U.S. Department of Justice

Bureau of Alcohol, Tobacco, Firearms and Explosives

National Tracing Center

ATF Publication 3312.13 November 2011 i

Introduction

This booklet will help you understand the firearms trace process. It 

contains instructions on requesting a trace; understanding trace results; 

capabilities of comprehensive firearms tracing; and, how to establish a 

tracing program.

Background

Firearms-related violence threatens public safety throughout the world. To 

address criminal misuse of firearms, it is imperative that agencies identify 

the means by which firearms move from lawful commerce into the hands 

of criminals.

In 1968, the Gun Control Act recognized the importance of firearms 

tracing in criminal investigations and established mandatory record 

keeping requirements for persons and entities engaged in the business 

of dealing in firearms. The Act led to the establishment of the Bureau 

of Alcohol, Tobacco, Firearms and Explosives’ (ATF) National Tracing 

Center.

Law enforcement agencies now had a resource to trace the origins of 

firearms imported into, or manufactured in, the United States (U.S.-

sourced) in support of their criminal investigations. ATF uses firearms 

trace information to identify the sources of firearms to criminals and 

firearms trafficking schemes.

Firearms tracing is an integral tool in law enforcement’s efforts to reduce 

firearms-related violence.

The tracing of U.S.-sourced firearms is a service ATF provides to law 

enforcement agencies at no cost. Firearms tracing is the single most 

important strategy in determining the sources of crime guns, linking 

suspects to firearms in criminal investigations, and developing strategies 

to address firearms-related violence. ATF supports law enforcement’s 

efforts by providing this Firearms Tracing Guide to assist agencies in 

understanding, establishing, and exploiting the investigative information 

firearms tracing can provide.

ATF Publication 3312.13 November 2011 iii

TABLE OF CONTENTS

Chapter 1: UNDERSTANDING FIREARMS TRACING

Why are firearms traced?.........................................................................

What information is on an individual firearms trace summary?..............

What specific benefits are provided by tracing firearms?........................

Can a firearm trace always identify the first retail purchaser?................

Can a firearms trace tell me if a firearm is stolen?..................................

Chapter 2: TERMS USED IN FIREARMS TRACING 

What is a “firearm”?................................................................................

What is an “antique firearm”?..................................................................

What is a “crime gun”?............................................................................

What is a firearms trace?..........................................................................

What is the firearms trace process?..........................................................

What is a report of “Multiple Sale”?.......................................................

What does “Time to Crime” mean?.........................................................

What does “Comprehensive Tracing” mean?..........................................

Chapter 3: REQUESTING A FIREARMS TRACE

Who may trace a firearm?........................................................................

How can a firearms trace be requested?...................................................

How are firearms trace results received?.................................................

What information is required to trace a firearm?.....................................

How are firearms marked?.......................................................................

Why are all markings on firearms important?.........................................

Chapter 4: ELECTRONIC TRACING WITH eTrace 

What is eTrace?.......................................................................................

How do I request an eTrace account?......................................................

What are some of the reports eTrace creates for me?.............................

Chapter 5: ESTABLISHING A TRACING PROGRAM

Who can assist in establishing a tracing program?.................................

What resources are available to support a tracing program?..................

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ATF Publication 3312.13 November 2011 1

Chapter 1: UNDERSTANDING FIREARMS

TRACING

Why are firearms traced?

Firearms are traced to link a suspect to a firearm in a criminal

investigation; to identify potential traffickers, whether licensed or 

unlicensed sellers; and, when sufficiently comprehensive tracing is 

undertaken by a given community, to detect in-state, interstate, and 

international patterns in the sources and kinds of crime guns. Tracing 

can assist in developing potential witnesses, determining the sources of 

firearms used in crimes, proving ownership, and producing invaluable 

investigative leads.

A firearms trace is the first step in determining how a firearm has moved 

from lawful commerce into a crime scene, criminal act or other event 

that brought the firearm into law enforcement custody. Tracing serves to 

define the illegal gun problem in a given community.

What information is on an individual firearms trace summary?

A firearms trace result summarizes the trail, through lawful commerce, 

taken by an individual firearm until its purchase by a non-licensed 

individual or entity in a retail sale. A successfully completed trace 

includes the identifiers of the requesting agency; the firearm description; 

the identifiers of the purchaser, possessor and associates (if applicable); 

the recovery address; a computation of the time between retail sale and 

law enforcement recovery; an explanation of the trace finding; and, the 

Federal Firearms Licensees (FFLs) in the distribution path.
2 Firearms Tracing Guide ATF National Tracing Center

What specific benefits are provided by tracing firearms?

The benefits of firearms tracing come from individual trace results, linking 

trace results, and from the sum total of trace results.

A. INDIVIDUAL TRACE RESULTS 

A single firearms trace can help determine or provide:

• Origin - To determine how the firearm moved from lawful commerce 

into a crime scene.

• Ownership - To answer the question, “Who was the original 

purchaser?”

• Criminal Involvement - Purchase and trace information are invaluable 

in interviewing and effective prosecution.

• Potential Witnesses - The purchaser may not have any criminal 

involvement, but can prove to be a valuable witness and can lead to the 

development of new witnesses. 

B. LINKING TRACE RESULTS 

A single firearm trace may be linked to other traces conducted by 

the requesting agency, and to firearms traces requested by any law 

enforcement agency that traces firearms. A link exists when other firearms 

traces are found to have common purchaser, possessor, retail firearms 

dealer and/or recovery location. 

A search to determine if links exist can be done by using the referral list 

feature found in eTrace (see Chapter 5). Links that are identified using 

the referral list provide the potential to identify parallel and pre-existing 

investigations in common with other law enforcement agencies and 

open the possibility of a greatly expanded list of potential witnesses and 

evidence.

For common links, the requesting agency will be provided the other 

agencies’ names, contact numbers, and trace ID numbers. They will not 

be able to view the other agency’s traces but can contact them to request 

copies or to determine if a joint investigation might be warranted.
ATF Publication 3312.13 November 2011 3

C. CUMULATIVE TRACE RESULTS 

The sum total of a law enforcement agency’s firearms traces can identify 

and define the crime gun problem, even if only a few firearms have 

been recovered. Comprehensive firearms tracing (see Chapter 5) yields 

invaluable information including: types of firearms being recovered; 

sources (purchasers, retail sales locations, out of State sources, etc.); 

individuals (possessors and associates); recovery locations; patterns in 

firearms related crimes; and, trends.

Can a firearm trace always identify the first retail purchaser?

No. Many factors can make the trace of a firearm impossible. The most 

common among these is the incomplete or inaccurate description of the 

firearm (see Chapter 3 for more information). Other prohibiting factors 

include obliterated markings; damage or loss of firearms transaction 

records; a manufacturing date prior to 1968; and, trace requests for 

firearms that were not manufactured in, or lawfully imported into, the 

United States. 

Can a firearms trace tell me if a firearm is stolen?

To determine if a law enforcement agency has reported a firearm to be 

stolen, a search of the Gun File in the National Crime Information Center 

(NCIC) system should be conducted by the agency that recovers the 

firearm. 

 Only in limited circumstances will a firearm trace result indicate that 

the firearm was reported lost or stolen. This only occurs when the traced 

firearm was either previously reported lost or stolen to ATF by a Federal 

firearms licensee or from a party involved with an interstate shipment of 

firearms. 

Federally licensed firearms importers, manufacturers and dealers must 

report the theft of firearms from their inventory, directly to ATF. ATF also 

accepts voluntary reporting of the theft or loss of firearms from interstate 

shipments. For more information on these programs visit www.atf.gov to 

view ATF Publication 3317.2, “Safety and Security for Federal Firearms 

Licensees.”
4 Firearms Tracing Guide ATF National Tracing Center

Chapter 2: TERMS USED IN

FIREARMS TRACING

What is a “firearm”?

Title 18, USC, Chapter 44, Section 921(a)(3) defines a “firearm” as (A) 

any weapon (including a starter gun) which will or is designed to or may 

readily be converted to expel a projectile by the action of an explosive; 

(B) the frame or receiver* of any such weapon; (C) any firearm muffler or 

firearm silencer; or (D) any destructive device. Such term does not include 

an antique firearm.

The term “firearm” under Federal law, as used in the context of tracing, 

does not include objects such as toys, inoperable replicas, and “antique 

firearms”. When the term “gun” appears in regard to tracing, as in the 

term “crime gun,” that term includes only firearms as defined under 

Federal law.

What is an “antique firearm”?

Title 18, USC, Chapter 44, Section 921(a)(3) defines “ antique firearm” 

as “(A) any firearm (including any firearm with a matchlock, flintlock, 

percussion cap, or similar type of ignition system) manufactured in or 

before 1898; or (B) any replica of any firearm described in subparagraph 

(A) if such replica—(i) is not designed or redesigned for using rimfire 

or conventional centerfire fixed ammunition, or (ii) uses rimfire or 

conventional centerfire fixed ammunition which is no longer manufactured 

in the United States and which is not readily available in the ordinary 

channels of commercial trade; or (C) any muzzle loading rifle, muzzle 

loading shotgun, or muzzle loading pistol, which is designed to use 

Although the terms are interchangable, “frame” is typically used to 

describe a handgun and “receiver” to describe a long gun.

Receiver

Frame

*
ATF Publication 3312.13 November 2011 5

black powder, or a black powder substitute, and which cannot use fixed 

ammunition. For purposes of this subparagraph, the term “antique firearm” 

shall not include any weapon which incorporates a firearm frame or 

receiver, any firearm which is converted into a muzzle loading weapon, or 

any muzzle loading weapon which can be readily converted to fire fixed 

ammunition by replacing the barrel, bolt, breechblock, or any combination 

thereof.”

What is a “crime gun”?

“Crime gun” includes any firearm used in a crime or suspected to have 

been used in a crime. This may include firearms abandoned or otherwise 

taken into law enforcement custody that are either suspected to have been 

used in a crime or whose proper disposition can be facilitated through a 

firearms trace.

What is a firearms trace?

A firearms trace is the systematic tracking of the movement of a firearm 

recovered by law enforcement officials, beginning with its importation 

into, or its manufacture in, the United States through the distribution chain 

of Federal firearms licensees to the point of its first retail sale.

What is the firearms trace process?

The firearms tracing process is focused research, using records required to 

be kept by federally licensed firearms dealers, to determine the origin of 

a firearm recovered by law enforcement. The process ends when the first 

retail purchaser of the firearm is identified. 

ATF does NOT maintain a national data base of ownership for 

conventional firearms (i.e. pistols, revolvers, rifles and shotguns). Absent 

a national registration, Congress enacted laws in 1968 designed to assist 

law enforcement in determining the origins of firearms recovered in crime. 

In particular, businesses licensed to deal in firearms were required to 

maintain records of their firearm transactions at their place of business and 

to provide information from their records to ATF pursuant to a firearms 

trace request. 
6 Firearms Tracing Guide ATF National Tracing Center

Firearms manufacturers, importers, wholesalers, and retail dealers in the 

United States and foreign countries cooperate in tracing by providing 

specific information on manufacture, importation, or sale of firearms. ATF 

is the Federal agency designated with the responsibility of tracing firearms 

for law enforcement agencies.

What is a report of “Muliple Sale”?

“Multiple Sale” describes the sale or other disposition to an unlicensed 

person, at one time or during any five consecutive business days, of 

either: two or more pistols or revolvers, or any combination of pistols 

and revolvers, totaling two or more; or, two or more semiautomatic rifles 

capable of accepting detachable magazines and with calibers greater than 

.22 (including .223/5.56).

Federal firearms licensees (FFLs) are required to report these transactions 

using either ATF Form 3310.4, Report of Multiple Sale or Other 

Disposition of Pistols and Revolvers, or ATF F 3310.12, Report of 

Multiple Sale or Other Disposition of Certain Rifles. These forms can 

be found at http://www.atf.gov/forms, or by calling the ATF Distribution 

Center at 202-648-6420.

What does “Time to Crime” mean?

“Time to Crime” refers to the period of time (measured in days) between 

the first retail sale of a firearm and a law enforcement recovery of that 

firearm during a use, or suspected use, in a crime.

What does “Comprehensive Tracing” mean?

When a law enforcement agency traces all of the firearms that they 

have recovered during a specific period of time, they are performing 

comprehensive tracing. Comprehensive tracing is the single most 

effective tool for identifying crime gun problems. The purpose of 

comprehensive tracing is to build a robust database of recovered gun 

information. Tracing also allows law enforcement agencies to share 

common recovered firearms information with other law enforcement

agencies. Agencies do not need to create a separate database for firearms 

traces because their trace information can be studied and downloaded 

electronically at no cost using eTrace.
ATF Publication 3312.13 November 2011 7

Chapter 3: REQUESTING A

FIREARMS TRACE

Who may trace a firearm?

Any Federal, State, county, local, tribal, or foreign law enforcement 

agency that recovers a U.S.-sourced firearm (i.e., manufactured or 

imported into the United States) in the course of a criminal investigation 

or prosecution, may submit a trace request to ATF.

How can a firearms trace be requested?

A firearms trace can be requested in three ways:

1. Submitting a request electronically through ATF’s paperless firearms 

trace submission system, eTrace, at www.atfonline.gov.

2. Manually completing a National Tracing Center Trace Request 

form, ATF F 3312.1, and either mailing the completed form to: ATF 

National Tracing Center, 244 Needy Road, Martinsburg, WV 25405; 

or faxing it to: 1-800-578-7223. This form can be found at http://

www.atf.gov/forms/download/atf-f-3312-1.pdf or requested from the 

ATF Distribution Center (202-648-6420).

3. Requesting an “urgent” trace via telephone by dialing 1-800-788-

7133. Telephone traces will only be accepted in circumstances 

involving a sensitive or violent crime wherein the need for trace 

results is immediate.

How are firearms trace results received?

Requestors who have an eTrace account will receive their trace request 

results electronically through eTrace. Requestors who do not have an 

eTrace account will receive their trace results by mail at the address 

assigned to their Originating Agency Identifier (ORI) assigned by the 

Federal Bureau of Investigation. Urgent trace results can be communicated 

by telephone when requested.
8 Firearms Tracing Guide ATF National Tracing Center

What information is required to trace a firearm?

To fully complete a firearms trace request, the recovering agency will be 

requested to provide:

• Complete and accurate description of the firearm;

• Requestor name, agency name, address and ORI;

• Possessor and Associates Names and Identifiers (if applicable);

• Firearm Recovery Location/Address; and,

• NCIC Crime Code.

How are firearms marked?

The marking requirements for any firearm manufactured in, and for 

firearms imported into, the U.S. after the passage of the Gun Control Act 

of 1968, can be found in Title 27, CFR, 478.92 , and are paraphrased in the 

following:

Firearms Manufactured in the U.S. 

1. Serial Number

• Must be on the frame or receiver

• A Manufacturer may not duplicate any serial number on any 

other of their firearms

2. Manufacturer’s Name

3. City and State of Manufacturer

• Recognized abbreviations may be used

4. Model

• If assigned

5. Caliber or Gauge

Manufacturer

City & State

Serial Number

Caliber

Model
ATF Publication 3312.13 November 2011 9

Firearms Imported into the U.S. 

1. Serial Number

• Must be on the frame or receiver

• An Importer may not duplicate any serial number on any other of 

their firearms

2. Manufacturer’s Name

3. Country of Origin

4. Model

• If assigned

5. Caliber or Gauge

6. Importer’s Name

7. City and State of Importer (recognized abbreviations may be used)

• Recognized abbreviations may be used

Why are all markings on firearms important?

The combinations of markings on firearms are integral in uniquely 

identifying a single firearm from hundreds of millions of other firearms. 

The following section briefly discusses the significance of each category 

of marking: 

• Serial Number: A firearm cannot be traced without a serial number. 

However, the serial number has to be accompanied by the model 

name and the name of the manufacturer or importer. Serial numbers 

are not issued by ATF. Duplication of numbers is common between 

manufacturers and importers and many firearms manufactured prior to 

1968 were not marked with a serial number at all.

Where a serial number is present, always include any letter prefix, 

suffix, code numbers, or letters over that serial number. Some firearms 

will bear more than one string of letters and numbers. Always take 

the serial number from the frame or receiver. If unsure of the correct 

serial number, note each one and specify its location on the firearm.

• Manufacturer: A domestically manufactured firearm cannot be 

traced without knowing the maker of the firearm, nor can it be 
10 Firearms Tracing Guide ATF National Tracing Center

uniquely identified. The manufacturer (and importer if applicable) 

possesses the records needed for tracing firearms. They must be 

correctly identified to prevent a trace of the wrong firearm.

Often, manufacturer information appears in abbreviated form. 

Although recognized abbreviations are often used, they can be 

confusing. Firearms also frequently possess brand names and trade 

names, which are not manufacturer designations. If the manufacturer 

of the firearm is not readily apparent to the requestor, all markings 

that appear on the firearm should be listed on the firearm trace request. 

Requestors using eTrace (see Chapter 4) can access a list of recognized 

manufacturers and can also submit electronic images of the firearm to 

enhance the identification process.

• Importer: A firearm of foreign manufacture that is imported into the 

United States cannot be traced without identifying the importer. The 

importer possesses the records needed for tracing that firearm.

Importer information often appears in abbreviated form. If the firearm 

bears the name of a foreign manufacturer, the requestor must identify 

the name of the importer. When that information is not readily 

apparent to the requestor, all markings that appear on the firearm 

should be listed on the firearm trace request. Requestors using eTrace 

(see Chapter 4) can also submit electronic images of the firearm to 

enhance the identification process.

• Type: ATF recognizes four broad categories of firearms - pistols, 

revolvers, rifles, and shotguns. All firearms trace requests should 

include notation of firearm “type” to ensure accurate identification of 

the firearm.

• Model: Because serial numbers are often duplicated, the requestor 

must include the model designation in a trace request. The model 

designation can appear as a name, a letter or numerical designation, or 

may incorporate the caliber designation. 

• Caliber or Gauge: Caliber designations are required markings. 

They appear on most firearms so that the correct ammunition will be 

used. The full caliber designation should be used. For example, for 

.22 caliber, always specify .22 short, .22 LR, .22 Magnum caliber, 
ATF Publication 3312.13 November 2011 11

Chapter 4: ELECTRONIC TRACING

WITH eTrace

What is eTrace?

ATF’s eTrace is a paperless firearms trace request submission system 

and interactive trace analysis module that facilitates firearms tracing 

and assists ATF’s efforts to combat firearms trafficking. eTrace provides 

the electronic exchange of crime gun incident data in a Web-based 

environment with a portal to the Firearms Tracing System (FTS) database. 

The system provides real-time capabilities that allow law enforcement 

agencies to submit electronic firearms trace requests, monitor the progress 

of traces, retrieve completed trace results, and query firearms trace-related 

data in the FTS database.

How do I request an eTrace account?

A Memorandum of Understanding (MOU) must first be established 

between your law enforcement agency and ATF in order to open 

an account. If this MOU has not yet been established, go to www.

atfonline.gov/etrace and click on “Request an eTrace Memorandum 

of Understanding.” Upon filling out the request and submitting it, the 

National Tracing Center will generate a hardcopy MOU and mail it to your 

agency’s head law enforcement official for signature. Upon receiving the 

signed MOU, ATF will authorize a primary and alternate agency Point of 

Contact (POC) to manage your agency’s user access.

etc. The same would apply to 9mm, as in 9x17, or 9mm Parabellum 

caliber. Also be sure to include any names or abbreviations that appear 

with the caliber. For example, 9mm Kurz specifies 9x17 and 9mm 

Parabellum specifies 9x19.

• Country of Origin: This information may appear on the frame or 

receiver, under the grips, or other hidden locations. If the country 

of origin is not the United States, the requestor should look for and 

identify the importer.
12 Firearms Tracing Guide ATF National Tracing Center

Chapter 5: ESTABLISHING A

TRACING PROGRAM 

What resources are needed to trace firearms?

For assistance, contact your local ATF office. Agencies can also call 

1-800-ATF-GUNS or the National Tracing Center (800-788-7133) for 

assistance. 

What resources are available to support a tracing program?

The following publications are available from the ATF Distribution 

Center (202-648-6420) at no cost: ATF P 3312.12, Police Officer’s Guide 

to Recovered Firearms; and ATF P 6320.1, Firearms Identification and 

Tracing Procedures.

What are some of the firearms related reports eTrace can create?

eTrace is a relational database and provides the user with a powerful tool 

through which they can review and sort their trace information. Reports 

can be printed out and/or downloaded electronically.

eTrace also produces six standard summary reports, specific to their 

respective agencies, in graph form to assist users in determining their 

crime gun problems based on their firearms trace submissions. The 

reports are:

• Total Firearms Traces Requested (by year)

• Status of Firearms Traces Requested (Completed, In –Progress, etc.)

• Most Frequently Traced Firearms

• Crimes Most Commonly Associated with Firearms Traces

• Top Firearms Retailers to Whom Firearms are Traced

• Ages of Possessors of Recovered and Traced Firearms
NOTES:
ATF Publication 3312.13

March 2012

U.S. Department of Justice

Bureau of Alcohol, Tobacco, Firearms and Explosives

99 New York Avenue, NE

Washington, DC 20226

For more information about ATF visit:

www.atf.gov