Guidance for occurrence reporting

Guidance for mandatory and requested information fields.

Mandatory fields

All mandatory fields are listed in Annex I of Regulation (EU) 376/2014. Organisations must ensure that occurrence reports recorded in their databases and occurrence reports transmitted to the authorities contain at least all standard mandatory fields and the relevant specific mandatory fields (based on the entities involved in the occurrences, e.g. if an aircraft is involved in an occurrence reported by an air traffic controller, the relevant aircraft-related data fields shall be reported).

Reports containing incorrect or empty Annex 1 fields will be rejected. Rejected reports are not considered as reported; the reporting entity will have to correct errors and resubmit the report. If information is not applicable or unavailable, please enter, e.g. «unknown» or other relevant value, e.g. «not applicable». However, using «unknown» as a reported value for any field should, to the best extent, be avoided.

Organisations shall establish data quality checking processes to improve data consistency.

Common Mandatory Fields

At least the following information has to be included in every occurrence mandatorily reported to CAA Norway:

Taxonomy title	ID#	Data type	Description	Note/examples
Headline
Headline	601	Free text	A short message identifying the event	E.g. hard landing, birdstrike, level bust, fatigue etc. Short and to the point
Filing Information
Responsible entity	453	Predefined single-value list	Shall be Norway-CAA	Norway-CAA
Report status (former Occurrence status)	800	Predefined single-value list	The present status of the report within the organisation	E.g. open, initial, notification, preliminary, closed, closed on issue etc.
Report identification	438	Free text	The reporting organisation's identifying file reference of their report	Number/letter combination used to determine the report For follow-up reports, always use the same reference number as the initial report
When
UTC date	477	Date	UTC date of the occurrence Key additional attributes: Please fill in UTC	Date: DD.MM.YYYY Time: 00:00
Where
State/Area of occurrence	454	Predefined value list	The identification of the state or the geographical area where the occurrence occurred	E.g. Norway, North Atlantic etc.
Location name	440	Free text	Free text field describing the geographical location of the occurrence by referring to commonly known geographical names	E.g. Gardermoen, Oslo – London, Oslo overhead Do not use generic terms (aircraft stand, taxiway etc.). Precise information is preferable. If unknown, please insert what is known, e.g., route.
Classification
Occurrence class	431	Predefined single-value list	The classification of the occurrence in relation to its severity	Use only the following classes: Accident Serious Incident Incident Occurrence without safety effect Observation Occurrence with no flight intended
Occurrence category	430	Predefined multi-value list	The occurrence categories as developed by ICAO	E.g. MAC, ATM, RI, SCF-PP, SCF-NP, BIRD, F-NI, CABIN, GCOL, ICE, ADRM etc. Note that the report can contain several occurrence categories.
Narrative
Reporters language (former Narrative language)	1091	Predefined single-value list	The language used by the originator of the narrative	E.g. Norwegian, English etc.
Reporters description (former Narrative text)	1092	Free text	Reporters description of the occurrence	Explain the factual events of the occurrence. Use plain language and avoid ambiguous abbreviations.
Events
Event type	390	Predefined multi-value list	All elements of the occurrence shall be coded as event types. Including consequential events, equipment failure, operational issues, personnel issues, organisational causes	E.g. Call sign confusion, Taxi error, Runway incursion, Missed approach, Near Collision Note that a common misinterpretation is only to fill out one event type. Code all appropriate event types relevant to the occurrence.
Risk classification
Risk classification	1065	Free text	Internal risk classification of the occurrence	The result from the company's risk classification

The following fields shall be used when the organisation decides to analyse and implement follow-up on occurrences or a group of occurrences:

Analysis/follow-up	1067	Free text	Details on the analysis development and follow-up	Describe the analysis and follow-up
Risk mitigation action	1069	Free text	Details on the measures proposed/done	Details on preventive, corrective or remedial action proposed/done to mitigate risk
Conclusions	1070	Free text	Details on the conclusions for the organisation	Describe the conclusion

Specific Mandatory Fields

Relevant specific mandatory fields shall be included on every occurrence mandatorily reported to CAA Norway:

Specific Mandatory Fields – Aircraft-related data fields

Taxonomy title	ID#	Data type	Description	Note/examples
Aircraft identification
Aircraft registration	244	Free text	The mark is used to identify an aircraft. The mark consists of a standard or nationality mark followed by a registration mark.	E.g. LN-XXX, N-74XXA etc. This field is of critical importance.
State of registry	281	Predefined single-value list	The state where the aircraft is registered	E.g. Norway
Aircraft make/model/series	21	Predefined single-value list	The name of the aircraft manufacturer and model	E.g. Airbus A330-300
Aircraft serial number	254	Free text	The serial number of the aircraft	E.g. 12345
Aircraft callsign	54	Free text	The assigned International Telecommunications Union radio call sign of the aircraft	E.g. AB1234
Aircraft operation
Operator	215	Predefined single value list and additional text	The name of the aircraft operator exercising operational control over the flight	E.g. Norsk Fly AS New operators will be added through taxonomy updates. If you cannot find your operator in the existing list, choose "other" and write the name of your organisation
Operation type	214	Predefined single-value list	Specifies the type of operation	E.g. CAT/ airline, CAT/ offshore, non-commercial/ pleasure etc.
Aircraft description
Aircraft category	32	Predefined single-value list	Classification of aircraft according to specified essential characteristics	E.g. fixed-wing, rotorcraft, RPAS (drone) etc.
Propulsion type	232	Predefined single-value list	The type of propulsion system used by the aircraft	E.g. turbofan, turboprop, turboshaft etc.
Aircraft mass group	319	Predefined single-value list	The mass group of the aircraft based on the maximum certificated take-off mass	E.g. 0–2 250 kg etc. This field is for fixed-wing
Rotorcraft mass group	1083	Predefined single-value list	Rotorcraft-specific mass group	E.g. 0–2 250 kg etc. This field is for the rotor wing
History of flight
Last departure point	167	Predefined single value list and additional text	The aerodrome or place from which the flight originated	If applicable, use the ICAO code of the aerodrome; if not, choose "other" and write the name of the area
Planned destination	228	Predefined single value list and additional text	The place of intended landing	If applicable, use the ICAO code of the aerodrome; if not, choose "other" and write the name of the area
Flight phase	121	Predefined single-value list	Enter the most significant flight phase related to the occurrence	E.g. take off, en route, approach, landing etc.
Weather
Weather relevant	606	Predefined single-value list	An indication of, given the investigation, whether the weather was relevant to the occurrence.	Yes or no

Specific Mandatory Fields – Air Navigation Services-related data fields

Taxonomy title	ID#	Data type	Description	Note/examples
ATM relation
ATM contribution	428	Predefined single-value list	Information on whether and to what extent the air traffic management contributed to the occurrence	E.g. directly involved, indirectly involved
Effect on ATM service (service affected)	436	Predefined single-value list	The classification of the event based on the effect it had on the air traffic management service	E.g. degraded ATM service, service effect/partial, no effect
ATS unit name
ATS unit name	372	Free text	The name of the ATS unit	Normally 4-letter ICAO abbreviation of the appropriate ATS unit, e.g. ENBO, ENGM, ENBD

Separation Minima Infringement/Loss of separation and Airspace Infringement-related data fields

Taxonomy title	ID#	Data type	Description	Note/examples
Airspace
Airspace type	15	Predefined single-value list	The type of Airspace according to publication in the Aeronautical Information Publication	E.g. danger area, CTR, CTA, TMA etc.
Airspace class	13	Predefined single-value list	Air traffic services airspaces. ICAO Annex 11	E.g. C, D, E, G etc.
FIR/UIR name	16	Predefined single value list or alternative text	Flight information region or Upper flight information	E.g. ENOR, ENOB etc.

Specific Mandatory Fields – Aerodrome-related data fields

Taxonomy title	ID#	Data type	Description	Note/examples
Location
Aerodrome location indicator	5	Predefined single value list and additional text	The aerodrome of the occurrence	E.g. ENGM, ENBO, ENBR etc.
Location on the aerodrome	641	Predefined single value list and additional text	The specific location of the occurrence on the aerodrome	E.g. aircraft stand, on the apron, on a taxiway etc. If the correct location is not in the value list, choose "other" and write the correct location.

Specific Mandatory Fields – Aircraft damage or personal injury-related data fields

Taxonomy title	ID#	Data type	Description	Note/examples
Severity
Highest damage	432	Predefined single-value list	The highest level of damage sustained by any aircraft involved in the occurrence	E.g. none, minor, substantial, destroyed etc.
Injury level	451	Predefined single-value list	The highest level of injury sustained by any person in the occurrence	E.g. none, minor, serious, fatal etc.
Injuries to persons
Total minor injuries – ground	469	Number	The total number of persons involved in the occurrence with minor injuries on the ground	Add number(s)
Total serious injuries – ground	472	Number	The total number of persons sustaining serious injuries on the ground	Add number(s)
Total fatalities –ground	460	Number	The total number of persons sustaining fatal injuries on the ground	Add number(s)
Total minor injuries – aircraft	468	Number	The total number of persons with minor injuries on board the aircraft involved in the occurrence	Add number(s)
Total serious injuries – aircraft	471	Number	The total number of persons sustaining serious injuries on board the aircraft	Add number(s)
Total fatalities – aircraft	459	Number	The total number of persons sustaining fatal injuries on board all of the aircraft involved	Add number(s)

Specific Information on CAA Norway's requesThe CAA Norway requests the following information in addition to the mandatory fields to improve data quality and tracking of the reports. Please fill out the fields if the information is available and applicable.

General information

Taxonomy title	ID#	Data type	Description	Note/examples
Reporting entity	447	Predefined single value list and additional text	The identification of the entity or organisation that provided the report	E.g. aircraft operator – Norsk Fly AS Use your organisation/entity name as text behind the relevant reporting organisation type (Aircraft operator, Maintenance organisation etc.)
Reporting date	801	Date	Actual UTC date when a report is sent to CAA Norway	DD.MM.YYYY
Report version	1084	Free text	The version of the report provided by the individual or organisation to facilitate the management of follow-up reporting post-analysis	E.g. 1, 2 etc. The initial report should be version 1; for all subsequent reports, increment by 1
Report source	476	Predefined single-value list	The source of the report	Use only: Reportable incident Voluntary occurrence report
Attachments	802	Free text	Series of attachments to the report	The possibility to attach videos, pictures etc.

Top volume occurrences

To best apply CAA Norway's internal resources for proactive aviation safety work, CAA Norway requests that the following occurrence reports are filled out according to the information provided in this guidance material: birdstrike, fatigue and FOD.

Some fields specified for the top volume occurrences will also be found in the standard mandatory fields. This does not mean that the common mandatory fields not listed for the occurrence are not to be filled out. It simply specifies that the fields are important for the correct registration of the top volume occurrences and that CAA Norway request them to be filled out in a particular manner.

Birdstrike

CAA Norway request that especially the following fields are correctly entered by the reporting organisation:

Taxonomy title	ID#	Data type	Description	Note/examples
Birdstrike relevant fields
Headline	601	Free text	A short message identifying the event	E.g. birdstrike during take-off etc. Please write birdstrike in the headline and, if applicable flight phase
Event type	390	Predefined multi-value list	The type of event(s)	E.g. birdstrike, bird ingestion, diversion, AC return etc.
Highest damage	432	Predefined single-value list	The highest level of damage sustained by any aircraft involved in the occurrence	E.g. none, minor, substantial, destroyed etc.
Aerodrome location indicator	5	Predefined single value and additional text	The aerodrome of the occurrence	E.g. ENGM, ENBO, ENBR etc. If the birdstrike happened during approach or departure, the aerodrome should be entered If the birdstrike did not occur in connection with an aerodrome, please remember to fill out the mandatory field "Location of" ID440
Number of birds hit	647	Predefined single-value list	The estimated number of birds that struck the aircraft	1, 2-10, 11-100 or more
Species description	645	Predefined single-value list	Generally, the species of birds that were involved in the occurrence	E.g. seagull, sparrow etc. Please fill out species in this field and not only in the narrative
Bird size	648	Predefined single-value list	The estimated size of the bird	Small, medium, large or unknown
If aircraft involved
Aircraft registration	244	Free text	The mark is used to identify an aircraft. The mark consists of a standard mark or nationality mark followed by a registration mark	E.g. LN-XXX, N-74XXA etc.
Flight phase	121	Predefined single-value list	Enter the most significant flight phase related to the occurrence	E.g. take-off, en route, approach, landing etc.
Part struck	644	Predefined multi-value list	Parts of the aircraft struck	E.g. engine, wing etc.

Fatigue

Fatigue is a physiological state of reduced mental or physical performance capability resulting from sleep loss or extended wakefulness, circadian phase, or workload (mental and/or physical activity) that can impair crew members, air traffic controllers or aerodrome personnel alertness and ability to perform safety-related duties.

Fatigue events can be thought of as operational and non-operational. Operational fatigue events are when fatigue has become manifest during the operation of duty and whether its results impact the employee's performance. These events are reportable. Non-operational fatigue events are identified before or after duty periods to mitigate the potential for operational impact. These are not mandatorily reportable to CAA Norway.

CAA Norway request that especially the following fields are correctly entered by the reporting organisation:

Taxonomy title	ID#	Data type	Description	Note/examples
Fatigue relevant fields
Headline	601	Free text	A short message identifying the event	E.g. cabin crew reported fatigue conditions, ATC reported fatigue conditions etc. Please specify the employment type (cabin crew, flight crew, aerodrome personnel etc. in the headline)
Event type	390	Predefined multi-value list	The type of event(s)	E.g. fatigue
Reporting entity	447	Predefined single value list and additional text	The identification of the entity or organisation that provided the report	E.g. aircraft operator – Norsk Fly AS Use your organisation/entity name as text behind the relevant reporting organisation type (aircraft operator, maintenance organisation etc.)
Person incapacitated	418	Predefined single-value list	CAA Norway uses this field to determine who experienced fatigue	E.g. cabin crew member, flight crewmember or other (for Other: specify employment in narrative and headline)
Cabin/Flight crew relevant fields
Operator	215	Predefined single value list and additional text	The name of the aircraft operator exercising operational control over the flight	E.g. Norsk Fly AS New operators will be added through taxonomy updates. If you cannot find your operator in the existing list, choose "other" and write the name of your organisation
Flight phase	121	Predefined single-value list	Enter the most significant phase of flight related to the occurrence	E.g. take off, en route, approach, landing etc.
Last departure point	167	Predefined single value list and additional text	The aerodrome or place from which the flight originated	If applicable, use the ICAO code of the aerodrome. If not, choose "other" and write the name of the area
Planned destination	228	Predefined single value list and additional text	The place of intended landing	If applicable, use the ICAO code of the aerodrome. If not, choose "other" and write the name of the area.

FOD

The CAA Norway request that especially the following fields are correctly entered by the reporting organisation:

Taxonomy title	ID#	Data type	Description	Note/examples
FOD relevant fields
Headline	601	Free text	A short message identifying the event	E.g. FOD on the runway, FOD on the apron etc. Please write FOD in the headline and location on the aerodrome found
Event type	390	Predefined multi-value list	The type of event(s)	E.g. foreign object control/removal (FOD)
Aerodrome location indicator	5	Predefined value list and additional text	The aerodrome of the occurrence	E.g. ENGM, ENBO, ENBR etc.
Highest damage	432	Predefined value list	The highest level of damage sustained by any aircraft involved in the occurrence	E.g. None, minor, substantial, destroyed etc.
FO source	818	Predefined single value list and additional text	The foreign object source	E.g. aircraft piece, environment, infrastructure, work other etc.
FO location	819	Predefined single value list and additional text	The location of the foreign object on the aerodrome	E.g. On the apron, on the runway, on the clearway etc.
FO collecting phase	820	Predefined single-value list	The phase when the FO was collected	E.g. during inspection planned, during inspection requested, other etc.

Contact information

Technical questions: safetydata@caa.no
Content questions: occurrence@caa.no