8560 Federal Register / Vol. 89, No. 27 / Thursday, February 8, 2024 / Proposed Rules 

the Federal Register (88 FR 47650; 

Notice No. 23–10). Commenters were 

instructed to provide comments on or 

before October 23, 2023 (i.e., 90 days 

from the date of publication of the 

NPRM). However, based on numerous 

requests to extend the comment period, 

the FAA extended the comment period 

on October 4, 2023 (88 FR 68507) to 

January 22, 2024 (i.e., an additional 90 

days for a total of 180 days from the date 

of publication of the NPRM). 

Throughout the comment period, the 

rulemaking team assigned to this 

rulemaking project met to discuss the 

comments received. At a recent meeting 

of the rulemaking team, the FAA 

became aware of a conversation that was 

held between one of the members of the 

team and members of ASTM 

International (‘‘ASTM’’) regarding the 

contents of the NPRM during the ASTM 

International Fall Committee Week at a 

meeting of the ASTM International, 

Committee F37 on Light-Sport Aircraft. 

At the time, that team member 

recommended that the members of 

ASTM Committee F37 submit their 

comments to the docket. In the interest 

of transparency, the FAA is taking two 

steps. First, a Memorandum to the 

Docket (the ‘‘Memorandum’’) 

summarizing the conversation between 

ASTM Committee F37 and the FAA has 

been placed on the docket as of 

February 1, 2024. Second, the FAA is 

reopening the comment period for thirty 

(30) days to allow the public an 

opportunity to review the contents of 

the Memorandum and an opportunity to 

respond if desired. Commenters should 

limit comments during this extension to 

the contents of the Memorandum. 

Reopening of Comment Period 

Under the above circumstances, the 

FAA finds that an additional thirty (30) 

days will provide sufficient opportunity 

for the public to comment on the 

Memorandum. Therefore, the comment 

period for Notice No. 23–10 is reopened 

until March 11, 2024. 

The FAA will not extend the 

comment period for this rulemaking 

further. 

Issued under authority provided by 49 

U.S.C. 106(f), 44701(a), and 44703 in 

Washington, DC. 

Brandon Roberts, 

Executive Director, Office of Rulemaking, 

Federal Aviation Administration. 

[FR Doc. 2024–02545 Filed 2–7–24; 8:45 am] 

BILLING CODE 4910–13–P 

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). 

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: 

• Federal eRulemaking Portal: Go to 

www.regulations.gov/ and follow the 

online instructions for sending your 

comments electronically. 

• 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. 

• 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. 

• 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 

www.regulations.gov, as described in 

the system of records notice (DOT/ALL– 

14 FDMS), which can be reviewed at 

www.dot.gov/privacy. 

Docket: Background documents or 

comments received may be read at 

www.regulations.gov 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 

mike.stuart@faa.gov. 

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 


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Federal Register / Vol. 89, No. 27 / Thursday, February 8, 2024 / Proposed Rules 8561 

1Over 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 § 61.59), 63.20, 65.20, and 67.20 

(currently § 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); § 120.213 (2004); and § 139.115 

(2013)). 

2A 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). 

3See, Pence v. United States, 316 U.S. 332, 338 

(1942); Hart v. McLucas, 535 F.2d 516, 519 (9th Cir. 

1976). 

4See Pence, 316 U.S. at 338. 

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). 

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 


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5The 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 § 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). 

6 74 FR 53377 (Oct. 16, 2009) (preamble of the 

final rule amending 14 CFR part 21). 

7See, 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). 

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 § 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. 

9The 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, § 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). 

10On February 1, 1973, the falsification 

regulation at 14 CFR 61.48 was recodified at § 61.59 

as part of the FAA’s amendments to parts 61 and 

91. 38 FR 3168 (Feb. 1, 1973). 

11Section 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. 

12The FAA issued 14 CFR 67.20 in 1965. 30 FR 

2197 (Feb. 18, 1965). On March 19, 1996, the FAA 

amended § 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). 

13Also, § 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. 

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). 

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

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. 

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

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. 

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 §§ 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

Section 67.20 (1965), amended and 

recodified at § 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, 

§ 67.403 provided for certificate denials 

(which, in the context of part 67, 

involved the denial of an application for 

a medical certificate).13

The FAA issued 14 CFR 43.12 (1978) 

to proscribe individuals or entities from 

making fraudulent entries and 

reproductions and alterations for a 


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Federal Register / Vol. 89, No. 27 / Thursday, February 8, 2024 / Proposed Rules 8563 

14 43 FR 22639 (May 25, 1978). 

15 47 FR 41085 (Sept. 16, 1982). 

16Section 43.12(b) specifies, ‘‘the applicable 

airman, operator, or production certificate, 

Technical Standard Order Authorization, FAA-Parts 

Manufacturer Approval, or Product and Process 

Specification.’’ 

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.’’). 

21 14 CFR 21.2(b)(1) (74 FR 53368). 

22 14 CFR 21.2(b)(2) 

23Section 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 . . . .’’ 

24 61 FR 11251 (Mar. 19, 1996). 

25 71 FR 63426 (Oct. 30, 2006). 

26 14 CFR 60.33(c). 

27See 74 FR 22649 (May 14, 2009). 

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 

§ 43.12(a)(1) to include intentionally 

false entries.15 In contrast to §§ 61.59, 

63.20, and 65.20, sanction in the context 

of a § 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

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 § 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, § 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 § 21.2(a)(1)-(2) 

by proscribing misleading statements.19

At that time, the FAA specified that 

§ 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. 

Regarding sanction, § 21.2 was 

consistent with the predecessor 

regulations in that it provided for the 

suspension or revocation of certificates. 

In addition, § 21.2 also prescribed the 

suspension or revocation of approvals. 

The 2009 amendments to § 21.2 made it 

consistent with § 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 § 21.2 limited 

the scope of affected certificates. While 

the sanction in the predecessor 

falsification regulations affected ‘‘any’’ 

airman or ground instructor certificate 

(§§ 61.59, 63.20, and 65.20), or airman, 

ground instructor, and medical 

certificates (§ 67.403), 14 CFR 21.2 

limited the falsification sanction of 

suspension or revocation to certificates 

or approvals issued under ‘‘this part.’’ 22

Inconsistencies continued to emerge 

in falsification regulations issued or 

amended by the agency after § 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 §§ 21.2 and 43.12, but 

inconsistent with the broader scope 

under other predecessor falsification 

regulations, § 142.11(e)(3) affected 

certificates issued under ‘‘this part,’’ 

(i.e., 14 CFR part 142). 

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 § 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. 

The FAA specified different sanctions 

in proscribing incorrect statements or 

entries in §§ 67.403(c) and 60.33 and 

incomplete, inaccurate, and false 

information in § 142.11(e)(3). The 

sanction in § 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 § 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 

§ 142.11(e)(3), the regulation authorizes 

the denial, suspension, revocation, or 

termination of a part 142 certificate. 

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 §§ 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. 

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 §§ 89.5 and 145.12, proscribes 

concealing or causing to be concealed a 

material fact. However, § 111.35 lacks 

the knowledge element and ‘‘omission’’ 

terminology that is present in §§ 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 §§ 89.5, 107.5, 121.9, 


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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). 

29See note 6, supra, regarding the removal of the 

civil penalty prescription from part 405. 

30After 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). 

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, §§ 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 §§ 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. 

In § 89.5, the FAA articulated a 

broader approach to sanction. Under 

§ 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 

§ 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. 

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., § 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., §§ 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

TABLE 1—HISTORY OF FAA FALSIFICATION REGULATIONS

Year Part(s)/section(s) Prohibited conduct Sanction 

1965 ........ 61.48 (presently codified 

at §§ 61.59), 63.20, 

65.20.

Fraudulent or intentionally false statements and 

entries, reproductions for a fraudulent purpose, 

and alterations involving documents and records 

associated with parts 61, 63, and 65, respectively.

61.59—Suspending or revoking any airman certificate, rating, or authorization held by that person; 63.20, 65.20—Suspending or revoking any 

airman or ground instructor certificate or rating 

held by that person. 

1965 ........ 67.20 (presently codified 

at § 67.403).

Fraudulent or intentionally false statements and 

entries, fraudulent reproductions, alterations, 

and incorrect statements or entries involving 

documents and records under part 67.

(1) Suspending or revoking all airman, ground instructor, and medical certificates and ratings 

held by that person; 

(2) Withdrawing all 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. 


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TABLE 1—HISTORY OF FAA FALSIFICATION REGULATIONS—Continued 

Year Part(s)/section(s) Prohibited conduct Sanction 

1978 ........ 43.12 .............................. Fraudulent entries and fraudulent reproductions 

and alterations involving records or documents 

associated with part 43.

Suspending or revoking the applicable airman, operator, or production certificate, Technical 

Standard Order 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 false statements, fraudulent reproductions, and alterations involving 

documents associated with part 21.

Suspending or revoking any certificate or approval 

issued under part 21 part and held by that person. 

1996 ........ 142.11(e)(3) .................... Incomplete, inaccurate, fraudulent, or false information associated with training center certificates.Denial, suspension, revocation, or termination of a 

certificate under part 142. 

2004 ........ 120.103(e) and 120.213 

(formerly 121 app. I 

and J).

Fraudulent or intentionally false statements or entries and fraudulent reproduction or alteration involving records and documents associated with 

part 120.

None. 

2006 ........ 60.33 .............................. Fraudulent or intentionally false statements, known 

omissions, fraudulent reproduction or alteration, 

and incorrect statements or entries upon which 

the FAA relied or could have relied involving 

records or documents associated with part 60.

One or any combination of the following: 

(1) A civil penalty; 

(2) Suspension or revocation of any certificate 

held by that person that was issued under 14 

CFR chapter I; 

(3) The removal of FSTD qualification and approval 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 relating to applications, licenses, and permits.Administrative sanctions in accordance with part 

405 of 14 CFR chapter III. 

2013 ........ 121.9 .............................. Fraudulent or intentionally false statements and 

known omissions involving records and documents under part 121.

One or any combination of the following: 

(1) A civil penalty; 

(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 false statements or entries and fraudulent reproduction or alteration involving records or documents associated with 

part 139.

Suspension or revocation of any certificate or approval issued under part 139 and held by that 

certificate holder and any other certificate issued 

under 14 CFR and held by the person committing the act. 

2014 ........ 145.12 ............................ Fraudulent or intentionally false entries, fraudulent 

reproduction or alteration, and omissions of a 

material fact involving records or documents associated with part 145.

One or any combination of the following: 

(1) Suspending or revoking the repair station certificate and any certificate, approval, or 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 false records or reports 

and fraudulent reproduction or alteration involving records or documents associated with part 

107.

Any of the following: 

(1) Denial of an application for a remote pilot certificate or a certificate of waiver; 

(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 false statements, fraudulent reproduction or alteration, and knowingly 

concealing or causing to be concealed a material fact involving records or documents associated with part 89.

(1) Denial, 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 

issued or granted by the Administrator and held 

by that person; or 

(2) A civil penalty. 


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31See 14 CFR part 5, subpart F (‘‘SMS 

Documentation and Recordkeeping’’), 14 CFR 5.95 

and 5.97. 

TABLE 1—HISTORY OF FAA FALSIFICATION REGULATIONS—Continued 

Year Part(s)/section(s) Prohibited conduct Sanction 

2021 ........ 111.35 ............................ Fraudulent or intentionally false statements and 

concealing or causing to be concealed a material fact involving records or documents associated with part 111.

None. 

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 § 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 


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32See 14 CFR 3.5 (prohibiting falsification 

regarding products, parts, and appliances). 

33 14 CFR 3.200 and 3.205. 

34Under 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. 

35Part 68 requires an individual to complete a 

medical education course (§ 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 (§§ 68.3(b)(1), (3)–(5)), 

which is submitted to the FAA (§ 68.3(b)) and the 

CMEC (§ 68.7(a)(2)). Both the medical education 

course completion certificate and the CMEC must 

be kept in the individual’s logbook. (§ 68.3(b)(1) and 

61.113(i)(3)). 

36Part 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). 

37The 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. 

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. 

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. 

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. 

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. 

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 


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38See 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 § 117.23(b).’’) 

39Part 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). 

40See 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.’’). 

41Sections 3.403(d)(1) and 3.405(b) of the 

proposed rule. 

42See 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). 

43See note 1, supra. 

they consist of FAA airspace and 

procedure designations. They do not 

contain documentation requirements 

subject to falsification. 

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. 

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

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

C. ‘‘Statements’’ in Proposed 

§§ 3.403(a), 3.405(a), 402.3(a), and 

402.5(a) 

Proposed §§ 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 §§ 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 §§ 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 

§§ 3.405(a)(1)–(2) and 402.5(a)(1)–(2). 

D. Categories of ‘‘Any Document in Any 

Format’’ in Proposed §§ 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) 


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44See 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’’). 

45 79 FR 46980 (Aug. 12, 2014). 46Adm’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 

Continued 

or electronic. The proposed rulemaking 

in relation to 14 CFR chapter I applies 

to two categories of documents. 

Proposed §§ 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 § 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 §§ 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 (§ 21.500); Acceptance of Articles (§ 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 (§ 117.7); 121.141 Airplane Flight Manual (§ 121.141), Approval procedures of training courses (§ 141.13); SMS Implementation Plan, 

§ 5.1. 

Authorization ........................ Authorization for Special Issuance of a Medical Certificate (§ 67.401); Letter of Authorization (e.g., part 91); Inspector Authorization (§ 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 (§ 61.65). 

Declaration ........................... Declaration of compliance (§ 89.535). 

Designation .......................... Kinds of Designations (part 183, subpart C). 

Qualification .......................... Flight Simulator Training Device qualification (§ 60.4). 

Record .................................. Maintenance records (e.g., part 43); Pilot School Training Records (§ 141.101); Voting Trust Agreement and Affidavit (§ 47.8). 

Report ................................... Safety analysis (§ 33.75); Comprehensive Medical Examination Checklist (§ 68.7). 

Request for reconsideration Request for reconsideration (§§ 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 (§ 21.197); Graduation Certificate 

(§ 141.95). 

Proposed §§ 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 

§ 3.401 of this subpart’’ (‘‘Category 2’’). 

1. Scope of Category 1 in Proposed 

§§ 3.403(a)(1), 3.403(b)(1), 3.403(c)(1), 

and 3.405(a)(1) 

The Category 1 documents in 

proposed §§ 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 § 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 §§ 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 §§ 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. 

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 


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Administrator specifically requires an individual to 

use or keep for that purpose’’). 47Anderson, NTSB No. EA–4564 at *3. 

48See 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). 

49Such 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. 

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

E. Categories of ‘‘Any Document In Any 

Format’’ in Proposed §§ 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 §§ 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 § 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 §§ 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 (§ 413.11); Acceptance of a means of compliance (§ 450.35). 

Application ............................ Application submission (§ 413.7). 

Approval ............................... Safety Element Approval (part 414); Policy Approval (§ 450.41). 

Authorization ........................ Certificate of Waiver or Authorization (§ 437.71(d)(2)); Authorization to conduct reusable launch vehicle missions 

(§ 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 §§ 417.15, 431.77, 437.87, and 450.219. 

Report ................................... Reusable launch vehicle mission reporting requirements (§ 431.79); Anomaly reporting (§ 437.73); Mishap plan-reporting, response, and investigation requirements (§ 450.173); Pre-flight reporting (§ 450.213); Post-flight reporting (§ 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 (§ 440.15). 

Proposed §§ 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 

§ 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 

§§ 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 

§§ 402.3(a)(2), 402.3(b)(2), 402.3(c)(2), 

and 402.5(a)(2) 

Category 2 documents in proposed 

§§ 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 

§§ 3.403(a) and 402.3(a) 

Proposed §§ 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 §§ 3.403(b) and 402.3(b) 

Proposed §§ 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)). 

Proposed §§ 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 


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50See 79 FR 46971 (Aug. 12, 2014). 51See id. 52See 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. 

53See FAA Order 2150.3C, chap. 9, para. 8. 

54See 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. 

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 §§ 3.403(c) and 402.3(c) 

Proposed §§ 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 § 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. 

I. Sanction Under Proposed §§ 3.403(d) 

and 402.3(d) for Conduct Described in 

Sections F, G, and H of This NPRM 

Proposed §§ 3.403(d) and 402.3(d) 

would contain the sanction provision 

respectively applicable to violations of 

proposed §§ 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 

§§ 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. 

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, § 21.2(a)(2) limits the 

suspension or revocation of any 

certificate or approval issued under part 

21. Proposed §§ 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. 

Under proposed §§ 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 §§ 3.405 and 402.5 

Proposed §§ 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 

§§ 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 §§ 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 §§ 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 §§ 3.403(c)(1)–(2) and 


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55 14 CFR 142.11(e)(3). 

56Proposed § 3.403(a)–(c) would cover 

‘‘fraudulent’’ or (intentionally) ‘‘false’’ information 

submitted under 14 CFR 142.11(e)(3). 

57The 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. 

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 § 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 

§ 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

Proposed § 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 

§ 3.401.57

K. Sanction Under Proposed §§ 3.405(b) 

and 402.5(b) for Incorrect Statements, or 

Omissions 

Proposed §§ 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 

§§ 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 §§ 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 

§§ 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 


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‘‘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 


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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 § 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 (www.regulations.gov); 

2. Visit the FAA’s Regulations and 

Policies web page at www.faa.gov/ 

regulations_policies/; or 

3. Access the Government Printing 

Office’s web page at www.GovInfo.gov. 

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 

www.faa.gov/regulations_policies/ 

rulemaking/sbre_act/. 

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, 


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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 

■ 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. 

■ 2. Revise § 3.1(a) introductory text to 

read as follows: 

§ 3.1 Applicability. 

(a) This subpart applies to any person 

who makes a record regarding: 

* * * * * 

■ 3. Add subpart D, consisting of 

§§ 3.401, 3.403, and 3.405, to part 3 to 

read as follows: 


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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. 

§ 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. 

§ 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 § 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 § 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 § 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 § 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 § 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 § 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. 

§ 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 § 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 § 3.401. 

(b) A material incorrect statement, or 

omission of a material fact, in any 

document described in § 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 

■ 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. 

§ 21.2 [Removed and reserved] 

■ 5. Remove and reserve § 21.2. 

PART 43—MAINTENANCE, 

PREVENTIVE MAINTENANCE, 

REBUILDING, AND ALTERATION 

■ 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. 

§ 43.12 [Removed and reserved] 

■ 7. Remove and reserve § 43.12. 

PART 60—FLIGHT SIMULATION 

TRAINING DEVICE INITIAL AND 

CONTINUING QUALIFICATION AND 

USE 

■ 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). 

§ 60.33 [Removed and Reserved] 

■ 9. Remove and reserve § 60.33. 

Appendix A to Part 60 

■ 10. In Appendix A to part 60: 

■ a. In the table of contents, remove and 

reserve entry 22., and 

■ b. Remove and reserve section ‘‘22. 

Applications, Logbooks, Reports, and 

Records: Fraud, Falsification, or 

Incorrect Statements (§ 60.33)’’ 

Appendix B to Part 60 

■ 11. In Appendix B to part 60: 

■ a. In the table of contents, remove and 

reserve entry 22., and 

■ b. Remove and reserve section ‘‘22. 

Applications, Logbooks, Reports, and 

Records: Fraud, Falsification, or 

Incorrect Statements (§ 60.33).’’ 

Appendix C to Part 60 

■ 12. In Appendix C to part 60: 

■ a. In the table of contents, remove and 

reserve entry 22., and 

■ b. Remove and reserve section ‘‘22. 

Applications, Logbooks, Reports, and 

Records: Fraud, Falsification, or 

Incorrect Statements (§ 60.33).’’ 

Appendix D to Part 60 

■ 13. In Appendix D to part 60: 

■ a. In the table of contents, remove and 

reserve entry 22., and 

■ b. Remove and reserve section ‘‘22. 

Applications, Logbooks, Reports, and 

Records: Fraud, Falsification, or 

Incorrect Statements (§ 60.33).’’ 

PART 61—CERTIFICATION: PILOTS, 

FLIGHT INSTRUCTORS, AND GROUND 

INSTRUCTORS 

■ 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. 

§ 61.59 [Removed and reserved] 

■ 15. Remove and reserve § 61.59. 

PART 63—CERTIFICATION: FLIGHT 

CREWMEMBERS OTHER THAN 

PILOTS 

■ 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. 


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§ 63.20 [Removed and reserved] 

■ 17. Remove and reserve § 63.20. 

PART 65—CERTIFICATION: AIRMEN 

OTHER THAN FLIGHT 

CREWMEMBERS 

■ 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. 

§ 65.20 [Removed and reserved] 

■ 19. Remove and reserve § 65.20. 

PART 67—MEDICAL STANDARDS AND 

CERTIFICATION 

■ 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. 

■ 21. Revise § 67.401(f)(5) to read as 

follows: 

§ 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. 

* * * * * 

§ 67.403 [Removed and reserved] 

■ 22. Remove and reserve § 67.403. 

PART 89—REMOTE IDENTIFICATION 

OF UNMANNED AIRCRAFT 

■ 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. 

§ 89.5 [Removed and reserved] 

■ 24. Remove and reserve § 89.5. 

PART 107—SMALL UNMANNED 

AIRCRAFT SYSTEMS 

■ 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. 

§ 107.5 [Removed and reserved] 

■ 26. Remove and reserve § 107.5. 

PART 111—PILOT RECORDS 

DATABASE 

■ 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. 

§ 111.35 [Removed and reserved] 

■ 28. Remove and reserve § 111.35. 

PART 120—DRUG AND ALCOHOL 

TESTING PROGRAM 

■ 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. 

■ 30. Remove and reserve § 120.103(e). 

§ 120.213 [Removed and reserved] 

■ 31. Remove and reserve § 120.213. 

PART 121—OPERATING 

REQUIREMENTS: DOMESTIC, FLAG, 

AND SUPPLEMENTAL OPERATIONS 

■ 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). 

§ 121.9 [Removed and reserved] 

■ 33. Remove and reserve § 121.9. 

PART 139—CERTIFICATION OF 

AIRPORTS 

■ 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. 

§ 139.115 [Removed and reserved] 

■ 35. Remove and reserve § 139.115. 

PART 142—TRAINING CENTERS 

■ 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. 

§ 142.11 [Removed and reserved] 

■ 37. Remove and reserve § 142.11(e)(3). 

PART 145—REPAIR STATIONS 

■ 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. 

§ 145.12 [Removed and reserved] 

■ 39. Remove and reserve § 145.12. 

■ 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. 

§ 402.1 Applicability. 

This part applies to any person 

subject to the requirements in 

subchapter C of this chapter. 

§ 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 § 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 § 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 § 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 § 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 § 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 § 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. 


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§ 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 § 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 § 402.1. 

(b) A material incorrect statement, or 

omission of a material fact, in a 

document described in § 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 

■ 41. The authority citation for part 413 

continues to read as follows: 

Authority: 51 U.S.C. 50901–50923. 

■ 42. Remove and reserve § 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 

FEDERAL TRADE COMMISSION 

16 CFR Part 1 

RIN 3084–AB79 

Horseracing Integrity and Safety 

Authority Oversight 

AGENCY: Federal Trade Commission. 

ACTION: Notice of proposed rule; request 

for comment. 

SUMMARY: The Federal Trade 

Commission (‘‘FTC’’ or ‘‘Commission’’) 

announces proposed rules regarding 

oversight of the Horseracing Integrity 

and Safety Authority (‘‘Authority’’). The 

proposed rules include new oversight 

provisions to ensure that the Authority 

remains publicly accountable and 

operates in a fiscally prudent, safe, and 

effective manner. 

DATES: Comments must be received by 

April 8, 2024. 

ADDRESSES: Interested parties may file a 

comment online or on paper by 

following the instructions in the 

Request for Comment part of the 

SUPPLEMENTARY INFORMATION section 

below. Write ‘‘HISA Oversight 

Rulemaking, Matter No. P222100’’ on 

your comment and file your comment 

online at https://www.regulations.gov by 

following the instructions on the webbased form. If you prefer to file your 

comment on paper, mail your comment 

to the following address: Federal Trade 

Commission, Office of the Secretary, 

600 Pennsylvania Avenue NW, Mail 

Stop H–144 (Annex H), Washington, DC 

20580. 

FOR FURTHER INFORMATION CONTACT: 

Sarah Botha (202–326–2036, sbotha@

ftc.gov), Office of the Executive Director, 

Federal Trade Commission. 

SUPPLEMENTARY INFORMATION: 

Background 

The Horseracing Integrity and Safety 

Act of 2020 (‘‘HISA’’ or ‘‘the Act’’), 

Public Law 116–260, Title XII, 134 Stat 

1182, 3252 (2020) (codified as amended 

at 15 U.S.C. 3051–3060), recognizes the 

Authority as a self-regulatory nonprofit 

organization charged with developing 

and enforcing rules relating to racetrack 

safety, anti-doping, and medication 

control. See 15 U.S.C. 3052. The Act 

expressly provides for Commission 

oversight of several aspects of the 

Authority’s operations. For example, the 

Commission must approve any 

proposed rule or rule modification by 

the Authority relating to the Authority’s 

bylaws, racetrack safety standards, antidoping and medication control, and the 

formula or methodology for determining 

assessments. See id. In December 2022, 

Congress amended HISA to expand the 

Commission’s oversight role over the 

Authority. See Consolidated 

Appropriations Act, 2023, Public Law 

117–328, Sec. 701, 136 Stat. 4459, 5231 

(2022). As amended, the Act gives the 

Commission the power to issue rules 

under the procedures set forth in the 

Administrative Procedure Act, 5 U.S.C. 

553, ‘‘as the Commission finds 

necessary or appropriate to ensure the 

fair administration of the Authority . . . 

or otherwise in furtherance of the 

purposes of this Act.’’ 15 U.S.C. 3053(e). 

In light of the Commission’s 

experience in overseeing the Authority’s 

operations to date, the Commission is 

exercising its rulemaking authority to 

propose several new rule provisions to 

ensure effective Commission oversight 

over the Authority. The proposed new 

provisions are designed to ensure that 

the Authority is promoting transparency 

and integrity in its operations. For 

example, new rule sections would 

require the Authority to submit and 

publish annual and midyear reports 

about its performance and financial 

position. The proposed rules would also 

require the Authority to develop, 

maintain, and publish a multi-year 

strategic plan, after taking public 

comments on the draft plan. The 

proposed rules would require the 

Authority to effectively manage risk and 

take steps to prevent conflicts of 

interest, waste, fraud, embezzlement, 

and abuse. The proposed rules would 

also mandate other operational 

requirements and identify best practices 

for the Authority to follow, as explained 

in the section-by-section analysis below. 

The Commission would add the 

proposed new rules as 16 CFR 1.153 

through 1.156 in Subpart U of part 1 of 

its Rules of Practice. Subpart U would 

be renamed ‘‘Oversight of the 

Horseracing Integrity and Safety 

Authority’’ to reflect more accurately 

the content of the amended subpart. 

Section by Section Analysis 

§ 1.153 Submission of the 

Authority’s annual reports, midyear 

reports, and strategic plans. This 

proposed new section imposes certain 

requirements on the Authority to report 

on its finances for the preceding 

calendar year by May 15. This includes 

a complete accounting of the 

Authority’s budget (as audited by a 

qualified, independent, registered 

public accounting firm and in 

accordance with Generally Accepted 

Accounting Principles), a discussion of 

budgetary line items, a summary of 

travel expenses, and a summary of any 

new or continuing risks or issues raised 

by audits or other reviews. The 

proposed section also imposes certain 

requirements on the Authority to report 

by March 31 on its performance for the 

prior calendar year, with such report to 

include efforts made to carry out the 

requirements of the Act, a description of 

the cooperation with the states as set 

forth in 15 U.S.C. 3060(b), a summary of 

final civil sanctions, an assessment of 

the Authority’s progress in meeting or 

not meeting its performance measures 

contained in its strategic plan per 

§ 1.153(d), a summary of Board of 

Directors committee recommendations 

and activities, information about any 

changes in the composition of the 

Authority’s Board of Directors or 

standing committees, information about 

the relationship between the Authority 

and the anti-doping and medication 

control enforcement agency, a summary 

of all litigation to which the Authority 

is a party (including actions commenced 

by the Authority under 15 U.S.C. 

3054(j)), a summary of all subpoenas 

issued by the Authority under 15 U.S.C. 


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