VOLUME 14 COMPLIANCE AND ENFORCEMENT
CHAPTER 1 FLIGHT STANDARDS SERVICE COMPLIANCE POLICY
Section 2 Flight Standards Service Compliance Action Decision Procedure
14-1-2-1 GENERAL. The Federal Aviation Administration’s (FAA)
central mission is to promote safety in civil aeronautics. The agency establishes
regulatory standards and requirements in Title 14 of the Code of Federal Regulations
(14 CFR) parts 1 through 199 under the statutory authority in Title 49 of the
United States Code (49 U.S.C.), Subtitle VII. Under 49 U.S.C. § 40113, the FAA
Administrator has broad authority to take action that the Administrator considers
necessary to carry out his or her statutory responsibilities and powers relating
to safety in air commerce, including conducting investigations; prescribing regulations, standards, and procedures; and issuing orders.
A. Purpose. This section provides the structure to guide Flight
Standards Service (AFS) personnel through AFS Compliance Policy implementation.
It outlines the process to address deviations from rules, standards, or procedures,
resolve them, and return the individual or entity to full compliance. This decisionmaking
structure requires an open and transparent exchange of safety information to
correct noncompliance and ensure that the risk of recurrence is acceptably mitigated.
The exchange of information should occur during interviews, in written statements, and in reviewing and providing supporting documentation, etc.
B. Scope. The use of Compliance Action (CA) is the initial means
of addressing all alleged, suspected, or identified instances of noncompliance.
(See paragraphs 14-1-2-7 and 14-1-2-9 for specific Aviation Safety Action Program
(ASAP) and Voluntary Disclosure Reporting Program (VDRP) requirements). CAs
will be used to correct all noncompliance and deviations until a determination
is made that CA is not appropriate. This includes apparent violations of regulations
and/or statutes as well as deviations from other established standards or procedures.
AFS personnel must keep the following in mind during all interactions with airmen and entities:
1) Except as described herein, where older AFS policy conflicts with
Volume 14, Chapter 1, Sections 1 and
newer policy must be followed until it is superseded.
2) When in doubt as to the appropriate course of action or policy
to follow, aviation safety inspectors (ASI) should work through their Front
Line Managers (FLM) and office managers with the appropriate policy owners for clarification.
Volume 14, Chapter 1, Section 1, provides
important background and reference information on the FAA Compliance Philosophy (CP) and the evolution of AFS Compliance
Policy and CA. Pilot’s Bill of Rights (PBR) notification must be provided as described in
Volume 14, Chapter 1, Section 1, subparagraph
Volume 14, Chapter 1, Section 3.
14-1-2-3 TASK PREREQUISITES AND SIGNIFICANT INTERFACES.
This task requires use of critical thinking, working interdependently, and completion
of formal and on-the-job training (OJT) for Compliance and Enforcement (or later replacement courses).
A. Significant Interfaces:
• Airmen/organizations/others involved with the apparent
noncompliance or deviation;
• FLMs and office managers;
• Principal inspectors (PI) and other certificate management
• Policy owners.
B. References (current editions):
1) FAA Order 8900.1:
• Volume 1, Chapter 2, The Federal Aviation Administration and
Flight Standards History, Organization, and Regulatory Responsibilities.
• Volume 1, Chapter 3, Inspector Responsibilities,
Administration, Ethics and Conduct.
• Volume 3, Chapter 19, Section 14, Safety
Assurance System: Remedial Training and Tracking—Part
• Volume 3, Chapter 60, Procedures for Aviation Safety
• Volume 5, Chapter 7, Reexamination of an Airman.
• Volume 7, Chapter 2, Instructions for Investigating a
Vehicle/Pedestrian Deviation (V/PD) by a Mechanic Taxiing an Aircraft on an Airport’s Movement Area, Section 1, General.
• Volume 10, Safety Assurance System Policy and Procedures.
• Volume 11, Chapter 1, Section 1, Voluntary
Disclosure Reporting Program for Air Carriers and Regulated Entities.
Volume 11, Chapter 2, Section 1, Safety
Assurance System: Aviation Safety Action Program.
• Volume 14, Compliance and Enforcement:
• Chapter 1, Flight Standards Service Compliance Policy.
• Chapter 2, Investigation and Enforcement-Related Tasks.
• Chapter 3, Special Considerations.
• Volume 15, Chapter 6, Section 1, FAASTeam
Program Manager/Regional FAASTeam Point of Contact Duties and Roles to Facilitate Remedial Training.
• Any task that identifies an apparent noncompliance or
2) Other Documents:
• FAA Program Tracking and Reporting Subsystem (PTRS) Procedures
Manual (PPM) (which includes information on releasability under the Freedom of Information Act (FOIA)):
• FOIA Exemptions Summary Sheet:
• Pertinent Federal aviation statutes and regulations.
C. Additional Policy Guidance (current editions):
• FAA Order
Compliance and Enforcement Program.
• FAA Order
8000.88, PRIA Guidance for FAA Inspectors.
• FAA Order
Aviation Administration Compliance Philosophy.
1) Actions for Organizations. This includes improvements to systems,
procedures, operating practices, or training programs. This also includes restricting
or removing authority through operations specifications (OpSpecs) to manage
operational risk in the public interest, and communicating risk to the certificate holder.
FAA actions for regulatory deviations may be documented in PTRS using the *752 “OTHER” or *753 “CONVENE SAT” CA activity numbers.
2) 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. See subparagraph 9) below for the definition of RT and
Volume 14, Chapter 3, Section 2 for
3) Compliance Action (CA). Action taken by AFS personnel (not
the certificate holder) to (1) correct an airman/organization/noncertificated
person’s deviation from standards when the deviation was not a result of intentional,
reckless, or criminal behavior, or a pattern of negative behaviors or performance;
or (2) communicate nonregulatory safety hazards, risks, concerns, or recommendations. See subparagraph 14‑1‑2-7D1) for exclusions.
NOTE: Distinct CA PTRS records are only created to document regulatory
deviations. When a nonregulatory or nonstatutory deviation or safety recommendation/concern
is documented in the PTRS, it must be distinguished from regulatory/statutory
deviations per subparagraph 14-1-2-9B. The recommendation/concern comment may
be made in the PTRS or Safety Assurance System (SAS) record for the underlying
activity which led to the discovery, or added to a related regulatory CA activity record.
4) Corrective Action. Action taken by airmen/organizations/noncertificated
persons (not AFS personnel) to correct a noncompliance with a rule or deviations from standards or procedures and to mitigate hazards/risks.
5) Counseling. Oral or written counseling of airmen, organization
personnel, or noncertificated National Airspace System (NAS) participants such
as passengers. The common practice of counseling may be used by an ASI 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. However, PTRS
CA Counseling *750 activity records are only created for deviations from statutory or regulatory standards.
6) Education. Providing or making referrals to safety, training,
or other aviation educational resources, such as those found at
other publicly available sources, to share best practices or recommend additional
study in areas of identified risk. Education is recommended when knowledge,
skill, or system/process improvements would be beneficial. It can be used in
conjunction with a CA or Enforcement Action, or recommended when no regulatory/statutory deviation has occurred.
7) Enforcement Action. Formal administrative and legal enforcement
actions taken in accordance with Volume 14, Chapter 2 and Order
Actions are not CAs as described in this order.
8) On-the-Spot Correction. A quick fix of a simple mistake or
other apparent deviation which does not require additional followup. The fix
must be observed or verified by the ASI. Examples include adding missing information
or a signature to an incomplete form; retrieving a certificate from home or
receiving temporary authority from the Airmen Certification Branch (AFS-760)
before exercising certificate privileges; stowing luggage or equipment blocking
an emergency exit; correcting an incorrect instrument setting; or installing
missing fasteners. On-the-spot may be selected any time it is used within SAS;
however, a PTRS CA on-the-spot *751 activity record is only created for deviations from statutory or regulatory standards.
9) Remedial Training (RT). A form of CA which uses education and training
to allow airmen who have committed an inadvertent apparent deviation to enhance
their knowledge and skills. RT is a program authorized as described in
Volume 14, Chapter 3, Section 2 and
administered by the FAASTeam per
Volume 15, Chapter 6, Section 1 that
ASIs recommend for certificated airmen when training is the appropriate action to take for a deviation from statutory
or regulatory standards. Use of RT requires coordination between the referring
ASI and the FAASTeam through office management. RT as defined above generally
excludes airmen who were using their certificates subject to an approved training
program at the time of the apparent deviation. Those airmen should be remediated
through their organization’s approved training program. See documentation instructions in subparagraph 14-1-2-9F4)h) and
Volume 14, Chapter 3, Section 2 for
additional information and exceptions.
E. PTRS and SAS Reporting. CAs used to correct statutory or regulatory
noncompliance must be recorded in PTRS using the activity numbers in subparagraph
14-1-2-9E. When SAS data collection and surveillance leads to discovery of a
regulatory noncompliance, a PTRS record is required to document the CAs taken
to correct the issue in addition to the SAS documentation required by Volume 10.
14-1-2-5 PROCESS FLOW MAP.
Figure 14-1-2A. Compliance Action Decision Process
A. Notification. Communication at initial notification should
match the specific facts and circumstances. For example, the immediate verbal
notification provided during a ramp check that results in an on-the-spot correction
may be all that is necessary. However, significant safety hazards and ongoing
operational risks discovered during surveillance of an organization would likely
require immediate contact via telephone or other means, and be followed up in writing (through the PI, when appropriate).
1) Address Immediate Safety Concerns. ASIs should take immediate
action to mitigate significant safety hazards and ongoing operational risks.
Therefore, when an ASI becomes aware of an immediate safety concern, he or she
must take timely steps to notify the airman or responsible person who can take the appropriate action to prevent it from continuing.
2) Non-Immediate Issues. ASIs have more time to fully understand
actual or apparent deviations that have terminated (e.g., pilot deviations)
where no immediate threat to the NAS exists. In these cases, the ASI may exercise
judgment on whether or not it is prudent to immediately contact the airman or responsible person.
3) PBR. For transparency, a CP and PBR Brochure (see Appendix
14-1, Compliance Philosophy and Pilot’s Bill of Rights Brochure) has been developed
and must be used when conducting CA investigations. Formal notification with
a Letter of Investigation (LOI) (including PBR text for airmen) is only required for Enforcement Action (see
Volume 14, Chapter 1, Section 1, subparagraph 14-1-1-11G and
Volume 14, Chapter 1, Section 3 for
due process and the CP/PBR Brochure).
4) Coordination. If the event involves an organization, the ASI
must notify the appropriate oversight office concerning the noncompliance and
any action that was taken to address an immediate safety concern. The oversight
office may take over and continue the appropriate process. In all cases, ASIs
should work interdependently, keep their FLM informed appropriately, and coordinate
any follow-up communication with the PI/certificate-holding district office (CHDO).
5) Checking Compliance History. ASIs must check surveillance,
CA, and enforcement histories of certificated and noncertificated persons/entities
prior to making or communicating final CA decisions. This does not preclude
an ASI from making an on-the-spot-correction or providing immediate counseling.
In all cases, the ASI must inform the person/entity that further action may be required after history is checked.
6) Timely Processing. In all cases, the goal is to restore compliance
now and for the future. Regardless of whether the event requires immediate notification
to the regulated entity, the remaining procedures in this section should be
completed in a timely manner. When addressing regulatory and/or statutory noncompliance,
it is important to determine eligibility for CA as early as possible and to
determine the appropriate type of correspondence needed with the airman/entity.
For airmen, the National Transportation Safety Board (NTSB) 6-month-stale complaint
if certificate action is to be taken. The ASI should keep their FLM
informed of their activities and, when applicable, coordinate certificate holder communication with the PI/CHDO.
7) ASAP Considerations. The investigating ASI must determine
whether the entity has an ASAP covering an involved employee group by accessing the AFS ASAP web page
at http://www.faa.gov/about/initiatives/asap/media/asap_participants.pdf. See
Volume 11, Chapter 2, Section 1 for
more CHDO coordination information.
8) Initial Documentation Considerations. When FAA action is necessary
to correct a regulatory deviation, the appropriate CA or Enforcement Action
PTRS record should be created (although not necessarily completed) within 3
business-days of the ASI’s determination per PPM guidelines.2
B. Investigate, Analyze, and Assess the Problem. The procedures
in this paragraph are designed to aid in the Root Cause Analysis (RCA) of the
apparent deviation. FAA safety personnel must identify who did what, where,
when, and why. Determining why the event happened and identifying the underlying
root cause(s) is the purpose of the investigation. Compliance will only be ensured
if the cause(s) of the event are clearly established, understood, and corrected.
When a regulatory deviation is identified and associated with an entity, the
ASI must consult with the PI/CHDO to make this assessment, or provide information for the PI/CHDO to make the assessment.
NOTE: ASIs must continue to gather information and remain engaged with
the responsible parties in order to conduct a thorough and unbiased investigation.
1) Gather the Facts. Consider taking the following suggested
actions, based on the ASI’s determination of the information needed in each specific situation. This list is neither mandatory nor all‑inclusive:
a) Reviewing records, including air traffic control (ATC) forms and data from the Knowledge Services Network (KSN).
b) Reviewing technical documents (e.g., manufacturer’s maintenance manuals,
Airplane Flight Manual (AFM), or Rotorcraft Flight Manual (RFM)).
c) Interviewing the party or parties involved (acquiring witness statements, if necessary).
d) Acquiring technical information from other agencies (e.g., the National Weather Service (NWS) and ATC).
e) Inspecting and taking photographs of items associated with the event,
including physical evidence such as skid marks or damaged parts.
2) Ask the Questions. Consider the following suggested lines
of inquiry, based on the ASI’s determination of the information needed in each specific situation. This list is neither mandatory nor all‑inclusive:
a) Objective description of the event: what happened?
b) What possible outcome(s) could have resulted?
c) Why did the people involved select that course of action?
d) What was the operation being done or attempted?
e) What was the expected process/procedure?
f) What information was available to the individual(s) involved about the task/operation?
g) What were the conditions?
• Task complexity;
• Personal and organization interfaces;
• Physical working environment;
• Competency of individual(s) involved (i.e., knowledge,
training, experience related to the task/operation);
• Availability, quality, and clarity of technical and
• Availability of supervision or consultation with others;
• Adequacy of resources (e.g., tools, facilities, personnel,
• Constraints (equipment; time; environmental conditions;
other rules, e.g., environmental, occupational); and
• External pressures (e.g., time pressure, production, service
demands, and organizational policies).
h) What controls were in place?
• Controls that could have prevented the error/failure; and
• Remaining controls that prevented the error/failure from
having a more severe outcome.
i) Why were the controls that failed ineffective (in the opinion of the interviewee or the evaluator conducting the analysis)?
j) Recommendations for improvement (in the opinion of the interviewee or the evaluator conducting the analysis).
3) Analyze the Event.
a) Critical thinking involving careful, objective analysis is the key to
understanding the event. Analysis of each event should focus on determining
the nature of the problem, the conditions under which it occurred, the controls
that failed (and may fail again in the future), and the most effective proposed corrective action(s).
b) Before deciding on CA as the mitigation, determine if the airman/organization
is proactive, cooperative, and capable of participating in effective corrective
or preventive action. An inability to comply requires a more formal process of correction.
NOTE: An entity’s refusal to speak with the FAA, or the obtaining of
legal counsel, does not automatically rule out CA. 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.
However, if the ASI cannot adequately determine the facts of the case, or cannot
identify appropriate remediation(s) that are consented to and successfully accomplished
by the involved parties, the ASI must still use due diligence on behalf of the
public’s safety interest. Such due diligence may include reexamination, re-inspection,
or suspension pending compliance to determine that the certificated entity is qualified, competent, and proficient.
c) The determination must be based reasonably on observable behaviors and the facts and circumstances in each case.
• Does the airman/organization consistently perform in a
positive manner toward regulatory requirements?
• Does the airman/organization understand or recognize its
role in the deviation?
• Does the airman/organization cooperate with FAA personnel
to achieve compliance?
• Does the airman/organization take the necessary actions to
come into and maintain compliance?
• Are there repeated failures to take corrective actions or
• Is the airman/organization noncompliant in more than one area?
Does it involve multiple personnel?
NOTE: The fact that multiple areas or personnel are involved may indicate
a management or system failure (unsatisfactory supervision/procedures, misplaced priorities, goal conflicts, etc.).
d) ASIs should assess all available facts and circumstances associated with
current and previous deviations. ASIs should evaluate the event
for possible systemic issues; this is particularly important for a frequently cited regulation.
e) Depending upon the specific circumstances associated with each event,
repeated deviations from the same regulation may not indicate a common systemic
failure. Often on the surface it appears that the same regulation is being repeatedly
violated due to the broadly defined wording of most regulations. However, every
situation has a unique set of facts. A review of the specific circumstances may find that the deviations are due to entirely different causes.
f) Effective corrective action begins by clearly defining the real problem.
Additional CA can be taken in cases where the actual root cause was not previously
identified and addressed. Recurring findings often happen because an organization:
1. Solved the wrong problem;
2. Fixed the outcome only;
3. Fixed the symptoms only; or
4. Corrected only one problem, when two or more problems exist.
C. Is There Compliance? Once the problem is completely understood,
review the regulations applicable to the event. The following question can now be answered: Is there regulatory and statutory compliance?
1) If Yes (A Regulatory/Statutory Deviation Did Not Occur).
The CP and policy should be applied to address safety concerns in the NAS where
no clear regulatory requirement exists.3 AFS personnel can communicate or transfer risks
and make recommendations to regulated and nonregulated entities and document
those AFS actions as described in this section. Document these nonregulatory
concerns, potential risks, or recommendations in the PTRS (and/or SAS as appropriate)
within the activity that led to the discovery per subparagraph 14-1-2-9B. Include
all ASI and/or certificate holder actions to communicate or transfer the concerns/potential
risks and to correct the identified problem(s). Coordinate communication to
the certificate holder with the PI/CHDO and notify the PI, CHDO, and/or the
FLM of any concerns or risks. In communications with the certificate holder,
clearly identify that FAA concerns/recommendations are to make improvements or use best practices, but they are not regulatory requirements.
2) If No (A Regulatory/Statutory Deviation Did Occur).
Determine the most efficient and effective course of action to reestablish compliance.
CA should be used if the individual or entity sufficiently meets the criteria
of subparagraph 14-1-2-7B3) above, and the noncompliance does not entail intentional, reckless, or criminal behavior (see
Volume 14, Chapter 1, Section 1, subparagraph
3) Additional Considerations for Regulatory/Statutory Noncompliance.
a) For events that have ceased, the question, “Was There Regulatory/Statutory
Compliance,” is still appropriate to ask in this step. The noncompliance does
not have to be occurring at the present time in order for a CA to be documented.
b) There may be instances where an ASI becomes aware of a deviation that
has occurred after the airman or responsible person has taken steps to address
the noncompliance and prevent its reoccurrence. The procedures in this section
must still be completed (in coordination with the PI/CHDO, when applicable)
to decide if the appropriate fix to the problem has been applied, to determine
if any validation or followup surveillance is needed, and to document the issue.
1. If sufficient corrective action has been taken or implemented by
the airman or responsible person, the ASI can document the action(s) using the *752 “Other” PTRS activity code.
2. Determine whether additional validation or followup surveillance
is needed and plan/document accordingly. This should be done in coordination with the PI/CHDO when applicable.
3. If the corrective action taken by the airman or responsible person
is not adequate to the address the underlying root cause(s) of the noncompliance, the ASI may take additional action as described in this section.
D. Is CA Appropriate?
1) Potential Exclusions. CA may not be appropriate based on the
specific facts of the event under review, or because of other policies or commitments that require a different agency response, as described
in Volume 14, Chapter 1, Section 1 and
this section. AFS must follow policy and process commitments made to Congress, the Inspector General (IG), and other
external parties. Examples include, but are not limited to, Airworthiness Directives
Aviation Safety Reporting Program (ASRP),6 flight operations quality assurance
(FOQA),7 all noncompliance by military and foreign
pilots,8 Special Emphasis Enforcement
VDRPs.10 See subparagraphs 14-1-2-7A7) and 14-1-2-9A
for additional ASAP and VDRP requirements, and
Volume 14, Chapter 1, Section 1, subparagraph
14-1-1-7E on enforcement action.
2) If Yes (CA Is Appropriate). Take appropriate CA, such as:
a) On-the-spot correction, counseling, or education;
b) Additional training (requires interface with PI/CHDO when applicable), or RT for airmen;
c) Improvements to systems, procedures, operational practices, or training
programs for regulated entities (requires interface with PI/CHDO);
d) Documenting corrective action that may have already been initiated or implemented by the airman or entity; and
e) Any other action that would correct the noncompliance and address the underlying safety concern.
3) If No (CA Is Not Appropriate). Take appropriate action. Refer to Volume 14, Chapter 2, and Order
initiate Enforcement Action.
E. Is the Problem Fixed?
1) Plan Followup Surveillance Activities. The ASI will validate CA, or Enforcement Action, effectiveness when necessary.
a) Followup is normally not needed for simple mistakes, lack of understanding,
or diminished skills which have been corrected with on-the-spot corrections,
oral/written counseling, or (for General Aviation (GA) airmen) RT completed per Volume 15, Chapter 6.
b) Company program, manual, or procedure changes normally require followup
to validate that the change is put in place and that it has the intended result
(coordinate with the PI/CHDO). If followup activities have been created and
linked to the original CA or Enforcement Action record in comments and there
is no other reason to keep the original record open, the original record may be closed.
c) The ASI must consult on proper followup and documentation with his or
her FLM when complex or long-term followup is needed, and with the appropriate
PI/CHDO when an air agency/carrier/operator or letter of authorization (LOA) holder is involved.
2) If Yes (The Problem Is Fixed). Close the CA PTRS with documentation, as described in paragraph 14-1-2-9.
3) If No (The Problem Is Not Fixed). Is further CA appropriate and warranted?
a) If yes, document within PTRS the additional CAs necessary to ensure the
effectiveness of root cause fixes. Continue followup.
b) If no, then an unsuccessful CA has occurred (e.g., the airman chooses
not to participate, is unable to take effective corrective action, or new information/behavior
makes CA inappropriate). Terminate the CA PTRS record and initiate Enforcement Action in accordance with Volume 14, Chapter 2, and
Order 2150.3. Trigger
the enforcement PTRS record from the CA PTRS record. (See additional PTRS documentation
requirements in paragraph 14-1-2-9.) Regardless of the enforcement action outcome,
continue communicating with the certificate holder to mitigate the safety issues
involved to an acceptable level (i.e., return the certificate holder to compliance and prevent recurrence).
NOTE: Unless opened in error (see subparagraph 14-1-2-9K), a terminated CA requires Enforcement Action. (See
Volume 14, Chapter 1, Section 1, subparagraph
Chapter 1, Section 3 for
the CP/PBR Brochure and due process considerations and subparagraph 14-1-2-9I
for additional policy on Compliance Actions with Unsuccessful Corrective Action Completion.)
F. External Communication/Correspondence. The steps discussed
in the Compliance Action Decision Process (CADP) are meant as an aid for addressing
noncompliance. Based on the particulars of each case, AFS personnel are expected
to use the most efficient and effective means to find and fix the safety issue(s).
AFS personnel must use critical thinking and interdependence to determine the
appropriate level of external communication/correspondence necessary for each
situation and the specific facts involved. Refer to the communication/correspondence
guidelines in Appendix 14-3, Compliance Action Communication/Correspondence Guidelines.
1) The following information must be conveyed during verbal communications
and/or written correspondence concerning a CA (except when there is repeated
communication/correspondence with the same entity and the information below has already been conveyed):
a) Initial communication and/or correspondence:
1. A statement that the event appears eligible (or may be eligible) for CA.
2. A statement that enforcement action is not being pursued based on known information.
b) Completion of a CA. A statement that the event has been closed as a CA describing the type of action taken.
2) Corrective actions that take time or are complex in nature
should be documented in writing (email or letter as appropriate to the facts
and circumstances), including FAA expectations and clear suspense dates for responses.
3) Communication/Correspondence to an organizational entity that
extend beyond addressing the immediate safety concerns must be coordinated with the appropriate PI/CHDO.
4) If an email or letter is sent to an individual (not an organizational
entity) requesting information, the CP/PBR Brochure (see Appendix 14-1) and
the Privacy Act Notice (see Appendix 14-2, Privacy Act Notice) should be included.
5) Follow existing AFS and office policies for correspondence and record retention.
NOTE: Under the current expunction policy and retention schedule, there is no authority to destroy records related to CAs.
14-1-2-9 PTRS/SAS CA RECORD DOCUMENTATION REQUIREMENTS.
A. ASAP and VDRP Data Protected from Disclosure. An impediment
to further development of voluntary information sharing programs is the reluctance
of some persons to share information that may later be released through a FOIA
request or other means. For that reason, the legal protections cited below were put in place.
1) All records submitted to the FAA for review regarding ASAP,
including information predicated upon the ASAP report, are protected from release
to the public in accordance with the provisions of the current edition of FAA Order
of Aviation Safety Action Program (ASAP) Information as Protected from Public Disclosure under 14 CFR Part
2) All records submitted to the FAA for review regarding VDRP,
including information submitted via the web-based VDRP system, are protected
from release to the public in accordance with the provisions of the current edition of FAA Order
of Voluntary Disclosure Reporting Program (VDRP) Information as Protected from Public Disclosure under 14 CFR Part
3) For the reasons cited above, no CA PTRS records will be completed
for an accepted ASAP or VDRP event. ASAP and VDRP corrective actions documentation
and PTRS requirements for accepted and excluded reports are detailed in Volume 11 and
Volume 14, Chapter 3, Section 12. Additional
information on ASAP and VDRP documentation is found in N 8900.352.
B. Documentation for Nonregulatory/Nonstatutory Issues or Events. As noted
in Figure 14-1-2A, Compliance Action Decision Process, there is the potential
for an ASI to have concerns or recommendations, following a surveillance or
other encounter with an airman or other entity, that do not involve regulatory or statutory noncompliance.
1) If there are no other regulatory/statutory findings, do not
create a CA PTRS record. These concerns/recommendations are documented in the
primary activity record (in the appropriate SAS comment field as described in
the next paragraph, or in the surveillance or other PTRS record). In both SAS
and PTRS, clearly identify and document these nonregulatory concerns/recommendations
in a comment (in PTRS, using a separate comment with the appropriate primary
area code, a keyword list of “911,” and an opinion code of “I”). If CA is taken
for other regulatory or statutory findings, additional concerns/recommendations
may be documented in the same CA PTRS record in a separate comment coded as
described above. Documenting these concerns will help the FAA identify potentially systemic issues during future activities.
2) Nonregulatory safety concerns and/or recommendations with
no apparent regulatory or statutory deviation are documented in the SAS record
for the underlying activity that led to identification of the concern (such
as a Design Assessment (DA)/Performance Assessment (PA) or random inspection
(RI)) in accordance with Volume 10 policy using the “Inspector Action Taken”
field when available, or the “Supporting Comments” field.
3) See additional documentation requirements in subparagraph 14-1-2-9F below.
C. General Requirements for Documenting Regulatory/Statutory Deviations.
All CAs for regulatory or statutory deviations (by all ASIs, including those
primarily using SAS) will be documented with a PTRS record using the activity
numbers in subparagraph 14-1-2-9E and as outlined in the PPM. A distinct PTRS
record will be created for each airman and organization involved. Multiple specific
CAs for the same airman/entity may be used when appropriate. If at least one
specific CA activity number is used, any additional actions for the same certificate
holder or person may be documented with separate comments in the same PTRS record.
1) When a CA PTRS is completed, the comments must provide a description
of the problem, the overall planned corrective action, and show how the deviation
was permanently fixed, which may require linking the record to future followup activities.
2) ASIs must make quality entries and FLMs must verify that all
CAs recorded in PTRS answer the questions of “Who, What, When, Where, and
Why,”11 including each root cause that
led to the deviation. Once the cause(s) are clearly identified and documented,
the comments must document the immediate as well as long‑term corrective actions
(see subparagraphs 14-1-2-7E1) and 14-1-2-9H for discussion of followup). Documentation
must be clear and stand alone in later history searches, showing the noncompliance
stopped and that any fixes put in place to prevent recurrence were effective.
The answers to these questions and requirements should be readily identifiable.
A complete and comprehensive report demonstrates that a quality work activity was performed.
D. Multiple Records Requirement. PTRS records used to document
the CA are not a replacement for the record used to document the primary activity
(such as surveillance or accident investigation) during which the deviation was found.
1) If an ASI finds a deviation during (for example) a routine
facility inspection (other than a joint audit per Volume 11) and determines
that CA is appropriate to address the deviation, then the ASI would complete a PTRS record for both the facility inspection and the CA.
a) The PTRS generated for the CA should be triggered from the PTRS record
for the primary activity. The parent transmittal record ID number will appear
automatically in the “Related Record” field of the triggered CA record.
b) The ASI must manually enter tracking of triggered record(s) in the parent
record. The activity number(s)/record ID(s) of the triggered record(s) should
be entered in the comment section using the appropriate Primary Area, Keyword
“907,” and Opinion Code “I,” per the PPM, Chapter 4, Recording PTRS Activities.
Refer also to the PPM, Appendix B, How to Tie Records to Their Followups, for triggering and linking records.
c) The parent surveillance or other PTRS record which led to the discovery
is closed with a results code of “F” for followup when CA(s) is (are) taken. The parent record may be closed before the CA is completed.
d) If, however, any enforcement action is taken as an initial result of
the parent activity, the parent PTRS record is closed with a results code of
“E” for enforcement. Multiple actions for one event, such as separate enforcement
actions for a company and captain and a CA for a first officer, are triggered (if possible) from the same parent PTRS record.
2) There may be instances where it is appropriate to take a CA
to address noncompliance for an organization, and, additionally, take CA for
personnel working for that organization. Separate CA PTRS entries are created
for each entity or person that receives a CA. If possible, trigger the CA PTRS
records from the single parent record as described in the paragraph above. Coordinate
any followup and non-immediate communication with the PI/CHDO when applicable.
E. Appropriate Activity Code. Choose the appropriate PTRS INVESTG/COMPLIANCE
ACTION to document responses to the regulatory or statutory deviations. (See
subparagraph 14-1-2-9B for documenting nonregulatory responses.) See definitions
in subparagraph 14-1-2-3D for additional information. Activity Numbers are as
follows, with the asterisks representing a 1, 3, or 5 (Operations 1000-series, Maintenance 3000‑series, and Avionics 5000-series):
NOTE: CA PTRS records will not be created for accepted ASAP or VDRP reports.
1) *749 Additional Training. All additional training processes documented by non-FAASTeam ASIs per this order. See
Volume 14, Chapter 3, Section 2, for
additional information and see RT documentation instructions in subparagraph 14-1-2-9F4)h).
2) *750 Counseling. Applies to any person participating in the
NAS. Used to document oral or written counseling of individuals for deviations from regulatory or statutory standards.
3) *751 On-the-Spot Correction. Used to document correction of
regulatory or statutory deviations that meet the subparagraph 14-1-2-3D definition.
4) *752 Other. For regulatory CAs that do not fit in another
specific category. May also be used when appropriate to document corrective
action(s) initiated or completed by airmen/organizations prior to the FAA’s discovery of the deviation.
5) *753 Convene SAT. Used by SAS ASIs only when choosing to convene
a System Analysis Team (SAT) in response to a safety concern or deviation.
F. Required Fields. Complete all required fields in the PTRS
record and include the following information in accordance with the PPM chapter 4.
NOTE: Unless discovered and documented in SAS as described in subparagraph
14-1-2-9G, nonregulatory safety concerns and/or recommendations with no apparent
regulatory or statutory deviation are documented in the PTRS record for the
activity that led to the discovery using the same criteria below for regulatory noncompliance, except where noted below.
1) Section I: “Who” was involved; the four-letter designator
for an entity or the certificate number and name for an individual airman.
2) Section II: Include additional relevant personnel information
(such as an instructor or additional crewmember involved) as described in the
PPM at page 4-17, subparagraph B, including any certificate number(s) in the “Remarks” field (additional “Who” involved).
3) Section III: Include any relevant information.
4) Section IV: Include comments which document the following:
a) “What” happened: Describe the noncompliance event, the specific regulatory
requirement (SRR) (including the rule or statute citation), and how the requirement
was not met. Include additional “When” and “Where” details not captured in Section
I, and explain the role of all personnel involved or listed in Section II. For
nonregulatory safety issues, concerns, or recommendations, the SRR is not required; describe what happened to raise the issue.
b) All identified hazards or ineffective risk controls, including behaviors, that led to the issue.
c) (Regulatory findings only.) “Why” it happened: A brief summary of the
analysis and a listing of the underlying root cause(s) that resulted in noncompliance.
The ASI should critically review and validate any analysis or root cause(s) provided by a certificate holder.
d) The mitigating or corrective action(s) taken by the person/entity to
correct the problem, if any, and when those action(s) were taken.
e) (Regulatory findings only.) Whether the person/entity completed all corrective action(s) to the FAA’s satisfaction.
f) Whether any other FAA action was taken or is still required (additional
followup, reexamination/re-inspection, enforcement, etc.), including the ASI’s
recommendations on the controls, monitoring, and feedback required to mitigate risks and ensure compliance.
g) If applicable, document use of SAS risk management process (RMP) or SAT.
See the definition in subparagraph 14-1-2-9G2) specific to the “Convene SAT” PTRS activity.
h) If used, RT under Volume 15 must be noted in the *749 “Additional Training”
CA PTRS record comment section, including details of the referring ASI’s offer
of RT and acceptance by the airman and the FAASTeam Program Manager’s (FPM)/Regional
FAASTeam Point of Contact’s (RFPOC) *950 PTRS activity’s full record ID number.
The referring ASI’s record must remain open until the RT process outcome is known
from the FPM/RFPOC and documented by the ASI in the “Additional Training” record.
See Volume 14, Chapter 3, Section 2, and
Volume 15, Chapter 6, Section 1 for
i) If applicable, related PTRS records must be linked with coded comments
per subparagraph 14-1-2-9D1) above (keyword “907-I”).
j) When completed, ASIs should review the record(s) and subparagraphs 14-1-2-9C1)
and 14‑1‑2-9C2) to verify they have completed an adequate compliance history
record for future review as to what the problem was and how it was fixed.
G. SAS Instructions. CA PTRS records recorded in SAS comment fields will
include “CAPTRS” (without quotes or spaces) and the full record transmittal ID number as shown in this example: CAPTRSEA61201512345.
Compliance Action PTRS
Unique record identifier
1) SAS users must use CA and document PTRS numbers in accordance with Volume 10, Chapters 5 and 6, and Volume 14.
2) If a SAT is used, create a “Convene SAT” PTRS record with
sufficient comments to describe the reason for convening the SAT and to locate
the SAT record in SAS. SAT activities and outcomes only need to be documented
in SAS, not the PTRS record. This will provide PI visibility to the CA within
the SAS data, and also office/national visibility for identified concerns within the PTRS data.
3) All SAS ASIs directly conducting surveillance (Module 4, including
principal and non-principal personnel) should take appropriate CAs (such as
on-the-spot corrections) for regulatory deviations when and where issues are
identified. Use the “Inspector Action Taken” field, if available in the Data
Collection Tool (DCT) being used, to describe the issue and include CAPTRS and
the full PTRS record ID number for CA taken. If that field is not available
(i.e., in a Random, En Route, or Custom DCT), use the “Supporting Comments”
field. In all instances, the important thing is to fix the immediate safety issue and document it per general
Volume 14, Chapter 1, Section 2 and
Volume 10 guidance in PTRS. Notify the PI per
Volume 10, Chapter 5, Section 1.
4) PI: During Module 5 Analysis, Assessment, and Action (AAA),
the PI identifies issues requiring action/followup and tracks them with the
Action Item Tracking Tool (AITT), which may include a CAPTRS created and entered
in Module 4 by the PI or another ASI. When a PI identifies a new regulatory
deviation from AAA requiring additional action or followup, the PI creates a
new CA record and enters “CAPTRS” and the full PTRS record ID number in the
AITT in the “Explanation” field, under “Action Justification.” When the PI assesses
a regulatory deviation has occurred and selects either a “3 Regulatory Issues”
or “4 Regulatory/Systemic Issues,” then the “Action Justification” field and the AITT must contain the PTRS record transmittal ID.
See Volume 10, Chapter 6, Section 2.
H. Followup Surveillance Activities. When additional followup
is required and is able to be completed soon by the discovering ASI, the initial
CA PTRS record can remain open to document any short- or mid-term followup validation
required. For complex or long-term followup, trigger (if possible) any additional
followup surveillance activities needed to validate CA effectiveness from the
CA PTRS record, then close the CA record as completed with a comment linking it to the planned follow-up activity. (See step E in Figure 14-1-2A.)
1) If followup confirms compliance, close the PTRS. Document
SAS records as described above and in accordance with Volume 10 policy.
2) If followup fails to confirm full compliance has been restored,
reevaluate if CA or Enforcement Action is appropriate. (See step E in Figure 14-1-2A and subparagraphs 14-1-2-7D and 14-1-2-7E above.)
I. CAs with Unsuccessful Corrective Action Completion.
1) If agreed-upon corrective action(s) were implemented but failed
to achieve their intended purpose, revised or additional corrective actions
should be developed and implemented. This is a normal and expected process that
should be documented in either the original CA PTRS record comments or in the comments of triggered followup surveillance PTRS.
2) When the airman/entity fails to complete agreed-upon corrective
actions to the FAA’s satisfaction, the ASI documents the situation as follows:
a) Provide the details in the CA PTRS as described in subparagraph 14-1-2-9F4).
b) Terminate the CA PTRS record with a “T” in the results code.
c) Trigger any resulting Enforcement Action PTRS record from the parent CA PTRS record.
d) Link the records per subparagraph 14-1-2-9D.
e) Document related FAA and certificate holder mitigation actions in the enforcement PTRS record.
J. Data Quality Guidelines, Review, and Job Aid.
1) ASIs must make timely entries that meet the criteria in subparagraph
14-1-2-9F and answer the questions of “Who, What, When, Where, and Why” as described
in the PPM. A complete and comprehensive report demonstrates that a quality work activity was performed.
2) FLMs, or other delegated personnel, must review all regulatory/statutory
CA records to assure policy is followed and that records are clear and complete
enough to stand alone as useful information when accessed in the future. The
answers to the questions and requirements in subparagraphs 14-1-2-9C and F should
be readily identifiable to others without first-hand experience with the facts.
3) Appendix 14-4, Compliance Action Documentation Review Job
Aid, contains a job aid and additional references to assist the ASI in creating
quality entries, help others perform efficient reviews, and provide a standardized mechanism for providing feedback concerning documentation requirements.
K. CA Records Opened in Error. If a PTRS record is opened in
error, terminate the CA. This may be done when the identified noncompliance
is later proven incorrect, when a requirement to take enforcement action is
later discovered, or for other reasons requiring the activity to be terminated.
1) Close the PTRS record with a “T” in the results code.
2) Provide with explanatory comments including applicable parts
of subparagraphs 14-1-2-9F4)f), i), and j). The rest of subparagraph 14-1-2-9F4) no longer applies.
14-1-2-11 TASK OUTCOMES. The completion of this task results in:
• ASIs using critical thinking and working interdependently
to find and fix safety problems in the NAS as efficiently and effectively as possible;
• Conserving FAA resources by using the most effective means
to return an individual or entity that holds an FAA certificate, approval, authorization, or license to full compliance and to prevent recurrence;
• Increased cooperation from airmen and entities when
interacting with ASIs; and
• Increased voluntary compliance with FAA regulations.
14-1-2-13 FUTURE ACTIVITIES.
A. Analysis and Interdependence. “ASIs should continually analyze
data available on their assigned [certificates for] trends, findings or problem
areas that may point to issues regarding compliance and that may require corrective
actions. Inspectors should also make recommendations to management for changes
in [surveillance plans and policies] if adverse patterns, trends, or problem
areas are discovered. Inspectors should coordinate their findings with the supervisor
and office manager [and the PI/CHDO, when applicable] when potential adverse
safety data is detected and make adjustments to their work program as necessary.”12
B. Enforcement Cases Reconsideration. There may instances where
initiated enforcement cases are later determined to be eligible for CA. See
Appendix 14-5, Guidance for Review of Enforcement Cases Under the FAA’s Compliance Philosophy, for additional guidance.
C. Other Activities:
• Continue followup when appropriate to validate that
airman/organization corrective actions were effective;
• Search the National PTRS (NPTRS) data for prior CA records
and other record keyword 907/911 comments when responding to new suspected or actual airman/organization noncompliance or deviations;
• Review SAS Module 4 and 5 reports and the Short Term
Solutions (STS) Reports, especially the SAS Compliance and Enforcement Action Comprehensive
Report. Periodic review of these reports can help identify SAS documented CA data (see
Volume 10, Chapter 6, Section 1); and
• Initiate Enforcement Action when CA is not appropriate or
14-1-2-15 through 14-1-2-29 RESERVED.