The document discusses the FAA's new "compliance philosophy" which aims to focus more on correcting deviations through education and training rather than punishment. It outlines how the FAA traditionally handled enforcement through actions like civil penalties, certificate revocation/suspension, re-examinations, warning notices, and no action. The new approach uses "compliance actions" which are non-punitive and focus on identifying root causes of deviations and restoring compliance through remedial training within 21 days. However, some exceptions apply and not all FAA offices have fully adopted the new culture yet. The document provides information sources to learn more about the compliance philosophy.

1. The FAA
Compliance Philosophy
Education in place of
Enforcement?
Mark Kolber
Attorney, Commercial Pilot, CFI / CFII
Copyright 2008-2016 Mark J Kolber. All rights reserved.

2. “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

3. 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

4. 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!

5. 10,000-foot View
 How it all begins
 FAA enforcement process
 “Traditional” enforcement options
 The new “compliance philosophy”
 What it means

6. 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

7. Enforcement Process

8. “I Have a Number…”
 The most common advice?
Unfortunately, it’s not that simple
It’s never been the only right answer
And perhaps more than ever!

9. FAA Enforcement Options
 [Civil Penalties]
 Certificate Revocation
 Certificate Suspension
 “709” Ride
 Warning Notice or Letter of
Correction
 No Action

10. 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

11. 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

12. 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

13.  “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
announcing the new policy
Compliance Philosophy

14.  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
Compliance Philosophy

15.  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 Philosophy

16. 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

17. Enforcement Process

18. Enforcement Process

19. FAA Enforcement Options
 [Civil Penalties]
 Certificate Revocation
 Certificate Suspension
 “709” Ride
 Warning Notice or Letter of
Correction
 No Action

20. FAA Enforcement Options
 [Civil Penalties]
 Certificate Revocation
 Certificate Suspension
 “709” Ride
 Warning Notice or Letter of
Correction
 No Action
Compliance Action

21. 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

22. 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

23. 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

24. 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

25. 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

26. Compliance Action

27.  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

28. “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 Guidance
vs
“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 Manager
in nationally available webinar
Compliance Philosophy
in Practice

29.  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
in Practice

30. 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!

31.  FAA Safety Briefing, Jan/Feb 2016
www.faa.gov/news/safety_briefing/
Compliance Philosophy
Information Sources
 FAA Compliance Philosophy homepage
www.faa.gov/about/initiatives/cp/
– Links to orders, guidances, brochures

32. Q&A
You ever been in a cockpit before?
Other questions or copies of this
presentation?
mjk@mkolberlaw.com
www.mkolberlaw.com
www.facebook.com/mkolberlaw