Title 37--LAW STATE POLICE [37 PA. CODE CHS. 31 AND 33] Licensed Retail Dealers; Firearm Record Forms [31 Pa.B. 1145] The State Police (Department), by this order amends Chapters 31 and 33 (relating to standards for licensed retail dealers; and procedures and specifications for firearm record forms), as derived specifically from 18 Pa.C.S. §§ 6101--6126 (relating to the Pennsylvania Uniform Firearms Act of 1995) (UFA), to read as set forth in Annex A.
A. Effective Date
These final-form regulations will be effective upon publication in the Pennsylvania Bulletin.
B. Statutory Authority
These final-form regulations are adopted under the authority of the UFA. The UFA was most recently amended by the act of February 15, 1997 (P. L. 13, No. 5), the act of June 18, 1998 (P. L. 503, No. 70) (Act 70) and the act of December 8, 1998 (P. L. 933, No. 121) (Act 121). Act 70 amended section 6111.1 of the UFA and required the Department to implement the Pennsylvania Instant Check System (PICS) by July 1, 1998, for the purpose of conducting a criminal background check on every sale, transfer or purchase of a handgun between individuals and on all applicants for a license to carry a firearm. In addition, Act 121 required the Department to conduct a criminal background check through the PICS by December 31, 1998, on the sale, transfer or purchase of a long gun by a person from a firearms dealer licensed by the Commonwealth.
C. Background and Purpose
As provided, the act of June 26, 1995 (P. L. 88, No. 17) and the act of November 22, 1995 (P. L. 621, No. 66) amending the UFA, became effective on November 20, 1995, and November 22, 1995. The UFA and these implementing final-form regulations have been created to provide support to law enforcement in the area of crime prevention and control by establishing the PICS. It is not the purpose of the act, or these regulations, to place any undue or unnecessary restrictions or burdens on law-abiding citizens with respect to the acquisition, possession, transfer, transportation or use of firearms, rifles or shotguns for personal protection, hunting, target shooting, employment or any other lawful activity. These final-form regulations are not intended to discourage or restrict the private ownership and use of firearms by law-abiding citizens for lawful purposes, or to provide for the imposition by rules or regulations of any procedures or requirements other than those necessary to implement and effectuate the provisions of the UFA.
D. Comments Received
(1) General Comments:
Notice of proposed rulemaking was published at 18 Pa.B. 2037 (May 2, 1998) with an invitation to submit written comments within 30 days of publication. The Department received comments from the Pennsylvania Community Providers Association and the Independent Regulatory Review Commission (IRRC). The following is a summary of IRRC's comments and the Department's response:
(1) IRRC raised concern over the clarity of the use of the terms ''act'' and ''steel mesh.'' The Department agrees with IRRC and has changed the regulation by deleting the term ''steel mesh'' and further defining the term ''act.'' The remaining suggestions regarding the use of the terms ''entrance can not be easily gained'' and ''constructed to require an excessive amount of force to gain illegal entry'' were not incorporated, as the Department avers that they are self-explanatory and do not require further clarification.
(2) IRRC suggested removing and renaming the responsibilities of designated employes in § 31.104 (relating to storage requirements). The suggestion was adopted.
(3) IRRC identified the need for clarity regarding the storage requirements of firearms in an emergency. See § 31.105 (relating to Commissioner's notification). Each suggestion was incorporated.
(4) In § 31.106 (relating to fines and other penalties), relating to the Commissioner's notification to retail firearm dealers during an emergency, IRRC suggested using the news media to notify dealers. This suggestion was incorporated.
(5) IRRC suggested removal of § 31.101 (relating to scope) because it is duplicative. The section was removed from the final-form regulations.
(6) IRRC suggested use of different terminology to streamline § 33.102 (relating to definitions) to identify the contents of the section as ''Scope.'' This suggestion was adopted.
(7) As a result of comments received by IRRC from the Sheriff of Delaware County, IRRC suggested the inclusion of county sheriffs in § 33.103(c) (relating to responsibilities of licensed retail dealers and designated employes). This suggestion was incorporated.
(8) IRRC raised several concerns regarding the use of the following terms: ''firearm as defined in section 6102'' and ''firearm as defined in section 6111.2.'' Based on the need for consistency and clarity, IRRC suggested that the term ''firearm as defined in section 6102'' should be modified by replacing it with the term handgun and that the term ''firearm as defined in section 6111.2'' should be changed to just the term ''firearm.'' Each term is defined and used specifically in the regulation based upon each term's use and application in the UFA. In addition, Federal firearm laws are very specific in the use of the term ''firearms.'' See section 921 of the UFA. Due to the uniformity and consistency of use and application of these terms and to prevent confusion among the regulated community the Department respectfully disagrees with IRRC's recommendation.
(9) IRRC suggested the deletion of the term ''or if required by law'' from § 33.111 (relating to application/record of sale) based upon the need for clarity and reasonableness of inclusion. The Department concurs and has amended the section accordingly.
(10) IRRC raised a concern regarding the need for the Department to require the regulated community to use ''100% sulfite bond paper'' in complying with §§ 33.113--33.117 and 33.120 (relating to notification of mental health committment) of the proposed rulemaking. The Department agrees with IRRC's concern and has deleted the 100% sulfite bond paper, paper requirement accordingly.
(11) IRRC asked the Department to justify the requirements in §§ 33.112 and 33.113 (relating to surcharge remittance form; and surcharge remittance continuation form). The justification is found in the UFA, which requires the retention of records by the firearm dealers. See section 6111(b) of the UFA (relating to sale or trtransfer of firearems). The Department complied with IRRC's second suggestion in this area and deleted the requirement in § 33.112.
(12) IRRC again raised the concern that the Department should use the term ''firearm as defined in section 6102'' consistently throughout the regulation and cites §§ 33.114 and 33.115 (relating to Pennsylvania license to carry firearms; and application for a Pennsylvania license to sell firearms) as an example. See paragraph (8) of this Preamble for background. These sections refer to a ''license to carry firearms'' as provided for in section 6109 of the UFA (relating to licenses). Section 6109 of the UFA does not define the term ''firearms,'' therefore the Department refuses to expand section 6109 of the UFA by defining the term.
(13) IRRC questioned the Department's requirement in § 33.118 (relating to Pennsylvania sportsman's firearm permit) that the permit be distributed in quantities of 500 per pack. The Department concurs and has deleted this requirement.
(14) IRRC correctly points out a citation error in § 33.120. The term ''note'' should be deleted. The citation to section 6111.1(f)(3) has been changed to the correct cite of section 6111.1(f) and the term ''note'' has been deleted.
(15) IRRC suggested the deletion of the ''SP'' form designation in § 33.131 (relating to forms). The Department concurs and has removed the designation.
(2) IRRC Disapproval and Recommendations:
On June 22, 2000, IRRC disapproved these final-form regulations. On June 27, 2000, the Department received IRRC's disapproval order, which contained reasons for the disapproval and recommendations. On June 30, 2000, the Department sent notice to IRRC, the House Judiciary Committee and the Senate Law and Justice Committee of the Department's intent to resubmit revised final-form regulations in accordance with section 7(c) of the Regulatory Review Act (71 P. S. § 745.7(c)). In compliance with section 7(c) of the Regulatory Review Act, the Department enclosed and forwarded an agency report to IRRC, the House Judiciary Committee and the Senate Law and Justice Committee.
The Department has adopted each of the recommendations contained in the IRRC's June 22, 2000, disapproval order. The following is a summary of IRRC recommendations and the Department's responses:
(1) IRRC noted that the use of the term ''firearm'' in §§ 33.114 and 33.115 was unclear and that the term should be defined consistent with section 6102 of the act. The Department concurs with IRRC's recommendation and has amended the two sections by adding the term ''as defined in section 6102 of the act'' after the term ''firearm.''
(2) IRRC recommended that § 31.104 lacked clarity because the section contained the following terms: ''entrance can not easily be gained'' and ''constructed to require an excessive amount of force to gain illegal entry.'' The Department has clarified this section by deleting the problematic terms and specifically requiring the use of certain construction materials to prevent unauthorized entry.
(3) IRRC recommended the deletion of subsections (c) in §§ 33.112 and 33.113. IRRC's reasoning for this recommendation was based on IRRC's previous recommendation to delete the 20 year retention of records requirements because they were inconsistent with the UFA. The Department complied with IRRC's previous recommendation, but failed to delete subsections (c) in §§ 33.112 and 33.113. The Department has corrected this error and complied with IRRC's recommendation by deleting subsections (c) in §§ 33.112 and 33.113.
(4) IRRC's final recommendation was to delete the reporting requirements for physicians contained in § 33.120(a) and (b) because they are inconsistent with the UFA. The reporting requirements in § 33.120 mandate that judges of the courts of common pleas, mental health review officers and county mental health and mental retardation administrators must notify the Department of individuals who have been adjudicated as incompetent or who have been involuntarily committed to a mental institution for inpatient care and treatment under sections 302--304 of the Mental Health Procedures Act (50 P. S. §§ 7102--7104). The recommendation by IRRC to delete this section was based on comments received from the Pennsylvania Psychiatric Society (PPS). The PPS requested that the reporting requirement for examining physicians be deleted because it is inconsistent with the UFA. The Department met with the PPS and drafted an agreed to amendment to this section which deletes the reporting requirement and delineates the only certification reporting requirement for physicians.
E. Compliance with Executive Order 1996-1
In accordance with the requirements of Executive Order 1996-1 ''Regulatory Review and Promulgation,'' the Department solicited input and suggestions from the regulated community. These regulations address a compelling public interest, as described in the Preamble and otherwise comply with Executive Order 1996-1.
F. Benefits
These final-form regulations will clearly benefit the citizens of this Commonwealth by establishing procedures to prevent prohibited persons from obtaining firearms. To date, 182 individuals with active warrants for their arrest have been arrested attempting to purchase a firearm in violation of the UFA.
G. Effect
The final-form regulations will affect Commonwealth residents and nonresidents, firearm dealers and all county sheriffs and the Philadelphia Police Department. The effective date of the PICS was July 1, 1998; since that time the Department has provided seminars, participated in conferences, legislative hearings and various meetings with the regulated community.
H. Paperwork Requirements and Fiscal Impact
The final-form regulations continue to require the completion of additional forms, reports or other paperwork as prescribed and provided by the Department.
The costs of the PICS are funded through funds collected by the Firearms Ownership Fund and General Fund Monies. The costs incurred for operating the PICS and enforcing the UFA through these regulations are arranged into the following three areas: personnel, operating and fixed assets. The Department funds a total of 96 positions dedicated to the PICS. The 1999-2000 costs for these positions were $3,334,000. Operating costs support contracted maintenance of the PICS, system phone line charges, printing of mandated firearms safety brochures, forms and required system enhancements. In 1999-2000, the operating costs were $966,000. Fixed assets also fund system modifications. Fixed assets costs for 1999-2000 were $200,000.
I. Input
These final-form regulations were drafted with input from a committee consisting of Representative Robert W. Godshall, Senator Vincent J. Fumo, Attorney General Michael D. Fisher, Kathleen Eakin from the Governor's Office of General Counsel and Richard Sheetz from the Attorney General's Office. In addition, representatives from the Department of Treasury--Bureau of Alcohol, Tobacco, and Firearms, the National Rifle Association, various county sheriffs, retail firearm dealers and State and county mental health and mental retardation agencies were contacted.
J. Review
Due to the complexity of the UFA, recent and ongoing amendments to the regulations, the PICS, and every implementing form and procedure will be continuously reviewed for effectiveness, clarity and cost savings to ensure that the regulated community's interests are being properly served. The Department is committed to the success of the PICS and adherence to the UFA and will continue to take a proactive approach in soliciting comments from the regulated community.
K. Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), the Department submitted a copy of these final-form regulations to IRRC and to the Chairpersons of the House Judiciary Committee and the Senate Law and Justice Committee on June 1, 2000, for review and comment. In accordance with section 5(b) of the Regulatory Review Act, the Department has also provided IRRC and the Committees with a copy of a detailed Regulatory Analysis Form in compliance with Executive Order 1982-2, ''Improving Government Regulations.'' A copy of the material is available to the public upon request.
In preparing these final-form regulations, the Department considered the comments received from IRRC, the Committees and the regulated community.
These final-form regulations were deemed approved by the House Judiciary Committee and the Senate Law and Justice Committee on June 21, 2000. IRRC met on June 22, 2000, and disapproved these final-form regulations in accordance with section 5(c) of the Regulatory Review Act.
On June 30, 2000, the Department notified IRRC and the House Judiciary Committee and the Senate Law and Justice Committee of the Department's intent to revise and resubmit the regulations. On August 2, 2000, the Department resubmitted the revised regulations to IRRC and the House Judiciary Committees and the Senate Law and Justice Committee. The resubmitted regulations were deemed approved by the Committees on August 13, 2000. IRRC approved the resubmitted regulations on August 24, 2000.
L. Contact Person
The contact person is Ronald E. Plesco, Jr., Esq., Director, Policy Office, Pennsylvania State Police, 1800 Elmerton Avenue, Harrisburg, PA 17110, (717) 783-5558.
M. Findings
The Department finds that:
(1) Public notice of intention to amend the regulations amended by this order has been given under sections 201 and 202 of the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1201 and 1202) and the regulations promulgated thereunder in 1 Pa. Code §§ 7.1 and 7.2.
(2) The amendment of the regulations of the Department in the manner provided in this order is necessary and appropriate. A public comment period was provided as required by law and the comments received were considered.
(3) The modifications that were made to these regulations in response to comments received do not enlarge the purpose or scope of the proposed regulations published at 28 Pa.B. 2037.
(4) The adoption of the regulations in the manner provided is necessary and appropriate for the administration of the authorizing statute.
N. Order
The Department, acting under the authorizing statute, orders that:
(a) The regulations of the Department, 37 Pa. Code Chapters 31 and 33, are amended by deleting §§ 31.1--31.6, 31.11 and 31.21, 33.1, 33.11--33.17 and 33.21 and adding §§ 31.101--31.106, 33.101--33.103, 33.111--33.122 and 33.131 and to read as set forth in Annex A.
(b) The Commissioner of the Department shall submit this order and Annex A to the Office of Attorney General and the Office of General Counsel for approval as required by law.
(c) The Commissioner of the Department shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as required by law.
(d) This order shall take effect immediately upon publication in the Pennsylvania Bulletin.
COLONEL PAUL J. EVANKO,
Commissioner(Editor's Note: For the text of the order of the Independent Regulatory Review Commission relating to this document, see 30 Pa.B. 4780 (September 9, 2000).)
Fiscal Note: 17-60. (1) General Fund and Firearm Ownership Fund;
Firearm General Ownership Fund Fund (2) Implementing Year 1996-97 is $974,000 $0 (3) 1st Succeeding Year 1997-98 is $1,508,000 $1,124,000 2nd Succeeding Year 1998-99 is $2,503,000 $1,412,000 3rd Succeeding Year 1999-00 is $1,000,000 $3,500,000 4th Succeeding Year 2000-01 is $2,181,000 $2,200,000 5th Succeeding Year 2001-02 is $2,181,000 $2,200,000 Modification of cost estimates from the regulations are based on most current information and agrees with the Govenor's Executive Budget.
(4) New Program. Nonapplicable;
(8) recommends adoption.
Annex A TITLE 37. LAW PART I. STATE POLICE Subpart D. ADMINISTRATIVE REGULATIONS REGARDING THE UNIFORM FIREARMS ACT CHAPTER 31. STANDARDS FOR LICENSED RETAIL DEALERS GENERAL PROVISIONS §§ 31.1--31.6. (Reserved).
§ 31.11. (Reserved).
§ 31.21. (Reserved).
§ 31.101. Scope.
This chapter sets forth regulations for the storage of firearms by licensed retail dealers if a clear and present danger to public safety is found by the Commissioner to exist within this Commonwealth during the hours when the licensed retail dealer is closed for business. This chapter applies to all licensed retail dealers and their designated employes.
§ 31.102. Definitions.
The following words and terms, when used in this subpart, have the following meanings, unless the context clearly indicates otherwise:
Act--The Pennsylvania Uniform Firearms Act of 1995, 18 Pa.C.S. Chapter 61, Subchapter A.
Commissioner--The Commissioner of the State Police.
Designated employe--An employe of the licensed retail dealer who is designated by the licensed retail dealer to have direction or control in the sale of firearms to the consumer--for example, sporting goods department manager, firearms department manager.
Firearm--Unless otherwise defined a weapon which is designed to or may readily be converted to expel a projectile by the action of an explosive or the frame or receiver of the weapon.
Licensed retail dealer--A person, partnership, association or corporation licensed to sell or transfer firearms to the consumer.
LICENSED RETAIL DEALERS § 31.103. Responsibilities of licensed retail dealers and designated employes.
(a) General. If a clear and present danger to public safety is found by the Commissioner to exist in this Commonwealth, licensed retail dealers located in the affected area, upon public announcement by the Commissioner as referred to in section 6113 of the act (relating to licensing of dealers), shall securely store all firearms which are on the business premises during the hours when the licensed retail dealer is closed for business.
(b) Storage. Licensed retail dealers located in the affected area, upon public announcement by the Commissioner, are required to comply with one of the following:
(1) All firearms shall be removed from public display. This includes firearms in display cases, racks and shelves within the premises. These firearms shall be placed in a suitable safe, vault or storeroom until the Commissioner has declared the danger to have ceased.
(2) Those licensed retail dealers who do not have a suitable safe, vault or storeroom shall remove all firearms from public view. A bolt, cylinder or any other essential part the absence of which would make the firearm inoperable shall be removed from each firearm and stored at a location other than the licensed retail dealer's place of business until the Commissioner has declared the danger to have ceased. The location shall be at a place geographically removed from the emergency and shall restrict unauthorized access.
(c) Designated employe instructions.
(1) In the absence of the licensed retail dealer, the designated employe is responsible for the securing of firearms according to subsection (b).
(2) Licensed retail dealers shall instruct their designated employes of the storage requirements of firearms, if the Commissioner finds a time of clear and present danger to public safety.
§ 31.104. Storage requirements.
(a) A suitable storeroom for the storage of firearms shall consist of a separate room or closet located inside the premises. There may not be any windows or outside exits to this room. The entrance door of the storeroom shall be of solid wood or metal with the hinges to be designed and located so the pins cannot be pulled from outside the room. Door locks shall be the cylinder type, in good working order, firmly set in place, and with locking bolts or bars so designed that they cannot be pushed back with a thin instrument such as a knife blade or plastic card. The ceiling, floor and walls shall be constructed of wood, metal or wallboard to prevent entrance from an adjoining building or room.
(b) Vaults or safes employed to store the firearms shall be constructed of metal, steel or similar materials to prevent unauthorized entry.
(c) The premises or storeroom of a licensed retail dealer may be equipped with other security devices which the retail dealer deems necessary in addition to the requirements in this chapter.
§ 31.105. Commissioner's notification.
(a) If the Commissioner determines that a clear and present danger to public safety in this Commonwealth exists, the Commissioner will notify all licensed retail dealers through public announcements through the news media.
(b) If the Commissioner determines that the clear and present danger to public safety in this Commonwealth has ceased, the Commissioner will notify all licensed retail dealers through public announcements through the news media.
§ 31.106. Fines and other penalties.
Failure of any licensed retail dealer or a designated employe to abide by this chapter may result in prosecution under the act.
CHAPTER 33. PROCEDURES AND SPECIFICATIONS FOR FIREARM RECORD FORMS GENERAL § 33.1. (Reserved).
§§ 33.11--33.17. (Reserved).
§ 33.21. (Reserved).
§ 33.101. Authority.
(a) The General Assembly has declared its intention to provide support to law enforcement in the area of crime prevention and control, and that it is not the policy of the Commonwealth to place undue or unnecessary restrictions or burdens on law-abiding citizens with respect to the acquisition, possession, transfer, transportation or use of firearms, rifles or shotguns for personal protection, hunting, target shooting, employment or other lawful activity.
(b) The General Assembly further declared that this policy is not intended to discourage or restrict the private ownership and use of firearms by law-abiding citizens for lawful purposes or to provide for the imposition by rules or regulations of any procedures or requirements other than those necessary to implement and effectuate the act.
§ 33.102. Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
Firearm as defined in section 6102 of the act--A pistol or revolver with a barrel length less than 15 inches, a shotgun with a barrel length less than 18 inches or a rifle with a barrel length less than 16 inches, or a pistol, revolver, rifle or shotgun with an overall length of less than 26 inches. The barrel length of a firearm shall be determined by measuring from the muzzle of the barrel to the face of the closed action, bolt or cylinder, whichever is applicable.
Firearm as defined in section 6111.2 of the act--A weapon which is designed to or may readily be converted to expel a projectile by the action of an explosion or the frame or receiver of the weapon.
Gun show/meet--A function sponsored by a National, state or local organization, devoted to the collection, competitive use or other sporting use of firearms, as defined in section 6111.2 of the act (relating to firearm sales surcharge), or an organization or association that sponsors functions devoted to the collection, competitive use or other sporting use of firearms, as defined in section 6111.2 of the act, in the community.
Handgun--A pistol or revolver with a barrel length less than 15 inches, a shotgun with a barrel length less than 18 inches or a rifle with a barrel length less than 16 inches, or a pistol, revolver, rifle or shotgun with an overall length of less than 26 inches. The barrel length of a firearm is determined by measuring from the muzzle of the barrel to the face of the closed action, bolt or cylinder, whichever is applicable as defined in section 6102 of the act.
Identification--
(i) Includes the following documents, which shall be accepted by dealers:
(A) A valid photo driver's license.
(B) A valid government-issued photo identification card.
(ii) To be acceptable, a government-issued photo identification card shall contain the holder's name, date of birth and signature. If it does not contain the holder's current address, another document containing that address such as a current utility bill, residential lease agreement, mortgage, and the like, shall be presented.
(iii) If the applicant is a member of a religious sect or community whose tenets forbid or discourage the taking of photographs, dealers shall accept a valid without-photo driver's license, or a combination of three of the following types of identification. If none of those three contain the applicant's current address, the applicant shall have another document containing the name and current address such as a current utility bill, residential lease agreement, mortgage, and the like.
(A) A valid government-issued identification card.
(B) A birth certificate.
(C) A Social Security card.
(D) A valid Pennsylvania license to carry firearms issued under section 6109 of the act (relating to licenses). To be accepted as a valid Pennsylvania license to carry firearms, a license issued after July 1, 1998, shall be on a form identical to the one prescribed by the State Police.
Licensee--A person, partnership, association or corporation issued a license by the Commonwealth, or a political subdivision thereof, to sell or transfer a firearm.
Long-gun--The term includes any weapon, that is not a handgun, designed to or may readily be converted to expel a projectile by the action of an explosion, or the frame or receiver of the weapon.
PICS--Pennsylvania Instant Check System--The Pennsylvania instantaneous records check system established under the act and in accordance with the Brady Handgun Violence Prevention Act, 18 U.S.C.A. §§ 921--925A.
Private sale--A sale or transfer between two non-licensed persons as referred to in section 6111 of the act (relating to sale or transfer of firearms).
Responsible person--In addition to a sole proprietor, a responsible person is:
(i) In the case of a corporation, partnership or association, an individual possessing, directly or indirectly, the power to direct or cause the direction of the management, policies and practices of the corporation, partnership or association, insofar as they pertain to firearms, as defined in section 6111.2 of the act.
(ii) In the case of a corporation, association or similar organization, a person owning 10% or more of the outstanding shares of stock issued by the applicant, and the officers and directors thereof.
Sheriff--The sheriff of the county, or the chief or head of the police department in a city of the first class.
§ 33.103. Confidentiality.
(a) Information furnished under this chapter by an applicant, purchaser, transferee or licensee, or collected by the designated issuing authority under this chapter, is confidential and not subject to public disclosure.
(b) Information collected or maintained under this chapter by the State Police is confidential and not subject to public disclosure.
(c) Nonpublic disclosure by the State Police of information collected, furnished or maintained under this chapter is restricted to:
(1) Disclosure upon request of the applicant, licensee, purchaser or transferee, as described in sections 6109 and 6111 of the act (relating to licenses; and sale or transfer of firearms), upon documentary certification that the requestor is in fact the applicant, licensee, purchaser or transferee.
(2) Disclosure upon request of a county sheriff or a criminal justice agency, defined as any court, including the minor judiciary, with criminal jurisdiction or any other governmental agency, or subunit thereof, created by statute or by the State or Federal constitutions, specifically authorized to perform as its principal function the administration of criminal justice, and which allocates a substantial portion of its annual budget to this function. Criminal justice agencies include: organized State and municipal police departments, local detention facilities, county, regional and State correctional facilities, probation agencies, district or prosecuting attorneys, parole boards, pardon boards and agencies or subunits thereof, as are declared by the Attorney General to be criminal justice agencies as determined by a review of applicable statutes and the State and Federal Constitutions, or both.
(d) No disclosure of information forwarded, collected or maintained under this chapter will be made to requests of noncriminal justice agencies, or individuals other than the applicant, licensee, purchaser or transferee as described in sections 6109 and 6111 of the act.
(e) Mental health records information received or maintained by the State Police under section 6111.1(b) and (f) of the act (relating to Pennsylvania State Police) shall be confidential and not subject to public disclosure. The information shall be available only to the State Police for the purposes of determining, under sections 6109(d) and 6111.1(b) of the act, if the potential applicant is prohibited from possessing, using, controlling, selling, transferring or manufacturing a firearm, or obtaining a license to possess, use, control, sell, transfer or manufacture a firearm in this Commonwealth, as defined under Federal or State law, and for the purpose of informing the licensee/sheriff making inquiry under sections 6109(d) and 6111.1(b)(iii) of the act.
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 § 33.104 (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 § 33.104.
(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).
§ 33.112. Surcharge remittance form.
(a) The surcharge remittance form shall be used by the licensee/sheriff to supply the State Police a record of the number of private sales processed, long-guns and handguns sold, telephone instantaneous records checks approved/denied, verification that a background check has been completed for each purchase/transfer as required by the act, and as a means to calculate the amount of fees/surcharges owed by the licensee/sheriff. The surcharge remittance form shall be uniform throughout this Commonwealth and shall be on a form prescribed by the State Police. The form shall be 8 1/2 inches by 11 inches in dimension, on plain white paper.
(b) It is the responsibility of the licensee/sheriff to ensure the form is accurately completed as indicated in the block instructions. The form may be typewritten, computer generated or printed in blue or black ink with a ballpoint pen. Copies shall contain legible impressions. The original shall be transmitted by the licensee/sheriff along with a check payable to ''Pennsylvania State Police FSSF'' covering the total amount of surcharge/fee owed within 14 days of a sale, transfer or instantaneous records check by first class mail to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110.
§ 33.113. Surcharge remittance continuation form.
(a) The surcharge remittance continuation form shall be uniform throughout this Commonwealth and shall be on a form prescribed by the State Police. The form shall be 8 1/2 inches by 11 inches in dimension, on plain white paper. The form shall be used by the licensee/sheriff when additional space is needed to record approval numbers/dates approved as required in § 33.111 (relating to application/record of sale).
(b) It is the responsibility of the licensee/sheriff to ensure the form is accurately completed as indicated in the block instructions. The form may be typewritten, computer generated or printed in blue or black ink with a ballpoint pen. Copies shall contain legible impressions. The original shall be transmitted by the licensee/sheriff along with the corresponding surcharge remittance form within 14 days of a sale, transfer or instantaneous records check by first class mail to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110.
§ 33.114. Application for a Pennsylvania license to carry firearms.
(a) The application for a Pennsylvania license to carry firearms (as defined in section 6102 of the act (relating to definitions)) form, is used to apply for an original/renewal of a Pennsylvania license to carry firearms and shall be uniform throughout this Commonwealth. It shall be on a form prescribed by the State Police. The form shall be 8 1/2 inches by 11 inches in dimension, on plain white paper. The form shall be used by the issuing authority, that is, county sheriff or a chief of police for a city of the first class, to conduct an investigation within 45 days relative to whether the applicant would be precluded from receiving a license under the conditions in the act.
(b) The application for a Pennsylvania license to carry firearms (as defined in section 6102 of the act) shall be typewritten, computer generated or printed in blue or black ink with a ballpoint pen. Copies shall contain legible impressions. It is the responsibility of the issuing authority to utilize the form as prescribed by the State Police, and ensure it is accurately completed in accordance with the block instructions contained therein. The form shall be retained by the issuing authority for 6 years.
(c) At least 60 days prior to the expiration of each license, the issuing sheriff shall send to the licensee an application for a renewal of license. Failure to receive a renewal application does not relieve a licensee from the responsibility to renew the license.
§ 33.115. Pennsylvania license to carry firearms.
(a) The Pennsylvania license to carry firearms (as defined in section 6102 of the act (relating to definitions)) form, shall be constructed as a three-part form, 3 inches by 5 3/8 inches in dimension, on white paper. The issuing authorities, that is, county sheriff or a chief of police for a city of the first class, shall utilize the form as prescribed by the State Police.
(b) The Pennsylvania license to carry firearms (as defined in section 6102 of the act) shall be typewritten, computer generated or printed in blue or black ink with a ballpoint pen. Copies shall contain legible impressions. A photograph of the applicant may be placed on the license if required by the issuing authority.
(c) The form is designed to be folded in half and may be laminated. At the option of the entity furnishing the form, the paper weight of each part may be a minimum of 14 pounds up to a maximum of 28 pounds, and impressions may be produced by utilizing either carbon inserts or no carbon required (NCR) paper. Forms shall be numbered in numerical sequence and the size of the license numbers shall be at least 3/16 of an inch. The first two numbers shall be the county location code followed by the license number--for example, if the license was issued by Dauphin County, the license number would be 22-0000001, and so on.
(d) Under section 6109 of the act (relating to licenses), the original shall be issued to the licensee and be valid for 5 years from date of issue, unless revoked sooner. The first copy shall be transmitted by the issuing authority within 7 business days by first class mail to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. The second copy shall be retained by the issuing authority for 6 years.
§ 33.116. Application for a Pennsylvania license to sell firearms.
(a) The application for a Pennsylvania license to sell firearms form is used to apply for an original/renewal of a Pennsylvania license to sell firearms and shall be uniform throughout this Commonwealth. It shall be on a form prescribed by the State Police. The form shall be 8 1/2 inches by 11 inches in dimension, on plain white paper. The form shall be used by the issuing authority, that is, the chief or head of any police department of a city, and elsewhere, the sheriff of the county, to conduct an investigation relative to whether the applicant would be precluded from receiving a license under the conditions in the act.
(b) The application for a Pennsylvania license to sell firearms shall be either typewritten, computer generated or printed in blue or black ink with a ballpoint pen. Copies shall contain legible impressions. It is the responsibility of the issuing authority to utilize the form and to ensure it is accurately completed as indicated in the block instructions. The original shall be transmitted by the issuing authority within 7 business days by first class mail to the Pennsylvania State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. The issuing authority shall retain a duplicate copy for 6 years.
(c) By signing the application, the applicant is acknowledging that if a license be granted, the applicant gives permission to the Pennsylvania State Police, or their designee, and the issuing authority to come to the licensee's business location and inspect the premises, records, and documents without a warrant, to ensure compliance with this chapter, and the act.
§ 33.117. Pennsylvania license to sell firearms.
(a) The Pennsylvania license to sell firearms form shall be uniform throughout this Commonwealth and shall be on a form prescribed by the State Police. The license shall be 8 1/2 inches by 11 inches in dimension, on plain white paper. The license shall be granted to reputable applicants by the issuing authority. The Pennsylvania license to sell firearms is required for any person engaged in the business of selling or transferring firearms as defined in section 6113(d) of the act (relating to licensing of dealers).
(b) The Pennsylvania license to sell firearms shall be either typewritten, computer generated or printed in blue or black ink with a ballpoint pen in three counterparts. Copies shall contain legible impressions. It is the responsibility of the issuing authority to ensure the form is accurately completed as indicated in the block instructions, and that the State Police Firearm Unit is contacted, at (717) 783-5495, to obtain a specific license number for the form. The issuing authority shall use only the license prescribed by the State Police.
(c) The original shall be delivered to the licensee to be displayed as prescribed by the act and is valid for 3 years from date of issue. The first copy shall be transmitted by the issuing authority within 7 business days by first class mail to the Pennsylvania State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. The issuing authority shall retain the second copy for 6 years.
§ 33.118. Pennsylvania sportsman's firearm permit.
(a) The Pennsylvania sportsman's firearm permit form is a prenumbered three-part form furnished by the State Police under section 6106(c) of the act (relating to firearms not to be carried without a license). This permit, granting exemption to section 6106(a) of the act, is issued in conjunction with a hunting, furtaking or fishing license, or permit relating to hunting dogs, under section 6106(b)(9) and (10) and (c) of the act. A written request for these forms may be directed to the Pennsylvania State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. Telephone requests will not be honored. The State Police shall furnish official permit forms to the county treasurer upon request. Requests shall be made 3 weeks prior to the time of actual need. Upon receipt, the county treasurer shall remit to the State Police the sum of $1 for each official permit form furnished in accordance with section 6106 (c) of the act.
(b) The Pennsylvania sportsman's firearm permit shall be completed as indicated in the block instructions. It can either be typewritten or printed in blue or black ink with a ballpoint pen. Copies shall contain legible impressions. The original shall be issued to the licensee and is valid for 5 years from date of issue. The first copy shall be transmitted by the issuing authority within 7 business days by first class mail to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. The issuing authority shall retain the second copy for 2 years after the expiration date.
§ 33.119. Revocations.
(a) A Pennsylvania license to carry firearms, Pennsylvania license to sell firearms or a Pennsylvania sportsman's firearm permit may be revoked by the issuing authority for good cause.
(b) Notice of revocation shall be in writing upon the official letterhead stationery of the issuing authority and shall state the reason for revocation, the full name and date of birth of the licensee as it appears on the license/permit, the number of the license/permit and the date of revocation.
(c) The notice shall be sent by certified mail, and, at that time, a copy shall be forwarded to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110.
(d) An individual whose license/permit is revoked shall surrender the license/permit to the issuing authority within 5 days of the receipt of notice.
§ 33.120. Notification of mental health commitment.
(a) The notification of mental health commitment and adjudication of incompetence shall be consistent in form and format throughout this Commonwealth. The notification form and format shall be prescribed by the State Police and used by the judges of the courts of common pleas, mental health review officers and county mental health and mental retardation administrators for notifying the State Police of individuals who have been adjudicated as an incompetent or who have been involuntarily committed to a mental institution for impatient care and treatment under section 302, 303 or 304 of the Mental Health Procedures Act (50 P. S. §§ 7102, 7103 and 7104). Following a notification submitted to the State Police that inpatient care was necessary for a person or that a person was commitable, if an examining physician subsequently determines that no severe mental disability existed pursuant to section 302(b) of the Mental Health Care Procedures Act, that examining physician shall utilize the form and format to provide notice to the State Police to expunge the previously submitted notification in accordance with section 6111.1(g)(3) of the act (relating to Pennsylvania State Police).
(b) It is the responsibility of the judges of the courts of common pleas, mental health review officers and county mental health and mental retardation administrators to ensure the notification provides complete and accurate information. The notification shall include: The full name of the individual who was involuntarily committed or adjudicated incompetent, at least one numeric identifier (date of birth or Social Security number, or both), and physical description; notification of the type of commitment and date of the commitment or adjudication of incompetence; the county submitting the information, and name, address and telephone number of the notifying official; examining physician's certification on 302 commitments; facility where the commitment occurred; court case number and date of court order, where applicable. The notification shall be made to the State Police by the judges of the courts of common pleas, mental health review officers and mental health and mental retardation administrators within 7 days of the adjudication, commitment or treatment, or determination by an examining physician of the lack of severe mental disability following the initial commitment as set forth in subsection (a), by the form and format prescribed by the State Police. Notification made by mail, shall be directed to the Pennsylvania State Police, Attention: Firearm Division, PICS Operations, 1800 Elmerton Avenue, Harrisburg, PA 17110. The envelope shall be marked ''Confidential.''
§ 33.121 PICS firearm acquisition/license to carry/denial challenge.
(a) The PICS firearm acquisition/license to carry/denial challenge form, shall be furnished to licensed firearms dealers and county sheriffs in this Commonwealth, to be provided to individuals upon request, who are denied the ability to purchase or acquire a firearm, as defined in section 6111.2 of the act (relating to firearms sales surcharge) or a license to carry a firearm, based upon a PICS firearms background check determination. A written request for these forms may be directed to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110. Forms shall be furnished to the firearms dealer/sheriff and shall be requested at least 3 weeks prior to the time of actual need.
(b) The PICS firearm acquisition/license to carry/denial challenge form shall be either typewritten or printed in blue or black ink pen. The form shall be completed containing legible impressions. It shall be the responsibility of the individual submitting the denial challenge to ensure the form is accurately completed. The form shall be submitted within 30 days of the PICS denial determination by the requesting individual, by first class mail, to the State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110.
FINES AND PENALTIES § 33.122. Fines and other penalties.
This chapter is promulgated under the authority contained in the act, and will be prosecuted as a violation of the act.
FORMS § 33.131. Forms.
(a) The following forms have been promulgated by the State Police under authority of the act and this subpart.
(1) Application/Record of Sale.
(2) Surcharge Remittance Form.
(3) Surcharge Remittance Continuation Form.
(4) Application for a Pennsylvania License to Carry Firearms.
(5) Pennsylvania License to Carry Firearms.
(6) Application for a Pennsylvania License to Sell Firearms.
(7) Pennsylvania License to Sell Firearms.
(8) Pennsylvania Sportsman's Firearm Permit.
(9) Notification of Mental Health Commitment.
(10) PICS Firearm Acquisition/ License to Carry/Denial Challenge.
(b) The forms are available from the State Police by contacting: Pennsylvania State Police, 1800 Elmerton Avenue, Harrisburg, Pennsylvania 17110.
[Pa.B. Doc. No. 01-319. Filed for public inspection February 23, 2001, 9:00 a.m.]
