Section 7.4 The identification of firearms.
7.4.1 Serial numbers.
Each manufacturer of a firearm must legibly identify it by engraving, stamping (impressing), or otherwise conspicuously placing on the firearm’s frame or receiver an individual serial number not duplicating any serial number placed by the manufacturer on any other firearm. The requirement that the marking be “conspicuously” placed on the firearm means that the marking must be wholly unobstructed from plain view. For firearms manufactured on or after January 30, 2002, the serial number must be to a minimum depth of .003 inch and in a print size no smaller than 1/16 inch.
7.4.1.1 What is an acceptable serial number?
Alpha characters (letters), for example a name, are not acceptable as a serial number. A proper serial number may contain such characters or
letters, but it must have at least one numeric character (number). ATF takes the view that marking “legibly” means using exclusively Roman letters (A, B, C, and so forth) and Arabic numerals (1, 2, 3, and so forth). Deviations from this requirement have been found to seriously impair ATF’s ability to trace firearms involved in crime.
7.4.2 Additional information.
Certain additional information must also be conspicuously placed on the frame, receiver, or barrel of the firearm by engraving, casting, stamping (impressing), that is, they must be placed in such a manner that they are wholly unobstructed from plain view. For firearms manufactured on or after January 30, 2002, this information must be to a minimum depth of .003 inch.
The additional information includes:
(1) The model, if such designation has been made;
(2) The caliber or gauge;
(3) The manufacturer’s name (or recognized abbreviation); and
(4) The city and State (or recognized abbreviation) where the manufacturer maintains its place
of business.
7.4.3 Measuring the depth of markings.
The depth of all markings is measured from the flat surface of the metal and not the peaks or ridges. The height of serial numbers is measured as the distance between the latitudinal ends of the character impression bottoms (bases).
7.4.4 Obtaining variances to the marking requirements.
Requests for variances from the marking requirements of 27 CFR 478.92 and 27 CFR 479.102 should be submitted by letter to ATF’s Firearms Technology Branch (FTB). The letter can be sent via mail to Chief, Firearms Technology Branch, 244 Needy Road, Martinsburg, WV 25405. The letter can also be sent to the marking variance e-mail address at:
[email protected]. The marking variance request may be submitted by any of the parties involved in the variance. However, if the primary manufacturer is in possession of all the information including the names of the identity of the secondary manufacturers and the manufacturing
processes they may be performing on the firearm, it is preferred that the primary manufacturer submit the request to FTB.
The marking variance letter of request should clearly state the following information:
• manufacturer, importer, or maker of the firearm(s),
• recipient of the firearm(s),
• identify the name, city and State that will be displayed on the firearm(s),
• model designation, if designated,
• identify the type/style of firearm (pistol, machinegun, short-barreled rifle, etc.),
• caliber or gauge if assigned, and
• serial number scheme.
In identifying the serial number scheme to be used, you must supply a different serial scheme for each model and you must state the exact beginning serial number of the serial scheme you wish to use. Although letters and characters may be used, the serial number must use at least one number it the scheme. Please note, using the letter X, or the use of characters (#, *, etc.) as digit/character holders is unacceptable. For example, an incorrectly submitted serial scheme would be ALZXXXX. A correctly submitted serial scheme would be ALZ0001. You do not need to provide an ending serial number when submitting your serial number scheme.
7.4.4.1 Variances in the name and location of the manufacturer.
As stated above, the regulations require firearms to be marked with the manufacturer’s name, city and State or recognized abbreviation of the information. FTB will only grant marking variances for abbreviations regarding city and State names that are commonly recognized by the United States
Postal Service. If you intend to use a name or abbreviation other than your licensed name or recognized abbreviation, you must contact the Federal Firearms Licensing Center and complete ATF Form 5300.38 to have your Federal Firearms License amended to reflect the addition of a trade name or a “doing business as” name to your license. You may not use a name or
abbreviation until it is approved.
7.4.4.2 Variances for manufacturers’ contractors.
As pointed out in Section 7.2.2, some manufacturers contract with other entities to perform certain work on their firearms prior to their ultimate sale. In those instances the contractors are also “manufacturers” who must be licensed as a Type 07 Manufacturer or as a Type 10 Manufacturer of Destructive Devices in order to perform any manufacturing function on the firearm. Additionally, the regulations require that the secondary manufacturer mark the firearm with their identifying information to include name, city and State. A qualified, secondary manufacturer may request a variance to adopt the markings of the initial manufacturer. If a manufacturer is working with a secondary manufacturer, either the manufacturer or the secondary manufacturer can submit a letter of request to FTB for a marking variance.
You should be aware that marking variances for the manufacturer of machineguns is limited to the making of the receiver from one special (occupational) taxpayer manufacturer to another. The machinegun can be made on behalf of a manufacturer who intends on making the machineguns for stockpile for future sale to other dealers as sales samples, or for sale to law enforcement and the military. A machinegun cannot be transferred to a secondary manufacturer such as a bluer, Parkerizer, heat treater etc. In order to have a machinegun receiver blued, Parkerized or heat treated, etc., the possessor of the machinegun must transport the machinegun and remain in possession of the machinegun while it is being blued, Parkerized or heated treated by the secondary manufacturer.
7.4.4.3 Marking Destructive Devices.
In the case of a destructive device, FTB may authorize an alternate means of identification upon receipt of a manufacturer’s letter of request. The letter
of request should indicate that the engraving, casting or stamping the weapons would be dangerous or impracticable. The variance would allow an alternate method of marking such devices. For example, ATF may permit the required markings to be placed on the device by paint or stencil. A variance in this format will contain the information that is proscribed by the regulations. For example, lot numbers of ammunition classified as destructive devices would be acceptable in lieu of the information required by the regulations.
7.4.4.4 Marking parts, other than frames or receivers, defined as NFA firearms.
FTB may authorize alternate means of identifying such parts upon receipt of the manufacturer’s letter application showing that such other identification is reasonable and will not hinder the effective administration of the regulations. See Section 7.4.6 for information on marking silencer parts.
7.4.5 Marking frames or receivers that are not complete weapons at the time of disposition.
Firearms frames or receivers that are not components of complete firearms at the time of disposition must be identified with all the required markings, that is, serial numbers and all the additional markings discussed in Sections 7.4.1 and 7.4.2.124
7.4.6 Marking silencer parts.
Some FFLs/SOTs assemble silencers, for subsequent sale, from parts acquired from their contractors (NOTE: this activity is the “manufacture” of NFA firearms requiring the assembler and the contractor to qualify as manufacturers under the GCA and the NFA). Under these circumstances, ATF takes the position that contractors are not required to place identifying markings on silencer parts. They may, however, place an assembler’s markings on these parts if the assembler so desires. It should also be noted that these contractors are not required to register the parts they produce
by filing Forms 2, nor are they required to obtain approved Forms 3 to transfer the parts to assemblers.
