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Flight Instructor Refresher Course Jorge Valderrama

Lesson 10: Understanding the Compliance Program

Understanding the Compliance Program

Introduction

The Compliance Program was originally called the Compliance Philosophy.  The FAA changed
“Philosophy” to “Program” in October 2018, so you will see both terms used in FAA publications.

As an instructor and a pilot, it is important that you be familiar with the FAA’s Compliance Program, because you
Will want to actively engage in this culture shift
Are in a prime position to spread awareness of this program, which will help
Achieve the desired outcomes
Increase safety in the National Airspace System (NAS)

Your customers may have heard and/or read about the Compliance Program.  You’ll want to be knowledgeable about
it so that you can
Explain it to them fully and answer any questions they may have
Help them develop the habits and thinking that will help them comply with the FAA standards and minimize risk

In this lesson we’ll discuss:

What the Compliance Program is
Using a Risk Management System
What happens when non-compliance occurs
How the Compliance Program applies to you, the instructor

What is the Compliance Program?

The good folks at the FAA set standards and make regulations in an effort to continuously improve safety in the
National Airspace System (NAS).  They
Rely on the users of the NAS to voluntarily comply with these regulations
Have adopted the Compliance Program to help
Manage the risks in the NAS
Identify and control both
Existing risks
New and emerging risks

So how did the Compliance Program come about?  It started in 2015 when the FAA began an effort to embrace a “just
culture”, which
Has an expectation of and appreciation for self-disclosure of errors
Allows for due consideration of honest mistakes with an understanding that
 Even unintentional mistakes can seriously impact risk management and control in the NAS
Whether the deviation was unintentional or not, the goal is to identify the underlying risks to deal with them
as effectively, quickly, and efficiently as possible
Stresses a problem-solving approach consisting of
Engagement, root-cause analysis, transparency, and information exchange
A goal to reduce and manage risks among individual pilots and organizations using the NAS
Requires mutual cooperation and trust between the FAA and users of the NAS, which
Promotes a transparent exchange of information
Can be challenging to achieve in a traditional, enforcement-focused regulatory culture

You may find it interesting to read the articles in the January/February 2016 issue of FAA Safety Briefing
by Michael Huerta, then the FAA Administrator, and John Duncan, at the time Director of Flight
Standards Service (AFS-1), regarding how the Compliance Program (formerly called the Compliance Philosophy)
came about and their belief in how it will make a difference in aviation safety.  Administrator Huerta’s article is on
page 8, and John Duncan’s article is on page 1.

In the past, the focus was more on identifying problems after an accident or incident occurred.  The Compliance
Program launches us to the next level of safety, and
Focuses on ensuring users of the NAS comply with the regulations, to
Minimize risks
Bring about positive and permanent change
Is based on the assumption that most people want to competently and successfully manage the risks of flight,
which
Goes beyond just complying with the rules
Includes proactively finding and fixing problems to manage or mitigate risks
Expects and encourages an open exchange of information between the FAA and the aviation community
regarding risks in the National Airspace System (NAS) with the goal to
Understand the risks
Appropriately address them
Fosters a problem-solving approach to finding and addressing risks
Is a way to keep up with rapid changes in the NAS that introduce new risks
Is an evolution of existing practices rather than a revolution

We usually think of the FAA dealing with rule-breakers by using enforcement actions.  The Compliance Program
Acknowledges that enforcement action is only one way to deal with issues
Allows for non-enforcement actions, called compliance actions
Does not mean the FAA is becoming more lax about violations of the regulations
Focuses on finding the most appropriate action when a deviation occurs

A crucial part of the Compliance Program is open communication.

This can take many forms, including
Formal sharing of structured data
Simply having a conversation with an FAA representative
It can be scary to have to answer questions from the FAA, but keep in mind, and let your customers know, that
The goal of the FAA is to gather information that will help enhance safety in the NAS
The program is to work with you, not against you

The FAA has seen the benefits of a non-blaming, problem-solving, collaborative approach to solving issues in the
NAS through already established non-punitive information-sharing programs that
Provide continual feedback on how aviation systems are working
Allow system improvements to occur on an ongoing basis instead of only as a result of a major mishap or
investigation

You are probably aware of the Aviation Safety Reporting Program (ASRP), which the FAA started decades ago as a
voluntary program to encourage identifying and reporting deficiencies and discrepancies in the NAS.

The FAA recently released a new version (F) of AC 00-46, “Aviation Safety Reporting Program”.  AC 00-46F
 Explains the intent and spirit of the program, which aligns with the Compliance Program
Shows how anonymity is attained and maintained throughout the reporting process
Provides guidance for submitting reports under the ASRP

The FAA
Created the ASRP for all users of the NAS (not just pilots), such as
Controllers
Flight attendants
Maintenance personnel, and
Dispatchers
Uses a third party, NASA, to
Provide receipt, analysis, and de-indentification of Aviation Safety Reports
Ensure anonymity of the reporter resulting in more of the information needed to effectively evaluate the
safety and efficiency of the NAS
Publish and distribute periodic reports of findings to the public, aviation community, and the FAA

Examples of the operations covered by the program include

Departure, en route, approach, and landing operations and procedures
ATC procedures and equipment
Crew and ATC communications
Aircraft cabin operations
Aircraft movement on the airport
Near midair collisions (NMAC)
Aircraft maintenance and record keeping
Airport conditions or services, and
Unmanned aircraft operations

You’ll want to let your customer know that

Anybody can report concerns to the Aviation Safety Reporting System Program (ASRPS)
There are specific forms for intended users (Form 277B is for general use, which includes pilots) which you
can access at the NASA reporting website
The FAA will not use an enforcement action for any report within the scope of Part 91 unless it involves
Criminal offenses
These are referred to the Department of Justice and the FAA
Accidents
These are referred to the NTSB and the FAA

The FAA views filing a report with NASA for an incident or violation of the regulations to show a constructive attitude
that tends to prevent future violations.

Again, you and your customers can find more details about this program in AC 00-46F.

Risk Management System

As we mentioned earlier, the goal is for pilots to go beyond simply complying with the regulations and proactively
identify and handle safety issues in the NAS.
A risk management system is an effective tool to achieve this
These systems may vary between individuals and larger organizations
Everyone can use risk management in some capacity to increase safety in the NAS

Most of us use risk management practices without even thinking about it.
Before a flight we take a look at
What we plan to do
What regulations apply
 We then make a decision to go, not go, or alter the plan

A risk management system helps

Make this part of a normal routine
Bring structure to the process
Address risks not addressed by the regulations

A risk management system can be as simple as using

Preflight checklists
Personal minimums
Memory aids, such as
PAVE
C-CARE
IMSAFE

Using these tools is essential to risk management’s role in the success of the Compliance Program, and requires
continuously
Evaluating how they’re working
Making changes and adjustments as necessary

Below is a risk management flow you can teach your customers:

Consider the operation and situation:

The risks of flying are often not obvious
Take a look at the operation and surrounding conditions to identify potential hazards
It also helps to look in retrospect at incidents or accidents that have happened in similar operations

Identify and assess risk:

A risk occurs when one is exposed to a hazard (such as when flying near a thunderstorm)
This is the decision point where you decide what to do about the risks that have been identified
Once you identify the risk, evaluate how likely and how bad the outcome could be
Develop mitigation:
Use strategies to deal with the risks and then choose to do one of the following:
Accept
Mitigate

Monitor and verify mitigation:

This has two parts, which is why there is a loop back
Monitoring can be anything from situational awareness to more sophisticated auditing processes
Verify the mitigation is working as expected and revise as necessary

Revise mitigation as necessary:

The same as the develop  mitigation step
Use any new information from the monitor and verify mitigation step

Monitor for new risks:

The final feedback that makes this a continuous process

When Non-Compliance Occurs

When a non-compliance event does happen, the FAA encourages an open exchange of information.
Pilots are not required to share information
The reasons the FAA solicits it are to
Address
Stand-alone instances
Systemic issues
Determine
If any deviation from standards has occurred
What actions to take to restore compliance
If there is a larger issue at hand
Something specific to an airport or aircraft
Training standards
Regulations

When non-compliance occurs, the goal of the FAA is to use the most effective way to
Bring the person or entity back into compliance
Prevent recurrence

Ways the FAA works with pilots, instructors, flight schools, etc. include additional training such as
Remedial training
Often involving a FAASTeam member and/or an instructor
Counseling
On-the-spot correction

The FAA understands that most deviations happen because of things such as
Flawed procedures
Simple mistakes
Lack of understanding
Diminished skills

Reasons like these will often result in corrective actions that are then evaluated for effectiveness.  Corrective actions
can include
Root cause analysis and training
Education and training
 Improved procedures

An example of the compliance program in action occurred when Harrison Ford landed on a taxiway at Orange County
Airport.  He
Admitted the problem
Stated that it was a big deal as far as he was concerned
Was not given an enforcement action by the FAA because it was not
Deliberate
Likely to happen again

However, unfortunately there are times when non-compliance is intentional and reckless, which
Is an unacceptable risk, and in fact
Poses the highest risk to safe operations in the NAS
Cases like these most often result in enforcement action and possibly additional training, and can include
Warning letters
Formal letters of correction
Suspension
Revocation

There are instances when an Aviation Safety Inspector must take enforcement action, including
Intentional or reckless behavior
Conduct that creates a significant risk and where alternative means would not be effective
Patterns of behavior that present unacceptable risk
Failure to implement or complete an assigned corrective action
Issues involving the certificate holder’s qualifications
Repeated non-compliance involving similar regulations or a common root cause
Violations involving criminal activity
Falsification of data

It’s important to understand and convey to your customers that it’s not the outcome of an event that determines the
FAA’s response to a situation.
Rather, it is a pilot’s willingness and ability to comply with safety standards

There is a difference between unwilling vs. unable, although both combine to form the greatest risk to the NAS.  A
pilot who is
Unwilling
Knowingly breaks the rules
Takes inappropriate risks
Does not cooperate in finding and fixing the problem
Unable
Lacks the skills and/or qualifications to comply

All instances of non-compliance are treated on a case-by-case basis.

What the Compliance Program Means to You as an Instructor

Traditionally, many instructors have taught the regulations as something to obey to avoid being punished.
As an instructor, you have an opportunity to instead show your customers that the purpose of the regulations is
reducing risk and increasing safety
The Compliance Program lays the ground work for how we can teach the regulations

You will find useful information in the September/October 2017 FAA Safety Briefing:  Flight Instructor
Refresher, “Compliance Philosophy for Flight Instructors,” for using the Compliance Program to teach your
 customers regulations and safety management.  The article is on page 7.

There are many things you can teach and tools you can give your customers in the spirit of the Compliance Program
to help them avoid instances of non-compliance, such as
Using checklists and memory aids
Developing, using and adjusting personal minimums
Seeking recurrent training above what the regulations require from an instructor who strives to provide effective
and thorough
Flight reviews and instrument proficiency checks
Proficiency training when
Their skills and/or knowledge may have diminished
They are flying in a different aircraft or environment from what they are used to
Staying informed about the latest updates to general aviation
You can share the resources you use to stay up-to-date

The following resources will be helpful for both you as an instructor and your customers:
AC 61-98D – Currency Requirements and Guidance for the Flight Review and Instrument Proficiency
Check (issued April 30, 2018)
AC 90-109A – Transition to Unfamiliar Aircraft

As an instructor you are in a prime position to help your customers manage risks by ensuring your customers
understand
The risks that come with flying
How to use risk management principles to address those risks

As we mentioned earlier, remedial training is one form of non-enforcement action that can be taken, also known as a
compliance action.
As an instructor you’ll want to know the remedial training process as you may be asked to be a part of it

If an Aviation Safety Inspector (ASI) determines that remedial training is the appropriate action to take they will
forward the case to a FAASTeam Program Manager (FPM) who will, among other things
Develop the remedial training curriculum
Decide on the training provider
This could be you, the instructor
Develop the remedial training agreement
If you are the provider you will be named in the contract and will be the liaison between the pilot and the
FAA
Meet with the pilot to discuss and finalize the remedial training
Once agreed upon, you as the provider will
Keep the FPM informed about progress
Sign off on a completion certificate and logbook endorsement when appropriate

As part of the aviation community, we have a

Responsibility to comply with the regulations
Duty to develop processes and procedures to reduce deviating from the standards set by the FAA
The Compliance Program brings us and the FAA together to proactively and continually reduce risks and
increase safety in the NAS

You and your customers can find out more about the Compliance Program through these FAA resources:
FAA Compliance Program page
FAA Compliance Philosophy brochure
FAA Compliance Program Order 8000.373A
 January/February 2016 issue of the FAA Safety Briefing (mentioned earlier), which is dedicated to the
Compliance Philosophy (Program)

Key Takeaways from this Lesson

The FAA’s Compliance Program is a collaborative effort between the FAA and users of the National Airspace System
to stay on top of the ever emerging risks in the NAS.  It
Assumes users voluntarily comply with the regulations
Encourages and depends on an open exchange of information
Acknowledges that a deviation can be handled without using enforcement
Called Compliance Actions
Is more of a proactive way to identify and mitigate risks in the NAS

As an instructor you
Will teach your customers good risk management skills to help them avoid deviations
Help spread awareness about the cultural shift of the Compliance Program
Can encourage transparency with the FAA in the unfortunate event something does occur
May also play a role in bringing pilots back into compliance as a remedial training provider

Working together we can all contribute to managing and mitigating the various and ever-changing risks in the NAS.

Links for Further Study

January/February 2016 FAA Safety Briefing:  Compliance Philosophy:  The FAA’s Evolving Approach to Aviation
Safety

AC 00-46F:  Aviation Safety Reporting Program

NASA reporting website

September/October 2017 FAA Safety Briefing:  Flight Instructor Refresher

AC 61-98D:  Currency Requirements and Guidance for the Flight Review and Instrument Proficiency Check

AC 90-109A:  Transition to Unfamiliar Aircraft

FAA Compliance Program page

Compliance Philosophy Brochure

FAA Order 8000.373A:  FAA Compliance Program