Table of Contents of Article
- 1 Section 107.5 Falsification, reproduction or alteration.
- 2 My Commentary on § 107.5 Falsification, reproduction or alteration:
- 3 Advisory Circular 107-2A on § 107.5 Falsification, reproduction or alteration
- 4 2020 Amendment to Part 107 Where FAA Discussed 107.5
- 5 2016 Final Small Unmanned Aircraft Rule Where FAA Discussed on § 107.5 Falsification, reproduction or alteration
Section 107.5 Falsification, reproduction or alteration.
(a) No person may make or cause to be made—
(1) Any fraudulent or intentionally false record or report that is required to be made, kept, or used to show compliance with any requirement under this part.
(2) Any reproduction or alteration, for fraudulent purpose, of any certificate, rating, authorization, record or report under this part.
(b) The commission by any person of an act prohibited under paragraph (a) of this section is a basis for any of the following:
(1) Denial of an application for a remote pilot certificate or a certificate of waiver;
(2) Denial of a declaration of compliance;
(3) 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; or
(4) A civil penalty.
My Commentary on § 107.5 Falsification, reproduction or alteration:
Paragraph (a) applies to remote pilots as well as NON-remote pilots. It says, “person” which is really important.
An act in (a) can be punished by (1)-(4).
(4) is especially useful in situations where the person does not have a remote pilot certificate and does not have any intentions of obtaining one.
4.3 Falsification, Reproduction, or Alteration. The FAA relies on information provided by owners and remote pilots of small UAS when it authorizes operations or when it has to make a compliance determination. Accordingly, the United States government may take appropriate action against a small UAS owner, operator, remote PIC, applicant for a DOC, or anyone else who fraudulently or knowingly provides false records or reports, or otherwise reproduces or alters any records, reports, or other information for fraudulent purposes. Such action could include the FAA’s imposition of civil sanctions and the suspension or revocation of a certificate or waiver (§ 107.5).
Finally, Section 107.5, which prohibits any fraudulent or intentionally false record from being made, kept, or used to show compliance with any requirement of part 107, applies to records, which includes labels. In this regard, falsifying any part of any record intended to constitute proof of compliance with applicable requirements could subject the person who submitted the record to a civil penalty and could be a basis for rescinding a declaration of compliance if the FAA determined that the applicant falsified the records.
Furthermore, the Agency proposed to require applicants submit an actual record declaring compliance. Section 107.5, which prohibits any fraudulent or intentionally false record from being made, kept, or used to show compliance with any requirement of part 107, will apply to such records. In this regard, falsifying any part of any record intended to constitute proof of compliance with applicable requirements could subject the person who submitted the record to a civil penalty and would be a basis for rescinding a declaration of compliance.
The Agency did not receive any comments regarding the falsification provisions proposed and adopts those provisions without change.
The proposed rule stated the FAA may rescind a declaration of compliance if any of the following conditions exist: (i) A small unmanned aircraft for which a declaration of compliance was accepted no longer complies with the applicable safety requirements; (ii) the FAA finds a declaration of compliance violates § 107.5(a); or (iii) the Administrator determines a safety emergency exists.
2016 Final Small Unmanned Aircraft Rule Where FAA Discussed on § 107.5 Falsification, reproduction or alteration
Currently, the U.S. criminal code prohibits fraud and falsification in matters within the jurisdiction of the executive branch. 18 U.S.C. Section 1001.The FAA too may impose civil sanctions in instances of fraud and falsification in matters within its jurisdiction. The FAA has exercised this power in 14 CFR 61.59, 67.403, 121.9, and 139.115, which currently impose civil prohibitions on fraud and false statements made in matters within the FAA’s jurisdiction.
The NPRM proposed to prohibit a person from making a fraudulent or intentionally false record or report that is required for compliance with the provisions of part 107. The NPRM also proposed to prohibit a person from making any reproduction or alteration, for a fraudulent purpose, of any certificate, rating, authorization, record, or report that is made pursuant to part 107. Finally, the NPRM proposed to specify that the commission of a fraudulent or intentionally false act in violation of § 107.5(a) could result in the denial, suspension, or revocation of a certificate or waiver issued by the FAA pursuant to this proposed rule. For the reasons discussed below, this rule will finalize these provisions as proposed with some minor revisions for clarification purposes.
Three organizations and one individual commented on the proposal to prohibit fraud and false statements, and all of those commenters generally supported the proposal. For example, the Small UAV Coalition stated that they support the FAA’s proposal to prohibit intentionally false or fraudulent documents used to show compliance with part 107, and added that such false or fraudulent records or reports warrant enforcement action. One individual supported “heavy fines or jail” for those providing false information.
Two commenters, the University of North Dakota’s John D. Odegard School of Aerospace Sciences and the Institute of Makers of Explosives, requested clarification as to the penalties that could be imposed for violating the prohibition on fraud and false statements. The University of North Dakota’s John D. Odegard School of Aerospace Sciences asked whether FAA Order 2150.3B would be applicable in its existing form to operations under part 107 and if so, whether the sanctions guideline ranges described in that publication are appropriate for violations of part 107.
Subpart C of 14 CFR part 13 specifies the penalties that the FAA may impose in response to a regulatory violation. To provide further clarity, the FAA has amended § 107.5 with a list of potential sanctions that could be imposed in response to a violation of § 107.5. Those sanctions may, among other things, include a civil penalty or certificate action. The FAA has also issued generally applicable guidance on sanctions that may be imposed for regulatory violations, which can be found in FAA Order 2150.3B. The FAA is currently considering whether Order 2150.3B addresses UAS-specific considerations that may arise in enforcement actions under part 107, and the agency may revise this order, as appropriate, to reflect this consideration.