Risk-Based Decision Making
(RBDM)
– Strategic initiative of the Administrator
– Encourage Data-Sharing between FAA and Industry
– Performance-based oversight methodology
– Integrated and collaborative approach to system
safety oversight
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Administration
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RBDM
– When fully implemented, the RBDM Initiative
will enable the FAA to make smarter, riskbased decisions to improve safety in the
aviation system.
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Administration
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RBDM
– Common Themes
• Apply SMS-like principles to certificate holders
– Certificate holders identify and mitigate risks
within their organizations that could have an
adverse impact on safety (although those
risks may not constitute regulatory
noncompliance).
• Certificate holders encouraged to share data with
FAA without fear of enforcement action.
• FAA allocates resources to higher risk certificate
holders (e.g., certificate holders that are unwilling
to adopt RDBM).
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Administration
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FAA Compliance Philosophy Order
• “To promote the highest level of safety and
compliance with regulatory standards, the FAA is
implementing Safety Management Constructs
based on comprehensive safety data sharing
between the FAA and the aviation community. To
foster this open and transparent exchange of data,
the FAA believes that its compliance philosophy,
supported by an established safety culture, is
instrumental in ensuring both compliance with
regulations and the identification of hazards and
management of risk.”
Federal Aviation
Administration
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FAA Compliance Philosophy Order
• “To promote the highest level of safety and
compliance with regulatory standards, the FAA is
implementing Safety Management Constructs
based on comprehensive safety data sharing
between the FAA and the aviation community. To
foster this open and transparent exchange of data,
the FAA believes that its compliance philosophy,
supported by an established safety culture, is
instrumental in ensuring both compliance with
regulations and the identification of hazards and
management of risk.”
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Administration
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FAA Compliance Philosophy Order
• Subparagraph 4.f.
– Matters involving reckless, intentional, or unacceptable risk to
safety pose the highest safety risk and warrant enforcement.
• Subparagraph 4.g.
– Matters involving competence or qualification of certificate,
license, or permit holders will be addressed with appropriate
remedial measures, which might include retraining or
enforcement.
• Subparagraph 4.h.
– Regulatory violations involving law enforcement-related
activities may be addressed with enforcement. In addition,
legal enforcement will be taken when required by law.
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Administration
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Approaches to compliance
• Informal Action (non-certificated shippers of
hazmat)
• Compliance Action
• Administrative Action
• Legal Enforcement Action
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Administration
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Compliance Action
• No legal enforcement action triggers present.
• Person is willing and able to comply.
• Compliance action is the appropriate response
where the inspector has discretion to make such
determination.
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Administration
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Legal Enforcement Action is Required
• (1) Intentional Conduct
• (2) Reckless Conduct
• (3) Failure to Complete Corrective Action
• (4) Conduct Creating or Threatening to
Create an Unacceptable Risk to Safety
• (5) Legal Enforcement Required by Law
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Legal Enforcement Action is Required
• (5) Legal Enforcement Required by Law
– The express terms of a statute or regulation require
the initiation of a legal enforcement action.
– e.g.,
• 49 U.S.C. § 44710 – Revocation of airman certificates for
controlled substance violations
• 49 U.S.C. § 44726 – Denial and revocation of certificate for
counterfeit parts violations
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Administration
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Question of Competency or
Qualification
• Legal Enforcement Action Required
– If lack of qualification is evidenced by a lack of the
care, judgment, and responsibility to hold that
certificate, FAA personnel refer the matter to the
Office of the Chief Counsel for it to evaluate and
initiate legal enforcement action.
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Administration
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Question of Competency or
Qualification
• Compliance or Administrative Action
– If an issue of competence or qualification relates to a
certificate holder’s skills or ability to meet technical
eligibility requirements, FAA personnel may take
either compliance or administrative action provided
such action ensures that the certificate holder is in
full compliance with the requisite qualification or
competence standards when exercising the
privileges of the certificate.
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Administration
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Legal Enforcement Action is
Discretionary
• Repeated Noncompliance
– May be addressed with:
• Compliance Action
• Administrative Action
• Or referring the matter to AGC to initiate legal enforcement
action
– FAA personnel should consider a progressive
response to repeated noncompliance.
• E.g., Where a compliance action did not correct the
noncompliance, administrative action or legal enforcement
action might be the appropriate response.
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Administration
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Legal Enforcement Action is
Discretionary
• Accurate data
– FAA personnel may take compliance action,
administrative action, or recommend legal
enforcement action in accordance with program
office policy and guidance as it pertains to
evaluating the cause and impact of noncompliant
safety management data systems and processes.
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Administration
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Legal Enforcement Action is
Discretionary
• Accurate data (continued)
– However, statutory or regulatory noncompliance
related to inaccurate or unreliable data resulting
from falsification or other intentional misconduct
always is referred to the AGC for initiation of a legal
enforcement action.
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IIMPACT OF NEW PHILOSOPHY
• Calendar Year 2011- 75 formal enforcement
cases referred by Flight Standards
• Calendar Year 2016-26 formal enforcement
cases referred by Flight Standards
• Does not include Drug Abatement or
Hazardous Materials Cases
• 65% reduction in enforcement action
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Administration
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