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Thread: Work In Progress: new F1/F4 guide for 41F submissions

  1. #1
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    Work In Progress: new F1/F4 guide for 41F submissions

    Disclaimer: I am not a lawyer, I do not work for the ATF, and I hold no FFL of any type. I’m simply going to provide the explanations below based on the instructions on the forms themselves.

    It seems that a lot of the questions that get asked/answered about filling out forms are because the person submitting the form either doesn’t read the instructions or simply is seeking confirmation of what to do. I am simply going to try to explain it as clear as I can using the ATF’s own words when possible. I will provide the reference to an instruction when necessary.

    There are lots of guides on how to fill out the current forms, and a good bit of the info hasn’t changed. In an effort for this to be a one-stop shop, I’ll still cover all sections.

    I am not going to get too deep into some topics, rather just present the data in black and white. For example, I’ll address three things here and then simply mention them later:

    1. Fingerprints. The new wording is identical to the old wording. It simply says the person must be “properly” equipped to take the fingerprints. It does not say certified, trained, qualified, or any other word. Therefore, the assumption is if you could roll your own prints before these new forms existed, you should be able to roll them afterwards. Time will tell, or maybe the ATF publishes an answer.

    2. Photos. The wording again stays the same. Simply a 2”x2” passport-style photo. In the past, many people have submitted their own, some even printing the pic directly onto the form. I even know people that print them out on normal paper and duct tape them to the form. Others obviously use a service as your local pharmacy, USPS, etc…anywhere that does official passport photos.

    3. Responsible persons. This is a term that has had a lot of discussions trying to decide who fits the definition. Concerning a trust, the general explanation is that anyone who is a trustee is an RP, while those that are only successor trustees or beneficiaries are not. Corporations and LLCs will have different rules. I’m sure plenty of lawyers will play games with the legalese and try to minimize the number of people that qualify. All I can say is that the ATF’s definition from the F1/F4 reads as follows:

    Responsible Person. In the case of an unlicensed entity, including any trust, partnership, association, company (including any Limited Liability Company (LLC)), or corporation, any individual who possesses, directly or indirectly, the power or authority to direct the management and policies of the trust or entity to receive, possess, ship, transport, deliver, transfer or otherwise dispose of a firearm for, or on behalf of, the trust or legal entity. In the case of a trust, those persons with the power or authority to direct the management and policies of the trust includes any person who has the capability to exercise such power and possesses, directly or indirectly, the power or authority under any trust instrument, or under State law, to receive, possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm for, or on behalf of the trust. Examples of who may be considered a responsible person include settlors/grantors, trustees, partners, members, officers, directors, board members, or owners. An example of who may be excluded from this definition of responsible person is the beneficiary of a trust, if the beneficiary does not have the capability to exercise the enumerated powers or authorities.

    The write-up will be split into multiple posts...so you can scroll down, or use the direct links below:
    How to fill out a Form 1 as an Individual
    How to fill out a Form 1 as an Entity
    How to fill out a Form 4 as an Individual
    How to fill out a Form 4 as an Entity
    How to fill out a 5320.23 (Responsible Person Questionnaire)
    State-level CLEO information
    How to fill out an FD-258LE Fingerprint Card
    How to fill out a 5320.20
    Sample Form 1 & RPQ

    Layout, as you’ll see, will be one section of the form followed by instructions. May end up doing the screenshots with words on them at some point, but I think they may be too busy at this point.

    The following info is directly from ATF.gov (direct link: here)

    FINAL Rule 41F – Background Checks for Responsible Persons – Effective July 13 2016
    On January 4, 2016, the Attorney General signed ATF Final Rule 41F, Machineguns, Destructive Devices and Certain Other Firearms; Background Checks for Responsible Persons of a Trust or Legal Entity With Respect To Making or Transferring a Firearm, amending the regulations regarding the making or transferring of a firearm under the National Firearms Act (NFA). The goal of the final rule is to ensure that the identification and background check requirements apply equally to individuals, trusts, and legal entities who apply to make or receive NFA firearms.

    Please note, the forms in PDF format below are not fully Section 508 compliant. We are working quickly to ensure they are accessible for all users of our site.

    PLEASE NOTE: Final Rule 41F becomes effective JULY 13, 2016. Applications received with a post-mark of July 13, 2016 and after will be processed according to the specifications of 41F.

    How Does Final Rule 41F Change Current NFA Regulations?
    The final rule affects the NFA regulations by:
    - defining the term “responsible person,” as used in reference to a trust, partnership, association, company, or corporation;
    - requiring responsible persons of such trusts or legal entities to complete ATF form 5320.23, National Firearms Act Responsible Person Questionnaire and to submit photographs and fingerprints when the trust or legal entity files an application to make an NFA firearm or is listed as the transferee on an application to transfer an NFA firearm;
    - requiring that a copy of all applications to make or transfer a firearm, and the specified form for responsible persons (5320.23), be forwarded to the chief law enforcement officer (CLEO) of the locality in which the applicant/transferee or responsible person resides; and
    - eliminating the requirement for certification signed by the CLEO.
    - In addition, the final rule adds a new section to ATF’s regulations to address the possession and transfer of firearms registered to a decedent.

    Who is a Responsible Person?
    In the case of an unlicensed entity, including any trust, partnership, association, company (including any Limited Liability Company (LLC)), or corporation, any individual who possesses, directly or indirectly, the power or authority to direct the management and polices of the trust or entity to receive, possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm for, or on behalf of, the trust or legal entity.

    In the case of a TRUST, those persons with the power or authority to direct the management and policies of the trust include any person who has the capability to exercise such power and possesses, directly or indirectly, the power or authority under any trust instrument, or under State law, to receive, possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm for, or on behalf of, the trust.

    Examples of who may be considered a responsible person of a trust or legal entity include:
    - Settlors/Grantors
    - Trustees
    - Partners
    - Members
    - Officers
    - Board members
    - Owners
    - Beneficiaries – if said beneficiary has the capability to exercise any of the powers or authorities enumerated above.

    What Do NFA Trust or Legal Entity Applicants Affected by the Change Need to Know?
    If you are:
    - applying as a trust or legal entity to make and register an NFA firearm on a Form 1, or
    - receiving an NFA firearm in the name of a trust or other legal entity as the transferee on a Form 4, or Form 5,
    the following information is applicable to your applications:
    ---- all responsible persons named in the trust or legal entity are required to undergo a background check.
    ---- all responsible persons must complete the Form 5320.23 with photo attached and provide two FD-258 fingerprint cards in order to initiate the required background check. Fingerprint cards may be ordered from the ATF Distribution Center through the online Distribution Center Order Form, or by calling (703) 870-7525 or (703) 870-7528.
    ---- Chief Law Enforcement Officer (CLEO) certification has been replaced with CLEO notification. The applicant on the Form 1 and the transferee on the Forms 4 and 5 shall forward a completed copy of the application to the chief law enforcement officer of the locality in which the applicant or transferee is located. In addition, all responsible persons must also submit a completed copy of Form 5320.23, to the chief law enforcement officer of the locality in which the responsible person resides.
    ---- after July 12, 2016, all applications to make or transfer NFA firearms must be submitted on the new Form 1, Form 4 or Form 5 and a Form 5320.23 must be completed by each responsible person of a trust or legal entity.
    ---- after July 12, 2016, CLEO certification is no longer required but applicants must send a copy of the application to make or transfer NFA firearms to their chief law enforcement officer notifying them of the application.
    ---- all applications post marked prior to the effective date of July 13, 2016 will be processed according to the current regulations.
    ---- all applications post marked on or after the effective date of July 13, 2016 will be processed according to the new regulations set forth by 41F.

    Related Resources
    Final Rule 41F: Machineguns, Destructive Devices and Certain Other Firearms; Background Checks for Responsible Persons of a Trust or Legal Entity With Respect To Making or Transferring a Firearm
    General 41F Questions and Answers

    Forms related to Final Rule 41F
    All previous editions of the forms are obsolete and will not be accepted.
    - ATF Form 5320.23 - National Firearms Act Responsible Person Questionnaire (I may refer to this as the RPQ)
    - ATF Form 5320.1 - Form 1 - Application to Make and Register a Firearm (I may refer to this as the F1)
    - ATF Form 5320.4 - Form 4 - Application for Tax Paid Transfer and Registration of Firearm (I may refer to this as the F4)
    - ATF Form 5320.5 - Form 5 - Application for Tax Exempt Transfer and Registration of Firearm (I am not covering this in the write-up)
    Order Forms and Fingerprint Cards

    Related Research and Background Information
    National Firearms Act
    Regulations and Rulings

    Contact Information
    Please direct 41F related questions to 41F@atf.gov.
    All applications must be mailed to the address below:

    Mailing Address
    NFA Branch
    P.O. Box 530298
    Atlanta, GA 30353-0298

    Phone
    Phone: (304) 616-4500
    Fax: (304) 616-4501
    Last edited by BigWaylon; 02-04-17 at 16:35.

  2. #2
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    How to fill out a Form 1 as an Individual

    You’ll need to submit two identical copies of this form (double-sided is no longer a requirement). Sending in the instructions is not necessary, so most people will have pages 1 & 2 on one sheet (if you opt for double-sided), and then page 3 with a blank back side. You’ll also need a 3rd copy to send to the CLEO whose jurisdiction is shown in 3b (the forms have ATF Copy or CLEO Copy in the footer).



    1. Check box (a) for Tax Paid
    2. Check box for INDIVIDUAL
    3a. Leave blank
    3b. Applicant’s complete name and mailing address.
    3c. If PO Box entered in 3b, a physical address needs to be provided here, otherwise leave blank
    3d. County
    3e. Telephone number (including area code)
    3f. Email address



    4a. Name and city, state engraved on firearm if modifying existing firearm. Your name and the city, state where firearm will be made if starting from scratch (for example, a Form 1 suppressor or an SBR using an 80% lower)
    4b. SBR/SBS/DD/AOW/Silencer, or the fully spelled out version of those items
    4c. Caliber or gauge you’re initially building, regardless of what’s already engraved
    4d. Model, as engraved on the firearm
    4e. Length of barrel in inches (N/A if item is a suppressor)
    4f. Overall length in inches
    4g. Serial number
    4h. Historically, most people have left this blank. However, the current version of the form and the new 41F version are different from previous forms in the fact they specifically mention the maker’s name and city, state. No harm done in providing that information as you’ll have to engrave it anyway.
    4i. State the reason you’re building the fiream. Lots of people use a generic “all lawful reasons”, and your state may have specific wording required
    4j. Only answer if item is a Destructive Device
    4k. Answer Yes/No (usually “No”)
    NOTES: (1) barrel and overall lengths do not include muzzle device unless it’s permanently attached via approved methods such as pin & weld or 1100F silver solder and (2) if there is a folding or collapsible stock, overall length is measured with stock fully extended



    5. only answer if applicable
    6a & 6b. only answer if applicable
    7. Sign form
    8. Print name
    9. Date form
    Do not fill out anything else on page 1



    10. Provide CLEO Notification info for the address listed in 3b. Note that state-level CLEO personnel are still acceptable if you don’t want to notify a local Sheriff or Chief of Police. Instruction (2)(g) says: Law Enforcement Notification. The applicant must provide a copy of the Form 1 to the chief law enforcement officer who has jurisdiction over the area of the applicant’s address shown in item 3b of the Form 1. In addition, if the applicant is other than an individual, a copy of the Form 5320.23, National Firearms Act (NFA) Responsible Person Questionnaire, for each responsible person must be provided to their respective chief law enforcement officer. The chief law enforcement officer is considered to be the Chief of Police; the Sheriff; the Head of the State Police; or a State or local district attorney or prosecutor.



    11. Answer questions 11a-11h using Yes/No boxes. Definitions are provided on the following pages if needed
    12. Affix photo
    13a. Check appropriate box(es) NOTE: this replaces the 5330.20 CoC form
    13b, 13c & 13d1. Answer Yes/No as appropriate
    13d2. If 13d1 was "yes", answer Yes/No as appropriate, otherwise check N/A
    14. Answer if applicable



    CERTIFICATION. Sign and Date



    15 & 16. Leave blank



    17. Check appropriate box for method of payment, and fill out necessary info (if paying by check, I always recommend writing the serial number on the Memo line of the check). Sign and date.

    Actions to take:
    1. Mail the CLEO Copy (the third one I mentioned at the beginning) of the F1 to the CLEO you listed in section 10. There is no action required on their part. (No FP cards are sent to CLEO)
    2. Mail the two ATF Copies of the F1, including payment, and two completed FD-258LE fingerprint cards, to the address at the top of the form.
    NOTE: The ATF is saying that two fingerprint cards are required for each serial number, even when multiple forms are submitted at the same time. This is different from how it used to work, but we won’t know for sure until somebody that submits one set for multiple forms in the 41F era reports back.
    NOTE: Per ATF's answer in email, no photo is required on the CLEO Copy of the F1, which is consistent with the process for an entity (no photo on CLEO Copy of RPQ)
    Last edited by BigWaylon; 07-23-17 at 23:03.

  3. #3
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    How to fill out a Form 1 as an Entity

    You’ll need to submit two identical copies of this form (double-sided is no longer a requirement). Sending in the instructions is not necessary, so most people will have pages 1 & 2 on one sheet (if you opt for double-sided), and then page 3 with a blank back side. You’ll also need a 3rd copy to send to the CLEO whose jurisdiction is shown in 3b (the forms have ATF Copy or CLEO Copy in the footer).



    1. Check box (a) for Tax Paid
    2. Check box for TRUST or LEGAL ENTITY
    3a. Enter Trade Name, if applicable
    3b. Applicant’s name and address. This is not you as an individual, it's the name of the trust, corporation, LLC, etc. The address is the location within the particular state where the firearm will primarily be stored.
    3c. If PO Box entered in 3b, a physical address needs to be provided here, otherwise leave blank
    3d. County
    3e. Telephone number (including area code)
    3f. Email address



    4a. Name and city, state engraved on firearm if modifying existing firearm. Your entity’s name and the city, state where firearm will be made if starting from scratch (for example, a Form 1 suppressor or an SBR using an 80% lower)
    4b. SBR/SBS/DD/AOW/Silencer, or the fully spelled out version of those items
    4c. Caliber or gauge you’re initially building, regardless of what’s already engraved
    4d. Model, as engraved on the firearm
    4e. Length of barrel in inches (N/A if item is a suppressor)
    4f. Overall length in inches
    4g. Serial number
    4h. Historically, most people have left this blank. However, the current version of the form and the new 41F version are different from previous forms in the fact they specifically mention the maker’s name and city, state. No harm done in providing that information as you’ll have to engrave it anyway.
    4i. State the reason you’re building the fiream. Lots of people use a generic “all lawful reasons”, and your state may have specific wording required
    4j. Only answer if item is a Destructive Device
    4k. Answer Yes/No (usually “No”)
    NOTES: (1) barrel and overall lengths do not include muzzle device unless it’s permanently attached via approved methods such as pin & weld or 1100F silver solder and (2) if there is a folding or collapsible stock, overall length is measured with stock fully extended



    5. only answer if applicable
    6a & 6b. only answer if applicable
    7. Sign form
    8. Print name
    9. Date form
    Do not fill out anything else on page 1



    10. Provide CLEO Notification info for the address listed in 3b. Note that state-level CLEO personnel are still acceptable if you don’t want to notify a local Sheriff or Chief of Police. Instruction (2)(g) says: Law Enforcement Notification. The applicant must provide a copy of the Form 1 to the chief law enforcement officer who has jurisdiction over the area of the applicant’s address shown in item 3b of the Form 1. In addition, if the applicant is other than an individual, a copy of the Form 5320.23, National Firearms Act (NFA) Responsible Person Questionnaire, for each responsible person must be provided to their respective chief law enforcement officer. The chief law enforcement officer is considered to be the Chief of Police; the Sheriff; the Head of the State Police; or a State or local district attorney or prosecutor.



    11. leave blank
    12. leave blank (the photo will be handled with the 5320.23)
    13a-d2. leave blank
    14. leave blank



    CERTIFICATION. Sign and Date. This is different than the previous process for entities, and signature is required per Instruction (2)(d)(3)



    15. Provide number or Responsible Persons
    16. Provide names of Responsible Persons



    17. Check appropriate box for method of payment, and fill out necessary info (if paying by check, I always recommend writing the serial number on the Memo line of the check). Sign and date.

    Actions to take:
    1. Mail the CLEO Copy (the third one I mentioned at the beginning) of the F1 and a completed 5320.23 to the CLEO you listed in section 10. There is no action required on their part. (No FP cards are sent to CLEO)
    2. Each remaining responsible person must send the CLEO Copy (no photo) of the completed RPQ to their respective CLEO. No fingerprint cards are sent with these CLEO Notifications, and no copy of the F1.
    3. Mail the two ATF Copies of the F1, including payment, to the address at the top of the form. For each responsible person, including the person filing the form, you must also include the ATF Copy of the completed RPQ (with affixed photo) and two completed FD-258 fingerprint cards. You also need to include proof of the entity’s existence...copy of trust, etc. See instruction 2(d)(4) on the Form 1 or 4.
    NOTE: The ATF is saying that two fingerprint cards are required for each serial number, even when multiple forms are submitted at the same time. This is different from how it used to work, but we won’t know for sure until somebody that submits one set for multiple forms in the 41F era reports back.
    Last edited by BigWaylon; 02-24-19 at 17:55.

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    How to fill out a Form 4 as an Individual

    You’ll need to submit two identical copies of this form (double-sided is no longer a requirement). Sending in the instructions is not necessary, so most people will have pages 1 & 2 on one sheet (if you opt for double-sided), and then page 3 with a blank back side. You’ll also need a 3rd copy to send to the CLEO whose jurisdiction is shown in 2a (the forms have ATF Copy or CLEO Copy in the footer).



    1. Check box appropriate box for Type of Transfer ($5 is for AOW, $200 for all other NFA items)
    2a. Check box for INDIVIDUAL and provide Transferee’s complete name and mailing address.
    2b. County
    3a. Transferor’s complete name and mailing address. (if from a dealer, the dealer will most likely populate)
    3b. Transferor's email address
    3c. Transferor’s Telephone number (including area code)
    3d. Complete if applicable, most likely it’s not
    3e. Complete if applicable



    Everything in item 4 is usually taken directly off the previous form, whether that’s an F1, F2, F3, F4, or even an F5.
    4a. Name and city, state engraved on firearm
    4b. SBR/SBS/DD/MG/AOW/Silencer, or the fully spelled out version of those items
    4c. Caliber or gauge as engraved
    4d. Model, as engraved on the firearm (if designated)
    4e. Length of barrel in inches (N/A if item is a suppressor)
    4f. Overall length in inches
    4g. Serial number
    4h. Historically, most people have left this blank. Any additional engraving on the firearm can be noted here.
    NOTES: (1) barrel and overall lengths do not include muzzle device unless it’s permanently attached via approved methods such as pin & weld or 1100F silver solder and (2) if there is a folding or collapsible stock, overall length is measured with stock fully extended



    5. Transferee FFL (if any)
    6a & 6b. Transferee SOT (if any)
    7. Transferor FFL (if any)
    8a & 8b. Transferor SOT (if any)
    9. Transferor signature
    10. Print transferor name, and title (if any)
    11. Date form
    Do not fill out anything else on page 1



    12. Provide CLEO Notification info for the address listed in 2a. Note that state-level CLEO personnel are still acceptable if you don’t want to notify a local Sheriff or Chief of Police. Instruction (2)(g) says: Law Enforcement Notification. The applicant must provide a copy of the Form 4 to the chief law enforcement officer who has jurisdiction over the area of the applicant’s address shown in item 2a of the Form 4. In addition, if the applicant is other than an individual, a copy of the Form 5320.23, National Firearms Act (NFA) Responsible Person Questionnaire, for each responsible person must be provided to their respective chief law enforcement officer. The chief law enforcement officer is considered to be the Chief of Police; the Sheriff; the Head of the State Police; or a State or local district attorney or prosecutor.



    13. Fill in the blanks per Instruction (2)(e). There are situations where this can be left blank, for instance if the item is a suppressor or AOW, or if transferee/transferor meet certain requirements.
    14. Answer questions 14a-14h using Yes/No boxes. Definitions are provided on the following pages if needed
    15. Affix photo
    16a. Check appropriate box(es) NOTE: this replaces the 5330.20 CoC form
    16b, 16c & 16d1. Answer Yes/No as appropriate
    16d2. If 16d1 was "yes", answer Yes/No as appropriate, otherwise check N/A
    17. Answer if applicable



    CERTIFICATION. Transferee must Sign and Date



    18 & 19. Leave blank



    20. Check appropriate box for method of payment, and fill out necessary info (if paying by check, I always recommend writing the serial number on the Memo line of the check). Sign and date.

    Actions to take:
    1. Mail the CLEO Copy (the third one I mentioned at the beginning) of the F4 to the CLEO you listed in section 10. There is no action required on their part. (No FP cards are sent to CLEO)
    2. Mail the two ATF Copies of the F4, including payment, and two completed FD-258LE fingerprint cards, to the address at the top of the form.
    NOTE: The ATF is saying that two fingerprint cards are required for each serial number, even when multiple forms are submitted at the same time. This is different from how it used to work, but we won’t know for sure until somebody that submits one set for multiple forms in the 41F era reports back.
    NOTE: Per ATF's answer in email, no photo is required on the CLEO Copy of the F4, which is consistent with the process for an entity (no photo on CLEO Copy of RPQ)
    Last edited by BigWaylon; 07-23-17 at 23:06.

  5. #5
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    How to fill out a Form 4 as an Entity

    You’ll need to submit two identical copies of this form (double-sided is no longer a requirement). Sending in the instructions is not necessary, so most people will have pages 1 & 2 on one sheet (if you opt for double-sided), and then page 3 with a blank back side. You’ll also need a 3rd copy to send to the CLEO whose jurisdiction is shown in 2a (the forms have ATF Copy or CLEO Copy in the footer).



    1. Check box appropriate box for Type of Transfer ($5 is for AOW, $200 for all other NFA items)
    2a. Check box for TRUST or LEGAL ENTITY and provide Transferee’s name and address. This is not the person submitting the form, it's the name of the trust, corporation, LLC, etc. The address here is the primary location that the firearm will be stored.
    2b. County
    3a. Transferor’s complete name and mailing address. (if from a dealer, the dealer will most likely populate)
    3b. Transferor's email address
    3c. Transferor’s Telephone number (including area code)
    3d. Complete if applicable, most likely it’s not
    3e. Complete if applicable



    Everything in item 4 is usually taken directly off the previous form, whether that’s an F1, F2, F3, F4, or even an F5.
    4a. Name and city, state engraved on firearm
    4b. SBR/SBS/DD/MG/AOW/Silencer, or the fully spelled out version of those items
    4c. Caliber or gauge as engraved
    4d. Model, as engraved on the firearm (if designated)
    4e. Length of barrel in inches (N/A if item is a suppressor)
    4f. Overall length in inches
    4g. Serial number
    4h. Historically, most people have left this blank. Any additional engraving on the firearm can be noted here.
    NOTES: (1) barrel and overall lengths do not include muzzle device unless it’s permanently attached via approved methods such as pin & weld or 1100F silver solder and (2) if there is a folding or collapsible stock, overall length is measured with stock fully extended



    5. Transferee FFL (if any)
    6a & 6b. Transferee SOT (if any)
    7. Transferor FFL (if any)
    8a & 8b. Transferor SOT (if any)
    9. Transferor signature
    10. Print transferor name, and title (if any)
    11. Date form
    Do not fill out anything else on page 1



    12. Provide CLEO Notification info for the address listed in 2a. Note that state-level CLEO personnel are still acceptable if you don’t want to notify a local Sheriff or Chief of Police. Instruction (2)(g) says: Law Enforcement Notification. The applicant must provide a copy of the Form 4 to the chief law enforcement officer who has jurisdiction over the area of the applicant’s address shown in item 2a of the Form 4. In addition, if the applicant is other than an individual, a copy of the Form 5320.23, National Firearms Act (NFA) Responsible Person Questionnaire, for each responsible person must be provided to their respective chief law enforcement officer. The chief law enforcement officer is considered to be the Chief of Police; the Sheriff; the Head of the State Police; or a State or local district attorney or prosecutor.



    13. Fill in the blanks per Instruction (2)(e). There are situations where this can be left blank, for instance if the item is a suppressor or AOW, or if transferee/transferor meet certain requirements.
    14. leave blank
    15. leave blank (the photo will be handled with the 5320.23)
    16a-d2. leave blank
    17. leave blank



    CERTIFICATION. Transferee must sign and Date. This is different than the previous process for entities, and signature is required per Instruction (2)(d)(3)



    18. Provide number or Responsible Persons
    19. Provide names of Responsible Persons



    20. Check appropriate box for method of payment, and fill out necessary info (if paying by check, I always recommend writing the serial number on the Memo line of the check). Sign and date.

    Actions to take:
    1. Mail the CLEO Copy (the third one I mentioned at the beginning) of the F4 and a completed RPQ to the CLEO you listed in section 10. There is no action required on their part. (No FP cards are sent to CLEO)
    2. Each remaining responsible person must send the CLEO Copy (no photo) of the completed RPQ to their respective CLEO. No fingerprint cards are sent with these CLEO Notifications, and no copy of the F4.
    3. Mail the two ATF Copies of the F4, including payment, to the address at the top of the form. For each responsible person, including the person filing the form, you must also include the ATF Copy of the completed RPQ (with affixed photo) and two completed FD-258 fingerprint cards. You also need to include proof of the entity’s existence...copy of trust, etc. See instruction 2(d)(4) on the Form 1 or 4.
    NOTE: The ATF is saying that two fingerprint cards are required for each serial number, even when multiple forms are submitted at the same time. This is different from how it used to work, but we won’t know for sure until somebody that submits one set for multiple forms in the 41F era reports back.
    Last edited by BigWaylon; 02-24-19 at 17:56.

  6. #6
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    How to fill out a 5320.23 (RPQ) (will only be necessary if applicant is not an individual)

    You’ll need two copies of this form filled out for each RP, as well as two completed FD-258 fingerprint cards. (notice one copy says ATF Copy in the footer, and the other says CLEO Copy)



    1. Check box to indicate which ATF form is being filed
    2. Enter the info from the F1 (item 3b), F4 (item 2a) or F5 (item 2a)
    3a. Name and Home Address of RP
    3b. RP’s Telephone number
    3c. RP’s email address
    3d. RP’s other names used, including maiden name



    3e. Affix photo on the ATF Copy only
    4a. Enter type of firearm from item 4b of the F1/F4/F5
    4b. Enter name and address from item 4a of the F1/F4/F5
    4c. Enter model from item 4d of the F1/F4/F5
    4d. Enter the caliber/gauge from item 4c of the F1/F4/F5
    4e. Enter the serial number from item 4g of the F1/F4/F5



    5. Enter the information for the CLEO that has jurisdiction in the RP’s location (not necessarily the same info that’s in the CLEO Notification section of the F1/F4/F5). Remember, this can be a state level employee.



    6. Answer questions 6a-6h using Yes/No boxes. Definitions are provided on the following pages if needed



    7a. Check appropriate box.
    7b, 7c & 7d1. Check Yes/No as appropriate
    7d2. If 7d1 was “yes”, check Yes/No, otherwise check N/A
    8. Answer if appropriate, otherwise leave blank
    CERTIFICATION. Responsible Person must sign and date.

    Actions to take:
    1. Mail the CLEO Copy (no photo) of the RPQ to the CLEO listed in item 5. (No FP cards are sent to CLEO)
    2. The ATF Copy (with photo attached) needs to be sent with the F1/F4/F5 to the ATF, along with the two FD-258 Fingerprint cards. This goes for every person considered an RP, including the person submitting the F1/F4/F5.
    NOTE: The ATF is saying that two fingerprint cards are required for each serial number, even when multiple forms are submitted at the same time. This is different from how it used to work, but we won’t know for sure until somebody that submits one set for multiple forms in the 41F era reports back.
    Last edited by BigWaylon; 07-23-17 at 23:05.

  7. #7
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    State Level CLEO Info

    As mentioned earlier, there are state level employees who qualify as CLEO. It does not have to be a local Sheriff or Police Chief.

    The following list is courtesy of Silencer Shop. This is who they’ll be using to meet the CLEO Notification requirement. Using the state level employee can keep you off the radar of your local PD/SD if that’s important to you. Also, the CLEOs below should be used to seeing the forms in the near future. I believe there are currently only 43 states listed, as 7 don’t allow suppressors. If your state allows other NFA items, but not Suppressors, feel free to send me the info and I’ll update the list.

    Edit: I'm deleting the list of names due to the potential of out-of-date info. Silencer Shop has changed their practice and now uses the State Attorney General. You can still use the head of the Highway Patrol as well. Those names and addresses are readily available online.
    Last edited by BigWaylon; 01-25-18 at 17:13.

  8. #8
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    How to fill out an FD-258LE Fingerprint Card

    I’ve never actually had to submit prints, so this info was gathered from several sources. One was an FBI document titled Guidelines for Preparation of Fingerprint Cards. Another was a member on ARF that has successfully submitted prints he rolled 30+ times without a rejection. Update: I've since submitted multiple forms and rolled my own prints following the instructions below.

    It was listed in an earlier post, but you can order the cards for free here. You’ll need to fill out your info, then check the box for Fingerprint Cards. Once you check the box, enter your quantity and select FBI FD-258LE NFA, Imports ORI WVATF0800. Don’t click ‘Add an item’, just click Preview and then Submit.

    Use quality ink. Sirchie ink pads are some of the most highly recommended. You can also order a card holder to make things go easier.

    ETA 9/27/17: some good info from ARFCOM member bbies1973:

    I can offer a couple tips to get you started, and maybe reduce the amount of practice needed. This is all based on human biology/physiology:

    1. Ever notice that you can't extend your ring finger without either the middle or pinky coming with it? The reason is that you only have 3 muscles to extend 4 fingers. The ring finger shares a portion of each of the two muscles that otherwise operate those two fingers next to it. This is why it really does help to have someone else doing your prints, and why you're always being told to relax your hand and not try to help.

    2. Make sure the person being printed is standing full arms length away from the card. The forearm doesn't rotate well enough. So, with the elbow straight, shoulder rotation helps to get a clean roll from one side to the other without slipping or twisting.

    3. Just like "righty tighty, lefty loosey" for nuts and bolts - remember "Fingers from, Thumbs toward". Even though the shoulder has more rotation than the forearm, it still has it's limits. Rolling towards the end of the shoulder's range of mobility can trigger a muscle reflex to stop the movement, which can cause the print to slip. Rolling away from the edge of our range of motion reduces the chance of a slip. When rolling the prints, start from the outside edge of the thumb (near the rearward limit of the shoulder rotation) and roll it inward - and the inside edge of the fingers (turning the shoulder towards it's forward limit) rolling them outward.


    ETA 1/4/19: some good info from ARFCOM member drfroglegs:

    Always roll your index through pinky fingers away from your body and always roll your thumb towards your body. The reason is that you want to start your roll in the most tense/resistive position and roll to the most relaxes position. If you roll to the most tense/resistive position it's easier to smudge/shake because it's an uncomfortable position to remove your hand from the card.

    For instance, look at your left hand with your fingernails pointing up. You'll notice it's easier to put the left part of your pinky fingerprint on the table than it is to put the right part of your pinky fingerprint. The same is true for your ring, middle and index finger. However it is most difficult to put the left side of your thumb on the table vs the right side.

    So always start at the most difficult part and roll to the easist part. So on your left hand, roll your pinky-index fingers from right to left and roll your thumb left to right. On your right hand, roll your pinky-index finger from left to right and roll your thumb from right to left.


    I’m going to do a quick version using an example I filled out, followed by a more detailed version from the FBI, which also has a better pic of the card. (I’m writing with red ink just to make it easier to see…but you’ll need to use black or blue)



    1. leave blank
    2. sign
    3. enter your address
    4. enter date printed
    5. sign
    6. enter “Self” and your address again
    7. enter reason; some examples from those with approved cards are “NFA”, “NFA Transfer” (for F4), “NFA Application” (for F1), “Form 1”, and “Form 4”
    8. enter Last Name, First Name and Middle Name
    9. enter aliases or leave blank
    10. enter your Citizenship (U.S. is proper format based on FBI guide)
    11. leave blank
    12. leave blank
    13. leave blank
    14. enter your SSN (optional)
    15. leave blank
    16. should have the NFA ORI stamped
    17. leave blank
    18. enter your date of birth, in MM DD YYYY format
    19. enter your sex (M/F…or see info in FBI guide below)
    20. enter your race (see list in FBI guide below if needed)
    21. enter height in feet and inches (format info in FBI guide below)
    22. enter weight in pounds
    23. enter eye color (see list in FBI guide below)
    24. enter hair color (see list in FBI guide below)
    25. enter place of birth (state, territory, province or country)
    26. leave blank
    27. provide prints…roll the individual prints in rows 1-2 and press the ones in the 3rd row, as seen below





    the detailed Instructions below are straight from the FBI guide linked above



    Data fields preceded by an asterisk (*) must be completed in order for a fingerprint card to be processed by the FBI. However, all data fields are important and should be completed if the information is known. Also, the
    National Crime Information Center (NCIC) Code Manual can be used as a reference for codes of various fields.

    1. *Name (NAM) Block
    Enter the name obtained from the subject in this field. Abbreviations are not to be used for any part of the name. This format is last name followed by a comma (,) first and middle name, if any. Suffixes denoting seniority (i.e. Jr., Sr., III, etc.) should follow the middle or first name. Do not obstruct this area by using stamps, labels, holes or staples where the name has been printed.
    2. Signature and residence of Person Fingerprinted Block
    Obtain the signature of the person being fingerprinted, in ink. Also, enter the residential address of the person being fingerprinted.
    3. Aliases (AKA) Block
    Enter other names used by the subject that are different than the name entered in the “NAM” block #1. Also list the signature name as an AKA if different than the name that appears in the “NAM” block. Maiden names and all previous married names of females should be entered in the AKA field, if known.
    4. *Originating Agency Identifier (ORI) Block
    If the ORI number is not preprinted by the FBI, enter the ORI number, agency name, city and state. Each agency is assigned its own unique ORI number. If you do not have an ORI number, you can contact your NCIC Control Terminal Officer (CTO), and an ORI number will be assigned to your agency. Federal agencies should contact their Federal Service Coordinator to obtain an ORI number.
    5. *Date of Birth (DOB) Block
    Enter the DOB in month, day, year format (i.e. MM/DD/YYYY). If a complete DOB is not known, enter approximate age followed by the statement “YEARS OF AGE”. Fingerprint cards of person 99 years old or older are not processed by the FBI; they will be rejected.
    6. Citizenship (CTZ) Block
    Enter “U.S.” if the subject is a citizen of the United States; otherwise, enter the appropriate country. Use the correct abbreviation for foreign countries or correctly spell the name of the country. A list of approved abbreviations can be found in the NCIC Code Manual. “YES” or “NO” responses are not acceptable.
    7. *Sex (SEX) Block
    Sex must be indicated by either “F” (female) or “M” (male). See Sex Code Table below for additional codes.
    8. Race (RAC) Block
    Race must be indicated by using the Race Code decision chart below
    9. Height (HGT) Block
    Height must be expressed in feet and inches. Fractions of an inch should be rounded off to the nearest inch. Inches less than ten should be preceded by a zero.
    For example, five feet four inches should be submitted as “504” and six feet even would be “600”.
    10. Weight (WGT) Block
    Weight must be expressed in pounds. Fractions of a pound should be rounded off to the nearest pound.
    11. Eye (EYE) Color Block
    Indicate eye color by entering one of the codes from the eye color decision chart below.
    12. Hair (HAI) color Block
    Indicate hair color by entering one of the codes from the hair color decision chart below.
    13. Place of Birth (POB) Block
    Enter the subject’s state, territorial possession, province (Canadian), or country of birth. Use the correct abbreviation for foreign countries or correctly spell the name of the country. A list of approved abbreviations can be found in the NCIC Code Manual. Do not list a county as a POB.
    14. Originating Case Agency/Local Agency Identification Reference (OCA/LIR)
    Block

    Enter your agency’s identification or case number for the subject. The OCA must not exceed twenty (20) alphanumeric characters.
    15. FBI Number (FBI) Block
    Enter the assigned FBI Number for the subject, if known.
    16. Armed Forces Number (MNU) Block
    Enter Armed Forces number, if known.
    17. Social Security Number (SOC) Block
    Enter the subject’s Social Security number, if known.
    18. Miscellaneous Number (MNU) Block
    The MNU is an identifying number associated with the subject such as U.S. Military Service Number, Passport Number, etc. Enter the MNU and indicate the description according to the decision chart on page 40.
    19. Date Fingerprinted Block
    Enter the date the subject was fingerprinted in month, day, year format (i.e. MM/DD/YYYY).
    20. Signature of Official Taking Fingerprints Block
    Enter the signature or name of the official taking fingerprints. Also list the official’s ID number if applicable.
    21. Employer and Address Block
    Enter the subject’s potential employer and address of that employer.
    22. Reason Fingerprinted Block
    Miscellaneous Applicant: Fingerprint cards are submitted when a person is applying for law enforcement/criminal justice background checks. Clearly state the position and or agency as applicable such as: Law Enforcement Officer, Corrections Officer, NCIC Terminal Operator, etc.
    Applicant User Fee: Fingerprint cards are submitted when a person is applying for a non-law enforcement position and needs a background check completed as part of the hiring/licensing process (i.e. teacher, day care provider, school bus driver, racing commission, liquor license, etc.). Non-Federal Applicant User Fee fingerprint card submissions are governed by state statutes. A statute must be included in the Reason Fingerprinted block and coincide with the literal (i.e. Pharmacists B&PC 4345, Notaries Public Gov C 82141, AS 13.08.015 Permit for School Bus Driver).
    23. *Fingerprint Impressions Block (Individual & Simultaneous)
    Care should be taken to roll the fingers from nail to nail when taking the individual finger impressions. This will help ensure legibility. Roll the prints in the correct sequence code (note the right and left hand designations in the finger blocks) and obtain simultaneous plain “flat” impressions at 45 degree angles that do not extend up into the rolled impressions. Indicate amputated fingers, tip-amputated, transplanted toes/fingers, missing at birth, deformed, bandaged, scars, etc., in the appropriate finger block(s).




    Last edited by BigWaylon; 01-04-19 at 09:22.

  9. #9
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    Reserved for future use
    Last edited by BigWaylon; 06-13-18 at 15:43.

  10. #10
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    Thank you
    “Answer The Bell...” J.W.

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