1. The Essential Safety Oversight Management Tool CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools© 2013 AVSOG, Inc.

2. Questions for Managers 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? Would you like to be able to: CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 2 © 2013 AVSOG, Inc.

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

4. All Actions-Decisions-Approvals!!! CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 4 4 Admin Support Director-General Quality Assurance Quality Control Inspectors Managers Supervisors DG Staff Daily access to the Actions, Decisions and Approvals of the safety oversight workforce. Difficult to hide poor quality work from management. Para-Technicals Quality Assurance Quality Control 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.

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

6. External Access to Database Suite 6 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. CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools Operating System? You choose: Linux, Windows, or OSX Enterprise Level? Yes: Apache Tomcat Java MySQL Scalable ? Users = 5 – 100+ Equip = small office to enterprise apps Browsers? Firefox, Chrome Safari, Explorer © 2013 AVSOG, Inc.

7. Single Username & Password 7 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools The Main (Home) Page is customized to the logged-in user. Multiple databases requiring multiple passwords frustrate most users. 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. © 2013 AVSOG, Inc.

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

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

10. The “Driver’s Seat” 10 Much – Much more than a work tracking system! The CASORT Action database provides for the capture of CAA Actions, Decisions, Approvals, Disapprovals, even meetings. 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 Data is “crunchable” using the: 1. View SEARCH function 2. Standard REPORTS 3. Reports Generator 4. I-Reports © 2013 AVSOG, Inc.

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

12. Keep it Simple! 12 A continuous goal of the programmers is to keep this form as simple as possible for the inspector workforce entry. There is extensive use of: Workforces tend to be resistant to reporting their actions and decisions. 1. Defaulting fields; and 2. Limited selection fields 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 3. “Auto-Suggest” fields © 2013 AVSOG, Inc.

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

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

15. Action # Description 15 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: 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. CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools Edit your manual system to provide the exact Action # Description you want inspectors to use for each task. © 2013 AVSOG, Inc.

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

17. 17 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools Drop Down Menus & Recent Choices These fields act to provide drop-down menu selection & recent choices. They all work essentially the same way. Put your cursor in the field, the Recent 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. © 2013 AVSOG, Inc.

18. Connecting Action-Related Files... 18 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. CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools It also provides connection to other DB related documents and approvals. © 2013 AVSOG, Inc.

19. Planning and “Gang” Upload 19 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 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. © 2013 AVSOG, Inc.

20. Excel Upload Templates 20 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 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 Templates for the planning and upload of the following events are provided with CASORT. © 2013 AVSOG, Inc.

21. Standard Reports 21 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 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. © 2013 AVSOG, Inc.

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

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

24. Mobile App Screenshots 24 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools Incomplete Action entry with job aid selected. 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 App designed for on-site inspections. © 2013 AVSOG, Inc.

25. 25 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools A safety concern is always originated from an CAA Action record. The Safety Concern record is designed to be a “stand-alone” record of a safety finding and its mitigation and resolution. 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. © 2013 AVSOG, Inc.

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

27. 27 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 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. © 2013 AVSOG, Inc.

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

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

30. Documents Links Inserted 30 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 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. © 2013 AVSOG, Inc.

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

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

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

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

35. 35 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools Select ENTER to create a new Aircraft Record. Select VIEW to go to the Listing of Aircraft © 2013 AVSOG, Inc.

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

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

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

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

40. 40 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.

41. Operations Specifications 41 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools 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. © 2013 AVSOG, Inc.

42. Retention of “Approvals” History 42 CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools This provision is a simple “Active:” YES or NO? These databases have provisions to retain historical records of all “approvals” 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. This YES/NO feature gives the CAA the capability to archive a history for each specific approval. © 2013 AVSOG, Inc.

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

44. 44 To get a quick summary of this CAA Employee’s current approvals, select this report link. 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. CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools© 2013 AVSOG, Inc.

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

46. “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

47. 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 “gang- loading” of a large series of planned future events. CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools© 2013 AVSOG, Inc. 47

48. “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

49. Other Services provided by AVSOG CAA Manual System (Manuals, Forms, Documents) –A–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 –W–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. –W–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 –W–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 –W–We normally HOST a CAA’s CASORT for their first 4 months to ensure an adequate “spin-up” and standardization of the record entries. –W–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

50. The Essential Safety Oversight Management Tool CASORT Briefing for ICAO Forum:: Showcase of Electronic Tools gperkins@avsog.com www.avsog.com © 2013 AVSOG, Inc.