Guidance for occurrence reporting

Guidance for mandatory and requested information fields.

Mandatory fields

All mandatory fields are listed in the Annex I of the 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 common 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 not available, please enter e.g. «unknown» or other relevant value e.g. «not applicable». However, the use of «unknown» as a reported value for any field should to the best extent possible be avoided.

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

Common Mandatory Fields

At least the following information have to be included on 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 value list

Shall be Norway-CAA

Norway-CAA

Report status (former Occurrence status)

800

Predefined 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 identify 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 inn UTC time

DD.MM.YYYY

 

00:00

Where

 

 

 

 

State/Area of occurrence

454

Predefined value list

The identification of the state of geographical area of the 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 to the human reader by referring to commonly known geographical names. 

e. g. Gardermoen, Oslo-London, Oslo overhead

Do not use generic terms (at stand, taxi way etc.). Precise information is preferable, if unknown please insert what is known e. g. route.  

Classification

 

 

 

 

Occurrence class

431

Predefined value list

The classification of the occurrence in relation to its severity

Use only the following classes:

  • Accident
  • Serious Incident
  • Incident
    • Major Incident
    • Significant Incident
  • Occurrence without safety effect
  • Observation
  • Occurrence with no flight intended

Occurrence category

430

Predefined value list

The occurrence categories as developed by CAST/ICAO Common Taxonomy Team (CICTT). Commercial Aviation Safety Team [CAST] and International Civil Aviation Organization" [ICAO]

e. g. MAC, ATM, RI, SCF-PP, SCF-NP, BIRD, F-NI, CABIN, GCOL, ICE, ADRM etc.

 

 

Narrative

 

 

 

 

Reporters language (former Narrative language)

1091

Predefined 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 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 to only 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 report

Result from the companies own risk classification

In order to assure a common interpretation of an occurrence’s risk classification reporting organisations should have a risk classification score comparable to ERCS (5x5+)

 

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 used to identify an aircraft. The mark consists of a common mark 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 value list

The state where the aircraft is registered

e. g. Norway

Aircraft make/model/series

21

Predefined 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 call sign

54

Free text

The assigned International Telecommunications Union radio call sign of the aircraft  

e. g. AB1234

Aircraft operation

 

 

 

 

Operator

215

Predefined value list and additional text

The name of the aircraft operator exercising operational control over the flight

e. g. Norsk Fly AS

 

 

Operation type

214

Predefined value list

Specifies the type of operation

e. g. CAT/ Airline, CAT/ Offshore, Non-Commercial/ Pleasure etc.

Aircraft description

 

 

 

 

Aircraft category

32

Predefined value list

Classification of aircraft according to specified basic characteristics

e. g. Fixed Wing, rotorcraft, RPAS (drone) etc.

Propulsion type

232

Predefined value list

The type of propulsion system used by the aircraft

e. g. Turbofan, turboprop, turboshaft etc.

Aircraft mass group

319

Predefined value list

The mass group of the aircraft based on the maximum certificated take-off mass

e. g. 0-2250kg etc.

 

This field is for fixed wing

Rotorcraft mass group

1083

Predefined value list

Rotorcraft specific mass group

e. g. 0-2250kg etc.

 

This field is for rotor wing

History of flight

 

 

 

 

Last departure point

167

Predefined value list and additional text

The aerodrome or place from which the flight originated

Use ICAO code of aerodrome

Planned destination

228

Predefined value list and additional text

The place of intended landing

Use ICAO code of aerodrome

Flight phase

121

Predefined value list

Enter the most significant phase of flight related to the occurrence

e. g. Take off, en route, approach, landing etc.

Weather

 

 

 

 

Weather relevant

606

Predefined value list

An indication whether, in view of the investigation, 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 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 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 affect/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

 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 value list

The type of the airspace according publication in the aeronautical Information Publication

e. g. Danger area, CTR, CTA, TMA etc.

Airspace class

13

Predefined value list

Air traffic services airspaces. ICAO Annex 11

e. g. C, D, E, G etc.

FIR/UIR name

16

Predefined 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 value list and additional text

The aerodrome of the occurrence

e. g. ENGM, ENBO, ENBR etc.

Location on the aerodrome

641

Predefined value list and additional text

The specific location of the occurrence on the aerodrome.

e. g. Aircraft stand, on apron, on taxiway etc.


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

Taxonomy title

ID#

Data type

Description

Note/examples

Severity

 

 

 

 

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.

Injury level

451

Predefined 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 on the ground involved in the occurrence with minor injuries

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 fatal injuries sustained by persons 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 aircraft

Add number(s)

Total fatalities aircraft

459

Number

Sum of fatal injuries sustained on all of the aircraft involved

Add number(s)

 

Specific Information on CAA Norway request

The following information is requested by the CAA Norway in addition to the mandatory fields in order 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 value list and additional text

The identification of the entity or organisation that provided the report

e. g. Norsk Fly AS

Use your organisation/entity name as text behind relevant reporting organisation type (Aircraft operator, Maintenance organisation etc.)

Reporting date

 

801

Date

Actual UTC date when report is sent to CAA Norway

DD.MM.YYYY

Report version

1084

Free text

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 value list

The source of the report

Use only:

  • Reportable incident
  • Voluntary occurrence report

Analysis/follow-up

1067

Free text

Details on the analysis development and follow-up

Describe the analysis and follow-up

Corrective action

1069

Free text

Details on the actions proposed/done

Describe the corrective actions

Conclusions

1070

Free text

Details on the conclusions for the organisation

Describe the conclusion

Attachments

802

Free text

Series of attachments to the report

The possibility to attach videos, pictures etc.

 

Top volume occurrences

In order to best apply CAA Norway’s internal resources for proactive aviation safety work, CAA Norway request that the following occurrence reports are filled out according to the information provided in this guidance material: Birdstrike, fatigue and FOD.

Some of the fields specified for the top volume occurrences will also be found in the common 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 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 value list

The type of event(s)

e. g. Birdstrike, Bird ingestion, Diversion, AC return 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.

 

Aerodrome location indicator

5

Code and additional text

The aerodrome of the occurrence

e. g. ENGM, ENBO, ENBR etc.

If the birdstrike happened during approach or departure the aerodrome shall be entered   

Number of birds hit

647

Predefined value list

The estimated number of birds that struck the aircraft

1, 2-10, 11-100 or more

Species description

645

Predefined value list

Generally the species of birds that were involved in the occurrence

e. g. Sea gull, Sparrow etc.

Please fill out species in this field and not only in the narrative

Bird size

648

Predefined value list

The estimated size of the bird

Small, medium, large or unknown

If aircraft involved

 

 

 

 

Aircraft registration

 

 

244

Free text

The mark used to identify an aircraft. The mark consists of a common mark or nationality mark followed by a registration mark

e. g. LN-XXX, N-74XXA etc.

 

 

Flight phase

121

Predefined value list

Enter the most significant phase of flight related to the occurrence

e. g. Take-off, en route, approach, landing etc.

Part struck

644

Predefined value list

Parts of aircraft struck

e. g. Engine, Wing etc.

 

Fatigue

Fatigue is defined as 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 it resulted impacted the employee’s performance or not. These events are reportable. Non-operational fatigue events are those which are identified prior to or after duty periods so that the potential for operational impact can be mitigated against. 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 employment type (cabin crew, flight crew, aerodrome personnel etc. in the headline)

Event type

390

Predefined value list

The type of event(s)

e. g. Fatigue

Reporting entity

447

Predefined value list and additional text

The identification of the entity or organisation that provided the report

e. g. Norsk Fly AS

Use your organisation/entity name as text behind relevant reporting organisation type (Aircraft operator, Maintenance organisation etc.)

Person incapacitated

418

Predefined value list

This field is used by CAA Norway to determine who experienced fatigue

e. g. Cabin crew member, Flight crew member or Other (for Other: specify employment in narrative and headline)

Cabin/Flight crew relevant fields

 

 

 

 

Operator

215

Predefined value list and additional text

The name of the aircraft operator exercising operational control over the flight

e. g. Norsk Fly AS

Flight phase

121

Predefined 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 value list and additional text

The aerodrome or place from which the flight originated

ICAO code of aerodrome 

Planned destination

228

Predefined value list and additional text

The place of intended landing

ICAO code of aerodrome 

 

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 runway, FOD on apron etc.

 

Please write FOD in the headline and location on aerodrome found

Event type

390

Predefined 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 value list and additional text

The foreign object source

e. g. Aircraft piece, environment, infrastructure, work other etc.

FO location

819

Predefined value list and additional text

The location of the foreign object on the aerodrome

e. g. On apron, on runway, on clearway etc.

FO collecting phase

820

Predefined value list

The phase when the FO was collected

e. g. During inspection planned, during inspection requested, other etc.

 

Contact information:

Technical questions:  TechE5X@caa.no

Content questions: ContentE5X@caa.no