FORM REQUIREMENTS
§ 33.111. Application/record of sale.
(a) Description. The application/record of sale, Form SP 4-113, is a prenumbered three-part form furnished through the State Police under section 6111 of the act (relating to sale or transfer of firearms) and is used to record firearm transactions. A written request for these forms may be directed to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. Telephone requests will not be honored. Forms will be furnished to the licensee/sheriff and shall be requested at least 3 weeks prior to the time of actual need.
(b) Requirements.
(1) The application/record of sale shall be either typewritten or printed in blue or black ink with a ballpoint pen. Copies shall contain legible impressions. It is the responsibility of the licensee/sheriff, and the transferee/purchaser, to ensure the form is accurately completed as indicated in the block instructions (relating to fines and other penalties). The original shall be transmitted by the licensee/sheriff within 14 days of the sale/transfer by first class mail to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. The first copy shall be retained by the licensee/sheriff for 20 years and filed in a book form in chronological order, with the latest date to the front. The second copy shall be provided to the transferee/purchaser.
(2) If a licensed business is discontinued and succeeded by a new licensee, the records prescribed by this section including both completed and blank application/record of sale forms, shall be delivered to the successor. When discontinuance of the business is absolute, the records shall be delivered within 30 days following the business discontinuance to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110.
(c) Retail sale/transfer of a handgun or long gun prior to the implementation of the instantaneous background check. The following are steps for completing the application/record of sale for a retail sale/transfer of a handgun or, a long gun as required in section 6111(b)(1.1)(i) of the act, prior to the implementation of the instantaneous background check.
(1) The applicant is provided an application/record of sale form and the applicant shall complete the applicable blocks as indicated on the form. If the applicant does not complete all of the required information or checks ’’yes’’ to any of the questions under transferee’s/purchaser’s information on the form, the sale/transfer may not take place.
(2) The licensee/sheriff shall check the applicant’s identification and ensure it meets the requirements under § 33.102 (relating to definitions).
(3) The licensee/sheriff shall ensure the form has been accurately completed.
(4) The licensee/sheriff shall comply with any applicable waiting period (Federal or State).
(5) If the sale/transfer is not denied, the transaction may be completed and the licensee/sheriff shall complete the applicable sections on the form as per block instructions, and provide the transferee/purchaser a summary of the uniform firearm laws which includes a safety brochure. The transferee/purchaser shall then sign the designated block on the form.
(d) Retail sale/transfer of a handgun or long gun after the implementation of the instantaneous background check. The following are steps for completing the application/record of sale for a retail sale/transfer of a handgun or long gun as required in section 6111(b)(1.1)(i) of the act, upon the implementation of the instantaneous background check. If the system becomes inoperable for a period exceeding 48 hours as indicated by the State Police at the time an instant background check is requested, the licensee/sheriff shall follow the procedures outlined in subsection (c) for any firearm. This procedure shall stay in effect during the time indicated by State Police at the time of the check. However licensees are still required to comply with the Federal requirements of 18 U.S.C.A. § 922(T) (relating to the National Instant Criminal Background Check System).
(1) The applicant is provided an application/record of sale form and shall complete the applicable blocks as indicated on the form. If the applicant does not complete all of the required information or checks ‘‘yes’’ to any of the questions under transferee’s/purchaser’s information on the form, the sale/transfer may not take place.
(2) The licensee/sheriff shall check the applicant’s identification and ensure it meets the requirements under § 33.102.
(3) The licensee/sheriff shall ensure the form has been accurately completed.
(4) The licensee/sheriff shall request an instantaneous background check be conducted on the applicant.
(5) If the applicant’s instantaneous background check is approved, the transaction may be completed and the licensee/sheriff shall complete the applicable sections on the form as per block instructions, and provide the transferee/purchaser a summary of the uniform firearm laws which includes a safety brochure. The transferee/purchaser shall then sign the designated block on the form.
(e) Private sale/transfer of handgun. The following are the steps for completing the application/record of sale for a private sale/transfer involving a handgun:
(1) The licensee/sheriff shall follow the same procedures as outlined in either subsection (c) or (d), except that the transferor’s/seller’s information shall also be included in Section F on the form before the private sale/transfer can be completed. If the transfer is by intestate succession or by bequest, the executor or administrator shall act in the capacity of the transferor/seller. Private sales shall occur only at the place of business of the licensee, or sheriff’s office. The licensee/sheriff shall follow the procedures as if he was the seller.
(2) The licensee/sheriff shall retain the application/record of sale as though he were the seller.
(f) Approval number. An approval number shall be issued through the instant background check system for use by the licensee/sheriff for approval of an applicant to complete a firearm, as defined in section 6111.2 of the act (relating to firearm sales surcharge), transaction. If the applicant chooses to complete other firearm transactions on the same day with the same licensee/sheriff, the approval number shall be valid for use on the subsequent application/record of sale forms. If the applicant chooses to complete a firearm transaction with a different licensee/sheriff, a new approval number shall be obtained from the State Police by that licensee/sheriff and it shall be valid for all firearm transactions made with the licensee/sheriff for that date, and so on. The applicant shall be issued a receipt from the licensee/sheriff for each firearm transaction made. It shall contain the approval number for the firearm transaction, and date it was given. The application/record of sale may serve as the receipt.
(g) Preapproval. At an auction or gun show/meet, an approval number may be obtained by a potential transferee/purchaser for use during a later firearm transaction, as defined in section 6111.2 of the act. The potential transferee/purchaser shall be required to present the required identification to the licensee/sheriff, complete Section B on the application/record of sale and pay the required fee. The licensee/sheriff shall then request that an instantaneous background check be conducted on the potential transferee/purchaser. If approved, the licensee/sheriff shall place the approval number and date on the application, and retain it pending any transactions made by the potential transferee/purchaser on that date.
(1) If the potential transferee/purchaser conducts a transaction that requires a completed application/record of sale, the form shall be completed and the transferee/purchaser shall be given a copy to serve as the receipt.
(2) If the transferee/purchaser conducts a transaction that does not require a completed application/record of sale, the transferee/purchaser shall be given a copy of the partially completed form to serve as the receipt. The State Police copy shall be voided and forwarded to the State Police. The licensee’s/sheriff’s copy shall be retained as required. The licensee/sheriff shall ensure the fee is included with the surcharge remittance form.
(3) If no transaction is made on that date, the licensee/sheriff shall void the form. The State Police copy shall be voided and forwarded to the State Police. The licensee’s/sheriff’s copy shall be retained as required. The licensee/sheriff shall ensure the fee is included with the surcharge remittance form.
(h) Fees.
(1) Firearm sales surcharge. It is the responsibility of the licensee/sheriff to collect the firearm sales surcharge from the purchaser at the time of the transaction of the firearm, as defined in section 6111.2 of the act.
(2) Instantaneous records check. When the instantaneous records check is operational, a fee shall be collected by the licensee/sheriff from the requestor at the time a check is requested, under section 6111(b)(3) of the act.
(3) Transmittal of fees. The fees as described in paragraphs (1) and (2), shall be transmitted by the licensee/sheriff within 14 days of collection by first class mail to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110.
(i) Transmission of fees/surcharges. The licensee/sheriff shall utilize the surcharge remittance form, and if necessary, the surcharge remittance continuation form, when transmitting the fees/surcharges referenced in this subsection. Refer to § 33.112 (relating to surcharge remittance form).
Source The provisions of this § 33.111 adopted February 23, 2001, effective February 24, 2001, 31 Pa.B. 1145.
Cross References This section cited in 37 Pa. Code § 33.113 (relating to surcharge remittance continuation form).
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