FAA Compliance Philosophy (2016)

The FAACompliance Philosophy

Education in place of Enforcement?

Mark KolberAttorney, Commercial Pilot, CFI / CFII

Copyright 2008-2016 Mark J Kolber. All rights reserved.

“some deviations arise from factors such as flawed procedures, simple mistakes, lack of understanding, or diminished skills” “deviations of this nature can most effectively be corrected through root cause analysis and training”

FAA Order 8000.373, June 26, 2015

Who Am I? Commercial Pilot Certificate CFI-A / CFI-I Instruct independently with pilots

in their own aircraft and with Executive Flight Training at KTTA

FAASTeam Representative Attorney licensed in North

Carolina, Colorado & Massachusetts

AOPA Legal Services Panel

Disclaimer General information only Not legal advice Cannot replace a personal consultation

with a professional when dealing with a specific situation

Does not reflect the views of the FAASafety Team, the FAA or any ASI

Don’t say I didn’t warn you!

10,000-foot View

How it all begins FAA enforcement process “Traditional” enforcement options The new “compliance philosophy” What it means

How it all begins... Pilot deviations noted by ATC

– “Possible pilot deviation. Suggest you contact…”

– “I have a number for you to call…”– Altitude busts are the most common

Ramp checks Accident/incident investigations Complaints by citizens Complaints by other pilots and operators

Enforcement Process

“I Have a Number…” The most common advice?

Unfortunately, it’s not that simpleIt’s never been the only right answer

And perhaps more than ever!

FAA Enforcement Options [Civil Penalties] Certificate Revocation Certificate Suspension “709” Ride Warning Notice or Letter of

Correction No Action

Traditional FAA Actions No Action after investigation

– Records expunged after 90 days Administrative Actions

– Warning Notices and Letter of Correction (Not considered a “violation” or “enforcement”

– Typically involves some sort of re-training– Records expunged after 2 years

Traditional FAA Actions “709” Ride

– the Federal Aviation Administration may …reexamine an airman… 49 U.S.C. § 44709(a)

– Must be “reasonable” based on the trigger event

– Wise to get and log training– Can lead to enforcement action and

revocation if refused or failed

Traditional FAA Actions Suspension for a stated period

– FAA Order 2150.3B guidance on penalties Revocation

– May start over after a year– Typically for the most serious violations

• Drugs and alcohol use• Fraudulent entries in logbooks, applications, etc.• Repeated TFR violations

“Violations” that cannot be expunged

“some deviations arise from factors such as flawed procedures, simple mistakes, lack of understanding, or diminished skills. *** deviations of this nature can most effectively be corrected through root cause analysis and training”

FAA Order 8000.373, June 26, 2015announcing the new policy

Compliance Philosophy

Foster more open and transparent exchange of information

Create a “just culture” in which disclosure is both expected and appreciated

Focus more on correction and less on punishment through “non-enforcement” methods to correct unintentional errors

All with the goal of enhancing safety


Outgrowth of ongoing process Pilots Bill of Rights Budgetary issues Formalizing trend toward handling

unintentional deviations without “violations” on the airman's record

Creation of the “compliance action” in October, 2015


Compliance Action “A Compliance Action is intended as an

open and transparent safety information exchange between FAA personnel and you. Its only purpose is to restore compliance and to identify and correct the underlying causes that led to the deviation.”– FAA Compliance Philosophy and Airman

Rights Brochure

Enforcement Process


Correction No Action


Correction No Action Compliance Action

Compliance Action “A Compliance Action is intended as an

open and transparent safety information exchange between FAA personnel and you. Its only purpose is to restore compliance and to identify and correct the underlying causes that led to the deviation.”– FAA Compliance Philosophy and Airman

Rights Brochure

Compliance Action Pre-enforcement tool Early decision-making by ASIs under

published guidelines – First time deviations unless criminal– Looking for reasons to not bring action

Early Pilots Bill of Rights notification– Change from original policy– Use of Compliance Philosophy and Airman

Rights brochure

Compliance Action Pre-enforcement tool Early decision-making by ASIs under

published guidelines Early Pilots Bill of Rights notification

– Change from original policy– Use of Compliance Philosophy and Airman

Rights brochure

Compliance Action Risk-based approach to compliance

– Recognize and mitigate root causes– Fixes to prevent recurrence

Focus on quick remediation– goal is a 21-day turn-around

Remedial Training Follow-up validation

Compliance Action Types of Compliance Actions

– On-the-spot corrections– Counseling– Most typically additional or remedial training

Requires written agreement between FAA and airman

Implemented by FAASTeam Program Managers Does not rule out enforcement action

– refusal or inability to participate or comply

Compliance Action

It takes time to create a new culture Like any new system, there are bound to

be tweaks and bugs Not everyone is on board yet FSDOs for the most part yes, but there are

bound to be exceptions…

Compliance Philosophy in Practice

“obtaining of legal counsel immediately after an event, does not automatically rule out Compliance Action. Airmen and organizations are free to exercise their rights without repercussions.”

FAA Order and Guidancevs

“Obviously, if you run off and grab an attorney, you’re not willing and able. You want to get in a combative stance.”

Regional FAASTeam Program Managerin nationally available webinar


ATC asked to advise orally and request email to send brochure

FAA Legal Counsel reviewing existing enforcement actions

Medical branch, no– Medical certificate falsification and drug testing

programs for commercial operators Security Office, no

– “Motor Vehicle Action” reporting requirements, HazMAT violations


Compliance Philosophy It takes time to create a new culture Not everyone is on board yet

– FSDOs for the most part yes, but there are bound to be exceptions…

– Medical branch, no– Security Office, no

No requirement to speak immediately Still time for advice

– And maybe more reason to!

FAA Safety Briefing, Jan/Feb 2016www.faa.gov/news/safety_briefing/

Compliance PhilosophyInformation Sources

FAA Compliance Philosophy homepagewww.faa.gov/about/initiatives/cp/ – Links to orders, guidances, brochures

Q&A

You ever been in a cockpit before?

Other questions or copies of this presentation?

[email protected]

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FAA Compliance Philosophy (2016)

Education

Transcript of FAA Compliance Philosophy (2016)