[Federal Register Volume 62, Number 111 (Tuesday, June 10, 1997)]
[Rules and Regulations]
[Pages 31672-31673]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-15017]



[[Page 31671]]

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Part II





Department of Transportation





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Federal Aviation Administration



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14 CFR Parts 107 and 108



Falsification of Security Records; Rule

  Federal Register / Vol. 62, No. 111 / Tuesday, June 10, 1997 / Rules 
and Regulations  

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 107 and 108

[Docket No. 28745; Amendment Nos. 107-9 and 108-14]
RIN 2120-AG27


Falsification of Security Records

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Disposition of comments on final rule.

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SUMMARY: On November 27, 1996, the FAA adopted rules with a request for 
comments establishing penalties for falsifying security records. The 
amendments provided a means for the FAA to take legal enforcement 
action against persons who make such statements, and thereby enhance 
the security of civil aviation. This action is a summary and 
disposition of comments received on that final rule.

ADDRESSES: The complete docket for the final rule on the Falsification 
of Security Records may be examined at the Federal Aviation 
Administration, Office of the Chief Counsel, Attn: Rules Docket (AGC-
200), Room 915-G, Docket No. 28745, 800 Independence Ave., SW, 
Washington, DC 20591, weekdays (except federal holidays) between 9 a.m. 
and 5 p.m.

FOR FURTHER INFORMATION CONTACT: Robert Cammaroto and Linda C. 
Valencia, Office of Civil Aviation Security Policy and Planning, Civil 
Aviation Security Division, ACP-100, Federal Aviation Administration, 
800 Independence Avenue, SW., Washington, DC 20591, telephone (202) 
267-3413.

SUPPLEMENTARY INFORMATION:

Background

    Recently, the FAA found that some persons may be submitting 
fraudulent or intentionally false statements in records used to obtain 
identification media from an airport operator that provides unescorted 
access to security identification display areas (SIDA's) on airports.
    Additionally, the FAA recently determined that some airport tenants 
have submitted certifications to airport operators without having 
performed the required verification of the applicant's employment 
history. This led the airport operator to issue identification media 
that permitted unescorted access to the SIDA when the tenant has not 
verified prior employment or established that the applicants have no 
prohibited criminal convictions.
    On November 27, 1996, the FAA adopted new rules for parts 107 and 
108 of Title 14, Code of Federal Regulations (61 FR 64242, Dec. 3, 
1996). Part 107, Airport Security, sets forth the requirements for 
airport security. Part 108, Airplane Operator Security, sets the 
requirements for air carrier security. The new rules prohibit fraud and 
intentional falsification under these parts and provide as follows:

Section 107.2  Falsification

    No person may make, or cause to be made, any of the following:
    (a) Any fraudulent or intentionally false statement in any 
application for any security program, access medium, or 
identification medium, or any amendment thereto, under this part.
    (b) Any fraudulent or intentionally false entry in any record or 
report that is kept, made, or used to show compliance with this 
part, or exercise any privileges under this part.
    (c) Any reproduction or alteration, for fraudulent purpose, of 
any report, record, security program, access medium, or 
identification medium issued under this part.

Section 108.4  Falsification

    No person may make, or cause to be made, any of the following:
    (a) Any fraudulent or intentionally false statement in any 
application for any security program, access medium, or 
identification medium, or any amendment thereto, under this part.
    (b) Any fraudulent or intentionally false entry in any record or 
report that is kept, made, or used to show compliance with this 
part, or to exercise any privileges under this part.
    (c) Any reproduction or alteration, for fraudulent purpose, of 
any report, record, security program, access medium, or 
identification medium issued under this part.

    Because of its effect on airport security, the final rule had good 
cause justification for immediate adoption, and no advanced notice to 
the public was offered. These rules were effective immediately, and the 
immediate action made it clear that no intentional falsification of 
security records will be tolerated and the additional security afforded 
the traveling public should not be delayed.

Discussion of Comments

    The FAA has received seven comments from eight commenters (one 
comment was on behalf of two commenters). All comments support the new 
rules. The FAA has identified no reason to rescind or modify the new 
rules. There are several issues that should be further addressed, 
however.
    Several comments note that a person could submit information in 
good faith believing that it was true and later discover that it was 
false, and that such person should not be held accountable. This point 
is well-taken.
    As explained in the preamble to the rules, an intentionally false 
statement consists of (1) a false representation, (2) in reference to a 
material fact, (3) made with knowledge of its falsity. A fraudulent 
statement consists of these three elements, plus (4) it was made with 
the intent to deceive, and (5) action was taken in reliance upon the 
representation. If a person makes a statement in the good faith belief 
that it is true, then the person has not made a statement with 
knowledge of its falsity and element (3) of the definition of 
``intentionally false'' is not met. The person would not be in 
violation of the new rules.
    One comment indicates that contractors that perform duties related 
to security (such as catering and fueling on an airport), and whose 
employees must have background checks under parts 107 and 108, are not 
subject to the new rules. This is not correct. The new rules apply to 
all persons who make an entry in a record or report that is kept, made 
or used to show compliance with part 107 or 108, whether the person is 
an air carrier, airport operator, contractor, tenant, or other entity, 
or is an individual. As specifically pointed out in the preamble to the 
new rules, persons who contract with air carriers may be held 
responsible under the new rules.
    As noted above, the new rules were adopted in part in response to 
problems associated with the checks required for unescorted access to 
the SIDA at airports. Several comments addressed aspects of these rules 
as well as other provisions in parts 107 and 108. Because the new 
falsification rules are not intended to deal with the substance of the 
SIDA access rules or other rules in parts 107 and 108, this disposition 
does not respond to those comments. Those concerns are being considered 
in connection with other projects involving the background check rules 
and other rules.
    Several comments suggest that the FAA provide standard language for 
use on employment application forms that reference the new 
falsification rules. Such standard language would provide a warning 
about the penalties for falsifying the information on the forms.
    The FAA has considered providing such standard language; however, 
there is a great diversity in the content and use of such applications 
in the industry. It is not apparent that the FAA could create a warning 
notice that easily would be adaptable to all industry

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forms. The FAA encourages industry groups to develop language that will 
work in their particular circumstances.

Conclusion

    After consideration of the comments submitted in response to the 
final rule, the FAA has determined that no further rulemaking action is 
necessary. Amendments 107-9 and 108-14 remain in effect as adopted.

    Issued in Washington, DC on June 2, 1997.
Barry L. Valentine,
Acting Administrator.
[FR Doc. 97-15017 Filed 6-9-97; 8:45 am]
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