[Federal Register Volume 64, Number 120 (Wednesday, June 23, 1999)]
[Proposed Rules]
[Pages 33450-33453]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-15943]


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DEPARTMENT OF THE TREASURY

Bureau of Alcohol, Tobacco and Firearms

27 CFR Parts 178 and 179

[Notice No. 877]
RIN 1512-AB84


Identification Markings Placed on Firearms (98R-341P)

AGENCY: Bureau of Alcohol, Tobacco and Firearms (ATF), Department of 
the Treasury.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Bureau of Alcohol, Tobacco and Firearms (ATF) is proposing 
to amend the regulations to prescribe minimum height and depth 
requirements for identification markings placed on firearms by licensed 
importers and licensed manufacturers. Specifically, we are proposing a 
minimum height of \3/32\ inch and a minimum depth of .005 inch for 
serial numbers and a minimum depth of .005 inch for all other required 
markings. We believe that such minimum standards are necessary to 
ensure that firearms are properly identified in accordance with the 
law. In addition, the proposed regulations, if adopted, will facilitate 
our ability to trace the origin of firearms used in crime.

DATES: Written comments must be received on or before September 21, 
1999.

ADDRESSES: Send written comments to: Chief, Regulations Division; 
Bureau of Alcohol, Tobacco and Firearms; PO Box 50221; Washington, DC 
20091-0221; ATTN: Notice No. 877.

FOR FURTHER INFORMATION CONTACT: James P. Ficaretta, Regulations 
Division, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts 
Avenue, NW., Washington, DC 20226 (202-927-8230).

SUPPLEMENTARY INFORMATION:

Background

    Section 923(i) of the Gun Control Act of 1968 (GCA), as amended (18 
U.S.C. Chapter 44), requires licensed importers and licensed 
manufacturers to identify, by means of a serial number, each firearm 
imported or manufactured. The serial number must be engraved, cast, or 
stamped on the receiver or frame of the weapon in such manner as the 
Secretary of the Treasury prescribes by regulation. With respect to 
certain firearms subject to the National Firearms Act (e.g., machine 
guns), 26 U.S.C. 5842 requires each manufacturer and importer and 
anyone making a firearm to identify each firearm by a serial number. 
The serial number may not be readily removed, obliterated, or altered. 
Section 5842 also requires the firearm to be identified by the name of 
the manufacturer, importer, or maker, and such other identification as 
the Secretary may prescribe by regulation.
    Regulations that implement section 923(i) are set forth in 27 CFR 
178.92. In general, this section requires each licensed manufacturer or 
licensed importer of firearms to legibly identify each firearm by 
engraving, casting, stamping (impressing), or otherwise conspicuously 
placing on the frame or receiver an individual serial number. The 
serial number must be placed in a manner not susceptible of being 
readily obliterated, altered, or removed.
    Section 178.92 also requires licensed importers and manufacturers 
to conspicuously place the following identification markings on the 
frame, receiver, or barrel of each firearm imported or manufactured in 
a manner not susceptible of being readily obliterated, altered, or 
removed:
    1. The model, if such designation has been made;
    2. The caliber or gauge;
    3. The name (or recognized abbreviation of same) of the 
manufacturer and also, when applicable, of the importer;
    4. In the case of a domestically made firearm, the city and State 
(or recognized abbreviation thereof) where the licensed manufacturer 
maintains its place of business; and
    5. In the case of an imported firearm, the name of the country in 
which manufactured and the city and State (or recognized abbreviation 
thereof) where the importer maintains its place of business.

The same marking requirements appear in regulations issued under the 
National Firearms Act at 27 CFR 179.102.
    In the case of any semiautomatic assault weapon manufactured after 
September 13, 1994, the regulations also require that the frame or 
receiver be marked ``RESTRICTED LAW ENFORCEMENT/GOVERNMENT USE ONLY'' 
or, in the case of weapons manufactured for export, ``FOR EXPORT ONLY'' 
(27 CFR 178.92(a)(2)).

Discussion

    The GCA requires Federal firearms licensees to maintain records of 
their acquisitions and dispositions of firearms, including complete and 
accurate descriptions of the firearms. One of the principal objectives 
of the GCA is to facilitate the tracing of firearms used in crime ``to 
provide support to Federal, State, and local law enforcement officials 
in their fight against crime and violence * * *.'' Gun Control Act of 
1968, section 101, 82 Stat. 1213. To accomplish this objective, 
Sec. 178.92 requires that each manufacturer or importer utilize an 
individual serial number for each firearm manufactured or imported and 
prohibits the duplication of any serial number placed by the 
manufacturer or importer on any other firearm. Furthermore, section 
922(k) of the GCA makes it unlawful for any person to transport, ship, 
possess, or receive, in interstate or foreign commerce, any firearm 
that has had the importer's or manufacturer's serial number removed, 
obliterated, or altered.
    The serial number, along with other required markings such as 
caliber, model, name of manufacturer, and city and State of the 
manufacturer or importer make any given firearm uniquely identifiable 
and traceable. Thus, firearms tracing is an integral part of any 
investigation involving the criminal use of firearms. The systematic 
tracking of firearms from the manufacturer or U.S. importer to the 
first retail purchaser enables law enforcement agencies to identify 
suspects involved in criminal violations, determine if the firearm is 
stolen, and provide other information relevant to an investigation. Our 
National Tracing Center (NTC) maintains the capability to trace the 
origin of recovered firearms used in crimes. Over the years, the NTC 
has experienced a substantial increase in the number of requests 
received for crime gun traces by Federal, State, and local law 
enforcement agencies. The total

[[Page 33451]]

number of requests for gun traces increased from 77,000 in 1995 to 
approximately 200,000 in 1997.
    Currently, there are no minimum standards concerning size and depth 
of impression for markings on firearms. The regulations require that 
the identifying information, including the serial number, be legible, 
conspicuous, and placed on the firearm ``in a manner not susceptible of 
being readily obliterated, altered, or removed.'' The lack of specific 
minimum standards causes problems for licensees in properly recording 
identifying information in their required records, particularly with 
respect to serial numbers that are very small or are not applied to a 
uniform depth. Moreover, worn, hard-to-read markings often result in 
State and local law enforcement officers forwarding erroneous 
information to ATF in connection with a trace request. Serial numbers 
that are stamped very lightly on the frame or receiver of the firearm 
are more susceptible to being easily obliterated, altered, or removed. 
These problems often hinder our efforts to trace a particular firearm.

Proposed Regulations

    To reduce the problem of incorrect record entries by licensees and 
to make identification markings less susceptible to being readily 
obliterated, altered, or removed, we are proposing to amend the 
regulations to prescribe minimum height and depth requirements for 
identification markings placed on firearms. Specifically, we are 
proposing that licensed manufacturers and licensed importers cast, 
stamp (impress) or engrave serial numbers to a depth of at least .005 
inch and in a print size no smaller than \3/32\ inch. We are also 
proposing that all other required markings, including the special 
markings for semiautomatic assault weapons, be cast, stamped 
(impressed) or engraved to a depth of at least .005 inch. We are not 
proposing to require a minimum height requirement of \3/32\ inch for 
all identification markings since such a requirement would make it 
difficult to fit all the information on a firearm, particularly in the 
case of handguns.
    We believe that the minimum standards proposed in this notice 
ensure that firearms are properly identified in accordance with the 
law. In addition, the proposed regulations, if adopted, will facilitate 
our ability to trace firearms used in crime.

How This Document Complies With the Federal Administrative 
Requirements for Rulemaking

A. Executive Order 12866

    We have determined that this proposed regulation is not a 
significant regulatory action as defined by Executive Order 12866. 
Therefore, a Regulatory Assessment is not required.

B. Regulatory Flexibility Act

    The Regulatory Flexibility Act (RFA) generally requires an agency 
to conduct a regulatory flexibility analysis of any rule subject to 
notice and comment rulemaking requirements unless the agency certifies 
that the rule will not have a significant economic impact on a 
substantial number of small entities. Small entities include small 
businesses, small not-for-profit enterprises, and small governmental 
jurisdictions. We hereby certify that this proposed regulation, if 
adopted, will not have a significant economic impact on a substantial 
number of small entities because the revenue effects of this rulemaking 
on small businesses flow directly from the underlying statute. 
Likewise, any secondary or incidental effects, and any reporting, 
recordkeeping, or other compliance burdens flow directly from the 
statute. Accordingly, a regulatory flexibility analysis is not 
required.

C. Paperwork Reduction Act

    The collections of information contained in this notice of proposed 
rulemaking have been submitted to the Office of Management and Budget 
for review in accordance with the Paperwork Reduction Act of 1995 (44 
U.S.C. 3507(d)). Comments on the collections of information should be 
sent to the Office of Management and Budget, Attention: Desk Officer 
for the Bureau of Alcohol, Tobacco and Firearms, Office of Information 
and Regulatory Affairs, Washington, DC 20503, with copies to the Chief, 
Document Services Branch, Room 3110, Bureau of Alcohol, Tobacco and 
Firearms, at the address previously specified. Comments are 
specifically requested concerning:
    Whether the proposed collections of information are necessary for 
the proper performance of the functions of the Bureau of Alcohol, 
Tobacco and Firearms, including whether the information will have 
practical utility;
    The accuracy of the estimated burden associated with the proposed 
collections of information (see below);
    How the quality, utility, and clarity of the information to be 
collected may be enhanced; and
    How the burden of complying with the proposed collections of 
information may be minimized, including through the application of 
automated collection techniques or other forms of information 
technology.
    The collections of information in this proposed regulation are in 
27 CFR 178.92 and 27 CFR 179.102. This information is required to 
properly identify each firearm that is manufactured or imported. The 
collections of information are mandatory. The likely respondents are 
businesses.
    Estimated total annual reporting and/or recordkeeping burden: 5,012 
hours.
    Estimated average burden hours per respondent and/or recordkeeper: 
2 hours.
    Estimated number of respondents and/or recordkeepers: 2,506.
    Estimated annual frequency of responses: one-time requirement to 
change size and depth.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a valid 
control number assigned by the Office of Management and Budget.

Public Participation

    We are requesting comments on the proposed regulations from all 
interested persons. In particular, we are soliciting input from the 
industry as to whether a minimum depth of .007 inch, rather than the 
.005 inch proposed in this notice, is feasible using existing machinery 
or if additional costs would be incurred to comply with such a minimum 
depth. We are also specifically requesting comments on the clarity of 
this proposed rule and how it may be made easier to understand.
    Comments received on or before the closing date will be carefully 
considered. Comments received after that date will be given the same 
consideration if it is practical to do so, but assurance of 
consideration cannot be given except as to comments received on or 
before the closing date.
    We will not recognize any material in comments as confidential. 
Comments may be disclosed to the public. Any material which the 
commenter considers to be confidential or inappropriate for disclosure 
to the public should not be included in the comment. The name of the 
person submitting a comment is not exempt from disclosure.
    Any interested person who desires an opportunity to comment orally 
at a public hearing should submit his or her request, in writing, to 
the Director within the 90-day comment period. The

[[Page 33452]]

Director, however, reserves the right to determine, in light of all 
circumstances, whether a public hearing is necessary.

Disclosure

    Copies of this notice and the written comments will be available 
for public inspection during normal business hours at: ATF Public 
Reading Room, Room 6480, 650 Massachusetts Avenue, NW., Washington, DC.

Regulation Identification Number

    A regulation identification number (RIN) is assigned to each 
regulatory action listed in the Unified Agenda of Federal Regulations. 
The Regulatory Information Service Center publishes the Unified Agenda 
in the Federal Register in April and October of each year. The RIN 
contained in the heading of this document can be used to cross-
reference this action with the Unified Agenda.
    Drafting Information: The author of this document is James P. 
Ficaretta, Regulations Division, Bureau of Alcohol, Tobacco and 
Firearms.

List of Subjects

27 CFR Part 178

    Administrative practice and procedure, Arms and ammunition, 
Authority delegations, Customs duties and inspection, Exports, Imports, 
Incorporation by reference, Military personnel, Penalties, Reporting 
requirements, Research, Seizures and forfeitures, and Transportation.

27 CFR Part 179

    Administrative practice and procedure, Arms and munitions, 
Authority delegations, Customs duties and inspection, Exports, Imports, 
Military personnel, Penalties, Reporting requirements, Research, 
Seizures and forfeitures, and Transportation.

Authority and Issuance

    For the reasons discussed in the preamble, ATF amends 27 CFR parts 
178 and 179 as follows:
    PART 178--COMMERCE IN FIREARMS AND AMMUNITION
    Paragraph 1. The authority citation for 27 CFR Part 178 continues 
to read as follows:

    Authority: 5 U.S.C. 552(a); 18 U.S.C. 847, 921-930; 44 U.S.C. 
3504(h).

    Par. 2. Section 178.92 is amended by revising the section heading 
and paragraph (a) to read as follows:


Sec. 178.92  How must licensed manufacturers and licensed importers 
identify firearms, armor piercing ammunition, and large capacity 
ammunition feeding devices?

    (a)(1) Firearms. You, as a licensed manufacturer or licensed 
importer of firearms, must legibly identify each firearm manufactured 
or imported as follows:
    (i) By engraving, casting, stamping (impressing), or otherwise 
conspicuously placing or causing to be engraved, cast, stamped 
(impressed) or placed on the frame or receiver thereof an individual 
serial number. The serial number must be placed in a manner not 
susceptible of being readily obliterated, altered, or removed, and must 
not duplicate any serial number placed by you on any other firearm. For 
firearms manufactured on and after [Insert effective date of final 
rule], the engraving, casting, or stamping (impressing) of the serial 
number must be to a minimum depth of .005 inch and in a print size no 
smaller than \3/32\ inch; and
    (ii) By engraving, casting, stamping (impressing), or otherwise 
conspicuously placing or causing to be engraved, cast, stamped 
(impressed) or placed on the frame, receiver, or barrel thereof certain 
additional information. This information must be placed in a manner not 
susceptible of being readily obliterated, altered, or removed. For 
firearms manufactured on and after [Insert effective date of final 
rule], the engraving, casting, or stamping (impressing) of this 
information must be to a minimum depth of .005 inch. The additional 
information includes:
    (A) The model, if such designation has been made;
    (B) The caliber or gauge;
    (C) Your name (or recognized abbreviation) and also, when 
applicable, the name of the foreign manufacturer;
    (D) In the case of a domestically made firearm, the city and State 
(or recognized abbreviation thereof) where you as the manufacturer 
maintain your place of business; and
    (E) In the case of an imported firearm, the name of the country in 
which it was manufactured and the city and State (or recognized 
abbreviation thereof) where you as the importer maintain your place of 
business.
    (2) Firearm frames or receivers. A firearm frame or receiver that 
is not a component part of a complete weapon at the time it is sold, 
shipped, or otherwise disposed of by you must be identified as required 
by this section.
    (3) Special markings for semiautomatic assault weapons, effective 
July 5, 1995. In the case of any semiautomatic assault weapon 
manufactured after September 13, 1994, you must mark the frame or 
receiver ``RESTRICTED LAW ENFORCEMENT/GOVERNMENT USE ONLY'' or, in the 
case of weapons manufactured for export, ``FOR EXPORT ONLY,'' in a 
manner not susceptible of being readily obliterated, altered, or 
removed. For weapons manufactured on and after [Insert effective date 
of final rule], the engraving, casting, or stamping (impressing) of the 
special markings prescribed in this paragraph (a)(3) must be to a 
minimum depth of .005 inch.
    (4) Exceptions.--(i) Alternate means of identification. The 
Director may authorize other means of identification upon receipt of a 
letter application from you, submitted in duplicate, showing that such 
other identification is reasonable and will not hinder the effective 
administration of this part.
    (ii) Destructive devices. In the case of a destructive device, the 
Director may authorize other means of identifying that weapon upon 
receipt of a letter application from you, submitted in duplicate, 
showing that engraving, casting, or stamping (impressing) such a weapon 
would be dangerous or impracticable.
    (iii) Machine guns, silencers, and parts. Any part defined as a 
machine gun, firearm muffler, or firearm silencer in Sec. 178.11, that 
is not a component part of a complete weapon at the time it is sold, 
shipped, or otherwise disposed of by you, must be identified as 
required by this section. The Director may authorize other means of 
identification of parts defined as machine guns other than frames or 
receivers and parts defined as mufflers or silencers upon receipt of a 
letter application from you, submitted in duplicate, showing that such 
other identification is reasonable and will not hinder the effective 
administration of this part.
* * * * *

PART 179--MACHINE GUNS, DESTRUCTIVE DEVICES, AND CERTAIN OTHER 
FIREARMS

    Par. 3. The authority citation for 27 CFR part 179 continues to 
read as follows:

    Authority: 26 U.S.C. 7805.

    Par. 4. Section 179.102 is revised to read as follows:


Sec. 179.102  How must firearms be identified?

    (a) You, as a manufacturer, importer, or maker of a firearm, must 
legibly identify the firearm as follows:
    (1) By engraving, casting, stamping (impressing), or otherwise

[[Page 33453]]

conspicuously placing or causing to be engraved, cast, stamped 
(impressed) or placed on the frame or receiver thereof an individual 
serial number. The serial number must be placed in a manner not 
susceptible of being readily obliterated, altered, or removed, and must 
not duplicate any serial number placed by you on any other firearm. For 
firearms manufactured on and after [insert effective date of final 
rule], the engraving, casting, or stamping (impressing) of the serial 
number must be to a minimum depth of .005 inch and in a print size no 
smaller than 3/32 inch; and
    (2) By engraving, casting, stamping (impressing), or otherwise 
conspicuously placing or causing to be engraved, cast, stamped 
(impressed), or placed on the frame, receiver, or barrel thereof 
certain additional information. This information must be placed in a 
manner not susceptible of being readily obliterated, altered or 
removed. For firearms manufactured on and after [Insert effective date 
of final rule], the engraving , casting, or stamping (impressing) of 
this information must be to a minimum depth of .005 inch. The 
additional information includes:
    (i) The model, if such designation has been made;
    (ii) The caliber or gauge;
    (iii) Your name (or recognized abbreviation) and also, when 
applicable, the name of the foreign manufacturer or maker;
    (iv) In the case of a domestically made firearm, the city and State 
(or recognized abbreviation thereof) where you as the manufacturer 
maintain your place of business, or where you, as the maker, made the 
firearm; and
    (v) In the case of an imported firearm, the name of the country in 
which it was manufactured and the city and State (or recognized 
abbreviation thereof) where you as the importer maintain your place of 
business.
    (b) The Director may authorize other means of identification upon 
receipt of a letter application from you, submitted in duplicate, 
showing that such other identification is reasonable and will not 
hinder the effective administration of this part.
    (c) In the case of a destructive device, the Director may authorize 
other means of identifying that weapon upon receipt of a letter 
application you, submitted in duplicate, showing that engraving, 
casting, or stamping (impressing) such a weapon would be dangerous or 
impracticable.
    (d) A firearm frame or receiver that is not a component part of a 
complete weapon at the time it is sold, shipped, or otherwise disposed 
of by you must be identified as required by this section.
    (e)(1) Any part defined as a machine gun, muffler, or silencer for 
the purposes of this part that is not a component part of a complete 
firearm at the time it is sold, shipped, or otherwise disposed of by 
you must be identified as required by this section.
    (2) The Director may authorize other means of identification of 
parts defined as machine guns other than frames or receivers and parts 
defined as mufflers or silencers upon receipt of a letter application 
from you, submitted in duplicate, showing that such other 
identification is reasonable and will not hinder the effective 
administration of this part.

    Signed: April 12, 1999.
John W. Magaw,
Director.

    Approved: June 4, 1999.
Dennis M. O'Connell,
Acting Deputy Assistant Secretary, (Regulatory, Tariff and Trade 
Enforcement).
[FR Doc. 99-15943 Filed 6-22-99; 8:45 am]
BILLING CODE 4810-31-P