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Friday 4th July 2008
Brainteasers
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Brainteasers Interactive Quiz #17:
FAA Compliance and Enforcement Policy

Whether you're a pilot, a mechanic, an airline executive or another sort of certificate holder governed by the Federal Aviation Regulations, at some point you'll probably come in contact with a man in a white shirt and skinny tie, wearing a blue nametag and a benign smile that says "I'm here to help." In case you were wondering, he's an FAA inspector and his actions are governed by the FAA's very complex Compliance and Enforcement Policy. How much do you know the rules that he plays by? Take this quiz and find out. Bet you'll be surprised at what you learn!

by Mike Busch

The questions is this Brainteaser quiz are based on FAA Order 2150.3A, the Compliance and Enforcement Program manual. For those interested in researching this subject further, Order 2150.3A is available on Summit Aviation's Computerized Aviation Reference Library CD-ROM.

Answer the questions as best you can, then click on the "score" button to see your score and read the explanations. If you don't like your score the first time around, you can change some of your answers and resubmit. To get the most out of this quiz, we suggest you keep trying until you get a perfect score.

1. The FAA's compliance and enforcement policy is predicated upon a high level of voluntary compliance with the Federal Aviation Regulations, supplemented by a relatively modest level of enforcement-related activity. The primary method the FAA uses to detect violations of the FARs is:
a. Self-disclosure for all operations.
b. Surveillance for general aviation, self-disclosure for air carriers.
c. Surveillance for air carriers, self-disclosure for general aviation.
d. Surveillance for all operations, with special emphasis on general aviation.
e. Surveillance for all operations, with special emphasis on air carriers.
2. If an FAA inspector concludes that you've violated the FARs, he may pursue various alternative kinds of enforcement actions against you, including:
  • asking you to undergo remedial training;
  • conducting a reexamination to determine whether you are still qualified and competent to hold your certificates and ratings;
  • taking "administrative action" such as issuing you a warning notice or letter of correction; and
  • initiating legal enforcement action seeking suspension or revocation. of your certificate(s), or a civil penalty (normally a fine).
In selecting which of these enforcement remedies is most appropriate, FAA policy REQUIRES the inspector to consider (among other things) whether:
a. your violation involved lack of qualification or competency.
b. your violation was intentional or inadvertant.
c. you have a history of previous violations.
d. you exhibit a positive or constructive "compliance attitude."
e. All of the above.
f. All except (c).
g. All except (d).
3. All other things being equal, the FAA is likely to take certificate action against an individual pilot, aircraft owner or mechanic, but to seek a civil penalty (fine) against a big airline.
a. True.
b. False
4. When does official FAA enforcement policy authorize an inspector to seize an aircraft?
a. Never.
b. If the aircraft is involved in illegal conveyance of a "controlled substance."
c. If the aircraft owner does not have the assets to satisfy a civil penalty sought against that owner by the FAA.
d. If the inspector considers the aircraft to be unsafe to fly, and the owner or operator refuses to agree not to fly it in that condition.
5. FAA policy REQUIRES air traffic controllers and flight service station specialists to report any apparent FAR violation or lack of pilot qualification that they observe to the appropriate FSDO or other FAA field office within 24 hours for investigation and possible enforcement action.
a. True.
b. False.
6. A disgruntled neighbor phones the FAA control tower at your home airport and complains that you buzzed his house. None of the ATC personnel in the tower witnessed the alleged violation. Nevertheless, FAA policy REQUIRES the tower personnel to report this complaint to the appropriate FSDO or other FAA field office for investigation and possible enforcement action.
a. True.
b. False
7. Once an FAA inspector decides to investigate you for a possible FAA violation, does FAA policy require the inspector to send you a formal "Letter of Investigation" (LOI) stating the specific charges against you, citing the specific sections of the FARs that you're suspected of having violated, and inviting you to respond?
a. No, an LOI is customarily sent, but is not required by FAA policy.
b. The inspector is required to send you an LOI which informs you of the investigation and invites you to respond. However, the LOI need not state specific charges nor cite the specific regulations you're suspected of having violated.
c. Yes, the inspector is required to send you an LOI stating specific charges and citing specific regulations you're suspected of having violated.
8. Once you've received a Letter of Investigation, the FAA normally has how long to complete its investigation and either drop the case against you or issue you a formal Notice of Proposed Certificate Action?
a. 30 days.
b. 90 days.
c. 6 months.
d. 1 year.
e. 2 years.
f. 5 years.
9. If, heaven forbid, you receive a Notice of Proposed Certificate Action from the FAA, you have a number of options. Which of the following is NOT one of those options?
a. Surrender your certificate voluntarily and accept the proposed sanction, thereby waiving your appeal rights.
b. Submit an answer to the charges in writing.
c. Submit proof that you filed a timely ASRS report, thereby entitling you to waiver of the proposed sanction (although the FAA may still prosecute the certificate action against you "for the record.").
d. Request an informal conference (either in-person or by telephone) with the FAA inspector who investigated your case and recommended the certificate action.
e. Request an informal conference (either in-person or by telephone) with an FAA attorney.
f. Request immediate issuance of the Order of Suspension or Revocation so that you can appeal immediately to the NTSB.
10. If you request an informal conference with the FAA, you will have the opportunity to present evidence or information in response to the proposed enforcement action, and the FAA is NOT permitted to use information you reveal during the informal conference against you in subsequent proceedings (such as an appeal to the NTSB).
a. True.
b. False
11. If an FAA inspector has reason to believe that you have acted as a crewmember of a civil aircraft while under the influence of alcohol, the inspector may require you to submit to an alcohol test.
a. True.
b. False

If you enjoyed taking this interactive quiz and would like to see more like it, please let us know. And if you thought it was unfair, confusing, or a waste of time, we'd like you to tell us that, too. And if you have an idea for a subject that you think would make a good future Brainteaser quiz, be sure to let us know.

Return to the AVweb Brainteasers page.






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If you enjoyed taking this interactive quiz and would like to see more like it, go to the AVweb Brainteaser page. And if you thought it was unfair, confusing, or a waste of time, we'd like you to tell us that, too. And if you have an idea for a subject that you think would make a good future Brainteaser quiz, be sure to let us know.

Return to the AVweb Brainteasers page.

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