Appendix 1 Page 7 (and 8) the Comprehensive Fix and it’s implementation. The Office Manager must decide whether to concur with the PI’s determination that the Comprehensive Fix was satisfactorily accomplished.
(1) If the Office Manager concurs with the PI’s determination, Stage VI is concluded upon submission of the manager’s concurrence (Selection of the, “Submit” button signals concurrence), and the VDRP system will automatically generate the Form 2150-5 as well as close the associated EIR record in the Enforcement Information System (EIS).
(2) If the Office Manager wishes to indicate nonconcurrence with the PI’s determination, the Office Manager will offer any comments in the comment area provided for that purpose. The Manager will then select the, “Return”, button. Upon selection of the “Return” button, the case will be referred back to the PI for reconsideration with whatever comments were entered by the Office Manager. The case will not advance out of Stage VI until it is re-submitted by the PI and the Office Manager submits his/her concurrence.
Appendix 2
APPENDIX 2. VOLUNTARY DISCLOSURE REPORTING PROGRAM (VDRP) FOR
REGULATED ENTITIES, OTHER THAN AIR CARRIERS, AUTHORIZED TO
UTILIZE THE WEB-BASED VDRP This Appendix is directed to those regulated entities (RE), other than air carriers, which are required to utilize the Web-based VDRP system. A list of those entities may be found on the VDRP home page at: https://av-info.faa.gov/vdrp.
1. ACCESS TO THE VDRP WEB-BASED SYSTEM. Access to the Web-based system requires assignment of a login identification and a password, which are obtained via the following means:
a. RE Representatives. Representatives named by the RE to represent the company on voluntary disclosure issues will be added to the VDRP Web-based system by a principal inspector (PI) assigned certificate responsibilities for that RE. Each authorized representative will be issued a unique login identification and password for access to the system. Refer to VDRP User Guide at: https://av-info.faa.gov/VDRP/UserGuide.pdf or, contact VDRP Help Desk at (866) 285-4942 for additional information.
b. Federal Aviation Administration (FAA) Personnel Access. FAA personnel may obtain access to the system via one of the following means:
(1) PIs are automatically added to the VDRP system when the automated Operations Safety System (OPSS) recognizes the individual as a PI assigned to that RE.
(2) FAA personnel not assigned as a PI who require access to the system will be added to the system by a PI, utilizing the “Add User” functionality.
c. VDRP System Guidance. The VDRP User Guide may be accessed and downloaded at:
https://av-info.faa.gov/VDRP/UserGuide.pdf. Additional assistance may be obtained via telephone from the VDRP Help Desk at (866) 285-4942.
2. THE SIX STAGES OF THE VDRP. The Web-based VDRP employs a six-stage process.
Responsibility for each such stage is assigned either to the RE or the FAA, as described below.
Except as specified in this AC, the voluntary disclosure policy applies only when notification of an apparent violation is made to the FAA by the RE, immediately after the apparent violation has been discovered by that entity, and before the FAA learns of the apparent violation by some other means.
a. RE Requirements. Those REs to which this appendix applies, are required to utilize the Web-based VDRP system for submitting voluntary disclosures to the FAA.
b. Disclosure Notification. Notification of a disclosure to the FAA will normally be made via the Web-based system, unless extenuating circumstances prevent initial notification using that venue.
c. Web-based VDRP System Provisions. The Web-based VDRP system contains provisions for indicating that the notification process was initiated via another media. When Page 1
Appendix 2 acceptable to the PI, initial notice of a voluntary disclosure may be submitted orally, via a written hardcopy, or by electronic copy provided the RE enters the initial notification data via the Webbased VDRP system within 72 hours of the original notification. Compliance with the 10- or 30-day limit for submission of the written report, as described in Stage III below, will be based on the date of the original notification, regardless of the submission means or media.
3. STAGE I: NOTIFICATION TO THE FAA OF AN APPARENT VIOLATION. When the certificate holder notifies the FAA of an apparent violation, contact must be made with, or directed to, the appropriate PI. The notification requirement is automatically met when the disclosure is submitted via the Web-based VDRP system as all PI’s for that certificate are notified when a disclosure is submitted. However, if the certificate holder submits the initial notification via alternative media, as authorized in paragraph 4 below, the disclosure must be submitted to the appropriate PI. It is FAA policy that initial notification should be accomplished on a timely basis, ordinarily within 24 hours of the discovery of the apparent violation. However, an inspector may accept disclosures that exceed the 24 hour policy when the inspector determines that a later submission is justified based on the specific circumstances, and in view of those circumstances, the submission is still considered timely. For example, a voluntary disclosure based on a company violation revealed in an Aviation Safety Action Program (ASAP) report may require more that 24 hours from the submission of that ASAP report in order for the responsible company entity to become aware of the information in the report and to initiate a voluntary disclosure. The FAA retains sole discretion in determining whether a voluntary disclosure received later than 24 hours after discovery of the violation is timely. The certificate holder should therefore not delay notification for any reason, and should address, to the maximum extent possible, the following items:
a. Brief Description of Apparent Violation. A brief description of the apparent violation, including an estimate of the duration of time that it remained undetected, as well as how and when it was discovered.
b. Verification of Cease of Noncompliance. Verification that noncompliance ceased after it was identified.
c. Brief Description of Immediate Action. 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.
d. Verification of Evaluation. Verification that an evaluation is underway to determine:
• If there are any systemic problems, and
• The corrective steps necessary to prevent the apparent violation from recurring.
e. Identification of Person Responsible for Preparation. Identification of the person responsible for preparing the comprehensive fix.
f. Acknowledgement of a Written Report. Acknowledgment that a written report will be provided to the PI within 10 working-days.
Appendix 2 NOTE: The Web-based VDRP allows upload of documents (photos, text documents, letters, etc.) by the RE at Stage I and Stage III and upload by the FAA in Stages II, III, IV, V and VI, to enable the attachment of whatever documents may be required to support their submissions.
4. STAGE II: FAA RESPONSE TO THE RE. The PI will review the Web-based submission from the RE and respond in a timely manner. If the original submission from the RE was made via an alternative media (e.g., telephone etc.), the PI may respond via an alternative means, but must also respond to the subsequent Web-based submission by the RE.
a. PI Review. The PI’s review of the disclosure shall, to the extent possible, confirm the submission meets the following requirements:
(1) The RE has notified the FAA of the apparent violation immediately after detecting it and before the Agency has learned of it by other means.
(2) The apparent violation was inadvertent.
(3) The apparent violation does not indicate a lack, or reasonable question, of qualification of the RE.
(4) Immediate action, satisfactory to the FAA, was taken upon discovery to terminate the conduct that resulted in the apparent violation.
(5) The RE has developed, or is developing, a comprehensive fix and schedule of implementation 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. PI Completion of the Review.
(1) Once the PI completes the review of the voluntary disclosure submission, he/she makes a determination to accept the disclosure, return it for editing, or find it invalid.
(a) Acceptance: If the PI elects to accept the disclosure, the inspector completes the required Stage II entries in the Web-based VDRP and submits his/her input.
(b) Return for Edit: If the PI finds the disclosure does not contain sufficient information to accept the disclosure, the PI has the option of returning the disclosure to the RE for editing. Upon selection of the “send back” button and submission by the PI, the VDRP system notifies the RE of the determination via email and returns the case to Stage I, pending resubmission by the RE.
(c) Rejection/Invalid: If the PI finds the disclosure does not meet the requirements set forth in this AC for acceptance, or it has been determined that no violation occurred, the PI selects “No” in response to the question, “Is this a valid self-disclosure?”. Upon submission by the PI, the regulated entity is notified of that determination by e-mail. When found to be invalid, the case does not advance and is not assigned an EIR number.
Appendix 2 NOTE: If, at any time subsequent to acceptance of the disclosure, the FAA becomes aware that the disclosure did not meet the requirements set forth for acceptance under the VDRP, the acceptance may be withdrawn. In such cases, as well in those cases where it is subsequently determined that a violation did not occur, the Web-based system provides the option of “rescinding” a case, which closes the file without action within the VDRP. If the certificate holding office has sufficient evidence to proceed with enforcement action, independent of the materials provided by the RE as part of its submission under VDRP, enforcement action should be initiated in accordance with the procedures set forth in the current edition of FAA Order 2150.3.
5. STAGE III: WRITTEN REPORT OF RE’S APPARENT VIOLATION.
a. Written Report. The written report should be submitted by the RE, to the PI, via the Web-based VDRP system, within 10 working-days of the date disclosure was submitted to the FAA. This report must 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. If a proposed comprehensive fix is not fully developed within 10 working-days, the pertinent RE should provide at least an overview of its comprehensive fix plans in a written report submitted within 10 working-days after the initial notification was made. In any event, a detailed description of the comprehensive fix should be submitted within 30 calendar-days after initial notification.
b. Required Input. The VDRP Web-based system requires the input of the following information in the Written Report Stage:
(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 inadvertent.
(5) Evidence that demonstrates the seriousness of the apparent violation and the RE’s analysis of that evidence.
(6) Completion of a Risk Assessment Matrix to aid in evaluating the significance of the event.
(7) 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 subsequent self-audit.
Appendix 2
(8) Identification of the company official(s) responsible for monitoring the implementation and completion of the comprehensive fix and the self-audit.
6. STAGE IV: WRITTEN REPORT REVIEW BY THE FAA. The FAA works with the certificate holder to ensure that the RE has identified any root causes and systemic issues which led to the apparent violation. In this stage, the PI is also tasked with completing 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.
NOTE: Should investigation of the apparent violation result in the determination that no violation has occurred, the EIR may be closed by rescinding the file and providing an explanation in the provided comment box. When submitted, the user is provided a warning that submitting this action (rescinding the file) will close the case and terminate the investigation.
If the inspector confirms the rescission, the case is closed in VDRP that date and will close in EIS 10 (ten) days later, with the original date of closure recorded in EIS. The 10-day delay is provided to enable the FAA to re-open the file within that 10-day “window” if deemed necessary.
7. STAGE V: IMPLEMENTATION OF A COMPREHENSIVE FIX AND FAA SURVEILLANCE.
a. Implementation Period. During the implementation period, the FAA and the pertinent RE should continue to work together. The FAA may advise and assist the entity 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 issue a letter of correction in Stage V.
Alternatively, the PI may elect instead to issue the letter of correction in Stage VI, if deemed appropriate. If the letter of correction is issued in Stage V, and subsequent changes are made to the Comprehensive Fix, the PI shall issue and upload a revised letter of correction in Stage VI which reflects the letter of correction as implemented.
b. Corrective Steps. The FAA monitors the implementation of the corrective steps.
Throughout the implementation period, the FAA assesses the pertinent RE’s corrective efforts and top management’s awareness of these efforts. If, during this period, the FAA determines that the steps taken by the entity are not those documented in the comprehensive fix and acceptable corrective action by the RE is not forthcoming, the letter of correction may be rescinded, and appropriate legal enforcement action initiated.
8. STAGE VI: INSPECTOR SIGNOFF.
a. Conclusion. At the conclusion of the implementation period, the PI makes a final assessment. If all elements of the comprehensive fix, including the RE’s self-audit, have been adequately accomplished, the PI finds the fix satisfactory and closes the case. 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.
Appendix 2
b. PI Authority to Close the Case. The PI has the authority to close the case. Consultation with regional specialists, legal counsel, or other FAA personnel may be accomplished when deemed appropriate by the PI.
Appendix 3
APPENDIX 3. VOLUNTARY DISCLOSURE REPORTING PROGRAM (VDRP) FOR
REGULATED ENTITIES (RE) NOT AUTHORIZED TO UTILIZE THE WEB-BASED
VDRP SYSTEM
1. APPLICABILITY. All REs NOT authorized to utilize the VDRP Web-based system will utilize the guidance contained in this Appendix for submission of Voluntary Disclosures. A list of authorized users of the Web-based system may be found at: https://av-info.faa.gov/vdrp.
2. THE SIX STAGES OF THE VDRP. The VDRP employs a six stage process.
Responsibility for each such stage is assigned either to the RE or the FAA, as described below.
Except as specified in this AC, the voluntary disclosure policy applies only when notification of an apparent violation is made to the FAA by the RE, immediately after the apparent violation has been discovered by that entity, and before the FAA learns of the apparent violation by some other means.
3. STAGE I: NOTIFICATION TO THE FAA OF AN APPARENT VIOLATION. When the RE notifies the FAA of an apparent violation, contact must be made with, or directed to, the appropriate principal inspector (PI). When acceptable to the PI, initial notice of a voluntary disclosure may be submitted orally, via written hardcopy, or by electronic means. It is FAA policy that initial notification should be accomplished on a timely basis, ordinarily within 24 hours of the discovery of the apparent violation. However, an inspector may accept disclosures that exceed the 24 hour-policy when the inspector determines that a later submission is justified based on the specific circumstances, and in view of those circumstances, the submission is still considered timely. For example, a voluntary disclosure based on a company violation revealed in an Aviation Safety Action Program (ASAP) report may require more that 24 hours from the submission of that ASAP report in order for the responsible company entity to become aware of the information in the report and to initiate a voluntary disclosure. The FAA retains sole discretion in determining whether a voluntary disclosure received later than 24 hours after discovery of the violation is timely. The certificate holder should therefore not delay notification for any reason, and should address, to the maximum extent possible, the following items with the PI:
a. Brief Description of Apparent Violation. A brief description of the apparent violation, including an estimate of the duration of time that it remained undetected, as well as how and when it was discovered.
b. Verification of Cease of Noncompliance. Verification that noncompliance ceased after it was identified.
c. Brief Description of Immediate Action. 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.
d. Verification of Evaluation. Verification that an evaluation is underway to determine:
(1) If there are any systemic problems.
Appendix 3
(2) The corrective steps necessary to prevent the apparent violation from recurring.
e. Identification of Responsible Person. Identification of the person responsible for preparing the comprehensive fix.
f. Acknowledgement of a Written Report. Acknowledgment that a written report will be provided to the PI within 10 working-days.
4. STAGE II: FAA RESPONSE TO CERTIFICATE HOLDER. The PI responds with a written acknowledgment of the entity’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 will open an Enforcement Investigative Report (EIR) that will be closed out with a letter of correction following satisfactory development and implementation of a comprehensive fix as provided by schedule of implementation agreed upon by the FAA and the entity. The PI’s review of the disclosure shall, to the extent possible, confirm the submission meets the following requirements:
a. The FAA was Notified. The RE has notified the FAA of the apparent violation immediately after detecting it and before the Agency has learned of it by other means.
b. The Violation was Inadvertent. The apparent violation was inadvertent.
c. The Violation Does Not Reflect a Lack of RE Qualification. The apparent violation does not indicate a lack, or reasonable question, of qualification of the RE.
d. FAA Approved Immediate Action was Taken. Immediate action, satisfactory to the FAA, was taken upon discovery to terminate the conduct that resulted in the apparent violation.
e. The RE Has, or Is, Developing a Comprehensive Fix. The RE has developed, or is developing, a comprehensive fix and schedule of implementation 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.
5. STAGE III: WRITTEN REPORT OF THE RE’S APPARENT VIOLATION.
a. Written Report Specifications. The written report should be provided to the PI by the RE within 10 working-days after the initial notification was made. This report must 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. If a proposed comprehensive fix is not fully developed within 10 working-days, the pertinent RE should provide at least an overview of its comprehensive fix plans in a written report submitted within 10 working-days after the initial notification was made. In any event, a detailed description of the comprehensive fix should be submitted within 30 calendar-days after initial notification. The written report should include the following information:
(1) A list of the specific FAA regulations that may have been violated.
Appendix 3
(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 inadvertent.
(5) Evidence that demonstrates the seriousness of 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 and a self-audit following implementation of the corrective action(s). If a proposed comprehensive fix is not fully developed within 10 working-days, the pertinent RE should provide at least an overview of its comprehensive fix plans in a written report submitted within 10 working-days after the initial notification was made. In any event, a detailed description of the comprehensive fix should be submitted within 30 calendar-days after initial notification.
(7) Identification of the company official(s) responsible for monitoring the implementation and completion of the comprehensive fix and the self-audit.
b. Sample Written Report Format. The following sample is only a suggested format to be followed when preparing the written report that will be submitted to the FAA. While a RE should include at least all the elements specified below, the structure of the written report can be modified by the RE to fit its particular needs.
(1) General.
(2) Date.
(3) Certificate type or equivalent.
(4) Pertinent RE number or equivalent.
(5) Company name.
(6) Company address.
(7) Company official filing report.
• Name,
• Position,
• Telephone number, and
Appendix 3
• E-mail address.
(8) Description of Apparent Violation.
(9) Applicable 14 CFR part(s).
(10) Date apparent violation was discovered.
(11) Location of discovery.
(12) Company official who discovered the apparent violation.
• Name,
• Position,
• Telephone number, and
• E-mail address.
(13) Date and time of initial notification to the FAA.
(14) Name of FAA official notified PI.
(15) Company official responsible for immediate action.
• Name,
• Position,
• Telephone number, and
• E-mail address.
(16) Duration of time apparent violation remained undetected—hours, cycles, or days.
c. 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.
d. 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 violative action.
(3) Company official responsible for immediate action.