FFL/ATF Compliance Flashcards
What is “Compliance”?
Compliance is the act of following the rules. It is an action!
Compliance is about doing something! It isn’t about not doing something for instance, how you shouldn’t lose firearms.
Firearm compliance is more than just “ATF Compliance.” For example, there are also unique import/export rules and local (State/County/City) laws that FFLs must follow.
What is a “Law”?
Laws = Laws are enacted by an elected legislature. For example, your state’s congress or the U.S. Congress writes and passes legislation which becomes law once it is signed by the respective executive (your state’s governor or the President of the United States). Each of the people involved in making the laws are elected. This means you can work to elect someone else if you don’t like the laws that they are creating.
Laws are generally broad. They are the “what” and not the “how.” For example, U.S. Law requires that all firearms manufactured by an FFL manufacturer must be marked with a serial number. The law doesn’t give specifics on exactly how this must be done.
The three major sections of law we will be dealing with are the Gun Control Act of 1968 (GCA), the National Firearms Act of 1934 (NFA), and the Arms Export Control Act (AECA). There are, of course, other federal laws as well.
What are “Rules and Regulations”?
Rules and Regulations =
If laws are the “what,” rules and regulations are the “how.” They prescribe how the laws must be followed.
The laws are enforced and further refined by administrative agencies who make rules and regulations. For example, U.S. firearm laws are promulgated (carried out) by the ATF who then defines how the laws must be followed with their rules or regulations. These rules and regulations are made by an unelected agency who reports up to the executive (Governor or President).
It is very important to not only check the laws but also their implementing regulations to ensure proper compliance. The rules and regulations must be limited only to what the law covers, but they can often expand the law. For example, the ATF can only make a rule or regulation to carry out a law enacted by the U.S. Congress. This means that the ATF can’t change the amount of tax collected for the transfer of an NFA firearm. The ATF can, however, determine how the tax must be paid and what paperwork must accompany the tax.
Following the example above about how the GCA requires that all firearms manufactured by a manufacturer FFL must be serialized, ATF regulations define that the serial number must be at least 1/16th of an inch tall and at least 0.003 of an inch deep. If you only read the law, you might comply with the law by putting a serial number on the gun. However, if you never read the regulations, you might not have your serial number tall or deep enough. This would mean that you complied with the law, but you’d still be in trouble for not following the regulations. You must follow BOTH the laws and the regulations.
The major regulations are: ATF’s rules and regulations, the International Traffic in Arms Regulations (ITAR), and the Export Administration Regulations (EAR).
What does NSSF stand for?
NSSF = National Shooting Sports Foundation (NSSF)
How many violations does it take to lose your FFL?
A Single Violation Is Enough – A single violation is enough for the ATF to revoke your license.
“A single uncontested violation of the regulatory requirements of the [GCA] suffices to uphold a rearms license revocation…” American Arms Int’l. v. Herbert, 563 F.3d 78 (4th Cir. 2009)
Is the ATF required to give you a warning before issuing a violiation?
NO…….No Warning Is Required – The ATF is not obligated to warn you of your violations before finding that they are willful.
“No court has imposed a requirement that [a] warning must precede a determination of willfulness” Strong v. U.S., 422 F. Supp. 2d 712 (N.D. Tex. 2006)
Is “Criminal Intent” required for a a “Willful Violation”?
Criminal Intent Is Not Required – The requirement of bad purpose needed in a criminal prosecution is not needed to find a willful violation of the GCA.
“‘Willfulness’ under the GCA does not require a heightened showing of ‘bad purpose’ or evil motive; rather, evidence of an individual’s disregard of a known legal obligation is entirely sufficient” Procaccio v. Lambert, 233 Fed. Appx. 554 (6th Cir. 2007)
If you are aware of a violation but work to correct the issue does that satisy the requirement?
Effort to Correct the Violation Is Irrelevant – Willfulness is measured at the time of the violation.
“The fact that [an FFL holder] spent a great deal of money trying to correct [violations] is immaterial to the question of willfulness at the time the violations occurred.” Sturdy v. Bentson, 1997 WL 611765 (8th Cir. 1997)
What is a Firearm according to the ATF?
A Firearm is any weapon (object) that expells a projectile by the action of an explosion
OR the frame or receiver of such an weapon (object) OR Silencers OR Destructive Devices
Also any item that can be “readily converted” into a firearm is considered a firearm
NOTE: Silencers & Destructive Devices are NFA items but also appear in the ATF’s definition of a Firearm.
Is a pellet gun a firearm in the eyes of the ATF?
NO, there is no explosion so therefore a pellet gun is not a firearm
Is a non working/firing gun a still a firearm?
YES, even a gun that jams eveytime or one that is missing a firing pin is considered a firearm as it can be readily converted (fixed) into a firearm.
What is an antique firearm according to the ATF?
Antique Firearm = Any muzzle loader, any firearm made before 1899 (or any replica of such a firearm), or any firearm that does not use comonly used ammunition is not considered a firearm in the eyes of the ATF
What firearms are considered Curio/Relics?
- Firearms manufactured more than 50 years ago (not replicas)
- Firearms certified as a curio/relic by a museum
- Any other firearm the derices substantial value from being rare, novel or bizzare
NOTE: For the last item you will need to check the ATF’s “official list” to be sure.
