Appendix 14-3. Compliance Action Communication/Correspondence Guidelines
Flight Standards Service (AFS) personnel must use critical thinking to determine the appropriate level of external communication/correspondence necessary for each situation. Work
interdependently, keep your managers informed appropriately, and coordinate with the principal inspector (PI)/certificate-holding district office (CHDO) when applicable.
1. Verbal communication and written correspondence should set the right tone, be
consistent with the actions being taken, and nurture and reinforce effective safety reporting from airmen/organizations. Make a good faith effort to understand the position of the
individual/organization. Remember to communicate the agency’s position in a timely manner.
a. Be fair, reasonable, and just.
b. Assume positive intent.
c. Deviations must be identified, reported, and analyzed in a non-blaming manner.
d. Focus on problem solving.
e. Invite collaboration.
f. Consider all circumstances relating to the facts and circumstances.
2. Cooperative and engaged participants who fix identified issues on the spot may only require verbal notification versus
written correspondence from the Federal Aviation Administration (FAA).
3. Corrective actions that take time or are complex should be documented in writing.
4. Use plain language.
As described in
Volume 14, Chapter 1, Section 2,
the following information must be conveyed during verbal communication and/or written correspondence concerning a compliance action (CA) (except when there is repeated communication/correspondence
with the same entity and the information below has already been conveyed):
1. Initial communication and/or correspondence:
a. A statement that the event appears eligible (or may be eligible) for CA.
b. A statement that enforcement action is not being pursued based on known information.
2. Completion of a CA: A statement that the event has been closed as a CA
describing the type of action taken.
The following lists information that may be included with CA communications and/or correspondence. This is not all‑inclusive, and is not mandatory, as communication and/or correspondence
needs to be tailored to the specific situation.
1. Refer external stakeholders to
2. For individuals, a copy of the Privacy Act Notice (see Appendix
3. The Compliance Philosophy and Pilot’s Bill of Rights Brochure (see Appendix
4. A clear identification of the regulatory deviation(s).
5. A clear identification of any non-regulatory concerns/recommendations where improvements may be made or an opportunity exists
to enhance best practices.
6. Description of completed corrective action(s).
7. An indication that the FAA expects corrective action to address the root cause(s) that led to the deviation.
8. A clear suspense date for agreed-upon actions.
9. When applicable, a description of planned AFS followup or additional surveillance.