Guidance for occurrence reporting

Guidance for mandatory and requested information fields.

Last changed 9 December 2020

Mandatory fields

All mandatory fields are listed in 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 data quality checking processes to improve data consistency.

Common Mandatory Fields

At least the following information has 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 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 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 in UTC time

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 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 occurrence

The result from the companies own risk classification

 

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 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 basic 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 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 ICAO code of 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 ICAO code of 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 whether, in view of the investigation, the weather was relevant to the occurrence or not

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 the 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 apron, on 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 request

The following information is requested by the CAA Norway 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 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

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 actions 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

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 requests 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 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 shall be entered

If the birdstrike did not occur in connection with an aerodrome please remember to fill out 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 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 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 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 before 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 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 relevant reporting organisation type (aircraft operator, maintenance organisation etc.)

Person incapacitated

418

Predefined single value list

This field is used by CAA Norway 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 ICAO code of 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 ICAO code of 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 runway, FOD on apron etc.

Please write FOD in the headline and location on 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 apron, on runway, on 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