Atf Form 3311.4 "Application for Alternate Means of Identification of Firearm(S) (Marking Variance)"

ATF Form 3311.4 is a U.S. Department of Justice - Bureau of Alcohol, Tobacco, Firearms and Explosives form also known as the "Application For Alternate Means Of Identification Of Firearm(s) (marking Variance)". The latest edition of the form was released in April 1, 2017 and is available for digital filing.

Download an up-to-date ATF Form 3311.4 in PDF-format down below or look it up on the U.S. Department of Justice - Bureau of Alcohol, Tobacco, Firearms and Explosives Forms website.

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OMB No. 1140-0104 (04/30/2020)
U.S. Department of Justice
Application for Alternate Means of Identification
Bureau of Alcohol, Tobacco, Firearms and Explosives
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
Date Received:
information. This information is set forth in 18 U.S.C. 923(i); 26 U.S.C. 5842; 27 CFR 478.92 and 478.92. However, ATF
may authorize other means of identification ("marking variance") upon receipt of a letter application from a licensed
Marking Variance Number:
manufacturer or importer showing that such other identification is reasonable and will not hinder the effective administration
of the law. This form will satisfy the requirements of a letter application.
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.)
12. Expiration Date (MM/DD/YYYY)
11. Federal Firearms Licensee Number (Complete 15-digit Number)
14. Trade Name, if any
13. Name of Licensee
15. Premises Address (Number, Street, City, State, ZIP Code)
16. Mailing Address (If different from address in Item 15)
18. Title of Responsible Person
17. Name of Responsible Person (Last, First, Middle)
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
firearms(s).
ATF E-Form 3311.4
Revised April 2017
OMB No. 1140-0104 (04/30/2020)
U.S. Department of Justice
Application for Alternate Means of Identification
Bureau of Alcohol, Tobacco, Firearms and Explosives
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
Date Received:
information. This information is set forth in 18 U.S.C. 923(i); 26 U.S.C. 5842; 27 CFR 478.92 and 478.92. However, ATF
may authorize other means of identification ("marking variance") upon receipt of a letter application from a licensed
Marking Variance Number:
manufacturer or importer showing that such other identification is reasonable and will not hinder the effective administration
of the law. This form will satisfy the requirements of a letter application.
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.)
12. Expiration Date (MM/DD/YYYY)
11. Federal Firearms Licensee Number (Complete 15-digit Number)
14. Trade Name, if any
13. Name of Licensee
15. Premises Address (Number, Street, City, State, ZIP Code)
16. Mailing Address (If different from address in Item 15)
18. Title of Responsible Person
17. Name of Responsible Person (Last, First, Middle)
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
firearms(s).
ATF E-Form 3311.4
Revised April 2017
Section IV - Firearm Information
(If additional space is necessary, provide this information on a separate sheet)
22. Name or Recognized
23. Model
24. Caliber(s)
25. City
26. State 27. Type
28. Serial Number Range(s)
Abbreviation
(if designated)
or Gauge(s) (if
known)
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 1, Item 7
33. Name (Printed)
34. Signature
35. Date
Responsible Person as listed in Section II, Item 17
36. Name (Printed)
37. Signature
38. Date
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
Denied
Returned Without Action
(See standard and any additional conditions)
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 E-Form 3311.4
Revised April 2017
Standard Conditions of Approval
If approved, this variance-
(1)
applies only to the licensees and firearms as stated on the application. Any deviations or amendments will necessitate a new variance approval;
(2) must be retained permanently with each licensee's records of manufacture, importation, or other acquisition;
(3) must be available for examination by any ATF officer, as required by 27 CFR 478.22(c);
(4) requires each licensee to reference this document for all ATF trace requests;
(5) 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
General Information
Section IV
An application for a marking variance must be submitted and approved prior to
Item 22-26: All firearms must be marked in accordance with 27 CFR 478.92 and
manufacturing or importing firearms. The requirement of 27 CFR 478.92 and 479.102
479.102. Specifically, licensed manufacturers and importers must legibly identify
are imposed at the time of manufacture or import. ATF cannot retroactively approve a
each firearm manufactured or imported as follows:
marking variance. Licensed manufacturers and importers may contact ATF for further
Name or Recognized Abbreviation;
guidance.
Model (if designated);
Caliber or Gauge (if known - see below instruction); and
Subsequent manufacturing processes performed beyond the initial manufacture or
City and State (or recognized abbreviation) of the manufacturer or
importation and marking of a firearm are subject to the notification requirements
importer identified on the firearm
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
State the name of the manufacturer or importer, or recognized abbreviation, to be
information required by the ruling. See ATF Ruling 2009-5 for additional information.
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
Certain manufacturing processes performed by licensed dealer-gunsmiths fall under the
(FFLC). If the licensee identified on the firearm wishes to use an abbreviated
purview of ATF Ruling 2010-10. See ATF Ruling 2010-10 for additional information.
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 marking variance does not exempt an applicant from the registration, transfer, taxation
A firearm frame or receiver that is not a component part of a complete weapon at the
and other requirements imposed on firearms subject to the National Firearms Act (NFA).
time it is sold, shipped, or otherwise disposed of, must be marked with all of the
Please contact the NFA Branch at (304) 616-4500 for further guidance.
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
Section I and II
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
Items 1-6 and 11-16: The information provided in these sections must be the same as
conspicuously mark the frame, receiver, barrel, or pistol slide (if applicable) with the
printed on the Federal firearms license (FFL) for the manufacturer or importer marking
actual caliber/gauge once the caliber or gauge is known.
the firearm (Section I) and for the manufacturer or importer identified on the firearm
(Section II).
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
Items 7-10 and 17-20: Provide the contact information of the responsible persons
firearms having a pistol grip that expel a shotgun shell, or National Firearms Act
authorized to submit the application on behalf of the businesses.
(NFA) firearms, 26 U.S.C. 5845 (e.g., short-barreled rifle/shotgun, silencer,
machinegun and "any other weapon").
A "Responsible Person" is an individual who has the power to direct the applicant's
Items 28: Identify the unique serial number scheme that will be used on the
management and policies pertaining to firearms. If an individual submitting the
firearm(s). Serial numbers must not duplicate serial numbers appearing on any other
application on behalf of the licensee is not a responsible person on the FFL, the
firearms produced for or by the manufacturer or importer stated in this application, at
applicant must submit a Power of Attorney granting this person authority to submit and/
any location. It is permissible to have an open-ended serial number range as long as
or sign this application. If a licensee wishes to add a responsible person to its license,
the alphanumeric sequencing does not change.
contact the FFLC at (866) 662-2750 for further assistance.
Section V
Section III
This section includes additional documents that may be required to process your
Item 21: Describe the manufacturing/importation process to be completed by each
application. Check and include all that apply.
licensee listed on this application and identify where those firearms, to include frames or
receivers, are shipped and/or transferred.
Item 32: Machineguns made, manufactured, or imported after May 19, 1986 may
Example: Manufacturer A in Dallas, TX, manufactures rifle receivers for Manufacturer
only be transferred "to or by" the government. See 18 U.S.C. 922(o). As with sales
B in Denver, CO. Manufacturer A marks the rifle receiver with Manufacturer B's
samples however, those licensees authorized as agents for the government may
required markings and then returns the firearm back to Manufacturer B for packaging
receive machineguns from or transfer machineguns to another Federal firearms
and sale.
licensee for present or further sale or distribution to the government.
ATF E-Form 3311.4
Revised April 2017
Item 39: Explanation of Categories-
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
Approved with Conditions - Based upon our consideration of the information that you
for a particular type of machinegun. If the manufacturer will be contracting out any part
have submitted, ATF finds that your request is reasonable and will not likely hinder
of the manufacture of the machineguns, the contract must specifically authorize that a
the effective administration of the law and implementing regulations set forth in 27
subcontractor may receive and possess the machineguns for this purpose.
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
Denied - Based upon ATF's consideration of the information that you submitted, ATF
also suffice as evidence that a particular manufacturer is acting as an agent of the
finds that your request is unreasonable and/or will hinder the effective administration
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
of the law and implementing regulations as set forth in 27 CFR 478 and/or 479.
position. The official request must include the following three(3) statements to
Withdrawn by Applicant Without Action - The applicant has voluntarily withdrawn
document government approval:
its application and no further action was taken by ATF.
1.
The firearms to be transferred are machineguns as defined by Federal law (i.e., the
Returned Without Action - The application was returned by ATF to the applicant(s)
Gun Control Act (GCA) and/or NFA).
due to insufficient information or other deficiency with regard to the application.
2.
The machineguns to be transferred are particularly suitable for official use by the
No Variance Required - The applicant(s) were not required to submit this application
requesting Federal, State, or local government agency; and
for the business process described.
3.
The Federal, State, or local government agency requests and authorizes the
manufacturer to transfer the machineguns to and/or from other licensed
Submission
manufacturers for further manufacturing or stockpiling, as the case may be, for that
agency.
The application should be submitted approximately 90 days prior to the intended
A manufacturer wishing to transfer machineguns under government authority must
manufacture. The application may be submitted electronically (preferred method) to
attach the specific government contract or official written request to the transfer
marking_variances@atf.gov or by fax at (304) 616-4301. The application may also
application submitted to the NFA Branch and receive ATF approval before making the
be mailed to:
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
Bureau of Alcohol, Tobacco, Firearms and Explosives
same information prior to approving the request.
244 Needy Road
Suite 1600
Section VI
Martinsburg, WV 25405
Attention: Firearms Technology Industry Services Branch
Items 33-38: A "Responsible Person" for both licensees must sign and date the
Any questions concerning the application should be referred to the Firearms
application prior to submission; however, either licensee may submit upon completion.
Technology Industry Services Branch at the above e-mail address, mailing address, or
See instructions for Section I and II with regard to responsible persons. Electronic
by telephone (304) 616-4300.
signatures are permissible so long as they are true and accurate.
Section VII
Forms
Additional Forms are available on the ATF website at:
www.atf.gov/forms/firearms/
The Director will approve the application or advise the applicant(s) of the reason for the
index.html
denial. In some cases, it may be necessary to request additional information. Electronic
signatures are permissible so long as they are true and accurate.
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).
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
2.
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 personnel 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.
Effects. Failure to supply complete information will delay or prevent processing, and may result in application denial or return of the application without action.
4.
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 E-Form 3311.4
Revised April 2017
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