The Pennsylvania Supreme Court decided the case of Commonwealth v. Smith, holding that to convict a defendant of the crime of possession of a firearm with an altered manufacturer’s number (“VUFA 6110.2”), the serial number must have been removed or changed in a “material way” that makes it look like a different number, in whole or in part, to the naked eye. This decision is significant because in Philadelphia (and in other parts of Pennsylvania), prosecutors will routinely charge defendants with VUFA 6110.2 when there is even the slightest mark on the serial number.  

Commonwealth v. Smith 

On June 12, 2016, Pennsylvania State Police troopers initiated a traffic stop of a vehicle driven by the defendant. The defendant was stopped because his license plate was not illuminated. As the troopers approached the vehicle, they observed “furtive” movements by the vehicle’s occupants. The troopers requested the defendant’s license and registration, at which point either the defendant or his passenger opened the glovebox. When the glovebox was opened, the troopers observed a plastic vial containing marijuana. A subsequent search of the vehicle revealed a firearm, ammunition, and a clip under the driver’s seat. The manufacturer’s number on the firearm appeared to have been scratched, but it was still legible. 

The defendant was arrested and charged with VUFA 6110.2, firearms not to be carried without a license, receipt of stolen property, possession of a controlled substance, and various traffic offenses. At the defendant’s stipulated bench trial, the Commonwealth introduced photographs of the firearm, which showed that the manufacturer’s number had multiple scratch marks. The parties did not dispute that the number was still legible. The trial court noted that the serial number showed clear signs of intentional tampering and wearing of the serial number and that the number was “clearly abraded.” As such, the trial court determined that the serial number had been, at a minimum, altered from its original state. The defendant was then found guilty and sentenced to three to six years incarceration. The defendant then filed a timely appeal to the Pennsylvania Superior Court. 

The Defendant’s Appeal to the Superior Court 

The defendant appealed to the Superior Court, arguing that the evidence was insufficient to sustain his conviction because the manufacturer’s number, although scratched, was legible to the naked eye and thus the Commonwealth failed to establish that the number was “altered, changed, removed, or obliterated” as required by VUFA 6110.2. Specifically, the defendant argued that to be convicted of VUFA 6110.2 the serial number must be illegible to the naked eye. The Superior Court unanimously rejected the defendant’s argument. The defendant then filed a petition for allowance of appeal to the Pennsylvania Supreme Court. The Pennsylvania Supreme Court agreed to hear the defendant’s case. 

What is VUFA 6110.2?    

VUFA 6110.2 provides: “[n]o person shall possess a firearm which has had the manufacturer’s number integral to the frame or receiver altered, changed, removed, or obliterated.” Previous appellate decisions have required that the number’s alteration be man-made. In other words, if the number is naturally corroded, a defendant is not guilty of VUFA 6110.2 simply because he is in possession of a gun whose markings had become illegible due to natural causes. However, whether a serial number has worn away over time or been intentionally removed is not always clear.

The Pennsylvania Supreme Court’s Decision 

The Pennsylvania Supreme Court reversed the defendant’s conviction and found that the evidence was not sufficient to convict him of VUFA 6110.2. In making its decision, the Court first analyzed the VUFA 6110.2 statute. The Court found that the term “altered” is capable of multiple reasonable interpretations and thus the term is ambiguous. Therefore, the Court then analyzed the legislative intent behind VUFA 6110.2. The Court opined that the Pennsylvania Legislature drafted VUFA 6110.2 because the manufacturer’s serial number is an important tool used by police officers in identifying the owner of weapons used in criminal offenses. To safeguard this tool, the legislature found it important to pass a law that prohibits individuals from altering, changing, removing, or obliterating these numbers. 

In the instant case, the serial numbers on the defendant’s gun were still visible. In fact, the Commonwealth conceded this fact at trial. Therefore, the Pennsylvania Supreme Court held that to be convicted of VUFA 6110.2, the Commonwealth “must establish that the number was changed in a material way, such as by making it look like a different number, or that it was rendered illegible, in whole or in part, to the naked eye.” In this case, because the defendant’s gun’s serial number was not illegible, the evidence was insufficient to convict him of VUFA 6110.2. Therefore, his conviction on this charge will be vacated, and his case will be remanded for re-sentencing. 

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