Justification for OMB 1140-0104 (ATF Form 3311.4) 3.30.2020

Department of Justice
Bureau of Alcohol, Tobacco, Firearms and Explosives
Information Collection Request
Supporting Statement
OMB 1140-0104
Application for Alternate Means of Identification of Firearm(s) (Marking Variance) - ATF
Form 3311.4
A. Justification
1. Necessity of Information Collection
The requested information fulfills the requirements of 18 U.S.C. § 923(i), 26 U.S.C. §
5842, and 27 CFR §§ 478.92 and 479.102. Licensed manufacturers and importers must
mark firearms manufactured or imported with specific identifying information (approved
under OMB #1140-0050). 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 administration of the law.
2. Needs and Uses
Identification marks placed on firearms provide law enforcement personnel the
opportunity to better trace firearms used in crimes, and allow Federal Firearms Licensees
the ability to track their firearm inventories and maintain accurate required records.
Federal regulations at 27 CFR §§ 478.92(a) and 479.102(a), prescribe the requirements
for serialization and other identification marks that must appear on firearms. These
regulations also provide that the Director may authorize other means of identification,
upon receipt of a letter application showing that such other identification is reasonable,
and will not hinder the effective administration of the firearms regulations.
The Application for Alternate Means of Identification of Firearm(s) (Marking Variance) ATF Form 3311.4 will satisfy the requirement of a “letter application,” which will allow
Industry members with a valid Federal importer or manufacturer license, to seek approval
to use an alternate means for identifying firearms. Marking Variances are required for
licensed manufacturers of firearms, who intend to manufacture and mark firearms on
behalf of another licensed manufacturer. In such instances, the contracted manufacturer
places the required identifying markings on the frames or receivers, for the manufacturer
of record.
3. Use of Information Technology
ATF encourages applicants to submit ATF Form 3311.4 electronically by emailing signed
and scanned documents to Marking_Variances@atf.gov. Respondents will receive an
automated email confirmation that documents have been received by ATF. This form will
be available for download on www.ATF.gov and is e-fillable. Collecting this information
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electronically, will reduce postage and printing costs, as well as the amount of time ATF
needs to review and process marking variance requests, resulting in more productivity.
4. Efforts to Identify Duplication
ATF uses a uniform subject classification code on all forms to identify duplication, and to
ensure that any similar information already available cannot be used or modified for use
for the purpose of this information collection.
5. Minimizing Burden on Small Business
This information collection has a minimal impact on small and large businesses.
6. Consequences of Not Conducting or Less Frequent Collection
ATF's efforts to trace firearms would be hindered without this information collection,
Without an established procedure, licensees would be unable to properly submit
applications for alternate means of marking variance, or record identifying information
such as serial numbers in a uniform manner in their required records. In addition, serial
numbers that are stamped very lightly on the frame or receiver of the firearms are more
susceptible to being easily obliterated, altered, or removed. Additionally, there will be
longer processing time for marking variances that are submitted without all required
information as requested on the form.
7. Special Circumstances
This data will be collected in a manner consistent with the guidelines in 5 CFR § 1320.6.
8. Public Comments and Consultations
No comments were received during the 60-day Federal Register Notice period. However, a
30-day notice will be published in the Federal Register to solicit public comments.
9. Provision of Payments or Gifts to Respondents
No payments or gifts will be provided to respondents.
10. Assurance of Confidentiality
Confidentiality is not assured. Personally identifiable information (PII) reported on
the ATF Form 3311.4 is prohibited from disclosure by Federal law. The information
may only be disclosed in accordance with the Privacy Act and the Freedom of
Information Act, granting Federal, State and local law enforcement officials with a
bona fide law enforcement need access to the information (e.g., in relation to an
ongoing criminal investigation).
11. Justification for Sensitive Questions
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Questions of a sensitive nature are required to facilitate the identification of the Industry
member requesting the marking variance (i.e., FFL Number, address, and phone number).
12. Estimate of Respondent’s Burden
There are approximately 12,278 small firearms manufacturers and importers. Of these,
about 2,064 respondents (i.e.1032 requests multiplied by 2 respondents per request) will
utilize ATF Form 3311.4. Each respondent responds twice per request, so the total
responses for this IC is 2,064. It will take approximately 30 minutes to complete the
form. The number of burden hours for this portion of the collection is 1,032 hours (2,064
respondents x 1 hour divided by 2 (represents ½ hour).
13. Estimate of Cost Burden
The cost burden per response for submitting ATF Form 3311.4 by mail is $0.47 (rate for
postage). The cost burden for this portion of the collection is $485 (1,032 x $0.47).
However, if respondents choose to submit ATF Form 3311.4 by email or fax the cost will
be reduced.
14. Cost to the Federal Government
There is no cost burden to the Federal Government.
15. Reason for Change in Burden
There is no adjustment in the public burden associated with this information collection.
16. Anticipated Publication Plan and Schedule
ATF does not plan to publish information collected.
17. Display of Expiration Date
ATF does not request authorization to omit printing the expiration date on the ATF
form 3311.4.
18. Exception to the Certification Statement
There are no exceptions to the certification statement.

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