99-15943. Identification Markings Placed on Firearms (98R-341P)  

  • [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
    
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    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
    
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    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
    
    
    

Document Information

Published:
06/23/1999
Department:
Alcohol, Tobacco, Firearms, and Explosives Bureau
Entry Type:
Proposed Rule
Action:
Notice of proposed rulemaking.
Document Number:
99-15943
Dates:
Written comments must be received on or before September 21, 1999.
Pages:
33450-33453 (4 pages)
Docket Numbers:
Notice No. 877
RINs:
1512-AB84: Identification Markings Placed on Firearms
RIN Links:
https://www.federalregister.gov/regulations/1512-AB84/identification-markings-placed-on-firearms
PDF File:
99-15943.pdf
CFR: (2)
27 CFR 178.92
27 CFR 179.102