Appendix — Culuton v. United States

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TABLE OF CONTENTS — APPENDIX

Page

Opinion, United States v. Culliton, 300 F.3d

els sisssasevesistcorsscescesccccesee App. 1

Opinion, United States v. Culliton, 328 F.3d

Nee rc iisissssssuscrvererserssssccsece App. 12

Order Denying Petition for Rehearing and

Rehearing En Banc, United States v. Culliton,

No. 00-10599, August 25, 2008 ..................seeeees App. 27

Amicus Letter of Aircraft Owners and Pilots

Association, TOG T/SGO/0G.......................sccecereeeee App. 28

FAA form 8500-8 for James Michael Culliton

i iiseiridesecnserssssevesseresccesee App. 32

App. 1

APPENDIX 1

300 F.3d 1139

UNITED STATES OF AMERICA, Plaintiff-Appellee,

v. JAMES M. CULLITON, Defendant-Appellant. ~

No. 00-10599

UNITED STATES COURT OF APPEALS

FOR THE NINTH CIRCUIT

June 12, 2002, Argued and Submitted,

San Francisco, California

August 22, 2002, Filed

NOTICE:

THIS OPINION WAS WITHDRAWN BY THE COURT.

SUBSEQUENT HISTORY:

Opinion withdrawn by, Substituted opinion ‘at United

States v. Culliton, 2003 U.S. App. LEXIS 8134 (9th Cir.

Cal., Apr. 30, 2003)

PRIOR HISTORY:

Appeal from the United States District Court for the

Eastern District of California. D.C. No. CR-99-00537-EJG.

Edward J. Garcia, District Judge, Presiding.

DISPOSITION:

Defendant’s conviction reversed.

COUNSEL:

Richard Staff, Sacramento, California, for the defendant-

appellant.

App. 2

James P. Arguelles, Assistant U.S. Attorney, Sacramento,

California, for the plaintiff-appellee.

JUDGES:

Before: Alfred T. Goodwin, Michael Daly Hawkins and

Raymond C. Fisher, Circuit Judges. Opinion by Judge

Hawkins.

OPINION BY:

Michael Daly Hawkins

OPINION:

HAWKINS, Circuit Judge:

Culliton appeals his conviction under 18 U.S.C. § 1001

for making false statements on a medical form submitted

to the Federal Aviation Administration (“FAA”). He argues

the form is fundamentally ambiguous and therefore the

district court should have dismissed the indictment.

Joining the only other circuit to address the issue,’ we

conclude that the challenged questions on the FAA form

are sufficiently confusing, vague and overbroad as to invite

selective prosecution. Consequently, we reverse Culliton’s

conviction.’

* See United States v. Manapat, 928 F.2d 1097 (11th Cir. 1991).

* Nothing in this opinion should be read to restrict the ability of

the FAA to continue to use this form to elicit medical information from

prospective and current pilots and to respond to false or inaccurate

statements on the form as a basis for administrative discipline,

including license forfeiture.

Me

App. 3

BACKGROUND

James Culliton is an aviation lawyer and pilot. In

August 1995, he reclined in a chair that broke and tipped

over, which caused him to hit his head on a credenza

nearby. Following the accident, Culliton was treated for

vision problems, dizziness, headaches, memory loss and

depression. As a result of his injuries, Culliton brought a

private civil action against three defendants, eventually

reaching a settlement with two of them. The third, Viking

Office Products, asserted a defense of insurance fraud and

refused to settle. Apparently dissatisfied with available

civil relief, Viking decided to seek criminal sanctions,

transferring Culliton’s confidential medical records to its

private investigators who in turn convinced California

State investigator, Alberto Perez, to seek criminal prosecu-

tion. Perez first sought out the Sacramento County Dis-

trict Attorney's office, which declined to file a criminal

complaint. Undeterred, Perez took the matter to the

United States Attorney’s office, which presented the

information to a grand jury. The grand jury returned an

indictment for a violation of 18 U.S.C. § 1001, which

prohibits making materially false statements on matters

within the jurisdiction of the federal government.»

* The statute, 18 U.S.C. § 1001, states in relevant part:

Whoever . . . knowingly and willfully -

(1) falsifies, conceals or covers up . . . a material fact; [or]

(2) makes any materially false, fictitious or fraudulent ...

statement or representation;

shall be fined under this title or imprisoned not more than 5

years, or both.

App. 4

The basis for that indictment occurred in June 1997

when Culliton had filled out a federal FAA Form 8500-8 to

obtain an airman medical certificate.‘ Culliton checked the

NO box to the three issues mentioned in the following

question:

18. Have you ever had or have you now, any of

the following? Answer “yes” for every condition

you have ever had in your life. In the EXPLA-

NATION box below, you may note “PREVI-

OUSLY REPORTED, NO CHANGE?” only if the

explanation of the condition was reported on a

prior application for an airman medical certifi-

cate and there has been no change in your condi-

tion.: ... (b) dizziness or fainting spells, ... (d)

eye or vision trouble except glasses, [and]... (m)

mental disorders of any sort: depression, anxiety,

etc.

Culliton appealed after being convicted and sentenced.

ANALYSIS

This case presents the question whether the district

court erred in submitting this matter to the jury because

the questions which prompted the defendant’s false

statements are so fundamentally ambiguous that the court

should have dismissed the indictment under Section 1001

as a matter of law. Generally speaking, the existence of

* Form 8500-8 is submitted every year by pilots seeking recertifica-

tion and includes about 40 yes/no questions. The origins of this case

were recounted in Culliton’s brief and in the excepts of record. The

details were not contested by the government in either its response to

Culliton’s motion to dismiss or in its brief on appeal.

App. 5

some ambiguity in a falsely answered question will not

shield the respondent from a perjury or false statement

prosecution. United States v. Slawik, 548 F.2d 75, 86 (3d

Cir. 1977). Normally, it is for the jury to decide which

construction the defendant placed on a question. Id. If

however, a question is “excessively vague, or ‘fundamen-

tally ambiguous,” the answer may not, as a matter of law,

form the basis of a prosecution for perjury or false state-

ment. United States v. Ryan, 828 F.2d 1010, 1015 (3d Cir.

1987) (citing United States v. Lighte, 782 F.2d 367, 375 (2d

Cir. 1986)), abrogated on other grounds by United States v.

Wells, 519 U.S. 482, 486 n.3, 137 L.Ed.2d 107, 117 S. Ct.

921 (1997). Ryan determined that this point is reached

“when it is entirely unreasonable to expect that the defen-

dant understood the question” or when persons of ordinary

intellect cannot agree on the question’s meaning. Ryan,

828 F.2d at 1015.

This Court has not previously addressed the question

of excessive vagueness in the Section 1001 context. But we

have addressed this issue in the analogous context of 18

U.S.C. § 1623 (false statements to a grand jury or court).

See United States v. Boone, 951 F.2d 1526 (9th Cir. 1991).

A question is fundamentally ambiguous when it

is not a phrase with a meaning about which men

of ordinary intelligence could agree, nor one

which could be used with mutual understanding

by a questioner and answerer unless it were de-

fined at the time it were sought and offered as

testimony.

Id. at 1534 (internal citations and quotation marks

omitted). In the context of witnesses later being charged

for perjury, precise questioning has been determined as a

necessity for three reasons:

App. 6

to (1) preclude convictions grounded on surmise

or conjecture; (2) prevent witnesses from unfairly

bearing the risks of inadequate examination; and

(3) encourage witnesses to testify (or at least not

discourage them from doing so). Unfortunately,

line drawing is inevitable, for to precisely define

the point at which a question becomes funda-

mentally ambiguous, and thus not amenable to

jury interpretation, is impossible.

United States v. Farmer, 137 F.3d 1265, 1269 (9th Cir.

1998) (citations omitted).

Our task then is to determine whether the Form

asked excessively vague questions. If we determine that

the questions were only “arguably ambiguous” or not

ambiguous at all, then the district court was correct to ask

the jury to determine whether it “could conclude beyond a

reasonable doubt that the defendant understood the

question as did the government and that, so understood,

the defendant’s answer was false.” Boone, 951 F.2d at 1533

(internal quotation marks omitted). See also United States

v. Bonacorsa, 528 F.2d 1218, 1221 (2d Cir. 1976) (“Absent

fundamental ambiguity or impreciseness in the question-

ing, the meaning and truthfulness of appellant’s answer

was for the jury.”).

In Bronston v. United States, 409 U.S. 352, 362, 34 L.

Ed. 2d 568, 93 S.Ct. 595 (1973), the Supreme Court,

reversing a perjury conviction, ruled that “precise ques-

tioning is imperative as a predicate for the offense of

perjury.” Convictions for false statements under Section

1001 are closely analogous. Therefore we must look to the

questions on the Form and see whether those questions

are sufficiently precise. See Lighte, 782 F.2d at 375 (“When

a line of questioning is so vague as to be ‘fundamentally

App. 7

ambiguous, the answers associated with the questions

posed may be insufficient as a matter of law to support the

perjury conviction. Inasmuch as the issue then becomes

one of legal sufficiency, a reviewing court may override a

jury determination.”) (internal citations omitted).

The government argues that Culliton’s answers to the

Form were properly submitted to the jury because the

district court instructed the jury that Culliton thought the

questions were ambiguous and that Culliton’s “under-

standing of the questions is a matter for the jury to de-

cide.” This begs the question: whether they were

sufficiently vague or ambiguous as to preclude prosecution

for a false statement.

At argument, the government acknowledged that the

FAA Form questions were capable of rendering innocent

responses objectively false. For example, the Form asks if

one has ever experienced dizziness. The government

conceded that a prospective pilot whose dizziness resulted

from once participating in the game of “Dizzy Izzy” could

still properly check “No” on the FAA Form.’ This response

would be both “innocently” true but objectively false,

thereby subjecting the respondent to criminal prosecution.

The same vagueness afflicts the other questions that

served as the basis for the indictment in this case. Culliton

was asked on the Form: Have you ever had mental disorders

5 “Dizzy Izzy” is a contest, often put on between innings of baseball

games, in which two spectators are invited down to the field, where

they place their foreheads on top of a baseball bat standing on the

ground and then circle the bat a number of times, after which they

must run in a straight line down the field.

App. 8

of any sort? This question tempts a range of answers. It

may invite a “Yes” answer from someone without any

history of diagnosis by a licensed clinician and it may elicit

a “No” answer from someone who has had a medical

diagnosis but disagrees with that diagnosis, perhaps

because another clinician rejected the earlier diagnosis.

Because the question is capable of several meanings,’ we

refuse to permit objectively false answers to the question

to serve as a basis for false statement prosecutions. The

uncertain nature of the question is precisely what makes

it sufficiently vague as to preclude criminal prosecution.

The question asking about eye or vision trouble

invites the same confusion. Someone who once had a bug

fly into an eye while riding a bicycle and had to stop to

remove it has had eye or vision trouble. Is it proper to

check the “No” box? Reasonable people might offer differ-

ent answers, but criminal prosecutions should not depend

upon those differing answers. (And at the very least, a

prosecution should not be contingent upon which person or

entity one has recently offended in an unrelated civil

lawsuit.)

The FAA itself has expressed concerns about the

vagueness of the Form in the past. The Broderick

Memorandum, a 1987 FAA document, noted that the FAA

needed to “think about changing the form and substance of

the questions asked in” Form 8500-8, in part because the

* The question may mean: “Do you think you have ever had a

mental disorder?” It is also capable of meaning “Have you been

diagnosed with a mental disorder?”

App. 9

“vague, qualitative, and evaluative nature of these ques-

tions” has made difficult the prosecution of people in the

past.’

Because the questions are confusing and capable of

various meanings, we do not think a conviction based on

answers to those questions is consistent with someone’s

protected Due Process rights - the questions invite the

arbitrary deprivation of liberty interests by selective

enforcement.

We are bound by the Supreme Court’s instructions on

vagueness as it pertains to criminal convictions. “Vague-

ness is constitutionally problematic when a criminal

statute either ‘fails to provide the kind of notice that will

enable ordinary people to understand what conduct it

prohibits[, or] may authorize and even encourage arbitrary

and discriminatory enforcement.” City of Chicago v.

Morales, 527 U.S. 41, 56, 144 L. Ed. 2d 67, 119 S. Ct. 1849,

(1999) (citing Kolender v. Lawson, 461 U.S. 352, 357, 75 L.

Ed. 2d 903, 103 S. Ct. 1855, (1983)). It is not our conclu-

sion that 18 U.S.C. § 1001 is “so vague and standardless

that it leaves the public uncertain as to the conduct it

prohibits.” Rather, the Form that served as the basis for

the false statements is so vague that a conviction based

7 The government asserts that the Memo is only about “drug

convictions” and “alcohol-related driving convictions,” and that the

Memo is “silent on the topic of medical history questions of Form 8500-

8.” Its references to vagueness are therefore inapposite, claims the

government. We disagree. It is true that the Memo mentions questions

about convictions, but the Memo in no way indicates that the questions

that are vague are limited to those about convictions. The comment

about vagueness is in the last and separate paragraph. [See Supple-

mental Excerpts of Record at 145.]

App. 10

thereon “fails to meet the requirements of the Due Process

Clause.” 527 U.S. at 56. The Constitution does not permit

the government to “set a net large enough to catch all

possible offenders, and leave it to the courts to step inside

and say who could be rightfully detained, and who should

be set at large.” United States v. Reese, 92 U.S. 214, 221,

23 L. Ed. 563 (1876).

Here, the broad sweep of the language in the Form

violates the requirement that the government “establish

minimal guidelines to govern law enforcement.” Morales,

527 U.S. at 60 (internal quotation marks omitted). Given

the unusual circumstances in which this case arose, we

are particularly leery of permitting prosecutors to use the

criminal laws as part of a “standardless sweep ... to

pursue their personal predilections.” Kolender, 461 U.S. at

358 (internal quotation marks omitted). As the defendant

notes, everyone has been dizzy in their life (perhaps by

playing childhood games) and everyone at some point has

headaches or anxiety. If all applicants answered yes to

these questions, the government would be forced to engage

in extensive and often unnecessary medical exams. Even

Dr. Silberman, the senior flight surgeon of the FAA, stated

that Form questions left it “up to the airman” to report

certain conditions. Thus, any prosecution on the basis of

such questions would necessarily be arbitrary.

Our holding that the Form does not survive constitu-

tional vagueness scrutiny is bolstered by the conclusions of

our sister Circuit, which has similarly found unacceptable

App. 11

convictions arising from false statements from this Form.”

See United States v. Manapat, 928 F.2d 1097 (11th Cir.

1991). Although that decision focused on questions about

prior convictions, the Eleventh Circuit saw questions on

that Form as fundamentally ambiguous, therefore preclud-

ing criminal prosecutions under Section 1001.’ Specifically,

the Eleventh Circuit said “the government may not pro-

vide someone with a confusing and ambiguous form and

then prosecute when the answers are inaccurate.” Id. at

1102. We agree.

REVERSED.”

® There are some very minor (and for our purposes, irrelevant)

differences between the FAA Form under consideration in Manapat and

the one here.

* It is worth noting that the questions sparking the controversy in

Manapat, which asked respondents about prior convictions, required

answers that are far more objective than whether someone has or had a

mental disorder or vision trouble.

Because we reverse the conviction, we refrain from addressing

Culliton’s suggestion that the criminal prosecution was improper before

the FAA took administrative action.

0 ee

App. 12

APPENDIX 2

328 F.3d 1074

UNITED STATES OF AMERICA, Plaintiff-Appellee,

v. JAMES M. CULLITON, Defendant-Appellant.

No. 00-10599

UNITED STATES COURT OF APPEALS

FOR THE NINTH CIRCUIT

June 12, 2002, Argued and Submitted,

— San Francisco, California

April 30, 2003, Filed

PRIOR HISTORY:

Appeal from the United States District Court for the

Eastern District of California. D.C. No. CR-99-00537-EJG.

Edward J. Garcia, District Judge, Presiding. United States

v. Culliton, 300 F.3d 1139, 2002 U.S. App. LEXIS 17347

(9th Cir. Cal., 2002)

DISPOSITION:

Affirmed.

COUNSEL:

Richard Staff, Sacramento, California, for the defendant-

appellant.

James P. Arguelles, Assistant U.S. Attorney, Sacramento,

California, for the plaintiff-appellee.

App. 13

JUDGES:

Before: Alfred T. Goodwin, Michael Daly Hawkins and

Raymond C. Fisher, Circuit Judges.

OPINION:

ORDER

The opinion filed August 22, 2002, and appearing at

300 F.3d 1139 (9th Cir. 2002), is WITHDRAWN. It may not

be cited as precedent by or to this court or any district

court of the Ninth Circuit.

PER CURIAM:

James Culliton appeals his felony conviction under 18

U.S.C. § 1001 for making false statements on a medical

form submitted to the Federal Aviation Administration

(“FAA”). Culliton bases his appeal on three legal theories:

First, the FAA form is fundamentally ambiguous and

therefore the district court should have dismissed the

Government’s false statement indictment. Second, Culli-

ton’s felony conviction resulted from selective prosecution

and therefore amounted to a denial of Due Process. Third,

the doctrine of primary jurisdiction prevented the district

court from presiding over Culliton’s indictment until, and

unless, the FAA first revoked his medical certification.

We reject all three theories and affirm Culliton’s

conviction, after a jury trial, for making knowing and

willful false statements in a matter within the jurisdiction

of the FAA.

BACKGROUND

James Culliton is an aviation lawyer, a pilot, and a

former inspector for the FAA. In August 1995, he reclined

App. 14

in a chair that broke and tipped over, causing him to hit

the back of his head against a credenza nearby. Following

the accident, Culliton sought treatment from various

health professionals, including a primary care physician,

an ophthalmologist, and a neurologist, for a variety of

medical problems. For almost two years after the accident,

Culliton complained of decreased vision in the right eye,

occasional double vision, dizziness, nausea, persistent

headaches, difficulty with concentration, personality-type

changes, and anxiety attack symptoms.

Culliton brought a personal injury action against

three defendants responsible for manufacturing and

retailing the defective chair. Two of the defendants agreed

to settle for $500,000 while the third defendant, Viking

Office Products, asserted a defense of insurance fraud and

refused to settle. At this point, the parties’ accounts of the

subsequent events diverge.

Culliton contends that Viking’s private detectives

convinced a state investigator for the California Depart-

ment of Insurance to pursue a fraud prosecution through

the Sacramento County District Attorney’s Office. When

the D.A.’s office refused to proceed, the state investigator

prevailed upon the U.S. Attorney for the Eastern District

of California to prosecute Culliton for false statements

made to the FAA about his medical history.

The Government maintains that this prosecution was

not “selective.” It asserts that Viking originally reported

its suspicion of insurance fraud to the county D.A.’s office

which, because of lack of funding, referred the matter to

the California Department of Insurance for further inves-

tigation. In the course of preparing its case, one of the

department’s investigators learned of Culliton’s false

App. 15

statements to the FAA. When the department determined

that it would not bring a fraud action, it referred the case

to the U.S. Attorney’s Office for possible federal prosecu-

tion under 18 U.S.C. § 1001. The statute provides in

relevant part:

[W]hoever, in any matter within the jurisdiction

of the executive, legislative, or judicial branch of

the Government of the United States, knowingly

and willfully — (1) falsifies, conceals, or covers up

by any trick, scheme, or device a material fact;

(2) makes any materially false, fictitious, or

fraudulent statement or representation; or (3)

makes or uses any false writing or document

knowing the same to contain any materially

false, fictitious, or fraudulent statement or entry;

shall be fined under this title or imprisoned not

more than 5 years, or both.

The basis for the Government’s prosecution occurred

in June 1997 when Culliton, in the course of obtaining an

airman medical certificate, answered “No” to the following

three questions contained in FAA Form 8500-8:

Have you ever had or have you now, any of the follow-

ing? Answer “yes” for every condition you have ever had in

your life. In the EXPLANATION box below, you may note

“PREVIOUSLY REPORTED, NO CHANGE” only if the

explanation of the condition was reported on a prior

application for an airman medical certificate and there has

’ As the Privacy Act Statement attached to Form 8500-8 explains,

“the purpose of the information is to determine whether you meet

Federal Aviation Administration medical requirements to hold an

airman medical certificate or airman medical and student pilot

certificate.”

eae

-_

App. 16

been no change in your condition. See instructions page.

(Emphasis in original.) (b) dizziness or fainting spells —

Yes or No

(d) eye or vision trouble except glasses — Yes or No

(m) mental disorders of any sort: depression, anxiety, etc.

— Yes or No

The instructions page provides:

MEDICAL HISTORY —-Each item under this heading

must be checked either “yes” or “no.” You must answer

“yes” for every condition you have ever had in your life and

describe the condition and approximate date in the EX-

PLANATIONS box.

If information has been reported on a previous appli-

cation for airman medical certificate and there has been

no change in your condition, you may note “PREVIOUSLY

REPORTED, NO CHANGE” in the EXPLANATIONS box,

but you must still check “yes” to the condition. Do not

report occasional common illnesses such as colds or sore

throats.

Even though Culliton recently sought medical treat-

ment for dizziness, vision problems, and anxiety symp-

toms, see supra, he answered “No” to each query recited

above. After a four day trial, a jury convicted Culliton of

knowingly providing false statements to a federal agency

in violation of 18 U.S.C. § 1001 and the court imposed a

fine of $5,000. Culliton filed a timely notice of appeal. We

have jurisdiction under 18 U.S.C. § 3742 and 28 U.S.C.

§ 1291, and affirm the judgment.

App. 17

ANALYSIS

I. Fundamental Ambiguity of FAA Form 8500-8

Culliton’s first argument on appeal is that the district

court should have dismissed his indictment because of the

“fundamental ambiguity” of FAA Form 8500-8 (“Form”)

and its questions. This circuit has not yet defined the

standard of review for the dismissal of a false statement

indictment based on fundamental ambiguity. We need not

do so here because the Form is not ambiguous under any

standard of review.

Generally speaking, the existence of some ambiguity

in a falsely answered question will not shield the respon-

dent from a perjury or false statement prosecution. See

United States v. Ryan, 828 F.2d 1010, 1015 (3d Cir. 1987)

abrogated on other grounds by United States v. Wells, 519

U.S. 482, 486 n.3, 137 L. Ed. 2d 107, 117 S. Ct. 921 (1997).

It is for the jury to decide in such cases which construction

the defendant placed on a question. See United States v.

Slawik, 548 F.2d 75, 86 (3d Cir. 1977). If, however, a

question is “excessively vague, or ‘fundamentally ambigu-

ous,’” the answer may not, as matter of law, form the basis

of a prosecution for perjury or false statement. Ryan, 828

F.2d at 1015 (citing United States v. Lighte, 782 F.2d 367,

375 (2d Cir. 1986)); see also United States v. Bonacorsa,

528 F.2d 1218, 1221 (2d Cir. 1976) (“Absent fundamental

ambiguity or impreciseness in the questioning, the mean-

ing and truthfulness of appellant’s answer was for the

jury.”).

While this court has not had the occasion to consider

the effect of fundamental ambiguity in the specific context

of providing false statements to a federal agency in viola-

tion of 18 U.S.C. § 1001, in United States v. Boone, 951

a aime ia tatiana ia

App. 18

F.2d 1526 (9th Cir. 1991), we addressed “ambiguity” in the

analogous context of providing false statements to a grand

jury or court in violation of 18 U.S.C. § 1623. A question is

fundamentally ambiguous when “men of ordinary intelli-

gence” cannot arrive at a mutual understanding of its

meaning. See Boone, 951 F.2d at 1534 (quoting Lighte, 782

F.2d at 375).

Culliton describes the Form’s medical history ques-

tions as fundamentally ambiguous because they are

“unanswerable in any meaningful way” and “incompre-

hensible in the context in which they were presented.” He

argues that the questions “make no sense at all” because

“(njone of us can literally deny a history of dizziness,

headaches, vision problems, mental problems, and the

like.” Underlying these descriptions is his basic contention

that because the FAA questions permit different interpre-

tations by the questioner and respondent, they are funda-

mentally ambiguous and cannot serve as the basis for a

false statement prosecution.

However, a question is not fundamentally ambiguous

simply because the questioner and respondent might have

different interpretations. Rather, we must consider the

context of the question and Culliton’s answers, as well as

other extrinsic evidence relevant to his understanding of

the questions posed in the Form. See Boone, 951 F.2d at

1534 (“In evaluating ... the question’s ambiguity, the

court must consider the context in which the question was

asked... .”); see also United States v. Sainz, 772 F.2d 559,

562 (9th Cir. 1985) (“[W]e must look to the context of the

defendant’s statement to determine whether the defendant

and his questioner joined issue on a matter of material

fact to which the defendant knowingly uttered a false

declaration.”). If Culliton’s responses were false as he

App. 19

understood the questions, “his conviction is not invalidated

by the fact that his answer to the question[s] might gener-

ate a number of different interpretations.” United States v.

Swindall, 971 F.2d 1531, 1553 (11th Cir. 1992) (internal

quotation marks omitted). .

Culliton does not claim that he believed his answers

were true at the time he filled out the Form. Instead, he

claims that he “didn’t answer some questions literally

because literal answers would have been unreasonable

and even impudent.” Culliton went so far as to “reasonably

interpret{ ] the spirit of the medical questionnaire to relate

to facts which may medically disqualify him from flying as

a command pilot” — which, under Culliton’s interpretation, |

did not include visual impairment, inability to concen-

trate, and neurological disorders. Culliton points to no

case, and indeed we have found none, that justifies an

applicant’s unilateral reinterpretation of questions on a

governmental form to comport with his own particular

goals.

Furthermore, a de novo examination of the Form does

not reveal fundamental ambiguity about questions that

ask whether a pilot has ever had any history of dizziness,

vision trouble, or mental disorders. We recognize, and the

Government concedes, that the Form’s questions are

capable of rendering innocent responses objectively false.”

2 ‘he FAA has expressed concerns about the possible vagueness of

the Form in the past. The Broderick Memorandum, a 1987 FAA

document, noted that the FAA needed to “think about changing the

form and substance of the questions asked in” Form 8500-8, in part

because the “vague, qualitative, and evaluative nature of these ques-

tions” has made difficult the prosecution of people in the past. If the

FAA sees fit to change the questions, it is well within its domain to do

(Continued on following page)

App. 20

A respondent might feel compelled to account for dizziness

experienced while playing harmless games, vision prob-

lems experienced while undergoing routine eye dilation,

and mental disorders experienced because of irrelevant

traumas. That a respondent might feel compelled to

answer “Yes” to each of these questions does not render

them “fundamentally ambiguous.” Rather, the respondent

has the option of explaining his or her answers in a sepa-

rate space provided on the Form.

As for those individuals who answer “no,” assuming

that the questions were not meant to be read literally, it

might indeed be unfair, as Culliton contends, to allow

government prosecution for innocent answers that are

objectively false. However, the law already provides

protection against that possibility. “Perjury requires that a

witness believe that the testimony he gives is false.”

Lighte, 782 F.2d at 372; see also United States v. Matthews,

589 F.2d 442, 445 (9th Cir. 1978) (the critical inquiry is the

meaning attached to the question by the accused); United

States v. Lattimore, 127 F. Supp. 405, 408 n.10 (D.D.C.

1955) (“It does not make any difference whether the

statements were in fact true or not — the defendant’s belief

as to their truth or falsity is the issue.”).

In the face of ambiguity, a court may decide as a

matter of law to dismiss an indictment so long as the

defendant offers an innocent explanation for his testimony.

As we have discussed, Culliton has provided no such

so. This memorandum, however, does not change our conclusion that

any vagueness in these questions does not rise to the level of funda-

mental ambiguity.

App. 21

innocent explanation. The ambiguity he points to in the

questions — that read literally they seem to require disclo-

sure of every incident of dizziness or vision trouble, no

matter how minor or fleeting — simply does not account for

his failure to disclose the far more severe physical and

mental impairments that formed the basis of his personal

injury action.

Culliton relies heavily on United States v. Manapat,

928 F2d 1097 (11th Cir. 1991), in which the Eleventh

Circuit held that a prior version of Form 8500-8 was

fundamentally ambiguous despite the fact that the defen-

dant’s answers to two questions regarding her criminal

history were objectively false. However, as the district

court correctly pointed out in its order refusing to dismiss

Culliton’s indictment, Manapat concerned a different

version of the Form. More importantly, Manapat speaks to

the ambiguity that resulted when two questions about

criminal convictions were interspersed with a string of

medical history questions. See 928 F.2d at 1102. The court

concluded that an applicant might believe that the form

was asking about convictions that were related to medical

convictions, or that an applicant in good health could

check many items on the form without realizing that two

of the questions asked about criminal convictions, rather

than medical problems. Jd. at 1101. No such ambiguity

exists in this case. The Form, and the questions at issue,

deal exclusively with an applicant’s medical history. A

privacy statement and a detailed set of instructions

attached to the Form explicitly state that the purpose of

the Form is to establish the applicant’s physical fitness to

fly. Culliton has failed to demonstrate that the questions

he answered falsely are fundamentally ambiguous.

App. 22

II. Selective Prosecution

Culliton next urges us to overturn his false statement

conviction because it resulted from what he calls the

Government’s selective prosecution. He contends that “this

case would not have been prosecuted as a Title 18 U.S.C.

§ 1001 case were it not for the underlying suspicion of

insurance fraud,” and therefore that his prosecution

essentially “amounts to prosecutorial abuse and a perver-

sion of any legitimate law enforcement function.”

This court has employed both a de novo standard and

a clearly erroneous standard when reviewing a selective

prosecution claim. See United States v. Wilson, 639 F.2d

500, 503 n.2 (9th Cir. 1981) (adopting clearly erroneous

standard but recognizing that past cases have adopted an

implicit de novo standard). Because we hold that Culliton

has no viable selective prosecution claim under any

standard of review, we need not resolve any purported

difference. In cases where invidious selective prosecution

is alleged, we view the evidence in the light most favorable

to the government. See United States v. Cuellar, 96 F.3d

1179, 1182 (9th Cir. 1996).

7 In our criminal justice system, the executive branch

has “broad discretion” to decide whom to prosecute. Wayte

v. United States, 470 U.S. 598, 607, 84 L. Ed. 2d 547, 105

S. Ct. 1524, (1985) (quoting United States v. Goodwin, 457

U.S. 368, 380 n.11, 73 L. Ed. 2d 74, 102 S. Ct. 2485,

(1982)). However, prosecutorial discretion is not unfet-

tered, and selectivity in the enforcement of criminal laws

is subject to constitutional constraints. See id. “The two

elements of a selective prosecution claim are that others

similarly situated have not been prosecuted and that the

allegedly discriminatory prosecution of the defendant was

App. 23

based on an impermissible motive.” United States v. Balk,

706 F.2d 1056, 1060 (9th Cir. 1983) (internal quotation

marks omitted). The defendant has the burden of proving

both elements. United States v. Bourgeois, 964 F.2d 935,

938 (9th Cir. 1992).

We examine Culliton’s selective prosecution claim

with the caveat that the “decision to prosecute is particu-

larly ill-suited to judicial review” because factors such as

the “strength of the case, the prosecution’s general deter-

rence value, the Government’s enforcement priorities, and

the case’s relationship to the Government’s overall en-

forcement plan are not readily susceptible to the kind of

analysis the courts are competent to undertake.” Wayte,

470 U.S. at 607.

A de novo review of the evidence in the light most

favorable to the government does not reveal an impermis-

sible motive driving Culliton’s prosecution. While it may

be true that the California Department of Insurance

suspected Culliton of fraud, it was under an independent

obligation to report its findings of Culliton’s false state-

ments to the FAA. As the Government correctly points out,

there is nothing inappropriate or vindictive about a state

law enforcement agency referring potential violations of

federal law to federal authorities. See Elkins v. United

States, 364 U.S. 206, 221, 4 L. Ed. 2d 1669, 80 S. Ct. 1437,

(1960) (in a case involving tainted evidence, the Court

emphasized that “[flree and open cooperation between

state and federal law enforcement officers is to be com-

mended and encouraged.”).

aii

App. 24

III. Primary Jurisdiction

Culliton’s final argument on appeal is that the district

court should have deferred consideration of his false

statement prosecution under the doctrine of primary

jurisdiction. This circuit has not yet diseussed the stan-

dard of review for the application of the primary jurisdic-

tion doctrine. Because we can affirm the district court’s

decision not to invoke the doctrine of primary jurisdiction

under de novo review, we find it unnecessary to speculate

further on the proper standard in these types of cases.

The primary jurisdiction doctrine provides: “When

there is a basis for judicial action, independent of agency

proceedings, courts may route the threshold decision as to

certain issues to the agency charged with primary respon-

sibility for governmental supervision or control of the

particular industry or activity involved.” United States v.

General Dynamics Corp., 828 F.2d 1356, 1362 (9th Cir.

1987) (quoting Port of Boston Marine Terminal Ass’n v.

Rederiaktiebolaget Transatlantic No. 99, 400 U.S. 62, 68,

_27 L. Ed. 2d 203, 91 S. Ct. 203, (1970)). Culliton argues

that the district court should have deferred the Govern-

ment’s prosecution under 18 U.S.C. § 1001 until, and

unless, the FAA made independent findings of false state-

ments and initiated its own revocation proceedings.

Whether the doctrine of primary jurisdiction applies

in any particular situation depends on “the extent to

which Congress, in enacting a regulatory scheme, intends

an administrative body to have the first word on issues

arising in juridical proceedings.” Jd. at 1362 (citing United

States v. RCA, 358 U.S. 334, 339, 3 L. Ed. 2d 354, 79 S. Ct.

457, (1959)). Certain factors are “uniformly present” in

cases where courts abstain from judicial action on a

App. 25

particular issue pursuant to the primary jurisdiction

doctrine. These include Congressional intent to imbue an

administrative agency with total responsibility to resolve

or address the particular issue and the need for expertise

or uniformity in the administration of such a decision. Id.

at 1363. Furthermore, while “competence of an agency to

pass on an issue is a necessary condition to the application

of the doctrine, competence alone is not sufficient.” Id.

“The particular agency deferred to must be one that

Congress has vested with the authority to regulate an

industry or activity such that it would be inconsistent with

the statutory scheme to deny the agency’s power to resolve

the issues in question.” Id.

Culliton contends that because the FAA Administrator

has the authority to suspend or revoke medical certificates

for false statements on FAA forms, it follows that no court

can entertain a criminal prosecution based on those same

false statements. However, simply because the FAA has

the competence to deal with false statements on its appli-

cations does not mean that Congress has conferred upon it

sole responsibility to penalize false statements, thereby

suspending the operation of a criminal statute of general

application.

Culliton points to 49 U.S.C. §§ 1301 and 1133 as

examples of statutes that indicate Congress’ intent that

the FAA have the “first word” on all aviation matters.

There is little in the language and legislative history of

these provisions that comes close to substantiating such a

sweeping claim. While it is true that the FAA plays a vital

and major role in regulating aviation matters, Culliton

cannot point to anything in the pertinent statutory or

regulatory framework that prevents the Department of

Justice from prosecuting an individual for the felony of

App. 26

making false statements to a government agency. Fur-

thermore, while the FAA is competent to determine

whether an applicant has made false statements on a

certificate form, it is squarely within the province of the

Department of Justice to prosecute felonies of perjury and

false statements.’ See General Dynamics Corp., 828 F.2d at

1366 (federal criminal litigation is an “executive function

within the exclusive prerogative of the Attorney General.”)

(quoting In Re Subpoena of Persico, 522 F.2d 41, 54 (2d

Cir. 1975)); see also Nader v. Allegheny Airlines, Inc., 426

U.S. 290, 305, 48 L.Ed.2d 643, 96 S.Ct. 1978 (1976)

(common law fraud against airline carrier was not within

primary jurisdiction of FAA because the “standards to be

applied in an action for fraudulent misrepresentation are

within the conventional competence of the courts”). Hence,

the district court properly proceeded with Culliton’s

prosecution.

AFFIRMED.

* Culliton cites Twomey v. National Transportation Safety Board,

821 F.2d 63 (1st Cir. 1987), and McCarthney v. Busey, 954 F.2d 1147

(6th Cir. 1992), to support his argument that the FAA and the National

Transportation Safety Board have internal procedures capable of

addressing false statements made by pilots. As we stated, competence

to render a particular decision does not, by itself, invoke the doctrine of

primary jurisdiction.

App. 27

APPENDIX 3

NOT FOR PUBLICATION

UNITED STATES COURT OF APPEALS

FOR THE NINTH CIRCUIT

UNITED STATES OF No. 00-10599

AMERICA, ‘D.C. No. CR-99-00537-EJG

Plaintiff-Appellee, Eastern District of

California, Sacramento

ORDER

(Filed Aug. 25, 2003)

v.

JAMES M. CULLITON,

Defendant-Appellant.

Before: GOODWIN, HAWKINS and FISHER, Circuit

Judges.

The panel has voted unanimously to deny the petition

for rehearing. Judges Hawkins and Fisher have voted to

deny the petition for rehearing en banc, and Judge Good-

win recommended denial.

The full court has been advised of the petition for

rehearing en banc and no active judge has requested a

vote on whether to rehear the matter en banc. Fed. R. App.

P. 35.

_ The petition for rehearing is DENIED and the petition

for rehearing en banc is DENIED.

App. 28

APPENDIX 4

[LOGO] AIRCRAFT OWNERS AND PILOTS

ASSOCIATION

421 Aviation Way ® Frederick, MD 21701-4798

Telephone (301) 695-2000 * FAX (301) 695-2375

SENT VIA FEDERAL EXPRESS OVERNIGHT

DELIVERY

July 29, 2003

Office of the Clerk

United States Court of Appeals

for the Ninth Circuit

95 Seventh Street

San Francisco, CA 94103

Re: United States v. James M. Culliton, No. 00-10599

Dear Clerk,

The Aircraft Owners and Pilots Association (AOPA) is a

nationwide non-profit, membership organization, incorpo-

rated under the laws of the State of New Jersey, com-

prised of more than 400,000 individual pilots and aircraft

owners. AOPA’s members engage in the segment of avia-

tion known as “general aviation” which accounts for two-

thirds of the flying (in terms of hours flown) in the na-

tional airspace system.

It has just come to our attention that Mr. Culliton intends

to petition this Court for rehearing of its decision, United

States v. James M. Culliton, No. 00-1059 (April 30, 2003).

By this 2003 decision, the Court withdrew its 2002 deci-

sion and decided instead to affirm Mr. Culliton’s criminal

conviction for making false entries on a Federal Aviation

Administration (FAA) medical application form. Because

App. 29

of the late and odd posture of this case, we are directing

this letter to your attention and request that you share it

with the Court, as you may deem appropriate.

On behalf of its members, AOPA is concerned with the ‘

potential impact of this Court’s 2003 decision and the

possible unintended consequences the decision may have

on individuals completing the medical application form in

the future. As it is recognized and conceded in this case,

some of the questions on the FAA’s Form 8500-8 are

ambiguous, vague, or subject to reasonably differing

interpretations, enough so that they are “capable of

rendering innocent responses objectively false.” See Culli-

ton, 00-10599, p. 5710. AOPA fears that the Court's

decision in this case could set a precedent under which

future respondents may be convicted for answering ques-

tions to the best of their knowledge and ability, with every

intention of giving complete and accurate answers, but the

answer is determined to be objectively false.

The Court writes, “That a respondent might feel compelled

to answer ‘Yes’ to each of these questions does not render

them ‘fundamentally ambiguous.’ Rather, the respondent

has the option of explaining his or her answers in a sepa-

rate space provided on the Form.” Jd. at 5711. Practically

speaking, though, innocent omissions may easily occur

because the instructions are not clear so as to limit the

scope of the answer the question is attempting to elicit and

because of an individual’s natural tendency not to disclose

each and every circumstance that could arguably fit within

the language of the question, nor would the FAA want or

expect them to reveal each and every circumstance, even if

each cold be explained away in a separate space or page.

This Court’s 2003 decision may have the future effect of

finding that innocent omissions, made in good faith and in

ee

App. 30

the interest of appropriate disclosure, nonetheless subjects

the individual to criminal prosecution.

The Court has indicated its awareness of this issue and its

determination to minimize its potential impact. To prevent

innocent omissions from becoming the basis for prosecu-

tion, the Court relies on the “knowing and willful” re-

quirement of 18 U.S.C. §1001(a), and the similar

requirement that a defendant must believe in the falsity of

the statement as he is making it for perjury to exist.

Culliton at 5711. However, this element may not always

effectively separate the innocent responders from those

who attempt to conceal their history in order to achieve

some gain. The requirement of the existence of knowing

and willful falsification could be satisfied in either case,

because when a respondent innocently and understanda-

bly decides not to report instances of childhood dizziness,

for instance, this decision is made with the full knowledge

that such dizziness did in fact occur. Therefore, under the

definition as it exists in the statutes and as it is applied by

the 2003 decision, by checking “No” on the form, the

respondent is denying something which he knows to be

technically true, but which he reasonably believes is not

required to respond to the question.

The Court also states that, “In the face of ambiguity, a

court may decide as a matter of law to dismiss an indict-

ment so long as the defendant offers an innocent explana-

tion for his testimony.” Jd. at 5711. While this language

tends to reflect an intent not to allow responders to be

criminally prosecuted for innocent, albeit inaccurate,

responses, it appears that there may be too much latitude

afforded in future cases that would not, for practical

purposes, suffice to prevent the unwarranted prosecutions

and convictions of individuals. This Court’s decision places

App. 31

a tremendous burden on an unwary accused individual to

prove that his actions were innocent.

AOPA hopes to bring to this Court’s attention its concern

that despite the Court’s expectation that innocent omis-

sions may occur because of the potentially confusing

language of the form, and the court’s stated intention that

such omissions should not serve as grounds for prosecu-

tion, the Court’s 2003 decision, and the forthcoming

decision on Mr. Culliton’s petition for rehearing, could

form a precedent with unintended and overreaching

results. AOPA respectfully urges this Court to consider

any decision it renders that may address these issues SO as

not to encourage or support unwarranted prosecutions or

the ability to make an appropriate challenge in a future

case.

Sincerely,

/s/ Kathleen A. Yodice

Kathleen A. Yodice

Counsel to AOPA

cc: Attorney for Plaintiff United States:

James Arguelles

Assistant U.S. Attorney

U.S. Attorney’s Office

501 I Street, Suite 10-100

Sacramento, CA 95814

Attorney for Defendant James Culliton:

John Balazs

Attorney At Law

916 2nd Street, 2nd Floor

Sacramento, CA 95814

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