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The FAA Compliance Program:
What is it and how does it apply to CFIs?
Lesson presentation time: 30 minutes
SUBJECT MATTER ELEMENTS
• What is the Compliance Program?
• Detailed discussion of FAA Order 8000.373A
• How the Compliance Program applies to Flight Instructors
• Guidance material for the Compliance Program
LESSON OBJECTIVE
At the completion of this lesson, the attendee will understand the FAA
Compliance Program, including:
• The difference between compliance and enforcement;
• The reasons, and FAA’s expectations, for the Compliance Program;
• Information on how the Compliance Program relates to the attendee’s role as an
instructor;
• Recognizing that the FAA’s Compliance Program is part of Safety Management
(and Risk Based Decision Making);
• An overview of Remedial Training, including the role flight instructors can play in
this program
• Awareness of guidance material, pertaining to the Compliance Program, for further
reading.
COMPLETION STANDARDS
Attendees will complete this lesson when:
• The lesson content is presented to, and is completed by, the attendee in its entirety;
• The attendee understands the FAA’s Compliance Program and its application; and
• The attendee receives a score of no less than 70% on each of his or her exams.
TESTING PROCEDURE
Essay and/or multiple-choice closed book as part of end-of-day or final exams.
Lesson Outline and Discussion
Disclaimer: The information provided in this lesson is an overview of the FAA’s
Compliance Program. It is not intended to provide legal guidance or make a guarantee
on how the FAA will respond to a particular situation. Every encounter between you or
your student and the FAA is unique, and all instances will be handled on a case-by-case
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basis.
NOTE: This lesson can also be supplemented by the information in the FAA’s Compliance
Program Presentation. See the Resources section on the Compliance Program website:
www.faa.gov/go/cp
What is the FAA’s Compliance Program?
In general, the FAA’s Compliance Program:
• In an evolution in oversight to promote the highest level of safety and regulatory
compliance;
• Is designed to manage risk through identification and control of existing or
emerging safety issues;
• Places emphasis on effective compliance by focusing on how certificate
holders (such as pilots and flight instructors) ensure compliance;
• Intends to foster an open exchange of information between the FAA and
the aviation community to allow safety problems to be understood and
appropriately addressed;
• Encourages a problem solving approach to finding and fixing problems in the
National Airspace System (NAS);
• Expects NAS participants to utilize safety management system constructs to
identify risks
• Establishes a difference between Compliance and Enforcement:
o
Compliance with the regulations and established standards is the goal.
o
Enforcement is one of the tools that the FAA may use in order to ensure
compliance.
What the Compliance Program is not:
• A Kinder and Gentler FAA
• A ‘Get-Out-of-Jail Free Card’
Detail Discussion of Order 8000.373A (Federal Aviation Administration
Compliance Program)
[Display on screen or provide a copy of Order 8000.373A]
• The Compliance Program is an FAA wide policy originally signed into effect
by former Administrator Michael Huerta in June 2015. As noted in the Order:
o
[The] Compliance Program [is] the overarching guidance for implementing the
FAA's strategic safety oversight approach to meet the challenges of today's
rapidly changing aerospace system.
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• In other words, its overall purpose is to increase safety in the National Airspace
System.
[Go through the elements in paragraph 4 and discuss how they apply to piloting and
instruction.]
a.
The FAA establishes regulatory standards to ensure safe operations in the National
Airspace System. The FAA's safety system is largely based on, and dependent upon,
voluntary compliance with these regulatory standards.
• Discuss the voluntary nature of adhering to the regulations. Begin by asking
questions such as:
o
How many times have you been ramped checked by the FAA?
o
How often is someone of authority present when you conduct a preflight or
post-flight?
o
Except for ATC, who is responsible for ensuring proper inflight procedures?
-
Note that even ATC is limited in what they are aware of.
o
Who is responsible for ensuring that pilots meet currency requirements?
o
Who is the only one that knows whether or not you are fit for flight on a
particular day?
• These questions should lead the discussion to drive the point that the majority of
regulatory compliance is voluntary.
b.
The aviation and aerospace communities have a statutory obligation to comply with
established regulatory standards. This obligation includes a duty to develop and use
processes and procedures that will prevent deviation from regulatory standards.
• Explain that this is an expectation from the FAA. Pilots and instructors need to
comply with the regulations, and also have procedures in place to make sure that
they do not deviate from these standards.
• Ask the following: What are some things that we do as pilots and instructors to
ensure that we are not deviating from the standards? Potential answers:
o
Maintenance software, printed spreadsheets, posted tables with inspection
times, etc. to ensure the airworthiness requirements are met
o
Electronic logbooks, calendar reminders, currency checklists, etc. to ensure
that currency requirements are being met. This includes items such as the flight
review, instrument currency, landing currency, etc.
o
Aircraft checklists
o
Aeronautical Decision Making aids:
-
IMSAFE (Illness, Medication, Stress, Alcohol, Fatigue, Eating)
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-
PAVE (Pilot, Aircraft, environment, External Pressures)
-
5 P (Plan, Plane, Pilot, Passengers, Programming)
• If the group does not bring them up, offer that engaging in regular training can also
be considered as action to help prevent deviations. The following are examples
that can keep one’s skills and knowledge up to speed:
o
FAASTeam Seminars/Webinars
o
Online Courses from other providers
o
FAA Safety Briefing Magazine
o
FAA’s Airman Testing website updates
o
NTSB Listserv Subscription
o
Other Aviation Group Newsletter Subscriptions
o
Regular FIRC attendance (perhaps on a yearly basis)
c.
To promote the highest level of safety and compliance with regulatory standards, the
FAA is implementing Safety Management System constructs based on comprehensive
safety data sharing between the FAA and the aviation community. To foster this open and
transparent exchange of data, the FAA believes that its compliance program, supported
by an established safety culture, is instrumental in ensuring both compliance with
regulations and the identification of hazards and management of risk.
• Explain how Safety Management can apply to pilots
[Display on screen or provide a copy]
• The following can be used as an expanded description of the above:
o
Consider Operation/Situation: Hazards aren’t immediately identifiable as such;
they don’t have part numbers. Pilots have to look at the operation or situation
and see what about it could cause us problems. Hazard identification flows out
of that. Also, when looking in retrospect, trying to diagnose a problem that has
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occurred in terms of future risk (root cause analysis, critical thinking) one
needs to consider the operation or situation involved.
o
Identify Hazards & Analyze Risk: Really parts of the same whole. The FAA
defines a hazard as a, “condition that could cause of contribute to an aircraft
accident”. This means that there is at least some possibility of causing harm
due to the hazard. The risk analysis part involves how likely and how
(potentially) bad the potential outcome could be.
o
Assess Risk: This is actually a decision point in which the pilot decides what
needs to be done about the risk that has been identified.
o
Develop Control(s): General strategies for dealing with risk include: Transfer,
Eliminate, Accept, Mitigate (TEAM choice).
o
Monitor and Verify Control(s): This is actually two stages and the reason for
the loop back. The monitoring part is can be anything from simple situational
awareness to sophisticated auditing processes. Bottom line is that the pilot
needs to do what is necessary to verify that the controls are working as
expected. If the controls are not doing what is expected, the pilot will need to
take action to revise them.
o
Revise Control as Necessary: The same as the ‘Developing Controls’ step,
using any new information gained from the Monitor and Verify Control(s)
step.
o
Monitor for New Hazards: This is the final feedback to make it a continuous
process.
• Exchange of Information
o
While you are not required to speak with FAA personnel or share information,
and while this may be intimidating, here are the main reasons why the FAA
may ask you questions concerning a non-compliance event. Note that the intent
of the Compliance Program is to address individual instances of non-
compliance, as well as systemic issues, in order to increase safety with in the
National Airspace System:
-
To determine if deviation from regulatory standards have occurred
-
Determine what course of action could be used to best restore compliance
-
Aggregate data to determine if there is a larger issue at hand, for example:
Is there an issue at an airport or with a particular aircraft?
Do training standards need to be changed (i.e., PTS/ACS, handbooks,
knowledge tests, etc.)
Is there a need for a change in the regulations?
d.
When deviations from regulatory standards do occur, the FAA's goal is to use the most
effective means to return an individual or entity that holds an FAA certificate, approval,
authorization, permit or license to full compliance and to prevent recurrence.
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• The following are ways that the FAA may work with pilots, instructors, pilot
schools, etc. when addressing instances of non-compliance when enforcement
action is not required:
o
Additional Training:
-
This includes, but is not limited to, Remedial Training (RT) conducted by
the FAASTeam with the likely involvement of an instructor.
-
It also includes other training completed to help prevent reoccurrences of
non-compliance.
o
Counseling
o
On-the-Spot Correction
o
Other Actions
-
An example would be changes to a pilot school’s approved Training
Course Outline
e.
The FAA recognizes that some deviations arise from factors such as flawed
procedures, simple mistakes, lack of understanding, or diminished skills. The Agency
believes that deviations of this nature can most effectively be corrected through root
cause analysis and training, education or other appropriate improvements to procedures
or training programs for regulated entities, which are documented and verified to ensure
effectiveness. However, reluctance or failure in adopting these methods to remediate
deviations or instances of repeated deviations might result in enforcement.
• The following is a simplified version of the process used by Aviation Safety
Inspectors in the performance of their duties. It summarizes the overall procedures
used when addressing non-compliance:
[Display on screen or provide a copy of this diagram]
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f.
The FAA views those intentional or reckless deviations from regulatory standards, as
defined in the Agency's safety oversight guidance, or deviations from regulatory
standards that otherwise present an unacceptable risk to safety, as posing the highest risk
to safe operation of the NAS, and thus requiring strong enforcement.
• Discuss with the group that the outcome of the event is not the main determining
factor of the FAA’s response under the Compliance Program. Rather, it is the pilot
or instructor’s willingness and ability to comply with the safety standards. This
may be counter to our typical thinking, but is an integral part of Safety
Management principals.
[The following, or similar, can be used as an example]
o
Consider two parallel situations in which a private pilot takes passengers on a
non-commercial flight. However, the pilot does not meet the takeoff and
landing currency requirements in Section 61.57(a).
o
In the first scenario, the flight is performed successfully and without incident.
However, the FAA conducts a ramp inspection after the aircraft lands. In
conversation with one of the passengers, they note the pilot expressed, prior to
flight, that he/she “was not current but that it would be okay”. A review of
pilot’s logbook confirmed that he/she was not current with respect to Section
61.57(a).
-
Although the flight did not have an adverse outcome, the FAA will find
the intentional non-compliance to be unacceptable. Since the pilot has
exhibited this behavior, it is possible they will continue to disregard the
regulations and thus remain a threat to safety in the National Airspace
System. The FAA is likely to take enforcement action.
o
In the second scenario, the landing at the destination airport results in a flat tire
and the runway is temporarily shut down while the aircraft is towed to the
ramp. The FAA investigates the incident and discovers the non-currency with
respect to landings in Section 61.57(a). The pilot is able to display a
computerized tracking program that he/she uses to monitor recent experience,
including landing currency. They explain that there was a mistake in using the
program, which caused them to miss the fact they were not current prior to
flight.
-
Although the outcome was adverse (the runway being shut down), the
non-compliance was due to a simple mistake. The FAA is likely to
address the issue using a Compliance Action.
• As noted before, the above example is a generalization used to illustrate the
Compliance Program concepts and that all instances will be analyzed on a case by
case basis.
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g.
Matters involving competence or qualification of certificate, license or permit holders
will be addressed with appropriate remedial measures, which might include retraining or
enforcement.
h.
Regulatory violations involving law enforcement-related activities may be addressed
with enforcement. In addition, legal enforcement will be taken when required by law.
• The following are instances where an Aviation Safety Inspector is required, or
able, to take Enforcement Action:
o
Intentional or reckless behavior
o
Conduct that creates a significant risk to safety and alternative means would
not be sufficient to effectuate compliance
o
Patterns of behavior or performance that represent an unacceptable risk to
safety
-
Failure to implement or complete a prescribed corrective action.
-
Note that failure to implement agreed-upon corrective action differs from
implementing an agreed-upon corrective action that does not achieve its
intended purpose. In the latter case, further Compliance Action for
additional/revised corrective action(s) may be appropriate.
o
Matters involving qualification of the certificate holder
o
Repeated non-compliance involving:
-
Similar regulations
-
Common root cause
o
Violations involving criminal activity
o
Falsification of data
How the Compliance Program Applies to Instructors
a.
General Concepts
• The Compliance Program applies to all certificate holders, including flight
instructors.
• Your students (to include any person you are providing instruction to) may have
heard about the Compliance Program through aviation media, blogs, social
network, etc. They may have questions about the Compliance Program and you
should be able to discuss the general topics offered in this lesson.
• You should provide means by which your students can develop procedures to
ensure they do not deviate from the standards.
o
As discussed, the use of checklists, acronyms, computer programs are
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examples of how this can be done every flight. These processes should be a
part of every instructional flight, as your students are more likely to continue
the practice if you are using/promoting these methods.
o
You should discuss personal minimums with your students, including how they
can develop their own minimums. The FAA has resources available, including
the following:
https://www.faa.gov/news/safety_briefing/2015/media/SE_Topic_15_02.pdf
o
[Other resources can be provided]
• Encourage your students to seek recurrent training above the minimum required by
the regulations.
o
You should make certain that you strive to provide comprehensive flight
reviews and instrument proficiency checks.
-
A good resource is Advisory Circular (AC) 61-98, Currency
Requirements and Guidance for the Flight Review and Instrument
Proficiency Check
-
[Other resources can be provided]
o
You should encourage those you fly with to seek proficiency training when
their skills/knowledge may have diminished, or if they are flying in a different
aircraft or environment from what they are used to.
-
AC 61-98, as well as AC 90-109, Transition to Unfamiliar Aircraft,
provide great information on this concept.
-
[Other resources can be provided]
• You should promote staying engaged with updates affecting general aviation. One
way to do this is to share with your student the resources that you use to stay
current.
o
One good source of general aviation information is the FAA Safety Briefing,
which can be downloaded at https://www.faa.gov/news/safety_briefing/
o
[Other resources can be provided]
b.
Remedial Training
• If the Aviation Safety Inspector (ASI) determines that remedial training (RT) is the
appropriate action to take regarding an apparent noncompliance with the
regulations, the ASI will forward the case to a FAASTeam Program Manager
(FPM). The FPM will then take the following actions:
o
Coordinate with the ASI to determine the scope and objectives of the training.
o
Develop the RT curriculum
o
Determine the necessary resources (e.g., a remedial training provider) to
accomplish the RT curriculum
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-
As discussed further in the lesson, the provider can be a flight instructor.
-
If so, the flight instructor will be named in the contract and will serve as a
liaison between the airman and the FAA
o
Develop the RT agreement
o
Schedule/conduct the initial meeting with the airman
• The FPM and airman will discuss the RT curriculum and completion requirements.
Before finalizing and signing the RT agreement, the FPM will solicit input from
the airman to make the training experience more effective and efficient.
• When necessary, the FPM will send the agreed upon RT provider a blank
completion certification letter template (example to follow)
o
The provider will give the FPM periodic updates on the progress of the training
o
The provider will return a signed copy after the airman has completed the RT.
• The following are RT providers (and/or resources) that the FPM will consider
when developing the curriculum:
o
FAASTeam Representative (more information to follow)
o
Applicable online courses on www.FAASafety.gov
o
Available online training from another respected source
o
Available local training from an FAA-certificated school such as:
-
Part 141 Pilot Schools
-
Part 147 Maintenance Schools
o
Available local training from an FAA-certificated airman actively engaged in
testing or training such as:
-
Designated Pilot Examiner
-
Flight Instructor
-
Designated Mechanic Examiner;
o
Any other appropriately rated individual specifically qualified to provide the
desired training (i.e., experienced in the type of aircraft involved in the
violation).
c.
Example remedial training agreement
[Display on screen or provide a copy]
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Sample Remedial Training Agreement Letter
Note: The sample agreement letter and training curriculum enclosure are taken from Order
8900.1, Volume 15, Chapter 6, Section 1. The copies below are from the version of that
section dated 7/26/2017. FIRC providers and instructors should check for any updates to
that section and adjust the following figures if needed.
[DATE]
[NAME]
[ADDRESS]
[CITY, STATE ZIP]
Subject: Remedial Training Agreement
[Title] [Name]
This remedial training (RT) agreement and curriculum was created by [FPM /
Safety Liaison Team (SLT) Lead name], FAA Safety Team (FAASTeam) Program
Manager (FPM) or Safety Liaison Team (SLT) Lead, on the basis of a referral
received from Inspector [referring aviation safety inspector’s (ASI) name], allowing
you (aforementioned airman) to participate in the RT program. Accordingly, your
signature on this agreement signifies your concurrence to complete the prescribed
course of RT (enclosure) within the assigned period of time. To complete this RT
program successfully, you must comply with the following:
1. You must obtain the required training from designated/approved
source(s). The source(s) is approved/designated by the FPM/ SLT Lead who
drafted your RT agreement.
2. All expenses/costs incurred by or as a result of the prescribed training
must be borne by you.
3. Once training begins, you are required to make periodic progress reports
to the FPM/ SLT Lead assigned to your RT program.
4. If you continue to conduct operations in the areas identified in this RT
agreement and have a similar deviation, this may be deemed as
unwillingness to comply and would result in RT being withdrawn.
5. You are required to complete all elements of the RT curriculum and meet
acceptable completion standards no later than [Date RT to be completed by].
6. You are required to provide the FPM/ SLT Lead with written
documentation indicating satisfactory completion of the prescribed RT. You
must provide the original (or certified copy) of a written certification issued
by the RT Provider(s). The written certification must describe each element
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of the curriculum for which instruction was given and the level of
proficiency you have achieved.
Any endorsements will include the Training Provider’s name, authorizing signature,
certificate number (as appropriate), date, scope and duration of training provided to
include the number of hours accomplished (as applicable). A certificate of
satisfactory completion will suffice for prescribed Web-based (online course)
training (e.g., www.FAASafety.gov, Pilot Proficiency Program (WINGS), Aviation
Maintenance Technician (AMT), Aircraft Owners and Pilots Association–Air
Safety Foundation (AOPA-ASF), etc.).
If the objectives of this RT agreement cannot be successfully reached, you may be
referred back to Inspector [referring ASI’s name] to be withdrawn from the RT
program.
I, [Insert Airman’s Name], agree to comply with the terms and conditions specified
in this remedial training (RT) agreement. I understand that failure to complete any
element of this agreement within the prescribed period of time may result in my
removal from the RT program and administrative or legal enforcement action and/or
reexamination under Title 49 of the United States Code (49 U.S.C.) § 44709(a).
[Signatures]
Sample Remedial Training Curriculum Enclosure
Objective: To improve the airman’s knowledge and pilot proficiency in flight
planning with emphasis on fuel management, cross-country flight planning, the use
of navigation charts, and the use of the GNS 430 for cross-country navigation.
Content:
A. A minimum of 4 hours of ground instruction on the following subjects:
1. FAASafety.gov Learning Center Course, “The Art of Aeronautical
Decision Making” by AFS-800 (online course). (1.0 hours)
2. Cross-country flight planning with emphasis on Cirrus SR-22
performance/fuel consumption charts. (1.5 hours)
3. Programming and use of the GNS 430 for visual flight rules (VFR) cross-
country operations. (1.0 hours)
4. Cirrus SR-22 emergency procedures – engine failure/loss of power. (0.5
hours)
B. A minimum of 4 hours of flight instruction to include:
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1. Flight Task Activity Number A100125-09 (Airplane Single-Engine Land
(ASEL)-Navigation) found in the Pilot Proficiency Program (WINGS) on
FAASafety.gov. Activity to be demonstrated using appropriate navigation
charts and the GNS 430 when applicable.
2. Demonstrate proficiency utilizing the GNS 430 during flight to include in-
flight changes and the ability to find the nearest airports.
3. Cirrus SR-22 emergency procedures – engine failure/loss of power.
Completion Standards: The training will have been successfully completed when
the assigned remedial training (RT) provider, by oral testing and practical
demonstration, certifies that the airman has completed instruction in the above
mentioned tasks in accordance with the RT curriculum. When applicable, the above
mentioned tasks will be completed to the level of proficiency stated in the Private
Pilot Practical Test Standards (PTS) (the current edition of FAA-S-8081-14) [insert
applicable FAA PTS reference]. Documentation must be provided to the FAA
Safety Team (FAASTeam) Program Manager (FPM) as stated in the RT agreement.
I agree to comply with the terms and conditions specified in this letter. I understand
that failure to complete any element of this agreement within the prescribed period
of time may result in my removal from the RT program and administrative or legal
enforcement action and/or reexamination under Title 49 of the United States Code
(49 U.S.C.) § 44709(a). If legal enforcement action is taken, I waive my right under
section 821.33 of the National Transportation Safety Board’s (NTSB) Rules of
Practice (Title 49 of the Code of Federal Regulations (49 CFR) part 821, § 821.33),
to move to dismiss the FAA’s complaint as stale.
[Insert Name and Date]
d.
Information about FAASTeam Representatives
• FAASTeam Representatives are individuals dedicated to the promotion of
aviation safety through the following means:
o
They voluntarily serve as assistants to the FAASTeam Program Manager
and FAASTeam organization.
o
They provide their community with advice, counsel, technical knowledge,
aviation experience, and a communication link with the local Flight
Standards District Office (FSDO).
o
FAASTeam Representatives act as advisors to the aviation community in
support of aviation safety, and do so without designated regulatory
authority.
• Representatives are selected for their interest in aviation safety, their professional
knowledge, their personal reputation in the community, and their ability to donate
freely of their time and talents on behalf of the FAASTeam. Representatives are a
vital link in the overall mission of the FAASTeam.
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• FAASTeam Representatives have some general responsibilities. For example:
o
Representatives must be willing to be of service to the aviation
community.
o
Representatives will conduct activities professionally and in a manner that
reflects favorably on the FAASTeam, thereby enhancing the relationship
between the FAA and the aviation industry.
o
Representatives receive guidance and support from the FAASTeam and
the FAASTeam Program Manager. Products designed to enhance aviation
safety are available to Representatives at www.FAASafety.gov.
• Additional information on becoming a FAASTeam Representative can be found
on the following website: https://www.faasafety.gov/about/mission.aspx
Guidance Material for the Compliance Program
• FAA’s Compliance Program Website
o
www.faa.gov/go/cp
o
In particular, see Resources section on the right had of the page
• FAA Order 8900.1, Volume 14, Chapter 1, Sections 1 and 2
• FAA Order 8900.1, Volume 15, Chapter 6
• FAA Order 2150.3C, Chapter 5
• FAA Order 8000.373A
