Compliance Philosophy For The CFI Welcome – Brief introduction of presenter(s). 2017/12-6-120 (I) PP Original Author: J.B. Williams, August 2017; POC: Kevin Clover, AFS-920, Operations Lead Office 562-888-2020 Presentation Note: This is the title slide for System/Component Failure. Presentation notes (stage direction and presentation suggestions) will be preceded by a Bold header: the notes themselves will be in Italic fonts. Program control instructions will be in bold fonts and look like this: (Click) for building information within a slide; or this: (Next Slide) for slide advance. Some slides may contain background information that supports the concepts presented in the program. Background information will always appear last and will be preceded by a bold Background: identification. We have included a script of suggested dialog with each slide. Presenters may read the script or modify it to suit their own presentation style. The production team hope you and your audience will enjoy the show. Break a leg! Next Slide

Welcome Please Silence cell Phones Pagers Exits Restrooms Emergency Evacuation Breaks Quarterly Seminars – Next Oct. 15 Other information Presentation Note: Here’s where you can discuss venue logistics, acknowledge sponsors, and deliver other information you want your audience to know in the beginning. You can add slides after this one to fit your situation. Next Slide

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 This is a brief Overview of what we will cover in this briefing. Next Slide

CFIs and the Compliance Philosophy CFIs Build the Foundation for Compliance Provide Regulatory Knowledge & Understanding Explain that Compliance is the pilot’s responsibility Instill a ‘Just Safety Culture’ Create an awareness that Safety may involve admitting you made a mistake It is important to include training about the FAA Compliance Philosophy during a student’s training. All pilots are responsible for safety within the National Airspace System and to comply with FAA Regulations. The FAA depends on airmen to voluntarily comply with regulations and do there part to promote safety. It is also important to promote a ‘Just Culture’ where airmen willingly share information with the aviation community about deviations from regulatory standards in the interest of improving safety without fear of retribution. A Just Culture does not penalize an airman for sharing safety information that could be used to improve the NAS. For example, the Aviation Safety Reporting System (ASRS). Next Slide

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. Review the ideals and purpose of the Compliance Philosophy. In a nutshell, the Compliance Philosophy’s goal is to identify safety problems and ‘FIX” them with the most effective and efficient means possible so they do not reoccur. Next Slide 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. This is just not another swing of the pendulum. It is a change in Aviation Safety & Compliance Philosophy towards addressing safety problems and then working with the aviation community to fix them. The next several slides will discuss some of the background on the Compliance Philosophy, how it integrates with the FAA strategic initiatives, and how it integrates with existing safety and reporting programs. Next Slide 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 FAR Violation FAR 91.56 Most airman’s view of the FAA was that they were nothing more than a traffic cop in the air. Pulling pilots over for speeding and issuing them a ticket (violation). Next Slide

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) If you’ve made an honest mistake, a temporary lapse of judgment or have let your skills become rusty, you may be able to ‘fix’ the problem without facing a violation. Next Slide

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 The overall goal is a safer National Airspace System. The way we achieve this goal is to find and fix the problem with the best solution. That solution is not always a violation, it can be a partnership to improve safety between those who use the NAS and the FAA. Next Slide

How do we fix safety problems? Open and transparent exchange of information Don’t 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 To find and fix safety problems, there has to be an open and transparent exchange of information and data between the FAA and industry. We don’t want airman/operators who might inadvertently make a mistake to hide it because they have a fear of being punished. If there is a failing, whether human or mechanical, we need to know about it, to learn from it, and make the changes necessary to prevent it from happening again. Again, it’s about finding the problem, fixing the problem, and making sure it stays fixed. Next Slide

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 Safety Management is not just for large airlines or organizations, it’s for the individual airman as well. Discuss the voluntary nature of adhering to the regulations. This can include questions such as:   How many times have you been ramped checked by the FAA? How often is someone of authority present when you preflight or post-flight? Except for ATC, who is responsible for ensuring proper inflight procedures? Note that even ATC is limited in what they are aware of. Who is responsible for ensuring that pilots meet currency requirements? 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. Next Slide

Safety Management Use this flow chart to show that every pilot, whether they fly a Boeing 747 or a Light Sport aircraft, can apply the principles of Safety Management. What are controls? They can be regulations, i.e., VFR is 1000 foot ceiling and 3 miles visibility. A personal control could be 3000-foot ceiling and 5 miles visibility. Next Slide

Safety Management to Mitigate Risk Examples Include: Using a Checklist Consulting a Flight Risk Analysis Tool Using and Adhering to Personal Minimums Consulting a checklist, using a FRAT or developing and adhering to Personal Minimums. Most of us utilize safety management on some level, even if we are not aware of it. Prior to flight we naturally think about the regulations (and other safety standards) that will apply to the operation we are going to conduct. We then project whether or not we will be able to operate within the boundaries of the regulations. If we determine that we will not be in compliance, we take the steps necessary to correct the problem prior to the flight. We can use regulations and standards, and skills that we already have, to control risk. The key is making it part of our normal routine, and this is where the principals of safety management come in. Even without the structured processes of safety or quality management systems, you can still monitor your activity for compliance. The use of personal minimums and practices, memory aids (such as IMSAFE and PAVE), pre-flight preparation checklists, or simply personal habits can work. Using such tools, and continuing to evaluate their effectiveness for your activities, reflect the safety management principles that are critical to the Compliance Philosophy. Next Slide

SRM Discussion Checklists Flight Risk Assessment Tool Personal Minimums The Presenter should now lead the participants in a discussion on the best practices for teaching Safety Risk Management by prompting the audience to discuss the bullet points on the slide. As the CFIs when they teach each SRM tool and if they have the student practice SRM on every flight. This will allow CFIs to exchange techniques and ideas that may lead to new insights about the importance of teaching SRM. Next Slide

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?id=103987 FRAT for Mac https://www.faasafety.gov/gslac/ALC/libview_normal.aspx?id=132085 FRAT for the iPhone/iPad/Apple Watch https://itunes.apple.com/us/app/flight-risk-assessment-tool-frat/id1080401103?mt=8 FAASafety.gov provides a FRAT for both Microsoft Windows and Apple Computers that functions using Microsoft Excel. If you have an Apple iphone, you can download the FRAT application from the Apple Store. It was developed by in cooperation with the FAASTeam and is a completely free download with no in-app purchases required. Next Slide

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. Established non-punitive information-sharing programs continue to provide feedback on how aviation systems are working, and allow system improvements to occur on an ongoing basis, rather than as a result of a major mishap or investigation. Through voluntary safety efforts such as the Aviation Safety Reporting System (ASRS), we've seen the benefits of a non-blaming, problem-solving, collaborative approach to solving safety problems. The ASRS is an important facet of the continuing effort by government, industry, and individuals to maintain and improve aviation safety. The ASRS collects voluntarily submitted aviation safety incident or situation reports from pilots, mechanics, controllers, and others. The ASRS acts on the information these reports contain. It identifies system deficiencies, and issues alerting messages to persons in a position to correct them. It educates through its newsletter CALLBACK, its journal ASRS Direct line and through its research studies. Its database is a public repository which serves the FAA and NASA's needs and those of other organizations world-wide which are engaged in research and the promotion of safe flight. Next Slide

Aviation Safety Reporting System (ASRS) http://asrs.arc.nasa.gov 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 Part of a ‘Just Culture’ is the open and honest exchange of information without the fear of punishment. One of the tools pilots can use is the ASRS. There are exceptions to 14 CFR 91.25 and we will discuss these in later slides. The ASRS reports should be submitted even if there are no possible deviations involved. A report should be filed anytime an event occurs or is observed that could compromise safety. Next Slide

Compliance Action Decision Process A high level overview of the Compliance Action Decision Process. The presenter briefly cover each step by reading from the diagram. Further explanation of the process will be covered in the upcoming slide. The purpose of sharing this information is to give the audience an idea of how the FAA will interact with an airman during an investigation and explain some of the steps that may be taken by a Safety Inspector. Next Slide

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. An honest and complete analysis of the facts surrounding the case is essential in identifying and understanding the underlying cause of the event. One of the most important steps and FAA Inspector can take is to develop an honest and open dialogue with the airman with the end goal being safety. Next Slide

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 This requirement began in Nov 2016. Next Slide

FAA Contact with Airman For compliance actions, the FAA will provide a brochure that explains the Compliance Philosophy and the Pilot’s 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 The presenter should have the Compliance Philosophy and Pilot’s Bill of Rights Brochure available at in person seminars. Next Slide

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 Legal Counsel is a right an airman has and will not be held against the airman as uncooperative. Next Slide

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 public’s safety interest. Such due diligence may include reexamination or suspension pending compliance to determine that the certificated entity is qualified, competent, and proficient. The FAA has a duty to ensure safety in the National Airspace System (NAS) and must address all events according to the facts and situations concerning the event. Next Slide

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. Taken from the AFS Town Hall Discussion: Fundamentally, a scary event can happen by accident. For example, with runway incursions, we considered a runway incursion where there was no loss of separation to be a lesser event than one where there was a loss of separation, where the fact that there was a loss of separation was happenstance -- just timing, that's all. The real issue was that the risk was created by virtue of the fact that somebody made a mistake and crossed the runway. If the person is willing and able to comply and they're willing and able to correct the lack of skill, or whatever the root cause was that allowed them to get themselves into that position, then we can fix the problem and move on. If, on the other hand, there was intentional or unreasonably risky behavior here, then we need to use enforcement to get the job done. But fundamentally, the greatest risk created is by that person who is unwilling or unable, regardless of the operational outcome. Next Slide

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 follow-up action to ensure that the safety problem has been resolved Non-regulatory issues: FAA personnel may provide recommendations for improvement and increased safety. Next Slide

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) Lack of Qualifications may or may not be addressed by a Compliance Action (Remedial Training). It will depend on whether competence or diminished skills can be effectively addressed within a Remedial Training program. If a lack of qualification is evidenced by a lack of care, judgment and responsibility to hold that certificate, then a Compliance Action may not be used to correct the deviation. Each case is unique and must be evaluated thoroughly before making a determination. Flying a multiengine aircraft without a MEL rating would not qualify under the Compliance Philosophy and Remedial Training would not be an appropriate ‘fix’. Next Slide

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 The Presenter will explain that not all regulatory deviations qualify to be handled under the Compliance Philosophy guidance. There are those deviations that require stronger enforcement measures such as intentional or reckless deviations from regulatory standards. Next Slide

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 Cover the Compliance Actions that might be used to fix a problem and bring the airman or organization back into compliance and prevent a reoccurrence. On the Spot Correction - A quick fix of a simple mistake or other apparent deviation which does not require additional follow up. Additional Training – Any training for individuals remediated through their organization’s approved training program, through another required training program for their job function or work environment (such as carrier or repair station employees receiving Security Identification Display Area (SIDA) or ramp driver training from the airport), or the FAA Safety Team (FAASTeam) remedial training (RT) process. We will discuss RT in more detail in a moment. Counseling - The common practice of counseling may be used by an Aviation Safety Inspector at any appropriate time to clarify a person’s understanding and convey regulatory information, best practices, or safety concerns/issues, including the recommendation of additional training or education where no regulatory deviation occurred. Improvements to Systems, Procedures and Training Programs – This applies to organizations such as certified flight schools and commercial operators. Sometimes procedures may need to be changed or updated to prevent or restrict operations that inadvertently lead to deviations. Next Slide

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. If the airman are proactive and has accepted their responsibility for the deviation as well as taken actions to address the problem, these actions, such as additional training, will be considered in the overall resolution of the issue. Next Slide

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 As part of the decision making process, the Aviation Safety Inspector must consider several factors that make an airman or organization a good candidate to recommend a Compliance Action as a solution to a regulatory deviation. The Presenter will cover the elements in the slide and can add some practical examples. A key element here is that the person must be willing and able to meet the standards of the certificate they hold. Next Slide

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). Remedial Training is one of the Compliance Actions under the category of “Additional Training” and can be used if the Aviation Safety Inspector and FAASTeam Program Manager feel that is it the most effective and efficient means to address the problem. It is important to understand that RT is a voluntary program and the airman or organization must agree to participate and accept all costs associated with completing the training recommended. They must also successfully complete the program or face other Compliance Actions or possibly enforcement. Next Slide

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 Discuss the different education outreach programs available to airman and organizations. Next Slide

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) Review the metrics relating to the implementation of the Compliance Philosophy as an indicator on how the Compliance Philosophy is shifting how deviations are being handled. Next Slide

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. Metrics Continued Next Slide

Reference Material FAA Webpage on Compliance Philosophy Link for FAA Administrator Huerta’s 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 Pilot’s Bill of Rights Brochure Additional resource material Link: www.faa.gov/go/cp Where to get more information on the Compliance Philosophy. Next Slide

Questions If time permits, answer any questions the audience may have. If you cannot answer the questions, advise participants that you will contact the appropriate Subject Matter Expert or the Compliance Philosophy Focus Team to get the answer.

Proficiency and Peace of Mind Fly regularly with your CFI Perfect Practice Document in WINGS If you’re not a WINGS instructor, we heartily recommend that you become one. It’s a great way to build risk management culture in your students. Here’s what we’re telling your students about WINGS: There’s nothing like the feeling you get when you know you’re playing your A game and in order to do that you need a good coach (Click) So fly regularly with a CFI who will challenge you to review what you know, explore new horizons, and to always do your best. Of course you’ll have to dedicate time and money to your proficiency program but it’s well worth it for the peace of mind that comes with confidence. (Click) Vince Lombardi, the famous football coach said, “Practice does not make perfect. Only perfect practice makes perfect.” For pilots that means flying with precision. On course, on altitude, on speed all the time. (Click) And be sure to document your achievement in the Wings Proficiency Program. It’s a great way to stay on top of your game and keep your flight review current. (Next Slide)

Thank you for attending You are vital members of our GA safety community Your presence here shows that you are vital members of our General Aviation Safety Community. The high standards you keep and the examples you set are a great credit to you and to GA. Thank you for attending. (Next Slide)

Compliance Philosophy For The CFI Next Slide