Form ATF F 3311.4 ATF F 3311.4 Application for Alternate Means of Identification of Fir

OMB No. xxxx-xxxx(xx/xx/xxxx)
U.S. Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives

Application for Alternate Means of Identification
of Firearm(s) (Marking Variance)

Purpose

For ATF Use Only

Licensed manufacturers and importers are required to mark firearms manufactured or imported with specific identifying
information. This information is set forth in 18 U. S.C. 923(i); 26 U.S.C. 5842; 27 CFR 478.92 and 479.102. However,
ATF may authorize other means of identification (“marking variance”) upon receipt of a letter application from a licensed
manufacturer or importer showing that such other identification is reasonable and will not hinder the effective adminstration of
the law. This form will satisfy the requirements of a letter application.

Date Received:
Marking Variance Number:

Section I - Manufacturer/Importer Marking the Firearm
(This information must be the same as printed on the Federal firearms license for Items 1-6.)
1. Federal Firearms Licensee Number (Complete 15-digit Number)
2. Expiration Date (MM/DD/YYYY)
3. Name of Licensee

4. Trade Name, if any

5. Premises Address (Number, Street, City, State, Zip Code)

6. Mailing Address (If different from address in Item 5)

7. Name of Responsible Person (Last, First, Middle)

8. Title of Responsible Person

9. Business Phone Number

10. E-Mail Address

Section II - Manufacturer/Importer Identified on the Firearm
(This information must be the same as printed on the Federal firearms license for Items 11-16.)
11. Federal Firearms Licensee Number (Complete 15-digit Number)
12. Expiration Date (MM/DD/YYYY)
13. Name of Licensee

14. Trade Name, if any

15. Premises Address (Number, Street, City, State, ZIP Code)

16. Mailing Address (If different from address in Item 15)

17. Name of Responsible Person (Last, First, Middle)

18. Title of Responsible Person

19. Business Phone Number

20. E-Mail Address

Section III - Manufacturing/Importation Process
(If additional space is necessary, provide this information on a separate sheet.)
21. Describe the manufacturing/importation process to be completed by each licensee listed on this application, to include the shipment or transportation
of firearm(s).

ATF Form 3311. 4
Revised ( )

Section IV - Firearm Information
(if additional space is necessary, provide this information on a separate sheet)
22. Name or Recognized
Abbreviation

23. Model
(if designated)

24. Caliber(s) 25. City
or Gauge(s) (if
known)

26. State 27. Type

28. Serial Number Range(s)

Section V - Attachment Checklist
(Check and include all that apply)
29. Copy of previously approved marking variance.
30. Power of Attorney, if applicant is not an employee of the manufacturer(s) or importer(s) identified on this application.
31. Copy of Special (Occupational) Tax Stamp for each manufacturer or importer of NFA weapons.
32. Contract/letter from a government agency indicating a need for machineguns. (See Instructions for additional information.)
Section VI - Applicant Certification
Under penalties provided by law, I declare and certify that I am authorized to submit this application, and my responses and attachments hereto are, to
the best of my knowledge and belief, true, correct, and complete. I also certify that I will comply with all conditions as set forth within this application:
Responsible Person as listed in Section I, Item 7
33. Name (Printed)

34. Signature

35. Date

37. Signature

38. Date

Responsible Person as listed in Section II, Item 17
36. Name (Printed)

Section VII - For ATF Use Only
(Please make no entries in this section)
39. This Application Has Been Examined and is- (See explanation of categories provided in the Instructions)
Approved With Conditions
(See standard and any additional conditions)

Denied

Returned Without Action

Withdrawn by Applicant Without Action

No Variance Required

40. Additional Conditions or Comments:

41. Signature of Authorized ATF Official

42. Printed Name and Title of Authorized ATF Official

43. Date

ATF Form 3311. 4
Revised (
)

Standard Conditions of Approval

If approved, this variance(1)
(2)
(3)
(4)
(5)

applies only to the licensees and firearms as stated on the application. Any deviations or amendments will necessitate a new variance approval;
must be retained permanently with each licensee’s records of manufacture, importation, or other acquisition;
must be available for examination by any ATF officer, as required by 27 CFR 478.22(c);
requires each licensee to reference this document for all ATF trace requests;
requires that the serial number and other identifying markings be conspicuously placed on the frame or receiver as provided by 27
CFR 478.92(a)(1)(i) and 27 CFR 479.102(a)(1), and the serial number must be comprised of only Roman letters and
Arabic numerals, or solely Arabic numerals, and can include a hyphen;
(6) requires that serial numbers not duplicate serial numbers appearing on any other firearm(s) produced for or by the manufacturer or
importer stated in this application, at any location;
(7) requires that the name of the foreign manufacturer and country in which the firearm was manufactured be marked on the imported
firearms;
(8) does not relieve any applicant of any other requirements under Federal, State, or local law;
(9) may be withdrawn at any time should ATF determine that any applicant has failed to abide by the conditions set forth in this
approval, or this approval results in an increase in cost to the Government; and
(10) may be revised or withdrawn if a statutory change occurs or administrative difficulties arise.
Instructions
Section IV

General Information
An application for a marking variance must be submitted and approved prior
to manufacturing or importing firearms. The requirement of 27 CFR 478.92
and 479.102 are imposed at the time of manufacture or import. ATF cannot
retroactively approve a marking variance. Licensed manufacturers and
importers may contact ATF for further guidance.
Subsequent manufacturing processes performed beyond the initial manufacture
or importation and marking of a firearm are subject to the notification
requirements contained in ATF Ruling 2009-5, which, in pertinent part, requires
that each licensed manufacturer desiring not to mark firearms (“non-marking
variance”) submit to ATF the information required by the ruling. See ATF
Ruling 2009-5 for additional information.
Certain manufacturing processes performed by licensed dealer-gunsmiths fall
under the purview of ATF Ruling 2010-10. See ATF Ruling 2010-10 for
additional information.
A marking variance does not exempt an applicant from the registration, transfer,
taxation and other requirements imposed on firearms subject to the National
Firearms Act (NFA). Please contact the NFA Branch at (304) 616-4500 for
further guidance.
Section I and II
Items 1-6 and 11-16: The information provided in these sections must be the
same as printed on the Federal firearms license (FFL) for the manufacturer or
importer marking the firearm (Section I) and for the manufacturer or importer
identified on the firearm (Section II).
Items 7-10 and 17-20: Provide the contact information of the responsible
persons authorized to submit the application on behalf of the businesses.
A “Responsible Person” is an individual who has the power to direct the
applicant’s management and policies pertaining to firearms. If an individual
submitting the application on behalf of the licensee is not a responsible person
on the FFL, the applicant must submit a Power of Attorney granting this person
authority to submit and/or sign this application. If a licensee wishes to add a
responsible person to its license, contact the FFLC at (866) 662-2750 for further
assistance.
Section III
Item 21: Describe the manufacturing/importation process to be completed by
each licensee listed on this application and identify where those firearms, to
include frames or receivers, are shipped and/or transferred.
Example: Manufacturer A in Dallas, TX, manufactures rifle receivers for
Manufacturer B in Denver, CO. Manufacturer A marks the rifle receiver with
Manufacturer B’s required markings and then returns the firearm back to
Manufacturer B for packaging and sale.

Item 22-26: All firearms must be marked in accordance with 27 CFR 478.92
and 479.102. Specifically, licensed manufacturers and importers must legibly
identify each firearm manufactured or imported as follows:

•
•
•
•

Name or Recognized Abbreviation;
Model (if designated);
Caliber or Gauge (if known - see below instruction); and
City and State (or recognized abbreviation) of the manufacturer or
importer identified on the firearm

State the name of the manufacturer or importer, or recognized abbreviation, to
be marked on the specific model of firearm. The name must be exactly how it
appears on the Federal firearms license or listed with the Federal Firearms
Licensing Center (FFLC). If the licensee identified on the firearm wishes to use
an abbreviated business or a trade name, the licensee must notify the FFLC prior
to submitting this application. Contact the FFLC at (866) 662-2750 for further
assistance.
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, must be marked with all
of the required markings provided by 27 CFR 478.92(a)(2) and 479.102(e).
However, the model designation and caliber or gauge may be omitted if that
information is unknown at the time the frame or receiver is marked. If the
caliber or gauge is not identified or designated on the firearm, the manufacturer
or importer must conspicuously mark the frame, receiver, barrel, or pistol slide
(if applicable) with the actual caliber/gauge once the caliber or gauge is known.
Items 27: Types of firearms include: pistol, revolver, rifle, shotgun, receiver, frame,
and other firearms that are not handguns or long guns (rifles or shotguns), such as
firearms having a pistol grip that expel a shotgun shell, or National Firearms Act
(NFA) firearms, 26 U.S.C. 5845 (e.g., short-barreled rifle/shotgun, silencer,
machinegun and “any other weapon”).
Item 28: Identify the unique serial number scheme that will be used on the
firearm(s). Serial numbers must not duplicate serial numbers appearing on any other
firearms produced for or by the manufacturer or importer stated in this application, at
any location. It is permissible to have an open-ended serial number range as long as
the alphanumeric sequencing does not change.
Section V
This section includes additional documents that may be required to process your
application. Check and include all that apply.
Item 32: Machineguns made, manufactured, or imported after May 19, 1986 may
only be transferred “to or by” the government. See 18 U.S.C. 922(o). As with sales
samples however, those licensees authorized as agents for the government may
receive machineguns from or transfer machineguns to another Federal firearms
licensee for present or further sale or distribution to the government.
ATF Form 3311. 4
Revised ( )

Manufacturers may demonstrate that they are acting as an agent of a government agency if the manufacturer has a government contract naming the
manufacturer as the vendor for a particular type of machinegun. If the
manufacturer will be contracting out any part of the manufacture of the
machineguns, the contract must specifically authorize that a subcontractor may
receive and possess the machineguns for this purpose.

Item 39: Explanation of CategoriesApproved with Conditions - Based upon our consideration of the information
that you have submitted, ATF finds that your request is reasonable and will not
likely hinder the effective administration of the law and implementing
regulations set forth in 27 CFR 478 and/or 479, subject to the standard
conditions and any additional conditions set forth in Item 40.

A letter from a government agency expressing a future need for the
machineguns will also suffice as evidence that a particular manufacturer is acting
as an agent of the government for purposes of 18 U.S.C. 922(o). The letter
must be on official government letterhead signed and dated by an authorized
government official with his or her title and position. The official request must
include the following three(3) statements to document government approva1:

Denied - Based upon ATF’s consideration of the information that you
submitted, ATF finds that your request is unreasonable and/or will hinder the
effective administration of the law and implementing regulations as set forth in
27 CFR 478 and/or 479.

1.
2.
3.

The firearms to be transferred are machineguns as defined by Federal law
(i.e., the Gun Control Act (GCA) and/or NFA).
The machineguns to be transferred are particularly suitable for official use
by the requesting Federal, State, or local government agency; and
The Federal, State, or local government agency requests and authorizes the
manufacturer to transfer the machineguns to and/or from other licensed
manufacturers for further manufacturing or stockpiling, as the case may be,
for that agency.

Withdrawn by Applicant Without Action - The applicant has voluntarily
withdrawn its application and no further action was taken by ATF.
Returned Without Action - The application was returned by ATF to the
applicant(s) due to insufficient information or other deficiency with regard to
the application.
No Variance Required - The applicant(s) were not required to submit this
application for the business process described.
Submission

A manufacturer wishing to transfer machineguns under government authority
must attach the specific government contract or official written request to the
transfer application submitted to the NFA Branch and receive ATF approval
before making the transfer. Moreover, to ensure that the transfer of any
machineguns included in your proposed marking variance request is in
compliance with the law, ATF must receive this same information prior to
approving the request.

The application should be submitted approximately 90 days prior to the
intended manufacture. The application may be submitted electronically
(preferred method) to [email protected] or by fax at
(202) 648-9601. The application may also be mailed to:
Bureau of Alcohol, Tobacco, Firearms and Explosives
99 New York Avenue NE
Mail Stop 6.N-672
Washington, DC 20226
Attention: Firearms Industry Programs Branch

Section VI
Items 33-38: A “Responsible Person” for both licensees must sign and date the
application prior to submission; however, either licensee may submit upon
completion. See instructions for Section I and II with regard to responsible
persons. Electronic signatures are permissible so long as they are true and
accurate.

Any questions concerning the application should be referred to the Firearms
Industry Programs Branch at the above e-mail address, mailing address, or by
telephone (202) 648-7190.
Forms

Section VII
The Director will approve the application or advise the applicant(s) of the reason
for the denial. In some cases, it may be necessary to request additional
information. Electronic signatures are permissible so long as they are true and
accurate.

Additional Forms are available on the ATF website at:
www.atf.gov/forms/firearms/index.html.
You may also order the forms from the ATF Distribution Center at
www.atf.gov/content/distribution-center-order-form or by telephone
(202) 648-6420.

Privacy Act Information
The following information is provided pursuant to Section 3 of the Privacy Act of 1974 (5 U.S.C. 552a(e)(3)).
1. Authority. Solicitation of this information is authorized pursuant to the Gun Control Act of 1968, as amended, 18 U.S.C. 923(i) and 926(a), the
National Firearms Act, 26 U.S.C. 5842, and their implementing regulations, 27 CFR 478.92(a)(4)(i) and 479.102(c). Disclosure of this information
is mandatory if the applicant wishes to obtain an alternate means of identification (marking variance).
2. Purpose. To determine the eligibility of a licensed manufacturer or importer to mark firearms with identifying information in a manner other than as
prescribed by Federal regulations, 27 CFR 478.92 and/or 27 CFR 479.102, when applicable.
3. Routine Uses. The information will be used by ATF to make determinations set forth in paragraph 2. In addition, information may be disclosed to other
Federal, State, foreign and local law enforcement and regulatory agency pesonnel to verify information on the application and to aid in the performance of
their duties with respect to the enforcement and regulation of firearms and/or ammunition where such disclosure is not prohibited by law. The information
may further be disclosed to the Justice Department if it appears that the furnishing of false information may constitute a violation of Federal law. Finally, the
information may be disclosed to members of the public in order to verify the information on the application when such disclosure is not prohibited by law.
4. Effects. Failure to supply complete information will delay or prevent processing, and may result in application denial or return of the application without
action.
Paperwork Reduction Act Notice
This application is in accordance with the Paperwork Reduction Act of 1995. The purpose of this information collection is to allow ATF to determine if the
information supplied on the application and attachments qualify a licensed manufacturer or importer to receive a marking variance from the firearm identification provisions of 27 CFR 478.92 and/or 479.102 when applicable.
The estimated average burden associated with this collection of information is 30 minutes per respondent or recordkeeper, depending on individual circumstances. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be addressed to the Report Management
Officer, Information Technology Coordination Staff, Bureau of Alcohol, Tobacco, Firearms and Explosives, 99 New York Avenue NE, Washington, DC. 20226.
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control
number. Confidentiality is not assured.
ATF Form 3311. 4
Revised ( )