A Kinder, Gentler FAA? The New Federal Aviation Administration Compliance Philosophy GREGORY S. WINTON, ESQ. O n June 26, 2015, the Federal Aviation Administration (FAA) introduced FAA Order No. 8000.3731 ■■ , Federal Aviation Administration Compliance Philosophy. The FAA’s Order applies to the compliance and enforcement programs and activities of all FAA offices that have regulatory responsibilities. Such offices include, among others, the Flight Standards Service (AFS), Aircraft Certification Service, Office of Aerospace Medicine, and Office of Security and Hazardous Materials Safety. The FAA’s change in Compliance Philosophy recog- nizes that some regulatory deviations arise from fac- tors, such as: flawed procedures, simple mistakes, lack of understanding, or diminished skills. The agency be- lieves that deviations of this nature can most effectively be corrected through root-cause analysis and training, education or other appropriate improvements to proce- dures or training programs for regulated entities, which are documented and verified to ensure effectiveness. FAA certificate holders must be cautioned that any reluctance or failure in adopting these methods to re- mediate deviations or instances of repeated deviations might result in enforcement action. The FAA has taken the position that intentional or reckless deviations from regulatory standards require strong enforcement because such actions present an unacceptable risk to safety. Why Did the Compliance Philosophy Change? The FAA’s Compliance Philosophy changed for the following reasons: ■■ Safety Management System (SMS) implementa- tion is an evolutionary approach to risk man- agement and drives the need for an equivalent, ongoing change in compliance philosophy. ■ ■ As we strive for the next evolution of safety im- provements, we are depending on SMS and, where SMS is not mandatory, the principles of SMS. 1 http://www.faa.gov/documentlibrary/media/order/faa_order_8000.373.pdf Aviation Business Journal | 1st Quarter 2016 ■■ Operational risks must be managed through positive actions by airmen and organizations (i.e. regulated entities). Where these airmen and organizations engage constructively with the FAA, the agency will engage them to encourage compliance and safety. This view of compliance stresses a problem-solving approach (i.e. engagement, root cause analysis, transparency, information exchange) where the goal is enhancement of the safety performance on the part of individual and organizational certificate holders. Thankfully, it appears that the FAA has finally ac- knowledged and embraced the idea of safety through managing risk, rather than through enforcement. What Changed in the Compliance Philosophy? According to an FAA personnel briefing on Compliance Philosophy Differences, the fol- lowing Key Changes were identified: Compliance Action is a new term describing the FAA’s collection of non-enforcement methods to correct unintentional deviations or noncompliance that arise from factors, such as: flawed systems and procedures, simple mistakes, lack of understand- ing, or diminished skills. It involves open and transparent safety information sharing between the FAA and airmen/organizations. Its purpose is to restore compliance and identify and correct any underlying cause(s) that led to the deviation. Effective October 1, 2015, the FAA pub- lished its Philosophy and Policy Instructions through FAA Notice 8900.COMPL, which states the following Purpose and Scope: ■■ Section 1: Introduces the use of AFS Compliance Action to address, when appropriate, safety concerns and actual or apparent deviations Continued on page 21 19
