5-320 VOLUNTARY SURRENDER OF CERTIFICATE OR RATING. An ASI may only accept an application for voluntary surrender, or “downgrading,” of a pilot certificate or rating in accordance with § 61.27. No certificate or rating may be accepted for surrender or downgrading unless the applicant submits a request in writing and fully understands that he or she has no reinstatement rights.
A. Conditions for Surrender. There are four basic conditions for the surrender of an airman certificate or rating:
1) Voluntary surrender unrelated to an enforcement case;
2) Voluntary surrender in anticipation of FAA certificate action;
3) Voluntary temporary deposit of an airman certificate to the custody of the FSDO when an airman’s competency has been questioned by the FAA and the enforcement action or reexamination is justifiably delayed; and
4) Surrender at the Office of the Chief Counsel (AGC) attorney’s request.
B. Reason for Surrender. An FAA ASI may not accept an airman certificate unless the reason for surrender is identified. Surrender of that certificate must be in accordance with procedures described in this order. Under no circumstance may a pilot certificate be accepted for voluntary surrender unless the ASI immediately contacts AGC and explains the facts and circumstances concerning the surrender. The airman certificate may be accepted only with the concurrence of, and in accordance with, the directions of the attorney with AGC. Legal enforcement cases involving the surrender of an airman certificate must be forwarded to the FAA attorney for processing no later than 5 business-days after the date of certificate surrender.
1) If no enforcement action is pending or being contemplated under § 61.27, an airman may, for personal reasons, voluntarily surrender the certificate to the FAA for the purpose of cancellation of the certificate, reissuance of the certificate at a lower grade, or reissuance of the certificate with specific ratings deleted.
a) An airman may have many reasons for voluntarily surrendering or exchanging a certificate. One reason could be that the FAA has questioned the pilot’s competency, and the airman is to be reexamined under Title 49 of the United States Code (49 U.S.C.) § 44709. In this instance, the airman may elect to surrender the certificate or rating, in writing, in lieu of submitting to reexamination (see Figure 5-22, Letter of Surrender (In Lieu of a Reexamination)).
b) When an airman elects to surrender the certificate as described above, the ASI may accept the certificate, along with a letter of surrender signed by the airman (see Figure 5-23, Letter of Voluntary Surrender) and the accompanying acknowledgement letter signed by the FAA employee. The certificate, the original Temporary Airman Certificate (FAA Form 8060-4), the application for the issuance of a modified certificate (FAA Form 8710-1), and the letter of surrender should be forwarded to the Airmen Certification Branch.
c) The surrender letter must clearly spell out the incident or event and the airman’s involvement. The letter should state that the airman has been apprised of his or her legal rights and clearly state the voluntary nature of the surrender in view of these rights. The letter may not be conditional and must be patterned after Figure 5-24, Letter of Surrender (Pending Enforcement Action).
2) An airman may surrender a pilot certificate to the FAA at any stage of an investigation (refer to FAA Order 2150.3, FAA Compliance and Enforcement Program). Great care must be exercised when accepting an airman certificate for surrender when enforcement action is pending.
a) The eventual action of the FAA could possibly be other than certificate action. In addition, AGC may be unable to provide priority handling of such cases (the failure to promptly issue an Order of Suspension or Order of Revocation may impose an undue sanction on the airman).
b) Not only must the surrender be voluntary, but it must also be documented as such. It must be absolutely clear that no FAA coercion was used. For example, if an FAA ASI, during an investigation, told an airman that the airman had violated a regulation, then accepted the certificate for surrender, the action would not appear voluntary. In a legal enforcement case, no FAA ASI has either the authority or responsibility to make such a statement; this is a function of AGC.
c) The airman must be told that any statement the airman makes can and may be used against the airman in legal proceedings, and that the airman need not make any statement without being represented by legal counsel.
d) The airman must be apprised of FAA legal enforcement procedures, as described in 14 CFR part 13, §§ 13.15 and 13.19.
3) An airman may temporarily deposit an airman certificate voluntarily in the custody of a FSDO (for a maximum of 30 calendar-days at a time) while the airman is preparing for a reexamination of competence. The airman must be informed, in the presence of a third person, that the airman is not required to deposit the airman certificate with the FSDO or to sign any statement. This procedure can also be used for an airman convalescing from an accident or an illness, or for a person having the aircraft repaired that is intended to be used for the reexamination flight check.
a) Temporary deposit must never be used to resolve a violation of the regulations (i.e., reexamination is not used as a punishment or as a substitute for enforcement action). A Temporary Airman Certificate with the original certificate number affixed may be issued to the airman to allow solo practice to prepare for reexamination or to continue flying with limitations. In this case, “PASSENGER CARRYING PROHIBITED” or other appropriate limitations should be included (see Figure 5-25, Sample FAA Form 8060-4, Temporary Airman Certificate Showing Passenger Carry Limitation (Maintained at FSDO Level Only)). For example, if instrument competency is questioned, the Temporary Airman Certificate should omit the instrument rating. The same procedure could be used with any rating questioned. In no case should a Student Pilot Certificate be issued to the holder of another Student (or other) Pilot Certificate. The Temporary Airman Certificate issued and the letter of temporary deposit to the FSDO must have the same expiration date (see Figure 5-26, Sample FAA Form 8060-4, Temporary Airman Certificate Emergency Field Issuance (Maintained at FSDO Level Only) and Figure 5-27, Letter of Temporary Deposit). The ASI may issue a new Temporary Airman Certificate for an additional period of 30 calendar-days, provided the airman agrees to such action and submits a new letter of temporary deposit to the FSDO with the appropriate expiration date as described above.
b) If at the end of the expiration date the airman has not passed the reexamination test, fails to appear, or has not made other acceptable arrangements, immediate legal enforcement action (emergency suspension) must be taken to suspend the permanent airman certificate or rating in question until the airman demonstrates competency to hold that certificate.
4) Surrender at the request of AGC is an action taken as the result of an Order of Suspension or Order of Revocation issued by AGC. From time to time, AGC requests the FSDO to pick up a certificate when an airman fails to surrender the certificate as a result of an order from AGC. ASIs should take the following actions:
a) The specific AGC attorney’s instructions should be followed. In most cases, it is requested that an ASI contact the airman to be sure the airman understands that the order demands the surrender of the certificate.
b) The ASI must review the Order of Suspension or Order of Revocation so that the ASI is familiar with the allegations. The ASI should then arrange a meeting with the airman. The ASI should take to the meeting a copy of the Order of Suspension or Order of Revocation, a Loss of Certificate Affidavit (see Figure 5-28, Loss of Certificate Affidavit), and a franked envelope addressed to AGC.
c) When meeting the airman, the ASI should present official identification and inquire if the airman has received the Order of Suspension or Order of Revocation. If the airman has not received a copy, present the airman with a copy. The ASI should point out the action taken in the order and offer to accept the certificate for surrender to the FAA. The ASI may not enter into a discussion as to the authenticity of the facts, evidence, or the propriety of the sanction. The ASI should advise the airman that failure to surrender the certificate within the period of time specified in the order would make the airman subject to additional action.
d) If the airman states that the certificate is lost, the ASI should give the airman the affidavit form and the franked envelope addressed to AGC. The ASI should instruct the airman to complete the affidavit and forward it in lieu of the lost certificate.
e) If the airman does not wish to surrender the certificate to the ASI, the ASI should give the airman the franked envelope addressed to AGC so the airman can forward the certificate to the proper office.
f) If at any time the ASI has any reason to believe that a hostile or dangerous confrontation is likely, the matter must be discussed with AGC before taking the action. When a potentially hazardous confrontation is expected, a U.S. Marshall can accompany the ASI to the meeting with the airman.
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