FACSIMILE TRANSMITTED COPIES
OF FORMS AND OTHER DOCUMENTS
All Alcohol, Tobacco, Firearms and Explosives
Licensees, Permittees, and Others Concerned:
PURPOSE. The purpose of this circular is to advise
industry members that an ATF ruling will be published in a
future issue of the Alcohol, Tobacco and Firearms
Quarterly Bulletin. The ruling will read substantially as
follows:
The Bureau of Alcohol, Tobacco and Firearms has been
asked whether certain forms and other documents could
optionally be transmitted to the Bureau by means of
facsimile machines. These include various application
forms, comments on notices of proposed rulemaking,
reports, and other documents submitted to the Bureau.
Recent technological advances have made transmitting
documents by facsimile machine practical and the use of
facsimile machines has become widespread. The Bureau has
acquired several facsimile machines and found them to be
acceptable for transmitting many types of documents.
The statutes administered by the Bureau (including the
Internal Revenue Code of 1986, the Federal Alcohol
Administration Act, the Gun Control Act of 1968, Title XI
of the Organized Crime Control Act of 1970, and the Arms
Export Control Act) generally specify the information to
be included on documents that are submitted to the
Bureau. However, the form of the documents and the manner
of filing are generally left to the Secretary of the
Treasury to prescribe by regulation. The regulations
issued pursuant to these statutes generally require that
forms and other documents be submitted in original and
signed by the applicant, licensee, or permittee.
The Bureau has concluded that if the person
transmitting the form or document intends that it be
treated as an original and it is filed via a facsimile
machine at the person's direction, then the facsimile copy
received by the Bureau would be for all intents and
purposes the original.
In order to verify the authenticity of a signature on
forms and other documents required to be signed under
penalties of perjury, the Bureau will require that an
affidavit executed by the person signing the forms or
documents be submitted to the Bureau prior to acceptance
of any facsimile transmitted copies of such forms or
documents.
The affidavit should declare, under penalties of
perjury, that the affiant will be filing the appropriate
forms or documents by facsimile machine, that the
signature appearing on the facsimile copies will be that
of the affiant, and that the signature on the facsimile is
intended as the original signature.
The affidavit should also state that the affiant will
be submitting the facsimile copies as originals for
approval or other purposes under the appropriate
regulations and that the affiant intends that the
facsimile copies be treated as originals.
Finally, the affidavit should also state that the
person signing the form or other document will personally
transmit the copy via facsimile machine, or, if a
designated agent is to do the transmittal, the name of the
agent who will do the actual transmittal will be stated.
The affidavit would only have to be submitted one time
to each Bureau office to which facsimile transmitted
copies are to be sent, and would not have to be
resubmitted unless a different official would be signing
or transmitting the copies.
The Bureau concludes that only documents that are
legible and of suitable size (8 1/2" X 11" or as
specifically authorized by the receiving office) may be
submitted by facsimile transmission. The Bureau also
concludes that facsimile transmitted copies would not be
acceptable with respect to fingerprint cards, bonds,
photographs, checks, or labels for alcoholic beverage
containers or the forms or documents required to be
submitted with such items.
The acceptance of facsimile transmitted copies at some
Bureau offices may be restricted due to limited
availability of facsimile machines, telephone lines or
other reasons. Instructions on the form or instructions
otherwise provided will state whether a facsimile
transmitted copy of a form or other document may be used.
The instructions will also indicate the locations and
telephone numbers where the transmissions may be sent.
Instructions for facsimile transmitted copies of comments
on a notice of proposed rulemaking will be provided in the
notice itself.
Accordingly, the Bureau has determined that facsimile
transmitted copies of forms and other documents may be
accepted under certain conditions.
Held: Forms and other documents submitted to the
Bureau may be accepted when transmitted by facsimile
machines under the following conditions:
- The Bureau office to which the forms or other
documents are to be submitted is suitably equipped
with facsimile machines and telephone lines to receive
the facsimile transmitted copies.
- The forms or other documents are legible and of
suitable size (8 1/2" X 11" or as specifically
authorized by the receiving office) for facsimile
transmission.
- The forms or other documents are transmitted in
accordance with instructions on the form, notice of
proposed rulemaking, or otherwise provided.
- The forms or other documents are not fingerprint
cards, bonds, photographs, checks, or labels for
alcoholic beverage containers and are not the forms or
documents required to be submitted with such items.
- Prior to accepting any facsimile transmitted
copies of forms and other documents required to be
signed under penalties of perjury, the Bureau must
have received an affidavit executed by the person
whose signature appears on the forms or documents.
The affidavit must declare, under penalties of
perjury, that:
a. the affiant will be filing the appropriate
forms or other documents by facsimile machine,
b. the signature appearing on the facsimile
copies will be that of the affiant, and is
intended as the original signature,
c. the affiant will be submitting the facsimile
copies as originals for purposes of approval or
other purpose under the appropriate regulations
and that the affiant intends that the facsimile
copies be treated as originals, and
d. the person signing the forms or other
documents will personally transmit the copies via
facsimile machine, or, if a designated agent is
to do the transmittal, the name of the agent who
will do the actual transmittal.
- The affidavit is required to be submitted only one
time to each Bureau office to which facsimile
transmitted copies are to be sent, and need not be
resubmitted unless a different official will be
signing or transmitting the forms.
INQUIRIES. Inquiries concerning this circular should
refer to its number and be addressed to the Associate
Director (Compliance Operations), Bureau of Alcohol,
Tobacco and Firearms, 1200 Pennsylvania Avenue, NW,
Washington, DC 20226.
Acting Director |