from the rules and regula
$10,000 or imprisoned for not more than tlons pertaining to the detenninatlon of
2 years. or both: Provided, however. That weights; that this request ls supported by
the provisions of this section shall not the Movers' & Warehousemen's Assocla
apply to an employee employed by a per- tlon of America, Inc.; and good cauoo ap
son who has been pardoned by the Pres! pcartngtherefor:
It i! ordered. That a rule-making prodent o! the United States or the chief
executive o! a State a.nd has expressly ceed1ng be , o.nd lt ls hereby, 1nstltuted
been authorized by the President or such Wlder the autho11ty o! part II of the
chief executive, as the case may be, to Interstate ~mmerce Act and section 4
178.163
crin1c.
INTERSTATE COMMERCE
COMMISSION
of the Administrative Procedure Act to

determine whether a.nd to what extent
the motor common carriers of household
goods should be relieved from the i-ules
and regulations specified above on shipments of machinery and its auxiliary nnd
component parts.
It 3 further ordered, That all motor
common carriers of household i~oods
operating tn Interstate or foreign commerce and subject to the Interstate Commerce Act be, and they are hereby, made
resp0ndents ln this procecdln!{.
It ts Jurtlwr ordered, That nil person.r,,
Including the respondents, who wish
actively to participate in this proceeding
and to file and to receive copies of plendings shall make known that fact by
notifying the Commission In writing on
or before December 16, 1968. To consr.tve time and to avoid unnecessary
exmmse, persons having common Interests should endeavor to consolldate their
presentation to the greatest extent Possible. Individual participation is not precluded; how(}ver, mere casual interest
does not justify r:i.rticlpatlon. The Commission desires !1articlpatlon only of
those who Intend to take an active part
1n the proceed!ng.
It i! further ordered. That: Ca> ns
soon as practicable aft-Or December 16,
1968, the Secretary w111 serve a list of
the names and addresses of all persons
upon whom service of all verified statements, replles, or other pleadings must
be made: (b) within 30 days following
the service of such list, any party may
file an original and two copies of a verified statement and exhibits thereto with
the Commission and one copy upon each
party named ln the service Ust; <c>
within 10 days tbercafter any party may
file a. reply statement (original and two
copies) with the Commission nnd one
copy upan each party named in the service list; (d) within 10 days after the date
for replles has expired any party may
request a hearing for the purpose of
cross-exnmining any witness submittlm~
a verlfled statement by notifying the
Commission and all parties.
And it is further ordered, Thnt n copy
of this order bf! served upon the Houi>ehold Goods Cnrricrs Bureau: th~
Movers' & Warehousemen's Association
of America. Inc.; the motor common cal"rier respondents; the Public Utility Com.
mission, Doard, or similar re~ulu toi ~
body of each State hnvlng ju11sdJ(t!. n
over the transpo1tatlon here in\'olwd:
and that a copy be posted In the officP of
the Secretary of this Commission: a::J
that a copy be delivered t.o tile Director.
Division o! Fcdernl Rci:istN, for publication ln the FEoEHAL H.Ec;1s1En.
By the Commission, Divisl<>ll ::!.
n. NY.IL G1111soN,
rsEALl
Scc:rctary_
[F.R. Doc.
(lS--13417;
8:46
In lleu
or
Filed,
Nm.
[1,
HJGR:
fl.Ill.]
\crlfk"Uon 1m1kr ""tll. an\
prepared &tntement mny be math' s111JJ1.ct t.1

the !ollowlng dcclarntlon: "I :;oil'mnly <IPclo.re that 1 hn\e examined the rorei;uln~
ct0cumcnt. nnd thnt the ~tntcmcnts of rat~

. contained therein nrc t.ruC'."
(Stg1111ture).
FEDERAL IEGISTEll, VOL. 33, NO. 217-WEDNESDAY, NOVEMBER 6, 1968
0251
814
RIF
0252
18555

Title 26-INTERNAL REVENUE
Chapter I-Internal Revenue Servii:e,
Department of" the Treasury
SUBCHAPTER E-ALCOHOL, TOBACCO, AND
OTHElt EXCISE TAJCES
PART 178-COMMERCE IN FIRE-
ARMS AND AMMUNITION

On November 6, 1968, a notice o{ p10-
poscd rule making and hearing to issue

26 CFR Part 1'78, wlth respect to commerce in firearms and ammunition, was
published 1n the FEDERAL REGISTER <33
F.R. 16285>. ln nccordnnce with the
notice, interested persons were afforded
nu opportunity to submit written comments or suggestions, or to be heard at
n hearing held on November 21, 1968.
After consideration of all written and
orlll comments, the regulations ns publlshed, including the corrnctlon pubUshed
in the FEDERAL REGlSTEI\ (33 F.R. 1664'0
nre hereby adopted, subject to t.he
changes set forth below:
PARAGRAPH l. 178.1 is changed as
follows:
(A) By striking in paragraph Ca) "(82
Stat. 236>" and by Inserting in lieu thereof "C82 Stat. 236; 18 U.S.C. Appendix)".
(B) By st.rtktng the word "of" after
the word "business" 1n paragraph Cb)
(3) and Inserting in llcu thereof the
words "or activity by".
Pt.R. 2. Section 178.2 is changed by
stl'iking the word "tramc" and inserting
in lieu thereof the word "commerce".
PAR. 3. Section 178.11 1s changed as
follows:
CA> The definition of "Ammunition"
Is changed by str!ki..~g the period at the
end thereof and inserting in lieu thereol
"other than an antique firearm. The
term shall not Include <a> any shotgWl
shot or pellet not designed for use as the
single, complete projectile load for one
shotgun hull or casing, nor Cb> any unloaded nonmetallic shotgun hull or cas1.ag not having a primer."
 The definltlon of "Antique fircann" 1s changed by striking the dcslgnatJom "CU", .. (2}''. "CU", "<l)", and
.. (ii) "and inserting in lleu thereof "(a) ",
"", "paragraph (a)", "CU", and
.. <2> ", respectivelY.
(C) Immediately after the definition
of "Business premises" there is Inserted
a new definition.
CD> The definition of "Crhne punishable by imprisonment for a term. exceeding I year" is revised to reflect edltorlal
changes.
<E> The definition of "Customs omccr"
is changed.
CF) The definition of "Date of importation" is deleted.
<G> The definition of "Destructive device" Is changed by strlldng the word
"clauses" in paragraph Ca) (6) and inscrtlni:t in lieu thc1eor the words "subpa.mgraphs of this definition"; and by
inserting in po.ragm1>h (cl the word
"paragraph" immediately before the designations "<a> or ".
(fl) The definition of "Firearm frnme
or rccclver" is chnnged by striking the
word "brccchlock" and inserting in lieu
thereof the word "brccchblock,".
cn The dctlnitlons of "Licensed
denier", "Licensed Importer", and ''Licensed mnnufactmer" are changed by
strlldng the words "Public Law 90-351"
and insertini:t in lieu thereof the words
"the Omnibus Cl'ime Control and Safe
Streets Act of 1968".
CJ) The definition of "Replica", immediately following the definition of Regional Commissioner, is deleted.
CK) Immediately following the definition of "State'' there is inserted a new
definition.
PAR. 4. Section 178.23 is 1evlscu to pmvlde clarifying changes.
striking the word "testing" in each place
it appears and inserting in lieu thereof
the word "evaluation".
striking from the second sentence thereof the words "to the Assistant Regional
Commissioner for transntltte.l"; by
striking from the fourth sentence
thereof the words , or to an officer designated by him.'': by striking from the
fou1'th sentence the words "or testing."
and by inserting in lieu thereof the words
"and evaluation."; by strlklng from the
fifth sentence the word "lmpractlble"
a.nd the word "testing.", and inserting in
lieu thereof the word "impracticable"
and the word "evaluation.", respectively.
PAR. 7. Section 178.28 ls changed as
follows:
CA> The first sentence of paragraph
(a) is changed to read as follows: "(a)
The Assistant Regional C01nmissloner
for the internal revenue iegion in which
a person resides may authorize thnt person to tnmsport in interstate or foreign
commerce any destructive device, ma.chine gun, short-barreled shotgun, or
short-barreled rifte, 1f he ftnds that such
transportation is reasonably nccessm'Y
and is consistent with public safety and
nppllco.ble State and local le.w."
(B) Paragraph <c> is changed.
1m;crting after the word "give" in the
.first sentence thereof a",".
PAR. 9. Immediately after 178.34 there
Is inserted a. new l'iS.35.
PAR. 10. Paragraph (b} of 178.41 ls
revised to make editorial changes; paragraph Cc> Is rcdeslgne.ted as paragraph
<d) : and a. new paragraph (c) is added.
'PAR. 11. Section 178.43 is changed by
adding a new sentence at the end thereof
to read as follows: "However, the license
fee submitted with an application :for a
license shall be refunded if that applicntlon is denied."

PAn. 12. Section 178.44 Is changed by
stl'lklng from the first sentence of paragraph Cb> t11e words .. engage in such
activity" nncl Inserting In lieu thereof
the words "maintain his collection
premises"; nnd by inserting ln the second sentence of paragraph Cc) the word
"Firearms" immediately following the
wol'd "Federnl''.
PAR. 13. Section 178.46 Is changed.
PAn. 14. Pnragmphs (6) and Cc)
of ~ 178.47 are changed.
stl'lking the words ", and the copy
thereof furnished with the license," from
each pince they appear; by striking the
words "and the copy thereof" and ", and
the copy thereof," fmtn each place they
appear; and by striking the word "may"
in the Inst sentence of pa.ragmph (b)
-and inserting in lieu thcl'eof the word
"shall".
PAn. 10. Section 178.52 ls changed by
revising the first sentence thereof to
read: "A licensee may during the term
of hls current llcense remove his business
or activity to a new location nt which he
intends rcguln.rly to carry on such business or activity, without procurlng a new
Jlccru;e.''
PAR. 17. Immediately after 178.58
there arc inserted two new sections,
178.59o.nd178.60.
ls changed by striking the words "If,
after" and Inserting in lieu thereof the
word "After".
strtking the words "such as meets the
needs of the Parties:" and Inserting lu
lieu thereof the words "at a location convenient to the aggrieved party:".
is changed by adding e. "," immediately
following the words "has expired"; and
by adding a proviso hnmediately following the words "licensee has passed" to
read as follows: ":Provided, That under
the condition of paragraph Ca) of this
section, the licensee has timely filed an
application .for the renewal of his
license".
PAR, 21. Section 1'78.92 is cbani:ted CA)
by striking the designation "(a)"; 
by striking tbe designation "Cb)" and Inserting in lieu thereof the words "and by
engraving, casting, stamping Cin1Pressing) , or otherwise conspicuously placing
or causing to be engraved, cast, stamped
<impressed) or placed on the frame, receiver, or barrel thereof In a manner not
susceptible of being readily obliterated,
altered or removed,"; CC> by striking the
designn.tlon ", Cc)" and inserting in lieu
thereof ";"; <D> by striking the words
"guagc, Cd)" and Inserting in lieu thereof
the word "gauge;"; CE> by striking the
designation ", <e)" and inserting In lleu
thereof ";" and CF> by striking the words
0252
815
RIF
0253
18556
", and (f) " and Inserting in Ucu thereof

the word": and''.
strlkfng the word "shlpments" in para
graph <a> thereof and inse1t1.ng in Ueu
thereof the word "shipment"; and by
striking the text folluwlng "and Cb)'' and
Inserting In Heu thereof "any transaction
with n nonUcensee involving any flrenrm
01 ammunition other than a cm1o 01
relic. <See also 178.50.)"
PAR. 23. Section 178.94 is changed.
PAR. 24. Section 178.95 is changed liS
follows:
<A> by changing paragmph 
thereof to re11d: " Make a reproduc
tiou of his license, enter upon such repro.
duction the statement: t certify that this
is a true col>Y of a license issued to me to
engage Jn the business speclfled 1n Ite:m
5,' and sign his name adjacent thereto,
or": and
 by striking the \vord "additional"
in the first sentence of paragraph <c>
thereof and inserting ln lieu thereof the
word "certified".
PAR. 25. Paragraphs , <c>, and (d)
of 178.96 are changed.
PAR. 26. Sections 178.97 and 178.98 are
changed.
PAR. 27. Paragraphs <a> and <c> of
178.99 are changed.
adding the words "and ammunition" lm
mediately following the word "firearms".
PAR. 29. Paragraph (1) of 178.111
~ changed, and paragraph Cc) is added.
PAR. 30. Section 178.112 is changed as
follows:
CA> Paragraph <a> ls changed by
striking "> unless Cl> If o. firearm, it is
identified as required by this part, and
<2>" and by deleting "<3>" Immediately
following "ammunition, or".
 Paragraphs and <d> are
changed by striking "<If ammunition>"
immediately following the word "size".
PAR. 31. Section 178.113 ls ch mged as
follows:
<A> Paragraph Is changed by
deleting "<if ammunltlon>" Immediately
following the word "size" 1n subparagraph <2>, by Inserting the word "and"
following existing text of subparagraph
(5), by deleting all of subparagraph <6>.
and by renwnbering subparagt:aph "<7>"
as "<6>".
 Paragraph Cc> ls changed by re
vising the second sentence to read "In
obtaining the release of the firearm or
ammunition from Customs custody, the
licensee importing same shall furnish a Fo1m 6A <Firearms> to the
Customs officer releasing the fh'ea1m or
anununitlon."
<C> Paragraphs (d) and <e> are
deleted.
deleting paragmph <a>: redestgnating
paragraphs and <c> as paragraphs
<a> and <bl, respectively, and revising
such redesignated paragraphs; and add
ing a new paragraph Cc>.
adding at the end of paragraph <a>,
"Registration on Customs Form 4457 or
on any other registration document
available for this purpose may be completed before departure from the United
States at any U.S. customhouse or nny

office of nn Assistant Regional Commls
sloncr. A bill of sale 01 other commercial
document showing transfer of the fire~
nrm cir ammunition Jn the United States
to such pe1son also may be used to es
tnbllsh prnof that the fireat'm or nm
munition was tnken out of the United
States by such pel'son. Firearms and
nmmunltlon furnished under the proviw
slons of section 925<a> <3> of the Act to
milltary members of the U.S. Armed
Forces on active duty outside of the
United States also may be imported into
the United States or nny possession
thereof by such milltary members upon
establishing to the sntlsfactton of customs that such firearms and ammuni
tlon were so obtained."; and by adding
a new paragrnph <d>.
PAR. 34. section 178.116 ls changed by
nddlng, in the last sentence and lmmedfw
ntely following the wo1ds "teleased from
Customs custody" the words "upon the
payment of customs duties, if appllcable,
and".
PAR. 35. A new section, 178.117, is
added immediately following 178.116.
PAR. 36. Parag1aph <a> of 178.121 ls
changed.
PAR. 37. Paragmphs Ca>, . and
(d)
of 178.122 and 178.123 are
changed.
PAR. 38. Sections 178.124 and 178.125
are changed.
PAR. 39. Paragraph Cb> of 178.144 is
changed by revising the last sentence to
read "The application shall be filed, in
triplicate,.- with the Assistant Regional
region wherein the applicant resides."
striking "5848<a>" and by lnsertlng in
lieu thereof "5845<a> ".
Because these regulations implement
Title I, State Firearms Control Assistance
<18 U.S.C., chapter 44) of the Gun Control Act of 1968 <82 Stat. 1213> which
becomes elfective December 16, 1968, it
is found that it is impracticable and con
trary to the public interest to publlsh
these regulations subject to the effective
date limitation of 5 U.S.C. 553Cd). Ac
cordingly, these regulations shall become
effective on December 16, 1968.
SHELDON
s.
Com:N,
Commissioner of Internal .Revenue.

Approved: December 12, 1968.
JAMES PONEROY HENDRICK.
Special Assistant to the Secretary
<for Enforcementr.
tlons 26 CFR Pnrt 177 issued under the

Fedeml Fbenrms Act <U.S.C., title 15,
chapter 18>.
2. These regulations shall not affect
nny act done or any llablllty or right
accuring, or accrued, or any suit or proceeding had or commenced before tu~
effective dnte of these regulations.
3. These regulntions shall be effective
on nnd after December 16, 1968.
PART 178-COMMERCE IN FIRE

ARMS AND AMMUNmON
Sec.
178.1
178.2
Scopo or rogi1lntlona.
Rotation to other provisions or law.
178.11
Menning ot terms.
Subpart B-Dennltrans
Subpart C-Admlnlstratlve and Miscellaneous
Prov1Jlon1
178.21
Forms prescrl.bed.
178.22
Emergency variations .from require170.23
178.24
178.25
178.26
178.27
178.28
178.29
178.30
178.31
178.32
178.33
178.34
178.35
ments.
Right of entry nnd examlnntlon.
Disclosure of informntlon.
Curio nnd relio deterlllinRtlon.
Destructive devlco determination.
Transportation or destructive do
vices nnd certain firearm11.
Out-or-state ncqulaltloti. of firenrms by ti.onlicensec&.
Out-or-state disposition or flrenrme
by nonlicensees.
Dellvery by common or contract
carrier.
Prohibited shipment, transportation, or receipt or firearms and
ammunition by certain persons.
Stolen firea.rm.s and IUDDlUllltlon.
aemoved, obliterated, or altered serlnl number.
Skeet, trap, target, and 11lm1lnr
shooting activltlee.
Subpart D-Llcen111
178.41
Genera\.
178.42
License :Cee11.
178.43
Llconse fee not rerundnble.
178.44
OrlglnRl llcense.
178.45
Renewal of llccnse.
178.46 ' Proocdure by Dl11trlct Director.
178.47
IB$Uance ot license.
1'18.48
Correction of error on license.
178.49
Duration or license.
178.50
LOcations covered by llcense.
178.51
License not transferable.
178,52
Change of address.
178.53
Chnllge in trnde name.
178.54
Chnnge of control.
!78.55
OontlnUing partnerships.
178.56
:Right of succession by certain
178.57
178.58
178.59
178.60
In order to implement the provisions

of Title I, State Firearms Control Assist
ance <18, U.S.C., chapter 44>, of the Gun 178.71
Control Act of 1968 <82 Stat. 1213), and 178.72
Title VII, Unlawful Possession or Receipt 178.73
of Firearms <82 Stat. 236; 18 U.s.c., AP 178.74
pendix>, of the Omnibus Crto.1e Control 178.75
and Safe Streets Act of 1968 <82 Stat. 178.76
197), as amended by Title m of the Gun
Control Act of 1968 <82 Stat. 1236> , the 178.77
following regulations are hereby prew
scrtbed as Part 1'78 of Title 26 of the
178.78
Code of Federal Regulations:
Preamble. 1. These regulations, 26 178.70
178.80
CFR Part 178, "Commerce 1n Firearms 178.81
and Ammunition," supersede regu]a- 178.82
persons.
Dlscontinuancc or business.
state or other law.
Abandoned application.
Certain contlnunnces of business.
Subpart E-Llcense Proceeding
Dental of 11n appllc11tlon for UcenGc,

Henrlng after 11ppllcatlon dental.
?orotice o! contemplated revocation.
Request for hearing nrter notice
of contemplated revocntion.
Hearing after notlce of revocation.
Recommended decision of hen.ring
examiner.
Certification 11nd tmnamlttal ot
record and recommended decision to Director.
Decision or Director.
Service on appllcant or licensee.
Representation at a hearing.
Deslgnl\ted place of helU'1ng.
Operations by licensees after notice.
0253
816
RIF
0254
18557
RULES AND REGULATJONS

Subpart F-C:ond11d of 8u1lne11
Soc.
Posting ot llccnso.
Idcntlficl\tlon or flrcnrnts.
Authorized opcrntlons by n licensed
collector.
Snlcs or dell vcrlcs bctweell licensees.
1711.04
Ccrtlllcd copy of Ucenso.
178.05
Out-of-St.nt.c nnd mnU order snlcs.
178.00
Lonn or rentnl of flrenrme.
17B.1l7
Snlcs or deliveries of destructive
178.08
devices l\lld ccrtn.ln :!lrcl\rms.
ccrtn.tn p r oh lb t to d enlcs or
178.110
dell verles.
176.100 Record of trnnsnctlons,
178.01
178.02
178.03
Subpart G--lmporlotlon
176.111 Ocncrnl.
176.112 Importation by o Uccnsctl Importer.
178.113 Importntlon by other llccn11ccs,
178.114 Importntlon by member!) of tho U.S.
Armed Forces.
178.115 Exempt lmportn.tlon.
178.116 Condltlonnl Importation.
178.11'7 Function outside n custome terri-
tory.
178.121
178.122
178.123
178.124
178.125
178.120
178.127
Subpart H-Rocords
Ocncrnl.
Records mnlntnlnecl by Importers.
Records mnlntn1J1cd by mnnutncturero.
Firearms trnnsnctlon record.
Record ot receipt nnd disposition.
Furnishing trnns11.ctlon Information.
Dlscontlnunncc ot business.
Subpart 1-Ewomptlont
178.141 OenernJ,
178.142 Effect of Presldcntlnl pnrdon.
178.143 Relief from disabilities incurred by
1ndlctmont.
Relief from dlsnbll1tlcs Incurred by
conviction.
Rcscnreh orgnnlzntlons.
Dellvcrles by moil to cortnln persons.
Repair of flrenrm.
Ammunition loudlng for p1m1onn\
 Procedural and substantive requirements, This part contains the procedural and substantive requirements
1elntlve to:
<1) The Interstate or foreign commerce in fi1earms nnd ammunition;
<2) The licensing of manufacturers,
importers, and collectors of, and dealers
in, firen1ms and ammunition;
C3> The conduct of business or activity
by licensees;
C4) The lmpo1tat1011 of firearms and
ammunition:
(5) The rccol'ds and reports required
of licensees;
(6) Relief from disabilities under this
po.rt: and
<7> Exempt lntel'stnte and foreign
commerce In firearms and ammunition.
(c) Federal Firearms Act licenses. This
part fully appUes to operations by pel'sons licensed under the Federal Flrearms
Act and Part 1'17 of this cha1lte1 who are
continuing their operations under such
license pursuant to section 907 of the
Omnibus Crime Control and Safe Stmets
Act of 1968 <82 Stat. 235). Any reference
in this pm't to "license," "licensee," licensed dealer," "licensed Importer," "licensed manufacturer," etc., shall apply
equally as the case may be to licenses
and 11crsons licensed under the Federal
Fh'cal'ms Act who are continuing opemtlons 1mrsuimt to a license issued undu1
thnt Act.
178.2 Rel111io11 lo other 1rovl11ionH or
Jow,
pellet not designed for use as the single,

complete projectile load for one shotgun
hull or en.sing, nor <b) nny unloaded,
non-metallic shotgun hull or casing not
having a primer.
Antique firearm. (a) Any firearm (including any firearm with a matchlock,
flintlock, percussion cap, or similar type
of Ignition system) manufactured in 01
before 1898; and any repllca of any
firea1m described Jn 1mragraph <a> of
this definition Jf such replica <1 > Is not
deshmed 01 1edesbmed for using rimfire
or conventional centerftre fixed ammunition, or (2) uses rlmfire or conventional ccntl!1firc fixed ammunition which
is no longer manufactured in the United
States and which Is not readily available
in the ordinary cl1nnnels or commercial
trade.
Assistant Reuional Commissioner. An
Assistant Regional Commissioner, Alcohol and Tobacco Tax, who Is iesponsible to, and !unctions unde1 the dlrcctlon and supervision of, a Regional Commlssione1 of Internal Revenue.
Business premises. The property on
Which firearms or ammunition importing, manufacturing or dealing business
Js or will be conducted. A private dwelling, no part of which is open to the public, shall not be recognized as coming
within the meaning of the term.
Collection premises. The premises described on the license of a collector as
tne location at which he maintains his
collectiol:' of curios and relics.
Collector. Any person who acquires,
holds, or disposes of firearms or ammunition as curios or relics.
Commerce. Travel, trade, traffic, commerce, tl'ansportatlon, 01 communication
among the several States, or between
the District of Columbia and any Stat!:!,
or between any foreign country or any
territory or possession and any State or
the Dist11ct of Columbia, or between
points In the same State but th1ough any
other State or the District of Columbia
Commissioner. The Commissioner of
Internal Revenue.
The provisions in this part arc In addition to, and are not in lieu of, any other
1'18.14&
provision of law, or regUlatlons, respect178.146
ing commerce in fbearms or ammunition.
1'78.147
For 1egulatlons applicable to traffic in
178.148
machine guns, destructive devices, and
UllO,
certain other firearms, see Part 1'19 of
this chapter. For statutes applicable to
Subpart J-Peno:ltlH, Selzure1, and forfeitures
the registration and licensing of persons
1'78.101 Fnlso st.ntcment or representation.
ln the business of manufacturengaged
1'78.162 Trnnsportntlon or receipt to commit
ing, importing or exporting arms, ammun crime.
178.163 Commission of n Federal crime.
nition, or implements of war, see section
1'78.164 Receipt, etc., or fironrms by certnln 414 of the Mutual Security Act of 1954
persons.
<22 U.S.C. 1934), and regulations there178.165 Receipt, etc., or firearms by certain under. For statutes applicable to nonCrime punishable by imprisonment for
employees.
"
mailable firearms, see 18 u.s.c. 1715 and a term exceeding l 11ear. Any offense for
1'18.106 Sclztmi and tortelture.
regulations thereunder.
which the maximum penalty, whether or
Subpart K-Exportotlon
not imposed, is capital punishment or
Subpart B-Deflnitions
imprisonment in excess of 1 year. The
178.171 E:xportntlon.
178.11 M_,imingoC terms.
term shall not Include <a> any Federal
AVTHORrrY: The provisions of this Part
178 Issued under 82 Stnt. 1213-1226, 18 u.s.c.
When used in this part and In forms or State offenses pertaining to antitrust
921-928, 82 Stat. 236, ns nmendcd, unless prescribed under this part, where not violations, unfair trade practices, reotherwise noted.
otherwise distinctly expressed or mani- straints of trade, or other similar offenses
festly incompatible with the Intent there- rela.tlng to the regulations of business
of, terms shall have the meanings as- practices excluded from the meaning of
178.l Scope or rcgulotlons.
cribed in this section. Words in the plural the te1m under provisions -<iontained in
this pa.rt, or Cb) any State offense <other
<a> In general. The regulations conform shall include the slngUlar, and vlce them one Involving a firearm 01 explotained 1n this part relate oo commerce versa, and words importing the mascu- sive> classified by the laws of the State ns
ln firearms and ammunition and are line gender shall include the feminine. a misdemeanor and punishable by a term
promulgated to implement Title I, State The terms "includes" and "Including" do of imprisonment of 2 years or less.
Firearms Control Assistance <18 U.S.C. not exclude other things not enumerated
Curios or relics. Firearms or ammuChapter 44), of the Gun Control Act of which are in the same general class or nition which are of special Interest to
1968 (82 Stat. 1213>, and Tltle Vll, Un- are otherwise within the scope thereof. collectors by reason of some quality
Act. Chapter 44 of title 18 of the United
lawful Possession or Receipt of Firearms States
other tha.n ls ordinarily associated wlth
Code.
(82 Stat. 236; 18 U.S.C. Appendix) of the
Ammunition. Ammunition or cartridge firearms intended for sporting use or as
Omnibus Crime Control and Safe Streets cases, primers, bullets, or propellent pow- offensive or defensive weapons. To be
Act of 1968 C82 Stat. 197) as amended by der designed for use in any firearm other recognized as curios or relics, firearms
Title m of the Gun Control Act of 1968 than an antique fl.rearm. The term shall and ammwiltion must fall within one of
not include <a> any shotgun shot or the following categories:
<82 Stat.1236>.
178.144
0254
817
RIF
0255
18558
<a.> Firca.1ms and ammunition which be used. as a wenpon, ls an nntlque, or .ls

were mnnu.fnctured at least 50 years prior o. rifle which the owner Intends to use
to the current date, but not including aolely for spo1t1ng purposes.
Director. The Dlrectol', Alcohol and
replicas thereof;
 Flrcnrms and ammunition which Tobacco Tax Dlv1slon, Internal Revenue
are certitled by the curator of a munici- Service, Treasury Department, Washingpal, State, or Federal museum which ex- ton, D.C. 20224.
Discliaroed. 2tnd.er cUslwnorable condihibits firearms to be curios or relics of
tions. Separation from the U.S. Armed
museum interest; nnd
<c) Any other firearms or ammWlitlon Forces :resulting from a Bnd Conduct Diswhich derive o. substnnt10.l part of their charge or a Dlshonornblc Discharge.
District Director. A District Director
moueta.ry value from the fact tllnt they
arc novel, rn.re, bizane, or because of of Internal Revenue,
Executed under penalties of pcrimv.
their association with some historical
figure, period, or event. Pl'Oof of ci.uo.11- Signed with tl1e prescribed declaration
wider
the pcnnltlcs of perjury as proficntlon of n particular firearm or item
of ammunition tmdcr tbls category may vlded on 01 with :respect to the return,
be established by evidence of present fonn, or other document or, where no
value and evidence that like firearms or f01m of declaration ls prescribed, with
ammunition a1e not nvnllable except as the declarntion: "I declare under the
collecto1's items, or tho.t the value of llkc penalties of perjury that this-(lnsert
firearms or ammunition avallnble in or- type of document, such a.s, statement,
dinary commercial channels ls substnn- appllcatton, request, certlflca.te), including the documents submitted in support
tially less.
Customs oUlcer. Any officer of the Bu- thereof, has been examined by me and,
reau of Customs or any agent 01 other to the best of my knowledge and belief,
person authorized by law or by the Sec- ls true, correct, and complete."
retary of the T1:easury, or appainted in
Federal Firearms Act. Chapter 18 of
wrltlng by a Regional Commissioner of title 15, United States Code, as in effect
customs, or by another principal customs on December 15, 1968.
officer under delegated authorlty, to perFelony. Any offense punishable by imform the duties of an officer of the Bu- prlsonment for a term exceeding l year.
reau of customs.
The term shall not include any offense
Dealer. Any person engaged in the Cother than one involving a firearm or
business of selllng firearms or ammun1- explosive> classified as a misdemeanor
tlon at wholesale or retaU; any person under the laws of a State and punishable
engaged ln the business of repairing fire~ by a term of lmpl'Jsonment of 2 years
arms or of making or fitting special bar- or less.
rels, stocks, or trigger mechanisms to
Firearm. Any weapan, including a
fire1mns: or llllY person who is a pawn- starte1 gun, which will or is designed to
broker.
01 may readUy be converted to expel a
Destructive device. Ca> Any explosive, proJectlle by the action of an explosive:
lncendlary, or poison gas <D bomb, <2> the frame or receiver of any such.
grenade, C3) rocket having a propellant weapon; any firearm mumer or ftreann
charge of more than 4 ounces, <4> mis- silencer; or any destructive device; but
slle having an explosive or incendiary the term shall not include an antique
charge of more than one-quarter oooce, firearm. In the case of a licensed collec<5> mine, or (6) device simUar to n.ny tor, the term shall mean only curios and
of the devices described in the preceding reUcs.
subpamgraphs of this definition; 
Ftrearm frame or receiver. That part of
any type of weapon Cother than a shot- a firearm which Provides hoUslng for the
gun or a shotgun shell which the Di- hammer, bolt or breechblock, and firing
rector finds is gene1ally recognized as mechanism, and which 1s usually
partlcuiarly sUltable for sporting pur- threaded at its fotwa1d Portion to receive
poses) by whatever name known which the barrel.
will, or which may be readily converted
Fugitive from justice. Any person who
to, expel a projectile by the action of has fled from any State to avoid prosecuan explosive nr other propellant, and tlon for a crime or to avoid giving testlwhich has any banel with a bore of mo1e mony in any c1lmlnal proceedlng.
than one-half inch in diameter: and
Impartation. The bringing of a fireCc) any combination of parts either de- nrm or ammunition into the United
signed or intended for use in converting States; except that the bringing of a fireany device into any destructive device a1'Dl or ammunition from outside the
descrlbtld in paragraph <a> or Cb> of this United States into a foreign-trade zone
definition and from which a destructive for storage pending shipment to a fordevice may be readily assembled. The eign country or subsequent importation
tel'm shall not include any device which into this country pursuant to this part
'
ls neither designed nor redesigned for use shall not be deemed importation
lmpcrter. Any person engaged 'tn the
as a. weapon; any device, although onglnally designed for use as a weapon, business of imparting or bringing fire~
which Is redesigned for use as a signal- arms or ammunition into the United
ing, pyrotechnic, line throwing, safety, States for purposes of sale or distribution.
Indictment. Includes an indictment or
or similar device; surplus ordnance sold,
loaned, or given by the Secretary of the lnfonnation in any cc;urt under which a
Army pursuant t;o the provisions of sec- crhne Pl.Ullsbable by imprisonment for
term exceeding 1 year may be prosetion 4684(2), 4685, or 4686 of title 10, acuted.
United States Code; or any other device
Internal Revenue Code of 1954. Title
which the Director finds is not likeIY to 26, UnJted States Code.
l7!ternal revenue district. An internnl

l'evenuc district under the jurlsdlctlort of
n District Dll'ector of Internal Revenue.
Internal revenue region. An internal
revenue region under the jurlsdlctlon of
l1. Regional Commissioner of Internal
Revenue.
Interstate or foreign comme1ce. Ineludes commerce between nny place in a
State and any place outside of that SLnte,
or within any possession of the United
States <not Including the Canal Zone> or
the District of Columbia. The term shall
not include commerce between places
within the same State but through any
place outside of thn.t State.
Licensed collector. A collect.or of curios
and rcllcs only and licensed under the
p1ovlslons of this part.
Licensed dealer. A dealer Ucensed under the provisions of this part, and a.
dealer licensed under the Federal Firearms Act lf such license ls deemed valid
under section 907 of the Omnibus Cl'lme
Contl'Ol and Safe Streets Act of 1968
<82 Stat. 235).
Licensed importer. An importer 11censed Wlder the provisions of this part,
and a manufacturer <as that term was
defined in the Federal Firearms Act> 11censed under the FeCleral Firearms Act if
such license ls deemed valld under section 907 of the omnibus Cl'lme Control
and Safe Streets Act of 1968 C82 Stat.
235).
Lfecn.qetl manufacturer. A manUfacturcr licensed under the provisions of
this part, and a manufacturer <as that
term was defined ln the Federal Flrearms Act> licensed under the Federal
Firearms Act if such Ucense Is deemed
valld unCler section 907 of the Omnibus
1068 <82 Stat. 235).
Machine gun. Any weaPon which
shoots, is dr~slgned to shoot, or can be
readily restored to shoot, automatically
more than one shot, without manual reloading, by a single function of the trigger. The term shall also include the
frame or receiver of any such weapon
any combination or parts designed and
intended for use in converting a weapon
into a machine gun, and any combine.tlon of parts from whleh a. machine gi.m
can be assembled lf such parts are in
the possession or under the control of a
person.
Manufacturer. Any person engaged
in the n:ianufactu1e of firearms or ammunitlon for pu11>0ses of sale or distribution.
National Firearms Act, Chapter 53 of
the Internal Revenue Code of 1954.
.
.
Pawnvroker. Any peison whose business or occupation includes the taking or
receiving, by way of pledge or pawn, of
any firearm or ammunition as security
for the payment or repayment of money.
Person, Any Individual, corporation,
company, association, firm, partnership,
society, or joint stock company.
Publis1iea ordinance. A published law
or any Political subdivision of a State
which the Director determines to be relevant to the enforcement of this part and
which ls contained on a list complied by
the Direct.or, which list Js published in the
FEDERAL REGISTER, revised annually, and
FEDERAL REGISTER, VOL, 33, NO. 243-SATURDAY, DECliMllER 14, 1968
0255
818
RIF
0256
RULES AND
furnished to eneh licensee under this
part.
Reotonal Cr:nnmlsstoner. A Regional
Commlssioner of 1ntemal Revenue.
Rifle. A weapon designed or redesigned,
made or remade, and intended to be
fired from the shoulder, and designed 01
redesigned and made or remade to use
the energy of the explosive in a fixed
metallic cartridge to fire only a single
projectile through n rJfled bore for each
Short-barreled rifle. A ilfle 1111.ving one
or more barrels less than 16 Inches Jn
length, and any weapon made from a
rltle, whether by alte1atlon, modification,
or otherwise, if such weapon, as modified,
has an overall length of less than 26
inches.
Short-barreled shotgun. A shotgun
having one or more barrels less than 18
inches 1n length, and any weapon made
from a shotgun, whether by alteration,
modification, or otherwise, If such
weap0n as modified has an overall length
of Jess than 26 Inches.
,t:;hotoun. A weapon designed or iedeslgned, made or remade, and Intended
to be fired from the shoulder, and designed or redesigned and made or remade
to use the energy or the explosive in a
fixed shotgun shell to fire through a
smooth bore either a nwnber of ball shot
or a single projectile fo1 each single
State. A State of the United States.
The term shall include the District of
Columbia, the Commonwealth of Puerto
Rico, and the possessions of the United
States <not including the canal Zone>.
.State of residence. The State in which
an individual regularly resides, or mntntatns his home, or if such person Is on
active duty as a member of the United
States Armed Forces, the State in which
his permanent duty station ls located:
Provided, That an alien who is legally
in the United States shall be considered
to be a. resident of the State in which
<a.> he Is residing and has so resided for
a period of at least 90 days prior to the
date of sale or delivery or a firearm or
ammunition, or (b) his embassy or consulate is located if the principal officer
of such embassy or consulate Issues .a.
written statement to such alien authorizing his acquisition of a. firearm or ammunition. Temporary sojourn in a. State
does not make the State of tempora.:rv
sojourn the State of iesidence.
E:wmpll:l 1.. A nmlntalns hlB home in Stnte
X. He travels to State Y on a hunting, fishing, business or other t.ype of trip. He does
not become a resident of State Y by renson
ot such trip.
Example 2. A ma.lntnlns a. home in State
X nnd a home tn Stnte Y. Ho resides in Stn.te
X except for the summer monthr:; of the ycnr
and in State Y tor the summer montb.G of the
ycnr. During tbe time thnt he nctunlly resides in State X he ls a iesldent or State
X, and during the time that he actually resides In State Y he ls a resident of Stnto Y.
RE~ULATIONS
Subpart C-Adminislratlve and

178,21
Forms prescribed.
The Director is authorized to prescribe nil forms required by this part.

All or the information called .for in each
form shall be furnish~. as indicated by
the headings on the form and the inst1uctlons the1eon or issued in respect
thereto, and ns required by this pal't.
178.22 Emergency \"uriutions from re
quire men ts.
<a> The D1recto1 may approve variations from the requirements or this part
when he finds tI1at an emergency exists
and that the proposed variations from
the specific requirements arc necessary, <2> wm not hinder the effective
ndmln!strat!on of this part, and <3> will
not be contrary to any provisions of law.
 Varia:".lons from requirements
granted under this section are conditioned on compliance with the procedures, conditions, and llmJtatlons with
respect thereto set forth in the approval
of the application. Failure to comply Jn
good faith with such procedures, conditions, and llmttatlons shall automatically terminate the authority for such
variations, and the Ucensee thereupon
shall fully comply with the prescribed
requirements of regulations from which
the variations were authorized. Authority for any variation may be withdrawn
whenever in the judgment of the Dll'ec~
tor the effective admlnlsttation of this
part ts hindered by the continuation of
such variation. A licensee who desires to
employ such variation shall submit a
written appllca.tion so to do, in triplicate,
to the Assistant Regional CommJssloncr
for transmittal to the Director. The application shall describe the proposed
vai1atlon and set forth the reasons
therefor. A variation shall not be employed until the app!lcatlon has been
approved. The licensee shall retain, as
part of his records, available for examination by inten1al revenue officers, any
application approved by the Director
under the provisions of this section.
18559
of, the Assistant Regional Commissioner
may make available to such State or any
political subdivision thel'eof, any information which the Assistant Regional
Commissioner may obtain by reason of
the provisions of the Act with respect to
the identification of persons within such
state or polltlcal subdivision thereof,
who have purchased or received flrea.rms
01' ammunition, together with a deEcriptlon of such firearms or ammunition.
178.26
Curio nnd relic de1crminu1io11.
A llcenscd collector who desires to obtain a determination whethe1 a particular firearm or ammunition is a curio or
relic shall submit a written request, in
duplicate, fo1 a ruling thereon to the
Assistant Regional Commissioner. Each
such request shall be executed wider the
penalties of perjury and shall contain a
complete and accurate description of the
flrea1m or ammunltion, and such photographs, diagrams, or drawings as may
be necessary to enable the Assistant
Regional Commissioner to make his detenninatlon. The Assistant Regional
Commissioner may requJre the submission to him, or to an officer designated by
him, of the firearm or nnunwlltlon for
examinntlon nnd evaluation. If the submiBBion of the firearm or ammunition ts
Impractical, the licensed collector shall
so e.dvlse the Asslsto.nt Regional commlsslonel' and designate the place where
the firearm or ammunition will be
available for examination and evaluation.
178.27
beslrucrive device dcterndm1-
tion.
Any inte1nal 'revenue officer may enter during business hours the premises,
including_ places of storage, of any licensed Importer, licensed manUfacturer,
licensed dealer, or licensed collector for
the purpose of inspecting or examining
any records or documents requll'ed to be
kept by such importer, manUfacturer,
dealer, or collector wide1 this pa.rt, and
any firearms or ammunition kept or
stored by such importer, manufacturer,
dealer, or collector at such premises.
The Director shall determine in accordance with 18 u.s.c. 92l<a.) (4)

whether a device ls excluded from the
definition of a destructive device. A person who desires to obtain a determination under tl1at provision of law for any
device which he believes Is not likely to
be used as a weapon shall submit a written request, in triplicate, for a iullng
thereon to the Director. Each such request shall be executed under the penalties of Perjury and contain a complete
and accurate descrlption of the device,
the name and address of the manufacturer or Importer thereof, the pmpose of
and use for which It is intended, and
such photographs, diagrams, or drawings as may be necessary to enable the
Director to make his determination. The
Director may require the submission to
him, of a sample of such device for examination and evaluation. If the submission of such device is impracticable,
the person requesting the ruling shall so
advise the Director and designate the
place where the device will be available
for examination and evaluation.
178.24
178.28
178.23 Right or entrr and cx11min11

lion.
Tr1msporU1tion of des1n1clive
devices and ccrlain firearn1s,
The Director ls authorized to compile,

Ca> The Assistant Regional Commispublish in the FEDERAL REGISTER, annually revise, and furnish t.o each licensee, sioner for the internal revenue region
Unseniiceable firearm. A firearm which a list of publlshed ordinances which are in which a. person resides may authorize
is incapable of discharging a shot by relevant to the enforcement of thls part. that person to transport in interstate or
foreign commerce any destructive device,
means of an explosive and Is incapable of
machine gun, short-barreled shotgun, or
being readily restored to a firing 178.25 Disclosure or inrormnrion.
short-baneled
rifle, if he finds that such
condition.
Upon receipt of written request of any
U.S.C. The United States Code.
State or any political subdlVislon there- ~ranspo1-tntlon is reasonably necessary
No. 243--2
0256
819
RIF
0257
18560
and is consistent. with public snfcty and

nppllcable Stnte nnd locnl lnw. A person
who deslles to transpo1t In Interstate or
foreign commerce any such clevlce or
weapon shnll submit n written 1equest so
to do, In duplicate, to the Assistant Regional Commlssloncr. The iequest shall
contain:
( 1 > A complete description and Identification of the device or weapon to be
transported:
<2J A statement whether such twnsportation involves n transfer of title:
<3> The need for such transportation:
<4> The approximate dnte such trn.nspo1tatlon is to tnke place:
(5) The present location of such device 01 weapon and the place to which it
ts to be transported:
.
(6) The mode of trnnsportntlon to be
used Clncludlng, If by common or contact
carrier, the nnme nnd address of such
carder>: and
(7) Evidence that the trnnsportntlon

or possession of such device or weapon
ls not inconsistent with the laws at the
place of destination.
Cb> No person shall transport any
destructive device, machine gun, shortbarrcled shotgun, or short-barreled rifle
In interstate or foreign commerce under
the provisions of this section 1.a1tll he
has received speclftc authorization so to
do from tho Assistant Regional Commissioner. Autho112atlon granted under this
section does not car1y or import relief
from any other statutocy or regulatory
pl'ovision relating to firearms.
Cc> This section shall not be construed as requiring licensees to obtain
authorlzo.tlon to transport destructive
devices, machine guns, sho1t-barreled
shotgWlS, and short-batTeled rifles ln inte1state or foreign commerce: Provided,
Tha.t In the case of a licensed importer,
licensed manufacturer, or licensed
dealer, such a licensee ls qualified under
the National Fll'earms Act <see also Part
1'79 of this chapter) and this part to
engage in the business with respect to
the device or weapon to be transported,
and that in the cnse of a licensed collector, the device or weapon to be transported ls a. cul'lo or rellc.
178.29 Out-of-State acquisition of
fircnrms b;r nonlicensees.
No person, other than a llcensed im-
porter, licensed manufacturer, licensed

dealer, or licensed collector, shall transport into or receive in the State where he
resides (or If a corporation or other business entity, where it maintains a. place of
business> any firearm purchased or
otherwise obtained by such person outside that State: Provided, That the provisions of this section <a> shall not preclude any person who lawfully acquires
a firearm by bequest or intestate succession in o. State other than his State of
residence from transporting the firearm
into or receiving It in that State, if It is
lawful for such person to purchase or
possess such flreal'm in that State, 
sllall not BPPIY to the transportation or
receipt of a rifle or shotgun obtained in
confol'll!ity with the provisions of
178.30, 178.96, and 1'78.97, and (c)
shall not apply to the transportation of of the Federal Food, Drug, o.nd Cosmetic
any firea1m acquired In any State prior Act>, or narcotic drug (ns defined In section 4731 Co.> of tho Internal Revenue
to the effective date of the Ac~.
Code of 1954>, or (4) has been adjudi 178.30 Out-of.Stutc di1111ositio11 of fire
cated
as a mental defective or who has
t\l'1ns ll)' 1\onliccnsccs.
been committed to a m.?ntal institution.
No nonlicensee shall transfer, sell,
Cb> A firearm may not be received,
trnde, give, trnnsport, or deliver any fire- possessed, or transported In commerce or
arm to any other nonllcensce, who the affecting commerce by any person who
trnnsfero1 knows or has l'Casonnblo cause <1 > has been convicted by a court of the
to belleve resides in any state other tho.n United States or of a. State or any Pothat In which the trnnsfel'Ol' resides Cor litical subdivision thereof of o. felony, C2>
if a cor11orntlon or other business entity, has been discharged from the Armed
where It maintains a place of business) : Forces under dishonorable conditions,
Provided, That the provisions of this sec- <3> has i:leen adjudged by a court of the
tion slmll not apply to (a) the transfer, United States or of a State or any politi~
transporto.tlon, or delivery of a firearm cal subdivision thereof of being menmade to ca.ny out a bequest of a firearm tally incompetent, or (4) having been a
to, or any acquisition by Intestate succes- citizen of the United States has resion of a nrearm by, a person who is per- nounced his cltizeru;Wp, or (5) being an
mitted to acquire or possess a firearm alien is 1llegally in the United States.
under the laws of the State of hls resiCc> Any individual who to his know!~
dence, and the loan or rental of a edge and whlle being employed by any
firearm to any person for temporary use person coming within a classification
for lawful sporting purposes.
contained In paragl'aph of this. sec 178.31 Delivery L;r common or con tion, may not in the course of such employment receive, possess, or transpart
tr11ct currier.
a firearm in commerce or affecting
(a) No person shn:\J. knowingly deliver commerce.
or cause to be dellver~d to any common
The provisions of paragraph Cb)
or contract carl'ier for transpartation or of Cd)
this section shall not apply to any
shipment 1n interstate or foreign com- prisoner
by reason of duties connectmerce to any person other than a licensed ed with who
law enforcement has expressly
importer, licensed manufacturer, licensed been entrusted
a firearm by compedealer, or licensed collector, any package tent authority with
of the prison, and the
or other container 1n which there is any provisions of paragraphs
(b) and Cc> of
firearm or ammunition without written this section shall not apply
to any pernotice to the carrier that such :firearm or son, or any employee employed
such
ammunition ls being transported or person, who has been pardonedby
the
shipped: Provlded, That any passenger President of the United States by
or the
who owns or legally possesses a firearm chief executive of a state and has
exor ammunition being transported aboal'.d pressly been authorized by the President
any common or contract carrier for or such chief executive, as the case may
movement with the passenger in inter- be, to receive, possess, or transport 1n
state or foreign commerce may deliver commerce
a firearm.
said firearm or ammunition into the ci<StodY of the pilot, captain, conductor or 178.33 S1olcn firennns and nmnmnition,
opera.tor of such common or contract
carrler for the duration of that trip withNo person shall tran5port or ship in
out violating any provJ.slon of this part. interstate or foreign commerce any
(b) No 'Common or contract ca:rrier stolen firearm or stolen ammunition
shall transport or deliver 1n Interstate knowing or having reasonable cause to
or foreign commerce any firearm or am- believe that the firearm 01 ammunition
mwiltion with knowledge or reasonable was stolen, and nc person shall receive,
cause to believe that the shipment, trans- co.nceal, store, barter, sell, or dispose of
Pol'tatlon, or receipt thereof would be in any stolen firearm or stolen ammunition
violation of any provision of this part: which is moving as, which is a part of,
Provtded, liowever, That the provisions of or which constitutes interstate or foreign
this paragraph shall not appiy 1n respect commerce, knowing or having reasonable
to the transportation of firearms or am- cause to belleve that the :firearm or ammunition in in-bond sl1lpment under mUnitlon was stolen.
Customs laws and reguiations.
178.32 Prohibited shipment, ll'ansportntion, or receipt of firenrrns nnd nm
munition b;r certain personl!I.
Ca> No pe1son may ship or transpart
178.34 Removed, obliterated, or altered serinl number.
No person shall knowingly transport,

ship, or receive in interstate or foreign
any firearm which has had the
any firea.nn or ammunition Jn interstate commerce
or foreign commerce, or receive any fire- importer's or manufacturer's serial numamt or ammunition which has been ber removed, obliterated, or altered.
shipped or transparted in interstate or 178.35 Skcer, trnp, target, und similar
foreign commerce, who (1) is under inl!lhooting activities,
dictment for, or who has been convicted
Licensing and recordkeeping requi1ein any court of, a crime punishable by ments, including permissible alternate
imprisonment for a. term exceeding 1
year, (2) is a. fugitive from justice, (3) records, for skeet, trap, target, and simiis an unlawful user of or addicted to lar organized activities shalJ be determarlhuana or any depressant or stimu- mined by the Assistant Regional Comlant drug <as defined tn section 201 <v> missioner on a. case by case basts.
FEDERAL llEGISTER, VOL. 33, NC?. 243-SATUllDAY; DECEMBER 14, 1968
0257
820
RIF
0258
18561

D-Licenses
relics. A collector's llcense does not authorize the collector to engage in a
Gcn<'rul.
business required to be licensed under the
<e.> Ench pe1son intending to engage Act or this part. Therefore, if the acqut. in business as In Importer or manufac- sittons and dispositions of curios and
turer of, or a dealer in, firearms or am- iellcs by a collector bring the collector
munition shall, before commencing such wltWn the deftnition of a manufacturer,
business, obtain the license required by Importer, or dealer under this 1mrt, he
this subpart for the business to be op- shall qualify as such. <See also 178.93 of
crated. Each person who desires to obtain this part.)
the privileges granted by the Act and 178.42 License fee~.
this part to a licensed collector may obtain such a license Wlder the provisions
Each applicant shall pay a fee for
of this subpal't.
obtaining a license, a separate fee being
 Each person Intending to engage required for each business or collecting
In business as a firearms or a.mmunltlon activity at each place of such business
importer, manuiacturer, or dealer shall 01 activity, ns follows:
file an application, with the required fee
Ca> For a manufacturer:
<see 178.42), with the District Director
(1) Of destructive devices or nmmunlfor the Internal revenue distl'lct in which tlon for destructive devices-$1,000 per
his premises are to be located, and, pur- yea1.
suant to 178.47, receive the license re<2> Of firearms other than destructive
qUlred for such business from the Assist- devices-$50 per year.
ant Reglone.1 Commissioner. A separate
(3) Of ammWlition for firearms other
license must be obtained tor each bus!- than destructive devlces-$10 per year.
 For an Importer:
ness and each place at which the appl!cant is to do business. such license shall,
U> Of destructive devices or ammunlsubJect to the provisions of the Act and tlon for d.estructlve devlces-$1,000 per
other applicable provisions of law, entitle year.
the licensee to transport, shJp, and re<2> Of firearms other than destructive
celve firearms and nmmWlltion covered devices or ammunition for firearms other
by such license in interstate or foreign than destructive devlces-$50 per year.
cc> For a d<Jaler:
commerce, and to engage in the business
speclfled by the license, at the location
U> In destructive devices or ammunldescribed on the license, and for the pe- tlon for destructive devlces--$1,000 per
rlod stated on the license: Provided, That year.
<2> Who 1s a pawnbroker deallng In
It shall not be necessary for a licensed
importer or a licensed manl.ifacturer to firearms other than destructive devices
also obtain a dealer's license In order to or ammunition for firearms other than
engage in business on his licensed prem- destructive devlces-$25 per year.
l.ses as a dealer 1n the same type of fire<3) Who is not a dealer in destructive
arms or anununitlon authorized by his devices or a pawnbroker-$10 per year.
<d) For a collector of curios and
license to be Imported or manufactured:
Provided further, That the payment of rellcs-$10 per Year.
the license tee as an Importer or manu- 178.43 Liccn11c lee not rcCunduble,
facturer of, or a dealer in, destructive
No refund of any part of the amount
devices and ammunition for destructive paid
as a Ucensee fee shall be made where
devices Includes the privilege of import- the operations
of the licensee are, for
ing, manufacturing or dealing in, as the any reason, discontinued
dur1ng the
case may be, firearms other than de- period of an Issued license. However,
the
structive devices and anuttWlltion for license fee submitted with an application
other than destructive devices by such a for n. license shall be refunded if that
licensee at his licensed premises.
<c> Each person seeking the Privileges application is denied.
of a collector licensed under this part 178.44 Original license.
shall fl.le an application, with the re<a> Any person who Intends to engage
quired fee <see 178.42), with the District ln business as a firearms or ammunition
Director for the internal revenue district importer, manufacturer, or dealer on 1Jr
1n which his collection premises are to after the effective date of this part, or
be located, and, pursuant to 1'18.47, re- who has not previously been llcensed
ceive from the Assistant Regional Com- under the provisions of this part to so
mlssloner the lleense covering the collec- engage in business, or who has not timely
~on of curios and relics. A separate li- submitted application for renewal of his
cense may be obtained for each collec- previous llcense Issued under tWs part,
tion premises, and such license shall, shall, except as provided in paragraph
subject to the provisions of the Act and <c> of this section, file with the District
other applicable proVislons of law, en- Director for the internal revenue district
title the licensee to transport, ship, rein which the applicant ls to do business
ceive, and acquire curios and relics 1n an application, Form 7 <Firearms> , in
Interstate or foreign commerce, and to duplicate. The application, Form 'l (Firemake disposition of curios and relics in arms), shall include tnfonnation as to
Interstate or foreign commerce to any the ownership of the business, the type of
other person licensed under the provi- :firearms or ammunition to be dealt in,
sions of this part, for the period stated
the type of buslness premises, the busion the license.
(d) The collector license provided by ness hours, the business history, and the
this part shall appiy only to transactions identity of the responsible persons in the
related to a collector's activity Jn acquir- business. The application must be
ing, holding or disposing of curios and executed under the penalties of perJul'Y
Subpart
178.41
and the penalties Imposed by 18 U.S.C.

924. The application shall be accomtmnled by the appl'oprlate fee In the
form of <l> cnsh, or (2) money 01der or
check mnde payable to the Internal
Revenue Service. Forms 7 <Firearms>
may be obtained from any Assistant
Regional Commissioner or from any
District Director.
Cb) Any person who desires to obtain
the privileges gmnted to a licensed collector under the Act and this part on or
after the effective date of this part, or
who has not timely submitted application
for renewal of his previous license issued
under this part, shall file with the Distrlct Director for the internal revenue
district In which the applicant ls to
maintain his collectlon pl'emlses an application, Form 7 <Firearms>, in duplicate. The application, Form 7 <Firearms>, shall include information as to
the ownership of the activity, the type of
premises to be maintained by the applicant for the activity, and the Identity of
the responsible persons In the activity.
The application must he executed under
the penalties or perjury and the penalties imposed by 18 U.S.C. 924. The application shall be accompanied by a $10 fee
In the forni of <1> casn, or <2> money
order or check made pn.yable to the Interned Revenue Service. Forms 7 <Ftrea1ms> may be obtained from any Assistant Regional Commissioner or f1001 any
District Director.
<c> Any person holding a valid license
Issued pursuant to the provisions of the
Federal l<'irearms Act to manufacture,
impart or deal in firearms or amniunlt1on for pistols or revolvers may continue
to conduct such business Wlder such license until that Ucense expires accol'dlng to Its terms, Wlless that license be
sooner terminated pursuant to applicable provisions of law-If the holder of a
license issued pursuant to the :Federal
Firearms Act intends to continue his
firearms or ammunition business following the expiration of such license, he
shall comply with the provisions contained in paragmph <a> of this section
prior to the expiration of the period
covered by the license, and upon compliance with those provisions such an
applicant may continue such operations
as were authorized by his expired llcense
under this part until his appllcatlon Is
finally acted upon.
178.45 Renewal of licen@c.
If a licensee intends to continue the
business or activity desc1lbed on a license
issued under this part during any por.tlcm
of the ensuing ear, he shall, unless
othe1-wlse notiftecJ in writing by the Assistant Reglonl,!.l Commissioner, execute
and file prior to the expiration of his
license an a.ppllcatton for llcense renewal, Form 8 CFirearms) <Part 3), accompanied by the required fee, with
the District Director for the Internal
actlvlty ls operated. The Assistant Regional Commissioner may, in writing, require an applicant for license renew1d to
also file completed Form 7 <Flrt.MMS) in
the manner required by 178.44. In the
event the licensee does not timely file a
0258
821
RIF
0259
18562
Form 8 <Fil'eanns> <PEtrt 3>, he must ftle
a Form 7 <Firearms> us required by
178.44, and obtnin the iequhed license
be!o1e continuing business or collecting
a.ctlvity. If a Fol'm a (Fil'enrms) (Part 3)
Is not timely received thiough the malls,
178"16
Proce<lurc by Dislricl Diteclor,
Upon receipt of an application for an

original license on Form 7 <Firearms> or
nn application for renewal of a license
on Form a <Firemms> <Part 3> or a required Form 7 <Firearms), the District
Director shall deposit the fee accompanying the license application and forward the application to the Assistant
Regional Conunlssloner. Where an application is filed with an lnsufllclent fee, the
application and any fee submitted shall
be returned.
178.47
lssunnec of lkene.
(a) Upon receipt of a j)roperly executed application for n llcen.e on Form 7

<Firearms> , or Form 8 (Flrea.:i::ms> <Part
inquiry or investigation, or otherwise,
that the applicant ls entltled thereto,
Issue the appropriate license and a copy
number and such number may be assigned to the licensee to whom Issued for
annual renewal in the same internal
revenue district.
 The Assli>tant Regional Commissioner shall approve a properly executed
application for license on Form 7 <Flreanns), or Form 8 <Firearms> <Part3>,1f:.
(1) The applicant Is 21 years of age or
over;
<2> The applicant <including, in the
case of a coiporatJon, partnership, or
nasoclatlon, any individual possessing,
directly or Indirectly, the power to direct
or ca.use the direction of the management and policies of the corporation,
partnership, or association> is not prohibited from transporting, sWpplng, or
receiving firearms or ammunition in interstate or foreign commerce under the
provisions of the Act;
v1ola.ted any of the provisions of the Act
or this part~
(4) .rhe applicant has not willfully
failed to disclose any material information required, or has not made any false
statement as to any material fact, in
<5> The applicant has in a State (1)
premises from which he conducts business subject to license under the Act
or from which he intends to conduct
such business within a ieasonable period
of time, or cm in the case of a collector,
premises from wWch he conducts his
pertod of time; and
(6) The applicant is not proWbtted by
the provisions of Title VII of the Omnibus
1968, as amended (82 Stat. 236; 18 u.s.c.
Appendix> from receiving, possessing or
trnnsportlng flicnnns in commerce or

affecting commerce, if the application ls
fo1 n license relating to ftrenrms.
<c> The Assistant Regional Commissioner shall approve or deny nn appllcaw
tlou for license within the 45-day period
was received by the District Dh'ector:
license renewal is a person who ls, pursuant to the p1ovislons of 178.82,
178.143, or 178.144, conducting business or collecting activity under a previously issued license, action regardJng
the application wlll be held in aboynnce
pending the completion of the proceedings against the applicant's existing
license or license application, final de
termination of the applicant's criminal
case, or final action by the Commissioner of an application for relief submitted pursuant to 178.144, as the case
may be.
Cd> When the Assistant Regional
Commissioner falls to act on an application for license within the 45-day
pel"Jod prescl"Jbed by pamgraph <c> of
this section, the applicant- may file an
United States Code, to compel the A~ist
ant Regional Commissioner to act.
178.48
Correelion of error on license.
<a> Upon iecelpt of a. license issued

is accurate. If the license ls incorrect, the
licensee shall return the license to the
A&sistnnt Regioual commissioner with
a statement showing the nature of the
error. The Assistant Regional Commissioner shall correct the error, if the
error was made in hls office, and return
the license. However, if the error resulted
from Information conto.lned in the licensee's application for the license, the
Assistant Regional commissioner shall
require the licensee to file an amended
application setting forth the correct informatlon and a statement explaining
Upon 1-eceipt of the amended application
and a. satisfactory explanation of the
error, the Assistant Regional Commissioner shall make the colTectlon on the
license and return same to the licensee.
 When the Assistant Regional
other than notice from the Ucensee that
an incorrect license has been issued, the
Assistant Regional Commissioner. may
require the bolder of the incorrect license
to return the license for correction,
and <2> if the error resulted from information contained in the llcensce's
application for the license, the Assistant
Regional Commissioner shall require the
licensee to 1lle an amended application
setting forth the correct information,
and a statement explaining the error
contained in the application. The Assistant Regional Commissioner then shall
make the correction on the license and
return same to the licensee.
shall entitle the person to whom Issued

specified on the license, within the limitations of the Act and the regulations
contained In this part~ for the period
termlnatcd.
178.50
f,ot111ions co,ered l1y license.
The license covers the class of business or the activity specified In the license at the address described therein.
Accordingly, a separate license must be
obtained for each location at which o.
part is conducted; however, no license is
firearms or ammui:..aton if the records required by this part are maintained at the
licensed premises served by such warehouse: Provided., That a licensed collecte>r may scqulre curios and relics at any
are re&idents of the State where the collector's license is held and the disposition Is made.
178.51
License not lrnnsfernble.
Licenses issued under this part are not

transferable. In the event of the lease,
sale, or other transfer of the operations
authorized by the license, the successor _
must obtain the license required by thlS
pa.rt prior to commencing such operations. However, for rules on right of succession, see 178.56.
178.52
Clmnge of address.
A licensee may during the term of his

current license remove hfs business or
activity to a new location at which he
intends regularly to carry on such business or actlVity, without procuring a
new license. However, 1n every case,
whether or not the removal 1s from
one internal revenue region to another,
business or activity must be given not
less than 10 days prior to such remo,al
for the inteinal revenue region from
which or wlthln which the removal ls tn
be me.de, and the Assistant Regional
Conunissioner for the internal revenue
region to which the removal 1s to be
me.de. In each instance, the license and
the copy thereof furnished with the license must be submitted for endorsement to the Assistant Regional Conunissioner having JurisdJctlon over the internal revenue region to which or within
which removal ls to be made. After endorsement of the license and the copy
thereof to show the new address, and the
new license number, If any, the Assistant Regional Commissioner will retu1n
178.53
Change in lrudc name.
A licensee continuing to conduct business at the location shown on his license

ls not required to obtain a new license by
reason of a mere change 1n trade name
178.49 Duration of license.
under wWch he conducts his business:
A license shall not be issued for a Provided, That such Uceru;ee furnishes
period of Jess than 1 year. The license his license for endorsement of such
FEDERAL REGISlER, VOL. 33, NO. 243-SATURDAY, DECEMBER 14, 1968
0259
822
RIF
0260
18563

change to the Assistant Regional Commissioner for the Internal revenue l'egion
In which the licensee conducts his business within 30 days from the date the
licensee begins his business under the
new trade name.
178.51 f.hn11gc o[ control.
In the case of a corporation 01 association holding a Ucense unde1 this pa1t,
if actual or legal control of the corporation or association changes, directly or
Indirectly, whether by reason of change
1n stock ownership or cor..::rol fn tl1o
licensed corporation or 1n any ot.he1 cot
poratlon>, by operations of law, or In
any other manner, the licensee shall,
within 30 days of such change, give written notification thereof, executed under
the penalties of perjury, ta the AsslstEJ,nt
Regional Commissioner. Upon expiration of the license, the corporation or
association must file a. Form 7 <Firearms>
as required by 178.44.
118.55 Continuing parsncrships.
Where, under the laws of the po.r
tlcular State, the partnership is not terminated on death or lnsoJvency of a
partner, but continues until the winding up of the partnership affairs Js completed, and the surviving partner has
the exclusive right to the control nnd
possession of the partnership assets for
the purpose of liquidation and settlement, such surviving partner ma.y con
tinue to operate the business under the
license of the partnership, If such surviving partner acquires the business on
completion of the settlement of the part~
nersh1p, he shall obtain a license 1n his
own name from the date of acqulsltlon,
as provided in 1'18.44. The rule set forth
in this section shall also apply where
there Is more than one surviving partner.
178.56 Rig11t of succession J,y ee.-toir;i
penio'!s
<a>
Certain persons other than the

licensee may secure the rlght to cnrry
on the same firearms or ammunition
business at the same address shown on,
and for the remainder of the term of,
a current license. Such persons are:
(1) The surviving spouse or child, or
executor, admJn1strator, or other legal
representative of a deceased licensee;
o.nd
<2> A receiver or trustee in bankruptcy, or an assignee for benefit of

creditors.
Cb> In order to secure the right provided by this section, the person or pero
sons continuing the business shall furnish the license for that business for
endorsement of such succession to the
Assistant Regional Commissioner for the
internal revenue region in which the
business is conducted within 30 days
from the date on which the successor begins to carry on the business.
178.57 Disconlinunnce of business.
Where a firearm or ammunition buslness ls either discontinued or succeeded
by a new owner, the owner of the business discontinued or succeeded shall
within 30 days thereof furnish to the Asslsta.nt Regional Commissioner for the
internal revenue region in which his
business WM located notlflcatlon of the

discontinuance or rucccsslon, <see also
1'18.12'1.>
178.58 Stoic o.- otlacdnw.

A license Issued under this pal't con-
fel'S no iight or pl"lvllege to conduct business or activity co11tra1'Y t.o State or other
law. The holder of such a license Js not
by l'eason of the rights and privileges
gnmted by that license Immune from
punishment for operating a firearm or
nmmunition business or activity .n vlofatlt;in or the p1ovlsions of any State or
other lo.w. Simlllarly, compliance with
the provisions of nny State or other law
affords no immunity unde1 Federal law
or regulations.
170.59
.i\h1nulou('d uppli~,.,ion.
lnrr. On conclusion of the l1cnrfng and

consideration of nil relevant facts lllld
circumstances presented by the appJlco.nt or his rcprescntatlve, the Assistant
Regional Commissioner shnll render his
decision confirming or reversing the
denial of the application. If the declslon
Is that the denial should stand, a certified copy of the Assistant Regional Commissioner's findings and conclusions
shnll be furnished to the appllcant with
a final notice of denial, Form 4501. A
copy of the application, mmked "Disapproved," will be returned to the applicant. If the decision Is that the license
applied for -should be Issued, the o.t>Pllcant shall be so notified, In wrttlng, and
the license shnll be issued ns provided
by 178.4'1.
Upon receipt of an incomplete or lm- 178.73 Notice o[ contemplnacd tcvoeulion.

propel'ly executed application on Fonn 7
(Firearms> , or Form 8 CFlrcanns> <Part
3), the applicant shall be notified of the Commissioner has reason to believe tho.t
deficlency in the application. If the ap- a licensee has violated any provision of
plication is not corrected and returned the Act or this part, be may issue a.
within 30 days following the date of notice, on Form 4499, of contemplated
notification, the at'Pllcatlon shall be revocation of the license. The notice
considered as having been abandoned sho.lJ set forth the matters of fact conand the license fee returned.
stituting the violations SPeclfied, dates,
178.60 Certuln eontinmmees of' lmsi- places, and the sections of Jaw and regulations violated. The Assistant Regional
n('ss.
Commissioner shall afford the licensee
A licensee who furnishes his license to 15 days from the date of receipt of the
the Assistant Regional Commissioner for notice in which to request a. hearing
conectlon or endorsement In compliance prior to revocation of the license. If the
with the provlslons contained ln this Ucensee does not file a timely request for
subpnrt may conUnue his operations a hearing, the Assistant Regional Comwhile awaiting its return.
missioner shall issue a notice of revocation, :Form 4500, as provided 1n 1'78.74.
Subpart E-Lfcense Proceedings
Denial of an nppllcution for
license.
178.11

Commissioner has reason to believe that
an ~pplicant 1s not eligible to receive
a Jicen.se under the provisions of 178.47,
he may issue a nottce of den1a.l, on Form
4498, to the applicant. The notice shall
set forth the matters of fact r..nd Ja.w
relied upon in determining tbi&t the application should be denied, and shall efford the applicant 15 days from the date
of receipt of the notice 1h which to request a hea:rlng to review the denial. If
no l'equest for a hearing ls :filed within
mch time, the application shall be disapproved and a. copy, so marked, shall be
178.72 Hearing after applic111ion denial,
178.74
tice
Request Co.- bearing afte.- no
or contemplu.ted rcvoeution.
If a licensee desires a. hearing pursuant to recelpt of a notice of contemplated

revocation of his license, be shall file
a request therefor, In duplicate, with the
Assistant Regional Commissioner within
15 days after receipt of the notice of
contemplated revocation. On receipt
thereof, the Assistant Regional Commissioner shall, as expeditiously as possible,
make the necessary arrangements for
the hearing and advise the licensee of
the date, time, location and the name
of the officer before whom the hearing
will be held. Such notification shall be
made not less th.an 10 days in advance
of the date set for the hearing. on conclusion of the heating a.nd consideration
of all relevant presentations made by the
licensee or his representative, the Assistant Regional Commissioner shall
render his decision and shall prepare a
brief summary of the findings and conclusions on which the decision is based.
If the decision ls that the license should
be revoked, a certified copy of the summru.7 shall be furnished to the licensee
with the notice of revocation on Fo1m
4500. If the declslon ls that the license
should not be revoked, the licensee shall
be so notified In writing,
178.75 llering nflcl' notice of .-evo-
If the applicant for ti.n original or renewal llcerise desires a hearing to review
the denial of his application, he shall
file a request therefor, in dupUcate. wlth
tlle Assistant Regional Commissionel'
within 15 days after receipt of the notice
of denial. The request should Include a
statement of the reasons therefor. On
receipt of the request, the Assistant Reglonal CQmmis1>ioner shall, as expedJtlo?sly as possible, make the necessary
arrn.ngements _for the hearing and adVitie
cnlion.
the applicant of the date, time, location,
and the name of the omcer before whom
<a> No hearing lield prior to notice of
the hearing will be held. Such notlflca- revocation. If the licensee did not request
tion shall be made not less than 10 days a hearing on receipt of the notice of conJn advance of the date set for the hear- templated revocation of his l!cense,
0260
823
RIF
0261
18564
Fol'm 44!Hl, but docs file n timely 1equest
fol' a hcnring nrtcr Lelng served tho
notice of rcvocn.tlon, Form 4500, the
Assistant Rcgionnl Commissioner shnll
nnnnge for, and conduct, n hearing in
the manner prescribed in 178.74, except
that the place or hearing will be determined ns provided' by 178.81. If, after
heal'ing, the Assistnnt Regional Com
missioner is still of the opinion that the
license should be revoked, he will serve
ilnnl notice of revocation, Fonn 4501, on
the licensee, with a copy or his findings
and conclusions. If he decides that the
license should not be revoked, he will so
notify the licensee, In writing,
(b) Hearlng held prlor to notice of
revocation. If n henring was held prior
to notice of revocation, Form 4500, and

the licensee files n timely request for a
hearing nrter receipt of a notice of 1evo
cation, the Asslstnnt Regional Commissioner shall iercr the matte1 to the hear
1ng examiner, appointed under 5 U.S.C.
3105, designated to p1eslde over such
heartng. The exnminer shall set a time
and place for the hearing and shall serve
Assistant Regional Commissioner at
least 10 days In ndvance of the hearing
date. Such hearing shall be conducted
under the a!Jpllcable provisions of Part
200 of this chapter, including those with
1espect to stipulations at hearings, evl
dence, and closl.ng of hearl.ngs,
n.:ltlcc or ievocntlon on Fonn 4501: or to

Inform the licensee thnt the license shall
remnln in effect. Any decision of the Director for the revocation of a license
shall include n statement or the flndln1w
and conclusions upon which it is based,
Including his rulinrr on ench proposed
finding, conclusion, nnd exception to the
examiner's recommended decision, to
gether with a statement c~ his flndlngs
nnd conclusions, nnd reasons or basis
therefor, unon ull material Issues of met,
lnw, or <liscrction m'esented on the record.
A signed duplicnte original of the decision slmll be served on the licensee nnd
a copy contulnlng certificate of service
shall be retnlned by the Assistant Re
glonnl Commissioner for his files, nnd tllo
orlglual shnll be plnced In the official
record of the proceeding.
178.79 Service on 11p11lic1ml or licensee,
All notices and other fo1mnl docu

men.ts required to be served on an applicant or licensee unde1 this subpart shnll
be served by certified mall or by personal
delivery. Whe1e service is by certified
mo.ii, a signed .duplicate orlglnnl copy
of the formal document shall be malled,
with return receipt requested, to the ap.
pUcant or licensee at the address stated
in his application or license, or nt his
la.st known address. Where service is by
perso11nl delivery, o. signed dupllcate
original copy of the formal docwnent
shall be delivered to the applicant or
178. 76 Uccommcndcd dcci11ion or hcnr- llcElnsee, 01, In the cnse of o. corporation,
ing cxnmincr.
partnership, or assoclatlon, by deliver~
Within a rensonable time after the ing It to an officer, mnnager, or geneml
conclusion of a hearing held as pro. agent thereof, or to Its attorney of record.
vided in 178.75, and as expeditiously as 178.80 Reprcscntntion ut n hearing,
possible, tho examiner shall render a
An applicant or licensee may be reprecommended decision. Such decision
shall become a part of the record and, 1esented by an attorney or other person
1f proposed findings and conclusions recognized to practice before the Intemal
ho.ve been filed, shall show the exam- Revenue Service as provided in 31 CFR
iner's ruling upon each of such proposed Part 10 <TIeasury Department Circular
findings and conclusions. Decisions shall No. 230>, 1f he bns otherwise compiled
consist of (a) a brief statement of the with the applicable requirements of
issues of fnct Involved In the proceed- 601.521-601.527 of this chnpter. The
ing; the examiner's findings and Assistant Regional Commissioner may
conclusions, as well as the reasons and l>e l'epresented ln proceedings under
bnsls therefor, upon all the mnterlal 178.75 by an attomey In the office
issues of fact, law or dfscretlon presented of the regional counsel who ts authol'lzed
on the record; and <c> the examiner's to execute and file motions, briefs and
recommended detennlnatlon on the other papers in the proceeding, on behalf of the Assistant Regional Commisrecord.
sioner, ln his own nnme as "Attorney for
178.77 Ccrlificution nnd lrnnsmittnl of the Government."
record nnd recommended decision to
173.81
Director.
Dcsi~"tllllCd
plu<'c or hc11ri11g.
After reaching h1s decision, the examiner shall certify to the complete record
of the proceeding before him and shall
immediately forward It, together with
two copies of his recommended decision,
to the Director, and will forward two
copies of ms recommended decision to
the Assistant Regional Commissioner for
hls files.
The designated place of hea1'lng shall

be at o. location convenient to the aggrieved party: Provided, That any hearing held after notice of contemplnted
revocation but prior to the notice of revocation shall be at the ofllce of the As
sistant Regional Commissioner.
Decision oCDir~tor.
In any case where denial or revocation

proceedings are pending before the Internal Revenue Service, or notice of
de1.ial or revocation has been served on
the licensee and he has filed timely request for a hearing, the llcense In the
possession of the licensee shall remain
ln effect even though <o.> such llcense
178.78
After considemtlon of the record

and the recommended decision of the
examiner, the Director shall approve or
disapprove the findings, conclusion, and
recommended decision of the examiner,
and he shaJl direct the Assistant Regional Coounlssloner to Issue a final
178.82
Opcl'lltions by licensees nftcr

notice.
hns expired, or Cb> the revocation dute

spccUlcd In tho notice of revocation on
l"onn 4500 served 011 the licensee hns
pnssod: Provided, Thnt wider the c1.mdl
tlon of 1mmgmph (n) of this sect.Ion, the
licensee has timely flied nn npplicntion
for the rcnewnl of his license. If u licensee ls cllssntlsfled with n posLhearing
decision revoking the license 01 denying
.the applicntion, ns the case mny be, he
mny, pursunnt to 18 U.S.C. 923(f) (3),
within 60 days after receipt of the final
notice denying the npnllcnUon or re
voklng the license, men petition for judicial 1evicw of such action. Such petition should be flied with tl1e U.S. distl'lct
court foi the district In which the applicnnt or licensee resides or hns his princl-pnl place of business. In such case, when
the Assistant Regional Commissioner
finds that Justice so requires, he mo.y authorize continued
operations wide1 the expired license, as
ntmllcnble, pending judicial review.
178.91
Posting or license.
Any llccmse Issued uud1 !' this part shall

be kept posted and kepc aV!l.ilable for
inspection on the premises covered by the
license.
Each licensed manufactmer or licensed
lmpol'ter of any firearm manufactured
or Imported on or after the effective date
of this part shall legibly Identify each
such firearm by engraving, casting,
stamping <impressing) , or otherwise conspicuously placing or causing to be engraved, cast, stamped (impressed> or
plnced on the frame or receiver thereof
In a manner not susceptible of being
readily obliterated, altered, or removed,
an individual serial number not duplicating any serial number placed by the
manufacturer or importer on any other
firearm, and by engraving, casting,
stamping (Impressing>, or otherwise
conspicuously placing or causing to be
engmved, cast, stamped (impressed) or
placed on the f1ame, receiver, or barrel
thereof in a manner not susceptible or
being readily obliterated, altered or removed, the model, if such designation
has been made; the caliber or gauge;
the name (or recognized abbreviation of
same> of the manufacturer and also,
when applicable, of the importer; in the
case of a domestically made firearm, the
city and State <or recognized abbreviation thereon wherein the licensed manufacturer maintains his place of busi
ness; and ln the case or an imported
firearm, the name of the country in
which manufactured and the city and
State <or recognized abbreviation thereof) of the lmpol'ter: Provided, That the
Director may nuthorize othe1 means of
Identification of the licensed manufacturer or licensed hnporter upon receipt
of letter application, ln duplicate, from
same showing that such other identlfica-tlon ls reasonable and wlll not hinder
the effective administration of this part:
Provided, further, That in the case of a
destructive device, the Director may authorize other means of identifying that
weapon up9n receipt or letter appllca
FEDERAL REGISTER, V?L 33, NO. 243-SATURDAY, DECEMBER 14, 1969
0261
824
RIF
0262
18565
RULES .AND REGULATIONS

tlon, tn duplicate, from the licensed man~
ufacturcr or llcen.sed Importer sl1owlng
that engraving, casting, or stamping Hmpre.sslns> such a weapon would be daniierotll!l or lmpractlcable. A tlrearm frame
or receiver which 1s not a component
part of a complete weapon at the time
It ls sold, shipped, or otherwise disposed
of by a. licensed mnnufacturer or licensed
lmparter, shall be ldentUlcd as required
by this 6Cctlon.
f 178.93 Autboa-ized opPra\ion1 lty & Ji.
cc:nKd colkctor,
The llcense Issued to a. collector of curios or relics under the provisions of this
part shall cover only transactions by tho
licensed collector in curios and relfcs.
The collector's license 1s of no force or
effect nnd a. licensed collector ls of the
same status under the Act and this part
as a nonllcensee with respect to <a> any
acqulisltlon or dlsPo.sltlon of firearms or
ammunition other than curios or relics,
or any transportation, shipment, or recelpt of fireanns or anununltlon other
than curios or relics In lntersta.tc or foreign commerce, and any transaction
with a nonllcensee Involving any firearm
or rumnunltlon other than a. curio or
relic. <See also 1'18.50.)
178.95
~rlifir.I
r"Y of licrner.
Each person licensed under the provisions of this part shall be fumlshed together with bis license a copy the1 rof for
his certiflca.tion. If such o. person de111res
an additional copy of his licenl5e for certlflcatlon and :!or U8e pursuant to t 1'18.U, he ghalI:
Ca> Make a reproduction of the copy
of his license and execute snme, or
 Make a reproduction of his license, enter upon such reproduction the
statement: "I certify that this ls a. true
copy of a uc ... nse issued to me t.o engage
in the bus!nes::; specified in Item 5" and
shin his name adjacent thereto, or
<c> Submit a request, In writing, for
certified copies of his license to the As
slstant Regional Commissioner for the
Internal revenue region In which the license was issued. The request shall set
forth the name, trade name <If any) and
address of the licensee, and the number
of copies of the license desired. There
shall be imposed a fee of $1 tor each
copy of a license Issued by the Assistant
Regional Commissioner under the provisions of this paragraph. Fee payment
shall accompany each such request tor
additional copies of a llcense. Buch fee
fi 118.94 Sales or dclivcrice 'between shall be paid by Cl> cash, or C2> money
order or check made payable to the Inlicen11eee.
ternal Revenue Service.
A licensed Importer, llccnsed ma.nutacturer, or licensed dealer selling or 178.96 011t-of-S1nte nnd mnil orclrr
eoleti.
otherwise disposing of firearms or ammunltlon, aml o. licensed collector seIUng
<a> The provlslons of tWs section shall
or otherwise dlspos!.ng of curlos or relics, apply In any case where a firearm purto another licensee shall verify the Iden- chased by or delivered to the person so
tity and licensed status of the trans- receiving the firearm ls not otherwise
feree prlor to making the tiansaction. prohibited by the Act or this part.
On and alter February 14, 1969, such
 A licensed Importer, lfcensed manverification shall be establ!shed by the ufacturer, or Jlcensed dealer may sell a
transferee .furnishing t.o the transferor n. firearm to a nonllcensee who does not apcertified copy of the transferee's license pear In person at the J!censee's business
and by such other means as the trans- premises U the nonllcensee Is a resident
feror deems necessary: Provided, That It of the same State in which the licensee's
shall not be required <a> for a trans- business premises are located, and the
feree who has fumlshed a certified copy nonltccnsee furnishes to the licensee the
of hJs license to a transferor to again firearms transaction record, Form 44'13,
furnish such certified copy to that trans- required by 1'18.124. The nonlicensee
feror during the term of the transferee's shall attach to such record a true copy
current license, a.nil for licensees of of any permit or other lnformatlon remultllicensed bus1ness organizations to quired pursuant to any statute of the
furnish certified copies of tbeir licenses state and publfshed ordinance applicable
to other licensed locations operated by to the locality in which he resides. The
such organization: Provided Jurt1ier, licensee shall prior to shipment or deThat a multilicensed business organiza- livery of the firearm, forward by registion may furnish to a transferor, in lleu tered or certified mail (return receipt reof a certified copy of each llcense, a llst, quested> a copy of the record, Form 4473,
certlfled to be true, correct and com- to the chief law enforcement officer
. plete, containing the name, address, named on such record, and delay shiplicense number, and the date of license ment or delivery or the firearm for a
expiration of each licensed location op- period of at least 7 days following reerated by such organization, and the ceipt by the licensee of the return receipt
transferor may sell or otherwise dispose evidencing delivery of the copy of the
of firearms and ammunition as provided record to such chief law enforcement ofby tWs section to any licensee appearing ficer, or the retum of the copy of the
on such list without requiring a certlfiecl record to him due to the refusal of such
copy of a license therefrom. A transferor chief law enforcement officer to accept
licensee who has the certlfied informa- same 1n accordance with U.S. Post omce
tion required by this section may sell or Department regulations. The original
dispose of firearms or ammunition to a Form 4473, and evidence of receipt or
rejection of delivery of the copy of the
licensee for not more than 45 days fol- Form 4473 sent to the chief law enforcelowing the expiration date Of the trans- ment officer shall be retained by the licensee as a part of the records required
feree's license.
of him to be kept under $he provialons of

Subpart Hof this part.
<c> A Ilcerued importer, llcem1ed manufacturer, or licensed dealer may l'lell or
deliver a. rille or shot&:'un, and <u Jiccmed
collector may sell or deliver a rine or
shotgun which Is a cur.lo or rellc), to a
nonlicenscd resident or a State contli:u
oUB to the State In wlllch the licenlll!e's
place o! business is located if the purchaser's State or residence has enacted
legislation, cunently In force, specifically authorizlnr, a resident of that State
to purchase a Jnte or shotgun in a contiguous State, the sale fully complies
with the legal cond!tlons of sale in both
such contiguous States, and the purchaser and the ilccnisee have, prior to the
sale or delivery for sale, of the rltle or
shotgun, complied with all the reqU1rementis of paragraph (b) of this section
applicable to Intra.state t.ransactions occurring on other than the llcenaee's business premises.
Cd> A licensed dealer may sell to any
nonllcer.sec who Is a resident of a State
other than the State in which the licensed dealer's premises are located, and
who is participating in any organized
rifle or shotgun match or conteist, or 1s
engaged in hunting, ln the State 1n
whlch the Ilcensed dealer's premises are
located, and whose rifle or shotgun has
been lost or stolen or has become mopcra tive ln the State In which the licensed
dealer's premises are located, if the nonlfcensee presents to the Ilceruied dealer a
sworn statement, 1n dupllcate, Cl) that
his rlfie or shotgun was lost or stolen or
became inoperative while part.lclpating
In such a match or contest, or while engaged in hunting, In the state in which
the Ucensed denier's business premises
are located, <2) setting forth the namo
and address of the organl:r.cd rifle or
shotgun match or contest, or the nature
and location of the hunting, and the clrcwnstances surrounding the 1lrearm's
loss or theft, or the reason why the firearm has become Inoperative, and C3)
identifying the chief law enforcement .
officer Cshel'iff, chief of police, or police
precinct captain> of the locallty in which
the nonllcensee resides. Immediately
upon delivery of the rifle or shotgun to
the nonlicensee, the licensed dealer shall
forward a copy of the sworn statement,
by registered mall, to the chief law en~
forcement officer named by the nonllcensee. The licensee shall retain the
original sworn statement, and evidence
of delivery or the copy thereof to the
chief law enforcement officer, as a part
of the iecords required of hilll under
Subpart Hof tWs part.
178.97 Loan or ren1nl of firearm,..
A llcensee mny loan or rent a firearm
to nny person for telllporary use oft' the

premises of the Itcensec for lawful sport-
ing purposes: Provided, That the delivery of the fl.rearm to such person is not
prohibited by 178.99 Cb) or 178.99<c),

and the licensee records such loan or
rental in the records required to be kept
by him under Subpart H of this part. A
club, associntlon, or s!m!lar organization temporarily fumlshlng firearms
0262
825
RIF
0263
18566
<whether by loan, rental, or otherwise>

to participants in n skeet, trap, tnrget,
or simllar shooting activity for use nt
the time and place such activity ls held
does not, unattended by other circumstances, cause such club, association, or
similar 01ganizatlon to be engaged In
the business of a dealer in firearms or as
engaging in firearms transactions. Therefore, the licensing'and recordkeeping iequircments contained in this 11art pertaining to firenrms transnctlons would
not apply to this temporary furnishing
of flrenrms for use on premises on which
such nn activity Is conducted.
11U.93 S11ll'11 or deliveries of dcstruc
thc 1levicc!4 and certnin firenrms.
The sale or delivery by a licensee of any

destructive device, machinegWl, shortbarreled shotgun, or short-baneled rifle,
to any person other than another licensee
who is licensed under this part to deal in
such device or firearm, Is prohibited
unless the person to receive such device
or firearm furnishes to the licensee a.
sworn statement, in triplicate, setting
forth (a) the reasons why there Is a reasonable necessity for such person to purchase or otherwise acquire the device or
weapon, and Cb) that such person's receipt or Possession of the device or
weapon would be consistent with public
safety. Such sworn statement shall be
attached to the application to transfer
and register the firearm required by
Part 179 of this chapter. The sale or
dellvery of the device or weapon shall
not be made until the application for
transfer ls approved by the Directol' and
returned to the llcensee <t1ansferor> as
provided 1n Part 179 of this chapter,
178.99 Certnin prohibited sales or de
liveries.
<a> A licensed Importer, llcensed mantJfacturer, licensed dealer, or licensed

collector shall not sell or deliver any firearm to any person not llcensed Wlder
this part, or the Federal Firearms Act,
and who the llccnsee knows or has reasonable cause to believe does not reside
in Cor If a corporation or other business
entity, does not maintain a place of business in) the State 1n which the licensee's
plaee of business or activity is located:
Provided, That the foregoing provisions
of this pnrograph (1) shall not apply to
the sale or delivery of a rlile or shotgun
<curio or relic, in the case of a licensed
collector> to a resident of a State contiguous to the State 1n which the licensee's Place of business or collection
premises ls located 1f the requirements of
l'l8.96Cc> are fully met, (2) shall not
preclude any person who is participating
In any organized rifle or shotgun match
or contest, or is engaged 1n hunting, in a
State other than his State of residence
and whose rifle or shotgun has been lost
or stolen or has become inoperative in
such other State, from purchasing a rlfie
or shotgun in such other State from a
licensed dealer if the :a.equlrements of
178.96Cd) are fully met, and <3> shall
not apply to the loan or rental of a fire ..
arm to any pr son for temporary use for
lawful sporting purposes <see A 178.9'1).
<b) A licensed ltnp0rter, Ucensed man~

ufacttll'er, llcensed dealer, or licensed
collector shall not sell or deliver <U any
fl.rearm or ammunition to nny lndividunl
who the 1mpa1te1, manufacturer, dealer,
or collector knows or has 1easonablB
Cl\USo to believe Is less than 18 years of
age, and, If the fireaim, 01 ammunition,
Is other than a. shotgun or rlfie, or amnnmtlon for a shotgun or rifle, to any
individual who the imPorier, manufac
turer, dealer, or collector knows or has
reasonable cause to believe is less than
21 years or age, or <2> nny fireann or
ammunition to any person In any Stato
whe1e the pwchase or possession by such
person of such firearm or ammunition
woUld be in violation of any state law or
any published ordinance applicable at
the place of sale, dellvery or other dis.
p0sitio11, unless the lm1>0rtcr, manufnc
tmer, dealer 01 collector knows or has
reasonable cause to believe that the purchase or Possession woUld not be in viola
tlon of such State law 01 such published
ordinance.
<c> A licensed importer, licensed manufacturer, licensed dealer, or licensed col
lector shall not sell or otherwise dispose
of any firearm or ammWlltlon to any
person knowing or having reasonable
cause to believe that such person (1) Is
except as provided under 178.143, Wlder
Indictment for, or, except as provided
under 178.144, has been convicted 1n
any court of a. crime punishable by im
prisonment for a term exceeding 1 year,
(2) is a fugitive from Justice, <3> ls an
WJlawful user of or addicted to marl
hunna or any depressant or stimulant
d1-ug <as defined in section 201Cv> of the
Federal Food, Drug, and cosmetic Act:
21 U.S.C. 32l<v>), or narcotic drug <es
defined in section 4731 Ca> of the Internal
Revenue Code of 1954>, or (4) has been
adjudicated as a mental defective or has
been committed to any mental institu
tion,
178,100 Uceord of 1r11nsnctio11s.
Every llcensee shall maintain firearms
and arnmunttlon records in such form
and manner as ls prescribed by Subpart
Hof this part.
Subpart G-lmportation
178.111
General,
<a> Section 922<a> <3> of the Act

makes it unlawful, with certain exceP
tions not pertinate here, for anY person
other tha.n a llcensee, to transport into
or receive 1n the State where he resides
any firearm purchased or otherwise ob
tainecl by him outside of that State. Howeer, section 925<a> (4) provides a limited
exception for the transportation, shipment, receipt or Importation of certain
firearms and ammWlltion by certain
members of the United States armed
forces. Section 922 of the Act, which section provides standards for importing or bringing
firearms or ammunition into the United
States. Accordln1s!~, no :flrea.rm or am-
munition mny be Imported or b1ought

Into tile United States except ns provided
by this part.
 Where a firearm or ammunition Is
Imported and the authorization for importation required by this subpart has
not been obtained by the person importing same, such pe1son shall:
<1> Store, at his expense, such firearm
or ar.imunltlon at a facility designated
by U.S. Customs or the Assistant Regional Commissioner to awn.it the issuance of the requil'ed authoiizatlon or
other disposition; or
(2) Abandon such firearm or ammunition to the U.S. Oovemment; or
(3) F.xport such firearm or ammunition,
<c> Any Inquiry relative to the Pl'Ovislons or procedures under this subpart,
other than that pertaining to the payment of customs duties or the release
from customs custody of fl.rearms or
ammunition authodzed by the Director
to be imported, shall be directed to the
Asslstnnt Regional Commissioner for
reply,
178.112 lmporlnlion by a licensed im.
porter.
Ca) No firearm. or ammunl.tl.on shall be

Imported or brought Into the United
States by a licensed importer <as defined
In 178.11> unless the Director has authorized the Importation of the firearm
or ammunition, or the ftrea1m or ammunition Is listed on the Importation List
compiled by the Director as p1ovlded by
par111na.ph Cc> of this section.
(ibJ An appllca.tlon for a permit, Form
6 <Firearms>, to imp0rt or bring a firearm or ammunition into the United
States or a possession thereof under this
section shall be filed, in tripllcate, with
the Director. The application shall contain (1) the name, address, and license
number of the Importer, <2> a. description of the firearm or ammunition to be
impo1ted, Including type <e.g.: rifle,
shotgun, pistol, revolver>, model, caliber,
size or gauge, barrel length (If a. firearm>, country of manufacture, and name
of the manufactmer, (3) the unit cost
of the firearm to be imported, <4> the
country' from which to be imported, (5)
the nome and address of the foreign
seller nnd the foreign shipper, (6) verification that 1f a firearm, it will be
identified as required by this pa.rt, and
<7> m If imported or brought in for
selentiftc or research purposes, a statement describing such purposes, or <m
1f for use in connection with competition or training pursuant to chapter
401 of title 10, U.S.C., a statement descrlblng such Intended use, or <ill> 1f an
unserviceable firearm <other than a machine gun> being imPOrted as a curio or
museum piece, a desc11ptlon of how it
was rendered unserviceable and an explanation of why it Is a curio or museum
piece, or <iv> if a firearm, other than a
surplus mllitary firearm, of a type that
does not fall witWn the deftnitlon of a
firearm by section 5845(a) of the Internal Revenue Code of 1954, and is for
sporting purposes, an explanation of why
the applicant believes the firearm is generally recognized as partlcUlarly suitable
FEDERAL REGISTER, VOL. 33, NO. 243-SATURDAY, DECEMBElt 14, 1968
0263
826
RIF
0264
]8;j67
tor or readily adaptable to sporting pur- cause the firearm or ammunition appears a description of how It was rendered unposes, or <v> 11' ammunition being im- on the Importntlon List. the licensed
ported for sporting purposes, n stntcment importer shall prepare Form OA <Firewhy the applicant believes It is generally arms), in duplicate, and furni::1h the
recognized ns particularly suitable for original Fonn 6A <Firearms) to the Cusor readily adaptable to sporting purposes. toms officer releasing the flre:mm or amIn detennlnlng whether a firearm or ammunition. The Customs officer shnll,
munition is pnrtlculnrly suitable for or after certification, forward the F01m 6A
readily adaptable to sporllng purposes, <Firearms> to the Assistant Regional
the Dfrccto1 mny seek the 1ecommenda- Commissioner for the reulon whe1eln the
tlon of the advlsol'y board authorized by llcenscd importer maintains his place
parn.grnph <c> of this section. If the of business. The Form 6A <Firearms>
Director amJroves the npplicatlon, such shall show the name, address, and liapproved nppl!cutlon shall sc1-ve ns the cense number of the Importer, the name
pcnu1t to impo1't the flrea1ms or ummu- of the manufacturer of the firearm or
nition described therein, nnd Importation nmmu1.itfon, the country of manufacof such firearms or nmmunltlon may tul'C, the type, model, and caliber, size
wnllnue to be made by the licensed im- or gauge, and the number of firearms or
porter under the approved nppllcatlon rounds of ummunltion released.
(c) Within 15 days of the date of re(permit> during the period spccUled
thereon. The Director shall furnish the . lease from customs custody, the licensed
apIJroved appllcntion (permit) to the ap- importer shall (1) forward to the Assistplicant and retain two copies thereof for ant Regional Commissioner a copy or
administrative use. If the Director cllsnP- Form 6A <Firearms) on whlcl1 shall be
proves the appllcntlon, the licensed im- reported any erl'Or or discrepancy apporter shall be notified o! the basis !or pearing on the Form 6A <Firearms) certified by Customs, (2) pursuant to 178.the dlsnpproval.
(c) The Director may conmllo nn Im- 92, place all required Identification data
portation List of firearms and ammuni- on each Imported firearm if same <lid not
tion which he dctcnnlncs to be generully bear such Identification data at the time
recognized as particularly suitable for of its release from Customs custody, and
or readily adaptable to sporting purposes. C3) post In the records required to be
The determination of the Dlrecto1 that maintained by him under Subpart H of
this part, all required Information reLI. firearm or ammunition Js generally recognized to be particularly suitable !or garding the lmpo1'tatlon.
or readily adaptable to sporting purposes 178.113 lmportulion l1r other limay be made with the assistance of an
censees.
advisory board to be appolnt.cd by the
<a> No person other than a licensed
Commissioner. Such board mny be compased of persons from within and without importer <as defined in 178.11) shall
governmental agencies who are recog- engage in the business of Importing firenized as being particularly knowledgeable arms or ammunition. Therefore, no fire1n the use and classification of firearms arm or ammuntion shall be Imported or
and ammunition. No firearm shall be brought into the United Stntes or a posplnccd on the Importation List unless It session thereof by any licensee other
1s found that Cl) the cnllber or gauge of than a licensed importer unless the Dithe firearm is suitable for use In n recog- rector Issues a permit authorizing the
nized shooting sport, <2) the type of fire- Importation of the firearm or ammuarm is generally recognized as particu- nition.
larly suitable !or or readily adaptable
Cb) An application for a permit, Form
to such use, and <3> the use of the fire- 6 <Firearms), to Import or bring n firearm in a recognized shooting sport will arm or ammunition into the United
not endanger the person using it due to States or a possession thereof by a lideterioration through such use or because censee, other than a licensed Importer,
of Inferior workmanship, materinls or shall be filed, 1n triplicate, with the Didesign. No ammunition shall be placed rector. The application shall contain (1)
on the Imt>ortation List unless it is found the name, address, and the license numthat (1) the caliber, size or gauge of the ber of the applicant, <2> a description
ammunition is suitable for use In a rec- of the firearm or ammunition to be Imognized shooting sport, cm the type of ported, Including type (e.g.: rifle, shotammunition ls generally recognized as gun, pistol, revolver), model, caliber,
particularly suitable fo1 or ieadlly adapt- size or gauge, bancl length <If a fireable to such use, and <HO the use of the arm>, country of manufacture, and
ammunition in n recognized shooting name of the manufacturer, (3) the unit
sport will not endanger the person using cost of the firearm or ammunition to be
it.
imparted, <4> the nnme and address of
Cd) A firearm or ammunition imported the foreign seller and tlle forel!m shipor brought into the United States by a per, <5> the countiy from which the
licensed importer may be released from firearm or ammunition ls Lo be impol'tcd,
Customs custody to the licensed importer and (6) m if the firearm or ammunition
upon his showing that he has obtained is being imported or brought in tor scia. permit fl'om the Director for the im- entific or research purpos.:is, a statement
portation of the firearm or ammunition describing such purposes, or cm If for
to be released, or that the fireann or use in connection with competition or
ammunition appears on the Importation training pursuant to chapter 401 of title
List. In obtaining the release from cus- 10, U.S.C., a statement describing such
toms custody of a firearm or ammuni- Intended use, or (iii) if an unserviceable
tion authorized by this section to be im- firearm <other than a machine gun) bepo1"ted through use of a permit or being imported as a curio or museum piece,
No. 243--a
t;erviceablc and an cx1ilannllon of why

It is n curio or museum piece. or Ov> if a
firearm, other than a surplus military
fircan11, of a type that docs not fall within the definition of a Orcann under
5845 (a) of the Intemnl Revenue Code
of 1954, and is for sporlinrr rmrposes, 1m
explanation of wl1y the applicant believes the firearm Is generally recognfaed
as pnrlicularly suitable for or readily
adaptable to sportlnrr pumoscs, or (V)
if mnmunltion bellm Imported for sporting: pmposcs, a statement why the aplJ!lcant believes it ls generally recoGnlzcd
as particularly suitable for or readily
adaptable to sporting purposes. If the
Director approves the application, such
approved application shall serve as the
permit to import the firearm or ammunition described therein. T11e Director
shall furnish the approved am>licatlon
(permit> to the applicant and retain
two copies thereof for admlnlstrathe
use. If the Director disapproves the application, the appllcar.t shall be notlfted
of the basls for the disapproval.
<c> A firearm or ammunltlon Imported
ur brought into the United States or n
possession thereof under the provisions
of i!Ils section may be released from Customs custody to the llcenscc importing
the firearm or ammunition upon his
showing that he has obtained a permit
from the Director foi the importatlon. In
obtaining the relense of the firearm or
ammunition from customs cus~ody, the
licensee imporLlng same shall furnish n.
Form 6A <Firearms> to the Customs
officer releasing the fi1earm or ammunition. The customs officer shall,
after certlJlcation, forward the Form
GA <Flrearms> to the Assistant. Re
glonal Commissioner for the r.::glon
wherein the licensee Importing the firearm or ammunition maintains his 11censed premises. The Form GA <Firearms) shall show the name, address, and
the license number of the licensee, the
name of the manufacturer, the country
of manufacture, and the type, model, and
ca.Uber, size (If ammwlltlon> or gauge of
the firearm or ammunition so released,
and, If applicable, the number of fir.; arms or rounds of ammunition released.
178.114 lmporlntion by
the U.S. Arnted Force"
memhe~
of
<n.> T11c Director may Issue a permit

authorizing the importation of a firearm
or ammunition Into the United States to
the place of residence of any mllltnry
member of the U.S. Armed Forces who Is
on active duty outside the United States,
or who hns been on active duty outside
the United States within the 60-dny
period immediately :!)receding the intended importation: Provided, Thnt such
fi1ennn or ammunition Is generally iecognized as particularly suitable for or
readily adaptable to sporting purposes
and is intended for the personal use of
such member. An application for such a.
Permit, Fonn 6 <Firearms>, shall be filed,
in triplicate, with the Director. The application shall contain (1) the name and
current address of the applicant, <2>
certification that the transportation, receipt, or possession of the firearm or
0264
827
RIF
0265
18568
ammunition to be imported would not

constitute a viola.tlon of any provision
of the Act, Title vn of the omnibus
Crime Control a.nd Safe Streets Act of
1968, as amended <82 Stat. 236: 18 u.s.c.
Appendix> , or of a.ny State law or local
ordinance at the place of the applicant's
residence, <3> a description of the firearm or ammunition to be imported, including type <e.g.: rifle, shotgun, pistol,
revolver>, model, caliber, size or gauge,
barrel length <1! a firearm> , countrJ of
manufacture, and the name of the manufacturer, <4> the Wlit cost of the firearm. or ammunition to be imported, <5>
the name and address of the foreign
seller <ll applicable> and the foreign
shipper, CS> the country fl'om which the
firearm or ammunition is to be imported,
<'1> m that the firearm. or ammunition
being imPQrted is for the personal use of
the applicant, and <ii> if a firearm. ti
statement that it is not a surplus mllltary fl.rearm, that it does not fall within
the definition of a firearm. under section
5845<a> of the Intei"Dal Revenue Code
of 1954, and an explanation of why the
applicant believes the firearm. is genera.lly recognized as particularly suitable
for or readilY adaptable to sPortlng purposes, or <W> If ammunition, a statement
why the applicant believes 1t ls generally
recognized as particularly suitable for
or rea.dlly adaptable to sp0rting purposes,
and CS> the applicant's da.te of birth, his
rank or grade, his place of residence,
his present foreign duty station or his
last foreign duty station, as the case may
be, the date of his reassignment to a.
duty station within the United States, if
appllcable, and the mllita.ry branch of
which he is a. member. If the Director approves the application, such approved
application shall serve as the pe11nit to
import the firearm or ammunition de
scribed therein. The Director shall furnish the approved application <permit>
to the appllcant and shall retain the two
copies thereof for admln1strativo pmposes. If the Director disapproves the application, the appllcant shall be notified
of the basis for the disapproval.
Cb> Upon receipt of an approved ap.
pllcation (permit> to import the firearm
or ammunition, the applicant may obtain the release of same from Customs
custody upon his showlng that he has
obtained a. permit from the Director
for the importation. In obtaining the
release of the firearm or ammunition
from Customs custody, the military
member of the U.S. Armed Forces Importing same shall furnish a Form 6A
<Firearms> to the Customs officer releasing the firearm or ammunition. The
Customs officer shall, after certification,
forward the Form BA <Firearms> to the
Assistant Iiegional Commissioner for the
region wherein the State of residence of
the mlllta.ry member of the U.S. Armed
Forces is located. The Form 6A (Firearms> shall show the name and address
of such military member, the name of
the manufactmer, the country of manufacture, and the type, model, and caliber,
size or gauge of the firearm or ammunJ-
tlon so released, and, !f appllca.ble, the for legitimate hunting or lawful sportnumber of firearms or rowids of e.m- ing purposes, and such firearms and
mwiltlon released. However, when such such ammunition as remains following
military member is on active duty out- such shooting activity a.re to be taken
side the United States, he may appaint, back out of the tenitorlal limits of the
in writing, an agent to obtain the release United States by such person upon conof the firearm or ammunition from Cus- clusion of the shooting activity;
toms custody for him. Such agent shall
<2> Foreign milltary personnel on ofpresent sufficient identification of him- ficial assignment to the United States
self and the written authorization to act who bring such :firearms or ammunition
on behalf of such military member to into the United States fol" their exclusive
the Customs officer who is to release the use whUe on omcial duty in the United
firearm or ammunition.
States:
<c> Firearms determined by the De(3) Official representatives of foreign
partment of Defense to be war souvenirs governments who are accredited to the
nui.y be imported into the United States U.S. Government or are en route to or
by the military members of the U.S. from other countlies to which acArmed Forces under such provisions and credited;
procedures as the Department of De<4> Officials of foreign governments
fense may issue.
and distinguished foreign visitors who
have been so destignated by the Depart 178.115 Exempt imporlulion.
Ca> Firearms and ammunition me.y be ment of State; and
<5> Foreign law enforcement officers
bronght into the United States or any
possession thereof lJy any person who CEl,,tl of friendly foreign governments entering
the United States on official law enestablish to the satisfaction of Customs
that such firearm or ammunition was forcement business.
pre'wiously taken out of the United States 178.116 Condilion11l impor111tion.
or any possession thereof by such person.
The Director may permit the condiRegistration on Customs Form 445'1 or
on any other registration document tional importation or bringing into the
avaUable for this purpose may be com- United States or any passession thereof
pleted before departure from the United of any firearm or ammunition for the
States at any U.S. customhouse or any purpose of examining and testing the
office of an Assistant Regional Commis- firearm or ammunition in connection
a determination as to
sioner. A bill of snle or other commer- with making
the importation or bringing in
cial document showing transfer of the whether
of
such
fl.rearm
ammunition wlll be
firearm or ammunition in the United authorized underor
this pa.rt. An applicaStates to such person also may be used
to establish proof that the firearm or tion for such conditional importation
be filed, in duplicate, with the Diammunition was ta.ken out of the United shall
The Director may impose condiStates by such person. Firea1ms and am- rector.
munition furnished under the pro'Visions tions upon any importation under this
of section 925<a> (3) of the Act to mUi- section including a requiiement that the
or ammunition be shipped ditary members of the U.S. Armed Forces firearm
from Customs custody to the Dion active duty outside of the United rectly
and that the person importing or
States also may be imparted . into the rector
bringing 1n the :ftrea1m or nmmunition
United States or any possession thereof must
agree
to eithel" export the firea1m
by such military members upon establishing to the satisfaction of Customs or ammunition or destroy same if a.
is mRde that the firearm
that such firearms and ammunition determination
or ammunition may not be imparted or
were so obtained.
 Firearms and ~mmunition may be brought in under this part. A firearm or
imported or brought into the United ammunition Imported or brought into
United States or any possession
States by or for the United States or the
a.ny department or agency thereof, 01 thereof under the provisions of this secany State or any department, agency, tion shall be released from Customs cusor political subdivision thereof. A fire- tody upon the payment of customs duties,
arm or ammunition imported or brought if applicable, and in the manner prein the conditional authorization
into the United States wider this para- scribed
graph may be released from Customs issued by the Director.
custody upon a showing that the fire- 178.117 Func1ion outside n customs
arm or ammunition is being imPOrted or
tcrrilory.
,.
brought into'the United States by or for
In the insular possessions of the United
such a governmental entity.
States outside customs terrlt.ory, the
Cc) The provislons of this subpart functions performed by U.S. Customs
..shall not apply with respoot to the im- officers under this subpart within a cusportation into the United States of any toDlS terl'itory may be performed by the
antique firearm.
appropriate authorities of a territorial
<d> Firearms and ammunition are not goverruneni or other offl.cers of the
imported into the United States, and United States who have been designated
the provisions of this subpart shall not to perform such functions. For the purapply, when sueh firearms and ammunt- pose of this subpart, the tenn customs
tlon are brought into the United States territory means the United States, tile
by:
Distrlet of Colwnble., and the CommonCl> A nonresident of the United States wea.J.th of Puerto Rico.
FEDERAl REGISTER, VOL. 33, NO. 243-SATURDAY, DECEMBER 14, 1968
0265
828
RIF
0266
18569

Subpart H-Records
178.121
178.122 Recurds niaintnined by im

porters.
Gcncrnl.
Ca) Each licensed importer shall,

within 15 days of the date of importation
or other acquisition. record the type,
model, caliber or gauge, manufacturer,
country of manufacture, and the serial
number of ea.ch firearm he imports or
otherwise acquires. and the date such
importation or other acquisition was
made. Each licensed importer shall,
within 15 days of the date of release from
Customs custody or other acquisition,
record the type, caliber, size -0r gauge
manufacturer, and country of manufacture of the ammunition he impo1ts or
otherwise acquires, and the date such
importation or other acqUisition was
made.
 A record of firearms and a sepe.rate record of n1lllllunition disposed of
by a licensed imp0rter to another licensee
shall be maintained by the licensed importer on his licensed premises and shall
show the quantity. type, manufacturer,
coWltry of manufacture, caliber, size or
gauge, serial number <in the case of firearms only), of the firearms or ammunition so transferred, the name, address,
and license number of the licensee to
whom the firearms or ammunition were
transferred, and the date of the transaction. The information required by this
paragraph shall be entered in tli.c proper
record book not later than the seventh
day following the date of the transaction,
and such information shall be recorded
under the following format:
(a) The records pertaining to firearms

transactions prescribed by this part
shall be in permnnen t form, and shall be
retained on the licensed premises in the
manne1 prescribed by this subpa1t. The
records peitnining to ammunition prescribed by this part shnll be retained
on the licensed premises in the manner
prescribed by 178.125.
(b) Internal revenue omcers may enter
the premises of any licensed importer,
licensed manufacturer, licensed dealer.
or licensed collector for the purpose of
examining or inspecting any record or
d1>cument required by or obtained Wlder
this part <see 178.23). Sectio11 923(g)
of the Act requires licensed irnPorters,
licensed manufacturers, licensed dealers,
and licensed rollectors to make such records available for such examination or
inspection at all reasonable times.
(c) Each licensed importer, licensed
manufacturer, licensed denier, and licensed collector shall maintain such records of importation, production, shipment, receipt, sale, or other disposition,
whether temporary or permanent, of
fl.rearms and ammunition as the regulations contained in this pa.rt prescribe.
Section 922<m) of the Act makes it unlawful for any licensed Importer, licensed
manufacturer, licensed dealer, or licensed
collector knowingly to make any false
entry ln, to fail to make appropriate
entry in, or to fail to properly maintain
any such record.
Quam-
Typo
t!ty
Country
of
llfonu
facturer
mnn11fncturo
Clllibor,
sizo
or
go.ugo
Morl<ll
Bert Ill
No.
Nnmc, nddl'l'SS,
and U<:enso No.
of llccnsf1" to
whom tmnsforrnd
DCltll of
U1ntmns-
notion
<c> Notwithstanding the provisions of

paragraph (b) of this section, the Assistant Regional Commissioner may authortze alternate records to be maintained by a licensed importer to record
his disposal of firearms and ammunition
when it is shown by the licensed importer
that such alternate records Will accure. tely and readily disclose the information required by paragraph Cb> of this
section. A licensed importer who proposes to use alternate records shall submit a letter application, in duplicate, to
tile Assistant Regional Commissioner and
shall describe the proposed alternate records and the need therefor. Such alternate records shall not be employed by
the licensed importer until approval in
such regard is received from the Assistant Regional Commissioner.
<dl Each licensed importer shall
or other dlsposttlons made of firearms
and ammunition to nonltcensees. Such
recor& shall be maintained in the form
nnd manner as prescribed by 178.125
ln rega.Td to ammunition transactions,
and by 178.124 and 178.125 in regard
to firearms transaction records and records of acqulsitlon and disposition of
fl.rearms.
178.123 R~ords mnintained by mnnufacturcrs.
Cal En.ch licensed manufacturer shall

record the type, model, caliber or gauge,
and serial number of each complete firearm. he manufactures or otherwise acquires, and the date such manufacture
or other acquisition wns made. Each
licensed manufacturer shall record the
type, caliber, size or gauge of the am.munition he manufactures or otherwise
acquires. The information required by
this paragraph sl1all be recorded not
later thnn the seventh day following the
date such manufacture or other acquisition was made.
Cb) A record of firearms and a. separate record of runmunltlon dfspascd of
by a licensed manufacturer to another
licensee shall be maintained by the licensed manufacturer on his licensed
p1emlses and shall show the quantity,
type, caliber, size or gauge, serial number
<hl the case of firearms only), of the fl.rearms or ammunition so transferred, the
nnme, address, and license number of tho
licensee to whom the firearms or ammunition were transferred, and the date of
the transaction. The information 2equired by this paragraph shall be entered
in the proper record book not later than
the seventh day following the date of the

transaction, and such Information shall
be recorded under the format prescribed
bY 178.122 except that the name of the
manufacturer and the country of mar.uf a.cture need not be recorded if the :fireann or ammunition is of the manufacturer's own manufnctuTe.
(c) Notwithstanding the provisions of
paragraph of this section, the
Assistant Regional Commissioner muy
authorize a.lternate records to be maintained by a licensed manufacturer to
iecord his ili.;posal of :firearms and
ammunition when it is shown by the
licensed manufacturer that such alternate records will accurn.tely and readily
disclose the information required by
paragraph (b} of this section. A licensed
manufacturer who proposes to use alternate records shall submit a letter appllcation, in duplicate, to the Assistant
Regional Commissioner and shall descdbe the proposed alternate records
and the need therefor. Such alternate
1ecords shall not be employed by the licensed manufacturer until approval in
such rega.id ls received from the Assistant Regional Commissioner.
(d) Each licensed manufacturer shall
or other dispositions mnde of firea.rms
and ammunition to nonllcensees. Such
records shall be maintained in the fonn
and mnnne1 ns prescribed by 178.125 in
regard to ammunition transactions, and
by 178.124 and 178.125 in regard to
firearms transaction records and records
of acquisition nnd disposition of firearms.
173.124
1''ircnr1,us 1rnm111etion record.
A licensed importer, licensed manufacturer, or licensed dealer shall not

sell or otherwise dispose, temporarily or
pernmnentlv. of any firearm to any person, othe1 than another licensee, and a
licensed collector shall not sell or other~
wise dU;pose of any curio or relic to any
person, other than another Ucensee, unless he records the transaction on a firearms transaction record, Form 4473:
Provided-, That a firearms transaction
record, Form 4473, shall not be required
to record the disposition made of a. firemm delivered to a licensee for the sole
purpose of repair or customizing when
such :firea1'ln is i-eturned to the person
from whom ieccived.
Cb> A licensed ilnpOl'ter, licensed
manufacturer, licensed dealer, OT liceru;ed collector shall retain in alphabetical (by name of purchaser) , chronological <by date of disposition>. or numerical <by transaction serial number>
order, and as a part of his permanent
records, each Form i473 he obtains in the
course of transfening custody of his
firearms.
Cc> Prior to making nn over~the
counter transfer of a firearm to a nonllcensee who ls a resident of the state in
Which the licensee maintains his business or collection premises, the licensed
importer, licensed manufacturer, licensed dealer, or licensed collector so
transferring the firearm sha.11 obtain a
Fonn 4473 from the transferee showing
the name, address, date and place of
(a}
FEDERAL REGISTER, VOL 33, NO. '243-SATURDAY, DECEMBER 14, 1968
0266
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RIF
0267
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birth, height, weight, and race of the

transferee, and certification. by the
transferee that he ls not prohibited by
the Act or Title vn of the Omnibus
1968 <82 Stat. 236; 18 U.S.c. AppendlX>
from receiving a firearm In interstate or
foreign commerce. The licensee shall
identify the firearm to be transferred by
listing in the Form 4473 the name of the
manUfacturer, the name of the importer
<If any), the type, model, caliber or
gauge, and the serial number of the fl.rearm. Before transferring the firearm described In the Form 4473, the licensee 
shall cause the transferee to Identify
himself ln any manner customarily used
1n commercial transactions <e.g., a
driver's license>, and shall note on the
form the method used, and C2) if satisfied that the transferee Is lawfully entitled to receive theitfireann, shall sign
and date the form.
Cd> Prior to making an over-the~coun
ter transfer of a shotgun or rWe to a
nonllcensee who ls not a resident of the
State In which the licensee maintains his
business or collection premises, and such
nonlicensee ts acquiring the shotgun or
rifle under the provisions contained in
178.96<d>, the licensed dealer so transferring the shotgun or rifle, and such
transferee, shall comply with the requirements of pa1egraph <c> of this section.
In addition, the sworn statement requirements imposed upon the transferee and
the licensee by 178,96Cd) also shall be
fully met.
<e) Prior to making a transfer of a
firearm to any nonllcensee who is not a
resident of the State in which the licensee maintains his business or coIIec:.
tlon premJses, and such nonllcel1See Is
acquiring the firea.nn by loan or rental
from the licensee for temporary use for
laWful sporting purposes, the licensed
Importer, licensed manufacturer, licensed dealer, or licensed collector so
furntshlng the firearm, and such transferee, shall comply with the requirements
of paragraph <c> of this sectlon.
<f> Form 4473 shall be submitted, In
duplicate, to a licensed importer, licensed manufacturer, licensed dealer,
or licensed collector, by a transferee
who; <1> 1s purchasing or otherwise acqUlring 1!. firearm by other than an overthe--counter transaction, and who ts a.
resident of the State in which the licensee maintains his business or collection premises, or <2> Is purchasing or
otherwise acquiring a shotgun or rifle,
and who ls a resident of a. State contiguous to the State in which the licensee
ma.lnta.lns hls business or collection
premises. The Form 4473 shall show the
name, add:-ess, date and place of birth,
height, weight, and race of the transferee; and the title, name, and address of
the principal law enforcement officer of
the locality to which the firearm will be
delivered. The transferee also must date
and execute the swom statement contained on the form showing that, in case
the firearm to be transferred ls a. firearm
other than a shotgun or rifie, he is 21
years or more of age; that, In case the

firearm to be transferred is a shotgun
or rlfle, he is 18 years or more of age;
that he is not prohibited by the provisions of the Act from receiving a fire
arm in interstate or foreign commerce;
a.nd that his receipt of the firearm would
not be in violation of any statute of the
State and published ordinance appllcable to the locality in which he resides.
licensee shall Identify the firearm to be
transferred by listing in the Forms 4473
the r:.ame of the manufacturer, the name
of the importer <If any>, the type, model,
caliber or gauge, and the serie.1 number
of the firearm to be transferred. The
licensee shall prior to shipment or dellvery of the firearm to such transferee, forward by registered or certified mall <return receipt requested> a copy of the
Fonn 4473 to the chief law enforcement
officer named 1n the Form 4473 by the
transferee, and shall delay shipment or
delivery of the firearm to the transferee
for a period of at least 7 days following
recetpt by the licensee of the retum recelpt evidencln.g delivery of the copy
of the Form 4473 to such chief law enforcement officer, or the return of the
copy of the Form 4473 to the licensee
due to the refusal of such chief la.w enf orcement officer to accept same In accordence with u.s. Post omce Department regulations. The original Form
4473, and evidence of receipt or rejection
of delivery of the copy of the Form 4473
th h f la nf
m
sen t t
e c le we orcement 0 cer,
shall be retained by the licensee 83 a
~:~t ~~e~ r:;:~~bi~~ of him to be
(g) A licensee who sells or otherwise

disposes of a firearm to a nonllcensee,
who is other than an Individual, shall obtaln from the transferee the infonnatlon
requlred by this section from an indiVidual a.uthorlzed to act on behalf of the
transferee. In addition, the licensee shall
obtain from the Individual acting on behalf of the transferee a written statement, executed under the penalties of
perjury, that the firearm is being ac
quired for the use of and wlll be the
property of the transferee, and showing
the name and address of that transferee.
Ch> The requirements of this section
shll.11 be in addition to any other record
keeping requirement contained in this
Part.
Dnto
Mnnurncturcr
C!il!bar,
gnugc, or
typo of
component
m A licensee may obtain, upon request, a supply of Form 4473 from any
Asslstant Regional Commissioner or any
District Director.
178.125 Record of recl'ipt and disposition.
<a.> Ea.ch licensed dealer shall maintain records of all ammunition he receives for the purposes of sale or distrlbutlon. Such record may consist of
invoices or other commercial records
which shall be filed in an orderly manner
separate from other commercial records
he maintains, and be readlly available for
Inspection. Such record shall: Cl> show
the name of the manufacturer and the
transferor, and the type, c.iallber or gauge,
and quantity of the ammunltlon acquired
in the transaction, and the date of such
acquisltlon, and (2) be retained on the
licensed premises of the dealer for a
period of not less than two years followIng the date of the acqUlsit1on.
 Each licensed collector shall malntaln records of all ammunition he acquires as curios or relics for his collection. Such record may consist of invoices
be filed 1n an orderly manner separate
from other commercial records he maintains, and be readily available for lnspection. Such records shall show the informatlon required by paragraph <a> of
this section and be retained 1n the same
manner.
<c> The sale or other disposition of
graph (d) of tbls section, be recorded
in a bound record at the time such transaction Is made. The bound record entry
shall show; <1> the date of the transaction, (2) the name of the manufacturer, the caliber, gauge or type of component, and the quantity of the ammu nitlon transferred, (3) the name, address,
and date of birth of the purchaser
<transferee>, and <4> the method used
by the licensee to establish the Identity
of the purchaser <transferee) . The bound
record shall be maintained in chronologlcal order by date of sale or disposition
of the ammunition, and shall be retained
on the licensed premises of tbe licensee
for a period of not less then two years
following the date of the sa.le or dlspositlon of the ammunition recorded therein.
The format required for the bound record
Is as follows:
Qunntlty Nnmo
Cd) When a commercial record ls made

at the time of sale or other disposition of
or relic, and such record contains all Information required by the bound record
prescribed by paragraph <c> o.f this sectlon, the licensed dealer or licensed collector transferring the ammunition, or
ammunition curio or relic, may, for a
Address . Dato or
birth
Modo or ldontlflcallon
Driver's llconso
. (JI)
Other
(spcclFy)
pel'lod not exceeding 7 days following t11e

date of such transfer, delay ma.king the
requfred entry into such bound record:
Provided, That the commercial record
p.ertaining to the transfer ls: (1) maintatned by the licensed dealer or licensed
collector separate from other commercial
documents maintained by such licensee,
and <2> Is readily available for inspection
FEDERAL REGISTER, VOL. 33, NO. 243-SATURDAV, DECEMBER 14, 1968
0267
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RIF
0268
18571
on the licensed premises until such time

as the required entry into the bound record is made.
Ce> Each licensed dealer and each licensed collector shall on and after tlle
effective date of this part enter into a
permanent record each receipt and disposition of firearms or fl.rearms curios
or relics. In addition, before commencing
or continuing firearms business or firearms curio and relic collection, each licensed dealer and licensed collector shall
inventory the firearms or :firearms curios
and relics poss~d for such business or
in such collection and shall record same
in the record required by this paragraph:
Provided, That when a licensed dealer
or llcenSed collector has records maintained under the Federal Firearms Act
which readily dlsclose bis inventory of
fl.rearms or :flreanns curios and relics,
such inventory need not be recorded in
the record required by this paragraph.
The record required by this paragraph
shall be maintained in bound form under the format prescribed below. The
purchase or other acquisition of a fire. arm by a licensed dealer, or of a firearm
curio or relic by a licensed collector, shall,
except as provided in paragraph Cf) of
this section, be recorded not later than
the close of the next business day following the date of such purchase or acquisition. The record shall show the date of
receipt, the name and address or the
name and license number of the person
from whom received, the name of the
manufacturer and lmporter <If any>, the
model, serJal number, type of action, and
the caliber or gauge of the flreann or
firearm curio or relic. The sale or other
dlsposltlon of a firearm or of a firearm
curio or relic shall be recorded by tlle
licensed dealer or the licensed collector
not later than seven days folloWing the
date of such transaction. When such disposition is made to a nonllcensee, the
firearms transaction record, Form 4473,
obtained by the licensed dealer or the
licensed collector shall be retained, until
the transaction Is recorded, separate
:from his Form 4473 file and be readily
available for Inspection. When such disposition is made to a licensee, the commercial record of the transaction shall
- be ietalned, until the tri:&nsa.ctlon ls recorded, separate from other commercial
docwnent,s malntPfned by the licensed
dealer or licensed collector, and be readily
available for Inspection. The record shall
show the date of the sale or other disposition of each firearm or firearm curio
or relic, the name of the person to whom
the firearm curio or relic is transferred,
and the address or license number of the
person to 'Whom transferred if such person Is a licensee, or the firearms transaction record, Form 44'73, serial number
If the lfcensed dealer or the licensed collector transferring the firearm or curio
or relic serially numbers his Forms 4473
and files them nwnerically. The format
required :for the record of receipt and
disposition of firearms or firearms curios
and relics Is as follows:
Fu!EABllB A.CQOJSJTION AND DJSrOSJTION REOORD
Dll."ICl'lptlon or ftreenn
Mnnuroc.
turer nnd/or Mc><fol

Importer
S~rlru
No.
Typo
of
0
action
Disposition
Rcoolpt
Cnllbcr
nnd
gnugo
.Addrcs:: or llccnso No.
From whom
(name 1111d
Dnto address or namo Dnto
<f> When a commercial record Is held

by a licensed dealer or licensed collect.or
showing his acquisition of a firearm or

firearm curio or relic, and such record
contains all acquisition information required by the bound record prescribed
by paragraph Ce> of this section, the licensed dealer or lfcensed collector acquiring such firearm or curio or relic,
may, for a period not exceeding seven
days following the date of such acquisition, delay me.king the required entry
into such bound record: Provided, That
the commercial record is, until such ti.me
as the required entry into the bound record is made, (1) maintained by the licensed dealer or licensed collector separate from other commercial docwnents
maintained by such licensee, and (2) is
readily available for inspection on the
Ucensed premises; Provided, further.
That when disposition fs made of a firearm. or firearm curio or relic not entered
in the bound record under the provisions
of this para.graph, the licensed dealer or
licensed collector making such disposition shall enter all required acquis!.tlon
1nformatlon regarding the firearm or
firearm curio or rellc in the bound record
at the time such transfer or disposition
is made.
(g) Notwithstanding the provisions of
paragraphs <c> and <e> of this section.
the Assistant Regional commissioner
may authorize alternate records to be
maintained by a licensed dealer or a licensed collector to record his acquisition and disposal of firearms and ammunition, or curios and relics, when It Is
shown by the licensed dealer or the licensed collector that such alternate records will accurately and readily disclose
the required information. A llcensed
dealer or licensed collector who proposes
to use alternate records shall submit a
letter application, In duplicate, to the
Assistant Regional Commissioner and
shall describe the proposed alternate
records and the need therefor. Such alternate records shall not be employed b:y
the licensed dealer or the licensed collector until approval In such regard is
received from the Assistant Regional
Commissioner.
(h) Each licensed importer and licensed manufaeturer selling or otherwise disposing of ft.rearms or ammunition to nonllcensees shall maintain such
records of such transactions as are required of licensed dealers and licensed
collectors by this section.
1111d llconso
Nnmo
number)
Ullco.msco, or Form
4473 Serini No. If
Fonns 4473 filed

numcrtcnlly
178.126 Furnishing transaction information.
<a> Each licensee shall, when required

by letter Issued by the Assistant Regional
Commissioner, and until nottfied to the
contrary In writing by such officer, submit on Form 4483, Report of Firearms
Transactions, for the periods and at the
times specified in the letter issued by the
As~fstant Regional Commissioner, all
record Information reqUlred by this subpart, or such lesser record Information
as the Assistant Regione.I Commissioner
In his letter may specUy.
(b) The Assistant Regional Commissioner may authorize thb information to
be submitted In a manner other than that
prescribed In paragraph Ca> of this section when it fs shown by a licensee that
an alternate method of reporting 1s reasonably necessary and wlll not unduly
hinder the effective administration of
this part. A licensee who proposes to use
an alternate method of reporting shall
submit a letter application, In duplicate,
and shall describe the proposed alternate
method of reporting and the need tberefor. An alternate method of reporting
shall not be employed by the licensee Wltll approval in such regard Is received
from the ASslstant Regional Commissioner.
178.127
Diseontinuanee of business.
Where a. firearms or ammunition business Is discontinued and succeeded by a

new licensee, the recordS prescribed by
this subpart shall appropriately reflect
such facts and shall be delivered to the
successor. Where discontinuance of the
business Js absolute, the record& prescribed by thts subpart shall be delivered
within so days follov,ring the business
region in which the business was operated: Provided. however, Where State
law or local ordinance requJres the delivery of records to (lther 1esPonslble
authorJty, the Assistant Regional Commissioner may arrange for the delivery
of the records required by thfo subpart to
such authority.
Subpart I-Exemptions
178.141
Genernl.
The provisions of thJs part shall not

ca> The transportation, shipment, receipt, or fmportatlon of any :flrearm or
FEDERAL REGISTER, VOL. 33, NO. 243-SATURDAY, DECEMBER 14. 1968
0268
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RIF
0269
18572
ammunition imported for, sold or shipped

states or any department or agency
thereof or any State or any department,
agency, or political subdivision thereof,
 The shipment or receipt of firearms or ammunition when sold or Issued
bY the Secretary of the Army pursuant
to section 4308 of tltle 10, U.S.C., and the
transportation of any such firearm or
ammunition carried out to enable a person, who lawfully received such firearm
or ammw11tlon from the Secretary of
the Army, to engage ln military training
or 1n competitions.
<c> The shipment, unless otherwise
prohibited by the Act or any other Federal law, by a licensed importer, Ucensed
manutacturer, or licensed dealer to a
member of the U.S. Armed Forces on active duty outside the United States or
to clubs, recognized bY the Department of
Defense, whose entire membership ls
composed of such members of the U.S.
Armed Forces, and such members or
clubs may receive a firearm or ammunition determined by the Director to be
generally recognized as particularly suitable for sporting purposes and intended
for the personal use of such member or
club. Before making a shipment of firearms or ammunition Wlder the provisions
of this paragraph, a licensed importer,
Ucensed manufacturer, or llceni>ed dealer
may submit a written request, In duplicate, to the Director for a determination
by the Director whether such shipment
woUld constitute a Violation of the Act or
any other Federal law, or whether the
firearm or ammunition ls considered by
the Director to be gcneralty recognized
as particularly suitable for .sporting purposes.
<d> The transportation, shipment, receipt, or importat!.on of any antique
firearm.
178.144 Relief from disabilities in

clll'l"ed by conviction.
<a> Any person may make application

for relief from the disabilities under Federal law Incurred by reason of a conVictlon of a crime punishable by Imprisonment for a term exceeding 1 year if such
conviction was not of a crime involving
the use of a flreann or other weapon or
a violation of the Act or the National
Firearms Act.
(b) An application for such relief shall
be addres.sed to the Commll>sioner and
shall include such supPQrtlng data as the
applicant deems appropriate. In the case
of a corporation, the SUPPQrtlng data
should include information as to the absence of culpabillty in the offense of
which the corporation was convicted, or
of any person having the Power to direct
or control the management of the corporation, if such be the fact. The application shall be filed, 1n triplicate, with
the Assistant :Regional Commissioner for
the internal revenue region wherein the
applicant resides.
(c) The Commissioner may grant relief to an applicant if it ls established to
the satisfaction of the Commissioner that
the circumstances regarding the conviction, o.nd the appllcant's record and reputation are such that the applica.nt will
not be likely to act in a manner dangerous to publlc safety, and that the granting of the relief would not be contrary
to the publlc interest.
(d) Whenever
the Commlssloner
grants relief to any person pursuant to
this section, he shall promptly publish in
the FEDERAL REGISTER notice of such action, together with the reasons therefor.
Ce> A person who has been granted
relief undc1 this section shall be ielleved
of any dll>abllitles imposed by Federal
laws with respect to the acquisition, receipt, transfer, shipment, or possession
178.142 Effect of Presidential pnrdon. of firearms and incurred by reason of
A pardon granted by the President of such conviction.
(f) <1) A licensee who ls convicted of
the United States regarding a conviction a crime
punishable by imprisonment for
for a ertme punll>hable by imprisonment
for a term exceeding 1 year shall remove a term exceeding 1 year du11ng the term
any disability which otherwise would be of n current license or while he bas pendImposed by the provisions of this part tn ing a license renewal application, and
who qualifies under this section to ftle an
respect to that conviction.
nppllcation for removal or disabilities re 178.143 Relief from disabilities in sulting from such conviction, shall not be
curred Ly indictment.
barred from licensed operations for 30
A llcensed Importer, licensed manufac- days after the date upon which his conturer, licensed dealer, or licensed collec- Viction becomes final, and if he files his
tor who Js indicted for a crflne puntsh- application for relief as provided by this
able by impri~mnment for a term exceed- section within such 30-day period, he
ing l year may, notwithstanding any may further continue licensed operaother provision of the Act, continue oper- tions during the pendency of his appliations pursuant to his existing license cation. A licensee who is not qualified
during the term of such indictment and under this section to file an application
until any conviction pursuant to the In- for relief or, if so qualified, docs not file
dictment becomes final: Provided, That such application within 30 days from the
if the term of the Ucense expires during date his conviction becomes final shall
the period between the date of the indict- not continue licensed operations beyond
ment and the date the conviction there- 30 days from the date his conviction beunder becomes final, such Importer, comes final.
manufacturer, dealer, or collector must
C2> In the event the term of a Jlcense
file a timely application for the renewal of a person qualified t.o seek relief under
of his license in order to continue opera- this section expires during the 30-day
tions. Such application shall show that period following the date up0n which his
the applicant is under indictment for a conviction becomes final or during the
crime punishable by impr1soruneut for a pcndency of hfs application for relief, he
term exceeding 1 year.
must file a timely application for ~enewal
of his license in order to continue licensed

opemtlons. Such license application shall
show that the applicant has been conVicted of a crime punishable by imprisonment for a term exceeding 1 year.
(3) A licensee shall not continue licensed operations beyond 30 days following the date the Commissioner issues
notification that the licensee's application for iemoval of disabillties resulting
from a ccmvictlon has been denied.
<4) When as provided In this section
a licensee may no longer continue
licensed operntlons, any application for
renewal of license filed by the licensee
dw"lng the tenn of his Indictment or
the pendency of his application for
removal of disabillties resulting from
such conviction, shall be denied by the
178.145
Research orgnnizalions.
The provisions of this part with

respect to the sale or delivery of destructive devices, machine guns, short.
barreled shotguns, and short-barreled
rifies shall not apply to the sale or deli very of such devices and weapons to
any research organization designated by
the Director to receive same. A research
organization desiring such designation
shall submit a letter application, in
duplicate, to the Director. Such appllca.tlon shall contain the name and address
of the research organization, the names
and addresses of the persons directing
or controlling, dlrectty or indlrectiy, the
pollcies and management of such orga.nlzatlon, the nature and purpose of the
research being conducted, a description
of the devices and weapons to be
received, and the identity of the person
or persons from whom such devices and
weapons are to be received.
178.146 Deliveries by mnil to certnin
persons.
The proVisions of this part shall not

be construed as prohibltfng a licensed
importer, ltcensed manufacturer, or

licensed dealer from depositing a. firearm for conveyance in the mails to any
officer, employee, agent, or watchman
who, pursuant to the provisions of section 1715 of title 18, u.s.c .. ls eligible to
receive through the malls pistols,
revolvers, and other fbearms capable of
being concealed on the person, for use
in connection with his official duties.
173.147 Re1mir of firearm,
A person not otherwise prohibited by
Federal, State or local law may ship a

fireatm to a llCensed importer, licensed
manufacturer, or licensed dealer for the
sole purpose of repair or customizing,
and notwithstanding any other provision
of this pnrt, the licensed importer, licensed manufacturer, or licensed dealer
may return In Interstate or foreign commerce to that person the repaired firearm or a replacement firearm or the
same kind and type.
178.143 Ammunilion londing for 11erso11nl use,
The Ucensing provisions of this part

slmll not aPP1Y to any person who engages only in hand loading, reloading,
0269
832
RIF
0270
18573
any prisoner who by reason of duties connected with law enforcement has expressly been entrusted with a firearm
Research
by the President of the United States or Chapter I-Agricultural
the chief executive of a. State and has
Service, Department of Agriculexpressly
been
authorized
by
the
Presi 178.161 False slalemenl or represcnture
dent or such chief executive as the case
tntion.
may be, t.o receive, possess, or transport SUBCHAPTER C-INTERSTATE TRANSPORTATION
Any person who knowingly makes any in conur.erce a firearm.
OF ANIMALS AND POULTRt
false statement or representation with
respect to any information required by 178.165 Receipt, etc., of firearms by PART 97-0VERTIME SERVICES REcertain employees.
LATING TO IMPORTS AND EXPORTS
the provisions of the Act or this part t.o
Any individual who to his knowledge Administrgtive lnstrutfions Prescribing
be kept In the records of a person engaged in firearms or ammunition busi- and while being employed by any person
Commuted Traveltime Allowances
ness, or In applYfng for any license, ex who <a> has been convicted of a felony,
emption, or relief from disability, under Cb> has been discharged from the Armed
Pursuant to the authority conferred
the provisions of the Act, shall be fined Forces Wlder dishonorable conditions, upon the Director of the Animal Health
<c>
has
been
adjudged
by
a
court
of
the
not more than $5,000 or imprisonment
Division by 97 .1 of the regulations conUnited States or of a State or any politi- cerning overtime services relating to imnot more than 5 years, or both.
cal
subdivision
thereof
of
being
mentally
ports
and exports, effective Juiy 31, 1966,
178.162 Transporlntion or receipt to incompetent, (d) having been a citizen
(9 CFR 97.1>, administrative instruccommit a crime.
of the United States has renounced his tions <9 CFR 97.2> effective JUly 30, 1963,
AnY person who ships, transports, or citizenship, or <e> being an alien is me- as amended May 18, 1964 <29 F .R. 6318>,
recelves a firearm or any ammunition ln gally or unlawfully in the United States, December 7, 1964 <29 F.R. 16316>, April
interstate or foreign commerce with in- and who, in the course of such employ- 12, 1965 <30 F.R. 4609), June 18, 1965
tent to commit therewith an offense ment, receives, Possesses, or transports In (30 F.R. 7893), June 7, 1966 C31 F.R.
punlShable by Imprisonment for a. term commerce or affecting commerce, any 8020), October 11, 1966 (31 F.R. 13114),
exceeding l year, or with knowledge a.nd firearm shall be fined not more than November 1, 1966 <31 F.R. 13939), Noreasonable ca.use to belfeve that an of- $10,000 or imprisoned for not more than vember 23, 1966 (31 F.R. 14826>, Februfense punishable by imprisonment for 2 years, or both: Provided, however, The.t ary 14, 1967 <32 F.R. 20843>, Aprll 15,
a term exceeding 1 year ls to be com- the provisions of this section shall not 1967 <32 F.R. 602D. August 26, 1967 <32
mitted therewith, shall be fined not more apply to an employee employed by a per- F.R. 12441>, September 29, 1967 <32 F.R.
than $10,000, or imprisoned not more son who has been pardoned by the Presi- 13650), February 9, 1968 (33 F.R. 2756),
than 10 years, or both.
dent of the United States or the chief March 7, 1968 <33 F.R. 4248), July 13,
178.163 Commission of a Federal executive of a State and hM expressly 1968 C33 F.R. 10085>, July 31, 1968 (33
been authorized by the President or such F.R. 10839>, August 15, 1968 C33 F.R.
crin1e.
chief executive, as the case may be, to 11587>, September 25, 1968 (33 F.R.
Any person who uses a ftrea1m to com- receive, oossess, or transp0rt in com- 14399>,
and November 8, 1968 (33 F.R.
mit any felony which may be prosecuted merce a firearm.
16382>, prescribing the commuted travelin a court of the United States, or cartlme
that
shall be included In each period
ries a firearm unlawfuily during the com- 178.166 Seizure and forfeilure.
of overtime or holiday duty, are hereby
mission of any felony which may be
Any firearm or ammunition involved amended
by adding to or deleting from
prosecuted In a. court of the United in, or used or intended to be used in, any
States, shall be sentenced to a term of violation of the provisions of the Act or the respective "lists" therein as follows:
OUTSIDE METltOl'OLIT<\N AREA
imprisonment !or not less than 1 year of this part, or in violation of any other
nor more than 10 years. In the case of criminal law of the United States, shall
FOUl'I HOUllB
a person's second or subsequent convlc- be subJect to seizure and forfeiture, and
Dc11lte: Anncortee, Wn.sll. (served from
tlon under this section, such person shall all provislona o! the Internal Revenue Blntne
or Senttlc, Wnsh.)
be sentenced to a term of Jmpl'isonment Code of 1954 relating to the seizure, forTHR&E HOUllS
for not less than 5 years nor more than feiture, and dispc>sition of firearms, as
25 years, and notwithstanding any other defined in section 5845(a) of that Code,
Add: Anncortes, Wneh. (served !rom Elnlnc,
provision of law, the court slmll not sus- shall, so far a.s applicable, extend to sei- Wneh.)
FOUH HOURS
pend the sentence of such person or give zures and forfeitures under the provisions
of the Act.
Add: Anncortea. Wnsh. (served !rom scnttlc, Wnsh.)
178.164 Rcccipl, Cle., or fircnrms lty
cerauin persons.
These commuted traveltime periods
178.171 Exporlalion.
have been established as nearly as may be
Any person who Ca> has been conFirearms and ammunition shall be ex- practicable to cover the time necessarily
Vlcted of a felony, Cb) has been discharged from the Armed Forces unde1 ported In accordance with the applicable spent in reporting to and returning from
dishonorable conditions, <c> has been ad- provisions of section 414 of the Mutual the place nt which the employee perSecurity Act of 1954 (22 U.S.C. 1934) and forms such overtime or holiday duty
judged by a court of the United States iegulatlons
thereunde1. However, lisuch travel ls performed solely on
or of a State or any political subdlvislon censed manufacturers, licensed Import- when
account of such overtime or holiday duty.
thereof of being mentally incompetent, ers, and licensed dealers exporting fire- Such
establlshment depends upon facts
<d> having been a citizen of the United artns and ammunition shall maintain within the knowledge of the Animal
States has renounced his citizenship, or records showing the manufactme or ac- Health Division.
It Js to the benefit of the public that
<e> being an alien is lllegally or unlaw- quisition of the firearms and ammunition
fully in the United States, who receives, as requh"ed by this part and records these Instructions be made effective at
the
eal'liest practicable date. A<:cordlngly,
possesses, or transports In commerce or sl,lowing the name and address of the pursuant
to 5 U.S.C. 553, It Js found upon
affecting commerce, any firearm shall be foreign consignee of the firearms and good cause that notice and public profined not mo1e than $10,000 or impris- ammunition and the date the firearms cedure on these lnstmctlons are imoned for not more than 2 yen.rs, or and .ammunition weie exported.
practicable, unnecessary, and contrary to
both: Provided, however, That the provi- [F.R. Doc. G8-149D6; Flied, Dec. 13, J96B; the public Interest, and good cause ls
B:4D ll..ln.J
found for making these Instructions efor custom loading ammunition for his
own firearm, and who does not hand
load, reload, or custom load ammunition
for others.
Subpart J_..:..Penalties, Seizures, and
Forfeitures
Title 9-ANIMALS AND

ANIMAL PRODUCTS
FEDERAL REGISTER, VOL, 33, NO. 243-SATURDAY, DECEMBER 14, 1968
0270
833
RIF
0271
FIREARMS
HEARING
Bl-:l'OR11 A
SUBCOMMITTEE OF rnE COMMITTEE ON
INTERSTATE AND FOREIGN COMMERCE
HOUSE OF REPRESENTATIVES
SEVENTY.FIFTH CONGRESS
FIRST SESSION
ON
S.3
TO REGULATE COMMERCE IN FIREARMS
JUNE 22. 1937
Printed for the uae of the

Committee on Interstate and Foreign Commerce
Cle
UNJTF.O RTATEB
GOVEllNMlt}NT l'IUNTINlJ Ol<'FICm
WASlUNOTON: 1031
0271
834
RIF
0272
3
4. '.rhe 1>rov1Hlona of thlH Act sl1aU not u1,1>lY wlt.b rc11pcct to the truuM
portatlon, sblpmcnt, rt.>eol1t, or lm1>0rtatlon of uu.v ftreurm, or aounuultlou, NOhl
or 11bl11pod to, or IYMued tor tho mro of, ( 1) tile United Stot<lll or nny dl!pnrtmont,
fndepc11dent e11tabllshment, or ugcncy thereof; (~) 1U1y Stotc, Territory, or
11oaSOHatlo111 or tliu District of Colmubfn, or au.v department, lnde1>e11dent t-ata.b
l111hn)eut1 ugoncy, or any 110Utlc11l 1mb<llvMon thereof; (8) nuy duly l'OW
ml111doncd omco1 or ugont ot tho Uultc<l Htutea, a. l:ltatc, Territory, or VC)1tfM!1t11lon,
or tbe Dbstrlct of Colmnblo, or any poUUcul 8Uh<llv1a.lon thereof; (4) or to a~y
bank, 1mbllc carrlor, uprcHY, or nrmo1cd-tr1rnk !ompnuy org1ullzc1l uud 01>crllt
J11g in good t11ltll tor th uum11>0rtnt1011 of monl'y nnd vulunbles: (ti) or to any
rcMcarcll labor11tory deHlgnuted by tho Secretary of Commerco: Provfde1l, That
11uch bunk, public carriers, cx1>roHB, und armored-truck com1>anlcs uro grnctod
~xcmptlon by tllo ~ecretnry of Commerce: 1wr to the tram~portatlou, H'1l1>ment,
or rcc>l1>t ('f nny nnUrruo ~;.
ftreurms, or mnmunltloo, iioHHCHHcd
nml hcl<l us c11rlos o
nm pieces.
811:0. 6. Any t)(I
\lolntlng nny of the pro
nny 1:1tntt!mcnt 111 01>1>IY
und rlgulntlo . omulgutO(l horeuu<lcr, or who m
Ing for tho
nae or oxemptlo~cled tor 111 tlll11
t, knowing Huch Rtatu
Ii.thereof, he 11110 ot more thnn $2,000,
mcnt to b nlsc, shall, upon co
or lmprl ed tor not more th11n',1lvo Yctt'fltt or both.
Sm
b111 Act 11llRUAtlke deet thirty ~ays nftcr lt11 en tment.
Sr.c. . Tho Sccrc_1'1' ot~~Comnult<'C mfJl''prl!Hcrlbe such ru nnd regull1tlo11A
lls h ooms neceJlll?J to rr:v onftt.&w. provlsf.llot this Act.
8
8. Shout~ sec on or f~cctlon
ts Act be
Rtlt ionnl, the
lalalr'nn\ohon of.the Ac fllui rcmntn h
Sr..c.
.
.r,.--;..-...,_
\.
.
c. n. Thl11 Act may b~;r.~4 nA tlle F~crft Flrerttms Act.
ctl
r. PEARRON. I migh staw,. to yoti aenilu.en who n.r resent and

in l'eRted hl'this.matte ;.tblt~f~~1~nrin~ will he ~nth y informal.
"~Wll.l\t to ~CIU' nS 11l,llUY of p~ .gentlcmon RS We call. flow YOU to
tn 0 your s~tement;,,,en<l th "i I
~Oll are wilJi 'g to am\W~t
1m ~qucs~1ong~t.th'tem~1s o tl1' mm1tt~~1may w . t to tlRk, if
J'on'L an
.
'"&etw. "
'
' '
sl~ou1d ll"M' to hear G~nl R~01d .fll"At, if w6\mav.
t:atiit.
STATE
VICE
"'"'1'~
'(
=.
BT OF BUG: GD. llTOlt'A. REC

D, EXECUTIVE
, ESmERT,,lTIOftt' RIFLE ASSOC}' ION, AD1UTA1'T
GENERA
F THE STATE OF MARYLABJJ,. i
'~. Chnfrm11iQ-.afflt'~entlemen
Gener!\} RECKO
of the com:
mittce, I shall hens brJef tulJ01pa!Ml1'1e, hut I would greatly nppl'cciate
it if, ns I go along, the committee would interrupt me 1md ask ques
tions that may come to their mind.
The history of Senate 3, which is the bill before the committee
this mo1nin~, might be of interest in that when the bill started out
originally, it was the l'esnlt of n st.udy of the crime situation by
the so-called Cl'ime Committee of the Senate, headecl by Senator
Cot>eland, of New Yol'k.
'fhat committee ho.d pl'e))nl'ed n. bill which was, in the judgment

of those of us \.'{ho al'o the heads of ce1'tain sportsmen's groups,
seriously objectionable. It was very drastic in many res(>ects. \V1th
all dne respect to the gentlemen who drew the bill, 1t was very
t>oorly drawn. Definitions were bad. We could 11c\e1 Aeem to reach
the Senators. They did not give us an opp<_>rtunity to confer with
them, alt)1ough we almost pleaded to be heard.
So finally we we1e not hen.rd until t;he bill WllS being hearcl by
a committee similar to the way this bill is now being beard by your
committee, Mr. Chairman.
0272
835
RIF
0273
4
At. thnt hrtuing. ~1tmt01 Cop<'lnnd ttddrtH~<l hiH J'tnuuks to mo
tmd f;tnhd t hnt. Jiu won Id 11nw lwnr 11~ 011 t lm hill; t hut tho l>i 11
would ht~ 1t1ul lim by lhll'. nnd wt wouhl hl gi\'lm nn opport.nnity
to ohjl~d. to nuyt hing m 1111lw oltjNt.iouuhlu in t.)10 hill.
\VtJl, ht' Juul l'taul only to t Ill' third Hsu' wlmn wo offt1rt~1t ohj~c
t ion h<eft llHt' of t ht hw<;J'l t lt cfolinit ion of n fi1t1nrm. 1fo n~aoo<l
i1maw<liRtely, n~ will lw. Hhown in tll(' Jw111h1jl'1 to uliminnto thoso
1 1
word~.
\\"'ti wtint th1ou,,rh t.ho bill thnt tlnv nnd wlwn we finislwcl t.ho
hi II WH~ t'llllll'lt~'ilntt<I. 'f)u1 8t111ntor ,:udt!tl t Im htnring hy Hatyingi
0
lVtJI, Ur11t>rnl. yuu nml I nit uot so fu1 npnrt nfhw 1ill, 1uo we~'
I t\l\id, 0 No, Kil'; hut, plt11Ht )ook 1tt. yo111 bill. It h1 t.nrn llll ,t.o
}lil'<~(it.'' "\Vtll". Ju 1-mill, "will you Hit. <lown with us nrnl hr.lp UH
pn~1m l'l' n hill t hnt. you t)(lopl" \,.ill Rttppmt V"
\Vt 1tlautly OJ.tl'l <cl to clo thnt 1111<1 thC'. J>l't'Hl'llt. hi]), Sc,nat.o 3, whicla
i~ lwfort nm tmlny, iH Hu.' 1'tsult. of tlm work done uftoa t.lult hmuing
on tlw <>l'~lo(innl hill. whi<h lmtl unot.hN' uumlmr tlt thnt. tim<, which
~lip~ 1110 for t lu momont.
8t111tte a ns tlmftl"il tlwn Juul in 11e<tion 7 n. l'~Jmal of th<'. Nntionnl
Jt'frt1ums Ad, which is tho }fadaill(.' Oun Act, tml'!."lt'cl 3 01 4
wnti-; n;.ro. ~lnntor Coptlnncl nml thmm of us intt!l'<~stotl in t.hii;
ltgislntion ft\lt, in ritw of th~ fnd. thnt thi~ hill is tfotdgnlld t.o kl1op
nil the1umt' f1om tho lumdl.\ of tho U1uh1'\\'01ld, wti might UH woll
rtpt>n I tht' ot ht.1 net. whil'l1 huH numy bud ftlltlll'(:-1 1 gtit ri<l of t.Jmt
1wt. n1111 ma\ kt' th is n11 i ti<' htHi \'l',
nut. wh~n \\'(' Wt'l'(' bdoro tho rommitfloo in th(\ Senntn on Sena.to 3,
us thnfhd nt tluit tinw, tlmro wus ohj~ction from tho Attornoy Gc11t1nl's Offitt, l\fr. Kt'l'llltn, Hpt~1tkh1~, Htntcd thl\t thiti hill wn.H u. stop
in tht\ right dit't't'tiou; hut. not nH tlmt. they wnnhd, but the ono
ubj(lct ion tlwy haul wns ~ml'tion 7, whil'11 i~plmfo<l tho Mndliue Gnn
Act. 'J'lutt wnfi the objtc.t ion oftt~1~d. So nf!cr confcrtmco fol.Jowing
the lulxm:i of thftt. day, thut section w1u1 Hh1cke11 from the lnll.
~() tlmt ns th(\ bill rom(\S before your committi.!e to<ltly, M1. Chn.ir
mnn. ns fu1 ns wt~ know, thC're is 110 objection on the p11rt of the Attoruiw Getlc.'ml'~ Ofli<.t~i be<'1mst t.hat objectiou, ns expre~~d in t.he
Sellnte hen1ings, )Uts been met.
Ml'. Pt:AnaoN. This bill, then, is really n complement t.o t.he Nationnl Fh~ Arms AcU
Gem1nl Rt:cKuno. Yes; I would sn:v so. although t.llc Nutionn..1 Firo
Al'ms Act <leah1 with mnchim~ guns, sn\,c<l-off shotg1rns, Hawecl-oft'
l'ifles with bnr1el lengths Jess tlmn 18 inches, and mnke.q certain requil'<'ment~ with respect to r"gistatit.ion tmcl 1epo1t of o.ll who own
1 1
thosE".
But the bill that we hn.\e today RJ>Pl'ORches the subjoct from a
difl'et't'nt angle. This bill stntes thnt the nnderwol'ld shnll not have o.
{he arm of nny kind. It docs not touch the law-abiding citizen. It
does not toueh the gun in yom home 01 my home. It doen not. compel
you to go out. and 1egistcr it unless the law of your State requires
such i~gistl'ation. You may have as mnny guns as you y1lense, under
tl1is bill-shotguns, iiftes, Ol' pistols-but the lnwhreak'r ma.y have
none of those, undcl' this bill.
Ml'. HoL11ES. How are you going to stop t11e lawbreaker from
getting guns1 They do not buy them; they steal t.l1em. The underworld steal:; their guns.
0273
836
RIF
0274
I' I UNA Hl\Ui
Oo1u11td lb:<'1u>1m. YtH. 'l'Jw mi11uhi t.lml. mun iH fournl with 1\ gun
of uny t.~11e, nuder thil'4 hill, Im will ho unw1mhh!. 'l'lm minnh~ ho iH
fouruf with n ~1111 of 1rny lyp11 C!\'111 1\ f11~it.ivo from foHtho camnot
croH.~ tho :;into lilm cnr1yi11g n u1111 with, ham hucnuH11 tfm nwu~1mt ho
h1 J>1drntl up un<l Jm lmM Ihut 1-(llll, lu>. JS 1uncnnhl11 11nchr thJH ln.w.
j mil. mtult' t hut. lotl\llC'J'td Ht nt mmmt, #.(<mt.lrmM1, nnd if you wi~h t.o
p;o lhl'o11gh tho hill, I 1d11ill hu nwy gl11d to t~xpluin ench i-w1:tion, if you
cruu to Juwo mo <lo t luit.
Ml', Pt:AllHON. 1 I hough I if Wt~ 1ou Ill tlo t h1tt. without. ~ui11~ into
t.on mud1 chilnil, lhat. would Im 1ulviHtlhll~, Ot!ll<!l'nl.
Gl'l1cml lb:<:m11m. Suh~wct io11 1, UK you will oh1ml'\'l', <h\fhwH ''pm-
~rm."
Ptlt'llgl'llph 2 1fofhmH "hil urHt 1itt <>I' foruign <0111t1w1c1'. 11

Timm i8 0110 point. in thii; nn1f t htl1. is t lrnt. 111uh!I' t11iH cfofiuit.ion
''inflll'Hlt\.f o 01 furto.i~n co11111wrcc!" indmfoH going from
81u.t.o to
nllof hm t\.nd huck i nt.o t.hc Slltln or torl'it 01y, l\H \\'<!II llli goi II:.( from
ono Atiih~ lo nuot.h1 1.
Now, t.lm tlofinition of "ff1c~ nrm" iH tho hrotulm;t cleOnit ion t.tmt. we
could nmlm, '"~"""Ht' wu nro cfo1di11g with tho crook. 'J'humfol'l!t t.hifs
<loftnition includcK fire iums of uveiv dtK<!tiplion; not onl)'. pu-1t.o!H
11.1111 11.woh'N'H, hut ffro 1\.l'IUH or (!\'ory (loHCl'l(>t IOU Ul'C inclucfocl m U1i~
'lofini1 ion,
Ml'. }J:AllHON. !tight lhNo, (fonoml, it. lrn!i IKcn l'<'oC:ommcmlod by,
I ooliovo, the Dcpu.rluumt of Conunmco tho.t t.hu.t cfoflnit.ion ho Oil
hlrgod HO nH lo inuht<fo t.110 li\.11gm1g~ "or purlH t horaof."
Gcnorn.l lbmKom>. ltfr. Clmittmm, wo nt'C willing ntul J't!tuly t.o fm\) ..
scribo t.o nny t\m"mlnmnt. of t.h11t kiml yom commith!o f'l!H fit to
tllo.oo u1>011 tho hill, hut. \\'t\ <lo not holiovc tlmt. is nectffHn.ry.
Mr. I r.A11HoN. It w1u; HnggcKted t lmt. in t 11e ahflcn<!e of tllUt, part.a
might bo shipJ>ocl in inle1'Ht11tc 1om11mrcc nml then 1m\HHe11tlllml aucl
the J>Ul'(JOSOfJ of tho act dcfcatc<l.
Gcueml lb:conu. Mny I rend then for the 1t!c01cl u. lettm, si. copy of
which or u. Himiln.r letter 110 clouht you h11n~ 1eclh'(Hl, from Mr.
Imln.yt
0
'"'
Mr. PRAIU!ON. Yes, sh-.
Gcmcl'Rl Ur.cK01t1>. Mr. lmlily iH an attorney fo 'V1lsbingto11 who

has hacl long cxpctienco with firoUl'lllH legislntion, dating hack I
think to 1920 01 1025, when ho was tL memhet of the Committee on
Uniform Fire Arms Act of t.he American Ual' .A!i.c.ioci11tion. HiR
answer to that is that you could add the words "or any part or parts
of such wott}lon" 1ight 11t the end of this language, hut he doe.CJ not
tbink that is necessary. He feels that the court could ''ery easily
handle thnt matter, that a reasonable number of p11rts would he construed by the com't as being a gun.
.
Mr. Dimmick of the O>lt Co. who is p1eRCnt, coming down with
me this momiug in a. taxicab, discussecl that veJ'y feature with me
and 1>ointed out the fact that the s.!an conld not pussibl>' do that and
comply with 11.nothe1 section. of this bill which 1ec1mres that you
must have a. number, an identifying numbel' on. your gun, and in
securing parts he would not bo able to secure a number. Therefore,
we feel that that amendment ;s not necessa1y, that the patts to the
IJlln would be construed by the court r.s a ~un.
Mr. WADSWORTH. That p1ovision 1-elatmg to the serial number,
as found on page 5, line 14, makes it unlawful fo1 any pet-son to
0274
837
RIF
0275
0275
838
RIF
0276
0276
839
RIF
0277
0277
840
RIF
0278
0278
841
RIF
0279
UPPERRECEIVERS:NOTFIREARMS
CASTINGS/FORGINGS:NOTFIREARMS
RECEIVERS:FIREARMS
ALLMARKINGSREQUIRED
0279
842
RIF
0280
FINISHING
FIXTURE(JIG)
DRILLPRESS
COMMONHAND
TOOLS
CNCMACHINE
MILLINGMACHINE
0280
843
RIF
0281
PARTS
.:1
0
0
't#MJ.
~
WI/INWI "'iii
c
)
.
.--.Jooo_
0
_~_
_,
Takedown Detent Spring

PIVot Detent Spring
Takedown Pin Detent

PIVot Pin Detent
Selector Sprlng
IIIWill
Bott Catch Spring
rrurYrran
Dl sconnector
Buffer Retainer Spring
Selector Detent
..
Bott Catch Buffer
a.tter Retainer
IW,UJ
Dl sconnector Spring
Hammer
WMW
Magazine Catch Spring
=s
Trlgger Spring
Trtgger Guard
Roll Pin
Bott Catch
Roll Pin
Hammer Spring
0-
Pistol Grip Lock Washer

Magazine
Catch Button
Magazine Catch
-=:1
Trlgger Pin
Hammer Pin
Takedown Pin
Pistol Grip Screw
PO!ot Pin
0281
844
RIF
0282
FLAT/CHANNEL:NOTFIREARMS
RECEIVER:FIREARM
ALLMARKINGSREQUIRED
0282
845
RIF
0283
FLATBENDINGDIESET
HYDRAULICPRESS
COMMON
HANDTOOLS
AKTEMPLATE
0283
846
RIF
0284
PARTS
Dust Cover
\
Carrier Spring
'Forand Cap
Pistol-~
Grip
Forend
Butt stock
Grip
" ' -I
/
Magazine
0284
847
RIF
0285

November 1, 2013
Unfinished 80% AR-15 Type Receivers

There are many unfinished AR-15 type receivers being marketed as so-called 80% receivers.
It is important to note that Federal firearms statutes and supplemental regulations do not employ
the terms 80%, 80% finished, or 80% complete.
These terms are industry vernacular and are neither recognized nor defined in Federal firearms
statutes and regulations. These marketing terms are used by the industry to indicate that, in their
opinion, an unfinished receiver has not yet reached a point in the manufacturing process where it
should be classified as a firearm as defined in the amended Gun Control Act of 1968 (GCA).
As background, the GCA, 18 U.S.C. 921(a)(3), defines the term firearm to include any
weapon (including a starter gun) which will or is designed to or may be readily converted to
expel a projectile by the action of an explosive[and]the frame or receiver of any such
weapon.
Unfinished AR-15 type receivers that do not meet the definition of a firearm are not subject to
regulation under GCA provisions; however, they are still considered defense articles per the U.S.
Munitions Import List and, therefore, require an ATF Form 6 for importation into the U.S.
The ATF Firearms Technology Branch (FTB) has previously determined that an AR-15 type
receiver which has no machining of any kind performed in the area of the trigger/hammer (firecontrol) recess (or cavity) might not be classified as a firearm. Such an unfinished receiver could
fire-control recess/cavity area. We have determined that in order to be considered completely
solid and un-machined in the fire-control recess/cavity area, the takedown-pin lug clearance
area must be no longer than .800 inch, measured from immediately forward of the front of the
buffer-retainer hole. (See following photo.)

Page 1 of 6
November 1, 2013
0285
848
RIF
0286
However, FTB has examined many unfinished 80% AR-15 type receivers and has found that,
in some cases, items being marketed as 80% actually meet the definition of a firearm as
defined.
The following photos depict the most commonly encountered variations of unfinished 80%
AR-15 type firearm receivers and are provided to assist you in determining their classification
status.

Page 2 of 6
November 1, 2013
0286
849
RIF
0287
Example 1
Example 2

Page 3 of 6
November 1, 2013
0287
850
RIF
0288
Example 3
Example 4
Page 4 of 6
November 1, 2013
0288
851
RIF
0289
Example 5
Example 6
Page 5 of 6
November 1, 2013
0289
852
RIF
0290
Example 7
Example 8
This general guidance is provided to assist ATF Special Agents and Industry Operations
Investigators and our Federal, State and local law enforcement partners, but is not meant to be used
in lieu of a formal determination. FTB cannot render a formal determination without physically
examining a submitted sample.
If you encounter any variations not depicted or described in this bulletin, or, if you have any
additional questions, please contact FTB at (304) 616-4300 or email LowerReceiver@atf.gov. This
inbox also serves to collect information related to unfinished AR type receivers and firearms
completed with unmarked AR type receivers that are recovered or encountered by ATF field
personnel and our law enforcement partners.

Page 6 of 6
November 1, 2013
0290
853
RIF
0291
000335
0291
854
RIF
0292
~.
==
132
21
a9
23
~24
~~
25
46e 47
20
41 ~40
~
451442 3
~~ ..4
68
44
~
6~
,.
000336
~1
\~
.. 'II
73
.?nsi, 69
~,.
55~~1
~ 53 64.-54
63
'
64
61
'
I~ '~9
\2
60
75
'_,....--70
~-~
77
~
74~ .'~ ~ 79 81
66
~1>5657
~k qF~o
sl~ ~.ii
,, 2
8 .... ~
4
36
49
7@ '
67
$
(?
, , 28
27
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4/M4A1 Exploded View

M16/AR15A2/M
Publications, Inc.
Copyright c:> North Cape
0292
855
RIF
0293
111 fl/ Alli 5112/)IL1/)IL1Jl I

l~~IJI~f)J)J~I) VIl~lf
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Butt plate
Butt plate screws
Butt plate door
Retaining pin
Plunger spring
Plunger
Butt plate spacer
Hinge
Hinge pin
Sling swivel
Butt stock
Action spring
Buffer assembly
Carbine sliding butt stock
Release lever
Lock nut
Pin
Receiver extension nut
End plate
Buffer
Action spring
Release lever lock pin
Spring
Lower receiver
Takedown detent spring
Takedown detent
Plunger spring
Trigger guard plunger
Trigger guard
Trigger guard pin
Trigger guard pivot pin
Rear receiver pin
Magazine button spring
Magazine release button
Forward takedown pin
Detent spring
Forward takedown pin detent
Bolt release pin
Bolt release
Magazine release plunger
Plunger spring
Magazine release
Buffer retainer spring
Buffer retainer
Selector
Disconnector (SA)*
Hammer(SA)
Hammer pin (SA)
Trigger pin (SA)
Trigger spring (SA)
Trigger (SA)
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Hammer spring
Disconnector spring
Disconnector (A)**
Trigger (A)
Trigger pin (A)
Trigger spring (A)
Automatic sear pin (A)
Automatic sear bushing (A)
Automatic sear spring (A)
Automatic sear (A)
Hammer spring (A)
Hammer (A)
Hammer pin (A)
Hammer (B)***
Semiautomatic
disconnector (B)
Burst disconnector (B)
Trigger (B)
Burst cam (B)
Clutch spring (B)
Hammer pin (B)
Hammer spring (B)
Burst disconnector spring (B)
Semiautomatic
disconnector spring (B)
Trigger pin (B)
Trigger spring (B)
Automatic sear (B)
Automatic sear spring (B)
Automatic sear bushing (B)
Automatic sear pin (B)
Lower Handguard
Upper handguard
Barrel
Gas tube
Handguard retaining ring
Slip ring springs
Handguard slip ring
Barrel nut
Handguard cap
Sling swivel
Front sight taper pin (rear)
Swivel rivet
Front sight taper pin (front)
Gas tube pin
Compensator spacer
or washer
Compensator
Front sight post
Front sight detent
Detent spring
Front sight
Bolt carrier
Gas seal rings
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106
107
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152
153
154
Bolt
Ejector pin
Ejector spring
Ejector
Extractor pin
Extractor spring
Rubber insert or 2nd spring
Extractor
Bolt cam pin
Key
Bolt key screws (2)
Firing pin retainer p in
Firing pin
Upper receiver
Dust cover pin
Split ring
Dust cover spring
Dust cover
Forward Assist Pin
Plunger spring
Pawl and pin
Pawl
Plunger pin
Forward assist plunger
Charging handle
Roll pin
Charging spring
Latch
Elevation index
Elevation knob
Elevation index screw
Helical spring
Ball bearing
Index screw
Elevation knob
Spring pin
Helical spring
Ball bearing
Helical spring
Ball bearing
Rear sight base
Flat spring
Aperture
Windage screw
Clamp screws (front & rear)
Flat top upper receiver
Dowel pins
Carry handle base
Bar clamp
Handle nuts
Semiautomatic Trigger (SA)
Automatic Trigger (A)
Burst (B)
ix
0293
856
RIF
0294
The rear sight assembly is mounted on

the detachable carry
handle and the standard 0.270 by 0.390
oval mounting hole is
also cut into the trough
of the carry handle .
assembly. The butt

stock
(fixed or col~3
10 (((~1
lapsible) slides over
the receiver extension
~
~...
23
and is secured by the
24
receiver extension
nut.
The
original
22
buffer was a hollow
tube containing five
"Edgewater" ring
springs. The ring
springs had alternatAccording to the proing male and female
visions of the 1968 Gun
20
ends and were
Control La\\, the
shaped to act like
19
wedges when com"gun" as it contains the
pressed, a clever
firing mechanism in
idea that worked in
the fonn of the trigger
assembly. It also con- Rg. 4-9. M16/AR15 lower receiver assembly: 1) lower receiver, 2) selector, 3) buffer
the range but not in
iains the magazine as- retainer, 4) buffer retainer spring, 5) takedown detent, 6) takedown detent spnng, 7)
the field. Oil, dust
sembly, the pistol grip magzlne release, 8) magazine release plunger, 9) plunger spnng, 10) bolt release, 11)
bolt release pin, 12) magazine well, 13) trigger well, 14) receiver extension housing,
and debris affected
and the butt stock as- 15) trigger guard, 16) trigger guard plunger, 17) plunger spring, 18) trigger guard pivot
their performance,
sembly including the pin, 19) rear receiver pin, 20) magazine release button, 21, button spring, 22) forward
and they were rerecoil spring assembly, receiver pin. 22) takedown pin detent. 23) detent, 24) detent spring.
placed in December
see Figure 4-9.
The lower receiver of both models is forged or cast alu- 1966 by a new buffer design from Colt. The Colt-designed
minum alloy. Military models are forged as are many com- buffer assembly replaced the "Edgewater ring springs" with a
mercial lower receivers. A casting, if properly done and heat- polyurethane "bumper" or shock absorber. The bumper imtreated, is neither stronger nor weaker than a properly ex- pacted five sliding weights in the body that were separated by
butyl rubber disks to prevent the bolt carrier from rebounding
ecuted and heaH reated forging.
The front of the lower receiver has two ears or lugs. The at the end of the stroke.
The new Colt buffer was three times heavier than the old
front lug fits between the two lugs on the lower receiver and is
held by a two-piece takedown pin in civilian models or a cap- and so acted to reduce the cyclic rate in full auto fire. A very
tive single-piece retaining pin. A recess milled into the lower fast cyclic rate had caused excessive jamming and parts break
receiver at the back, just ahead of the recoil spring housing, age. Military cartridges loaded with the original Olin WC846
provides room for the upper receiver's rear lug which is se- ball powder had been found to raise cyclic rates as high as 850
cured by a takedown pin. The takedown pin is held in the to 900 rounds per minute with the old buffer.
At the front of the lower receiver is the magazine well . the buffer retainer driven by a coil spring. When removing
Immediately to the rear on the right side is the magazine re- the buffer assembly always make certain you hold the buffer
lease button housing. Below and behind are the two ears for piston in place as you depress the buffer retainer. The buffer
the trigger guard which is held in place with the spring-loaded is under heavy spring pressure and could cause injury if alplunger at the front and a roll pin at the rear. The rear roll pin lowed to fly loose.
The spring that drives the buffer is referred to as the "acshould only be removed and reinstalled using a 1/8 inch flatfaced punch. Be careful not to let the punch slip or you will tion spring." It is formed from steel wire 0.070 inches in dideform the ears. The front pin can be depressed on the right ameter. The spring is 0 .940 inches in diameter and has 38
side with the point of a canridge to lower the trigger guard for coils. Military specifications require the spring to be between
11.75 and 13.5 inches long.
use when wearing heavy gloves.
circumference of its head (0.980 inches), and the tubular porReceiver Extension
At the rear of the lower receiver is the threaded ring to which tion is 0 .695 inches in diameter and 2.86 inches long. The
the receiver extension is mounted and which conlains the buffer polyurethane shock absorber is shaped like a truncated cone
and pinned into the open end of the buffer.
.4 7
~~,'
'
Lower
Receiver
38
0294
857
RIF
0295
Solid Butt Stock Receiver Extension - The solid butt stock

receiver extension screws into the rear of the receiver. It is a
smooth, round tube 1.25 inches in diameter and 10 inches
Jong. The end of this receiver extension is rebated into a cap
7 .25 inches in diameter flattened on two sides and drilled and
iapped for the upper butt stock screw, see Figure 4- 10.
Fig. 4 11. Collapsible stock buffer assembly; 1) receiver extension

an operation best left to an experienced gunsmith with the

Trigger Assembly
Fig. 4- 10. Solid butt stock receiver extension: 1) receiver
The solid bun stock model uses a separa1e stepped spacer

at the end of the receiver extension. It is 1.20 inches in diam
eter and 0 .820 inches long. The stepped end is 0 . 720 inches in
diameter and 0.210 inches high. A recess on the opposite end
is 0. 755 inches in diameter and 0 .210 inches high. The butt
stock screw (upper screw in butt plate) threads into a hole
drilled into the end of the extension tube (arrow) .
Three trigger assemblies have been developed for the M16l

AR15. The first was semiautomatic only in function with two
positions, "SAFE" and "SEMIAUTOMATIC." The second
was select fire in function with three positions, ~ SAFE , "
"SEMIAUTOMATIC" and " AUTOMATIC. " The third was
developed for the A2 military rifle and also had three positions, "SAFE," "SEMIAUTOMATIC," and "BURST."
I) trigger, 2) trigger spring, 3) hammer, 4) hammer spring,
5) disconnector, 6) disconnector spring, 7) hammer pin and 8)
trigger pin, see Figure 4 12.
Collapsing Butt Stock Receiver Extension - Rifles or carbines equipped with the collapsing butt stock use a tube 1.45
along the bottom for the sliding butt stock catch, see Figure 411. A steel collar or " end plate" fits between the receiver and
the receiver extension nut. The hole through its center has a
key with a channel cut along the threaded end of the receiver
extension tube. The plate holds the rear takedown pin spring
and detent in place, provides support to the receiver extension
and serves as a washer for the receiver extension nut to be
torqued against. The after end of the receiver extension has a
small, 0.085 inch diameter hole drilled through it to allow air
to escape when the buffer is being compressed by the bolt
carrier.
Note: If for any reason you remove the solid butt stock rifle
receiver extension, it must be tightened when replaced to between 35 to 39 ft-lbs using a torque wrench and the combination wrench. If a carbine receiver extension, the correct torque
setting is 38 to 42 ft-lbs. Since the lower receiver must be
gripped in a vise is such a way that it is not defonned, this is
Fig. 4 12. Semia utomatic trigger assembly.
The trigger, disconnector and hammer are pinned into

the receiver by and pivot on two cross pins. The same pin
passes through the trigger, trigger spring and disconnector.
39
0295
858
RIF
0296

position.
spring forces the trigger back into its normal position when it
is released by the shooter.
parts that the semiautomatic trigger. It consists of: 1) hammer, 2) hammer pin, 3) hammer spring, 4) disconnector, 5)
disconnector spring, 6) trigger, 7) trigger pin, 8) trigger spring,
9) automatic sear pin, 10) automatic sear spring bushing, 11)
the vertical nose on the disconnector lo engage the "automatic sear hook" on the top rear of the hammer. When the
trigger is pulled to the rear, the disconnector nose releases the
automatic sear hook and the hammer revolves forward and
strikes the firing pin. As long as the trigger is held back, the
hammer will continue to be released on each cycle as both the
trigger nose and disconnector nose are to low to catch the
lower hammer slot or automatic sear hook.
the M 16, MI 6A 1 and A I-style carbines and AR l 5A 1 models
sold in conformance lo National Firearms Act rules. It is also
found in some A2 models as well, refer to Table 3- l.
The three-round burst mechanism adds four parts lo
the automatic trigger assembly: I) burst disco1111ector, 2) burst
disco1111ector spring, 3) burst cam and 4) the clutch spring,
see Figure 4-14. The other parts include: 5) hammer. 6) hammer spring, 7) hammer pin. 8) semiauto disconnector, 9)
disconnector spring, 10) trigger, 11) trigger pin, 12) trigger
automatic sear pin and 16) automatic sear spring. The hammer has an additional sear notch at the rear and an automatic
sear hook. The auto sear has one stop; the burst disconnector
has two hooks - one at the front offset to the right to engage
the burst disconnector and a second at the rear to engage the
rear hammer notch.

Fig, 4 14. Three-round burst tngger assembly.

forced lower by a cam on the selector lever, thus moving the
trigger nose out of possible alignment with the hammer slot.
The automatic hammer has an additional "automatic sear hook"
on the top rear of the hammer (arrow), and the automatic
disco nnector has a vertical nose that rises at a sharp angle
(arrow), see Figure 4- 13.
When the automatic mode is selected, a cam on the selector lever forces the trigger bar and disconnector down. When
How the three-round burst mechanism functions is quite

of the two stop notches on the burst cam . The burst cam also
When the trigger is pulled, it releases the hammer to fire
the first round. As the hammer falls forward, the clutch spring
releases the burst cam, but the front hook on the burst
40
0296
859
RIF
0297
As the bolt carrier moves rearward, it forces the hammer

back which now allows the clutch spring to engage the burst
cam and rotate it one notch counter clockwise. When the hammer reaches its full rearward position, the auto sear tips forward and engages the hammer stop at the top of the hammer.
At the same time, the front hook on the burst discmmector
drops into the first notch on the burst cam.
Only by releasing the trigger and allowing the hammer to
rise far enough to be caught by the trigger nose does the burst
cam reset itself, ready to fire three rounds again.
Trigger a11d Hammer Pins

Both the trigger and hammer pins are 0 . 17 inches in diameter
and 0.90 inches long. They penetrate the walls of the lower
receiver to serve as an axis for both pieces. The trigger pin
has a circular slot at each end into which the legs of the hammer spring fit to hold it in place. The hammer spring legs go
over the top of the trigger pin.
hammer, see Figure 4- 16.

When turned to the SAFE position, the diameter of the selector lever immobilizes the trigger
bar and prevents it from being
moved to release the hammer.
The selector lever is held in
position by a pointed decent
selector lever.
driven by a coil spring. The detent rides into a vertical hole
drilled into the right lower side of the receiver and the spring
is captured in a hole drilled into
the right side top of the pistol
grip. When removing the pistol
grip be careful not to lose the
spring, refer to Figure 4-9, parts
5 and 6.
Trigger Guard
TheM16/AR15's "winter" trigFig. 416. Automatic
ger guard can be lowered for use
selector lever.
while wearing gloves. The right
side front of the trigger guard has a spring-loaded pin that can
be depressed with a bullet point, allowing the trigger guard to
pivot down against the pistol grip. The after end of the trigger
guard (I) is held in place with a 1/ 8 inch split pin (2) at the
rear and a plunger (3) at the front, Figure 4-17.
Selector Lever
The selector lever is mounted in the lower receiver in alignment
with the trigger mechanism. Envision an "L" shaped object with
the short side of the "L" flattened into a chumb piece and the
long side fonned into a cylinder. The selector lever is held in
place by a spring-loaded decent and rotates to select the mode of
operation: SAFE (9 o'clock) AUTO (12 o'clock) and SEMI (3
o'clock) in the Ml6a00 SAFE(9o'clock) andSEMl (12 o'clock)
in the AR15. In the Ml6A2, BURST replaces AUTO.
T he semiautomatic selector lever has a shallow flat (cam)
milled on one side of the cylinder only that prevents the Crigger bar and disconnector from being depressed far enough to
catch the lower hammer sloe, see Figure 4- 15.
The automacic selector has a second, deeper cam that when
turned into the proper position, allows the trigger bar and
disconnector to be depressed far enough that neither the trigger nose will catch the lower hammer slot nor the disconnector
nose will engage the automatic sear hook on the top rear of the
Fig. 4-17. Trigger guard.
Takedown Pin
The takedown pin is at the rear of the lower receiver. It is
1.15 inches long and 0 .25 inches in diameter. The pin has a
rounded, rivet head 0.375 inches in diameter. The pin penetrates both sides of the lower receiver from the right and the
rear lug on the upper receiver. It is held in place by a springdriven detent that penetrates the rear of the lower receiver
under the stock ferrule. The pin has a channel milled along
one side in which the detent rides. Use caution when removing the butt stock, see Figure 4- 18.
41
0297
860
RIF
0298
Bolt Release
fired as a warning to the shooter that the magazine is empty. It
functions by allowing the magazine floor plate to rise high
enough to lift the bolt release into the path of the bolt, blocking it from moving forward. The bolt release can also be activated by drawing the bolt back with a magazine in place, or
when the magazine is absent, by depressing the bolt release.
Fig. 4 1B. Rear takedown pin (1). The de tent and spring are under
Magazine Release
The magazine release assembly consists of the 1) magazine
4-19.
Essentially, the magazine release is a bar with rectangular detent on its forward end that fits into a rectangular hole in
the right side of the magazine. The release bar has a threaded
tail at right angles that fits into a hole through the lower receiver at the rear of the magazine well . A coil spring fits over
<he tail, and the magazine buuon screws onto the threaded end
Fig 420. Bolt release assembly.
release bar. A spring forces the end of the bolt stop (arrow) to
remain below the path of the bolt until the magazine floor
when removing the split pin tha1 you do not allow the plunger
Bolt Assembly
carrier, 2) key, 3) bolt, 4) bolt cam pin, 5) firing pin and 6)
firing pin retaining pin, sec Figure 4-21, overleaf.
Bolt Carrier
Fig. 4 19. Magazine release assembly.

The bolt carrier for the 5 .56 NATO caliber rifle and carbine
Behind the gas ports on the bolt carrier arc a series of notches
the chamber. Only the very earliest XM 16 bolts did not have
these notches.
42
0298
861
RIF
0299
T he key is
mounted on top of
two socket head
screws which are
staked to prevent
backing out. The key
is a hollow tube
which captures the
propellant gas from
the ga s tube and
drives the bolt carrier to the rear.
The bolt itself is
inserted into the
front of the bolt carrier and is retained Rg. 4-21 . Bolt and carrier assembly
by the bolt cam pin. The bolt cam pin fits into a hole in the top
of the bolt carrier, beneath the key. It rotates 112 turn to allow
the bolt to lock and unlock.
The firing pin is inserted through the bolt carrier and into
the bolt's firing pin tunnel. It is retained by a firing pin retaining pin which is similar to a split pin. Do not attempt to substitute a common split pin for the proper firing pin retaining pin
as it may not hold.
pressure from the bore. Therefore. it does not have a carrier
has a spri ngloaded firing pin
and a s maller.
different extractor. Sec Figure
4-22. The rifle
bolt weighs 11
ounces; the submachine gun bolt
weighs 15 .9
ounces.
Bolt
T he rifle bolt
(refer to Figure
Fig . 4-22. 5.56 mm bolt and carrier (R), 9 mm
4-21) consists of
ten parts: 7) extractor, 8) rubber insert or second spring, 9) extractor spring,
IO) extractor pin, 11 ) ejector, 12) ejector spring, 13) ejector
pin 14) rings (three).
The bolt head has seven locking lugs around its circumference with the eighth locking lug being supplied by the extractor. These lugs rotate into and out of matching receptacles
in the receiver extension to lock or unlock the bolt. T he cjec-
,,,;
'12
~
11
to r
protrudes
through the bolt
face beneath the
lug at the 12
o'clock position.
The opening for
the firing pin nose
is centered in the
bolt face. The extractor lip overlaps
the bolt face at the
6 o'clock position.
Extractor
The extractor is a
curved plate with a
lip that fits into a
channel cut for it on the right side of the bolt. The extractor
spring is captured between the extractor and the bolt in a depression in the rear of the channel.
The extractor is pinned at about mid-length which allows
it to pivot in and out. A short coil spring at the rear supplies
pressure to keep it closed. When assembling, the flared base
of the spring must be seated in the extractor and the rubber
insert seated in the narrow end that fits inside the bolt. Later
bolts substitute a second spring. Failing to seat the spring(s)
and/or rubber insert properly may cause malfunctions
Ejector
Firing Pin
The Ml6/ ARl5 firing pin looks something like a duplex o r
made of chrome-moly, stainless steel or titanium. This last is
a new material for ARIS firing pins. It is intended to produce
by the hammer.
The firing pin should not protrude excessively past the
face of the bolt. Check with firing pin gage (Colt part #62679)
whenever a new firing pin is installed.
Gas Seal Rings

T he three gas seal split rings are contained in a groove cut into
an expanded area along the firing pin tunnel. The rings press
against the walls of the bolt tunnel just behind the gas ports to
contain any gas that might escape from the breech if a cartridge or primer ruptures. This prevents the hot gases from
flowing back through the bolt carrier and out and up into the
shooter's face.
43
0299
862
RIF
0300

bolt to prevent the firing pin from backing out. The pin passes
between two flanges on the aftcrend of the firing pin.
Barrel
Assembly
Note: Do not remove

unless you have replacements on hand .
Once removed, do not
reinstall the same ring.
Lubricate and us e
gentle but steady pressure when installing.
New rings will be
must wear in.
The barrel assembly

consists of five subassernblies: barrel,
retaining assembly,
compensator, gas
system and handguards. see Figure 423.
Barrel
The Ml6/AR15 barKey

rel is made in many
lengths , diameters
tuhe closed at the after
and rifling types.
end and mounted on
Two common barrel
plate that attaches to
types, the MI 6A 1
and the ARl5 Sporter
two socket head Fig. 4-23. M16/AR15 barrel assembly. 1) barrel, 2) barrel extension, 3)
II barrels are shown
screws. The key fills handguard retaining ring. 4) slip ring springs (4), 5) handguard slip ring, 6) barrel
in Figure 4-24. Cusnut, 7) handguard cap, 8) sling swivel, 9) front sight taper pins, 10) swivel rivet,
tom barrels can be
with hot gases bled 11) gas tube pin, 12) compensator spacer or washer, 13) compensator, 14) front
from the bore when a sight post, 15) front sight detent, 16) detent spring, 17) gas tube, 18) upper
and are cut in a varicartridge is fired . T he handguard, 19} lower handguard, 20) handguard heat shield, 21) front sight.
ety of diameters and
force of the gas acting on the key drives the bolt carrier back.
lengths as well as
causing the bolt to rotate along its cam and unlock from the shapes. Those used in service rifles tend to follow the conreceiver extension. When the bolt carrier returns to battery, tour. sii.e and weight pattern of military rifles, see Figure 425. Those used in non-service match shooting are limited only
It is not a good idea to remove the key and its screws by the gunsmith's imagination and experience. Sec Table 4-1
from the bolt carrier unless it has been damaged. The screws and Figure 5-1 (page 67) for types and dimensions.
are staked in by deforming the metal of the key around the
circumference of the screw heads. For this reason, do not for the barrel extension. The muzzle end is threaded for the
If you do replace the key, new screws must be used.
Tighten with a torque wrench to between 35 to 40 inch pounds
and rcstakc securely.
Bolt Cam Pin

The bolt cam pin has a flat, rectangular head with rounded
carrier moves forward or back, the bolt cam pin moves in the
bolt carrier cam way. Because the cam way is angled, a rotary
motion is imparted to the bolt to cause the locking lugs to
unlock or lock.

The firing pin retaining pin passes through the side wall of the
Fig. 4-24. AR15A1 sporter barrel configuration (top), AR15A2

HBAR configuration (bottom).
44
0300
863
RIF
0301
Table 4-1
Light Machine Gun, heavy barrel, 20", 1:7
20", 1:7
A2 Heavy match, straight, no reductions.
20", 1:7
A2 HBAR, three step reduction, 20", 1:7

see Figure 4-26. Barrels manufactured for civilian sale after
late 1994 may have an unthreaded rebated end to which a
muzzle extension
in the form of a
muzzle brake may
be permanently
affixed. Custommade
barrels
rarely use a compensator nor are
Fig. 4-26. Mililary and pre-1994 barrel and
they threaded or
compensator
rebated, see Figure 4-27. An aligrunent pin is fixed at the top dead center
position 0 .07 inches from the end. The ring 0.135 inches wide
and 1. 165 inches in diameter encircles the barrel and butts
against the upper receiver wall. The aligrunent pin indexes the
barrel in the correct vertical position. The barrel nut (described
below) slides
over the barand
re l
screws to the
front of the
upper
receiver. It bottoms against
the ring and
holds the barrel , retaining Fig. 4-27. Post-1994 and most custom-but1t match
ring, slip ring AR15s lack a compensator.
spring and
slip ring in position.
The barrel extension is 0.82 inches long and 1 inch in
diameter. It is screws onto the barrel (160 foot-pounds) and
provides the locking lugs for the bolt. The barrel extension
fits over the chamber end of the barrel and has eight machined
lugs into which the bolt locks when in battery, see Figure 428. The barrel extension penetrates the upper receiver.
Barrel Nut Assembly
A2 Service, enlarged diameter forward.

20", 1:7
Configuration

20", 1:12
A2 Carbine, two step reduction, 16", 1:7
A 1 Carbine, reduced diameter forward, no
for grenade launcher, 20" 1 :7
A2 Carbine, two step reduction. groove for
grenade, 16", 1:7
Calibers
.223 (5.56 NATO)
*This table includes current and past Colt and U.S . military
model configurations. See Table 3-1 . M16/AR15. List of
indexed by the alignment pin. The barrel is

secured to the receiver
with a barrel nut which
threads onto the front
of the upper receiver,
see Figure 4-29, l.
Retaining Ring - The
retaining ring is a slip
or snap ring which is
fitted with snap ring
pliers having straight
0 .045 inch tips. The
ring must be comFig. 4-28. M161AR15 barrel extension.
pressed to fit inside the
slip ring. To do so, the tips of the snap ring pliers are inserted
into the holes in the retaining ring on either side or the split
The barrel slips into the front of the upper receiver and is
45
0003
0301
864
RIF
0302
11

kinked so that when the ring is compressed horizontally, outward force is exerted against both the receiver face and the
rim of the slip ring, refer to Figure 4-29, 3.
Slip Ring - The slip ring is shaped like a truncated cone (Al)
or a cylinder (A2) with a rim around the interior of its forward end. It is large enough to hold the barrel nut, slip ring
and retaining ring, refer to Figure 4-29, 4.

Doing so is not difficult with the proper tools and an understanding of the process. Bui unless you are an experienced
You will need an M 16/AR 15 combination wrench, a torque
wrench capable of exerting and measuring accurately at least
60 foot pounds and a set of barrel remover fixtures. See Appendix A, Item 34 for assembly/disassembly details.
were narro\ er
than the body of
the tlash suppressor. The XM16
and Ml6/ ARl5
also employed a
three -pronged
tlash suppressor of
a slightly different
des ign.
The
pronged (or open)
flash suppressor
worked well but Fig. 430. Types of compensators used on
had a tendency to the M16/AR15: top, early prong and bottom,
closed cage types.
catch in vegetation
and to kick up dirt when fired from the prone position.
II was replaced by the caged compensator installed on
latter Ml6Al /ARl5Al models. Starting with the A2, a closed
had five narrow elongated ovals cut through the top circumference but had a closed bottom . This design reduced the
amount of dust and debris kicked up by propellant gases from
the muzzle when the rifle was fired from the prone position,
see Figure 4-30.
The XM 177 series of submachine guns and carbines were
equipped with an elongated version of the cage compensator
which not only reduced muzzle jump and served as a flash
suppressor but also acted to reduce the excessive muzzle blast
from the shortened barrel. The front end of the compensator
had six elongated oval cutouts which extended around the circumference. sec Figure 4-31.
Compensator
ritle is fired and also the amount of heal emitted as light at the
muzzle, thus preserving the soldier's night vision. The compensator on the Ml6/AR15 is variously known as a muzzle
brake, flash hider and tlash suppressor. The compensalor works
by both venting gas to the side and upward lo drive lhe muzzle
down and by absorbing heat from the hot gases leaving the
muzzle to reduce the amount of illumination. Original compensators for the M 161AR15 series of rifles will have tlats
The original AR15 compensator (sec Figure 4-30, top)
Fig. 4-31. Extended compensators like those installed on

suppressors.
Numerous variations of this type of compensator produced

for nonmilitary use have been observed. The reader is cautioned that the Bureau of Alcohol, Tobacco and Firearms has
classified some of these elongated compensators as "sound
suppressors." It is best to check with the Technical branch of
the BATF before acquiring or installing one ( phone 202 9277777).
make short barrels legal. For instance. compensators 5 inches
46
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0303
long have been permanently attached to 11 .5 inch barrels to

shorter than the legal 16 inch minimum, make certain that the
but that it is permanently attached to the barrel. These types
of compcnsators can usually be identified by the lack of flats
on either side of the mount for the combination wrench. A
close inspection will also reveal brazing at the barrel/compensator join with the barrel.
(TDC).
the cam way and lock into the barrel extension again.
The gas system consists of the l ) barrel port, 2) front
sight base and 3) gas tube, sec Figure 4-32.
Note: It will have not escaped notice that antigun elitist politi
cians have fastened onto the compensator or "flash suppressor" as one characteristic of the so-called "assault rifle. " One
California state senator responsible for that state's 1999 Assault Rifle law believes that the flash suppressor eliminates
the muzzle flash at night and is therefore an aid to criminals
since the weapon cannot be seen by the police when it is fired.
Since antigun elitist politicians cannot possibly seek advice
from those knowledgeable about firearms, they and their brethren will probably continue in their ignorance until removed
from office by the voters - as were his two predecessors
responsible for 1he 1989 California assault rifle law.
Fig. 432. M16/AR15 gas system assembly. shown separated.
Compensator Lock Washer

The compensator lock washer exerts pressure between the
rebated end of the barrel and the compensator to prevent the
latter from unscrewing. All Al and early A2 models used a
thick, split ring washer. Newer A2 civilian models use a thin
washer and military A2s use a "peel" washer. The peel washer
consists of a series of steel laminates. When the cage-type
compensator is installed, the middle slot must be at top dead
center (TDC) or within 10 degree's of TDC. T o bring the
compensator to this position, laminates can be "peeled" off
the washer. As each laminate is 0.0002 inches thick, the angular position of the compensator will move 10 degrees clock
wise for each lamination removed.
Gas System
The gas system drives the Ml6/AR15 rifle. Propellant gases
bled from the bore flow through a port drilled in the barrel.
The gases flow back through a stainless steel tube into the
hollow key attached to the bolt carrier. The energy imparted
by the propellan1 gases to the bolt carrier via the key drives
the bolt carrier backward, causing the bolt to unlock from the
lugs in the barrel extension. The bolt carrier continues back in
its track in the upper receiver, cocking the hammer as it goes,
until the spring-loaded buffer overcomes its rearward motion
and drives it forward again, stripping a new round from the
magazine and loading it into the chamber. The final step of
the forward motion causes the bolt to turn as it moves along
The diameter of the barrel's gas port is critical lo proper

functioning. The gas port in the standard configuration 20 inch
rifle barrel is 0.82 inches in diameter. In the 16 inch barreled
carbine it is 0.62 inches in diameter and 0 .92 inches in diameter in the 11 inch Commando model.
The gas system includes the front sight assembly and gas
lube. The rear front sight assembly is drilled to provide a vent
for the propellant gases leaving the barrel through the port.
T he gas tube fits i1110 the rear of the front sight assembly and
leads back through a hole in the front wall of the upper re
ceiver. It projects LO inch into the upper receiver. When the
bolt is in battery, the hollow key fits over the gas tube projection.
Front Sight Assembly

The front sight assembly is mounted on a triangular tower
through which the barrel passes, refer to Figure 4-32. The
front sight mount also serves as channel for propellant gases
vented from the barrel. The muzzle end of the gas tube fits
into a hole drilled into the rear lower section (above the barrel) of the front sight The front sight post screws into a threaded
socket at the top of the front sight assembly. The front sight
post is mounted on a disk with notches cut around its perimeter. A spring loaded detent beneath the front sight post keeps
it from moving under recoil.
The front sight post used with the XM16 and Ml6Alf
AR15AI is round with a flat top. To improve visibility, the
front sight post installed on the MI 6A2/ AR I 5A2 has four flat
sides. Turning the latter sight one click at a time moves the
front post up or down 114 minute of angle.
To prevent the front sight from moving once the rifle is
zeroed, you can coat the front sight post threads with "Loctite."
Or you can have a gunsmith drill and lap a hole beneath the
front sight post and insert a set screw. The set screw is turned
in until it presses against the bottom of the from sight post.
Using the set screw rather than Loctite allows you to make
47
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RIF
0304
changes to the front sight post easily. With Loctite, you have
to heat the front post to break the bond and remove it completely co re-coat it before reinstalling and readjusting.
Stock Assembly
The stock assembly consists of the following subassemblies:
I) butt stock, 2) butt plate, 2) hand guards and 3) pistol grip.
Three types of hand guard were used and three styles of butt
stocks. All are made from reinforced polymers. The butt stocks
arc foam-filled for reinforcement.
Butt Stocks
Three types of butt stocks are used, two solid and one sliding.
which are used primarily on carbines.
Solid Butt stocks - The first type of buttstock installed on
the XM16 and Ml6Al / AR15Al rifles were 9.5 inches long.
The second type installed on the Ml6A2/ARI5A2 are IO.I
inches long. Boch are 5.20 inches high at the butt plate, see
Figure 4-33
12~
111
~-~
'!
10
9~
Fig. 4-33. M16/AR15 fixed butt stock: 1) butt stock, 2) 0-ring, 3)
sling swivel, 4) hinge pin, 5) hinge, 6) butt plate, 7) butt plate screws
(2), 8) butt plate spacer, 9) butt plate door, 10) retaining pin, 11)
plunger spring and 12) plunger.
The ritle butt has two holes. The upper hole is 1.13 inches
in diameter and slides over the receiver extension tube. The
lower hole is 1.1 wide x 1.85 inches high and 7 /8 inches deep
and is used to store the ritle cleaning kit. Competition shooters often use the lower hole to hold lead weights to improve
the balance of the ritle.
Note: When removing the butt stock, do so slowly and carefully so that the rear retaining pin detent spring, which is compressed in a tunnel between the receiver and butt stock, is not
lost.
Sliding Butt stocks - The sliding, or collapsible, butt stock

was developed for use on the carbine versions of the M 16.1
AR15, see Figure 4-34. When closed, this butt stock is 6.8
inches long; when open, it is 10. I inches long, the same as the
solid butt
stock.
The sliding
butt stock
consists of a
replacement
receiver extension with
its own buffer
and spring assembly, receiver end
plate and receiver extension nut. The
receiver extension has an
inverted
channel for
the polymer
Fig. 4-34. M16/AR15 carbine sliding buttstock: 1)
buffer, 2) end plate, 3) receiver extension nut, 4)
butt stock
receiver extension tube, 5) action spring, 6) sliding
which slides
butt stock, 7) release lever locking pm, 8) spring, 9)
over the rerelease lever, 10) lock nut and 12) pin.
ceiver extension. A spring-loaded release lever controls the position of the
butt stock on the receiver extension. It has three positions,
closed, half extended and fully extended.
The top of the sliding butt stock has a mounting slot that
allows the use of a sling over the top of the rifle. The front of
the sling attaches to the front sight with a clip that slips around
the rear of the front sight and under the gas tube.
The rear of the sliding butt stock is fonned into a flat,
oval butt pad. Those manufactured by Colt are 1.765 inches
in diameter and 4.25 inches high. A nonslip diamond pattern
with eight diamonds to an inch is molded into the butt pad.
The butt pad is cut out for the receiver extension end.
The lever is a wide ''"V" shaped trigger which bears against
the bottom of the stock . When depressed, it pulls a springJoaded steel pin out of a hole cut in the bottom of the inverted
channel on the receiver extension so that the sliding butt stock
can be moved to a new position.
Hand Guards
All hand guards are made in two pieces (left and right in
the XM 16 and Ml 6A IIAR l 5A I, and upper and lower in
the Ml6A2 and M4Al) and clamped in place around the
barrel by the barrel slip ring at the receiver end and a hand
guard cap at the muzzle end, directly behind the front sight
assembly.
48
00038
0304
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RIF
0305
The original hand guards installed on the XM 16 and

Ml6A l/ARl5AI were triangular in cross section and wider
at the receiver end (2.6 inches) than the muzzle end (1.7 inches)
and 12.25 inches long. They had ten oblong cooling holes
across the top and five along the bottom for heat dissipation,
sec Figure 4-35.
effective when the rifle is fired on full automatic.

The pistol grip assembly consists of the pistol grip, pistol
grip screw, and pistol grip screw lock washer. In addition, the
pistol grip holds the buffer detcnt and its spring in place.
Two types of pistol grip were used, see Figure 4-36. The
Ml6Al /ARl5Al pistol grip has a checkered panel on either
side and a smooth front and rear surface. The MI 6A2/ AR I 5A2
pistol grip has vertical ridges at the rear and finger grips.
A machine screw and split ring lock washer are inserted
through the bottom of the pistol grip to thread into a lug behind
and below the trigger assembly. Immediately ahead of the
pistol grip is the lug mounting for the front rear of the trigger
guard which is held in place by the rear trigger guard pin.
Finish
Fig. 4-35. M161AR15hanciguards: A1-type below and A2type

above.
Hand guards on the Ml 6A2/ AR I5A2 were round in crosssection with a slight taper from rear to front . At the rear, the
hand guards are 2.5 inches in diameter and at the front, 2.05
inches. Length is 12.25. They have fifteen round cooling holes,
top and bottom.
Hand guards installed on carbines are shorter at 7 inches
long. They are 2.8 inches in diameter at the rear and 2 .5
inches in diameter at the muzzle end. They have six round
cooling holes top and bottom.
All hand guards have metal liners riveted to the interiors
to provide heat protection for the hooter's off hand.
Pistol Grip
The pistol grip on the M 16/ AR 15 is four inches long and angled
to the rear 60 degrees to help the shooter position his or her
hand so that the trigger finger is more in line with the trigger
than if the hand were grasping a straight stock. It is most
Ag. 4..36. Right, Ml6A I p1slo/ grip, left. M 16A2 pistol grip .
The standard finish for the military M 16 rifle steel parts of

whatever configuration is a matt gray-black parkerizing.
Parkerizing is the trade name for a process by which a coat of
manganese phosphate is applied to the metal to slow down the
rusting and corrosion process. Notice, I said slow down, not
prevent. Aluminum parts are anodized. Both finishes are applied to matt polished metal to produce a non-reflective surface that will not reflect light.
Parkerizing is applied to all steel surfaces on military rifles.
including bolt carriers. T he U. S. Army does allow nonparkerized bolts to be installed in rifles used within the borders of the Continental United States (CONUS). but only
parkerized bolts can be used overseas.
Aluminum parts such as upper and lower receivers are
hard anodized to Military A8625, Type Ill, Class II finish
which provides a dull gray-black coating. A finish coat of
nickel acetate is applied as a sealant.
The plastic used to make stock and hand guards is colored
a nonreflective matt gray-black. The coloring material is embedded in the plastic .
On most commercial AR 15 rifles steel parts are parkerized
to something approaching the military Mil-Spec standard .
Aluminum parts are hard anodized to a variety of standards.
In earlier years, some manufacturing companies painted upper and lower receivers and other aluminum parts with various types of enamel paint. Obviously, this will not be as longwearing a finish as anodizing.
After use or cleaning, the surface of your Ml6!AR15
should be wiped down with a clean cloth. Dirt can be removed with a mild solvent or soap and water. The sur face
should then be wiped with an oily rag to leave a coat of lubricant on the surface to retard rust and corrosion. Do not apply
so much oil that the rifle becomes slippery and hard to hold.
For long term slorage, oil lightly with a silicone-based
lubricant and store the rifle or parts in airtight bags with a
desiccant. Silicone lubricants arc also rust preventatives.
49
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0307
Chapter 1
Beginnings
Because of its checkered past, as well as a design
very different from what Americans had carried in the
past, the AR-15 sparked more controversy than any other
rifle in recent history. It has inspired both hatred and love
among those who have carried it on the battlefield, into
the field to plink, or in the back of a patrol car.
In part, these emotional reactions stem from the
rifle's design. Where walnut and polished blue steel
nomrnlly are found, the AR-15 boasts waterproof plastics
and an aluminum receiver. And even though the gun is
becoming old (as military fireanns designs go these
days), its styling and good human engineering continue
to give it a space-age appearance that traditionalists view
with horror, even though the gun is now pushing the halfcentury mark.
The AR-15 was among the first firearms of the 20th
century designed to take advantage of modem industrial
methods. This allowed for streamlined production
without a lot of special milling while also giving the
shooter a lightweight, durable weapon that didn' t look
like it had been cobbled together by a plumber and sheetmctal worker. The use of plastics and aluminum in major
assemblies along with castings and steel stampings
allowed many machining operations to be done away
with, which also made the gun less expensive to
manufacture, an important factor in the marketplace.
At the same time, nothing was sacrificed in quality.
Employing modem industrial machinery to fabricate rifle
parts also allowed tight enough tolerances to permit
ready substitution of parts when repair or replacement is
necessary, a real plus for military users and a boon to
gunsmiths. Likewise, the tight tolerances made off-theshelf AR-l 5s as accurate as any highly modified target
version of previous military rifles.
The AR- 15 was conceived as a light and handy gun
chambered for a cartridge that would produce a light
recoil while shooting a bullet that took advantage of the
high-velocity wounding potential ofa small projectile.
The overall result was a very potent battlefield weapon.
Despite the initial adverse reactions, it wasn't long

before the excellence of the AR-I S's design became
apparent to everyone. In fact, its design features have
been copied by manufacturers of many other military
rifles, and more than a few knockoffs can be found in
such diverse places as the People's Republic of China
and the U.S. civilian market.
Like the rifle itself, the .223 Remington cartridge
(also known as the 5.56x45mm and the 5.S6mm NATO)
that was developed for it has greatly influenced military
thinking and has proven to be the most effective rifle
cartridge ever created for combat. While the future will
undoubtedly see the fielding of a more lethal round, the
.223 Remington is going to be a hard act to follow. Little
wonder, then, that many countries have adopted the
round for their battle rifles and that the former Soviet
Union switched to a very similar round for its AK-74
assault rifles. Little by little, the cartridge (or one
virtually identical to it) has been adopted by all the major
military powers of the world.
ARMA LITE 'S BETTER IDEA
The lineage of the AR-IS can be traced to the 1950s.

Interested in creating a small business, engineer and
attorney George Sullivan, then the chief patent counsel
for Lockheed Aircraft Corporation, initiated plans for
creating rifles that departed radically from previous
civilian firearrns as well as those used by the U.S.
military. Some brainstorming with firearms inventor and
international arms broker Jacques Michault produced
sketches and plans for rifles that would use aluminum
receivers, fiberglass stocks, and straight-line, high sight
layouts with a rear sight that doubled as a carrying
handle- all of which later found their way to the AR- IS.
Feeling that such firearms had a great potential in the
civilian marketplace as well as with the U.S. military,
Sullivan soon invested in a machine shop in Hollywood
with the intention of fabricating experimental rifles
0307
870
RIF
0308
Ill COMPlm IR-15/M18 SDURCEBOOK
German rifles Rke this Sturrngewehr MP44 bu11l cheaply lly using modern industrial techniques, paved tl1e way for later assaull 1illes that would be developed throughthe
last hall of the 20th century
'
around the proposed designs. A short time later at a

luncheon conference, Sullivan found himself sitting next
to Richard S. Boutelle, president of Fairchild Engine and
Airplane Corporation, and took the opportunity to tell the
executive about the new rifle ideas and designs. Boutelle
quickly became interested in the project, and on October
I, 1954, the Annalite Division offairchild Engine and
Airplane Corporation opened its doors in California.
The fin;t rifle created by the fledgling company was
the AR- I (Annalite Rifle number I), based on a design of
Sullivan and his brother-in-law, Charles Dorchester (who
later became the plant manager for the new company).
The two had actually started working on the rifle in 1947,
so it was quickly completed once the new company
started operation. The result was Annalite's Parasniper
Rifle, a scoped, bolt-action sporting rifle that could
double as a military sniper rifle. The rifle was chambered
in .308 Winchester round (7.62mm NATO) and
incorporated three feature!. that would be seen in later
rifles of the series: a fiberglass stock (filled with foam),
an aluminum receiver, and an aluminum barrel with a
steel lining.
Annalite's charter required that it develop prototypes
and, when the designs were perfected, license the
manufacturing rights to other companies. It was hoped
this would quickly generate money for the fledgling
company while minimizing capital outlays.
Consequently, since there were no buyers for the design,
the AR- I never got beyond the prototype stage. The rifle
did show the potential for creating a fireann with modem
materials and techniques, however, and opened the door
for the designs that would soon pour from the company.
cf
,.::=
Stoner patent drav, rg for the r t:e de gt1 ~ e brought w tn him to the Armalte
company.
Eugene Stoner is the man whose name most often comes

to mind as the designer of the AR- 15. And nghtly so,
since it is obvious the lion' s share offeatures found on
the guns leading up to the AR-15 were his ideas. Stoner
was not with Annalite from the start but joined the
fledgling operation as Annalite 's chief engineer, winning
this position with a semiautomatic rifle design he had
brought with him to the business. Stoner continued
working on this rifle, which would eventually become the
company's AR-3.
So although the AR-3 never went into large-scale
production either, it embodied many of the features that
later found on the AR- 15, including an aluminum body
and a fiberglass stock. And it too demonstrated the
practicality of Annalite's goals and blazed the path for
subsequent rifles.
Eugene Stoner
A former marine and am1y ordnance technician,
0308
871
RIF
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81611111165
.;.&,
The AR-3 prototype rifle (Photo by Randy Green )
me
AR3 barrel and gas tube. (Photo by Randy Green I
The AR3 trigger group and bol assembly. (Pho!o by Randy Green.)
..
'
z 11
.1:
. . :
The AR3 barrel bolt assembly, and earner above recoil spring (Photo by Randy
Green.)
"AR-3" stamp nslde receiver. (Photo by Randy Green )
Two other talented workers were soon teamed up

with Eugene Stoner: L. James Sullivan (no relation to
George Sullivan), who worked as a designer/draftsman,
and Robert Fremont, who supervised prototype
manufacture and led studies that determined whether the
tolerances needed for rifles would be practical from a
mass-production standpoint. These three men worked on
a number of the Armalite weapons and became the
driving forces behind the company' s design work (as
well as such work worldwide in the decades to come).
Both Stoner and Sullivan would later go on to
View of AR-3 receiver. (Photo by Randy Green.)
0309
872
RIF
0310
THE COMPlETE AR15/M16 SOURClBOOl

offered to licensing companies, but not when they
actually went into production.
Many of the guns never even got into production
and some hardly got off the drawing boards. The AR-2,
AR-4, AR-6, and AR-8 never went into production or
were even offered for licensing as far as anyone knows.
Exactly what these "missing" models might have been is
unknown, and they may or may not have been similar to
the company's other firearms (for example, the AR-13,
according to company officials, was a "hyper-velocity
aircraft gun"). And some of the models, such as the AR16, were limited to prototypes because no manufacturers
expressed interest in purchasing the rights to them.
While working on this book, I was contacted by

Randy Greenfield, who happened to have bought the
AR3 prototype. The pictures shown here are
possibly the only ones ever to appear in print The
gun was well machined and looks like a production
firearm. And while the layout and many of the
components are not consistent with the design that
would eventually be adopted for the AR 10 and AR
15, they point to the route the designers were taking
that would eventually lead to these guns. As such,
this makes this a very interesting bit of history. As
Greenfield wrote,
I used a magnet to test the rifle and the
following parts are non-magnetic and presumably
were machined aluminum blocks:
THE AR-5
Annalite's first brush with commercial success came
in 1957 with the AR-5 rifle, which was designed for the
U.S. Air Force's requirements for an aircrew survival
weapon. Work on the AR-5 was apparently initiated by
the friendship between Boutelle and Gen. Curtis LeMay,
who headed the U .S. Strategic Air Command.
The AR-5 was a bolt-operated rifle chambered for
the .22 Hornet. The rifle used a detachable magazine,
designed for the Harrington & Richardson (H&R) M4
survival rifle being built for the air force, and a barrel that
was held to the front of the receiver by a threaded ring;
the rifle was 30 1/2 inches long when assembled and 14
inches when broken down, making it short enough to
meet the air force's length requirements.
The rifle's receiver/action, barrel, and magazine
could all be stowed in the A-S's hollow fiberglass stock
when the firearm was broken down for storage. The
materials used to make the rifle were so light that the rifle
could float on water because of the buoyancy of the
hollow stock (undoubtedly a strong selling point for a
survival rifle, which might conceivably see use in a life
raft or near the water). In addition to holding the rifle
components, the hollow stock had a small storage
compartment for a kit of matches, needles, fishhooks, and
so forth, making it a survival package in itself.
Twelve AR-5s were fabricated for air force testing
and, with some minor modifications, accepted for use on
military planes. The AR-5 was designated the MAI by
the air force, but Annalite never saw any great monetary
results from the rifle because the air force's large
inventory ofM4 and M6 Survival Guns precluded the
purchase of significant numbers of the AR-5 (MA I).
Nevertheless, the experience of dealing with the
military and the enthusiasm shown for the gun by those
testing it suggested to those running Armalite that there
might be a market for military fireanns. Thus the
company adjusted its initial marketing thrust, which
Receiver
Trigger housing
Magazine housing
Front sight
The magazine itself has a stamped aluminum
housing and machined aluminum follower block. The
assembly is similar to the M14 with the barrel fitting
into the stock and the trigger group locking it from
the bottom. The trigger group is held to the stock
with two screws, a machine screw forward of the
magazine and a wood screw behind the trigger. I
weighed the complete rifle on a reasonably accurate
scale and It is in the 6-7 pound range.
create a variety of new firearms and related products.

Sullivan is credited with extensive work on such
firearms and products as the A T-22, Ultimax I 00
LMG, Hughes Chain Gun, Ruger Models 77 & Mini14, and C-Mag, as well as many other designs that
haven't met with as much success and recognition as
these have enjoyed.
By the Numbers
It should be noted that several Arrnalite firearms
were being developed during the same period rather than
just one after another as might be suggested by the
numbers the company gave the various models.
Apparently, such designations were assigned to rifles as
new models were put into development, and so it's
probable that several firearms were in various stages of
development at any one time. The numbers only indicate
to some extent the order in which the fireanns were
0310
873
RIF
0311
IEllNNllGS
AR5 survival rifle.
focused on ci\ilian buyers while considering later

advancement into military sales, and embarked on a twoprongcd development course that would produce guns
aimed at ci\ ilian as well as military buyers.
Although Armalite acn1ally produced a few of these

firearms and sold them to the public, rather than tic up its
production equipment with the rifle it sold the rights to the
AR-7 to Charter Anus Corporation in mid-1973. Charter
Anus produced the firearm for a number of years as the
AR-7 Explorer and later sold a pistol version called the
Explorer Pistol. (This pistol version may have been created
earlier by Anualite, although Charter Anns has generally
received credit for this design; a photo of Sullivan
surrounded by Armalite's firearms shows him holding a
Golden Gun shotgun in one had while holding what
appears to be a pistol version of the AR-7 in the other.)
In 1990, Survival Arrns, Inc. took over production of
the AR-7, working under a license agreement with
Charter Arms. In the late 1990s, AR-7 lndustries, LLC
also commenced production of the AR-7. In 1998, the
design came full circle and was introduced into the
product line of the newly reorganized Annalite company.
(For a more detailed look at the AR-7 and its many
variations, spin-offs, and accessories, see AR-7: Super
Systems, available from Paladin Press).
THE AR-7
To take advantage of the work it had done on the
AR-5 as well as create a viable moneymaker, Armalite
created the AR-7 with an eye toward the commercial
market in the United States. The rifle had the basic layout
of the AR-5 but was chambered for the more popular .22
LR and changed to a scmiauto blowback action (which
was inexpensive to manufacture). The detachable
aluminum barrel (wrth steel lining) was lengthened to 16
inches to confonn to the U.S. Bureau of Alcohol,
Tobacco, and Fircanns (BATF) regulations for civilian
rifles. The ability of the rifle to be broken down and
stored in the hollow stock was retained, as was its ability
to float on water.
THE AR-17 GOLDEN GUN

Annalite's AR-9 was a semiautomatic shotgun with
an aluminum barrel and body incorporating a number of
design features that later found their way into the AR-10
and AR-15 rifles (including a rotating bolt design).
Rather than market the 5 I12-pound shotgun, Arma lite
decided in 1955 to shelve the design and instead exploit
many of its features for a commercial shotgun that was
AR 7 Explorer Pistol
AR-7 lrnlustry ntles.
0311
874
RIF
0312
THE CGMPl..ETE U15/M16 SOIRCIBIOI
AR-17 Golden Gun.
Three AR 1Oprototypes created by Stoner
eventually marketed as the AR-17 Golden Gun. This twocartridge semiauto shotgun met with limited success and
was in many ways ahead of its time, with a polycarbonate
stock and an anodized aluminum barrel and receiver (both
of which normally had a gold-colored finish).
cartridge {feeding off a Browning Automatic Rifle

magazine) and was later modified for the new 7.62mm
NATO cartridge, which appeared to be on its way to
becoming the standard round for much of the free world.
As with most modem firearm designs, Stoner's work
built upon earlier systems. Much of the bolt and receivermounted recoil tube of the AR-10 (and later the AR-15)
can be traced to the original design of the Johnson light
machine gun, which had been created at the end of World
War II by American inventor Melvin M. Johnson Jr.
While this automatic rifle saw only limited use during
THE AR-10
Development of the AR- I 0 can be traced back to
1953 to a design Stoner created before joining Armalite.
Stoner's rifle was originally chambered for the .30-'06
0312
875
RIF
0313
BUlllllll&S
World War II, it did prove to be a successful and
forward-looking design, and it is obvious from a casual
inspection of the AR- 10 that Johnson's gun had a strong
influence on Armalite's designers.
In fact, it's possible that Johnson himself had a hand
in some of the developmental work with the AR-10
because he was on Armalite's payroll as "military rifle
consultant and publicist"- perhaps one of the odder j ob
descriptions of the century. At any rate, one of the most
important features of the light machine gun to find its
way into the AR- I 0 was the cam-controlled rotary bolt,
which locked into the barrel, rather than the receiver, of
the new gun. This made it possible to use a lightweight
aluminum receiver with the firearrn since the barrel
supported all the gas pressure produced when the weapon
was fired.
Another feature that enabled the AR-IO's light weight
was a simplification of its gas system. In lieu of a complex
rod and spring assembly, a blast of gas was diverted
through a gas port in the barrel and routed down a tube to
unlock the firearm's chamber shortly after a round was
fired. This, too, was borrowed from a previous firearm
design, the Swedish Ljungman Gevar 42, which, in tum,
was later employed with the 1944 and 1949 MAS rifles.
Even today, Armalite is a bit touchy about the
suggestion that it built upon past designs, arguing that the
AR-JO gas system is not the same as that of the Ljungman.
In a sense this is true, since the gas system of the AR-10
and subsequent Armalite designs based on it employ a
camming bolt and carrier, which are unlocked by gas
pressure pushing against the bolt carrier key. However, it
should be noted that the Ljungman system, like the later
AR-10, has a tube that ports gas from the barrel to a cavity
in the bolt carrier, thereby causing the gun to cycle. This in
no way takes away !Tom the genius of Stoner in building
on the past to assemble a system that was greater than the
sum of the parts borrowed from past fireanns.
Even though no one was injured, the potential for harm to

testers was obvious, and the rifle was immediately pulled
from the trials.
Stoner- with the assistance of armorers at the U.S.
Springfield Armory-quickly fabricated an all-steel,
conventional-style barrel for the rifle so the testing could
be resumed. Ironically, it was later discovered that milling
longitudinal cuts into the steel barrels allowed the rifles to
remain as light as those with aluminum-and-steel barrels.
One of the main features of the rifle, an efficient
muzzle brake that had originally been made of
"duralumin," was replaced by an equally efficient but
more durable- and also more expensive- one made of a
titanium alloy. This added considerably to the expense of
the firearm. And the "Buck Rogers" look of the rifle
undoubtedly met with some negative reaction from
conservative forces in the military. Add the minor
malfunctions, part breakage, and the barrel failure, and
the U.S. Army's enthusiasm for the new Armalite rifle
quickly dropped off. A short time later, the army chose
the M 14 rifle over the Belgian Fabrique Nationale (FN)
FAL and the AR-JO.
The Dutch AR-10
Even though the AR- 10 was still being redesigned
by Stoner and L. James Sullivan, Fairchild had actively
promoted the rifle worldwide. In 1957 Annalite licensed
the government-owned arsenal of Artillerie-lnrichtingcn
of Hembrug, Holland, to manufacture the new rifle with
an eye toward sales to the Dutch military as well as to
other buyers around the world.
For a time the Dutch military seemed poised to
purchase large quantities of the AR-10; Artillerielnrichtingen quickly invested $2.5 million to tool up for
producing the new rifle, undoubtedly with a hope of
some large initial sales at home. During this period the
AR- I OA design was modified, with the gas tube being
moved from the side of the barrel to run instead from the
front sight/gas port assembly and down along the top of
the barrel to a "gas key" coupled to the bolt carrier.
Since the Dutch military wanted the capability to
launch rifle grenades from any rifle it adopted, the
efficient muzzle brake of the original AR- JO was
sacrificed for a more conventional flash hider that could
accommodate a rifle grenade. This was an unfortunate
trade-off because it sacrificed much of the lightweight
rifle's ability to handle full-auto fire without loss of
control by the shooter.
Because Fairchild executives expected large sales of
the AR-JO, the Artillerie-Inrichtingen arsenal was licensed
to build, but not sell, the new rifles. Worldwide sales rights
were broken down and sold by Armalite to Interarms
(which was to handle sales to Norway, Sweden, and
Trials and Tribulations

A version of the AR- I 0, the AR-IOA, was submitted
to the U.S. Springfield Armory in 1956 for testing as a
possible replacement for the MI Garand rifle. The AR- I 0
was able- unlike the M14-to shoot in the automatic
mode while remaining easy to control due to its straightback design and a special titanium muzzle brake. The
rifle met with success, and soon the army expressed an
interest in more rifle trials with the new weapon.
Unfortunately, Annalite switched from the first
prototype guns with their had steel barrels to a new
design that used a steel liner surrounded by an aluminum
jacket (similar to that developed for the earlier Annalite
survival guns); during military tests early in 1957, the
barrel burst just ahead of the soldier firing the weapon.
0313
876
RIF
0314
THE COMPlOE U-15/116 SOUICEBOOK
"Family" of AR 1Os created by Artillerie-tnnchtingen
10
0314
877
RIF
0315
IEGllllllB$
The Cuban-Sudanese version of the AR-1 O.
Finland, as well as all South American sales and African

sales south of the Sahara) and Cooper-Macdonald, Inc.
(which was to handle Southeast Asian sales).
The first AR- I Os Artilleric-lnrichtingen produced
were plagued with problems, including poor accuracy
due to improper heat treatment of the cold-forged barrels.
By the time these problems were solved, countries
shopping for a 7.62-caliber battle rifle had adopted the
FN F AL or weapons offered by other manufacturers. The
nail in the coffin for the AR- I 0 came when the large
Dutch contract that had been expected fell through.
In the end, Artillerie-Inrichtingen manufactured
fewer than 6,000 AR- I Os. Cuba, Mexico, and Panama
purchased only a handful of the guns for testing;
Venezuela chose to buy only 6; Finland asked for 10, and
Guatemala purchased from 200 to 500. The "large
numbers" went to Sudan, which acquired from 1,500 to
l ,800; Portugal, which procured from 800 to I ,000; and
Nicaragua, which bought 7,500.
In short, the AR-10 was a commercial failure.
Artillerie-Inrichtingcn finally halted production of the
rifle in 1959, and Colt's Patent Fireanns was licensed to
manufacture the improved version of the AR-JOA. By this
time the weapon had seen major improvements in the fonn
of a stronger extractor, a more reliable magazine system,
and a cocking handle that had been moved from inside the
carrying handle to the rear of the receiver. It had become
an excellent weapon with no interested buyers, since both
the Fabrique Nationale and Heckler & Koch now were
offering similar rifles in the same chambering that had had
the advantage of extensive military testing by some of the
major armies of the world. In short, no one wanted to take
a chance on the AR- I 0 when there were other "safe"
choices that had been adopted by Germany, Britain, and
other large military powers.
several light machine gun (LMG} variations, and a sniper

model. Included were belt-fed guns as well as a clever
high-capacity magazine that utilized a spring-lifter that
enabled a standard AR-I 0 to feed hundreds of cartridges
without the need to reload or modify the gun for belted
operation. Later, Colt's went on to modify the gas tube
and spring-load it for use with quick-change barrels and
developed a belt-fed model of the rifle. But, as with later
firearms families, none of the variations attracted much
interest among military buyers.
Today most authorities see the AR-JO as an excellent
weapon that missed its place in history because of poor
timing and marketing. And despite rumors of
manufacturers tooling up to construct a version of the
AR-JO for the public, such civilian models have all been
AR- 15 variants chambered for the -308 round. A true AR10 built to the specs of the original design has ne\'er
materialized. The problem with creating a new AR-JO is
one of economics; it will always be cheaper to produce an
AR- I 5 chambered for the -308 than to completely retool
for a true AR-JO rifle that is not much different and has
little to offer other than historic interest to the buyer.
While exact figures aren't known, it appears that the
numbers of AR- I 0 rifles sold by Armalite and its
contracts during this original organization of the company
(not to be confused with the current operation covered
later in this book) were quite small. Among these were a
few apparently chambered for the Soviet/Russian
7.62x39rnm cartridge, which were tested by Finland as a
possible alternative to its AK-47-style Valmet rifles.
Most of these AR- I Os were simply for testing and
evaluation. Additionally, Nicaragua ordered 7,500 ARI Os but canceled the order when one of the test
weapons allegedly blew up. The total numbers
produced are as follows:
AR-10 Innovations at Armalite

While developing designs for the Artillerielnrichtingen, Annalite devised several innovative
versions of the AR- I 0, including a short-barreled carbine,
Country
Cuba
Finland
Guatemala
Quantity
1
6- 10
200-500
11
0315
878
RIF
0316
Tll CllllPlm IR-1511116 SGllC!llOllK
12
0316
879
RIF
0317
lll&lltllllS
Mexico
Panama
Portugal
Sudan
Venezuela
but never went beyond the prototype stage. The AR-14

was the sporting version of the AR-10 with a
conventional Monte Carlo stock (without a pistol grip)
and iron sights. It was chambered for .308
Winchester 7.62mm NATO, .243, and .358.
The AR-16 rifle appeared during I 959 and was
notable because it exploited the inexpensive
manufacturing techniques pioneered by the AR- I 2.
Chambered for the 7.62 NAT0!.308 Winchester, the
AR-16 wasn' t commercially successful; only three of the
guns were ever made. But the rifle did break ground for
the development of the AR-18, which would eventually
become a competitor with the AR-15 for use among the
militaries of the free world.
800-1,000
1,500-1,000
I
LESS WEI.L-KNOWN ARMALITE RIFLES

Amialite also created the AR- I I, which boasted a
conventional stock and resembled the AR-3 (and was
chambered for the .222 Remington cartridge that
eventually would be modified to become the round used
in the AR- I 5). The company' s AR-12 was a steelstampings version of the AR- 10, the basic design of
which was modified to make it easy to mass-produce in
Third World countries; the AR- I 2 was
chambered for the 7.62mm NATO and
might have been made at about half the
cost of the AR- I 0
THE AR-15
Whereas Armalite's timing had been all wrong and

economic failures seemed to be the norm for previous
offerings from the company, the AR-15 enjoyed
~~~:::~~~~=========J~u:st the opposite. The rifle captured the

T
imagination of buyers and had
~~~~~~i~~~~~~~~~~
several
that made
the saleslucky
of thebreaks
gun skyrocket.
One could conclude that
this was to be expected,
however, considering all the
work Armalite had put into the
design of the guns that led up
to the AR- I 5. Add to that the
fact that company officials,
salesmen, and other personnel
had by now created a lot of
good contacts within the
industrial-military complex as
well as becoming more savvy
marketers of fireanns in
general. Having gained
valuable experience with
GAS...,.
Diagram showing the operation of the AR 15. Hot gas 1s

bled from the barrel and piped down the tube to shove
the bolt carrier rearward, camming the bolt and
extracting the empty brass as it travels backward. The
bolt and carriei are then shoved forward by the buffer
spring to strip another rournl from the magazine and
chamber it as the bolt locks back into the barrel.
The XAR1501 prototype that viould eventually lead to the AR 15 design.
13
0317
880
RIF
0318
A Shaoter '
Edition,
vised and
panded
, Inc.
0318
881
RIF
0319
"E dgewater" ring

springs . T he ring
springs had alternating
7
According to the promale and female ends
~~23
visions of the 1968
and were shaped to
24
act like wedges when
Gun Control Law, the
compressed, a clever
"gun" as it contains
idea that worked in
22
the firing mechanism
in the form of the trigthe range but not in the
ger assembly. It also
field.
contains the magazine
Oil, dust and debris
assembly, the pistol
affected their perfor~
20
grip and the buttstock
mance, and they were
assembly including
replaced in December
25
the recoil spring as17-..A
1966 by a new buffer
sembly, see Figure
design
from Colt.
1~
5-9.
This Colt buf
15
The lower refer assembly replaced
ceiver of both models Fig 5-9, M16/AR 15 fowerreceiver assembly 1) lower receiver. 2) selector. 3) buffer
the " Edgewater ring
is forged or cast alu- retainer. 4) buffer retainer spring, 5) takedown detent, 6) takedown detent sprmg, 7)
springs" with a poly
magzine release, 8) magazine release plunger. 9) plunger spring, 10) bolt release. 11)
minum alloy. Military bolt release pin . 12) magazine well, 13) trigger well, 14) receiver extension housing.
urethane "bumper" or
models are forged as 15) trigger guard, 16) trigger guard plunger. 17) plunger spring, 18) trigger guard pivot
shock absorber . The
are many commercial pin, 19) rear receiver pin, 20) magazine release button, 21) button spnng, 22) forward
bumper impacted five
lower receivers . A takedown pm, 23) takedown pm detent. 24) detent spnng, and 25) trigger guard pin.
sliding weights in the
casting, if properly
body that were sepadone and heat- treated, is neither stronger nor weaker than a rated by butyl rubber disks to prevent the bolt carrier from
properly executed and heat-treated forging.
rebounding at the end of the stroke.
The front of the lower receiver has two ears or lugs.
The new Colt buffer was three times heavier than the
The front lug fits between the two lugs on the lower receiver old and so acted to reduce the cyclic rate in full auto fire. A
and is held by a two-piece takedown pin in civilian models very fast cyclic rate had caused excessive jamming and parts
or a captive single-piece retaining pin. A recess milled into breakage. Military cartridges loaded with the original Olin
the lower receiver at the back, just ahead of the recoil spring WC846 ball powder had been found to raise cyclic races as
housing, provides room for the upper receiver's rear lug which high as 850 to 900 rounds per minute with the old buffer.
is secured by a takedown pin. The takedown pin is held in the
the buffer retainer driven by a coil spring. When removing
At the front of the lower receiver is the magazine well.
the buffer assembly always make certain you hold the buffer
Immediately to the rear on the right side is the magazine repiston in place as you depress the buffer retainer. The buffer is
lease button housing. Below and behind are the two ears for
under heavy spring pressure and could cause injury if allowed
the trigger guard which is held in place with the spring-loaded
to fty loose.
plunger at the front and a roll pin at the rear. The rear roll
The spring that drives the buffer is referred to as the
pin should only be removed and reinstalled using a 118-inch
"action
spring. " It is formed from steel wire 0 .070 inch in
flat-faced punch. Be careful not to let the punch slip or you
will deform the ears. The front pin can be depressed on the diameter. The spring is 0.940 inch in diameter and has 38
right side with the point of a cartridge to lower the trigger coils. Military specifications require !he spring to be between
I I. 75 and 13.5 inches long.
guard for use when wearing heavy gloves.
The buffer is piston-shaped with three fiats around the
circumference of its head (0 .980 inch), and the tubular porReceiver Extension
At the rear of the lower receiver is the threaded ring to which tion is 0.695 inch in diameter and 2.86 inches long. The
the receiver extension is mounted and which contains the polyurethane shock absorber is shaped like a truncated cone
buffer assembly. The buttstock (fixed or collapsible) slides and pinned into the open end of the buffer.
Lower
Receiver
14
~.:
10
(()__:? 1
~
..
'
cfi:::7
over the receiver extension and is secured by the receiver

extension nut.
The original buffer was a hollow tube containing five
Solid Buttstock Receiver Extension- The solid buttstock

receiver extension screws into the rear of the receiver. It is
49
0319
882
RIF
0320
a smooth, round tube 1.25 inches in diameter and 10 inches

7. 25 inches in diameter flattened on two sides and drilled and
tapped for the upper buttstock screw, see Figure 5-10.
Fig. 5-11. Collapsible stock buffer assembly: 1) receiver extension

Trigger Assembly
Fig. 5-10. Solid buttstock receiver extension: 1) receiver
The solid buttstock model uses a separate stepped spacer

at the end of the receiver extension. It is 1.20 inches in diameter and 0.820 inch long. The stepped end is 0.720 inch in
diameter and 0.210 inch high. A recess on the opposite end
is 0.755 inch in diameter and 0.210 inch high. The buttstock
screw (upper screw in butt plate) threads into a hole drilled
into the end of the extension tube (arrow).
Collapsing Buttstock Receiver Extension - Rifles or carbines equipped with the collapsing buttstock use a tube 1.45
along the bottom for the sliding bunstock catch, see Figure
5-11. A steel collar or "end plate" fits between the receiver
and the receiver extension nut. The hole through its center
has a key with a channel cut along the threaded end of the
receiver extension tube. The plate holds the rear takedown pin
spring and detent in place, provides support to the receiver
extension and serves as a washer for the receiver extension
nut to be torqued against. The after end of the receiver extension has a small, 0.085-inch-diameter hole drilled through it
to allow air to escape when the buffer is being compressed
by the bolt carrier.
Note: If for any reason you remove the solid buttstock rifle
receiver extension, it must be tighcened when replaced to
between 35 to 39 ft-lbs using a torque wrench and the combination wrench. If a carbine receiver extension, the correct
torque selling is 38 co 42 ft-lbs. Since the lower receiver must
be gripped in a vise in such a way that it is not deformed, this
is an operation best left to an experienced gunsmith with the

ARIS. The first was semiautomatic only in function with
two positions, safe and semiautomatic, marked "SAFE" and
"FIRE." The second was select fire in function with three posicions, safe, semiautomatic, and automatic, marked "SAFE,"
"SEMI" and "AUTO." The third was developed for the A2
military rifle and also had three positions, safe, semiautomatic
and burst, marked "SAFE," "SEMI," and "BURST."
5) disconnector, 6) disconnector spring, 7) hammer pin and
8) trigger pin, see Figure 5-12.
Fig. 5-12. Semiautomatic trigger assembly.
The trigger, disconneccor and hammer are pinned into the

receiver by and pivot on two cross pins. The same pin passes
through the trigger, trigger spring and disconnector.
50
0320
883
RIF
0321
pulled to the rear, the disconnector nose releases the automatic

sear hook and the hammer revolves forward and strikes the
firing pin. As long as the trigger is held back, the hammer
will continue to be released on each cycle as both the trigger
nose and disconnector nose are too low to catch the lower
hammer slot or automatic sear hook.
the Ml6, Ml6Al and Al-style carbines and AR15Al models
sold in conformance to National Firearms Act rules . It is also
found in some A2 models as well , refer to Table 3-3.
The three-round-burst mechanism adds four pans to the
automatic trigger assembly: 1) burst disconnector, 2) burst
disco1111ector spring, 3) burst cam and 4) the clutch spring,
sec Figure 5 -14. The other parts include: 5) hammer, 6)
hammer spring, 7) hammer pin, 8) semiauto disconnector, 9)
disconnector spring, IO) trigger, 11) trigger pin, 12) trigger
automatic sear pin and 16) automatic sear spring. The hammer
has an additional sear notch at the rear and an automatic sear
hook. The auto sear has one stop; the burst disconnector has
two hooks- one at the front offset to the righc to engage the
burst disconnector and a second at the rear to engage the rear
hammer notch.
position.
spring forces the trigger back into its normal position when
it is released by the shooter.
The rearward movement of the bolt carrier pushes che
hammer back where it is once again engaged by che trigger
parts than the semiautomatic trigger. It consists of: 1) hammer,
2) hammer pin, 3) hammer spring, 4) disconnector, 5) disconnector spring, 6) trigger, 7) trigger pin, 8} trigger spring, 9)
automatic sear pin, IO} automatic sear spring bushing , 11)
forced lower by a cam on the selector lever, thus moving
12
Fig, 5-14. Three-round-burst trigger assembly.
How the three-round-burst mechanism functions is quite

simple but explaining it is nm easy. When the hammer is
of the two stop notches on the burst cam. T he burst cam also
When the trigger is pulled, it releases the hammer to
fire the first round. As the hammer falls forward, the clutch
spring releases the burst cam, but the front hook on the burst
disco1U1ector prevents the cam from turning .
As the bolt carrier moves rearward, it forces the hammer back which now allows the clutch spring to engage the
burst cam and rotate it one notch counterclockwise. When
Fig. 5- 13. Full automatJC trigger assembly.
the trigger nose out of possible alignment with the hammer

slot. The automatic hammer has an additio nal "automatic
sear hook" on the top rear of the hammer (arrow), and the
automatic disconnector has a venical nose that rises al a sharp
angle (arrow). see Figure 5- 13.
When the automatic mode is selected, a cam on che selector lever forces the Crigger bar and disconnector down. When
the venical nose on the disconnector to engage the "automatic
sear hook" on the top rear of the hammer. When the trigger is
51
0321
884
RIF
0322
the hammer reaches its full rearward position, the auto sear
tips forward and engages the hammer stop at the top of the
hammer. At the same time, the front hook on the burst disconnector drops into the first notch on the burst cam.
Only by releasing the trigger and allowing the hammer
to rise far enough to be caught by the trigger nose does the
burst cam reset itself, ready to fire three rounds again.
Trigger and Hammer Pins

Both the trigger and hammer pins are 0. 17 inch in diameter
and 0 .90 inch long. They penetrate the walls of the lower receiver to serve as an axis for both pieces. The trigger pin has
a circul~r slot at each end into which the legs of the hammer
spring fit to hold it in place. The hammer spring legs go over
the top of the trigger pin.
and disconnector to be depressed far enough that neither the

trigger nose will catch the lower hammer slot nor the disconnector nose will engage the
automatic sear hook on the
top rear of the hammer, see
Figure 5-16.
When in the SAFE position, the shaft prevents it
from being moved to release
the hammer.
The selector lever is
Fig. 5-16. Automatic selector
held in position by a pointed detent driven by a coil
lever.
spring. The detent rides into
a vertical hole drilled into the right lower side of the receiver,
and the spring is captured in a hole drilled into the right side
top of the pistol grip. When removing the pistol grip, be careful not to lose the spring, refer to Figure 5-9, parts 5 and 6.
Trigger Guard
The Ml6/ARl5's "winter" trigger guard can be lowered for
use while wearing gloves. The right side front of the trigger
guard has a spring-loaded pin that can be depressed with a
bullet point, allowing the trigger guard to pivot down against
the pistol grip. The after end of the trigger guard (1) is held
in place with a 118-inch split pin (2) at the rear and a plunger
(3) at the front, Figure 5-17.
Selector Lever
The selector lever is mounted in the lower receiver in alignment with the trigger mechanism. Envision an "L" -shaped
object with the short side of the "L" flattened into a thumb
piece and the long side formed into a cylinder. The selector
lever is held in place by a spring-loaded detent and rotates
to select the mode of operation: SAFE (9 o'clock), AUTO
(12 o'clock) and SEMI (3 o'clock) in the M16 and SAFE (9
o'clock) and SEMI (12 o' clock) in the AR15. In the M16A2,
BURST replaces AUTO.
The semiautomatic selector lever has a shallow flat (cam)
milled on one side of the cylinder only that prevents the trigger bar and disconnector from
being depressed far enough to
catch the lower hammer slot,
see Figure 5-15 .
The automatic selector has
a second , deeper cam that
when turned into the proper
selector lever.
position, allows the trigger bar
Fig. 5-1 7. Trigger guard.
Takedown Pin
The takedown pin is at the rear of the lower receiver. It is 1.15
inches long and 0.25 inch in diameter. The pin has a rounded,
rivet head 0 .375 inch in diameter. The pin penetrates both
sides of lhe lower receiver from the right and the rear lug on
the upper receiver. It is held in place by a spring-driven detent
that penetrates the rear of the lower receiver under the stock
ferrule. The pin has a channel milled along one side in which
the detent rides. Use caution when removing the buttstock,
see Figure 5-18.
0322
885
RIF
0323
Bolt Release
fired as a warning to the shooter that the magazine is empty.
It functions by allowing the magazine floor plate to rise high
enough to lift the bolt release into the path of the bolt, blocking
it from moving forward. The bolt release can also be activated
by drawing the bolt back with a magazine in place, or when
the magazine is absent, by depressing the bolt release.
Fig. 5-18. Rear takedown pin ( 1) . The detent and spring are under
Magazine Release
The magazine release assembly consists of the I) magazine
5-19.
Essentially, the magazine release is a bar with rectangular
detent on its forward end that fits into a rectangular hole in the
right side of the magazine. The release bar has a threaded tail
at right angles that fits into a hole through the lower receiver
at the rear of the magazine well. A coil spring fits over the
tail, and the magazine button screws onto the threaded end
Fig. 5-20. Bolt release assembly.
release bar. A spring forces the end of the bolt stop (arrow)
to remain below the path of the bolt until the magazine floor
Bolt Assembly
carrier, 2) key and both bolt screws, 3) bolt, 4) bolt cam pin,
5) firing pin and 6) firing pin retaining pin, see Figure 5-21.
Bolt Carrier
The bolt carrier for the 5.56 NATO caliber rifle and carbine
Behind the gas ports on the bolt carrier are a series of notches
the chamber. Only the very earliest XM16 bolts did not have
these notches.

53
0323
886
RIF
0324
through the bolt face beneath the lug at the 12 o'clock position. The opening for the firing pin nose is centered in the bolt
face. The extractor lip overlaps the bolt face at the 6 o'clock
position.
The key is mounted on top of the bolt carrier with two

socket head screws which are staked to prevent backing out.
The key is a hollow tube which captures the propellant gas
from the gas tube
and drives the
bolt carrier to the
rear.
The bolt itself
is inserted into the
from of the bolt
carrier and is retained by the bolt
cam pin. The bolt
cam pin fits into a
hole in the top of
the bolt carrier,
beneath the key.
It rotates 112 turn
to allow the bolt to
lock and unlock.
Fig. 5-21. Bolt and canier assembly_
The firing pin
is inserted through
the bolt carrier and into the bolt's firing pin tunnel. It is retained by a firing pin retaining pin which is similar to a split
pin . Do not auempt to substitute a common split pin for the
proper firing pin retaining pin as it may not hold.
pressure from the bore. Therefore, it does not have a carrier
has a spring-loaded firing pin and a smaller, different extractor. See Figure 5-22. The rifle bolt weighs 11 ounces; the
submachine gun
bolt weighs 15.9
ounces.
Extractor
The extractor is a
curved plate with
a lip that fits into
a channel cut for
~
it on the right side
/
11
of the bolt. The
12
extractor spring
is captured between the extractor and the bolt
in a depression
in the rear of the
channel.
The extractor is
pinned at about
mid-length which
allows it to pivot in and out. A short coil spring at the rear
keeps it closed. When assembling, the Hared base of the spring
must be seated in the extractor and the rubber insert seated in
the narrow end that fits inside the bolt. Later bolts substitute
a second spring. Failing to seat the spring(s) and/or rubber
insert properly may cause malfunctions .
Ejector
Firing Pin
Bolt
....
Fig. 5-22. 5. 56 mm boll and carrier (R); 9 mm
The Ml6/AR15 firing pin looks something like a duplex or

made of chrome-moly, stainless steel or titanium. This last is a
newer material for AR15 firing pins. It is intended to produce
by the hammer. The firing pin should not protrude excessively
past the face of the bolt. Check with firing pin gage (Colt pan
#62679) whenever a new firing pin is installed .
T he rifle bolt
(refer to Figure
5-21 ) consists
of ten parts: 7)
extractor, 8)
rubber insert or
second spring,
9 ) extractor
spring, 10) extractor pin, 11)
ejector, 12) ejector spring, 13)
Gas Seal Rings

The three gas seal split rings are contained in a groove cut
into an expanded area along the firing pin tunnel. The rings
press against the walls of the bolt tunnel just behind the gas
ports to contain any gas that might escape from the breech if
a cartridge or primer ruptures. This prevents the hot gases
from flowing back through the bolt carrier and out and up
into the shooter's face.
ejector pin, and 14) rings (three).

The bolt head has seven locking lugs around its circumference with the extractor as the eighth locking lug. These lugs
rotate into and out of matching receptacles in the receiver
extension to lock or unlock the bolt. The ejector protrudes
54
0324
887
RIF
0325

the bolt to prevent the firing pin from backing out. The pin
passes between two flanges on the aftercnd of the fi ring pin.
Barrel Assembly
Note: Do not remove
unless you have re
placements on hand.
Once removed . do
not reinstall the same
ring. Lubricate and
use gentle but steady
pressure when install
ing. New rings will be
must wear in.
The barrel assembly

consists of five subassemblies : barrel ,
retaining assembly ,
compensator, gas system and handguards,
see Figure 5-23 .
Barrel
The MI61ARl5 bar
rel is made in many
lengths, diameters and
rifling types. The commo nest barrel type ,
the M16AI and the
ARl 5 Sporter barrel ,
is shown in Figure 524 . Custom barrels can
be a nd are cut in a
variety of diameters
and lengths as well as
s hapes . Those used
Key

tube closed at the after end and mounted
on plate that attaches
co the bolt carrier Fig 5-23. M16/AR15 barrel assembly. 1) barrel, 2) barrel extension, 3) handguard
with two socket head re taining ring, 4) slip ring springs (4), 5) handguard slip ring, 6) barrel nut, 7)
handguard cap. 8) sling swivel, 9) front sight taper pins. 10) swivel rivet, 11) gas tube
screws. The key fills pin, 12} compensator spacer or washe r, 13) compensator. 14) front sight post. 15)
with hot gases bled front sight detent, 16) detent spring, 17) gas tube. 18) upper handguard, 19} lower
from the bore when a handguard, 20) handguarci heat shield. 21) front sight.
cartridge is fired . T he
causing the bolt to rotate along its cam and unlock from the
receiver extension. When the bolt carrier returns to battery,
It is not a good idea to remove the key and its screws
from the bolt carrier unless it has been damaged. The screws
are staked in by defon ning the metal of the key around the
circumference of the screw heads. For this reason, do not
attempt to tighten or loosen the screws .
If you do replace the key, new screws must be used . Fig. 5-24. M16A 1 andAR15A1 sporterbarrelconfigurat1on.
Tighten with a torque wrench to between 35 to 40 inch-pounds
and res take securely.
in service rifles tend to follow the contour, size and weight
pattern of military rifles, see Figure 5-25. Those used in nonBolt Cam Pin
The bolt cam pin has a flat, rectangular head with rounded service match shooting are limited only by the gunsmith's
carrier moves forward or back, the bolt cam pin moves in
the bolt carrier cam way. Because the cam way is angled, a
rotary motion is imparted to the bolt co cause the locking lugs
to unlock or lock.

The firing pin retaining pin passes through the side wall of
55
0325
888
RIF
0326
imagination and experience. See Table 5-1 and Figure 6-21

for types and dimensions.
for the barrel extension. The muzzle end is threaded for the
see Figure 5-26. Barrels manufactured for civilian sale between
late 1994 and late 2005 may have an unthreaded rebated end
to which a muzzle
extension in the
form of a muzzle
brake may be permanently affixed.
Custom - made
barrels rarely use
Fig. 5-26. Military and pre- 1994 and post-2005 a compensator nor
barrel and compensator.
are they threaded
or rebated, see
Figure 5-27. An alignment pin is fixed at the top dead center
position 0.07 inch from the end. The ring 0.135 inch wide and
1. 165 inches in diameter encircles the barrel and butts against
the upper receiver wall. The alignment pin indexes the barrel in the correct vertical position. The barrel nut (described
below) slides over the barrel and screws to the front of the
upper receiver. It bottoms against the ring and holds the bar
rel, retaining ring. slip ring spring and slip ring in position.
The bar
rel extension
Fig. 5-27. Post-1994
and most custom-built
is 0.82 inch
match AR15s Jack a
long and I inch
compensator.
in diameter.
It is screwed
onto the barrel
(31 - 35 footpounds) and
provides the
locking lugs
for the bolt. The barrel extension fits over the chamber end
of the barrel and has eight machined lugs into which the bolt
locks when in battery. see Figure 5-28. The barrel extension
penetrates the upper receiver.
Barrel Nut Assembly

The barrel slips into the front of the upper receiver, is indexed
by the alignment pin, and secured to the receiver with a barrel
nut which threads onto the front of the upper receiver, see
Figure 5-29, 1. See Appendix A, Level 3, Note.
Retaining Ring- The retaining ring is a slip or snap ring
which is fitted with snap ring pliers having straight 0.045inch tips. The ring must be compressed to fit inside the slip
ring. To do so, the tips of the snap ring pliers are inserted
into the holes in the retaining ring on either side of the split
Table 5-1
Light Machine Gun, heavy barrel, 20", 1 :7
20. 1 :7
A2 Heavy Match, straight, no reductions,
20", 1:7
A2 HBAR, three-step reduction, 20", 1:7
A2 Service, enlarged diameter forward,
20", 1:7
Configuration

20. 1:12
A2 Carbine, two-step reduction, 16", 1:7
A 1 Carbine, reduced diameter forward, no
for grenade launcher, 16". 1 :7
A2 Carbine, two-step reduction, groove for
grenade launcher, 14.5", 1 :7
Calibers
.223 (5.56 mm NATO)
This table includes recent and past Colt and U.S. military
model configurations. See Table 3-3, M16/AR15, List of

kinked so that when
the ring is compressed
horizontally, outward
force is exerted against
both the receiver face
and the rim of the slip
ring, refer to Figure
5-29, 3.
Slip Ring - The slip
ring is shaped like a
truncated cone (Al) or
a cylinder (A2) with a
rim around the interior Fig. 5-28. M16/AR15 barrel extension.
of its forward end. It is
large enough to hold the barrel nut, slip ring and retaining
ring, refer to Figure 5-29, 4.
56
0326
889
RIF
0327
muzzle when the

rifle was fired from
the prone position,
see Figure 5-30.
The XM177
series of submachine guns and
carbines were
equipped with an
elongated version
of the cage compensator which
not only reduced Fig. 5-30. Types of compensators used on
muzzle jump and the M16/AR15: top, early prong and bottom,
served as a flash closed cage types.
suppressor but also
acted to reduce the excessive muzzle blast from the shortened
barrel. The front end of the compensator had six elongated
oval cutouts which extended around the circumference, see
Figure 5-31.
Numerous variations of this type of compensator pro
duced for nonmilitary use have been observed. The reader is
cautioned that the Bureau of Alcohol, Tobacco, Firearms and
Explosives has classified some of these elongated compensators
as "sound suppressors. " It is best to check with the Technical
branch of the BATFE before acquiring or installing one.
Other elongated types of compensators have been u sed to
make short barrels legal. For instance , compensators 5 inches
long have been pennanently attached to 11.5-inch barrels to
shorter than the legal 16-inch minimum, make certain that the

Doing so is not difficult with the proper tools and an understanding of the process. But unless you are an experienced
You will need an M 161AR15 combination wrench, a
torque wrench capable of exerting and measuring accurately
at least 40 foot-pounds and a set of barrel remover fixtures .
See Appendix A, Item 34 for assembly/disassembly details.
Compensator
rifle is fired and also the amount of heat emitted as light at
the muzzle, thus preserving the soldier' s night vision. The
compensator on the M 16/ AR 15 is variously known as a muzzle
brake, flash hider and flash suppressor. The compensator
works by both venting gas to the side and upward to drive the
muzzle down and by absorbing heat from the hot gases Ieav
ing the muzzle to reduce the amount of illumination. Original
compensators for the M 161AR15 series of rifles will have flats
The original AR15 compensator (see Figure 5-30, top)
were narrower than the body of the flash suppressor. The
XM16 and M16/ARl5 also employed a three-pronged flash
suppressor of a slightly different design. The pronged (or
open) flash suppressor worked well but had a tendency to
catch in vegetation and to kick up dirt when fired from the
prone position.
later Ml6A llAR15Al models. Starting with the A2, a closed
had five narrow elongated ovals cut through the top circumfer
ence but had a closed bottom. This design reduced the amount
of dust and debris kicked up by propellant gases from the
Fig. 5-31. Extended compensators like those instBlled on

the XM1 77 and later carbine models may also act as sound
suppressors.
but that it is pennanently attached to the barrel. These types of

compensators can usually be identified by the lack of flats on
either side of the mount for the combination wrench. A close
inspection will also reveal brazing at the barrel/compensator
join with the barrel.
(TDC).
57
0327
890
RIF
0328
0328
891
RIF
0329
The Early Colt AR-15
87
The Air Form's End Run Around the Army

As mentioned, a major justification for the Ordnance Corp5'
Ml4 Light Rifle program was that the one new weapon and the
7.62mm NA1D round were supposed to replace four weapons
and three different cartridges of the previous small arms
"family"; the Ml rifle, M2 Carbine, M3Al submachine gun
and the BAR. While the US Air Force had ceased to be an
Anny element after World War II, small arms for Air Force
ground personnel were still acquired through Army supply
channels. The Air Force had been offered the M14, but had
pronounced it overly heavy and bulky. Accordingly, SAC-base
security forces around the world were still armed with M2
Carbines, for which, ironically, the Army was no longer stocking

spare parts.
..on the fourth of July P960/, which happened to be

Boutelle's birtlulny, and every year he Juul quite a pany.
SoLeMaywasafriendofBoutelle's, and I suggested that

we get together and he have a chance to shoot the rifle a.s
it was presently manufactured. 1his is when Colt..and we
went up there, and I took along three watermelons, and I

put [one/ out at 50yards, andtheotheratabout 150yards,
and he shot both of them, and as you probably know, the
explosive feature ofthe bullet takes all the water out ofthe
watermelon. So he walked up to both of them and put his
hand down in there and picked this stuff up, and I won 't
say what he said, but it was quite impressive - he was
impressed. So I asked him ' 'Do you \.\Wit to shoot the other
one?" He said, "Hell no, let 's eat it." So that's the way
we did /it/.
The upshot of the demonstration at Boutelle's Maryland

farm was General LeMay's offer to recommend the AR15
as a potential replacement for the Air Force's ageing M2
Carbines. Macdonald quickly sent LeMay three new Colt
model Ols, which were soon on their way to the Air Force's
main training base at Lackland AFB in Texas, for initial
familiarization.
Sadly, however, for some who gave indispensable service to the

cause of the AR-15, there was no reward. As Bobby Macdonald
later related, " ..In the meantime, Colt was taken over by
another group of financiers, and in the course of it they fired all
the people that I had been doing business with ...Fairchild also
went through a change in management several times. Based
on this rifle, and the F-27 airplane, Mr. Boutelle got fired.."
The friendship between Fairchild president Richard Boutelle

and Air Force General Curtis LeMay has already been mentioned in connection with the adoption of the MAl survival
rifle. Bobby Macdonald later described to the lchord subcommittee how, armed with a new business arrangement with
both Colt and ArmaLite, he had written to General LeMay,
by this time the Deputy Chief of Staff of the Air Force, inviting
him to a demonstration of the AR-15:
His farm was all set up outside Hagerstown, with a skeet

field, trap field, archery, pistol ronges, )\?U name it. It was
beautifully equipped from a shooting angle.
Colt's First Manual

the ''Basic Infantry Weapon, AR-15''
Looking ahead determinedly to the eventual return of
military interest in the AR-15, Colt's prepared and published a manual "for the information and guidance of
ordnance personnel whose duties involve the use, main
tenance and repair of the caliber .223 Basic Infantry
Weapon, AR-15". The Colt manual went on to make some

most enthusiastic claims for the AR-15, "the most modem light
weight combat rifle combining the accuracy of a sniper rifle
with the firepower of a machine gun .." as a virtually maintenance-free weapon:
Disassembly. assembly, cleaning and minor repairs may

be undertaken lTy anybody. .. An occasional simple cleaning
will keep the weapon functioning indefinitely. Kbrking pans
can be cleaned lTy wiping with a cloth. 1he simplicity of
field cleaning makes it possible to quickly a11d easily troin
a recruit in minimum time.
and maintenan.ce ofthe Colt AR-15 to an absolute minimum.

Frring ofthe Colt AR-15 with complete absence oflubricarllS
in a chemically cleaned condition has in every country where
this test has taken place resulted in a performance far
exceeding any requirements.
1he Colt AR-15 rifle will fire longer without cleaning or
oiling than any other known rifle.
..Corrosion resistant materials facilitate the assembly

and interchangeability of parts and reduce the service
0329
892
RIF
0330
Explaining the Action of the AR-15

HAMMER
NOTCH
HAMMER
105. A iagrom ofthe AR-15, loaded and ready to fire with selector/ever set
to SEMI. Hammer notch engaged with trigger sear.
'\
TRIGGER
SEAR
TRIGGER
GAS TUBE
GAS PORT
BOLT
CARRIER
106. As the trigger is pulled, the hammer is released and rotates forward,
striking the firi11g pin andfiring the chambered canridge. As the bullet passes
the gas pon, gas is routed through the gas tube and bolt carrier key, and
imo the cylinder fonned between the boll and bolt carrier.
0330
893
RIF
0331
J<J7. Gas pressure in the cylinder drives the bolt carrier to the rear. As this
happens, the bolt cam pin rotates the bolt and disengages the bolt lugs from
the lugs i11 the barrtl extension. 1he hammer is rrturned to the cocWposition,
89
and the action spring is comprrssed. As the bolt and carrier move rearward,
the extractor withdraws the spenr canridge case from the chamber, and 1he
ejector 1hrows it our the ejection pon.
ACTION
SPRING
..a.--- MAGAZINE
108. The rearward motion of1/re bolt carrier is arnsted by the buffer assembly
in the action spring guide. The compressed action spring then forces the bolt
carriu forward. The face of the bolt picks up the top cartridge from the
magazine, and thrusts it into the chamber.
0331
894
RIF
0332
90
UPPER
HOOK ON
DISCONNECT
HAMMER
NOTCH
109. As the bolt lugs emer 1he barrel extension, the ejector is depressed against
rhe canridge case, and the extractor snaps Into rhe e:crracring grooVt!. During
rhe final halfinch of rhe closing stroke, the bolr cam pin moves oul of rhe
receiver guide and ro1ares the bolt ro rhe locked position. The upper hammer
notch is held by the hook of the disconnect. When rhe trigger is released,
rhe trigger spring causes the trigger ro return 10 its normal position, carrying
1he disconnect backward, releasing rhe hammer, which drops from rhe disconnect ro the cocked position on rhe trigger sear.
JJa Roraiing rhe change lt!\-er 10 AUTO changes the function of/WO key pans.
On /he fonmrrl or counter-recoil srroke, the au1oma1ic sear engages the rop
outside hammer nolch, holding rhe hammer in a cocked position. The bolt
carrier, in closing, srrikes rhe upper edge oflhe automatic sear, ro1a1ing ii
and releasing rhe hammer to fire lhe ne:ct round. This cycle will repeal until
rhe trigger is released or rhe magazine is empty.
AUTOMATIC
"'--~=--- BOlT
TOP OUTSIDE
HAMMER NOTCH
SEAR
CARRIER
DISCONNECT
0332
895
RIF
0333
Examining the AR-15
91
lll. From Colt 'sjirst run ofAR-J5s: pointi11g out the "recoil spring guide"
on Model OJ serial no. 000300.
A Forced Examination of the Colt AR-15

Meanwhile, in the summer of 1960 just before the famous
4th ofJuly watermelon shoot, Colt's had formally approached
Ordnance R&D with a request for a re-test of the AR-15 they
now designated the model 01. A number of small but significant
improvements had been made in the course of their tooling
up for manufacture, they said, which warranted a further look
on the part of the Army.
Of course, neither Colt's nor ArmaLite possessed anything
like the vast pool of engineering development expertise and
resources which were available at the various Ordnance stations.
Thus, despite the enthusiasm of their first manual, a good part
of Colt's motive was to avail themselves of an otherwise prohibitively expensive full-scale Ordnance engineering evaluation
of their "Basic Infantry Weapon" before they got locked in
to real quantity production.
To their dismay, Colt's soon received a wire back from
Dr. Carten refusing their request, citing as a reason the
lack of any military requirement for such an arm. He was

soon forced to eat his words, however, for a request arrived
at the Pentagon from Lackland Air Force Base, asking
Ordnance to qualify the AR-15 as a potential candidate for
replacement of the Air Force's obsolescent M2 Carbines.
This coincided with a sympathetic ear being given, at the
Congressional level, to the plight of the Colt/ArmaLite camp
and their "unsaleable" products: suddenly some highly
placed people wanted to know about the Ordnance Corps'
boycott of ArmaLite weapons.
A chagrined Dr. Carten was directed to arrange the Air
Force test without delay, to be run at Aberdeen concurrently
with tests on six samples of the AR-10 rifle as made under
license in Holland by Artillerie-Inrichtingen. In fact, it
appears that the whole event had already been adroitly
turned into some first-rate exposure for the AR-15, with the
Ordnance Corps footing the bill:
0333
896
RIF
0334
92
Examining the AR-15
112. Retracting the bolt on Colt's AR-15 serial no. 000300. Note the ''R' and
cloclcwise arrow markings on the early Colt rear sight elevation knob,
1960 SEP 12
l/NCLAS ORD 10508 FDR D&PS COL Dl/BIA FROM ORDIS C1KIEN
..AR-15 CAUBER .223 RIFLF.S AND AMMUNffiON
WJJL BE SUBMJ1TED 10 YOUR SfATJON IN 111
IMMEDIATE FUI1JRE BY COOPER-MACDONAllJ, INC
RF.Q.UFSFFINALBVGINEERING TFSrOF11l/S WF.APON
BE CONDUCTED DURING 11lE SAME PERIOD TIMI
SIMILAR TFSlS ARE BEING CONDUCTED ON 11lE
AR-JO 7.62MM RIFLE. REQUFSI AMMUNffiON PERfDRMANCE TRIALS PREVIOUSLY CONDUCTED wrrH
TifE AR-15 RIFLF.S ALSO BE INCLUDED.
REQUFSI YOUR SI'A110N MAKE AVAILABLE 1D THE

COMPANY FAClIJI1F.S fDR DEMONSJR,filON OF AR-15
RIFLES 1D lNTERESlED MIUFARY PERSONNEL DATE
fDR THIS DFMONSI'RATJON IS TFNW1VELY SET fDR
26 SEPTEMBER 19fi0. GENERAL LEMAY. DCS, USAF.
AND II GEN TRUDEAU, CRD, ARE EXPECTED 1D
fiTEND, ALONG wrrH OTHER REPRESENTA11VES OF
AIR fDRCE AND ARMY
0334
897
RIF
0335
Examining the AR-15
93
JJJ. Comparison of trigger -chanisms. Abo~: an early (" Cuba/Sudan")

&low: Colt model OJ AR-15. Photo counery Jean Huon
Dutch-mad~ AR-Ja
0335
898
RIF
0336
\
94
Examining the AR-15
Gas Tube Assembly
114. Colt model 01 AR-15 ba~I. gas tube and handguard assemblies.
As noted in chapter 3, the final versions of two other Aberdeen engineering test reports by Larry Moore, one being No.
DPS 101 A Test of Rifle, AR-IO of November 1960 and the other
as discussed belmv, contain no recommendations or conclusions.
Certainly from Dr. Carten's viewpoint, none were required,
in the absence of any formal Army interest in either arm: he
was simply giving Cooper-Macdonald and the Colt/AnnaLite
people as little encouragement as possible, while providing the

Air Force with a record of tests conducted and leaving any
conclusions up to the trials team at Lackland.
Some of Larry Moore's interesting comments regarding the
three Colt model 01 AR-15s he tested, serial numbers 000614,
000682 and 000835, are reprinted below:
Aberdeen Proving Ground

Development and Proof Services
No. DPS 96
A Test of Rifle, Caliber .223, AR-15

November, 1960
Introduction
The AR-15 rifle was previously tested at this station
between 20 March and 21 November 1958. 1he results of
that test are contained in {the fifty-seventh report on
Ordnance Project TS2-2015; chapter 3]. The rifle tested
previously ims an experimental model produced in a limited

quantity. The rifle submittedfor this test ims mass produced
and it incorporated various minor design changesfrom the
experimental rifle..
0336
899
RIF
0337
Examining the AR-15
95
1/5. Closeup of receiver markings of Colr AR-15 serial no. 000614, used in
the Aberdeen "Test of Rifle, Caliber .223. AR-15" September, 1960.
Phoro credir: Eric Long. Smithsonian /nstirution
Abstract
Three rifles were subjected to the light automatic rifle test
and two rifles were subjected to additional accuracy tests.
A total of24,443 rounds were fired. The AR-15 rifle, which
has a weigh/ of692 pounds when fully loaded and an overoll
Length qf388 inches.fires Cartridge, caliber .223. The average
velocity of the 55-grain bullet at 78 feet was 3.104 fps. In
the JOO-yard bench-rest accuracy test the average mean
radius for JO-ro1uui targets was 1.5 inches. The average
number of rounds fired semi-au101natically in 011e mi11ure
in the ra1e-of-tiimedjire rest m'.lS 84.2 and the average number
ofhits obtained 011 the ""target at a range of JOO yards
was Tl.8 During automatic firing in this test, the average
number ofrounds fired was 128. 7. and the average number
ofhits was 41. 3. 111e average malfunction rate with the rifle
held nonnally i~ Q25 per hundred rounds. Only 1e11 pans

were broken in firing 18,()()() rounds in the endurance test.
One ofthese pans, an extroctor spring, was broken during
disassembly of the extractor. The AR-15 rifle gave nearnonnal perfonnance in the unlubricated, dust, extreme-cold
and rain tests, and it completed the mud test. [A modified
rain test was also conducted, wherein the bolt i~ retracted
slightly with the mua.le held dawn to facilitate drainage,
before firing/. A cook-off occurred after firing 140 rounds
in 54seconds, but no cook-offoccurred infiring 120rounds
in 39 seconds. When fired with a telescopic sight from a
bench rest at 100 yards two rifles gave an averoge mean
radius of 1.1 inches for four JO-shot groups from each rifle
with each of two lots of ammunition.
Even in the absence of conclusions and recommendations

it appears from the above that the performance of the 1960
Colt AR-15s, especially in the scoped-accuracy and adverse
condition tests, was little short of phenomenal. Indeed, a
perusal of other standard light rifle tests, such as are to be
found in previous Collector Grade books, will show the above
results superior to most if not all the developmental weapons

of the period, including the Ml and T44E4 "control" rifles.
However, even though Dr. Carten's repon to the ChiefofR&D
grudgingly summed up the AR-15 as only ' 'reasonably satisfactory", the AR-15 was approved for Air Force trial as
requested.
0337
900
RIF
0338
96
Examining the AR-15
~..:. \
(y
. .; :
,,
,<'~4
'\ ~-
..------r---o -
-<"
.....--
' ,,
>
_;::.:;.
V.,I
'
'
jl
--<-<
>
---
->-
.,,,,.:.>
J/6. Fig. 9from Abenieet1 's 1960 trial: disassembled view ofColt AR-15 serial
no. ()()()6/4.
Aberclun Proving Ground photo, courtesy James Alley
The Air Force Attempts to Buy the AR-15

There followed a series of USAF firing tests at Lackland,
wherein the AR-15 was shot in comparison with the M2 Carbine
and the Ml4. Gene Stoner himself proudly recorded that 43% of
the firers qualified as expert with the AR-15 as opposed to only
22% with the M14. This favorable experience, coupled with the
results from Aberdeen, convinced General LeMay that the
AR-15 was indeed the rifle the Air Force was looking for. Accordingly, he requested authority to buy a cumulative total of 80,000
rifles, to be obtained over the period of several years, during
which time the M2 Carbines would be phased out. As it turned
out, this was the beginning of a very happy relationship be~n
the Air Force and the AR-15, but it took General LeMay three
determined tries to get his purchase request approved.
In the summer of 1961 Deputy Defense Secretary Roswell

Gilpatrick proposed to include 8,500 Colt AR-15 rifles as
part of the Air Force's slice of that year's fiscal "pie",
subject to Congressional approval, but the watchdog subcommittee on DOD appropriations was not convinced that
the Air Force's need was sufficiently pressing to justify another
rifle in the system, and the request was denied. General LeMay
next brought the matter up in a meeting with President
Kennedy that December, after the President had first seen an
AR-15 at a Sea Power demonstration during the fall, but again
with no success.
0338
901
RIF
0339
Examining the AR-15
Meanwhile, "optimum platoon" trials by the Combat

Development Experimentation Center (CDEC) were in pro~
at the Hunter-Liggett military reservation, Fort Ord, California
Early CDEC findings, published after trials with the first
bipod-equipped, ArmaLite-made AR-15s in 1959, had indicated
that a 5- to 7-man squad armed with a light weight, high
velocity rifle like the AR-15 would have a greater hit and kill
potential than eleven men equipped with the M14.
97
As we shall see, by the time General LeMay's purchase

was finally approved in May of 1962 events in Southeast
Asia had heated up to the point where the original 8,500
Air Force AR-15s formed much the smaller part of a
"package" including over 20,000 rifles for Navy SEAL
teams, some special South Vietnamese Army units and their
US advisors.
Rifle by Colt .. Barrel by Winchester

A key figure in the development of the AR-15 at Colt's was
Roben E. Roy, who today is the firm's director of military sales.
Rob Roy recalls that his first job after joining the firm in 1961
was to devise and supervise the installation of .22 caliber barrel
rifling machinery, as prior to that time Colt's had not possessed
the capability to produce rifle-length barrels. In fact, the first

18,000 AR-15 barrels were subcontracted to Winchester, where
they were broach-rifled with a 14" rifling twist. Colt's subsequent barrels were button-rifled, a superior rifling process
which produced more uniform lands and grooves.
0339
902
RIF
0340
0340
903
RIF
0341
8. Disassembly
From time to time it will be necessary to take
down the rifle to lubricate it or to carry out routine maintenance. Do not take the rifle apart any
more than is necessary; each time a part is removed
from the lower receiver or other areas not involved
in field stripping, the part's fit is not as tight when
reassembled.
with it. The bolt carrier group should be pulled

back so that it can be grasped and removed. After
the carrier group is removed, the charging handle
can be removed by pulling it back and downward
through the slot in the key channel.
5. The firing pin retaining pin (11) can be removed by punching it out with a tip of a small
tool. Push from the ejection port side of the carrier.
6. Once the retaining pin is removed, the firing
pin (1-2) can be removed by tilting the carrier up
so the bolt faces upward and the firing pin can
fall free through the rear of the carrier.
7. Twist the bolt assembly (1-4) so that the cam
pin (1 -3) is clear of the bolt key (l-13C). The cam
can now be lifted free and removed.
8. With the cam pin removed, pull the bolt
assembly ( 1-4) from the front of the bolt carrier.
Care should be taken in disassembling the bolt as
a number of easily lost parts will be freed.
9. The extractor spring (1-7) is under compression, so be careful not to let the extractor (1 -6) get
away when it is released. While holding the extractor in place, use a small wire or drift punch to push
the extractor pin (1-5) out of the bolt. Carefully
remove the extractor, its spring, and the small
nylon plug that is often nestled in the spring.
10. The ejector (19) and its spring (1-10) can
be removed by drifting out the pin (1 -8) that re
tains it. The spring is under tension so be careful
not to let it get away. Placing an empty brass into
the bolt face and using it to hold the ejector in
place can make the removal o f the ejector pin
easier.
11. It is seldom necessary to remove the handguards (31, 2) unless they need to be replaced or
the weapon is full of mud. Although in theory the
handguards are easily removed by pushing the
FIELD STRIPPING
The AR-15 is very simple to field-strip and easy
to lubricate. Unlike many assault rifles, it has few
small parts that can be lost during the field stripping. It's a good idea to wear safety glasses when
field stripping the rifle just as it is when shooting
or assembling the AR-15.
Use the exploded diagrams to locate parts mentioned in this section if you have any doubts about
the piece or its location.
1. Remove the magazine from the AR-15 and
check the chamber to be sure the action is closed;
release the bolt carrier if it's held open so that it
is closed.
2. Place the selector in the "safe" position.
3. Push out the rear take-down pin (1-35) from
the selector side of the lower receiver and pull it
out from the opposite side of the receiver until it
locks open. This will release the upper receiver so
it can be rotated downward. The front pivot pin
(2-lA) may also be pushed outward if it is necessary to remove the upper receiver from the lower;
on the AR-15 Sporter, the receivers are held to the
front with a double screw. To remove the upper
receiver from the lower on the Sporter, use two
screwdrivers to unscrew the two; a drift punch may
be needed to push out the inside screw from the
outer one.
4. Pull the charging handle (1 -14) back; the bolt
carrier group (13-A, B, C, D, E) will come back
61
0341
904
RIF
0342
--Receiver pivot pin
Bolt carrier
"'""""'<
Cam pin
~
T
Magazine
Sling
\ ~.,;,
~Charging handle
Bolt
Firing pin retaining pin
Upper receiver
., ,.. . ~
- - - - - .. "' .-.. .., ,..
0342
905
RIF
0343
lD
DIAGRAM 1 - BOLT CARRIER GROUP
'~
1 -1: Firing pin retaining pin; 1-2: firing pin; 1-3: bolt cam pin; 1-4 : bolt assembly; 1-5: extractor pin; 1-6: extractor ; 1-7 : extractor spring; 1-8 : ejector pin; 1-9: ejector ; 1-10 : ejector
spring; 1-11 : gas rings (3); 1-12: bolt; 1-13: tiolt carrier assembly (without forward assist grooves); 1-lJA : bolt carrier assembly (forward assist style); 1-138 : key bolls (2 l; 1-13C: key ;
1-130 : bolt carrier (with forward assist grooves); 1 13E: bolt carrier (without forward a5'ist grooves); 1-14: charging handle assembly.
0343
906
RIF
0344
DIAGRAM 2 - LOWER RECEIVER GROUP

2-1: Magazine; 2-lA : fron t push pin (pivot pin- dual screws on some models); 2-2: hammer/trigger pins (2); 2-3: ha mmer; 2-4 : hammer s pring; 2-S: auto sear pin; 2-6: automatic sear ;
2-7: selector lever ; 2-8 : disconnector; 2-9: trigger; 2-10: trigger spring; 2-11: discon nector spring; 212: bolt catch roll pin; 2-13: bolt catch; 2-14: bolt catch plunger; 2-1 S: bolt catch
spring; 2-16: magazine catch ; 2-17 : magazine catch spring; 2-18: magazine release button; 2-19: pistol grip screw; 2-20: pistol grip lock washer; 2-21 : pistol grip; 2-22: safet y detent
spring (same as ejector s pring); 2-23: selector lever (safety) detent; 2-24 . buffer spring; 2-25: buffer; 2-26: top stock screw; 2-27: stock assembly; 2-27A: sling ; 2-28: rear swivel pin (oldstyle stocks only); 2-29: rear swivel assembly (old-style stocks only); 2 -30: rear swivel pin (old-style stocks only); 2-31: rear swivel (old-style stocks only); 2-32: swivel stud; 2-32A:
stock ; 2-33: rear push pin detent spring; 2-34: rear push pin detent; 2-35 : rear push pin (takedown pin); 2-36: buffer pin (military models only); 2-37: buffer tube (lower receiver extension); 2-38: buffer retainer; 2-39: buffer retainer spring; 2-40: trigger guard roll pin; 2-41 : trigger guard and its front spring and pin; 2-42: lower receiver.
0344
907
RIF
0345
39
-- --- ---
----- -- -
I Ii
INC~ES
*PART OF ASSEMBLY NO , 5
DIAGRAM 3 - UPPER RECEIVER GROUP

3-1: Handguard half (old style); 3-2 : handguard half (old style); 33 : flash suppressor ; 3-4: fruh suppressor lock washer; 3-S: barrel and sight assembly; 3-6: front sight pin; 3-7: front
sight; 3-8: barrel assembly; 3.9 : front swivel pin; 3-10: front swivel; 3-11 : front sight post; 312: front sight detent; 313: front sight det ent spring; 3-14: hand guard cap; 3 1 S: gas tube
pin; 3-16: gas tube; 3-17: snap ring; 3-18 : slip ring spring; 319: barrel nut; 320: slip ring; 3-2 1 : ejection port cover pin ; 3-22 : ~jection port cover retaining ring; 3-23: ejection port
cover spring; 3-24: ejection port cover; 3-25. rear sight windage drum pin ; 3 -26: rear sight windage drum; 3-27 : rear sight detent; 3-28: rear sight detent spring; 3-29: rear sight screw ;
3-30: rear sight; 3-31: rear sight spring; 332: forward assist pin ; 3-33: forward assist plunger spring; 334 : pawl pivot pin; 3-35: forward assist pawl; 3-36: pawl detent ; 3.37: pawl detent
spring; 3-38: forward assist ; 3-39 : upper receiver (without forward assist well) ; 3-40 : upper receiver (wit h forward assist well).
0\
Vi
0345
908
RIF
0346
66
THE AR-15/ JJ16: A PRACTICAL GUIDE
Top: semiauto bolt carrier. Bottom: selective.fire carrier.
weld ring (3-20) toward the receiver, in reality

there is often enough tension in the weld spring
( l 18) to make this hard for most people to do.
One solution is to use a screwdriver or other tool
to carefully pry the ring away from one half of
the handguard until it Cdll be wiggled free. Repeat
the procedure with the other half of the handguard. This will have to be repeated to get the
handguards back on, if it was necessary to pry
them off. Be careful not to scar up the finish on
the rifle when using a tool as a lever on the weld
nng.
12. To remove the buffer (2-5) and its spring
(2-25 ), it is necessary to depress the buffer retainer
plunger (2-38) while restraining the buffer and its
spring. Be sure the hammer is in its cocked position
before trying to remove the buffer from its tube.
Once the buffer is out, the spring can be wiggled
out without holding the plunger down.
Assembly of the rifle is basically a reversal of all
the above procedures. Be sure the cam pin and
firing pin retaining pin are in place as the rifle
would be dangerous to fire without them.
TOTAL DISASSEMBLY
All other disassembly of the AR-15 or any major
work done on the rifle should be done by a compe
tent gunsmith. Work on your rifle only if you are
sure of your abilities to do so. Probably more rifles
are ruined by amateur work than by accidental
breakage. Don't be too proud to get someone else
to do work that you can't do. Such pride can be
expensive or even dangerous in the long run. Do
not work on your rifle if you are not sure of what

you are doing!
The only time that you might ,1ttempt the following disassembly (unless you are experienced
with working on firearms) would be in a survival
or combat situation where you might prefer the
risk of damaging your gun than being without
a working weapon.
If you must disassemble the rifle, do only the
following steps that are necessary. You should skip
any that are not necessary to carry out the work
that needs to be done. Consult the section of this
book on assembling an AR-15 to reassemble the
rifle if you run into any problems.
1. The three gas rings (1-11) should be left in
place unless they are damaged. ~ew rings are
placed on the bolt by gently spreading each one
enough to get it in place. Don't line the spaces up
on the rings.
2. The charging handle latch and its spring
should be left on the charging handle ( 1-14) when
possible. The roll pin holding them can be drifted
out of place if necessary.
3. The key (1-13C) and its bolts (1-13B) should
be left in place unless they absolutely need to be
replaced. It may be necessary to grind off the
metal holding the bolts in place as they are peened
on most carriers. A hex wrench is necessary to remove the two bolts.
4. The flash suppressor {3-3) screws off the barrel. Be careful not to lose the lock washer ( 3-4 ).
The flash suppressor is most easily removed by
clamping the barrel into place.
0346
909
RIF
0347
67
DISASSE.MBL Y
5. The front sight assembly (3-5) can be removed by drifting out the two pins (3-6) from the
base of the assembly. The pins must be pushed out
toward the ejection port side of the rifle. The base,
along with the gas tube (3-16), can be moved off
the barrel from the muzzle end of the barrel.
6. The front swivel (3-10) can be removed by
drifting out the pin holding it. On some AR-15s
this is a rivet that must be ground off.
7. The front sight post (3-11), sight detent (312), and their spring (3-13) can be released by
depressing the detent and unscrewing the front
sight post. A front/rear sight tool is useful for
doing this.
8. If the front sight has been removed, the gas
tube (3-16) can be removed by drifting out its pin
(3-15). The gas tube can also be removed without
removing the sight base by drifting out the gas tube
pin and pushing the tube to the rear of the upper
receiver, pulling the tube slightly to the side of the
front sight base, and pulling it out of the receiver
toward the muzzle of the barrel.
Front sight assembly
9. With the gas tube removed, the barrel nut

(3-19) can be unscrewed to remove the barrel. An
armorer's wrench is necessary to do this. The barrel can be pulled straight out of the receiver once
the nut is removed (it may be necessary to wiggle
the barrel a bit to make it creep out).
10. The handguard snap ring (3-17) along with
the weld ring (3-18) and slip ring (3-20) will stay
on the barrel nut when it is removed. If you wish
to remove them, use a pair of needle-nosed pliers
to pull the snap ring free of its groove in the barrel
nut.
11. If the barrel is off, the ejection port dust
cover (3-24) along with its spring (3-23) and its
pin (3-21) can be removed by sliding the pin
toward the barrel side of the receiver. If the barrel
is left on the upper receiver, then the "C" ring
(3-22) can be popped off the p in, and the pin
slipped out toward the rear of the receiver thereby
freeing the port cover and its spring. (This is a
hassle with receivers that have a bolt assist, but it is
possible to do on all AR-15 rifles.)
Carrying handle
Charging handle
Flash suppressor
Rear sight drum
Rear sling swivel
P~r ts
identification diagram
0347
910
RIF
0348
68
000392
Tl/ AR-15/.\116: A PRACTICAL GUIDE
..i.
.:
000392
0348
911
RIF
0349
000393
DISASSEMBLY
69
Carrier key bolts can be peened into place.
12. The rear sight windage drum (3-26) can be

removed by drifting out the windage drum pin
(3-24) and removing the drum, detent (3-27),
and dctent spring (3-28). The spring is under tension so he careful when freeing it.
I 3. The rear sight (3-30) can be removed by
unscrewing the rear sight screw (3-29). This will
free the rear sight spring ( 3-31 ).
14. If the rifle has a forward assist, the assembly
can be removed by drifting out the pin (3-32) that
holds the assembly. Generally it should be drifted
out from the top of the receiver tO\rnrd the lower
part of the receiver.
J 5. The forward assist ;1sstmbly can be disassembled by drifting out the pawl pi\'ot pin (3-34).
16. Remove the pistol grip (2-21) and its screw
loc k ring (2-20) by unscrewing its screw (2-19).
This will also release the selector clctent (2-23) and
its spring (2-22).
I 7. Once the pistol grip is off, the selector (2 -7)
can be removed from the bolt release side of the
receiver. (The hammer should be cocked to do
this. )
18. The hammer (2-3) and its spring (2-4) can
be remoYed b y drifting out their pin (2-2). The
spring can he removed by gently pulling one side
off the hub. Remember how the spring is positioned on the hammer if you have t o remove it.
19. The trigger (2-9), trigger spring (2-10), disconnector (2-8), and the disconnector spring (2-11)
can be removed by drifting out the pin (2-2) holding them. The spring can he removed by gently
pulling one side off the huh. Remember how the
spring is positioned on the trigger.
20. If the rifle has one, the auto sear (2-6) can
be removed by drifting out its pin (2-5).
21. Use a drift punch to remove the bolt release
pin (2 12). This will free the bolt release (2-13),
its plungtr (2-14), and its spring (2-15).
22. Push the magazine release button (2-18)
down as far as possible with a small tool and
unscrew the magazine catch (2-16). This will free
the two parts along with their spring (2-17).
23. The front push pin (2-1J\) can be removed
on most rifles by pulling the pin all the way to its
release position, then inserting a small tool or wire
from the barrel side of the pin through the hole in
it. This will depress the detent (2-34) and its spring
(2-33), allowing you to pull the pin out. Be careful
not to lose the spring and detent as they are under
tension.
If the push pin does not have a hole in it
through which the wire can be inserted, it will be
necessary to use an L-shaped tool which is inserted
down the pin groove and used to depress the
detent so the pin can be pulled free. This tool can
be made by grinding a small Lwrench down to a
flat bar o n its short end.
24. The stock (2-32A) can be removed by unscrewing the screw (2-26) at its rear. This will also
000393
0349
912
RIF
0350
70
000394
THE AR-15/i\JJ6: A PRACTICAL GUIDE
release the rear pin detent and its spring which in

tum will free the rear push pin (2-35).
25. The buffer tube (23 7) can be unscrewed on
most models of the AR-15. On some rifles (especially military weapons) a pin (2-36) may have to
be drifted out to allow the tube to be unscrewed.
If the tube has Loctite or similar material on it, it
may be necessary to dissolve it with acetone.
26. On old style rifles (without the trap door
on the stock), the rear swivel (2-31, 2-32) can be
removed and disassembled by drifting out its pins
(2-28, 2-30).
2 7. On rifles with a trap-door stock, the lower
screw can be removed to separate the door assembly from the stock and to free the rear swivel.
28. On the telescoping stock, the rear of the
stock can be removed from the buffer tube by
levering up the spring-loaded bolt that holds its
release handle down. This will allow the stock to
be slid off the buffer.
29. To remove the trigger guard (2-41), use a
small tool to depress the front pin (which is
spring loaded) so that it releases the front of the
guard. Next, drift out the rear roll pin (2-40).
For assembly tips, sec the section on building
an AR-15 rifle.
DISASSEMBLY OF MAGAZINES
The magazines should be disassembled occasionally for cleaning and lubrication. On metal
magazines, the metal base on the bottom of the

magazine slides out. Some magazines require a
small tool to release the plate, which may be held
in place by pressure from the spring.
l'\ewer plastic magazines generally have a catch
somewhere on their side. Locate it and gently
push it in with a screwdriver or similar tool. When
removing the bottom plate from a plastic magazine, be careful not to over flex it as it might become deformed or even crack.
The spring is under pressure and will pop part
way out after the floor plate is removed. Jiggle the
spring the rest of the way out. The follower will
come out with the spring. Do not remove the follower from the spring. If the spring comes loose
from the follower, quickly note the way the spring
is aligned in the magazine and put the follower
back on the spring before doing anything else. If
the spring is placed on the follower backward, the
magazine will not feed properly!
Carefully wipe all dirt from the magazine and
very lightly lubricate it. Too much oil will attract
dirt.
When reassembling the magazine, jiggle the
spring back into place after placing the follower so
that its front faces the front of the magazine.
Slide the base plate back into place. Be sure the
printing is facing so that you can see it on the outside of the bottom of the magazine. Check to make
sure the base plate is secure and won't come loose.
000394
0350
913
RIF
0351
FATD Workload
Fiscal Year
Evaluations
Cases (Exhibits)
FY 14
264
492 (1462)
FY 13
258
512 (1228)
FY 12
232
494 (1150)
FY 11
241
565 (1579)
FY 10
257
579 (1348)
FY 09
225
604 (1750)
FY 08
204
566 (1451)
0351
914
RIF
0352
FTB Workload
Evaluations
Cases
Exhibits
800
700
600
500
400
300
200
100
0
FY 08
FY 09
FY 10
FY 11
FY 12
FY 13
FY 14
0352
915
RIF
0353
Field Support Statistics

FY 2009
FY 2010
FY 2011
ATF Case Assignments

(Evidence Evaluations)
604
575
566
Number of evidence exhibits evaluated
1733
1512
1576
Evidence Evaluation Expedites
115
112
130
Trial Testimony
42
47
38
Search Warrant Assistance
10
21
17
Travel to assist Agents with firearms

identification
15
31
20
Training Provided by FTB
23
25
61
PGA Support (Range shoots)
15
Seminars/Conferences Attended
20
26
Lee Imrey
2007
0353
916
RIF
0354

FY 2009
FY 2010
FY 2011
1247
1158
1191
Variance Requests
627
574
625

requests
16
14
128
346
576
Tours
58
80
67
Industry Visitors
12
50
50
50
Lee Imrey
2007
0354
917
RIF
0354

FY 2009
FY 2010
FY 2011
1247
1158
1191
Variance Requests
627
574
625

requests
16
14
128
346
576
Tours
58
80
67
Industry Visitors
12
50
50
50
Lee Imrey
2007
0354
918
RIF
0355
0355
919
RIF
0356
0356
920
RIF
0357
0357
921
RIF
0358
0358
922
RIF
0359
.)
0359
923
RIF
0360
0360
924
RIF
0361
0361
925
RIF
0362
COMPLETE YOUR OWN BO-PERCENT AR-15 LOWER RECEIVER

hen
we itecided to embark on this
ro ect dec1dm ust how to a
roach
removm metal from the 80 - ercent

for
despite having access to a Haas and a
be loaded only in the Z (vertical) axis ,
couple of Bridgeports, it was only right
and even though you 're only ever going
and proper that we use the most basic
to be plunging end mi lls into t he work,
was a tou h decision Everyone
equipment possible. And that means
you're still going to induce side loads.
wa nts to see impeccably machi ned bil-
a cheap dri ll press, handtools and, of
This means it's going to protest by
let and flawless surfaces, but clamping
course, the inevitable almighty Dremel.
the piece in a CNC machine and press-
Bear in mind that you 're abusing
in
vibrating like crazy and trying to spit

the work piece into your soft parts , so
ing " play" would detract from the ethos
the drill press more than just a little
wear safety glasses and take appropri -
of the build. In the end , we decided that
during th is adventure. It's designed to
ate precautions.
0362
926
RIF
0363
SOME TIPS
BEFORE YOU BEGIN
Ensu re that the work is clamped
securely to the table
Run the slowest speed possible

and use a light hand
It Clear chips away often and use

plenty of cutting fluid
Take your time to set everythi ng
up right. It's all too easy to get
drawn into making chips, but the
key to a good result is in setu p.
W HAT YOU NEED

Other than a drill press (the bigger
and heavier the better), you'll need
the following:
C-c lamps (again , bigger is better, though we ran out of room

on our tiny drill press table to
use more than one)
'Vi- inch two-flu te, center-c utting
end mill
Jt '/a- inch two-flute, center-cutting

end mi ll
7'1- inch drill bit
%-inch drill bit
5/,, -inch drill bit
B Cutting fluid (WD-40 works well
on aluminum)
Not Pictured:
B 80-percent jig
Dremel with sa nding drum and
1/s-inch rotary ra sp
Hand files
Hammer, trigger, and safety
selector to test fi t
Insert a 'Vi.-inch drill bit into the chuck and tighten well. Clamp the jig and receiver to the drill press table and , with the drill not running, touch the tip of the drill
to the top of the receiver. You 'll now set the depth of cut , so that the tip ends up 1Ya
inches from the top of the receiver. If your dril l press has a scale, use it. If not, use
a steel rule to set the distance from the stop nut to the surface it contacts on the
dri ll press casting.
Look at a com pleted AR-15 receiver and you'll see the fire control pocket has
two areas. We're goi ng to first remove materia l from the deeper of the two. Line up
the jig so that the side of the dri ll bit almost contacts the fixtu re. If you want to get
su per precise , you can hold it away from the wall .003 of an inch, simply by using a
piece of printer paper as a feel er gauge.
0363
927
RIF
0364
It's now time to make the first cu t. Take a deep breath and fire up the drill. Squ irt a little cutting flu id
and start drillin g, raisi ng it ofte n to clear away chips. Drill all arou nd the first area of the fire control
pocket, removing as much alum inu m as you ca n.
Now swap out the drill bit for the %-inch end mill. Set the depth of cut Vs- inch deeper, to l1!4 inches,
in the sa me way as for the drill then go back arou nd to fini sh hogging out the fire control pocket .
..,.-- ~~~ ~ ...
I
'
'
--
---
-----
Now that you have the hang of re movi ng material , reconfigure your jig as necessary and follow the same
procedures used to set up to remove material from the shallower area of the fire control pocket. Once
completed, the rece iver should look like th is.
0364
928
RIF
0365
We're now going to mil l out a slot for the trigger. Set up the jig so that the trigger slot is correctly positioned and chuck up the 5/i,-inc h end mil l. Usi ng the jig as a gu ide, ru n it com pletely through the receiver,
breaking out into the trigger guard area. Repositi on as necessary and repeat until you 've removed as much
materia l as possible.
Fli p the jig over onto its sid e and

prepare to drill the ham mer and trigger
pin holes with the %2 -inch drill bit.
With the drill off, position the jig so that
whe n you bring the dri ll bit down, it
doesn't make contact with the ho les in
the jig, in stead pass ing clean ly through
them. Now hit the switch and start drill ing, stopping when you break through
into the fire control pocket. Fli p the jig
over and repeat the process from the
opposite side.
Set up the Jig as above and repeat
the process with the %-inch dril l bit to
drill the %- inch hole for the selector.
0365
929
RIF
0366
You can now break down the jig and

remove the rece iver in preparation for
hand finishing. Using your Dremel with
a sanding drum, flatten out the peaks
and valleys ca used by the end mill s.
Carefu lly use the rotary rasp to flatten
out the very bottom of the pocket, then
swi tch to hand files for a final fini sh.
Use the
hammer, trigger,
an d selector
from your lower
parts kit to test
fi t as you go,
rem oving only as
much materia l as
necessary.
Once the three components wi ll drop in , inse rt the pins

and check for fun ction. With th e selector on Safe, press on
the back of the ham mer and pu ll the trigger. The hammer
shou ldn't drop -
if it does, you have a problem ca used
by t he re lative placeme nt of the f ire control holes . If it

passes muster, congratu lations ' You now have a choice to
make as to what type of fin ish to apply to your
fully functional Death Star AR-15
recei ver.
Brownells I www.brownells.com
Grainger I www.grainger.com
McMaster-Carr I www.mcmaster.com
Billet Rifle System s I www.billet80.corr
American Spirit Arms I www.americanspirita rms.corr
0366
930
RIF
0367
u
FIND AN
80-PERCENT
LOWER YOU
FANCY SO
YOU CAN
BUILD YOUR
VERY OWN AR
BY RECOIL STAFF
lfi h :~ ramoi.;s essa Sa ,
ffance rom
llMll:!lN4"1411HlfilfilM!JD
Ral h Waldo Emerson ar ues strenue sl for individualism for avoidin
c:_onform1t , and for all to "trust th self."
The strength of the individual is a
core tenet of our great country, and no

less than the Bil l of Right s explicitly
guarantees personal freedoms for all
Americans -
including, of course, the
right to bear arms.

What better way to pract ice selfretiance than by bu ild ing your very
own f irearm with your own two hands?
Articles elsewhere in this issue cover
the legalities and step-by-step detai ls
of manufacturing your own firearm . This
buyer's guide outlines a selection of
so-called 80-percent towers from which
you can build your rendition of the most
American of firearms, an AR-15 pattern
rifle. Please note that there are many
80-percent towers available on the
market; we are Just showing a represent ative sample in this guide.
0367
931
RIF
0368
80% Arms offers billet lowers in your choice

of bead-blasted rawor black anodized, and in
6061 or 7075 aluminum. Shown is the black
anodized receiver. Thelowers have engraved
selector markings ("SAFE" and "SEMI") on
both sides, integral winter trigger guards, and
flared magwells.
MDDIL:
80% Lower Receiver Billet AR-15 Lower

MATIRIAL:
6061 or 7075
PIHllH:
Raw (bead -blasted) or black anodized
80% Arms' Easy Jig is designed specifically for

its own billet lowers, allowing you to complete
your build more quickly and using only com monly available hand tools. Milling is done witt
a router; you need not have a mill or drill press.
The jig features hefty side plates with various
adapters and tem plates to complete each
operation. It completely encloses the integral
trigger guard on the billet lower. Note the Easy
Jig is not compatible even with standard forgec
lowers - 80% Arms does offer a universal jig
for $90 (raw) or $98 (anodized), which we did
not have to test.
MSRP:
MDDl.L:
$!05 (raw 6061 )

$110 (anodized 6061 )
$125 (raw 7075)
$130 (anod ized 7075)
80% ARIS Easy Jig

flHISH:
Anodized
MSRP:
$150
URL:
www.80percentarms.com
u
w
"'
0368
932
RIF
0369
Billet versus forged: 80-percent low-
Arms forged , wh ich coined the phrase
ers are available in both forged and bil-
"95-percent lower" for its offering, Ares
that, generally speaking, forged lowers
let (or more accurately, machined from
billet , and Col fax forged) have addition-
are compatible with all jigs, but bi llet
aluminum bi ll et) variants . Last issue,
ally started the fire-control pocket for you
we covered billet upper/lower sets, and
at the rear of the lower.
are designed to be universal. Note
the same considerations apply here.

Forged lowers will be stronger, ounce
Finish : Those who like to "go big
for ounce, than the ir billet counter-
or go home" and do things by the
pa rts -
book shou ld probably choose a raw
but both will function perfectly
well. Forged lowers more or less all
lower, complete the machining and any
look the same, while billet lowers can
engravings, surface fin ish to prefer-
be machined to incorporate addit ional
ence (i.e. bead-blast), and anodize the
features and aesthetic concerns. Billet
finished product. Whi le more expensive,
lowers also comm and a price premium.
this will ensure the entire lower (in particular, the pin holes) is hard -coat anod-
Material: Forged lowers are made
ized. Alternate ly, many a home bu ilder
from 7075 alum inum, but you may
has started with an anodized SO-per-
often have a choice between 6061 and
cent lower and either left the internal
7075 for billet lowers. How to choose?
machined surfaces and pin holes in the
7075 1s stronger, but more expensive.
raw, or hit them with someth ing simpler
"AFOOLISH
CONSISTENCY
IS THE
HOBGOBLIN
OF LITTLE
MINDS,
ADORED BY
LITTLE
STATESMEN
AND
PHILOSOPHERS
AND DIVINES."
lowers may or may not be, depending

on their part icular design characteristics. Exactly what makes bill et lowers
more unique and distinctive can make
them incompatible with other jigs. For
exa mple, differences in t he co ntour of
the magazine release fence, flares
in
the magwell, or extra thic kness in the

lower's " tail " may interfere with the
shape of certain jigs.
Some other consid erations in choosing a ji g include its rigidity and clamping surface, which help to stabilize the
work piece and reduce chatter from
vibration. This unfortunately can be
difficult to assess, as it will depend
6061 can be easier to work on for your
and more economical like Cerakote. But
not only on the lower you se lect, but
average garage tinkerer and, when
if intended for hard use and high round
also the mill vise or other equ ipment
machined from billet, is more corrosion
counts, our preference would be to
that you're using -
resistant than 7075 (forgings can be a
start with a raw receiver and then type
you to think carefully about this; for
we encourage
di fferent matter, hence issues that you
Ill hard-coat anodize it afterwards.
instance, the integral trigger guards
may have read about during the early
on bi llet lowers may protrude from the
days of the AR-15 platform). Some may
Jigs: If possib le, purchasing a jig
prefer to pay a little extra to get the
from the same manufac turer as your
jigs utilize the front and rear take-down

holes for locator pins. Some jigs have
bottom of some jigs. Almost all of the
strongest material, but don't feel bad
lower ensures that they will be perfectly
about going with 6061. Both will get
compatibl e. However, many jigs will
replaceabl e bushings for t heir drill
the job done just fine .
work with a va riety of lowers, as noted
to enhance the ir ability to be used
in the compatibility grid, and some
multiple times.
hole ~
Features: Billet lowers may have vari ous addit ional features, such as integral
trigger guard s, flared magazine wel ls,
and pins with screws to replace those
annoying ro ll pins. You can also shop
around to find one that suits the look
yo u want.
80-percent versus 95-percent: All of

these partially formed pieces of aluminum have been determined by the ATF
not to be firearms. Most lowers require
you to hog out the entire fire-control
pocket and drill holes for the trigger bow,
safety selector, hammer pin, and trigger
pin. Some (including the American Spirit
ARE THEY COMPATIBLE?

80%ARMS
JIG
ARlS
ARMOR JIG
CNC
Bill[] Rlrtl
COlfAX
JUGGRNAU1
lACllCAl JR NA8l
IJHING lACTICAl
SYSHMSJIG GUNSM
JIG lACTICAl JIG K ARMS JIG MACHINING JIG
JIG
JIG
----
80%Arms lower
x
x
x
v'
v'
v'
v'
v'
American Spirit Arms lower
x
v'
v'
v'
v'
v'
v'
v'
AresArmor forgedlower
x
v'
v'
v'
v'
v'
v'
v'
AresArmor Billet lower
x
x
v'
v'
v'
v'
x
v'
Ares Armor Siqnaturelower
x
v'
x
v'
x
x
v'
x
Billet Rifle Systemslower
v'
v'
v'
v'
x
v'
v'
x
Coifax Tactical lower
x
v'
v'
v'
v'
v'
v'
v'
Juqgernaut lactical lower
x
v
v
x
x
x
x
x
K Armsforged lower
v'
v'
x
v'
v'
v'
v'
v'
v'
v'
KE Arms Billet lower
v'
v'
v'
v'
x
x
v'
v'
Tactical Machining Lower
v'
v'
v'
v'
x
v'
v
v'
v
TR Enablinqlower
v'
v'
v'
x
x
DISCLAIMER: fitment information based on our sample products. Manufacturers mayupdate products from timeto time. so please verify before purchasing.
NOTE: All lowers thal are availablewith anodizingare type Ill hard anodized. Additionally, all magazine wells are broach cut unlessotherwise noted.
x
v'
x
x
x
v
x
v'
v'
v'
v'
0369
933
RIF
0370
Bil let Rifle Systems makes

BO-percent lowers in 6061
and 7075, availab le raw or
black anodized. The lower has
an angula r look and features
an integral trigger guard,
flared magwell, threaded rear
takedown pin detent hole, and
a pin and set screw for the bolt
catch. The magwell is mach ined.
The lowers also have engraved
pictograms for the se lector
markings on both sides.
Independence
The Jig Set from Billet Rifle

Systems is very affordable and
comes with two side plates and
a single top plate that screws in
and flips around to accomplish
each operation. The jig fully
encloses the integral trigger
guard. The side plates are not a~
thick as so me of the other jigs,
but they get the job done (see
it used in the DIY on page 40).
Tool ing is optional and includes
a Ys-inch end mill, Yi.- inch end
mill, Yi1 -inch drill bit, and 'loinch dri ll bit.
MATERIAL:
MDHL:
MDDIL:
6061 or 7075
BO-Percent Jig Set
PllllSll:
PllllSll:
Raw (steel ball burnished) or black

anodized
MHP:
MSRP:
$129 (raw 6061)

$159 (ra w 7075)
$174 (anodized 7075)
Raw
$72 (jig)
$64 (too ling)
URL:
www.billetBO.com
MDDL:
(
The other jigs in this guide use the takedown pin holes to align thejig and work piece, and are designed to be used with typical 80-percent lowers sold
today which require the fire-control pocket to be milled out. The CNC Gunsmithing jig doesn't utilizethe takedown pin holes, requiring more careduring
setup, but also allowing more flexibility, as it is designedto handle other operations on 80-percent receivers of differing styles, includingthose that
originally had the fire-control pocket already milled out. You can infer fromthisjust how long CNCGunsmithing's track record has been in the 80-percent
business; they focus primarily on jigs and do not sell AR-15 lowers (though they do offer an interesting 80% AR45 lower that accepts greasegun
magazines). The jig alsodoes not fully enclose the lower, which you should keep in mind as you consider how you will secure it. The CNC jig has twoside
plates and several adapters, sold separately; it was compatible with all of the lowers in this guide. In sum, though, it is the most expensive jig set.
AR-15 drilling jig, milling

adapter kit, trigger slot
adapter kit
FINISH:
Anodized
MSRP:
$100 (jig)
$125 (milling ada pter)
$50 (trigger slot)
URL:
www.cncguns.com
0370
934
RIF
0371
American Spirit Arms offers a traditional forged

receiver with a nice tumbled finish. They were
one of thefirst to push to machine as much as
they could while still receiving a favorable determination from theATF. ASA calls it a 95- percent
lower - compared to many other 80-percent
lowers, the fire-control pocket has been started
with the upper receiver rear lug pocket already
machined. The magazine well is EDM wire cut
and moderately beveled.
As one of the more high-profile purveyors of 80-percent receivers,

Ares Armor offers a full li ne of products, including forged, billet,
and premium Signature billet lowers. They can be ordered raw
(usually tumbled, though theforged lower shown is bead-blasted)
or black anodized for a $10 surcharge. The forged lower's magwell
has additional beveling. The billet receiver has subtle styli ng with a
mag fence similar tothe forged; it also features an integral trigger
guard and, like the ASA, the rear of the fire-control pocket has
already been machined. The Signature billet lower (shown anodized
black) has more squared-off lines and an integral trigger guard notethat it is only compatible with a few jigs in this guide.
MDDIL:
ASA M4 AR-15 95-Percent Lower Receiver

MATERIAL:
7075 (forged)
FINISH:
Raw (tumbled)
MSRP:
$150 ($120 on sa le)

URL:
www.americanspiritarms.com
MDHL:
MDDIL:
MDDIL:
80-Percent AR-15
Lower Receiver
Ares Armor
Signature Billet
MATERIAL:
80-Percent Billet
AR-15 Lower
Receiver
7075 (forged)
MATIRIAL:
7075
FINISH:
7075
FINISH:
Raw (tumbled) or
black anodized
FINISH:
Raw (tumbled) or
black anodized
MSRP:
$80 (raw)
$90 (anodized)
Raw (tumbled) or
black anodized
MSRP:
$160 ($90 on
sale, raw)
SIOO (anodized)
MATERIAL:
MSRP:
$160 ($125 on
sa le, raw)
$135 (anod ized)
TheAres Armor jig has thick anod ized aluminum side plates with drill bushings for the
trigger pin, hammer pin, and safety selector
hole. Thetop plates are madeof steel and
provide templates to hog out the fire-con trol
group. The jig completely encloses the integral
trigger guard on the billet lowers and was
compatible with all but two of the billet lowers
in this guide.
MDDIL:
80 -Percent AR-1 5Jig

FINISH:
Anodized
MSRP:
$135
URL:
www.aresa rmor.com
0371
935
RIF
0372
Colfax has a very nice forged receiver in

your choice of raw tumbled (shown here),
raw bead-blasted or black anodized.
The magwell has extra beveling. Similar
to the ASA, the rea r of the fire-control
pocket has already been started .
MDDIL:
AR-1 5 80-Percent Lower

MATERIAL:
7075 (forged)
FINISH:
Colfax's jig includes side plates and a

single top plate. Note th is jig does not
include a template to drill the trigger
hole - because Colfax is concerned
about potential drift when drilling from
the top, given the distance between
the template and the bottom of the
receiver. Thus, they advise customers
to use coordinates instead. The jig does
guards on the other billet lowers.
Raw (tumbled or bead blasted) or black

anod ized
M UHL:
MSRP:
PINISN:
$79 (raw)
$90 (anod ized)
MSRP:
AR Jig
Raw
$99
URL:
www.colfaxtactical.com
MaaL:
au&GERHAUT TADTIDAL I
Juggernaut Tactical's bi llet lower has a unique look with an integral winter trigger guard, fla red magwell, and
grooves on the front of the magwell. The distinctive fence around the mag release and bolt catch also makes it
incompatible with most of the jigs in this guide. Selector markings ("SAFE " and "SEMI ") are engraved on the left
side, and anodized models wear Juggernaut's logo. Available in 6061 or 7075, and either raw or anodized in several
colors. Note that Juggernaut does not charge extra for 7075.
AR-15 80-Percent Lower

Receiver
MATERIAL:
6061 or 7075
PINISH:
Raw (tumbled) or anodized

(black, FO Eor camo)
MSRP:
$155 (raw)
$165 (a nod ized black. FOE,
or pink)
$175 (anodized camo)
Also unique is Juggerna ut

Tactical 's Universa l Jig, which
sports an indexing system
that utilizes the threading
for the receiver extension to
accept an adapter, ensuring
proper centering of the
receiver in the jig. There are
three top adapter plates
for the various operations.
Laser-etched markings on the
side plates indicate which
drill bits to use. The jig was
compatible with all of the
lowers in this guide; however,
it may not completely enclose
all billet lowers - for
instance, the TR Enabling's
rather large trigger guard
protrudes beneath the jig.
The optional tooling pa ckage
includes four Cobalt drill bits
(0484, 0.375, 0.156, 0.125 inch) and two carbide end
mills (VB , !4-inch).
MaaL:
Universal Jig
PINISH:
Anodized
MSRP:
$140 (jig)
$85 (tooling)
URL:
www.jtactical.com
0372
936
RIF
0373
~ARMS- --~
KE Arms makes forged and billet 80-percenl lowers. The forged
receiver is exactly what you'd expect, and the billet lower looks
pretty similar. As a result, of the billet lowers in this guide, KE
Arms' offering was compatible with most other jigs. working with all
but Tactical Machining's jig and 80% Arms' Easy Jig (which is not
intended to be universal).
..
--
.
. . --.'
--- ~.
~
-
~-
~,....
..
'
19
.
-----~
~
:-
---.-.
0
<J
Maaa:
Forged 80-Percent KE-15

Lower
MATERIAL:
7075 (forged)
JIHISH:

anodized
MSRPI
$100 ($80 on sale, raw)

MDDIL:
Billet 80-Percent KE-15 Lower

MATERIAL:
7075
PIHISH:

anodized
MSRP:
$130 ($96 on sale, raw)

The jig from KEArms has steel

bushings to drill the pins and selector
hole. It also has convenient etchings
to remind you ot which tooling to
use. There aretwo top plates with
templates to mill out the fire-control
pocket and trigger hole. The jig does
guards on the other billet lowers and is
compatible with all but three of them.
MDDIL:
KE-15 80-Percent Finishing Jig

MATERIAL:
7075
PIHISH:
Anodized
MSRP
$150 ($130 on sale)
I URL:
\ www.kearms.com
0373
937
RIF
0374
r-.
ll-aT1aaL .v.aa1t1111a
____J
L ~--- ------- ----------- --- _ __
Tactical Machining sticks to the

basics with a traditiona l forged
80-percent lower - there's
nothing wrong with that, and it's
also the cheapest in this guide
to boot. You can select between
raw and black anod ized. The
magwell features add itional
beveling.
Tactical Machining 's jig features

side plates with steel drill
bushings for the hammer pi n,
trigger pin, and safety selector
ho le. It has three top plates for
the additional operations. The
side plates are a little too short
to enclose the integral trigger
guards on bi llet lowers.
MODEL:
MDDIL:
80-Percent AR-15 Jig Gen 2
MATERIAL:
FINISH:
7075 (forged)
Anodized
FINISH:
MSllP:
Raw (deburred and tumbled) or

bl ack anodized
$90
URL:
MSRP:
www.tacticalmachining.com
$78 (raw)
$88 (a nod ized)
[!R _~NABLINli
TREnabling's billet 80-percent receiver has
some chunky styl ing cues with a large integral
trigge r guard, flared magwell, pin and set
screw for the bolt catch, and a threaded rear
takedown pin detent hole. It is only availab le
in raw tumb led form and is the cheapest bil let
lower in th is guide.
TR Enabling's Jig is also the most economical

of the bu nch . It has two side plates and
a single top plate with tem plates for the
mi lling operations. The top plate secures
with screws and fl ips arou nd to line up for
the appropriate cuts. The jig fu lly encloses
the integral trigge r guard.
MDL:
M DDIL:
AR-15 Milling Jig
MATERIAL:
FINISH:
5051
Raw
FINISH:
MSRP:
Raw (tumbled)
$59
MSRP:
URL:
$95 ($79 on sale)
www.tr-enabl ing.com
0374
938
RIF
0375
YEP. 80-PF.RCENT l O~JERS ARI: 100-PFRCENT KOSHFR

,
BY RECOI L STAFF
are, you need to read on and find out
a partially formed lower receiver that
~So, empower your arsenal
s the old axiom oes knowled e
more about what you can and can't do
req uires the owner to tool in the mis s-
by building your own firea rm from
with an BO-percent lower. Because , as
ing 20 percent -
an BO-percent lower rece iver. Make
Duke taught us in t he 'BOs, knowing is
This usually means you 'll have to drill
your own gun? " Isn't that il legal?" you
ha lf the battle.
might ask. Well, actually, it's not. According to federal law, it's comp letely
legal to make your own firea rm .
Under t he Gun Control Act of l 96B
hence the name.
or machine out the fire-control pocket ,

as well as drill ho les for the trigger,
WHAT'S AN 80-PERCENT
LOWER?
Thin k of it as an incomplete
(GCA), an individual can make a fire-
sculpture that sti ll needs some stone
arm for personal use. Surprised? If you
to be chipped away. Essential ly, it 's
safety selector, hammer pin, and trigger pin. Once you've done that, you
have a working lower that you can use
to assem ble a firearm.
0375
939
RIF
0376
HOW IS THIS LEGAL?
lure service or re pair. It'll be a lot easier
place between private (unlicensed) per-
for a gunsmith or coating company to
sons who reside in the same state, the
so. The Bureau of Alcohol, Tobacco,
keep track of your receiver, and some
GCA does not require any recordkeep-
Firearms and Explosives (ATF) has
may be uncomfort ab le working on an
ing, " the ATF says. "It is not necessary
determ ined that 80 -percent lowers are
unmarked lower.
under federa l law for a federal f irearms
CAN I SELL MY BO-PERCENT

LOWER?
transfer when the buyer and seller are
Because the federal governme nt says
licensee (FFL) to assist in the sale or
not firearms. In the eyes of the law, it's

just a blank piece of material, for all
intents and pu rposes.
Su re. If it's stil l in 80-percent form,
SO AN 80-PERCENT LOWER IS
NOT A FIREARM, BUT CAN I
BUILD A FIREARM FROM IT?
Yep -
at least from the federa l
government's po int of view. (Check your
then it's not a firearm and you're free to
states that an un licensed indiv idual
ments, so make sure you research them.
sell it just like you would smartphones

or si lver bullion -
or like t hat vintage
Walkma n you had hoped would become

a collector's item ... but didn't.
state laws for restrictions.) The GCA

can make a firearm as defined in the
'same-state' residents." Your state may

have additiona l restrictions or require-
CAN I SELL MY FINISHED

80-PERCENT LOWER?
CAN I USE MY 80-PERCENT

LOWER TO BUILD A FULL-AUTO,
SHORT-BARRELED RIFLE WITHOUT ANY BIG BROTHER INTERFERENCE?
Negative. Al l other f irea rm laws
-
i.e. the Nationa l Firearms Act and
GCA for personal use, but not for sale
This question has been a source of
or distribution. That means it's kosher
much ha rangu ing on the lnterwebs. The
regulations in your state , cou nty, and

mun icipa li ty -
stil l app ly.
to comp lete an 80 -percent lower and
ATF says that "a firearm may be made
assembl e a work ing firearm from it, so
by a non -licensee prov ided it is not for
long as:
sa le and the maker is not prohibited
you an unpaid vacat ion to Club Fed . If
It's for personal use: No gifting,
from possessing firearms." The key
you want to make an SBR from your
phrase be ing "provided it is not for
80-percent receiver, you 'll need to get
transferring, or willing it to relatives.
Making a full-auto firearm can score
You build it yourself: You can't bribe
sale." The questi on here is not whether
the ATF 's approval and pay the $200
Tim " The Tool Man" Taylor to do the
you can sel l it, but whether you had the
tax stamp for building an NFA gun.
dirty work for you.
intent to sel l it before finishing it.
Always check the laws in your area first.
You're not prohibited from owning a
If a court can be persuaded that
firearm: Sorry, fe lons , but there's no
you did indeed have t hat intent, then
loophole here for you to exploit. If
you can kiss your liberty goodbye for a
you 're already proh ibited from owning
wh ile. While this may be a tough one to
a regular firearm , the same penal-
prove , we are not about to add to the
ties apply to possessing one that you
body of case law on this subject , so
made yourself.
none of our personally made firearms

will ever end up on GunBroker.com or
DO I NEED TO PUT A SERIAL

NUMBER ON IT?
Nope. Serial numbers are on ly
requi red on guns sol d and distributed
the Revo lvr app. However, if you do

decide to sel l a homemade lower at
some point, and if your state allows it,
you will t hen need to engrave on the
by licensed manufacturers. "Individua ls
rece iver you r name (or recognized ab-
manufacturing sporting-type f irearms
breviation) , a serial number, the caliber
for the ir own use need not hold fe deral
of the firearm, and the cit y and state
firearms licenses," says the ATF, though
where you made it.
officials there suggest that you "at

least identify the firearm with a serial
number as a safeguard in the event that
the firearm is lost or stolen."
Anoth er reason why you might want a
unique marking on your lower is for fu-
DOES THIS SALE NEED TO GO

THROUGH AN FFL?
No, not under federa l law, so long as
you're sel ling it to someone who lives in
you r state. "When a transaction takes
SDURCES
Bureau of Alcohol , Tobacco ,
Fi rea rms, and Explosives
www.atf.gov
United States Code
(Title 18 , Chapte1 44)
uscode. house .gov
0376
940
RIF
0377
0377
941
RIF
0378
0378
942
RIF
0379
Lug Hole
Fire Control Cavity
0379
943
RIF

Final Response 2015-0677 For December 14 2015 Release

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Final Response 2015-0677 For December 14 2015 Release

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U.S.

December 14, 2015

REFER TO: 2015-0677

Mr. David T. Hardy

U.S. Department of Justice

SUBJECT: FEDERAL FIREARMS ADMINISTRATIVE ACTION

All ATF Offices

DISCUSSION. Administrative action is defined as a Warning Letter (WL), Warning

Inspections of licensees are conducted to prevent and detect the diversion of

A national policy for determining administrative actions is necessary to promote

ATF O 1100.168A, Delegation Order Delegation of Authorities Within the Bureau

Title 27 CFR Part 478.

Title 18 U.S.C. 923.

ATF O 3200.1, Monitored Case Program.

CANCELLATION. ATF O 5370.1A, Federal Firearms Administrative Action Policy and

Unified Administrative Action Policy and Procedures .

This order establishes a unified plan of action for resolution of violations

Report of Violations. Report of Violations, ATF F 5030.5, shall be issued to the

Failure to record any ID on (b) (7)(E)

of Forms 4473 examined.

Missing (b) (7)(E)

firearms after inventory reconciliation (i.e., no records

Acceptance of a non-qualifying State permit as a substitute for a National

Failure to conduct a NICS check or obtain alternative permit for return of

Missing (b) (7)(E)

Licensee is engaged in an activity not authorized by the FFL (e.g. , engaging

Failure to report theft or loss to either ATF or local law enforcement.

Warning Conference. The following violations merit a warning conference as the

- refer to subparagraph 6.e.(4)(a).

Failure to record valid and complete ID on (b) (7)(E)

Failure to record any ID on (b) (7)(E)

of Forms 4473 examined.

Missing (b) (7)(E)

Acceptance of a non-qualifying State permit as a substitute for a NICS check

firearms after reconciliation (i.e., no records of

Transfer of a receiver to a person under the age of 21 on (b) (7)(E)

Transfer of a handgun or receiver to an out-of-State resident.

Failure to respond to a trace request within 24 hours.

Failure to properly mark imported or manufactured firearms .

Failure to execute a Form 4473 (Note: (b) (7)(E)

Licensee has previously been the subject of a warning letter or warning

Willfulness must be established in order to proceed with r evocation. The

Willfulness can be established in a variety of ways. One method is to

In addition, violations such as a licensee knowingly making sales to

ATF field counsel is required to evaluate the facts and circumstances

Transfer of a firearm to a prohibited person knowing or having reason

Allow an employee who is a prohibited person to have actual or

Transfer of a receiver or handgun to an out-of-State resident and is a

Knowingly engages in a straw purchase transaction (i.e., the licen see

Falsifies a required record, or makes a false or fictitious oral or

Withholds or misrepresents information to obtain a license

Failure to execute a Form 4473 and is a repeat violation. (Note:

Failure to conduct a NICS check or obtain alternative permit and is a

Discontinues use of or fails to create an A&D record.

Failure to properly mark imported or manufactured firearms and is a

Refuses ATF right of entry and inspection during hours of operation

Missing (b) (7)(E)

Failure to have secure gun storage or safety devices available,

Licensee has previously been the subject of warning conference

Any other GCA violation not specifically addressed in this order

The division management team has discretion to consider an alternative to

HEADQUARTERS POLICY REVIEW.

As outlined in the delegation orders (Refer to 4.b.) pertaining to administrative