The Essential Safety Oversight Management Tool CASORT Briefing

Questions for Managers Would you like to be able to: Have daily access to the Actions and Decisions of your safety oversight workforce? Establish an effective quality assurance program (“as your eyes”) to monitor those Actions and Decisions? Ensure the identification, tracking and timely resolution of Safety Concerns? Plan and implement the key certification and surveillance events? CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 2

CASORT Interface CE-8: Resolution CE-7: Surveillance CASORT CE-6: Licensing/Certification CE-5: Technical Tools CE-4: Technical Personnel CE-3 System/Functions CE-2 Regulations CE-1: Aviation Law CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 3

All Actions-Decisions-Approvals!!! Director-General DG Staff Quality Assurance Managers Supervisors Quality Control Inspectors Para-Technicals Admin Support CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools Daily access to the Actions, Decisions and Approvals of the safety oversight workforce. Difficult to hide poor quality work from management. The best CASORT examples result from CAAs that continuously focus on quality of records! Without the specter of a quality program looking over their records, inspector records will gradually deteriorate. © 2013 AVSOG, Inc. 4

Database Implementation Start with a scalable database program. Provide the workforce with a “toolkit” of digital documents. . . Provide the workforce training specifically for THEIR database, toolkit & function. . . Limit initial focus to capturing the actions and decisions of the work force. . that integrate the actions and decisions to the databases. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. . then push quality control & assurance. 5

External Access to Database Suite Web-based software. Encrypted (https) access & entry. Can be used both though Intranet and Internet access “Instant Save” feature protects data when there is intermittent loss of connectivity. Operating System? You choose: Linux, Windows, or OSX Enterprise Level? Yes: Apache Tomcat Java My. SQL CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools Scalable ? Users = 5 – 100+ Equip = small office to enterprise apps © 2013 AVSOG, Inc. Browsers? Firefox, Chrome Safari, Explorer 6

Single Username & Password Multiple databases requiring multiple passwords frustrate most users. The Main (Home) Page is customized to the logged-in user. The “notifications” of work that must be completed are user-specific. The “platform” (how-it-works) is essentially the same throughout CASORT. This adherence to database design allows the user to have positive transfer of learning for the different databases and functions. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 7

Internal Access by “Permissions” This user has the normal inspector permissions. All other entries are made by support personnel. This example user has full access to the different databases in CASORT It is very important that you understand that the inspector has a limited, but critical decision and approval “recordsproducing” role. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 8

Device Access to CASORT Easy Accessing from computer, tablet or smart phone. Computer Smart Phone Tablet or special CASORT App CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 9

The “Driver’s Seat” Much – Much more than a work tracking system! The CASORT Action database provides for the capture of CAA Actions, Decisions, Approvals, Disapprovals, even meetings. Data is “crunchable” using the: 1. View SEARCH function 2. Standard REPORTS 3. Reports Generator 4. I-Reports From this entry page, you have access to: 1. Related Safety Concerns. 2. Related CAA letters. 3. Related Job Aids. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 10

Work with Action DB The CAA Action database is the “heart” of CASORT. Other databases link back to the CAA Action DB via the “Control Number. ” Approval entered & linked Safety Concern entered & linked. Approval entered & linked Admin Issue entered & linked. Approval entered & linked Job Aid entered & linked. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools Document uploaded & linked © 2013 AVSOG, Inc. 11

Keep it Simple! Workforces tend to be resistant to reporting their actions and decisions. A continuous goal of the programmers is to keep this form as simple as possible for the inspector workforce entry. There is no valid excuse for inspectors not entering their Actions, Decisions, Approvals, Safety Concerns (etc) on a disciplined daily basis. . CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools There is extensive use of: 1. Defaulting fields; and 2. Limited selection fields 3. “Auto-Suggest” fields © 2013 AVSOG, Inc. 12

Descriptive Numbering This is the key to keeping the fields required to a minimum. Identify every possible task or event (3000+). . . and assign it an Action Number. . Now the use of the Descriptive Numbering chronologically tells the “history” of this work. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 13

Follow the “history” of this condensed AOC Certification based on Action Number/Descriptions. Descriptive Numbering “History” Pre-Application Phase Formal Application Phase The best way to see and understand Descriptive History is a report of an AOC certification. Document Evaluation Phase Inspection & Demonstration Phase Final Certification Phase CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 14

Action # Description It is critical that this selection is as simple as possible. 6 different methods have been provided for the user selection of an Action Number/Description: Edit your manual system to provide the exact Action # Description you want inspectors to use for each task. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools 1. Use ‘auto-suggest” by typing the Action# or description. 2. Use the number specified in the inspector manual. 3. Use the displayed “Recent Choices” 4. Use the Legacy drill-down menu. 5. Use the Word search method. 6. Use the Browse for More search. © 2013 AVSOG, Inc. 15

Action Number Selection This is the normal look of the blank Action record. 3 of the required fields have defaulted entries. The 5 most recent The Action Number selection defaults choices the Action Taken. of Action Numbers are All 5 required fields have values, this displayed. record is now saved (stored). Insert the cursor in the Action# field and start typing a word or number. Select an Action Number CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. An “auto-suggest” menu will appear. 16

Drop Down Menus & Recent Choices They all work essentially the same way. These fields act to provide drop-down menu selection Put your cursor in the field, the Recent & recent choices. Choices and “Browse for More” links appear. Or start typing what you would like to insert and the “auto-suggest” will begin helping. Or select “Browse for More” and a listing of available selections will open. Selecting from any of those drop-down menu options will insert the information in the field. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 17

Connecting Action-Related Files. . . It is done by using a unique number assigned by the DB. This number makes it possible to open and attach related records from other databases. It also provides connection to other DB related documents and approvals. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 18

Planning and “Gang” Upload CASORT provides the capability to upload planned actions through a “gang” upload. Use an Excel spreadsheet to plan the events & then UPLOAD Surveillance, Certification, Training, etc. Management and inspectors follow-up through reports and notifications. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 19

Excel Upload Templates for the planning and upload of the following events are provided with CASORT. Minimum required annual inspection events. Minimum certification events (for large aircraft AOC) Minimum certification events for commuter AOC Minimum certification events for helicopter AOC Personnel formal training events Renewal of documents, e. g. licenses & certificates CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 20

Standard Reports CASORT has standard reports for tracking key actions and their implementation. To access, select the “Reports” link at the top of the Home Page. Drill down to a specific report. Edit the filters and generate the report. Ask about the ad-hoc report generator. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 21

Computer-Generated Checklists [1] Selecting that field this field on the will show The appearance available job the user Selecting the of aid. . . the indicates that there Action Entry available job aids. is at least 1 (Only 1 in this example). job aid for this job function. This link will now APPEAR on both the EDIT and VIEW copies of this Action record. . Selecting the job aid LINK. . . will open a link to the job aid. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 22

Computer-Generated Checklists [2] Select FINISH EDITING to return to Action record. . will take the user to the incomplete job aid. . . with each question defaulted to “Not Checked. ” Assume you only checked licenses, manuals & certificates. . CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 23

Mobile App Screenshots Incomplete Action entry with job aid selected. App designed for on -site inspections. Selecting “NO” on a job aid generates. . . a saved (skeleton) Safety Concern. Records sync’d with CASORT in the office later using a secure wireless connection CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 24

The Safety Concern record is designed to be a “stand-alone” record of a safety finding and its mitigation and resolution. A safety concern is always originated from an CAA Action record. To “save” the record. the user must enter at least the “initial” risk and the finding. But a smart inspector will always record “Day-of-Discovery” mitigation. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 25

This VIEW listingway to return The best of safety concerns defaulted Concern for Now select EDITis to a Safetyto O=Open. an EDIT is the Home Page View link. To EDIT the safety concern, first select View. The appearance of the notification bar indicates these Safety Concerns are within 15 days of their target resolution dates. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 26

This is a 1 -Stop Safety Concern tracking form. The inspector edits only this record to track mitigation events until the concern is resolved. Sometimes the summary of mitigation and resolution events can extend over several pages. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 27

This database is designed to capture and track findings that are not Safety Concerns. This issue To ENTER an Admin relates to an. . Tracking record, select ADD. The issue that the inspector want to track to completion is entered. The summary of the tracking Action Taken is updated. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 28

Attach to records in other CASORT databases. Upload. The document file types to upload include: 1. scanned PDF searchable document. 2. PDF document generated by a CASORT database (such as a PEL license). 3. Pictures or graphics in. png or. jpeg format. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 29

Documents Links Inserted Uploaded documents are linked to the related files in other databases. Those links appear at the bottom of the related records The related documents may be viewed by clicking on the underlined number. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 30

Forms & Authorizations CASORT has “extract” programs that supports printing of the following: . . . PDF forms directly from the database. . forms via XML directly from the database. PEL License AOC Ops Specs (ICAO Annex 6) Medical certificate Designee Authorization Designee Appointment Certificate of Airworthiness Certificate of Registration Noise Certificate (Validation) Air Operator Certificate (ICAO) Air Operator Certificate (Wall Display) AMO and ATO Certificates The PDF formats can be customized for (or by) the CAA. AOC Ops Specs (Master Approvals) AMO Maintenance Specs ATO Training Specs Aerial Work Ops Specs Inspection Job Aids Evaluation Job Aids CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools Examples of many of these forms appear in the following series of slides. © 2013 AVSOG, Inc. 31

To VIEW the List of PEL Primary Records, Select. . . 101020 CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools To ENTER a new PEL Primary Record, Select. . . Ask about “Tombstone Numbers. ” 101020 -PPL, 101020 -CPL, 101020 -AME, 101020 -DPE © 2013 AVSOG, Inc. 32

To VIEW a specific PEL report provides a This Holder record, report summary of the “current” Select the select. . . link to see the status of a PEL license holder. active records for this PEL License Holder. The CAA can also run this as a historical report by including both the current and superseded information. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 33

Copies of issued PEL licenses are stored in the Document Control database. But are accessed from the PEL License holder record. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 34

Select ENTER to create a new Aircraft Record. Select VIEW to go to the

This report summarizes the “current” certificates and approvals that have been issued to this aircraft. Then select VIEW to go to an Aircraft record and request an “active approvals” report. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 36

Aircraft Certificates. . . or print out certificates for issuance to the aircraft owner/operator. . be sure to store a signed copy in the Document Control database. Remember these forms can be easily customized to the CAA’s forms. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 37

This is a typical Org Approval entry form That gives theallowing CAA to edit access to the permitted user record this approval. Org Primary record and available sub-tables. To ENTER a new Organization, The user would select from the select this icon “type of approval” menu The database will attach this completed approval record to the Primary Org record. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 38

Selecting VIEW will bring up the listing of active Organizations To get a quick certificated by the CAA. summary of this organization’s current approvals, Select an organization to select this report view their specific record. link. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 39

This is an excerpt of a typical AOC organization. For this AOC, the report of current approvals is 4+ pages long. . Emphasis on the word “current. ” You can choose to get a historical report of all approvals (current & superceded). CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 40

Operations Specifications Also available = Opspecs This a “master” opspec approval page based on the current approvals for this AOC organization. An ICAO Aircraft Type. Specific opspec is also printed for each fleet. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 41

Retention of “Approvals” History These databases have provisions to retain historical records of all “approvals” This YES/NO feature gives the CAA the capability to archive a history for each specific approval. This provision is a simple “Active: ” YES or NO? This choice is defaulted to “YES” when entering a NEW record. The database will give the user a opportunity to change the status of an current approval to “NO” when an apparent duplicate approval is being entered. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 42

Select “View” to get the Employee Listing Select “ENTER” to get the Qualification Entry Page Select an employee. . . CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 43

The selection brings up the Employee’s Primary Qualification Record. This report is can be printed for inclusion in hard-copy records. . . and substantiated by graduation and class attendance certificates. To get a quick summary of this CAA Employee’s current approvals, select this report link. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 44

This training plan indicates that the CAA employee will complete the baseline formal training. This plan also indicates that the employee will To review the Training Plan (future maintain aircraft training) for this employee, select type-specific this report. qualification. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 45

“Neutral” Databases CASORT is designed to be “regulations-neutral. ” – Specific regulation references may be inserted by the user. CASORT is also designed to be “technical guidance neutral. ” – Users may specify the Action numbers and Approvals for use by their personnel. The CASORT Suite of databases will work with any CAA’s regulations and technical guidance. AVSOG can provide separately a CAA technical guidance system that thoroughly incorporates the CASORT capabilities. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 46

Other Management Features Records Lock (and Un-Lock) – In order to protect the critical records of certification, surveillance and safety concern resolution, there is a feature that allows management to lock the record to prevent additional editing. Specific Field Permissions – There are some fields that provide for management certification of completion. These fields are normally reserved for management entry. Sub-Table Edit Only – Some data entry personnel are limited by permissions to entry of specific fields, such as PEL medical certificate. This user would not be able to enter records in any other PEL approvals sub-table. Planned Event Field – Management has a special planned event field that allows them to insert “planned events” into the Action database by individual entry or “gangloading” of a large series of planned future events. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 47

“Coming Soon to a CAA. . ” Aerodrome Inspector Action Numbers – CASORT already includes a small body of CAA Action Numbers to report Aerodrome Inspector actions/decisions/approvals. This is being expanded to include the full range of possible inspector actions. ANS Auditor Action Numbers – CASORT already includes CAA Action Numbers to track ANS designee PEL actions. This is being expanded to report the range of possible ANS auditor actions/decisions/approvals. Dedicated CASORT Aerodrome/ANS Databases? – Several CAAs have requested that they would like a separate CASORT program for tracking these actions and service provider approvals. Investigations Database – Several CAAs have requested an “Investigations” database to facilitate more detailed collection and reporting of enforcement and incident particulars during “on-site” situations. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 48

Other Services provided by AVSOG CAA Manual System (Manuals, Forms, Documents) – AVSOG has developed a system of CAA manuals, bulletins, job aids, forms, applications, advisory circulars that is fully compatible with CASORT and your regulations. These documents are compatible with ICAO and FAA questionnaires. CAA Baseline Training Courses – We have developed a comprehensive string of short technical training courses that incorporate the critical technical inspector concepts with CASORT tracking of CAA actions, decisions and approvals. – We can tailor the courseware and instructor guides to a specific CAA and their regulations for use as their “core” courses. Quality Assurance (and Control) Functions – We can also be contracted to perform monthly quality audits, providing QA reports from the perspective of safety oversight auditors. Hosting of CAA CASORT Databases – We normally HOST a CAA’s CASORT for their first 4 months to ensure an adequate “spin-up” and standardization of the record entries. – We can also provide continued hosting on a 12 -month contract basis. CASORT Briefing for ICAO Forum: : Showcase of Electronic Tools © 2013 AVSOG, Inc. 49