The realist in me thinks that relatively few people are using the eFile Form 1 option right now and the employees working that started with zero backlog, so they are able to process them faster. Keep the same employees working on the same types consistently. For assistance, please contact the ATF Helpdesk. PHONE: 1-877-875-3723 / EMAIL:Helpdesk-OSTCS.
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Alternate Title: EFORMS for Dummies (written by one)
ETA 11/11/14: Silencer Shop has a created a YouTube video that walks you through the process. If you prefer to watch instead of read, here is a post I made explaining some of the differences plus a link to the video.
ETA 2/8/16: SilencerShop created a new version of their video to fix a couple things. The new version can be viewed here.
With all the discussion on AR15.com about the faster turnaround time (at least so far) of using the EFORMS system, there are more and more questions each day. I filled out a couple in December and the only real guide I found was the one on NFA Gun Trust Lawyer Blog by David M Goldman. He’s done a great job explaining a lot of things about NFA, and has a couple screen shots included. However, there are still a lot of questions left to be answered. (He also says it's possible to file multiple items on one application, which is not true.). I filled out one more today and decided to take some more screen shots and add some verbiage to try and ease anybody’s nerves that hasn’t yet used EFORMS.
The ATF also released an EForms 101 document in December 2013...you're welcome to read through it as well. You can find it here, on Goldman's GunTrustLawyer site. There's also an EForms bulletin that I used a couple sections of in screen shots throughout this guide, and you can see it here, on John Pierce's website.
I will first say that I haven’t actually had the application done during the creation of this guide approved, so there’s no guarantee I’ve done it 100% correctly (update 4/26/14: paper Form 1 approved this using the same thought process I used during the EForms application; update 5/14/14: second paper F1 approved; update 5/19/14: my first two eForms approved using this guide). However, there have been a lot of topics here that involved single items on the Form. There are quite a few sources for figuring out how to fill out a paper Form 1, and if you do that first, it won’t be any issue transferring that information onto the electronic version. The following screen shots are how I filled out an eForm 1 for an SBR, along with a couple additional notes I added.
ETA: 6/4/14. The form filled out during the making of the Visual Guide has been approved. I'm now 4-for-4 getting forms approved following these steps. This is what the digital stamp looks like:
Please note: this is the only stamp you will receive. There is not a paper copy coming in the mail with a real adhesive stamp.
Note: I want to get this in before you register, and give you an alternative solution if you already registered. When you register, there is a Title field available. Notice it's after your name. This is not a title like Mr/Mrs/Dr, rather a title like Trustee. When you sign a paper form, you sign and print as Full Name as Trustee. In EForms, you sign electronically. Box 7 shows DIGITALLY SIGNED and Box 8 shows your name as registered. If you have Trustee in the Title field, your form will include that title after it prints your name. Here's an example of what one of mine looks like:
ETA 7/13/14: For clarification...you register as an individual that will represent the entity, using your name. You don't register as the entity itself. You will use the trust/corp name as the Licensee/Permitee (you'll see this in detail on a later screenshot).
If you have already registered, you can still add a title if you choose. Simply log into EFORMS and go to the My Profile tab at the top. Then look at User Information. The Title field is right below your name.
Notice that on both the Registration page and the User Information page there is not an asterisk next to the Title field. It is not required. Just like your middle initial isn't required. The trust you submit will have your name listed as Trustee. I've yet to see anybody post that they were denied because of Trustee not being present. Quite a few posted success with the Title field blank. I think it's a non-issue, but I wanted to point it out in case you wanted to use that field.
ETA: I registered with my 'nickname' of Greg and my last name. After I submitted my first three forms, they each had Greg Lastname in Box 8. After the third form, and reading about somebody putting their title in their profile, I went back in and changed my first name to Gregory, added a middle initial and also added Trustee as a title. The fourth form showed Gregory S Lastname, Trustee when I previewed it. The more interesting fact is my first two forms actually have my full name and title on them in the Approved status. This may have happened because it updated when status went from Submitted to Approved. Or, it may have happened because the two forms had the DRAFT watermark, and the person I contacted said they'd have to reset the forms. The only way I'll really know is if the third form comes through cleanly without the DRAFT watermark so it doesn't have to be reset. I'll check to see how my name shows up in Box 8 and update this post. (Every one of my F1s, and my one F4, all had the DRAFT watermark and had to be reset. Didn't remember to look at the 3rd one to see how my name/title appeared.)
NOTE from ATF EFORMS bulletin: An eForms industry member has brought to our attention that an important rule is missing from our password complexity rules, listed on the registration screen where you create your eForms password.
The requirements are currently displayed as follows:
Choose a password as per the following rules:
1. Must have at least twelve (12) characters in length.
2. Must contain at least one or more number(s) (0-9).
3. Must contain at least one or more special character(s) (!@#$%^&*(),).
4. Must contain at least one or more upper and lower case letter(s) (a-z, A-Z).
The rule that is missing is:
Must be no fewer than 5 alphabetic characters in your password.
Please adhere to this rule when you are creating or changing your eForms passwords.
Note: Thank you to the industry member who discovered and reported this problem.
(the 'missing rule” has caused a lot of people problems)
ETA 2/8/16: one item to mention...notice the bullet point on the slide above that says you cannot use eForms for reactivations. That's why you're not prompted to answer the Yes/No question you're used to on a paper form. The line item (4j) will still be on your form, but it will be blank.
ETA 8/28/14: uploaded a replacement slide below to add the note about the Internal Control Number
NOTE: The ICN will also show up in the emails you receive from EFORMS. It will be in the Reference No: field, and will also be part of the filename when you receive your Approved (or Disapproved) form
From an EForms bulletin:
When an eForm 1 is submitted by a legal entity on an eForm 4 or 5, only the trust or LLC name should be entered as the applicant (Licensee/Permittee Name field on eForm 1) or as the transferee (Business Name field on eForms 4 or 5).
Do not list the identification of the trustee (for example, John Doe, trustee) as part of the applicant or transferee name. The identification of the entity members will be available in the information attached, to document the entity.
ETA 1/21/16: This is not new information, I've just never taken the time to add a note until now. There is a known defect in eForms that when you enter your ZIP, you sometimes cannot choose your correct county. This is mainly in situations where the ZIP spans multiple counties. It's a non-issue as far as approvals go. Simply enter your ZIP, select the City, then take whatever County it gives you. Many users have questioned the ATF on this issue, and here's one of the responses:
We are aware of the glitch regarding the county and do not have the funding to address at the present time. Submit with the incorrect county and this will not impact the processing of the application in this instance.
ETA 2/16/15: For anybody submitting a Form 1 for a suppressor, here's some info before you get to the next screenshot. I submitted six recently...but no approval to guarantee this is right. But, based on my SBR forms and a lot of input from others, it should address the questions you may have:
The differences:
1. You'll use FMI as the manufacturer's code (that's listed on a slide somewhere, same thing as used with an 80% lower)
2. You'll choose Silencer from the dropdown, which will eliminate the barrel length block
3. Model is not required, but EForms forces you to choose. There's an N/A in the dropdown, which is what the dealers have put for barrel length on most of my paper F4s, so I chose that for my model. (If you want an actual model name, input whatever you want)
4. You do have to assign a serial number and choose a caliber (note: SN must have at least one numeral...it can be all numerals, or a combination of numbers/letters, but can't be all letters like a name)
5. I left the Additional Description box empty just like I did with an SBR.
Everything else seems to be the same.
ETA 4/17/15: all six of my stamps were approved on 4/12 using the 'N/A' as model and leaving the Description box blank. I did upload a rough sketch, but many others have been approved without one.
The wording from the EForms bulletin:
The proper way to identify the manufacturer of a firearm.
For those who will simply be modifying an existing weapon:
If you are modifying an existing firearm, typically a standard configuration rifle into a short barreled rifle, the form requires the name of the original manufacturer of the firearm. When submitting an eForm 1, on the line item screen, a window for the entry of manufacturer is opened after clicking the Add Firearm button. At this point, the applicant would enter a short version of the manufacturer’s name to bring up a list of names for selection of the manufacturer from the list. Select the correct manufacturer and proceed to the description screen. You may note that the manufacturer code field also populates. We issue a code to a manufacturer. While the original manufacturer information is captured, the applicant is the maker and registrant for purposes of the NFA and must mark the firearm.
For those who will be make their own item. (would include builds on 80% lowers)
If you are creating the firearm yourself, such as a silencer or a short barreled rifle (when finishing a receiver that is not yet a firearm), there is no original manufacturer. Because of the large number of makers (which includes filings by trusts), we do not issue a specific code to each maker. Instead, we use a generic code of FMI to denote a Form 1 registration. Thus, when submitting an eForm 1 where there is no original manufacturer, on the line item screen, a window for the entry of manufacturer is opened after clicking the Add Firearm button. At this point, the applicant should click the 'By Manufacturer Code’ button and enter FMI as the manufacturer code and click Verify. The applicant will then select the United States as the country of manufacture and proceed to the description screen. Please note that ‘FORM 1 REGISTRATION’ will appear as the name of the maker on the PDF of the eForm 1. Again, the applicant is the maker and registrant for purposes of the NFA and must mark the firearm.
ETA 7/3/14: the question gets asked quite often about which caliber to use, as far as format goes. Here's a snippet from an EForms bulletin that may help:
In addition, I want to add another note/tip/suggestion here that is mentioned in a couple of the screenshots. If you put the checkmark and enter your own information, it is helpful to add an attachment at the end of the process (when you upload your trust/corp) to explain why. Removing any confusion for the examiners will do nothing but help to speed up the process. So, if you choose a manufacturer, but then your model number isn't in the dropdown, attach a pic showing the SN and Model. If you choose a manufacturer and then a model, but your caliber doesn't show up, attach a .doc explaining that you're building the firearm with an upper chambered in ### (whatever caliber you input).
NOTES:
1. barrel length includes any permanently attached muzzle device; can be found by inserting wooden dowel down barrel until it contacts closed bolt face
2. OAL is measured with collapsible stock in fully extended position
3. There have been multiple reports of all applications that used 'multi' for caliber being rejected. It may have been ok years ago, but save yourself the hassle and pick a single caliber. Do not use 'multi' or try and list multiple calibers.
LET ME REPEAT THIS...DO NOT SELECT MULTI AS THE CALIBER.
The drop down menus are populated based on what prior users have input...and not provided by the ATF. That's why an option that is available can still be incorrect. There are many users here that learned the hard way...it will get disapproved. ETA 5/30/14: I called and spoke with Gary to inquire about multi being in the dropdown. He said it was actually removed at one point but had to be put back. While it's not a valid selection on a Form 1, it is used on some other forms in certain situations (a sear on a Form 2 was one example) so it needs to be in the system.
From EForms bulletin:
Attachment Limitations
The maximum size of a single upload for an attachment is 3 MB and the total size of the attachments cannot exceed 30 MB (with a maximum number of attachments of 10 at- tachment for the Forms 1, 2, 3, 4, 5, 9, and 10). Forms 6 and 6A may contain a maximum of 10 line attachments per line item (the total submission cannot exceed 30 MB per submission).
Instructions NFA Trust Documents:
We have been advised that, for NFA forms, the size of the trust or corporate documents may exceed the 3 MB limit. If you encounter this situation, we suggest that you split the document into 2 or more ‘packages’ (as needed). When the attachments are added, identify the packages as, for exam- ple, ‘XXX Trust 1 of 3,’ ‘XXX Trust 2 of 3,’ etc.
Note: After you submit the application attachments cannot be added. ETA 8/28/14: I have found this statement to not be true. You can add documents after the form is submitted but before it's approved. However, it's a little confusing. It will create a duplicate copy of the form in DRAFT status. At first, my Draft copy had the new attachment and the Submitted copy had the old attachments. When I checked the next day, all attachments were on both copies. I had the NFA branch confirm they saw the new attachment, and was told not to delete the Draft copy, as it would delete both. Several months later, I still have Draft copies of all my Approved forms just sitting there. (if you have any questions about this process, feel free to post them or send me an IM).
**also see the screen shot at the bottom of this guide to clarify when to add attachments**
ETA 9/18/14: The question of what to upload comes up fairly often in regards to a trust. It is not sufficient to simply upload the Certificate of Trust. You must include the entire body of the trust, with all signature and notary stamps, as well as any Schedule A/B/C or Assignment of Property sheets required, depending on how your trust is written. I also included the signed and notarized Acceptance of Trusteeship & Affidavit of Eligibility to Serve as Trustee sheet I have for each trustee. It's better to be safe than sorry, so I'd definitely opt to send more than less. I have sent the same Schedule A for all of mine, showing just the initial $200 I used to find the trust, and just keep an updated copy at home. Everything (both paper and EForms) I've sent in so far that way has been approved. I did remove any blank/extra pages, and also skipped the 'Information about your NFA gun trust' and 'Delivery Verification Acknowledgement' sections, which were just information for me and a confirmation for my lawyer. Because of the wide variety in how trusts are written, there's unfortunately not a simple 'include pages 2-6, plus the Schedule A' answer here.
ETA 5/12/14: There's often a discussion about file size for attachments, and people having trouble getting their document scanned into a single file 3MB or less. I've always tried to point out that checking the settings is the key. B&W scans are significantly smaller than color, even if the document is nothing by black text. You also don't need extremely high dpi to make it readable.
I took a single paper Form 1 I had (so there is one small color section, the stamp itself) and scanned it on my Brother multi-function printer multiple times using every quality option I had available. Here are the results:
B&W 100dpi = 36KB
B&W 200dpi = 77KB
B&W 300dpi = 133KB
Color 100dpi = 113KB
Color 200dpi = 313KB
Color 300dpi = 573KB
Color 600dpi = 1,228KB
So, based on that sample, a color scan is 3-4.5 times the size of a B&W scan. My trust scanned in at ~7MB at the default setting of 200dpi color. I submitted a 200dpi B&W copy which was only 1.7MB.
One thing to point out here...the Permit/Control No is the Control Number you'll see at the top of your EForm 1 once it's submitted, and will match the Permit Number you'll see on the Home Screen. That's not to be confufsed with the Internal Control Number you may have used to help identify your submissions. The ICN will show up in the Reference No: field you see in these examples.
To close the loop on my actual application (the one with the yellow warning for unknown model)...I got the email at 6:15p tonight indicating my submission changed to SUBMITTED/IN PROCESS. Subtracting the 48 hours for the weekend, that's just under 24 hours. The screen shown above the two emails now indicates a Permit Number for all three, with a Submitted Date of 1/13/2014 for the top line.
If you have the yellow warning, your form will have a DRAFT watermark across it when you view/print it. When you get the email notifying you it's now SUBMITTED/IN PROCESS (same as Pending), you can view/print your form and see it now has a SUBMITTED watermark.
If anybody knows for certain that something in the above is incorrect, let me know and I’ll fix it. Hopefully this gives you an idea of what’s involved in filing online. As a reminder, this is available for entities only (trust/LLC/corps) and not individuals. Your first one may take a little longer, but I know I can fill one out faster than I could actually read all of the information on my screen shots (assuming the system is running OK…as attaching the files and using pay.gov sometimes goes really slow). I went overboard in trying to make sure everything possible was covered.
-Greg
ETA 9/19/14: I mentioned earlier how you could get a duplicate form in the DRAFT folder when uploading attachments after they're in the SUBMITTED status. There are other things that cause this as well, not all of which are known. This has happened as recent as the day I'm adding it with somebody simply logging in to look at their form and hitting Save. It created a Draft copy, which the user deleted after verifying the Submitted copy was there...and they both disappeared. All is not lost, as the ATF still has the Submitted form, but they'll have to email it to you since it's not in the system any longer. Here's a snippet from an EForms bulletin that addresses it:
ETA 2/12/14: there have been several questions asked in different subforums of the Armory sections that I'd like to address. The first pertains to answering all the questions on the back of the Form 1, specifically sections 10 & 11 (the Yes/No questions about age, being a fugitive or illegal alien, having been found mentally defective or being dishonorably discharged). These questions are not asked in EFORMS, because the entity filing cannot answer those questions. A trust cannot be addicted to drugs, and an LLC can't be convicted for domestic violence. There is no need to print out a copy, answer the questions, and then upload it as an attachment.
The other commonly asked question focuses on the need for a Certification of Compliance, the form known as the 5330.20. It is not required for an entity. A lot of people fill it out anyway when they mailed in their paper forms, just in case. I did that on my first two. However, the ATF addressed this in one of their earlier EFORMS bulletins. The screen shot below has some good info, and the top-right section answers the 5330.20 question:
ETA 5/8/14: for those of you that printed a copy of your form, I want to clarify a couple things that have been discussed on AR15.com several times:
1. You should've put your entity (trust/corp) in the Licensee/Permitee field and left the Trade Name field blank. The Licensee/Permittee name (and address) will show up in section 3b. However, you'll also notice that the entity name is duplicated in field 3a, the Trade Name. This is not a problem, it's the way EForms works.
2. Section 4j ('Is this firearm being reactivated?') will not have a mark in either 'Yes' or 'No'. You were never asked this question when filling out the form. Multiple users with approved forms have confirmed this section is blank on their forms, and I've yet to see anybody say they were disapproved for this reason.
3. The entire back (page 2) of the Form 1 will be blank. This is the benefit of filing as an entity. You didn't have to provide photos (section 12) or CLEO sig and info (section 13). You also don't have to provide fingerprints. In addition to that, sections 10 & 11 will be blank, as you were never asked those questions. You weren't asked those questions because the entity is the applicant, and not you as an individual. Your entity can't be an illegal alien, can't be addicted to a controlled substance, can't be a fugitive, can't have been dishonorably discharged, can't have renounced its US Citizenship, etc. Same rules would apply to a paper F1, although a lot of people seem to check the boxes anyway. It is not required to answer these questions when filing as an entity, therefore you haven't done anything wrong resulting in unanswered questions.
ETA 9/25/14:
Although not specific to EForms, I'm going to post something that gets discussed often. The question is what needs to be engraved.
The answer most of the time is:
Name of applicant (either individual or entity)
City, state of where maker made the firearm (not necessarily home address, or even same city)
Remember, when it comes to looking at the statutes as a Form 1 applicant, you are a maker, not a manufacturer. A Form 1 is an Application to Make and Register a Firearm. There are a whole different set of forms/regulations/taxes to be a manufacturer.
Here are the statutes behind those requirements:
§ 479.102 How must firearms be identified?
(a) You, as a manufacturer, importer, or maker of a firearm, must legibly identify the firearm as follows:
(1) 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 an individual serial number. The serial number must be placed in a manner not susceptible of being readily obliterated, altered, or removed, and must not duplicate any serial number placed by you on any other firearm. For firearms manufactured, imported, or made 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 in a print size no smaller than 1/16 inch; and
(2) By engraving, casting, stamping (impressing), or otherwise conspicuously placing or causing to be engraved, cast, stamped (impressed), or placed on the frame, receiver, or barrel thereof certain additional information. This information must be placed in a manner not susceptible of being readily obliterated, altered or removed. For firearms manufactured, imported, or made on and after January 30, 2002, the engraving, casting, or stamping (impressing) of this information must be to a minimum depth of .003 inch. The additional information includes:
(i) The model, if such designation has been made;
(ii) The caliber or gauge;
(iii) Your name (or recognized abbreviation) and also, when applicable, the name of the foreign manufacturer or maker;
(iv) In the case of a domestically made firearm, the city and State (or recognized abbreviation thereof) where you as the manufacturer maintain your place of business, or where you, as the maker, made the firearm; and
(v) In the case of an imported firearm, the name of the country in which it was manufactured and the city and State (or recognized abbreviation thereof) where you as the importer maintain your place of business. For additional requirements relating to imported firearms, see Customs regulations at 19 CFR part 134.
Those are the general guidelines...then the ATF clarified for NFA items:
The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) authorizes licensed manufacturers and licensed importers of firearms, and makers of National Firearms Act (NFA) firearms, to adopt the serial number, caliber/gauge, and/or model already identified on a firearm without seeking a marking variance, provided all of the conditions in this ruling are met. Licensed manufacturers seeking to adopt all of the required markings, including the original manufacturer’s name and place of origin, must receive an approved variance from ATF. ATF Ruling 75-28 is superseded, and ATF Industry Circular 77-20 is clarified.
Held, pursuant to 27 CFR 478.92(a)(4)(i) and 479.102(c), ATF authorizes licensed manufacturers and licensed importers of firearms, and makers, to adopt the serial number, caliber/gauge, and/or model already identified on a firearm without seeking a marking variance, provided all of the following conditions are met:
1. The manufacturer, importer, or maker must legibly and conspicuously place on the frame, receiver, barrel, or pistol slide (if applicable) his/her own name (or recognized abbreviation) and location (city and State, or recognized abbreviation of the State) as specified under his/her Federal firearms license (if a licensee);
2. The serial number adopted must have been marked in accordance with 27 CFR 478.92 and 479.102, including that it must not duplicate any serial number adopted or placed by the manufacturer, importer, or maker on any other firearm;
3. The manufacturer, importer, or maker must not remove, obliterate, or alter the importer’s or manufacturer’s serial number to be adopted, except that, within 15 days of the date of release from Customs custody, a licensed importer must add letters, numbers, or a hyphen (as described in paragraph 4) to a foreign manufacturer’s serial number if the importer receives two or more firearms with the same serial number;
4. The serial number adopted must be comprised of only a combination of Roman letters and Arabic numerals, or solely Arabic numerals, and can include a hyphen, that were conspicuously placed on the firearm; and
5. If the caliber or gauge was not identified or designated (e.g., marked 'multi”) on the firearm, the manufacturer, importer, or maker must legibly and conspicuously mark the frame, receiver, barrel, or pistol slide (if applicable) with the actual caliber/gauge once the caliber or gauge is known.
Held further, licensed manufacturers seeking to adopt all of the required markings, including the original manufacturer’s name and place of origin, must receive an approved variance from ATF.
So...the quick list of required engravings:
1. Serial Number
2. Model (if designated)
3. Caliber
4. Name
5. Location
A maker on an F1 can reuse the SN and model. They must engrave caliber if it's not present anywhere else, (i.e. if lower is marked 'multi' and barrel isn't marked). You add your name, or name of entity that is the registered owner. Then, as maker, the city, state of where it was actually made. For a build from scratch, like an SBR using an 80% lower, or a Form 1 suppressor...you'd need to engrave everything on the list.
That information can be on the frame, receiver, barrel, or pistol slide. But, it must always be on the firearm. That simply means if you choose to engrave on an AR upper or barrel, you'd have to engrave every upper/barrel you plan to use. That's why most will engrave the lower receiver. The serial number, however, must be on the frame or receiver (could be upper or lower depending on which part the ATF has defined as the 'firearm').
Notice only the SN has the 1/16' minimum size. Everything else is only held to the .003' minimum depth.
If you want to read the documents yourself, you can find 27 CFR 479.102 here and ATF ruling 2013-3 here.
ETA 1/22/16: Inevitably, at some point in the engraving discussion, somebody will ask this question: 'What if I don't engrave...what's the penalty?' Well, the NFA rules/penatlies are in CFR › Title 27 › Chapter II › Subchapter B › Part 479
27 CFR 479.181 - Penalties.
Any person who violates or fails to comply with the requirements of 26 U.S.C. Chapter 53 shall, upon conviction, be subject to the penalties imposed under 26 U.S.C. 5871.
26 U.S. Code § 5871 - Penalties
Any person who violates or fails to comply with any provisions of this chapter shall, upon conviction, be fined not more than $10,000, or be imprisoned not more than ten years, or both.
For anybody that wants an easy way to remember this...follow the advice I often give but failed to follow myself: read the dang form!
Directly from the instructions on the Form 1:
9. Penalties. Any person who violates or fails to comply with any of the requirements of the NFA shall, upon conviction, be fined not more than $10,000 or be imprisoned for not more than 10 years, or both. Any firearm involved in a violation of the NFA shall be subject to seizure and forfeiture. It is unlawful for any person to make or cause the making of a false entry on any application or record required by the NFA knowing such entry to be false.
It's also in Chapter 15 of the NFA Handbook...which also references the $250K penalty that's often mentioned, and quotes the Statutes listed above:
[b]15.1.1 Criminal. The acts prohibited by the NFA and prosecutable as Federal offenses are listed in 26 U.S.C. 5861(a) through (l). As provided by 26 U.S.C. 5871, any person who commits an offense shall, upon conviction, be sentenced to imprisonment for not more than 10 years or fined. Although the fine specified in the statute is an amount not exceeding $10,000, an amendment to Federal law provides for a fine of not more than $250,000 in the case of an individual or $500,000 in the case of an organization.[224]
[224] 18 U.S.C. 3571(b) and (c)
How to guide and walk-through guide for the ATF eForm 1 NFA Tax Stamp Application - ATF eForm 5320.1 Application to Make and Register a Firearm
The ATF has brought back the eForm filing system for the ATF 5320.1 Application to Make and Register a Firearm. Navigating the ATF paperwork can be confusing at times. This is the main reason why we created the ATF eForm 1 step by step walk-through guide. In this step by step walk-trough guide we go over ever line item in the ATF eForm 1. The ATF eForm 1 isn't the only form needed to apply for a NFA tax stamp. You will also need the ATF Form 23 (5320.23), which is the NFA Responsible Person Questionnaire, only if you are applying for your ATF Tax Stamp with a NFA Gun Trust or corporation. To use the ATF eForm system and apply using the eForm system you can view the eForm's website here. - ATF eForm System. The ATF 5320.23 paperwork is available for download below.
Document Download Links Below:
Before you start using the ATF's eForm website you will need to register for username and password. You can view our ATF eForm Registration Guide here. If you already have a username and password you will need to login. You will then use the scrolling ATF eForm selector in the middle of the page to select which form you want to eFile for. In this example we will discussing the details of the ATF 5320.1. After selecting the ATF eForm 1, you will need to agree to the below statement.
Intended Use of the Form:
This form is filed to obtain permission from ATF to make an NFA firearm. If the application incurs the making tax liability, the applicant will be directed to pay the tax electronically prior to the submission of the application.
If the applicant is a trust or legal entity, the submitter must provide documentation of the existence of the entity, such as the articles of incorporation for a corporation or the trust documents. If the applicant is a government agency, the submitter will be asked for the agency’s Originating Agency Identification Number (ORI) which will be used to identify the agency in the process. If the government agency does not have an ORI, then the application to make must be submitted as a hard copy application.
Any required documentation must be submitted with the eForms application. The system provides an attachment function. The typical types of attachments are identified in a drop-down menu. If the type of attachment is not identified in the drop-down, select ‘OTHER” and describe the type of documentation in the corresponding field.
eForms cannot be used to file for reactivation. These forms must be submitted on paper.
A person who is qualified to manufacture NFA firearms does not file this form (see ATF Form 2).
Due to the prohibitions on the possession of a machinegun, an application to make a machinegun will generally be disapproved unless the application was submitted by a government agency.
Special Instructions for Individuals, Trusts and Legal Entities
FILING AS AN INDIVIDUAL
The applicant must attach a digital photo in the Photo function on the Responsible Person tab.
The applicant must also provide his or her fingerprints on Form FD-258. The fingerprints will be submitted separately from the application. Upon submission of the application, the eForms system will email a cover sheet to the applicant. The cover sheet is to be printed as it will provide the control number of the transaction and the address where to send the fingerprint cards. The cover sheet and fingerprint cards MUST be mailed to the NFA Division within 10 business days of filing the application.
FILING AS A TRUST OR OTHER LEGAL ENTITY
In addition to providing the documentation of the existence of the trust or other legal entity, the applicant must electronically provide a photograph and completed ATF Form 5320.23, NFA Responsible Person Questionnaire (RPQ), for each responsible person (see definition 1.e on the instruction page) of the trust or legal entity. When filed via eForms, when in the Responsible Person function, the applicant will identify each responsible person and attach the photograph and a scanned, signed RPQ from that person. All photographs and RPQ forms must be attached to the application prior to submission.
The fingerprints for each responsible person must also be submitted. As for an individual applicant, the fingerprint cards must be sent to the NFA Division. The eForms system will email a cover sheet to the applicant listing the names of the responsible persons and is to be printed. The cover sheet and the fingerprint cards for all RP’s MUST be mailed in one batch to the NFA Division within 10 days of filing the application.
Please note that the F 5320.23, NFA RPQ, form is available in a fillable version on the ATF website (www.atf.gov). The form can be completed and printed for signature and scanning.
Select Next to agree to the above guidelines.
Screen 1: Application-View Image Here
Applicant Type: Select which applicant you are. If you are applying with a NFA Gun Trust, select trust. If you are applying as an individual, select Individual, etc.
Screen 1b: Application-View Image Here
Type of Application: This is where you will indicate the type of application. Most applications will be a Tax Paid ($200). This is true if you are filing as an individual or if you are applying with a NFA Gun Trust. Only government entities or government related entities can apply tax exempt with this form. If you are trying to apply tax exempt as an individual or with a NFA Gun Trust, you will need to use the ATF 5320.5 eForm.
Internal Control Number: Leave blank unless you have an internal control number.
Screen 2: Applicant
Since the NFA Gun Trust was selected the Trustee options are shown and No FFL is automatically checked. If you are filing as an individual and you do not have an FFL /SOT license you will need to select the 'No FFL' radio button. If you have an FFL license and want to submit your eFrom you will need to submit additional information to the ATF. You can view those instructions here.
If filing with a trust you will see the below form and options. - View Image Here
Title of the Submitter of the Application: Write in your role in the trust, e.g. Trustee, Settlor/Grantor, etc.
Trust Name: Enter the name of your trust here. Make sure you write the exact name of your trust from your trust document.
Country: Select your country.
Address Line 1/Address Line 2: Enter the address information of your trust. This will generally be your home address, but may differ depending on your trust.
Zip Code: The zip code of your trust.
+4: The is the extra 4 digits from your zip code. You can use the USPS address lookup to find out that information - USPS +4 Zip Code Lookup Tool
City: A drop down will be present based off of your entered zip code.
County: Your county will be filled in automatically.
State: Your state will be filled in automatically.
Telephone: This information is automatically filled out from your profile information.
Ext: This information is automatically filled out from your profile information.
Email: This information is automatically filled out from your profile information.
If filing as an individual you will see the below form and options. View Image Here
First Name: This is your first name. This information is automatically filled out from your profile information.
M.I.: This is your middle name. This information is automatically filled out from your profile information.
Last Name: This is your last name. This information is automatically filled out from your profile information.
Title of the Submitter of the Application: This is the title of registrant, e.g. Owner.
Country: Select your country. This information is automatically filled out from your profile information.
Address Line 1/Address Line 2: Enter your mailing address. You may need to use Address Line 2 for other address information including, apartment, suite, etc. This information is automatically filled out from your profile information.
Zip Code: This is the your zip code. This information is automatically filled out from your profile information.
+4: The is the extra 4 digits from your zip code. You can use the USPS address lookup to find out that information - USPS +4 Zip Code Lookup Tool
City: This information is automatically filled out from your profile information. A drop down will be present based off of your entered zip code if you need to change the city.
County: Your county will be filled in automatically.
State: Your state will be filled in automatically.
Telephone: This information is automatically filled out from your profile information.
Ext: This information is automatically filled out from your profile information.
Email: This information is automatically filled out from your profile information.
Maker’s Questions (For any ‘Yes’ answer, provide the details in an attachment via the electronic documents function): You will need to answer 'Yes' or 'No' to the below questions.
11.A. Are you under indictment or information in any court for a felony, or any other crime, for which the judge could imprison you for more than one year?
11.B. Have you ever been convicted in any court for a felony, or any other crime, for which the judge could have imprisoned you for more than one year, even if you received a shorter sentence including probation?
11.C. Are you a fugitive from justice?
11.D. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any other controlled substance?
11.E. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution?
11.F. Have you been discharged from the Armed Forces under dishonorable conditions?
11.G. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or an intimate partner or child of such partner?
11.H. Have you ever been convicted in any court of a misdemeanor crime of domestic violence?
13.A. Country of Citizenship: if US, check the box on this line. If not US or if the applicant is a citizen of more than one country, list the country or countries in an attachment.
13.B. Have you ever renounced United States citizenship?
13.C. Are you an alien illegally or unlawfully in the United States?
13.D.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?
13.D.2. If 'yes', do you fall within any of the exceptions stated in the instructions? Attach the documentation to the application
14. If you are an alien, record your U.S.-Issued Alien or Admission number(AR#, USCIS#, or 194#):
Screen 3: Responsible Persons-View Image Here
This is the page where you will enter the information for all of the responsible persons in your trust. This will be the settlor/grantor and co-trustees that you have on your NFA Gun Trust. If you have added a co-trustees with amendments to your trust, you will then have to add their information here.
Citizenship: Select your citizenship.
Cadence: Select any cadence options that apply to your name. You can leave this blank if you have no cadence associated with your name.
Title: Write the title of the responsible person you are entering in: Settlor/Grantor, Trustee, etc.
First Name: Enter in the first name of the responsible person.
Middle Name: Enter in the middle name of the responsible person.
Last Name: Enter in the last name of the responsible person.
Email: Enter in the email address of the responsible person. This isn’t automatically populated like previous screens.
NOTE: on our browser the below tabs were hidden from view.You might need to scroll right, enlarge the width of your browser, or zoom out to see the extra columns.If you don’t enter in the information for these columns, you won’t be able to proceed to the next screen. - View Image Here
Form 5320.23: You will need to upload your ATF 5320.23 form. You can complete the ATF 5320.23 using the fillable .PDF. But it will need to be signed and scanned back into your computer for the ATF 5320.23 to be valid. The applicant must attach a scanned, completed copy the ATF 5320.23 Responsible Persons Questionnaire for each listed responsible persons in the trust and listed on this screen. The accepted format for your ATF 5320.23 Form is “PDF (Portable Document Format). Maximum Allowed File Size is 3MB.
Photo: Upload your passport style photo here. The accepted formats for your passport photo are” Photo: JPG and JPEG (Joint Photographics Expert Group), GIF (Graphics Interchange Format)”. Other formats aren’t accepted. Maximum Allowed File Size is 3MB.
SSN: Enter in the social security number of the responsible person. Note: The “ATF doesn’t require a SSN, however, failure to provide this information may significantly delay the process of a background check and delay the rendering of a final decision on the application.”
Zip Code: Enter in the zip code of the responsible person.
State: Select the current state of residence for the responsible person from the drop down menu.
City: Enter in the current city of residence for the responsible person.
Street: Enter in the current street address for the responsible person.
Date of Birth: Enter in the date of birth of the responsible person. Format is 11/29/1998
Birth Country: Select the responsible persons birth country from the drop down list.
Birth State: The state drop down menu will become active once the birth country of the responsible person is selected.
State of Residence: This is current state that the responsible person resides in.
Sex: Sex of the responsible person.
Race: Race of the responsible person.
UPIN: Enter in your UPIN only if you have one. If you don’t have a UPIN, then leave this box blank.
If you want to add or remove responsible persons you can select the “Action” button that is located directly above the Citizenship drop down menu.
Screen 4: CLEO (Chief Law Enforcement Officer)-View Image Here
Agency or Department Name: The name of the agency or law enforcement department that you are sending the CLEO notification to.
Name of Agency Official: This is the name of your CLEO.
Title of Agency Official: This is the title/position of your CLEO, e.g. Sheriff, etc.
Country: The country where you CLEO is located at.
Address 1/Address 2: This is the mailing address of your CLEO.
Zip Code: The zip code of your CLEO’s address.
+4: This is the 4 extra digits of the the CLEO’s mailing address zip code. You can use the USPS address lookup to get those numbers - USPS +4 Zip Code Lookup Tool
State: The state dropdown is populated by system, but you can manually select the state if you would like to.
City: City options based off of your zip code are displayed here.
County: County options based off of your zip code are displayed here.
Screen 5: Line Item-View Image Here
To begin click the “Add Firearm” button to start adding your firearm. A new window will open where you add the information about your firearm.
Screen 5a: Line Item-View Image Here
Manufacturer Name: You can add the manufacturer’s information in this field. Once you start typing the field will give you options of manufacturers. If your manufacturer isn’t here you can add it manually. You can also add the manufacturer by code. You will then need select the “Verify Manufacturer” button to unlock the Manufacturer Country.
Manufacturer Country: Select the manufacturers country. If you cannot do so, make sure that you have hit the “Verify Manufacturer” button.
NOTE: If the applicant is creating the firearm (for example, a silencer or finishing an ‘incomplete receiver’ (that is not yet a firearm)), the applicant will be the maker under the NFA and GCA. Thus, when completing the Line Item (Add Firearm) field, click the “By Manufacturer Code’ button and enter the code ‘FMI’. This code stands for ‘Form 1 Registration’ and the entry can continue. If the model or model and caliber field is not found, click on the box next to ‘My item description is not in the list, create new item’ and add the model or caliber. You will be allowed to submit the application into our Pending Research function in which we validate the information submitted. This should be accomplished in two business days.
Screen 5b: Line Item-View Image Here
Product Type: Select the type of firearm that you are trying to register here.
Model: Select the model of the firearm here.
Caliber: Select the caliber of the firmarm here.
Units of Measure: Select the units of measure that correspond to the firearm that you are trying to register.
My item description is not in this list, create new item: If your make, model, or caliber isn’t listed in the drop down lists, you can select the radio button here and this will unlock the above boxes to add in your own information.
Length of Barrel (In.): This is the length of the barrel in inches. If you are applying for a silencer you can write N/A here.
Overall Length (In.): This is the overall length of your firearm. If you are applying for a silencer, this will be the length of the silencer.
Serial Number: This is the serial number that is stamped on the firearm or the serial number that you have designated for your firearm.
Description: Type in a description of the firearm that you are registering if it isn't shown in the drop down list.
State Why You Intend To Make Firearm: Type in why you intend to make the firearm. Generally speaking it will be for investment or any lawful purposes.
Screen 5c: Line Item-View Image Here
Electronic documents: If you would like to upload or include any documentation with the firearm that you are manufacturing or making, you can upload them here. This might be a schematics or diagrams, etc.
Screen 6:Electronic Documents-View Image Here
If you are applying as an individual you won’t need to upload any documentation here. If you are applying with a NFA Gun Trust, then you will need to upload a copy of your notarized, dated, signed NFA Gun Trust. The upload limit is 3MB. If your NFA Gun trust is over 3mb, we can help you with our NFA Gun Trust compression service here. Other documents that you can or might need to upload are located in the document type drop down. You can also include a description of the file you are uploading with the description field below the drop down. Other documents might include: 24 Month Document Submission Exception, Corporation/Trust/Other Legal Entity, Diagrams/Schematics, Other, Photograph, State or Local Permit.
If you want to use the 24 Month Exemption you can use our ATF 24 Month Exemption for NFA Gun Trust and Legal Entity Documentation Generator here.
ATF instructions: When the applicant is a trust, corporation or other legal entity, the applicant must attach documentation establishing the existence and validity of the entity, for eForms done via the Electronic Documents screen.
However, under certain conditions, the applicant may not have to file the documentation. 27 CFR 479.63(c) provides that if the applicant entity has had an application approved as a maker or transferee within the preceding 24 months of the date of filing this application and there has been no change to the documentation previously provided, in lieu of filing the documentation, the entity may provide a certification that the information has not been changed since the prior approval and shall identify the application for which the documentation had been previously submitted by form number, serial number , and date approved. If the application wishes to claim this exception, this certificate shall be attached as an electronic document to the application submission.
The system required the applicant to select one of two options from the drop-down in the Document Type field to be able to file the application. The applicant must choose either the ‘CORPORATION/TRUST/OTHER LEGAL ENTITY’ option and attach the documentation or the ’24 MONTH DOCUMENT SUBMISSION EXCEPTION’ option and attach a document specifying the reason why no documentation of the existence of the trust, corporation or other legal entity is required.
Please note the other Document Types are optional.
Screen 7: Certify-View Image Here
Certify: Select the radio button below the “Certify” to certify that you, “Under Penalties of Perjury, I Declare that I have examined this application, including accompanying documents, and to the best of my knowledge and belief it is true, accurate and complete and the making and possession of the firearm described above would not constitute a violation of Chaper 44, Title 18, U.S.C., Chaper 53, Title 26, U.S.C., or any provisions of State or local law.”
Pay: Click the “Pay” button to pay the ATF for your application. A pop-up will open that will allow you to submit your payment. Once you have entered in your payment information, you will be able to close that window. If no window pops-up then you might need to check your pop-up blocker settings or other browser settings to allow for pop-up windows.
Sign & Submit: Click the “Sign & Submit” button to submit your ATF 5320.1 eForm.
NOTE: Make sure you Pay before you hit the “Sign & Submit” button.
You will receive an email from the ATF after payment. The email will include two attachments: a cover letter for your FD-258 fingerprint cards and the CLEO copy of your ATF 5320.1. You will only have 10 business days to mail in your fingerprint cards and the coversheet into the ATF. You must submit two completed FD-258 fingerprint cards for each responsible person in your NFA Gun Trust, Corporation, Legal Entity if applicable.
Mailing Documentation for your CLEO (Chief Law Enforcement Officer):
Print the CLEO copy from the email that the ATF sent to your registered email address. You will need to send the CLEO copy of your ATF 5320.1 to the CLEO that you entered in on screen 4. This can be mailed or dropped of to the CLEO that you entered in on screen 4.
Mailing Documentation for the BATFE:
Print out the cover letter that the ATF emailed to your registered email address. You will need to complete two FD-258 fingerprint cards for each responsible persons that you have indicated in your application.
(2) Original FBI Form FD-258's (Fingerprint Card) from all Responsible Persons. Fingerprints must be submitted on Fingerprint Identification Cards, FD–258 that have been issued by ATF. The fingerprint cards must contain the following ORI information: WVATF0900; ATF–NATL EXPL LIC, MARTINSBURG WV. You can buy the FBI Form FD-258's Paper Fingerprinting Packet Here. The fingerprint cards must be completed by your local law enforcement authority or by any authorized fingerprint service.
EDIT 3/7/2019:
You will mail the control sheet and your fingerprint cards to the address that the ATF states on the control sheet.
EDIT 3/10/2019:
FMI is to be used as the manufacturer code if you are manufacturing your own silencer or manufacturing an SBR from an incomplete lower receiver.