USER MANUAL

ISSUE 7
AL 12
DATED Jun 23

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Preliminaries

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P 1. Contents
PRELIMINARIES ................................................................................................................................ 3

P 1. Contents .................................................................................................................... 4
P 2. List / Record of Amendments ................................................................................. 10
P 3. List of Abbreviations............................
............................................................................................... 13
P 4. Definition of Terms .................................................................................................. 15
P 5. ASIMS Quick Look .................................................................................................. 18

P 5.1. Introduction ........................................................................................................ 18

P 5.2. System Security Classification - OFFICIAL ....................................................... 18
P 5.3. ASIMS Contacts ................................................................................................ 20
P 5.4. Report Process Flow ......................................................................................... 21
P 5.5. Training .............................................................................................................. 21
P 5.6. Training Server .................................................................................................. 22

P 6. How to use the ASIMS Manual ............................................................................... 23

P 6.1. Introduction ........................................................................................................ 23

P 6.2. FAQ Section Signpost ....................................................................................... 23

PART A ASIMS BACKGROUND AND OVERVIEW ....................................................................... 25

A 1. ASIMS Background ................................................................................................. 26

A 1.1. What is ASIMS? ................................................................................................. 26

A 1.2. ASIMS History Timeline ..................................................................................... 26
A 1.3. Why Report? ...................................................................................................... 26
A 1.4. What should be reported? ................................................................................. 26
A 1.5. Occurrence Reporting and Investigation. .......................................................... 27

A 2. ASIMS Overview ..................................................................................................... 28

A 2.1. Accessing ASIMS .............................................................................................. 28

A 2.2. ASIMS Homepage ............................................................................................. 29
A 2.3. ASIMS Home page ............................................................................................ 30
A 2.4. Types of ASIMS User ........................................................................................ 31

PART B REPORTING AN OCCURRENCE ................................................................................... 34

B 1. Reporting an Occurrence Overview ........................................................................ 35

B 1.1. Introduction ........................................................................................................ 35

B 2. Raising a DASOR - Online ..................................................................................... 39

B 2.1. Online Reporting ................................................................................................ 39

B 2.2. Reporter Form Sections ..................................................................................... 40
B 2.3. Review and Submit ............................................................................................ 49

B 3. Additional Reports ................................................................................................... 52

B 3.1. Aeronautical Information Report ........................................................................ 52

B 3.2. Air Traffic Management ..................................................................................... 52
B 3.3. Airprox ................................................................................................................ 55
B 3.4. Bird Strike .......................................................................................................... 61
B 3.5. Human Fatigue .................................................................................................. 62

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 B 3.6. Laser/HP Illumination ......................................................................................... 65
B 3.7. Lightning Strike .................................................................................................. 67
B 3.8. Loose Article ...................................................................................................... 69
B 3.9. MALDROP ......................................................................................................... 70
B 3.10. Parachuting................................................................................................... 74
B 3.11. Uncharted Obstructions ................................................................................ 79
B 3.12. SESOR (DE&S use only) ............................................................................. 79

PART C PROGRESSING A DASOR .......................................................................................... 80

C 1. Progressing a DASOR Overview ............................................................................ 81

C 1.1. Introduction ........................................................................................................ 81

C 2. Occurrence Manager Role ...................................................................................... 83

C 2.1. Introduction ........................................................................................................ 83

C 2.2. General Responsibilities .................................................................................... 84
C 2.3. Occurrence Manager Workflow ......................................................................... 85
C 2.4. Occurrence Manager Checks ............................................................................ 85
C 2.5. Occurrence Manager Tab Completion .............................................................. 87
C 2.6. Occurrence Manager Tab Sections ................................................................... 88
C 2.7. Report Acceptance ............................................................................................ 90
C 2.8. Actions following Auto-Acceptance ................................................................... 93
C 2.9. Send for Action .................................................................................................. 95
C 2.10. Monitoring Actions ........................................................................................ 96
C 2.11. Hashtags ....................................................................................................... 97
C 2.12. Progressing to Investigation ......................................................................... 99
C 2.13. Linking Reports ........................................................................................... 101
C 2.14. Transferring to another EMS ...................................................................... 103

C 3. Maintenance Role ................................................................................................. 105

C 3.1. Introduction ...................................................................................................... 105

C 3.2. Technical Tab Completion ............................................................................... 106
C 3.3. Technical Tab Sections ................................................................................... 106
C 3.4. Review and Complete ...................................................................................... 112

C 4. ATM Supervisor Role ............................................................................................ 114

C 4.1. Introduction ...................................................................................................... 114

C 4.2. ATM Supervisor Tab Completion .................................................................... 114
C 4.3. ATM Supervisor Tab Sections ......................................................................... 115
C 4.4. Review and Complete ...................................................................................... 116

C 5. Commentator Role ................................................................................................ 117

C 5.1. Introduction ...................................................................................................... 117

C 5.2. Adding Comments ........................................................................................... 118
C 5.3. Acknowledging Comments .............................................................................. 119
C 5.4. Comment Status .............................................................................................. 119

C 6. Questions .............................................................................................................. 121

C 6.1. Introduction ...................................................................................................... 121

C 6.2. Asking a question ............................................................................................ 121
C 6.3. Answering a question ...................................................................................... 122
C 6.4. Acknowledge Answer ...................................................................................... 123

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 PART D MANAGING ASIMS .................................................................................................. 124

D 1. Managing ASIMS Overview .................................................................................. 125

D 1.1. Introduction ...................................................................................................... 125

D 2. My Details ............................................................................................................. 126

D 2.1. Introduction ...................................................................................................... 126

D 2.2. Amend/Update/View ........................................................................................ 126

D 3. Following Reports/Recommendations .................................................................. 128

D 3.1. Introduction ...................................................................................................... 128

D 3.2. Follow a Report ................................................................................................ 128
D 3.3. Un-follow a Report ........................................................................................... 128
D 3.4. Follow a Recommendation .............................................................................. 128
D 3.5. Unfollow a Recommendation ........................................................................... 128

D 4. Reports Summary ................................................................................................. 129

D 4.1. Introduction ...................................................................................................... 129

D 4.2. Reports Summary Sections ............................................................................. 129
D 4.3. Reports Summary Functionality....................................................................... 131
D 4.4. Default View ..................................................................................................... 131

D 5. ASIMS Notifications .............................................................................................. 133

D 5.1. Introduction ...................................................................................................... 133

D 5.2 Notification Details ........................................................................................... 133

D 6. Local Administrators ............................................................................................. 144

D 6.1. Introduction ...................................................................................................... 144

D 6.2. Amending Role Groups ................................................................................... 144
D 6.3. Assigning Investigator(s) ................................................................................. 147

PART E INVESTIGATION, FINDINGS AND RECOMMENDATIONS ................................................. 150

E 1. Investigation .......................................................................................................... 151

E 1.1. Introduction ...................................................................................................... 151

E 1.2. Managing Comments ....................................................................................... 152
E 1.3. Investigation Tab Completion .......................................................................... 155
E 1.4. Investigation Tab Sections............................................................................... 157
E 1.5. Review and Complete ...................................................................................... 158

E 2. Findings ................................................................................................................ 159

E 2.1. Introduction ...................................................................................................... 159

E 2.2. Taxonomy ........................................................................................................ 160
E 2.3. Findings Tab Completion ................................................................................. 162
E 2.4. Findings Tab Sections ..................................................................................... 164
E 2.5. Review and Complete ...................................................................................... 172

E 3. Raising Recommendations ................................................................................... 173

E 3.1. Introduction ...................................................................................................... 173

E 3.2. Recommendation Generation .......................................................................... 174

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 E 3.3. Send to ADH/AM ............................................................................................. 175
E 3.4. Linking to an existing recommendation ........................................................... 177

E 4. Send for Review .................................................................................................... 178

E 4.1. Introduction ...................................................................................................... 178

E 4.2. Send to Occurrence Manager Review ............................................................. 178
E 4.3. Send to DDH/AM Review ................................................................................ 178
E 4.4. Send to ORG ................................................................................................... 179

E 5. Occurrence Manager Review ............................................................................... 181

E 5.1. Introduction ...................................................................................................... 181

E 5.2. Review and Complete ...................................................................................... 181

E 6. ORG ...................................................................................................................... 183

E 6.1. Introduction ...................................................................................................... 183

E 6.2. ORG Tab Completion ...................................................................................... 183
E 6.3. ORG Tab Sections ........................................................................................... 184
E 6.4. Review and Complete ...................................................................................... 186

PART F ADH DASOR REVIEW AND CLOSURE ......................................................................... 188

F 1. DDH / AM Review ...................................................................................................... 189

F 1.1. Introduction ...................................................................................................... 189

F 1.2. Members of DDH/AM Review Group ............................................................... 190
F 1.3. DDH/AM Review .............................................................................................. 190
F 1.4. Return to Investigation ..................................................................................... 191
F 1.5. Report Closure ................................................................................................. 191
F 1.6. Elevate to ODH/AM Review............................................................................. 192
F 1.7. Complete pending comments .......................................................................... 193

F 2. ODH / AM Review Group ........................................................................................... 194

F 2.1. Introduction ...................................................................................................... 194

F 2.2. Members of ODH/AM Review Group .............................................................. 194
F 2.3. ODH/AM Review .............................................................................................. 195
F 2.4. Report Closure ................................................................................................. 196
F 2.5. Complete pending comments .......................................................................... 197

PART G SIGNIFICANT EQUIPMENT SAFETY OCCURRENCE REPORT (SESOR) ......................... 199

G 1. ASIMS SESOR Functionality ................................................................................ 200

G 1.1. Introduction ...................................................................................................... 200

G 1.2. SESOR Process Flow ...................................................................................... 200
G 1.3. Procedure for Raising a SESOR ..................................................................... 200
G 1.4. SESOR Occurrence Manager Role ................................................................. 211
G 1.5. Procedure for Responding to a SESOR .......................................................... 216
G 1.6. DAT Review Role ............................................................................................ 217
G 1.7. SESOR Searching ........................................................................................... 219

PART H RECOMMENDATIONS................................................................................................ 220

H 1. Recommendation Progression ............................................................................. 221

H 1.1. Introduction ...................................................................................................... 221

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 H 1.2. ADH/AM ........................................................................................................... 222
H 1.3. Recommendation Owner ................................................................................. 231
H 1.4. Implementor ..................................................................................................... 236
H 1.5. Owner Review ................................................................................................. 241
H 1.6. ADH/AM Review .............................................................................................. 243

PART I DATA EXPLOITATION..................................................................................................... 249

I 1. ASIMS Data Exploitation ............................................................................................ 250

I 1.1. Introduction ...................................................................................................... 250

I 2. DASOR Searching ..................................................................................................... 251

I 2.1. Standard Search .............................................................................................. 251

I 2.2. Searchable Fields ............................................................................................ 251
I 2.3. Search Results ................................................................................................ 253
I 2.4. Trend Chart Option .......................................................................................... 254
I 2.5. Download Options ........................................................................................... 254
I 2.6. My Saved Download Options .......................................................................... 254
I 2.7. My Saved Search ............................................................................................ 258
I 2.8. Advanced Search ............................................................................................ 258
I 2.9. Search Expression - Advanced ....................................................................... 259
I 2.10. Search Results - Advanced ............................................................................. 262
I 2.11. Save Filter - Advanced .................................................................................... 264
I 2.12. Exporting Data ................................................................................................ 265

I 3. ASIMS Data Download .............................................................................................. 268

I 3.1. Introduction ...................................................................................................... 268

I 3.2. ASIMS Data ..................................................................................................... 268
I 3.3. Pivot Table ....................................................................................................... 268
I 3.4. Pivot Chart ....................................................................................................... 269

I 4. Recommendation Searching ...................................................................................... 273

I 4.1. Standard Search .............................................................................................. 273

I 4.2. Searchable Fields ............................................................................................ 273
I 4.3. Search Results ................................................................................................ 275
I 4.4. Advanced Search ............................................................................................ 276
I 4.5. Search Expression - Advanced ....................................................................... 277
I 4.6. Search Results - Advanced ............................................................................. 280
I 4.7. Save Filter - Advanced .................................................................................... 281
I 4.8. Exporting Data ................................................................................................. 283

I 5. Trending ..................................................................................................................... 286

I 5.1. Introduction ...................................................................................................... 286

I 5.2. Filters for Trend Chart ...................................................................................... 287
I 5.3. Trend Chart ...................................................................................................... 287

I 6. Analytics ..................................................................................................................... 291

I 6.1. Introduction ...................................................................................................... 291

I 6.2. Dashboards...................................................................................................... 292
I 6.3. Viewing Dashboards ........................................................................................ 293
I 6.4. Creating Dashboards ....................................................................................... 293
I 6.5. Advanced configuration ................................................................................... 298
I 6.6. Custom Field Order ......................................................................................... 300

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 I 6.7. Add filters to a dashboard ................................................................................ 303
I 6.8. Sharing a Dashboard ....................................................................................... 304
I 6.9. Feeds ............................................................................................................... 305

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P 2. List / Record of Amendments

AL Issue
Issue Amended by Details of Amendment
No Date

1 0 Oct 09 Initial Issue

Reflect the formation of the MAA

2 0 Sep 10
Typographical issues amended
Supervisor section added
3 0 Oct 10
Update to reflect software changes

0 Jan 11 Typographical error changes

4 1 Sep 11 Introduction of ASIMS v2.0

2 Oct 11 Typographical error changes

0 Feb 14 MAA-AP-KE-DBA Introduction of ASIMS v2.3 (new look and feel)

1 Jul 14 MAA-AP-KE-DBA Introduction of ASIMS v2.3 Admin functions

2 Jan 15 MAA-AP-KE-DBA Introduction of ASIMS v2.4

5
Organisational changes with the formation of the DSA
3 Apr 15 DSA-MAA-AP-KE-RA2
SESOR section content redacted
SESOR section added
Search SESOR section redacted
4 Jul 15 DSA-MAA-AP-KE-RA2
Linking of reports guidance added to the Occurrence
Manager section.
Complete re-write and re-format for the release of
0 Feb 16 DSA-MAA-AP-KE-RA2
ASIMS v3.0

1 Mar 17 DSA-MAA-AP-KE-DBA Introduction of ASIMS v3.1

2 Apr 18 DSA-MAA-AP-KE-DBA Introduction of ASIMS v3.2

3 Sep 18 DSA-MAA-AP-KE-DBA Introduction of ASIMS v3.3.1

DSA-MAA-OpAssure-KE-
4 Feb 19 Introduction of ASIMS v3.3.2
ASIMSDBA
6 DSA-MAA-OpAssure-KE-
5 Mar 19 Introduction of ASIMS v3.3.3
ASIMSDBA
Include ASIMS Notification Details
DSA-MAA-OpAssure-KE- Adjusted formatting to meet new JSP 101
6 Aug 19
ASIMSDBA requirements
Incorporate text removed from RA 1410
DSA-MAA-OpAssure-KE- Information Role Group definitions added
7 Nov 19
ASIMSDBA Part G updated

DSA-MAA-OpAssure-KE-
8 Apr 20 Updated email notifications format
ASIMSDBA

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 DSA-MAA-OpAssure-KE- Revision of information on Recommendation
9 Jun 20
ASIMSAsstDBA Implementors and Same Incident linking definition

DSA-MAA-OpAssure-KE- Revision of parachuting form

10 Dec 20
ASIMSAsstDBA Revision on injury reporting

DSA-MAA-OpAssure-KE-
11 Jan 21 Revision of submitting a SESOR report.
ASIMSAsstDBA
Revision of DDH Closure statement image.
Revised for gender neutrality. These amendments
DSA-MAA-OpAssure-KE- have not been highlighted in the document.
12 Jan 21
ASIMSAsstDBA Amended AL and Issue number to display them
correctly.
Amended reference for serious fault reporting.
DSA-MAA-OpAssure-KE-
13 Apr 21 Updated terminology within the ORG section.
ASIMSDBA

DSA-MAA-OpAssure-KE-
14 Jul 21 Amended wording for gender neutrality.
ASIMSAsstDBA

DSA-MAA-OpAssure-KE-
15 Jul 21 Add narrative description of DASOR lifecycle.
ASIMSAsstDBA

7 0 Feb 22 DSA-MAA-AP-KE-DBA Complete re-write for the release of ASIMS v4.0.

1 Jul 22 DSA-MAA-AP-KE-DBA Add sharing of advance searches.

2 Sep 22 DSA-MAA-AP-KE-DBA Introduction of Analytics

Include location of Event Type definitions.

3 Oct 22 DSA-MAA-AP-KE-DBA
Minor amendment to Date of Occurrence definition.
4 Oct 22 DSA-MAA-AP-KE-DBA Updated helpdesk contact number

DSA-MAA-OpAssure-KE- Updated to reflect Transform to INForm to reading

5 Nov 22
ASIMSAsstDBA Transfer to another EMS

DSA-MAA-OpAssure-KE-
6 Jan 23 Updated reference on Technical Tab
ASIMSAsstDBA

DSA-MAA-OpAssure-KE-
7 Jan 23 Updated helpdesk contact number
ASIMSDBA
Updated Uncharted Obstruction Report mandatory
8 Feb 23 DSA-MAA-OpAssure-KE2
fields
Updated guidance on auto-acceptance of Serious
9 Feb 23 DSA-MAA-OpAssure-KE2
Fault Reports
Updated view of available fields on Parachuting
10 Apr 23 DSA-MAA-OpAssure-KE2
additional report
Amended guidance for the Outcomes of Hazard
Observations
11 Apr 23 DSA-MAA-OpAssure-KE2 Amended Parachuting Additional Report Fields
Amended ATM Additional Report Fields

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 Amended guidance for the Outcomes of Hazard
Observations
Amended Parachuting Additional Report Fields
12 Jun 23 DSA-MAA-OpAssure-KE2 Amended ATM Additional Report Fields
Added guidance for multiple Uncharted Obstructions
within the same DASOR
Amended guidance on removal of attachments

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P 3. List of Abbreviations
ABM…....... Air Battlespace Manager
ADH……… Aviation Duty Holder
AIB………. Accident Investigation Branch
ALARP…... As Low As Reasonably Practicable
ALI……….. Air Land Integration
AM……….. Accountable Manager
AoR……… Area of Responsibility
ASIMS…... Air Safety Information Management System
ATC……… Air Traffic Control
ATM……… Air Traffic Manager
CAA……… Civil Aviation Authority
CANP…… Civil Aviation Notification Procedure
DAC……… Defence Aviation Community
DASOR…. Defence Aviation Safety Occurrence Report
DAEMS….. Defence Aviation Error Management System
DDH……... Delivery Duty Holder
DE&S……. Defence Equipment & Support
DG……….. Director General
DSA……… Defence Safety Authority
DZ……….. Drop Zone
EMS……... Error Management System
FL………... Flight Level
Hdg……… Heading
HISL…….. High Intensity Strobe Light
HP……….. High Power
GCS……… Ground Control Station
LI…………. Local Investigation
MAA……... Military Aviation Authority
MAR……... Military Aircraft Register
MOD…….. Modification
MOR…….. Mandatory Occurrence Report (Civ)
NMC…….. Negative Mode Charlie
NSN……… NATO Stock Number
ODH……... Operational Duty Holder
ORG…….. Occurrence Review Group
ORN……... Originator Reference Number
OSI………. Occurrence Safety Investigation
PDF……… Portable Document Format
POC……… Point Of Contact
PT………... Project Team
PWI……… Preliminary Warning Instruction
QOR……... Quality Occurrence Report
RA……….. Regulatory Article
RA (ATM).. Resolution Advisory
Rec………. Recommendation
RT……….. Radio Transmission
RTI………. Routine Technical Instruction

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 RtL………. Risk to Life
SESOR….. Significant Equipment Safety Occurrence Report
SI………… Service Inquiry
SI(T)……... Service Instruction (Technical)
SME……... Subject Matter Expert
SMS……... Safety Management System
SON……... Significant Occurrence Notification
SQEP……. Suitably Qualified and Experienced Person
SSR……… Secondary Surveillance Radar
STI……….. Special Technical Instruction
SyOps…... Security Operating Procedures
TA………... Traffic Avoidance
TAA………. Type Airworthiness Authority
TBD……… To Be Determined
TCAS……. Traffic Collision Avoidance System
UTI………. Urgent Technical Instruction

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P 4. Definition of Terms

Term Definition

ADH/AM Review The recommendation owner has completed their review of

the implementation and the recommendation is sent to the
(Recommendation status) ADH/AM to review the recommendation prior to closure.

Awaiting Comments The report has been sent for comment to an individual or
role group/s and at least one request for comment is
(Comment status) currently outstanding (final comment not added). (Note:
This status is replaced with New Comments when there are
comments on a report that the user has not yet
acknowledged).

Closed The recommendation has been closed and all work

completed. (Note: Recommendations at this status are not
(Recommendation Status) shown on the Managed Recommendations section – they
need to be searched for using the Search
Recommendations function).

Closed and filed The report has been closed. (Note: reports at this status are
not shown on the Managed Reports section – they need to
(DASOR status) be searched for using the Search Reports function).

Comments Received The report has been sent for comment to an individual or
role group/s and all requests have been actioned (final
(Comment status) comments added). (Note: This status is replaced with New
Comments when there are comments on a report that the
user has not yet acknowledged).

Complete Pending The report has been placed in a pending state by an

Comments ADH/AM awaiting additional comments prior to closure.

(DASOR status)

DDH/AM Review The report has been sent to the DDH/AM role group for
review.
(DASOR status)

Defence AIB Review The recommendation has been passed to the Defence AIB
for comment following review by the ADH/AM. (Note: This
(Recommendation status) step only happens when the DASOR the recommendation
was raised against initiated a DG DSA convened
investigation).

DG Review The recommendation has been passed to the DG DSA for

comment and closure following the Defence AIB Review.
(Recommendation status) (Note: This step only happens when the DASOR the

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Term Definition
recommendation was raised against initiated a DG DSA
convened investigation).

Draft The recommendation has been raised but has not been
sent to an ADH / AM for implementation. (Note:
(Recommendation Status) Recommendations at this status are not shown on the
Managed Recommendations section – they need to be
searched for using the Search Recommendations function).

Imp(s) Assigned The recommendation has been assigned a

Recommendation Implementor(s) to implementation the
(Recommendation status) recommendation.

Master Report A report that has been linked to subordinate report(s), upon
closure of the Master Report the Investigation, Findings and
Recommendations will be copied to all linked subordinate
report(s) before being closed.

New Comments The report has comments that the user has not yet
acknowledged. (Note: This status is individual to each user,
(Comment status) this is because it is dependent on the user having
acknowledged the comments on a report)

Not Requested Default comment status – indicates that no requests for

comment have been sent. (Note: This status is replaced
(Comment status) with New Comments when there are comments on a report
that the user has not yet acknowledged).

Occurrence Manager For investigation type of LI only. Upon completion of the

Review investigation the report is returned to the occurrence
manager to review the findings and recommendations prior
(DASOR status)
s) to onward transmission to DDH/AM Review.

ODH/AM Review The report has been sent to the ODH/AM role group for
review.
(DASOR status)

Open report These reports have been accepted by the Occurrence

Manager and have also been distributed – this should have
(DASOR status) been done within 2 working days. These reports are now
viewable by all ASIMS users and can now be sent for
Comments (to specific role group(s) or individuals) or for
Investigation.

ORG Review The report has been sent to the ORG role group for review
(OSI only), the ORG tab is only visible to members of the
(DASOR status) ORG review.

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Term Definition

Owner Assigned The recommendation has been accepted and a

Recommendation Owner assigned.
(Recommendation status)

Owner Review The implementor(s) have completed the implementation of

the recommendation and the owner must review the work
(Recommendation status) completed before onward transmission.

Pre-submitted report A report which has been drafted but not yet submitted, or
those for which there has been a submit attempt and
(DASOR status) ASIMS does not know the correct staffing chain for the
report. These reports will appear in search results, but the
report details are only viewable by the ASIMS Admin Team.

Raised The recommendation has been raised in ASIMS and is

awaiting ADH/AM review.
(Recommendation status)

Rejected The recommendation has been rejected by the ADH/AM.

(Note: Recommendations at this status are not shown on
(Recommendation status) the Managed Recommendations section – they need to be
searched for using the Search Recommendations function).

Rewrite The recommendation has been returned to the originator for

(Recommendation status) rewrite.

Submitted Report – These reports are awaiting the Occurrence Manager to

awaiting acceptance review and accept them. These reports will appear in
search results, but the report details are only viewable by
(DASOR status) those in the report Maintenance, ATM Supervisor or
Occurrence Manager role groups.

Subordinate Report A report that has been linked to a Master Report, while an
investigation is ongoing, upon closure of the Master Report
the Investigation, Findings and Recommendations will be
copied to the Subordinate Report before being closed.

Under Investigation The report has been allocated to an investigator(s) to

undertake an investigation. The Investigation section
(DASOR status) (investigation, findings & recommendation tabs) can only be
seen/edited by the Investigator(s) and the report
Occurrence Manager role group members.

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P 5. ASIMS Quick Look
P 5.1. Introduction

P 5.1.1. The Air Safety Information Management System (ASIMS) is a web-based

application to support the reporting, management and analysis of Air Safety occurrences,
investigations and recommendations.

P 5.1.2. ASIMS is accessible online through any device connected to the internet. If an
individual does not have access to ASIMS they will need to contact the ASIMS helpdesk to
request an account.

P 5.1.3. Occurrence reporting and investigation requirements are mandated in MAA RA

1410. The DAC report Air Safety occurrences using ASIMS which is supported by the MAA
Knowledge Exploitation team and ASIMS Helpdesk.

P 5.2. System Security Classification - OFFICIAL

P 5.2.1. DASOR information transmitted via ASIMS must be classified no higher than
Official.

P 5.2.2. Official-Sensitive, and higher, information cannot be transmitted via ASIMS even
though it is hosted on the Defence Infrastructure. This is because ASIMS can
automatically send data to external email addresses (such as to Defence contractors) and
therefore sensitive information should not be entered.

P 5.2.3. This does not prevent event reporting on ASIMS. In general, the Air Safety
relevant information (i.e. that information which could be used to identify remedial actions
to prevent recurrence) will need no security restrictions. Any additional information of an
Official-Sensitive or above classification can be signposted and appropriate contact details
provided without disclosure of the content.

P 5.2.4. This guidance also applies to attachments. Please review all attachments to
ensure no information at Official-Sensitive or above is contained within them. This includes
imagery that may disclose location via geo-tags or recognisable geographical features.

P 5.2.5. If information above Official status is considered of material importance to the

event, it may be transmitted using a medium appropriate to the security classification given
to the report (iaw JSP 440); front line command and Air Safety staff with appropriate
security vetting will then decide what elements of the report can be entered onto ASIMS.
The general principle is to keep the classification as low as possible.

Note: The inclusion of aircraft information or personal information does not itself classify a
DASOR as Official. The former is information which is available under the Freedom of
Information Act and the latter is protected by Data Protection Laws.

P 5.2.6. If information above Official status is submitted on a report, a request for

redaction should be made through the ASIMS Helpdesk. The request should include the
information to be redacted, the corresponding ASIMS field and the replacement
information.

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P 5.3. ASIMS Contacts

P 5.3.1. ASIMS Access:

ASIMS website:
 https://asims.ice.mod.gov.uk

Figure 1

 https://asims.ice.mod.gov.uk/MODCas

ASIMS PDF forms:

 https://www.gov.uk/government/publications/defence-air-safety-
occurrence-report-dasor-forms

P 5.3.2. ASIMS Helpdesk Contact Details:

Email:
 [email protected]

Telephone:
Civilian Network: +44 (0)7966 740984
+44 (0)7966 739770

P 5.3.3. Useful links

ASIMS Updates:
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/att
achment_data/file/1044753/Update_and_Bug_Fix_Log.pdf

ASIMS Training:
 https://asims.ice.mod.gov.uk/asims/training/index.html

RA 1410 – Occurrence Reporting:

 https://www.gov.uk/government/publications/regulatory-article-ra-1410-
occurrence-reporting

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P 5.4. Report Process Flow

P 5.4.1. The diagram below shows the process flow of a DASOR from submission to the
closure.

Figure 2

P 5.4.2. ASIMS is made up of Role Groups which control user permissions, the
notifications users receive, and the actions users need to perform. When a report is
submitted, it is sent to different role groups to complete specific sections of the report
depending on the type of report raised.

P 5.4.3. ASIMS role groups must be populated, regularly monitored, and updated by
SQEP with requests for change submitted to the ASIMS Helpdesk or single Service Points
of Contact. Local Flight Safety Officers and equivalent at Sqn/units should inform the
ASIMS Helpdesk/single Service Points of Contacts of role group/role assignment requests
for changes to cover deployments/detachments and/or embarkations; to ensure the correct
routing of DASORs.

P 5.4.4. ASIMS contains Information Distribution Lists (Info Dist Lists) for each platform
(inc Parachuting and MALDROP). These lists enable all interested users to be notified
when a DASOR is raised for a particular platform.

P 5.5. Training

P 5.5.1. The ASIMS training suite is accessible from the Resources section once logged
in.

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P 5.5.2. ASIMS Users should undertake the appropriate training for their
role/requirements prior to using the system as defined in the Training Matrix within the
training package.

P 5.6. Training Server

P 5.6.1. An ASIMS training server has been set up to provide the user community a safe
environment to train on and test functionality of ASIMS without having to input into the live
system.

P 5.6.2. The training server is an exact replica of the current live ASIMS version, and all
content within this manual applies, with the following exceptions:

a. The DASOR data will only be as current as the date of the last test server
refresh.

b. The Message of the Day will be different to the live system indicating the
version of ASIMS and the date the live data was copied.

c. Notifications do not work but the DASOR workflow will still mimic the live
system, i.e. a member of a maintenance role group will still have access at the
same point of the DASOR workflow as the live system but will not receive a
notification to inform them of such access.

Warning: Do not submit live Air Safety occurrences onto the training server.

P 5.6.4. The training server can be found through the following link:

 https://sandbox.asims-preprod.ice.mod.gov.uk

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P 6. How to use the ASIMS Manual
P 6.1. Introduction

P 6.1.1. The ASIMS manual has been divided into multiple sections which are each
intended to be informative about a particular aspect of ASIMS; for example, reporting an
occurrence, recording the results of an investigation, or extracting data from ASIMS.

P 6.1.2. For the majority of ASIMS users, this format will be ideal for the task they wish
to undertake at a particular time. Users who are more involved with the day-to-day
managing and exploitation of ASIMS and the data it holds will need to read multiple
sections of the manual to understand the full range of the system’s capabilities.

P 6.1.3. Each section of the Manual starts with a short description of that section. This is
then followed by a full in-depth explanation of the relevant aspect of ASIMS.
P 6.2. FAQ Section Signpost

What do you want to do with ASIMS? The relevant part(s) of this Manual to
read…

Understand the basics of ASIMS Part A – ASIMS Overview, Background

and Basics

Submit a DASOR (e.g. an air safety Part B – Reporting an Occurrence

occurrence report, or a “hazard
observation”)

Submit a specialist occurrence report such Part B – Reporting an Occurrence

as bird strike, airprox, fatigue, air traffic
management report, maldrop, or
parachuting report.

Request an ASIMS account Part A 2.1 – Accessing ASIMS

I’ve forgotten my ASIMS password Part A 2.1 – Accessing ASIMS

I want to get some data out of ASIMS Part I – ASIMS Data Exploitation

Carry out the role of Occurrence Manager Part C – Progressing a DASOR

Add specialist technical (maintenance) input Part C 3 – Maintenance Role

to a DASOR

Add specialist air traffic (ATC supervisor) Part C 4 – ATM Supervisor Role
input to a DASOR

Add a comment to a DASOR Part C 5 – Commentator Role

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What do you want to do with ASIMS? The relevant part(s) of this Manual to
read…

Assess a DASOR allocated to me as, or on Part F – ADH/AM DASOR Review and

behalf of, the DDH Closure

Assess a DASOR allocated to me as, or on Part F – ADH/AM DASOR Review and

behalf of, the ODH Closure

I have logged into ASIMS – what does it all Part A 2 – ASIMS Overview
mean?

I’m an Occurrence Manager – how do I Part D 6 – Local Administrators

check the Role Groups on my unit?

Record the results of an investigation Part E 1 – Investigation

Raise a recommendation to prevent an Part E 3 – Recommendations

incident recurring

I’m in a Project Team and want to raise a Part G – ASIMS SESOR Functionality
SESOR, or add some comments to one
which already exists

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Part A ASIMS Background and Overview

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A 1. ASIMS Background
A 1.1. What is ASIMS?

A 1.1.1. The ASIMS is a web-based application to support the reporting, management

and analysis of air safety occurrences, investigations and recommendations. It forms an
intrinsic part of DAEMS. DAEMS provides the governance structure, knowledge (through
training), roles and regulation; ASIMS provides the software tool needed to manage Air
Safety occurrences.
A 1.2. ASIMS History Timeline

A 1.2.1. Air Safety occurrences were originally reported via a signal-based system
known as Pandora.1 The RAF Institute of Flight Safety began developing a web-based
replacement known as the Flight Safety Information Management System, which
subsequently developed into ASIMS.

A 1.2.2. ASIMS was introduced on 1 Apr 09 by the Directorate of Aviation Regulation &
Safety, which was subsumed into the MAA.

A 1.3. Why Report?

A 1.3.1. Reporting occurrences and hazard observations enables action to be taken to

prevent recurrence, or more importantly, to anticipate and prevent other, potentially more
serious outcomes, both locally and across Defence; thereby reducing RtL.

A 1.3.2. Reporting and resolving observed or perceived hazards will make working in
Defence Aviation safer, preserve capability, and can also improve work life quality.

A 1.4. What should be reported?

A 1.4.1. The occurrence reporting and investigation requirements are mandated in MAA
RA 1410 with DASOR timelines contained at Annex A. Any event with an Air Safety
implication should be reported.

A 1.4.1. All losses attributable to enemy action must be reported appropriately,

cognisant of classification and sensitivity, via a DASOR.

A 1.4.2. ADHs and AMs must ensure that Serious Faults are reported2 3 4. The senior
engineer of the Unit involved must ensure that the Serious Fault fields are completed in
the technical section of the DASOR, see para C 3.3. Those who report Serious Faults
using systems other than ASIMS must ensure that ASIMS is also populated and
maintained.

1
Legacy Pandora Incident Report data is available on ASIMS as scanned documents.
2
Refer to RA 4814 – Occurrence Reporting (MRP 145.A.60).
3
Refer to RA 5404 – Fault Reporting and Investigation for Contractors.
4
Refer to RA 5805 – Responsibilities of the Holder of a Military Type Certificate and MAA Design Organization Approvals (MRP 21
Subpart A).

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A 1.5. Occurrence Reporting and Investigation.

A 1.5.1. A DASOR is to clearly capture and record the Air Safety issue through to
resolution. Brevity is encouraged.

A 1.5.1. Due to their use as a single reference source, DASORs must be completed as
fully and as accurately as possible. As new information is obtained, Occurrence Managers,
or those requested to provide additional evidence, must update DASORs accordingly and
notes made to that effect in the Comments section.

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A 2. ASIMS Overview
A 2.1. Accessing ASIMS

A 2.1.1. ASIMS is accessed via the internet.

A 2.1.2. Any individual involved in the support of military aviation can apply for an
ASIMS account, this is done by contacting the ASIMS helpdesk.

Note: All initial accounts are created as a browser account, this enables the user to view
and download DASORS.

A 2.1.3. If the user requires additional permissions within ASIMS they should contact
someone in the station Flight/Air Safety Office or an allocated Safety Manager, if you are a
member of a DE&S Delivery Team, who will arrange for the permissions to be added.

Note: The ASIMS Helpdesk do not have the local knowledge to assign the correct role
groups to your account and is why it is requested by the local Flight Safety Officers and
equivalent. Some local Flight Safety Officers and equivalent have admin permissions to
carry out role group amendments so the changes can often be made instantly.

A 2.1.4. If you are having difficulty logging in to ASIMS, passwords can be reset from the
logon page by selecting the Reset Password button.

A 2.1.5. An additional field will be displayed in which you can enter your ASIMS
username and select Request Password.

Warning: Both usernames and passwords are case sensitive; the username should
normally be your email address.

A 2.1.6. Your new password will be emailed to the email address recorded on your
ASIMS profile with further instructions on how to complete the process. Should your
recorded email address be incorrect, please contact the ASIMS helpdesk.

Note: If an ASIMS account is not accessed for 180 days it will be disabled, a warning
notification is sent out 30 days prior to it being disabled. In order to prevent the account
being disabled the user needs to log into their account.

Note: Once an ASIMS account has been disabled for 720 days it will be deleted, a
warning notification is sent out 30 days prior to it being deleted. In order to prevent the
account being deleted the user needs to contact the ASIMS helpdesk and request the
account is reactivated then log into the account within 30 days of the warning notification.

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A 2.2. ASIMS Homepage

A 2.2.1. The ASIMS logon enables user to log into the system or request a password
reset.

Figure 3

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A 2.3. ASIMS Home page

A 2.3.1. Once you have logged into ASIMS you will be presented with the Home page.

Figure 4

A 2.3.2. This screen is the main page for accessing the functionality of ASIMS and is
made up of the following sections:

a. ASIMS logo.

b. Navigation Menu. The menu is always available on the left-hand side of

the page and displays the following:

Note: The navigation menu is compressed when accessing the system on a

mobile device, it can be accessed via the Menu button in the top left corner.

(1) Username and Job title:

• Edit - A user can amend their email address, job title, phone
number, subscribe/unsubscribe to platform information
distribution lists, change their password and select to supress
ASIMS email notifications until a specified date (see Part D for
more details).
• Sign Out - Log out of ASIMS and return to the ASIMS Logon
Page.

(2) Main Menu: Contains links to:

• Home – the Home page

• Create New DASOR - initiate the creation of a new DASOR.

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 • Create Anonymous DASOR - initiate the creation of a new
DASOR without recording user details.
• Air Safety Dashboard - MAA Air Safety Dashboard (permissions
apply).

(3) Admin (permissions apply).

(4) Analysis: Contains links to:

• DASOR Search.
• DASOR Search (Adv).
• Rec Search.
• Rec Search (Adv).
• Trending.
• Dashboard.

(5) Resources: Contains links to:

• Findings Taxonomy
• MAA Regulations.
• Statistics.
• Technical Taxonomy.
• Training.
• User Manual.

(6) Helpdesk Contact details

c. Message of the Day. See Para A 2.2.1a.

d. Raise a Report. Two buttons to initiate the creation of a new DASOR or

creation of an anonymous DASOR.

e. Reports Summary. This provides a summary of number of reports,

serious faults, SESORs, recommendations and questions that the individual
user is required to action, is managing and is following.

Note: Selecting a report total from the summary table will display those specific
reports in a list at the bottom of the screen. For easy visibility of a specific report
summary section a default view can be saved which will be saved to the user
profile (See Part D 4.4 for more detail).

A 2.4. Types of ASIMS User

A 2.4.1. ASIMS is made up of Role Groups which control user permissions, the
notifications users receive and the actions users need to perform. When a report is
submitted, it is sent to different role groups to complete specific sections of the report
depending on the type of report raised.

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Note: Role group membership is managed by the local Flight Safety Officers and
equivalent. The local Flight Safety Officers are the only people authorised to move people
into and out of role groups.

A 2.4.2. Types of user:

a. Reporter. The individual who raises the report. This user does not need to
belong to a Role Group nor require an account to carry out this function.

b. Basic User. Provides basic level access to read and search.

c. Occurrence Manager. Air Safety responsible person responsible for

accepting the report and managing the report through its life cycle.

d. Maintenance. Aircraft Maintainers, ground radio, survival equipment,

responsible for completing the Technical section.

e. ATC Supervisor. ATC/ABM/Range Supervisor, responsible for completing

the supervisor’s section of ATM reports.

f. Commentator. Any personnel who may wish to comment on specific

types of reports.

g. Investigator. A trained investigator individually assigned to the

investigation.

h. Investigator (SI). Defence AIB or associated personnel assigned to the

investigation.

i. Site Admin. Authorised personnel who can update role groups and assign
investigators within their area or responsibility.

j. Legacy Reporting. Users who can input historical/legacy reports.

k. New DASOR Notification. Air Safety Executive who will receive

notification of every DASOR raised.

l. DDH/AM Review Group. Personnel specifically selected by the DDH/AM

to exercise their authority in relation to occurrence reporting. It should be noted
that although their authority for acting on safety information may be delegated to
named individuals, the decisions made on their behalf remain the responsibility
of the DDH/AM.

m. ODH/AM Review Group. Personnel specifically selected by the ODH/AM

to exercise their authority in relation to occurrence reporting.

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A 2.4.3. Each Station and Unit requires several specific Role Groups to enable the
management of reports assigned to them:

a. Station:

• Occurrence Manager

b. Unit:

• Maintenance
• ATC Supervisor
• DDH/AM Review Group

A 2.4.4. ASIMS contains Information Distribution Lists (Info Dist Lists) for each platform
(inc Parachuting and Mal Drop). These lists enable all interested users to be notified when
a DASOR is raised for a particular platform. The notification is for information purposes
only.

Note: Users can manage their subscriptions to ‘Info Dist List’ from their “My Details”
section (see para 2.2) once logged into ASIMS.

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Part B Reporting an Occurrence

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B 1. Reporting an Occurrence Overview
B 1.1. Introduction

Figure 5

B 1.1.1. Figure 5 details the DASOR lifecycle from submissions (far left) through to
closure (bottom right).

a. Report – A report is submitted onto the system.

b. ATM Supervisor Section – On submission all reports with an Air Traffic

Management additional report add are sent to a supervisor role group to
complete the ATM supervisor section.

c. Occurrence Manager – On submission all reports are sent to an occurrence

manager for review and acceptance.

d. Technical Section – On submission all reports (except those with an Air

Traffic Management or AIRPROX additional report) including those with no
additional reports are sent to a maintenance role group to complete the
technical section.

e. Investigation – Once a report has been accepted the occurrence manager

will send the report for investigation. Whilst under investigation comments
can be added to the report and questions asked of users and role groups.

f. Occurrence Review Group – Completed Occurrence Safety Investigations

(OSI) are sent to the Occurrence Review Group (ORG).

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 g. Occurrence Manager Review – Completed Local Investigations (LI) are sent
for occurrence manager review.

h. DDH/AM Review – Completed Service Inquiry’s (SI), ORG’s and occurrence

manager reviews are sent for DDH/AM review and closure.

i. ODH/AM Review – Reports not closed by DDH/AM Review are sent for
ODH/AM Review and closure.

B 1.1.2. Air Safety occurrences shall be reported in accordance with RA 1410 annex A.

B 1.1.3. The act of reporting includes submission of a report by the reporter and
acceptance of the report by an Occurrence Manager (see Part C 2).

B 1.1.4. There are 3 methods of reporting using ASIMS:

a. Log in to ASIMS and select Create New DASOR from the ASIMS Home
page.

b. Log in to ASIMS and select Create Anonymous DASOR from the ASIMS
Home page.

c. Use the DASOR PDF forms. Use if access to ASIMS is not available. A
user log on is not required.

Note: If method c is used the PDF forms should be sent to the Flight/Air Safety Office of
the station the report is to be raised on to be submitted onto ASIMS.

B 1.1.5. The ASIMS home page is found at https://asims.ice.mod.gov.uk.

B 1.1.6. The ASIMS PDF forms are found at

https://www.gov.uk/government/publications/defence-air-safety-occurrence-report-dasor-
forms.

B 1.1.7. Initiate the creation of a DASOR using one of the 3 methods.

B 1.1.8. Complete as many of the fields on the form as possible; fields marked red are
mandatory which include:

a. Occurrence Type. Occurrence Type

b. Details of Individual Reporting Occurrence. Rank/Title; Full Name; Job

Title; Contact Details; Email Address; and Was this DASOR generated from an
In-form/EMS report.

Note: The reporter details will be automatically populated if using the Create
New DASOR option but are editable. If the reporter wishes to report
anonymously, they should use the Create Anonymous DASOR option where
the user details are not populated and are optional.

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 c. Occurrence Details. Date of Occurrence; Time of Occurrence; Time of
Day; Place of Occurrence; Country; Ship/Station/Organisation; and
Unit/Squadron/Flight/Site.

Note: Ensure the correct Ship/Station and Squadron/Unit are selected to

ensure the DASOR workflow is correct; unless instructed otherwise select your
home Ship/Station and Unit/Squadron irrespective of where the occurrence took
place.

d. Aircraft Involved. Embarked on ship (when service = RN); Aircraft

Registration; and Aircraft Type/Mark.

e. Description of Event. Brief Title; Narrative Description of Event; and

Perceived Severity.

f. Nature of Flight & Flight Phase. If the report incident type is Air then
these fields are mandatory.

B 1.1.9. The reporter should consider the use of the additional reports to provide further
information. Select any additional reports that are deemed relevant and complete as many
of the fields on the form as possible.

Note: Selecting an additional report will add additional fields for completion in the
reporter’s view. For reporters using PDF forms the additional forms are separate to the
reporter PDF form.

B 1.1.10. In addition to those identified at Para B 1.1.8 if any additional forms are selected
the following mandatory fields are required:

a. If Human Fatigue form selected: Start of duty time; Workload in the hour
prior to the occurrence; Awake duration; and level of alertness.

b. If Laser/HP Illumination form selected: Number of Laser(s)/High Powered

Light; Light Source Type; Was Laser/Light Eye Protection (LEP) available/used
during incident; Fixed/Rotary; Distraction; Glare; Afterimages; and Injury.

c. If Loose Article form selected: Type of issue; Is this an Aircraft part?

d. If MALDROP form selected; Condition of DZ Surface.

e. If Uncharted Obstruction form selected; Brief description of obstruction.

f. If SESOR (DE&S use only) form selected; Aircraft Repair Category; and
Engine Repair Category.

B 1.1.11. Once the fields are complete:

a. Select Review Report >> check the details before confirming submission.

b. PDF forms. Send to unit POC, typically the unit Flight/Air Safety Cell or
EMS coordinator.

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Note: An error message will be displayed if any mandatory fields have not been
completed (ASIMS submissions only).

Note: The DASOR reference number should be recorded so that feedback from your local
Occurrence Manager can be requested.

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B 2. Raising a DASOR - Online
B 2.1. Online Reporting

B 2.1.1. All users must log into ASIMS to raise a report then select either Create New
DASOR or Create Anonymous DASOR from the Raise a report section of the Home
page or from the Menu Bar. When raising an anonymous report, users can still enter
reporter details, but they are not mandatory and a valid email address must be supplied if
the user requires feedback.

Note: If an anonymous report is raised it will be record as being raised by “Mx User
Anonymous” and the users log in credentials will not be used or recorded against that
report.

Note: If the Create New DASOR button is used to raise a report the Details of Individual
Reporting Occurrence will only be visible to the Occurrence Managers and report
Investigators during the investigation phase of the report process. No other users of the
system can see these fields within the report.

Figure 6

B 2.1.2. When you log into ASIMS and raise a report via Create New DASOR you will
receive automatic feedback as the report is progressed through ASIMS. If you use Create
Anonymous DASOR you will only receive feedback if a valid email address is supplied.

B 2.1.3. Feedback notifications will be received informing you that the status of your
report has changed, this feedback is sent when the report is Accepted onto the system and
when the report has been Closed. The notification will include a link to the report if the
reporter used Create New DASOR when raising the report or a PDF copy of the report if it
was raised using Create Anonymous DASOR.

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Note: If an email address is entered when raising a report anonymously the email
address supplied will be displayed within the contact details field in the Details of Individual
Reporting Occurrence section of the report. This field is only visible to Occurrence
Managers and report Investigators during the investigation phase of the report process.

B 2.1.5. Selection of Create New DASOR or Create Anonymous DASOR will open the
blank DASOR reporter form for completion.

B 2.1.6. As many fields as possible should be completed to provide maximum detail of

the event; all fields marked red are mandatory.

B 2.1.7. All free text (narrative fields) should be completed in sentence case i.e. only use
capitals at the start of sentences, nouns (names of people, places, the titles of
organizations etc. and abbreviations.

B 2.2. Reporter Form Sections

B 2.2.1. Occurrence Type.

a. Occurrence Type: Select the occurrence type for the report dependent on
the environment of the event.

• Air (including Parachuting and Maldrop)

• ATC/ABM/ALI
• Maintenance (including Ground Handling and Airworthiness)
• Synthetic (including Simulator and Test DASORs)
• Other (including Support, Logistics, Admin, SESOR)

B 2.2.2. Additional Reports. Select any additional reports as appropriate, each tick box
will add additional fields for completion. There are 8 additional reports available which are
explained in more detail at Part B 3:

• Aeronautical Information
• Air Traffic Management
• Airprox
• Bird Strike
• Human Fatigue
• Laser/HP Illumination
• Lightning Strike
• Loose Article
• MALDROP
• Parachuting
• Uncharted Obstruction
• SESOR (DE&S use only)

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B 2.2.3. Details of Individual Reporting Occurrence. Enter your details, all red boxes
are mandatory and must be completed. If an Anonymous Report has been raised these
fields are not mandatory.

a. Rank/Title.

b. Full Name.

c. Job Title.

d. Contact Number.

e. Email Address.

f. Role During Occurrence.

g. Was this DASOR generated from an In-form/EMS report: Indicate if this

issue initially raised using an In-form or EMS report and has been subsequently
transferred to ASIMS. Yes/No. If yes, then the originating in-form/ems reports
serial number is required.

Note: The Full Name, Job Title, Contact Number & Email Address fields are
only visible to the reports Occurrence Managers and report Investigators during
the investigation phase of the report process. No other users of the system can
see these fields within the report.

B 2.2.5. Injuries. Enter any injuries and/or deaths of personnel – Inclusion of these
details should be considered as potentially sensitive, particularly at the initial stage, and
can be communicated separately to the Occurrence Manager/investigator(s).

Note: Injuries are defined in the Reporting of Injuries, Diseases and Dangerous
Occurrence Regulations (RIDDOR) 2013 Regulation 4:
http://www.hse.gov.uk/riddor/ and
http://www.legislation.gov.uk/uksi/2013/1471/contents/made

B 2.2.7. Occurrence Details

a. Date of Occurrence: Enter the date of occurrence manually or use the

calendar. Select the Today button to enter the current date.

b. Time of Occurrence: Enter the time of the occurrence manually or using

the drop down (note the drop-down values can be amended once selected), not
the time you submitted the report, select Local or Zulu as appropriate.

c. Time of Day: Enter the light level at the time of the occurrence.

d. Place of Occurrence: Enter the location of the occurrence, station/unit or

building.

e. Country: Select the country in which the occurrence occurred.

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 f. Ship/Station/Organization: Select your ship/station/organization from the
drop-down list. Note: If the report is being raised by DE&S (acting within their
duty holder facing capacity) then an appropriate FLC ship/station/organization,
related to the duty holder being notified of the occurrence, should be selected.

g. Unit/Squadron/Flight: Select your Unit/Squadron/Flight from the drop-

down list. Note: If the report is being raised by DE&S (acting within their duty
holder facing capacity) then an appropriate FLC unit/squadron/flight, related to
the duty holder being notified of the occurrence, should be selected.

h. Exercise Name: Enter the exercise name if applicable.

i. Operation Name: Enter the Operation name if applicable.

j. Local reference number: Enter your local ref or job card number if
applicable.

k. Ordnance Munitions and Explosives Related: Indicate if the occurrence

is related to Ordnance Munitions and Explosives (OME).

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 Figure 7

B 2.2.8. Aircraft Involved (Not for ATM use).

a. Embarked in ship: Confirm if the air platform is operating from (stationed)

on-board a ship at the time of the occurrence.

b. Aircraft Registration: Enter the aircraft registration number (or part of the
registration), aircraft type or mark and select the aircraft from the list. Enter N/A
if the registration is not known.

Note: UK Military Registrations in the following 5-character format (No spaces):

LetterLetterNumberNumberNumber; UK Civil Registrations in the following 6-
character format (No Spaces): G-LetterLetterLetterLetter.

c. RPAS Serial Number: If the aircraft registration relates to an RPAS where

only one registration is recorded in the MAR then an additional box is displayed.
This field is used to record the RPAS Serial No of the specific aircraft being
reported.

d. GCS Serial Number: Where the aircraft type is an RPAS an additional box
is displayed to record the Ground Control Station.

e. Aircraft Type/Mark: Select the relevant Aircraft Type/Mark. If the Aircraft

registration selected is on the MAR, then this field will auto-populate.

Note: For MALDROP and Parachuting reports the Aircraft Registrations and
Aircraft Type/Mark fields are prepopulated and not editable. If no aircraft was
involved select No Aircraft.

f. Other (Please State): Free text field to detail aircraft if it does not appear
in the Aircraft Type/Mark list.

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 Note: If the Air Traffic Management (ATM) additional report has been selected
these fields will be greyed out and should not be completed, there is field for
this information within the ATM section.

B 2.2.9. Meteorological & Environmental Conditions. Complete as much information

as possible; the more information contained within the report the better discriminatory
factors can be identified.

B 2.2.10. Flight Details. This part of the DASOR form will only become active if you have
selected the Occurrence Type as Air. If these are available to you, complete as many of
the boxes as possible.

B 2.2.11. Briefed Task. Enter the details of the task you were undertaking.

B 2.2.12. Description of Event.

a. Brief Title: Enter a brief title of the event; try to describe the Air Safety
issue, using unambiguous language appropriate to the risk (neutral - not
alarmist). Please use ‘Sentence case’ and expand any abbreviations.

Warning: This field is not to be used to describe the task being

undertaken at the time of the occurrence.

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 b. Narrative Description of Event: Enter a narrative of the event; try to
describe the Air Safety issue, using unambiguous language appropriate to the
risk (neutral - not alarmist). Please use Sentence case and expand any
abbreviations. The reporter should consider:

• All the facts pertinent to the Air Safety occurrence,

• Your view on how the occurrence developed,
• How the occurrence could have been worse,
• Any mitigations that worked,
• Those mitigations that failed,
• Any proposed solutions.

Warning: You should NOT attribute blame, include personal information

(Names, addresses etc.), be inflammatory or opinionated; or include
information that is above OFFICIAL.

c. What are / could be the Air Safety implications of this report: Please
indicate the air safety implication/s this report is highlighting, for hazard
observations please indicate the most likely air safety implication.

B 2.2.13. Perceived Severity of Occurrence.

a. High. There are few or no remaining barriers that could credibly have
prevented a loss of life or significant injury, leaving outcome to chance.

b. Medium. The remaining barriers are weak or can be missed, leaving a

clear path to loss of life or significant injury.

c. Low. The remaining barriers appear adequate in the protection they offer
against loss of life or significant injury.

d. Negligible. There is no readily conceivable means through which this

occurrence could have led to a loss of life or significant injury.

B 2.2.14. Your assessment should attempt to reflect the risk you faced, or another
individual in your position may face. Do not make provision for luck or comparison with
other risks.

Note: Should the reported occurrence involve loss of life or RIDDOR reportable injury,
High is to be selected.

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 Figure 8

B 2.3. Review and Submit

B 2.3.1. Once satisfied all relevant fields are complete and spell checked select the
Review Report button located in the bottom right-hand corner of the screen. You will then
have a chance to review the report prior to submitting.

B 2.3.3. At this point the report is at Pre-Submit status, you should review the report to
ensure all the data entered is correct and you are satisfied with the content, at this point
the report can still be deleted if required.

Note: While a report is at Pre-Submit status, it has been saved on the system, if you
leave the page at this point and do not delete the report it may still be submitted by the
ASIMS helpdesk as part of their daily report checks.

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Note: If you wish to track the progress of the report then select the Follow Report button
or make a note of the Report Reference to search for the report later. Followed reports are
included in your Followed report total on the Home page.

B 2.3.4. If you have any relevant attachments (photos, film footage, documents etc.)
they can be added to the report at this stage. There is a file size limit of 20MB so if you
have a large film, please split it down into multiple short clips and/or compress the file.
Navigate to the Attachments tab, select the Choose File button to locate the file then
select Attach File. ►Attachments can be removed by the originator, to remove another
Users attachment, please contact the ASIMS Helpdesk.◄

Note: If the report is being raised by DE&S (acting within their duty holder facing capacity)
and they have technical information that should be added to the report then a PDF version
of the technical section of the report, see Para B 1.1.6, should be completed and added as
an attachment. The occurrence manager should be made aware of this attachment and
requested to update the technical tab of the report with its contents.

B 2.3.5. Once satisfied the report contains all available information select Sign and
Submit Report.

B 2.3.6. A message will appear to confirm submission of the report. Press OK to submit
the report.

Figure 9

Note: If you wish to receive automatic feedback about the progress of your report then an
email address must be provided when submitting a report. If an email address is supplied
the reporter will then receive an email notification when the report is accepted by the
occurrence manager and when the report is closed. For reports submitted anonymously a
PDF copy of the report will be included in the notification, for users who logged into ASIMS
and submitted the report a link to the report will be included in the notification.

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B 2.3.7. The report has now been submitted into ASIMS and is pending acceptance by
the Occurrence Manager; it will not be visible to the wider ASIMS community until
accepted.

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B 3. Additional Reports
B 3.1. Aeronautical Information Report

B 3.1.1. For more information regarding the requirement to populate raise this report and
populate the fields see JSP 495 Part 1.

B 3.1.2. Complete as many fields as possible to provide maximum details of the event.

Figure 10

B 3.2. Air Traffic Management

B 3.2.1. All occurrences relating to ATM, Air Operations, and Air Land Integration must
use this form to report ATM occurrences. This form must also be used on all occasions
when a Runway or Aerodrome Movement Area (AMA) Incursion has occurred.

B 3.2.2. Complete as many fields as possible to provide maximum detail of the event.

Note: The Air Traffic Management additional report can only be selected for reports with
Occurrence Type of ATC/ABM/ALI or Synthetic.

Note: If the Air Traffic Management additional report is selected the user cannot add
Maldrop or Parachuting additional reports to the same DASOR.

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 Figure 11

B 3.2.3. Form Sections:

a. Category of Occurrence. Is this a mandatory report?

Note: If AIRPROX is selected as the type of mandatory report then an AIRPROX

additional report will be automatically added to the report.

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 b. Occurrence Details.

1) Location of Event; Airspace Classification; Runway in use (Terminal

only).

2) Lat & Long

3) Airspace Classification

4) Runway in use

c. Aircraft Involved.

1) Aircraft Registration; Aircraft Type/Mark.

2) Callsign; Type; SSR; Height/Altitude/FL/NMC; Pressure Setting;

Type of Service; Hdg or Track; Climbing/Descending/Level; Under
Control of (Unit).

3) RT Frequency; Radar Equipment in Use; Equipment Serviceability;

Number of Aircraft Involved; Number of Aircraft on Frequency.

4) Were the aircraft co-ordinated; Was traffic information given by you;

Was avoiding action given by you; Was prescribed separation lost;
Did either pilot receive a TCAS RA.

d. Personnel Factors. Shift start time; time since last break; days since last
day off; workload; task difficulty for controller at time of occurrence.

e. Runway Incursion. Details; aircraft or vehicle type; specific vehicle

details. Only available if Available tick box selected.

f. ATM Equipment Failures. ATS Facility; duration of outage; equipment

location; equipment type; equipment status; works reference number; facility
configuration; previous defects/occurrences; operational impact.

B 3.3. Airprox

B 3.3.1. An Airprox form is to be raised by the Aircraft Commander whenever an Airprox

is deemed to have occurred.

B 3.3.2. Pilot Initial Radio Telephony (RT) Report.

a. An initial RT report, prefixed ‘Airprox’, must be transmitted to the controlling

Air Traffic Service Unit (ATSU) or;

b. If not in receipt of such a service, to the nearest appropriate ATSU or;

c. If it is not possible to make an initial report by RT, it must be made

expeditiously to an appropriate ATSU as soon as possible after landing.

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 d. On landing a DASOR, containing full details of the incident, must be
submitted.

B 3.3.3. Notification via Other Party. An Aircraft Commander who is advised that they
have been involved in an Airprox, irrespective of whether they were aware of the
occurrence or considered that it constituted an Airprox, must submit a DASOR.

B 3.3.4. Other Nations’ Aircraft. For an Airprox involving other nations’ military Air
Systems which are under the control of or hosted by a UK Service unit or Contractor Flying
Organization a DASOR must be submitted by the controllers or hosts respectively.

B 3.3.5. ATSU Report and Actions. ATSU Airprox reporting and responses to reported
Airprox must be completed using a DASOR. Appropriate preservation of Air Traffic Control
(ATC) data must be undertaken iaw the Air Navigation Order (ANO) and CAP 670.

B 3.3.6. Swanwick (Mil) Radar Analysis Cell (RAC) Actions. For Airprox in UK
Airspace only, Swanwick (Mil) RAC will attempt to identify the reported Air System either
military or civil. The UK Airprox Board (UKAB) will guide Swanwick (Mil) RAC on the nature
and extent of action required and advise when tracing action may be terminated.

B 3.3.7. Complete as many fields as possible to provide maximum detail of the event.

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 Figure 12

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B 3.3.8. Form Sections:

a. Airprox Report:

(1) Colour scheme and external lighting. Free text box to identify the
colour scheme and external lighting (strobes, HISLs, nav lights etc).

(2) Radio call sign; In communication with; Type of ATC service; RT

frequency; SSR transponder.

(3) Classification of flight. Including whether in a formation.

(4) Flight Rules at time of Airprox. Including whether a CANP was filed
and low flying booking number.

(5) Position of Airprox; Aircraft Heading.

(6) Altimeter setting; Aircraft attitude.

(7) Flight weather conditions at time of Airprox.

b. SSR transponder

(1) Transponder Fitted; Transponder On; Code; Mode C; Mode S;

c. Flight Rules at time of Airprox

(1) Flight Rule; Low Flying Booking No.; CANP Filed; NOTAM Filed;

d. Position of Airprox

(1) Position of Airprox; Lat; Long; Aircraft heading; Altimeter setting;

Aircraft attitude.

e. Flight weather conditions at time of Airprox

(1) Vertical Distance from Cloud; Horizontal Distance from cloud (km); In;

(2) Own Aircraft relative to Sun; Other Aircraft relative to Sun; Flight
visibility.

f. Description of other aircraft seen

(1) Type, high/low wing, number of engines; Radio callsign, registration;

Markings, colour, lighting; Aircraft attitude – other details.

(2) First sighting distance/radar/TCAS/TAS contact; Minimum horizontal

and vertical separation at time of Airprox; Form of avoiding action
taken; if none, state reason; Assessment of risk of collision

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 (3) Other relevant factors, i.e. workload, emergencies, vision from cockpit,
etc.

g. Airborne Collision Avoidance or Alert System (e.g. TCAS, TAS or

FLARM)

(1) TCAS Fitted; TA indicated; RA indicated; RA followed.

h. How did you report the Airprox, or hear about the Airprox report

(1) By Radio; To/From whom?; FREQ?;

(2) By phone; To/From whom?

i. Diagrams of the Airprox

(1) View from above; View from Astern

B 3.4. Bird Strike

B 3.4.1. All wildlife strikes (including bird strikes) must be recorded using this form
whether the Pilot was aware of the strike at the time and irrespective of whether any
airframe damage was sustained. Bird remains must be identified locally or with use of a
specialist bird remains identification organization.

B 3.4.2. Complete as many fields as possible to provide maximum detail of the event.

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 Figure 13

B 3.4.3. Form Sections:

a. Flight or Sortie Details. Lat; Long; HISLs; Airborne Radar; Ambient Light;
Weather.

b. Bird Strike Details. Crew Injury; Aircraft Damage Category; Impact Point;
Damage Point; Impact Point 2; Damage Point 2; Size of Bird; Bird Remains
Collected; Remains Identified By; Bird Species; Bird Numbers.

B 3.5. Human Fatigue

B 3.5.1. When Human Fatigue has caused or contributed to an aviation occurrence.

B 3.5.2. Complete as many fields as possible to provide maximum detail of the event.

B 3.5.3. The following mandatory fields are marked in red and must be completed:

a. Time Zone. Indicate the time zone the times are recorded in.

b. Start of duty time. Provide a date and time the duty started.

c. Workload in the hour prior to the occurrence? What level of workload

was undertaken in the hour before the event: High; Medium; Low.

d. Awake. Part of the sleep diary, duration awake prior to the event.

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 e. Level of alertness. How alert did you feel immediately before the event?
Select the most appropriate option.

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 Figure 14

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B 3.5.4. Form Sections:

a. Human Fatigue. Provide details of the duty, workload and sleep cycle.
More than one sleep cycle can be added by selecting the Add sleep cycle
button. A sleep cycle can be removed by selecting the Remove sleep cycle
button.

b. Level of alertness. Identify how alert you were immediately before the
event and specify whether at any point you fell asleep or were told you
appeared fatigue.

c. Your Health. Provide an indication of your health at the time of the event.

d. Other factors. Provide details of other potential factors.

e. Reporting Form – to generate individual or investigator’s Fatigue

form. Did another person appear to suffer from fatigue?

B 3.6. Laser/HP Illumination

B 3.6.1. For all aviation occurrences involving a Laser or High-Power illumination of an

Air System.

B 3.6.2. Complete as many fields as possible to provide maximum detail of the event.

B 3.6.3. The following mandatory fields are marked in red and must be completed:

a. Number of Laser(s)/High Powered Light. 1 to 10.

b. Light Source Type. What colour was the light?

c. Was Laser/Light Eye Protection available/used during incident. Yes or

No.

d. Fixed/Rotary.

e. Distraction. Yes or No.

f. Glare. Yes or No.

g. Afterimages. Yes or No.

h. Injury. Yes or No.

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 Figure 15

B 3.6.4. Form Sections:

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 a. In addition to the mandatory fields identified in Para 3.6.2 there is a field to
identify the approximate duration of the laser in seconds and a free text field
to describe any medical consultation undertaken/intended as required.

B 3.7. Lightning Strike

B 3.7.1. When a lightning strike has caused or contributed to an aviation occurrence.

B 3.7.2. Complete as many fields as possible to provide maximum detail of the event.

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 Figure 16

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B 3.7.3. Form Sections:

a. Provide details about the conditions at the time of the event including the
terrain below, the aircraft altitude and configuration and meteorological
conditions.

b. Provide details about the lightning strike including the loudness of the bang,
the brilliance and position of the flask, whether there was any effect on the
aircraft and/or crew.

c. Provide a description/position of the strike on the aircraft once on the ground.

This is an initial description only; full details of any damage are to be provided
by maintenance staff in the technical section of the report.

B 3.8. Loose Article

B 3.8.1. When a loose article has caused or contributed to an aviation occurrence.

B 3.8.2. Complete as many fields as possible to provide maximum detail of the event.

B 3.8.3. The following mandatory fields are marked in red and must be completed:

a. Please select the type of issue.

b. Is this an aircraft part?

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 Figure 17

B 3.8.4. Form Sections:

a. Provide details

(1) Item part #; Item Serial#; Item measurements; Item material; Item
colour; Item IPC ref

b. Additional Info

(1) Has an image been attached?; Were Op checks carried out?; Was the
item recovered?; Aircraft LIM/ADF raised?; Item location found/missing
from; Is the item a FOD risk?; Is a SON required?

B 3.9. MALDROP

B 3.9.1. This form must be raised as follows:

a. The Aircraft Commander is responsible for raising a MALDROP

(including Hazard /Observation) if this occurs while the materiel load is
still within the aircraft or on the point of dispatch.

b. Where the controller of the Drop Zone (DZ) in which materiel and/or
personnel is being delivered is the Drop Zone Safety Officer (DZSO) or
the Aerial Delivery Non-Commissioned Officer (ADNCO), that individual
is responsible for raising a MALDROP and preserving any evidence.

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 c. In all other cases, when service persons control DZs for the purpose of
receiving re-supply of materiel, the senior person present is responsible
for raising notification of a MALDROP through their respective chain of
command.

B 3.9.2. Complete as many fields as possible to provide maximum detail of the event.

Note: If the Maldrop additional report is selected the user cannot add Air Traffic
Management or Parachuting additional reports to the same DASOR. Also, when the
Maldrop additional report is select the following fields are automatically set on the DASOR;
Aircraft Registration = N/A, Aircraft Type/Mark - Maldrop

B 3.9.3. The following mandatory fields are marked in red and must be completed:

a. Condition of DZ Surface. Tick all that apply.

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 Figure 18

B 3.9.4. Form Sections:

a. Drop Zone. Type of Occurrence; DZ designation; DZ elevation; direction

of run in; surface windspeed; wind direction.

b. Condition of DZ Surface. Grass-Covered, Hard, Sand, Smooth, Soft,

Stones, Uneven, Wet

c. Comments on Despatch, Landing and MALDROP (other than from

reporter). Commentator details; Brief description.

d. Stores/Parachute Details. Description of stores; main parachute used;

extractor parachute used; platform or container used.

e. Additional Information. AC Unit Designation; AC Reference; DTG

Equipment cleared; Responsibility; Contact Details; Video / Photographic
Evidence; Where?; Contact Details; Photographer; Contact Details; Was all
equipment recovered?; Other

B 3.10. Parachuting

B 3.10.1. The responsibility for reporting parachute occurrences normally rests with the
DZSO controlling the DZ on which the occurrence occurs. However, on those occasions
when a Parachute Malfunction Party (PMP) has been activated in support of a major
airborne exercise, then Officer Commanding (OC) PMP will assume reporting
responsibility.

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B 3.10.2. Complete as many fields as possible to provide maximum detail of the event.
The following mandatory fields are marked in red and must be completed:

a. Parachutist’s Details. Parachute Type.

Note: If the Parachuting additional report is selected the user cannot add Air Traffic
Management or Maldrop additional reports to the same DASOR. Also, when the
Parachuting additional report is select the following fields are automatically set on the
DASOR; Aircraft Registration = N/A, Aircraft Type/Mark - Para

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 Figure 19

B 3.10.3. Form Sections:

a. Drop Zone Details. Provide details of the DZ.

b. Additional Aircraft Details. Provide additional details of the aircraft

registration, aircraft type/mark, aircraft role fit, attitude, sortie timings and
despatcher complement and qualifications.

c. Parachutist Details. Complete as required the available sections:

• Parachutist Details.
• Details of Injury.
• Details of subject descent to deployment.
• Deployment of Parachute.

Note: Multiple parachutists can be added to the form by selecting the Add
Parachutist button.

d. Equipment. Provide details of the parachute equipment used.

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B 3.11. Uncharted Obstructions

B 3.11.1. When an uncharted obstruction has caused or contributed to an aviation

occurrence.

B 3.11.2. Complete as many fields as possible to provide maximum detail of the event.

B 3.11.3. The following mandatory fields are marked in red and must be completed:

a. Brief description of obstruction.

Figure 20

B 3.11.4. Form Sections:

a. Obstruction location

a. Lat; Long; Height Above Ground Level (AGL); Lit or unlit?.

►Note: Multiple Uncharted Obstructions can be submitted on the same DASOR by

selecting the Add Uncharted Obstruction button.◄

B 3.12. SESOR (DE&S use only)

B 3.12.1. A SESOR is used to communicate awareness of a potential Air Safety hazard

between DE&S Delivery Teams. This form is only to be used by DE&S personnel. This
supports the DE&S Safety and Environmental Protection Leaflet. Further information can
be found in the COM(Air) Policy Instruction 04 (COMPI 04) and para G3.

B 3.12.2. Additional form used by DE&S personnel only. A Significant Equipment

Safety Occurrence Report (SESOR) is a report that communicates awareness of a
potential equipment air safety hazard between DE&S Delivery Teams.

B 3.12.3. This additional form is covered in detail in Part G of this Manual.

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Part C Progressing a DASOR

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C 1. Progressing a DASOR Overview
C 1.1. Introduction

Figure 21

C 1.1.1. The appropriate personnel within the ADH/AM chain need to read and assess
every DASOR to ensure that it is understood, investigated appropriately, the relevant Air
Safety lessons are identified, and recommendations are made and implemented to prevent
recurrence of a similar (or worse) event taking place.

C 1.1.2. To achieve this the report needs to be made visible to the wider community and
further information, in addition to the reporter’s narrative, included from related SMEs so
that an investigation can be carried out.

C 1.1.3. This section explains the staffing process for a DASOR through to investigation.
In general terms, this is as follows:

a. An assigned Occurrence Manager will take ownership of the DASOR and

accept the report into the system.

b. The DASOR is distributed to interested parties in order to provide early

notice of the event. This could include but is not limited to: aircrew; maintainers;
commanders; equipment delivery teams; aviation medical staff; the CAA;
industry partners.

c. Specialist input will be requested from Maintainers, ATM Supervisors and

Commentators as necessary.

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 d. An investigator will be assigned to carry out an investigation into the event.

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C 2. Occurrence Manager Role
C 2.1. Introduction

Figure 22

C 2.1.1. The Occurrence Manager is responsible for managing the report from
submission, through investigation and on to the ADH/AM Review process.

C 2.1.2. The Occurrence Manager accepts and distributes the DASOR making it visible
to all ASIMS users, in line with the timelines defined in RA1410.

Warning: If an Occurrence Manager does not accept and distribute a DASOR within
the timelines defined in RA1410, or if one calendar day has elapsed from the report
being designated a Serious Fault Report, the report will be automatically accepted
by ASIMS and distributed to the internal info distribution list only for the platform
associated with the report. In this instance the report has not been appropriately
checked prior to distribution and may not reach all intended targets (see Part C 2.8
for required Occurrence Manager recovery actions).

C 2.1.3. Once the Technical or ATM Supervisor sections of the report, as required, have
been completed the occurrence manager identifies the level of investigation, selects the
investigators and sends the report for investigation.

C 2.1.4. Every DASOR submitted will be assigned to an Occurrence Manager role group
following submission by the Reporter. As a member of an Occurrence Manager role group
a notification will be received.

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C 2.1.5. The notification will contain a link to the DASOR, the brief title and Narrative
description of event and narrative description of event. Selecting the link will open that
specific report in the default web browser.

C 2.1.6. The report will be added to the associated Occurrence Manager role group
members Requiring Action and Managed list in the Reports Summary section of the Home
page.

C 2.1.7. All the reports that you are acting as an Occurrence Manager for can be viewed
by selecting the number of reports in the Managed column of the DASORs row in the
Reports Summary section on the Home page. This will display the related DASORs in a
results table. Selecting a row of the table will open the respective DASOR in a new
window.

C 2.2. General Responsibilities

C 2.2.1. The Occurrence Managers’ general responsibilities include but are not limited
to:

a. Active promotion of Air Safety reporting.

b. Staffing the DASOR, ensuring the Reporter, Technical and ATM Supervisor
sections are fully completed, and all personal and operationally sensitive
information is removed.

c. Where associated DASORs, SONs, etc exist, they must be linked to the
originating DASOR.

d. Accept and distribute the report in accordance with RA 1410 Annex A.

e. Select the type of Investigation required and manage the onward flow of
the report to the identified Investigator(s).

f. For LI level investigations review the investigation findings and

recommendations before onward transmission to DDH/AM Review.

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C 2.3. Occurrence Manager Workflow

Figure 23

C 2.3.1. The Occurrence Manager workflow and considerations are shown above.

Warning: The initial steps through to the acceptance of the report need to be
completed in line with the guidance material in RA1410.

C 2.3.2. Given the limited time available to the Maintenance or ATM Supervisor role
groups the report may contain only scant information at the point of acceptance.

C 2.3.3. The Occurrence Manager will then manage the onward flow of the report to the
identified Investigator.

C 2.4. Occurrence Manager Checks

C 2.4.1. Once a notification has been received for a new report raised it needs to be
reviewed by an Occurrence Manager before it can be accepted and distributed.

C 2.4.2. DASORs are broken down into sections and each section is displayed in its own
tab. If you need to edit the data within a tab, navigate to the tab and then select the Edit
button. If an edited tab is unsaved when navigating to a different tab an alert will warn that
data may be lost; press Cancel to go back to select the Save button.

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C 2.4.3. Check each tab for accuracy and ensure that all drop down boxes and tick
boxes have been set correctly, if any have been missed or are incorrect then they should
be amended or set accordingly. The more data that is captured on each report the better
analysis that can be performed and the more proactive we can be in safety management.
Note Para C 2.3.3.

Warning: All free text sections of the DASOR must clearly describe the subject
matter and must be completed in ‘Sentence case’. They should not attribute blame,
contain personal information, be inflammatory, or be opinionated; and must not
contain material above Official (check attachments images closely).

C 2.4.4. As an Occurrence Manager, you have the authority to amend the report for
spelling mistakes and minor grammatical changes, but not to alter its meaning without the
consent of the report originator.

Warning: Undue amendment or pre-processing of reports is detrimental to Just

Culture and Reporting Culture.

C 2.4.5. The following sections should be checked:

a. The Summary and Report Details tab must be filled out as fully as possible
ensuring all details pertinent to the occurrence are captured:

• Occurrence Type has been completed in accordance with MAA 02

(Glossary of Terms).
• The Brief Title must clearly describe the Air Safety issue, using
unambiguous language appropriate to the risk (neutral - not alarmist).
The title should be written in ‘Sentence case’ and expand any
abbreviations.
• The ‘Narrative Description of Event’ must clearly describe what
aspect of Air Safety has been or could have been compromised; it
must not: attribute blame, contain personal information, be
inflammatory or opinionated; and must not contain material above
Official.

Note: The originator may be contacted for further information. Changes to the
narrative should only be made with the reporter’s permission.

b. The Technical or ATM Supervisor tab may not contain any details at this
point but can be updated throughout the investigation process prior to DDH/AM
review. If the technical section is irrelevant to the occurrence, e.g. for a laser
illumination event, the phrase: ‘No work required’ is to be entered in the
Investigation and Rectification Work Carried Out and Why text box.

c. The Attachments tab should not contain any attachments above Official.

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C 2.5. Occurrence Manager Tab Completion

Figure 24

C 2.5.1. Once the report has been reviewed the Occurrence Manager tab has to be
completed to identify who will be managing the report, indicate the action being performed,
identify the ODH/equivalent AM and select the Event Type.

C 2.5.2. Select the Occurrence Manager tab in the respective report to access the
Occurrence Manager form fields.

C 2.5.3. To complete the Occurrence Manager tab, select the Edit button to enable write
access to the tab fields.

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 Figure 25

C 2.5.4. Complete as many fields as possible to provide maximum detail that is known at
the time of acceptance. The following mandatory fields are marked in red and must be
completed:

b. Further Action. Further Action; Investigation Type.

c. Investigation Type. Can be left at TBD for the purposes of accepting the
report.

d. Operating Duty Holders or Aircraft Operating Authorities. ODH/AM.

e. Event Type. Select the event type for the occurrence, see RA 1410
Annex A for event type definitions.

C 2.5.4. The following are required fields and are identified with a red asterisk, these
must be completed prior to sending the report for investigation:

a. FOD Related.

b. Age of Report.

C 2.6. Occurrence Manager Tab Sections

C 2.6.1. Occurrence Manager Details.

a. Prime DASOR for Occurrence. By default, all reports are prime reports. If
the report is the only report for this occurrence, then it should remain ticked. If
this occurrence has already been reported by another party, then the
Occurrence Manager should liaise with the Occurrence Manager(s) of the other
reports and a decision made as to which report will be processed as the prime.
All other reports should have the selection unticked and be linked to the prime
report (see Part C 2.13).

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 b. Occurrence Manager details. Rank/Title; Full Name; Job Title;
Contact Details.

Note: These fields will be automatically populated with the details of the first
person who edits the tab. These details can be changed if they do not reflect
the person who will be managing the report.

c. Occurrence Manager Notes. A free text box to be used as required for

report related notes by the Occurrence Manager.

C 2.6.2. Further Action.

a. Further Action. Select whether the report is Ongoing or whether Nil

Further Action is required.

Note: Select Ongoing unless this is a non-prime report and is going to be

closed.

b. Investigation Type. Select the investigation type as required:

• TBD
• LI
• OSI
• SI

Note: Select TBD if the level of investigation is not known at the acceptance
stage in order to accept and distribute the report. This can be changed later
when it has been decided what type of investigation is required.

c. DG DSA Convened. A check box used to identify an OSI or SI has been

convened by the Director General of the DSA; select as required.

d. Transferred to another EMS. Used to indicate if the issue identified is not

air safety related and is going to be managed by another EMS process. The
report still needs to be accepted before the report can be progressed

Note: If the tick box is selected then another EMS serial number must be
supplied.

e. Investigators. Used to identify individuals to be assigned as investigators

for the report.

C 2.6.3. Operating Duty Holders or Aircraft Operating Authorities.

a. ODH/AM. Select the appropriate ODH/AM for this occurrence

b. Other ODH/AM operating this aircraft. Select any other ODH/AM who
may also be operating this aircraft.

C 2.6.4. Additional Information.

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 a. FOD Related. Indicate if the DASOR is related to a FOD occurrence.

b. Age of Report. Select the appropriate age of the report:

• 1st – First Age Reports focus on issues with things.

• 2nd – Second Age Reports focus on issues with them.
• 3rd – Third Age Reports focus on issues with me & us.

C 2.6.5. Reports. Record any other actions performed or identify reports raised outside
of ASIMS. This does not need to be completed to accept and distribute the report; the
details can be added later. Additional, non-technical, reports can be added by selecting the
‘+’ button:

• F765X
• H&S
• STANEVAL Review
• Task Audit
• Contract Amendment
• Request for Change
• Inform
• MEMS
• Other

Note: If an additional report is added incorrectly it can be removed by selecting

the ‘–’ button.

C 2.6.6. Assessed Severity. By default, this field is populated with the reporter’s
perceived severity. Occurrence Managers can change this value to the assessed severity.
If changed a justification needs to be added.

C 2.6.7. Once satisfied the relevant fields are complete select the Save button located in
the top right-hand corner of the tab.

C 2.7. Report Acceptance

C 2.7.1. Once the contents of the report have been checked and the Occurrence
Manager tab completed the report needs to be accepted and distributed to the relevant
information addressees. This process will formally accept the report into ASIMS and make
it viewable to all users, sending an email notification to all interested parties.

C 2.7.2. Open the Distribution tab of the DASOR and select the show link next to the
Info Addressees heading. This will display the Info distribution options, expanded
automatically for the aircraft type identified within the report. If the ATM additional report
has been selected, then the list will be opened at the No Aircraft entry.

C 2.7.3. The 01. Internal – Info Dist and 02. External- Info Dist entries, if available, are
pre-selected and should always be selected for the aircraft type identified within the report.
Optionally select any other entries pertinent to the type of report raised.

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Role Group Example of when to use and who is
notified

01. Internal – Info Dist Aircraft Type Selected for all reports.
Notifies interested users (with an ASIMS
account) that a report has been raised for
a specific aircraft type.
02. External- Info Dist Aircraft Type Selected for all reports.
Notifies interested users (without an
ASIMS account) that a report has been
raised for a specific aircraft type and users
receive a PDF copy of the report.
03. and here if Ground Occurrence When a report has been raised for a
ground occurrence.
Notifies interested users (with an ASIMS
account).
04. and here if Wildlife Strike When a report has been raised that
involves wildlife interaction, including
domestic animals other than birds e.g.
horses, rodents, swarms of insects.
Automatically selected if the Bird Strike
additional report is selected.
Notifies interested users (with an ASIMS
account).
05. and here if Airprox When a report has been raised that
involves an Airprox.
Automatically selected if the Airprox
additional report is selected.
Notifies interested users (with an ASIMS
account) and the UK Airprox board for UK
based occurrences.
06. and here if ATM Occurrence When a report has been raised that
involves Air Traffic Management, Air
Operations or Air Land Integration.
Automatically selected if the Air Traffic
Management additional report is selected.
Notifies interested users (with an ASIMS
account) and Aquilla.
07. and here if CAA MOR/SARG When a report is raised on a civilian
registered, military owned or flown aircraft.
Notifies the CAA by sending a PDF copy of
the report.
08. and here if Uncharted Obstruction When a report is raised that contains the
details of an obstruction that is not
currently displayed on military published
flying charts.
Notifies the Defence Geographical
department.

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 09. and here if SESOR Only to be used when the DE&S SESOR
additional report is selected.
Notifies selected DE&S personnel.
10. and here if PJHQ When PJHQ are required to be notified of
an occurrence.
Notifies PJHQ personnel.
11. and here if Ground Equipment When a report has been raised that
involves a piece of ground equipment.
Notifies interested users (with an ASIMS
account).
12. and here if Armament When a report has been raised that
involves aircraft armament.
Notifies interested users (with an ASIMS
account).
13. and here if perceived Capability When a report is linked to a shortfall in
shortfall (knowledge and/or equipment) Capability (both equipment and underlying
knowledge).
Notifies Air Capability department.
14. and here if Serious Fault Report When a report has been raised as a
serious fault.
Notifies interested users (with an ASIMS
account).
15. and here if Simulator or Synthetic When a Simulator or Synthetic report is
Occurrence raised.
Notifies interested users (with an ASIMS
account).
16. and here for Station Flight Safety When an occurrence has the potential to
Officers impact other Station/Units.
Notifies interested users (with an ASIMS
account).
17. and here if Aeronautical Information When an Aeronautical Information
additional report has been selected.
Notifies the Aeronautical Information
Governance Team.
18. and here for RAFCAM of AvMed When RAFCAM of AvMed should be
informed of an incident.

C 2.7.4. Once all the required entries have been chosen, select the Accept and Send
For Info button, located at the bottom of the screen. This will accept the report and send a
notification to every user who is a member of the Internal lists selected containing a link to
the report. A PDF version of the report is sent to every user in the External distribution list
selected.

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 Figure 26

C 2.8. Actions following Auto-Acceptance

C 2.8.1. If a report has been auto accepted by ASIMS the following occurs:

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 a. The report becomes viewable by all ASIMS users.

b. The report will be distributed to the platform associated internal info

distribution list. All members of this distribution list will receive a notification
which will contain a link to the DASOR.

c. A comment will be added by Mr User Anonymous stating “Report

automatically accepted”

d. The name ‘Anonymous, User’ will be used in the Actions section of the
Report Admin tab to indicate that the report was auto accepted.

e. A notification will be sent to all members of the occurrence managers role

group informing them the report has been auto accepted.

Figure 27

Warning: The report has not been appropriately checked prior to

distribution and may not reach all intended targets.

C 2.8.2. As soon as possible an Occurrence Manager is to carry out the tasks detailed in
Parts C 2.4 to C 2.7 inclusive.

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C 2.9. Send for Action

C 2.9.1. The send for action function is used to request selected role groups to action
the Technical or ATM Supervisor tabs of a report and will:

a. Send a new/reminder notification to the respective Maintenance or ATM

Supervisor role groups if they have not populated the Technical or ATM
Supervisor sections of the report.

c. Add the report to the Requiring Action list in the Report Summary of the
Home page for all members of the role group.

d. Enable all members of the role group to edit either the respective
Technical or ATM/ATM Supervisor tabs as necessary.

C 2.9.2. Open the Distribution tab of the DASOR and select the show link next to the
Action Addressees heading. This will display all the role groups at each Station within
ASIMS. By default, the list will open at the Station identified within the DASOR.

C 2.9.3. Select the role groups required by ticking the box preceding the required role
group name(s).

Note: Only Maintenance role groups will be shown for reports with a Technical Tab and
only Supervisor role groups will be shown for ATM reports.

C 2.9.4. Once the required role groups have been chosen, select Send for Action
button to complete the process and send a notification to all members of the selected role
groups. The email will state they need to perform an action on the report and contain a link
to the report.

C 2.9.5. It is best practice to add a Comment to the report stating what action you would
like the role group members to perform (see Part C 5 for adding comments).

C 2.9.6. The send for action function can be repeated as required.

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 Figure 28

C 2.10. Monitoring Actions

C 2.10.1. The Report Admin tab contains an Actions section which lists all the actions
initiated and completed on a report. This details the DASOR workflow allocation, send for
info, send for action and send for comments requests.

C 2.10.2. This section can be used to check what actions have been performed and what
actions is still outstanding, i.e. those without an Action Completed date.

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 Figure 29

C 2.11. Hashtags

C 2.11.1. The Occurrence Manager can add hashtags to any report they manage. This
will provide the ability to group similar types of reports together for searching and analysis.

C 2.11.2. There are 2 lists of hashtags available within ASIMS:

a. A global list. Defined across the ASIMS user community and managed by
the ASIMS team.

b. A local list. Defined at Ship/Station/Organisation level.

C 2.11.3. Within a DASOR, hashtags are added to the report in the Description of Event
section in the Summary tab of the report.

C 2.11.4. Access the Summary tab and select the Edit button to allow write access to the
form.

C 2.11.5. Selecting the #TAGS box (normally blue but orange if there are suggested
hashtags available) to the left of the Narrative Description of Event text box in the
Description of Event section will open the Hashtag section on the right of the screen.
Any suggested hashtags will automatically appear in an orange SUGGESTED TAGS box
below the Narrative Description of Event field.

Note: The suggestions are made when a hashtag associated word (contained within the
hashtag definition) appears in the narrative description of event.

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 Figure 30

C 2.11.6. The suggested hashtags can be accepted by dragging the hashtag from the
SUGGESTED TAGS box and dropping it into the TAG DROPZONE box, only hashtags in
the TAG DROPZONE are associated with the report.

Warning: Suggested hashtags are made each time the Hashtag section is accessed,
leave the hashtags in the Suggested TAGS box if not required.

C 2.11.7. Additional hashtags can be added from the global or local lists:

a. Use the Search Hashtag function to list hashtags from the global list.

b. All Local station hashtags will be displayed in the Local Hashtag section.

C 2.11.8. Drag and drop the hashtags from the Hashtags section into the TAG
DROPZONE as required.

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 Figure 31

C 2.11.9. Once all the appropriate hashtags have been added close the hashtag section
by selecting the X in the top right-hand corner of the Hashtag section to exit the section.

C 2.11.10. Select Save at the top of the Summary tab to confirm the hashtag changes.

C 2.11.11. All hashtags added to a report are displayed in the TAGS field displayed in the
TAGS box below the Narrative Description of Event.
C 2.12. Progressing to Investigation

C 2.12.1. Once all tabs have been populated and reviewed and the level of investigation
has been agreed the Occurrence Manger tab needs to be updated before the report is
sent for investigation.

C 2.12.2. Every report should be investigated even at a basic level. It is the Occurrence
Managers’ responsibility to manage the onward flow of the report to the identified
Investigator(s).

C 2.12.3. Navigate to the Occurrence Manager tab and select the Edit button to enable
write access to the form.

C 2.12.4. Using the Investigation Type dropdown box select the appropriate
investigation type for the report: TBD; LI; OSI; or SI.

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 Figure 32

C 2.12.5. If the investigation is instigated by the Director General of the DSA the DG DSA
Convened tick box must be selected to enable additional functionality within ASIMS to
align with the Defence AIB process.

Figure 33

C 2.12.6. The individuals who will be performing the investigation need to be selected
using the Investigators field. For LI the Occurrence Manager will be automatically
selected as the likelihood will be that the majority of LI will fall to the Occurrence Manager
to act as the Investigator. The Occurrence Manager should be removed if they are not
conducting the investigation.

C 2.12.7. Selecting the Investigators field will display a list of different users depending
on the level of investigation:

a. LI. Occurrence Manager role group members + all Station Investigators.

b. OSI. Station Investigators who are OI trained.

c. SI. All Defence AIB Station Investigators.

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C 2.12.8. Select a name from the list of investigators and it will be added to the
Investigators field. To add another investigator, select the Investigators field again and the
list will reappear.

Note: To add a name to the list of Station Investigators contact the relevant Station Flight
Safety/Air Safety representative or equivalent.

C 2.12.9. Following selection of the required investigators select the Save button to
confirm the changes.

C 2.12.10. The report is now ready to be progressed to investigation by selecting the Send
for Investigation button.

Note: For OSI and SI level investigations if there are any requests for comment open then
the Send for Investigation button will not appear. The details of any outstanding requests
can be seen from the Report Admin tab in the Actions section. If there are requests for
comment outstanding (Action Completed is blank) navigate to the Comments tab and click
the Close all Comments button to close all outstanding comments and the Send for
Investigation button will appear.

C 2.12.11. Sending the report for investigation performs the following actions:
a. An email notification is sent to the selected investigators.

b. The chosen investigators are granted edit permission to the Occurrence

Manager, Investigation and Findings tabs.

c. The report will appear in the investigator’s Requiring Action list in the
Report Summary section of the Home page.

d. The report is retained in the Occurrence Manager’s Managed list in the

Report Summary section of the Home page until the report is sent to DDH/AM
review.

C 2.13. Linking Reports

C 2.13.1. Reports can be linked for several reasons and it is possible that more than one
report may be submitted for the same event by different reporters, providing their individual
perspective of the occurrence.

Note: If duplicate reports are identified please inform the ASIMS Helpdesk at the earliest
opportunity who will delete the duplicate report.

C 2.13.2. It is the responsibility of Occurrence Managers to decide if a report needs to be

linked to another report, there are four different types of links available:

• Similar Occurrence
• Same Incident
• Master Report
• Subordinate Report

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C 2.13.3. Similar Occurrence; used to link reports that are of a similar nature or of
interest and is for information purposes only. It enables a user quick access to other
reports that the Occurrence Manager has linked to the report being viewed. There is no
form of validation performed when this type of link is added, any report can be linked to
any other report using Similar Occurrence.

C 2.13.4. Same Incident; used to link multiple reports for the same incident. When
multiple parties are involved in an incident, each will often raise a separate report.
To prevent multiple reports being updated with the findings of the subsequent
investigation, one report is identified as the prime report and all others as the non-prime
report. Each non-prime report is then linked to the prime report using ’same incident’, this
enables all the non-prime report/s to be sent for DDH/AM Review and closure without the
investigation or findings being added. Only prime reports need to be updated with the
results of the investigation and findings. Negotiation between the Occurrence Managers
involved should decide which report will be the prime and which the non-prime report/s.
When linking reports of the same incident both reports must have the same date of
occurrence and one report must be prime and the other non-prime.

Note: The Prime DASOR for Occurrence field is contained within the Occurrence Manager
tab, all reports are designated Prime by default.

C 2.13.5. Master Report and Subordinate Report; used to link reports while an
investigation is ongoing and enables the results of the investigation on the master report to
be added to all linked subordinate reports. E.g. a report is raised and an investigation
started (master report) during the investigation additional reports (subordinate report) are
raised for different occurrences of the same incident. Each additional report can be linked
to the master report. When the investigation is complete and the master report closed, the
investigation results (Investigation, Findings & Recommendations tabs) will be copied to all
subordinate reports and they will be closed along with the master report.

C 2.13.6. The action of linking reports together is carried out in the Report Admin tab
within a DASOR:

a. Copy and paste the whole DASOR reference (e.g. asor\Coningsby -

RAF\11 Sqn\Typhoon\21\185) into the Report Reference box.

b. Select the type of link using the Link To dropdown box.

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 Figure 34

c. Select the Link button to link the reports.

d. The linked reports can be accessed by selecting the report listed in the
linked reports section.

C 2.14. Transferring to another EMS

C 2.14.1. If a DASOR has been raised but it is not an air safety incident, then it may be
appropriate for it to be managed via another EMS process. If this is the case, the report
can be sent to DDH/AM Review for closure without the need for investigation details to be
recorded.

Note: A report can only be transferred to another EMS while it is at status “Open Report”.

C 2.14.2. Navigate to the Occurrence Manager tab and select the Edit button to enable
write access to the form.

C 2.14.3. Tick the Transferred to another EMS (INForm, DURALS etc). tick box and
enter the appropriate serial number.

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 Figure 35

Note: When the transferred another EMS (INForm, DURALS etc) box is selected the
Prime DASOR for Occurrence tick box will be automatically unticked.

C 2.14.4. Following population of the other EMS serial number select the Save button to
confirm the changes.

C 2.14.5. The report can now be sent to DDH/AM Review for closure without the
requirement to populate the Investigation & Findings tabs.

Note: A report marked as transferred to another EMS cannot be closed by the same
person who selected the transferred another EMS (INForm, DURALS etc) box.

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C 3. Maintenance Role
C 3.1. Introduction

Figure 36

C 3.1.1. All DASORs will require action within the Technical section except ATM and
Airprox reports.

C 3.1.2. Members of Maintenance Role Groups are responsible for completing the
Technical section of a DASOR and should complete as many of the fields as appropriate.

C 3.1.3. Each member of the Maintenance role group will be sent a notification when a
DASOR requires action. The notification will contain a link to the DASOR, the brief title and
Narrative description of event.

C 3.1.4. Selecting the link will open that specific report in the default web browser.
Alternatively, all the reports that you are required to complete the Technical section for can
be viewed by selecting the number of reports in the Requiring Action column of the
DASORs row in the Reports Summary section on the Home page. This will display the
related DASORs in a results table. Selecting a row of the table will open the respective
DASOR in a new window.

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C 3.2. Technical Tab Completion

C 3.2.1. The technical tab header colour changes depending upon the associated
status:

a. Yellow. In progress – The Maintenance role group can add data and is
viewable by all ASIMS users but is not yet complete.

b. Green. Complete – The Maintenance role group have completed their

work and populated all relevant fields.

Note: When the technical tab has been marked complete the Maintenance
Role group will no longer be able to edit the tab.

C 3.2.2. If there is no technical data to be added to the report the No tech data required
button can be selected. This will set the Aircraft and Engine Repair category fields to No
Maint req’d and set the F760 Fault Narrative Report Raised, QOR & MoD F765 Publication
Amendment Raised field to No. The tab can then be marked complete.

C 3.2.3. To populate the Technical section, select the Edit button to enable write access
to the tab fields.

C 3.2.4. As many fields as possible should be completed to provide maximum detail of

the event. The following required fields are marked with a red asterisk and must be
completed before the tab can be marked complete:

a. Aircraft Repair Category.

b. Engine Repair Category.

c. F760 Fault Narrative Report Raised. Yes or No.

d. QOR. Yes or No

e. MoD F765 Publication Amendment Raised. Yes or No.

Note: Where additional reports such as MOD F760, F765, or F791 are raised, these must
be attached or linked to the originating DASOR. A copy of the DASOR must be attached to
all MOD F760, F765 or F791 raised as a result of the occurrence.

C 3.3. Technical Tab Sections

C 3.3.1. Technical Action Reporting Individual. This section will be automatically

populated with the details of the first incumbent from the Maintenance role group who
accesses the Technical tab; the fields remain editable.

C 3.3.2. If the technical failure is a serious fault select the Serious Fault tick box (see
MAM-P Chapter 9.3 for further guidance). This will generate a Serious Fault Details
section below the Technical Fault or Maintenance Action Required section for completion.
See Para C 3.3.7.

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Note: The action of selecting the Serious Fault tick box marks all future notifications as
high importance.

C 3.3.3. Aircraft Repair Category.

a. Aircraft Repair Category: Required field. Select a category from the

drop-down list.

Note: If unknown of not applicable select No Maint Required.

b. Engine Repair Category: Required field. Select a category from the

drop-down list. The number of selections available will vary depending upon the
aircraft type chosen when the report was submitted. If the aircraft registration is
not in the system, then there will be 4 engine repair categories to complete;
select No Engine Fitted for those fields not required.

Note: If unknown or not applicable select No Maint Required.

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 Figure 37

C 3.3.4. Technical Fault or Maintenance Action Required.

a. Major System Involved: Select the appropriate major system related to

the occurrence.

b. Sub-System Involved: Select the appropriate sub-system related to the

occurrence.

c. Name of Component (If applicable): Free text field. Type in the name of
the component at fault if applicable.

d. Type of Failure/Fault: Select the appropriate type of fault/failure related to

the occurrence.

e. NSN/Sect Ref: Enter the NSN or section reference of the component.

f. Part No: Enter the Part number or section reference of the component.

g. Serial No: Enter the serial number or section reference of the component.

Note: If the Major System Involved or Name of Component (If applicable) fields
are completed then the NSN/Sect Ref, Part No and Serial No. fields become
required and must be completed before the tab can be marked complete.

C 3.3.5. To add an additional technical fault, to the section, select the Add Technical
Fault button. An additional Major System, Sub-System, Name of Component, Type of
Failure/Fault and associated NSN, Part No and Ser No fields will appear.

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Note: If a repair category has been selected (other than ‘No Maint Required’) there must
have been an affected system and this should be recorded in the Technical Fault section.

C 3.3.7. Serious Fault Details. Only visible if Serious Fault tick box selected as detailed
at Para C 3.3.2.

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 Figure 38

a. Serious Fault Details:

• Ownership (Faulty Item PT)

• Section/Desk
• Status of Equipment (Tick All That Apply)
• Parent Assembly
• Part No and NSN
• Usage
• Faulty Item
• Part No and NSN
• Usage
• No of Items Examined
• No of Faulty Items Identified
• MF760 Ref No
• Serial No’s of Other Identified Faulty Items

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 b. Details of Last System Disturbance: Free text box.

c. Relevant MODs/STIs/SIs/PIs/PWIs/NTIs/UTIs/RTIs etc Embodied: Free text

box.

C 3.3.8. Other Equipment Involved. Free text field to add further details of any other
equipment involved in the occurrence.

C 3.3.9. Other Agencies Consulted. Free text field to add the details of any other
agencies consulted.

C 3.3.10. Rectification Work Carried Out.

a. Originator’s Reference Number or Work Card Number: Detail the ORN

or Work Card Number for the task if applicable.

b. Airframe Flying Hours (at time of occurrence): Detail the flying hours of
the airframe at time of the occurrence if applicable.

c. Investigation and Rectification Work Carried Out and Why: Describe

all rectification work carried out and the reason for completing the work.

Note: Where no maintenance activity is required the form should be annotated

‘No work required’. In this circumstance, the local Occurrence Manager can
complete the Technical Section input as necessary.

d. Identify any of the following additional reports/forms raised:

• F760 Fault Narrative Report Raised:

• QOR:
• MoD F765 Publication Amendment Raised:
• Other Action/Reports Raised:

Note: F760 Fault Narrative Report Raised, QOR and MoD F765 Publication
Amendment Raised fields are required fields and must be completed before the
tab can be marked complete.

C 3.4. Review and Complete

C 3.4.1. Once satisfied the relevant fields are complete and spell checked select the
Save button located in the top right-hand corner of the tab.

Note: When the Technical tab header is yellow further information can be added
throughout the report process and will be necessary where a technical investigation is
extensive or delayed by restricted access to the aircraft. If additional information is added,
it is good practice to inform the Occurrence Manager Offline and add a comment to the
report highlighting the action taken.

C 3.4.2. If you have any relevant attachments (photos, film footage, documents etc.)
they can be added to the report at this stage. There is a file size limit of 20MB so if you
have a large film, please split it down into multiple short clips and/or compress the file.

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Navigate to the Attachments tab, select the Choose File button to locate the file then
select Attach File. ►Attachments can be removed by the originator, to remove another
Users attachment, please contact the ASIMS Helpdesk.◄

C 3.4.3. Once all Technical details have been added and there is no further information
to be included on the form select the Mark Complete button. The tab header will change
to green and the Maintenance role group will no longer have permission to edit the form
details.

Note: All required fields (marked with a red asterisks) must be completed before the tab
can be marked complete. Once complete the report will be removed from the users
Requiring Action column in the Reports Summary section of the Home page.

C 3.4.4. If any further changes are required once the Mark Complete button has been
selected the Occurrence Manager will need to be requested to send the report to the
Maintenance role group for Action.

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C 4. ATM Supervisor Role
C 4.1. Introduction

Figure 39

C 4.1.1. All DASORs reported by the ATC, ABM and ALI community require action from
the ATM Supervisor role group.

C 4.1.2. An ATM Supervisor will receive an email notification that a DASOR requires
action and the notification will contain a link to the DASOR, the brief title and Narrative
description of event.

C 4.1.3. Selecting the link will open that specific report in the default web browser.
Alternatively, all the reports that you are acting as an ATM Supervisor for can be viewed by
selecting the number of reports in the Requiring Action column of the DASORs row in the
Reports Summary section on the Home page. This will display the related DASORs in a
results table. Selecting a row of the table will open the respective DASOR in a new
window.

C 4.2. ATM Supervisor Tab Completion

C 4.2.1. The tab header colour changes depending upon the associated status:

a. Yellow. In progress – The ATM Supervisor role group can add data and is
viewable by all ASIMS users, but the tab is not yet complete.

b. Green. Complete – The ATM Supervisor role group have completed their
work and populated all relevant fields.

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 Note: When the supervisor tab has been marked complete the Supervisor Role
group will no longer be able to edit the tab.

C 4.2.2. To complete the ATM Supervisor tab, select the Edit button to enable write
access to the tab fields.

C 4.2.3. As many fields as possible should be completed to provide maximum detail of

the event.

C 4.3. ATM Supervisor Tab Sections

Figure 40

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C 4.3.1. Supervisor Details. This section will be automatically populated with the details
of the first incumbent from the ATM Supervisor role group who accesses the ATM
Supervisor tab; the fields remain editable.

C 4.3.2. Occurrence Details. Complete as many of the occurrence details as possible.

C 4.3.3. Supervisors Narrative. Provide Supervisor comments in this section including

the detail and context of the actions performed. If the Supervisor has no further information
to include in the report annotate the section with ‘No comment required’.

C 4.4. Review and Complete

C 4.4.1. Once satisfied the relevant fields are complete and spell checked select the
Save button located in the top right-hand corner of the tab.

C 4.4.2. If you have any relevant attachments (photos, film footage, documents etc.)
they can be added to the report at this stage. There is a file size limit of 20MB so if you
have a large film, please split it down into multiple short clips and/or compress the file.
Navigate to the Attachments tab, select the Choose File button to locate the file then
select Attach File. ►Attachments can be removed by the originator, to remove another
Users attachment, please contact the ASIMS Helpdesk.◄

C 4.4.3. Once all ATM Supervisor details have been added and there is no further
information to be included on the form select the Mark Complete button. The tab header
will change to green and the ATM Supervisor will no longer have permission to edit the
form details.

Note: Once complete the report will be removed from the user Requiring Action column in
the Reports Summary section of the Home page.

C 4.4.4. If any further changes are required once the Mark Complete button has been
selected the Occurrence Manager will need to be requested to send the report to the ATM
Supervisor role group for Action.

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C 5. Commentator Role
C 5.1. Introduction

Figure 41

C 5.1.1. Once a report has been accepted by the Occurrence Manager any user on
ASIMS can add a comment to the report. This ability can be suspended by the OM and
assigned investigator at any time, see para E1.2, and is automatically suspended for OSI
or SI level investigations.

C 5.1.2. An ASIMS commentator is an individual who may be assigned a report to

formally add constructive comments to but may otherwise play no role in the management
or flow of the report. The request can be sent in 2 ways:

a. To an Individual User. Any ASIMS user may be asked to comment on a

report with the express intent of seeking their opinion or offering them the
opportunity to comment on the report.

b. To a Commentator Role Group. There are commentator groups

throughout the DAC allowing easy communication with groups such as station
SMEs, Local Command, HQs, DE&S PT, UK low flying etc.

Note: Any user of ASIMS can send a DASOR report to any commentator role
group for comment.

C 5.1.3. A commentator will receive an email notification indicating that a DASOR

requires comment. The notification will contain a link to the DASOR, the brief title and
Narrative description of event.

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C 5.1.4. Selecting the link will open that specific report in the default web browser. You
can view all the reports that you are acting as a commentator or need to comment on by
selecting the number of reports in the requiring action column of the reports summary
section which will display the related DASORs in a results table below.

Note: Selecting any row in the table will open that DASOR report in a new window.

C 5.1.5. If a specific piece of information is required a question can be asked of an

individual by either the Occurrence Manager, Investigator or ADH/AM. The individual will
receive an email notification indicating that a DASOR question requires an answer. The
notification will contain a link to the DASOR, the brief title and Narrative description of
event.

C 5.1.6. Selecting the link will open that specific report in the default web browser. A
User can view all the reports that they need to provide an answer on by selecting the
number of questions in the requiring action column of the reports summary section which
will display the related DASORs in a results table below.

C 5.2. Adding Comments

C 5.2.1. Read the report before navigating to the Report Admin tab to see if the report
was sent to the user as an individual or as part of a commentator role group. This may
have a bearing on how the comment is submitted (see Para C 5.2.3)

C 5.2.2. Select the Comments tab and add a relevant comment in the blank Add a
Comment text box.

Figure 42

C 5.2.3. Select Check Spelling before submitting the comments to the DASOR by
selecting one of the following options:

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 a. Add Comment. The comment will be added but the comment action will
remain open for other members of the Commentator role group to add their own
comments or for the user to provide additional comments. The action completed
section of the Actions table in the Report Admin tab will remain blank.

b. Add Final Comment. The comment will be added and the action will be
closed. The action completed section of the Actions table in the Report Admin
tab will have a date, time and name of actioner displayed.

Note: If the user is a member of more than one role group that has been sent
the report for comment they will be presented with a popup asking them to
confirm which role group or all role groups they are adding the final comment on
behalf of.

Note: If Add Final Comment has been selected and at a later stage additional
comments need to be added the user will need to contact the Occurrence
Manager for the report to resend for comment.

C 5.3. Acknowledging Comments

C 5.3.1. Use of the acknowledged comment’s function allows the user to see which
comments have already been read and which comments have been newly submitted.
Once comments have been read select the Acknowledge New Comment(s) button.

C 5.3.2. Comments that are new and have not been acknowledged are displayed with a
blue border. Acknowledged comments are displayed with a grey border.

Figure 43

Note: This function is unique to an individual user account.

C 5.4. Comment Status

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C 5.4.1. The Comment status field is displayed at the top of the Comments tab and
indicates to the user when the report contains unacknowledged comments.

C 5.4.2. There are four comment statues:

• Not Requested. No comments have been requested.

• Awaiting Comments. Comments have been requested and at least one

request is outstanding.

• Comments Received. All requested comments have been received (Add

Final Comment selected for all requests).

• New Comment. Indicates a comment has been added to a report that the
user has not acknowledged.

C 5.4.3. When a comment is added to a report the comment status automatically

changes to New Comment. Then when the user selects the Acknowledge New
Comment(s) button the comment status changes to indicate if comment requests are
outstanding, closed or not made.

Note: The New Comment status is unique to an individual user account.

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C 6. Questions
C 6.1. Introduction

Figure 44

C 6.1.1. Questions can be sent to an individual or role group and are answered from the
Comments tab of the associated report.

Note: Only Occurrence Managers, Investigators and ADH/AMs can ask questions.

C 6.2. Asking a question

C 6.2.1. Select the Comments tab of the relevant report and locate the Ask a Question
section.

C 6.2.2. Enter the individual’s username or role group name into the To text box and
select the recipient required. This is a mandatory field.

C 6.2.3. Set a deadline date for a response by selecting an Answer By date. This is a
mandatory field.

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C 6.2.4. Enter the question into the question box, check spelling before selecting the
Ask Question button to send the question to the recipient. The recipient of the question
will receive an email notification informing them a question has been asked of them with a
link to the report. The report will also appear in their Reports Summary section of the
Home page in the Questions row.

Figure 45

C 6.2.5. When viewing the Comments tab, as the recipient, an unanswered question will
be displayed with a yellow header. All other users will see the question in the same format
as a normal comment (i.e. a red header).

C 6.3. Answering a question

C 6.3.1. When you are asked a question you will be sent a notification containing a link
to the DASOR and the question you have been asked. All questions you have been asked
will appear in the question row within the Reports Summary section of your ASIMS main
menu.

C 6.3.2 Open the DASOR either from the link within the notification or from your main
menu. Select the Comments tab of the report and locate the question. Any outstanding
questions the user has been asked will appear with a yellow header.

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 Figure 46

C 6.3.3. Selecting the Acknowledge button will display the answer text box. Populate
the response to the question in this box.

Warning: Do not answer the question by adding a new comment as described in

Part C 5.2.

C 6.3.3. Select Check Spelling before submitting the answer to the question by
selecting one of the following options:

a. Add Answer. The answer will be added but the question action will remain
open for the user(s) to provide additional responses.

b. Add Final Answer. The answer will be added and the question closed and
the header colour changed to red in line with all other comments.

Note: All responses to a question will be displayed below the question irrespective of
other comments made or questions asked within the report.

C 6.3.4. If the person or role group who has been asked a question does not reply
before the answer by date they will be sent a notification when the date passes reminding
them to answer the question.

C 6.4. Acknowledge Answer

C 6.4.1. When a question has been answered the person who asked the question will
receive an email notification, they must acknowledge the final answer by selecting the
Acknowledge Final Answer button to complete the question process.

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Part D Managing ASIMS

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D 1. Managing ASIMS Overview
D 1.1. Introduction

D 1.1.1. To allow DASORs to be managed effectively and to allow the data contained
within ASIMS to be accessed as required, it is necessary to manage certain aspects of
ASIMS.

D 1.1.2. A user can manage their individual profile and personalise ASIMS as
appropriate for their requirements in the following ways:

a. Manage and maintain their personal account details.

b. Mange the DASOR aircraft information notifications they receive.

c. Personalise the Home page Reports Summary view unique to their

account.

d. Follow reports of interest relevant to the individual user.

e. Create a personalised dashboard of saved search results.

f. Manage role group membership and Station investigator lists –

Permissions apply.

D 1.1.3. This section will provide details about how the above ASIMS account
management can be achieved.

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D 2. My Details
D 2.1. Introduction

D 2.1.1. The My Details function provides a user with the ability to manage personal
details within ASIMS, unique to their account.

Warning: Details should be kept as current as possible; this is particularly relevant

for the email address associated with the account as this is used by ASIMS for the
purpose of sending notifications.

D 2.1.2. The My Details page is accessible from the Menu Bar by selecting the Edit link
below your User details displayed in the top left of the screen.

D 2.2. Amend/Update/View

Figure 47

D 2.2.1. The My Details page allows a user to amend/update: personal details, aircraft
notifications and view additional information related to their account.

D 2.2.2. A user can amend/update the following in the My Details page:

a. Title. Rank/Title of the user.

b. Users Name. User’s First Name and Last Name.

c. Job Title. The title of the user’s current role.

d. Email Address. The user’s preferred email address for ASIMS notifications.

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 Warning: Email addresses are to be restricted to ‘@mod.gov.uk’ or known
industry addresses. Users are not to use personal public email addresses
(i.e. Hotmail, Gmail, Yahoo etc).

e. Supress emails until. If a user wishes to not receive ASIMS notifications

for a period, i.e. due to a long absence from work, they can be suppressed until
a date such that they are required again.

f. Phone Number. A contact number for the user.

g. Internal Info Distribution Role. Enables the user to subscribe to aircraft

information notifications, these notifications are based on the aircraft type a
report has been raised on and the user will receive a ‘for information notification’
each time a report is accepted onto ASIMS for that aircraft type.

h. Change Password? A tick box that, on selection, displays additional fields

to input a new user password, confirm the changed password and confirm their
current password (temporary password in the case of a reset). The user will
then have to accept the SyOps agreement by selecting the tick box at the
bottom of the agreement.

Warning: Passwords are case sensitive, they must be 8-15 characters in

length and contain at least one letter, one number and one special
character from the following selection !"#$%&'()*+,-./:;<=>?@[\]^_`{|}~

D 2.2.3. Once all changes have been made select the Save button to confirm. On
selection of Save the user will be taken back to the Home page.

D 2.2.4. In addition, a user can also view the following:

a. User’s roles. Provides a list of the role groups the user is assigned to.

b. Receive Report Feedback? Displays whether the user account receives

report feedback (Yes) or not (No).

c. SyOps Agreed. Details the date and time the SyOps agreement was last
signed. Selecting the View button will display the ASIMS Users SyOps
agreement at the bottom of the page.

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D 3. Following Reports/Recommendations
D 3.1. Introduction

D 3.1.1. Any DASOR or Recommendation can be followed by an ASIMS account holder

allowing ready access to reports of interest through the Reports Summary section of the
Home page without having to initiate a search for each report.

D 3.2. Follow a Report

D 3.2.1. To follow a DASOR a user must first access the report.

D 3.2.2. Select the Follow Report button in the top left-hand corner of the report.

D 3.2.3. The report is now being followed by that user’s account and will be included in
the Followed column of the Reports Summary section on the Home page.

D 3.3. Un-follow a Report

D 3.3.1. There are two ways to unfollow a DASOR, either access the followed report and
select the Unfollow Report button in the top left-hand corner of the report. Or click on the
Total DASORs number in the Followed column in the Reports Summary section on the
Home page. This will list all followed reports and you can select the Unfollow button at the
end of the row for each DASOR.

D 3.3.2. The report is no longer being followed by that user’s account and will be
removed from the Followed column of the Reports Summary section on the Home page.

D 3.4. Follow a Recommendation

D 3.4.1. To follow a recommendation a user must first access the required

recommendation.

D 3.4.2. Select the Follow Recommendation button in the top left-hand corner of the
recommendation.

D 3.4.3. The recommendation is now being followed by that user’s account and will be
included in the Followed column of the Reports Summary section on the Home page.

D 3.5. Unfollow a Recommendation

D 3.5.1. There are two ways to unfollow a recommendation, either access the followed
recommendation and select the Unfollow Report button in the top left-hand corner of the
recommendation. Or click on the Recommendations number in the Followed column in the
Reports Summary section on the Home page. This will list all followed recommendation
and you can select the Unfollow button at the end of the row for each recommendation.

D 3.5.2. The recommendation is no longer being followed by that user’s account and will
be removed from the Followed column of the Reports Summary section on the Home
page.

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D 4. Reports Summary
D 4.1. Introduction

D 4.1.1. The number of DASORs and Recommendations that a user is required to

action, is managing, is following or have a question outstanding on are displayed in a table
within the Reports Summary section, positioned at the bottom of the Home Screen.

D 4.1.2. The Reports Summary section allows ready access to these reports without
having to undertake a search for each one. Additionally, it provides the ability to view the
status of reports relevant to the account holder and allows the user to generate a default
view for future use.

D 4.2. Reports Summary Sections

Figure 48

D 4.2.1. Default View buttons. See Part D 4.4.

D 4.2.2. Report Summary Totals. Provides DASOR totals differentiated by Occurrence

Type, Recommendations, Questions, Serious Faults, and SESORs under the following
headings:

a. Requiring Action. These are reports where the user is a member of a role
group required to complete an action, either completing a section of the report
or requested to provide comment.

b. Managed. These are reports for which the user is an Occurrence

Manager, in DDH/AM or ODH/AM Review Groups. The same report may
appear in both the Requiring Action and Managed list depending on what stage
the report is at.

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 c. Followed. Displays all the reports or recommendations a user is following.
See Part D 3 for how to follow a report.

Note: Selection of any of the total numbers will display a list of those
associated report in an additional table below the totals (see D 4.2.3).

D 4.2.3. Reports Summary List of Reports. Displays a list of the DASOR details of the
selected total with the following headings:

a. Attachment. A paperclip symbol indicates whether an attachment has

been added to the respective DASOR.

b. Reference. Displays the DASOR reference; hovering the cursor over the
reference will display the Brief Title from the associated report.

c. Link. A link symbol indicates whether the DASOR is linked to another

DASOR.

d. Status. The current status of the report (see definitions in Part P 5):

• Submitted report – awaiting acceptance

• Open Report
• Under Investigation
• OM Review
• ORG Review
• DDH/AM Review
• ODH/AM Review
• Closed pending comments

e. Comment Status. Displays the comment status from the comments tab of
the report.

f. Tech. The Technical tab colour coded status:

• Yellow. In progress
• Green. Complete
• Grey. Section not present.

g. Sup. The ATM Supervisor tab colour coded status:

• Yellow. In progress
• Green. Complete
• Grey. Section not present.

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 h. Comm. The Commentator tab colour coded status:

• Red. Global comments disabled.

• Green. Global comments enabled.

i. Date of Occurrence. The date the occurrence happened or for faults

found during maintenance use the date when the issue was identified.

j. Aircraft Mark. Aircraft Type and Mark associated with the occurrence.

k. Registration. The registration of the aircraft associated with the

occurrence.

l. Occurrence Type. The Occurrence type: Air; ATC/ABM/ALI; Maintenance;

Synthetic; Other.

m. Incident. The Incident type: Accident; Incident; Hazard/Observation;

Hostile Action/Loss.

n. Perceived Severity. The severity of the occurrence as perceived by the

reporter.

o. Last Updated. The date the DASOR was last updated.

D 4.3. Reports Summary Functionality

D 4.3.1. The reports summary displays a breakdown by Status of DASORs and

Recommendations applicable to the user.

D 4.3.2. A user can change the number of reports displayed by changing the Show
dropdown box. The user can select either: 5; 10; 25; 50; or 100 entries to be displayed in a
single view.

D 4.3.3. Selecting any column heading will sort the order the list is displayed. Selecting
the heading once will sort ascending, selecting the heading again will sort descending.

D 4.3.4. The reports displayed in the list of reports can be filtered across all the fields
displayed:

a. Insert the search criteria required into the Search text box on the right of
the screen just above the list of reports.

b. The report results will be automatically filtered displaying only those where
the text entered matches any of the fields displayed in the summary, including
the brief title which is displayed when you move your mouse over the report
reference.

c. To reset the search, delete the content of the text box.

D 4.4. Default View

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 D 4.4.1. The Reports Summary section display configuration can be saved so that each
time the user logs into ASIMS the users determined default view will be displayed on the
Home page.

D 4.4.2. Following setup of the Reports Summary section to the desired view select the
Save As Default View button to confirm the current Reports Summary configuration as
the default view; this is inclusive of any ordering and/or text searching of data chosen.

D 4.4.3. If further changes are made to the view of the Reports Summary section as
needed by the user, selecting the Reset To Default View button will return the Reports
Summary section to the default view.

D 4.4.4. When returning to the Home page from a different area of ASIMS the view
displayed will always be in the configuration that was last shown.

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 D 5. ASIMS Notifications
D 5.1. Introduction

D 5.1.1. ASIMS sends out notifications informing users of actions they need to perform
or information about reports they are managing or are interested in. Below details each
ASIMS notification sent out from the system.

D 5.2 Notification Details

Title Generation Details Subject Body

New report for When any internal Info ASIMS Notification: A new DASOR
your reference Addressees role group is Report For
selected (while accepting a Information – report Report reference as link
report and one off select). reference
has been accepted that may be of
interest to you.

Date of Occurrence:

Brief Title:

Narrative Description of Event:

New report Notification of every new ASIMS Notification: A new DASOR
submitted report submitted, sent to Site New Report
Admin role group and any role Submitted - report Report reference as link
group with the “New report reference
submitted” permission. has been submitted that may be of
interest to you.

Date of Occurrence:

Brief Title:

Narrative Description of Event:

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Title Generation Details Subject Body

New report Sent to Occurrence Manager/ ASIMS Notification: A DASOR

assigned to you Technical/Supervisor role Report Assigned To
groups when a new report is Your Role Group - Report reference as link
submitted. report reference
has been sent to your ASIMS Role
Sent to Occurrence Manager / Group for Action.
Technical/Supervisor role
groups when a Station/Unit is Please review the report and action in
changed accordance with the red text displayed
when viewing the report.
Sent to Technical/Supervisor
role groups when a report is Date of Occurrence:
sent for action to that role
group. Report Status:

Sent to Occurrence Manager Brief Title:

role group when report
Returned to Occurrence Narrative Description of Event:
Manager from DDH/AM
review (LI)

Sent to ORG members

(individuals) when report sent
to ORG

Sent to Occurrence Manager

role group when a report is
sent for Occurrence Manager
Review (LI Investigation)

Sent to DDH/AM Review

group or ODH/AM Review
group when a report is re-
opened.
DASOR has been Sent to Occurrence Manager ASIMS Notification: A new DASOR
auto accepted role group when a report is Auto accepted
automatically accepted Report - report Report reference as link
reference
has been automatically accepted.

Please review the report, check that it

does not contain information above
OFFICIAL (including attachments),
populate the Occurrence Manager tab
and distribute it to all the appropriate
info addressees (Distribution tab).

Date of Occurrence:

Brief Title:

Narrative Description of Event:

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Title Generation Details Subject Body
Comment needed Sent to individual or role ASIMS Notification: A DASOR
group members when a report Comment Required
is sent for comment - report reference Report reference as link
(Comment Addressees –
Distribution Tab). has been sent to you for Comment.

Please review the report and add your

comment to the Comments tab. Use
Add Comment to add an
interim/holding response and use Add
Final Comment to add a final
response and close the request.

Date of Occurrence:

Brief Title:

Narrative Description of Event:

User's reports Sent to reporter when a report ASIMS Notification: Report Reference: Reference as a link
change status they submitted (when logged Status Changed -
in) is accepted or closed report reference The status of the DASOR you
submitted has changed to status you
can view the report by clicking the
reference above.

Date of Occurrence:

Brief Title:

Narrative Description of Event:

User's reports Sent to reporter when a report ASIMS Notification: Report Reference:
change status they submitted (without Status Changed -
logging in and email address report reference Date of Occurrence:
supplied) is accepted or
closed Brief Title:

The status of the DASOR you

submitted has changed to status, a
PDF copy of the report is attached for
reference.
Investigation Sent to individuals who have ASIMS Notification: A DASOR
assigned to you been identified as Investigation
investigators when a report is assigned to you - Report reference as link
sent for investigation. report reference
has been sent to you for Investigation.

Please complete the investigation on

this report by populating the
Investigation and Findings tabs. Close
all comments before sending this
report on for review.

Date of Occurrence:

Brief Title:

Narrative Description of Event:

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Title Generation Details Subject Body

Investigation Sent to Occurrence Manager ASIMS Notification: A DASOR

returned from role group and individuals Returned from
DDH/AM who have been identified as DDH/AM Review - Report reference as link
investigators when an OSI or report reference
SI investigation is returned to has been returned from DDH/AM
investigation from DDH/AM Review for rework.
review.
Brief Title:

Narrative Description of Event:

Investigation Sent to individuals who have ASIMS Notification: A DASOR
returned from been identified as Report returned
Occurrence investigators when a report is from Occurrence Report reference as link
Manager Review returned to investigation from Manager Review -
OM review report reference has been returned to you for
amendment from Occurrence Manager
Review.

Date of Occurrence:

Brief Title:

Narrative Description of Event:

Investigation Sent to individuals who have ASIMS Notification: A DASOR
returned from been identified as Report returned
ORG investigators when a report is from ORG Review - Report reference as link
returned to investigation from report reference
ORG has been returned to you for
amendment from ORG Review.

Date of Occurrence:

Brief Title:

Narrative Description of Event:

Question Asked Sent to the individual or role ASIMS Notification: You have been asked the following
group asked a question Question Asked - question relating to DASOR report
report reference reference

Question

Please acknowledge the question and

add an answer on the comments tab.
Use Add Answer to add an
interim/holding response and use Add
Final Answer to add your final
response and close the question.
Question Sent to the individual who ASIMS Notification: An interim/holding response to your
Answered asked a question when an Question Answered question
answer has been added (add - report reference
answer) to a question Question

on DASOR report reference

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Title Generation Details Subject Body

has been made, you can view the

answer on the comments tab

Question Final Sent to the individual who ASIMS Notification: A final answer to your question
Answered asked a question when a final Question Final
answer is added to a question Answered - report Question
reference
has been posted on DASOR report
reference

Please view the response and

acknowledge the final answer on the
comments tab.
Question Not Final Sent to the individual who ASIMS Notification: A final answer to your question
Answered (For asked a question when the Question Asked
asker) question is overdue (Answer Not Final Answered Question
by Date has passed, and no - report reference
final answer added). on DASOR report reference

has not been made before the answer

by date and is now overdue.
Question Not Final Sent to the individual or role ASIMS Notification: The question
Answered (For group who has been asked a Question Not Final
responder) question when the question is Answered - report Question
overdue (Answer By Date has reference
passed and no final answer on DASOR report reference
added).
is overdue.

Please add your final answer to the

question as the required by date has
passed. The question can be
answered on the comments tab.
Question Closed Sent to the individual who ASIMS Notification: The question you asked
(For asker) asked a question when the Question has been
report is closed if the person closed by different Question
closing the report is different user- report
from the person who asked reference on DASOR report reference
the question.
was not answered and the report has
now been closed.
Answer Sent to the individual who ASIMS Notification: The answer to a question you asked
acknowledged (For asked a question when the An answer to your
asker) answer has been question has been Question
acknowledged. acknowledged -
report reference on DASOR report reference

has been acknowledged.

Recommendation Sent to ADH/AM role group ASIMS Notification: Recommendation
Sent to ADH/AM when a recommendation is Recommendation
sent to ADH. Sent to ADH/AM Recommendation ref as a link

has been Sent to your ASIMS Role

Group for action.

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Title Generation Details Subject Body
Please review the recommendation
and Accept, Reject, Request Rewrite,
Elevate or Copy to another ADH/AM.

Title:

Recommendation Sent to the Recommendation ASIMS Notification: Recommendation

owner - Role Owner role group when a Recommendation
Group recommendation is Accepted Owner Assigned - Recommendation ref as a link
by the ADH (if a Role Group
Recommendation Owner role has been sent to your role group to
group has been identified implement as the Recommendation
when the recommendation Owner.
was created).
Update the justification and
Sent to the Recommendation implementation plan fields before
Owner role group when the assigning an implementor. If you are
Recommendation Owner is implementing the recommendation
set/changed. yourself update the Work Performed
tab with the details of action taken to
Sent to the Recommendation implement the recommendation.
Owner role group when the
ADH/AM clicks “Resend for Title:
Implementation”.
Recommendation Sent to the Recommendation ASIMS Notification: Recommendation
owner – individual Owner individual when the Recommendation
recommendation is Accepted Owner Assigned – Recommendation ref as a link
by the ADH (if a Individual
Recommendation Owner has been sent to you to implement as
individual has been identified the Recommendation Owner.
when the recommendation
was created). Update the justification and
implementation plan fields before
Sent to the Recommendation assigning an implementor. If you are
Owner individual when the implementing the recommendation
Recommendation Owner is yourself update the Work Performed
set/changed. tab with the details of action taken to
implement the recommendation.
Sent to the Recommendation
Owner individual identified Title:
when the ADH/AM clicks
“Resend for Implementation”.

Recommendation Sent to the individual when ASIMS Notification: Recommendation

Implementor the recommendation is Recommendation
Accepted by the ADH (if an Implementor Recommendation ref as a link
implementor has been Assigned
identified when the has been sent to you for
recommendation was Implementation.
created).
Please review the recommendation
and update the Work Performed tab

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Title Generation Details Subject Body
Sent to individual when the with the details of action taken to
Recommendation Owner implement the recommendation.
sets/changes the
implementor. Title:

Sent to the individual when

the Recommendation Owner
clicks “Return to Implementor”
from owner review.

Sent to the individual when

the ADH/AM clicks “Resend
for Implementation” (if an
implementor has been
identified).
Recommendation Sent to the Recommendation ASIMS Notification: Recommendation
implementation Owner individual when the Recommendation
complete implementor clicks the Implementation Recommendation ref as a link
(Individual) “Implementation Complete” Complete –
button. Individual has been sent to you as the
Recommendation Owner.

Please review the work performed by

the implementor(s) and when satisfied
send to the ADH/AM.

Title:

Recommendation Sent to the Recommendation ASIMS Notification: Recommendation

implementation Owner role group when the Recommendation
complete (Role implementor clicks the Implementation Recommendation ref as a link
group) “Implementation Complete” Complete - Role
button. group has been sent to you as a member of
the Recommendation Owner Role
Group.

Please review the work performed by

the implementor(s) and when satisfied
send to the ADH/AM.

Title:

Recommendation Sent to Defence AIB role ASIMS Notification: A recommendation

assigned to group group when a SI Recommendation
for review recommendation is closed by Assigned Recommendation ref as a link
the ADH/AM role group
raised on a DASOR where the
Sent to DG DSA role group investigation was convened by the DG
when a SI recommendation is DSA has been sent to your Role Group
accepted by the Defence AIB for Review.
role group

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Title Generation Details Subject Body
Sent to Defence AIB role Please review the recommendation
group when a SI and Accept or Reject its
recommendation is rejected implementation.
by the ADH/AM role group
Title:
Sent to DG DSA role group
when a rejected SI
recommendation is accepted
by the Defence AIB role
group.
Recommendation Sent to ADH Role Group ASIMS Notification: Recommendation
assigned to group when the Recommendation Recommendation
for review Owner clicks “Send to ADH/AM Review Recommendation ref as a link
ADH/AM”.
has been sent to your role group for
action.

Please review the recommendation

implementation and if satisfied close
the recommendation.

Title:

Recommendation Sent to individuals who have ASIMS Notification: A recommendation

rejected been identified as the report Recommendation
investigators when a Rejected Recommendation ref as a link
Recommendation raised on
that report is Rejected. that you raised has been rejected.

Please view the recommendation for

details of why it was rejected.

Title:

Recommendation Sent to ADH/AM role group ASIMS Notification: Recommendation

implementation when an implementation of Recommendation
rejected the recommendation is Implementation Recommendation ref as a link
rejected by the Defence AIB Rejected
role group. has been returned to your role group
because the implementation has been
Sent to the ADH/AM role rejected by either Defence AIB or DG
group when an DSA.
implementation of the
recommendation is rejected Please review the recommendation for
by the DG DSA role group. details of why it was rejected before re-
implementing.

Title:

Recommendation Sent to individuals who have ASIMS Notification: Recommendation

closed been identified as the report Recommendation
investigators when a Closed Recommendation ref as a link
Recommendation raised on
that report is closed. for a report you investigated has been
closed.

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Title Generation Details Subject Body
Please use the link above to access
the recommendation and view the
details of its implementation.

Title:

Recommendation Sent to the ADH/AM role ASIMS Notification: Recommendation

Rejection rejected group when the rejection of a Recommendation
SI recommendation is not Rejected Recommendation ref as a link
approved by the Defence AIB
role group. has been assigned to your role group
because the rejection of the
Sent to the Defence AIB role implementation has not been
group when the rejection of a accepted.
SI recommendation is not
approved by the DG DSA role Title:
group.
Recommendation Sent to individuals who have ASIMS Notification: Recommendation
Rejected for been identified as the report Recommendation
Rewrite investigators when a Rejected for Recommendation ref as a link
Recommendation raised on Rewrite
that report is returned for has been returned to you for rewrite.
rewrite.
Please view the recommendation for
details of why it was rejected for
rewrite, amend the full
recommendation field on the summary
tab and send back to ADH/AM.

Title:

Recommendation Sent to the ODH/AM Review ASIMS Notification: Recommendation

Elevated Group when the ADH/AM Recommendation
elevates a Recommendation. Elevated Recommendation ref as a link

has been elevated to your Role Group.

Please review the recommendation

and Accept, Reject, Request Rewrite,
Elevate or Copy to another ADH/AM.

Title:

Recommendation Sent to the role group a ASIMS Notification: Recommendation

Copied recommendation has been Recommendation
copied to. Copied Recommendation ref as a link

has been copied to your Role Group.

Please review the recommendation

and Accept, Reject, Request Rewrite,
Elevate or Copy to another ADH/AM.

Title:

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Title Generation Details Subject Body
Question Asked Sent to the individual or role ASIMS Notification: You have been asked question
(Recommendation) group who has been asked a Recommendation
question on a Question Asked – Question
recommendation. Recommendation
Reference on Recommendation

Recommendation ref as a link

Please acknowledge the question and

add an answer on the comments tab.
Use “Add Answer” to add an
interim/holding response and use “Add
Final Answer” to add your final
response and close the request.
Question Final Sent to the individual who ASIMS Notification: A final answer to your question
Answered asked a question on a Recommendation
(Recommendation) Recommendation when a Question Final Question
final answer has been added Answered -
to the question. Recommendation has been posted on Recommendation
Ref Recommendation ref as a link

Please view the response and

acknowledge the final answer on the
comments tab.
Question Sent to the individual who ASIMS Notification: An interim/holding response to your
Answered asked a question on a Recommendation question
(Recommendation) Recommendation when an Question Answered
answer has been added to - Recommendation Question
the question. Ref
on Recommendation Recommendation
ref as a link

has been posted and you can view the

answer on the comments tab.
Recommendation Sent to the individual who ASIMS Notification: A final answer to your question
Question Not Final asked a question when the Recommendation
Answered (For question is overdue (Answer Question Asked Question
asker) By Date has passed and no Not Final Answered
final answer added). - Recommendation on Recommendation Recommendation
Title ref as a link

has not been posted before the answer

by date and is now overdue.

Recommendation Sent to the individual or role ASIMS Notification: The question

Question Not Final group who has been asked a Recommendation
Answered (For question when the question is Question Not Final Question
responder) overdue (Answer By Date has Answered -
passed and no final answer Recommendation on Recommendation Recommendation
added). Title Title as link

is overdue.

Please add your final answer to the

question as the required by date has
passed. The question can be
answered on the comments tab.

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Title Generation Details Subject Body
Comment needed Sent to the individual or role ASIMS Notification: Recommendation
(Recommendation) group who have been Recommendation
requested to comment on a Comment Required Title:
Recommendation. - Recommendation
Reference Recommendation ref as a link

has been sent to you for Comment.

Please review the recommendation

and add your comment to the
Comments tab. Use “Add Comment” to
add an interim/holding response and
use “Add Final Comment” to add a
final response and close the request.

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D 6. Local Administrators
D 6.1. Introduction

D 6.1.1. Maintaining role group members and unit investigator lists is an essential
activity to ensure that the correct personnel are populated into the appropriate workflows
for a DASOR.

D 6.1.2. Local administration rights have been awarded to local air/flight safety teams to
manage role groups and investigator lists, specific to their AoR.

D 6.1.3. The administration pages are accessed by selecting Admin of the Menu Bar.

Note: This will only be available if the user has the appropriate permissions.

D 6.2. Amending Role Groups

D 6.2.1. Locate and select the Edit Roles item from the Menu Bar.

Figure 49

D 6.2.2. Maintaining role groups can be performed by either editing the role group to
add/remove a user or by editing the user and adding/removing them from a role group.
The Edit Roles page allows the user to perform both actions.

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 Figure 50

D 6.2.3. To edit a Role, enter the role group name, or part of a name, into the Quick
Lookup field within the Role section; this will automatically filter the user list.

D 6.2.4. Select the role group you wish to edit and select the Edit Roles… button.

Figure 51

D 6.2.5. To add a user to the role group, type the required users name into the Not
assigned to this role box, select the required user and then click the >> button to move it
into the right-hand box marked Assigned to this role.

D 6.2.6. To remove a user from the role group, select the required user from the
Assigned to this role box, select the << button to move it into the left-hand box marked
Not assigned to this role.

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D 6.2.7. Select the Update Role button to save any changes made.

D 6.2.8. A pop-up window will appear to confirm the account has been updated. Select
the OK button to confirm.

D 6.2.9. The Roles section has a Users’ Details List button, once a role group has been
selected from the list select this button to download an excel spread sheet of all users in
that role group.

D 6.2.10. To edit a User, enter the users PUID (if known) or name into the Quick Lookup
field within the Users section; this will automatically filter the user list.

D 6.2.11. Select the required user to amend and select the Edit User Roles… button.

D 6.2.12. If no user account exists an account request will need to be made through the
ASIMS Helpdesk.

Figure 52

D 6.2.13. To add a role group to a user account, type the required role group as
requested into the Not assigned to this role box, select the required role group and then
click the >> button to move it into the right-hand box marked Assigned to this role.

D 6.2.14. To remove a role group from a user account, select the required role group from
the Assigned to this role box, select the << button to move it into the left-hand box
marked Not assigned to this role.

Note: This screen can also be used to set the OI Trained & Date Training Completed
fields on the users account, this information is used to filter the list of station investigators
available when selecting the level of investigation (See part C 2.12 for assigning
investigators to a report).

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D 6.2.15. A pop-up window will appear to confirm the account has been updated. Select
the OK button to confirm.

D 6.3. Assigning Investigator(s)

D 6.3.1. If an Occurrence Manager is required to initiate an investigation on a DASOR,

the investigators must be included in the station/unit Investigator selectable list. When a
user is added to the Investigator list they become selectable by the Occurrence Manager
for allocation to an investigation.

Note: All station investigators are available for LI investigations, only OI trained (see D
6.2.14 for setting the OI trained field on a user’s account) station investigators are
available for OSI level investigations and all Defence AIB station investigators are
available for SI investigations.

D 6.3.2. Locate and select the Edit Investigators tab.

Figure 53

D 6.3.3. Identify the Station at which the user needs to be allocated using either of the
following methods:

a. Enter the station name (or in part) where the user needs to be allocated to
in the Quick lookup field. This will filter the stations and provide a suggested
list from which to select from.

b. Scroll through the Select a station list to find the required Station.

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 Figure 54

D 6.3.4. Select the required Station before selecting the Assign Investigators button.

Figure 55

D 6.3.5. Identify the user who needs to be allocated as an investigator by entering the
users PUID (if known) or name into the Not assigned to this role quick lookup box. This
will filter the users and provide a suggested list from which to select from.

D 6.3.6. Select the required user before selecting the >> button. The selected user will
appear in the Assigned to this role list.

D 6.3.7. Select the Update Station Investigators button to confirm the action.

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D 6.3.8. A pop-up window will appear to confirm the station has been updated. Select
the OK button to confirm.

D 6.3.9. Once the update has completed the Occurrence Manager will be able to select
the individual from the Investigation list within the DASOR report.

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Part E Investigation, Findings and
Recommendations

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E 1. Investigation
E 1.1. Introduction

Figure 56

E 1.1.1. The purpose of an investigation is to determine the cause(s) of an occurrence,

with the intention of implementing actions to prevent recurrence (or reduce the likelihood
or impact of recurrence).

Note: ASIMS does not specify how an investigation is carried out – this is the
responsibility of the relevant ADH/AM – but it does provide the repository for the results of
investigations.

E 1.1.2. There are different ‘levels’ of investigation which may be undertaken, ranging
from a basic, informal LI where no written investigation report is mandated (which may
even be just one SQEP individual reading the occurrence narrative and deciding on the
findings) through to a full SI. This Section is relevant to all types of investigation.

E 1.1.3. An investigation consists of 3 key elements within ASIMS:

a. The investigation report/narrative

b. Codification/classification of the outcome, cause, and causal factors, which

are collectively to be known as the Findings (this aspect is covered in Part E 2
of this Manual).

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 c. Prevention measures taken, mitigations/local actions or recommendations
taken to prevent reoccurrence. For each cause & causal factor identified they
must have the actions that have been taken to prevent reoccurrence recorded
or a justification of no action taken.

E 1.1.4. All DASORs will be allocated an Investigator by the reports Occurrence

Manager. Once allocated and the report has been progressed to under investigation only
the assigned Investigator(s) and members of the occurrence manager role group for LI
and OSI investigations have access to the Investigation and Findings tabs until the
investigation is complete.

E 1.1.5. Each investigator assigned will receive an email notification that a DASOR
requires action. The notification will contain a link to the DASOR, the brief title and
Narrative description of event.

E 1.1.6. Selecting the link will open that report in the default web browser. Alternatively,
all the reports that you are acting as an Investigator for can be viewed by selecting the
number of reports in the Requiring Action column of the DASORs row in the Reports
Summary section on the Home page. This will display the related DASORs in a results
table. Selecting a row of the table will open the respective DASOR in a new window.

E 1.2. Managing Comments

E 1.2.1. All comments relating to the DASOR are recorded on the Comments tab and all
ASIMS users can add a comment to any report. In order to manage the submission of
comments during an investigation an assigned investigator can turn global commenting on
or off. Global Comments are On as default for LI and Off for OSI and SI investigations.

Note: If a user or role group has been sent a report for comment or a user asked a
question on a report with Global Comments Off they will be able to view the comments tab
to add the comment or answer the question. Access to the comments tab will be removed
once the user or role group has added their final comment or final answer.

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 Figure 57

E 1.2.2. In order to turn Global Comments off:

a. Open the Comments tab of the DASOR.

b. Select the Global Comments Off button in the top right-hand corner of the
tab. This action will turn the On button grey and the Off button red to indicate
global comments have been turned off and will stop users outside of the
investigation being able to view the comments tab.

E 1.2.3. In order to turn Global Comments on:

a. Open the Comments tab of the DASOR.

b. Select the Global Comments On button to allow all users the ability to
comment on the report. This action will turn the On button green and the Off
button grey.

E 1.2.4. Additional information relating to the report may be required during an

investigation. To allow a user to comment on the report in this ‘global comments off’
configuration the report must be sent for comment to the user or role group as necessary:

a. Open the Distribution tab of the DASOR and select the show link next to
the Comment Addressees heading. This will display all the role groups at each
Station within ASIMS. By default, the list will open at the Station identified within
the DASOR.

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 Figure 58

b. Select the required user(s) and/or role group(s) by either:

• Ticking the box preceding the required role group name(s) in the
Send for comments to Role Group section

Figure 59

or,

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 • Typing the required role group or individual username into the Send
for comments to Individual User or Role Group text box and
selecting the appropriate user or role group from the list.

Figure 60

c. Once all the individual users and/or role groups have been chosen, select
the Send for Comment button to complete the process. A notification will be
sent to all individual users selected and each member of the selected role
groups. The email will state they need to comment on the report and contain a
link to the report. The report will also be added to the Requiring Action column
in the Reports Summary section of the Home page.

E 1.2.5. An investigator can also ask a specific question of an individual or role group,
see para C 5.4.

E 1.3. Investigation Tab Completion

E 1.3.1. Once all the relevant information has been gathered the investigation can be
recorded on ASIMS.

Note: While a report is under investigation the Investigation tab is only visible to the
Investigator(s) and the occurrence manager role group members for LI and OSI
investigations. This enables the investigation details to be added without the information
being made public and allows the tab to be completed in stages.

E 1.3.2. Select the Investigation tab in the respective report to access the Investigation
form fields.

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 Figure 61

E 1.3.3. To complete the Investigation tab, select the Edit button to enable write access
to the tab fields.

E 1.3.4. As many fields as possible should be completed to provide maximum detail of

the investigation.

E 1.3.5. Prior to progressing the DASOR beyond the ‘Under Investigation’ stage the
following mandatory fields require completion:

a. LI. Lead Investigator, Narrative Summary of Investigation.

b. OSI & SI. Lead Investigator; Date Investigation Started; Date Investigation
Completed; Narrative Summary of Investigation.

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E 1.4. Investigation Tab Sections

E 1.4.1. Lead Investigator.

a. Lead Investigator Details: Rank/Title; Full Name; Job Title; Contact

Details. The lead investigator details are automatically populated with the
details of the first person to edit the tab. The details can be changed as
required.

b. Investigation Details: Date Investigation Started; Date Investigation

Completed; Workforce Hours Expended on Investigation. Complete the
details of the investigation process as required.

E 1.4.2. Experience. The experience of the individuals involved can be included by

selecting the appropriate, Add Aircrew, Add ATC, Add Maintenance, Add Other, button
to display the Enter the experience details of all the people involved in the occurrence:

a. Aircrew: Rank/Title; Role; Hours (flown) Last 30 Days; Hours (flown) last 3
Months; Hours (flown) on Type; Total Hours (flown).

b. ATC: Rank/Title; Role; Time on Console; Experience Years; Experience

Months; Endorsements; Other Info.

c. Maintenance: Rank/Title; Role; Total (time) on Type; Experience Years;

Experience Months; Other Info.

d. Other: Rank/Title; Role; Trade; Experience Years; Experience Months;

Other Info.

Note: Human fatigue information can be added for each individual identified if it
is relevant to the investigation by selecting the Include Fatigue tick box.
Additional fields will be displayed, deselect the tick box to remove the additional
fields if deemed not relevant, see para B 3.7 for details on the Fatigue form
fields.

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 Figure 62

E 1.4.3. Narrative.

a. Summary of Investigation. Summarise the type of investigation

conducted detailing all the steps that have been performed.

b. Sequence of Events. Provide a sequence of events for the occurrence.

E 1.5. Review and Complete

E 1.5.1. Once satisfied the relevant fields are complete and spell checked select the
Save button located in the top right-hand corner of the tab.

Note: At this stage the Investigation tab is only visible to the assigned Investigator(s) and
those in the occurrence manager role group for LI and OSI investigations.

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E 2. Findings
E 2.1. Introduction

E 2.1.1. The Findings tab is completed by the appointed investigator(s) and records a
summary of the findings from the investigation, allowing occurrences to be classified.

E 2.1.2. Findings are the collective term used for the Outcome, Cause, Causal Factors,
Effects and Observations. These factors should be categorised within every DASOR to
allow for effective trending of occurrences.

E 2.1.3. The ASIMS Findings taxonomy system facilitates the BowTie method of
analysis. ASIMS does not produce BowTies. BowTie is a method of conceptualising the
links between the causal factors, preventative barriers (risk mitigation controls) and
consequences (outcomes) of an occurrence, where the release of the hazard (the ‘top
event’) is the centre of the BowTie.

E 2.1.4. Additional Findings

E 2.1.4.1 The Findings tab facilitates the creation of multiple findings by using
the Add Finding button. This enables multiple groups of findings (Outcome –
Cause – Causal Factors) to be recorded for a DASOR. For example, a technical
fault in flight may have resulted in a report-worthy safety incident. However, the
subsequent investigation may establish that an associated maintenance activity
had been both incorrectly completed and not properly supervised. The
conclusion is that 3 elements led to the incident occurrence and each element
requires investigation:

• why was the maintenance activity being carried out incorrectly?

• why was supervision inadequate?
• why did the technical fault in flight lead to an air safety incident?

E 2.1.4.2 To accurately record the investigation an additional Finding should be

added for each element (a separate finding for each phase of the occurrence)
allowing each element to have their own outcome, cause and causal factors
identified. This makes it easier to identify which causal factor initiated which
cause and subsequently led to each outcome.

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 Figure 63

E 2.2. Taxonomy

E 2.2.1. The ASIMS Findings Taxonomy has been created to provide greater clarity
between Outcomes (the What) and Causal Factors (the Why) and to allow greater
compatibility with BowTie analysis methodology.

E 2.2.2. The Findings taxonomy is split into 3 distinct groups:

a. Outcome. What happened? The realisation of a hazard in the form of an

incident or accident. Outcomes have been broken down into 5 sub-sets and
describe the occurrences which the regulated community, and the aviation
industry in general, is interested in.

• ATC/ABM/ALI. Air Traffic/Battlespace Management.

• Air Operations. Post Aircraft Captains Signature.
• Airworthiness. Depth Activity, inc Aircraft Manufacture.
• General. All Other inc Personal Injury, Hostile Action, Organisational.
• Ground Operations. Forward Activity to Pre-Captains Signature.

Each sub-set has a 3-level taxonomy which can be selected to identify in which
area of interest the occurrence took place.

Note: For Hazard Observations, select the most likely outcome that could have
occurred had the event been realised.

b. Cause. The cause is a factor which leads directly to an outcome,

explaining how the event happened. Typically, it will represent the final barrier to
fail; the final link in the chain before the top event was realised. If there were

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 multiple co-incident failures, then choose the most significant. Causes have
been broken down into 4 sub-sets each with further taxonomy delineation for
selection.

• Human Factors Performance

• Technical
• Environmental
• Unfriendly/Hostile Action

Note: If the cause is identified as being Technical then the element at fault
must be identified with the cause. This is done by identifying the Technical Fault
on the Technical tab. When the Technical taxonomy entry is selected a list of all
technical faults identified within the Technical tab will be displayed and the radio
button in the Equipment column must be selected to indicate which system
resulted in the technical cause.

Figure 64

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 c. Causal Factors. This describes the real world as a set of pre-conditions.
The taxonomy has 5 sub-sets of influence where each can affect a given
scenario in a positive of negative way. Of note, the control measures (barriers)
at this level can only be influenced at this level e.g. Organisations are best
placed to address deficiencies in an Organisation barrier.

• Organisation – high level issues, typically held at MOD or ODH level

and influencing on a global level e.g. acquisition of equipment.
• Team/Task Factors – Task or process based, typically held at
station/DDH level and influencing at a local level e.g. generation of
flying programme.
• Individual Factors – The elements that an individual has that can
influence activities on a daily basis e.g. experience, skills, physical
and mental attributes.
• Technical Factors – the elements that aircraft, equipment and tools
can influence daily activities e.g. design, serviceability.
• Environmental – the workplace influence and natural environment
factors that influence daily activity e.g. lighting (in hangars), weather

Causal Factors is a collective term within ASIMS for:

• Contributory Factor. Why it happened – affects the likelihood of

Incident and degree of hazard exposure
• Aggravating Factor. What made the outcome worse – affect the
severity of the outcome once exposed to the hazard
• Other Factor. Any other factors associated with the occurrence – i.e.
relevant to this occurrence but not affecting its likelihood or severity
of the outcome

E 2.2.3. Effects. These are the consequences of the occurrence, they are important to
help DDH/AM prioritize resources and justify expenditure. Effects are broken down into the
following categories:

• Aircraft or Equipment Damage

• Down-time
• Environmental Impact
• Financial Cost
• Flight Effect
• Workforce Hours Expended
• Nil Effect
• Personal Injury
• Reputational Impact

E 2.3. Findings Tab Completion

E 2.3.1. The Findings tab can be completed in stages. Select the Findings tab in the
respective report to access the Findings form fields.

E 2.3.2. To complete the Findings tab, select the Edit button to enable write access to
the tab fields.

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E 2.3.3. As many fields as possible should be completed to provide maximum detail of
the Findings.

E 2.3.4. To progress the report to the next stage the following must be identified:

• An Outcome.
• A Cause.
• At least one Causal Factor.
• At least one Effect.

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 Figure 65

E 2.4. Findings Tab Sections

E 2.4.1. Outcome.

a. Enter the name of the taxonomy entry into the Outcome text box or select
Pick Outcome – a pop up window will appear.

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 Figure 66

b. Select the appropriate outcome by clicking through the outcome taxonomy

levels. Clicking the level 3 taxonomy will populate the Outcome fields.

c. Provide additional detail by completing the Narrative Description of

Outcome.

E 2.4.2. Cause.

a. Enter the name of the taxonomy entry into the Cause text box or select
Pick Cause – a pop up window will appear.

Figure 67

b. Select the appropriate cause by clicking through the cause taxonomy

levels. Clicking the level 3 taxonomy will populate the Cause fields.

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 c. Provide additional detail by completing the Narrative Description of
Cause.

E 2.4.3. For the Cause identified a record of all actions taken to prevent reoccurrence or
the justification of no action taken must be recorded.

Figure 68

E 2.4.4 To link a formal ADH/AM recommendation to the Cause select Add button in the
Link to existing Recommendation or Recommendation for DDH/ODH/AM Approval
sections and follow the procedure at E 3.2.

E 2.4.5. If the action does not require ADH/AM approval and has been implemented
already, select Add button in the Mitigation/Local Actions section; a window will appear
so that all local mitigating actions can be recorded.

Note: ASIMS acts as our corporate memory, all mitigations and actions taken to prevent
reoccurrence must be recorded either as a formal ADH/AM recommendation or within the
Mitigation/Local Actions field.

Figure 69

E 2.4.6. If no action is required select Add button in the Justification of No Action

section; a window will appear so that a justification of no action can be recorded.

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 Figure 70

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E 2.4.7. Causal Factor.

a. Select the type of Causal Factor being added; Contributory, Aggravating or

Other.

b. Enter the name of the taxonomy entry into the Causal Factors text box or
select Pick Causal Factors – a pop up window will appear.

Figure 71

Note: If a Technical Fault cause is selected you will be required to select which
major system from the technical tab the cause relates to. Each Major and Sub-
system identified in the technical section will be displayed below the cause and
the equipment radio button for the system should be selected.

c. Select the appropriate causal factor by clicking through the causal factor
taxonomy levels. Clicking the level 3 taxonomy will populate the Causal Factor
fields.

d. Provide additional detail by completing the Narrative Description of

Causal Factor.

e. Additional Causal Factors can be added by selecting the Add Casual

Factors button as required. Repeat para E 2.4.4a to E 2.4.4e for each Causal
Factor added.

E 2.4.8. For each Causal Factor identified a record of all actions taken to prevent
reoccurrence or the justification of no action taken must be recorded.

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 Figure 72

E 2.4.9. To link a formal ADH/AM recommendation to the Causal Factor select Add
button in the Link to existing Recommendation or Recommendation for DDH/ODH/AM
Approval sections and follow the procedure at E 3.2.

E 2.4.10. If the action does not require ADH/AM approval and has already been
implemented, select Add button in the Mitigation/Local Actions section; a window will
appear so that all local mitigating actions can be recorded.

Note: ASIMS acts as our corporate memory, all mitigations and actions taken to prevent
reoccurrence must be recorded either as a formal ADH/AM recommendation or within the
no Mitigation/Local Actions field.

Figure 73

E 2.4.9. If no action is required select Add button in the Justification of No Action

section; a window will appear so that a justification of no action can be recorded.

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 Figure 74

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E 2.4.10. Observations. An observation is a factor that was not considered to have
played a part in the occurrence under investigation or assessed as likely to contribute to a
similar occurrence in future; but was perceived to be worthy of comment due to its
potential to affect Air Safety. Select the Observations bar to display the Observation text
box. Populate as required.

Figure 75

E 2.4.11. Effects.

a. Select the Effects bar to make the Effects fields visible.

b. Select from the level 1 drop down menu and if available also select a level
2 entry.

c. Add additional detail in the text box as required.

d. Additional effects can be added by selecting the Add Effect button.

Figure 76

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E 2.5. Review and Complete

E 2.5.1. Once satisfied the relevant fields are complete and spell checked select the
Save button located in the top right-hand corner of the tab.

Note: At this stage the Findings tab is only visible to the assigned Investigator(s) and
those in the occurrence manager role group for LI and OSI investigations.

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E 3. Raising Recommendations
E 3.1. Introduction

E 3.1.1. Recommendations should propose remediation strategies to mitigate the

findings of an investigation and can be raised against a Cause or Causal factor in a
DASOR. They are not to include reference to individual discipline. Disciplinary actions
should be captured externally to the ASIMS process in order to maintain a Just Culture.

Note: Only remediation strategies that require ADH/AM (DDH/AM or ODH/AM Review
Group) approval or mitigations/local actions that will be implemented in the future, post
DASOR closure should be raised as a Recommendation. All other actions implemented
should be recorded using the Mitigations/Local Actions field, see para E 2.4.

E 3.1.2. Recommendations can be raised following any kind of investigation and must
be managed by an ADH/AM (DDH/AM or ODH/AM Review Group).

E 3.1.3. This section will explain how Recommendations are managed within ASIMS.

Note: Once again, readers are reminded that this is simply the process within ASIMS and
does not necessarily reflect the actual management review process at an establishment.

E 3.1.4. The process life cycle of a recommendation is displayed below:

Figure 77

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E 3.2. Recommendation Generation

E 3.2.1. A recommendation is raised by the assigned Investigator(s) of a DASOR or in

the case of an OSI they can be raised by the ORG, and each recommendation is raised
against a Cause or Causal Factor within the Findings tab of a report.

E 3.2.2. Select the Add button in the Recommendation for DDH/ODH/AM Approval
section immediately below the Cause or Causal Factor for it to be identified against; a pop-
up Add Recommendation window will appear.

Figure 78

E 3.2.3. The following fields must be completed:

a. Title. Provide the Recommendation with a short summary title.

b. Full Recommendation. Describe the Recommendation in more detail.

c. ADH/AM. Select the appropriate ADH/AM from the drop-down list of

DDH/AM & ODH/AM Review Groups.

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E 3.2.4. The following fields can be completed if known:

a. Recommendation Owner. Begin typing the name of an individual or role

group and make the appropriate selection from the filtered list. This will more
than likely be decided by the ADH/AM.

b. Recommendation Implementor. Begin typing the name of an individual

and make the appropriate selection from the filtered list. This will more than
likely be decided by the Recommendation Owner.

Note: These fields should be left blank if details are not known at the time of
drafting the recommendation.

E 3.2.5. Once all fields have been completed select the Save button. This action will
record recommendation information against the assigned Cause or Causal Factor in the
Findings tab.

E 3.2.6. At this stage the Recommendation is still in draft and can be edited further by
selection of the Edit button or deleted by selecting the Delete button next to the respective
Recommendation.

Figure 79

E 3.2.7. More than one recommendation can be assigned to a Cause or Causal Factor
by selecting the respective Add button in the Recommendation for DDH/ODH/AM
Approval section button and repeating E 3.2.2 to E 3.2.6.

E 3.2.8. The Recommendation will be allocated a reference number once the Findings
tab save button has been selected following the actions at Section E 2.5.

E 3.3. Send to ADH/AM

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E 3.3.1. In order to complete the recommendation generation, the draft needs to be
progressed to the ADH/AM. This action is undertaken in the Recommendations tab by
selecting the Send to ADH/AM button against the respective recommendation.

Figure 80

Note: For Local Investigations (LI) the Send to ADH/AM button is only available for the
reports occurrence managers while the report is at Occurrence Manager Review. Unless
the investigation is being conducted by an occurrence manager when the button is
available immediately.

Note: For Occurrence Safety Investigations (OSI) the Send to ADH/AM button is only
available at ORG Review and it is the ORG members responsibility to review all
recommendations and send them to ADH/AM.

Note: Until completion, the recommendation contents are only visible to members of the
nominated ADH/AM, recommendation owner and implementor(s).

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E 3.4. Linking to an existing recommendation

E 3.4.1. If an existing recommendation adequately mitigates the identified finding then

the cause or causal factor can be linked to an open recommendation within the reports
ADH/AM chain (DDH/AM Review Group or ODH/AM Review Group). Select the Link to
existing Recommendation button to display a pop-up allowing the selection of available
recommendations.

Figure 81

E 3.4.2. Select the recommendation you wish to link to from the drop-down list and the
remained of the fields will be automatically populated from the recommendation.

E 3.4.3. Once you are satisfied you have selected the correct recommendation select
the Accept button to link to the recommendation.

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E 4. Send for Review
E 4.1. Introduction

E 4.1.1. Once satisfied the investigation is complete the report can be sent for review to
the relevant groups. Reports are sent to different review groups depending on the level of
investigation and who completed the investigation.

Note: At this stage the Investigation, Findings and Recommendation tabs are only visible
to the assigned Investigator(s) and those in the occurrence manager role group for LI and
OSI investigations.

E 4.1.2. Complete the Investigation tab see Part E 1.3 for further details.

E 4.1.3. Complete the Findings tab see Part E 2 for further details.

E 4.1.4. Add any recommendations, see Part E 3 for further details.

E 4.1.5. Once all the investigation details, findings and recommendations have been
added to the report it is ready to be progressed for OM Review for LIs, DDH/AM review for
SIs and ORG review (see Part E 6) for OSIs.

E 4.2. Send to Occurrence Manager Review

E 4.2.1. Only LIs where the investigation is not conducted by a member of the
Occurrence Manager role group will go through Occurrence Manager Review.

E 4.2.2. Select the Send to OM Review button to progress the report. The report will be
sent to the Occurrence Manager role group for review and will be removed from the
Investigator(s) Requiring Action list in the Reports Summary section of the Home page.

E 4.3. Send to DDH/AM Review

E 4.3.1. LIs where the investigation is conducted by the Occurrence Manager can be
sent straight to DDH/AM review. To progress the report to the next stage the following
must be completed:

a. Change the Further Action field in the Occurrence Manager tab to Nil
Further Action.

b. Ensure the Technical tab and/or ATM Supervisor tab is marked

complete.

c. Submit any recommendations to the relevant ADH/AM by selecting the

corresponding Send to ADH/AM button in the Recommendations tab.

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 d. All requests for comments are closed, the details of any outstanding
requests can be seen from the Report Admin tab in the Actions section. If
there are requests for comment outstanding (Action Completed is blank)
navigate to the Comments tab and click the Close all Comments button to
close all outstanding comments.

E 4.3.2. SIs only. To progress the report to the next stage the following must be
completed:

a. Change the Further Action field in the Occurrence Manager tab to Nil
Further Action.

b. Ensure the Technical tab and/or ATM Supervisor tab is marked

complete.

c. Submit any recommendations to the relevant ADH/AM by selecting the

corresponding Send to ADH/AM button in the Recommendations tab.

d. All requests for comments are closed, the details of any outstanding
requests can be seen from the Report Admin tab in the Actions section. If
there are requests for comment outstanding (Action Completed is blank)
navigate to the Comments tab and click the Close all Comments button to
close all outstanding comments.

E 4.3.3. For SIs and LIs completed by Occurrence Managers the Send to DDH/AM
Review button will now become available. The report will be sent to the DDH/AM Review
Group for review and will be removed from the Investigator(s) Requiring Action list in the
Reports Summary section of the Home page.

E 4.4. Send to ORG

E 4.4.1. OSIs only. To progress the report to the next stage the following must be
completed:

a. Change the Further Action field in the Occurrence Manager tab to Nil
Further Action.

b. Ensure the Technical tab and/or ATM Supervisor tab is marked

complete.

c. All requests for comments are closed, the details of any outstanding
requests can be seen from the Report Admin tab in the Actions section. If
there are requests for comment outstanding (Action Completed is blank)
navigate to the Comments tab and click the Close all Comments button to
close all outstanding comments

E 4.4.2. For OSIs the Send to ORG Review button will become available. Selection of
this button will display a pop-up window for ORG members to be identified.

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 Figure 82

Note: The person who selects the Send to ORG Review button will be automatically
added as an ORG Member, remove if not appropriate.

E 4.4.3. Complete the appropriate fields and select the Submit button. The report will
now be sent to the ORG for review and will be removed from the Investigator(s) Requiring
Action list in the Reports Summary section of the Home page.

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E 5. Occurrence Manager Review
E 5.1. Introduction

E 5.1.1. For LI level investigations that have been completed by investigators who are
not in the reports Occurrence Manager role group the report will pass to the Occurrence
Manager Review stage for review and onward transmission to DDH/AM review.

Note: If the investigation is completed by a member of the Occurrence Manager role

group then the Occurrence Manager Review is not required and the report will be sent
direct to DDH/AM Review.

Figure 83

E 5.2. Review and Complete

E 5.2.1. The Occurrence Manager should review the work of the investigators to assure
themselves the investigation has been completed satisfactorily, all findings identified, and
mitigations recorded, or recommendations raised to prevent reoccurrence.

Note: At this stage the investigation, findings and recommendation tabs are only visible to
those in the occurrence manager role group.

E 5.2.2. Review the Investigation tab see Part E 1 for further details.

E 5.2.3. Review the Findings tab see Part E 2 for further details.

E 5.2.4. Add/edit/delete recommendations see Part E 3 for further details.

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E 5.2.5. If the Occurrence Manager is not satisfied with the level of investigation the
report can be returned to the investigator(s) by selecting the Send back to Investigation
button.

E 5.2.6. Once all the investigation details, findings and recommendations have been
added to the report it is ready to be progressed for DDH/AM review.

E 5.2.7. To progress the report to the next stage the following must be completed:

a. Change the Further Action field in the Occurrence Manager tab to Nil
Further Action.

b. Ensure the Technical tab and/or ATM Supervisor tab is marked

complete.

c. Submit any recommendations to the relevant ADH/AM by selecting the

corresponding Send to ADH/AM button in the Recommendations tab.

d. All requests for comments are closed, the details of any outstanding
requests can be seen from the Report Admin tab in the Actions section. If
there are requests for comment outstanding (Action Completed is blank)
navigate to the Comments tab and click the Close all Comments button to
close all outstanding comments.

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E 6. ORG
E 6.1. Introduction

E 6.1.1. For OSI level investigations the report will pass to the ORG stage for review and
onward transmission to DDH/AM review.

Note: This section is relevant to OSI workflow only.

Figure 84

E 6.2. ORG Tab Completion

E 6.2.1. Once the ORG has sat the ORG tab requires completion. The ORG tab can be
completed in stages. Select the ORG tab in the respective report to access the ORG form
fields.

E 6.2.2. Select the Edit button to enable write access to the tab fields.

E 6.2.3. Complete as many fields as possible to provide maximum detail from the ORG.
The following required fields are marked with a red asterisk and must be completed before
the report can be sent to DDH/AM Review:

a. Date of ORG field.

b. Review of OSI section.

c. Chairperson Comment section.

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E 6.3. ORG Tab Sections

Figure 85

E 6.3.1. ORG Particulars

a. Event being Investigated. Auto populated.

b. Date of ORG. Enter the date of the ORG manually or by using the
calendar. Select the Today button to enter the current date.

c. ORG Chairperson. Provide the name of the individual assigned as the

ORG Chair. To add a name, select in the field and begin typing the required
individual’s name or role and select the required name from the filtered list.

d. ORG Members. Provide the name(s) of the ORG membership. To add a

name, select in the field and begin typing the required individual’s name or role
and select the required name from the filtered list. Repeat as required until all
members have been added. To remove a member, select the X next to the
appropriate individual’s name.

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 e. ORG Members Under Training. Provide the name(s) of any ORG
members under training. To add a name, select in the field and begin typing the
required individual’s name or role and select the required name from the filtered
list. Repeat as required until all members have been added. To remove a
member, select the X next to the appropriate individual’s name.

f. ORG Observers/SMEs. Provide the name(s) of any observers and/or

SMEs requested to assist the ORG. To add a name, select in the field and begin
typing the required individual’s name or role and select the required name from
the filtered list. Repeat as required until all members have been added. To
remove a member, select the X next to the appropriate individual’s name.

g. ORG Manager. Provide the name of the ORG manager. To add a name,
select in the field and begin typing the required individual’s name or role and
select the required name from the filtered list. To remove a member, select the
X next to the appropriate individual’s name.

E 6.3.2. Review of OSI.

a. The investigation has established the cause(s) of the event. Select

Yes or No from the drop-down box. If No is selected a text box will be displayed
and you must provide a summary of any action taken as a result.

b. All the causal/contributory factors have been identified. Select Yes or

No from the drop-down box. If No is selected a text box will be displayed and
you must provide a summary of any action taken as a result.

c. The recommendations address all the causal/contributory factors.

Select Yes or No from the drop-down box. If No is selected a text box will be
displayed and you must provide a summary of any action taken as a result.

d. Application of Just Culture Policy. The application of just culture can be

assessed for each human factor’s performance cause identified on the findings
tab. To add an assessment against an individual, click the Add Individual
button on the relevant human factor’s performance cause. The Add Individual
button can be used to add multiple individuals as required.

Figure 86

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 (1) Individual. Select the individual being assessed for the application of
just culture, the available list of individuals is based on the experience
details populated on the Investigation tab.

(2) Behaviour Type. Select the attributed behaviour type from the
available list.

(3) Is there a concern about the accountability of this individual?

Select Yes or No from the drop-down box. If Yes is selected three
additional fields are displayed.

Figure 87

(4) Using the FAIR System Accountability Framework has a level of

accountability been determined for this individual? Select Yes or No
from the drop-down box.

(5) Have the Substitution and Routine Tests been applied? Select
Yes or No from the drop-down box.

(6) Is further action recommended against the individual or the

organisation? Select Yes or No from the drop-down box.

E 6.3.3. Chairperson Comment. The ORG Chair should briefly summarise the ORG
administration and findings. An explanation of the behavioural types and associated
culpability decisions(s) for each individual or organisation should also be made if
applicable.

E 6.4. Review and Complete

E 6.4.1. Once satisfied the relevant fields are complete and spell checked select the
Save button located in the top right-hand corner of the tab.

E 6.4.2. Add/amend/delete any findings, see Part E 2 for further details.

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E 6.4.3. Add/amend/delete any recommendations, see Part E 2 for further details.

E 6.4.4. In order to progress the report to DDH/AM review the following must be
completed:

a. Submit any recommendations to the relevant ADH/AM by selecting the

Send to ADH/AM button on the Recommendations tab, see Part E 3.3 for
further details

E 6.4.5. Select the Send for DDH/AM Review button to progress the report. The report
will now be sent to the DDH/AM Review Role Group for review and will be removed from
the ORG member(s) Requiring Action list in the Reports Summary section of the Home
page.

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Part F ADH DASOR Review and Closure

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F 1. DDH / AM Review
F 1.1. Introduction

Figure 88

F 1.1.1. The DDH/AM Review is a formal stage in the processing/staffing of all

occurrences. This step allows a SQEP DDH or equivalent AM to review all DASORs
allocated to their AoR. Their role is to consider the suitability and thoroughness of
investigation, mitigations/local action applied and recommendations generated before
signing-off the appropriate resolution and/or acceptance of RtL for the occurrence.

F 1.1.2. The ASIMS DDH/AM Review Group supports the Duty Holder concept across
Defence aviation. In addition to formal Delivery Duty Holders, the DDH/AM Review Group
is intended for Duty Holder Facing Organizations and Industry at the appropriate level.

Warning: Do not get confused between the function of the DDH/AM Review Group
within ASIMS, and the DDH/AM Review function on a unit. The ASIMS DDH/AM
Review Group is set up to perform the function of signing off DASORs and
approving recommendations within ASIMS. A unit may set up local management
processes to support this task and to perform a management review of
occurrences; this DDH/AM Review function is constituted at local duty
holder/accountable manager discretion.

F 1.1.3. Any person within the DDH/AM Review Group can act on behalf of the whole
role group; therefore, it is important to have local procedures in place to ensure that the
appropriate person is signing-off the DASOR/Recommendation.

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F 1.2. Members of DDH/AM Review Group

F 1.2.1. It is at the DDH/AM discretion which staff are given DDH/AM Review Group
membership rights.

F 1.2.2. The DDH/AM may delegate the management of safety occurrences and
recommendations on ASIMS and may not include themselves in the DDH/AM Review
Group but remains accountable and should be kept informed of all decisions made on their
behalf.

Note: In such cases, it would be appropriate for the DDH/AM to have an ASIMS
Commentator role group which can then be used to forward specific DASORs for
comment.

F 1.3. DDH/AM Review

F 1.3.1. When a DASOR is sent to DDH/AM Review an email notification will be sent to
all DDH/AM Review Group members highlighting the need to action a report and providing
a hyperlink to the respective DASOR. The DASOR will be added to both the Requiring
Action and Managed list of the Reports Summary Section on the Home page. Selecting
the report total from the summary table will display those specific reports in a list at the
bottom of the screen. Selecting a DASOR from the list will open the report in a new
window.

F 1.3.2. Similarly, any recommendations which have been raised within the DDH/AM
AoR will be shown in the Requiring Action column of the Recommendations row.

F 1.3.3. Review the content of each tab within the DASOR to familiarise yourself with
the report and ensure a suitable investigation has been completed, appropriate
recommendations raised, mitigations/local actions recorded and where justification of no
action has been indicated the action taken must ensure that any finding raised has been
suitably mitigated and the risk reduced to ALARP and tolerable.

F 1.3.4. Navigate to the Comments tab.

F 1.3.5. Add suitable comments pertaining to the report and any recommendations
raised in the DDH/AM Comments box. Select Save to save the comments made.

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 Figure 89

F 1.3.6. Should there be further investigation or staffing required the DASOR can be
returned to the Investigator; see Section F 1.4.

F 1.3.7. Should there be wider implications beyond the DDH/AM AoR, or the DDH/AM
believes it necessary, the report may be submitted for further review at the ODH/AM level;
see Section F 1.5

F 1.3.8. Should the DASOR be deemed complete and ready for closure see Section F
1.6.

Note: All recommendations raised on the DASOR must be either Accepted or Rejected
before the DASOR can be closed.

F 1.4. Return to Investigation

F 1.4.1. If further investigation or staffing of the DASOR is required, the DASOR can be
returned to the Investigator by selecting the Return to Investigation button in the top right
of the page.

Note: In this situation there will usually be discussion ‘outside’ ASIMS, but it would be
useful for audit purposes to add a comment to the DASOR to record the requirement for
returning the report.

F 1.5. Report Closure

F 1.5.1. Following selection of the DDH/AM Review Complete button the DASOR sign-
off statement will be displayed.

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 Figure 90

Note: The DASOR sign-off statement highlights the duties required of the DDH/AM (or
nominated representatives) when reviewing an air safety occurrence.

F 1.5.1. The DDH/AM is required to complete the sign-off statement to indicate that they
are content for the DASOR to be closed.

F 1.5.3. The user is required to enter their ASIMS password to indicate that the
statement has been read and accepted.

F 1.5.4. Select the Close radio button followed by selection of the Review Complete
button. On selection of the Review Complete button the DASOR status will change to
Closed and Filed.

Note: Although recommendations are linked to an originating DASOR, they are not
dependent on the parent report. A DASOR may be closed even though the
recommendations generated by it have not (yet) been implemented.

F 1.6. Elevate to ODH/AM Review

F 1.6.1. Following selection of the DDH/AM Review Complete button the DASOR sign-
off statement will be displayed.

Note: The DASOR sign-off statement highlights the duties required of the DDH/AM (or
nominated representatives) when reviewing an air safety occurrence.

F 1.6.2. The user is required to enter their ASIMS password to indicate that the
statement has been read.

F 1.6.3. Select the Send to ODH/AM radio button followed by selection of the Review
Complete button.

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Note: On selection of the Review Complete button the DASOR will be sent to the
ODH/AM Review role group for action. This is generally only necessary when there is an
action the ODH/ AM needs to take responsibility for. It is not to be used to just make the
ODH/AM aware of a safety issue.

F 1.7. Complete pending comments

F 1.7.1. Following selection of the DDH/AM Review Complete button the DASOR sign-
off statement will be displayed.

Note: The DASOR sign-off statement highlights the duties required of the DDH/AM (or
nominated representatives) when reviewing an air safety occurrence.

F 1.7.2. The user is required to enter their ASIMS password to indicate that the
statement has been read and accepted.

F 1.7.3. Select the Complete report pending comments radio button followed by
selecting Review Complete.

Note: This selection will change the status of the report to “complete pending comments”
for a period of 30 days during which time anyone wishing to add comments to the report
can do so. The DASOR will close comments at the end of 30 days and send a notification
to the DDH/AM Review Group requesting further action as appropriate. The report will
remain in the managed column of the Reports Summary section of the Home page during
the pending period.

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F 2. ODH / AM Review Group
F 2.1. Introduction

Figure 91

F 2.1.1. The ASIMS ODH/AM Review Group is a formal stage in the processing/staffing
for those occurrences which have been specifically referred to ODH/AM level by the
subordinate DDH/AM organizations.

F 2.1.2. In addition to formal ODHs, the ODH/AM Review Group is intended for Duty
Holder Facing Organizations and Industry at the appropriate level.

F 2.1.3. The ODH/AM Review Group will perform a similar task to the DDH/AM Review
Group, although with wider visibility corresponding to their broader area of responsibility.
They may also wish to add further recommendations to the DDH/AMs within their AoR, or
another ODH/Equivalent AM.

F 2.1.4. For DASORs/Recommendations which have been transferred to the ODH/AM

Review Group, the ASIMS functionality allows occurrence sign-off by a SQEP at ODH or
equivalent AM level, and consideration of recommendations raised as a result of the
occurrence.

F 2.1.5. Any person within the ODH/AM Review Group can act on behalf of the whole
role group, therefore, it is important to have local procedures in place to ensure that the
appropriate person is signing-off the DASOR/Recommendation.

F 2.2. Members of ODH/AM Review Group

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F 2.2.1. It is at the ODH/ AM discretion which staff are given ODH/AM Review Group
membership rights.

F 2.2.2. The ODH/AM may delegate the management of safety occurrences and
recommendations on ASIMS to staff, and not include themselves in the ODH/AM Review
Group but remains accountable.

Note: In such cases, it would be appropriate for the ODH/AM to have an ASIMS
Commentator role group which can then be used to forward specific DASORs for
comment.

F 2.3. ODH/AM Review

F 2.3.1 When a DASOR is sent to ODH/AM Review an email notification will be sent to
all ODH/AM Review Group members highlighting the need to action a report and providing
a hyperlink to the respective DASOR. The DASOR will be added to both the Requiring
Action and Managed list of the Reports Summary Section on the Home page. Selecting
the report total from the summary table will display those specific reports in a list at the
bottom of the screen. Selecting a DASOR from the list will open the report in a new
window.

F 2.3.2 Similarly, any recommendations which have been raised within the ODH/AM
AoR will be shown in the Requiring Action column of the Recommendations row.

F 2.3.3 Review the content of each tab within the DASOR to familiarise yourself with
the report and ensure a suitable investigation has been completed, appropriate
recommendations raised, mitigations/local actions recorded and where justification of no
action has been indicated the action taken must ensure that any finding raised has been
suitably mitigated and the risk reduced to ALARP and tolerable.

F 2.3.4 Navigate to the Comments tab.

F 2.3.5 Add suitable comments pertaining to the report and any recommendations
raised in the ODH/AM Comments box. Select Save to save the comments made.

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 Figure 92

F 2.3.6 Should there be further investigation or staffing required the DASOR can be
returned to DDH/AM Review by selecting the Return to DDH/AM button.

F 2.3.7 Should the DASOR be deemed complete and ready for closure see Section F
2.4.

Note: All recommendations on the DASOR must be either Accepted or Rejected before a
the DASOR can be closed.

F 2.3.8. There is no functionality within ASIMS to transfer DASOR’s or

Recommendations to SDH level. This does not mean that issues cannot be referred to
SDH, rather that this referral needs to be performed using normal staffing procedures
outside of ASIMS.

Note: In such cases the DASOR and/or Recommendations will remain open and owned
in ASIMS by the ODH/AM Review Group until closure has been approved by the SDH.
Where appropriate, the staffing documentation may be attached to the DASOR or
Recommendation by the ODH Review role group staff.

F 2.4. Report Closure

F 2.5.1. Following selection of the ODH/AM Review Complete button the DASOR sign-
off statement will be displayed.

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 Figure 93

Note: The DASOR sign-off statement highlights the duties required of the DDH/AM (or
nominated representatives) when reviewing an air safety occurrence.

F 2.5.2. The ODH/AM is required to complete the sign-off statement to indicate that they
are content for the DASOR to be closed.

F 2.5.3. The user is required to enter their ASIMS password to indicate that the
statement has been read and accepted.

F 2.5.4. Select the Close radio button followed by selection of the Review Complete
button. On selection of the Review Complete button the DASOR status will change to
Closed and Filed.

Note: Although recommendations are linked to an originating DASOR, they are not
dependent on the parent report. A DASOR may be closed even though the
recommendations generated by it have not (yet) been implemented.

F 2.5. Complete pending comments

F 2.5.1. Following selection of the ODH/AM Review Complete button the DASOR sign-
off statement will be displayed.

Note: The DASOR sign-off statement highlights the duties required of the DDH/AM (or
nominated representatives) when reviewing an air safety occurrence.

F 2.5.2. The user is required to enter their ASIMS password to indicate that the
statement has been read.

F 2.5.3. Select the Complete report pending comments radio button followed by
selecting Review Complete.

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Note: This selection will change the status of the report to “complete pending comments”
for a period of 30 days during which time anyone wishing to add comments to the report
can do so. The DASOR will close comments at the end of 30 days and send a notification
to the DDH/AM Review Group requesting further action as appropriate. The report will
remain in the managed column of the Reports Summary section of the Home page during
the pending period.

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Part G Significant Equipment Safety Occurrence
Report (SESOR)

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G 1. ASIMS SESOR Functionality
G 1.1. Introduction

G 1.1.1. A Significant Equipment Safety Occurrence Report (SESOR) is used to

communicate awareness of a potential equipment air safety hazard between DE&S DTs.
The form is raised and responded to on ASIMS in the DASOR format. This guide
separately details the ‘procedure for raising a SESOR’ and the ‘procedure for responding
to a SESOR’; users should refer to the appropriate section.

G 1.2. SESOR Process Flow

G 1.2.1. The following demonstrates the process flow of a SESOR:

Figure 94

G 1.3. Procedure for Raising a SESOR

G 1.3.1. SESORs are raised in a similar way to a normal DASOR, but only by DE&S
Delivery Teams or the DAT.

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Note: In raising a SESOR, both the Reporter’s Section and the Technical Section are
completed by the initiating platform maintenance role group. The exception being where
the SESOR is raised by a platform maintenance role group against equipment managed
by a commodities DT (e.g. life preserver); in this instant the commodity maintenance role
group will be responsible for maintaining the technical section of the SESOR as per Para
G 13.3.14.

G 1.3.4. Access the ASIMS website5, log in and select Create New DASOR from the
ASIMS Home page. Complete all highlighted fields and all other appropriate fields starting
with the Reporter’s Section:

a. Occurrence Type: Select ‘Other’ and enter ‘SESOR’ in the text box

b. Additional Reports: Select SESOR (DE&S use only).

Warning: If this additional form is not ticked the report will remain a
DASOR.

Note: Selecting this additional report will: automatically populate the Date of
Occurrence (with the date the SESOR is raised), Ship/Station/Organisation in
the Occurrence Details section (with DE&S SESOR); enable the technical
section fields to be visible to the reporter; makes the report non-prime; and
sends all notifications with a high priority flag.

c. Complete your details as the Individual Reporting (if you logged into
ASIMS these details will be auto populated).

d. Your Role During Occurrence should be the “Engineering Authority”.

e. Identify whether the SESOR was generated from an In-form/EMS report

or not.

f. Date and Time of Occurrence: Mandatory field. This field will be

automatically populated with the date the SESOR is initiated.

Note: Do not override this date with the date the original occurrence
happened; the occurrence date will be on the originating DASOR (if raised).

g. Time of Occurrence: Mandatory field. Select the current time from the
drop-down list and then Local from the adjacent drop-down list.

h. Time of Day: Mandatory field. Select the time of day from the drop-down
list.

i. Place of Occurrence: Mandatory field. Enter place of occurrence if known

or use ‘MoD Abbey Wood’ as a default.

j. Country: Mandatory field.

5
https://asims.ice.mod.gov.uk/MODCas

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 k. Ship/Station/Organisation: Select DE&S – SESOR.

Note: This should be already populated if SESOR (DE&S use only) additional
form was selected.

l. Unit/Squadron/Flight/Site: Select the relevant platform or commodity DT

section (if a commodity managed item).

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 Figure 95

m. Aircraft Registration: If known, if not insert ‘N/A’.

n. Aircraft Type/Mark: Mandatory field. If no aircraft involved, select ‘No

Aircraft’.

Note: This field will auto populate from the aircraft registration if the platform is
present on the MAR.

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 o. Meteorological Conditions, Flight Details and Briefed Task are not
required.

p. Brief Title must start with the word ‘SESOR’. The rest of the Brief Title
must be typed in sentence case, not block capitals, and should summarise the
potential hazard in one sentence.

q. Narrative Description of Event. This text field must be completed in

three Sections as detailed below:

(1) Section 1: This SESOR has been raised to make Delivery Teams
aware of (state clearly what the hazard is) as a result of (State clearly why
this is a hazard). Delivery Teams are to review and elevate the issue to
respective DH chains, as required.

(2) Section 2: State Reference e.g. DASOR/Airworthiness

Directive/Service Inquiry etc.

(3) Section 3: Must provide, in general, the circumstances of the

occurrence. Detailed information can be provided in the technical
information or in attachments if required.

Note: The details in Italics are for the DTs to update with the occurrence
information.

r. What are / could be the Air Safety implications of this report? Optional
field

s. Perceived Severity: Select from High, Medium, Low or Negligible.

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 Figure 96

G 1.3.5 The Technical Section must be completed in the following order:

Note: If the technical section is to be completed by another DT, i.e. a

commodities DT, only the required fields are to be completed at this stage and
progress to Para G 1.3.6.

a. Aircraft Repair Category: Required Field. If ‘No Aircraft’ has been chosen
in the Aircraft Type/Mark field then this field will already be populated with ‘No
Maint req’d’.

b. Engine Repair Category: Required Field. If ‘No Aircraft’ has been chosen
in the Aircraft Type/Mark field then these fields will already be populated with
‘No Maint req’d’. The number of selections available will vary depending upon
the aircraft type chosen when the report was submitted. If the aircraft
registration is not in the system then there will be 4 engine repair categories to
complete.

c. Technical Fault or Maintenance Action Required: Select any Major

Systems, Sub-Systems and components involved and for each component
identified the NSN, Part Numbers and Serial Numbers must be populated. Also
indicate type of failure or fault. If more than one NSN is applicable then further
details should be included in the Other Equipment Involved box.

Note: Additional Major Systems and associated Sub-Systems and components

involved can be added by selecting Add Technical Fault.

d. Other Agencies Consulted: Only if applicable.

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 e. Investigation and Rectification Work Carried Out and Why?: Describe
the occurrence in detail from a technical perspective indicating any preliminary
investigation findings, associated on-going work, mitigation strategies and an
initial risk assessment. Provide as much information as possible to enable TAAs
from other DTs to decide if their platforms are ‘affected’. The information should
be presented in a clear and logical manner following, where possible, the
headings given below:

(1) Detailed Description of Occurrence. Include a detailed technical

description of the occurrence building on the general description in the
Reporter’s Section Narrative.

(2) Initial Investigation Results and On-Going Work. Provide any relevant
details from early investigations and associated on-going work.

(3) Mitigation Strategies (short, medium and long). Describe any

mitigation strategies that have already been considered or implemented.

(4) Initial Risk Assessment: Provide an initial risk assessment. Also

include any operational risks here.

f. Required fields: Indicate if any of the following additional reports/forms

have been raised:

• F760 Fault Narrative Report Raised:

• QOR:
• MoD F765 Publication Amendment Raised:
• Other Action/Reports Raised:

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 Figure 97

G 1.3.6. A final check of the report must be conducted to ensure that no information
higher than Official has been included.

G 1.3.7. Select the Review Report >> button (bottom right).

G 1.3.8. Further information can be added to the Technical Section throughout the
reporting process by the responsible Maintenance role group; this will be necessary when
other DTs request more information to decide if they are affected or not. Information can
be added by selecting the Technical tab in the relevant report and selecting Edit. Following
the addition of any updated information select Save.

Note: Before additional information is added to the SESOR, the initiating DT must notify
the Occurrence Manager (OC S&E Team) offline. Additional information should only be
sent to those DTs who have requested it.

G 1.3.9. Link any associated DASORs to the SESOR from the Report Admin tab.
Please refer to Section C 2.13 Linking Reports for how to link reports within ASIMS.

Note: Supporting attachments (photos, film footage, documents, etc) can be added to the
report at any stage (file size limit of 20MB; larger films must be split into shorter clips).
Navigate to the Attachments tab, click the Choose File button, locate the file and click
Attach File. ►Attachments can be removed by the originator, to remove another Users
attachment, please contact the ASIMS Helpdesk.◄

G 1.3.10. Select the Sign and Submit Report button.

G 1.3.11. A message will appear asking the user to consider the following:

a. Does this event have an Air Safety implication?

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 b. Should this be an In-form/EMS report, i.e. non air safety reporting!

c. Does this report contain above Official content; remove classified locations
etc.

Press OK to submit the report.

G 1.3.12. The report has been submitted to the Occurrence Manager role group and in
parallel to the Maintenance role group who will receive an email notifying them of a
requirement for them to action the report.

Note: For Occurrence Mangers the report will be added to the Requiring Action and
Managed list and for Maintenance members the report will be added to the Requiring
Action list in the Reports Summary section of the Home page.

Note: Local Delivery Team procedures should be in place identifying who, in the
Maintenance Role Group, should lead on completing/updating the Technical Section.

G 1.3.14. If the Technical section is to be completed by a DT other than the Initiating DT

the Maintenance Role Group, i.e. a commodities DT, the user can log in to ASIMS and
select the Technical tab of the relevant report, then:

a. Select Edit

b. Follow the process at Para G 1.3.5 to G 1.3.6.

c. Check to ensure no information higher than Official has been included in

the Technical section.

d. Select Save.

G 1.4. SESOR Occurrence Manager Role

G 1.4.1. For SESORs, the Occurrence Manager will be the relevant OC S&E Team (or
DAT). They will check the report for completeness, where necessary make minor
amendments (without changing the report’s meaning) and accept/distribute the SESOR to
both comment and info addressees.

G 1.4.2. All the reports that you are acting as an Occurrence Manager for can be viewed
by selecting the number of reports in the Managed column of the SESORs row in the
Reports Summary section on the Home page. This will display the related SESORs in a
results table. Selecting a row of the table will open the respective SESOR in a new
window.

G 1.4.3. The Occurrence Manager must conduct the following actions in the order
detailed:

a. Select Edit in the Occurrence Manager tab.

b. Check the Occurrence Manager Details name fields; they are auto
populated with the details of the first individual who enters the editable content.

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 This may not be the individual who is assigned to manage the SESOR, check to
make sure they are the correct details and amend as required.

c. The Further Action field will be automatically marked as ‘ongoing’ and the
Investigation Type will be marked as N/A.

d. Select DE&S SESOR from the ODH/AM menu.

e. Select Hazard Observation from the Event Type menu.

f. Select No from the FOD Related menu.

g. Select 1st – First Age Reports focus on issues with things from the
Age of Report menu.

h. Add any additional Reports if necessary using the + button.

i. The Assessed Severity field has been auto populated from the reporter’s
input (Perceived Severity). Consider and amend as necessary.

j. Select Save.

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 Figure 98

k. Review the report in accordance with Para C 2.4. View each tab, select
Edit of the respective tab that requires amendment, make any changes
necessary (amendments must not change the meaning of the SESOR unless
agreed with the initiating DT offline) and select Save before progressing to the
next tab.

l. Select the Distribution tab and click (Show) next to Info Addressees.
The distribution list for the aircraft type defined in the Reporter’s Section will
automatically open.6

m. The following should be automatically pre-selected:

(1) 01. Internal – Info Dist for the Aircraft Type identified in the report.

(2) 02. External – Info Dist for the Aircraft Type identified in the report7.

(3) 09. and here if SESOR.

n. Select the Accept and Send for Info button at the bottom right of screen;
you will be asked “are you sure”. On clicking ‘OK’ the report will be formally
accepted by the Occurrence Manager onto ASIMS enabling all users to view the
report and a notification sent to info addressees only.

6
If ‘No Aircraft’ was selected in the Reporter’s Section, the ‘No Aircraft’ distribution list will be automatically opened.
7
The 02. External – Info Dist option is not available if ‘No Aircraft’ selected in Reporter’s section.

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 Figure 99

o. Select the Comments tab and enter a suitable Occurrence Manager

comment such as: “This is a SESOR - Action Addressee DTs are requested to
acknowledge receipt of this SESOR, state if affected (or not) by the hazard and
indicate intent to raise a DASOR (if appropriate)”. If a SESOR is being raised for
Info only, enter a comment such as: “This is a SESOR, addresses
are only required to acknowledge receipt and confirm understanding of the
issue”. Then click the Add Comment button.

p. Return to the Distribution tab and select (Show) next to the Comment
Addressees. The distribution list for DE&S SESOR will automatically open.

q. Select all appropriate Commentator Role Groups in the DE&S SESOR list
(do not select Maintenance, OM or ADH/AM role groups). This will distribute
across all selected Air DTs.

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 Figure 100

r. Select the Send For Comment button; you will be asked “are you sure”.
The report will then be moved to the DT commentator role groups for action
(see ‘Procedure for Responding to a SESOR’ below). This completes the
Occurrence Manager’s initial input8.

G 1.4.4. Following distribution of the SESOR, the Occurrence Manager will manage
comment addressee comments, ensuring that all DTs have provided a final comment; final
comments are easily monitored in the Report Admin tab. Once all final comments have
been received, the Occurrence Manager should follow the process at G 1.4.5 below or, in
the event a DT requests further information9, the process at G 1.4.6 and G 1.4.7 below.

G 1.4.5. Once all final comments have been received, the Occurrence Manager must:

a. Select the Occurrence Manager tab and select the Edit button.

b. Change the Further Action field in the Occurrence Manager Section to

read Nil Further Action.

c. Select Save (to leave the Edit screen).

d. Select the Comments tab and select the Close All Comments button.

8
Once ASIMS has processed the report the OM receives the following message in red bold text on the report heading ‘Please complete
the Investigation Type and select the Investigators on the Occurrence Manager tab then click the ‘Send for Investigation’ button.’ This
message should be ignored.
9
Further information may be required by a DT to establish if its air systems are affected by a potential hazard.

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 Note: This action only needs to be performed if some comment addressees
have not selected the Add Final Comment button and the occurrence manager
is content a suitable comment has been submitted.

e. Select the Technical tab and select the Mark Complete button.

f. Select the Send for DDH/AM Review (top right of screen next to Edit
button); you will be asked “are you sure”. A notification will be sent to the
DDH/AM Review Group, which in the case of SESORs will be the DE&S
Airworthiness Team (DAT). This completes the Occurrence managers input
(unless it is returned by the DDH/AM Role Group for further work.

G 1.4.6. In the event a DT requests further information, the initiating DT will, where
possible, provide an update in the Technical Section. Once this has been done, the
Occurrence Manager will communicate this update as follows:

a. Select the Comments tab and select the Close All Comments button.

b. Select the Distribution tab and the (Show), next to Comment

Addressees. Select those addressees (Commentator Role Groups) that have
requested further information or did not make a final comment on the initial
SESOR distribution.

c. Select Send For Comment

G 1.4.7. This information updating process can be repeated several times until all DTs
have entered a final comment, as indicated to the Occurrence Manager in the Report
Admin tab. The report can then be further progressed as detailed in G 1.4.4.

G 1.5. Procedure for Responding to a SESOR

G 1.5.1. Once the Occurrence Manager has clicked Send For Comment, all selected
DE&S Air and Air Commodity DTs will receive email notifications annotated as ‘high
importance’ (email subject line will be in red). The notification will be directed to those
persons detailed within each DT SESOR Commentator Role Group and will read as
follows:
A DASOR

[DASOR Reference]

Has been sent to you for Comment

Please review the report and add your comment to the Comments tab. Use Add Comment to
add an interim/holding response and use Add Final Comment to add a final response and
close the request.

Date of Occurrence: [Date of Occurrence]

Brief Title:
[Brief Title of SESOR]

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G 1.5.2. All the reports that a user is required to Comment on can be viewed by
selecting the number of reports in the Requiring Action column of the SESORs row in the
Reports Summary section on the Home page. This will display the related SESORs in a
results table. Selecting a row of the table will open the respective SESOR in a new
window.

G 1.5.3. The SESOR commentator role group is responsible for commenting on a

SESOR10.

G 1.5.4. Platform SESOR Commentator Role Groups should respond to an email

notification by accessing the SESOR on ASIMS, clicking on the Comments tab and
entering an appropriate comment.

G 1.5.5. A DT response (comment) to a SESOR should be succinct and restricted to an

acknowledgement of receipt (in the first instant), a statement declaring if the DT is affected
or not by the potential hazard, indication of intent to raise a DASOR (if affected) and a
request for additional information when affected status cannot be established from the
initial SESOR information11.

Note: Local DT procedures should be in place identifying who, in the Commentator role
group, should lead on entering a comment.

G 1.5.6. On completing the comment, click Add Final Comment button if DT input is
complete or Add Comment if a further comment at a later time/date is necessary.

Note: When adding a final comment if the responder is in multiple commentator role
groups that have been requested to comment they will be prompted to select which role
group they are adding the final comment on behalf of.

G 1.5.7. The Occurrence Manager will not forward a SESOR to the DAT for
review/closure until all DTs have made an appropriate final comment and pressed the Add
Final Comment button; this provides assurance that all DTs have considered the issue
and responded appropriately (closed loop reporting).

G 1.5.8. Where a DT requests additional information, the SESOR will remain open until
the initiating DT updates the Technical Section with the required information and DTs have
all selected the Add Final Comment button.

G 1.5.9. If a DT is affected by a potential hazard detailed in a SESOR, they must

consider raising a DASOR to inform their stakeholder community (and DHs) in accordance
with RA 1410. The DASOR must be linked to the SESOR. Refer to C 2.13 about how to
link reports in ASIMS.

G 1.6. DAT Review Role

10
SESOR Commentator role groups are normally based on the platform team e.g. COMMENTATOR-SESOR-TUCANO. However,
where a DT choses to have a single SESOR commentator role group for commenting on a SESOR, DTs should develop local
instructions to define the internal process by which relevant LoAA holders are consulted to develop and authorise a single, agreed,
formal response that includes all platforms in the DT.
11
See CoMPI-04 for a breakdown of response timelines

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G 1.6.1. When a report has been sent for review the DDH/AM Review Group will receive
an email notifying them of a requirement to complete the DDH/AM comments section and
close the report. The DDH/AM review is the final action before closing a SESOR and is
conducted by the DAT; this includes a review of the SESOR to identify any pan Military Air
Environment issues and trends. Where such issues are identified the DAT will initiate
mitigating action.

G 1.6.2. The DAT will complete the SESOR process by completing the following actions:

a. Read/review the report by viewing each tab.

b. Select the Comments tab and enter a suitable comment in the DDH/AM
Comments box; any subsequent actions as a result of the DDH/AM review
must be noted here. Then Select the Save button.

Figure 101

c. If further action by the Occurrence manager is required, select Return to

Occurrence Manager button at the top right corner of the screen.

d. If you are content to process the SESOR further, select the DDH/AM
Review Complete button at the top right corner of the screen and you will be
presented with a closing statement and 3 options.

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 Figure 102

e. To select the action required enter your ASIMS password into the field,
select one of the following options and select Review Complete.

(1)Close – If you accept the closing stamen and wish to close the
SESOR.

(2) Send to ODH/AM Review – Do not use, SESOR do not support this
function.

(3) Complete report pending comments - This selection will change

the status of the report to complete pending comments for 30 days during
which time anyone wishing to add comments to the report can do so. The
SESOR will close comments at the end of the time period and send a
notification to the DDH/AM Review Group requesting closure, extension or
further action as appropriate.

G 1.7. SESOR Searching

G 1.7.1. Please refer to Section I 2 for the searching of reports.

Note: ‘SESOR’ is a selection in the ‘Type of Report’ filter in the standard search.
‘Significant Equipment Safety Occurrence Report (SESOR) - DE&S use only’ is a selection
in the ‘Additional Reports’ field in the advanced search. Selecting either of these options in
the respective search engine will return only reports that have the ‘SESOR (DE&S use
only)’ additional report tick box selected.

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Part H Recommendations

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H 1. Recommendation Progression
H 1.1. Introduction

H 1.1.1. Recommendations should propose remediation strategies to mitigate the

findings of an investigation and can be raised against a Cause or Causal factor in a
DASOR. They are not to include reference to individual discipline. Disciplinary actions
should be captured externally to the ASIMS process in order to maintain a Just Culture.

Note: Only remediation strategies that require ADH/AM (DDH/AM or ODH/AM Review
Group) approval should be raised as a Recommendation, all other actions should be
recorded using the Mitigations/Local Actions field, see E 2.4.3 or E 2.4.5 for Cause or
Causal Factors remediation strategies respectively.

H 1.1.2. Recommendations can be raised following any kind of investigation and must
be managed by an ADH/AM (DDH/AM or ODH/AM Review Group).

H 1.1.3. This section will explain how Recommendations are managed within ASIMS.

Note: Once again, readers are reminded that this is simply the process within ASIMS and
does not necessarily reflect the actual management review process at an establishment.

H 1.1.5. The process life cycle of a recommendation is displayed below:

Figure 103

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H 1.2. ADH/AM

H 1.2.1. The ADH/AM will receive an email notification for each recommendation
submitted to them for consideration; the notification will contain a link to the
Recommendation. Selecting the link will open that specific recommendation in the default
web browser. Alternatively, all the recommendations that you are acting as an ADH/AM for
can be viewed by selecting the number of recommendations in the Requiring Action
column of the Recommendations row in the Reports Summary section on the Home page.
This will display the related Recommendations in the list of results table. Selecting a row of
the table will open the respective Recommendation in a new window.

H 1.2.2. A recommendation is initially made up of a recommendation summary section

and 3 tabs:

a. The recommendation details section displays the recommendation

reference; status; originating report brief title; the planned completion date; the
date of the last update and the investigation source.

b. Summary. Contains additional details of the recommendation including

the AD/AM; the Recommendation Owner; the Implementor; the
recommendation title and description.

c. Audit. Contains details of the processing stages performed during the

processing of the recommendation.

d. Related Recommendations. Details any other recommendations that are

related to it. If the recommendation has been raised as a copy of another
recommendation the original is listed here.

e. Related DASORs. Details a summary from the originating DASOR and

the finding the recommendation was raised on. This tab will also list any
subordinate reports when the recommendation has been raised on a master
report, see C 2.13.6 for details of Master/Subordinate linked reports.

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 Figure 104

H 1.2.3. When an ADH/AM receives a recommendation, they will be presented with 5

choices; the buttons for selection are positioned in the top right-hand corner:

H 1.2.4. Copy to ADH/AM. Copy the recommendation to a different ADH/AM not within
the current AoR to prevent similar occurrences. This will create a separate copy of the
recommendation for the chosen ADH/AM to implement and it will be related back to the
originating in the Related Recommendations tab. Select the relevant ADH/AM role
group(s) from the filtered list. More than one ADH/AM can be selected. Select the Copy to
ADH button to confirm. Select the X to return to the recommendation at any time.

Figure 105

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H 1.2.5. Accept. The ADH/AM accepts the recommendation and takes responsibility for
implementing the actions specified as the recommendation responsible owner. Complete
the fields in the pop-up window. Select the Accept button to confirm. Select the X to
cancel and return to the recommendation at any time. Once accepted the recommendation
status will be changed to Owner Assigned with the planned date and recommendation
owner set. An email notification will be sent to the recommendation owner and the
recommendation will appear in their Reports Summary section of the Home page.

Note: The recommendation will remain in the ADH/AMs Managed list until the
recommendation owner has completed their work at which point a notification will be
received and the recommendation added back to the Requiring Action list in the Reports
Summary section of the Home page. See section E 3.6 for follow up actions.

Figure 106

a. Planned Date. Choose the date by which you intend to complete the
recommendation. You can enter the date manually in the format DD/MM/YYYY
or use the date picker

b. Recommendation Owner. A suggested recommendation owner may have

been selected by the originator of the recommendation. This is the person or
role group who will own the recommendation and manage the work of
implementing it. The owner can be changed as required.

c. Recommendation Implementor. A suggested recommendation implementor

may have been selected by the originator of the recommendation. This is the
person who will be completing the work of implementing the recommendation.

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 This can be changed as required or left blank for the Recommendation Owner
to identify.

d. Reason for Acceptance. Narrative field for capturing your reason for
accepting the recommendation.

H 1.2.6. Reject. If the ADH/AM is content to close with no further action citing the hazard
identified by the recommendation is already ALARP and tolerable. If the investigation was
marked as being convened by DG DSA then the recommendation will be passed to the
Defence AIB and DG DSA for comment before closure. Provide a reason for the rejection
in the pop-up window and select the Reject button to confirm. Select the X to return to the
recommendation at any time.

Figure 107

H 1.2.7. Rewrite. Return the recommendation to the investigator so that it can be

amended before re-submission to the ADH/AM. Provide a reason for the required change
in the pop-up window and select the Rewrite button to return the recommendation to the
investigator(s) for edit. Select the X to return to the recommendation at any time.

Figure 108

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H 1.2.8. Elevate. If the work required is beyond the capability of the ADH/AM, then it can
be elevated within the AoR. Select the ADH/AM to elevate the recommendation to from the
drop-down list in the pop-up window and provide written justification for this course of
action. Select the Save button to confirm. Select the X to return to the recommendation at
any time.

Figure 109

Note: Recommendations can only be elevated if the ADH/AM has been set as a DDH/AM
Review Group.

H 1.2.9. All recommendations on a DASOR must be either Accepted or Rejected before

the DASOR can be closed.

H 1.2.10. Once a Recommendation has been accepted 4 additional tabs will become
available within the Recommendation:

Figure 110

a. Work Performed. Record of all the actions taken during the

implementation in order to maintain a history of the work performed

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 b. Comments. Except for those associated with the recommendation,
comments are only visible to those individuals who have been asked a question
or who have been sent the recommendation for comment.

c. Distribution. A recommendation can be sent to an individual or role group

to add a comment to the recommendation from the distribution tab using the
comment addressees’ function. All comments are added to the comments tab.

(1) Open the Distribution tab of the recommendation and select the
show link next to the Comment Addressees heading. This will display all
the role groups at each Station within ASIMS. By default, the list will open
at the Station identified within the DASOR the recommendation was raised
against.

Figure 111

(2) Select the required user(s) and/or role group(s) by either:

• Ticking the box preceding the required role group name(s) in

the Send for comments to Role Group section

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 Figure 112

or,

• Typing the required role group or individual username in the

Send for comments to Individual User or Role Group text
box and selecting the appropriate user or role group displayed.

Figure 113

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 (3) Once all the individual users and/or role groups have been chosen,
select the Send for Comment button to complete the process and send a
notification to all individual users selected and members of the selected
role groups. The email will state they need to comment on the report and
contain a link to the report.

d. Attachments. Any relevant attachments to support the recommendation

or work carried out should be added as an attachment. Attachments up to a
maximum size of 20MB can be added.

H 1.2.11. The Recommendation ADH/AM can ask a question to any ASIMS user in
relation to the recommendation by accessing the Comments tab in the associated
recommendation.

a. Enter the individual’s username or role group name into the To text box and
select the recipient required. This is a mandatory field.

b. Set a deadline date for a response by selecting an Answer By date. This is

a mandatory field.

c. Enter the question into the question box, check spelling before selecting the
Ask Question button to send the question to the recipient. The recipient of
the question will receive an email notification informing them a question has
been asked of them with a link to the recommendation. The
recommendation will also appear in their Reports Summary section of their
Home page in the Questions row.

Figure 114

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H 1.2.12. The Recommendation ADH/AM can change the planned date for the
recommendation at any time by selecting the Update Planned Date button in the top right-
hand corner of the relevant recommendation; this action will open a pop-up window:

Figure 115

a. Planned Date. Will display the current planned date. Change the planned
date by selecting in the date field and use the date picker to select a revised
date or manually amend the date in the field.

b. Justification for change. A text box to provide an explanation of why the

change was required.

Select the Save button to confirm the action.

H 1.2.13. The Recommendation ADH/AM can change the Recommendation Owner at any
time by selecting the Change Owner button in the top right-hand corner of the relevant
recommendation; this action will open a pop-up window with one field:

Figure 116

a. Recommendation Owner. Displays the current Owner. Click into the field
and remove the current owners’ details then start typing the name or role
group of the new owner. Select the required user or role group from the list
displayed.

Select the Save button to confirm the action.

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H 1.3. Recommendation Owner

H 1.3.1. When a recommendation is accepted the ADH/AM assigns a Recommendation

Owner and it will be their responsibility to manage the implementation of the
recommendation by either assigning an implementor or completing the implementation
themselves. If an implementor is assigned the owner will monitoring progress and accept
or reject the work carried out prior to returning it to the ADH/AM for review and closure.

H 1.3.2. The Recommendation Owner will receive an email notification for each
recommendation assigned to them; the notification will contain a link to the
Recommendation. Selecting the link will open that specific recommendation in the default
web browser. Alternatively, all the recommendations that you are acting as a
Recommendation Owner for can be viewed by selecting the number of recommendations
in the Requiring Action column of the Recommendations row in the Reports Summary
section on the Home page. This will display the Recommendations in the list of results
table. Selecting a row of the table will open the respective Recommendation in a new
window.

H 1.3.3. The Recommendation Owner should familiarise themselves with the

recommendation by viewing the content of each tab within the recommendation.

H 1.3.4. Two new fields have been added to the Summary tab. These fields can be
used by the owner as guidance for the implementor if required. Alternately these fields can
be left blank for the implementor to complete as part of their work implementing the
recommendation:

a. Justification. Records the details of why the recommendation has been

implemented the way it has including contextual details.

b. Implementation Plan. Records how the recommendation is going to be

implemented.

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 Figure 117

Note: The Implementation plan must be populated before the Recommendation can be
sent to ASH/AM for review.

H 1.3.4. The Recommendation Owner can assign a Recommendation Implementor by

selecting the Set/Change Implementor button in the top right corner of the relevant
recommendation; this action will open a pop-up window with the field titled Rec
Implementor. Select the individual(s) who will be implementing the recommendation by:

Figure 118

a. Selecting into the field.

Note: This field may be blank to begin with if no Implementor has already been
proposed.

b. Begin typing the relevant name and selecting it from the filtered list.

Note: Multiple people can be selected by reselecting in the field after each
selection and repeating the name search.

c. Select the Set/Change Implementors button to confirm the change.

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 Note: A notification will be sent to all the assigned Recommendation
Implementors informing them an action is required.

H 1.3.5. The Recommendation Owner can ask a question to any ASIMS user in relation
to the recommendation by accessing the Comments tab in the associated
recommendation.

a. Enter the individual’s username or role group name into the To text box and
select the recipient required. This is a mandatory field.

b. Set a deadline date for a response by selecting an Answer By date. This is

a mandatory field.

c. Enter the question into the question box, check spelling before selecting the
Ask Question button to send the question to the recipient. The recipient of
the question will receive an email notification informing them a question has
been asked of them with a link to the recommendation. The
recommendation will also appear in their Reports Summary section of their
Home page in the Questions row.

Figure 119

H 1.3.6. A recommendation can be sent to an individual or role group to add a comment

to the recommendation from the Distribution tab using the comment addressees’ function.
All comments are added to the comments tab.

a. Open the Distribution tab of the recommendation and select the show link
next to the Comment Addressees heading. This will display all the role
groups at each Station within ASIMS. By default, the list will open at the
Station identified within the DASOR the recommendation was raised
against.

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 Figure 120

b. Select the required user(s) and/or role group(s) by either:

Ticking the box preceding the required role group name(s) in the
Send for comments to Role Group section

Figure 121

or,

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 Typing the required role group or individual username in the Send for
comments to Individual User or Role Group text box and selecting
the appropriate user or role group displayed.

Figure 122

c. Once all the individual users and/or role groups have been chosen, select
the Send for Comment button to complete the process and send a
notification to all individual users selected and members of the selected role
groups. The email will state they need to comment on the report and contain
a link to the report.

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H 1.4. Implementor

H 1.4.1. The assigned Recommendation Implementor will have the responsibility of

recording the actions taken to implement the recommendation onto ASIMS.

H 1.4.2. The Recommendation Implementor will receive an email notification for each
recommendation assigned to them; the notification will contain a link to the
Recommendation. Selecting the link will open that specific recommendation in the default
web browser. Alternatively, all the recommendations that you are acting as a
Recommendation Implementor for can be viewed by selecting the number of
recommendations in the Requiring Action column of the Recommendations row in the
Reports Summary section on the Home page. This will display the related
Recommendations in the list of results table. Selecting a row of the table will open the
respective Recommendation in a new window.

H 1.4.3. The Recommendation Implementor is required to record the implementation

plan and the solution of the recommendation in the Summary tab. Enter the tab and select
the Edit button to enable write access to the tab fields. The following fields are to be
completed:

c. Justification. Records the details of why the recommendation has been

implemented the way it has including contextual details.

d. Implementation Plan. Records how the recommendation is going to be

implemented.

e. Confirm the changes to the tab by selecting the Save button.

Figure 123

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Note: These fields may have been completed by the Recommendation Owner as
guidance for implementing the recommencation.

H 1.4.4. The Work Performed tab is where the Recommendation Implementor provides
a running record of all the actions taken during the implementation in order to maintain a
history of the work performed and is designed to function in a similar way to the comment’s
functionality of a DASOR:

a. Enter the tab and select into the Work Performed field.

b. Enter the specific action carried out.

c. Select the Save button to confirm.

d. Repeat this process as required until the implementation work is complete.

Note: The input will now appear as a history log in chronological order.

Figure 124

H 1.4.5. If there are any relevant attachments to support the recommendation or work
carried out, they can be uploaded in the Attachments tab. Files up to a maximum size of
20MB can be added. Select the Choose File button and identify the relevant locally stored
file. Once identified select the Add Attachment button to upload it to the
Recommendation.

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 Figure 125

H 1.4.6. The Recommendation Implementor can ask a question to any ASIMS user in
relation to the recommendation by accessing the Comments tab in the associated
recommendation.

a. Enter the individual’s username or role group name into the To text box and
select the recipient required. This is a mandatory field.

b. Set a deadline date for a response by selecting an Answer By date. This is

a mandatory field.

c. Enter the question into the question box, check spelling before selecting the
Ask Question button to send the question to the recipient. The recipient of
the question will receive an email notification informing them a question has
been asked of them with a link to the recommendation. The
recommendation will also appear in their Reports Summary section of their
Home page in the Questions row.

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 Figure 126

H 1.4.7. A recommendation can be sent to an individual or role group to add a comment

to the recommendation from the Distribution tab using the comment addressees’ function.
All comments are added to the comments tab.

a. Open the Distribution tab of the recommendation and select the show link
next to the Comment Addressees heading. This will display all the role
groups at each Station within ASIMS. By default, the list will open at the
Station identified within the DASOR the recommendation was raised
against.

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 Figure 127

b. Select the required user(s) and/or role group(s) by either:

Ticking the box preceding the required role group name(s) in the
Send for comments to Role Group section

Figure 128

or,

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 Typing the required role group or individual username in the Send for
comments to Individual User or Role Group text box and selecting
the appropriate user or role group displayed.

Figure 129

c. Once all the individual users and/or role groups have been chosen, select
the Send for Comment button to complete the process and send a
notification to all individual users selected and members of the selected role
groups. The email will state they need to comment on the report and contain
a link to the report.

H 1.4.8. When all the required actions have been performed to implement the
recommendation select the Implementation Complete button to confirm to return the
recommendation to the Recommendation Owner. This action will remove the
recommendation from the Requiring Action list in the Reports Summary section of the
Home page.

H 1.5. Owner Review

H 1.5.1. The Recommendation Owner will receive an email notification when the
Recommendation Implementor has marked the recommendation complete. The
notification will contain a link to the recommendation and selecting the link will open it.

H 1.5.2. The recommendation status will show as Owner Review and the
Recommendation Owner should review all the tabs in the recommendation to ensure they
are content with the work completed and that the appropriate details have been accurately
recorded before either:

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 a. Returning the recommendation to the Implementor. If the work carried out
does not satisfy fully the recommendation, select the Return to
Implementor(s) button to send the Implementor a notification that further work
is required.

Or,

b. Send to the ADH/AM. If the work carried out has satisfied the
recommendation by selecting the Send to ADH/AM button.

Figure 130

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H 1.6. ADH/AM Review

H 1.6.1. When the recommendation owner has implemented the recommendation the
ADH/AM will receive an email notification informing them it is ready for their action; the
notification will contain a link to the Recommendation. Selecting the link will open that
specific recommendation in the default web browser. Alternatively, all the
recommendations that you are acting as an ADH/AM for can be viewed by selecting the
number of recommendations in the Requiring Action column of the Recommendations row
in the Reports Summary section on the Home page. This will display the related
Recommendations in the list of results table. Selecting a row of the table will open the
respective Recommendation in a new window.

H 1.6.2. The recommendation status will show as ADH/AM Review and the ADH/AM
should review all the tabs in the recommendation to ensure they are content with the work
completed and that the appropriate details have been accurately recorded.

Figure 131

H 1.6.3. If the ADH/AM is content with the work carried out to implement the
recommendation the recommendation can be closed by selecting the Close
Recommendation button. If the investigation of the DASOR the recommendation was
raised on was convened by DG DSA then the recommendation will be passed to Defence
AIB and DG DSA for review before closure see H 1.7.

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 Figure 132

H 1.6.4. If the ADH/AM is not satisfied with the work carried out to implement the
recommendation, they can return the recommendation to the recommendation owner to
reimplement the recommendation by selecting the Resend for Implementation button
and a popup will be displayed:

Figure 133

a. Planned Date. The planned date can be amended to reflect the new revised
requirement if required.

b. Recommendation Owner. The owner can be changed if required

c. Recommendation Implementor(s). The implementor(s) can be changed if

required

d. Reason for Resend for Implementation. Enter a reason to justify why the
recommendation requires additional work or detail areas for improvement or
rework.

e. Select the Resend for Implementation button to action the request.

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H 1.7 Defence AIB Review

H 1.7.1. When a recommendation that has been raised on a DASOR where the
investigation was convened by the DG DSA and is closed, the recommendation requires
Defence AIB Review. This review is to ensure that the Defence AIB are content the
recommendation has been actioned in accordance with the Service Inquiries intentions.

H 1.7.2. When the ADH/AM closes a recommendation the Defence AIB role group will
receive an email notification informing them it is ready for their action; the notification will
contain a link to the Recommendation. Selecting the link will open that specific
recommendation in the default web browser. Alternatively, all the recommendations that
require Defence AIB Review can be viewed by selecting the number of recommendations
in the Requiring Action column of the Recommendations row in the Reports Summary
section on the Home page. This will display the related Recommendations in the list of
results table. Selecting a row of the table will open the respective Recommendation in a
new window.

H 1.7.3. The recommendation status will show as Defence AIB Review and a member
of the role group should review all the tabs in the recommendation to ensure they are
content with the work completed and that the appropriate details have been accurately
recorded.

Figure 134

H 1.7.4. If the Defence AIB Review group are content with the work carried out to
implement the recommendation the recommendation can be accepted by selecting the
Accept button. Provide a reason for accepting the recommendation in the pop-up window
and select the Accept button to return the recommendation to the investigator(s) for edit.
Select the X to return to the recommendation at any time.

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 Figure 135

H 1.7.5. If the Defence AIB Review group are not content with the work carried out to
implement the recommendation select the Reject button. Provide a reason for rejecting
the recommendation in the pop-up window and select the Reject button to return the
recommendation to the investigator(s) for edit. Select the X to return to the
recommendation at any time. The recommendation will then be returned to the ADH/AM to
reimplement or rework the recommendation.

Figure 136

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H 1.8 DG Review

H 1.8.1. When a recommendation that has been raised on a DASOR where the
investigation was convened by the DG DSA and is closed, the recommendation requires
DG Review. This review is to ensure that the Director General DSA is content the
recommendation has been actioned in accordance with the Service Inquiries intentions.

H 1.8.2. When the Defence AIB accept a recommendation the DG role group will receive
an email notification informing them it is ready for their action; the notification will contain a
link to the Recommendation. Selecting the link will open that specific recommendation in
the default web browser. Alternatively, all the recommendations that require DG review can
be viewed by selecting the number of recommendations in the Requiring Action column of
the Recommendations row in the Reports Summary section on the Home page. This will
display the related Recommendations in the list of results table. Selecting a row of the
table will open the respective Recommendation in a new window.

H 1.8.3. The recommendation status will show as DG Review a member of the role
group should review all the tabs in the recommendation to ensure they are content with the
work completed and that the appropriate details have been accurately recorded.

Figure 137

H 1.8.4. If the DG Review group are content with the work carried out to implement the
recommendation the recommendation can be accepted by selecting the Accept button.
Provide a reason for accepting the recommendation in the pop-up window and select the
Accept button to return the recommendation to the investigator(s) for edit. Select the X to
return to the recommendation at any time.

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 Figure 138

H 1.8.5. Once the DG Review is complete and the recommendation accepted it will be
closed.

H 1.8.6. If the DG Review group are not content with the work carried out to implement
the recommendation select the Reject button. Provide a reason for rejecting the
recommendation in the pop-up window and select the Reject button to return the
recommendation to the investigator(s) for edit. Select the X to return to the
recommendation at any time. The recommendation will then be returned to the ADH/AM to
reimplement or rework the recommendation.

Figure 139

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Part I Data Exploitation

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I 1. ASIMS Data Exploitation
I 1.1. Introduction

I 1.1.1. To facilitate the exploitation of Air Safety occurrence data ASIMS provides a
DASOR and Recommendation search functionality, the facility to export searches to MS
Excel, a trending tool and a configurable dashboard (see Part D 5 for the dashboard).

I 1.1.2. The search functions, trending tool and dashboard are accessed from the
Analysis tab on the ASIMS menu bar.

I 1.1.3. There are two methods of searching DASORs; a standard search and an
advanced search.

I 1.1.4. There are two methods of searching Recommendations; a standard search and
an advanced search.

I 1.1.5. Manipulating the data is often best achieved by downloading the raw data into a
programme such as MS Excel to utilise the manipulation and graphics powers of the
software over and above ASIMS capability. From all search methods the search results
can be downloaded into MS Excel for further exploitation.

I 1.1.6. ASIMS has a built-in trending capability which can automatically show you
numbers and rates of various items over time.

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I 2. DASOR Searching
I 2.1. Standard Search
I 2.1.1. The standard DASOR search is accessed by selecting DASOR Search from the Analysis
tab on the ASIMS menu bar.

Figure 140

I 2.1.2. The standard DASOR search enables you to look for occurrence reports using
common search fields. Search criteria can be saved and the search results downloaded
using predefined or user defined download template options into an MS Excel
spreadsheet.

Note: Users are limited to 1,000 reports per download to preserve system resources. If a
larger download is required use the advanced DASOR search function.

I 2.2. Searchable Fields

I 2.2.1. Reference – If a specific DASOR is required use this field to search for the
report using a full or partial reference number. Each report reference is made up of 5 fields
separated by a backslash in the format ‘asor\Station\Unit\Platform\Year\Sequence
Number’. To search a partial reference, enter 5 backslashes into the field and insert the
part of the reference known into its corresponding position. All reports matching these
criteria will be returned.

I 2.2.2. Incident Date Range – Select predetermined date ranges or enter specific
dates.

I 2.2.3. Brief Title or Narrative Description of Event Contains – Enter the text to
search from these DASOR fields.

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I 2.2.4. Comments Contains – Enter the text to search from this DASOR section.

Figure 141

Note: For ‘Brief Title or Narrative Description of Event Contains’ or ‘Comments Contains’
searches, each word included will be searched separately. If “quotation marks” are used
the word(s) within the quotation marks will be searched as a phrase: e.g. if wing tip is
entered into the field each report containing the word wing and each report containing the
word tip will be returned. If “wing tip” is entered only reports containing the phrase wing tip
will be returned.

Note: For ‘Brief Title or Narrative Description of Event Contains’ or ‘Comments Contains’
searches, each word included will be searched for inclusion as a whole word or part word.
E.g. if duct is entered into the field each report containing the word duct will be returned
along with reports containing ducting, conducted or reconduct etc. If you wish to search for
whole words only then you should use the advanced search, see I 2.8.

I 2.2.5. Filters – Choose the DASOR field you wish to search and select Update List.
The available options for that filter will be displayed below the Filters section for selection.
Hold down the Ctrl key to make multiple selections.

I 2.2.6. Status – Select the status of report you wish to search. Hold down the Ctrl key
to make multiple selections.

I 2.2.7. Comment Status – Select the comment status of the report you wish to search.
Hold down the Ctrl key to make multiple selections.

I 2.2.8. Hashtags – Choose hashtags as required to further restrict your results. Hold
down the Ctrl key to make multiple selections.

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Note: The list of hashtags can be filtered by station local hashtags by using ticking the
Filter by Station tick box and selecting the station required.

I 2.2.9. To de-select unwanted search terms hold down the [Ctrl] key and select the
unwanted search term.

Note: Selecting without holding [Ctrl] will result in selection of the search term selected
and de-selection of all other terms previously selected.

I 2.2.10. There are 3 additional search criteria options that can be activated by selecting
the respective tick box:

a. Show only entries past deadline date.

b. Search only reports marked as Prime DASOR. Selection of this option will
return all reports meeting the search criteria that are identified as the prime
DASOR for an event, see Para C 2.6.1 for details. Non-selection will return all
reports meeting the search criteria.

Note: If you are going to conduct analysis of report numbers then this tick box
MUST be selected otherwise more than one report per occurrence could be
included.

c. Allow selection of retired data. This selection allows previously selectable

fields that have since been removed from public use to be viewable.

I 2.2.11. Following selection of the required search criteria select View Results. To clear
all search criteria select Reset All Filters.

I 2.3. Search Results

I 2.3.1. Search results are displayed in the Reports matching criteria section.

I 2.3.2. The content of each report can be viewed by selecting any field in the
respective row of the report details. Hovering the mouse cursor over the Report reference
will display the report’s brief title.

I 2.3.3. When viewing the reports, the next and previous report links in the top right-
hand corner of the screen can be used to cycle through the search results list.

I 2.3.4. The reports can be sorted in ascending or descending order by selecting the
respective column field heading; the arrow next to the column heading denotes the order
displayed. Selecting the field heading a second time will reverse the order.

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 Figure 142

I 2.3.5. The number of search results displayed in the Reports matching criteria list
can be increased or reduced by selecting Fewer, More or All links displayed above the
Last Updated column as required.

I 2.4. Trend Chart Option

I 2.4.1. Selecting the Trend Chart button will export the search results into the ASIMS
Trending tool (see Section H 4).

I 2.5. Download Options

I 2.5.1. The search results can be downloaded into a MS Excel spreadsheet for further
analysis and data exploitation from the Download Options section.

I 2.5.2. Select the download format required from the drop-down list before selecting
the Download Data button. The download format list displays the public download formats
and any private download formats created by an individual, unique to that login (see Para
H 2.6)

I 2.5.3. Your list of reports will be downloaded to you default download location.

Warning: If you are prompted to View or Save, always select Save. Corruption of the
data can occur if you Open the file without saving it first. This is essential if you
intend to use the data to produce MS Excel pivot tables.

I 2.5.4. The file name will automatically contain the date the file was downloaded and
the name of the download format selected.

I 2.6. My Saved Download Options

I 2.6.1 It is possible to create custom download formats in ASIMS, unique to that login.

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 Figure 143

I 2.6.2. To create a custom download format, select the (show) link next to the My
Saved Download Options heading to display the section and perform the following steps:

a. Download reports using one of the public download formats that closely
matches your requirement.

b. Remove any columns not required.

c. Add additional columns as required (see Para I 2.6.5).

d. Remove all but 1 row of DASOR data from the spreadsheet below the field
headings.

e. Save the amended spreadsheet locally.

f. Upload the locally saved file by entering a name for the new download file
in the Report name field, select the locally saved spreadsheet using the
Choose File button in the Excel file to upload field, and select the Save
button.

I 2.6.3. The custom download file will be uploaded into ASIMS and will be available for
selection when downloading future searches using the Download Options function.

Note: The revised file will be private and only available to the individual who uploaded it.

I 2.6.4. If you wish to add columns not currently included in a download option, select
the link (Show Report Details) within the My Saved Download Options section and then
select the Air Safety Occurrence Report link to display a list of available fields that are
downloadable.

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 Figure 144

I 2.6.5. The file lists the name of the column as displayed in ASIMS (System Field
Name) and the name of the field to include within the download (Field Label).

Figure 145

I 2.6.6. Find the name of the field you wish to include and then display rows 1 and 2 of
the Excel custom download file being created to display the Field label names for each
column in row 1.

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 Figure 146

Figure 147

Note: These rows are compressed by default. Move the mouse cursor to the top of row 3
row heading until the cursor changes to a pair of horizontal parallel lines. Click and hold
the left mouse button and drag the row downward, row 2 will appear. Repeat for row 2 to
show row 1. Alternatively, double click the left mouse button when the cursor changes to a
pair of horizontal parallel lines.

I 2.6.7. Insert a new column between 2 existing columns; do not add a new column at
the end of the columns.

Figure 148

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I 2.6.8. Add the Field Label name for the new column you wish to include into row 1,
this is from the (Show Report Details) list. Add a display name into row 3 (this can be
anything you want as it is just for display in the spreadsheet).

Figure 149

I 2.7. My Saved Search

I 2.7.1. Frequently used searches can be saved using the My Saved Searches
function.

Note: This is useful when carrying out regular searches using the same search criteria
and when using one of the standard incident date ranges (Month to date, Previous Month
etc.); each time the search is run the dates are automatically changed.

I 2.7.2. Select the required search report criteria as detailed in Section H 2 and select
the (show) link next to the My Saved Searches heading.

I 2.7.3. Enter a name in the Search Name field and select Save Search.
Figure 150

I 2.7.4. To run a saved search searches, select the required Search Name in the list of
saved searches.

I 2.8. Advanced Search

I 2.8.1. The advanced DASOR search is accessed by selecting DASOR Search (Adv)
from the Analysis tab on the ASIMS menu bar.

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 Figure 151

I 2.8.2. The advanced DASOR search enables you to create search expressions using
any field available from a DASOR. Search criteria can be saved and the search results
downloaded using predefined or user defined download template options into an MS Excel
spreadsheet.

Note: If the download is greater than 1,000 reports it will be scheduled in the background
to preserve system resources (see I 2.12).

I 2.9. Search Expression - Advanced

I 2.9.1. The search expression is the criteria used to search for reports. The advanced
DASOR search screen is made up of two main parts; a list of searchable Fields and the
Search Expressions.

I 2.9.2. To create a search expression, drag the required fields you wish to search on
from the Fields list on the left and drop them into the Search Expression area in the
middle of the screen.

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 Figure 152

I 2.9.3. For each Field dropped in the Search Expression area two dropdown boxes
will be displayed to the right of the field name. These boxes enable you to select the
search criteria (first box) and the value (second box) to be searched.

Note: The value box changes depending on the search criteria selected, if the search
criteria is one of then the values box would be a select list. If the criteria is equals then the
value box will be a dropdown list of values and if the criteria is contains then a free text
field would appear. When a date field is selected a large number of options are available.
To make multiple selections in a select list hold down the Ctrl key while making your
selections.

Figure 153

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I 2.9.4. Additional search expressions can be added into your search allowing a
combination of multiple searches into one expression rather than run two separate
searches. Select the button (either inside or outside the existing expressions) and a
new expression area will appear where you can add the additional search expression.

Figure 154

I 2.9.5. Once the search expression has been created select the Execute button to
perform the search. To clear all search criteria, select Clear Form.

Note: When searching a field using contains, if multiple words are entered into the
criteria field they will be searched as a phrase and not a list of individual words. E.g.
entering training sortie will only return reports containing the phrase training sortie and will
exclude reports that only contain the words training or sortie even if both words are in the
same field but do not appear together.

I 2.9.6. If you wish to search for multiple words then you will need to list each word
within its own field.

Figure 155

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Note: Each word included will be searched for inclusion as a whole or part word. E.g. if
duct is entered into the field each report containing the word duct will be returned along
with reports containing ducting, conducted or reconduct etc. If you wish to search for an
exact word only then you need to put a percent sign and space before and after the word.
E.g. % duct %, will only returns reports containing the word duct.

Figure 156

I 2.10. Search Results - Advanced

I 2.10.1. Any reports matching the search expression will be displayed in the Safety
Report Search Results section.

Figure 157

I 2.10.2. By default, only four column fields are displayed in the search results:
Reference; Report Status; Brief Title; and Date of Occurrence. Additional columns can be
added by dragging the field name from the Fields list into the results table and pressing
the Update or Execute buttons to populate the new field with data.

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 Figure 158

Warning: If a search is performed where there are multiple entries of the field
contained within a DASOR (e.g. multiple Causal Factors can be added to a single
report) and this field is added to the search criteria or results table a row will be
returned for each Causal Factor entry and not for each DASOR. This may make it
appear that there are more DASOR affected than there are.

I 2.10.4. The reports can be sorted in ascending or descending order by selecting the
respective column field heading; the arrow next to the column heading denotes the order
displayed. Selecting the field heading a second time will reverse the order.

Figure 159

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I 2.10.5. The number of search results displayed can be increased or reduced by
changing the number of reports showing per page and selecting Update.

Figure 160

I 2.11. Save Filter - Advanced

I 2.11.1. Search expressions can be saved by selecting the Save Filter button. This will
save the search expression created and the chosen fields in the search results section.

I 2.11.2. Following selection of the Save Filter button a prompt will be displayed to
create a name for the search. The saved search will then appear in the Saved Filters
section.

Figure 161

Figure 162

I 2.11.3. The Save Filter button also enables users to share a filter with other ASIMS
users. Once you have given your filter a name there are three tick boxes to enable the
filter to be shared:

Public: Tick this box to make the filter available to another ASIMS user. Ticking this box on
its own will have no effect, it must be selected in combination with either the Available to
All Roles or by selecting one or more roles in the Available to Roles list.

Available to All Roles: Tick this box to make the filter available to all ASIMS users, use
this option with caution.

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Available to Roles: Select the role group or groups (hold the Ctrl key to select multiple
role groups) you wish to share the filter with. Note: you must also have ticked the Public
tick box for this to take effect.

The example below would make the filter available to all users within the Occurrence
Manager – Benson – RAF role group.

Figure 163

Shared filters are listed in the Saved Filters section including the details of who the filter is
shared with.

Figure 164

I 2.12. Exporting Data

I 2.12.1. The search results can be downloaded into a MS Excel spreadsheet for further
analysis and data exploitation in two ways:

a. Export to Excel. This will download to MS Excel only the fields and data
displayed in the table of search results in the Safety Report Search Results
section.

b. Export using Template. Select the download format required from the
drop-down list before selecting the Export using Template button. This
function allows you to download to MS Excel using the available public and
private download formats (For more information on download templates see
section I 2.5).

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 Note: When downloading using a template the MS Excel document will contain
one row for each report returned from the search even if more than one report is
displayed within the search results due to the fields included, as per H 2.10.3.

I 2.12.2. The file will be automatically saved to your default download folder and the file
name will automatically contain the date the file was downloaded and the name of the
download format selected.

Warning: If you are prompted to view or save the download always select Save.
Corruption of the data can occur if you Open the file without saving it first. This is
essential if you intend to use the data to produce MS Excel pivot tables.

Figure 165

I 2.12.3. If an export of data of more than 1,000 reports is initiated the export will be
scheduled and run in the background. When the export is requested a popup message is
displayed, select OK to continue.

Figure 166

I 2.12.4. Provide the download a name when prompted and select OK.

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 Figure 167

Figure 168

I 2.12.5. The download has been scheduled to run in the background; you can continue
using ASIMS as normal.

I 2.12.6. Once the export is complete an email notification will be sent to confirm
completion of the download.

I 2.12.7. Return to the advanced search and the download will be listed in the
Scheduled Exports section. Select the report to save the file locally.

Figure 169

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I 3. ASIMS Data Download
I 3.1. Introduction

I 3.1.1. ASIMS data downloads are exported into MS Excel. Using this data in a pivot
table allows for easy manipulation of the data and provides useful graphical outputs.

I 3.1.2. ASIMS download template DASOR Chart contains a predefined pivot table and
chart. All other downloads provide the raw data and the user is responsible for creating
any pivot tables and charts using the Pivot Table and Pivot Chart Wizard within MS Excel.

I 3.2. ASIMS Data

I 3.2.1. The Data tab will contain the raw DASOR data downloaded from ASIMS.

Note: If a Link column is presented/chosen within the download a URL to the respective
DASOR will be displayed. To use the URL, select in the cell, go to the end of the text in the
formula bar and press return; the URL will be underlined and will become an active link. To
activate multiple cells, activate one and then use ‘format painter’ to copy the active format
to the inactive links.

I 3.3. Pivot Table

I 3.3.1. The ChartData tab details the number of reports in each element of the chart.
In order to add fields to the chart select the field from the list on the right-hand side of the
tab, noting that you can enter the field name into the search box to find fields. In order to
select the field tick the box by the field name and the field will be added to the pivot table.

Figure 170

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Note: If you wish to view a specific section’s data, double click the total and a new tab will
be created with just the data for those reports within the total.

Figure 171

I 3.4. Pivot Chart

I 3.4.1. The Chart tab will by default display a bar chart of the fields selected in the
Pivot Table on the ChartData tab.

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 Figure 172

I 3.4.2. You can add additional fields into the chart by selecting the field from the list on
the right-hand side of the tab, noting that you can enter the field name into the search box
to find fields.

I 3.4.3 You can change the chart type by right-clicking on the existing chart and select
Change Chart Type…

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 Figure 173

I 3.4.4 Select the type of chart from the available list and your chart will be changed to
that selection.

Figure 174

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 Figure 175

I 3.4.5. For all other changes to a Pivot Chart use your favourite search engine to find
the details, this is standard excel functionality and there is a wealth of information on the
internet.

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I 4. Recommendation Searching
I 4.1. Standard Search

I 4.1.1. The standard Recommendation search is accessed by selecting Rec Search in

the Analysis section on the ASIMS menu bar.

Figure 176

I 4.1.2. The standard Recommendation search enables you to search for

recommendations using common search fields. Search criteria can be saved and the
search results downloaded using predefined or user defined download template options
into an MS Excel spreadsheet.

I 4.2. Searchable Fields

I 4.2.1. Reference Number – If a specific Recommendation is required use this field to

search for the report using a full or partial reference number. Each report reference is
made up of 3 fields separated by a forward-slash in the format ‘Year/Related DASOR
Sequence Number/Recommendation Sequence Number’. To search a partial reference,
enter 2 forward-slashes into the field and insert the part of the reference known in its
corresponding position. All reports matching these criteria will be returned.

I 4.2.1. Status – Select the status of the recommendation you wish to search.

I 4.2.3. Planned Date Range – Select the predefined date ranges or specify specific
dates.

I 4.2.4. Last Updated Date Range – Select the predefined date ranges or specify
specific dates.

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I 4.2.5. ADH/AM Responsible Owner – Select from the list of ADH role groups.

I 4.2.6. Recommendation Owner (Role) – Select from the list of available owner role
groups.

I 4.2.7. Recommendation Owner (User) – Enter the ASIMS users name or role for a
list of users that match the entered criteria.

I 4.2.8. Recommendation Implementor - Enter the ASIMS users name for a list of
users that match the entered criteria.

I 4.2.9. Recommendation Title Contains – Enter text that appears in the

recommendation title.

I 4.2.10. Recommendation Description Contains – Enter text that appears in the

recommendation description

I 4.2.11. Action Taken Contains – Enter the text to search from this Recommendation
field.

I 4.2.12. Originating Report. Details of the Recommendations’ related DASORs can

also be searched using Ship/Station/Organisation, Aircraft Mark, Investigation Type,
Registration, Location, Contributory Factor, Major System, Aircraft Repair Category or
Incident Date From to identify Recommendations related to the respective DASOR field.

Note: For ‘Status’, ‘Ship/Station/Organisation’, ‘Aircraft Mark’ and ‘Investigation Type’

searches multiple fields can be selected by holding down the [Ctrl] key and highlighting
more than one selection.

I 4.2.13. To de-select unwanted search terms hold down the [Ctrl] key and select the
unwanted search term.

Note: Selecting without holding [Ctrl] will result in selection of the search term selected
and de-selection of all other terms previously selected.

I 4.2.14. Following selection of the required search criteria select View Results. To clear
all search criteria select Reset.

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 Figure 177

I 4.3. Search Results

I 4.3.1. Search results are displayed in a table format at the bottom of the screen once
the View Results button has been selected.

I 4.3.2. The search results can be downloaded to MS Excel by selecting the Download
button.

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I 4.3.3. The content of each recommendation can be viewed by selecting any field in
the respective row of the recommendation search results.

I 4.3.4. The reports can be sorted in ascending or descending order by selecting the
respective column field heading; the arrow next to the column heading denotes the order
displayed. Selecting the field heading a second time will reverse the order.

Figure 178

I 4.4. Advanced Search

I 4.4.1. The advanced Recommendation search is accessed by selecting Rec Search

(Adv.) in the Analysis section on the ASIMS menu bar.

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 Figure 179

I 4.4.2. The advanced Recommendation search enables you to create search

expressions using any field available within a Recommendation. Search criteria can be
saved and the search results downloaded using predefined or user defined download
template options into an MS Excel spreadsheet.

I 4.5. Search Expression - Advanced

I 4.5.1. The search expression is the criteria used to search for reports. The advanced
Recommendation search screen is made up of 2 main parts; a list of searchable Fields
and the Search Expressions.

I 4.5.2. To create a search expression, drag the required fields you wish to search on
from the Fields list and drop them into the Search Expression area.

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 Figure 180

I 4.5.3. For each Field dropped in the Search Expression area 2 dropdown boxes will
be displayed to the right of the field name. These boxes enable you to select the search
criteria (first box) and the value (second box) to be searched.

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 Figure 181

Note: The value box changes depending on the search criteria selected, if the search
criteria is one of then the values box would be a select list. If the criteria is equals then the
value box will be a dropdown list of values and if the criteria is contains then a free text
field would appear. When a date field is selected a large number of options are available.

I 4.5.4. Once the search expression has been created select the Execute button to
perform the search. To clear all search criteria, select Clear Form.

I 4.5.5. Additional search expressions can be added into your search allowing a
combination of multiple searches into one expression rather than run 2 separate searches.
Select the button (either inside or outside the existing expressions) and a new
expression area will appear where you can add the additional search expression.

Figure 182

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I 4.6. Search Results - Advanced

I 4.6.1. Any reports matching the search expression will be displayed in the
Recommendation Search Results section.

Figure 183

I 4.6.2. By default, only 5 column fields are displayed in the search results: Reference;
Status; Title; Planned Date; and Implemented Date. Additional columns can be added by
dragging the field name from the Fields list into the results table and pressing Update or
Execute to populate the new field with data.

Figure 184

I 4.6.3. The recommendations can be sorted in ascending or descending order by

selecting the respective column field heading; the arrow next to the column heading

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denotes the order displayed. Selecting the field heading a second time will reverse the
order.

I 4.6.4. The number of search results displayed can be increased or reduced by

changing the number of reports showing per page and selecting Update.

I 4.6.5. The content of each recommendation can be viewed by selecting any field in
the respective row of the recommendation search results.

Figure 185

I 4.7. Save Filter - Advanced

I 4.7.1. Search expressions can be saved by selecting the Save Filter button. This will
save the search expression created and the chosen fields used to display the search
results.

I 4.7.2. Following selection of the Save Filter button a prompt will be displayed to
create a name for the search. The saved search will then appear in the Saved Filters
section.

Figure 186

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 Figure 187

I 4.7.3. The Save Filter button also enables users to share a filter with other ASIMS
users. Once you have given your filter a name there are three tick boxes to enable the
filter to be shared:

Public: Tick this box to make the filter available to another ASIMS user. Ticking this box on
its own will have no effect, it must be selected in combination with either the Available to
All Roles or by selecting one or more roles in the Available to Roles list.

Available to All Roles: Tick this box to make the filter available to all ASIMS users, use
this option with caution.

Available to Roles: Select the role group or groups (hold the Ctrl key to select multiple
role groups) you wish to share the filter with. Note: you must also have ticked the Public
tick box for this to take effect.

The example below would make the filter available to all users within the Occurrence
Manager – Benson – RAF role group.

Figure 188

Shared filters are listed in the Saved Filters section including the details of who the filter is
shared with.

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 Figure 189

I 4.8. Exporting Data

I 4.8.1. The search results can be downloaded into a MS Excel spreadsheet for further
analysis and data exploitation:

a. Export to Excel. This will download to MS Excel only the fields and data
displayed in the table of search results in the Recommendation Search
Results section.

Figure 190

I 4.8.2. The file will be automatically saved to your default download folder and the file
name will automatically contain the date the file was downloaded.

Warning: If you are prompted to view or save the download always select Save.
Corruption of the data can occur if you Open the file without saving it first. This is
essential if you intend to use the data to produce MS Excel pivot tables.

I 4.8.3. If an export of data of more than 1,000 reports is initiated the export will be
scheduled and run in the background. When the export is requested a popup message is
displayed, select OK to continue.

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 Figure 191

I 4.8.4. Provide the download a name when prompted and select OK.

Figure 192

Figure 193

I 4.8.5. The download is scheduled to run in the background; you can continue using
ASIMS as normal.

I 4.8.6. Once the export is complete an email notification will be sent to confirm
completion.

I 4.8.7. Return to the advanced recommendation search and the download will be listed
in the Scheduled Exports section. Select the report to save the file locally.

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 Figure 194

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I 5. Trending
I 5.1. Introduction

I 5.1.1. The trending function provides the ability to quickly identify trends within ASIMS,
using predefined trend categories, enabling the user to quickly drill down into the selected
data.

I 5.1.2. Trending is accessed by selecting Trending from the Analysis tab on the ASIMS
menu bar.

Figure 195

I 5.1.3. When Trending is first displayed the last 6 months is of data is displayed
showing the breakdown of reports trending on Aircraft type.

I 5.1.4. The Trending screen is made up of 2 sections the filters for trend chart and
trend chart sections.

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 Figure 196

I 5.2. Filters for Trend Chart

I 5.2.1. This section controls the information displayed in the trend chart, the main
elements of this section are the Trend dropdown list, which controls the fields displayed on
the chart, and the date fields. You can also use the Saved Searches drop down to perform
trending on any search you have saved within the DASOR Search page. Once you have
made a change to any of the fields in this section select the Update Chart button to
update the chart displayed.

Figure 197

I 5.3. Trend Chart

I 5.3.1. The trend chart displays the information as defined in the filters section, the
chart will show the number of reports raised per month for the trend selected.

I 5.3.2. The chart(s) are displayed in tabs within the chart section, each tab is named to
match the trend being displayed with the first tab titled Initial.

I 5.3.3. The chart has a title that details the information being displayed and a legend
defining the designation of colour blocks within a row.

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 Figure 198

I 5.3.4. At the bottom of the chart is an Export Report button, this will copy the chart
into a word document, and a Remove Chart button, this will remove the chart tab but is
only available if more than one chart tab is being displayed.

I 5.3.5. The Trend chart displays a row for each trend defined in the filters and each row
contains a colour coded block for each month during the period. If you hover the mouse
cursor over a block the details (date period, trend and number of reports raised) of that
block will be displayed.

Figure 199

I 5.3.6. In order to drill into the data, click a block within a trend row and a popup is
displayed.

Figure 200

I 5.3.7. The popup enables you to drill down into the data several ways by selecting the
radio button for one of following options:

a. You can drill into the whole trend item.

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 b. You can view the month of data for all the trends.

c. You can view the data for that trend for that month.

I 5.3.8. Once you have identified the data you wish to view select either New Chart or
View Data buttons to access the data.

I 5.8.9. New Chart will add an additional tab is added to the chart section displaying the
data selected. In this example “Typhoon And October 2021” was selected.

Note: The criteria of the data displayed will be listed below the trend chart.

Figure 201

I 5.8.10. Once you have drilled down into the data and created a new tab you can
change the Trend as required to further analyse the data displayed. Once you have
changed the Trend select the Update Chart button to refresh the chart section.

Note: The legend is indicating the original trend that was selected and the title is
indicating the date range.

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 Figure 202

I 5.8.10. You can continue to drill down and change the trend as required. If you wish to
reset the chart tabs you have created select the Clear All button at the bottom of the page.

I 5.8.11. View Data will automatically generate a standard search of the data so that you
can view or download the DASORs.

Figure 203

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I 6. Analytics
I 6.1. Introduction

I 6.1.1. The analytics function provides the ability to visualize ASIMS data and create
feeds to schedule bulk data extracts from the system.

I 6.1.2. Analytics is accessed by selecting Analytics from the Analysis heading on the
ASIMS menu bar.

Figure 204

I 6.1.3. There are two main components of the Analytics application, Dashboards and
My Feeds, by default the Analytics application opens within the Dashboards section.
When accessing Analytics, it will automatically display any recently accessed dashboards,
you can change the dashboard view by clicking the links in the top right as below:

Recent – Any recently accessed dashboards.

All – All dashboards you have created or have been shared with you.
Mine – All dashboards you have created.
Shared – All dashboards that have been shared with you.

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 Figure 205

I 6.2. Dashboards

I 6.2.1. Users can create, share and view shared dashboards and each dashboard
contains widgets which are used to visualize (in the form of charts, graphs and tables)
ASIMS data. All users can create their own dashboards for personal use and these can be
shared with any other ASIMS user. The MAA have created several dashboards which have
been share with all users, these cover common trends and may meet your analysis needs,
they contain filters so the visualizations can be focused to a specific area of interest. In
order to view a dashboard that has been shared with you click the Shared link in the top
right and then select any of the dashboards displayed.

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 Figure 206

I 6.3. Viewing Dashboards

I 6.3.1. When viewing a dashboard, the following details and functions are available:

1. Date and time the data was last refreshed. The data used within
Analytics is not live ASIMS data, the data is refresh once a day, this field shows
the date it was last refreshed.

2. Filters. Filters enable you to focus on the data you are after, when you
hover over the filter a pencil icon is displayed in the top right of the filter, this can
be used to alter the values.

3. Visualization functions. You can click on any element of a visualization

and all other visualizations will alter to reflect that selection. Similarly, you can
right click on an element and choose to drill down into the data, you can select a
predefined drill option or choose any custom field.

4. Select a different dashboard. All dashboards available to you are listed

and you can choose to view a different dashboard by selecting the dashboard
from the list.

5. Create new dashboard. Users can create their own dashboard by clicking
the plus icon above the list of dashboards.

Figure 207

I 6.4. Creating Dashboards

I 6.4.1. New dashboards can be created from either the main dashboard page or from
clicking the plus icon when viewing an existing dashboard. The user must select the data
source and give the dashboard a name.

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 Figure 208

I 6.4.2. Once the details are populated a blank dashboard will be created.

Figure 209

I 6.4.3. Start by selecting the data you wish the widget to display, once you press the
Select Data button a list of available data fields will be displayed. There is a search box at
the top or you can scroll down the list of tables and fields to find the field you are looking
for.

Note: All DASOR fields are available, the fields have been split into groups (tables) to aid
usage. The core DASOR fields are contained within the VI_ASIMS_DASOR table and

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there are also separate tables for each additional report or key section of a DASOR. There
are also separate tables for any DASOR filed where there can be more than one value on
a DASOR, e.g. one DASOR can have many findings, so findings have a separate table
(VI_ASIMS_FINDING). Also, one finding can have many causal factors so there is a
separate causal table (VI_ASIMS_CAUSAL).

Figure 210

I 6.4.4. Once a data field has been selected a default visualization (Pivot Table) will be
used to display the data.

Figure 211

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I 6.4.5. The type of visualization can be altered by choosing a different visualization
from the panel to the left of the data.

Note: The example selects the Date of Occurrence field, date field selections default to
displaying the Year, this can be changed when selecting the field by using the More option
and choosing a different value or within Advanced Configuration.

Figure 212

I 6.4.6. Additional data fields can be added by clicking the plus sign to the right of your
previously selected field at the top of the widget or by using the Advanced Configuration
link at the bottom of the widget. When creating a chart (column, bar or line) a second value
will be required, this will be the value that is counted against the field being displayed.
Each table contains a unique identifier, these fields have the suffix _UID, it is advised to
use these fields to count values within a table.

Note: When selecting a UID field because these fields are numbers the system defaults to
sum, i.e. adding them together, use the More option when selecting the field and choose #
Count All.

I 6.4.7. You can give your widget a title by clicking the Add Title box and entering your
title, remember it is good practice for the title to clearly detail the data being displayed.
Once the widget is complete select the Create button and it will be added to your
dashboard.

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 Figure 213

I 6.4.7. Additional widgets can be added to a dashboard to show different field

visualizations by clicking the button. When an additional widget is added it will be
positioned below the last widget on the dashboard. Widgets can be moved around the
dashboard by clicking and holding the report title and moving the widget.

I 6.4.7. Once a widget has been added it can be edited by clicking the pencil icon in the
top right-hand corner of the widget. When editing a widget you can change the type of
visualization, fields used and its design.

Figure 214

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I 6.5. Advanced configuration

I 6.5.1. When creating a widget, you can use the Advanced Configuration function and
the same options are available when you edit an existing widget. This function gives you
the ability to alter and tailor most of the elements of a widget.

I 6.5.2. There are multiple elements of each part of the widget that can be configured,
for Categories the following can be edited:

1. Add. Additional categories can be added to the widget.

2. Type. Change the type of data.

3. Delete. The category can be deleted.

4. Filter. The data can be filtered.

5. Format. Change how the data is displayed.

6. Enable/Disable. Change the slider to enable or disable the category.

Figure 215

I 6.5.3. The same configuration options are available for any values plus you can also
change the way the value is calculated. Clicking the pencil icon within the Values field will
enable you to edit the formula.

I 6.5.4. Editing the formula allows you to change the field using the Data Browser
section and you can utilise Functions to calculate the values to be displayed. When

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editing the formula, you can also use the standard math function (+ / *) and these work as
expected. E.g. SUM(MILITARY_DEATHS) + SUM(CIVILIAN_DEATHS).

Figure 216

I 6.5.5. Creating a count for only specific values of a field, i.e. counting the number of
reports auto accepted (the auto_accept field contains Yes or No) requires a specific
method. Edit the formula of a value as above, you need two values in the formula the field
you are counting (DASOR_UID) and the field you are filtering on (AUTO_ACCEPT). You
need to put both values with brackets separated by a comma, ([# of unique
ID],[AUTO_ACCEPT]), next you click the AUTO_ACCEPT field in the formula and select
Edit Filter from the list. This enables you to filter the values in the field that will be counted.

Figure 217

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I 6.6. Custom Field Order

I 6.6.1. When editing a widget users can choose the sort order for value but if you are
using a break by field this is in alphabetic order by default. For some reports you may wish
to create a custom sort order, for example ordering Event Type, you would ideally want the
order to be Hazard Observations, Incidents, Accidents, Hostile Action/Loss in a stacked
bar chart. Normal editing of the widget does not give you that option.

I 6.6.2. There is the ability to add a script to the widget that will enable this custom
ordering, this is done by clicking the three dots at the top of the widget and selecting Edit
Script.

Figure 218

I 6.6.3. Once the Edit Script page is displayed enter the following script, the first part of
the script can be altered to specify the field value order from the break by field.

Here is a direct link to the script, https://support.sisense.com/kb/en/article/how-to-order-a-

stacked-column-chart-using-a-breakby

var categories= []; //Manual order\"value asc"\"Value desc"

var breakBy = ["Hazard Observations", "Incidents", "Accidents", "Hostile
Action/Loss" ];

// ---------- DO NOT EDIT BELOW THIS LINE ----------

var findIndex = function(val, list) {

if (list=='breakby') {
return breakBy.indexOf(val)
} else if (list=='categories') {
return categories.indexOf(val)
}
};

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widget.on('processresult',function(se,ev){

//If categories array contains "value asc" or "value desc", sort categories by
their total values.
//The sorted categories will be placed in the category array used by the manual
sorting script

if (categories.length>0&&categories[0] === "value desc"){

categories = sortColumnsByValue(ev,"desc");
}
else if (categories.length>0&&categories[0] === "value asc"){
categories = sortColumnsByValue(ev,"asc");
};

//determine if we should sort categories or breakbys

categoryStatus=false;
breakStatus=false;

for (p=0; p<ev.widget.metadata.panels.length; p++){

if (ev.widget.metadata.panels[p].name=="categories" &&
ev.widget.metadata.panels[p].items.length>0 && categories.length>0){
categoryStatus=true;
}
else if (ev.widget.metadata.panels[p].name=="break by" &&
ev.widget.metadata.panels[p].items.length>0 && breakBy.length>0){
breakStatus=true;
}
};

if (categoryStatus){
ev.result.series.forEach( function(bb) {
newData= new Array(categories.length);
var blankcat;
bb.data.forEach( function(cat) {
if (typeof cat.selectionData !== 'undefined'){
newData[findIndex(cat.selectionData[0].trim(), 'categories')]=cat;
}
else{
blankcat=cat;
}
})
for (i=0; i<newData.length; i++) {
if (typeof newData[i] === 'undefined') {
newData[i]=blankcat;
}
}
bb.data=newData;
});
ev.result.xAxis.categories=categories;
};

if (breakStatus) {
ev.result.series.sort(function(a,b){
if (findIndex(a.name, 'breakby') < findIndex(b.name,'breakby')) {
return -1
} else if (findIndex(a.name,'breakby') > findIndex(b.name,'breakby')) {
return 1
}
return 0;

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 });
};
});

//Sort categories by total value: functions

//Sort ascending \ descending

function sortCatsByValueAsc(a,b){
var aValue = a.value;
var bValue = b.value;
return ((aValue < bValue) ? -1 : ((aValue > bValue) ? 1 : 0));
}

function sortCatsByValueDesc(a,b){
var aValue = a.value;
var bValue = b.value;
return ((aValue < bValue) ? 1 : ((aValue > bValue) ? -1 : 0));
}

//replace "category" object with the category name

function sortedCatsNames(arr){
for (var i=0 ; i<arr.length ; i++){
arr[i] = arr[i].name;
}
}

//Main function
function sortColumnsByValue (arg, sorting){
//Create an array to contain all categories' original index, name and value
var cats = [];

for (var c=0 ; c<arg.result.xAxis.categories.length ; c++){

cats.push({index:c ,name: arg.result.xAxis.categories[c],value:0});
}

for (var i=0; i<arg.result.series.length; i++){

for (var j=0 ; j<arg.result.series[i].data.length;j++){
cats[j].value+=arg.result.series[i].data[j].y;

}
}
//Sort Array by category value
var sortCats;
if (sorting==="desc"){
sortCats = cats.sort(sortCatsByValueDesc);
}
else {
sortCats = cats.sort(sortCatsByValueAsc);
}

//Replace objects with the category name

sortedCatsNames(sortCats);
return sortCats;
}

I 6.6.4. Once the script has been added and amended select the Save button and close
the window. Navigate back to the browser window containing the widget and select Apply,

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once back on the main dashboard refresh the browser for the change to take effect. The
widget should now match the order within the script.

I 6.7. Add filters to a dashboard

I 6.7.1. Once you have added widgets to your dashboard you can add filters to enable
users to alter the data set being used by the dashboard. Filters are added by clicking in the
Filters section on the right-hand side of the dashboard. Every field contained with the data
set is available to use as a filter.

Figure 219

I 6.7.2. Once a filter has been added you can add a dependent filter to an existing filter
to aid usage, i.e. you could create an Aircraft Type filter then add a dependent Aircraft
Mark filter, this way when the aircraft type is selected only the marks for that type are
available within the filter. Once the first filter is created select the three dots in the top right-
hand corner of the filter box. Select Add a Dependent Filter then select the field to be a
dependent of the first.

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 Figure 220

I 6.7.2. Filters can also be added to specific widgets, this will restrict the data being
used by that widget only and are added by editing the widget.

Caution: When creating widget filters any person using the dashboard will not be aware
that it has a widget level filter so consider the appropriateness of the filter and how the
widget will be interpreted.

I 6.8. Sharing a Dashboard

I 6.8.1. When a dashboard has been created it can be used by the creator or shared
with other ASIMS users. Select the share icon at the top of the dashboard.

Figure 221

I 6.8.2. Enter the email address of the user who you wish to share the dashboard with,
by default they will be granted Can View permissions, but these can be changed if you
wish them to be able to edit the dashboard.

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Note: Only ASIMS users who have accessed the Analytics tool will be available in the list
of users, if the person you wish to share the dashboard with is not in the list contact them
and ask them to log into Analytics and they will then be available.

Figure 222

I 6.8.3. When a dashboard has been shared, each time the dashboard is updated it
must be re-shared to enable the shared users to see any changes.

I 6.9. Feeds

I 6.9.1. The Analytics tool enables users to create custom feeds, these are a way of
scheduling data downloads where a user will be sent an email on completion of the extract
containing a link to download the data. Feeds can also be run ad-hoc, but the user will still
receive the download via an email notification.
I 6.9.2. From the Analytics home page select the My Feeds link on the left-hand side
menu, from here you can view your existing or create new feeds.

I 6.9.3. When creating a new feed you must give it a name, select the data to be
extracted, select the schedule and provide the email address of the recipients.

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 Figure 223

I 6.9.4. A single feed can contain multiple extracts, i.e. you could extract data from
several of the data source tables, when they are downloaded the individual extracts will be
contained within a single zip file.

I 6.9.5. Select the Add Data Extract button within the Data Extract section. Each
extract is made up of 3 elements, Details, Fields & Filters. In the fields section the extract
must be given a name and the data source selected.

Figure 224

I 6.9.6. The Fields section allows the user to select the fields that make up the extract,
fields can be chosen from any of the tables within the data source, they don’t have to be
from the same table.

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I 6.9.7. As fields are selected from the tables the name of the field is displayed in the
selected fields section and the data preview section populated. The order of the fields
within the extract can be changed by selecting the field name within the selected fields
section and moving the field into the required position.

Figure 225

I 6.9.8. The filters section enables the data contained within the extract to be refined.
Within the Add Filter section all fields within the data source can be used, by selecting the
first drop-down users can manually scroll through the list of fields or enter text into the field
to search for a filed name.

I 6.9.9. Once a field is selected the Filter Type box will be enabled and the options vary
depending on the type of field selected. Text or number fields can be filtered based on
selection from a List, where date fields can be List, Time Span or Date Range. There is
also the option to Include or Exclude, this means the data will either be the selected values
or all values except those selected.

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 Figure 226

I 6.9.10. Once the filter has been completed select the done button to add it to the
extract, multiple filters can be added to a single extract.

Figure 227

I 6.9.11. When the fields have been selected and the filters added select the Add Extract
button to complete the extract.

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 Figure 228

I 6.9.12. Choose the frequency of the extract, if you wish to run the extract as a one-off
then select None.

I 6.9.13. Finally complete the export details, select the format of the extract and the
method, email or Secure File Transfer.

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 Figure 229

I 6.9.14. Save the changes and the feed will be created. If the feed is required
immediately select the Run Now button or wait for it to be run as per the schedule.

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 Figure 230

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