Established in 2015, the Compliance Program is a non-enforcement administrative tool used to address inadvertent pilot deviations (i.e., honest pilot mistakes). Using the Compliance Program, the FAA conserves administrative resources while still addressing inadvertent mistakes through a collaborative approach to aviation safety that focuses on education to prevent future occurrences. Depending on the situation, the matter may be addressed through a simple on-the-spot correction, counseling, additional training, or a combination thereof. Aviation Safety Inspectors are directed to use the Compliance Program, except in situations such as those where a pilot engages in intentional deviations, reckless conduct, and criminal activity; and in matters that involve a lack of qualification. Additionally, repeated noncompliance can result in an enforcement action.
After successful completion of the Compliance Program, pilots often want to know whether there will be a record of the action. While records of enforcement actions are maintained by the FAA for the life of the airman, because a Compliance Action does not constitute a finding of a violation, it will not appear in the airman’s record (i.e., the airman’s accident, incident, or enforcement record).
However, pilots should be aware that the FAA maintains internal records of all Compliance Actions for tracking purposes and data analysis. Since the Compliance Program’s inception in 2015, the FAA was not clear on how long it would retain internal records related to the Compliance Program. As a federal agency, the FAA must follow the recordkeeping rules set forth by the National Archives and Records Administration (NARA). To satisfy the NARA requirement and to support awareness and consistency, the FAA released its long-awaited record retention schedule for Compliance Actions on May 31, 2024 (Notice 8900.702).
Under this schedule, after a new regulatory Compliance Action activity against an individual is closed, the records generally are maintained for 3 years. However, they may be retained longer if the individual is subject to ongoing litigation or an enforcement action (or other reasons the FAA considers a “business purpose”). For Compliance records maintained in the FAA’s previous recordkeeping system, the records could be maintained for up to 30 years.
If you have any questions regarding the Compliance Program, give AOPA’s Pilot Protection Services a call.
