The European Organisation for the Safety of Air Navigation

Introducing the DAL ConceptDAL/DQR Workshop

Brussels, 19-20 February 2013

Presented by: Miguel Rodrigues PauloSES unitEUROCONTROL

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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.

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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

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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

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ANSPANSP

AERODROMEAERODROME

COMMONDATA SET

COMMONDATA SET

NEXTINTENDED

USER

DATAORIGINATORDATAORIGINATOR

COMMONDATA SET

COMMONDATA SET

ANSPANSP

COMMONEXCHANGE

FORMAT

COMMONEXCHANGE

FORMAT

DATA QUALITY REQUIREMENT

S:•Accuracy•Resolution•Integrity•Timeliness

Tools and SoftwareTools and Software

AutomationAutomation

Error Report and FeedbackError Report and Feedback

PersonnelPersonnel

ConsistencyConsistencyEvidenceRequirements

Interoperability Provisions

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ANSPANSP

AERODROMEAERODROME

COMMONDATA SET

COMMONDATA SET

NEXTINTENDED

USER

DATAORIGINATORDATAORIGINATOR

COMMONDATA SET

COMMONDATA SET

ANSPANSP

COMMONEXCHANGE

FORMAT

COMMONEXCHANGE

FORMAT

DATA QUALITY REQUIREMENT

S:•Accuracy•Resolution•Integrity•Timeliness

Tools and SoftwareTools and Software

AutomationAutomation

Error Report and FeedbackError Report and Feedback

PersonnelPersonnel

ConsistencyConsistency

EvidenceRequirements

Evidence Requirements v Interoperability Provisions

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Underlying PrinciplesData Assurance Levels (1)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.”

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Underlying PrinciplesData Assurance Levels (2)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

DIL DAL

Critical Data DAL 1

Essential Data DAL 2

Routine Data DAL 3

Objective Reference

Objective DAL 1 DAL 2 DAL 3 Remarks

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-100Secure areas shall be protected to prevent unauthorised access. ○ ○  

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Underlying PrinciplesData Assurance Levels (3)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

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Underlying PrinciplesData Error BarriersData Error Barriers

DataError

SurveyValidation

Accident

AuthenticationActivities

DataPreparation

DataApplicationIntegration

End Use

IntroducedErrors

ProcedureDesign

DataPublication/Distribution

• 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

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Underlying PrinciplesFunctional LevelsFunctional Levels

Organisation

Assurance

Data Processing

Support

Business and Technical Management• Strategic / Operational

e.g. Formal Arrangements / Data Product Specification

Process and Product Assurance• Data Quality Control• Data Processing Quality Control• Tool Qualification

Aeronautical Data and Information Processing• Specific to Data Chain Stage

e.g. Initial Data Check – Receive, Assess, Evaluate, Approve

Support Activities• Administration and Services Provision

e.g. Enabling Technology Support/Administration

• 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

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Underlying PrinciplesAeronautical Data ChainAeronautical Data Chain

DAL Scope

Data Product Issue/

DistributionApplication Integration

End Use

DAL-EV; DAL-STC; DAL-QM; DAL-SM; DAL-CM. DAL-AR.

Objectives applicable to all Aeronautical Data Chain stages (but not necessarily to all parties)

Objectives applicable to most Aeronautical Data Chain stages

Objectives applicable only to specific Aeronautical Data Chain stages

Data Origination

DAL-PRC;DAL-DS;DAL-ER;DAL-TS;DAL-DP.

Data Product Preparation

DAL-PRC;DAL-DS;DAL-ER;DAL-CT;DAL-TS;DAL-DP.

Data Evaluation

and Approval

DAL-PRC;DAL-DS;DAL-ER;DAL-TS;DAL-DP.

Data Request

DAL-RDO

DAL-PRC;DAL-DS;DAL-ER;DAL-TS;DAL-DP.

DAL-PRC;DAL-DS;DAL-ER;DAL-CT;DAL-TS;DAL-DP.

DAL-DPEDAL-FA;DAL-DE;

DAL-DTP.

DAL-FA;DAL-DE;

DAL-DTP.

DAL-FA;DAL-DE;

DAL-DTP.

DAL-FA;DAL-DE;

DAL-DTP.

• 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

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Underlying PrinciplesIndependenceIndependence

• 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

Objective DPAL 1 DPAL 2 DPAL 3 Remarks

DAL-PRC-200Data 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-210Data 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

○ ○ 

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Underlying PrinciplesISO 9001:2008ISO 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

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Underlying PrinciplesTerminologyTerminology

• 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”