Rule2022-01308
Amended Prompt Settlement Policy for Legal Enforcement Actions Involving Medical Certificate-Related Fraud, Intentional Falsification, Reproduction, or Alteration
Primary source
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Published
January 25, 2022
Effective
January 31, 2022
Issuing agencies
Transportation DepartmentFederal Aviation Administration
Abstract
The FAA is amending its policy for the prompt settlement of legal enforcement actions against individuals who the FAA has found violated regulations prohibiting any fraudulent or intentionally false statement on an application for a medical certificate or other document used to show compliance with any requirement for a medical certificate; reproduction of a medical certificate for fraudulent purposes; or alteration of a medical certificate. Revocation of all airman, ground instructor, and medical certificates is the appropriate sanction for such violations, and FAA regulations prohibit application for a new airman or ground instructor certificate for one year following the effective date of the order of revocation unless the order provides otherwise. The previous version of this policy allowed eligible individuals the opportunity to promptly receive an emergency order of revocation and, thereby, apply for a new airman or ground instructor certificate sooner than in the absence of that policy; however, that policy required a one-year wait period from the effective date of the order before an individual could apply for a new certificate. This amended policy will still ensure that eligible individuals promptly receive an emergency order of revocation, but the order will allow them the opportunity to apply for a new airman or ground instructor certificate after nine months from the effective date of the order.
Full Text
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<title>Federal Register, Volume 87 Issue 16 (Tuesday, January 25, 2022)</title>
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[Federal Register Volume 87, Number 16 (Tuesday, January 25, 2022)]
[Rules and Regulations]
[Pages 3643-3645]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-01308]
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Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
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Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 /
Rules and Regulations
[[Page 3643]]
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
[Docket No.: FAA-2020-0809]
14 CFR Parts 61, 63, 65, 67, and 107
Amended Prompt Settlement Policy for Legal Enforcement Actions
Involving Medical Certificate-Related Fraud, Intentional Falsification,
Reproduction, or Alteration
AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).
ACTION: Notification of enforcement policy.
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SUMMARY: The FAA is amending its policy for the prompt settlement of
legal enforcement actions against individuals who the FAA has found
violated regulations prohibiting any fraudulent or intentionally false
statement on an application for a medical certificate or other document
used to show compliance with any requirement for a medical certificate;
reproduction of a medical certificate for fraudulent purposes; or
alteration of a medical certificate. Revocation of all airman, ground
instructor, and medical certificates is the appropriate sanction for
such violations, and FAA regulations prohibit application for a new
airman or ground instructor certificate for one year following the
effective date of the order of revocation unless the order provides
otherwise. The previous version of this policy allowed eligible
individuals the opportunity to promptly receive an emergency order of
revocation and, thereby, apply for a new airman or ground instructor
certificate sooner than in the absence of that policy; however, that
policy required a one-year wait period from the effective date of the
order before an individual could apply for a new certificate. This
amended policy will still ensure that eligible individuals promptly
receive an emergency order of revocation, but the order will allow them
the opportunity to apply for a new airman or ground instructor
certificate after nine months from the effective date of the order.
DATES: This notification of enforcement policy is effective January 31,
2022.
FOR FURTHER INFORMATION CONTACT: James Barry, Manager, Policy/Audit/
Evaluation, Enforcement Division, AGC-300, Federal Aviation
Administration, 800 Independence Avenue SW, Washington, DC 20591;
telephone (202) 267-8198; <a href="/cdn-cgi/l/email-protection#e389828e8690cd818291919aa3858282cd848c95"><span class="__cf_email__" data-cfemail="95fff4f8f0e6bbf7f4e7e7ecd5f3f4f4bbf2fae3">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION:
Background
On September 30, 2020, the FAA's prompt settlement policy (2020
PSP) relating to violations of 14 CFR 67.403(a)(1) through (4) \1\ went
into effect.\2\ Under the 2020 PSP, an individual subject to legal
enforcement action based on a violation 14 CFR 67.403 had the
opportunity to enter into a settlement agreement providing for the
prompt issuance of an emergency order revoking the individual's airman,
ground instructor, and medical certificates. The prompt issuance of the
order afforded eligible individuals the opportunity to apply for a new
airman certificate under 14 CFR parts 61, 63, and 65, or a new ground
instructor certificate under 14 CFR part 61, sooner than in the absence
of such a policy.\3\
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\1\ Under 14 CFR 67.403(a)(1) through (4), a person is
prohibited from making or causing to be made: (1) A fraudulent or
intentionally false statement on any application for a medical
certificate or on a request for any Authorization for Special
Issuance of a Medical Certificate (Authorization) or Statement of
Demonstrated Ability (SODA); (2) a fraudulent or intentionally false
entry in any logbook, record, or report that is kept, made, or used
to show compliance with any requirement for any medical certificate
or for any Authorization or SODA; (3) a reproduction, for fraudulent
purposes, of any medical certificate; or (4) an alteration of any
medical certificate.
\2\ Settlement Policy for Legal Enforcement Actions Involving
Medical Certificate-Related Fraud, Intentional Falsification,
Reproduction, or Alteration, 85 FR 60057 (Sept. 24, 2020).
\3\ Individuals were eligible for the 2020 PSP when there was no
question about their qualification to hold a part 61, 63, or 65
certificate other than that presented by the 14 CFR 67.403(a)(1)
through (4) violation and when they had no previous violations of 14
CFR 67.403(a)(1) through (4).
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The 2020 PSP noted that the revocation of all airman, ground
instructor, and medical certificates is the appropriate sanction for
violations of 14 CFR 67.403(a)(1) through (4).\4\ It also explained
that the period between the discovery of an apparent violation of 14
CFR 67.403(a)(1) through (4) and, if appropriate, the issuance of an
order revoking airman, ground instructor, and medical certificates can
be lengthy. In this regard, the 2020 PSP stated that the timing between
the FAA's discovery of an apparent violation of 14 CFR 67.403(a)(1)
through (4) and the issuance of an order of revocation is affected by
the time required to complete a full investigation and multi-tiered
case review. In addition, the 2020 PSP noted that 14 CFR parts 61, 63,
and 65 prohibit individuals whose airman and ground instructor
certificates have been revoked from applying for new airman and ground
instructor certificates for one year following the effective date of an
order of revocation unless the order provides otherwise.\5\ The 2020
PSP provided that individuals would still be subject to the one-year
post-revocation bar for applications for new airman or ground
instructor certificates but would have the opportunity to apply for
such certificates sooner than without the policy because much of the
investigation and case review process would be abbreviated or
eliminated.
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\4\ Under 14 CFR 67.403(b)(1) and (2), a violation of 14 CFR
67.403(a)(1) through (4) is a basis for suspending or revoking all
airman, ground instructor, and medical certificates and ratings held
by the violator and withdrawing all Authorizations or SODA's held by
the violator. See also FAA Order 2150.3C, chap. 9, para. 8
(certificate revocation is appropriate for a violation of 14 CFR
67.403(a)(1) through (4) since such a violation demonstrates a lack
of qualification to hold a certificate).
\5\ See 14 CFR 61.13(d)(2), 63.11(d), and 65.11(d)(1) and (2).
The one-year application restriction applicable to revoked 14 CFR
parts 61, 63, and 65 certificates does not apply to certificates
issued under 14 CFR part 67 or 107.
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The amendment to the 2020 PSP announced in this document will
afford eligible individuals who the FAA has found violated 14 CFR
67.403(a)(1) through (4) the opportunity to promptly receive an
emergency order revoking any airman, ground instructor, and medical
certificate they hold and to apply for a new 14 CFR part 61, 63, or 65
certificate after nine months from the effective date of the order.\6\
Not only
[[Page 3644]]
will this amendment reduce the one-year post-revocation bar related to
the application for new 14 CFR part 61, 63, or 65 certificates to nine
months, it will continue the 2020 PSP's features of promptness in
issuing emergency orders and predictability associated with settlement
agreements.
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\6\ If a certificate revoked by the order was issued under: (1)
14 CFR part 61, the waiting period will apply to all certificates
issued under 14 CFR part 61; (2) 14 CFR part 63, the waiting period
will apply to the kind of part 63 certificate revoked; (3) 14 CFR
part 65, and that certificate was a mechanic or repairman
certificate, the waiting period will apply to both kinds
certificates; or (4) 14 CFR part 65, and that certificate was an air
traffic control tower operator, aircraft dispatcher, or parachute
rigger certificate, the waiting period will apply to the same kind
of certificate revoked.
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Like the 2020 PSP, this amended policy will also apply when any
controlled substance conviction or motor vehicle action that is the
basis for a violation of 14 CFR 61.15(a), (d), or (e) also forms the
basis for an intentional falsification violation under 14 CFR
67.403(a)(1).\7\ For example, the policy will apply to (1) violations
of 14 CFR 67.403(a)(1) and 14 CFR 61.15(e) when the violations were
related to the same driving under the influence conviction; (2)
violations of 14 CFR 67.403(a)(1) and 14 CFR 61.15(a) when the
violations were related to the same controlled substance conviction;
and (3) violations of 14 CFR 67.403(a)(1) and 14 CFR 61.15(d) and (e)
when the violations were related to the same motor vehicle action or
actions.
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\7\ Under 14 CFR 61.15(a), a conviction for the violation of any
Federal or State statute relating to the growing, processing,
manufacture, sale, disposition, possession, transportation, or
importation of narcotic drugs, marijuana, or depressant or stimulant
drugs or substances is grounds for suspension or revocation of any
certificate, rating, or authorization issued under 14 CFR part 61.
Under 14 CFR 61.15(d), except for a motor vehicle action that
results from the same incident or arises out of the same factual
circumstances, a motor vehicle action occurring within three years
of a previous motor vehicle action is grounds for suspension or
revocation of any certificate, rating, or authorization issued under
14 CFR part 61. Under 14 CFR 61.15(e), each person holding a
certificate issued under this part shall provide a written report of
each motor vehicle action to the FAA not later than 60 days after
the motor vehicle action.
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Statement of Policy
Under this amended prompt settlement policy, the FAA will send an
eligible individual who is the subject of an investigation for an
apparent violation of 14 CFR 67.403(a)(1) through (4) a letter of
investigation (LOI) that will offer the individual the opportunity to
enter into a settlement agreement. The settlement agreement will
provide for the prompt issuance of an emergency order (1) revoking all
airman, ground instructor, and medical certificates the individual
holds; (2) requiring the immediate surrender of the affected
certificates; and (3) allowing application for a new airman or ground
instructor after nine months from the effective date of the order. The
settlement agreement will require the individual to waive any right to
appeal from the order. Both certificate holders who are reasonably able
to exercise the privileges of any airman or ground instructor
certificate they hold or certificate holders who are not reasonably
able to exercise such privileges may enter into a settlement agreement
under this amended policy.\8\
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\8\ The FAA generally takes emergency certificate action when
(i) the certificate holder lacks qualifications, there is a
reasonable basis to question whether the certificate holder is
qualified to hold the certificate, or the certificate holder does
not comply with statutory or regulatory requirements to cooperate
with the FAA; and (ii) the certificate holder is reasonably able to
exercise the privileges of the certificate. See Order 2150.3C, chap.
7, para. 4.a.(2). The FAA generally issues notices proposing
certificate action (rather than emergency certificate actions) when
only the first criterion is met, e.g., the certificate holder lacks
qualifications. For example, the FAA generally issues a notice
proposing certificate action involving the revocation of a pilot
certificate when the certificate holder only holds a pilot
certificate and is required to but does not hold a valid medical
certificate. For the limited purposes of this amended policy,
individuals who are not reasonably able to exercise the privileges
of any airman certificate they hold may enter into a settlement
agreement for the issuance of an emergency order of revocation as
described herein.
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This amended policy will apply when any controlled substance
conviction or motor vehicle action that was the basis for a violation
of 14 CFR 61.15(a), (d), or (e) also forms the basis for an intentional
falsification violation under 14 CFR 67.403(a)(1). Under this amended
policy, the FAA will include in the LOI notification to individuals
that they may contact the applicable program office within ten days of
receipt of the LOI to request consideration under the prompt settlement
policy.
Following an individual's request to be considered under this
amended policy, the FAA will determine the individual's eligibility for
the policy. Individuals will be eligible for the policy if there is no
basis other than that presented by the 14 CFR 67.403(a)(1) through (4)
(or 14 CFR 61.15, if applicable) violations to question their
qualification to hold a part 61, 63, or 65 certificate and the FAA has
found they have not previously violated 14 CFR 67.403(a)(1) through
(4).
If the FAA deems an individual is eligible for this amended policy,
the Chief Counsel, or Chief Counsel's designee, will provide the
individual, or his or her legal representative, a formal agreement that
sets forth the conditions for prompt settlement. The terms of this
settlement agreement will normally include the following provisions.
(1) The parties must execute the settlement agreement within ten
days after the FAA sends the agreement to the individual.
(2) The FAA will issue an emergency order revoking all airman,
ground instructor, and unexpired medical certificates the individual
holds immediately upon receiving the fully executed settlement
agreement.
(3) The emergency order of revocation will (i) require the
immediate surrender of all airman, ground instructor, and unexpired
medical certificates the individual holds to agency counsel; (ii)
notify the individual that the failure to immediately surrender these
certificates could subject the individual to further legal enforcement
action, including a civil penalty; and (iii) inform the individual that
the FAA will not accept an application for a new airman certificate
under 14 CFR part 61, 63, or 65, or ground instructor certificate under
14 CFR part 61, for a period of nine months from the effective date of
the order. See fn.6 for details regarding certificate application
waiting periods.
(4) The individual will waive all appeal rights from the emergency
order of revocation.
(5) The individual acknowledges that this agreement only concerns
this enforcement action brought by the FAA and does not affect any
action that might be brought by State or other Federal agencies
(whether civil or criminal), and that this agreement does not prevent
the FAA from providing information about this matter to State or other
Federal agencies.
(6) The parties will agree to bear their own costs and attorney
fees, if any, in connection with the matter.
(7) The individual will agree to not initiate any litigation before
any court, tribunal, or administrative entity concerning any costs,
damages, or attorney fees, including applications under the Equal
Access to Justice Act, incurred as a result of the above-referenced
matter.
(8) The individual will agree to waive any and all causes of action
against the FAA and its current and/or former officials and employees
relating to the above-referenced matter.
This amended policy will allow eligible individuals to more quickly
apply for new 14 CFR parts 61, 63, and 65 certificates following a
violation of 14 CFR 67.403(a)(1) through (4). It also reduces
uncertainty about the date of issuance of emergency orders of
revocation related to such violations, eliminates the unpredictability
of litigation, and promotes better resource allocation.
[[Page 3645]]
Issued in Washington, DC, on January 19, 2022.
Cynthia A. Dominik,
Assistant Chief Counsel for Enforcement.
[FR Doc. 2022-01308 Filed 1-24-22; 8:45 am]
BILLING CODE 4910-13-P
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