As posted on Linked in
Here’s a question on the DEA registration application that has a bit of nuance that may be overlooked:
“Has the applicant ever been convicted of a crime in connection with controlled substance(s) under state or federal law, or been excluded or directed to be excluded from participation in a Medicare or state health care program, or any such action pending?”
The main issue is with the phrase “any such action pending.” Here are three non-exhaustive readings of “any such action pending” to consider:
(1) It reaches back to both clauses and captures pending criminal matters (arrests, charges, post-plea pre-sentencing) and pending healthcare exclusion proceedings.
(2) It reaches back to both clauses, but doesn’t capture pending criminal or healthcare matters.
(3) It attaches only to the nearest antecedent (the healthcare exclusion clause), capturing pending exclusion proceedings but leaving pending criminal proceedings outside the question entirely.
Number one above may be the most conservative reading, but it may also be a bit of a stretch because convictions are outcomes; they don’t usually “pend.”
However, one could argue that a deferred judgment deal (defendant pleads with the understanding that they will withdraw their plea in the future and have the case dismissed if they meet certain conditions) constitutes a “pending” conviction.
And round and round we go. But my point in this post isn’t to arrive at a “correct” answer. Doing may be tough without specific facts and risk tolerances, anyhow.
My point is to warn applicants about breezing through the application just to get it done. Doing so risks overlooking nuance like what’s laid out in this post, which can cause problems down the road.
Where do you land on this question? Let me know in the comments.
DISCLAIMERS: This is not legal or tax advice. Attorney advertising.
