Chapter 5: Safety data collection and processing systems
This chapter provides guidance on the safety data collection and processing systems (SDCPS). The guidance in this chapter is equally valid for States and service providers. to assure that the safety data and safety information collected will enable effective and valid decision making.
This chapter covers parts 5.1-5.5 of the 4th edition of the SMM.
5.1 Introduction
Effective safety management depends on the effectiveness of safety data collection, analysis and management capabilities. Therefore, a solid foundation of safety data and information is fundamental to safety management. Organizations should ensure that its personnel is qualified to collect and store safety data.
5.2 Safety data and safety information collection
ICAO introduces provisions across Annexes, PANS, and documents requiring States to establish reporting systems to collect safety data and safety information. The provisions for mandatory and voluntary safety reporting systems are found in Annex 19. Each organization must decide what safety data and safety information needs to be collected, and how it should be collected, to support effective safety performance management.
1. European Union Regulation (EU)
Below is a regulation by the European Union on the reporting, analysis and follow-up of occurrences in civil aviation, including the protection of safety information.
Click to download:
European Union Regulation (EU) No 376/2014 .pdf
Source: European Union
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2. Safety Occurrence Report Online Form
The simple online form has been used by Copenhagen Airport (CPH) for collecting safety observations, safety incident reports and improvement ideas for many years. The form is accessible for all people working at Copenhagen airport; not only CPH's own employee but also our partners’ employees. Recently, this form has been developed further into a mobile app, in which reporters can take pictures, record soundtracks and videos on site.
Click to access:
Source: Copenhagen Airport
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3. State’s Mandatory Safety Reporting Procedure
A State’s mandatory safety reporting procedure pertains to the timely mandatory reporting of accidents, serious incidents, incidents and other reportable occurrences by relevant stakeholders. Such stakeholders can, depending on the State’s regulations, encompass certificated/approved aviation organizations, independent licensed/authorized personnel and members of the public.
This example provides guidance on the mandatory safety reporting procedure, including processing of mandatory reports, accident/serious incident/incident classification and follow-up investigation.
Click to download:
State’s Mandatory Safety Reporting Procedure .docx
Source: SMM 3rd ed. 4-App 3-1. Updated to reflect Annex 19, Amendment 1.
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4. State’s voluntary safety reporting system
The key objective of a voluntary safety reporting system is to enhance aviation safety through the collection of reports on actual or potential safety deficiencies that would otherwise not be reported through other channels.
This example provides guidance on the objective, scope and operation of voluntary safety reporting systems.
Click to download:
State’s voluntary safety reporting system .docx
Source: SMM 3rd ed. 4-App 2-1. Updated to reflect Annex 19, Amendment 1.
For more information, please see the following State voluntary safety reporting systems:
UNITED STATES - Aviation Safety Reporting System (ASRS) [1976]
UNITED KINGDOM - Confidential Human factors Incident Reporting Program (CHIRP) [1982]
CANADA - Confidential Aviation Safety Reporting Program (CASRP) [1985], SECURITAS [1995]
AUSTRALIA - CAIR [1988], Report Confidentially (REPCON) [2007]
BRAZIL - Confidential Flight Safety Report (RCSV) [1997]
JAPAN - Aviation Safety Information Network (ASI-NET) [1999], VOICES [2014]
TAIWAN - Taiwan Confidential Aviation Safety Reporting System (TACARE) [2000]
SOUTH KOREA - Korea Aviation hindrance Reporting System (KAIRS) [2000] Contact: kairs [at] ts2020.kr
FRANCE - Confidential Events Reporting System REX 2011
CHINA - Sino Confidential Aviation Safety System (SCASS) [2004] Contact: scass [at] cauc.edu.cn
SINGAPORE - Tell Sarah (formerly SINCAIR) [2004]
SPAIN - Safety Occurrence Reporting System (SNS) [2007]
Safety Reporting System - SEPLA (SRS) [2007]
SOUTH AFRICA - Confidential Aviation Hazard Reporting System (CAHRS) [2013]
EUROPE - European Union Aviation Safety Agency Safety Reporting (EASA) [2015]
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5. Flight Operational Quality Assurance Advisory Circular
The FAA FOQA program is a means for airlines to share de-identified and aggregated data from their flight data monitoring programs with the FAA. This allows the FAA to analyze the aggregated data as part of its State Safety Program as well as individual airlines to review the aggregated data for their own benefits.
Click link to download:
Source: Federal Aviation Administration
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6. European Legislation for Mandatory Occurrence Reporting
COMMISSION IMPLEMENTING REGULATION (EU) 2015/1018 of 29 June 2015 laying down a list classifying occurrences in civil aviation to be mandatorily reported according to Regulation (EU) No 376/2014 of the European Parliament and of the Council.
Click link to download:
Regulation (EU) No 2015/2018 .pdf
Source: European Union
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7. Civil Aviation Daily Occurrence Reporting System (CADORS) Manual
The Civil Aviation Daily Occurrence Reporting System (CADORS) has been established to provide senior management with timely information concerning operational occurrences within the National Civil Air Transportation System (NCATS). It is intended to supplement, not replace, normal operational and functional reporting systems and investigation procedures. Information from CADORS is used in the early identification of potential hazards and system deficiencies, and to assist in the assessment of associated risks. The additional files provide clear scenarios which would be considered as occurrences that could be submitted to the Civil Aviation Daily Occurrences Reporting System (CADORS). This is a mandatory requirement for ATS certificate holders (such as NAV Canada) and voluntary for all other certificate holders.
Click link to download:
Annex A CADORS Reportable Occurrences .pdf
Accidents and Accident Rates .pdf
Source: Transport Canada Civil Aviation (TCCA)
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8. Canada - Civil Aviation Daily Occurrence Reporting System (CADORS) presentation
This Power Point presentation describes the evolution and functionality of the Civil Aviation Daily Occurrence Reporting System (CADORS) that Canada uses to document occurrences. It is intended to supplement submitted example No. 8.
By regulation CADORS is a mandatory reporting system for NAV Canada (Canada's ATS provider) and any ATS certificate holder as per Civil Aviation Regulation (CAR) 807.01 "The holder of an ATS operations certificate shall report to the Minister any aviation occurrence information specified in the CADORS Manual in accordance with the criteria and reporting procedures specified in that manual." The CADORS Manual can be found in Example No. 8.
Click link to download:
Source: Transport Canada Civil Aviation (TCCA)
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09. Voluntary Safety Report - Brussels Airport
An online voluntary safety report system promoting "NO BLAME" philosophy.
Click to access.
Source: Brussels Airport
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10. EOFDM – European Operators Flight Data Monitoring Forum
The EOFDM forum is a voluntary partnership between the Operators and the European Aviation Safety Agency (EASA) aiming at the production of Best Practices documentation to support the Operators in the implementation of flight data analysis programmes and extract the maximum safety benefit out of them.
Click link to download:
European Operators Flight Data Monitoring Forum .docx
Source: European Aviation Safety Agency (EASA)
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11. Voluntary Disclosure Reporting Program (VDRP)
FAA Voluntary Disclosure Reporting Program (VDRP) portal for individuals to report safety concerns. The link also includes a user’s guide.
Click to access
Source: US Federal Aviation Administration (FAA)
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12. FAA Hotline
The FAA Safety Hotline provides a single venue for employees and the general public to report concerns involving the FAA. It provides a means for persons with knowledge of unsafe aviation situations, improper recordkeeping, or safety violations to report these without fear of recrimination. The FAA Office of Audit and Evaluation collects and forwards all safety-related issues to the appropriate offices.
Click to access
Source: US Federal Aviation Administration (FAA)
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13. Service Difficulty Reporting System (SDRS)
Service Difficulty Reporting System (SDRS) is a reporting system in which aircraft owners/operator can report, via a web-based system, maintenance and/or service problems for any aircraft, engine, or component. SDRS is mandatory for commercial operators only. Certificate holders are required to report the occurrence or detection of each failure, malfunction, or defect concerning those listed in 14 CFR part 121 Sec. 121.703.
Click to access
Source: US Federal Aviation Administration (FAA)
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14. The Mandatory Occurrence Reporting Scheme – Information and Guidance
The purpose of the publication is to describe the Hong Kong Civil Aviation Department Mandatory Occurrence Reporting (MOR) Scheme and to provide guidance to those who, by the associated legislation, are required to file MOR. Includes example forms and reports.
Click link to download:
CAD 382 Information and Guidance .pdf
Source: Civil Aviation Department of Hong Kong
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15. Aviation Safety Reporting
This is an example of a safety reporting portal of a regional safety oversight organization (RSOO) for both mandatory and voluntary reporting. The reports can be submitted as a private individual or for an organization.
Click to access
Source: European Safety Aviation Agency (EASA)
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16. DGAC Online Safety Reporting Portal
This is an example of the State safety reporting portal of France for both mandatory and voluntary reporting.
Click to access
Source: French Civil Aviation Authority
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Please check example 2. Eurocontrol Safety Culture Discussion Cards under section 3.3 Developing a positive safety culture (SMM 5.2.4 and 5.2.9).
Please check example 3. IATA Ground Damage Database (GDDB) Reporting Guidelines and Taxonomy under section 5.3 Taxonomies.
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17. Reporting a safety incident on the airside
Description: This is a simple reporting form that anyone working at the airport can access from the airport’s homepage to report safety relevant information.
Click link to download:
Reporting a safety incident on the airside .pdf
Source: Copenhagen Airport
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18: Voluntary Notification of an occurrence that affects air traffic
This is a Voluntary Occurrence Report for anyone (Organizations or Individuals) to report anything that may impact air traffic.
Click to access
Source: Kingdom of Saudi Arabia Accident Investigation Bureau (AIB)
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19. Voluntary and Confidential Reporting
This document includes a summary of the benefits of a voluntary and confidential reporting system.
Click link to download:
Voluntary and confidential reporting - ATSB .pdf
Source: Australian Transport Safety Bureau (ATSB)
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20. Collaborative Safety Teams (CSTs) Guidance
The Collaborative Safety Teams (CSTs) concept promotes partnership between regulators and industry to share safety intelligence, identify risks, and implement data-driven mitigation strategies. Tailored to various national or regional contexts, CSTs support proactive safety improvements - even where data sharing is limited.
This guidance material, developed by Pan-America Regional Aviation Safety Team, offers simplified, scalable support to help States or groups of States, service providers, and industry establish effective SCTs suited to their unique needs.
Click links to download:
Collaborative Safety Teams (CST) Strategy
Politica para la movilización de recursos financieros de donantes
CST Implementation Guidance EN SP
Source: PA-RAST/RASG-PA
5.3 Taxonomies
Safety data should be categorized using taxonomies and supporting definitions to capture and store data in meaningful ways. Taxonomies and definitions establish a standard language and improve the quality of information and communication. They can also facilitate information sharing and exchange. Several types of taxonomies exist, such as the aircraft model, airport, and type of occurrence.
1. The CAST/ICAO Common Taxonomy Team Website
This example refers to international standards for taxonomy developed by experts from several air carriers, aircraft manufacturers, engine manufacturers, pilot associations, regulatory authorities, transportation safety boards, ICAO, and members of the European Union and Canada.
CICTT Website
Click here to access
Source: FAA-US
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2. Hazard Taxonomy Examples
The purpose of this document is to introduce a hazard taxonomy and provide examples of specific aviation sector hazards in each of the taxonomy categories. This document is intended to be used by civil aviation authorities (CAAs) and service providers that are in the initial stages of safety management development and implementation. This document only introduces basic taxonomy examples; therefore, the use of additional sources in conjunction is recommended.
Click to download:
Source: Safety Management International Collaboration Group (SM ICG),
Aligned with Annex 19, edition 1.
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3. IATA Ground Damage Database (GDDB) Reporting Guidelines and Taxonomy
The IATA GDDB is a global ground damage reporting program for both airlines and ground service providers to submit ground damage reports. This example provides the agreed upon taxonomy and reporting guidelines so that the information reported is consistent and aligned to allow for proper integration and analysis.
Click link to download:
GDDB Data Upload Tutorial .pdf
Schedule D IATA GDDB .docx
Source: International Air Transport Association (IATA)
5.4 Safety data processing
Safety data processing is the manipulation of safety data to produce useful and meaningful safety information, such as diagrams, reports, or tables. Several factors may influence the effectiveness of safety data processing: data quality, aggregation, fusion and filtering.
1. Safety Information Monitoring System (SIMS)
The Safety Information Monitoring System (SIMS) is being launched by ICAO. It is a web-based safety data and information system comprised of different applications, which generate indicators in support of State Safety Programmes (SSP) and Safety Management Systems (SMS). It promotes the cooperation amongst States and industry to collect and analyse available information pertinent to the monitoring of the aviation sector's safety performance. States and their service providers can connect on this secured platform of ICAO Portal and access the applications to monitor together the safety performance within their State. The system processes raw data into information with actionable indicators, allowing for the identification of hazards, potential or emerging risks, and to conduct risk analyses. The ultimate goal of SIMS is to provide participating States with applications to enable protected sharing of safety information amongst participating States on SIMS, upon agreeing to this.
SIMS is operational and has currently applications and indicators in the following areas; Airspace Monitoring, Approach Monitoring, Runway Safety, and Ramp Inspections.
The input to SIMS is raw data from ADS-B receivers and State’s collected data. Click here to obtain more information about SIMS and how to join.
Click link to download:
SIMS .pdf
Source: Safety Information Monitoring System (SIMS)
5.5 Safety data and safety information management
The management of safety data and safety information is the development, execution and supervision of plans, policies, programs and practices that ensure the overall integrity, availability, usability, and protection of safety data and safety information. Thus, safety data and safety information management ensures that an organization’s safety data and safety information is collected, stored and shared as it was intended.
Please check example 1. Code of Conduct on the Sharing and Use of Safety Information under section 6.4 Safety information sharing and exchange as an example to support safety data and information management.
1. Sharing and Exchange of Safety Intelligence in Colombia - A First Approach
Colombia has taken a step towards enhanced aviation safety with the development of the IRIS framework. This framework, accessible through the Aerocivil website (www.aerocivil.gov.co), and it establishes a centralized system for collecting and visualizing safety data.
IRIS gathers information from various sources, including mandatory and voluntary industry reports, as well as accident investigation reports. This comprehensive data allows the aeronautical community and the Colombian Aeronautical Authority (Aerocivil) to conduct through safety analyses, ultimately leading to informed decision- making and improved safety practices.
The IRIS framework is a key component of Colombia's National Safety Management System (SSP), known as PEGASO (Programa Estatal para la Gestión del la Autoridad en Seguridad Operacional).
Click to download:
Safety Intelligence Sharing and Exchange - COL.docx
Source: Colombian Civil Aviation Authority