Introducing the DAL Concept DAL DQR Workshop Brussels 19

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Introducing the DAL Concept DAL/DQR Workshop Brussels, 19 -20 February 2013 Presented by: Miguel Rodrigues Paulo SES unit EUROCONTROL The European Organisation for the Safety of Air Navigation

Specification Scope • The primary intention of the DAL Specification is to address Article 6(2) – Evidence Requirements - of the Commission Regulation (EU) No 73/2010 and the requirements in Annex IV, Part B. • However, the Specification also covers Articles 4 through 10 and Article 13 by providing supplementary objectives for them, but only in so far as is necessary to address its relation with the evidence requirements. • The DAL Specification is built on the assumption that it is often difficult to demonstrate compliance with data quality requirements in a quantified manner (particularly for data integrity requirements). As such, the DAL Specification provides a qualitative method, based on a procedural approach, to assure and demonstrate compliance with specific data quality requirements. 2

Editions History • Edition 0. 16 a, 1 July 2010, Draft sent to Consultation • • Ad-hoc Drafting Group meetings • • Reduce the number of objectives (removing redundancies, merging, clarifications…) Link objectives with ISO 9001: 2008 Certification Several Working Draft versions Edition 0. 20 d, 30 January 2012, Proposed Issue sent to Consultation • • Workshop 17/18 February 2011 Minor adjustments Edition 1. 0, 15 March 2012, Published 3

Evidence Requirements Provisions Article 6(2) “When providing aeronautical data and/or aeronautical information, the parties […] shall comply with the evidence requirements laid down in Annex IV, Part B. ” Annex IV, Part B Show evidence that: • • Accuracy and resolution requirements are complied at data origination and maintained through the aeronautical data chain Origin and change history of each data item is traceable Data is complete (or any missing item is declared) All processes are defined and adequate to protect the integrity of the data Data validation and verification processes are in place Manual and semi-automatic tasks are performed by trained and qualified staff Constituents are validated and comply with the requirements of Annex V An error reporting, measurement and correction process is in operation and comply with the requirements of Annex IV, Part F 4

Interoperability Provisions COMMON EXCHANGE FORMAT COMMON DATA SET ANSP DATA QUALITY REQUIREMENT S: • Accuracy • Resolution • Integrity • Timeliness COMMON DATA SET NEXT INTENDED USER ANSP AERODROME Tools and Software DATA ORIGINATOR Automation Error Report and Feedback Personnel Consistency Evidence Requirements 5

Evidence Requirements v Interoperability Provisions COMMON EXCHANGE FORMAT COMMON DATA SET ANSP DATA QUALITY REQUIREMENT S: • Accuracy • Resolution • Integrity • Timeliness COMMON DATA SET NEXT INTENDED USER ANSP AERODROME Tools and Software DATA ORIGINATOR Automation Error Report and Feedback Personnel Evidence Requirements Consistency 6

Underlying Principles Data Assurance Levels (1) • ICAO Annex 15, Section 3. 2. 10 “Aeronautical data integrity requirements shall be based upon the potential risk resulting from the corruption of data and upon the use to which the data item is put. Consequently, the following classifications and data integrity levels shall apply: a) critical data: there is a high probability when using corrupted critical data that the continued safe flight and landing of an aircraft would be severely at risk with the potential for catastrophe; b) essential data: there is a low probability when using corrupted essential data that the continued safe flight and landing of an aircraft would be severely at risk with the potential for catastrophe; and c) routine data: there is a very low probability when using corrupted routine data that the continued safe flight and landing of an aircraft would be severely at risk with the potential for catastrophe. ” 7

Underlying Principles Data Assurance Levels (2) • The DAL Specification map Data Assurance Level (DAL) to each of the defined ICAO Data Integrity Level (DIL) DIL Critical Data DAL 1 Essential Data DAL 2 Routine Data • DAL 3 and then establish objectives applicable to each of the DALs Objective Reference DAL-CT-010 DAL-DP-100 Objective DAL 1 DAL 2 DAL 3 Mechanisms shall be established to ensure consistency between aeronautical data or aeronautical information which is duplicated in one or more publications of the Member State. ○ ○ ○ Secure areas shall be protected to prevent unauthorised access. ○ ○ Remarks 8

Underlying Principles Data Assurance Levels (3) • Constituents and work instructions shall be classified as either: • • • Measurement (data origination) Data Processing Data Checking Other Constituents shall have an assigned Tool Qualification Level (TQL) and work instructions shall have a Data Process Assurance Level (DPAL) • • Either one-to-one according to the DAL of the data they are handling Reduce the assurance requirements based on the reliance tables • Data Processing: Sole, Major or Minor • Data Checking: Primary or Secondary 9

Underlying Principles Data Error Barriers • • Based on the ATM Barrier Model Barriers will detect and mitigate errors However barriers can also introduce errors Thus, the DAL objectives are aimed at minimising the impact of errors introduced either at source or during data preparation 10

Underlying Principles Functional Levels • • Ensuring the quality of the data goes beyond the operational system for data processing Thus, the DAL define four functional levels and establish objectives that involve them in the processes and procedures 11

Underlying Principles Aeronautical Data Chain • • Well known conceptual representation of the stages for aeronautical data and aeronautical information production Objectives applicable to specific stages, to most of the stages and transversal to all the stages 12

Underlying Principles Independence • • Independent Verification and Validation Multiple layers of defence More stringent according to the DAL of the data Independence between the person or department or performing the activity and the person or department verifying and/or validating the activity output • • [P] Peer: another suitably qualified and experienced person within the same group or department [D] Independent Department: a suitably qualified and experienced person within a separate group or department Objective Reference DAL-PRC-200 DAL-PRC-210 DAL-PRC-220 Objective DPAL 1 DPAL 2 DPAL 3 Data checking and data processing Work Instructions shall be validated prior to use as not contributing to data errors in the aeronautical information or product. ● ● ○ D D Data checking Work Instructions shall be analysed prior to use to identify how the Work Instruction can fail to detect data errors. ● ● ○ D D Work Instructions involving transformations from one format to another shall be validated prior to use to ensure that anomalies and ambiguities that can arise from this transformation are identified and addressed. ● ○ P ○ Remarks 13

Underlying Principles ISO 9001: 2008 • • Overlap with ISO 9001: 2008 requirements Identified DAL objectives moved to ANNEX J of the Specification Parties certified with ISO 9001: 2008 shall provide evidence that their Certification complies with the objectives of ANNEX J Parties not certified with ISO 9001: 2008 shall implement objectives of ANNEX J 14

Underlying Principles Terminology • • Article 2(1) “[…] systems, their constituents and associated procedures […]. ” System • • • Constituents • • Meets the requirements Verification • • Associated procedure is the detailed set of actions that are undertaken relating to a process Work Instructions Validation • • EC Regulation 552/2004 defines constituents as “tangible objects such as hardware and intangible objects such as software upon which the interoperability of EATMN depends” Tools Associated Procedures • • Annex I of EC Regulation 552/2004 subdivides EATMN into eight systems. For the DAL context EATMN system refers to Annex I, item 7 Systems and procedures for aeronautical information services Overarching process & Processes Ensure that the output is correct Upgrade • EC Regulation 549/2004 “any modification that changes the operational characteristics of a system” 15

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