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

2. 2 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.

3. 3 Editions History Edition 0.16a, 1 July 2010, Draft sent to Consultation Workshop 17/18 February 2011 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 0.20d, 30 January 2012, Proposed Issue sent to Consultation Minor adjustments Edition 1.0, 15 March 2012, Published

4. 4 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

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

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

7. 7 Data Assurance Levels (1) 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.

8. 8 Data Assurance Levels (2) Underlying Principles Data Assurance Levels (2) The DAL Specification map Data Assurance Level (DAL) to each of the defined ICAO Data Integrity Level (DIL) and then establish objectives applicable to each of the DALs DILDAL Critical DataDAL 1 Essential DataDAL 2 Routine DataDAL 3 Objective Reference ObjectiveDAL 1DAL 2DAL 3Remarks DAL-CT-010 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. DAL-DP-100 Secure areas shall be protected to prevent unauthorised access.

9. 9 Data Assurance Levels (3) 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

10. 10 Data Error Barriers 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

11. 11 Functional Levels 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

12. 12 Aeronautical Data Chain 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

13. 13 Independence 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 ObjectiveDPAL 1DPAL 2DPAL 3Remarks DAL-PRC-200 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 DAL-PRC-210 Data checking Work Instructions shall be analysed prior to use to identify how the Work Instruction can fail to detect data errors. D D DAL-PRC-220 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

14. 14 ISO 9001:2008 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

15. 15 Terminology Underlying Principles Terminology Article 2(1) […] systems, their constituents and associated procedures […]. System 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 Constituents 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 Associated procedure is the detailed set of actions that are undertaken relating to a process Work Instructions Validation Meets the requirements Verification Ensure that the output is correct Upgrade EC Regulation 549/2004 any modification that changes the operational characteristics of a system