U.S. Department
of Transportation
Federal Aviation
Administration
Advisory
Circular
Subject: Aircraft Certification Service Voluntary
Disclosure Reporting Program
Date: XX/XX/XXXX
Initiated By: AIR-100
AC No: 00-XX
1
PURPOSE.
1.1
This advisory circular (AC) provides information and guidance material to Federal
Aviation Administration (FAA) Aircraft Certification Service (AIR) Production
Approval Holders (PAHs), Design Approval Holders (DAHs), and Organization
Designation Authorization Holders (ODA Holders) who choose to voluntarily disclose
apparent violations to Title 14 of the Code of Federal Regulations (14 CFR).
1.2
The procedures and practices outlined in this AC can be applied to the applicable
regulatory requirements of a PAH, DAH or ODA Holder. These procedures and
practices cannot be applied to (1) those persons who violate 14 CFR 21.2, Falsification
of applications, reports, or records; or (2) those persons who are required to report
failures, malfunctions, and defects pursuant to 14 CFR 21.3; or (3) those persons who
fail to report unsafe conditions pursuant to 14 CFR 183.69, Continuing requirements:
Products, parts or appliances.
1.3
In-service issues discovered by a DAH should be disclosed, and the Monitor Safety
Analyze Data (MSAD) process used. If the issue has a known impact on manufacturing
processes, it should be disclosed using the processes outlined in this AC.
1.4
This AC is not mandatory and does not constitute a regulation. This AC describes an
acceptable means, but not the only means, to voluntarily disclose an apparent violation.
However, if you use the means described in this AC, you must follow it in all important
respects.
2
AUDIENCE.
This AC affects AIR regulated entities (RE), which consist of any FAA PAH, DAH. Or
AIR lead ODA Holder authorized to submit voluntary disclosures under the Voluntary
Disclosure Reporting Program (VDRP).
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3
RELATED REGULATIONS.
This AC allows REs to voluntarily disclose apparent violations to the following
regulations: 14 CFR parts 21, 39, 43, 45, 91, and 183.
4
CHANGES.
This is the first issuance of this AC.
5
CANCELLATION.
This AC, as of its effective date, replaces the use of AC 00-58B, Voluntary Disclosure
Reporting Program, dated 4/29/2009 for all FAA PAHs, DAHs, and AIR lead ODA
Holders.
6
EFFECTIVE DATE.
This AC is effective XX-XX-XXX
7
BACKGROUND.
One of the FAA’s primary goals is to promote the highest level of safety and
compliance with regulatory standards by using the most effective means to return a RE
to full compliance. Typically the FAA would use administrative and legal actions under
the FAA’s enforcement program as means to promote compliance with regulations. The
FAA believes aviation safety is well served by incentives for REs to identify and correct
their own instances of noncompliance and to invest more resources in efforts to
preclude their recurrence. One of the incentives the FAA has established is the ability to
forego enforcement actions when an entity detects violations, promptly discloses them
to the FAA, and takes prompt corrective action, acceptable to the FAA, to ensure the
same or similar violations do not recur. This incentive is designed to encourage
compliance with regulations, foster safe operating practices, and promote the
development of internal evaluation programs.
8
KEY TERMS.
The following key terms and phrases are defined to ensure a standard interpretation and
understanding of the FAA’s voluntary disclosure policy.
8.1
Evidence.
For the purpose of voluntary disclosure, evidence generally should be in the form of
written documentation or reports that support a RE’s analysis of the disclosed apparent
violation and the resulting elements of the proposed comprehensive fix. Evidence
generally comes from the following four elements:
1. Documents or manuals reviewed,
2. Equipment examined,
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3. Activities observed, and
4. Interview data.
8.2
Comprehensive Fix.
8.2.1
A comprehensive fix is an action, or actions, proposed by the RE and accepted by the
responsible FAA personnel, to preclude recurrence of the apparent violation that has
been voluntarily disclosed under this program. The comprehensive fix should address
all root causes identified in the written report.
8.2.2
A schedule of the dates and events encompassed by the comprehensive fix must be
established, including a schedule for completion of a self-audit following
implementation of corrective action(s).
8.3
Satisfactory Fix.
A satisfactory fix is a comprehensive fix in which all corrective measures have been
completed on schedule and are satisfactory to the FAA.
8.4
Investigating Personnel (IP).
AIR personnel normally involved in investigating apparent violations. IPs may be any
of the following:

Aviation safety inspectors for PAHs,

Aviation safety engineers and flight test pilots/engineers for DAHs, or

Organization management team leads for ODAs.
8.5
Regulated Entity (RE).
A RE is any FAA PAH, DAH, or ODA Holder, authorized to submit voluntary
disclosures under the VDRP.
9
VOLUNTARY DISCLOSURE POLICY.
9.1
The FAA believes the open sharing of apparent violations and a cooperative as well as
an advisory approach to solving problems will enhance and promote aviation safety.
Under AIR’s VDRP, a progressive approach to compliance is encouraged, and the RE
and the IP should work together to identify the most appropriate means to gain
compliance.
9.2
To determine whether a disclosed apparent violation warrants being handled under the
VDRP, the following criteria will be evaluated. If the disclosure meets one or more of
the following criteria, the VDRP must be used:
1. Potential safety issue,
2. Quality escape for articles and parts other than cosmetic flaws (flaws that do not
effect fit/form/function or cause safety issues), or
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3. Systemic discrepancies to quality or procedural requirements.
9.3
For all other items disclosed that do not fall under one of the criterion listed above,
RE notification, trending, and tracking will be done in accordance with a written agreed
upon method between the RE and the overseeing IP. All disclosures must be tracked by
the IP until correction has been verified.
9.4
Once a disclosure is determined to be processed under the VDRP, the RE and the IP
will follow the process in paragraph 10 of this AC.
Note: If the RE discloses to the FAA an apparent violation during an
FAA investigation/inspection or in association with an accident or incident, the IP will
forego the use of the VDRP and will open a compliance and enforcement action.
10
VOLUNTARY DISCLOSURE REPORTING PROGRAM (VDRP).
The VDRP employs a six-stage process. Responsibility for each stage is assigned either
to the RE or the IP, 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.
10.1
Stage 1—Notification to the FAA of an Apparent Violation.
When the RE notifies the FAA of an apparent violation, the following guidance must
be used:
10.1.1
Notification must be directed to the appropriate IP who has oversight of the RE.
10.1.2
Notification must be submitted via written hardcopy or by electronic means.
10.1.3
Notification should be submitted within 24 hours of the discovery of the apparent
violation. An IP may use discretion and accept disclosures that exceed the
24-hour policy when the IP determines that a later submission is justified based on the
specific circumstances and the submission is still considered timely. The RE should
therefore not delay notification for any reason. The following are examples of discretion
for VDRP notification acceptance:
1. A voluntary disclosure may be accepted if received in excess of 24 hours of the
violation if the FAA has learned of an apparent violation from an ASAP report as
described in AC 120-66, Aviation Safety Action Program (ASAP), as amended.
2. A voluntary disclosure may be accepted if received in excess of 24 hours
of the apparent violation via an ODA self-audit report as described in
FAA Order 8100.15, Organization Designation Authorization Procedures.
10.1.4
Notification must address, to the maximum extent possible, the following items:
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1. 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.
2. Verification of Cease of Noncompliance. Verification that noncompliance ceased
after the apparent violation was identified.
3. 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.
4. 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.
5. Identification of Responsible Person. Identification of the person responsible for
preparing the comprehensive fix.
6. Acknowledgement of Written Report. Acknowledgment that a detailed written
report will be provided to the IP within 10 working days.
10.2
Stage II—FAA Response to the RE.
After receiving the RE’s initial notification, the IP will do the following:
10.2.1
The IP will review the disclosure and, to the extent possible, confirm the submission
meets the following requirements:
1. The FAA Was Notified. The RE has notified the FAA of the apparent violation
immediately after detecting it and before the FAA has learned of it by other means.
2. The Violation Was Inadvertent. The apparent violation was not intentional or
reckless.
3. The Violation Does Not Reflect a Lack of Qualification. The apparent violation
does not indicate a lack, or reasonable question, of qualification of the RE.
4. 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.
5. The RE Has Developed, 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 follow-up self-audit to
ensure the action taken corrects the noncompliance. This self-audit is in addition to
any audits conducted by the FAA.
Note: If there are minor deficiencies in the disclosure, the IP may work with the RE to
correct those prior to making a determination of acceptance.
10.2.2
If the IP determines the disclosure is acceptable, the IP will—
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1. Issue a Letter of Acknowledgement (LOA), in lieu of a letter of investigation. The
LOA should include a request for a written report, as described in this AC.
2. Assign an Enforcement Investigative Report (EIR) number to the disclosure.
3. Complete FAA Form 2150-5, Enforcement Investigative Report, for entry into the
Enforcement Information System (EIS) as a self-disclosure.
10.2.3
If the IP determines the disclosure is not acceptable, the IP will notify the RE and
pursue the appropriate enforcement action.
10.3
Stage III—Written Report of the RE’s Apparent Violation.
The RE will provide the written report to the IP within 10 working days after the initial
notification was made, regardless of whether the RE has received an LOA from the IP.
This report must contain a detailed description of the proposed comprehensive fix that
outlines the planned corrective action, the responsibilities for implementing the
corrective action, and a time schedule for completing the fix. If a proposed
comprehensive fix is not fully developed within 10 working days, the RE should
provide at least an overview of its comprehensive fix plans in a written report submitted
within the 10 working days. A detailed description of the comprehensive fix must be
submitted within 30 calendar days after initial notification. The written report should
include the following information:
10.3.1
Regulation or Procedure Violated. A list of the specific FAA regulations or
procedures that may have violated.
10.3.2
Summary of the Violation. A description of the violation, including the duration of
time it remained undetected, as well as how and when it was detected.
10.3.3
Immediate Action Taken. A description of the immediate action(s) taken to terminate
the conduct that resulted in the violation occurring. This includes, when the action was
taken, and who was responsible for taking the action.
10.3.4
Explanation of How the Violation Was Inadvertent. An explanation that
demonstrates there was no intentional or reckless conduct that resulted in the violation.
10.3.5
Analysis of the Violation. Analysis includes the identification of all root causes
associated with the violation, as well as a summary of the evidence and supporting
documentation that demonstrates the scope of the violation.
10.3.6
Comprehensive Fix Proposal. A detailed description of the proposed comprehensive
fix, outlining the planned corrective actions, proposed long-term corrective actions, the
responsibilities for implementing the corrective action, a time schedule for completing
the fix, and a self-audit following implementation of the corrective action(s). The
following are examples of types of questions or issues the comprehensive fix proposal
should address

Does the violation involve equipment, facilities, or individuals beyond those
addressed in the initial notification and for which immediate action was taken?
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
Are procedural or organizational changes necessary?

How will it be determined whether any procedural or organizational changes
are effective?

What procedures will be developed to ensure the affected area is periodically
reviewed in the future so concerns can be identified before a violation occurs?

Who will be responsible for performing periodic reviews?

To whom in the RE’s organization will the results of those periodic reviews be
reported, and how they will be documented?

A schedule for completion of a self-audit by the RE following implementation of
the comprehensive fix to verify the action taken corrects the noncompliance.
The proposal should also include identification of the individual(s) responsible for
conducting the self-audit. This self-audit is in addition to any audit conducted by
the FAA.
10.3.7
Responsible RE Focal Point. Identification of the RE focal point responsible for
monitoring the implementation and completion of the comprehensive fix.
10.4
Stage IV—Written Report Review and Comprehensive Fix Agreement.
The IP works with the RE to ensure the RE has identified any root cause(s) and
systemic issue(s) that led to the violation. This collaboration helps ensure the corrective
action(s) contained in the comprehensive fix are acceptable to the FAA. Once the IP has
agreed to the RE’s comprehensive fix, they will—
1. Issue a Letter of Correction (LOC), which indicates the proposed comprehensive fix
is accepted and the disclosure is closed contingent on the fix being implemented.
2. Update the EIS entry and close the entry at the field office level.
10.5
Stage V—RE’s Implementation of a Comprehensive Fix.
10.5.1
After the comprehensive fix has been accepted by the FAA, the RE will begin/continue
to implement corrective action(s) as outlined in the fix. During the implementation
period, the IP and RE should continue to work together. During the implementation, the
RE is responsible for—
1. Ensuring all corrective action(s) outlined in the written report are completed as
agreed to, and
2. Conducting a self-audit at the completion of the corrective action(s) to ensure
proper implementation and the effectiveness of the implementation.
10.5.2
Changes can be made to the proposed comprehensive fix when the need is identified.
If a change to the comprehensive fix is needed, the RE should submit the proposed
change in writing to the IP. The IP should review the proposed change and issue an
amended LOC if the change is accepted.
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10.5.3
The IP should monitor the implementation of the corrective step(s) and assess the RE’s
corrective effort(s). If, during this period, the IP determines the step(s) taken by the RE
are not those documented in the comprehensive fix and acceptable corrective action(s)
by the RE is not forthcoming, the LOC may be rescinded and appropriate enforcement
action initiated.
10.6
Stage VI—FAA Verification of Completed Comprehensive Fix.
Once the RE has completed and verified all corrective action(s), the RE will notify the
IP of its completion. After receiving notification of the completed comprehensive fix,
the IP will conduct verification of the fix. Verification should be conducted during the
next scheduled oversight activity or at the discretion of the IP.
10.6.1
If the comprehensive fix was satisfactorily implemented, completed verification should
be documented in the appropriate enforcement tracking system.
Note: No written notification is required upon completion of verification. The IP can
use discretion whether to provide written notification.
10.6.2
If the comprehensive fix was not implemented as agreed upon, the IP will open a new
case and pursue the appropriate enforcement action.
11
VIOLATION TREND FOR THE VDRP.
11.1.1
Due to the vast range and uniqueness of the REs that AIR oversees, violation trends
should always be scalable to a specific entity. A violation trend is determined when
there are noted repeat violations disclosed on separate occasions. These repeat
violations must have the same identified root cause and corrective action or correction
responses. The IP must use due diligence when evaluating the similarities of the
violations, the root cause, and corrective action that was taken by the RE before
determining a trend is present.
11.1.2
If a violation trend is determined for a disclosure, the IP may decide not to accept the
disclosure and pursue the appropriate enforcement action in accordance with the
AIR Compliance and Enforcement Process.
12
DISPUTE RESOLUTION.
When disputes occur regarding the acceptance of a proposed comprehensive fix or a
modification thereto before the fix is considered satisfactory, the IP and the RE may
request that the issue be resolved at the next level of management within the FAA.
This allows for an independent assessment of the areas in disagreement.
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13
APPLICABILITY OF THE FREEDOM OF INFORMATION ACT (FOIA) TO
SELF-DISCLOSURE RECORDS.
Information submitted by the RE to the FAA for review pursuant to this voluntary selfdisclosure program is protected from release to the public in accordance with the
provisions Under 14 CFR Part 193.
14
WHERE TO FIND THIS AC.
14.1
You may find this AC at http://www.faa.gov/regulations_policies/advisory_circulars/.
14.2
If you have any suggestions for improvements or changes, you may use the template
provided at the end of this AC.
David W. Hempe
Manager, Design, Manufacturing, &
Airworthiness Division
Aircraft Certification Service
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Appendix A
Appendix A. 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 (1) emailing this form to
9-AWA-AVS-AIR500-Coord@faa.gov or (2) faxing it to the attention of the AIR Directives
Management Officer at 202-267-3983.
Subject: ____________________________
Date: ____________________
Please check all appropriate line items:
 An error (procedural 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:
(Briefly describe what you want added.)
 Other comments:
 I would like to discuss the above. Please contact me.
Submitted by: __________________________________ Date: ________________________
A-1