Trident Arms BATF Form 1 Review

Updated 12/10/2010

I have reviewed and documented the Bureau of Alcohol, Tobacco, Firearms and Explosives (BATF) Form 1 submission and approval process.  This is the “Application used to Make and Register a Firearm” ATF Form 1 (5320.1).  This is the form that must be submitted and approved in order to make and register a Short Barrel Riffle (SBR) or a Short Barrel Shotgun (SBS).

You CAN NOT legally build your SBR or SBS without this approved form!!! Don’t take a chance.  Submit your paperwork and be patient.  It will be well worth the wait in the end.

This was a relatively easy process once I got all the facts.  After doing some extensive research on the Internet and a couple of phone calls to buddies and a call to my local BATF office I was ready.

Since I live in Florida, I established an NFA Gun Trust.  I contacted a local Lawyer who was well versed in gun trusts (make sure they are).  I gave the lawyer some basic information and the next day signed and picked up the Trust Agreement.  This cost me a couple of hundred dollars.  Money well spent as you will use this same trust agreement for all of my NFA items such as machine guns, SBR’s, SBS, suppressors, etc.  Make sure you keep the original in a safe place and only use copies for your transactions.  This is an important document.

This is an actual Form 1 that I completed and had approved.  The entire process took just over 3 months to get approved.   See the timeline below.
Trident Arms Reviews the BATF Form 1 submission and approval process.
BATF Form 1 - Sample Page 1
BATF Form 1 - Sample Page 1
BATF Form 1 - Sample - Page 2
BATF Form 1 - Sample - Page 2
I downloaded the most current form from the BATF website (do not submit an out-of-date form as this could delay your application).

The next step was to complete the Form 1:  Here is the step-by-step process that I used to complete the form:  (you MUST submit TWO original Form 1’s (MAKE SURE YOU PRINT PAGE 1 AND 2 ON THE SAME SHEET OF PAPER!)

“I completed this application for a POF P-416 “Multi Caliber” Short Barrel Riffle (SBR)”

Block 1 - Type of Application:  check box a. Tax Paid (Attach a check for $200 made payable to the Department of Justice)

Block 2 - Application is made by: check boxCorporation or other business entity

Block 3a - Trade Name:  Leave blank

Block 3b - Applicant’s Name and Mailing Address: “This is the name and address of your trust agreement”

XYZ Trust Agreement
222 Coolgun Ave
Tampa, FL 33555

Block 3c - If P.O. Box is shown above, street address must be given here: Fill out as appropriate (mine is blank)

Block 3d - County:  Hillsborough County

Block 3e - Phone number:  (813) 222-5555

Block 4 - Description of firearm:

Block 4a - Name and location of original manufacturer of firearm:  POF USA, 5619 N 53rd Ave, Glendale AZ 8530

Block 4b - Type of Firearm to be made:  Short Barrel Riffle (SBR)

Block 4c - Caliber, gauge or size:  5.56 (do not put “multi”) if you plan to have a multi caliber, then you must list all the calibers that you want (you can put the overflow into block 4h)

Block 4d - Model: P-416 (enter the model number of your lower)

Block 4e - Length of barrel: 9.25 (enter the length of the barrel you plan on installing)

Block 4f - Length Overall:  23 (enter the overall length of your proposed SBR once completed)

Block 4g - Serial number:  09-01234 (enter the serial number of your lower)

Block 4h - Additional description: (4.c. con’t)/.223/9mm/.22/6.8/7.62x39/5.45x39 (“Caliber - Multi”)

Block 4i - State why you intend to make firearm:  Any Lawful Purpose

Block 4j - Is this firearm being reactivated: check box “No

Block 5 - Applicants Federal Firearms License:  Leave blank

Block 6a - Special (occupational) tax employer identification number:  Leave blank

Block 6b - Special (occupational) tax class:  Leave blank

Block 7 - Signature: “Sign your name”

Block 8 - Name and title of authorized official of firm or corporation:  “Your name, Trustee”

Block 9 - Date: “Date you signed the application”


Block 10 - Questionnaire:  Fill out as appropriate”

Block 11 - Questionnaire:  Fill out as appropriate”

Stop here - You not need to complete the remaining blocks

Block 12 - Photograph:  Leave blank “you do not need to attach a photo”

Block 13 - Law enforcement certification:  Leave blank “you do not need to complete this section”

Now that you have completed your form 1, print out 2 copies (make sure page 1 and 2 are on the same sheet of paper) and sign them.  Make a copy for yourself.

You will need to complete a Certification of Compliance with 18 U.S.G. 022(g)(5)(B), ATF Form 53330.20 (this form is pretty self explanatory to complete, make sure for the applicants name you use the name of the trust.  Use your name for the name of the person certifying citizenship).  Print 2 copies and sign them both.  Make a copy for yourself.

Now put your package together.  Here is a checklist:

1.  2 copies of your Trust Agreement
2. 2 copies of your Trust Agreement “Schedule A” (this is a list of all the NFA items in the trust.  If you don’t have any items, then simply print out 2 blank sheets titled “Schedule A” and notate "none" and sign them)
3.  2 copies of “Application used to Make and Register a Firearm” ATF Form 1 (5320.1)
4.  2 copies of “Certification of Compliance with 18 U.S.G. 022(g)(5)(B)”  ATF Form 53330.20
5.  1 $200 check payable to the Department of Justice

Put your package into a large envelope (ensure you have enough postage) and mail it to:

National Firearms Act Branch,
Bureau of Alcohol, Tobacco, Firearms and Explosives
244 Needy Road, Suite 1250
Martinsburg, WV 25404

If you want to check on the status of your Form 1, you will need your serial number.  Tel (304) 616-4500.  But remember, to be patient.

Processing time for this application:

Submitted:          8/9/10
Check Cashed:     8/21/10
Assigned:            9/16/10
Approved:           11/18/10
Approval #           xxxxxx
Received:            11/22/10
Examiner:            Feltner

The one thing I noticed was once you have a previous approval, the process seems to move along much faster.

I have provided this information to help you understand the process that I experienced.  These results are based on my form 1 submission and my local and state laws.  Wait times will vary based on current BATF workloads.  It is recommended that to check with BATF and your local and states laws if you plan on submitting your own application.
We have a related article on the BATF Form 4 submission & approval process
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