Duty Violation Reports

Duty violations must be reported immediately when discovered. Reporting enables investigation of root causes (such as scheduling errors) and prevents recurrence through system improvements.

• Crew members: Pilots and cabin crew who identify violations
• Crew scheduling: Schedulers who detect limit exceedances
• Operations managers: Management who identify violations through audits

For crew members submitting reports:

• Dashboard: If you have duty violations or PIC discretions in the last 30 days requiring reports, they appear in the "New Duty Violation/Discretion Reports" table on your dashboard. Click the button next to each item to submit the required report.
• My Portal → Flights: If a flight duty has a violation or discretion, a submission button appears for that specific flight.
• My Portal → Timesheets: If any duty has a violation or discretion, a submission button appears for that specific duty period.

Important: These reports cannot be submitted from the Duty Violation Reports page by investigators. Reports must be submitted by the crew member involved in the specific duty or flight.

Completing the report form:

1. Report details:
   • Report title/subject: Brief, descriptive title (required)
   • Date and time: When the incident or observation occurred (required)
   • Location: Where it happened (airport, aircraft, facility)
   • Description: Detailed account of what happened or was observed (required)
2. Violation details:
   • Violation type: Flight time, duty hours, off-days, or rest
   • Regulation breached: Specific regulatory reference
   • Actual vs limit: Extent of violation
   • How discovered: Self-reported, audit, or system detection
   • Contributing factors: Scheduling errors, delays, crew changes
3. Supporting evidence:
   • Attach photos, documents, or files
   • Maximum file size and supported formats apply
   • Add multiple attachments if needed
4. Additional information:
   • Weather conditions (if relevant)
   • Equipment status or malfunctions
   • Communications or coordination issues
   • Your assessment of contributing factors

Before submitting:

• Review all information for accuracy and completeness
• Ensure descriptions are clear and factual
• Check that required fields are filled
• Verify dates, times, and locations

Submit options:

• Save as Draft: Save your progress and continue later
• Submit Report: Send for investigation team review

Once you submit a report:

1. Report is assigned a unique code: Used to track and reference the report (e.g., "DV-2024-001")
2. Confirmation notification: You receive confirmation that the report was received
3. Investigation team notified: Appropriate investigators are alerted to review
4. Initial review: Team reviews and prioritizes the report
5. Status updates: You can track progress in My Portal → Submitted Reports

Tracking your submitted reports:

• Access My Portal → Quality Safety Security → Submitted Reports
• View all reports you've submitted
• See current status (New, Under Investigation, Closed)
• View investigation updates and findings (if you have access)
• Edit draft reports before they're submitted

Note: Investigation details and findings may be restricted based on confidentiality settings. You'll be notified of outcomes relevant to your submission.

Use this workflow when new duty violation reports have been submitted and need initial review to determine if investigation is required.

Steps:

1. Navigate to the New Reports tab
2. Use search or date filters to locate specific reports if needed
3. Click the report code to view the complete report information in a read-only modal
4. Review violation type, flight information, duty period details, and crew member remarks
5. Determine if formal investigation is needed or if the report can be processed routinely

What changes:

• No changes are made during review; the report remains in New Reports until you start investigation

Use this workflow when you're ready to begin formal investigation of a duty violation report. Starting an investigation moves the report to Active Reports and allows you to add findings, request information, and assign investigation team members.

Steps:

1. On the New Reports tab, locate the report you want to investigate
2. Click the Start Investigation button (search icon)
3. The investigation modal opens with the report details pre-filled
4. Review and edit investigation details if needed (subject, description, investigation team members)
5. Add any initial comments or assign investigators to the team
6. Click Save to formally open the investigation

What changes:

• The report moves from New Reports to Active Reports
• The report is assigned a status of "Under Investigation"
• Investigation team members gain access to add findings and close out the report
• Email notifications may be sent to assigned investigators (if configured)

Note: Duty Violation Reports cannot be transferred to other QSS sections. They remain in the Duty Violation section for their entire lifecycle.

Use this workflow during active investigation when you need to document findings, assign corrective actions, or request additional information from involved parties.

Steps:

1. On the Active Reports tab, locate the report under investigation
2. Click the Add finding/RFI dropdown button
3. Choose either:
   • Add finding: Document an observation or issue that requires corrective action
   • Request information: Ask involved parties to provide additional details or documentation
4. Complete the finding or information request form with all required details
5. For findings, classify the finding by type and severity
6. Assign responsible parties and due dates as appropriate
7. Click Save to add the finding or request to the report

What changes:

• The finding or information request is added to the report
• Assigned users receive notifications about their action items
• The report's expand button shows the count of findings and requests
• Report status updates to reflect pending actions or reviews

Tip: Click the expand button () next to each report to view all findings, requests, and their current status without opening the full investigation window.

Effective investigation requires collaboration among team members. Use comments, team assignments, and communication features to coordinate investigation activities.

Team member roles:

• Lead investigator: Coordinates the investigation, assigns tasks, and ensures completion
• Team members: Review evidence, create findings, assess risks, and document outcomes
• Subject matter experts: Provide specialized knowledge (technical, operational, regulatory)
• Reviewers: Approve close-out requests and validate investigation quality

Anyone on the investigation team can add findings, RFIs, and comments. Use clear communication to avoid duplicate effort.

Use comments to communicate with other team members about the investigation:

Accessing comments:

1. Locate the report in Active Reports
2. The "Comments" column shows the number of comments (if any)
3. Click the comment count or comments icon to view the comment thread

Adding a comment:

1. Open the comment thread
2. Type your message in the text box
3. Optionally mention other team members using @ (e.g., @JohnSmith)
4. Attach documents if needed
5. Click Post Comment

What to use comments for:

• Discuss investigation approach and methodology
• Share observations or preliminary analysis
• Coordinate responsibilities (who is handling which findings)
• Request input from specific team members
• Document investigation decisions and rationale
• Update team on progress or challenges

Note: Comments are internal to the investigation team. Report submitters and external parties cannot see investigation comments.

The lead investigator can add or remove team members as the investigation progresses:

Adding team members:

1. Locate the report in Active Reports
2. Click the Edit investigation button
3. In the investigation modal, find the "Team members" section
4. Click Add member
5. Search for and select the person to add
6. Optionally assign a role or responsibility note
7. Click Save

When to add team members:

• Need subject matter expertise (technical, operational, regulatory)
• Investigation scope expands requiring more resources
• Original investigator unavailable or needs assistance
• Cross-functional perspective needed

Removing team members:

Follow the same process but click the remove icon next to the team member. Note that the member who started the investigation cannot be removed unless investigation is reassigned.

Result: Added team members receive notification and gain access to add findings, RFIs, comments, and close out the report.

All duty violation reports require hazard identification and risk assessment before they can be closed. Use this workflow to specify the hazard related to the report and assess both pre-mitigation and residual risk levels.

Steps:

1. On the Active Reports tab, locate the report
2. In the "Hazard" column, click the button to specify hazard and risk:
   • If hazard not yet assigned: Not specified
   • If hazard assigned but risks need assessment: Edit button ()
3. Select the relevant hazard from your organisation's hazard register (e.g., "Scheduling Error", "Inadequate Rest", "Flight Time Exceeded")
4. Assess the pre-mitigation risk (risk level before any controls were applied)
5. Assess the residual risk (risk level after mitigation measures)
6. Optionally mark as "Not Applicable" if hazard and risk assessment is not required for this specific report
7. Click Save to record the assessment

What changes:

• The Hazard column displays the assigned hazard name
• The Pre-risk and Residual risk columns show colour-coded risk levels
• The report becomes eligible for close out (if all other requirements are met)

Warning: Reports cannot be closed until hazard and risk are specified or marked as not applicable. Active reports will show Hazard & Risk Required in the "Close out" column until this is completed.

Risk assessment evaluates the probability and severity of hazards to determine appropriate mitigation measures. Duty Violation reports use a structured risk matrix approach.

Key concepts:

• Hazard: A condition or circumstance that could lead to an incident or accident
• Pre-mitigation risk: Risk level before any controls or corrective actions
• Mitigation measures: Controls, procedures, or actions that reduce risk
• Residual risk: Risk level after mitigation measures are applied
• Tolerability: Whether the residual risk is acceptable or requires further action

The goal is to reduce risks to As Low As Reasonably Practicable (ALARP) through effective mitigation.

Your organization typically uses a risk matrix that combines likelihood (probability of occurrence) and severity (consequence if it occurs) to determine risk level. The following tables show common industry terminology:

Note: Your organisation's risk matrix may use different terminology or scales. These are typical aviation industry categories.

Step-by-step risk assessment:

1. Identify the hazard:
   • What condition or circumstance could lead to harm?
   • Select from your organisation's hazard register
   • Examples: Inadequate procedures, equipment malfunction, human factors
2. Assess pre-mitigation risk:
   • Evaluate likelihood: How probable is this hazard to cause an incident?
   • Evaluate severity: What would be the worst credible outcome?
   • The matrix combines these to give pre-mitigation risk level
   • This represents risk if no controls existed
3. Identify mitigation measures:
   • What controls, procedures, or actions reduce the risk?
   • These come from findings' corrective actions
   • Consider existing barriers and new improvements
4. Assess residual risk:
   • Re-evaluate likelihood: Has it been reduced by mitigations?
   • Re-evaluate severity: Have potential consequences been lessened?
   • The matrix shows residual risk after controls
   • Residual risk should be lower than pre-risk
5. Determine tolerability:
   • Is the residual risk acceptable?
   • High risks may require senior management acceptance
   • Medium risks require monitoring
   • Low risks are generally tolerable

Result: The risk assessment informs decision-making about whether additional mitigation is needed before closing the report.

After assessing risk, you can link the report or individual findings to your organisation's Risk & Hazard Register (ManageRiskSources):

Why link to the Risk Register:

• Centralized tracking of all identified hazards across the organisation
• Ongoing monitoring of risk levels and mitigation effectiveness
• Trend analysis to identify recurring or emerging risks
• Integration with Safety Management System (SMS) reporting
• Regulatory compliance and audit trail

How to link:

1. After completing risk assessment on a report or finding
2. Click the Link to Risk Register button
3. Choose whether to:
   • Link to an existing risk source in the register
   • Create a new risk source entry
4. If creating new, provide:
   • Risk source title and description
   • Risk category and classification
   • Responsible owner for ongoing monitoring
5. Click Link to establish the connection

Result: The hazard is tracked in the Risk Register, and the report/finding is linked for reference. Updates to mitigation measures can be tracked over time.

Tip: Link high and medium risks to the Risk Register to ensure ongoing monitoring. Low risks may not require formal register tracking.

Use this workflow when the investigation is complete, all findings have been addressed or assigned corrective actions, and you're ready to formally close the report.

Prerequisites:

• Hazard and risk assessment must be complete (or marked as not applicable)
• All findings must have assigned corrective actions or be marked complete
• All information requests must be answered or closed
• You must be assigned to the investigation team

Steps:

1. On the Active Reports tab, locate the completed investigation
2. Verify that the "Close out" column shows a button (not a "Pending close out" or "Hazard & Risk Required" badge)
3. Click the Close out button
4. Complete the close out request form:
   • Provide a summary of the investigation
   • Describe any corrective actions taken or assigned
   • Document lessons learned or operational improvements
   • Add any supporting documentation
5. Submit the close out request for approval (if your organisation requires approval)
6. Once approved or auto-approved, the report moves to Closed Reports

What changes:

• The report moves from Active Reports to Closed Reports
• The report status changes to "Closed"
• A close out record is created showing closure date, investigator, and summary
• The report is archived but remains accessible for review and auditing

Note: Closed reports can be re-opened if additional investigation is needed. Click the "Re-open" button on the Closed Reports tab to move a report back to Active Reports.

Depending on your organisation's settings, close-out requests may require approval from senior investigators or managers before the report is formally closed:

Close-out approval process:

1. Close-out submission: Investigation team member submits close-out request
2. Review assignment: System assigns to designated reviewers (typically senior management)
3. Reviewer assessment: Reviewer evaluates:
   • Is the investigation complete and thorough?
   • Are all findings adequately addressed?
   • Are corrective actions appropriate and effective?
   • Is risk assessment accurate and reasonable?
   • Are lessons learned well-documented?
4. Approval decision:
   • Approve: Close-out is accepted, report closes
   • Reject: Provide feedback, return to Active Reports
5. Notification: Investigation team is notified of decision

If close-out is rejected:

• Report returns to Active Reports with status "Close Out Rejected"
• Review feedback explains required changes or additional investigation
• Investigation team addresses feedback
• Close-out can be resubmitted after addressing concerns

Note: Some organisations use auto-approval for routine reports. Critical findings or high-risk reports typically require manual management review.

Re-open a closed report if:

• New information comes to light that affects the investigation
• Additional findings are identified after closure
• Corrective actions were ineffective and require revision
• Related incidents occur suggesting incomplete investigation
• Regulatory authority requests additional investigation

Steps to re-open:

1. Navigate to the Closed Reports tab
2. Locate the report to re-open
3. Click the Re-open button
4. Provide justification for re-opening
5. Click Confirm

Result: The report moves back to Active Reports with status "Re-opened". The previous close-out record is retained for audit purposes, but the investigation resumes.

Note: Re-opened reports maintain their original report code and investigation history. All previous findings, RFIs, and corrective actions remain attached.

Use this workflow to generate a PDF document containing the complete report details, investigation notes, findings, and close out information. Useful for sharing with external auditors, filing in physical records, or creating offline archives.

Steps:

1. Navigate to either Active Reports or Closed Reports tab
2. Locate the report you want to export
3. Click the export button in the "Export report" column
4. Wait for the PDF to generate (a loading indicator will appear)
5. The PDF will download to your browser's default download location

What's included in the PDF:

• Complete report header information (report code, submission date, status)
• Violation type, flight details, duty period breakdown, crew member remarks
• Investigation details and team members
• Active findings and their corrective actions (cancelled findings are excluded)
• Active requests for information (cancelled RFIs are excluded)
• Hazard and risk assessment
• Close out information (if closed)

Tip: PDF exports are useful for creating permanent records of duty violation reports for regulatory compliance or audit purposes.

A finding documents a specific issue identified during investigation that requires corrective action. Each finding captures:

• Finding description: Clear statement of what was found
• Finding type: Classification of the finding (e.g., procedural non-compliance, equipment issue, training gap) - configurable by your organization
• Severity level: Impact assessment - your organization configures available severity levels (commonly: Critical/Major/Minor/Observation or Level-1/Level-2/Level-3)
• Compliance type: Regulatory or internal standard reference - configurable in Settings
• Root cause analysis: Underlying factors contributing to the finding

Findings are linked to corrective action requests that assign responsibility for implementing improvements.

Prerequisites:

• Report must be in Active Reports (investigation opened)
• You must be a member of the investigation team

Steps:

1. On the Active Reports tab, locate your report
2. Click the Add finding/RFI dropdown button
3. Select Add finding
4. In the finding modal, complete the required fields:
   • Finding title: Brief, descriptive title
   • Finding description: Detailed explanation of the issue discovered
   • Finding type: Select from your organization's configured finding categories
   • Severity/Priority: Assess the impact level (configured by your organization)
   • Compliance type: Link to relevant regulatory requirement or standard (configurable)
   • Root cause: Identify underlying factors using causal categories
5. Optionally attach supporting evidence (photos, documents)
6. Click Save to create the finding
7. The system creates a corrective action request automatically
8. Assign responsible person(s) for the corrective action
9. Set due date for corrective action completion

Result: The finding is created and appears in the expanded report row. A corrective action request is generated and assigned users are notified.

To view findings for a report:

1. Locate the report in Active Reports or Closed Reports
2. Click the expand button () in the "Expand" column
3. The row expands to show all findings with badges indicating status
4. Click the finding code to view full details

Finding statuses:

• Open - Finding created, corrective action plan pending
• CAP Under Review - Corrective Action Plan submitted for review
• In Progress - Corrective actions being implemented
• Closed - Corrective actions completed and verified
• Cancelled - Finding cancelled (created in error)

Tip: Use the badge counts on the expand button to quickly see how many findings exist and how many require attention.

Cancel a finding if it was created in error, is a duplicate, or is no longer valid. You cannot cancel a finding if its corrective action plan has already been approved.

Steps:

1. Expand the report row to show findings
2. Locate the finding to cancel
3. Click the Cancel button (ban icon)
4. Enter a reason for cancellation
5. Click Confirm

Result: The finding is marked as cancelled and the associated corrective action request is also cancelled. Cancelled findings remain visible for audit purposes.

Note: You can restore a cancelled finding by clicking the Restore button if it was cancelled in error.

When a finding is created, a corrective action request is automatically generated and assigned to responsible person(s). The workflow progresses through:

1. Corrective Action Plan (CAP): Responsible person proposes how to address the finding
2. CAP Review: Investigation team reviews and approves/rejects the plan
3. Short-term Implementation (SCAI): Immediate actions are completed and submitted for review
4. SCAI Review: Team verifies short-term actions were effective
5. Long-term Implementation (LCAI): Sustained corrective measures are completed
6. LCAI Review: Team verifies long-term effectiveness and closes finding

Each stage requires submission by the responsible person and review/approval by the investigation team before progressing.

If you're assigned as a responsible person for a corrective action, you'll receive notification and can access your actions through My Portal → Quality Safety Security → Your Corrective Actions.

Submitting a Corrective Action Plan (CAP):

1. Navigate to My Portal → Your Corrective Actions
2. Locate the corrective action request (status: Awaiting CAP)
3. Click Submit CAP
4. Describe your proposed corrective actions:
   • Short-term actions: Immediate fixes or temporary measures
   • Long-term actions: Permanent solutions or system improvements
   • Timeline: Proposed completion dates for each action
   • Resources required: Budget, personnel, equipment needs
5. Attach supporting documentation (optional)
6. Click Submit to send for review

Result: Your plan is submitted to the investigation team for review. You'll be notified when it's approved or if changes are requested.

Tip: Be specific and realistic in your corrective action plan. Vague or unrealistic plans may be rejected.

After your CAP is approved, you'll implement the actions and submit evidence of completion:

Submitting Short-term Corrective Action Implementation (SCAI):

1. Complete the short-term corrective actions from your approved plan
2. In Your Corrective Actions, locate the action (status: Awaiting SCAI)
3. Click Submit SCAI
4. Provide evidence of completion:
   • Detailed description of actions taken
   • Photos showing completed work (if applicable)
   • Updated procedures or documents
   • Training records (if training was conducted)
   • Before/after comparisons
5. Confirm completion date
6. Click Submit for review

Submitting Long-term Corrective Action Implementation (LCAI):

Follow the same process as SCAI after completing long-term actions. LCAI focuses on demonstrating sustained effectiveness and system improvements.

Note: Reviewers may request additional evidence or clarification. You'll be notified if resubmission is required.

As an investigation team member, you review and approve corrective action submissions to ensure findings are properly addressed.

Reviewing a submission:

1. Locate the report in Active Reports
2. Expand the report row to see findings
3. Findings with pending reviews show badges (e.g., CAP Review Pending)
4. Click the finding code to open details
5. Click the Review button for the pending stage (CAP, SCAI, or LCAI)
6. Review the submission carefully:
   • Is the proposed plan adequate to address the finding?
   • Is the timeline realistic?
   • Is the evidence of completion convincing?
   • Are there any gaps or concerns?
7. Choose to Approve or Reject:
   • Approve: Submission is satisfactory, workflow progresses to next stage
   • Reject: Provide feedback on what needs improvement
8. Add review comments explaining your decision
9. Click Submit Review

Result: If approved, the corrective action progresses to the next stage. If rejected, the responsible person is notified and must resubmit.

Use the messaging feature to communicate with corrective action participants throughout the workflow:

Sending a message:

1. Open the finding details (expand report row and click finding code)
2. Click the Messages button (message icon)
3. View previous messages in the thread
4. Type your message in the text box
5. Optionally attach documents
6. Click Send

Who can see messages: All investigation team members, responsible persons, and reviewers can view and participate in message threads.

Tip: Use messages to ask for clarification, provide guidance, or discuss implementation challenges. Unread messages are indicated by a badge count.

If a responsible person needs more time to complete corrective actions, they can request a deadline extension:

1. In Your Corrective Actions, locate the action
2. Click Request Extension
3. Provide justification for the extension
4. Propose a new completion date
5. Click Submit Request

The investigation team reviews the extension request and can approve or deny it. Approved extensions update the due date. Multiple extensions may be requested if needed.

Note: Excessive delays or repeated extensions may trigger escalation to senior management for critical findings.

Create an RFI when you need:

• Additional details about an incident or observation
• Clarification from involved personnel
• Supporting documentation or evidence
• Witness statements or accounts
• Timeline verification or sequence of events
• Equipment status or maintenance records

RFIs are less formal than findings and focus on information gathering rather than corrective actions.

Prerequisites:

• Report must be in Active Reports
• You must be a member of the investigation team

Steps:

1. On the Active Reports tab, locate your report
2. Click the Add finding/RFI dropdown button
3. Select Request information
4. In the RFI modal, complete:
   • RFI title: Brief description of what you're requesting
   • Request details: Clear, specific questions or information needed
   • Respondent(s): Select person(s) who should provide the information
   • Due date: When you need the response by
   • Priority: Urgency level (affects notification and follow-up)
5. Optionally attach reference documents
6. Click Send Request

Result: The RFI is created and respondents are notified. They can access the request through My Portal → Quality Safety Security → Your Information Requests.

If you receive an RFI, respond promptly with accurate and complete information:

Submitting a response:

1. Navigate to My Portal → Your Information Requests
2. Locate the pending RFI
3. Click Respond
4. Provide the requested information:
   • Answer all questions thoroughly
   • Provide specific details, dates, and facts
   • Be objective and factual
   • Include relevant context
5. Attach supporting documents, photos, or evidence (if applicable)
6. Click Submit Response

Result: Your response is submitted to the investigation team. They may accept it or request additional clarification.

Note: If you cannot respond by the due date, contact the investigation team through the messaging feature to explain the delay.

As an investigation team member, review RFI responses and follow up as needed:

Reviewing an RFI response:

1. Expand the report row in Active Reports
2. RFIs with responses show Response Submitted
3. Click the RFI code to view details
4. Review the respondent's information
5. Assess if the response is complete and adequate
6. Choose an action:
   • Accept response: Information is satisfactory, RFI is closed
   • Request more information: Response is incomplete, send follow-up questions
   • Close without response: RFI is no longer needed
7. Add review comments if needed
8. Click Complete Action

Tip: You can send multiple follow-up requests if needed. Use the messaging feature for informal questions.

Type in the search box at the top of the page to search across multiple fields:

• Report code (e.g., "DV-2024-001")
• Subject line
• Reportee name (person who submitted the report)
• Description or comments
• Violation type

The search is debounced (waits 500ms after you stop typing) to improve performance. Results update automatically as you type.

Use the filter panel to select a date range and view only reports submitted within that period:

1. Click the filter section to expand it
2. Select a start date (from date)
3. Select an end date (to date)
4. Click Apply Filters to update the report list

Tip: Date filtering applies to the report submission date. To clear filters, remove the date selections and click Apply Filters again.

To access and use the Duty Violation Reports page, you must have one of these permissions:

• Duty Violation Investigator role: Full access to view, investigate, and close reports
• Manager role: Oversight and approval of investigations
• Administrator role: Full system access including all QSS functions

<strong>Note:</strong> Crew members do not access this page. They submit duty violation reports through My Portal pages.

Once a report moves to Active Reports, only investigators assigned to the investigation team can perform certain actions:

• Add findings or request information: Team members only
• Edit investigation details: Team members only
• Close out reports: Team members only
• Add investigation comments: Team members only

All authorised investigators can view any report's details, but they must be added to the investigation team to take action. When starting an investigation, you're automatically added to the team.