Issue Brief

Number 3 December 2011

Ammunition Marking
Current Practices and
Future Possibilities

Introduction of this scenario have rendered the strictly legal point of view, a system
possibility of marking lot numbers that fails to account individually for
The relevance of ammunition control
on individual cartridges a central all the rounds of ammunition pro-
measures and their inclusion in global
and controversial point of the interna- duced and transferred would not be
agreements and instruments have
tional debate. robust enough to stand up in a court
sparked an animated debate in the inter-
The roots of this controversy are of law. Thus, in this latter case, lot num-
national arms control community.
both political and economic. From a bers would not add any significant
Within the ammunition control debate, political point of view, the capacity value to the marks already applied. In
ammunition marking1 is among the to identify transfer patterns would response to this objection, those who
most contentious issues. result in greater market transparency support lot number marking argue that,
To fully understand the reasons and increased state accountability. In in the field of ammunition, ‘traceabil-
for this, let us start by giving a defini- addition, given the very high quanti- ity’ should not be considered only as
tion of ammunition marking and ties of ammunition traded (hundreds a tool for legal prosecution or in the
describing what purposes it serves. of millions of rounds each year), context of crime, but also as a means
Ammunition marking includes all the implementing ammunition control to detect and monitor authorized and
marks applied on individual cartridg- measures would require, at least ini- unauthorized transfers of ammunition
es and their packaging that contain all tially, a major bureaucratic effort. Thus, among states.
the information crucial for their iden- at this stage, the political debate is Consequently, the whole picture
tification. Thus, ammunition marking primarily among states. is very complex. As a result, to date,
serves as a system of classification for The economic argument, however, ammunition control measures in
record-keeping purposes that facilitates involves both states and industries. general, and ammunition-marking
accounting for ammunition use, safe From an industrial perspective, the provisions in particular, have been
transportation, storage, and quality focus is on costs. Ammunition is a rel- excluded from any global instrument,
control, and it can be used to trace atively cheap commodity and, as such, allowing for the creation of several
transfers of ammunition from one user its market is very reactive to minimal different regional, sub-regional, or
group to another. price alterations that could derive, national marking and classification
In the field of ammunition control, for example, from modifying current systems, thus making it more difficult
the term ‘tracing transfers’ refers to the production processes in order to fulfil to monitor and keep track of ammu-
capacity to identify ammunition, its possible new marking obligations. nition transfers.
origin, and patterns of transfer (Bevan, Thus, manufacturers approach this This Issue Brief focuses specifically
2008). To date, most of the information issue very carefully, because it directly on marking as it relates to the tracing
vital for tracing purposes is found on affects their position in the market and of cartridge-based ammunition, such
the packaging, because marking tech- their ability to compete. From states’ as that used in pistols, rifles, shotguns,
nologies have thus far imposed limita- perspective, the debate focuses on the and machine guns, and its packaging.
tions on what could be directly marked real cost–benefit ratio of creating and The goal is to contribute to the inter-
in the limited space available on the implementing an ammunition control national debate by providing both a
cartridge. The boxes in which ammuni- mechanism based on the marking of practical/technical insight into the
tion is contained therefore play a crucial the lot number on each individual marking process and a review of some
role. In general, if ammunition is kept cartridge. While some states consider current regulations. After this introduc-
in sealed factory boxes, it is likely to be lot numbers on individual cartridges a tion, section 2 provides the necessary
traceable. The problems start once it sufficiently strong contribution to effec- background to understand current
leaves these boxes, and the consequences tive tracing, others argue that, from a marking practices, illustrates some

http://www.smallarmssurvey.org 1
 key definitions, explores the global Ammunition marking: disaggregation, while governmental
trends in ammunition marking, and contracts are signed for large quanti-
global trends
provides an overview of current re- ties. In brief, the following applies:
gional approaches. Section 3 focuses The issue of ammunition control
has been excluded from all global government demand: military and
on the practical aspects of ammunition
instruments and agreements dealing law enforcement forces: fewer con-
marking. It provides insight into the
with small arms and light weapons. tracts, but larger quantities per con-
production process and supply actors,
Consequently, there is no global regu- tract. The procurement phase is often
explores what information is marked
lation or system of standardization carried out by central agencies; and
and how, and analyses the specific
covering the specific aspect of ammuni- civilian demand: more contracts
issue of lot-number marking. Section 4
tion marking. Despite this, it is possible (and possibly larger total quantities),
discusses two recent technologies and
to identify some basic and ‘universal’ but smaller quantities per contract.
describes how they could help over-
features of cartridge-based ammunition:
come some of the limitations imposed The use of ammunition marking
by current practices: laser technology The vast majority of ammunition varies from the military to the civilian
for marking individual rounds of is marked in one way or another sector of the market. From a military
ammunition at a later stage of the at the time of manufacture to fulfil perspective, marks on cartridges and
production process, and the use of different purposes (see section 3). their packaging are intended for: stock-
two applications of radio frequency Military/law enforcement forces’ pile management, transportation,
identification (RFID) technology to ammunition and civilian ammu- record keeping, and identification for
‘mark’ and trace ammunition boxes nition follow different systems operational needs. Conversely, while
of various sizes. The main findings of of regulation. the basic principles of and systems for
this study are summarized in section 5. To date, most of those marks are marking remain the same, the civilian
applied with a headstamp. Due to sectors of the market, including both
the limited space available and to producers and consumers, is mainly
2. Background the limitations of the stamping concerned with using marks to ensure
technology, the information marked proper identification (type and calibre)
Key terms and definitions2 and for quality assurance.
directly on the cartridge case is
This issue brief will often refer to minimal. The regulations applying to these
ammunition components. Below is a As a consequence of the previous two parts of the market result from
simple list of these components with a point, most information used to the differences described above: in the
brief definition for each. The assembly transfer ammunition from one place military sector, such regulations usu-
of all these components will be called to another and to store it is marked ally take the form of ‘standards’ that
a ‘cartridge’ or a ‘round’. on the boxes. not only define the requirements, but
There are significant regional vari- also provide specific technical and prac-
Cartridge: a single round of ammu-
ations in approaches to ammunition tical indications on how markings
nition consisting of the case, primer,
marking (see section 2). should look and where they should
and propellant with or without one
be placed. On the other hand, in the
or more projectiles. Also applies to The distinction between govern- civilian sector, such regulations often
a shot shell. mental and civilian demand for take the form of ‘provisions of law’ or,
Projectile: an object propelled from ammunition plays a fundamental role more generally, legislative requirements
a firearm by the force of rapidly in the field of ammunition and affects that lack the practical dimension that
burning gases or other means. manufacturers’ behaviour towards ensures uniformity of implementation.
Primer: a cartridge ignition com- marking. In fact, focusing the debate
ponent consisting of a brass or solely on the demand side could gen-
gilding metal cup, priming mixture, erate misleading results. In particular,
Regional approaches to
anvil, and foil disc; the primer fires demand for ammunition can be divided ammunition marking
the cartridge when struck with into two main categories: state defence The lack of global regulation or any
sufficient force. and security forces users (i.e. military system of standardization has been
Propellant: in a firearm, the chem- and law enforcement forces) and civil- partially overcome at the regional and
ical composition that, when ignited ian users. The differences between sub-regional levels through the estab-
by a primer, generates gas, which these two categories include not only lishment of regional and sub-regional
in turn propels the projectile. Also the type and calibre of the ammunition regulations covering various issues re-
called powder, gunpowder, smoke- they purchase, but also the applicable lated to ammunition, including marking.
less powder, or black powder. regulations and, more relevant from a Within these regional regulations,
Case: refers to cartridge case or business perspective, the quantities an additional distinction has to be
shot-shell case. Shortened through traded and the scale of contracts. In drawn between those that apply to
common usage to simply ‘case’ this regard, the civilian component of military ammunition and those that
(SAAMI, 2009). the demand side is characterized by its apply only to civilian ammunition.

2 Small Arms Survey Issue Brief Number 3 December 2011

This section presents some examples Much of the information crucial Figure 1 Headstamp marking scheme on a
of these regulations for both military for ammunition control is displayed NATO round case
and civilian ammunition, providing the on the packaging in which ammuni-
necessary framework to fully under- tion is contained, transferred, and
stand the logistical and practical aspects stored. A detailed list of require-
of marking that will be discussed in ments for the identification and
section 3. marking of ammunition packaging is
included in the NATO Allied Ordnance
Military regulation: the role of NATO
Publication (AOP) 2 (NATO, 2008).
Depsite not being adopted globally, According to this document, there
NATO ammunition standards to date are three different types of ammuni-
represent the most complete standardi-
zation effort in the field of ammunition
tion packaging: MA 6 0
control. These ammunition standards The inner packaging directly con-
have been formalized by NATO mem- tains the ammunition.
ber states in several standardization The outer packaging is the normal
NATO design mark (if applicable).
agreements (STANAGs), each of which packaging used for transit and
Manufacturer’s initials or recognized ID letters.
focuses on a specific calibre. STANAGs storage.
Last two digits of year of manufacture of complete round.
include a list of requirements that The intermediate packaging is any
Source: NATO (2008)
rounds need to satisfy to meet NATO packaging between the inner and
standards, including not only their outer packaging.
charger, clip, belt, or link should
physical characteristics, but also their
The AOP-2 includes a list of mark- also be indicated.
technical performances. Table 1 lists the
ings and symbols to be applied to Lot number: the lot number of
most relevant STANAGs for this study.
packages of ammunition with a calibre the ammunition appearing on the
In terms of case marking, according
up to 20 mm. In particular, all packages outer package should be under-
to the STANAGs, NATO ammunition
should include the following: lined. No other markings on the
should be marked with the following
outer package should be under-
three elements: Nature of the projectile: the nature
lined. The lot number should be
of the projectile, such as tracer, ball,
NATO design mark, to identify composed of three elements: the
armour piercing, etc., should be indi-
ammunition that qualifies as serial number of the lot, the manu-
cated by the appropriate symbol.
NATO standard; facturer’s initials or recognized ID
When the pack contains projectiles
producer identification (ID); and letters, and the last two digits of
of different natures, the appropriate
last two digits of the year of the year of manufacture or packing
symbols should be used to show
production. (this information should be posi-
their arrangement.
Quantity of ammunition: the quan- tioned in accordance with national
It is important to note that the lot
number is not included as a require- tity of the ammunition should be practice).
ment for cartridge case marking in the indicated by numerals. NATO design mark: as mentioned
NATO STANAGs. As will be discussed Calibre of ammunition: the calibre earlier, this symbol identifies
below, this is a critical aspect to consider of the ammunition should be indi- ammunition that qualifies as
when analysing current practices or cated by letters and numerals. NATO standard.
when thinking about possible future Packed configuration: the packed In addition to the inclusion of these
regulations. Figure 1 provides a visual configuration of the ammunition
elements on all packages, some addi-
example of a case marked according to should be indicated by symbols.
tional marks are required on the outer
NATO STANAGs. If applicable, the model of the
package only. However, these will not
be discussed in detail in this study
Table 1 Key NATO standardization agreements for small arms ammunition
because they are not directly related
STANAG Title Date to the purpose of tracing.
Figure 2 illustrates an example of
2310 Small Arms Ammunition (7.62 mm) November 1976
minimum package markings. The stand-
2329 Links for 7.62 mm Ammunition (AOP-3)* April 1982 ards described above were established
4090 Small Arms Ammunition (9 mm) April 1982 to regulate ammunition production
and transfers among NATO member
4172 Small Arms Ammunition (5.56 mm) May 1993
states, but are often used as a reference
4383 Small Arms Ammunition (12.7 mm) July 2001 by some non-NATO countries and for
*AOP = Allied Ordnance Publication
the production of non-NATO calibres
Source: Adapted from Arvidsson (2008) by ammunition manufacturers.

http://www.smallarmssurvey.org 3
 Figure 2 Example of the layout of minimum For example, in an effort to harmo- (a) consist of simple geometric
package markings nize its national legislation on civilian symbols in combination with a
ammunition control with CIP regula- numeric and/or alphanumeric code;
tions, Italy in 1993 established that the (b) be of a size that is readily legible
markings on the cartridge must include to the naked eye; and
the producer’s ID and the calibre (c) be of a quality and/or depth such
(information not usually required by that the markings cannot be readily
military standards). Additionally, the tampered with or removed.
packaging should include the name (3) Each box of ammunition shall be
or logo of the manufacturer, the name marked with
1305-21-123-4567 or type of ammunition, the lot number,
(a) the same identification as on
the quantity included in the package,
the headstamp marking referred to
700 and the appropriate symbol verifying
in paragraph 2;
that the related ammunition has been
tested according to CIP requirements
7.62 mm (Italy, 1993).
Box 1 Complicating tracing: the practice
In 2006 the Organization of American of reloading fired cartridge cases
41 States presented draft model legisla-
tion for the effective application of the The legitimate practice by some sporting shoot-
Inter-American Convention against the ers of reloading the case of a fired cartridge is
 T 89 Illicit Manufacturing of and Trafficking widespread throughout the world. This practice
in Firearms, Ammunition, Explosives, is undertaken both to cut ammunition costs and
to create (remanufacture) ammunition that,
296-HT-60 and Other Related Materials (CIFTA).
in some circumstances, is more accurate than
This model legislation included a chap-
factory-manufactured ammunition. This is par-
ter covering the issue of ammunition
ticularly important in competitive sports-shooting
marking and packaging that reads
events. The practice imposes serious limitations
as follows: on effective tracing efforts, however, because if
Article 4: Marking of Ammunition it can be done for sporting purposes, it offers a
NATO stock number: this is a 13-digit numeric code that standar- source of potentially untraceable rounds to less
dizes the identification of supply items. Refer to STANAG 3150 and (1) Every person who manufactures
legitimate users.
3151 for further details. ammunition shall ensure that each
Quantity of ammunition.
cartridge is marked at the time of The empty cartridge case has the fired primer
Calibre of ammunition.
Symbols representing the nature of the bullet as packed; in this case, manufacture, in the manner set out removed from the case and a new primer fitted,
the symbols mean four armour-piercing bullets and one tracer round. before a charge of gunpowder is placed into the
Symbols for the type of pack; in this case, ‘linked’. in Article 5.1.
Model of link.
cartridge case. The final step is the fitting of a
(2) Every person who manufactures
Lot number: lot serial number, manufacturer initials, last two new projectile. All of these steps can be easily
digits of the year of production. ammunition shall ensure that each achieved by the use of reloading tools which are
NATO symbol of interchangeability (if applicable).
box of ammunition is marked at the readily obtainable either from sporting retailers
NATO design mark (if applicable).
Source: NATO (2008)
time of manufacture, in the manner set or via the Internet. Depending on the load used
out in Article 5(3) and, as applicable, and the condition of the firearm’s chamber and
Civilian regulations: CIP (Europe) Article 5.4. headspace, empty cartridge cases can be used
and CIFTA (the Americas) (3) Every person who imports ammu- several times.

On the civilian side of the market, nition shall ensure that, in addition to The reloading (remanufacture) of empty cartridge
regulations and legislation are even the cartridge marking referred to in cases brings to the discussion of the tracing of
more regionalized. For example, in paragraph (1), each box of imported small arms ammunition a whole new level of com-
Europe, the Permanent International ammunition is marked in the manner plexity. A situation could arise where a cartridge
Commission for Firearms Testing (CIP) set out in Article 5.3 and 5.4. case (or cases) that was individually marked to
provides legally binding regulations.3 identify a lot number associated with a purchaser
Article 5: Manner of Marking may eventually end up in the possession (either
CIP’s main concern is with the safety
(1) Each cartridge shall be permanently by way of surplus sale, by theft, or simply by
of firearms and ammunition. Its pub-
marked by a headstamp impressed, picking it up in conflict areas) of an individual
lication on marking firearms (CIP, 1991)
stamped or embossed that identifies who will reload the cartridge case and use the
includes the test regulations that
the manufacturer, the country and cartridge for illegal purposes, resulting in a law
producers should undertake before
year of manufacture, and a unique enforcement investigation. Without any further
commercializing their products.
batch or lot number. evidence to the contrary, the investigation may
Nevertheless, CIP also determines
assume that the original purchaser was respon-
minimum marking standards for (2) Headstamp markings on cartridges
sible for the cartridge being found at a crime scene.
ammunition cases and packaging. shall:

4 Small Arms Survey Issue Brief Number 3 December 2011

 (b) the unique batch or lot number Figure 3 Three 12-gauge shotgun cartridge bases produced by Fiocchi Munizioni and supplied
of the ammunition in the box. to three different assemblers
(4) Each box of imported ammunition
shall contain, in addition to the mark-
ing referred to in paragraph 3, informa-
tion that identifies the country of import,
the year of import and the importer
(OAS CIFTA Technical Secretariat
of Group of Experts, 2006).

The approval and implementation

of such model legislation is an ongoing
process, because provisions on differ-
ent areas of firearms and ammunition
control are discussed (and approved)
separately.
The next section presents an in-depth
analysis of the practical and logistical
aspects of the ammunition market with-
in the context of ammunition production.

3. Ammunition marking: Photo courtesy of Fiocchi Munizioni. © Giacomo Persi Paoli

current practices ‘producers’. Grouping all actors under The third category includes the
Understanding the production the general category of ‘ammunition ‘component manufacturers’ that supply
producers’ would be a significant mis- one or more individual components to
and supply of ammunition4 take. To fully describe the complexity assemblers. In addition to specialized
To fully understand the challenges and of the ammunition-marking issue, it firms, full manufacturers are often also
opportunities related to ammunition- is necessary to illustrate the different component manufacturers, because
marking practices, it is important to start categories of suppliers, as each will they sell components in addition to com-
with an overview of the production have its own practices and will face plete rounds. The Italian firm Fiocchi
and supply processes, the significance its own challenges when it comes to Munizioni is an example of a full man-
of which has often been overlooked ammunition marking. ufacturer also producing individual
or underestimated in analyses of the The first category of suppliers in the components for assemblers (see Fig-
ammunition-marking issue. ammunition business is represented ure 3). In this case, the marking phase
Firstly, why do producers apply by what are known as ‘full manufac- is conducted by whoever is supplying
marks to ammunition? From a sup- turers’. Members of this group are the ammunition case. Luwero Indus-
plier perspective, marks on cartridges equipped to produce in house all the tries of Nakasongola (Uganda) is an
and on related packages should fulfil necessary components for a complete example of the second category. As
both an internal and an external purpose. cartridge: from the raw materials— Fiocchi Munizioni’s practice indicates,
The internal purpose is to ensure proper cartridge case, primer, propellant, and the first category of suppliers are often
quality and safety control, as well projectile—to the assembly of the fin- also the third category of suppliers, with
as efficient record keeping, through ished round of ammunition. In this primer and propellant suppliers form-
the unequivocal identification by lot case, the marking phase is conducted ing the remainder of the third category.
number of all ammunition produced. by the same firm and is integrated into Without going into the technical
The external purpose, which will be the whole production process. details, the production process can be
discussed later in this Issue Brief, is The second category includes the simplified by dividing the ‘pre-delivery
to meet clients’ demands, whether in so-called ‘assemblers’. These suppliers life’ of ammunition into four phases:
terms of certain regional or national do not have the capacity to directly
1. production of the required
requirements, or specific requests on produce components, but buy them
components;
a case-by-case basis. All this has to be on the market and then assemble the
2. assembly;
accomplished at the minimum possible rounds in house. In this case, while
3. testing;5
expense to reduce production costs and being theoretically possible, generally
4. packing.
increase market competitiveness. the marking phase is not conducted
Given these purposes, it is impor- in house, but is contracted out to the A full manufacturer will carry out
tant to define the different types of company that produces and supplies the whole process, assemblers will start
actors that are commonly referred to as the ammunition cases. from the ‘assembly’ step, and compo-

http://www.smallarmssurvey.org 5
 nent manufacturers will focus on step 1. Given the very intense competition in Figure 4 Examples of case marking
A fundamental aspect of the production the ammunition industry, often involv-
process is the ability to ensure safety ing orders of millions of rounds, a dif-
and quality control. For this reason, ference in price as low as USD 0.01 per
ammunition producers divide their round could severely limit a firm’s
production into lots or batches. In competitiveness in the market (Jacobs,
particular, the production of each 2011), where procurement contracts
component is divided into batches: are often awarded through competi-
the components of the same batch are tive bidding.
produced under similar, if not the same, Thus, the content of the marks
conditions using uniform elements applied by ammunition producers
and are expected to perform in the to cases or packaging follows a very
same way. A ‘lot’ of complete cartridges simple principle: producers mark only
is assembled/produced using, ideally, what clients ask and pay for. This
subsets of the same batches of compo- implies that ammunition manufactur-
Left: a case for a .308 Winchester cartridge with (above) and without
nents. For instance, 100 complete car- ers by default do not mark anything (below) the primer. As described in section 3, the same machine in
tridges of the same lot should contain that is not either included in the stand- a single mechanical action impresses the marks and creates the
100 cartridge cases of the same batch, ards or specifically requested and space where the primer will be installed at a later stage of the
production process.
100 propellants of the same batch, etc. paid for by clients. Consequently, from
Right: 6.35 mm cases (above) with primers; an example (below) of a
The scrupulous record-keeping of all a content point of view, marking prac- case marked according to NATO standards: NATO symbol, producer’s
information regarding the production tices vary greatly, because, in the absence ID, and year of production.
batches of all components and the lots of globally accepted standards, demand Photo courtesy of Fiocchi Munizioni. © Giacomo Persi Paoli
of complete rounds allows producers varies. Figure 4 illustrates just a few
to utilize internal traceability mecha- examples of different case marks to facturers replace the NATO design mark
nisms designed to identify defective highlight the many variations that can with a mark identifying the calibre.
and/or potentially dangerous lots. be found on the market. For civilian ammunition, by contrast,
Thus, to ensure internal traceability, Although there are many variations the information is usually limited to
it is essential to avoid any circumstance in case marking, in general the marks the manufacturer’s ID, and the identi-
that would run the risk of mixing allow the manufacturer to be identified, fication and description of the calibre.
ammunition belonging to different either through its initials or through Even in the field of packaging
lots during the transition from one factory codes typically used in coun- marking, practices vary significantly.
step of the production process to the tries from the former Eastern bloc 7 In general, given the minimum stan-
next. In this respect, we should note (refer to Box 2), plus additional infor- dards that are required by the relevant
that, while the ammunition industry mation depending on the intended regulation processes, manufacturers
is moving towards the greater auto- end user. In the case of military pro- tend to give clients the opportunity
mation of production lines, in many duction destined for NATO use, this to add personalized information to
cases this transition still requires the additional information generally the packaging. This may include the
involvement of specialized workers: includes the year of production and addition of national stock numbers or
each item of ‘work-in-progress ammu- the NATO design mark if the round is codes to facilitate inclusion on national
nition’ that exits from a machine falls a NATO calibre. In the case of non- registers or, more and more often, the
into large containers that are trans- NATO calibres, e.g. the 5.7 x 28 mm addition of bar code stickers to allow
ferred to the next stage of the produc- round, or simply ammunition not quicker electronic registration in
tion process to serve as input for the produced for NATO use, some manu- national databases. Figure 5 shows an
next machine.6

Figure 5 A military ammunition box and its corresponding cartridges

What is marked?
The impact of ammunition marking
on the whole ammunition market has
often been overlooked. Unlike firearms
marking at the time of manufacture,
which can alter the final price per
weapon by a small percentage of the
total cost, ammunition marking can
have a proportionally greater financial
impact on projection costs. This can
seriously affect a firm’s competitiveness Note: In this specific case, the box contains 5.56 mm NATO cartridges, linked, with one tracer cartridge for every four ball cartridges.
in terms of a procurement opportunity. Photo: © Giacomo Persi Paoli

6 Small Arms Survey Issue Brief Number 3 December 2011

 Box 2 Symbols, non-Western letters, and numeric codes: when interpreting marks
becomes complicated
In the absence of internationally accepted standards and/or regulations, marking practices for ammunition
follow regional or national rules and legislation. In this context, the interpretation of marks appearing on
ammunition is not always obvious. One potential complication is caused by ammunition featuring marks
applied using alphabets that can be difficult to interpret and understand outside of the country or region
where that alphabet is in use (see Figure 6). Nevertheless, this complication can be resolved with the use of
interpreters or with the cooperation of countries belonging to the region where the specific language is in use.

A more challenging complication is posed by ammunition featuring only numeric digits. In the former Soviet
Union and the current Russian Federation, as well as in other Eastern bloc and ex-Eastern bloc countries,
manufacturers’ IDs are represented with the use of numeric factory codes. The list of factories and related
codes is public, but there are some circumstances in which even identifying which numbers represent the
producer is difficult. For example, South Africa adopted a marking system that at first glance seems to include
factory codes. In fact, this is not the case, because South African ammunition marked following this scheme
does not bear any producer’s ID at all: what is visible on the round is the date and an abbreviated form of
the cartridge name/type that could be misread as an Eastern bloc or ex-Eastern bloc factory code. For
example, a South African 5.56 mm round, model R1M3, produced in 1985 would feature on the cartridge
simply ‘85’ and ‘13’. In this case, the number ‘13’ could be misinterpreted as the factory code corresponding
to Cuba in the (ex-)Eastern bloc marking system. The difference is in the relative position of marks that each
marking system implements. While this would certainly be known to ammunition experts, such a difference
may not be particularly evident for the person that finds the empty cartridge case in the first place and has
to fill in the report. An erroneous identification may jeopardize the success of any further tracing effort.
Source: Ness and Williams (2011a)

Figure 6 Photograph of 7.62 x 51 calibre ammunition taken in Sudan with Arabic markings. Photo: © James Bevan, 2007

example of a military ammunition and fragile parts run the risk of being turers can add marks along the side of
box and its corresponding cartridges. damaged by heavy stamping pressure. the case using the roll-marking tech-
Data imprinted as a stamp is literally nique. In addition, in the case of shot-
‘rolled’ across the surface to be marked. gun cartridges, clients may ask to have
How information is marked The rolling process involves a single customized information applied on
While the content of the marks is contact point between the stamp head the plastic part of the shell. This infor-
diverse, the most commonly used and the part being marked. Each char- mation, added with ink stamps, can
method of applying the marks appears acter in a string is individually marked include information on the seller, sym-
to be reasonably standard: stamping. as the die rolls over the part. bols, drawing, etc. Figure 8 illustrates
In particular, this involves press stamp- Marks are traditionally applied in two examples of these specific ‘on
ing for marks applied on the rim of the early steps of the production pro- demand’ marks.
cases and roll stamping for marks cess, before the case is charged with From a cost perspective, because
applied on the sides of cases. Recently, the primer and other components. marking is fully included in the produc-
producers have started using laser Depending on the calibre, the marks tion process, it is difficult to distinguish
marking techniques to mark ammuni- are applied by a dedicated machine or the marking cost from the total price
tion. A more detailed discussion on by a machine that combines different per cartridge. Nevertheless, in quali-
the benefits and limitations of this effects in the same mechanical action. tative terms, we can identify two ways
innovation will be discussed in sec- This second option is illustrated in in which marking impacts the total
tion 4, below. Figure 7: the case enters the machine price: direct costs and indirect costs.
Recalling an earlier Small Arms as it appears on the right of the photo Direct costs include the costs of the
Survey Issue Brief on firearms mark- and exits with the marks and the marking machines and their mainte-
ing (Persi Paoli, 2010), stamping is a lodging for the primer, as on the left. nance, as well as the costs of producing
marking method that applies marks Recent technological innovation in and replacing the headstamps used to
through the deformation of the mate- the field of marking allows marks to apply the marks. Indirect costs reflect
rial on which they are applied. In the be placed at the end of the production the impact of the marking phase on the
case of press marking, this deforma- process, prior to the packaging phase, whole production process, particularly
tion happens as the result of either an with the use of laser machines (see in terms of time (e.g. how long it takes
impact or a compression. Roll marking section 4). to mark a certain number of cartridges,
is a recommended solution if tonnage As mentioned above, upon request how long it takes to fabricate a head-
requirements make a press too costly and for certain calibres only, manufac- stamp die—i.e. the stamping instru-

http://www.smallarmssurvey.org 7
 Figure 7 Stamping using combined action ment—used to apply personalized of the international debate regarding
machines marks, and how long the application ammunition control and management.
of personalized marks delays the whole The debate is split between those who
production process). support and those who do not support
Regarding packaging, military such a measure. While supporting
ammunition usually travels in metal neither of these two positions, this
or wooden boxes, while civilian ammu- section analyses both the advantages
nition is contained in cardboard boxes. and the challenges related to lot num-
Marks are ink stamped or sprayed on ber marking.
metal and wood, while information As mentioned earlier in this issue
intended for cardboard boxes is printed brief, an obligation to mark the lot
Note: In this process, stamping is added together with the primer on stickers that are then applied to number on each complete round of
lodging. In this particular example, it is possible to note that this
the boxes. As mentioned above, more ammunition is not included in any
case has been marked in accordance with NATO standards and
features an additional mark indicating the lot number. and more frequently both military international standard or regulation.
Photo courtesy of Fiocchi Munizioni. © Giacomo Persi Paoli and civilian ammunition boxes also Thus, ammunition manufacturers will
include a bar code. In the case of not apply a lot number to each round
Figure 8 Side marks and ink marks
civilian ammunition, the bar code is unless specifically requested to do so
included in the information printed and if it is paid for by clients. From a
on the stickers. In a similar vein, merely technical perspective, lot num-
wooden or metal boxes carrying mili- bers are no different from any other
tary ammunition feature a dedicated personalized mark that clients may
sticker that includes the bar code and, request when negotiating a contract.
where relevant, other information for An example of a cartridge featuring a
the internal purposes of the military lot number is shown in Figure 7.
in question. Figure 9 shows examples As mentioned earlier, the propo-
of military and civilian packaging fea- nents of the various sides of the debate
turing the described marks. argue, on the one hand, that such addi-
Thus, marking practices on pack- tional information would facilitate the
aging can be summarized as follows: tracing of illegal ammunition, while
others are concerned about possible
Military ammunition:
increased production costs, increased
 outer packaging: wooden crates state accountability, and the real ben-
featuring ink-stamped/painted/ efit that such a measure would bring to
stamped/sprayed marks and actual tracing practices. It is therefore
stickers; important to explore the circumstances
Source: Fiocchi Munizioni. Photo: © Giacomo Persi Paoli
 intermediate packaging: metal in which ammunition lot marking could
Figure 9 Ammunition packaging: a military tins featuring ink-stamped/ in fact facilitate ammunition tracing.
wooden box (above) and a civilian cardboard painted/stamped/sprayed or As described in section 3, ammu-
box (below) metal-stamped marks and nition producers divide ammunition
stickers; into lots as a means of improving
 inner packaging: cardboard internal traceability, in particular in
boxes featuring ink stamping terms of safety and quality control.
and sometimes stickers. Lot numbers appear on all ammuni-
Civilian ammunition: tion packaging, from the smallest
 outer packaging: cardboard (inner packaging) to the largest (outer
boxes featuring printed and/or packaging). Thus, from a producer’s
ink-stamped marks and stickers; perspective, which assumes that single
 inner packaging: cardboard rounds leave their boxes only when
boxes featuring printed and/or they are used, marking the lot number
ink-stamped marks. on each round would only increase
costs without resulting in any specific
benefits. From a consumer’s perspec-
The issue of lot numbers and the tive, all the information required for
limitations of current practices proper record-keeping and storage is
The obligation to include lot numbers included and easily identifiable on the
on individual cartridges has been a boxes: ammunition type, calibre, lot
Photo courtesy of Fiocchi Munizioni. © Giacomo Persi Paoli key point of discussion in the context numbers, date of manufacture, name

8 Small Arms Survey Issue Brief Number 3 December 2011

Figure 10 Ammunition that has been separated lot, one client’, described below, was the complete separation of different
from its packaging implemented and that there was no lots. This would result in a longer pro-
further resale or redistribution after duction time and would consequently
the first delivery. increase costs.
Given the above context, various It is important to note that both
practical issues related to the application direct and indirect costs refer to the
of lot numbers to individual cartridges currently most widespread marking
should be mentioned. method, stamping. With the introduc-
Firstly, if tracing is the objective of tion of alternative technologies like
marking, then each lot number should laser marking, some of these limitations
be linked to one client. Without the could be overcome (see section 4).
link of one lot to one client on each In conclusion, the rationale behind
individual round, it is not possible to the requirement to include the lot
unequivocally identify the last legitimate number on each round is clear and
possessor of a round of ammunition. potentially very useful for tracing
Current lot allocation practices vary purposes. Nevertheless, while techni-
widely from producer to producer. For cally feasible, various practical aspects
example, one lot of ammunition can of ammunition lot marking need to
contain up to 500,000 complete rounds. be considered when analysing both
To minimize costs, some ammunition the real effectiveness and the applica-
suppliers use the same lot to cover bility of such a measure, given current
different orders until they reach the practices and most frequently used
necessary quantity, and then start the marking techniques. In addition, it is
Note: This photo illustrates a very common situation in many devel-
production of a new lot.8 essential to understand that it would
oping countries and during time of war. Once ammunition has been
separated from its packing, to date there is little or no possibility of
Secondly, even if a producer were be unrealistic to expect to be able to
unequivocally tracing it back to its original owner/user. To avoid this applying the ‘one lot, one client’ system, identify the source of diversion of
situation, in theory, all ammunition that has been issued and sepa- marking the lot number on each round illegal ammunition or to be able to
rated from its packing should be reclassified in terms of its use (e.g.
using current standard practices unequivocally trace ammunition
training) or destroyed. Nevertheless, in practice, this is rarely the
case, because often in conflict areas ammunition is kept loaded in
would alter the production process using only the information included
magazines or simply because in some countries there is a lack of and increase costs. As previously dis- in the marks. Such information pro-
stockpile management capacity. cussed, this would in turn impact on vides an important lead, but needs to
Photo: © James Bevan the final price through direct and be contextualized and supported by
indirect costs. Direct costs related to other evidence such as, for example,
of producer, etc. This is the general lot marking for full manufacturers and documented transfers of ammunition
theory and can be the case for devel- brass case producers would include to the country of interest or to its neigh-
oped and industrialized countries the cost of producing specific head­ bours, the presence of foreign troops,
with efficient record-keeping and stamps featuring lot numbers and documented theft from national or
storage practices. related spare parts. Instead, direct private stocks, etc.
However, once a round leaves its costs for ammunition assemblers In this context, considering that
packaging, there is no possibility of would reflect the difference in price not all ammunition producers use the
linking it to the corresponding pro- between buying many small lots, each ‘one lot, one client’ system, even if the
duction lot. Without the ability to do so, one marked with the specific lot for a ammunition case were marked with
it becomes impossible, for instance, to specific client, or bigger pre-marked the lot number, it would not identify a
identify ammunition that forms part quantities divided into fewer lots unique entry in the producer’s records.
of defective lots and remove it from covering, for example, the estimated In addition, even when the producer
service. Additionally, once the link production for the whole year. uses the ‘one lot, one client’ system,
between a round and its production Indirect costs resulting from the often both military/government and
lot is lost, the chances of successful marking of the lot number on each civilian ammunition lots are split up
tracing decrease significantly. This is a individual cartridge would reflect the for resale or retransfer after their initial
particularly sensitive issue in conflict longer production time. The machine acquisition. Thus, while lot numbers
zones and in developing countries, as that impresses the marking would can certainly help, they are not the
well as in the field of organized crime. have to be stopped every time there turn-key solution to the ammunition-
Nevertheless, lot numbers on ammu- was a need to change the headstamp tracing problem. A realistic contribu-
nition cases would facilitate tracing to apply a new lot number in order to tion that ammunition marking could
only if the manufacturer’s ID and the start the production of a new contract. bring to an investigation would be to
year of production were marked as In addition, the whole production provide a 'shortlist' of possible sources
well, assuming that the system of ‘one process would be delayed to ensure of diversion.

http://www.smallarmssurvey.org 9
 4. Emerging technologies The ability of laser to mark very allow authorized personnel to access in
small areas makes it possible to add real time all the information recorded
Some of the limitations described above
the marks in the extractor groove on for a weapon such as its serial number,
could be overcome with the use of tech-
the cartridge, a very solid area where user ID, ownership, invoice, delivery
nologies whose application in the field
marks can be applied that are deep and inventory history, etc. In other
of weapons and ammunition produc-
enough to prevent erasure (Martinot words, each weapon would carry its
tion is relatively recent. In particular,
and Berkol, 2008). own ‘digital history’ that delivers
this Issue Brief describes three solutions,
The use of this technology was pio- accurate information and reduces the
one for cartridge marking and two for
neered by the Brazilian arms manufac- risk of human error.
packaging marking. These solutions,
turer Companhia Brasileira de Cartuchos In the specific field of ammunition,
while not addressing the problems
(CBC) in response to a new national law adding a microchip or a tag to each
related to ammunition dissociated
that called for all ammunition sold ammunition box would result in many
from its packaging, have the potential
commercially in Brazil to include an advantages. For example, each box
to significantly improve the traceability
identifier for the production lot and the would be identifiable with informa-
of ammunition and, more generally,
purchaser on the casing of the cartridge. tion like the lot number, ammunition
the whole ammunition control process.
These new laser marking machines can description, buyer’s name, transfer
mark 240 cartridges per minute: car- authorization (if applicable), product
Laser marking of ammunition tridges proceed along the production line code, etc. In addition, with the possi-
The application of laser technology to in lots of ten, which are marked simul- bility of immediately linking a specific
firearms marking is presented in Persi taneously (Martinot and Berkol, 2008). box to a specific user, such a solution
would reduce opportunistic behav-
Paoli (2010). Whether on firearms or
on ammunition, the operating principle The use of RFID technology on iour, corruption, and theft by making
ammunition packaging9 each person or organization involved
of this technology is the same: laser
accountable for the use, loss, or redis-
engraving is based on a focused laser Radio frequency identification (RFID)
tribution of the ammunition.
beam that removes material (by burn- technology transfers data from a
ing it out) from the component without passive10 tag or chip to a reader using
requiring physical contact. radio waves for the purpose of identi-
The use of chip strips technology
In the field of ammunition, the inno- fication and tracking. Compared to bar on ammunition packaging
vation does not reside in the marking codes, which are more and more often Finally, the latest innovation in this
method per se, but in the possibilities applied as additional information on field is represented by the use of RFID
that using this method opens up. In ammunition packaging and have to technology in chip strips. This solu-
particular, while traditional marking be visible to the reader in order to be tion would be particularly suited to
practices with stamping methods force read, passive RFID tags can be read transfer monitoring. Each strip would
the application of marks at the early even inside a case, carton, box, or other have a unique electronic identity and
stages of the production process, before container, and from a distance of up would be attached to the ammunition
the cartridge/case is assembled with to several metres. In addition, unlike boxes. The advantages of these strips
the remaining components, laser bar codes, hundreds of RFID tags can are twofold. Firstly, they could be used
methods allow marks to be applied be read at a time. to secure ammunition boxes inside a
after the assembly is complete, just RFID technology requires only one depot: cutting or removing the strip
before ammunition is packaged and or more readers, tags, or chips to be would send a signal to the hardware
delivered to the customer (Martinot installed on the items to be monitored, infrastructure and activate an alarm.
and Berkol, 2008). and dedicated software to manage Secondly, this technology would be
Laser usage should not be seen as the data. Thus, it requires only minor very useful in monitoring the transfer
a replacement for stamping methods, changes to existing infrastructures. of ammunition: given the capacity to
but more as complementary technol- This technology is reliable and scan ammunition boxes in a truck and
ogy. In fact, basic information such as tested—it has been used for several given the fact that scanners feature
the manufacturer’s ID, the year of pro- years in commercial applications such GPS, the location and time of depar-
duction, and/or any other information as inventory control, department store ture could be recorded, as well as the
that remain the same for every lot could theft prevention, highway toll stations, arrival at an intermediate or final des-
still be marked using traditional stamp- and passports. Nevertheless, its appli- tination. This method would make it
ing methods without requiring firms cation in the field of arms control is possible to record data indicating the
to update and change their machinery. relatively recent and has also been quantity transferred, the location and
A laser head could be used just before pioneered by Brazil, followed by other time of departure of the consignment,
the fully assembled rounds are packed Latin American countries. From an arms the quantity that arrived, the location
to add specific information such as, control perspective, the use of RFID and time of arrival, and the time taken
for example, the lot number or even microchips secured against improper to make the transfer (to immediately
information about the purchaser. use or unauthorized removal would identify suspect or unjustified stops).

10 Small Arms Survey Issue Brief Number 3 December 2011

5. Findings the fact that altering the production a universal goal cannot be achieved
process, e.g. by marking lot numbers, without an international regulatory
The absence of international standards
will result in higher production costs framework that is globally accepted;
regulating ammunition marking results
and, consequently, higher prices. obtained through multilateral nego-
in a wide range of different practices
Conversely, those producers that do tiations involving all stakeholders,
among ammunition producers and
not mark lot numbers would be able to including the ammunition industry,
their clients. For a number of military
charge lower prices and, consequently, NATO, and representatives from civil-
calibres, the lack of a single interna-
attract more clients. Regulations are ian regional organizations; and aimed
tional standard is overcome by the
required to prevent these less scrupu- at the harmonization of requirements
presence of well-established and pre-
lous producers from benefitting from from the demand side.
cise NATO standards. In terms of
not complying.
civilian ammunition, several regional
This consideration suggests the
regulations exist, e.g. CIP regulations,
that set minimum requirements for
following answer to the second pos- Endnotes
sible requirement (‘governments to 1 For the purpose of this study, unless other-
information to be marked on ammu-
require that all ammunition bought be wise specified, the expression ‘ammuni-
nition cases and packages. tion marking’ refers to marking on both
marked with the respective lot number’):
This Issue Brief has explored the individual complete cartridges and their
bearing in mind that ammunition
issue of ammunition marking from packaging.
producers will only do what they are 2 These definitions are based on the ‘Glos-
various angles: market actors, regula-
required to do, effective regulations sary of Industry Terms’ drafted by the
tions, current practices, and future
should aim at harmonizing countries’ Sporting Arms and Ammunition Manu-
opportunities. Given that the interna- facturers’ Institute (SAAMI, 2009).
tional community is split between requests in terms of marking (the
3 CIP member states are mainly, but not
those in favour and those not in demand side) by promoting the har-
limited to, European, including Austria,
favour of creating global ammunition monization of national legislation on Belgium, Chile, the Czech Republic, Fin-
control and management measures, ammunition control or the develop- land, France, Germany, Hungary, Italy, the

and that both sides of the debate are ment of internationally accepted and Russian Federation, Slovakia, Spain, the
implemented standards in order to United Arab Emirates, and the United
able to bring strong arguments to Kingdom.
the table, what kind of principles persuade producers to comply with
4 This section is based on private consulta-
should drive the debate on global such a regulation. tions between the author and representa-
ammunition-marking regulations? Regulating the supply side of the tives from several ammunition industries.
Should regulations target the supply market will not be as effective. In the These consultations were complemented
absence of an obligation to mark certain with a visit to the production site of the
or the demand side? For example,
Italian manufacturer Fiocchi Munizioni.
should such regulations call for pro- information, countries might not request
5 It is likely that each individual compo-
ducers to mark ammunition with the that additional marks be applied. nent is tested, but for the purposes of this
respective lot number or for govern- This would create a significant share study we consider only the testing of a
ments to require that all ammunition of the ammunition market for which complete round.
companies not complying with the 6 Information from author’s interview with
bought be marked with the respective
a European ammunition manufacturer
lot number? regulations would have an advantage
and on-site visits, April/May 2011.
The response to the first possible by being able to charge a lower price, 7 Numerical codes that denote a particular
requirement (‘producers to mark as described above, compared to those manufacturer (or factory) are common to
ammunition with the respective lot who comply. most manufacturers that have their origins
number’) can be seen in terms of fea- Finally, given that the lack of inter- in the Soviet system of ammunition mark-
national standards led to the develop- ing. This includes, in historical order: the
sibility (or applicability) and accept-
Russian Federation and former Soviet
ability. The issue of feasibility should ment of regional standards that are
republics, Warsaw Pact states, China,
not be limited to technical requirements, now well rooted and accepted in both Chinese clients, and states that have
but should also include considerations the supply and demand sides of the acquired production technology from the
of the impact that such regulations market, the success of any future inter- aforementioned.
national effort to standardize ammu- 8 Author interviews with various ammu-
would have on the whole production
nition manufacturers, April/May 2011.
process, as described in section 3. In nition marking and packaging relies
9 This section is based on a private interview
addition, to be acceptable—and con- on harmonization with such regional between the author and a representative
sequently to encourage/guarantee standards. from the company Aid Technology, which
implementation—new regulations Thanks to the recent application supplies several RFID solutions for arms
would need to provide producers of modern technologies to the field of control. Information was also drawn from
the company’s promotional brochures and
with incentives to comply by giving ammunition and arms control, much
PowerPoint presentations.
them a stronger position in the market could be done to improve current 10 ‘Passive’ means that tags do not require
than those who decide not to comply practices with a view to improving any form of energy supply to function;
with such regulations. This reflects ammunition traceability. Nevertheless, e.g. no battery is needed.

http://www.smallarmssurvey.org 11
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Author:
About the Small Arms Survey
Giacomo Persi Paoli
The Small Arms Survey serves as the principal interna-
tional source of public information on all aspects of small Copy-editor:
arms and armed violence, and as a resource centre for Alex Potter
governments, policy-makers, researchers, and activists. In Proofreader:
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through Research Notes, Issue Briefs, Occasional Papers,
Design and layout:
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lication, the Small Arms Survey.
The project has an international staff with expertise in
Small Arms Survey
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