Amended Prompt Settlement Policy for Legal Enforcement Actions Involving Medical Certificate-Related Fraud, Intentional Falsification, Reproduction, or Alteration, 3643-3645 [2022-01308]

Download as PDF 3643 Rules and Regulations Federal Register Vol. 87, No. 16 Tuesday, January 25, 2022 DATES: The Code of Federal Regulations is sold by the Superintendent of Documents. FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF TRANSPORTATION Federal Aviation Administration [Docket No.: FAA–2020–0809] This notification of enforcement policy is effective January 31, 2022. James Barry, Manager, Policy/Audit/ Evaluation, Enforcement Division, AGC–300, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591; telephone (202) 267–8198; james.barry@ faa.gov. 14 CFR Parts 61, 63, 65, 67, and 107 SUPPLEMENTARY INFORMATION: Amended Prompt Settlement Policy for Legal Enforcement Actions Involving Medical Certificate-Related Fraud, Intentional Falsification, Reproduction, or Alteration Background Federal Aviation Administration (FAA), Department of Transportation (DOT). ACTION: Notification of enforcement policy. AGENCY: 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 SUMMARY: khammond on DSKJM1Z7X2PROD with RULES 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. 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. VerDate Sep<11>2014 15:49 Jan 24, 2022 Jkt 256001 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 The 2020 PSP noted that the revocation of all airman, ground instructor, and medical certificates is the appropriate sanction for violations 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). PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 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 multitiered 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. 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 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. 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 E:\FR\FM\25JAR1.SGM Continued 25JAR1 3644 Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Rules and Regulations will this amendment reduce the oneyear 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. 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. khammond on DSKJM1Z7X2PROD with RULES 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 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. 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. VerDate Sep<11>2014 15:49 Jan 24, 2022 Jkt 256001 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 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 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. PO 00000 Frm 00002 Fmt 4700 Sfmt 4700 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 abovereferenced 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. E:\FR\FM\25JAR1.SGM 25JAR1 Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Rules and Regulations 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 DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA–2021–0276; Airspace Docket No. 21–ACE–1] RIN 2120–AA66 Amendment, Establishment, and Revocation of Multiple Air Traffic Service (ATS) Routes in the Vicinity of Neosho, MO Federal Aviation Administration (FAA), DOT. ACTION: Final rule, correction. AGENCY: The FAA is correcting the effective date listed and the area navigation (RNAV) routes T–411 and T– 413 regulatory text title information formatting listed in the final rule for Docket No. FAA–2021–0276 that published in the Federal Register of January 14, 2022. That final rule amended Jet Route J–181 and VHF Omnidirectional Range (VOR) Federal airways V–13, V–14, V–15, and V–307; established RNAV routes T–411 and T– 413; and removed VOR Federal airway V–506 in the vicinity of Neosho, MO. This action reflects the correct final rule effective date and the correct RNAV routes T–411 and T–413 title information formatting. DATES: The effective date of the final rule published on January 14, 2022 (87 FR 2320) is corrected to March 24, 2022. The Director of the Federal Register approves this incorporation by reference action under 1 CFR part 51, subject to the annual revision of FAA Order JO 7400.11 and publication of conforming amendments. FOR FURTHER INFORMATION CONTACT: Colby Abbott, Rules and Regulations Group, Office of Policy, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591; telephone: (202) 267–8783. SUPPLEMENTARY INFORMATION: khammond on DSKJM1Z7X2PROD with RULES SUMMARY: Background The FAA published a final rule for Docket No. FAA–2021–0276 in the Federal Register (87 FR 2320; January 14, 2022) amending Jet Route J–181 and VOR Federal airways V–13, V–14, V–15, and V–307; establishing RNAV routes VerDate Sep<11>2014 15:49 Jan 24, 2022 Jkt 256001 T–411 and T–413; and removing VOR Federal airway V–506 in the vicinity of Neosho, MO. Subsequent to publication, it was determined that the effective date published in the final rule incorrectly listed the date as January 27, 2022, and the regulatory text T–411 and T–413 title information formatting in the descriptions was published in all capital letters and did not conform to the FAA Order JO 7400.2 regulatory guidance for RNAV route descriptions. The correct effective date for this action is March 24, 2022, and the correct T–411 and T– 413 title information formatting should not be in all capital letters. The corrections are reflected in this final rule correction. Need for Correction As published, the final rule contained errors in the effective date listed and the T–411 and T–413 regulatory text title information formatting and require correction. This corrective action is necessary to avoid confusion as to the correct effective date and to publish the new RNAV route descriptions using the correct formatting for that rulemaking, Docket No. FAA–2021–0276. Correction to Final Rule Accordingly, pursuant to the authority delegated to me, the effective date and the T–411 and T–413 RNAV route descriptions reflected in Docket No. FAA–2021–0276, as published in the Federal Register of January 14, 2022 (87 FR 2320, FR Doc. 2022–00458), are corrected as follows: 1. In FR Doc. 2022–00458, appearing on page 2320, in the second column, at lines 1 and 2, correct ‘‘January 27, 2022’’ to read ‘‘March 24, 2022.’’ 2. In FR Doc. 2022–00458, appearing on page 2322, in the first column, at line 9, correct ‘‘T–411 RAZORBACK, AR (RZC) TO LINCOLN, NE (LNK) [NEW]’’ to read ‘‘T–411 Razorback, AR (RZC) to Lincoln, NE (LNK) [New].’’ ■ 3. In FR Doc. 2022–00458, appearing on page 2322, in the first column, at line 15, correct ‘‘T–413 RAZORBACK, AR (RZC) TO PIERRE, SC (PIR) [NEW]’’ to read ‘‘T–413 Razorback, AR (RZC) to Pierre, SD (PIR) [New].’’ ■ Issued in Washington, DC, on January 21, 2022. Michael R. Beckles, Manager, Rules and Regulations Group. [FR Doc. 2022–01360 Filed 1–24–22; 8:45 am] BILLING CODE 4910–13–P PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 3645 DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA–2021–0985; Airspace Docket No. 21–ASO–28] RIN 2120–AA66 Amendment and Establishment of Class E Airspace; Key Largo, FL Federal Aviation Administration (FAA), DOT. ACTION: Final rule. AGENCY: This action establishes Class E surface airspace to accommodate Area Navigation (RNAV) Global Positioning System (GPS) Standard Instrument Approach Procedures (SIAPs) serving Ocean Reef Club Airport, Key Largo, FL. This action also amends Class E airspace extending upward from 700 feet above the surface for Ocean Reef Club Airport by updating the geographic coordinates of the airport and correcting the descriptor by replacing AL with FL. Controlled airspace is necessary for the safety and management of instrument flight rules (IFR) operations in the area. DATES: Effective 0901 UTC, March 24, 2022. The Director of the Federal Register approves this incorporation by reference action under 1 CFR part 51, subject to the annual revision of FAA Order JO 7400.11 and publication of conforming amendments. ADDRESSES: FAA Order JO 7400.11F, Airspace Designations and Reporting Points, and subsequent amendments can be viewed online at https:// www.faa.gov/air_traffic/publications/. For further information, you can contact the Airspace Policy Group, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591; Telephone: (202) 267–8783. The Order is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of FAA Order JO 7400.11F at NARA, email fr.inspection@nara.gov or go to https:// www.archives.gov/federal-register/cfr/ ibr-locations.html. FOR FURTHER INFORMATION CONTACT: John Goodson, Operations Support Group, Eastern Service Center, Federal Aviation Administration, 1701 Columbia Ave., College Park, GA 30337; Telephone (404) 305–5966. SUPPLEMENTARY INFORMATION: SUMMARY: Authority for This Rulemaking The FAA’s authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. E:\FR\FM\25JAR1.SGM 25JAR1

Agencies

[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 [www.gpo.gov]
[FR Doc No: 2022-01308]



========================================================================
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. 

========================================================================


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; [email protected].

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).
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

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\
---------------------------------------------------------------------------

    \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