Proposed Rule2024-00872
Falsification, Reproduction, Alteration, Omission, or Incorrect Statements
Primary source
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Published
February 8, 2024
Issuing agencies
Transportation DepartmentFederal Aviation Administration
Abstract
The FAA proposes to amend, restructure, and consolidate the falsification regulations presently located throughout title 14 of the Code of Federal Regulations. This proposal would (1) harmonize inconsistencies among the various falsification regulations and associated sanctions; (2) consolidate all existing falsification regulations into a general rule that standardizes the existing falsification regulations; and (3) ensure that falsification-related conduct not addressed by pertinent current regulations would be covered under the general rule. In addition, this proposal would create a falsification prohibition applicable to the regulations governing Commercial Space Transportation.
Full Text
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<title>Federal Register, Volume 89 Issue 27 (Thursday, February 8, 2024)</title>
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[Federal Register Volume 89, Number 27 (Thursday, February 8, 2024)]
[Proposed Rules]
[Pages 8560-8578]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-00872]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 3, 21, 43, 60, 61, 63, 65, 67, 89, 107, 111, 120, 121,
139, 142, 145, 413
[Docket No.: FAA-2024-0021; Notice No. 24-07]
RIN 2120-AL84
Falsification, Reproduction, Alteration, Omission, or Incorrect
Statements
AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: The FAA proposes to amend, restructure, and consolidate the
falsification regulations presently located throughout title 14 of the
Code of Federal Regulations. This proposal would (1) harmonize
inconsistencies among the various falsification regulations and
associated sanctions; (2) consolidate all existing falsification
regulations into a general rule that standardizes the existing
falsification regulations; and (3) ensure that falsification-related
conduct not addressed by pertinent current regulations would be covered
under the general rule. In addition, this proposal would create a
falsification prohibition applicable to the regulations governing
Commercial Space Transportation.
DATES: Send comments on or before April 8, 2024.
ADDRESSES: Send comments identified by docket number FAA-2024-0021
using any of the following methods:
<bullet> Federal eRulemaking Portal: Go to <a href="http://www.regulations.gov/">www.regulations.gov/</a> and
follow the online instructions for sending your comments
electronically.
<bullet> Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue, SE, Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
<bullet> Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue, SE, Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
<bullet> Fax: Fax comments to Docket Operations at (202) 493-2251.
Privacy: In accordance with 5 U.S.C. 553(c), DOT solicits comments
from the public to better inform its rulemaking process. DOT posts
these comments, without edit, including any personal information the
commenter provides, to <a href="http://www.regulations.gov">www.regulations.gov</a>, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
<a href="http://www.dot.gov/privacy">www.dot.gov/privacy</a>.
Docket: Background documents or comments received may be read at
<a href="http://www.regulations.gov">www.regulations.gov</a> at any time. Follow the online instructions for
accessing the docket or go to the Docket Operations in Room W12-140 of
the West Building Ground Floor at 1200 New Jersey Avenue, SE,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.
FOR FURTHER INFORMATION CONTACT: John C. Stuart, Jr., Senior Attorney,
Aviation Litigation Division, AGC-300, Federal Aviation Administration,
Office of the Chief Counsel, 800 Independence Avenue SW, Washington, DC
20591; telephone (202) 267-9958; email <a href="/cdn-cgi/l/email-protection#87eaeeece2a9f4f3f2e6f5f3c7e1e6e6a9e0e8f1"><span class="__cf_email__" data-cfemail="fd90949698d38e89889c8f89bd9b9c9cd39a928b">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Executive Summary
A. Overview of Proposed Rule
B. Background
C. Statement of the Problem
D. Summary of the Costs and Benefits
II. Authority for This Rulemaking
III. Discussion of the Proposal
A. Applicability of the Proposed Rulemaking to 14 CFR Chapter I
B. Applicability of the Proposed Rulemaking to 14 CFR Chapter
III
C. ``Statements'' in Proposed Sections 3.403(a), 3.405(a),
402.3(a), and 402.5(a)
D. Categories of ``Any Document In Any Format'' in Proposed
Sections 3.403 and 3.405--14 CFR Chapter I
E. Categories of ``Any Document In Any Format'' in Proposed
Sections 402.3 and 402.5--14 CFR Chapter III
F. Fraudulent or Intentionally False Statements in Proposed
Sections 3.403(a) and 402.3(a)
G. Production, Reproduction, Alteration, for Fraudulent Purpose
in Proposed Sections 3.403(b) and 402.3(b)
H. Knowingly Omitting or Causing To Be Omitted a Material Fact
Under Proposed Sections 3.403(c) and 402.3(c)
I. Sanction Under Proposed Sections 3.403(d) and 402.3(d) for
Conduct Described in Sections F, G, and H of this NPRM
J. Incorrect Statements, or Omissions under Proposed Sections
3.405 and 402.5.
K. Sanction Under Sections 3.405(b) and 402.5(b) for Incorrect
Statements, or Omissions
IV. Regulatory Notices and Analyses
A. Regulatory Evaluation
B. Regulatory Flexibility Act
C. International Trade Impact Assessment
D. Unfunded Mandates Assessment
E. Paperwork Reduction Act
F. International Compatibility
G. Environmental Analysis
V. Executive Order Determinations
A. Executive Order 13132, Federalism
[[Page 8561]]
B. Executive Order 13175, Consultation and Coordination With
Indian Tribal Governments
C. Executive Order 13211, Regulations That Significantly Affect
Energy Supply, Distribution, or Use
D. Executive Order 13609, Promoting International Regulatory
Cooperation
VI. Additional Information
A. Comments Invited
B. Availability of Rulemaking Documents
C. Small Business Regulatory Enforcement Fairness Act
I. Executive Summary
A. Overview of Proposed Rule
The FAA and other relevant stakeholders rely on complete and
accurate information in safety-related records. Indeed, the FAA and
regulated persons make critical safety-related decisions based on the
information, such as in FAA-required records, and necessarily rely on
the veracity of that information. When a person provides falsified
information or omits material information from records, that person
creates a threat to aviation safety by inhibiting the ability of the
FAA and other stakeholders to make critical safety-related decisions.
Falsification regulations promote the integrity of information
necessary to ensure aviation safety. They also serve as a basis for
appropriate action when a person engages in falsification-related
conduct.
The proposed rule would affect applicable parts in 14 CFR chapters
I and III. Falsification prohibitions are currently found in 14 CFR
chapter I, parts 3, 21, 43, 60, 61, 63, 65, 67, 89, 107, 111, 120, 121,
139, 142, and 145. The FAA proposes to remove the existing
falsification regulations from parts 21, 43, 60, 61, 63, 65, 67, 89,
107, 111, 120, 121, 139, 142, and 145, and consolidate them in a new
subpart in part 3. The proposed rule in part 3 would also apply to
those parts of 14 CFR chapter I that do not currently have
falsification regulations but for which such regulations are clearly
warranted, as explained in the ``Discussion of the Proposal Section''
in this NPRM. Those parts are 5, 23, 25, 26, 27, 29, 31, 33, 34, 35,
36, 45, 47, 48, 49, 68, 77, 91, 93, 99, 101, 103, 105, 117, 119, 125,
129, 133, 135, 136, 137, 141, 147, and 183. As a result, the proposed
rule in part 3 would create standardized falsification proscriptions
and apply them to 14 CFR parts 5, 21, 23, 25, 26, 27, 29, 31, 33, 34,
35, 36, 43, 45, 47, 48, 49, 60, 61, 63, 65, 67, 68, 77, 89, 91, 93, 99,
101, 103, 105, 107, 111, 117, 119, 120, 121, 125, 129, 133, 135, 136,
137, 139, 141, 142, 145, 147, and 183.
The proposed rule would also remove the existing falsification
regulations located in 14 CFR 413.17(c) and create a new part--part
402--containing a falsification prohibition applicable to 14 CFR
chapter III, subchapter C. Subchapter C consists of 14 CFR parts 413,
414, 415, 417, 420, 431, 433, 435, 437, 440, 450, and 460.
The proposed rules in part 3 and part 402 would proscribe: (1)
intentionally false or fraudulent statements; (2) productions,
reproductions, or alterations for fraudulent purpose; (3) knowingly
omitting or causing to be omitted a material fact; and (4) incorrect
statements. Each prohibition is described in the ``Discussion of the
Proposal'' section of this NPRM. Also, the proposed rule would
standardize sanctions for violations of the falsification regulations
under 14 CFR, chapters I and III, cited in this NPRM.
B. Background
1. Definition of ``falsification regulations'' and Current Locations in
14 CFR
The term ``falsification regulations'' as used in this NPRM
generically refers to a variety of provisions in 14 CFR parts 1-199
implemented over decades that variously prohibit the following: (1)
fraudulent or intentionally false statements or entries; (2) any
reproduction for fraudulent purpose; (3) any alteration, including
alterations for fraudulent purpose; (4) knowingly concealing or causing
to be concealed a material fact by omission; (5) concealing or causing
to be concealed a material fact; (6) known omissions; (7) misleading
statements; and (8) incorrect statements or entries upon which the FAA
relied or could have relied. The term also refers to willful false
statements prohibited in 14 CFR 413.17(c). A violation of these
standards is referenced in this NPRM as ``falsification-related''
conduct. The proposed rulemaking would consolidate these nine
categories of proscribed conduct into the four categories identified
above.
A false statement is distinct from an intentionally false or
fraudulent one. A false statement or entry \1\ is one that is
incorrect. An incorrect statement or entry is made when a person
unknowingly provides false (i.e., incorrect) information upon which the
agency relies. Incorrect statements or entries are prohibited by 14 CFR
60.33(c)(1)-(2) and 67.403. In contrast, an intentional false statement
is comprised of three elements: a (1) false statement, (2) in reference
to a material fact,\2\ (3) that is made with knowledge of its
falsity.\3\ A fraudulent statement or entry consists of the preceding
three elements plus two additional elements: (1) an intent to deceive
and (2) with action taken in reliance upon the representation.\4\
Intentionally false or fraudulent statements or entries are currently
proscribed by 14 CFR 21.2(a)(1)-(2), 43.12(a)(1), 60.33(a)(1)-(2),
61.59(a)(1)-(2), 63.20(a)(1)-(2), 65.20(a)(1)-(2), 67.403(a)(1)-(2),
89.5(a)(1)-(2), 107.5(a)(1), 111.35(a)-(c), 120.103(e)(1)-(2),
121.9(a)(1)-(2), 139.115(a)(1)-(2), and 145.12(a)(1).
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\1\ Over the years, the agency's use of the terms ``statement''
and ``entry'' has varied. In the earliest falsification regulations
(i.e., in 1965), a clear dichotomy existed between statements and
entries: a statement applied to an application while an entry
applied to a ``logbook, record, or report that is required to be
kept, made, or used to show compliance'' with a requirement (i.e.,
14 CFR 61.48 (currently Sec. 61.59), 63.20, 65.20, and 67.20
(currently Sec. 67.403)). Consistent with those earliest
regulations, in 1978, 14 CFR 43.12(a)(1) proscribed fraudulent
entries ``in any record or report that is required to be kept, made,
or used to show compliance'' with a requirement. In 1992, the FAA
continued applying the distinction between statements and entries
when it issued 14 CFR 21.2.
The clear dichotomy was blurred when the agency proscribed
statements in connection with falsifying both applications and
records or reports that are kept, made, or used to show compliance
(i.e., 14 CFR 21.2, as amended in 2009; 60.33 (2006); 121.9 (2013);
and 111.35 (2021)). Conversely, in 14 CFR 145.12 (2014), the agency
proscribed entries in connection with falsifying both applications
and records and reports. However, during the same period, the FAA
issued other falsification regulations that retained the dichotomy
in the earliest falsification regulations (i.e., 14 CFR 120.103
(2004); Sec. 120.213 (2004); and Sec. 139.115 (2013)).
\2\ A false statement is ``material'' if it has the natural
tendency to influence or is capable of influencing an agency
decision. Cassis v. Helms, 737 F.2d 545, 547 (6th Cir. 1984).
\3\ See, Pence v. United States, 316 U.S. 332, 338 (1942); Hart
v. McLucas, 535 F.2d 516, 519 (9th Cir. 1976).
\4\ See Pence, 316 U.S. at 338.
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Reproductions for a fraudulent purpose and alterations, including
alterations for a fraudulent purpose, are proscribed in falsification
regulations. Most of the existing falsification regulations already
prohibit reproductions and alterations. Such prohibitions are found at
14 CFR 21.2(a)(3)-(4), 43.12(a)(2)-(3), 60.33(a)(3), 61.59(a)(3)-(4),
63.20(a)(3)-(4), 65.20(a)(3)-(4), 67.403(a)(3)-(4), 89.5(a)(3),
107.5(a)(2), 120.103(e)(3), 139.115(a)(3)-(4), and 145.12(a)(2)-(3).
While some of these regulations prohibit any alteration of the
applicable document (i.e., 14 CFR 21.2(a)(4), 61.59(a)(4), 65.20(a)(4),
and 67.403(a)(4)), others prohibit only fraudulent alterations of the
applicable document (i.e., 14 CFR 43.12(a)(3), 60.33(a)(3), and
107.5(a)(2)).
Knowingly omitting or causing to be omitted a material fact results
when a person knew that they failed to include the material fact in the
document at
[[Page 8562]]
issue.\5\ The prohibition of known material omissions is currently
found in (1) 14 CFR 89.5(b)(1)-(2) and 145.12(b)(1)-(2) (knowingly
concealing or causing to be concealed, by omission, a material fact);
(2) 14 CFR 60.33(a)(2) and 121.9(a)(2) (known omissions); and (3) 14
CFR 111.35(a)-(c) (concealing or causing to be concealed a material
fact).
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\5\ The FAA prohibited knowingly concealing or causing to be
concealed a material fact by omission in the 2014 amendments to 14
CFR part 145. See 14 CFR 145.12(b)(1)-(2). In the preamble of the
final rule, the agency explained that a known omission under Sec.
145.12(b)(1)-(2) ``is triggered when a person knew that they failed
to include the material fact in the document at issue.'' 79 FR 46979
(Aug. 12, 2014).
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Misleading statements are prohibited by 14 CFR 21.2(a)(1)-(2). The
agency previously stated that for purposes of that section, ``a
misleading statement requires a material representation or omission
[i.e., within the statement] that is likely to mislead a person when
that person is acting with reasonable diligence under the
circumstances.'' \6\
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\6\ 74 FR 53377 (Oct. 16, 2009) (preamble of the final rule
amending 14 CFR part 21).
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Willful false statements are referenced in 14 CFR 413.17(c).
Generally, for a false statement to be ``willful,'' it must be made
deliberately and with knowledge.\7\ Section 413.17(c) adds that such
statements are punishable under 18 U.S.C. 1001 and by administrative
sanction in accordance with 14 CFR part 405.
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\7\ See, generally, McClanahan v. United States, 230 F.2d 919,
924 (5th Cir. 1956) (in a prosecution under 18 U.S.C. 1001 in
connection with fraudulent mortgage loan applications, the judge
appropriately instructed the jury that the word ``willful'' refers
to a forbidden act that is done deliberately and with knowledge).
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2. Current Falsification Regulation Sanction Provisions and Locations
in 14 CFR
As discussed in the section of this NPRM titled ``Authority for
this Rulemaking,'' the FAA has statutory authority to take certificate
action or civil penalty action for falsification regulation violations.
In many parts of 14 CFR chapter I that contain falsification
regulations, the FAA has elected to set forth sanction consequences for
violating a falsification regulation (i.e., 14 CFR 21.2(b); 43.12(b);
60.33(b)-(c); 61.59(b); 63.20(b); 65.20(b); 67.403(b)-(c); 89.5(c);
107.5(b); 121.9(b); 139.115(b); 142.11(e)(3); and 145.12(c)). Other
falsification regulations contain no sanction provision (i.e., 14 CFR
111.35, 120.103(e), and 120.213). The falsification regulations that
contain sanction provisions lack consistency, as discussed in the
``Statement of the Problem'' section of this NPRM. Section 413.17(c) of
title 14, chapter III, provides that willful false statements are
punishable by fine and imprisonment and could result in
``administrative sanctions.'' \8\
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\8\ In 14 CFR 413.17(c), willful false statements made in any
application or document relating to an application, license, or
permit are subject to administrative sanctions in accordance with 14
CFR part 405. In 2001, the FAA removed the civil penalty provisions
from part 405 and added them to part 406. The FAA, however,
inadvertently did not amend Sec. 413.17(c) to reflect the
recodification of the civil penalty provisions in part 406. This
proposed rulemaking will restore the FAA's ability to assess civil
penalties for violations of the falsification regulations in
proposed part 402.
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C. Statement of the Problem
The FAA implemented the first of its falsification regulations in
1965.\9\ Since then, the agency has implemented various falsification
regulations, most recently in 2021. The piecemeal publication of
falsification regulations has contributed to two issues that this
proposal seeks to remedy: (1) the type of conduct proscribed by the
falsification regulations and prescribed sanctions referenced in the
various falsification regulations are not consistent across the
existing falsification regulations; and (2) many 14 CFR parts lack a
falsification prohibition but warrant one.
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\9\ The Civil Aeronautics Act of 1938 (Act of 1938) provided
criminal penalties for falsification of records by ``[a]ny air
carrier, or any officer, agent, employee, or representative thereof
. . . .'' Act of 1938, Sec. 902(e) (1938). However, the Act of 1938
authorized no administrative sanction for falsification, and the
Civil Aviation Regulations (CARs) implemented under the Act of 1938
contained no falsification regulations.
Under the Federal Aviation Act of 1958, the Federal Aviation
Agency issued an NPRM in 1964 acknowledging the absence of
falsification proscriptions in its regulations. The FAA stated that
it was ``considering amending Parts 61, 63, 65, 67, and 143 [New] of
the Federal Aviation Regulations to prohibit cheating on FAA written
tests, falsifying applications for airman certificates, logbooks,
records, or reports, or unauthorized reproducing or altering
certificates or ratings.'' 29 FR 4919 (Apr. 8, 1964). The FAA
explained that ``it has been unable to take appropriate corrective
action'' against those who cheat on written tests. Id. at 4920. The
FAA continued, ``[t]his was due to the absence in the regulations of
a specific prohibition of the conduct involved in the particular
case. Therefore, it is proposed to adopt regulations that will
prohibit cheating activities in connection with written tests for
airman certificate or ratings, or the falsification of applications
for airman certificates, logbooks, records, and reports used to show
compliance with the requirements for the certificates or ratings, or
unauthorized reproduction or alteration of certificates or
ratings.'' Id. These first falsification regulations became
effective March 20, 1965. 30 FR 2195 (Feb. 18, 1965).
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1. Inconsistencies in the Proscribed Conduct and Authorized Sanctions
Under the Falsification Regulations
The type of activity proscribed as falsification-related conduct
and sanction options for such conduct are not consistent across the
existing falsification regulations. The agency issued the earliest
falsification regulations in title 14 chapter I between 1965 and 1978.
The FAA directed 14 CFR 61.48 (1965), 63.20 (1965), and 65.20 (1965) at
the conduct of individuals.\10\ These regulations generally prohibited
individuals from making intentionally false or fraudulent statements or
entries, reproductions for a fraudulent purpose, or alterations in
applications or documents that are kept, made, or used to show
compliance with a regulatory requirement specific to the part where the
particular falsification regulation was published. The sanction
provisions in Sec. Sec. 61.48, 63.20, and 65.20 were consistent in the
context of sanction: Each served as a basis for the suspension or
revocation of ``any'' airman or ground instructor certificate or
rating.\11\
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\10\ On February 1, 1973, the falsification regulation at 14 CFR
61.48 was recodified at Sec. 61.59 as part of the FAA's amendments
to parts 61 and 91. 38 FR 3168 (Feb. 1, 1973).
\11\ Section 61.59(b) specifies ``any airman certificate,
rating, or authorization held by that person.'' Sections 63.20(b)
and 65.20(b) specify ``any airman or ground instructor certificate
or rating held by that person.'' Although a ground instructor
certificate is not an airman certificate as defined by statute or
regulation, it is a type of authorization issued under part 61.
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Section 67.20 (1965), amended and recodified at Sec. 67.403,
prohibited individuals from making intentional false or fraudulent
statements, reproductions for a fraudulent purpose, or alterations in
connection with applications for FAA medical certification.\12\ Such
violation conduct formed a basis for suspending or revoking ``all''
airman, ground instructor, and medical certificates and ratings held by
that person. In addition, unlike the falsification regulations
referenced in the preceding paragraph, Sec. 67.403 provided for
certificate denials (which, in the context of part 67, involved the
denial of an application for a medical certificate).\13\
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\12\ The FAA issued 14 CFR 67.20 in 1965. 30 FR 2197 (Feb. 18,
1965). On March 19, 1996, the FAA amended Sec. 67.20 and renumbered
it as 14 CFR 67.403 as part of its revisions to airman medical
standards and medical certification procedures. 61 FR 11238 (Mar.
19, 1996).
\13\ Also, Sec. 67.403(b) specified consequences that are
unique to the medical certification process in part 67, namely, that
falsification is a basis for denying all requests for an
Authorization for Special Issuance of a Medical Certificate
(Authorization) or Statement of Demonstrated Ability (SODA). Section
67.403(b) also provides for the withdrawal of an Authorization or
SODA as a consequence of intentional falsification, fraud, or an
alteration.
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The FAA issued 14 CFR 43.12 (1978) to proscribe individuals or
entities from making fraudulent entries and reproductions and
alterations for a
[[Page 8563]]
fraudulent purpose in documents kept, made, or used to show compliance
with a regulatory requirement specific to part 43.\14\ In 1982, the FAA
amended Sec. 43.12(a)(1) to include intentionally false entries.\15\
In contrast to Sec. Sec. 61.59, 63.20, and 65.20, sanction in the
context of a Sec. 43.12 violation was limited to suspension or
revocation of ``the applicable'' certificate (i.e., the certificate
used during the commission of the violation conduct, which most
frequently is a mechanic certificate issued under part 65.) \16\
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\14\ 43 FR 22639 (May 25, 1978).
\15\ 47 FR 41085 (Sept. 16, 1982).
\16\ Section 43.12(b) specifies, ``the applicable airman,
operator, or production certificate, Technical Standard Order
Authorization, FAA-Parts Manufacturer Approval, or Product and
Process Specification.''
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In 1992, the FAA implemented 14 CFR 21.2 to address falsification-
related conduct in the context of certification procedures for products
and articles.\17\ The agency explained that Sec. 21.2 ``was modeled
after similar provisions found in [Federal Aviation Regulations] parts
43, 61, 63, 65, and 143 for certificates, authorizations, and ratings
issued under those parts.'' \18\ Thus, Sec. 21.2 was similar to the
predecessor falsification regulations insofar as proscribing
intentionally false and fraudulent statements, reproductions for a
fraudulent purpose, and alterations. In 2009, the FAA amended Sec.
21.2(a)(1)-(2) by proscribing misleading statements.\19\ At that time,
the FAA specified that Sec. 21.2 applied to both entities and
individuals.\20\ Section 21.2 became inconsistent with the predecessor
falsification regulations to the extent that it proscribed misleading
statements while the predecessor falsification regulations did not.
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\17\ 57 FR 41366 (Sept. 9, 1992).
\18\ 57 FR 41366.
\19\ 74 FR 53368 (Oct. 16, 2009).
\20\ In the preamble to the final rule amending the part 21
certification procedures and adding the falsification prohibition,
the FAA noted that the rule could apply to entities and individuals.
See 74 FR 53381 (Oct. 16, 2009) (``This rule primarily directly
affects all type certificate (TC) and production approval holders
(PAHs), including holders of PCs, TSOs, and PMAs. Regional air cargo
carriers and exporters of used aircraft and used engines,
propellers, and other articles (primarily distributors and
individuals) are also directly affected by this rule.'').
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Regarding sanction, Sec. 21.2 was consistent with the predecessor
regulations in that it provided for the suspension or revocation of
certificates. In addition, Sec. 21.2 also prescribed the suspension or
revocation of approvals. The 2009 amendments to Sec. 21.2 made it
consistent with Sec. 67.403 by including a provision specifying that
falsification is a basis for denying issuance of any certificate or
approval under part 21.\21\ However, the sanction in Sec. 21.2 limited
the scope of affected certificates. While the sanction in the
predecessor falsification regulations affected ``any'' airman or ground
instructor certificate (Sec. Sec. 61.59, 63.20, and 65.20), or airman,
ground instructor, and medical certificates (Sec. 67.403), 14 CFR 21.2
limited the falsification sanction of suspension or revocation to
certificates or approvals issued under ``this part.'' \22\
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\21\ 14 CFR 21.2(b)(1) (74 FR 53368).
\22\ 14 CFR 21.2(b)(2)
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Inconsistencies continued to emerge in falsification regulations
issued or amended by the agency after Sec. 21.2. For example, in 14
CFR 142.11(e)(3) (1996), the agency deviated from prior falsification
regulations by proscribing ``incomplete,'' ``inaccurate,'' or ``false
information'' (and not ``intentionally false information'').\23\
Consistent with the limited scope of affected certificates under
Sec. Sec. 21.2 and 43.12, but inconsistent with the broader scope
under other predecessor falsification regulations, Sec. 142.11(e)(3)
affected certificates issued under ``this part,'' (i.e., 14 CFR part
142).
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\23\ Section 142.11(e)(3) provides: ``The Administrator may
deny, suspend, revoke, or terminate a certificate under this part if
the Administrator finds that the applicant or the certificate holder
. . . (3) Has provided incomplete, inaccurate, fraudulent, or false
information for a training center certificate . . . .''
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Also, in 1996, the FAA amended the falsification regulations in 14
CFR part 67 to broaden the regulatory basis for action by proscribing
the provision of incorrect statements or entries by an applicant or
airman when applying for medical certification.\24\ However, the agency
did not amend other falsification regulations that existed prior to
1996 to add an incorrect statement or entry provision. In 2006, the FAA
proscribed incorrect statements and entries in 14 CFR 60.33.\25\
Following the publication of Sec. 60.33, however, the FAA did not
amend existing regulations to address incorrect statements and entries.
It also did not add prohibitions against incorrect statements and
entries in the subsequent falsification regulations in 14 CFR parts 89,
107, 111, 121, 139, and 145.
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\24\ 61 FR 11251 (Mar. 19, 1996).
\25\ 71 FR 63426 (Oct. 30, 2006).
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The FAA specified different sanctions in proscribing incorrect
statements or entries in Sec. Sec. 67.403(c) and 60.33 and incomplete,
inaccurate, and false information in Sec. 142.11(e)(3). The sanction
in Sec. 67.403(c) limits the scope of affected certificates to the
medical certificate, authorization, or statement of demonstrated
ability at issue rather than ``all'' certificates as under Sec.
67.403(b) for other falsification-related conduct under part 67. Under
14 CFR 60.33, the sanction for an incorrect statement or entry on which
the FAA relied is removal of Flight Simulation Training Device (FSTD)
qualification, including the withdrawal of approval for use of an FSTD
or denying an application for a qualification.\26\ As to the provision
of ``incomplete,'' ``inaccurate,'' or ``false information'' referenced
in Sec. 142.11(e)(3), the regulation authorizes the denial,
suspension, revocation, or termination of a part 142 certificate.
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\26\ 14 CFR 60.33(c).
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In 2004, the FAA added falsification provisions to the industry
drug and alcohol testing regulations, which, at that time, were located
at 14 CFR part 121, appendices I and J. Effective July 13, 2009, the
FAA's drug and alcohol testing regulations were recodified, without
substantive change, at 14 CFR 120.103(e) and 120.213.\27\ (These
regulations will hereinafter be referred to as Sec. Sec. 120.103(e)
and 120.213.) Sections 120.103(e) and 120.213 are limited to
proscribing intentional falsification and fraud, and reproductions and
alterations for a fraudulent purpose, regarding applications for
alcohol and drug testing programs, and reports or records required
under those programs. These sections contain no sanction provisions.
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\27\ See 74 FR 22649 (May 14, 2009).
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The falsification proscriptions in the more recent falsification
regulations (i.e., 14 CFR 89.5 (2021), 107.5 (2016), 111.35 (2021),
121.9 (2013), 139.115 (2013), and 145.12 (2014)) similarly lack
consistency in describing the scope of conduct. Sections 107.5 and
139.115 proscribe intentional falsification, fraud, reproductions for a
fraudulent purpose, and alterations for a fraudulent purpose. Sections
89.5 and 145.12 contain those same proscriptions and also proscribe
knowingly concealing or causing to be concealed, by omission, a
material fact. Sections 111.35 and 121.9, while proscribing intentional
falsification and fraud, do not proscribe reproductions and
alterations. Section 111.35, similar to Sec. Sec. 89.5 and 145.12,
proscribes concealing or causing to be concealed a material fact.
However, Sec. 111.35 lacks the knowledge element and ``omission''
terminology that is present in Sec. Sec. 89.5 and 145.12. Section
121.9 proscribes ``known omissions.''
In the context of sanction provisions, 14 CFR 89.5, 107.5, 111.35,
121.9, 139.115, and 145.12 are largely inconsistent. Section 111.35
contains no sanction provision. The sanction provisions in Sec. Sec.
89.5, 107.5, 121.9,
[[Page 8564]]
139.115, and 145.12 vary in consistency. Section 139.115 provides for
suspension or revocation but does not provide for a civil penalty.
Meanwhile, Sec. Sec. 89.5, 107.5, 121.9, and 145.12 authorize
suspension or revocation, civil penalty, and denial of an
application.\28\ Yet, the reach of suspensions, revocations, and
denials vary among Sec. Sec. 89.5, 107.5, 121.9, 139.115, and 145.12.
Section 107.5(b) provides for suspension or revocation of ``any
certificate, waiver, or declaration of compliance issued or accepted by
the Administrator under this part and held by that person . . . '' and
the denial of any application for a remote pilot certificate or
certificate of waiver and declaration of compliance. Section 121.9
applies the suspension or revocation to ``any certificate held by that
person that was issued under this chapter'' (i.e., 14 CFR parts 1-199)
and the denial of an application for any approval under this part.
Section 139.115(b) provides for suspension or revocation of ``any
certificate or approval under this part and held by that certificate
holder and any other certificate issued under this title'' (i.e., 14
CFR) but does not provide for a denial of an application. Section
145.12 allows the FAA to suspend or revoke ``the repair station
certificate and any certificate, approval, or authorization issued by
the FAA and held by that person'' and the denial of an application
under part 145.
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\28\ In 2021, the FAA amended 14 CFR 107.5 to include the denial
of a declaration of compliance as a sanction for falsification. 86
FR 4381 (Jan. 15, 2021).
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In Sec. 89.5, the FAA articulated a broader approach to sanction.
Under Sec. 89.5(c), falsification is a basis for ``[d]enial,
suspension, rescission, or revocation of any acceptance, application,
approval, authorization, certificate, declaration, declaration of
compliance, designation, document, filing, qualification, means of
compliance, record, report, request for reconsideration, or similar
instrument granted by the Administrator and held by that person'' or a
civil penalty.
Regarding 14 CFR chapter III, 14 CFR 413.17(c) is the sole
falsification regulation. It references only willful false statements
and thus is limited in its application. It cites criminal sanctions
under 18 U.S.C. 1001. It also provides that willful false statements
may result in ``administrative sanctions in accordance with part 405 of
this chapter.'' \29\ Although the removal of Sec. 413.17(c) would
remove the reference to 18 U.S.C. 1001, this does not imply that 18
U.S.C. 1001 is inapplicable to false statements submitted to the FAA,
nor does it restrict the FAA's ability to refer possible criminal
violations of 18 U.S.C. 1001 to the DOT Office of the Inspector General
or the Department of Justice. Intentionally false statements currently
covered by 14 CFR chapter I and the proposed 14 CFR 3.403 and 402.3 may
still be subject to 18 U.S.C. 1001. However, FAA regulations do not
generally refer to possible criminal consequences, and the FAA does not
believe that the regulations should specifically mention 18 U.S.C.
1001.
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\29\ See note 6, supra, regarding the removal of the civil
penalty prescription from part 405.
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2. Incomplete Application of the Falsification Regulations
Many parts of 14 CFR chapter I lack a falsification regulation but
warrant one. In the absence of such falsification regulations, the FAA
is precluded from taking enforcement action for falsification-related
conduct under those parts. As a result, there is no general or specific
deterrent for those who might engage in such conduct. For example, the
falsification regulation in part 121 applying to domestic, flag, and
supplemental operations currently has no counterpart in part 135
pertaining to commuter and on-demand operations despite that both parts
authorize commercial operations. Similarly, the falsification
regulation in part 142 applying to training centers has no counterpart
in part 141 or part 147. Part 47, which relates to aircraft
registration, also contains no falsification prohibition despite
instances of falsified aircraft registration applications.
Similarly, most of 14 CFR chapter III lacks falsification
regulations but warrants them. In 14 CFR chapter III, only a single
falsification regulation (i.e., Sec. 413.17(c)) exists. It addresses
only willful false statements in the context of applications and
documents relating to applications, licenses, or permits. Although some
regulations in 14 CFR chapter III require licensees to ensure the
continuing accuracy of representations contained in their application
(i.e., Sec. Sec. 413.7(c), 414.13(d), 414.21, 414.27, 417.11,
431.73(a), and 450.211(a)), those regulations do not provide a
comprehensive falsification prohibition.
Table 1 sets forth a brief history of the falsification
regulations, including prohibitions and sanction for the year each
regulation was implemented.\30\
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\30\ After implementation of the falsification regulations in 14
CFR parts 21 and 43, the FAA made the following amendments. In 1982,
the FAA amended 14 CFR 43.12(a)(1) to include intentionally false
entries. 47 FR 41085 (Sept. 16, 1982). In 2009, the FAA amended 14
CFR 21.2(a)(1)-(2) by proscribing misleading statements. 74 FR 53368
(Oct. 16, 2009). The 2009 amendments to 14 CFR 21.2 included denying
issuance of any certificate or approval under part 21 as a sanction
for falsification. 74 FR 53368 (Oct. 16, 2009).
Table 1--History of FAA Falsification Regulations
----------------------------------------------------------------------------------------------------------------
Year Part(s)/section(s) Prohibited conduct Sanction
----------------------------------------------------------------------------------------------------------------
1965.................. 61.48 (presently codified Fraudulent or intentionally 61.59--Suspending or revoking
at Sec. Sec. 61.59), false statements and entries, any airman certificate,
63.20, 65.20. reproductions for a rating, or authorization
fraudulent purpose, and held by that person; 63.20,
alterations involving 65.20--Suspending or
documents and records revoking any airman or
associated with parts 61, 63, ground instructor
and 65, respectively. certificate or rating held
by that person.
1965.................. 67.20 (presently codified Fraudulent or intentionally (1) Suspending or revoking
at Sec. 67.403). false statements and entries, all airman, ground
fraudulent reproductions, instructor, and medical
alterations, and incorrect certificates and ratings
statements or entries held by that person;
involving documents and (2) Withdrawing all
records under part 67. Authorizations or SODAs held
by that person; and
(3) Denying all applications
for medical certification
and requests for
Authorizations or SODAs. An
incorrect statement or entry
may serve as a basis for
suspending or revoking a
medical certificate;
withdrawing an Authorization
or SODA; or denying an
application for a medical
certificate or request for
an authorization or SODA.
[[Page 8565]]
1978.................. 43.12.................... Fraudulent entries and Suspending or revoking the
fraudulent reproductions and applicable airman, operator,
alterations involving records or production certificate,
or documents associated with Technical Standard Order
part 43. Authorization, FAA-Parts
Manufacturer Approval, or
Product and Process
Specification issued by the
Administrator and held by
that person.
1992.................. 21.2..................... Fraudulent or intentionally Suspending or revoking any
false statements, fraudulent certificate or approval
reproductions, and issued under part 21 part
alterations involving and held by that person.
documents associated with
part 21.
1996.................. 142.11(e)(3)............. Incomplete, inaccurate, Denial, suspension,
fraudulent, or false revocation, or termination
information associated with of a certificate under part
training center certificates. 142.
2004.................. 120.103(e) and 120.213 Fraudulent or intentionally None.
(formerly 121 app. I and false statements or entries
J). and fraudulent reproduction
or alteration involving
records and documents
associated with part 120.
2006.................. 60.33.................... Fraudulent or intentionally One or any combination of the
false statements, known following:
omissions, fraudulent (1) A civil penalty;
reproduction or alteration, (2) Suspension or revocation
and incorrect statements or of any certificate held by
entries upon which the FAA that person that was issued
relied or could have relied under 14 CFR chapter I;
involving records or (3) The removal of FSTD
documents associated with qualification and approval
part 60. for use in a training
program.
An incorrect statement or
entry, upon which the FAA
relied or could have relied,
may serve as the basis for
the removal of qualification
of an FSTD, including the
withdrawal of approval for
use of an FSTD or denying an
application for a
qualification.
2007.................. 413.17(c)................ Willful false statements made Administrative sanctions in
relating to applications, accordance with part 405 of
licenses, and permits. 14 CFR chapter III.
2013.................. 121.9.................... Fraudulent or intentionally One or any combination of the
false statements and known following:
omissions involving records (1) A civil penalty;
and documents under part 121. (2) Suspension or revocation
of any certificate held by
that person that was issued
under 14 CFR chapter I;
(3) The denial of an
application for any approval
under part 121;
(4) The removal of any
approval under part 121.
2013.................. 139.115.................. Fraudulent or intentionally Suspension or revocation of
false statements or entries any certificate or approval
and fraudulent reproduction issued under part 139 and
or alteration involving held by that certificate
records or documents holder and any other
associated with part 139. certificate issued under 14
CFR and held by the person
committing the act.
2014.................. 145.12................... Fraudulent or intentionally One or any combination of the
false entries, fraudulent following:
reproduction or alteration, (1) Suspending or revoking
and omissions of a material the repair station
fact involving records or certificate and any
documents associated with certificate, approval, or
part 145. authorization issued by the
FAA and held by that person;
(2) A civil penalty;
(3) The denial of an
application under part 145.
2016.................. 107.5.................... Fraudulent or intentionally Any of the following:
false records or reports and (1) Denial of an application
fraudulent reproduction or for a remote pilot
alteration involving records certificate or a certificate
or documents associated with of waiver;
part 107. (2) Suspension or revocation
of any certificate, waiver,
or declaration of compliance
issued or accepted by the
Administrator under part 107
and held by that person; or
(3) A civil penalty.
2021.................. 89.5..................... Fraudulent or intentionally (1) Denial, suspension,
false statements, fraudulent rescission, or revocation of
reproduction or alteration, any acceptance, application,
and knowingly concealing or approval, authorization,
causing to be concealed a certificate, declaration,
material fact involving declaration of compliance,
records or documents designation, document,
associated with part 89. filing, qualification, means
of compliance, record,
report, request for
reconsideration, or similar
instrument issued or granted
by the Administrator and
held by that person; or
(2) A civil penalty.
[[Page 8566]]
2021.................. 111.35................... Fraudulent or intentionally None.
false statements and
concealing or causing to be
concealed a material fact
involving records or
documents associated with
part 111.
----------------------------------------------------------------------------------------------------------------
D. Summary of the Costs and Benefits
Falsification regulations promote aviation and commercial space
safety by incentivizing participants in the National Aerospace System
to provide accurate and truthful information in safety-related records.
Through the proposed rule, the FAA intends to enhance aviation safety
by standardizing the scope of conduct that the FAA intends to deter,
proscribed by falsification regulations, across the applicable sections
of 14 CFR parts 1 through 199 and 14 CFR parts 413 through 460 and
extending this scope of conduct to parts that currently do not have--
but should have--falsification provisions. The proposed rule also
intends to standardize sanction provisions for this conduct and allow
for more consistent sanction determinations as appropriate. The FAA has
evaluated the cost impacts to the stakeholders involved in this
proposed rulemaking and does not anticipate any new cost impact to the
industry or the FAA as a result of this proposed rule.
The FAA has also determined that this proposed rule is not a
``significant regulatory action'' as defined in section 3(f) of
Executive Order 12866 and is not ``significant'' as defined in DOT's
Regulatory Policies and Procedures.
II. Authority for This Rulemaking
The FAA's authority to issue rules on aviation safety is found in
Title 49 of the United States Code. Subtitle I, Section 106, describes
the authority of the FAA Administrator. Subtitle VII, Aviation
Programs, describes in more detail the scope of the Agency's authority.
With respect to 14 CFR chapter I, this rulemaking is issued under
49 U.S.C. 44701(a)(5), which establishes the authority of the
Administrator to prescribe regulations and minimum standards for other
practices, methods, and procedures the Administrator finds necessary
for safety in air commerce and national security. It is also issued
under 49 U.S.C. 44702-44709, which prescribe the FAA's authority to
issue different types of certificates to various individuals and
entities and to amend, modify, suspend, or revoke those certificates as
appropriate. This NPRM is within the scope of these sections because it
would establish new falsification regulations that consolidate all
existing falsification regulations into a general rule that
standardizes the existing falsification regulations and ensures that
falsification-related conduct that is not, but should be, addressed by
current regulations is covered under the general rule. This NPRM also
falls within the scope of 49 U.S.C. 46301 since this section authorizes
the assessment of civil penalties for noncompliance with the general
falsification provision.
With respect to 14 CFR chapter III, this rulemaking is issued under
the authority described in the Commercial Space Launch Act of 1984, as
amended and recodified at 51 U.S.C. 50901-50923 (the Act). The Act
authorizes DOT to oversee, investigate, license, and regulate
commercial launch and reentry activities and the operation of launch
and reentry sites as carried out by U.S. citizens or within the United
States. See 51 U.S.C. 50904, 50905. The Act directs the DOT to exercise
this responsibility consistent with public health and safety, safety of
property, and the national security and foreign policy interests of the
United States. See 51 U.S.C. 50901. This authority has been delegated
to the FAA's Associate Administrator for Commercial Space
Transportation. See 14 CFR 401.3.
The proposed regulations fall within the scope of 51 U.S.C. 50901-
50923 because they would establish comprehensive falsification
proscriptions that currently do not exist in 14 CFR chapter III. They
would promote the integrity of the information that the FAA relies on
and would serve as a basis for regulatory action as appropriate, which
is essential to the FAA's statutory responsibility to promote
continuous improvement of commercial space activities and ensure that
such activities are consistent with public health and safety, safety of
property, and national security and foreign policy interests. The
proposed rulemaking is within the scope of 51 U.S.C. 50908, since this
section authorizes the FAA, under delegated authority from the
Secretary of Transportation, to modify, suspend, or revoke a license
issued or transferred under 51 U.S.C. Subtitle V, chapter 509. It is
within the scope of 51 U.S.C. 50917 since it authorizes the FAA, under
delegated authority from the Secretary of Transportation, to assess a
civil penalty for a violation of chapter 509, a regulation prescribed
under chapter 509, or any term of a license issued or transferred under
chapter 509.
III. Discussion of the Proposal
The FAA proposes to amend and reorganize the current falsification
regulations to create uniform and comprehensive falsification
regulations for the applicable parts of 14 CFR chapter I and across 14
CFR chapter III, subchapter C. This proposed rulemaking would
standardize the proscribed conduct and expand the proscription to the
pertinent parts of 14 CFR chapters I and III as appropriate. It would
also standardize sanction provisions.
A. Applicability of the Proposed Rulemaking to 14 CFR Chapter I
The proposed rulemaking would address the lack of standardization
in current falsification regulations across the applicable parts of 14
CFR chapter I. In addition, the proposed rule would ensure that the
falsification prohibition applies to the particular parts of 14 CFR
chapter I that should have such a prohibition but currently do not.
Under proposed Sec. 3.401, the proposed rule would apply to any person
subject to the requirements in 14 CFR chapter I, subchapter A (except
parts 1 and 3), subchapter C (except part 39), subchapter D, subchapter
E (except parts 71 and 73), subchapter F (except parts 95 and 97),
subchapter G (except part 110), subchapter H, and part 183 of
subchapter K.
1. Application of Proposed Rule to 14 CFR Chapter I, Subchapter A
(Except Parts 1 and 3)
Subchapter A consists of 14 CFR parts 1, 3, and 5. The proposed
rule would apply to 14 CFR part 5, which contains recordkeeping
requirements regarding Safety Management Systems (SMS) that may be
subject to falsification.\31\ The proposed rule would not apply to 14
CFR parts 1 and 3. Part 1 contains definitions and abbreviations. Part
3
[[Page 8567]]
currently consists of subparts A and B. Subpart A contains an
independent falsification regulation governing statements about
products, parts, and appliances, and materials that may be used on a
type-certificated product and would remain unaffected by the proposed
rule.\32\ Subpart B prescribes security threat disqualification by the
FAA following receipt of a notification from the Transportation
Security Administration.\33\ The proposed rule would be located in a
new subpart D of part 3.
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\31\ See 14 CFR part 5, subpart F (``SMS Documentation and
Recordkeeping''), 14 CFR 5.95 and 5.97.
\32\ See 14 CFR 3.5 (prohibiting falsification regarding
products, parts, and appliances).
\33\ 14 CFR 3.200 and 3.205.
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2. Applicability of Proposed Rule to 14 CFR, Chapter I, Subchapter C
(Except Part 39)
Subchapter C consists of 14 CFR parts 21, 23, 25, 26, 27, 29, 31,
33, 34, 35, 36, 39, 43, 45, 47, 48, and 49. Existing falsification
regulations are in 14 CFR 21.2 and 43.12. The proposed rulemaking would
remove those sections and apply the proposed rule to parts 21 and 43.
The proposed rule would also apply to 14 CFR parts 23, 25, 26, 27, 29,
31, 33, 34, 35, 36 (i.e., ``airworthiness requirements'') and 14 CFR
parts 45, 47, 48, and 49 (i.e., ``registration requirements'').
Section 21.2 addresses falsification of information submitted under
part 21 and the airworthiness requirements. A person seeking a
certificate or approval, or a change thereto, under part 21 must first
show compliance with the airworthiness requirements, as applicable.\34\
The person shows such compliance by, among other things, submitting
documentation relating to airworthiness requirements to the FAA. The
FAA reviews the documentation and determines whether the person has met
the applicable standards before issuing or amending a certificate or
approval under part 21. Consequently, if a person falsifies a document
and submits it to the FAA to show compliance with the airworthiness
requirements in the process of seeking a certificate, approval, or
change under 14 CFR part 21, the FAA addresses the falsification under
14 CFR 21.2. Under the proposed rulemaking, the falsification
prohibition in subpart D of part 3 would apply directly to the
airworthiness requirements in addition to 14 CFR part 21.
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\34\ Under 14 CFR part 21, the FAA issues and changes design
approvals, production approvals, airworthiness certificates, and
airworthiness approvals. 14 CFR 21.1(a)(1). Under 14 CFR 21.1(b)(4),
a design approval ``means a type certificate . . . or the approved
design under a PMA, TSO authorization, letter of TSO design
approval, or other approved design . . . .'' The ``Airworthiness
Standards'' (i.e., 14 CFR parts 23-36) with the exception of part
34, (1) prescribe airworthiness standards for the issue of type
certificates and changes to certificates and (2) require each person
who applies under part 21 for such a certificate or change to show
compliance with the applicable requirements of those parts. See 14
CFR 23.2000(a), 25.1(a)-(b), 26.1(a)-(b), 27.1(a)-(b), 29.1(a) and
(g), 31.1(a)-(b), 33.1(a)-(b), 35.1(a)-(b), and 36.1(a)-(c). Part 34
sets forth fuel venting and exhaust emission requirements for
turbine powered airplanes.
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The proposed rule would also apply to the registration requirements
in 14 CFR parts 45, 47, 48, and 49. Parts 45, 47, 48, and 49 contain
record requirements that may be subject to falsification. Due to the
absence of a falsification regulation in part 47, the FAA has lacked a
direct approach to addressing registration falsifications under that
part. Hence, the proposed rulemaking would appropriately apply to parts
45, 47, 48, and 49.
The proposed rule would not apply to 14 CFR part 39 since it
provides a legal framework for the FAA's system of airworthiness
directives. It does not contain requirements that are subject to
falsification.
3. Applicability of Proposed Rule to 14 CFR, Chapter I, Subchapter D
Subchapter D (``Airmen'') consists of 14 CFR parts 60, 61, 63, 65,
67, and 68. Existing falsification regulations are in 14 CFR 60.33,
61.59, 63.20, 65.20, and 67.403. The proposed rulemaking would remove
those sections and apply to parts 60, 61, 63, 65, and 67. The proposed
rule would also apply to part 68, which does not have an existing
falsification regulation.\35\ Part 68 requires an individual to make
representations, provide them to the FAA, and retain required documents
in their logbook. Since these record requirements could be subject to
falsification, the proposed rule would apply to part 68.
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\35\ Part 68 requires an individual to complete a medical
education course (Sec. 68.3) and a comprehensive medical evaluation
(14 CFR 68.5), which includes a comprehensive medical examination
checklist (CMEC). The individual makes required representations on
the medical education course information (Sec. Sec. 68.3(b)(1),
(3)-(5)), which is submitted to the FAA (Sec. 68.3(b)) and the CMEC
(Sec. 68.7(a)(2)). Both the medical education course completion
certificate and the CMEC must be kept in the individual's logbook.
(Sec. 68.3(b)(1) and 61.113(i)(3)).
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4. Applicability of Proposed Rule to 14 CFR, Chapter I, Subchapter E
(Except Parts 71 and 73)
Subchapter E (``Airspace'') consists of 14 CFR parts 71, 73, and
77, none of which contain existing falsification regulations. The
proposed rulemaking would apply only to part 77 since that part
requires an individual to submit documentation to the FAA that could be
subject to falsification.\36\ In contrast, parts 71 and 73 consist of
FAA designations of airspace. Those parts are not subject to
falsification.
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\36\ Part 77 establishes, among other things, ``the requirements
to provide notice to the FAA of certain proposed construction, or
the alteration of existing structures'' and ``[t]he process to
petition the FAA for discretionary review of determinations,
revisions, and extensions of determinations.'' 14 CFR 77.1(a) and
(d). Sections 77.7, 77.9, and 77.11 describe the contents of such
notices provided to the FAA. Following submission of the notice(s),
``[t]he FAA will make a determination stating whether the proposed
construction or alteration would be a hazard to air navigation, and
will advise all known interested persons.'' 14 CFR 77.31(a).
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5. Applicability of Proposed Rule to 14 CFR Chapter I, Subchapter F
(Except Parts 95 and 97)
Subchapter F (``Air Traffic and General Operating Rules'') consists
of 14 CFR parts 89, 91, 93, 95, 97, 99, 101, 103, 105, and 107.
Existing falsification regulations are in 14 CFR 89.5 and 107.5. The
proposed rulemaking would remove these sections and apply the proposed
rule to parts 89 and 107. The proposed rule would also apply to 14 CFR
parts 91, 93, 99, 101, 103, and 105. These parts contain requirements
for applying for certificates, waivers, and other issuances or grants
or for keeping or making records.\37\ Since these documentary
requirements are subject to falsification, the proposed rule would
apply. The proposed rule would not apply to 14 CFR parts 95 and 97
since
[[Page 8568]]
they consist of FAA airspace and procedure designations. They do not
contain documentation requirements subject to falsification.
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\37\ The following are examples of such requirements.
Part 91--Subpart K of part 91 contains requirements for
submitting an application for management specifications (14 CFR
91.1014) and for recordkeeping (14 CFR 91.1027). See also, 14 CFR
91.903(b) (application for a certificate of waiver) and 91.871
(waivers from interim compliance requirements).
Part 93--Section 93.325 requires that ``[e]ach certificate
holder must submit in writing, within 30 days of the end of each
calendar quarter, the total number of commercial [Special Flight
Rules Area] SFRA [Washington, DC Metropolitan Area Special Flight
Rules Area] operations conducted for that quarter.'' Section 93.323
requires a certificate holder to file a visual flight rules flight
plan before conducting a commercial SFRA operations.
Part 99--Section 99.9(b)(1) provides that, ``[n]o person may
operate an aircraft into, within, or whose departure point is within
an ADIZ unless--(1) The person files a DVFR flight plan containing
the time and point of ADIZ penetration . . . .''
Part 101--Part 101 specifies the required contents of a
notification to the FAA by a person who intends to operate an
unshielded moored balloon or kite (14 CFR 101.15) or an unmanned
free balloon (14 CFR 101.37).
Part 103--Section 103.3(b) requires the pilot or operator of an
ultralight vehicle to, upon request of the Administrator, furnish
satisfactory evidence that the vehicle is subject only to the
provisions of part 103.
Part 105--Section 105.15(a) requires a person requesting an
authorization to conduct a parachute operation over or into a
congested area to submit a notification consisting of particular
information.
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6. Applicability of Proposed Rule to 14 CFR Chapter I, Subchapter G
(Except Part 110)
Subchapter G (``Air Carriers and Operators for Compensation or
Hire: Certification and Operations'') consists of 14 CFR parts 110,
111, 117, 119, 120, 121, 125, 129, 133, 135, 136, 137, and 139.
Existing falsification regulations are contained in 14 CFR 111.35,
120.103(e), 120.213, 121.9, and 139.115. The proposed action would
remove those sections and apply the proposed rule to parts 111, 120,
121, and 139.
The proposed rule would also apply to 14 CFR parts 117, 119, 125,
129, 133, 135, 136, and 137, none of which contain an existing
falsification regulation. Part 117 contains reporting requirements that
may be subject to falsification, prompting the necessity for the
application of the proposed rulemaking.\38\ Although parts 119, 121,
125, 129, 133, 135, 136, and 137 require documents that are subject to
falsification, only part 121 contains a falsification regulation.
Accordingly, the proposed rulemaking would apply to those sections. The
proposed action would not apply to 14 CFR part 110, as this part
provides definitions only.
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\38\ See 14 CFR 117.11(c) (``Each certificate holder must report
to the administrator within 10 days any flight time that exceeded
the maximum flight time limits permitted by this section or Sec.
117.23(b).'')
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7. Applicability of Proposed Rule to 14 CFR Chapter I, Subchapter H
Subchapter H (``Schools and Other Certificated Agencies'') consists
of 14 CFR parts 141, 142, 145, and 147. Existing falsification
regulations are in 14 CFR 142.11(e) and 145.12. The proposed action
would remove those sections and apply the proposed rule to parts 142
and 145. The proposed rule would also apply to parts 141 and 147 since
these parts have documentation requirements that may be subject to
falsification. Part 142 contains operation and certification
requirements and a falsification regulation, yet parts 141 and 147 do
not proscribe falsification despite containing analogous operation and
certification requirements in the context of aviation training.
8. Applicability of Proposed Rule to 14 CFR Chapter I, Subchapter K,
Part 183
Subchapter K (``Administrative Regulations'') consists of 14 CFR
parts 183, 185, 187, 189, and 193. Subchapter K contains no existing
falsification regulations. The proposed rulemaking would apply solely
to 14 CFR part 183 as parts 185, 187, 189, and 193 do not contain
provisions subject to falsification.\39\ Generally, intentional
falsification by a delegee under part 183 would likely result in the
FAA rescinding the delegation under 49 U.S.C. 44702(d)(2).\40\ Under
the proposed rule, the FAA would have the option of initiating an
action against a delegee for intentional falsification, and it would be
``a basis for . . . rescinding . . . any . . . designation.'' \41\
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\39\ Part 183 ``describes the requirements for designating
private persons to act as representatives of the Administrator in
examining, inspecting, and testing persons and aircraft for the
purpose of issuing airman, operating, and aircraft certificates. In
addition, this part states the privileges of those representatives
and prescribes rules for the exercising of those privileges, as
follows:
(a) An individual may be designated as a representative of the
Administrator under subparts B or C of this part.
(b) An organization may be designated as a representative of the
Administrator by obtaining an Organization Designation Authorization
under subpart D of this part.'' 14 CFR 183.1(a)-(b).
\40\ See 49 U.S.C. 44702(d)(2) (authorizing the FAA to ``rescind
a delegation under this subsection at any time for any reason the
Administrator considers appropriate.'').
\41\ Sections 3.403(d)(1) and 3.405(b) of the proposed rule.
---------------------------------------------------------------------------
9. Other Subchapters of 14 CFR Chapter I to Which the Proposed Rule
Would Not Apply
The proposed rulemaking would not apply to 14 CFR chapter I,
subchapters B (``Procedural Rules''); I (``Airports''); J
(``Navigational Facilities''); and N (``War Risk Insurance''). The
application of the proposed rule to these subchapters would constitute
an unnecessary or unwarranted expansion of the falsification
prohibition at this time.
B. Applicability of the Proposed Rulemaking to 14 CFR Chapter III
The proposed rulemaking would address the lack of comprehensive
falsification regulations across the applicable parts of 14 CFR chapter
III by creating a new part 402, entitled ``General Requirements and
Falsification Prohibitions.'' The proposed rule in part 402 would
parallel the proposed rule in part 3, subpart D. It would apply to any
person subject to the requirements in subchapter C of 14 CFR chapter
III.
Subchapter C (``Licensing'') consists of 14 CFR parts 413, 414,
415, 417, 420, 431, 433, 435, 437, 440, 450, and 460. Subchapter C
currently has one falsification regulation in subchapter C, which is
located at 14 CFR 413.17(c) (``Continuing Accuracy of Application;
Supplemental Information; Amendment''). The proposed rulemaking would
remove that subparagraph and would apply the proposed rule in new part
402 to all parts of subchapter C. Subchapter C contains myriad
requirements and procedures in connection with licenses, approvals,
permits, and recordkeeping, and for demonstrating financial
responsibility. The requirements involve submission of information to
the FAA that could be subject to falsification.\42\
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\42\ See requirements in 14 CFR 413.7 (an application for a
license); 414.13 (an application for a safety approval); 415.13
(transfer of a launch license); 417.15 and 420.61 (maintaining all
records necessary to verify that the operator conducts its
operations in accordance with representations contained in its
application); 431.25 (an application for a policy review); 433.3
(issuance of a license to operate a reentry site); 435.5 (obtaining
policy and safety approvals concerning reentry of a reentry vehicle
other than a reusable launch vehicle); 437.21 (obtaining an
Experimental Permit); 440.15 (submitting to the FAA evidence of
financial responsibility and compliance with allocation of risk
requirements under part 440); 450.31 (obtaining a vehicle operator
license); and 460.7 (maintaining records of crew training).
---------------------------------------------------------------------------
C. ``Statements'' in Proposed Sec. Sec. 3.403(a), 3.405(a), 402.3(a),
and 402.5(a)
Proposed Sec. Sec. 3.403(a), 3.405(a), 402.3(a), and 402.5(a)
apply to ``statements.'' Over the years, the falsification regulations
have proscribed false statements and entries.\43\ Regardless of whether
one characterizes a particular representation as a ``statement'' or
``entry,'' when it is intentionally false or fraudulent, it is subject
to the falsification proscription. The elimination of the word
``entry'' is intended to simplify the proposed rulemaking and is not
intended to make a substantive change. The term ``statement''
references any information a person provides in a document.
Accordingly, proposed Sec. Sec. 3.403(a) and 402.3(a) would provide
that ``[n]o person may make or cause to be made any fraudulent or
intentionally false statement'' in any of the documents described in
proposed Sec. Sec. 3.403(a)(1)-(2) and 402.3(a)(1)-(2). Sections
3.405(a) and 402.5(a) would provide that ``[n]o person may make or
cause to be made a material incorrect statement'' in any of the
documents described in Sec. Sec. 3.405(a)(1)-(2) and 402.5(a)(1)-(2).
---------------------------------------------------------------------------
\43\ See note 1, supra.
---------------------------------------------------------------------------
D. Categories of ``Any Document in Any Format'' in Proposed Sec. Sec.
3.403 and 3.405--14 CFR Chapter I
The proposed rulemaking in relation to 14 CFR chapter I applies to
``any document in any format.'' Documents ``in any format'' include
hard copy or other tangible format (like a data plate, stamped marks on
parts, and bar codes)
[[Page 8569]]
or electronic. The proposed rulemaking in relation to 14 CFR chapter I
applies to two categories of documents. Proposed Sec. Sec.
3.403(a)(1), 3.403(b)(1), 3.403(c)(1), and 3.405(a)(1) would consist of
``[a]ny document in any format submitted under any provision referenced
in Sec. 3.401 of [proposed subpart D of part 3], consisting of or
related to any acceptance, application, approval, authorization,
certificate, rating, declaration, designation, qualification, record,
report, request for reconsideration, or similar.'' (``Category 1'').
Table 2 contains examples of documents in Category 1.
Table 2--Examples of Category 1 Documents--14 CFR Chapter I
------------------------------------------------------------------------
14 CFR chapter I--documents--proposed Sec. Sec. 3.403(a)(1),
3.403(b)(1), 3.403(c)(1), and 3.405(a)(1)
-------------------------------------------------------------------------
Category 1 Examples
------------------------------------------------------------------------
Acceptance................... Acceptance of aircraft engines and
propellers (Sec. 21.500); Acceptance
of Articles (Sec. 21.502).
Application.................. See generally, parts 61 (e.g.,
application for pilot certificate), 67
(e.g., application for a medical
certificate), 119 (e.g., application for
an Air Carrier Certificate or Operating
Certificate).
Approval..................... Parts Manufacturer Approval (PMA) (Part
21, subpart K); Fatigue risk management
system (Sec. 117.7); 121.141 Airplane
Flight Manual (Sec. 121.141), Approval
procedures of training courses (Sec.
141.13); SMS Implementation Plan, Sec.
5.1.
Authorization................ Authorization for Special Issuance of a
Medical Certificate (Sec. 67.401);
Letter of Authorization (e.g., part 91);
Inspector Authorization (Sec. 65.95).
Certificate.................. See generally, parts 61 (e.g., private,
commercial airline transport pilot
certificates), 63 (e.g., flight engineer
certificate), 67 (e.g., medical
certificate),145 (e.g., repair station
certificate).
Rating....................... Instrument rating (Sec. 61.65).
Declaration.................. Declaration of compliance (Sec.
89.535).
Designation.................. Kinds of Designations (part 183, subpart
C).
Qualification................ Flight Simulator Training Device
qualification (Sec. 60.4).
Record....................... Maintenance records (e.g., part 43);
Pilot School Training Records (Sec.
141.101); Voting Trust Agreement and
Affidavit (Sec. 47.8).
Report....................... Safety analysis (Sec. 33.75);
Comprehensive Medical Examination
Checklist (Sec. 68.7).
Request for reconsideration.. Request for reconsideration (Sec. Sec.
67.407(c) and 67.409(a)).
Or similar................... Operations specifications (part 119);
Product and Process specifications;
Program Registrations (part 120);
Waivers (e.g., part 107); Exemptions
(e.g., part 139); Special Flight Permits
(Sec. 21.197); Graduation Certificate
(Sec. 141.95).
------------------------------------------------------------------------
Proposed Sec. Sec. 3.403(a)(2), 3.403(b)(2), 3.403(c)(2), and
3.405(a)(2) would consist of, ``[a]ny document in any format that is
kept, made, or used to show compliance with any requirement under the
provisions referenced in Sec. 3.401 of this subpart'' (``Category
2'').
1. Scope of Category 1 in Proposed Sec. Sec. 3.403(a)(1), 3.403(b)(1),
3.403(c)(1), and 3.405(a)(1)
The Category 1 documents in proposed Sec. Sec. 3.403(a)(1),
3.403(b)(1), 3.403(c)(1), and 3.405(a)(1) may consist of an
application, declaration, record, report, request for reconsideration,
or similar, that a person submits to the FAA or a designee. The
Category 1 documents that a person submits to the FAA or a designee may
also be related to an acceptance, approval, authorization, certificate,
rating, designation, qualification, or similar. For example, the FAA
may request an airman seeking a medical certificate under part 67 to
submit additional medical records related to qualification requirements
under Sec. 67.413. The ``related to'' language in the proposed rule
would cover falsifications of the additional medical records. In either
case, the intent of the proposed rule is to ensure that information the
FAA is authorized to receive under statute and regulation in connection
with the listed items is covered.
2. Scope of Category 2 in Proposed Sections 3.403(a)(2), 3.403(b)(2),
3.403(c)(2), and 3.405(a)(2)
The Category 2 documents in proposed Sec. Sec. 3.403(a)(2),
3.403(b)(2), 3.403(c)(2), and 3.405(a)(2) are consistent with the
familiar prescription, ``made, kept, or used, to show compliance with
any requirement,'' that is nearly ubiquitous in the falsification
regulations.\44\ Category 2 documents may include, for example, pilot
logbook records and aircraft maintenance records. Such records are
kept, made, or used to show compliance with applicable regulatory
requirements. In contrast to Category 1 documents, Category 2 documents
are not necessarily submitted to the FAA. Proposed Sec. Sec.
3.403(a)(2), 3.403(b)(2), 3.403(c)(2), and 3.405(a)(2) would not
include the words ``developed'' or ``provided,'' which is terminology
used in 14 CFR 89.5(a)(2) and (b)(2). These terms are redundant of the
terms ``made, kept, or used'' in the proposed rulemaking. Their removal
is not intended to narrow the scope of documents subject to the
proposed rulemaking.
---------------------------------------------------------------------------
\44\ See 14 CFR 21.2(a)(2), 43.12(a)(1), 60.33(a)(2),
61.59(a)(2), 63.20(a)(2), 65.20(a)(2), 67.403(a)(2); 107.5(a)(1);
139.115(a)(2), 145.12(a)(1)(i); see also, 14 CFR
89.5(a)(2)(``developed, provided, kept, or used''); 111.35(c),
120.103(e)(2), 120.213(b) (``kept, made, or used), and 121.9(a)(2)
(``kept, made, or used'').
---------------------------------------------------------------------------
Consistent with many existing falsification regulations, Category 2
would not condition the applicability of the falsification prohibition
on a requirement that the ``document in any format'' be kept, made, or
used to show compliance. This approach reflects the FAA's position in
the 2014 amendments to part 145. In that rule, the FAA eliminated the
phrase ``required to be'' with regard to any record or report made,
kept, or used to show compliance. The FAA did so ``to forestall an
argument a falsifier could make that, although the falsification
occurred in a record or report that was made, kept, or used to show
compliance, it was not a record or report that was required by a
regulation to be made or kept.'' \45\ The NTSB had already rejected
that argument in addressing a violation of 14 CFR 43.12,\46\ noting
that
[[Page 8570]]
the phrase should not be restricted to mean ``required'' by the FAA
Administrator because the term can also be broadly construed to mean
required by the circumstances for which compliance is sought or
necessary.\47\ The elimination of the phrase ``required to be'' is
consistent with the falsification regulations that do not contain that
phrase.\48\
---------------------------------------------------------------------------
\45\ 79 FR 46980 (Aug. 12, 2014).
\46\ Adm'r v. Anderson, NTSB No. EA-4564, 1997 WL 355350 at *2
(June 26, 1997) (agreeing with the FAA's ``clearly reasonable
position that the regulation reaches falsifications in any
maintenance documents actually kept or used to show compliance with
a requirement in part 43, whether or not they are records in a form
or format the Administrator specifically requires an individual to
use or keep for that purpose'').
\47\ Anderson, NTSB No. EA-4564 at *3.
\48\ See 14 CFR 21.2(a)(2), 60.33(a)(2), 67.403(a)(2),
111.35(c), 120.103(e)(2), 120.213(b), 121.9(a)(2), 145.12(a)(1)(i)
and (b)(2).
---------------------------------------------------------------------------
E. Categories of ``Any Document In Any Format'' in Proposed Sec. Sec.
402.3 and 402.5--14 CFR Chapter III
The proposed rulemaking in relation to 14 CFR chapter III, applies
to two categories of ``any document in any format,'' as that
terminology is defined in Section C. Proposed Sec. Sec. 402.3(a)(1),
402.3(b)(1), 402.3(c)(1), and 402.5(a)(1) would consist of ``[a]ny
document in any format submitted under any provision referenced in
Sec. 402.1 of [part 402], consisting of or related to any acceptance,
application, approval, authorization, permit, license, waiver, record,
report, or similar,'' (``Category 1''). Table 4 contains examples of
documents in Category 1.
Table 3--Examples of Category 1 Documents--14 CFR Chapter III
------------------------------------------------------------------------
14 CFR Chapter I--Documents--Proposed Sec. Sec. 402.3(a)(1),
402.3(b)(1), 402.3(c)(1), and 402.5(a)(1)
-------------------------------------------------------------------------
Category 1 Examples
------------------------------------------------------------------------
Acceptance................... Acceptance of an application (Sec.
413.11); Acceptance of a means of
compliance (Sec. 450.35).
Application.................. Application submission (Sec. 413.7).
Approval..................... Safety Element Approval (part 414);
Policy Approval (Sec. 450.41).
Authorization................ Certificate of Waiver or Authorization
(Sec. 437.71(d)(2)); Authorization to
conduct reusable launch vehicle missions
(Sec. 431.3(a)).
Permit....................... Experimental Permit (part 437).
License...................... License Application Procedures (part
413); Launch License (part 415); Launch
and Reentry of a Reusable Launch Vehicle
(part 431); License to Operate a Reentry
Site (part 433); Reentry of a Reentry
Vehicle Other Than A Reusable Launch
Vehicle (part 435); License to Operate a
Launch Site (part 420); Launch and
Reentry License Requirements (part 450).
Waiver....................... Filing a petition for waiver (14 CFR
404.5).
Record....................... Records under 14 CFR Sec. Sec. 417.15,
431.77, 437.87, and 450.219.
Report....................... Reusable launch vehicle mission reporting
requirements (Sec. 431.79); Anomaly
reporting (Sec. 437.73); Mishap plan-
reporting, response, and investigation
requirements (Sec. 450.173); Pre-
flight reporting (Sec. 450.213); Post-
flight reporting (Sec. 450.215).
Or similar................... Demonstration of Financial Responsibility
and Compliance with Allocation of Risk
Requirements Under part 440; Payload
Determination (part 415); Demonstration
of Compliance (Sec. 440.15).
------------------------------------------------------------------------
Proposed Sec. Sec. 402.3(a)(2), 402.3(b)(2), 402.3(c)(2), and
402.5(a)(2) would consist of, ``[a]ny document in any format that is
kept, made, or used to show compliance with any requirement under the
provisions referenced in Sec. 402.1 of [part 402]'' (``Category 2'').
1. Scope of Category 1 in Proposed Sections 402.3(a)(1), 402.3(b)(1),
402.3(c)(1), and 402.5(a)(1)
Category 1 documents in proposed Sec. Sec. 402.3(a)(1),
402.3(b)(1), 402.3(c)(1), and 402.5(a)(1) consist of the listed items
(i.e., ``acceptance, application . . .'') or documents that are related
to them. Listed items in these sections are specific to 14 CFR chapter
III, subchapter C, and necessarily vary from the listed items in the
proposed rulemaking as it applies to 14 CFR chapter I since these items
are in the context of commercial space.
2. Scope of Category 2 in Proposed Sec. Sec. 402.3(a)(2), 402.3(b)(2),
402.3(c)(2), and 402.5(a)(2)
Category 2 documents in proposed Sec. Sec. 402.3(a)(2),
402.3(b)(2), 402.3(c)(2), and 402.5(a)(2) are modeled upon, and
consistent with, the terminology in Category 2 in the proposed rule as
it applies to 14 CFR chapter I, albeit applicable to commercial space.
F. Fraudulent or Intentionally False Statements or Entries in Proposed
Sec. Sec. 3.403(a) and 402.3(a)
Proposed Sec. Sec. 3.403(a) and 402.3(a) would prohibit fraudulent
or intentionally false statements in the Category 1 and 2 documents
described in Sections D and E of the ``Discussion of the Proposal''
section of this NPRM. Both fraud and intentional falsification have
clear and long-standing definitions established in precedent. The
elements of fraud and intentional falsification are defined in Section
I. B. ``Background'' of this NPRM. The FAA would not deviate from these
established definitions of fraud and intentional falsification in the
proposed rule.
G. Production, Reproduction, Alteration, for Fraudulent Purpose in
Proposed Sec. Sec. 3.403(b) and 402.3(b)
Proposed Sec. Sec. 3.403(b) and 402.3(b) prohibit any production,
reproduction, or alteration for a fraudulent purpose of the Category 1
and 2 documents described in Sections D and E of the ``Discussion of
the Proposal'' section of this NPRM. Reproductions for a fraudulent
purpose and alterations, including alterations for a fraudulent
purpose, are proscribed in various falsification regulations.\49\ While
some of these regulations prohibit any alteration of the applicable
document (i.e., 14 CFR 21.2(a)(4), 61.59(a)(4), 65.20(a)(4), and
67.403(a)(4)), others prohibit only fraudulent alterations of the
applicable document (i.e., 14 CFR 43.12(a)(3), 60.33(a)(3),
107.5(a)(2), and 145.12(a)(3)).
---------------------------------------------------------------------------
\49\ Such prohibitions are found at 14 CFR 21.2(a)(3)-(4),
43.12(a)(2)-(3), 60.33(a)(3), 61.59(a)(3)-(4), 63.20(a)(3)-(4),
65.20(a)(3)-(4), 67.403(a)(3)-(4), 89.5(a)(3), 107.5(a)(2),
120.103(e)(3), 121.9(a)(2), 139.115(a)(3)-(4), and 145.12(a)(2)-(3).
A ``fraudulent purpose'' consists of the three elements of an
intentional false statement plus an intent to deceive. See Adm'r v.
Coomber, NTSB Order No. EA-4283 (1994). It does not require action
taken in reliance. See id.
---------------------------------------------------------------------------
Proposed Sec. Sec. 3.403(b) and 402.3(b) would standardize this
prohibition to those reproductions and alterations that are for a
fraudulent purpose. These proposed sections would also prohibit a
``production'' for a fraudulent purpose
[[Page 8571]]
of the Category 1 or 2 documents. This provision is meant to capture
those instances where an individual or entity creates a document, such
as a certificate or authorization, rather than altering an authentic
existing document. In that case, the false document would be neither a
reproduction nor an alteration. In the context of 14 CFR chapter I,
this provision would apply, for example, to persons that create a
certificate (e.g., an airman certificate or an airworthiness
certificate) for a fraudulent purpose.
H. Knowingly Omitting or Causing To Be Omitted a Material Fact Under
Proposed Sec. Sec. 3.403(c) and 402.3(c)
Proposed Sec. Sec. 3.403(c) and 402.3(c) would prohibit a person
from knowingly omitting, or causing to be omitted, a material fact in
the Category 1 or 2 documents described in Sections D and E under the
``Discussion of the Proposal'' in this NPRM. These proposed sections
would correct inconsistencies in the ``omission'' prohibitions in the
falsification regulations.
The falsification regulations that address omissions do so
inconsistently by prohibiting (1) ``knowingly concealing or causing to
be concealed, by omission, a material fact'' (14 CFR 89.5(b)(1)-(2) and
145.12(b)(1)-(2)); (2) ``concealing or causing to be concealed a
material fact'' (14 CFR 111.35(a)-(c)); and (3) ``known omissions'' (14
CFR 60.33(a)(2) and 121.9(a)(2)). The ``concealment'' terminology is
unnecessary. When the FAA amended 14 CFR part 145 in 2014, it explained
that a knowing concealment of a material fact is triggered when a
person knew that they failed to include the material fact in the
document at issue.\50\ Whether a person knowingly conceals a material
fact by an omission or knowingly omits a material fact, the result is
the same: the person knew that they omitted a material fact.\51\ The
``known omission'' prohibition in 14 CFR 60.33 and 121.9 lacks a
materiality element. Regarding Sec. 60.33, the FAA previously stated
that it had ``added the word `material' to the phrase `known omission'
to clarify that only important, known omissions (i.e., from a statement
or writing) would constitute a violation'' on par with a fraudulent or
intentionally false statement or entry.\52\ A knowing omission of a
material fact can have a detrimental impact on aviation and public
safety to the same degree as an affirmative falsification. Accordingly,
the FAA would incorporate this prohibition into the proposed rulemaking
for 14 CFR chapter I and chapter III.
---------------------------------------------------------------------------
\50\ See 79 FR 46971 (Aug. 12, 2014).
\51\ See id.
\52\ See 71 FR 63422 (Oct. 30, 2006). Although the FAA stated
that it was adding ``material'' to ``known omissions,'' it appears
that this change was never incorporated into the regulatory text.
---------------------------------------------------------------------------
I. Sanction Under Proposed Sec. Sec. 3.403(d) and 402.3(d) for Conduct
Described in Sections F, G, and H of This NPRM
Proposed Sec. Sec. 3.403(d) and 402.3(d) would contain the
sanction provision respectively applicable to violations of proposed
Sec. Sec. 3.403(a)-(c) and 402.3(a)-(c). It would provide for two
categories of sanction: (1) FAA actions (i.e., denial, suspension,
modification, revocation, recension, removal, or withdrawal) involving
any issuance or grant by the Administrator under 14 CFR chapter I or
III; or (2) a civil penalty. Consistent with longstanding FAA sanction
policy, the termination of an FAA issuance or grant of the type of item
referenced in the proposed rule, such as a certificate revocation,
remains the appropriate consequence for violating proposed Sec. Sec.
3.403(a)-(c) and 402.3(a)-(c).\53\ Such violations seriously impact the
integrity of the records on which the FAA's safety oversight depends.
If the reliability of these records is undermined, the FAA's ability to
promote aviation and public safety is compromised.
---------------------------------------------------------------------------
\53\ See FAA Order 2150.3C, chap. 9, para. 8.
---------------------------------------------------------------------------
Some of the current falsification regulations limit the scope of
sanction to items issued under the part where the falsification
regulation is located. For instance, Sec. 21.2(a)(2) limits the
suspension or revocation of any certificate or approval issued under
part 21. Proposed Sec. Sec. 3.403(d) and 402.3(d) would generally
allow for the extension of those consequences to any issuance or grant
by the FAA and held by the falsifier. This is consistent with FAA
sanction guidance, which provides that violation of the falsification
regulations is an offense that generally warrants the revocation of all
certificates held by the certificate holder if allowed by the scope of
the regulation.\54\ This proposal ensures that such consequences are
not limited to certificates and extend to any issuance or grant the
falsifier holds.
---------------------------------------------------------------------------
\54\ See Order 2150.3C, chap. 9, para. 8.a.(2)(i)-(ii), which
states:
(i) Not only is revocation appropriate for conduct demonstrating
a lack of care, judgment, or responsibility, the scope of the
certificates affected by the revocation generally includes all
certificates held regardless of which certificate (if any) was used
at the time of the conduct.
* * * * *
(ii) For certain violations demonstrating a lack of care,
judgment, or responsibility, the scope of certificates affected is
dictated by statute or regulation. For example, the scope of
certificates affected by making a fraudulent or intentional false
statement on an application for an airman medical certificate in
violation of 14 CFR 67.403 is broad; this regulation provides a
basis to revoke all airman (including medical) and ground instructor
certificates. Further, an intentional falsification on an
application for a certificate issued under 14 CFR part 61 is a basis
for revoking any airman certificate, rating, or authorization.
---------------------------------------------------------------------------
Under proposed Sec. Sec. 3.403(d)(2) and 402.3(d)(2), the
proscribed conduct may in certain circumstances warrant imposition of a
civil penalty against an individual or entity, either in addition to or
in combination with an action against a certificate, license, or other
issuance or grant. For example, a civil penalty may be appropriate for
uncertificated persons that commit a falsification. The appropriate
sanction or combination of sanctions is within the prosecutorial
discretion of the FAA in accordance with agency sanction guidance
policy in publicly available FAA Order 2150.3C, as amended.
J. Incorrect Statements, or Omissions Under Proposed Sec. Sec. 3.405
and 402.5
Proposed Sec. Sec. 3.405(a)(1)-(2) and 402.5(a)(1)-(2) would
prohibit persons from making or causing to be made a material incorrect
statement or omitting or causing to be omitted a material fact, in the
Category 1 or 2 documents described in Sections D and E under the
``Discussion of the Proposal'' in this NPRM. Currently, incorrect
statements or entries upon which the FAA relied may serve as a basis
for an FAA action under 14 CFR 60.33(c)(1)-(2) (e.g., removal of a
qualification) and 67.403(c)(1)-(2) (e.g., revocation of a medical
certificate). Proposed Sec. Sec. 3.405(a)(1)-(2) and 402.5(a)(1)-(2)
would prohibit material incorrect statements or entries without
prescribing reliance by the FAA. Material incorrect statements or
entries, i.e., incorrect statements or entries that are capable of
influencing an agency decision, may have an adverse impact on safety
under 14 CFR chapters I and III. Proposed Sec. Sec. 3.405(a)(1)-(2)
and 402.5(a)(1)-(2) would provide a basis for appropriate action, as
explained in Section K. below, when a person unknowingly provides
material incorrect information, whether or not the FAA relied upon it.
Proposed Sec. Sec. 3.405(a)(1)-(2) and 402.5(a)(1)-(2) would also
prohibit omissions of material facts from the Category 1 or 2 documents
described in Sections D and E under the ``Discussion of the Proposal''
in this NPRM. Those proposed sections would apply to unknowing
omissions of material fact, in contrast to the proscription of knowing
omissions of material fact in proposed Sec. Sec. 3.403(c)(1)-(2) and
[[Page 8572]]
402.3(c)(1)-(2). An unknowing omission of a material fact can have a
detrimental impact on aviation and public safety to the same degree as
a knowing omission of material fact. Accordingly, the FAA would
incorporate this prohibition into the proposed rulemaking for 14 CFR
chapter I and chapter III.
Proposed Sec. 3.405(a)(1)-(2) would ensure coverage of the scope
of prohibited conduct in 14 CFR 142.11(e)(3) that deviated from prior
falsification regulations (i.e., ``incomplete,'' ``inaccurate,'' or
``false information'' (and not ``intentionally false information'')).''
\55\ Proposed Sec. 3.405(a)(1)-(2) would cover (1) ``incomplete''
information submitted under 14 CFR 142.11(e)(3) as an omission of a
material fact (so long as the person unknowingly omitted it), and (2)
``inaccurate'' and unintentionally ``false'' information submitted
under 14 CFR 142.11(e)(3) as a material incorrect statement or
entry.\56\
---------------------------------------------------------------------------
\55\ 14 CFR 142.11(e)(3).
\56\ Proposed Sec. 3.403(a)-(c) would cover ``fraudulent'' or
(intentionally) ``false'' information submitted under 14 CFR
142.11(e)(3).
---------------------------------------------------------------------------
Proposed Sec. 3.405(a)(1)-(2) would create consistency by
expanding the prohibition to the parts of 14 CFR chapter I that contain
falsification regulations but do not currently prohibit such conduct,
and to the applicable parts of 14 CFR chapter I generally, which are
referenced in proposed Sec. 3.401.\57\
---------------------------------------------------------------------------
\57\ The falsification regulations that prohibit incorrect
statements or entries are 14 CFR 60.33(c) and 67.403(c). Those that
do not are 14 CFR 21.2, 43.12, 61.59, 63.20, 65.20, 120.103(e),
120.213, 121.9, 139.115, 142.11(e)(3), and 145.12.
---------------------------------------------------------------------------
K. Sanction Under Proposed Sec. Sec. 3.405(b) and 402.5(b) for
Incorrect Statements, or Omissions
Proposed Sec. Sec. 3.405(b) and 402.5(b) would permit the agency
to deny, suspend, modify, revoke, rescind, remove, or withdraw any
issuance or grant by the Administrator under 14 CFR chapter I or III
for conduct described in Section J of the ``Discussion of the
Proposal'' in this NPRM. The intent behind proposed Sec. Sec. 3.405(b)
and 402.5(b) would not be punitive, but rather remedial and preventive
in an effort to cure unintended defects in documents under proposed
Sec. Sec. 3.403, 3.405, 402.3, and 402.5. A material incorrect
statement or entry, or omission of a material fact, generally warrants
an action against the issuance or grant in response to the document(s)
containing an incorrect statement, entry, or omission. For example,
generally, the appropriate sanction for an incorrect statement on an
application for an airman medical certificate is revocation of that
certificate. The individual impacted would then be able to submit a new
corrected application. Proposed Sec. Sec. 3.405(b) and 402.5(b) do not
require the FAA to take action against a person for an incorrect
statement, entry, or omission of material fact. The FAA would use its
prosecutorial discretion to determine whether such action was
appropriate based on the totality of the circumstances of a particular
case.
IV. Regulatory Notices and Analyses
Federal agencies consider impacts of regulatory actions under a
variety of executive orders and other requirements. First, Executive
Order 12866 and Executive Order 13563, as amended by Executive Order
14094 (``Modernizing Regulatory Review''), direct that each Federal
agency shall propose or adopt a regulation only upon a reasoned
determination that the benefits of the intended regulation justify the
costs. Second, the Regulatory Flexibility Act of 1980 (Pub. L. 96-354)
requires agencies to analyze the economic impact of regulatory changes
on small entities. Third, the Trade Agreements Act (Pub. L. 96-39)
prohibits agencies from setting standards that create unnecessary
obstacles to the foreign commerce of the United States. Fourth, the
Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) requires agencies
to prepare a written assessment of the costs, benefits, and other
effects of proposed or final rules that include a Federal mandate that
may result in the expenditure by State, local, and tribal governments,
in the aggregate, or by the private sector, of $100 million or more
(adjusted annually for inflation) in any one year. The current
threshold after adjustment for inflation is $177 million using the most
current (2022) Implicit Price Deflator for the Gross Domestic Product.
This portion of the preamble summarizes the FAA's analysis of the
economic impacts of this rule.
In conducting these analyses, the FAA has determined that this
proposed rule: is not a ``significant regulatory action'' as defined in
section 3(f) of Executive Order 12866; will not have a significant
economic impact on a substantial number of small entities; will not
create unnecessary obstacles to the foreign commerce of the United
States; and will not impose an unfunded mandate on State, local, or
tribal governments, or on the private sector.
Regulatory Evaluation
1. Need for the Regulation
Falsification regulations promote aviation and commercial space
safety by incentivizing the provision of accurate and truthful
information to the FAA. Through the proposed rule, the FAA intends to
enhance aviation safety by standardizing the scope of conduct
proscribed by falsification regulations that the FAA intends to deter
across the applicable sections of 14 CFR parts 1 through 199 and 14 CFR
parts 413 through 460 and extending this scope of conduct to the
requirements of 14 CFR parts 1 through 199 and 14 CFR parts 413 through
460 that currently do not have--but should have--falsification
provisions. The proposed rule would also standardize sanction
provisions for this conduct and allow for more consistent sanction
determinations as appropriate.
2. Benefits
The proposed rulemaking would benefit the safety of the public by
ensuring that information made, kept, or used to show compliance with
regulatory requirements or provided to the FAA is accurate and
complete. The proposed rulemaking also benefits private industry by
standardizing sanction provisions and providing consistent sanction
determinations. Additional benefits to private industry include a more
reliable aviation system that contains less risk and requires less
mitigation and corrective action to address situations where a person
has falsified a document.
3. Costs
The FAA has evaluated the cost impacts to the stakeholders involved
in this proposed rulemaking and does not anticipate any new cost impact
to industry and the FAA as a result of this proposed rule.
4. Regulatory Alternatives
The FAA considered no action as an alternative to this proposed
rulemaking. However, taking no action would not achieve the needed
harmonization and consolidation of the falsification regulations and
standardization of the scope of conduct proscribed by falsification
regulations.
The FAA has, therefore, determined that this proposed rule would
have no new costs but positive benefits and does not warrant a full
regulatory evaluation. The FAA has also determined that this proposed
rule is not a ``significant regulatory action'' as defined in section
3(f) of Executive Order 12866 and is not
[[Page 8573]]
``significant'' as defined in DOT's Regulatory Policies and Procedures.
B. Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980, Public Law 96-354, 94 Stat.
1164 (5 U.S.C. 601-612), as amended by the Small Business Regulatory
Enforcement Fairness Act of 1996 (Pub. L. 104-121, 110 Stat. 857, Mar.
29, 1996) and the Small Business Jobs Act of 2010 (Pub. L. 111-240, 124
Stat. 2504 Sept. 27, 2010), requires Federal agencies to consider the
effects of the regulatory action on small businesses and other small
entities and to minimize any significant economic impact. The term
``small entities'' comprises small businesses and not-for-profit
organizations that are independently owned and operated and are not
dominant in their fields and governmental jurisdictions with
populations of less than 50,000.
The FAA has not identified any small entities that would be
affected by the proposed rule because this proposed standardization of
the scope of conduct proscribed by falsification regulations does not
add any new costs to regulated entities. Therefore, the FAA certifies
that the proposed rule will not have a significant economic impact on
small entities. The FAA welcomes comments on the basis for this
certification.
C. International Trade Impact Assessment
The Trade Agreements Act of 1979 (Pub. L. 96-39), as amended by the
Uruguay Round Agreements Act (Pub. L. 103-465), prohibits Federal
agencies from establishing standards or engaging in related activities
that create unnecessary obstacles to the foreign commerce of the United
States. Pursuant to these Acts, the establishment of standards is not
considered an unnecessary obstacle to the foreign commerce of the
United States, so long as the standard has a legitimate domestic
objective, such as the protection of safety, and does not operate in a
manner that excludes imports that meet this objective. The statute also
requires consideration of international standards and, where
appropriate, that they be the basis for U.S. standards. The FAA has
determined that this proposed rule is not considered an unnecessary
obstacle to trade.
The FAA has assessed the potential effect of this proposed rule and
determined that it ensures the safety of the American public and does
not exclude imports that meet this objective. As a result, the FAA does
not consider this proposed rule as creating an unnecessary obstacle to
foreign commerce.
D. Unfunded Mandates Assessment
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
governs the issuance of Federal regulations that require unfunded
mandates. An unfunded mandate is a regulation that requires a State,
local, or tribal government or the private sector to incur direct costs
without the Federal government having first provided the funds to pay
those costs. The FAA determined that the proposed rule will not result
in the expenditure of $177 million or more by State, local, or tribal
governments, in the aggregate, or the private sector, in any one year.
This proposed rule does not contain such a mandate; therefore, the
requirements of title II of the Act do not apply.
E. Paperwork Reduction Act
The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires
that the FAA consider the impact of paperwork and other information
collection burdens imposed on the public. The FAA has determined that
there would be no new requirement for information collection associated
with this proposed rule.
F. International Compatibility
In keeping with U.S. obligations under the Convention on
International Civil Aviation, it is FAA policy to conform to
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. The FAA has
determined that there are no ICAO Standards and Recommended Practices
that correspond to these proposed regulations.
G. Environmental Analysis
FAA Order 1050.1F identifies FAA actions that are categorically
excluded from preparation of an environmental assessment or
environmental impact statement under the National Environmental Policy
Act in the absence of extraordinary circumstances. The FAA has
determined this rulemaking action qualifies for the categorical
exclusion identified in paragraph 5-6.6(f) for regulations and involves
no extraordinary circumstances.
V. Executive Order Determinations
A. Executive Order 13132, Federalism
The FAA has analyzed this proposed rule under the principles and
criteria of Executive Order (E.O.) 13132, Federalism. The FAA has
determined that this action would not have a substantial direct effect
on the States, or the relationship between the Federal Government and
the States, or on the distribution of power and responsibilities among
the various levels of government, and, therefore, would not have
federalism implications.
B. Executive Order 13175, Consultation and Coordination With Indian
Tribal Governments
Consistent with Executive Order 13175, Consultation and
Coordination with Indian Tribal Governments, and FAA Order 1210.20,
American Indian and Alaska Native Tribal Consultation Policy and
Procedures, the FAA ensures that Federally Recognized Tribes (Tribes)
are given the opportunity to provide meaningful and timely input
regarding proposed Federal actions that have the potential to affect
uniquely or significantly their respective Tribes. At this point, the
FAA has not identified any unique or significant effects, environmental
or otherwise, on tribes resulting from this proposed rule.
C. Executive Order 13211, Regulations That Significantly Affect Energy
Supply, Distribution, or Use
The FAA analyzed this proposed rule under Executive Order 13211,
Actions Concerning Regulations that Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). The FAA has determined that it
would not be a ``significant energy action'' under the executive order
and would not be likely to have a significant adverse effect on the
supply, distribution, or use of energy.
D. Executive Order 13609, Promoting International Regulatory
Cooperation
Executive Order 13609, Promoting International Regulatory
Cooperation, promotes international regulatory cooperation to meet
shared challenges involving health, safety, labor, security,
environmental, and other issues and to reduce, eliminate, or prevent
unnecessary differences in regulatory requirements. The FAA has
analyzed this proposed action under the policies and agency
responsibilities of E.O. 13609 and has determined that this proposed
action would have no effect on international regulatory cooperation.
VI. Additional Information
A. Comments Invited
The FAA invites interested persons to participate in this
rulemaking by submitting written comments, data, or views. The FAA also
invites comments relating to the economic, environmental, energy, or
federalism impacts that might
[[Page 8574]]
result from adopting the proposals in this document. The most helpful
comments reference a specific portion of the proposal, explain the
reason for any recommended change, and include supporting data. To
ensure the docket does not contain duplicate comments, commenters
should submit only one time if comments are filed electronically or
commenters should send only one copy of written comments if comments
are filed in writing.
The FAA will file in the docket all comments it receives, as well
as a report summarizing each substantive public contact with FAA
personnel concerning this proposed rulemaking. Before acting on this
proposal, the FAA will consider all comments it receives on or before
the closing date for comments. The FAA will consider comments filed
after the comment period has closed if it is possible to do so without
incurring expense or delay. The FAA may change this proposal in light
of the comments it receives.
Proprietary or Confidential Business Information: Do not file
proprietary or confidential business information in the docket. Such
information must be sent or delivered directly to the person identified
in the FOR FURTHER INFORMATION CONTACT section of this document and
marked as proprietary or confidential. If submitting information on a
disk or CD ROM, mark the outside of the disk or CD ROM, and identify
electronically within the disk or CD ROM the specific information that
is proprietary or confidential.
Under Sec. 11.35(b), if the FAA is aware of proprietary
information filed with a comment, the agency does not place it in the
docket. It is held in a separate file to which the public does not have
access, and the FAA places a note in the docket that it has received
it. If the FAA receives a request to examine or copy this information,
it treats it as any other request under the Freedom of Information Act
(5 U.S.C. 552). The FAA processes such a request under Department of
Transportation procedures found in 49 CFR part 7.
B. Availability of Rulemaking Documents
An electronic copy of a rulemaking document may be obtained by
using the internet--
1. Search the Federal eRulemaking Portal (<a href="http://www.regulations.gov">www.regulations.gov</a>);
2. Visit the FAA's Regulations and Policies web page at
<a href="http://www.faa.gov/regulations_policies/">www.faa.gov/regulations_policies/</a>; or
3. Access the Government Printing Office's web page at
<a href="http://www.GovInfo.gov">www.GovInfo.gov</a>.
Copies may also be obtained by sending a request (identified by
notice or docket number of this rulemaking) to the Federal Aviation
Administration, Office of Rulemaking, ARM-1, 800 Independence Avenue
SW, Washington, DC 20591, or by calling (202) 267-9680.
All documents the FAA considered in developing this proposed rule,
including economic analyses and technical reports, may be accessed from
the internet through the Federal eRulemaking Portal referenced in item
(1) above.
C. Small Business Regulatory Enforcement Fairness Act
The Small Business Regulatory Enforcement Fairness Act (SBREFA) of
1996 requires the FAA to comply with small entity requests for
information or advice about compliance with statutes and regulations
within its jurisdiction. A small entity with questions regarding this
document may contact its local FAA official or the person listed under
the FOR FURTHER INFORMATION CONTACT heading at the beginning of the
preamble. To find out more about SBREFA on the internet, visit
<a href="http://www.faa.gov/regulations_policies/rulemaking/sbre_act/">www.faa.gov/regulations_policies/rulemaking/sbre_act/</a>.
List of Subjects
14 CFR Part 3
Aircraft, Aviation safety, Fraud.
14 CFR Part 5
Administrative practice and procedure, Air carriers, Aircraft,
Aviation safety, Reporting and recordkeeping requirements.
14 CFR Part 21
Aircraft, Aviation safety, Exports, Imports, Reporting and
recordkeeping requirements.
14 CFR Part 43
Aircraft, Aviation safety, Reporting and recordkeeping
requirements.
14 CFR Part 45
Aircraft, Aviation safety, Reporting and recordkeeping
requirements.
14 CFR Part 47
Aircraft, Reporting and recordkeeping requirements.
14 CFR Part 48
Aircraft, Reporting and recordkeeping requirements.
14 CFR Part 60
Airmen, Aviation safety, Reporting and recordkeeping requirements.
14 CFR Part 61
Airmen, Alcohol abuse, Aviation safety, Drug abuse, Recreation and
recreation areas, Reporting and recordkeeping requirements, Security
measures, Teachers.
14 CFR Part 63
Aircraft, Airman, Alcohol abuse, Aviation safety, Drug abuse,
Navigation (air), Reporting and recordkeeping requirements, Security
measures.
14 CFR Part 65
Air traffic controllers, Aircraft, Airmen, Airports, Alcohol abuse,
Aviation safety, Drug abuse, Reporting and recordkeeping requirements,
Security measures.
14 CFR Part 67
Airmen, Authority delegations (Government agencies), Health,
Reporting and recordkeeping requirements.
14 CFR Part 68
Aircraft, Airmen, Aviation safety, Health, Reporting and
recordkeeping requirements.
14 CFR Part 77
Air traffic control, Aircraft, Aviation safety, Navigation (air).
14 CFR Part 89
Air traffic control, Aircraft, Airmen, Aviation safety, Reporting
and recordkeeping requirements, Security measures, Unmanned aircraft.
14 CFR Part 91
Afghanistan, Agriculture, Air carriers, Air taxis, Air traffic
control, Aircraft, Airmen, Airports, Alaska, Aviation safety, Canada,
Charter flights, Cuba, Drug traffic control, Ethiopia, Freight, Iraq,
Libya, Mexico, Noise control, North Korea, Political candidates,
Reporting and recordkeeping requirements, Security measures, Somalia,
Syria, Transportation, Yugoslavia.
14 CFR Part 93
Air traffic control, Aircraft, Aviation safety, Navigation (air).
14 CFR Part 99
Air traffic control, Aircraft, Aviation safety, Security measures.
14 CFR Part 101
Aircraft, Aviation safety, Balloons, Rockets.
14 CFR Part 103
Aircraft, Airmen, Aviation safety.
14 CFR Part 105
Aircraft, Aviation safety, Parachutes, Recreation and recreation
areas,
[[Page 8575]]
Reporting and recordkeeping requirements.
14 CFR Part 107
Aircraft, Airmen, Aviation safety, Reporting and recordkeeping
requirements, Security measures.
14 CFR Part 111
Administrative practice and procedure, Air carriers, Air operators,
Air taxis, Aircraft, Airmen, Alcohol abuse, Aviation safety, Charter
flights, Drug abuse, Public aircraft, Reporting and recordkeeping
requirements.
14 CFR Part 117
Airmen, Aviation safety, Reporting and recordkeeping requirements.
14 CFR Part 119
Administrative practice and procedure, Air carriers, Aircraft,
Airmen, Aviation safety, Charter flights, Reporting and recordkeeping
requirements.
14 CFR Part 120
Air carriers, Air traffic controllers, Airmen, Alcohol abuse,
Alcoholism, Aviation safety, Drug abuse, Drug testing, Reporting and
recordkeeping requirements, Safety, Transportation.
14 CFR Part 121
Air carriers, Aircraft, Airmen, Alcohol abuse, Aviation safety,
Charter flights, Drug abuse, Drug testing, Reporting and recordkeeping
requirements, Safety, Transportation.
14 CFR Part 125
Aircraft, Airmen, Aviation safety, Safety, Reporting and
recordkeeping requirements.
14 CFR Part 129
Air carriers, Aircraft, Aviation safety, Reporting and
recordkeeping requirements.
14 CFR Part 133
Aircraft, Airmen, Aviation safety, Helicopters.
14 CFR Part 135
Air taxis, Aircraft, Airmen, Alcohol abuse, Aviation Safety, Drug
abuse, Drug testing, Reporting and recordkeeping requirements.
14 CFR Part 136
Air transportation, Aircraft, Aviation safety, National parks,
Recreation and recreation areas, Reporting and recordkeeping
requirements.
14 CFR Part 137
Aircraft, Aviation safety, Reporting and recordkeeping
requirements.
14 CFR Part 139
Air carriers, Aircraft, Airports, Aviation safety, Reporting and
recordkeeping requirements.
14 CFR Part 141
Air transportation, Aircraft, Aircraft pilots, Airmen, Aviation
safety, Education, Educational facilities, Helicopters, Reporting and
recordkeeping requirements, Rotorcraft, Schools, Students, Teachers,
Transportation.
14 CFR Part 142
Aircraft, Airmen, Aviation safety, Educational facilities,
Reporting and recordkeeping requirements, Schools, Students, Teachers.
14 CFR Part 145
Aircraft, Aviation safety, Reporting and recordkeeping
requirements.
14 CFR Part 147
Aircraft, Airmen, Aviation safety, Education, Educational
facilities, Reporting and recordkeeping requirements, Schools.
14 CFR Part 183
Aircraft, Airmen, Authority delegations (Government agencies),
Aviation safety, Reporting and recordkeeping requirements.
14 CFR Part 402
Fraud, Reporting and recordkeeping requirements, Rockets, Safety,
Space transportation and exploration.
14 CFR Part 413
Confidential business information, Reporting and recordkeeping
requirements, Rockets, Safety, Space transportation and exploration.
14 CFR Part 414
Aviation safety, Confidential business information, Rockets,
Safety, Space transportation and exploration.
14 CFR Part 415
Aviation safety, Environmental protection, Reporting and
recordkeeping requirements, Safety, Space transportation and
exploration.
14 CFR Part 417
Aviation safety, Reporting and recordkeeping requirements, Rockets,
Safety, Space transportation and exploration.
14 CFR Part 420
Airspace, Aviation safety, Environmental protection, Reporting and
recordkeeping requirements, Space transportation and exploration.
14 CFR Part 431
Aviation safety, Environmental protection, Investigations,
Reporting and recordkeeping requirements, Rockets, Safety, Space
transportation and exploration.
14 CFR Part 433
Aviation safety, Environmental protection, Investigations,
Reporting and recordkeeping requirements, Rockets, Safety, Space
transportation and exploration.
14 CFR Part 435
Aviation safety, Environmental protection, Investigations,
Reporting and recordkeeping requirements, Rockets, Space transportation
and exploration.
14 CFR Part 437
Airspace, Aviation safety, Rockets, Safety, Space transportation
and exploration.
14 CFR Part 440
Indemnity payments, Insurance, Reporting and recordkeeping
requirements, Space transportation and exploration.
14 CFR Part 450
Aircraft, Aviation safety, Environmental protection,
Investigations, Reporting and recordkeeping requirements, Safety, Space
transportation and exploration.
14 CFR Part 460
Reporting and recordkeeping requirements, Rockets, Space safety,
Space transportation and exploration.
The Proposed Amendment
In consideration of the foregoing, the Federal Aviation
Administration proposes to amend 14 CFR as follows:
PART 3--GENERAL REQUIREMENTS
0
1. The authority citation for part 3 is revised to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44709, 46111, and
46301.
0
2. Revise Sec. 3.1(a) introductory text to read as follows:
Sec. 3.1 Applicability.
(a) This subpart applies to any person who makes a record
regarding:
* * * * *
0
3. Add subpart D, consisting of Sec. Sec. 3.401, 3.403, and 3.405, to
part 3 to read as follows:
[[Page 8576]]
Subpart D--Falsification, Reproduction, Alteration, Omission, or
Incorrect Statements
Sec.
3.401 Applicability.
3.403 Falsification, reproduction, alteration, or omission.
3.405 Incorrect statement, or omission.
Sec. 3.401 Applicability.
This subpart applies to any person subject to the requirements in
subchapter A (except parts 1 and 3), subchapter C (except part 39),
subchapter D, subchapter E (except parts 71 and 73), subchapter F
(except parts 95 and 97), subchapter G (except part 110), subchapter H,
and subchapter K (except parts 185, 187, 189 and 193), of this chapter.
Sec. 3.403 Falsification, reproduction, alteration, or omission.
(a) No person may make or cause to be made any fraudulent or
intentionally false statement in:
(1) Any document in any format, submitted under any provision
referenced in Sec. 3.401, consisting of or related to any acceptance,
application, approval, authorization, certificate, rating, declaration,
designation, qualification, record, report, request for
reconsideration, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 3.401.
(b) No person may make or cause to be made any production,
reproduction, or alteration, for fraudulent purpose, of:
(1) Any document in any format, submitted or granted under any
provision referenced in Sec. 3.401, consisting of or related to any
acceptance, application, approval, authorization, certificate, rating,
declaration, designation, qualification, record, report, request for
reconsideration, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 3.401.
(c) No person may knowingly omit, or cause to be omitted, a
material fact in:
(1) Any document in any format, submitted under any provision
referenced in Sec. 3.401, consisting of or related to any acceptance,
application, approval, authorization, certificate, rating, declaration,
designation, qualification, record, report, request for
reconsideration, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 3.401.
(d) The commission by any person of an act prohibited under
paragraphs (a) through (c) of this section is a basis for:
(1) Denying, suspending, modifying, revoking, rescinding, removing,
or withdrawing any acceptance, application, approval, authorization,
certificate, rating, declaration, designation, qualification, request
for reconsideration, or similar, issued or granted by the Administrator
and held by that person; or
(2) A civil penalty.
Sec. 3.405 Incorrect statement, or omission.
(a) No person may make or cause to be made a material incorrect
statement, or omit or cause to be omitted a material fact, in:
(1) Any document in any format, submitted under any provision
referenced in Sec. 3.401, consisting of or related to any acceptance,
application, approval, authorization, certificate, rating, declaration,
designation, qualification, record, report, request for
reconsideration, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 3.401.
(b) A material incorrect statement, or omission of a material fact,
in any document described in Sec. 3.405(a)(1) and (2) may serve as a
basis for denying, suspending, modifying, revoking, rescinding,
removing, or withdrawing any acceptance, application, approval,
authorization, certificate, rating, declaration, designation,
qualification, request for reconsideration, or similar, issued or
granted by the Administrator and held by that person.
PART 21--CERTIFICATION PROCEDURES FOR PRODUCTS AND ARTICLES
0
4. The authority citation for part 21 continues to read as follows:
Authority: 42 U.S.C. 7572; 49 U.S.C. 106(f), 106(g), 40105,
40113, 44701-44702, 44704, 44707, 44709, 44711, 44713, 44715, 45303.
Sec. 21.2 [Removed and reserved]
0
5. Remove and reserve Sec. 21.2.
PART 43--MAINTENANCE, PREVENTIVE MAINTENANCE, REBUILDING, AND
ALTERATION
0
6. The authority citation for part 43 continues to read as follows:
Authority: 42 U.S.C. 7572; 49 U.S.C. 106(f), 106(g), 40105,
40113, 44701-44702, 44704, 44707, 44709, 44711, 44713, 44715, 45303.
Sec. 43.12 [Removed and reserved]
0
7. Remove and reserve Sec. 43.12.
PART 60--FLIGHT SIMULATION TRAINING DEVICE INITIAL AND CONTINUING
QUALIFICATION AND USE
0
8. The authority citation for part 60 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40113, and 44701; Pub. L.
111-216, 124 Stat. 2348 (49 U.S.C. 44701 note).
Sec. 60.33 [Removed and Reserved]
0
9. Remove and reserve Sec. 60.33.
Appendix A to Part 60
0
10. In Appendix A to part 60:
0
a. In the table of contents, remove and reserve entry 22., and
0
b. Remove and reserve section ``22. Applications, Logbooks, Reports,
and Records: Fraud, Falsification, or Incorrect Statements (Sec.
60.33)''
Appendix B to Part 60
0
11. In Appendix B to part 60:
0
a. In the table of contents, remove and reserve entry 22., and
0
b. Remove and reserve section ``22. Applications, Logbooks, Reports,
and Records: Fraud, Falsification, or Incorrect Statements (Sec.
60.33).''
Appendix C to Part 60
0
12. In Appendix C to part 60:
0
a. In the table of contents, remove and reserve entry 22., and
0
b. Remove and reserve section ``22. Applications, Logbooks, Reports,
and Records: Fraud, Falsification, or Incorrect Statements (Sec.
60.33).''
Appendix D to Part 60
0
13. In Appendix D to part 60:
0
a. In the table of contents, remove and reserve entry 22., and
0
b. Remove and reserve section ``22. Applications, Logbooks, Reports,
and Records: Fraud, Falsification, or Incorrect Statements (Sec.
60.33).''
PART 61--CERTIFICATION: PILOTS, FLIGHT INSTRUCTORS, AND GROUND
INSTRUCTORS
0
14. The authority citation for part 61 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40113, 44701-44703, 44707,
44709-44711, 44729, 44903, 45102-45103, 45301-45302.
Sec. 61.59 [Removed and reserved]
0
15. Remove and reserve Sec. 61.59.
PART 63--CERTIFICATION: FLIGHT CREWMEMBERS OTHER THAN PILOTS
0
16. The authority citation for part 63 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40113, 44701-44703, 44707,
44709-44711, 45102-45103, 45301-45302.
[[Page 8577]]
Sec. 63.20 [Removed and reserved]
0
17. Remove and reserve Sec. 63.20.
PART 65--CERTIFICATION: AIRMEN OTHER THAN FLIGHT CREWMEMBERS
0
18. The authority citation for part 65 continuous to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40113, 44701-44703, 44707,
44709-44711, 45102-45103, 45301-45302.
Sec. 65.20 [Removed and reserved]
0
19. Remove and reserve Sec. 65.20.
PART 67--MEDICAL STANDARDS AND CERTIFICATION
0
20. The authority citation for part 67 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45303.
0
21. Revise Sec. 67.401(f)(5) to read as follows:
Sec. 67.401 Special issuance of medical certificates.
* * * * *
(f) * * *
(5) The holder makes or causes to be made a statement or entry that
is the basis for withdrawal of an Authorization, including a SODA,
under subpart D of part 3 of this chapter.
* * * * *
Sec. 67.403 [Removed and reserved]
0
22. Remove and reserve Sec. 67.403.
PART 89--REMOTE IDENTIFICATION OF UNMANNED AIRCRAFT
0
23.The authority citation for part 89 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40101(d), 40103(b), 44701,
44805, 44809(f); Section 2202 of Pub. L. 114-190, 130 Stat. 629.
Sec. 89.5 [Removed and reserved]
0
24. Remove and reserve Sec. 89.5.
PART 107--SMALL UNMANNED AIRCRAFT SYSTEMS
0
25. The authority citation for part 107 continues to read as follows:
Authority: 49 U.S.C. 106(f), 40101 note, 40103(b), 44701(a)(5),
46105(c), 46110, 44807.
Sec. 107.5 [Removed and reserved]
0
26. Remove and reserve Sec. 107.5.
PART 111--PILOT RECORDS DATABASE
0
27. The authority citation for part 111 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40101, 40113, 44701,
44703, 44711, 46105, 46301.
Sec. 111.35 [Removed and reserved]
0
28. Remove and reserve Sec. 111.35.
PART 120--DRUG AND ALCOHOL TESTING PROGRAM
0
29. The authority citation for part 120 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40101-40103, 40113, 40120,
41706, 41721, 44106, 44701, 44702, 44703, 44709, 44710, 44711,
45101-45105, 46105, 46306.
0
30. Remove and reserve Sec. 120.103(e).
Sec. 120.213 [Removed and reserved]
0
31. Remove and reserve Sec. 120.213.
PART 121--OPERATING REQUIREMENTS: DOMESTIC, FLAG, AND SUPPLEMENTAL
OPERATIONS
0
32. The authority citation for part 121 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40103, 40113, 40119, 41706,
42301 preceding note added by Pub. L. 112-95, sec. 412, 126 Stat.
89, 44101, 44701-44702, 44705, 44709-44711, 44713, 44716-44717,
44722, 44729, 44732; 46105; Pub. L. 111-216, 124 Stat. 2348 (49
U.S.C. 44701 note); Pub. L. 112-95, 126 Stat. 62 (49 U.S.C. 44732
note); Pub. L. 115-254, 132 Stat. 3186 (49 U.S.C. 44701 note).
Sec. 121.9 [Removed and reserved]
0
33. Remove and reserve Sec. 121.9.
PART 139--CERTIFICATION OF AIRPORTS
0
34. The authority citation for part 139 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40113, 44701-44706, 44709,
44719, 47175.
Sec. 139.115 [Removed and reserved]
0
35. Remove and reserve Sec. 139.115.
PART 142--TRAINING CENTERS
0
36. The authority citation for part 142 continues to read as follows:
Authority: 49 U.S.C. 106(f), 106(g), 40113, 40119, 44101,
44701-44703, 44705, 44707, 44709-44711, 45102-45103, 45301-45302.
Sec. 142.11 [Removed and reserved]
0
37. Remove and reserve Sec. 142.11(e)(3).
PART 145--REPAIR STATIONS
0
38. The authority citation for part 145 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44707, 44709,
44717.
Sec. 145.12 [Removed and reserved]
0
39. Remove and reserve Sec. 145.12.
0
40. Add part 402 to subchapter A to read as follows:
PART 402--GENERAL REQUIREMENTS
Sec.
402.1 Applicability.
402.3 Falsification, reproduction, alteration, or omission.
402.5 Incorrect statement, or omission.
Authority: 51 U.S.C. 50101-50923.
Sec. 402.1 Applicability.
This part applies to any person subject to the requirements in
subchapter C of this chapter.
Sec. 402.3 Falsification, reproduction, alteration, or omission.
(a) No person may make or cause to be made any fraudulent or
intentionally false statement in:
(1) Any document in any format, submitted under any provision
referenced in Sec. 402.1 of this part, consisting of or related to any
acceptance, application, approval, authorization, permit, license,
waiver, record, report, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 402.1.
(b) No person may make or cause to be made any production,
reproduction or alteration, for fraudulent purpose, of:
(1) Any document in any format, submitted or granted under any
provision referenced in Sec. 402.1, consisting of or related to any
acceptance, application, approval, authorization, permit, license,
waiver, record, report, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 402.1.
(c) No person may knowingly omit or cause to be omitted a material
fact in:
(1) Any document in any format, submitted under any provision
referenced in Sec. 402.1, consisting of or related to any acceptance,
application, approval, authorization, permit, license, waiver, record,
report, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 402.1.
(d) The commission by any person of an act prohibited under
paragraphs (a) through (c) of this section is a basis for:
(1) Denying, suspending, modifying, revoking, rescinding, removing,
or withdrawing any acceptance, application, approval, authorization,
permit, license, waiver, or similar, issued or granted by the
Administrator and held by that person; or
(2) A civil penalty.
[[Page 8578]]
Sec. 402.5 Incorrect statement, or omission.
(a) No person may make or cause to be made a material incorrect
statement, or omit or cause to be omitted a material fact, in:
(1) Any document in any format, submitted under any provision
referenced in Sec. 402.1, consisting of or related to any acceptance,
application, approval, authorization, permit, license, waiver, record,
report, or similar; or
(2) Any document in any format that is kept, made, or used to show
compliance with any requirement under the provisions referenced in
Sec. 402.1.
(b) A material incorrect statement, or omission of a material fact,
in a document described in Sec. 402.5(a)(1) and (2) may serve as a
basis for denying, suspending, modifying, revoking, rescinding,
removing, or withdrawing any acceptance, application, approval,
authorization, permit, license, waiver, or similar, issued or granted
by the Administrator and held by that person.
PART 413--LICENSE APPLICATION PROCEDURES
0
41. The authority citation for part 413 continues to read as follows:
Authority: 51 U.S.C. 50901-50923.
0
42. Remove and reserve Sec. 413.17(c).
Issued under authority provided by 49 U.S.C. 106(f), 44701(a), and
44703 in Washington, DC.
Marc A. Nichols,
Chief Counsel.
[FR Doc. 2024-00872 Filed 2-7-24; 8:45 am]
BILLING CODE 4910-13-P
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</html>Indexed from Federal Register on February 8, 2024.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.