Getting Legal
Dave Stoddard
Pyrotechnics Guild International
Permission granted to copy, modify, and distribute these slides
and information for any purpose.
What is the ATF?
• Bureau of Alcohol, Tobacco, Firearms and
Explosives
• Federal Agency Responsible for Enforcing
Explosives Regulations
• ATF has Jurisdiction for the Enforcement of
Chapter 40 of the United States Code, as well as
for the Safe Explosives Act
• Regulations are outlined in 27 CFR, Part 55 –
“Commerce in Explosives” (Orange Book)
What Things Do Not Require
An ATF License?
• There are only four types of 1.4 items that do not
require an ATF license:
–
–
–
–
UN 0336 – 1.4G Consumer Fireworks
UN 0337 – 1.4G Sparklers
UN 0431 – 1.4G Propellants (Air Bags) and Smoke
UN 0432 – 1.4S Flares and Signal Devices
• Black powder for use in antique firearms that
does not exceed 50 pounds in weight.
• See ATF 27 CFR 55.141, Subpart H –
Exemptions
Who Needs an ATF License?
• Hobbyists that build fireworks and
transport their fireworks over public roads
• Anyone who buys or transports fireworks
or explosives across State lines
• Anyone engaged in the business of
importing, manufacturing, or dealing in
fireworks or explosive materials
• Consumer fireworks are exempt
Why Have an ATF License?
• Allows you to purchase 1.3G (Class B)
fireworks, electric matches, and controlled items.
• Protects you from political fallout in the event of
an accident (accused bomb maker versus
hobbyist fireworks builder).
• Allows you to purchase certain chemicals and
materials in large quantities (like powdered
metals and oxidizers).
• Provides a certain level of protection against
prosecution by the federal government as long
as you follow the rules.
Disadvantages of ATF License
• Routine inspections by ATF personnel.
• Intrusive application process requires fingerprint
cards, photographs, and other personal data.
• Cost of license application is $200, and a $100
renewal fee every three years.
• Detailed record keeping requirements.
• Does not eliminate State laws and restrictions.
• Mandates conformance with State laws.
Types of ATF Licenses
• User Limited – Good for 1 year, can be used up
to six times. No intrastate transportation.
• User – Buy and use materials.
• Dealer – Buy, sell, and use materials.
• Importer – Import, buy, sell, and use materials.
• Manufacturer – Manufacture, buy, sell, and use
materials.
• This class will not cover details about dealer and
importer licenses.
User Licenses
•
•
•
•
•
Type 33: User of High Explosives
Type 34: User of Low Explosives
Type 35: User of Blasting Agents
Type 54: User of Fireworks
User licenses are good for three years,
cost $100 to apply, $50 to renew
• Allows you to purchase, store, and use
materials
Manufacturer Licenses
•
•
•
•
•
•
Type 19: Manufacturer of theatrical flash powder
Type 20: Manufacturer of high explosives
Type 21: Manufacturer of low explosives
Type 22: Manufacturer of blasting agents
Type 50: Manufacturer of fireworks
Manufacturers can buy, sell, make, use and
store materials
• Manufacturer licenses are good for three years,
cost $200 to apply, $100 to renew
What Type of License to Get
High Explosives Versus Low Explosives
• Low explosives include black powder and most
fireworks (except salutes, flash powder, whistle
powder, and experimental rocket compositions)
• Fireworks include low explosives and bulk
salutes, but not high explosive powders
• High explosives include all explosives (low
explosives, fireworks, and high explosives)
• The differentiation between different classes of
explosives will be eliminated in the licensing
process some time in the future.
New License Categories
•
•
•
•
•
•
User Limited
User of Explosives
Dealer of Explosives
Importer of Explosives
Manufacturer of Explosives
Classes of explosives will be eliminated
from license categories
• Magazine will determine capability
What Type of License to Get
Manufacturer Versus User License
• User license allows you to buy, store, and
use materials.
• Manufacturer allows you to make, buy,
sell, store, and use materials.
• Manufacturer provides greater coverage
than user license does.
• Manufacturer license costs twice as much
as user license (and worth it).
Type of License to Apply For
• Type 20, Manufacturer of High Explosives,
provides the widest range of coverage and
offers the greatest amount of flexibility for use,
but requires high explosives storage.
• Type 50, Manufacturer of Fireworks, allows you
to manufacture most types of fireworks and does
not require high explosives storage unless you
store bulk salutes.
• Type 20 provides more coverage than Type 50
license – apply for a Type 20.
Why a High Explosives License?
• A Type 50 license, Manufacturer of Fireworks,
covers the manufacture of fireworks and bulk
salutes, but the manufacture and storage of
experimental pyrotechnic compositions is a gray
area that is subject to interpretation.
• The ATF is classifies flash powder, whistle
powder, chlorate-based compounds, and
experimental compositions as “high explosives”.
• Only a Type 20 license, manufacturer of high
explosives, will meet the strictest interpretation
of ATF definitions.
Myths About Licenses
• Myth 1: It is easier to get a user license
than a manufacturer license.
• Myth 2: It is easier to get a low explosives
license or fireworks license than it is to get
a high explosives license.
• Myth 3: People with high explosives
manufacturing licenses are scrutinized
more closely, and inspected more often,
than other types of licenses.
Magazines
• A magazine is a place where you store fireworks
and explosives.
• Storage requirements are defined in Subpart K
of the ATF Orange Book (Page 39).
• There are several types of magazines:
–
–
–
–
–
Type 1: Permanent storage for high explosives.
Type 2: Portable storage for high explosives.
Type 3: Day boxes for high explosives.
Type 4: Storage for low explosives and fireworks.
Type 5: Storage for blasting agents (ANFO).
Magazine Requirements
• For a high explosives license, you must have
high explosives storage. You can also have
additional (separate) low explosives storage.
• Fireworks, including salutes that are mixed
50/50 with other shells, are considered low
explosives. Otherwise, bulk salutes are
considered high explosives.
• Low explosives can be stored in a high
explosives magazine, but high explosives
cannot be stored in a low explosives magazine.
Magazine Requirements (cont)
• The ATF provides a set of tables of distances
based on the class of explosives the magazine
will store and the quantity of explosives in
pounds.
• Table 55.218 shows distance requirements for
high explosives magazines.
• Table 55.219 shows distance requirements for
low explosives magazines.
• Table 55.224 shows distance requirements for
display fireworks magazines.
Magazine Alternatives
• You can own your own magazine. It will need to
meet ATF regulations for distance and
construction. It may also have to meet State
requirements, licensing, zoning and insurance
requirements. Contact your State Fire Marshal’s
office to learn more.
• You can have “contingency storage” in someone
else’s magazine. To have contingency storage,
you need a contingency storage letter from the
owner of the magazine.
Fireworks Clubs
• Most fireworks clubs that have legal manufacturing areas
also provide contingency storage for club members.
• If you use contingency storage in club magazines, any
material you store becomes the club’s property.
• Support your local club.
License Process
• Fill out and submit ATF application Form 5400.13 /
5400.16 with $200 fee.
• Complete four sets of fingerprint cards through your
State police ($20 in MD).
• Submit a 2” x 2” passport photo with the ATF application
($6.00 at FedEx/Kinko’s).
• Submit a site plan and description of the magazine
storage area.
• Provide a contingency storage letter from the owner of
the magazine if you use contingency storage.
• Meet background check requirements.
• Pass the ATF interview(s) and justify the reason for the
license application.
License Requirements
• Must be at least 21 years of age
• Cannot be a fugitive from justice
• Cannot be an unlawful user of controlled
dangerous substances (drugs)
• Cannot be under indictment for a felony
• Must be a citizen of the United States
• Cannot be convicted of a felony
• Cannot be adjudicated mentally defective
• Cannot have a dishonorable discharge
• Must not have renounced US citizenship
If You Do Not Meet Requirements
• You can appeal for relief from disabilities
using Form 5400.29, “Application for
Restoration of Explosives Privileges”.
• Requires additional documentation to be
submitted.
• Need a Law Enforcement Certification
Letter from State Police.
• Takes at least 120 days to complete.
Stand Your Ground
• ATF licenses are issued on a “shall issue” basis.
Unless they can find a valid reason to not issue
a license, they MUST issue a license to you.
• “Relief from Disability” is discretionary – if you
have a felony conviction, you are at the mercy of
the ATF to be validated.
• They may try to talk you out of getting a license,
or lower the classification of your license. Stand
your ground.
Applying for a License
• Call the ATF National Explosives Licensing
Center (NELC) at 404-417-2750 and ask them
to send your fingerprint cards and ATF Form
5400.13/5400.16
• Secure proper storage for your license category,
and a contingency storage letter if required.
• Acquire a 2” x 2” color passport photo for your
application.
• Obtain a plat plan of the magazine layout.
Completing Form 5400.13
• Item 8: Answer “No”
• Item 9: Check “Individually Owned”
• Item 10: Circle “20” in the Type Code
column for Manufacturer of High
Explosives
• Item 11: Answer “Fireworks, stars, rockets,
black powder, flash powder, whistle
powder, and experimental pyrotechnic
compositions”
Completing Form 5400.13 (Cont)
• Item 12: Answer “No” if you do not intend
to manufacture in your location. If you live
in a State (like Maryland) where fireworks
manufacturing is illegal, you must answer
“No” to this question.
• Item 13: Put your name and address, and
anyone else in your family that is at least
21 years of age.
Completing Form 5400.13 (Cont)
• Items 14 and 15: These answers must be “No”,
otherwise you must submit Form 5400.29 and
apply for relief from disability.
• Item 16: List your “Hours of Operation”. ATF
uses this information to schedule records and
compliance inspections.
• Item 17: Check “A Residence” if you are using
your home address.
• Items 19, 20, and 21: Leave blank.
Completing Form 5400.13 (Cont)
• Item 22a: Answer “Yes” and write “contingency
storage” in the box if you will be using
contingency storage.
• Item 22b: Enter the number of magazines.
• Sign, date, and mail the completed form.
Waiting for Approval
• It will take one to three months until you hear
anything back from the ATF. Expect up to three
phone interviews and (possibly) one personal
interview.
• Be prepared for your ATF interviews by carrying
your reasons and justification for your license
with you.
• It is not unusual for the ATF to try to talk you out
of getting a license, or to try to talk you into
downgrading your license to a lower level – be
firm!
Reason and Justification
• You want to be able to purchase and shoot
Class B fireworks at fireworks club events.
• You want to be able to make fireworks and
pyrotechnic compositions at club events.
• You want to be able to purchase chemicals and
materials that are restricted for sale to Type 20
license holders (like flash grade aluminum
powder).
• You want to be able to transport fireworks to
display events and to the PGI convention for
fireworks competitions.
ATF Application Status
• If you want to know the status of your ATF
license application, call the National
Explosives Licensing Center at:
404-417-2750
When Your License Arrives
• Your ATF license will be printed on pink paper.
Do not sign it – instead, make 100 copies of it on
white paper (most copiers will not pick up the red
color of the original). Keep the original in a
folder.
• You will need to provide a signed copy of your
license each time you make a purchase.
• Keep a folder of all of your ATF forms, paper
work, correspondence, and transaction records.
Keeping Records
• You must keep records of everything you buy,
build, shoot, dispose of, and store.
• You have 24 hours to update your records if a
record keeping event has occurred.
• If you manufacture something, you must mark it
with a unique code and track it in your records
(use the date and a sequence number for this).
• If you build something and shoot it the same
day, you do not need to record it, but recording it
shows the ATF you are using the license.
What to Record
•
•
•
•
•
•
Record of Manufacture
Record of Receipt or Purchase
Record of Transfer of Sale
Record of Use
Record of Magazine Inventory
Record of Magazine Inspection at ATF
compliance inspections
All of these items, with the exception of Record of Inspection, are defined in ATF
Orange Book, Subpart G – Records and Reports
Record of Manufacture
• Must capture Manufacturer’s ID, Date,
Quantity and Unit of measurement,
Description, Size, Location of Manufacture
• Sequence numbers for each item allow
you to refer to items in other section of
your records
• Add a reference column for tracking use or
storage, and a comments column for misc.
• ATF 55.123(d)
Record of Receipt or Purchase
• Must capture Date, Manufacturer’s Name,
Manufacturer’s ID, Quantity and Unit of
Measure, Description, Size, Name of
Supplier, Supplier Address, ATF License
Number, and Phone Number
• Adding a sequence number for reference
purposes can help tracking
• ATF 55.125(b)
Record of Transfer or Sale
• Must capture Date, Manufacturer’s ID
(mark of identification), Quantity and Unit
of Measure, Description, Size, Recipient
Name, ATF License Number
• Adding a sequence number for reference
purposes can help tracking
• ATF 55.123(c)
Record of Use
• Must capture Manufacturer’s ID (mark of
identification), Date, Quantity and Unit of
Measure, Description, and Size
• Sequence Number, Location of Use, a
Reference Column, and Comments are a
recommended addition
• ATF 55.123(b)
Record of Magazine Inventory
• Must capture Date, Quantity and Unit of Measure,
Description, Manufacturer Name, Manufacturer ID, and
Size
• Magazine additions must be listed separately and
include the source of the material or reference number.
• Magazine subtractions must be listed separately and
include the destination, use, or reference number.
• Current magazine inventory must be maintained
separately and be absolutely accurate.
• This is done using three separate lists.
• ATF 55.123(a)
Record of Magazine Inspection
and ATF Contact
• Record the Sequence Number, Date, Inspection
Type, ATF Employee(s), and any Comments.
• Record personal magazine inspections (seven
day spot checks, if applicable).
• Record ATF visits, phone calls, license renewals
– essentially all contact with the ATF.
• This is an optional list to maintain, but equally
important.
Electronic Record Keeping
• If you use a computer to record your ATF
records, you must print out a paper copy every
time you make a change to your records.
• You can apply for a variance to maintain your
records on a computer. See sample letter.
• I have an approved spreadsheet that you can
use for computer-based records.
Manufacturing
• Everything you make is 1.3G Class B fireworks
(even sparklers).
• In order to be 1.4G Class C, you must join the
American Pyrotechnics Association (APA) to
acquire DOT EX numbers, and you may need to
submit to testing by the AFSL. In short, it is
impractical (if not impossible) for a hobbyist
to build Class C materials.
• All 1.3G Class B items must be stored in an ATF
approved magazine. No exceptions.
Manufacturing (cont)
• You do not have to store items that are in the
process of manufacturing – stars and shells that
are drying, shell hemispheres in the process of
loading, and elaborate fusing and tying are
examples.
• As soon as the items are finished, they must be
stored in an approved magazine. This includes
stars, inserts, black powder, and finished
chemical compositions.
Manufacturing (cont)
• You may not mix more than 10 pounds of flash
powder at one time.
• You may not have more than 500 pounds of
pyrotechnic composition in a building at one
time.
• Items in the process of manufacture must be
locked up and kept safe from outsiders.
• ATF 55.221
Missing and Stolen Fireworks
• If you are missing items, you must notify the ATF
within 24 hours.
• It is a felony not to notify the ATF of missing or
stolen explosives.
• If you have a magazine, you must have
someone physically inspect the magazine once
every seven days. You do not have to open the
magazine or inspect its contents.
Getting Inspected
• Most inspections are surprise visits.
• Frequency can vary from six weeks to three
years between visits.
• Most inspections are performed by ATF
Investigators, not ATF Special Agents.
• You will need to produce your ATF License, your
Driver’s License, your Magazine Records, and a
folder of all of your ATF correspondence.
Passing Inspection
• The ATF Investigator will want to know how you
are using your license. Be sure to tell them if
you have built anything, and how you used it
after you built it.
• The ATF Investigator may ask to inventory your
magazine if you own one.
• The ATF Investigator will carefully examine your
records. They must be perfect.
Agents Versus Investigators
• ATF Special Agents are criminal law enforcement
officials, while ATF Investigators are compliance officers.
• You must cooperate with a routine inspection. You do
not have to cooperate with a criminal investigation.
• In some cases, a Special Agent may be assigned to
perform an inspection.
• Always ask to see an ATF inspectors badge. Note if the
person visiting you is an inspector or a special agent.
• If you are inspected by an agent, you must ask if you are
under investigation.
• If you ask, they have to tell you.
Handling Investigations (p.1)
• If you are being investigated, don't say anything and call
an attorney right away. The less you say, the better off
you are.
• If you say anything at all, expect it to be written down
and filed in court papers, whether it is you or someone
else they are investigating.
• Nothing you say is confidential, even if they promise you
it will be held in the strictest confidence.
• They have a right to ask to see your identification, your
ATF permit, your inventory records, and your magazine
– nothing else.
Handling Investigations (p.2)
• DO NOT LIE to any law enforcement officer as you can
be arrested for lying to them.
• It is completely legal for them to lie to you -- do not trust
anything they say.
• If they ask to search your property, tell them no. Even if
you let them search a small area on your property (such
as a shed), it is considered by the courts as a waiver of
your rights, and they will search ALL of your property.
Handling Investigations (p.3)
• If they can get a search warrant based on what they
know, they will have it in hand when they arrive. If they
tell you they will get a search warrant if you do not
cooperate, it is a bluff. No judge will grant a search
warrant on the basis that you would not give up your
constitutional right to privacy.
• Do not invite people you do not know well into your
shop. It is easy for people to simply assume you are
breaking the law by simply having chemicals or tools.
Handling Investigations (p.4)
• The ATF has 24 hours to obtain a search warrant if
someone claims you are making fireworks. If the ATF
does not have an eye witness, they cannot get a
warrant.
• Keep your magazine records in perfect order. You can
be arrested if your records are inaccurate or incomplete.
• If you are detained, they can only hold you for 20
minutes without charging you, but you must ask to leave.
At that point they will either charge you with a crime or
release you.
• It is a violation of federal law to violate your state
explosive laws.
ATF and Rumors
• If someone decides they do not like you, they
can call the ATF and falsely accuse you of
making pipe bombs or M80’s.
• The ATF will accept this as true. It will destroy
your reputation with the agency. You will be
investigated. There is nothing you can do to
restore your credibility.
• It is highly unusual for someone to be
prosecuted for filing false and malicious criminal
complaint.
Legal Counsel
• If you believe you are the subject of a legal investigation,
or you are found in violation of an ATF regulation, it is
important to get legal help right away.
• The ATF will tell you “nothing is wrong”, but it is simply
posturing to keep you from seeking legal counsel.
• Here are some competent fireworks and explosives
attorneys that can help you:
–
–
–
–
John Brooke: 800-481-0900 work, 765-289-0760 home
Don Creador: 917-226-1881 work
Doug Mawhorr: 765-741-1375
Tom Morrow: 410-823-9406 work, 410-258-8666 home
• John Steinberg is an excellent resource for advice in the
event you are involved in an investigation. You can
contact him at 410-655-8594, or jrsrocket@aol.com.
The Final Word
• Whether it is licensing, permission to
search, or investigations – stand your
ground.
• Don’t tell people you make fireworks.
• Keep a low profile.
• Keep excellent records.
• Act responsibly.
• Follow the rules.
Questions?
Dave Stoddard
dgs@accelix.net
301-572-5555 : home
You can find these materials and more on
the Internet at this web address:
http://www.accelix.net/atf