Form 5320.23 at a glance
What it is: National Firearms Act (NFA) Responsible Person Questionnaire of the U.S. Department of Justice Bureau of Alcohol, Tobacco, Firearms and Explosives.
Who signs: Signature of Responsible Person: Sign and date the form. The signature must be original. Exceptions: In the case of eforms or where a variance has been granted a digital/electronic signature may be used.
Each responsible person (See Definition 4) of a trust or legal entity seeking to make or acquire a National Firearms Act (NFA) firearm completes this form in duplicate.
Responsible Person. In the case of a legal entity, including any trust, partnership, association, company (to include any Limited Liability Company (LLC)), corporation, or Licensed Entity that does not pay the Special (Occupational) Tax, any individual who possesses, directly or indirectly, the power or authority to direct the management and policies of the trust or entity to receive, possess, ship, transport, deliver, transfer or otherwise dispose of a firearm for, or on behalf of, the trust or legal entity.
Examples of who may be considered a Responsible Person include settlors/grantors, trustees, partners, members, officers, directors, board members, or owners.
A filled-in Form 5320.23 example: a trustee fills out the questionnaire
How to fill out Form 5320.23, box by box
The ATF Form Being Submitted with this Questionnaire
Please Check the Appropriate Box to Indicate the ATF Form Being Submitted with this Questionnaire: ATF Form 1, ATF Form 4 or ATF Form 5.
Item 2, the trust or legal entity
In Item 2, enter the name, trade name (if any) and address of the trust or legal entity identified on the Form 1 (Items 3a and b); Form 4 (Item 2a); or Form 5 (Item 2a).
Item 3a to 3d, the responsible person's name, address, telephone, e-mail and other names
Provide the information for the responsible person in Items 3a - 3e: the Full Legal Name and Home Address of Responsible Person, the Telephone (Area code and number), the E-mail Address and the Other Names Used (Including alias and maiden name).
Item 3e to 3g, the photograph, the number and the date of birth
The Responsible Person shall attach, in Item 3e on the ATF copy of the form only, a 2x2 inches frontal view photograph taken within one year prior to the date of the filing of the form.
In 3f enter the Social Security Number or Unique Personal Identification Number, and in 3g the Date of Birth. The SSN and UPIN are not required. However, this information assists with the efficient completion of the National Instant Criminal Background Check System (NICS) background check. Refusal to provide this information may result in a delay in the NICS background check process.
3h. Ethnicity and 3i. Race
3h. Ethnicity: Hispanic or Latino, or Not Hispanic or Latino.
3i. Race: American Indian or Alaska Native, Native Hawaiian or Other Pacific Islander, Asian, Black or African American, White.
Item 4, the firearm
Item 4a, Type of Firearm: See Definition 5 and as identified in Item 4b of Form 1, 4, or 5.
Item 4b, Name and Address of Maker, Manufacturer and/or Importer of Firearm: as identified in Item 4a of Form 1, 4 or 5.
Item 4c, Firearm Model: identified in Item 4d of Form 1, 4 or 5. Item 4d, Caliber or Gauge: identified in Item 4c of Form 1, 4 or 5. Item 4e, Firearm Serial Number: identified in Item 4g of Form 1, 4 or 5.
5. Law Enforcement Notification and the chief law enforcement officer
5. Law Enforcement Notification (See Instruction 5): enter the Agency or Department Name, the Name and Title of Official and the Full Mailing Address (Street address or P.O. box, city, State and ZIP code).
The Chief Law Enforcement Officer is considered to be the Chief of Police; the Sheriff; the Head of the State Police; or a State or local district attorney or prosecutor.
Item 6, the Yes or No questions
All questions 6.a.-6.j. and all Items 6.k.-6.m.1. must be answered by checking the Yes or No box. Item 6.m.1 must be answered by checking the Yes, No or Not Applicable (N/A) box. (Use a separate sheet of paper to provide details for all yes answers)(See Definitions 1-14)
a. Do you intend to make any firearm listed on this form for sale for other disposition to any person described in questions 6.b through 6.l, or a person described in question 6.m who does not fall under an exception?
b. Do you intend to sell or otherwise dispose of any firearm listed on this form in furtherance of any felony or other offense punishable by imprisonment for a term of more than one year, a Federal crime of terrorism, or a drug trafficking offense?
c. Are you under indictment or information in any court for a felony, or any other crime, for which the judge could imprison you for more than one year? (See Definition 8)
d. Have you ever been convicted in any court for a felony, or any other crime, for which the judge could have imprisoned you for more than one year, even if you received a shorter sentence including probation? (See Definition 8)
e. Are you a fugitive from justice? (See Definition 13)
f. Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any other controlled substance? Warning: The use or possession of marijuana remains unlawful under Federal law regardless of whether it has been legalized or decriminalized for medicinal or recreational purposes in the state where you reside.
g. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution? (See definition 9 and 10)
h. Have you been discharged from the Armed Forces under dishonorable conditions?
i. Are you subject to a court order restraining you from harassing, stalking, or threatening your child or an intimate partner or child of such partner? (See Definition 11)
j. Have you ever been convicted in any court of a misdemeanor crime of domestic violence? (See Definition 14)
k. Have you ever renounced your United States citizenship?
l. Are you an alien illegally or unlawfully in the United States?
m.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa? m.2. If you answered yes to Item 7.f.1., do you fall into any of the exceptions stated in the instructions? (If so, attach the appropriate exception documentation to this questionnaire)
7 to 9, the Alien Number, the UPIN and the Country of Citizenship
7. If you are an alien, record your U.S.-Issued Alien or Admission Number (AR, USCIS, or I-94 number):
8. Have you been issued a Unique Personal Identification Number (UPIN)? (See Instructions 3c) Yes No If yes, please list
9. Country of Citizenship. a. Check/List more than one, if applicable. Nationals of the United States may check U.S.A. (See Definition 12) United States of America, or Other Country/Countries (specify).
b. State of Birth. c. Country of Birth.
The certification and the signature
CERTIFICATION: Under penalties imposed by 18 United States Code (U.S.C.) Section 924 and 26 U.S.C. § 5861, I certify that, upon submission of this form to ATF, a completed copy of this form will be directed to the Chief Law Enforcement Officer (CLEO) shown in Item 5, that the statements contained in this certification, and any attached documents in support thereof, are true and correct to the best of my knowledge and belief.
More rules for Form 5320.23
Disclosure of the requested information is mandatory. Failure to respond fully to all inquiries may delay processing and/or result in the denial of your application.
Before you go
Complete the form in duplicate.
Each Responsible Person must submit his/her fingerprints and photograph with this form.
The responsible person shall submit, in duplicate with the ATF copy of this form, his or her fingerprints on Federal Bureau of Investigation (FBI) Form FD-258. The fingerprints must be clear for accurate classification and taken by a properly trained individual. No fingerprints are required when submitting the CLEO copy of the form.
If the State in which the Responsible Person resides requires the Responsible Person to have a State or local permit or licensee, a copy of the permit or license must be submitted with this form.
Common questions about Form 5320.23
Where do I file it?
The ATF copy of the form, two completed Fingerprint Identification Cards (Form FD-258), and a photograph must be submitted with a completed ATF Form 1, 4, or 5, to the address indicated on each form for processing. The other completed copy of the form must be submitted to the responsible person's chief law enforcement officer (CLEO). The CLEO copy shall be directed to the Responsible Person's Chief Law Enforcement Officer identified in Item 5 of this form.
When is this form not the right one?
This form is not required when the applicant on Form 1, Form 4 or Form 5 is an individual.
Sources
[1] Form 5320.23 (Revised January 2023), Bureau of Alcohol, Tobacco, Firearms and Explosives (the Official source link on this page).