[Federal Register Volume 66, Number 150 (Friday, August 3, 2001)]
[Rules and Regulations]
[Pages 40596-40601]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-19418]


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DEPARTMENT OF THE TREASURY

Bureau of Alcohol, Tobacco and Firearms

27 CFR Parts 178 and 179

[T.D. ATF-461; Ref: 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: Final rule, Treasury decision.

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SUMMARY: The Bureau of Alcohol, Tobacco and Firearms (ATF) is amending 
the regulations to prescribe minimum height and depth requirements for 
identification markings placed on firearms by licensed importers and 
licensed manufacturers. Specifically, we are requiring a minimum height 
of 1\1/16\ inch and a minimum depth of .003 inch for serial numbers and 
a minimum depth of .003 inch for all other required markings. We 
believe that these minimum standards are necessary to ensure that 
firearms are properly identified in accordance with the law. In 
addition, the final regulations will facilitate our ability to trace 
firearms used in crime.

DATES: This rule is effective January 30, 2002.

FOR FURTHER INFORMATION CONTACT: James P. Ficaretta, Regulations 
Division,

[[Page 40597]]

Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW., 
Washington, DC 20226 (202-927-8210).

SUPPLEMENTARY INFORMATION:

I. 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 licensed 
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)).

II. Discussion

    The GCA requires Federal firearms licensees (FFLs) 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, Sec. 101, 82 Stat. 1213. To 
accomplish this objective, section 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. 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 
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 number of requests for gun traces increased from 
77,000 in 1995 to approximately 200,000 in 1997.
    Prior to this rulemaking proceeding, there were no minimum 
standards concerning size and depth of impression for markings on 
firearms. The regulations required 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 has 
caused 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. The 
Johns Hopkins Center for Gun Policy and Research provided us with the 
following information:

    We have been informed by the Baltimore Police Department that of 
the almost 3,700 crime-guns recovered by them in 1998, 15% had 
obliterated serial numbers. Nationwide it is estimated that between 
9 and 20 percent of the crime-guns recovered have had their serial 
numbers removed.

III. Notice of Proposed Rulemaking

    To reduce the problem of incorrect record entries by licensees and 
to make identification markings less susceptible to being readily 
obliterated, altered, or removed, on June 23, 1999, we published a 
notice in the Federal Register proposing to amend the regulations to 
prescribe minimum height and depth requirements for identification 
markings placed on firearms (Notice No. 877, 64 FR 33450). 
Specifically, we proposed 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 
also proposed 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 did not 
propose 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.
    As stated in the notice, we believed that the minimum standards 
proposed

[[Page 40598]]

would ensure that firearms are properly identified in accordance with 
the law. In addition, we stated that the proposed regulations, if 
adopted, would facilitate our ability to trace firearms used in crime. 
The comment period for Notice No. 877 closed on September 21, 1999.

IV. Analysis of Comments/Final Rule

    We received 18 comments in response to Notice No. 877. Comments 
were submitted by a Federal agency (Department of the Treasury--U.S. 
Customs Service), Federal firearms licensees, the Canadian Firearms 
Registry, Johns Hopkins University (School of Hygiene and Pubic 
Health--Center for Gun Policy and Research), and two organizations (the 
International Association of Chiefs of Police and the Sporting Arms and 
Ammunition Manufacturers' Institute).

A. Minimum Depth for Serial Numbers and All Other Required Markings

    Fourteen comments addressed our proposal to require a minimum depth 
of .005 inch for all required identification markings placed on 
firearms, including serial numbers. Three commenters, all Federal 
firearms licensees, supported the proposed regulation. One of the 
commenters stated that it currently impresses the required information 
to a depth of .005 inch. Another commenter, a manufacturer and importer 
of rifles and pistols for the civilian and law enforcement markets, 
stated that it currently engraves serial numbers and other information 
on pistols to a depth of at least .005 inch.
    Eleven comments expressed opposition to our proposal. Most 
commenters maintained that they can mark firearms to a depth of 
approximately .003 inch using their present equipment. However, in 
order to comply with the minimum .005 inch depth proposed by ATF, they 
would need to purchase new equipment at great expense. In its comment, 
the Sporting Arms and Ammunition Manufacturers' Institute (SAAMI), an 
organization that represents the majority of the major firearms 
manufacturers, explained that its member companies place required 
identification markings on firearms by rolling, electro/chemical etch, 
multiple pin impingement or laser etch. SAAMI elaborated on the 
industry's concerns regarding compliance with the proposed regulation 
as follows:

    Most [member companies] roll the serial numbers and other 
information on to the gun. This method requires high forces to get 
the impressions deep enough. It requires \3/4\ ton per \3/32\-inch 
(.094) character to go 0.005 inches deep in mild steel and 1 ton in 
medium steel. Some companies do not now, and cannot go 0.005 inches 
deep with their current equipment. Should pressure be increased to 
obtain 0.005, unsafe deformation of the barrel and receiver can 
occur. Some companies use only laser etching to burn the required 
information into the firearm. This method does not lend itself to 
deep markings, * * * Laser capabilities vary in their ability to 
etch to 0.005 inch. Most company's laser engraving equipment cannot 
meet the proposed BATF depth requirement.

    Some commenters provided ATF with cost estimates that would be 
incurred to comply with the proposed regulation. For example, Thompson/
Center Arms Company, Inc. (TC), a licensed manufacturer of sporting 
firearms, states that it currently presses serial numbers and other 
required information on firearms to a depth of .003 inch using a 4000 
pound press. The commenter contends that adoption of the proposed rule 
would require it to incur the following costs:

    Compliance with the proposed rule would cost T/C $100,000 in 
start up costs. T/C would have to purchase a 10 ton press costing 
$10,000 and a serial stamp costing $8000. Engineering costs to 
change the process for new tooling would be $35,000. Costs to change 
the finishing process would be $20,000. Additional costs would be 
necessary for new inspection tools to verify the depth and for other 
tooling. Further, compliance with the proposed rule would cost T/C 
an additional $50,000 annually. More finishing will be required if 
the numbers must be pressed as deep as proposed. Deeper pressing 
raises more excess metal around the numbers, requiring more 
finishing and increasing the rate of rejected receivers. At an 
estimated 20,000 receivers produced each year, the annual cost in 
reworking firearms will total $30,000. Additional inspection costs 
would be incurred. The serial stamp (which costs $8000) will receive 
more friction and wear and will require replacement more frequently.

    Another comment, submitted on behalf of Browning and U.S. Repeating 
Arms Company, stated that, in general, neither company currently meets 
the minimum height or depth requirements proposed in the notice. As 
stated in the comment--

    [T]o impose these minimum standards would unduly burden both 
companies economically. Conservative estimates set costs well in 
excess of $100,000 for replacement tooling and obsolescence of spare 
components. Further, it is most probably the case that we would be 
unable to meet the requirements with our laser etching facilities 
and would incur substantial additional costs associated with 
reconfiguring that operation.

    Based on the comments received in response to Notice No. 877, we 
have reconsidered our proposal to require a minimum depth of .005 inch 
for all required markings placed on firearms, including serial numbers. 
The comments clearly demonstrate that adoption of such a proposal would 
place an undue financial hardship on the industry. We agree with 
SAAMI's comment that a minimum depth requirement for identification 
markings should be prescribed ``to a standard that will meet marking 
objectives but will not create either safety problems or cause 
significant process and equipment changes for the manufacturer.'' As 
mentioned, most commenters maintain that they can mark firearms to a 
depth of approximately .003 inch using their present equipment. SAAMI 
also acknowledged that most of its member manufacturers could meet a 
.003 inch depth requirement. Accordingly, this final rule prescribes a 
minimum depth of .003 inch for all required identification markings 
placed on firearms, including serial numbers. The depth of all 
markings, including serial numbers, will be measured from the flat 
surface of the metal, not the peaks or ridges. We believe that this 
standard is the minimum necessary to ensure that firearms are properly 
identified in accordance with the law while at the same time imposing a 
reasonable burden on the industry.

B. Minimum Height for Serial Numbers

    Eleven comments addressed our proposed minimum height requirement 
of \3/32\ inch for serial numbers placed on firearms. Three commenters, 
all licensed manufacturers, supported the proposal noting that they 
currently mark serial numbers to that depth.
    One commenter, the Canadian Firearms Registry (a national police 
service of the Royal Canadian Mounted Police), agreed with ATF's 
decision to establish a minimum height requirement for serial numbers. 
However, the commenter expressed a concern about the size proposed by 
ATF stating that while \3/32\ inch is legible, ``such small lettering 
may increase the number of clerical errors in serial numbers use for 
commercial transactions, in addition to law enforcement issues.''
    Seven commenters objected to the proposed minimum \3/32\ inch 
height requirement. Most commenters stated that they could not comply 
with the proposed type size using their current equipment and that 
compliance with ATF's proposed rule would require them to purchase new 
equipment at considerable expense. Some commenters provided us with 
cost estimates that would be incurred to comply with the proposed 
regulation.

[[Page 40599]]

Several commenters requested that ATF change the minimum height for 
serial numbers to \1/16\ inch. One commenter, a small business FFL, 
stated the following:

    Small businesses often rely on common `off the shelf' tools and 
supplies. The proposed \3/32\ of an inch is not a common size for 
number and letter stamps for metal working where as \1/16\ of an 
inch is. To change sizes would require replacing existing tooling 
and acquiring new tooling which cost at a minimum 20 times the 
amount of the standard sizes. This cost is based on current machine 
tool catalogs. This is a significant cost to small businesses * * *

    Another commenter, Colt's Manufacturing Company, Inc., explained 
that ``[t]he dot matrix and roll mark processes currently in use at 
Colt's could reliably meet such [\1/16\ inch] marking requirements.'' 
In its comment, SAAMI stated that most of its member manufacturers 
could meet a \1/16\ height requirement for serial numbers.
    Accordingly, based on the comments received in response to the 
notice, this final rule establishes a minimum height of \1/16\ inch for 
serial number markings placed on firearms. We believe that this minimum 
size type will reduce the problem of incorrect record entries of serial 
numbers by licensees and will facilitate our ability to trace firearms 
used in crime. The height of serial numbers will be measured the same 
way that stamps are measured, i.e., the distance between the 
latitudinal ends of the working (contact) surface of the stamp face/
font. Consequently, serial number height will be measured as the 
distance between the latitudinal ends of the character impression 
bottoms (bases).

C. Miscellaneous

    The Johns Hopkins Center for Gun Policy and Research (the Center) 
expressed support for ATF's efforts to establish minimum depth 
requirements for serial numbers placed on firearms. However, it is 
their opinion that compression stamping should be the only method 
acceptable for the application of serial numbers. While the regulations 
provide that engraving (etching), casting, and stamping (impressing) 
are acceptable methods of marking firearms, the commenter believes that 
the casting and etching methods fail to meet the criterion set forth in 
the regulations, i.e., that the identifying information placed on 
firearms be ``in a manner not susceptible of being readily obliterated, 
altered, or removed.'' Similar concerns were raised by another 
commenter, the International Association of Chiefs of Police (IACP). 
The IACP contends that laser-etched serial numbers can be obliterated 
much easier than stamped ones and, as such, hinder law enforcement 
efforts to trace the origin of firearms used in crime. The GCA provides 
that the serial number must be engraved, cast, or stamped on the 
receiver or frame of a firearm. Laser etching is considered to be an 
engraving operation. As defined in The American Heritage Dictionary of 
the English Language (Houghton Mifflin Company, Boston, 1976), the word 
``engrave'' means ``[t]o carve, cut, or etch (a design or letters) into 
a material.'' As such, to prohibit the use of casting and etching 
methods for marking firearms, legislative action would be necessary.
    With respect to the Center's contention that casting or etching 
methods ``fail to meet the criterion of `not susceptible to being 
readily obliterated,' '' we would emphasize that all markings can be 
removed by someone who wishes to make a deliberate effort to remove the 
markings. Realistically, we need to be concerned about markings that 
could be worn away during normal use or markings that could not survive 
normal refinishing processes, e.g., blueing, plating, etc. In addition, 
susceptibility of being readily obliterated, altered, or removed 
depends on a number of factors, including the method of marking, the 
size and depth of marking, and the material. For example, we have seen 
stamped markings that were so lightly placed on the metal that they 
could be scratched away with a pen knife. Although the markings were 
stamped, they could still be readily obliterated and were not in 
compliance with the regulations. On the other hand, some manufacturers 
use cast markings that can be deeply placed in the metal and would 
require considerable effort to remove. Also, markings placed in soft 
materials such as aluminum or zinc alloys, and especially plastics, are 
comparatively easy to remove compared to markings in steel. As such, 
ATF has required manufacturers and importers who use polymer plastic 
frames to mark serial numbers in a steel plate embedded within the 
plastic.
    The U.S. Customs Service, a federal agency within the Department of 
the Treasury, also submitted a comment on ATF's proposed regulations. 
This agency enforces general country of origin marking requirements for 
foreign articles imported into the United States, pursuant to 19 U.S.C. 
1304. Customs is concerned about the type size of the country of origin 
marking for imported firearms. While ATF's proposed regulations do not 
prescribe minimum print size requirements for the additional 
information placed on firearms, including the country of origin marking 
for imported firearms, Customs notes that regulations addressing 
country of origin marking are set forth in 19 CFR part 134. Those 
regulations require the marking to be ``conspicuous,'' which is defined 
as ``capable of being easily seen with normal handling of the 
article.'' Customs also advised ATF of additional regulations in 19 CFR 
134.46 concerning country of origin marking. Accordingly, these final 
regulations make a cross reference to Customs' country of origin 
marking requirements in 19 CFR part 134.

How This Document Complies With the Federal Administrative 
Requirements for Rulemaking

A. Executive Order 12866

    We have determined that this final rule 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 final rule 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 final regulation 
have been reviewed and approved by the Office of Management and Budget 
in accordance with the requirements of the Paperwork Reduction Act (44 
U.S.C. 3507(d)) under control numbers 1512-0550. 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.
    The collections of information in this final rule are in 27 CFR 
178.92 and

[[Page 40600]]

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.
    Estimated average annual burden hours per respondent: 1512-
0129--.171 hours; 1512-0130--.12 hours; and 1512-0387--3 hours.
    Comments concerning the accuracy of these burden estimates and 
suggestions for reducing the burden should be directed to the Chief, 
Document Services Branch, Room 3110, Bureau of Alcohol, Tobacco and 
Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226, and to 
the Office of Management and Budget, Attention: Desk Officer for the 
Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms, 
Office of Information and Regulatory Affairs, Washington, DC 20503.

Disclosure

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

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, 
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), and by adding a parenthetical text at the end of the 
section 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 or imported on and after January 30, 2002, the 
engraving, casting, or stamping (impressing) of the serial number must 
be to a minimum depth of .003 inch and in a print size no smaller than 
\1/16\ 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 or imported on and after January 30, 2002, the 
engraving, casting, or stamping (impressing) of this information must 
be to a minimum depth of .003 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. For additional requirements relating to imported firearms, 
see Customs regulations at 19 CFR part 134.
    (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 or imported on and after January 30, 
2002, the engraving, casting, or stamping (impressing) of the special 
markings prescribed in this paragraph (a)(3) must be to a minimum depth 
of .003 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.

[[Page 40601]]

    (5) Measurement of height and depth of markings. The depth of all 
markings required by this section will be measured from the flat 
surface of the metal and not the peaks or ridges. The height of serial 
numbers required by paragraph (a)(1)(i) of this section will be 
measured as the distance between the latitudinal ends of the character 
impression bottoms (bases).
* * * * *

(Approved by the Office of Management and Budget under control number 
1512-0550)

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 
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, imported, or made on and after January 30, 2002, 
the engraving, casting, or stamping (impressing) of the serial number 
must be to a minimum depth of .003 inch and in a print size no smaller 
than 1/16 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, imported, or made on and after 
January 30, 2002, the engraving, casting, or stamping (impressing) of 
this information must be to a minimum depth of .003 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. For additional requirements relating to imported firearms, 
see Customs regulations at 19 CFR part 134.
    (b) The depth of all markings required by this section will be 
measured from the flat surface of the metal and not the peaks or 
ridges. The height of serial numbers required by paragraph (a)(1) of 
this section will be measured as the distance between the latitudinal 
ends of the character impression bottoms (bases).
    (c) 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.
    (d) 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.
    (e) 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.
    (f)(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.


(Approved by the Office of Management and Budget under control number 
1512-0550)

    Signed: December 15, 2000.
Bradley A. Buckles,
Director.

    Approved: January 8, 2001.
Timothy E. Skud,
Deputy Assistant Secretary (Acting), (Regulatory, Tariff and Trade 
Enforcement).

    Editorial note: This document was received at the Office of the 
Federal Register July 31, 2001.

[FR Doc. 01-19418 Filed 8-2-01; 8:45 am]
BILLING CODE 4810-31-P