Appendix A A-5
1. “General” Tab: RE information, identifying responsible personnel for the following activities: immediate action, discovery of the alleged violation, filing the report, and monitoring the fix implementation.
2. “Description” Tab: A listing of the alleged regulations violated, including the time and date it was discovered, the location of discovery, the date the alleged violation occurred, the duration of time it remained undetected, and the name and contact information of the RE representative who discovered the alleged violation.
3. “Summary” Tab: A detailed summary of the alleged violation and completion of a risk matrix to aid in evaluating the significance of the event.
4. “Action” Tab: A description of immediate action taken, including the date of immediate action and the RE representative responsible for it.
5. “Root Cause” Tab: Identification of up to five root causes of the alleged violation, summary of analysis, the reason why the violation was neither reckless nor intentional, and evidence of the apparent violation.
6. “Comp. Fix” Tab: A detailed description of the RE’s proposed comprehensive fix, including beginning and end dates of the fix and the RE representative responsible for the comprehensive fix and the self-audit.
7. “Equipment” Tab: A detailed description of equipment involved in the alleged violation, if any.
8. “Submit” Tab: Upload any file attachments that support the self-disclosure and confirm that the written report is complete. If the written report is not complete, provide an explanation of why. The RE representative responsible for monitoring the implementation of the comprehensive fix will be listed in this tab.
A.7 Stage IV: Written Report Review. The FAA works with the RE to ensure that the RE has identified any root causes and systemic issues that led to the apparent violation. In this stage, the PI completes a risk assessment matrix to aid in evaluating the significance of the event and the proposed comprehensive fix. This collaboration helps to ensure that the corrective actions contained in the comprehensive fix are acceptable to the FAA. The PI can refer the written report back to the RE for changes, additions, enhancements, and corrections. The system will maintain a record of each subsequent version of the written report. This process will continue until the PI is satisfied and willing to complete Stage IV.
Note: If the investigation of the apparent violation results in the FAA’s determination that no violation has occurred, the FAA rescinds the file and provides an explanation in the comment box provided. When submitted, the FAA receives a warning that submitting this action (rescinding the file) will close the case. If the inspector confirms the rescission, the case is closed in the VDRP system on that date. The FAA is able to reopen a closed VDR within 10 calendar days if additional information is received after the rescission.
Appendix A A-6 A.8 Stage V: Implementation of a Comprehensive Fix and FAA Surveillance.
A.8.1 Implementation Period. During the implementation period, the FAA and the RE will continue to collaborate, communicate, and cooperate in order to ensure the completion of each of the corrective actions as well as the self-audit. The FAA may provide guidance to the RE in correcting any identified systemic problems. Changes will be made to the proposed comprehensive fix when the need is identified. Upon determining that the initial implementation of the proposed comprehensive fix is satisfactory, the PI may advance the VDR to Stage VI.
A.8.2 Corrective Actions. The FAA monitors the implementation of the corrective actions.
Throughout the implementation period, the FAA assesses the RE’s corrective actions and its top management’s awareness of these actions. Upon determining that the initial implementation of the proposed comprehensive fix is satisfactory, the PI may advance the VDR to Stage VI. If during this period the FAA determines that the RE failed to take corrective action, the VDR may be rejected and appropriate FAA action initiated.
A.8.3 Self-Audit. The R E completes the self-audit and documents its completion as the last and final corrective action.
A.9 Stage VI: Inspector Signoff.
A.9.1 Stage VI Completion. If all elements of the comprehensive fix have been satisfactorily accomplished by the RE, including the RE’s self-audit, the PI will submit the required entries in the web-based VDRP application for Stage VI completion.
A.9.2 Stage VI Submission. At the concl usion of the implementation period, the PI and the SOM will make a final assessment. Consultation with specialists, legal counsel, or other FAA personnel may be included as part of this process when deemed appropriate.
1. If the SOM concurs with the PI’s determination, Stage VI is concluded upon submissi on of the SOM’s concurrence.
2. If the SOM does not concur with the PI’s determination, the SOM will offer any comments in the text area provided for that purpose. The SOM will then select the “Return” button. Upon selection of the “Return” button, the case will be referred to the PI for reconsideration of the SOM’s comments. The case will not advance out of Stage VI until it is resubmitted by the PI and the SOM submits their concurrence.
Written acknowledgment of VDR closure is sent via email through the automation.
No other letters are generated.
Appendix B B-1 APPENDIX B. VOLUNTARY DISCLOSURE REPORTING PROGRAM (VDRP) FOR
REGULATED ENTITIES (RE) NOT AUTHORIZED TO USE THE WEB-BASED
VDRP APPLICATION B.1 Applicability. All REs and their designated representatives not authorized to use the VDRP web-based system will use the guidance contained in this appendix for submission of voluntary disclosures. A list of authorized users of the web-based system may be found on the VDRP home page at https://vdrp.faa.gov.
B.2 Stage I: Initial Notification. The RE notifies the FAA of an apparent violation by contacting the appropriate principal inspector (PI). The timeliness criteria for Voluntary Disclosure Reports (VDR) are described in paragraph 8.2, item 1 of this advisory circular (AC). The FAA retains sole discretion in determining whether a voluntary disclosure received later than 24 hours after discovery of the violation will be accepted. The RE should therefore not delay notification for any reason, and should address the following items with the PI:
1. A brief description of the apparent violation, including an estimate of the duration of time tha t it remained undetected, as well as how and when it was discovered.
2. Verification that noncompliance ceased after it was identified.
3. A brief description of the immediate action taken after the apparent violation was identified, the immediate action taken to terminate the conduct that resulted in the apparent violation, and the person responsible for taking the immediate action.
4. Verification that an evaluation is underway to determine:
• If there are any systemic problems.
• The corrective steps necessary to prevent the apparent violation from recurring.
5. Identification of the person responsible for preparing the comprehensive fix.
6. Acknowledgment that a detailed written report will be provided to the PI within 10 business days after initial notification by the RE. If a proposed comprehensive fix is not fully developed within 10 business days, the RE should provide at least an overview of its comprehensive fix plans in a preliminary written report submitted within 10 business days. In any event, a complete written report should be submitted within 30 calendar days after initial notification.
B.3 Stage II: Initial Notification Response. The PI responds with a written acknowledgment of the RE’s initial notification. This acknowledgment includes the request for a written report and is sent in lieu of a letter of investigation, provided the written report is completed in accordance with the VDRP set forth in this AC. The PI’s review of the disclosure confirms that the submission meets the following requirements:
B.3.1 The FAA Was Notified. The RE ha s notified the FAA of the apparent violation immediately, but no later than 24 hours after detecting it, generally before the FAA has learned of it by other means.
Appendix B B-2 B.3.2 Reckless/Intentional. The appar ent violation was neither reckless nor intentional.
B.3.3 The Violation Does Not Affect RE Qualification. The apparent violation does not indicate a lack, or reasonable question, of qualification of the RE.
B.3.4 Immediate Action Was Taken. Immed iate action, satisfactory to the FAA, was taken upon discovery to terminate the conduct that resulted in the apparent violation.
B.3.5 The RE Has or Is Developing a Scheduled Comprehensive Fix. The RE has developed, or is developing, a comprehensive fix and implementation schedule satisfactory to the FAA.
The comprehensive fix includes a followup self-audit to ensure that the action taken corrects the noncompliance. This self-audit is in addition to any audits conducted by the FAA.
B.3.5.1 PI Acceptance. I f the PI elects to accept the disclosure, the inspector notifies the senior office manager (SOM) that the file is awaiting their review.
1. Return for Edit. If the PI finds that the disclosure does not contain sufficient information to accept the disclosure, they will return the disclosure to the RE for editing.
2. Rejection/Invalid. If the PI finds that the disclosure does not meet the requirements for acceptance, or it has been determined that no violation occurred, the PI does not advance the VDR. The RE is notified of that determination.
B.3.5.2 SOM Review. The SOM will review the PI’s determination to accept the voluntary disclosure.
1. If the SOM indicates concurrence with the PI’s acceptance determination, the PI is notified by the SOM. The PI will use a code that complies with their office’s protocols in order to identify each VDRP file for tracking purposes.
2. If the SOM indicates nonconcurrence with the PI’s acceptance determination, the case will be referred back to the PI for reconsideration.
The case will not advance to Stage III until the SOM concurs with the PI’s determination.
B.4 Stage III: Written Report. The RE should provide the written report to the PI within 10 business days after the completion of Stage II. This report will contain a detailed description of the proposed comprehensive fix, outlining the planned corrective steps, the responsibilities for implementing those corrective steps, and a time schedule for completion of the fix and the completion of a self-audit. If a proposed comprehensive fix is not fully developed within 10 business days, the RE submits at least an overview of its comprehensive fix plans in a preliminary written report submitted within 10 business days after the completion of Stage II. In any event, the RE provides a complete written report containing a detailed description of the comprehensive fix within
Appendix B B-3 30 calendar days after the completion of Stage II. In summary, the written report should include the following information:
1. A list of the specific FAA regulations that may have been violated.
2. A description of the apparent violation, including the duration of time it remained undetected, as well as how and when it was detected.
3. A description of the immediate action taken to terminate the conduct that resulted in the apparent violation, including when it was taken, and who was responsible for taking the action.
4. An explanation that shows the apparent violation was neither reckless nor intentional.
5. Evidence that demonstrates the apparent violation and the RE’s analysis of that evidence.
6. A detailed description of the proposed comprehensive fix, outlining the planned corrective steps, the responsibilities for implementing those corrective steps, and a time schedule for completion of the fix.
7. Identification of the company official responsible for monitoring the implementation and completion of the comprehensive fix and self-audit.
B.5 Sample Written Report Format. Figure B-1, Sample Written Report Format, is only a suggested format to be followed when preparing the written report that will be submitted to the FAA. While an RE should include at least all the elements specified below, the RE can modify the structure of the written report to fit its needs.
Appendix B B-4 Figure B-1. Sample Written Report Format WARNING: The Information in this Document is Protected from Disclosure under 49 U.S.C. 40123 and 14 CFR part 193.
A. General.
1) Date.
2) Certificate type or equivalent.
3) Pertinent RE number or equivalent.
4. Company name.
5) Company address.
6) Company official filing report:
• Name,
• Position,
• Telephone number, and
• Email address.
B. Description of Apparent Violation.
1) Applicable 14 CFR pa rt(s).
2) Date the apparent violation was discovered.
3) Location of discovery.
4) Company official who discovered the apparent violation:
• Name,
• Position,
• Telephone number, and
• Email address.
5) Date and time of initial notification to the FAA.
6) Name of FAA official notified (PI).
Appendix B B-5 C. Company Official Responsible for Immediate Action :
1) Name,
2) Position,
3) Telephone number, and
4) Email address.
D. Duration of Time the Apparent Violation Remained Undetected (Hours, Cycles, or Days).
E. Summary of Apparent Violation. The summary should be a brief statement that describes the nature of the apparent violation and identifies the specific aircraft, engines, appliances, facilities, checkpoint, gate, cargo, and/or individuals associated with the apparent violation.
F. Immediate Action.
1) When immediate action was taken.
2) Description of immediate action. This description should outline the immediate steps that were taken to cease the violation.
3) Company official responsible for immediate action:
• Name,
• Position,
• Telephone number, and
• Email address.
G. Analysis.
1) Summary of evidence. This summary should describe the scope of the apparent violation and explain how it was detected. In addition, conclusions reached regarding possible or probable systemic deficiencies (i.e., who, what, when, why, and how the noncompliance occurred) should be described.
2) Reasons why the apparent violation was neither reckless nor intentional.
3) Supporting documentation. The evidence associated with the apparent violation should be attached. This evidence should include a statement regarding how the RE determined the extent of the apparent violation.
Appendix B B-6 H. Comprehensive Proposal. The proposed long-term corrective steps to be taken by the RE to preclude recurrence of the apparent violation should be listed in this section.
Each corrective step should identify the individual or department responsible for implementing and completing the corrective step as well as the time allotted for completion of each corrective step. This proposal should include a self-audit by the RE.
Examples of types of questions or issues that a comprehensive fix proposal should address are as follows:
1) Whether the apparent violation involves equipment, facilities, or individuals beyond those addressed in the initial notification and for which immediate action was taken.
2) Whether procedural or organizational changes are necessary .
3) How will it be determined whether any procedural or organizational changes are effective.
4) What procedures will be developed to ensure that the affected area is periodically reviewed in the future so that concerns can be identified before a violation occurs.
5) Who will be responsible for performing periodic reviews and the self -audit.
6) To whom in the RE’s organization the results of those periodic reviews will be reported, and how they will be documented.
I. Responsibility for Monitoring Implementation of the Comprehensive Fix.
1) Name.
2) Position.
3) Telephone number.
4) Email address.
J. FAA Acceptance (To Be Completed by the FAA).
1) Name.
2) Position (PI).
3) Date.
4) Office.
Appendix B B-7 B.6 Stage IV: Written Report Review by the FAA. The FAA works with the RE to ensure that the RE has identified any root causes and systemic issues that led to the apparent violation. This collaboration helps to ensure that the corrective actions contained in the comprehensive fix are acceptable to the FAA.
Note: If investigation of the apparent violation results in the determination that no violation has occurred, the VDR may be closed by the FAA rescinding the file and providing a written response to the RE.
B.7 Stage V: Implementation of a Comprehensive Fix and FAA Surveillance.
B.7.1 Continued FAA and RE Cooperation. During the implementation period, the FAA and the RE should continue to work together. The FAA may advise and assist the RE in correcting any identified systemic problems. Changes will be made to the proposed comprehensive fix when the need is identified.
B.7.2 The FAA’s Monitoring of Corrective Step Implementation. The FAA monit ors the implementation of the corrective steps. Throughout the implementation period, the FAA assesses the RE’s corrective efforts and its top management’s awareness of these efforts.
If, during this period, the FAA determines that the steps taken by the RE are not those documented in the comprehensive fix and acceptable corrective action by the RE is not forthcoming, appropriate legal enforcement action may be initiated.
B.7.3 RE Self-Audit Follow ing Completion. Following completion of the agreed-upon corrective action(s), the RE conducts a self-audit to ensure that the action taken remedies the problem that gave rise to the apparent violation.
B.8 Stage VI: Inspector Signoff. At the c onclusion of the surveillance stage, the PI and the SOM will make a final assessment. Consultation with legal counsel or other FAA personnel may be accomplished when deemed appropriate by the PI or the SOM.
1. If all elements of the comprehensive fix have been satisfactorily accomplished, including the RE’s self-audit, the PI will notify the SOM. If the SOM concurs with the PI’s determination, Stage VI is concluded upon submission of the manager’s concurrence and FAA written acknowledgment by the FAA to the RE that the VDR has been closed.
2. If the SOM does not concur with the PI’s determination, the SOM will notify the PI and provide comments. The SOM will then return the case to the PI for reconsideration of whatever comments were provided. The case will not advance out of Stage VI until it is resubmitted by the PI and the SOM provides their concurrence.
3. The case remains subject to reopening in the event that the agreed-upon actions, outlined in the comprehensive fix, are not completed to the satisfaction of the FAA.
Advisory Circular Feedback Form If you find an error in this AC, have recommendations for improving it, or have suggestions for new items/subjects to be added, you may let us know by contacting the Air Transportation Division at 9-AFS-200-Correspondence@faa.gov or the Flight Standards Directives Management Officer at 9-AWA-AFB-120-Directives@faa.gov.
Subject: AC 00-58C, Voluntary Disclosure Reporting Program Date: _____________________ Please check all appropriate line items:
An err or (pro ce dural or typographical) has been noted in paragraph ____________ on page _______.
Recommend paragraph _____________ on page __________ be changed as follows:
______________________________________________________________________ ______________________________________________________________________ In a future change to this AC, please cover the following subject:
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______________________________________________________________________ ______________________________________________________________________ Other comments:
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