Compliance Philosophy For The CFI Presented to: Tampa Bay Aviation Association By: Date: Dennis H. Whitley October 5, 2018 Produced by AFS-920 National FAA Safety Team Federal Aviation Administration
Welcome Please Silence cell Phones Pagers Exits Restrooms Emergency Evacuation Breaks Quarterly Seminars Next Oct. 15 Other information Federal Aviation Administration 2 Overview
Why Should CFIs Include the Compliance Philosophy in Student Training? Compliance Philosophy Purpose Risk Based Decision Making (RBDM) Safety Management Aviation Safety Reporting System (ASRS) Compliance Action Decision Process Investigative Process Compliance Actions Metrics Resources Federal Aviation Administration 3
CFIs and the Compliance Philosophy CFIs Build the Foundation for Compliance Provide Regulatory Knowledge & Understanding Explain that Compliance is the pilots responsibility Instill a Just Safety Culture Create an awareness that Safety may involve admitting you made a mistake Federal Aviation Administration
4 Compliance Philosophy Purpose To Promote the highest level of Safety & Compliance. Use the Most Effective Means for a person to return to full compliance. To Promote an Open, Problem-Solving Approach to allow safety problems to be understood through the proactive exchange of information. Federal Aviation Administration 5
Compliance Philosophy Purpose (cont.) Allows for the use of a less stringent means Compliance Actions, to gain compliance when the person is Willing & Able to take corrective action. Identifies Intentional or Reckless Behavior as the highest risk to safe operations and will require enforcement. Federal Aviation Administration 6 Previous to the Compliance Philosophy FAA focused on enforcement and gathering items of proof
Enforcement was the primary means of ensuring regulatory compliance Action taken based largely on outcome or potential outcome Federal Aviation Administration 7 Compliance Philosophy Find and Fix the Problem Compliance action will be taken unless a determination is made that a compliance action is not appropriate
Focus on corrective action that properly addresses risks Emphasis on voluntary compliance, information exchange, and use of safety management principles Action taken based on underlying behavior(s) Federal Aviation Administration 8 FAA Initiative Risk- Based Decision-Making Compliance Philosophy is the latest step in the evolution of how we work with those we regulate. It focuses on the most fundamental goal: find problems in
the National Airspace System before they result in an incident or accident, use the most appropriate tools to fix those problems, and monitor the situation to ensure that they stay fixed. FAA Administrator Michael Huerta Federal Aviation Administration 9 How do we fix safety problems?
Open and transparent exchange of information Dont hide the mistake for fear of punishment Identify the problem Learn from the mistake Implement fixes that prevent a recurrence Follow up to validate the fix was effective Federal Aviation Administration 10 Safety Management
Safety risk management applies to airmen and organizations. Individuals bear the responsibility to monitor their activities and operations to assure effective actions to control risk, including compliance. FAA expects that certificate holders will voluntarily comply with the regulations Federal Aviation Administration 11 Safety Management
Federal Aviation Administration 12 Safety Management to Mitigate Risk Examples Include: Using a Checklist Consulting a Flight Risk Analysis Tool Using and Adhering to Personal Minimums Federal Aviation Administration
13 SRM Discussion Checklists Flight Risk Assessment Tool Personal Minimums Federal Aviation Administration 14 Flight Risk Assessment Tool (FRAT) Available on FAASafety.gov as a Microsoft Excel Spreadsheet FAAST FRAT Introduction
https://www.faasafety.gov/gslac/ALC/libview_normal.aspx?id=103321 FRAT for Windows https://www.faasafety.gov/gslac/ALC/libview_normal.aspx?i d=103987 FRAT for Mac https://www.faasafety.gov/gslac/ALC/libview_normal.aspx?i d=132085 FRAT for the iPhone/iPad/Apple Watch https://itunes.apple.com/us/app/flight-risk-assessment-tool-f rat/id1080401103?mt=8 Federal Aviation Administration
15 Aviation Safety Reporting System (ASRS) Identify deficiencies and discrepancies in the National Airspace System (NAS). Used in alerting messages Supports policy decisions Strengthen the foundation of aviation human factors safety research. Human factors and human performance errors may account for the root cause in over two-thirds of all aviation accidents/incidents. Federal Aviation Administration
16 Aviation Safety Reporting System (ASRS) Forms can be submitted electronically or by mail 14 CFR 91.25 prohibits use of reports for enforcement purposes (with exceptions) Advisory Circular 00-46E: Aviation Safety Reporting Program http://asrs.arc.nasa.gov
Federal Aviation Administration 17 Compliance Action Decision Process Federal Aviation Administration 18 FAA Contact with Airman FAA inspectors must remain engaged with responsible persons to conduct a thorough and
unbiased investigation. FAA personnel will gather facts, ask questions, and analyze event to determine if there is compliance. This is where the information from the person(s) involved is valuable and will be used in the determination of the necessary corrective action. Federal Aviation Administration 19 FAA Contact with Airman Correspondence from the FAA concerning a compliance action should contain:
A statement that the event appears eligible for a compliance action A statement that enforcement is not being pursued based on known information Federal Aviation Administration 20 FAA Contact with Airman For compliance actions, the FAA will provide a brochure that explains the Compliance Philosophy and the Pilots Bill of Rights The brochure will be provided during initial contacts with an airman involved in a potential non-compliance
Provides overview of the Compliance Philosophy Explains your rights to obtain legal counsel and to request air traffic data http://www.faa.gov/about/initiatives/cp/media/Compliance_ Philosphy_Brochure_(PRINT).pdf Federal Aviation Administration 21 Airmen Rights Refusal to speak with AFS personnel immediately after an event, or obtaining legal counsel, does not rule out Compliance Action Airmen and organizations are free to exercise
their rights without repercussions An entity that complies with FAA requirements to regain and maintain compliance is considered cooperative Federal Aviation Administration 22 Airmen Rights However, if FAA personnel cannot adequately determine the facts of the case, or cannot identify appropriate remediation(s) that are consented to, FAA personnel must still use due diligence for publics safety interest.
Such due diligence may include reexamination or suspension pending compliance to determine that the certificated entity is qualified, competent, and proficient. Federal Aviation Administration 23 Investigation, Analysis, and Assessment of Problem Focus is on the underlying behavior that led to the event Not about punishment following a bad outcome Also not about ignoring the issue if there was no bad outcome
The key is to not wait for an adverse result but to ensure proper action is being taken at all times. Federal Aviation Administration 24 Investigation, Analysis & Assessment of Problem The purpose of the investigation is to determine compliance and any necessary actions that need to be taken. For regulatory issues: FAA will take either a compliance action or enforcement action
Enforcement will be used only when required FAA will also contemplate any necessary followup action to ensure that the safety problem has been resolved Federal Aviation Administration 25 Investigation, Analysis & Assessment of Problem Matters involving qualification or competence involving diminished knowledge or skills Compliance action: Remedial Training (RT) Some instances of a lack of qualification or competence may not be eligible for compliance
action: Reexamination (for questions of competency) Enforcement (for lack of care or judgment) Federal Aviation Administration 26 Not Eligible for Compliance Action
Intentional or reckless deviations Unwilling or unable to comply Certain matters involving lack of qualification Enforcement required by regulation or law Failure to complete corrective action Repeated noncompliance FAA personnel have discretion Federal Aviation Administration 27 Compliance Action
For deviations resulting from flawed procedures, simple mistakes, lack of understanding, or diminished skills: On-the-spot correction Additional Training Counseling Improvements to systems, procedures, and training programs A Compliance Action does not constitute a finding of violation
Federal Aviation Administration 28 Compliance Action The FAA may consider corrective actions already taken by the airman when determining the appropriate response to the problem. Airman are encouraged to take proactive steps to identify and address known safety issues. Federal Aviation Administration 29
Compliance Action The individual must be willing Acknowledges responsibility Shares information to help determine cause Promptly implements corrective action The individual must be able Possess time and resources to correct the deviation Has the ability to meet standards after taking corrective action Federal Aviation Administration 30
Remedial Training Details Airman must: Agree to RT and sign the remedial training agreement Bear all cost associated with remedial training Use an approved training provider or provide an acceptable alternative Complete the training program within a timely manner (generally 30 days). Federal Aviation Administration 31
Remedial Training Details These resources may be used as part of remedial training: FAASTeam Representatives FAASafety.gov / WINGS Program Runway Incursion Remedial Training Program AMT Program FAA Safety Seminars and Webinars FAASafety.gov Online Training Courses
Federal Aviation Administration 32 Flight Standards Metrics for FY 16 Nearly 5380 compliance actions taken These represent risks that were identified, documented, and addressed without the need for enforcement action Legal and administrative action were still used when necessary Legal Actions: Approximately 750 (roughly 55% reduction compared to FY15)
Administrative Actions: Approximately 780 (roughly 75% reduction compared to FY15) Federal Aviation Administration 33 Flight Standards Metrics for FY 16 The average time to complete a compliance action was just under four weeks. This is a dramatic improvement over time spent closing an enforcement action, which traditionally could take months or years. Current trends indicate that enforcement
actions initiated in FY16 are also being adjudicated faster compared to previous years. Federal Aviation Administration 34 Reference Material FAA Webpage on Compliance Philosophy Link for FAA Administrator Huertas Speech Another First in Our Safety Evolution Access to FAA Safety Briefing Magazine, Jan/Feb 2016 Edition, focused on Compliance Philosophy Overview information Compliance Philosophy and Pilots Bill of Rights
Brochure Additional resource material Link: www.faa.gov/go/cp Federal Aviation Administration 35 Questions Federal Aviation Administration 36
Proficiency and Peace of Mind Fly regularly with your CFI Perfect Practice Document in WINGS Federal Aviation Administration 37 Thank you for attending You are vital members of our GA safety community Federal Aviation Administration
38 Compliance Philosophy For The CFI Presented to: Tampa Bay Aviation Association By: Date: Dennis H. Whitley October 5, 2018 Produced by AFS-920 National FAA Safety Team
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