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1. EARLY REGULATORY AUTHORITY AND

RESPONSIBILITIES

A. Air Commerce Act of 1926. Aviation regulatory authority in the United States began with the enactment of the

Air Commerce Act of 1926. This legislation was passed in

response to requests from the aviation industry, which believed commercial use of the airplane could not reach its

full potential without Federal safety regulation. The Air

Commerce Act commissioned the Secretary of Commerce

to foster air commerce, issue and enforce air traffic rules,

certificate pilots and aircraft, establish airways, and operate

and maintain air navigation aids. During the next decade,

the Department of Commerce continued to fulfill its civil

aviation responsibilities as specified by the Air Commerce

Act. A major responsibility was added in 1936 when the

Department of Commerce assumed the task of controlling

en route air traffic. This function soon became the Department’s most demanding civil aviation responsibility.

B. Civil Aeronautics Act of 1938. The Civil Aeronautics Act of 1938 was passed to cope with growing economic forces and air traffic control needs. This act

established a new, independent agency known as the Civil

Aeronautics Authority, which was given additional power

to issue air carrier route certificates and regulate airline

fares. In 1940, President Franklin Roosevelt divided the

Civil Aeronautics Authority into the Civil Aeronautics

Board and the Civil Aeronautics Administration. The Civil

Aeronautics Board was established as an independent

agency. It was given authority and responsibility for economic and safety rule-making and accident investigation.

The Civil Aeronautics Administration was reassigned to the

Department of Commerce. It was given responsibility for

air traffic control, airman and aircraft certification, safety

enforcement, and airway development. In 1946, Congress

added a federal-aid airport program to the responsibilities

of the Civil Aeronautics Administration.

3. ESTABLISHMENT OF THE FAA 

A. Federal Aviation Act of 1958. In the 13 years following World War II, air commerce, aviation technology,

and the public demand for air services reached unforeseen

levels of complexity. Under the Department of Commerce,

the Civil Aeronautics Administration could not efficiently

fulfill its responsibilities or solve many of the difficulties

caused by this rapid growth and increasing complexity. To

combat these problems, Congress passed the Federal

Aviation Act of 1958 (FA Act). This law created an

independent agency, the Federal Aviation Agency. It gave

the agency the sole responsibility for developing and

maintaining a common civil /military system of air

navigation and air traffic control in addition to the former

responsibilities of the Civil Aeronautics Administration and

the safety rule-making functions of the Civil Aeronautics

Board. The Civil Aeronautics Board retained the

responsibility for economic regulation of air carriers and

investigation of aircraft accidents. The FAA was given five

basic responsibilities, summarized as follows:

(1) The regulation of air commerce in such manner

as to best promote its development and safety and fulfill the

requirements of national defense

(2) The promotion, encouragement, and development

of civil aeronautics

(3) The control of the use of navigable airspace of

the United States and the regulation of both civil and military operations in such airspace in the interest of the safety

and efficiency of both

(4) The consolidation of research and development

with respect to air navigation facilities, as well as the installation and operation thereof

(5) The development and operation of a common

system of air traffic control and navigation for both military

an civil aircraft

B. Department of Transportation (DOT). In 1967, the

Federal Aviation Agency was placed in the newly created

DOT and renamed the Federal Aviation Administration (FAA).

This action was based on the beliefs of Congress, the execuCHAPTER 6 THE FAA AND FLIGHT STANDARDS: HISTORY, ORGANIZATION

AND THE PUBLIC LAW 
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tive branch, and the transportation industry that integrated

and balanced transportation systems were necessary for the

nation’s transportation needs and that such systems could

best be managed by a single department. Subsequently, the

FAA acquired additional responsibilities through

amendments to the FA Act. Examples of these added

responsibilities are aviation security, aircraft noise

abatement, and airport certification. The Airport and

Airway Development Act authorized the FAA

Administrator to establish minimum safety standards for

airports and to issue operating certificates to air carrier

airports meeting those standards.

5. ORGANIZATION OF THE FAA

A. Early Organization

(1) In 1927, the Department of Commerce employed

234 persons working in the Air Regulations Division and

the Air Information Division. When the Civil Aeronautics

Administration was created, it was administered by five

appointed officials and had the authority to regulate civil

aviation. Its associated agency, the Air Safety Board, was

responsible for investigating accidents, determining probable cause of each accident, and making recommendations

for accident prevention. From 1938 through 1958, the

number of Civil Aeronautics Administration employees

grew from 2,938 to 25,805.

(a) As of 1958, six domestic regions, one

international region, the Aeronautical Center, and a

Technical Development and Evaluation Center (FAA

Technical Center) were directly responsible to the Civil

Aeronautics Administration Administrator.

(b) Within Civil Aeronautics Administration

Headquarters, a major operational office was directed by the

Assistant Administrator for Operations. A subordinate

office to the Assistant Administrator for Operations was

called the Office of Aviation Safety. The Office of Aviation

Safety was the predecessor of the Bureau of Flight

Standards. Other subordinate offices to the Assistant

Administrator for Operations were the Office of Federal

Airways, the Office of Airports, and Washington National

Airport.

(2) In 1959, the first year of the newly formed independent FAA, the FAA’s Washington Headquarters organizational structure was as follows:

(a) Three staff level Assistant Administrators:

• Management Services

• Plans and Requirements

• Personnel and Training

(b) Five specialized offices:

• General Counsel

• Civil Air Surgeon

• Congressional Liaison

• Public Affairs

• International Coordination

(c) Five operational bureaus:

• Research and Development (included the

FAA Technical Center)

• Flight Standards

• Facilities and Material

• Air Traffic Management

• National Capital Airports

(3) In 1959, the FAA’s regional organizational structure included six domestic regions, one international

region, and the Aeronautical Center.

B. Current FAA Organizational Structure (1988). The

FAA currently employs approximately 45,000 personnel and

its organization is, for the most part, decentralized. At Washington Headquarters, five specialized offices perform staff

functions for the FAA Administrator. Seven Associate Ad-
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ministrators are also based in Washington Headquarters.

The Associate Administrators report directly to the Administrator and are responsible for the development of policy,

regulations, methods, and certain other operational functions of the FAA. There are nine domestic regional offices

and the Aeronautical Center, whose directors report directly

to the Administrator. Regional directors are responsible for

managing FAA programs at the field level.

7. HISTORY OF FLIGHT STANDARDS. When the

FAA was created in 1958, the Bureau of Flight Standards

was established as one of the five operating bureaus within

the FAA. This bureau included most safety functions of the

earlier Aeronautics Branch of the Department of

Commerce and its successors, such as the Flight Operations

Service and the Office of Flight Operations and

Airworthiness.

A. In 1967, the name of the Bureau of Flight Standards

was changed to Flight Standards Service. The director of

this service reported directly to the FAA Administrator.

The Flight Standards Service was later assigned as one of

several offices within the Office of Associate Administrator

for Aviation Standards, which had been established in

January, 1979.

B. In July of 1979, three new offices, Flight Operations,

Airworthiness, and Aviation Safety, absorbed the safety

functions previously assigned to the Flight Standards

Service. Most headquarters flight standards functions were

performed by the Office of Flight Operations and the

Maintenance Division of the Office of Airworthiness.

C. In November of 1984, the Office of Aviation Safety

was reassigned as a staff office reporting directly to the

Office of the Administrator.

D. In November of 1986, the Office of Flight Standards

was created at FAA Headquarters by combining the Office

of Flight Operations and the Maintenance Division from

the Office of Airworthiness. With this change, Flight

Standards safety responsibilities were aligned at the three

organizational levels (Headquarters, regional, and district

offices).

9. ORGANIZATION OF FLIGHT STANDARDS

A. Headquarters Organizations. The Office of Flight

Standards (AFS) is one of six offices that report to the

Associate Administrator for Aviation Standards. The

Office of Flight Standards consists of three divisions, which

report to the Director of Flight Standards. The three

divisions are the Air Transportation Division (AFS-200),

the Aircraft Maintenance Division (AFS-300), and the

General Aviation and Commercial Division (AFS-800).

B. Regional Organization. Regional headquarters are

organized into special staffs and operating divisions,

similar to Washington Headquarters. One of the regional

divisions is the Flight Standards Division (commonly

referred to as the “200 Division”). Flight Standards District

Offices (FSDOs), through office managers, report directly

to Regional Flight Standards Division managers. Regional

Flight Standards Divisions and FSDOs are responsible for

accomplishing special regional programs as well as the

national policies and programs developed by the Office of

Flight Standards. (based in Washington Headquarters).

However, Regional Flight Standards Division managers

report directly to Regional Directors, who report to the

FAA Administrator.

11. EVOLUTION OF SAFETY REGULATIONS. Section

8, Article 1 of the United States Constitution gives

Congress the power to regulate and control interstate

commerce. Interstate highway, railway, and water modes

of transportation were regulated for many years before the

advent of air transportation.

A. The Air Commerce Act of 1926 empowered the

Secretary of Commerce to establish the necessary

regulatory system to control and regulate air commerce.

The regulatory system that was initially established evolved

into an organized system of Civil Aviation Regulations

(CAR). These regulations were supplemented by

appropriately numbered Civil Aviation Manuals (CAM)

which contained policies, procedures, and interpretations of

each Civil Aviation Regulations section.

B. The Civil Aviation Regulations and Civil Aviation

Manuals became outmoded with the rapid growth of air

transportation and the introduction of turbojet transport category airplanes in the 1950’s. Recodification of the Civil
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Aviation Regulations began in 1961 and was completed in

1964 with the adoption of the Federal Aviation Regulations

(FAR).

13. AVIATION PROMOTION AND REGULATION.

Regulation and promotion of civil aviation are clearly

identified by the FA Act as major responsibilities of the

FAA. The FAA promotes safe and efficient civil aviation

by such activities as the establishment and maintenance of

Federal Airways (including NAVAID’s), air traffic control

services, and support of airport development and aviation

educational programs. The principal objective of regulation,

from the FAA’s point of view, is to assure safety at all levels

of aviation activity. In fostering safety through regulation,

the FAA promotes the use of civil aviation and helps to

ensure its future. Safety of flight is dependent upon

regulation and enforcement of these regulations. Many

other nations use United States Federal Aviation

Regulations as regulatory models for their civil aviation

programs.

15. THE NATIONAL TRANSPORTATION SAFETY

BOARD 

A. The National Transportation Safety Board (NTSB)

was established by the Department of Transportation Act; it

was made a part of the DOT on April 1, 1967. The NTSB

was given the Civil Aeronautics Board functions, powers,

and duties concerning aviation accident investigations,

findings, and formulation of aviation safety improvement

recommendations.

B. On April 1, 1975, the NTSB was made an

independent agency. This independence allows the NTSB

to properly fulfill its responsibilities to form conclusions

and make recommendations that may be critical of the

DOT and the FAA. At the request of the NTSB, certain

aviation accidents are investigated by the FAA. However,

FAA representatives are not permitted to participate in

determining the “probable cause” of any aviation accident

investigated by the NTSB. The facts, conditions, and

circumstances of these accidents are reported to the NTSB,

which then determines “probable cause”.

17. THE CIVIL AERONAUTICS BOARD. The

Airline Deregulation Act (ADA) was enacted on

October 24, 1978. This Act expressed the intention of

Congress to diminish the functions of the Federal Government in regulating airline economics. To accomplish this,

Congress directed that the Civil Aeronautics Board be abolished on December 31, 1984. On January 1, 1985, remaining Civil Aeronautics Board functions were transferred to

the Office of the Secretary of Transportation (OST).

Included in these remaining functions is the requirement

that air carriers be found fit, willing, and able to perform as

air carriers. These air carriers must hold economic certificates or an exemption under the FA Act in order to provide

air transportation to the public.

21. FLIGHT STANDARDS AND THE FA ACT. The

FAA’s regulatory authority to prescribe, revise, and enforce

standards is found in Title VI of the FA Act “Safety

Regulation of Civil Aeronautics”. Title VI is the

foundation for the present structure of Flight Standards.

Flight Standards is directly responsible for certain sections

of Title VI. Other sections of Title VI are the responsibility

of other offices within the FAA. However, Flight Standards

has surveillance and enforcement responsibilities related to

all sections of Title VI. The sections of Title VI are briefly

described as follows:

A. Section 601, General Safety Powers and Duties. This

section empowers the FAA to promote safety of flight for

civil aircraft in air commerce. The Administrator has the

duty to require minimum standards governing practices,

methods, and procedures that provide for national security

and safety in air commerce.

B. Section 602, Airman Certificates. The FAA has the

authority to issue airman certificates which specify the

capacity in which holders are authorized to serve as airmen.

C. Section 603, Aircraft Certificates. The FAA has the

authority to issue type certificates for aircraft, aircraft

engines, and propellers. The Administrator can also

specify in regulations appliances for which the issuance of

type certificates is reasonably required and issue those

certificates.

D. Section 604, Air Carrier Operating Certificates. The

FAA is empowered to issue air carrier operating certificates

and establish minimum safety standards for the operation of

the air carrier to whom the certificate is issued.

E. Section 605, Maintenance of Equipment in Air Transportation. In this section, each air carrier is given the duty to
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make, or cause to be made, inspections, maintenance, overhaul, and repair of all equipment used in air transportation

as required by the FA Act, orders, rules and regulations of

the FAA.

F. Section 606, Air Navigation Facility Rating. The

FAA is authorized to inspect, classify, and rate the

suitability of any air navigation facility available for the use

of civil aircraft. The Administrator is also authorized to

issue a certificate for any such navigation facility.

G. Section 607, Air Agency Rating. The FAA is

authorized to provide for examination and rating of air

agencies such as civilian flight schools, repair stations, and

other air agencies. The Administrator is also authorized to

issue certificates for these schools, repair stations, and

agencies.

H. Section 608, Forms of Applications. The FAA is

authorized to prescribe the form and content of applications

for certificates. The Administrator may also require that

these applications be administered under oath.

I. Section 609, Amendment, Suspension, and Revocation

of Certificates. The FAA may issue orders which amend,

modify, suspend, or revoke, in whole or in part, any type of

certificate issued. Any person whose certificate is affected

by an order of the Administrator under this section may

appeal the Secretary’s order to NTSB.

J. Section 610, Prohibitions. This section prohibits any

person or organization from conducting any air commerce

operation without proper certification or hiring personnel

who are not properly certificated. This section also

prohibits persons or organizations from performing any

aviation services contrary to regulations prescribed under

Title VI.

K. Section 611, Control and Abatement of Aircraft

Noise and Sonic Boom. The FAA, after consultation with

the Secretary of Transportation and the Environmental

Protection Agency, shall prescribe and amend standards

and regulations for the measurement of aircraft noise and

sonic boom.

L. Section 612, Airport Operating Certificates. The

Administrator is authorized to issue or exempt airport operating certificates to airports serving air carriers certificated

by the DOT and to establish safety standards for the

operation of these airports.

21. THE PRIVATE SECTOR RESPONSIBILITIES. The

term “private sector”, when applied to aviation, includes all

individuals and organizations participating in air

commerce. Individuals and organizations such as pilots,

mechanics, air carriers, air operators, air agencies, and

manufacturers participate directly in air commerce, while

other individuals and organizations such as vendors, food

caterers, travel agents, baggage handlers, and aircraft sales

participate indirectly.

A. The FAA, which represents part of the “public

sector”, has the duty as authorized by the FA Act under

Title VI, “Safety Regulations of Civil Aeronautics”, to

establish minimum standards, rules, and national policy

that provide for national security and safety in air

commerce. This responsibility for aviation safety, however,

does not rest entirely with the FAA.

B. Persons or organizations of the “private sector” also

have an obligation to provide for public safety. All airmen,

air carriers, aircraft owners and operators, air agencies, and

certain airport operators who qualify for and accept an FAA

certificate assume these “private sector” responsibilities. A

major part of air commerce is conducted by private persons

or organizations engaged in air transportation. These

persons or organizations are referred to as air carriers and

are involved in the common carriage by aircraft of persons,

property, or mail for compensation or hire.

C. The FA Act requires a classification of safety

standards appropriate to the differences between air

transportation and other forms of air commerce. Therefore,

safety standards applicable to air transportation (air

carriers) are more stringent than standards applicable to

persons or organizations not involved in common carriage.

23. AIR OPERATOR RESPONSIBILITIES FOR

PUBLIC SAFETY

A. Consideration of Safety and the Public Interest. Section

601(b) of the FA Act specifies, in part, that when
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prescribing standards and regulations and in issuing

certificates, the FAA shall give full consideration “to the

duty resting upon air operators to perform their services

with the highest possible degree of safety in the public

interest . . ." In other words, the FA Act charges the FAA

with the responsibility of promulgating and enforcing

adequate standards and regulations. At the same time, the

FA Act recognizes that holders of air operator certificates

have a direct responsibility for providing air transportation

with the highest possible degree of safety. The meaning of

Section 601(b) of the FA Act should be clearly understood.

It means that this responsibility rests directly with the air

operator, irrespective of any action taken or not taken by an

individual FAA Inspector or the FAA.

B. Complying with the FA Act and the Federal Aviation

Regulations. Before certification, the FAA’s objective is to

make a factual and legal determination that a prospective

certificate holder is willing and able to fulfill its duties as

set forth by the FA Act and comply with minimum

standards and regulations prescribed by the FAA. This

objective continues to exist after certification.

(1) If a certificate holder fails to perform its services

with the highest degree of safety or fails to comply with the

minimum standards and regulations, Section 609 of the FA

Act specifies that the certificate may be amended, modified, suspended, or revoked in whole or in part.

(2) Additionally, Section 605(b) generally provides

that whenever an inspector finds that any aircraft, aircraft

engine, propeller, or appliance used or intended to be used

by any air operator in air transportation is not in condition

for safe operation, the inspector shall notify the operator

and the product shall not be used in air transportation

unless the FAA subsequently finds it to be in a condition

for safe operations.

C. Non-Compliance. The following are conditions and/

or situations which could indicate that an air operator is

unable and/or unwilling to carry out its duties as set forth

by the FA Act.

(1) Repetitive noncompliance with the minimum

standards and regulations is indicative that the air operator

is incapable or unwilling to perform services with the

highest possible degree of safety. Air operators must

demonstrate the ability to consistently comply with the

minimum standards and regulations without constant FAA

surveillance. Circumstances that indicate a need for

constant surveillance of all operations of an air operator

should provide sufficient reasons and evidence to invoke

the provisions of Section 609 of the FA Act to suspend or

revoke the certificate or to amend the operating authority

specified in operations specifications.

(2) Inadequate knowledge of minimum standards,

regulations, or safe operating practices displayed by air

operator management personnel may indicate a lack of

concern for the duty of the air operator as recognized in

the FA Act. A lack of knowledge and/or understanding of

minimum standards and safe practices displayed by an air

operator’s employees is evidence that the air operator is

not providing sufficient training and guidance required by

current regulations and, consequently, not fulfilling its

duties.

(3) Current regulations specify the certificate

holder is responsible for the operational control and airworthiness of its aircraft. Control and discipline of an air

operator’s employees and agents are essential factors in

fulfilling these responsibilities. The inability or lack of

motivation to exercise such operational and/or quality airworthiness control clearly indicates that an air operator

cannot or will not fulfill its duty.

(4) Accurate recordkeeping is a key factor in assuring positive operational and quality airworthiness control.

Accurate recordkeeping is the only known method for an

air operator to show continuing compliance with the minimum standards and regulations. Usually, compliance can

only be substantiated by records and should never be presumed. Inaccurate and/or incomplete records should not

be condoned. Knowing and willful falsification or alteration of records is a misdemeanor under Section 902(e) of

the FA Act and should be promptly prosecuted in accordance with the appropriate provisions of the applicable

statutes and regulations.

D. Higher Standards. The FA Act and current regulatory

policies recognize the safety duties of air operators.

Conse-quently, only minimum standards and

regulations have been promulgated. These policies

consider the concepts of private rights and public

responsibilities. However, public safety and national

security must be among the FAA’s highest priorities.
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FAA inspectors must therefore maintain an “action attitude” with respect to any air operator that doesnot or cannot fulfill its duty to perform its services with the

highest possible degree of safety.