EUROCONTROL Guidelines Supporting the Implementation of ...

EUROCONTROL Guidelines Supporting the Implementation of Aeronautical Information Requirements

Edition number: 1.0 Edition date: 07 December 2020 Document reference: EUROCONTROL-GUID-0181

EUROCONTROL Guidelines Supporting the Implementation of Aeronautical Information

Requirements

DOCUMENT IDENTIFIER: EUROCONTROL - GUID - 0181

Edition Number : 1.0

Edition Date : 07/12/2020

Status : Released Issue

Intended for : General Public

Category : EUROCONTROL Guidelines


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DOCUMENT CHARACTERISTICS

TITLE


Publication Reference: GUID - 0181

ISBN Number: 978-2-87497-108-2

Document identifier Edition Number: 1.0

EUROCONTROL - GUID - 0181 Edition Date: 07/12/2020

Abstract

Commission Implementing Regulation (EU) 2020/469 amended Commission Implementing Regulation (EU) 2017/373 by adding, inter alia, specific requirements for Aeronautical Information Service (AIS) Providers, including requirements for those parties that originate and provide data to the AIS Provider. This document supports affected Stakeholders in their transitioning to, and achieving compliance with, the amended regulations.

Keywords

Part-AIS Aeronautical Information Service Providers

Data Quality Requirements

Data Origination

Implementation Scenario

OR & TR AMC/GM AIS Provider

Competent Authority AIR Guide

Contact Person(s) E-mail

M. UNTERREINER [email protected]

[email protected]

STATUS, AUDIENCE AND ACCESSIBILITY

Status Intended for Accessible via

Working Draft ☐ General Public ☒ Intranet ☐

Draft ☐ EUROCONTROL ☐ Extranet ☐

Proposed issue ☐ Restricted ☐ Internet (www.eurocontrol.int) ☒

Released issue ☒


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DOCUMENT CHANGE RECORD The following table records the complete history of the successive editions of the present document.

EDITION NUMBER

EDITION DATE

REASON FOR CHANGE PAGES AFFECTED

1.0 07/12/2020

Released version prepared by the Aeronautical Information Regulations Implementation Sub-Group

(AIRI SG) and approved by the AIM/SWIM Team 19th meeting

All


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CONTENTS DOCUMENT CHARACTERISTICS ............................................................................................................ II

DOCUMENT APPROVAL ......................................................................................................................... III

DOCUMENT CHANGE RECORD ............................................................................................................. IV

CONTENTS................................................................................................................................................. V

EXECUTIVE SUMMARY ........................................................................................................................... XI

1 INTRODUCTION ............................................................................................................................... 12

1.1 Context ...................................................................................................................................... 12 1.2 Purpose of the Document ......................................................................................................... 12 1.3 Objective ................................................................................................................................... 12 1.4 Scope ........................................................................................................................................ 13 1.5 Target Audience ........................................................................................................................ 13 1.6 Role of the Military .................................................................................................................... 14 1.7 Conventions .............................................................................................................................. 14

1.7.1 References to Regulation .................................................................................................. 14

1.7.2 References to EASA AMC/GM ......................................................................................... 14 1.8 EUROCONTROL Guidelines .................................................................................................... 14 1.9 Structure of the Document ........................................................................................................ 15 1.10 Maintenance of This Document ................................................................................................ 16

2 DATA SUPPLY CHAIN AND THE AERONAUTICAL DATA PROCESS........................................ 18

3 COMMISSION IMPLEMENTING REGULATION (EU) 2017/373 .................................................... 22

3.1 Overview ................................................................................................................................... 22 3.2 Cover Regulation ...................................................................................................................... 22 3.3 Annexes .................................................................................................................................... 22 3.4 High-level Rule Matrix ............................................................................................................... 23 3.5 Aeronautical Data Catalogue .................................................................................................... 25 3.6 Example Applicability: AIS Provider .......................................................................................... 26

4 STRUCTURE OF PART-AIS ............................................................................................................ 28

4.1 Composition of Annex VI (Part-AIS) ......................................................................................... 28 4.2 Structure of AMC / GM .............................................................................................................. 30 4.3 Example of Relationship of AMC/GM with Part-AIS ................................................................. 30

5 DATA ORIGINATION COVERAGE.................................................................................................. 32

6 CONCEPTUAL DIFFERENCES ADQ VERSUS PART-AIS ............................................................ 34

6.1 Main Difference Concerning Data Origination .......................................................................... 34 6.2 Transition Period ....................................................................................................................... 35

6.2.1 Initial Actions ..................................................................................................................... 35

7 IMPLEMENTATION SCENARIOS ................................................................................................... 36


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7.1 General ...................................................................................................................................... 36 7.2 Methodology .............................................................................................................................. 36 7.3 Composition of Objective Tables .............................................................................................. 36 7.4 Commonality of Objectives ....................................................................................................... 37 7.5 Approach Taken to Key Concepts ............................................................................................ 37

7.5.1 Evidence ............................................................................................................................ 37 7.5.2 Data and Metadata ............................................................................................................ 37 7.5.3 Safety Assessments / Safety Support Assessments ........................................................ 37

7.6 Scenario 1: Implementation by AIS Provider ............................................................................ 39 7.6.1 Objective 1: Apply for Service Provider Certificate ........................................................... 39 7.6.2 Objective 2: Implement and Maintain Management System ............................................ 41 7.6.3 Objective 3: Define and Implement Processes and Procedures ...................................... 46 7.6.4 Objective 4: Establish Verification and Validation Procedures ......................................... 51

7.6.5 Objective 5: Assure Tools and Software ........................................................................... 53 7.6.6 Objective 6: Establish Process to Monitor Data ................................................................ 56 7.6.7 Objective 7: Establish and Manage Formal Arrangements .............................................. 58 7.6.8 Objective 8: Establish Process to Ensure Consistency of Data and Products ................. 61 7.6.9 Objective 9: Establish Contingency Plans ........................................................................ 64 7.6.10 Objective 10: Define and Implement Training Programme ............................................... 66 7.6.11 Objective 11: Self-Assess and Monitor Compliance With Relevant Regulations ............. 69 7.6.12 Objective 12: Error Reporting, Measurement and Corrective Actions .............................. 71 7.6.13 Objective 13: Provide and Maintain Operations Manuals ................................................. 74 7.6.14 Objective 14: Define Catalogue of AIS Products and Services ........................................ 76 7.6.15 Objective 15: Manage Requests for Data Changes.......................................................... 78 7.6.16 Objective 16: Request Data Origination / Provision .......................................................... 81

7.6.17 Objective 17: Originate Data ............................................................................................. 84 7.6.18 Objective 18: Collect Data ................................................................................................. 88 7.6.19 Objective 19: Apply Data Assurance Process .................................................................. 91 7.6.20 Objective 20: Store Data ................................................................................................... 93 7.6.21 Objective 21: Assemble AIS Products .............................................................................. 95 7.6.22 Objective 22: Annotate AIS Data / Products for Limitations ............................................. 98 7.6.23 Objective 23: Distribute AIS Products ............................................................................. 100 7.6.24 Objective 24: Manage Occurrence Reporting ................................................................. 103 7.6.25 Objective 25: Manage Changes to the Functional System ............................................. 105

7.7 Scenario 2: Implementation by ATM/ANS Provider as Data Originator ................................. 107 7.7.1 Objective 1: Define and Implement Processes and Procedures .................................... 107 7.7.2 Objective 2: Establish Verification and Validation Procedures ....................................... 112 7.7.3 Objective 3: Assure Tools and Software ......................................................................... 114

7.7.4 Objective 4: Establish Process to Monitor Data .............................................................. 116


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7.7.5 Objective 5: Establish and Manage Formal Arrangements ............................................ 118 7.7.6 Objective 6: Coordinate With AIS Provider ..................................................................... 121 7.7.7 Objective 7: Self-Assess and Monitor Compliance With Relevant Regulations ............. 123 7.7.8 Objective 8: Error Reporting, Measurement and Corrective Actions .............................. 125 7.7.9 Objective 9: Request Data Origination / Provision .......................................................... 128 7.7.10 Objective 10: Originate Data ........................................................................................... 131 7.7.11 Objective 11: Collect Data ............................................................................................... 135 7.7.12 Objective 12: Transmit Data ............................................................................................ 137 7.7.13 Objective 13: Manage Occurrence Reporting ................................................................. 139

7.8 Scenario 3: Implementation by Aerodrome Operator as Data Originator ............................... 141 7.8.1 Objective 1: Implement and Maintain Management System .......................................... 141 7.8.2 Objective 2: Define and Implement Processes and Procedures .................................... 146 7.8.3 Objective 3: Establish Verification and Validation Procedures ....................................... 149

7.8.4 Objective 4: Assure Tools and Software ......................................................................... 151 7.8.5 Objective 5: Establish Process to Monitor Data .............................................................. 153 7.8.6 Objective 6: Establish and Manage Formal Arrangements ............................................ 155 7.8.7 Objective 7: Coordinate With AIS Provider ..................................................................... 158 7.8.8 Objective 8: Define and Implement Training Programme ............................................... 160 7.8.9 Objective 9: Self-Assess and Monitor Compliance with Relevant Regulations .............. 163 7.8.10 Objective 10: Error Reporting, Measurement and Corrective Actions ............................ 165 7.8.11 Objective 11: Manage Requests for Data Changes........................................................ 168 7.8.12 Objective 12: Request Data Origination / Provision ........................................................ 171 7.8.13 Objective 13: Originate Data ........................................................................................... 174 7.8.14 Objective 14: Collect Data ............................................................................................... 177 7.8.15 Objective 15: Store Data ................................................................................................. 179

7.8.16 Objective 16: Transmit Data ............................................................................................ 181 7.9 Scenario 4: Obligations for Data Originator Not Regulated by EASA..................................... 183

7.9.1 Objective 1: Establish Verification and Validation Procedures ....................................... 183 7.9.2 Objective 2: Self-Assess and Monitor Compliance with Relevant Regulations .............. 185 7.9.3 Objective 3: Originate Data ............................................................................................. 187 7.9.4 Objective 4: Transmit Data .............................................................................................. 190

7.10 Scenario 5: Implementation by Competent Authority ............................................................. 192 7.10.1 Objective 1: Establishment of Certification and Oversight Processes ............................ 192 7.10.2 Objective 2: Certification of ATM/ANS Providers and Aerodrome Operators ................. 195 7.10.3 Objective 3: Oversight of ATM/ANS Providers and Aerodrome Operators .................... 197

7.11 Scenario 6: Implementation for Member States...................................................................... 200 7.11.1 Objective 1: Establish National Policy and Regulatory Framework ................................ 200 7.11.2 Objective 2: Oversight of Out-of-Scope Data Providers ................................................. 202

ANNEX A DIFFERENCES ADQ VS PART-AIS .............................................................................. 204


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A.1 General .................................................................................................................................... 204 A.2 Mapping of Part-AIS to Commission Regulation (EU) 73/2010 .............................................. 204 A.3 Mapping of Commission Regulation (EU) 73/2010 to CIR 2017/373 ..................................... 208

ANNEX B COMPLIANCE MATRIX FOR AIS PROVIDERS ........................................................... 214

B.1 General .................................................................................................................................... 214 B.2 Annex III to CIR 2017/373 ....................................................................................................... 214 B.3 Annex VI to CIR 2017/373 ...................................................................................................... 214

ANNEX C SCENARIO / OBJECTIVE MAPPING ............................................................................ 217

C.1 General .................................................................................................................................... 217 C.2 Scenario to Objective Mapping ............................................................................................... 217 C.3 Objective to Scenario Mapping ............................................................................................... 220

ANNEX D REFERENCE DOCUMENTS .......................................................................................... 223

ANNEX E AUDITING CHECKLIST ................................................................................................. 226

ANNEX F TERMS AND DEFINITIONS ............................................................................................... 228

ANNEX G ABBREVIATIONS........................................................................................................... 230

ANNEX H DOCUMENT UPDATE PROCEDURE............................................................................ 232

Table 1 – New AIS Applicable ATM/ANS Requirements .......................................................................... 24 Table 2 – Annexes with Requirements Applicable to AIS Provider .......................................................... 26 Table 3 – Subject Areas ............................................................................................................................ 29 Table 4 – New AIS Applicable ATM/ANS Requirements .......................................................................... 30 Table 5 – Example Requirement and Associated Guidance .................................................................... 31 Table 6 – Data Origination Requirements ................................................................................................. 33 Table 7 - Mapping of Part-AIS to Commission Regulation (EU) 73/2010 ............................................... 208 Table 8 - Mapping of Commission Regulation (EU) 73/2010 to CIR 2017/373 ...................................... 213 Table 9 – Compliance Matrix: Annex III to CIR 2017/373 ....................................................................... 214 Table 10 – Compliance Matrix: Annex VI to CIR 2017/373 .................................................................... 216 Table 11 – Scenario to Objective Mapping ............................................................................................. 220 Table 12 – Objective to Scenario Mapping ............................................................................................. 222 Table 13 - Referenced Documents ......................................................................................................... 225 Table 14 – Terms and Definitions ........................................................................................................... 228 Table 15 – Abbreviations ........................................................................................................................ 230

Figure 1 – Data Supply Chain ................................................................................................................... 18 Figure 2 – Data Originators ....................................................................................................................... 19 Figure 3 – Aeronautical Information Products ........................................................................................... 20 Figure 4 – Aeronautical Data Processes (ADP) ....................................................................................... 21 Figure 5 – Commission Implementing Regulation (EU) 2017/373 Rule Structure ................................... 23 Figure 6: Aeronautical Data Catalogue Sample ....................................................................................... 25 Figure 7 – Structure of Part-AIS ................................................................................................................ 29 Figure 8: Conceptual Differences ADQ v Part-AIS, including interfaces with Data Originators ............... 34


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Figure 9: Methodology for Presenting Scenarios ...................................................................................... 36 Figure 10: Scenario 1 Objective 1 Flow Diagram ..................................................................................... 40 Figure 11: Scenario 1 Objective 2 Flow Diagram ..................................................................................... 45 Figure 12: Scenario 1 Objective 3 Flow Diagram ..................................................................................... 50 Figure 13: Scenario 1 Objective 4 Flow Diagram ..................................................................................... 52 Figure 14: Scenario 1 Objective 5 Flow Diagram ..................................................................................... 55 Figure 15: Scenario 1 Objective 6 Flow Diagram ..................................................................................... 57 Figure 16: Scenario 1 Objective 7 Flow Diagram ..................................................................................... 60 Figure 17: Scenario 1 Objective 8 Flow Diagram ..................................................................................... 63 Figure 18: Scenario 1 Objective 9 Flow Diagram ..................................................................................... 65 Figure 19: Scenario 1 Objective 10 Flow Diagram ................................................................................... 68 Figure 20: Scenario 1 Objective 11 Flow Diagram ................................................................................... 70 Figure 21: Scenario 1 Objective 12 Flow Diagram ................................................................................... 73 Figure 22: Scenario 1 Objective 13 Flow Diagram ................................................................................... 75 Figure 23: Scenario 1 Objective 14 Flow Diagram ................................................................................... 77 Figure 24: Scenario 1 Objective 15 Flow Diagram ................................................................................... 80 Figure 25: Scenario 1 Objective 16 Flow Diagram ................................................................................... 83 Figure 26: Scenario 1 Objective 17 Flow Diagram ................................................................................... 87 Figure 27: Scenario 1 Objective 18 Flow Diagram ................................................................................... 90 Figure 28: Scenario 1 Objective 19 Flow Diagram ................................................................................... 92 Figure 29: Scenario 1 Objective 20 Flow Diagram ................................................................................... 94 Figure 30: Scenario 1 Objective 21 Flow Diagram ................................................................................... 97 Figure 31: Scenario 1 Objective 22 Flow Diagram ................................................................................... 99 Figure 32: Scenario 1 Objective 23 Flow Diagram ................................................................................. 102 Figure 33: Scenario 1 Objective 24 Flow Diagram ................................................................................. 104 Figure 34: Scenario 1 Objective 25 Flow Diagram ................................................................................. 106 Figure 35: Scenario 2 Objective 1 Flow Diagram ................................................................................... 111 Figure 36: Scenario 2 Objective 2 Flow Diagram ................................................................................... 113 Figure 37: Scenario 2 Objective 3 Flow Diagram ................................................................................... 115 Figure 38: Scenario 2 Objective 4 Flow Diagram ................................................................................... 117 Figure 39: Scenario 2 Objective 5 Flow Diagram ................................................................................... 120 Figure 40: Scenario 2 Objective 6 Flow Diagram ................................................................................... 122 Figure 41: Scenario 2 Objective 7 Flow Diagram ................................................................................... 124 Figure 42: Scenario 2 Objective 8 Flow Diagram ................................................................................... 127 Figure 43: Scenario 2 Objective 9 Flow Diagram ................................................................................... 130 Figure 44: Scenario 2 Objective 10 Flow Diagram ................................................................................. 134 Figure 45: Scenario 2 Objective 11 Flow Diagram ................................................................................. 136 Figure 46: Scenario 2 Objective 12 Flow Diagram ................................................................................. 138 Figure 47: Scenario 2 Objective 13 Flow Diagram ................................................................................. 140 Figure 48: Scenario 3 Objective 1 Flow Diagram ................................................................................... 145 Figure 49: Scenario 3 Objective 2 Flow Diagram ................................................................................... 148 Figure 50: Scenario 3 Objective 3 Flow Diagram ................................................................................... 150 Figure 51: Scenario 3 Objective 4 Flow Diagram ................................................................................... 152 Figure 52: Scenario 3 Objective 5 Flow Diagram ................................................................................... 154


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Figure 53: Scenario 3 Objective 6 Flow Diagram ................................................................................... 157 Figure 54: Scenario 3 Objective 7 Flow Diagram ................................................................................... 159 Figure 55: Scenario 3 Objective 8 Flow Diagram ................................................................................... 162 Figure 56: Scenario 3 Objective 9 Flow Diagram ................................................................................... 164 Figure 57: Scenario 3 Objective 10 Flow Diagram ................................................................................. 167 Figure 58: Scenario 3 Objective 11 Flow Diagram ................................................................................. 170 Figure 59: Scenario 3 Objective 12 Flow Diagram ................................................................................. 173 Figure 60: Scenario 3 Objective 13 Flow Diagram ................................................................................. 176 Figure 61: Scenario 3 Objective 14 Flow Diagram ................................................................................. 178 Figure 62: Scenario 3 Objective 15 Flow Diagram ................................................................................. 180 Figure 63: Scenario 3 Objective 16 Flow Diagram ................................................................................. 182 Figure 64: Scenario 4 Objective 1 Flow Diagram ................................................................................... 184 Figure 65: Scenario 4 Objective 2 Flow Diagram ................................................................................... 186 Figure 66: Scenario 4 Objective 3 Flow Diagram ................................................................................... 189 Figure 67: Scenario 4 Objective 4 Flow Diagram ................................................................................... 191 Figure 68: Scenario 5 Objective 1 Flow Diagram ................................................................................... 194 Figure 69: Scenario 5 Objective 2 Flow Diagram ................................................................................... 196 Figure 70: Scenario 5 Objective 3 Flow Diagram ................................................................................... 199 Figure 71: Scenario 6 Objective 1 Flow Diagram ................................................................................... 201 Figure 72: Scenario 6 Objective 2 Flow Diagram ................................................................................... 203


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EXECUTIVE SUMMARY The European Aviation Safety Agency (EASA) expanded a key regulation for providers of Air Traffic Management/Air Navigation Services (ATM/ANS) by adding, inter alia, technical requirements for Aeronautical Information Service (AIS) Providers, including requirements for those parties that originate and provide data to the AIS Provider. Commission Implementing Regulation (EU) 2017/373 [Ref 3] as amended by Commission Implementing Regulation (EU) 2020/469 of 14 February 2020 [Ref 6] addresses the quality of aeronautical data and will repeal Commission Regulation (EU) 73/2010 [Ref 1] on its applicability date of 27th January 2022. This also resulted in consequential changes to Commission Regulation (EU) 139/2014 [Ref 2], with the related Delegated Act in the process of adoption. The EUROCONTROL Aeronautical Information Regulations Implementation Sub-Group (AIRI SG) requested guidance material supporting the transition and implementation of the new requirements of Annex VI (Part-AIS) and the provisions related to data origination. The development of the guidance material has been progressed in close coordination with the AIRI SG which actively supported part of the development through three action groups. Future evolution of the guidance material will be performed in close coordination with the AIRI SG under the umbrella of the AIM/SWIM Team. The “EUROCONTROL Guidelines Supporting the Implementation of Aeronautical Information Requirements”, in short the “AIR Guide”, provide an overview of the changes to the regulatory structure and content, supporting affected Stakeholders in transitioning to and achieving compliance with the amended regulations. The most significant part of the AIR Guide is a series of implementation scenarios designed to support the key actors in their implementation activities. These actors are:

• AIS Provider; • ATM/ANS Provider originating/providing data; • Aerodrome Operator originating data; • Data Originators not regulated by the subject rules; • Competent Authority; • Member State.

Each implementation scenario provides a series of objectives broken down into steps and activities. For each objective, the following complementary elements are identified:

• Primary provision(s) driving the objective; • Supporting material that is considered useful during implementation; • Evidence that may be gathered to prove compliance; • Known issues that may be encountered during implementation; • Best practice and recommendations.

By following the AIR Guide, it is envisaged that the path to compliance for the intended parties will be easier and a greater degree of harmonisation and consistency in implementation by different actors will be achieved.


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1 Introduction 1.1 Context

The European Aviation Safety Agency (EASA) expanded a key regulation for providers of Air Traffic Management/Air Navigation Services (ATM/ANS) by adding, inter alia, technical requirements for Aeronautical Information Service (AIS) Providers, including requirements for those parties that originate and provide data to the AIS Provider. Commission Implementing Regulation (EU) 2017/373 [Ref 3] as amended by Commission Implementing Regulation (EU) 2020/469 of 14 February 2020 [Ref 6], and as amended by Commission Implementing Regulation (EU) 2020/1177 – hereinafter called in short “CIR 2017/373” – addresses the quality of aeronautical data and will repeal Commission Regulation (EU) 73/2010 [Ref 1] on its applicability date of 27th January 2022. This also resulted in consequential changes1 to Commission Regulation (EU) No 139/2014 [Ref 2] with the related Delegated Act in the process of adoption. The EUROCONTROL Aeronautical Information Regulations Implementation Sub-Group (AIRI SG) requested guidance material supporting the transition and implementation of the new requirements of Annex VI (Part-AIS) and the provisions related to data origination. The development of the guidance material has been progressed in close cooperation with the AIRI SG that actively supported part of the development through three action groups. Future evolution of the guidance material will be performed in close coordination with the AIRI SG under the umbrella of the AIM/SWIM Team.

1.2 Purpose of the Document The EUROCONTROL Guidelines Supporting the Implementation of Aeronautical Information Requirements - hereafter referred to as the “AIR Guide” - have been developed to support Stakeholders in the achievement of a consistent understanding of the new regulatory requirements, including the EASA Acceptable Means of Compliance (AMC) and Guidance Material (GM). Since the EASA AMC/GM are mostly defined at a higher level, the AIR Guide provides complementary material by framing it into a structured, actor-based approach to help achieve a greater degree of harmonisation and consistency in implementation by the different actors. The AIR Guide supports all relevant types of Stakeholders who are originating, processing, storing, collecting, integrating or providing aeronautical information/data. This covers in the main: ATM/ANS Service Providers, particularly AIS Providers and a wide range of entities originating data (ATM/ANS Providers, Aerodrome Operators and private and public entities such as surveyors or military etc.). It specifically also supports Regulatory Authorities in terms of regulatory and oversight activities. Note: The AIR Guide will co-exist with the current “Aeronautical Data Quality (ADQ) Guide” until

the time when Commission Regulation (EU) 73/2010 [Ref 1] is repealed on the 27th January 2022. To aid this transition, compliance matrices are provided in Annex B.

1.3 Objective The objective of the AIR Guide is to provide its target audience (see section 1.5) with material to assist in implementation of the necessary changes to comply with the amendments to Commission Implementing Regulation (EU) 2017/3732 [Ref 3] and the consequential changes to Commission Regulation (EU) No 139/2014 [Ref 2]. This support is provided through the identification of: • A conceptual understanding of the legal changes;

1 Based on EASA Opinion 02/2018. 2 As amended by Commission Implementing Regulation (EU) 2020/469 of 14 February 2020 and Commission Implementing Regulation (EU) 2020/1177 of 7 August 2020.


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• The key regulatory requirements that must be met; • The actions that may be taken to bring about compliance; • AMC and GM that support implementation of these regulatory requirements; • Known issues that are likely to be encountered during implementation; • Recommendations that assist in implementation; • Evidence that may be gathered to assist in proving conformity. The AIR Guide takes a pragmatic approach which is focussed on an actor-based methodology where these actors are the regulated party who must comply with the regulation. Each actor is addressed by a dedicated implementation scenario that is provided in Chapter 7. The AIR Guide has been developed to not overburden the reader with too much background information on provisions that may hinder application. This is also because it is assumed that recent progress made in implementing Commission Regulation (EU) 73/2010 [Ref 1] provided actors with a substantial basis in terms of knowledge and experience in achieving data quality which are equally applicable to Part-AIS implementation. As the needs of users of the AIR Guide and the implementation experience change over time, further evolution of the AIR Guide may be reflected in later releases.

1.4 Scope The scope of the AIR Guide may be seen from three perspectives: 1. Actors

i. The actors that are directly impacted by CIR 2017/373 [Ref 3] and the consequential legal changes;

ii. Actors that are not directly regulated but are inherently part of the data chain, if they originate data.

2. Activities Only those activities that contribute to the aeronautical data, and the products and services which are under the scope of CIR 2017/373 [Ref 3] and Commission Regulation (EU) No 139/2014 [Ref 2], are in the scope of the AIR Guide.

3. Regulatory Those actions needed to address the changes brought about by Commission Implementing Regulation (EU) 2020/469 [Ref 6].

Whilst some requirements which already existed in either CIR 2017/373 [Ref 3] and/or Commission Regulation (EU) No 139/2014 [Ref 2] are referred to at times, the intended purpose of the AIR Guide is not to provide full coverage of these requirements.

1.5 Target Audience The AIR Guide has been developed for use by six key parties: • AIS Provider:

The State appointed provider of AIS directly regulated by new Organisation Requirements (ORs)/Technical Requirements (TRs) contained in CIR 2017/373 [Ref 3] and related Annexes.

• ATM/ANS Provider: The State appointed provider(s) of ATM/ANS if they originate data regulated by the amended CIR 2017/373 [Ref 3], Annex III.

• Aerodrome Operator: An operator of an aerodrome that falls within the scope of Commission Regulation (EU) No 139/2014 [Ref 2], if they originate/provide data for publication in the State Aeronautical Information Publication (AIP).

• Data Originator not regulated by EASA:



The Originator of data who does not fall within the scope of CIR 2017/373 [Ref 3] or Commission Regulation (EU) No 139/2014 [Ref 2]. Such a party will be overseen by State Competent Authorities based on Article 3(5) of CIR 2017/373 [Ref 3].

• Competent Authority: The authority, and qualified entities acting on their behalf, which exercise certification, oversight and enforcement tasks in respect of the providers of the services and functions within the scope of CIR 2017/373 [Ref 3] or Commission Regulation (EU) No 139/2014 [Ref 2].

• Member State: A member of the European Union obliged to comply with relevant EU regulations or a State which has elected to voluntarily comply with those regulations.

1.6 Role of the Military In developing the AIR Guide, the ability for it to be applied by the military has been considered. Whilst the military does not fall within the scope of the subject regulations, there is a clear need for ensuring consistency of data in the products of both the military and civil domains. The Member State has new legal obligations as per CIR 2017/373 Article 3(5) to ensure that data made available for civil use that has been originated by non-regulated parties, including the military, meets its defined quality requirements. This may be achieved through national legislation. The military fulfils many of the roles that are addressed within the AIR Guide, including that of regulator, Air Navigation Service Provider (ANSP), AIS Providers, aerodrome authority, etc. Whilst it is envisaged that the military may be addressed in later releases of the AIR Guide, at this stage, it is recommended that military functions wishing to comply, voluntarily apply Scenario 4: Obligations for Data Originator Not Regulated by EASA. In so doing, there is a clear need for the military and civil domains to collaborate closely and to ensure that the service provided to the end-user, whether this be civil or military, is seamless and consistent. Further, there is a clear legal responsibility for Member States (Article 3(5)) to ensure that any data that is provided by the military, but which falls within the scope of CIR 2017/373 [Ref 3], is compliant with its applicable data quality requirements and is processed by trained and competent staff.

1.7 Conventions 1.7.1 References to Regulation

Within the AIR Guide references to CIR 2017/373 [Ref 3] and Commission Regulation (EU) No 139/2014 [Ref 2] should be understood to include all amendments applicable to those regulations up to, and including, changes introduced by Commission Implementing Regulation (EU) 2020/469 [Ref 6] and Commission Implementing Regulation (EU) 2020/1177. Note: Further changes may be brought about through the adoption of amendments based on EASA Opinion 03/2019, mainly linked with Commission Regulation (EU) No 139/2014.

1.7.2 References to EASA AMC/GM It should be noted that when drafting this edition of the AIR Guide, AMC/GM references to the applicable Aerodrome (ADR) regulatory provisions were not available. Those references will be updated or inserted within a future edition of the AIR Guide.

1.8 EUROCONTROL Guidelines EUROCONTROL guidelines, as defined in the EUROCONTROL Regulatory and Advisory Framework (ERAF), are advisory materials and contain: “Any information or provisions for physical characteristic, configuration, material, performance, personnel or procedure, the use of which is recognised as contributing to the establishment and



operation of safe and efficient systems and services related to ATM in the EUROCONTROL Member States.” Therefore, the application of EUROCONTROL guidelines is not mandatory. In addition, ERAF specifies that:

“EUROCONTROL Guidelines may be used, inter alia, to support implementation and operation of ATM systems and services, and to:

• complement EUROCONTROL Rules and Specifications;

• complement ICAO Recommended Practices and Procedures;

• complement EC legislation;

• indicate harmonisation targets for ATM Procedures;

• encourage the application of best practice;

• provide detailed procedural information.”

1.9 Structure of the Document This document is provided in seven chapters, as follows: Chapter 1 Introduction:

This introduction. Chapter 2 Data Supply Chain and the Aeronautical Data Process:

A description of the data chain from the point of origination to end use. Chapter 3 Commission Implementing Regulation (EU) 2017/373:

An overview of CIR 2017/373 [Ref 3] and its supporting Annexes. Chapter 4 Structure of Part-AIS:

An explanation of Annex VI to CIR 2017/373 [Ref 3] “Specific Requirements for Providers of Aeronautical Information Services” (Part-AIS) and its links to material such as the Aeronautical Data Catalogue.

Chapter 5 Data Origination Coverage: An outline of how CIR 2017/373 [Ref 3] addresses data origination by different parties.

Chapter 6 Conceptual Differences ADQ versus Part-AIS: An explanation of the key differences between Commission Regulation (EU) 73/2010 [Ref 1] and its replacement CIR 2017/373 [Ref 3].

Chapter 7 Implementation Scenarios: The primary source of guidance which provides a series of six scenarios, each of which is intended for application by a different actor, comprising objectives and the relevant regulation, AMC, GM and other supporting material/guidelines available to support implementation.

Annex A Differences ADQ vs Part-AIS: Tables providing a means of identifying the differences between CIR 2017/373 [Ref 3] and Commission Regulation (EU) 73/2010 [Ref 1].

Annex B Compliance Matrix for AIS Providers: Compliance material to assist AIS Providers in demonstrating their conformity with CIR 2017/373 .

Annex C Scenario / Objective Mapping: Mapping of each scenario to objectives.



Annex D Reference Documents: A list of documents used in the preparation of the AIR Guide.

Annex E Auditing Checklist: Reference to the work undertaken by AIRI to support compliance auditing.

Annex F Terms and Definitions: A description of terms used within the AIR Guide that are intended to be used with a specific meaning.

Annex G Abbreviations: Abbreviations used within the AIR Guide.

Annex H Document update procedure.

1.10 Maintenance of This Document The AIR Guide has been developed in line with the EUROCONTROL Standards Development Process and is maintained by EUROCONTROL. The document update procedure can be found at Annex H. The main Stakeholder group requesting this work, the AIRI SG, will remain the prime interface for the evolution of this document under the umbrella of the AIM/SWIM Team.



2 Data Supply Chain and the Aeronautical Data Process The aeronautical data chain can be split into two main distinct parts, the upstream part covering the origination of data, through to the AIS Provider making the data available, and the downstream part covering the integration of the data by commercial providers through to end-use, as shown in Figure 1 – Data Supply Chain. The aeronautical data chain foresees the receipt, processing, management and provision of digital data to a level of assurance that meets the data quality requirements. Whilst Commission Regulation (EU) 73/2010 [Ref 1], ICAO Annex 15 [Ref 10] and ICAO Doc 10066 [Ref 14] regulate the upstream part of the data chain, CIR 2017/373 [Ref 3] will span the upstream and the downstream parts. Note: The thicker lines depict the most common data flows.

Data Originators(Private and

Public)

AIS/AIM

Datahouses

Application Integrators

End Users (Air & Ground)

Data FlowEnd User Requirements

DownstreamUpstream

CIR 2017/373

ICAO Annex 15, PANS-AIM

Part-AIS Part-DAT

ADQ

Figure 1 – Data Supply Chain

EUROCAE ED-76A [Ref 21] may be consulted which provides more details on the concept.



The Data Originators within a State are wide-ranging and can be private or public entities. Some examples are displayed in Figure 2 – Data Originators.

Geodetic Agencies

Data Originators(Public and

Private)

Obstacle Owners

Aerodrome Operators

Surveyors Flight Procedure Design Services

ATM/ANS Service Providers

Search and Rescue Services Providers

Figure 2 – Data Originators



The aeronautical information products prepared by the AIS Provider have evolved over time from the provision of a paper AIP to digital data sets and products in electronic form, as shown in Figure 3 – Aeronautical Information Products. The availability of digital data opens up opportunities for users to access web services to obtain data. The means used to make these available has also changed with push and pull technologies in operation. To support digital data processing and enhanced products and services, there is an increasing reliance on quality assured data with demanding integrity requirements often necessitating the introduction of automation.

AIS / AIMAIS / AIM

NOTAM

AIP

Charts

Data Sets

Tailored Products

Commercial Providers /

Users

Products

Push

Pull

AIC

Figure 3 – Aeronautical Information Products



EUROCONTROL has developed guidance material in the form of the Aeronautical Data Processes (ADP) [Ref 26], as shown in Figure 4 – Aeronautical Data Processes which cover the data chain from data origination activities through to making products available by the AIS Provider. These guidelines support a data-centric environment, recognising advancements in automation, with the intention that the quality of the data is achieved and maintained from origination to provision by the AIS Provider through the application of a data assurance process. They provide detailed guidance and are intended to be generic enough to be applied by States despite the differing institutional set-ups. They are complementary to the AIR Guide that provides high-level guidance for implementing the regulation only.

Figure 4 – Aeronautical Data Processes (ADP)



3 Commission Implementing Regulation (EU) 2017/373

3.1 Overview EASA has issued Commission Implementing Regulation (EU) 2020/469 [Ref 6] amending Commission Implementing Regulation (EU) 2017/373 [Ref 3] and Commission Regulation (EU) No 139/2014 [Ref 2], with Commission Regulation (EU) 73/2010 [Ref 1] being repealed with effect from 27 January 2022. The objectives of the rule amendments are to:

• promote cost-efficiency in the regulatory and certification processes and to avoid duplication at national and European level;

• facilitate the free movement of airspace users across the European airspace; • ensure regulatory harmonisation across Europe, while assisting Member States in fulfilling

their obligations under the Chicago Convention, by providing a common interpretation and uniform implementation of the Chicago Convention’s provisions.

This latest revision applied to CIR 2017/373 [Ref 3] takes into account and transposes material from Commission Regulation (EU) 73/2010 [Ref 1], ICAO Annex 15 [Ref 10], ICAO Doc 10066 [Ref 14], EUROCONTROL specifications and guidance material plus industry standards.

3.2 Cover Regulation As with all regulations, CIR 2017/373 [Ref 3] is made up of articles that not only provide contextual information, such as scope, definitions and entry into force, but also lays down the overarching principles of the regulation. One key change to the cover regulation brought about by Commission Implementing Regulation (EU) 2020/469 [Ref 6] is the introduction of Article 3(5) which states: “Member States shall ensure that:

(a) entities originating aeronautical data or aeronautical information meet the requirements laid down in: (i) point ATM/ANS.OR.A.085 of Annex III, except those in points (c), (d), (f)(1) and (i)

thereof; (ii) point ATM/ANS.OR.A.090 of Annex III

(b) aeronautical data and aeronautical information are originated, processed and transmitted by adequately trained, competent and authorised personnel. When aeronautical data or aeronautical information is intended to be used for the purpose of IFR or special VFR flights, the requirements referred to in letters (a) and (b) of the first subparagraph shall apply to all entities originating such data and information.”

This article places an obligation upon each Member State to ensure that all aeronautical data or aeronautical information meets its quality requirements, irrespective of whether the originating and processing parties are subject to this regulation, or not.

3.3 Annexes The structure of CIR 2017/373 [Ref 3] is shown in Figure 5. It comprises general and specific Annexes. The focus of the AIR Guide is on Annex VI Part-AIS and its interfaces, the Data Originators.



Figure 5 – Commission Implementing Regulation (EU) 2017/373 Rule Structure

Within the Annexes, EASA regulations comprise three types of provisions: • Authority Requirements (AR) – those that apply to the competent authority. • Organisation Requirements (OR) – those that apply to a complying organisation. • Technical Requirements (TR) – those that apply to a complying organisation and provide

more details about the required compliance with a related OR. Note: not all ORs have associated TRs.

3.4 High-level Rule Matrix The following table provides a matrix outlining which Annexes of CIR 2017/373 [Ref 3] apply to which actor. For completeness, actors that are outside the scope of the AIR Guide are also listed.



Anne

x I

(Par

t-Def

initi

ons)

Anne

x II

(PAR

T- A

TM/A

NS.

AR) Annex III

(PART- ATM/ANS.OR)

Anne

x IV

(P

art-A

TS)

Anne

x V

(Par

t-MET

)

Anne

x VI

(P

art-A

IS)

Anne

x VI

I (P

art-D

AT)

Anne

x VI

II (P

art-C

NS)

Anne

x IX

(P

art-A

TFM

)

Anne

x X

(Par

t-ASM

)

Anne

x XI

(P

art-F

PD)

Anne

x XI

I (P

art-N

M)

*

Subp

art A

Subp

art B

Subp

art C

Subp

art D

Anne

x XI

II (P

art-P

ERS)

Aeronautical Information Services Providers

Air Traffic Flow Management Service Providers

Air Traffic Service Providers3

Airspace Management Service

Communication, Navigation and Surveillance Services

Competent Authorities

Data Services Providers

Flight Procedure Design Services Providers

Meteorological Services Providers

Network Manager

Table 1 – New AIS Applicable ATM/ANS Requirements

* The applicability of Annex XIII is only to those service providers who make use of ATSEP.

3 Section 3 of Annex IV (Part-ATS) only applies to providers of air traffic control services and not to providers of alerting, air traffic advisory, and flight information services.



3.5 Aeronautical Data Catalogue Fundamental to CIR 2017/373 [Ref 3] is the Aeronautical Data Catalogue that is provided in Appendix 1 to Annex III of the regulation. The Aeronautical Data Catalogue consists of a series of tables that provide the quality requirements for each item contained in the AIP data set. The following figure provides an example of the manner in which the tables are presented in the Data Catalogue. In this case, the example provides part of the runway feature:

Figure 6: Aeronautical Data Catalogue Sample

It is clearly seen that the accuracy and integrity requirements for origination are provided and that the resolution requirements are indicated for publication resolution and chart resolution. The Aeronautical Data Catalogue is then referred to by OR and TR requirements in several Annexes. For example, ATM/ANS.OR.A.085 “Aeronautical data quality management” states: “When originating, processing or transmitting data to the AIS provider, the service provider shall:

(a) ensure that aeronautical data referred to in Appendix 1 conform to the specifications of the Aeronautical Data Catalogue;

(b) ensure that the following data quality requirements are met: (1) the accuracy of aeronautical data is as specified in the Aeronautical Data Catalogue; (2) the integrity of aeronautical data is maintained; (3) based on the integrity classification specified in the Aeronautical Data Catalogue,

procedures are put in place so that: (i) for routine data, corruption is avoided throughout the processing of the data; (ii) for essential data, corruption does not occur at any stage of the entire process and

additional processes are included, as needed, to address potential risks in the overall system architecture to further assure data integrity at this level;

(iii) for critical data, corruption does not occur at any stage of the entire process and additional integrity assurance processes are included to fully mitigate the effects of faults identified as potential data integrity risks by thorough analysis of the overall system architecture

…” It is envisaged that when EASA Opinion 03/2019 is finalised, similar requirements will exist for Aerodrome Operators.



3.6 Example Applicability: AIS Provider This section explains how a party can identify which elements of CIR 2017/373 [Ref 3] they must comply with. Firstly, all parties must comply with the cover regulation, i.e. the main articles of CIR 2017/373 [Ref 3]. Table 1, above, may be used to identify those elements of the Annexes that are of interest. In the case of an AIS Provider, this indicates the sections shown in Table 2, below:

Annex Annex Title Contents Relevant to AIS Provider

I Definitions Definitions relevant to AIS

III Part-OR Common requirements for Service Providers with data quality requirements for Service Providers and Data Originators, including the Aeronautical Data Catalogue

VI Part-AIS Specific requirements for Providers of Aeronautical Information Services (AIS.OR and AIS.TR) - full content relevant to AIS Providers

XIII Part-PERS Requirements that must be complied with only when an AIS Provider makes use of ATSEP

Table 2 – Annexes with Requirements Applicable to AIS Provider

In addition, the Aeronautical Data Catalogue must be referred to in order to comply with some of the provisions contained within these Annexes. The structure of Part-AIS is detailed in Chapter 4. A similar approach may be taken by any party in the scope of this regulation, with the exception of Aerodrome Operators who must comply with Commission Regulation (EU) No 139/2014 [Ref 2] rather than CIR 2017/373 [Ref 3].



4 Structure of Part-AIS 4.1 Composition of Annex VI (Part-AIS)

Annex VI (Part-AIS) of CIR 2017/373 [Ref 3] contains specific requirements for providers of aeronautical information services. It comprises:

• Subpart A: Additional Organisation Requirements for Providers of Aeronautical Information Services (AIS.OR);

• Subpart B: Additional Technical Requirements for Providers of Aeronautical Information Services (AIS.TR);

• Appendices 1 to 4. Together, these parts address a broadly similar set of provisions found within Commission Regulation (EU) 73/2010 [Ref 1], which in essence, has now been replaced by a different legal instrument. This is also true for the ANSP and aerodromes, where the requirements of Commission Regulation (EU) 73/2010 [Ref 1] are now found within CIR 2017/373 [Ref 3] and Commission Regulation (EU) No 139/2014 [Ref 2] respectively. Figure 7 provides an overview of the breakdown of Part-AIS with Subparts and Appendices.



Figure 7 – Structure of Part-AIS

ORs and/or TRs are provided for the subject areas shown in Table 3 and are numbered in accordance with the structure numbers displayed in Figure 7:

Requirement Numbers Subject Area

AIS.OR.1xx General Requirements

AIS.OR.2xx / AIS.TR.2xx

Data Quality Management


Aeronautical Information Products


Distribution and Pre-Flight Information Services


Aeronautical Information Products Updates

AIS.OR.6xx Personnel Requirements

Table 3 – Subject Areas

From Part-AIS, reference is also made to Annex III Appendix 1, the Aeronautical Data Catalogue.



Annex III also contains new requirements that must be met by AIS Providers if they originate data. Further reference to this Annex is made in the cover regulation Article 3(5) for parties originating data who are not regulated directly by the subject regulation:

Requirement Number Requirement Area

ATM/ANS.OR.A.080 Provision of Aeronautical Data

ATM/ANS.OR.A.085 Aeronautical Data Quality Management

ATM/ANS.OR.A.090 Common Reference Systems for Air Navigation

Table 4 – New AIS Applicable ATM/ANS Requirements

4.2 Structure of AMC / GM AMC and GM are provided, where possible, for the ORs and/or TRs, as shown in the example below in Table 5. EASA defines AMC and GM as follows: “Acceptable Means of Compliance (AMC) are non-binding. The AMC serves as a means by which the requirements contained in the Basic Regulation, and the Implementing Rules (IR), can be met. However, applicants may decide to show compliance with the requirements using other means. Both NAAs and organisations may propose alternative means of compliance. ‘Alternative Means of Compliance’ are those that propose an alternative to an existing AMC. Those Alternative Means of Compliance proposals must be accompanied by evidence of their ability to meet the intent of the IR. Use of an existing AMC gives the user the benefit of compliance with the IR. Guidance Material (GM) is non-binding explanatory and interpretation material on how to achieve the requirements contained in the Basic Regulation, the IR, the AMCs and the Community Specifications (CS). It contains information, including examples, to assist the user in the interpretation and application of the Basic Regulation, its IRs, AMCs and the CSs.” To assist in the understanding of this relationship, EASA prepares versions of regulations referred to as the Easy Access Rules. These Easy Access Rules bring together the provisions, AMC and GM in a logical and related order. EASA regulations and their associated Easy Access Rule version may be found via: https://www.easa.europa.eu/regulations

4.3 Example of Relationship of AMC/GM with Part-AIS The following Table 5 provides an example of EASA’s approach to ORs and TRs and the provision of AMC and GM to support them. In this example, AIS.OR.210 relates to the exchange of aeronautical data and aeronautical information. It may be seen that, linked to this OR, there is AIS.TR.210 which elaborates further what is to be achieved in the exchange of aeronautical data and aeronautical information. This is then further reinforced by the identification of both AMC and GM for sub-bullet (a) of AIS.OR.210 relating to the format of the exchange of aeronautical data and aeronautical information. In this instance, the AMC indicates that AIXM should be used for the exchange and the GM indicates that AIXM 5.1 should be used and provides guidance as to where this may be found.

https://www.easa.europa.eu/regulations



Data Quality Management

OR AIS.OR.210 Exchange of aeronautical data and aeronautical information

An AIS provider shall ensure that: (a) the format of aeronautical data is based on an aeronautical information exchange model designed to be globally interoperable; and (b) aeronautical data is exchanged through electronic means.

TR AIS.TR.210 Exchange of aeronautical data and aeronautical information

Except for terrain data, the exchange format of aeronautical data shall: (a) enable the exchange of data for both individual features and feature collections; (b) enable the exchange of baseline information as a result of permanent changes; and (c) be structured in accordance with the subjects and properties of the aeronautical data catalogue, and be documented through a mapping between the exchange format and the aeronautical data catalogue.

AMC AMC1 AIS.OR.210(a) Exchange of aeronautical data and aeronautical information EXCHANGE MODEL

An AIS Provider should use the aeronautical information exchange model (AIXM) to enable the management and distribution of aeronautical information services data in digital format.

GM GM1 AIS.OR.210(a) Exchange of aeronautical data and aeronautical information EXCHANGE MODEL

Currently, AIXM 5.1 is considered as being the minimum baseline for the exchange of aeronautical data and aeronautical information. More information on the AIXM may be found under http://www.aixm.aero.

Table 5 – Example Requirement and Associated Guidance

http://www.aixm.aero/



5 Data Origination Coverage The data origination requirements applicable to service providers, aerodromes or Data Originators that are neither an ANSP nor an aerodrome are distributed through CIR 2017/373 [Ref 3] and Commission Regulation (EU) No 139/2014 [Ref 2], as shown in Table 6 – Data Origination Requirements.

Actor Regulation Requirements Requirement Area Contents Relevant to Data Origination

Service Providers

2017/373 Annex III

ATM/ANS.OR.A.080 Provision of Aeronautical Data

• Monitoring • Notifying AIS Provider of changes • Notifying AIS Provider of issues

ATM/ANS.OR.A.085

Aeronautical Data Quality Management

• Conform with Aeronautical Data Catalogue specifications

• Meet data quality requirements • Data origination instructions • Validation and verification • Data transmission • Formal arrangements • Timeliness • Metadata • Tools and software


• Horizontal, vertical and temporal references systems

Aerodrome Operators

139/2014 Annex IV

ADR.OPS.A.005 Aerodrome Data • Determine, document, maintain and provide data relevant to aerodrome and services

ADR.OPS.A.010 Data Quality Requirements

• Data quality requirements, • Monitoring • Notifying AIS Provider of changes • Notifying ATS and AIS Provider of issues

ADR.OPS.A.015

Coordination between Aerodrome

• Reporting of information with operational significance.



Actor Regulation Requirements Requirement Area Contents Relevant to Data Origination Operators and AIS Providers

ADR.OPS.B.075 Safeguarding of Aerodromes

• Monitoring

139/2014 Annex III

ADR.OR.D.010

Contracted Activities • Conformity with applicable requirements

ADR.OR.E.005

Aerodrome Manual • Information for the safe use, operation and maintenance of the aerodrome, surfaces and associated areas

Data Originators (non-ANSP, non-ADR)

2017/373 Article 3(5)

ATM/ANS.OR.A.085

Aeronautical Data Quality Management

• Conform with Aeronautical Data Catalogue specifications

• Meet data quality requirements • Validation and verification • Data transmission • Metadata


• Horizontal, vertical and temporal references systems

Table 6 – Data Origination Requirements



6 Conceptual Differences ADQ versus Part-AIS The following figure highlights the key conceptual differences between Commission Regulation (EU) 73/2010 [Ref 1] and the regulatory approach taken by CIR 2017/373 [Ref 3] and, in particular Annex VI (Part-AIS), including its interfaces with its Data Originators.

Reg. 73/2010

Data originators

Data set requirements

CRC32Q

Quality, Safety, Security management

Conformity/Suitability of constituents

Formal arrangements

Tools and software

Reg. 2017/373

Specific DQR for Originators

Data catalogue

Cyclic codes or cryptography

QSS covered in Part-OR

Oversight of IOP-R covered Part-AR

Det. content at AMC level

Must be suitable for use

Member States’ responsibility

Use of the ICAO Data Catalogue

Other means introduced

Common Requirements

Reg. 552/2004 sufficient (parts)

Flexible approach

Pragmatic approach

AIS oversight of third parties(Article 6(5))

Oversight of achievement of DQRs(Article 3(5))Member States’ responsibility

Data exchangePerformance Based Requirements

(AIXM not mentioned)

Data exchangePerformance Based Requirements

(AIXM as AMC/GM)Performance based approach

Figure 8: Conceptual Differences ADQ v Part-AIS, including interfaces with Data Originators

To further support the understanding of these differences, Annex A provides a matrix of how the provisions of the two regulations correspond.

6.1 Main Difference Concerning Data Origination The key main difference between Commission Regulation (EU) 73/2010 [Ref 1] and the amended CIR 2017/373 [Ref 3] relates to data origination, in particular the scope of entities originating data covered by the EASA regulatory package. In this particular context, EASA could legally regulate only those entities originating data which are within their Regulatory Framework, but not any private or public entities originating data, such as private survey offices, obstacle owners or the military. Therefore, this subject was addressed as follows:



a) CIR 2017/373 [Ref 3] introduced a number of requirements in Annex III for ATM/ANS Service Providers if they originate data, including the Aeronautical Data Catalogue as a key concept. Annex VI also refers to these requirements.

b) Consequential changes to Commission Regulation (EU) No 139/2014 [Ref 2] that replicate the above requirements for the case of Aerodrome Operators originating/providing data to the AIS Provider.

c) For parties not regulated by either CIR 2017/373 [Ref 3] or Commission Regulation (EU) No 139/2014 [Ref 2] if they originate/provide data to the AIS Provider in the spirit of this regulation, a complementary enforcement duty has been allocated to the Member State to ensure that these parties comply with the data quality requirements. This is done through a new sub-item (5) within Article 3 of the cover regulation, as follows: “Article 3 (5). Member States shall ensure that: (a) entities originating aeronautical data or aeronautical information meet the requirements

laid down in: (i) point ATM/ANS.OR.A.085 of Annex III, except those in points (c), (d), (f)(1) and (i) thereof; (ii) point ATM/ANS.OR.A.090 of Annex III;

(b) aeronautical data and aeronautical information are originated, processed and transmitted by adequately trained, competent and authorised personnel.

When aeronautical data or aeronautical information is intended to be used for the purpose of IFR or special VFR flights, the requirements referred to in letters (a) and (b) of the first subparagraph shall apply to all entities originating such data and information.”

6.2 Transition Period In a transition period, all States should be compliant with Commission Regulation (EU) 73/2010 [Ref 1] and, as such, the ADQ Guide can still be applied. During the transition period of approximately 21 months (up to entry into force on the applicability date of 27 January 20224), the AIR Guide should start to be applied as Stakeholders start their implementation of CIR 2017/373 [Ref 3] and Commission Regulation (EU) No 139/2014 [Ref 2]. At the end of the transition period, Commission Regulation (EU) 73/2010 [Ref 1] and the ADQ Guide will be repealed.

6.2.1 Initial Actions For an organisation’s initial implementation actions, it is recommended that a gap analysis is performed to understand how the current status of compliance compares with that needed by January 2022. From this, an action plan may be derived, ideally addressing how any actions taken for compliance with Commission Regulation (EU) 73/2010 [Ref 1] will also contribute towards compliance with either Commission Regulation (EU) No 139/2014 [Ref 2] or CIR 2017/373 [Ref 3]. Note: It is foreseen that the AIR Guide will be expanded based on the implementation

experience of organisations.

4 Annex I (10)(b) and Annex III (5) and (6) have earlier applicability dates based on Commission Regulation (EU) 2020/1177.



7 Implementation Scenarios 7.1 General

This chapter provides implementation guidance through a series of scenarios, each relating to an actor as identified in section 1.5. The scenario covers compliance with all the required provisions of CIR 2017/373 [Ref 3] and proposed amendments to Commission Regulation (EU) No 139/2014 [Ref 2] that fall within the scope of the AIR Guide, irrespective of which Annex they are covered in. For example, Scenario 1 which addresses the AIS Provider, is not only limited to Annex VI (Part-AIS) of CIR 2017/373 [Ref 3].

7.2 Methodology Each actor group has a scenario that is used to provide guidance tailored to the actor and the context in which it operates. Six actor groups/scenarios are addressed: o Scenario 1: Implementation by AIS Provider; o Scenario 2: Implementation by ATM/ANS Provider as Data Originator; o Scenario 3: Implementation by Aerodrome Operator as Data Originator; o Scenario 4: Obligations for Data Originator Not Regulated by EASA; o Scenario 5: Implementation by Competent Authority; o Scenario 6: Implementation for Member States.

Each scenario is presented by way of a series of objectives, with each objective described as a series of steps and each step being described by a series of activities:

Scenario

Step 1

Objective 1

Objective 2

Objective ...

Step 2

Step ...

Activity 1

Activity 2

Activity ...

Actor

Figure 9: Methodology for Presenting Scenarios

7.3 Composition of Objective Tables Each objective is described within a table, as follows: • Scenario: The actor-based (entity in EASA terms) scenario for which the objective is

provided.



• Objective: The objective number and title. • Description: A description of the objective is provided by way of:

- A series of steps to be performed. The execution of some steps may be dependent upon the result of another step.

- Each step is broken down into a series of activities. • Primary Reference to Regulation: A list of the primary regulatory provisions that exist for

the objective. • Supporting Material: A list of documents and, where appropriate, references that support

implementation of the objective. This material includes AMC and GM as well as other guidance.

• Evidence of Compliance: A list of items that may be offered to support demonstration of compliance with the regulatory provisions.

• Known Issues: Issues that may hamper implementation of the objective. • Recommendations: Any recommendations that may be made to support implementation

of the objective. Each objective is then supported by a flow diagram that can be found after each objective. These flow diagrams aid the understanding of the description provided, particularly where the steps may be dependent upon earlier actions or optional, with execution based upon the decision of the actor. The flow diagrams are not intended to provide a process description, this being the responsibility of each organisation to define.

7.4 Commonality of Objectives It should be noted that many objectives are common across one or more scenarios. It was decided that the AIR Guide should repeat these objectives for each scenario, rather than cross-referencing. This means that whilst overall the AIR Guide is larger this way, actors can simply extract the specific section relevant to them without having to locate and collate the applicable pages from other scenarios. The objectives, which are common across multiple scenarios have been developed to provide as much harmonised content as possible. However, where needed and where a particular aspect is not applicable to all scenarios, the content of the objective has been tailored and differences have been reflected.

7.5 Approach Taken to Key Concepts 7.5.1 Evidence

The objectives do not list all the evidence that should be gathered. For each objective, however, the key documentation or deliverables that may be used to prove the execution of the objective is described. It is foreseen that evidence will be gathered through the application of formal processes and, therefore, the gathering of evidence when following a process is implicit in the AIR Guide.

7.5.2 Data and Metadata In use of the term ‘data’ throughout the AIR Guide, this is intended to cover both the data and its associated metadata. In a few cases in the AIR Guide, metadata is specifically mentioned. This is where particular emphasis needs to be made or the action is applicable to the metadata only.

7.5.3 Safety Assessments / Safety Support Assessments CIR 2017/373 [Ref 3] recognises that, in most cases, a traditional safety assessment cannot be performed as the end-use of the data is not fully understood. It defines two different



approaches on the way the ATM/ANS Providers should consider managing changes to their functional system: • a safety assessment to be performed by the Air Traffic Services (ATS) providers; • or a safety support assessment to be performed by service providers other than providers

of ATS. A safety support assessment can be considered as the set of activities carried out in order to study the impact on service behaviour resulting from any change in the AIS functional system or any new parts or components of the functional system. A functional system consists of people, procedures and equipment operating within a specific context of operations. A change in the context of operations, including a change in the concept of operations, will require a safety support assessment. The selection of whether a safety assessment or a safety support assessment is performed cannot be fully defined by this guidance and will need to be considered on a case-by-case basis by those responsible. Consequently, unless specific mention to one or the other needs to be made, the AIR Guide will refer jointly to safety assessments / safety support assessments. Support to the conduct of safety support assessments is under development and will be made available in the form of EUROCONTROL Guidelines on the Implementation of Safety Support Assessment for AIS [Ref 20].



7.6 Scenario 1: Implementation by AIS Provider 7.6.1 Objective 1: Apply for Service Provider Certificate

Scenario 1: Implementation by AIS Provider

Objective 1: Apply for Service Provider Certificate

Description The Apply for Service Provider Certificate objective describes the activities that need to be undertaken to

prepare, apply and be certified as a Service Provider by a Competent Authority.

Step Activity

1. Identify functional system 1. Assess regulation and identify functional system. 2. Record details of functional system.

2. Establish national requirements

1. Determine applicable national requirements. 2. Document national requirements for functional system.

3. Identify means of compliance 1. Identify how the national requirements are to be met. 2. Document the means of compliance.

4. Seek approval of means of compliance

1. Submit the means of compliance for the national requirements for approval.

2. Identify alternative means of compliance. 3. Implement alternative means of compliance.

5. Prepare evidence of compliance

1. Prepare package of evidence of compliance. 2. Review package of evidence. 3. Update package of evidence.

6. Prepare application for certification

1. Prepare application for certification. 2. Review application for certification.

7. Submit application to Competent Authority

1. Submit application and package of evidence to Competent Authority.

8. Support audits 1. Participate in audits. 2. Review findings.

9. Receive certification 1. Store certification documentation. 2. Communicate / make available certificate.

10. Undertake corrective action 1. Define and implement corrective action. 2. Resubmit application for certification.

Primary Reference to Regulation

Annex III to CIR 2017/3735 ATM/ANS.OR.A.005 General Requirements - Application for a service provider certificate

Supporting Material

AMC-GM to Annex III (Part-ATM/ANS.OR) to CIR 2017/373 GM3 ATM/ANS.OR.A.005 Application for a service provider

certificate

5 Commission Implementing Regulation 2017/373 as amended by Commission Implementing Regulation 2020/469.



Evidence of Compliance

1. Completed application form.

2. Certificate issued by Competent Authority.

Known Issues

N/A

Recommendations

N/A

The following flow diagram provides a graphical representation of the Scenario 1 Objective 1 steps.

Submit application to Competent Authority

Means of compliance approved?

Audit successful?

Yes

No

S1O1.1

Identify functional system

S1O1.2

Establish national requirements

S1O1.3

Identify means of compliance

S1O1.4

Seek approval of means of compliance

S1O1.5

Prepare evidence of compliance

S1O1.6

Prepare application for certification

S1O1.7

Submit application to Competent Authority

S1O1.8

Support audits

S1O1.10

Undertake corrective actionYes

No

S1O1.9

Receive certification

Figure 10: Scenario 1 Objective 1 Flow Diagram



7.6.2 Objective 2: Implement and Maintain Management System Scenario 1: Implementation by AIS Provider

Objective 2: Implement and Maintain Management System

Description The Implement and Maintain Management System objective describes the activities needed to assess the

current management documentation in place in order to identify requirements for the development, implementation and maintenance of a compliant management system. The Management System addresses

quality, safety and security management systems which are typically implemented at the corporate level.

Step Activity

1. Create project team 1. Identify project lead. 2. Identify project personnel, including responsibilities.

2. Identify existing documentation covering quality objectives

1. Identify existing quality management system documentation covering all aeronautical data activities, including: • the quality policy; • quality assurance programme; • evidence of the functioning of the quality system by means

of manuals and monitoring documents.

3. Identify existing documentation covering safety objectives

1. Identify existing safety management system documentation covering all aeronautical data activities.

2. Identify Safety Managers’ roles and responsibilities. 3. Description of the safety management system relevant to

aeronautical data activities: • scope of the safety management system; • safety policy and objectives; • safety responsibilities of key safety personnel; • documentation control procedures; • safety risk management process, including hazard

identification and risk assessment schemes; • monitoring of implementation and effectiveness of safety

actions, and risk mitigation measures; • safety performance monitoring; • safety reporting (including hazard reporting) and

investigation; • emergency response planning; • management of change (including organisational changes

with regard to safety responsibilities); • safety promotion; and • safety management system outputs.



4. Identify existing documentation covering security objectives

1. Identify existing security management system documentation covering all aeronautical data activities.

2. Identify existing security processes, measures and standards so that data are protected from interference and restricted only to those authorised and therefore the risk of any aviation incident arising from data errors (intentional or accidental) is minimised.

3. Identify established means designed to detect security breaches. 4. Identify existing procedures relating to data security risk

assessment and mitigation, security monitoring and improvement, security reviews and lesson dissemination.

5. Identify established means designed to control the effects of security breaches, identifying recovery action and mitigation procedures to prevent reoccurrence.

6. Identify implemented measures to protect aeronautical data against cyber security threats.

5. Perform gap analysis

1. Identify roles to be involved in gap analysis. 2. Arrange gap analysis meetings. 3. Perform gap analysis of existing documentation for aeronautical

data activities against management system standard and applicable aeronautical data quality regulations.

4. Record findings. 5. Prepare gap analysis report. 6. Review gap analysis report.

6. Obtain management buy-in 1. Present gap analysis, resource estimates, timescales, benefits and envisaged work.

7. Develop company policies 1. Define requirements related to the management system. 2. Develop company policies.

8. Define and map company processes

1. Determine how management system requirements are to be met.

2. Identify required company processes / updates. 3. Draft implementation plan.

9. Document company processes 1. Develop / update company processes. 2. Review company processes. 3. Assess company processes.

10. Provide training to support the established management system

1. Identify training requirements. 2. Train personnel. 3. Update training records.

11. Trial management system

1. Trial management system. 2. Record trial findings. 3. Review trial findings. 4. Update management system. 5. Review management system.



12. Implement management system

1. Inform affected personnel of roll-out of the management system. 2. Withdraw former documentation. 3. Adjust records of configuration management.

13. Plan internal audit / compliance review of management system

1. Plan internal audit / compliance review schedule. 2. Prepare plan. 3. Provide plan.

14. Perform internal audit / compliance review of management system

1. Perform internal audit / compliance review as per established schedule.

2. Prepare report recording all findings and observations. 3. Publish report. 4. Agree and record corrective actions to be taken (with associated

target dates). 5. Conduct follow-up review of actions.

15. Appoint external review body 1. Identify external body to perform an external audit / compliance review of the management system.

16. External audit / compliance review of management system

1. Arrange for external audit / compliance review. 2. Provide necessary input material. 3. Participate in audit / compliance review. 4. Review findings. 5. Define corrective actions. 6. Implement corrective actions. 7. Arrange audit / compliance review of corrective actions.

17. Oversight of management system

1. Identify internal audit / compliance review intervals and schedule.

2. Perform internal audit / compliance review. 3. Support external audit / compliance review.


Annex III to CIR 2017/373 ATM/ANS.OR.B.005 Management - Management system

Annex VI to CIR 2017/373 AIS.OR.100 Aeronautical information management

Supporting Material

AMC-GM to Annex III (Part-ATM/ANS.OR) to CIR 2017/373 GM1 ATM/ANS.OR.B.005 Management system

AMC-GM to Annex VI (Part-AIS) to CIR 2017/373

GM1 AIS.OR.235 Error reporting and corrective action

GM1 AIS.OR.100 Aeronautical information management

ICAO Doc 10066 3.1 Quality Management System

ICAO Doc 8126 - Volume I 3.2 Organization of an AIS


1. Quality Policy.

2. Quality assurance programme.



3. Management system manual(s) and supporting documents (including work instructions).

4. Job descriptions.

5. Company organogram.

6. Risk register.

7. Management system external and internal audit report & documented remedial actions.

8. Management system monitoring documents.

9. ISO certificate (if ISO).

10. Certificate issued by certification body.

Known Issues

1. Lack of awareness and inclusion of the safety of data in company management systems.

Recommendations

1. Ensure business priorities are consistently applied and managed, which requires an active engagement / commitment of management.

2. Raise awareness of safety experts on approach to safety assessment / safety support assessment of processes and procedures.

3. A phased approach to internal audit / compliance review is recommended, focussing on small areas at a time.

4. Company policies should address topics such as safety, quality, security and risk management.

5. Integrated company policies may address more than one of these topics.

6. The scope of training provided will vary and must meet the structure of the company policies defined.

7. Provide targeted awareness events, including short overviews dedicated specifically to senior management.




S1O2.1

Create project team

S1O2.2Identify existing

documentation covering quality objectives


documentation covering Safety objectives


documentation covering Security objectives

S1O2.5

Perform gap analysis

S1O2.6

Obtain management buy-in

S1O2.7

Develop company policies

S1O2.8

Define and map company processes

S1O2.9

Document company processes

S1O2.10Provide training to support the

established management system

S1O2.11

Trial management system

S1O2.12

Implement management system

S1O2.13Plan internal audit /

compliance review of management system

S1O2.14Perform internal audit / compliance review of management system

S1O2.15

Appoint external review body

S1O2.16External audit / compliance

review of management system

S1O2.17

Oversight of management system




7.6.3 Objective 3: Define and Implement Processes and Procedures Scenario 1: Implementation by AIS Provider

Objective 3: Define and Implement Processes and Procedures

Description The Define and Implement Processes and Procedures objective describes the activities needed to assess, amend, train, trial, implement and oversee processes and procedures related to data processing and which

are utilised by later objectives.

Step Activity

1. Assess current processes and procedures relating to aeronautical data

1. Identify requirements. 2. Perform gap analysis. 3. Record findings.

2. Identify non-conformities 1. Identify non-conformities. 2. Establish plan for addressing non-conformities.

3. Document revised processes and procedures relating to aeronautical data

1. Amend / create processes and procedures to address non-conformities.

2. Review amended processes and procedures.

4. Assess processes and procedures relating to aeronautical data

1. Arrange for the assessment of amended processes and procedures.

2. Participate in the assessment. 3. Review assessment findings. 4. Update processes and procedures.

5. Train processes and procedures relating to aeronautical data

1. Identify training requirements. 2. Conduct training. 3. Update training records.

6. Trial processes and procedures relating to aeronautical data

1. Trial processes and procedures. 2. Record findings of trial. 3. Review findings of trial. 4. Update processes and procedures. 5. Review processes and procedures.

7. Implement processes and procedures relating to aeronautical data

1. Inform affected personnel of roll-out of processes and procedures.

2. Withdraw former processes and procedures. 3. Adjust records of configuration management.

8. Plan internal audit / compliance review of processes and procedures relating to aeronautical data


9. Perform internal audit / compliance review of processes and procedures relating to aeronautical data


2. Prepare report recording all findings and observations. 3. Publish report.



4. Agree and record corrective actions to be taken (with associated target dates).

5. Conduct follow-up review of actions.

10. Oversee processes and procedures relating to aeronautical data


2. Perform internal audit / compliance review.


Annex III to CIR 2017/373

ATM/ANS.OR.A.080 Provision of aeronautical data

ATM/ANS.OR.A.085 Aeronautical data quality management

ATM/ANS.OR.A.090 Common reference systems for air navigation

Annex VI to CIR 2017/373

AIS.OR.100 Aeronautical information management

AIS.OR.105 Responsibilities of aeronautical information services (AIS) providers

AIS.OR.200 General

AIS.OR.230 Data error detection and authentication

AIS.OR.235 Error reporting, error measurement, and corrective actions

AIS.TR.200 Data Quality Management - General

AIS.TR.235 Error reporting, error measurement and corrective actions

Supporting Material

AMC-GM to Annex III (Part-ATM/ANS.OR) of CIR 2017/373

GM1 ATM/ANS.OR.085 Aeronautical data quality management - Urgent Distribution

GM1 ATM/ANS.OR.A.085(a) Aeronautical data quality management - Aeronautical Data Catalogue

GM1 ATM/ANS.OR.A.085(b) Aeronautical data quality management - General

GM1 ATM/ANS.OR.A.085(b)(4)

Aeronautical data quality management - Resolution


Aeronautical data quality management - Traceability

AMC1 ATM/ANS.OR.A.085(b)(8)

Aeronautical data quality management - Format

AMC1 ATM/ANS.OR.A.085(d)

Aeronautical data quality management - Validation and Verification



GM1 ATM/ANS.OR.A.085(d) Aeronautical data quality management - Validation and Verification

GM2 ATM/ANS.OR.A.085(d) Aeronautical data quality management - Validation and Verification Techniques

GM1 ATM/ANS.OR.A.085(e) Aeronautical data quality management - Electronic Means

AMC1 ATM/ANS.OR.A.085(f)

Aeronautical data quality management - Formal Arrangements

GM1 ATM/ANS.OR.A.085(f) Aeronautical data quality management - Formal Arrangements

GM1 ATM/ANS.OR.A.085(i) Aeronautical data quality management - Software

GM2 ATM/ANS.OR.A.085(i) Aeronautical data quality management - Tools

GM1 ATM/ANS.OR.A.085(j) Aeronautical data quality management - Data Error Detection Techniques

GM2 ATM/ANS.OR.A.085(j) Aeronautical data quality management - Data Error Processing

GM1 ATM/ANS.OR.A.085(l) Aeronautical data quality management - Error Handling

GM1 ATM/ANS.OR.A.090(a) Common reference systems for air navigation - Horizontal Reference System

GM2 ATM/ANS.OR.A.090(a) Common reference systems for air navigation - Temporary Non-Compliance

AMC1 ATM/ANS.OR.A.090(b)

Common reference systems for air navigation - Vertical Reference System

GM1 ATM/ANS.OR.A.090(b) Common reference systems for air navigation - Mean Sea Level

GM2 ATM/ANS.OR.A.090(b) Common reference systems for air navigation - Vertical Reference System

GM1 ATM/ANS.OR.A.090(c) Common reference systems for air navigation - Temporal Reference System


AMC1 AIS.OR.200(c) General - Automated Data Processing

GM1 AIS.OR.200(a) General - Aeronautical Data Catalogue



GM1 AIS.OR.200(b) General - Data Quality

GM1 AIS.OR.230 Data error detection and authentication - General

GM1 AIS.OR.230(a) Data error detection and authentication - Error

GM1 AIS.OR.235 Error reporting, error measurement and corrective action

GM1 AIS.TR.200(b) General - Accuracy, Resolution

ICAO Doc 8126 - Volume II

6.2.1 General Aspects

6.2.2 Data error detection and reporting

ICAO Doc 10066 Quality Management System 3.1 EUROCONTROL Aeronautical Data Processes

EUROCONTROL Guidelines on Safety Support Assessments performed by AIS Providers (in development)

EUROCONTROL-GUID-0121 EUROCONTROL Guidelines Operating Procedures for AIS Dynamic Data (OPADD)


1. Documented processes and procedures.

2. Safety assessment / safety support assessment findings.

3. Evidence of error reporting and rectification.

Known Issues

1. Lack of formally captured processes and procedures or documented processes and procedures do not reflect day-to-day activities.

2. Selection of appropriate and efficient methodology to be applied.

3. Difficulty in selecting the granularity at which to capture the processes and procedures.

4. Lack of independent resource with knowledge to perform reviews.

5. Error processes may be restricted to incidents.

Recommendations

1. Start with a review of any existing documented processes and procedures to ensure these reflect current practices and, where possible, adapt these rather than start from new.





S1O3.1

Assess current processes and procedures

S1O3.2

Identify non-conformities

S1O3.3

Document revised processes and procedures

S1O3.4

Assess processes and procedures

S1O3.5

Train processes and procedures

S1O3.6

Trial processes and procedures

S1O3.7

Implement processes and procedures


compliance review of processes and procedures

S1O3.9Perform internal audit / compliance review of

processes and procedures

S1O3.10

Oversee processes and procedures




7.6.4 Objective 4: Establish Verification and Validation Procedures Scenario 1: Implementation by AIS Provider

Objective 4: Establish Verification and Validation Procedures

Description The Establish Verification and Validation Procedures objective describes the establishment of procedures to

ensure that data meets all its applicable requirements and has been processed appropriately.

Step Activity

1. Define the requirements 1. Identify6 the data quality requirements for all applicable data items.

2. Identify the procedures to be applied to validate and verify data

1. Identify the checks that may be performed for the different types of data and the different data integrity levels.

2. Document the validation and verification procedures.


Annex III to CIR 2017/373 ATM/ANS.OR.A.085(d) Aeronautical data quality management - Validation and Verification


AIS.OR.220 Validation and verification

AIS.TR.200 AIS.TR.220

General

Supporting Material

AMC-GM to Annex III (Part-ATM/ANS.OR) to CIR 2017/373



GM1 ATM/ANS.OR.A.085(d) Aeronautical data quality management - Validation and Verification - General



GM1 AIS.OR.220 Validation and verification - General

GM1 AIS.TR.200(b) General

AMC1 AIS.OR.220 Validation and verification processes

ICAO Doc 8126 - Volume II 4.1 Verification and validation

ICAO Doc 10066 2.1.2 Processing



2. Recorded findings of all checks performed.

6 Relevant DQRs should have already been defined and those applicable will be identified from those established.



Known Issues

1. Parties are not aware of their individual responsibilities for validation and verification.

2. The AIS Provider is not able to fully validate and verify data provided to it. It can only perform plausibility checks.

3. Processes are not adequate for the assigned integrity level of the data item (as per EUROCONTROL Specifications).

4. The validation and verification of accuracy, etc. can only be performed by the Data Originator.

Recommendations

1. Regulator involvement is recommended for ensuring parties are aware of and fulfil their responsibilities.

2. In some cases, plausibility checks may need to be applied to confirm the suitability of data.


S1O4.1

Define the requirements

S1O4.2Identify the procedures to be applied to validate and verify

data




7.6.5 Objective 5: Assure Tools and Software Scenario 1: Implementation by AIS Provider

Objective 5: Assure Tools and Software

Description The Assure Tools and Software objective describes the activities needed to ensure that those tools and

software that form part of the data assurance process are fit for their intended purpose.

Step Activity

1. Identify tools and software 1. Identify tools and software currently used in data processes.

2. Determine tools and software requiring assurance, documenting findings.

2. Define the requirements 1. Identify and document relevant requirements applicable to tools and software.

3. Determine methodology to be applied

1. Identify and document methodology to be applied to bespoke software.

2. Prepare assurance plan.

4. Perform tool assessment / validation and verification

1. Identify and document safety risks associated with the use of the tool/software.

2. Perform tool assessment / validation and verification. 3. Document findings.

5. Confirm readiness 1. Confirm and document tool’s compliance and readiness for use.


Annex III to CIR 2017/373 ATM/ANS.OR.A.085(i) Aeronautical data quality management - Software

Annex VI to CIR 2017/373 AIS.OR.215 Tools and software

Supporting Material


GM1 ATM/ANS.OR.A.085(i) Software

GM2 ATM/ANS.OR.A.085(i) Tools


GM1 AIS.OR.215 Software

GM2 AIS.OR.215 Tools

ICAO Doc 8126 - Volume I 3.6 Tools and software

EUROCAE ED-76A Standards for Processing Aeronautical Data

EUROCAE ED-215 Software Tool Qualification Considerations


1. Tool operational requirements documentation.

2. Tool qualification plan.

3. Tool qualification results.

4. Manufacturer’s declarations of conformity / suitability for use.

5. Technical File.



Known Issues

1. Lack of understanding of tool qualification process.

2. Cost of tool qualification.

3. Lack of defined requirements for tools.

4. Agreement on scope of tools to be qualified.

5. Choice of software safety assurance / safety support assessment standard to be applied.

6. No retention policy for old tools / old version of tools.

7. The pace of change in the context of airspace and related (change) requirements moving faster than the development of AIXM (e.g. DHO).

Recommendations

1. Ensure that each requirement is uniquely identified.

2. Agree any software safety assurance standard / safety support assessment standards with the Regulator.

3. Address the identified issues in the relevant documents (as listed in the evidence of compliance above).

4. When assessing errors in tools and procedures, ensure that consequential errors in data are identified.




S1O5.1

Identify tools and software

S1O5.2


S1O5.3

Determine methodology to be applied

S1O5.4

Perform tool assessment/validation and verification

S1O5.5

Confirm readiness




7.6.6 Objective 6: Establish Process to Monitor Data Scenario 1: Implementation by AIS Provider

Objective 6: Establish Process to Monitor Data

Description The Establish Process to Monitor Data objective describes the activities to be undertaken to ensure that

those items which are the responsibility of the AIS Provider to originate are regularly reviewed and updated, where necessary. Other parties providing data to the AIS Provider should also have monitoring processes in

place.

Step Activity

1. Establish review cycle for all data

1. Use the established Aeronautical Data Catalogue. 2. Record review cycle for all data items provided for publication

and identify relevant data activities.

2. Assign responsibilities for monitoring of data

1. Identify units / role responsible for monitoring data. 2. Implement mechanisms to instigate data reviews.

3. Review data 1. Determine if scope of data published is correct. 2. Ensure currency of published data. 3. Determine completeness of published data. 4. Ensure data meets operational needs. 5. Ensure data meets any new / changed requirements in terms of

scope, quality and content.

4. Record review findings 1. Record scope of data reviewed. 2. Record findings of review.

5. Update / withdraw / originate data

1. Request Data Origination / Provision, and / or 2. Originate Data


Annex III to CIR 2017/373 ATM/ANS.OR.A.080(b) Provision of aeronautical data

Supporting Material


1. Evidence demonstrating that data monitoring activities are executed.

2. Data changes resulting from data monitoring activities.

Known Issues

N/A

Recommendations

N/A




S1O6.1

Establish review cycle for all data

S1O6.2

Assign responsibilities for monitoring of data

S1O6.3

Review data

S1O6.4

Record review findings

S1O6.5

Update / withdraw / originate data




7.6.7 Objective 7: Establish and Manage Formal Arrangements Scenario 1: Implementation by AIS Provider

Objective 7: Establish and Manage Formal Arrangements

Description The Establish and Manage Formal Arrangements objective describes the activities needed to identify the

need for and develop, implement and monitor Formal Arrangements that accurately describe the responsibilities of parties in providing and receiving data.

Step Activity

1. Identify all parties/individuals with whom data is exchanged

1. Determine if the Regulator has assigned responsibility, e.g. through a National Data Catalogue (Data Originator Index).

2. Refer to the assignments of responsibility made by the Regulator.

3. If no assignment exists, for each property/sub-property in the National Data Catalogue, identify the parties transmitting / providing data.

4. Agree assignments with the identified parties.

5. Discuss/agree the assignments with the Regulator.

2. Identify data items and data activities for which the party is responsible

1. Using the assignments, identify data items within the responsibility of the party which are provided by the party itself or parties acting on their behalf (contracted activities) for publication in AIS products.

2. Identify all data activities conducted by the party or other parties acting on their behalf, such as origination, storage, processing and transfer.

3. Agree the Formal Arrangements template

1. Create template.

2. Confirm compliance with regulatory needs.

3. Agree template with relevant parties, e.g. Regulator, legal, etc.

4. Establish Formal Arrangements with all relevant parties

1. Use National Data Catalogue from Step 1. to identify where Formal Arrangements are required.

2. Identify the means of documenting the Formal Arrangements for each party, e.g., SLA, contract, etc.

3. Discuss the relevant details that are to be covered within the Formal Arrangements (e.g. scope, data items, standards, reporting, performance, etc).

4. Prepare Formal Arrangements based on the agreed template.

5. Agree Formal Arrangements with each party.

6. Sign and implement Formal Arrangements.

5. Manage Formal Arrangements 1. Record performance.

2. Address non-achievement or issues.



6. Monitor and report performance of Formal Arrangements

1. Where required by the Formal Arrangements, prepare and issue a performance report using gathered statistics.

2. Identify requirements for Formal Arrangements revision.

7. Revise Formal Arrangements

1. Revise Formal Arrangements.

2. Discuss/agree updated Formal Arrangements with each party.

3. Sign and implement updated Formal Arrangements.

1. Primary Reference to Regulation

Annex III to CIR 2017/373 ATM/ANS.OR.A.085(f) Aeronautical data quality management - Formal Arrangements

Annex VI to CIR 2017/373 AIS.OR.205 Formal Arrangements

Supporting Material




GM1 ATM/ANS.OR.A.085(f) Aeronautical data quality management - Formal Arrangements — Template

AMC-GM to Annex VI (Part-AIS) to CIR 2017/373 AMC1 AIS.OR.205 Formal Arrangements - Minimum

Content

ICAO Annex 15 2.1.5 State responsibilities

2.3.2 Exchange of aeronautical data and aeronautical information

ICAO Doc 8126 - Volume I 4.4 Formal Arrangements

ICAO Doc 8126 - Volume II 3.3 Formal Arrangements with data originators

ICAO Doc 10066 2.1.1 Collection

EUROCONTROL ADQ Formal Arrangements Template


1. Signed Formal Arrangements.

2. National Data Catalogue.

Known Issues

1. Management commitment and resources.

2. Understanding the responsibilities of the Data Originator and the relevant DQRs.

3. Lack of stable and agreed National Data Catalogue.

4. Large number of different data origination tools, some of which are quite complex.

5. Large number of different types of Data Originators to be managed, with some Data Originators responsible for a large amount of data.

Recommendations

1. Regulator involvement is recommended.



2. Consideration is given to the achievement of AIRAC timescales during development of the Formal Arrangements.

3. When the Formal Arrangements relates to services provided to the AIS Provider by an organisation that does not fall under the scope of CIR 2017/373, the Formal Arrangements should include AIS oversight of the tasks performed.


S1O7.1

Identify all parties/individuals with whom data is exchanged

S1O7.2Identify data items and data

activities for which the party is responsible

S1O7.3

Agree the Formal Arrangements template

S1O7.4Establish Formal

Arrangements with all relevant parties

S1O7.5

Manage Formal Arrangements

S1O7.6Monitor and report

performance of Formal Arrangements

S1O7.7

Revise Formal Arrangements




7.6.8 Objective 8: Establish Process to Ensure Consistency of Data and Products


Objective 8: Establish Process to Ensure Consistency of Data and Products

Description The Establish Process to Ensure Consistency of Data and Products objective describes how to define, train,

trial, implement and monitor a process that ensures that data and products are consistent.

Step Activity

1. Establish process

1. Identify products and common data to be consistent. 2. Document findings. 3. Conduct review with key personnel, including third parties,

confirming data and identifying means for checks. 4. Draft consistency process. 5. Review consistency process. 6. Update consistency process.

2. Train process 1. Train process. 2. Update training records. 3. Update Formal Arrangements.

3. Trial process 1. Trial consistency process. 2. Review findings of trial. 3. Update process.

4. Implement process

1. Inform affected personnel of roll-out of process. 2. Withdraw former process. 3. Archive former process. 4. Adjust records of configuration management.

5. Oversee process

1. Perform internal audits in line with management system. 2. Document findings. 3. Conduct review meetings with external parties. 4. Document findings. 5. Update/maintain process.


Annex VI to CIR 2017/373 AIS.OR.250 Consistency requirement

AIS.OR.300 General — Aeronautical information product consistency

Supporting Material


AMC1 AIS.OR.250 Consistency requirement - Duplicated Information

GM1 AIS.OR.250 Consistency requirement - Duplicated Information

GM1 AIS.OR.300 Aeronautical Data and Information Provided in Multiple Formats



ICAO Doc 10066 2.1.3 Quality control


1. Data-driven process.

2. Formal Arrangements, including between States.

3. Means to identify products impacted by data change.

Known Issues

1. Misunderstanding of consistency / resolution of data.

2. Different resolutions of data across borders.

3. Inconsistent publications.

4. Lack of notification of data changes from other States.

Recommendations

1. Integrated database to be implemented.

2. All processes at AIS Provider level to use data from one common, consistent data source.




S1O8.1

Establish process

S1O8.2

Train process

S1O8.3

Trial process

S1O8.4

Implement process

S1O8.5

Oversee process




7.6.9 Objective 9: Establish Contingency Plans Scenario 1: Implementation by AIS Provider

Objective 9: Establish Contingency Plans

Description The Establish Contingency Plans objective describes how contingency plans should be developed, tested

and monitored for identified risks.

Step Activity

1. Identify risks 1. Identify key personnel. 2. Conduct risk meeting. 3. Document findings.

2. Plan contingency and continuity

1. Identify contingency for key risks. 2. Document decisions made. 3. Prepare contingency plan. 4. Review contingency plan.

3. Validate contingency plan 1. Safety assess / safety support assess contingency plan. 2. Record findings. 3. Update contingency plan.

4. Test contingency plan

1. Execute contingency plans. 2. Record findings. 3. Review findings. 4. Update contingency plans. 5. Update Formal Arrangements.

5. Oversee plans

1. Review current modes of operations against latest requirements. 2. Perform review of contingency plans. 3. Record findings. 4. Update contingency plans. 5. Update Formal Arrangements.


Annex III to CIR 2017/373 ATM/ANS.OR.A.070 Contingency plans

Supporting Material

AMC-GM to Annex III (Part-ATM/ANS.OR) to CIR 2017/373 GM1 ATM/ANS.OR.A.070 Contingency plans


1. Contingency plans.

2. Evidence of testing of contingency plans.

Known Issues

1. Understanding the impact of small delays on AIP production.

2. Ability to test contingency plans.

3. Oversight of contingency plans - plans out of date.



Recommendations

N/A


S1O9.1

Identify risks

S1O9.2

Plan contingency and continuity

S1O9.3

Validate contingency plan

S1O9.4

Test contingency plan

S1O9.5

Oversee plans




7.6.10 Objective 10: Define and Implement Training Programme Scenario 1: Implementation by AIS Provider

Objective 10: Define and Implement Training Programme

Description The Define and Implement Training Programme objective describes how a Competence Scheme and

training programme should be established to ensure that all staff are competent and trained for the activities they perform.

Step Activity

1. Create Competence Scheme

1. Determine the regulatory requirements related to training and competence.

2. Identify minimum competency levels (requirements) for personnel involved in performing data activities in accordance with the relevant regulations.

3. Record competence levels. 4. Identify training for competence levels.

2. Determine training programme

1. Identify existing training programme for personnel involved in data activities (including contractors, if relevant).

2. Create or update the training programme for the identified training requirements, including refresher training.

3. Identify training needs

1. Using the Competence Scheme and training programme, determine the training needs for each role, identifying if any role changes require different competences to be recorded in the Competence Scheme.

2. Assess individuals, identifying any changes in their role and any gaps in competence.

3. Update Competence Scheme and training programme, as needed.

4. Update individual training records with required training.

4. Provide training

1. Provide training following training programme. 2. Gather feedback. 3. Update training records. 4. Record received feedback. 5. Update training programme.


Annex VI to CIR 2017/373 AIS.OR.600 Personnel - General requirements

Supporting Material


AMC1 ATM/ANS.OR.B.005(a)(6)

Management system - Training and Competency

AMC-GM to Annex VI (Part-AIS) to CIR 2017/373 GM1 AIS.OR.600(b) General requirements –

Competence, Authorisation

ICAO Doc 8126 - Volume I 3.4.2 Competencies

ICAO Training Manual




1. Competence matrix.

2. Staff licences.

3. Training plans.

4. Training records.

Known Issues

1. Granularity at which to hold competence matrix.

2. Lack of management support for training.

3. Training provided in a reactive, not pro-active manner.

Recommendations

1. Monitoring of the delivery of the training programme – including reminders to personnel requiring training and reports to their line managers and training managers. Make it as easy as possible for your personnel – they should not have to organise/chase training.

2. Training should include, as a minimum, the promotion of safety awareness around the organisation by sharing lessons arising from safety activities.

3. All staff should be involved in proposing solutions to identified safety issues and improvements to the effectiveness and efficiency of the processes.




S1O10.1

Create Competence Scheme

S1O10.2

Determine training programme

S1O10.3

Identify training needs

S1O10.4

Provide training




7.6.11 Objective 11: Self-Assess and Monitor Compliance With Relevant Regulations


Objective 11: Self-Assess and Monitor Compliance With Relevant Regulations

Description The Self-Assess and Monitor Compliance With Relevant Regulations objective describes how the work

performed should be regularly and formally monitored and, where necessary, adapted to ensure compliance with the latest regulations.

Step Activity

1. Determine required legal baseline

1. Determine the regulations with which compliance is to be monitored.

2. Plan compliance review 1. Plan internal compliance review schedule. 2. Prepare compliance review plan. 3. Provide compliance review plan.

3. Perform compliance review

1. Perform internal compliance review as per established schedule. 2. Prepare compliance report recording all findings and

observations. 3. Publish compliance report. 4. Agree and record corrective actions to be taken (with associated



Annex III to CIR 2017/373 ATM/ANS.OR.B.005(c) Management system

Supporting Material


AMC1 ATM/ANS.OR.B.005(c)

Management system - Compliance Monitoring

GM1 ATM/ANS.OR.B.005(c) Management system - Compliance Monitoring Organisational Set-Up


1. Internal compliance review schedule.

2. Internal compliance review plan.

3. Reports of internal compliance reviews.

Known Issues

1. Lack of personnel trained to perform internal compliance reviews.

2. Lack of time available to perform internal compliance review activities.

3. Incomplete or incorrect legal baseline.

Recommendations

1. Make use of compliance function (compliance officer or similar) within the organisation.

2. Targeted self-reviews (self-audit per expert area?).




S1O11.1

Determine required legal baseline

S1O11.2

Plan compliance review

S1O11.3

Perform compliance review




7.6.12 Objective 12: Error Reporting, Measurement and Corrective Actions


Objective

Objective 12: Error Reporting, Measurement and Corrective Actions

Description The Error Reporting, Measurement and Corrective Actions objective describes how reported errors should be investigated, rectified and their reoccurrence prevented in a timely manner, whilst keeping the aviation

community informed.

Step Activity

1. Receive error report 1. Log details of the identified error.

2. Initial assessment of error

1. Identify the role to investigate the error. 2. Confirm existence of a true error. 3. Determine affected products. 4. Identify party responsible for the data. 5. Notify the party responsible for the data so that they can

undertake a full investigation.

3. Perform mitigating action

1. Determine if any immediate action needs to be taken to communicate the error to the aviation community / users.

2. Notify community / users. 3. Identify if any other mitigating action can be implemented. 4. Implement mitigating action.

4. Investigate error

1. Investigate root causes of error. 2. Investigate affected publications. 3. Determine corrective action to be taken. 4. Determine if any preventive action needs to be taken. 5. Determine if a safety occurrence needs to be raised. 6. Determine if the community / users should be notified of planned

action. 7. Record findings. 8. Notify community / users of planned action.

5. Perform corrective action

1. Determine if a safety assessment / safety support assessment of corrective action needs to be undertaken.

2. Amend corrective action. 3. Implement corrective action.

6. Perform preventive action

1. Determine if a safety assessment / safety support assessment of preventive action needs to be undertaken.

2. Amend preventive action. 3. Implement preventive action.

7. Close error report 1. Notify users that the error has been resolved. 2. If relevant, notify other parties about the error. 3. Close the error report.




Annex III to CIR 2017/373 ATM/ANS.OR.A.085(l) Aeronautical data quality management – Error Handling


AIS.OR.200 General



AIS.TR.200 General


Supporting Material

AMC-GM to Annex III (Part-ATM/ANS.OR) to CIR 2017/373 GM1 ATM/ANS.OR.A.085(l) Aeronautical data quality

management – Error Handling


AIS.OR.200 General

GM1 AIS.OR.230 Data error detection and authentication

GM1 AIS.OR.230(a) Data error detection and authentication

GM1 AIS.OR.235 Error reporting, error measurement, and corrective actions

AIS.TR.200 General






Known Issues

1. Error processes may be restricted to only incidents.

2. Formal recording of errors captured during normal data processing do not need to be captured in an error process. The error process should be used to manage ‘escaping’ errors.

Recommendations

1. Errors need to be reported by any participant in the data chain to the AIS Provider. Each party has a duty to actively inform the input (party) and output (party).




S1O12.1

Receive error report

S1O12.2

Initial assessment of error

S1O12.3

Perform mitigating action

S1O12.4

Investigate error

S1O12.5

Perform corrective action

S1O12.6

Perform preventive action

S1O12.7

Close error report




7.6.13 Objective 13: Provide and Maintain Operations Manuals Scenario 1: Implementation by AIS Provider

Objective 13: Provide and Maintain Operations Manuals

Description The Provide and Maintain Operations Manuals objective describes the activities required to develop,

update, assess, distribute and monitor manuals.

Step Activity

1. Manage list of document holders

1. Identify document holders for manuals. 2. Record and maintain list of document holders for manuals.

2. Provide manuals 1. Notify document holders of release of manual. 2. Provide / make available new manual.

3. Withdraw previous versions 1. Withdraw previous version of manual. 2. Archive previous version of manual. 3. Adjust records of configuration management.

4. Oversee manuals

1. Review manual. 2. Identify required changes. 3. Record required changes. 4. Safety assess / safety support assess changes, if needed. 5. Amend identified changes.

5. Amend manuals

1. Amend manual. 2. Review manual. 3. Approve manual. 4. Review list of manuals. 5. Update list of manuals.


Annex III to CIR 2017/373 ATM/ANS.OR.B.035 Operations manuals

Supporting Material

ICAO Doc 10066 3.1 Quality Management System


1. Operations manuals with current validity.

2. List of persons to which operations manuals have been issued (where provided in paper).

3. Configuration management of operations manuals.

Known Issues

4. Operations manuals are not reviewed and updated regularly, so they do not reflect current operations.

Recommendations

1. Provide operations manuals via Intranet.

2. Notify all staff of updates.



3. Mandate staff to write “Uncontrolled copy” on versions that they print.

4. Perform regular review of manuals.


S1O13.1

Manage list of document holders

S1O13.2

Provide manuals

S1O13.3

Withdraw previous versions

S1O13.4

Oversee manuals

S1O13.5

Amend manuals




7.6.14 Objective 14: Define Catalogue of AIS Products and Services Scenario 1: Implementation by AIS Provider

Objective 14: Define Catalogue of AIS Products and Services

Description The Define Catalogue of AIS Products and Services objective describes how to define the requirements of a

product, its Data Product Specification (DPS) and the services offered by the AIS Provider, and to include them in a Catalogue of AIS Products and Services.

Step Activity

1. Establish product requirements

1. Gather input / seek the user’s view. 2. Define/amend product or service requirements. 3. Review product or service requirements. 4. Assess feasibility of product or service requirements. 5. Approve product or service requirements.

2. Develop Data Product Specification (DPS)

1. Define/amend Data Product Specification (DPS). 2. Review Data Product Specification (DPS). 3. Submit for user approval, if relevant.

3. Add product to catalogue 1. Amend catalogue to include new/amended product or service. 2. Review catalogue.

4. Make catalogue available 1. Provide and maintain catalogue. 2. Notify users of availability of amended catalogue.


Annex VI to CIR 2017/373 Section 3 Aeronautical Information Products

Supporting Material

ISO 19131:2007 All Data Product Specifications

EUROCONTROL-GUID-0158 All EUROCONTROL Terrain and Obstacle Data Manual



2. Catalogue of AIS Products.

Known Issues

1. Catalogue is not maintained.

Recommendations

1. Publish catalogue online with notification functionality.

2. The needs of the next intended user are sought when determining the products and services to be offered.




S1O14.1

Establish product requirements

S1O14.2

Develop Data Product Specification (DPS)

S1O14.3

Add product to catalogue

S1O14.4

Make catalogue available




7.6.15 Objective 15: Manage Requests for Data Changes Scenario 1: Implementation by AIS Provider

Objective 15: Manage Requests for Data Changes

Description The Manage Requests for Data Changes objective describes how requests for data changes should be

checked before further processing.

Step Activity

1. Receive request

1. Receive internal/external notification about changes to aeronautical data (e.g. new survey, new permanent or temporary obstacle or operational changes at the airport).

2. Confirm the appropriate role (e.g. function, name, organisation, etc.) to process data (as established in Objective 2 and documented in management system documents) and forward the request to the relevant (competent) personnel without undue delay.

3. If not already established, assess whether there is a need to establish Formal Arrangements with the party providing data.

2. Verify request

1. Confirm that the request relates to aeronautical information defined in the Data Catalogue (either National or as defined by EASA).

2. Confirm that the request is clear, complete and the timescales are feasible.

3. Determine if the request has been submitted by the correct provider of data, in accordance with the Formal Arrangements.

4. If the provider of data is not the correct one, determine action to be taken.

5. Record findings of verification of request.

3. Assess verification outcome

1. Determine if the request is ready for validation, if the provider of data or State Designated Authority needs to be contacted for clarification or if the request should be rejected.

2. Record outcome of the verification activity.

4. Apply change request 1. Hand over the change request to the relevant process team.

5. Reject request 1. Notify provider of data that the request has been rejected,

providing the reasons for this.

2. Record details of the rejection sent.


Annex III to CIR 2017/373 ATM/ANS.OR.A.085 Aeronautical data quality management

Annex VI to CIR 2017/373 AIS.OR.500 General — Aeronautical information products updates

Supporting Material














Aeronautical data quality management - Formal Arrangements — Content


GM1 ATM/ANS.OR.A.090(a) Common reference systems for air navigation - Horizontal Reference System - WGS-84

GM2 ATM/ANS.OR.A.090(a)

Common reference systems for air navigation - Temporary Non-compliance of Geographical Coordinates







1. Formal Arrangements.

2. Software tools to manage the receipt of data changes.


Known Issues

1. Requests received not in defined format.



2. Requests received by unauthorised Data Providers.

Recommendations

1. Greater granularity is recommended for National Data Catalogues so that the Data Provider and Data Originator(s) and any Regulator approvals are clearly defined.


Request approved?Yes

No

S1O15.1

Receive request

S1O15.2

Verify request

S1O15.3

Assess verification outcome

S1O15.4

Apply change request

S1O15.5

Reject request




7.6.16 Objective 16: Request Data Origination / Provision Scenario 1: Implementation by AIS Provider

Objective 16: Request Data Origination / Provision

Description The Request Data Provision / Provision objective describes how data should be formally requested from a

provider of data.

Step Activity

1. Establish originator/provider of data

1. Using the Data Catalogue and Formal Arrangements, determine and record the originator/provider of the data and arrangements for requesting data.

2. Define the requirements 1. Identify and record data quality requirements and data

origination standards to be met. 2. Determine and record date for submission of the data.

3. Draft Request for Origination/Provision

1. Prepare Data Product Specification (DPS), if necessary. 2. Draft the Request for Origination/Provision, referring to the

Formal Arrangements in place and any Data Product Specification (DPS).

4. Review Request for Origination/Provision

1. Review the Request for Origination/Provision, ensuring that the correct originator / provider of data has been identified, that the request is clear, complete and accurate and in accordance with the applicable Formal Arrangements.

5. Send Request for Origination/Provision

1. Send Request for Origination/Provision and supporting documentation to the originator / provider of data.

2. Record details of the request sent.



Supporting Material


GM1 ATM/ANS.OR.A.085(a) Aeronautical data quality management – Purpose










Aeronautical data quality management – Formal Arrangements



GM1 ATM/ANS.OR.A.085(f) Aeronautical data quality management – Formal Arrangements








GM1 ATM/ANS.OR.A.090(c) Temporal Reference System

Annex VI to CIR 2017/373 AMC1 AIS.OR.205 Formal arrangements

EUROCONTROL-SPEC-154

EUROCONTROL Specification for the Origination of Aeronautical Data

All


1. Issued Requests for Origination/Provision.


3. Results of checks made to ensure data is in accordance with Request for Origination/Provision.

Known Issues

1. Lack of common approach to Requests for Origination/Provision.

2. Lack of understanding of Data Product Specifications.

Recommendations

1. Make use of templates (e.g. a Data Product Specification template).




S1O16.1

Establish originator/provider of data

S1O16.2


S1O16.3

Draft Request forOrigination/Provision

S1O16.4

Review Request for Origination/Provision

S1O16.5

Send Request forOrigination/Provision


No




7.6.17 Objective 17: Originate Data Scenario 1: Implementation by AIS Provider

Objective 17: Originate Data

Description The Originate Data objective describes how data should be originated to meet all applicable requirements

so that compliant, approved and coordinated data is provided for further processing.

Step Activity

1. Validate Request for Origination

1. Determine if instructions are clear. 2. Determine if instructions are feasible. 3. Determine if the correct Data Originator for the items has been

identified.

2. Determine the origination requirements

1. Determine the origination requirements, including the standards to be met and the data quality requirements by referencing, as applicable: • The Formal Arrangements. • The Request for Origination/Provision. • The Data Product Specification (DPS).

3. Originate data

1. Obtain any required data sets. 2. Originate data in accordance with Request for

Origination/Provision, Data Product Specification (DPS), Formal Arrangements, applicable standards and data quality requirements.

3. Record details of origination activities. 4. Save data and metadata.

4. Process data

1. Verify and validate that data meets its quality requirements and Data Product Specification (DPS).

2. Record details of all the validation and verification activities performed, including the findings.

3. Process data (as required) or make data available for processing.

5. Coordinate data

1. Ensure consistency of originated data with other applicable data. 2. Identify parties data should be coordinated with. 3. Coordinate with other parties, including the exchange of

necessary data. 4. Document results of coordination activities.

6. Obtain approvals 1. Determine if approvals are required and have been performed. 2. Obtain and store any necessary approval(s).

7. Prepare origination report 1. Finalise origination report and data, if required.

8. Close request 1. If relevant, notify the process initiator about the outcome.

9. Reject Request for Origination If step 1 fails: 1. Record reasons for rejecting Request for Origination/Provision. 2. Inform the party requesting data origination.






Annex VI to CIR 2017/373 AIS.OR.105 Responsibilities of aeronautical information services (AIS) providers

Annex VI to CIR 2017/373 AIS.OR.500 General — Aeronautical information products updates

Supporting Material


GM1 ATM/ANS.OR.A.085(a) Aeronautical data quality management – Aeronautical Data Catalogue

GM1 ATM/ANS.OR.A.085(b) Aeronautical data quality management – General


Aeronautical data quality management – Resolution


Aeronautical data quality management – Traceability


Aeronautical data quality management – Format

GM1 ATM/ANS.OR.A.085I Aeronautical data quality management - Electronic Means














ICAO Doc 81–6 - Volume I Chapter 4 Aeronautical data originators responsibilities

ICAO Doc 10066 Chapter 4 Aeronautical Data Requirements



All


1. Data origination standards.


3. Requests for Origination/Provision.

4. Origination reports.


Known Issues

1. Lack of awareness of requirements for data origination.

2. Ambiguous Requests for Origination/Provision.

Recommendations


2. Awareness session (familiarisation training for Data Originators).

3. List of approved / accepted data providers.

4. Approvals may require safety assessment / safety support assessments to be conducted.




Validatedrequest?

Yes

No

S1O17.1

Validate Request for Origination

S1O17.3

Originate data

S1O17.2

Determine the origination requirements

S1O17.9

Reject Request for Origination

S1O17.4

Process data

S1O17.5

Coordinate data

S1O17.6

Obtain approvals

S1O17.7

Prepare origination report

S1O17.8

Close request




7.6.18 Objective 18: Collect Data Scenario 1: Implementation by AIS Provider

Objective 18: Collect Data

Description The Collect Data objective describes how the availability of new data is identified and collected and how

changes to the collected data are identified. This is objective is applied when data is originated by a function other than the AIS provider and the originating party notifies that new data is available.

Step Activity

1. Determine if data is ready for collection

1. Receive notification of data available for collection or monitor the availability of data, in accordance with any Formal Arrangements in place.

2. Confirm that the data collection process should be initiated.

2. Collect data

1. Collect the data in accordance with established processes. 2. Store the collected data. 3. Record details of the collection, including details provided of

changes to data.

3. Identify changes to collected data 1. Identify changes to the data.

4. Process data

1. Verify and validate that data meets its quality requirements and Data Product Specification (DPS), including the minimum metadata requirements.


3. Process data (as required).





AIS.OR.200 General

Supporting Material


GM1 AIS.OR.100(c) Aeronautical information management

GM1 AIS.OR.105 Responsibilities of aeronautical information services providers

GM1 AIS.OR.200(a) General - Aeronautical Data Catalogue



GM1 AIS.TR.200(b) General - Accuracy - Resolution



AMC1 AIS.TR.200(d) General - Traceability

ICAO Doc 8126 - Volume II Chapter 3 Collection

ICAO Doc 10066 2.1.1 Collection



All

AIXM 5.1 Data Model (UML)

AIXM 5.1 XML Schema (XSD)



2. Software tools to manage the receipt of data.

Known Issues

1. Data not provided in accordance with provision method defined.

2. Data not provided in required format.

3. Incompleteness of some data provided by Data Originators / Data Providers.

Recommendations

1. Consider direct delivery of reports and data into the AIS Provider’s system based on Formal Arrangements.




S1O18.1

Determine if data is ready for collection

S1O18.2

Collect data

S1O18.3

Identify changes to collected data

S1O18.4

Process data




7.6.19 Objective 19: Apply Data Assurance Process Scenario 1: Implementation by AIS Provider

Objective 19: Apply Data Assurance Process

Description The Apply Data Assurance Process objective describes how to define, train, trial and implement a data

assurance process.

Step Activity

1. Establish process to be applied

1. Determine data assurance approach. 2. Document approach and map high-level data process, indicating

use of tools and identifying risk points. 3. Draft/update process(es). 4. Review process(es). 5. Train process(es).

2. Execute defined process

1. Trial process(es). 2. Review process(es). 3. Update and finalise process(es). 4. Execute process(es).





AIS.TR.200 Data quality management - General

AIS.OR.600 Personnel Requirements - General

Supporting Material




GM1 AIS.TR.200(b) General - Accuracy - Resolution

AMC1 AIS.TR.200(d) Traceability – Retention Period

GM1 AIS.OR.600(b) General requirements - Competence

ICAO Doc 8126 - Volume II 6.2.1 General Aspects

ICAO Doc 10066 2.1.2 Processing

EUROCONTROL Guidelines on Safety Support Assessments performed by AIS Providers


1. Data protection techniques.

2. Data quality assurance concept of operations.




4. Physical security.

5. Training plan.

Known Issues

1. Data is not processed using a quality assurance process.

2. Lack of quality assurance process.

Recommendations

1. Ensure data assurance process is part of QMS.

2. Treat all data as if DAL 1.


S1O19.1

Establish process to be applied

S1O19.2

Execute defined process




7.6.20 Objective 20: Store Data Scenario 1: Implementation by AIS Provider

Objective 20: Store Data

Description The Store Data objective describes the activities to be undertaken to ensure that verified and validated data

is stored correctly and then made available for further processing.

Step Activity

1. Confirm readiness for storage 1. Confirm that all necessary data, metadata and approvals are in

place for data prior to storage and that the data has been validated and verified.

2. Store data 1. Store the data in the appropriate data store. 2. Check that the data has been correctly stored. 3. Record results of checks performed.

3. Approve data for further processing 1. Approve the stored data for further processing.

4. Make data available for use

1. Set status of stored data to available so that it is available for further processing.

2. Notify that data is available. 3. Record the notification.





AIS.OR.200 Data Quality Management - General


AIS.TR.235(a) Error reporting, error measurement and corrective actions

Supporting Material


AMC1 AIS.OR.200(c) Automated data processing

GM1 AIS.OR.230 Data error detection and authentication

GM1 AIS.OR.235 Error reporting, error measurement and corrective actions

EUROCONTROL-GUID-0121 All




2. Software tools.



Known Issues

1. Not all data and related metadata are stored for a change.

Recommendations

1. Do not delete data to help meet retention requirements.

2. Backup data regularly.

3. Test backups to ensure that they have worked.


Data approved?

Yes

No

S1O20.1

Confirm readiness for storage

S1O20.2

Store data

S1O20.3

Approve data for further processing

S1O20.4

Make data available for use




7.6.21 Objective 21: Assemble AIS Products Scenario 1: Implementation by AIS Provider

Objective 21: Assemble AIS Products

Description The Assemble AIS Products objective describes how to prepare, verify and approve an AIS product which is

consistent with other products.

Step Activity

1. Refer to Data Product Specification (DPS)

1. Identify product requirements from Data Product Specification (DPS).

2. Identify other publication standards.

2. Create product 1. Coordinate with other product editors. 2. Prepare product. 3. Review product.

3. Verify product

1. Confirm completeness of product. 2. Confirm accuracy of product. 3. Confirm clarity of product. 4. Confirm compliance of product with Data Product Specification

(DPS) and standards. 5. Record findings.

4. Confirm consistency checks with other products 1. Perform consistency checks with other products.

5. Seek approval 1. Seek product approval. 2. Record product approval. 3. Amend product.

6. Archive product 1. Store approved product.



AIS.OR.300 General — Aeronautical information products

AIS.OR.305 Aeronautical information publication (AIP)

AIS.OR.310 AIP amendments

AIS.OR.315 AIP supplements

AIS.OR.320 Aeronautical information circular (AIC)

AIS.OR.325 Aeronautical charts

AIS.OR.330 NOTAM

AIS.OR.335 General — Digital data sets

AIS.OR.340 Metadata requirements

AIS.TR.300 General — Aeronautical information products



AIS.TR.305 Aeronautical information publication (AIP)

AIS.TR.310 AIP amendments

AIS.TR.315 AIP supplements

AIS.TR.320 Aeronautical information circular (AIC)

AIS.TR.330 NOTAM

AIS.TR.335 General— Digital data sets

Supporting Material


GM1 AIS.OR.300 Aeronautical information products

AMC1 AIS.OR.325 Aeronautical charts

GM1 AIS.OR.335(a) General — Digital data sets

GM1 AIS.TR.335(b) General — Digital data sets

ICAO Doc 10066 5.2 Aeronautical Information in a

Standardised Presentation

5.3 Digital Data

EUROCONTROL-SPEC-146 All

EUROCONTROL-GUID-0121 All



GM1 AIS.TR.240 Annotations

EUROCONTROL Specification for AIP Data Set Coding using AIXM 5.1.1

EUROCONTROL Specification for Obstacle Data Set Coding using AIXM 5.1.1

EUROCONTROL Specification for Instrument Flight Procedures Design Data Set Coding using AIXM 5.1.1

EUROCONTROL Specification for Digital NOTAM Data Set Coding using AIXM 5.1.1

EUROCAE ED-98C User Requirements for Terrain And Obstacle Data

EUROCAE ED-99D User Requirement for Aerodrome Mapping Information

EUROCAE ED-119C Interchange Standards for Terrain, Obstacle and Aerodrome Mapping Data



2. Configuration management of products.

Known Issues

1. Individual products are inconsistent.

2. Products do not conform to specifications.

Recommendations

1. Production processes to link to (or be based on) common, consistent data source.




S1O21.1

Refer to Data Product Specification (DPS)

S1O21.2

Create product

S1O21.3

Verify product

S1O21.4

Confirm consistency checks with other products

S1O21.5

Seek approval

S1O21.6

Archive product

Product verified?

Yes

No

Product approved?

Yes

No

Product consistent?

Yes

No




7.6.22 Objective 22: Annotate AIS Data / Products for Limitations Scenario 1: Implementation by AIS Provider

Objective 22: Annotate AIS Data / Products for Limitations

Description The Annotate AIS Data / Products for Limitations objective describes how data that does not meet its data

quality requirements and/or has limitations attached to its use is identified and annotated, and how any products the data is included in are annotated.

Step Activity

1. Identify data quality requirements 1. Identify data quality requirements for product data.

2. Determine non-compliant data 1. Identify data non-compliant with data quality requirements. 2. Record details of non-compliant data.

3. Annotate non-compliant data 1. Annotate data non-compliant with data quality requirements.

4. Determine limitations on use of data

1. Assess the metadata to determine data limitations. 2. Record data limitations.

5. Annotate product with limitations 1. Annotate product to reflect limitations of data.


Annex VI to CIR 2017/373 AIS.OR.240 Data limitations

AIS.TR.240 Data limitations

Supporting Material

AMC-GM to Annex VI (Part-AIS) to CIR 2017/373 GM1 AIS.TR.240 Data limitations - Annotation




3. Configuration management.

Known Issues

1. Inconsistent approaches to annotation.

2. Parties are not aware of their individual responsibilities.

3. Annotations will not solve issues and need to be kept to minimum to avoid limitations in use of data.

Recommendations

1. All production processes to link to (or be based on) common, consistent data source.

2. Flag and resolve any data inconsistency as early as possible in the process.




S1O22.1

Identify data quality requirements

S1O22.2

Determine non-compliant data

S1O22.3

Annotate non-compliant data

S1O22.4

Determine limitations on use of data

S1O22.5

Annotate product with limitations

Non-compliant data?

Yes

No

Limitations apply?

Yes

No




7.6.23 Objective 23: Distribute AIS Products Scenario 1: Implementation by AIS Provider

Objective 23: Distribute AIS Products

Description The Distribute AIS Products objective describes how a product is distributed or made available to users.

Step Activity

1. Identify recipients for product 1. Record / register product users and/or subscriptions.

2. Determine means of delivery 1. Determine and record means of delivery for each user. 2. Implement delivery confirmation.

3. Upload product to distribution library

1. Archive replaced product. 2. Upload released product to library. 3. Amend any supporting technical information. 4. Record details of uploaded package.

4. Confirm correctness of upload 1. Review upload files. 2. Confirm accessibility of upload.

5. Notify pull users of product availability

1. Send notifications to users. 2. Record notification information.

6. Distribute product to push users

1. Distribute products. 2. Record distribution information.

7. Confirm successful delivery 1. Confirm delivery. 2. Record delivery confirmation.

8. Update lists of latest products 1. Review list of products. 2. Update list of products. 3. Publish list of products.





AIS.TR.305(a) eAIP

AIS.OR.400 Distribution services

AIS.OR.405 Pre-flight information services

AIS.OR.500 General – Aeronautical information products updates

AIS.OR.505 Aeronautical information regulation and control (AIRAC)

AIS.OR.515 Data set updates

AIS.TR.400 Distribution services



AIS.TR.500 General – Aeronautical information products updates

AIS.TR.515 Data set updates

Supporting Material

AMC1 AIS.TR.305(a) Aeronautical information publication (AIP)


GM1 AIS.OR.400(a) Distribution services - Delivery Method

GM1 AIS.TR.400(a) Distribution services - NOTAM

ICAO Doc 8126 - Volume II Chapter 5 Distribution



2. List of latest products.

3. Delivery confirmations.

Known Issues

1. Configuration management?

2. Product synchronisation?

Recommendations

1. Feedback should be sought from the users regarding the products and services provided by the AIS Provider.




S1O23.1

Identify recipients for product

S1O23.2

Determine means of delivery

S1O23.3

Upload product to distribution library

S1O23.4

Confirm correctness of upload

S1O23.5

Notify pull users of product availability

Upload correct?

Yes

No Delivery successful?

Yes

No

S1O23.6

Distribute product to push users

S1O23.7

Confirm successful delivery

S1O23.8

Update lists of latest products




7.6.24 Objective 24: Manage Occurrence Reporting Scenario 1: Implementation by AIS Provider

Objective 24: Manage Occurrence Reporting

Description The Manage Occurrence Reporting objective describes how reported occurrences should be investigated,

rectified and their reoccurrence prevented.

Step Activity

1. Receive and log report 1. Receive report. 2. Record report.

2. Define mitigating action 1. Analyse occurrence. 2. Identify mitigating action. 3. Record mitigating action.

3. Investigate report

1. Determine affected parties. 2. Invite affected parties to participate in investigation. 3. Investigate occurrence, identifying root cause. 4. Determine corrective action to be taken. 5. Determine preventive action to be taken. 6. Determine responsibilities for action. 7. Record findings.

4. Raise safety incident report 1. Raise safety incident. 2. Record details.

5. Perform corrective action 1. Perform safety assessment / safety support assessment. 2. Amend corrective action. 3. Implement corrective action.

6. Take preventive action 1. Perform safety assessment / safety support assessment. 2. Amend preventive action. 3. Implement preventive action.


Annex III to CIR 2017/373 ATM/ANS.OR.A.065 General Requirements - Occurrence reporting

Annex VI to CIR 2017/373 AIS.OR.235 Error reporting, error measurement,

and corrective actions

AIS.TR.235 Error reporting, error measurement, and corrective actions

Supporting Material


AMC1 ATM/ANS.OR.A.065 Occurrence reporting

GM1 ATM/ANS.OR.A.065 Occurrence reporting


GM1 AIS.OR.235 Error reporting, error measurement and corrective actions






2. Evidence of occurrence reporting and rectification.


Known Issues

1. Lack of formal process.

Recommendations

1. Encourage users to report any issues via simple tools, ideally online.

2. Perform user surveys at regular intervals.


S1O24.5


S1O24.1

Receive and log report

S1O24.2

Define mitigating action

S1O24.3

Investigate report

S1O24.4

Raise safety incident report

S1O24.6

Take preventative action




7.6.25 Objective 25: Manage Changes to the Functional System Scenario 1: Implementation by AIS Provider

Objective 25: Manage Changes to the Functional System

Description The Manage Changes to Functional System objective describes how to monitor, identify, implement and

seek approval for changes to a functional system.

Step Activity

1. Oversee functional system 1. Review functional system. 2. Document findings.

2. Identify changes required 1. Record changes required. 2. Review changes.

3. Plan change, including cooperation

1. Define implementation plan for changes. 2. Communicate implementation plan. 3. Coordinate with other parties.

4. Assess impact of change

1. Perform impact assessment / safety assessment / safety support assessment.

2. Record findings. 3. Amend planned changes.

5. Seek approval for change 1. Submit request for approval, including all evidence. 2. Inform other relevant parties of planned change, if affected.

6. Implement change 1. Implement changes. 2. Submit application for acceptance of functional system. 3. Record acceptance.



ATM/ANS.OR.A.040 General Requirements - Changes — general

ATM/ANS.OR.A.045 General Requirements - Changes to a functional system

ATM/ANS.OR.B.010 Management - Change management procedures

Supporting Material


AMC1 ATM/ANS.OR.A.040 Changes - general

AMC1 ATM/ANS.OR.A.045(a) Changes to a functional system

AMC1 ATM/ANS.OR.B.010(a) Change management procedures

AMC2 ATM/ANS.OR.B.010(a) Change management procedures

GM1 ATM/ANS.OR.B.010(a) Change management procedures



GM1 to AMC1 ATM/ANS.OR.B.010(a) Change management procedures


1. Acceptance of functional system by Competent Authority.

2. Change management plan for functional system.

Known Issues

1. Lack of awareness of components comprising functional system.

2. Changes not managed and notified as a consequence.

Recommendations

1. Make all parties aware of their responsibilities within the functional system and impact on others.


S1O25.1

Oversee functional system

S1O25.2

Identify changes required

S1O25.3

Plan change, including cooperation

S1O25.4

Assess impact of change

S1O25.5

Seek approval for change

S1O25.6

Implement change




7.7 Scenario 2: Implementation by ATM/ANS Provider as Data Originator

7.7.1 Objective 1: Define and Implement Processes and Procedures Scenario 2: Implementation by ATM/ANS Provider as Data Originator


Description The Define and Implement Processes and Procedures objective describes the activities needed to assess, amend, train, trial, implement and oversee processes and procedures related to data processing and which


Step Activity





1. Amend /create processes and procedures to address non-conformities.







6. Trial processes and procedures relating to d aeronautical data






1. Plan internal audit / compliance review as per established schedule.

2. Prepare plan. 3. Provide plan.

9. Perform internal audit / compliance review of




processes and procedures relating to aeronautical data







Annex III to CIR 2017/3737 ATM/ANS.OR.A.080 Provision of aeronautical data



Supporting Material


GM1 ATM/ANS.OR.085 Aeronautical data quality management - Urgent Distribution











GM1 ATM/ANS.OR.A.085(d) Aeronautical data quality management - Validation and Verification








GM1 ATM/ANS.OR.A.085(f) Aeronautical data quality management - Formal Arrangements

GM1 ATM/ANS.OR.A.085(i) Aeronautical data quality management - Software

GM2 ATM/ANS.OR.A.085(i) Aeronautical data quality management - Tools


GM2 ATM/ANS.OR.A.085(j) Aeronautical data quality management - Data Error Processing

GM1 ATM/ANS.OR.A.085(l) Aeronautical data quality management - Error Handling










2. Safety support assessment / safety support assessment findings.


Known Issues

1. Lack of formally captured processes and procedures or documented processes and procedures do not reflect day-to-day activities.





Recommendations





3. Competence management, including the provision of training to ensure staff are suitably qualified, is necessary to ensure data quality is achieved and maintained, any changes to the defined processes should triggering a review and update as necessary.




S2O1.1


S2O1.2


S2O1.3


S2O1.4


S2O1.5


S2O1.6


S2O1.7






S2O1.10





7.7.2 Objective 2: Establish Verification and Validation Procedures Scenario 2: Implementation by ATM/ANS Provider as Data Originator




Step Activity








ATM/ANS.OR.A.085(a) Aeronautical data quality - Aeronautical Data Catalogue (DQR)

ATM/ANS.OR.A.085(d) Aeronautical data quality - Validation and Verification

Supporting Material



Aeronautical Data Quality Management - Validation and Verification

GM1 ATM/ANS.OR.A.085(d) Aeronautical data quality - Validation and Verification – General

GM2 ATM/ANS.OR.A.085(d) Aeronautical data quality - Validation and Verification Techniques




Known Issues



Recommendations



8 Relevant DQRs should have already been defined and those applicable will be identified from those established.




S2O2.1



data




7.7.3 Objective 3: Assure Tools and Software Scenario 2: Implementation by ATM/ANS Provider as Data Originator




Step Activity

1. Identify tools and software 1. Identify tools and software currently used in data processes. 2. Determine tools and software requiring assurance, documenting

findings.





4. Perform tool assessment/validation and verification





Annex III to CIR 2017/373 ATM/ANS.OR.A.085(i) Tools and Software

Supporting Material


AMC1 ATM/ANS.OR.A.085(g) Evidence

GM1 ATM/ANS.OR.A.085(i) Software

GM2 ATM/ANS.OR.A.085(i) Tool Qualification


1. Tool operational requirements documentation.

2. Tool qualification plan.

3. Tool qualification results.

4. Manufacturer’s declarations of conformity / suitability for use.

5. Technical File.

Known Issues

1. Lack of understanding of tool qualification process.

2. Cost of tool qualification.

3. Lack of defined requirements for tools.

4. Agreement on scope of tools to be qualified.



5. Choice of software safety assurance standard to be applied.

6. No retention policy for old tools / old version of tools.

7. The pace of change in the context of airspace and related (change) requirements moving faster than the development of AIXM (e.g. DHO).

Recommendations

1. Ensure that each requirement is uniquely identified.

2. Agree any software safety assurance / safety support assessment standard with the Regulator.




S2O3.1


S2O3.2


S2O3.3


S2O3.4


S2O3.5

Confirm readiness




7.7.4 Objective 4: Establish Process to Monitor Data Scenario 2: Implementation by ATM/ANS Provider as Data Originator


Description The Establish Process to Monitor Data objective describes the activities to be undertaken to ensure that those items which are the responsibility of the ATM/ANS Provider to provide are regularly reviewed and

updated, where necessary.

Step Activity


1. Use the established Data Catalogue. 2. Record review cycle for all data items provided for publication

and identify relevant data activities.







1. Request Data Origination / Provision, and / or 2. Originate Data


Annex III to CIR 2017/373 ATM/ANS.OR.A.080(b) Provision of aeronautical data

Supporting Material



All




Known Issues

N/A

Recommendations

N/A




S2O4.1


S2O4.2


S2O4.3

Review data

S2O4.4


S2O4.5





7.7.5 Objective 5: Establish and Manage Formal Arrangements Scenario 2: Implementation by ATM/ANS Provider as Data Originator



need for and develop, implement and monitor Formal Arrangements which accurately describe the responsibilities of parties in providing and receiving data.

Step Activity




3. If no assignment exists, for each property/sub-property in the Data Catalogue identify the parties transmitting / providing data.

4. Agree assignments with the identified parties. 5. Discuss/agree the assignments with the Regulator.


1. Using the assignments, identify and document data items within the responsibility of the party which are provided by the party itself or parties acting on their behalf (contracted activities) for publication in AIS products.



1. Create template.

2. Confirm compliance with regulatory needs.

3. Agree template with relevant parties, e.g. Regulator, legal, etc.


1. Use Data Catalogue from Step 1. to identify where Formal Arrangements are required.


3. Discuss the relevant details that are to be covered within the Formal Arrangements (e.g. scope, data items, standards, reporting, performance, etc.).

4. Prepare Formal Arrangements based on the agreed template.

5. Agree Formal Arrangements with each party.

6. Sign and implement Formal Arrangements.

5. Manage Formal Arrangements 1. Record performance.

2. Address non-achievement or issues.






7. Revise Formal Arrangements

1. Revise Formal Arrangements.

2. Discuss/agree updated Formal Arrangements with each party.

3. Sign and implement updated Formal Arrangements.



ATM/ANS.OR.A.085(c) Data Origination

ATM/ANS.OR.A.085(f) Aeronautical data quality management


Supporting Material


AMC1 ATM/ANS.OR.A.085(f) Formal Arrangements — Content

GM1 ATM/ANS.OR.A.085(f) Formal Arrangements — Template



AMC1 ATM/ANS.OR.A.090(b) Common reference systems for air navigation - Vertical Reference System




EUROCONTROL ADQ Formal Arrangements Template


1. Signed Formal Arrangements.


Known Issues






Recommendations

1. Regulator involvement is recommended.


S2O5.1




S2O5.3




S2O5.5




S2O5.7





7.7.6 Objective 6: Coordinate With AIS Provider Scenario 2: Implementation by ATM/ANS Provider as Data Originator

Objective 6: Coordinate With AIS Provider

Description The Coordinate With AIS Provider objective describes the activities to be undertaken to ensure that matters

that need to be reported to the AIS Provider are done so in accordance with the Formal Arrangements or reporting procedures in place.

Step Activity

1. Identify AIS-reporting procedure(s)

1. Using the Data Catalogue, identify existing AIS-reporting processes to ensure that all required data items are provided and maintained.

2. Make arrangements to report to AIS on matters of operational significance

1. Engage with AIS Provider and confirm that the Data Originator is making full use of and has full access to the existing interface between the AIS Provider and Data Originators.

2. Follow Formal Arrangements agreed with AIS Provider. 3. Update Formal Arrangements if/when necessary.

3. Establish reporting procedures

1. Identify and document matters of operational significance (other than those established in Step 1) that shall be reported to the AIS Provider and identify the AIS products normally used to promulgate this information.

2. Identify changes which need to be approved by the Competent Authority prior to publication (if any).

4. Follow AIRAC system and any other publication schedule established by AIS

1. Identify relevant cut-off dates made available by the AIS Provider for each AIRAC cycle and follow the schedule when notifying about matters which shall be promulgated in accordance with the AIRAC cycle.

2. Identify relevant cut-off dates made available by the AIS Provider for any other publication schedule established by the AIS Provider (if any) and follow the schedule.


Annex III to CIR 2017/373 ATM/ANS.OR.A.080 Provision of aeronautical data

Supporting Material


1. Timely submissions of data to the AIS Provider.

Known Issues

1. Roles and responsibilities are not clearly defined, and reporting does not follow any standard procedure (e.g. the same matter is reported randomly by an Operational Manager/Duty Officer/ATCO – without any instruction to do so).

Recommendations

1. Establish regular coordination meetings at the working level.



2. Establish a good working relationship with the AIS Provider (including attendance in AIS Provider user forums).


S2O6.1

Identify AIS-reporting procedure(s)

S2O6.2Make arrangements to report

to AIS on matters of operational significance

S2O6.3

Establish reporting procedures

S2O6.4Follow AIRAC system and

any other publication schedule established by AIS




7.7.7 Objective 7: Self-Assess and Monitor Compliance With Relevant Regulations

Scenario 2: Implementation by ATM/ANS Provider as Data Originator

Objective 7: Self-Assess and Monitor Compliance With Relevant Regulations

Description The Self-Assess and Monitor Compliance With Relevant Regulations objective describes how the work


Step Activity









Annex III to CIR 2017/373 ATM/ANS.OR.B.005(c) Management system

Supporting Material


AMC1 ATM/ANS.OR.B.005(c)

Management system - Compliance Monitoring

GM1 ATM/ANS.OR.B.005(c) Management system - Compliance Monitoring Organisational Set-Up





Known Issues




Recommendations

1. Make use of compliance function (compliance officer or similar) within the organisation.





S2O7.1


S2O7.2


S2O7.3





7.7.8 Objective 8: Error Reporting, Measurement and Corrective Actions Scenario 2: Implementation by ATM/ANS Provider as Data Originator

Objective



community informed.

Step Activity





















Annex III to CIR 2017/373 ATM/ANS.OR.A.085(j) Aeronautical data quality - Digital

data error detection

ATM/ANS.OR.A.085(l) Aeronautical data quality management – Error Handling

Supporting Material


AMC-GM to Annex III (Part-ATM/ANS.OR) of CIR 2017/373 GM1 ATM/ANS.OR.A.085(l) Aeronautical data quality

management – Error Handling





Known Issues

1. Error processes may be restricted to only incidents.

2. Formal recording of errors captured during normal data processing do not need to be captured in an error process. The error process should be used to manage ‘escaping’ errors.

Recommendations

1. Any reported error needs to be reported by any participant in the data chain to the AIS Provider. Each party has a duty to actively inform the input (party) and output (party).




S2O8.1


S2O8.2


S2O8.3


S2O8.4

Investigate error

S2O8.5


S2O8.6


S2O8.7

Close error report




7.7.9 Objective 9: Request Data Origination / Provision Scenario 2: Implementation by ATM/ANS Provider as Data Originator


Description The Request Data Origination / Provision objective describes how data should be formally requested from a

provider of data.

Step Activity









1. Review the Request for Origination/Provision, ensuring that the correct originator / provider of data has been identified, that the request is clear, complete and accurate and in accordance with the applicable Formal Arrangements.


1. Send Request for Origination/Provision and supporting documentation to the originator / provider of data.




Annex III to CIR 2017/373 ATM/ANS.OR.A.085 Aeronautical data quality

management


Supporting Material


GM1 ATM/ANS.OR.A.085(a) Aeronautical data quality management – Purpose












Aeronautical data quality management – Formal Arrangements

GM1 ATM/ANS.OR.A.085(f) Aeronautical data quality management – Formal Arrangements








GM1 ATM/ANS.OR.A.090(c) Temporal Reference System



All





Known Issues

1. Lack of common approach to Requests for Origination/Provision.

2. Lack of understanding of Data Product Specifications.

Recommendations

1. Make use of templates (e.g. a Data Product Specification (DPS) template).




S2O9.1

Establish originator/providerof data

S2O9.2


S2O9.3


S2O9.4


S2O9.5



No




7.7.10 Objective 10: Originate Data Scenario 2: Implementation by ATM/ANS Provider as Data Originator




Step Activity



identified.


1. Determine the origination requirements, including the standards to be met and the data quality requirements by referencing, as applicable: • The Formal Arrangements. • The Request for Origination/Provision. • The Data Product Specification (DPS).

3. Originate data




4. Process data

1. Verify and validate that data meets its quality requirements and Data Product Specification (DPS).



5. Coordinate data











Annex III to CIR 2017/373 ATM/ANS.OR.A.085 Aeronautical data quality

management


Supporting Material


























All




3. Requests for Origination/Provision.



Known Issues


2. Ambiguous Requests for Origination/Provision.

Recommendations



3. List of approved / accepted data providers.





Validatedrequest?

Yes

No

S2O10.1


S2O10.3

Originate data

S2O10.2


S2O10.9


S2O10.4

Process data

S2O10.5

Coordinate data

S2O10.6

Obtain approvals

S2O10.7


S2O10.8

Close request




7.7.11 Objective 11: Collect Data Scenario 2: Implementation by ATM/ANS Provider as Data Originator



changes to the collected data are identified. This is objective is applied when data is originated by a function other than the ATM/ANS provider and the originating party notifies that new data is available.

Step Activity




2. Collect data


changes to data.


4. Process data






ATM/ANS.OR.A.085(e) Electronic Means

ATM/ANS.OR.A.085(h) Metadata

ATM/ANS.OR.A.085(j) Data Error Detection

ATM/ANS.OR.A.085(k) Authentication

Supporting Material


GM1 ATM/ANS.OR.A.085(e) Electronic Means

GM1 ATM/ANS.OR.A.085(j) Data Error Detection Techniques

GM2 ATM/ANS.OR.A.085(j) Data Error Processing



All








Known Issues



Recommendations

1. Consider direct delivery of reports and data into the AIS Provider’s system based on Formal Arrangements.


S2O11.1


S2O11.2

Collect data

S2O11.3


S2O11.4

Process data




7.7.12 Objective 12: Transmit Data Scenario 2: Implementation by ATM/ANS Provider as Data Originator

Objective 12: Transmit Data

Description The Transmit Data objective describes the activities to be undertaken to submit data to the AIS Provider in

accordance with the Formal Arrangements in place.

Step Activity

1. Determine if data is ready for transmission

1. Receive notification of data available for provision to the next intended user.

2. Confirm that the data transmission process should be initiated.

2. Assess readiness to submit data

1. Review and confirm readiness to submit data (there is a need to submit data and mechanisms are in place to transmit data to AIS Provider).

3. Transmit data 1. Exchange data with AIS Provider in accordance with management system documents and Formal Arrangements.




ATM/ANS.OR.A.085(e) Aeronautical data quality - Electronic Means

ATM/ANS.OR.A.085(h) Aeronautical data quality - Metadata

ATM/ANS.OR.A.085(j) Aeronautical data quality - Error Detection

ATM/ANS.OR.A.085(k) Aeronautical data quality - Authentication

Supporting Material


GM1 ATM/ANS.OR.A.085(e) Aeronautical data quality - Electronic Means

GM1 ATM/ANS.OR.A.085(j) Aeronautical data quality - Data Error Detection Techniques

GM2 ATM/ANS.OR.A.085(j) Aeronautical data quality - Data Error Processing



All




1. Timely submissions of data to AIS Provider.

Known Issues



1. Not allowing sufficient time for AIS Provider to process and publish data in desired AIRAC cycle (e.g. incomplete last-minute submissions). Late delivery and late cancellations.

2. Where manual data entry is used, additional verification checks are often inappropriate to ensure that no errors have been introduced.

Recommendations

1. Share and use a common (online) AIRAC calendar.

2. Build the AIRAC cycle into the data submission component of any Data Provision Tool used so that the Data Provider can only select the available AIRAC dates.


S2O12.1

Determine if data is ready for transmission

S2O12.2

Assess readiness to submit data

S2O12.3

Transmit data




7.7.13 Objective 13: Manage Occurrence Reporting Scenario 2: Implementation by ATM/ANS Provider as Data Originator

Objective 13: Manage Occurrence Reporting

Description The Manage Occurrence Reporting objective describes how reported occurrences should be investigated,

rectified and their reoccurrence prevented.

Step Activity

1. Receive and log report 1. Receive report. 2. Record report.

2. Define mitigating action 1. Analyse occurrence. 2. Identify mitigating action. 3. Record mitigating action.

3. Investigate report

1. Determine affected parties. 2. Invite affected parties to participate in investigation. 3. Investigate occurrence, identifying root cause. 4. Determine corrective action to be taken. 5. Determine preventive action to be taken. 6. Determine responsibilities for action. 7. Record findings.

4. Raise safety incident report 1. Raise safety incident. 2. Record details.

5. Perform corrective action 1. Perform safety assessment / safety support assessment. 2. Amend corrective action. 3. Implement corrective action.

6. Take preventive action 1. Perform safety assessment / safety support assessment. 2. Amend preventive action. 3. Implement preventive action.


Annex III to CIR 2017/373 ATM/ANS.OR.A.065 General Requirements - Occurrence reporting

Supporting Material


AMC1 ATM/ANS.OR.A.065 Occurrence reporting

GM1 ATM/ANS.OR.A.065 Occurrence reporting




2. Evidence of occurrence reporting and rectification.


Known Issues



1. Lack of formal process.

Recommendations

1. Encourage users to report any issues via simple tools, ideally online.

2. Perform user surveys at regular intervals.


S2O13.5


S2O13.1

Receive and log report

S2O13.2

Define mitigating action

S2O13.3

Investigate report

S2O13.4


S2O13.6

Take preventative action




7.8 Scenario 3: Implementation by Aerodrome Operator as Data Originator

7.8.1 Objective 1: Implement and Maintain Management System Scenario 3: Implementation by Aerodrome Operator as Data Originator

Objective 1: Implement and Maintain Management System

Description The Implement and Maintain Management System objective describes the activities needed to assess the

current management documentation in place in order to identify requirements for the development, implementation and maintenance of a compliant management system. The Management System addresses

quality, safety and security management systems that are typically implemented at the corporate level.

Step Activity

1. Create project team 1. Identify project lead. 2. Identify project personnel, including responsibilities.

2. Identify existing documentation covering quality objectives

1. Identify existing quality management system documentation covering all aeronautical data activities, including: • the quality policy; • quality assurance programme; • evidence of the functioning of the quality system by means

of manuals and monitoring documents.

3. Identify existing documentation covering safety objectives

1. Identify existing safety management system documentation covering all aeronautical data activities.

2. Identify Safety Managers’ roles and responsibilities. 3. Description of the safety management system relevant to

aeronautical data activities: • scope of the safety management system; • safety policy and objectives; • safety responsibilities of key safety personnel; • documentation control procedures; • safety risk management process, including hazard

identification and risk assessment schemes; • monitoring of implementation and effectiveness of safety

actions, and risk mitigation measures; • safety performance monitoring; • safety reporting (including hazard reporting) and

investigation; • emergency response planning; • management of change (including organisational changes

with regard to safety responsibilities); • safety promotion; and • safety management system outputs.



4. Identify existing documentation covering security objectives

1. Identify existing security management system documentation covering all aeronautical data activities.

2. Identify existing security processes, measures and standards so that data are protected from interference and restricted only to those authorised and therefore the risk of any aviation incident arising from data errors (intentional or accidental) is minimised.

3. Identify established means designed to detect security breaches. 4. Identify existing procedures relating to data security risk

assessment and mitigation, security monitoring and improvement, security reviews and lesson dissemination.

5. Identify established means designed to control the effects of security breaches, identifying recovery action and mitigation procedures to prevent reoccurrence.

6. Identify implemented measures to protect aeronautical data against cyber security threats.

5. Perform gap analysis

1. Identify roles to be involved in gap analysis. 2. Arrange gap analysis meetings. 3. Perform gap analysis of existing documentation for aeronautical

data activities against management system standard and applicable aeronautical data quality regulations.

4. Record findings. 5. Prepare gap analysis report. 6. Review gap analysis report.

6. Obtain management buy-in 1. Present gap analysis, resource estimates, timescales, benefits and envisaged work.

7. Develop company policies 1. Define requirements related to the management system. 2. Develop company policies.

8. Define and map company processes

1. Determine how management system requirements are to be met.

2. Identify required company processes / updates. 3. Draft implementation plan.

9. Document company processes 1. Develop / update company processes. 2. Review company processes. 3. Assess company processes.

10. Provide training to support the established management system

1. Identify training requirements. 2. Train personnel. 3. Update training records.

11. Trial management system

1. Trial management system. 2. Record trial findings. 3. Review trial findings. 4. Update management system. 5. Review management system.



12. Implement management system

1. Inform affected personnel of roll-out of the management system. 2. Withdraw former documentation. 3. Adjust records of configuration management.

13. Plan internal audit / compliance review of management system


14. Perform internal audit / compliance review of management system




15. Appoint external review body 1. Identify external body to perform an external audit / compliance review of the management system.

16. External audit / compliance review of management system

1. Arrange for external audit / compliance review. 2. Provide necessary input material. 3. Participate in audit / compliance review. 4. Review findings. 5. Define corrective actions. 6. Implement corrective actions. 7. Arrange audit / compliance review of corrective actions.

17. Oversight of management system


2. Perform internal audit / compliance review. 3. Support external audit / compliance review.


Regulation 139/2014 ADR.OR.D.005 Management system

ADR.OR.D.007 Management of aeronautical data and aeronautical information

Supporting Material

AMC/GM to Reg. 139/2014 All related AMC/GM


3. Quality Policy.

4. Quality assurance programme.



7. Company organogram.

8. Risk register.

9. Management system external and internal audit report & documented remedial actions.



10. Management system monitoring documents.

11. ISO certificate (if ISO).

Known Issues



3. Assigning too many responsibilities to one person.

4. Company has established a QMS but aeronautical data activities are not in its scope.

5. Working in silos - safety and security measures are often cross-departmental: • personnel responsible for security (including cyber – security) do not engage with other parts of

the organisation; • data-related risks are identified and managed in isolation (e.g. by the operations team) while

they often need to be assessed and addressed at a higher cross-departmental level (e.g. aerodrome operations, IT and HR Teams together).

Recommendations

1. Company policies should address topics such as safety, quality, security and risk management.

2. Integrated company policies may address more than one of these topics.

3. The scope of training provided will vary and must meet the structure of the company policies defined.

4. The quality policy is a statement made by top management which expresses its commitment to achieving quality throughout the company's operation.

5. The established management system shall provide the necessary assurance and confidence that distributed aeronautical data and aeronautical information meet their data quality requirements. The management system is an enabler used by the organisation to fulfil the tasks required to achieve its objectives. It is considered good practice to have one overarching management system in the organisation covering quality, safety and security management system objectives, embedded in the corporate governance, rather than three separate management system structures.





S3O1.1

Create project team


documentation covering quality objectives


documentation covering Safety objectives


documentation covering Security objectives

S3O1.5

Perform gap analysis

S3O1.6

Obtain management buy-in

S3O1.7

Develop company policies

S3O1.8

Define and map company processes

S3O1.9

Document company processes

S3O1.10Provide training to support the

established management system

S3O1.11

Trial management system

S3O1.12

Implement management system


compliance review of management system

S3O1.14Perform internal audit / compliance review of management system

S3O1.15

Appoint external review body

S3O1.16External audit / compliance

review of management system

S3O1.17

Oversight of management system




7.8.2 Objective 2: Define and Implement Processes and Procedures Scenario 3: Implementation by Aerodrome Operator as Data Originator


Description The Define and Implement Processes and Procedures objective describes the activities needed to assess, amend, train, trial, implement and oversee processes and procedures related to data activities and which


Step Activity





1. Amend / create processes and procedures to address non-conformities.







6. Trial processes and procedures relating to d aeronautical data







9. Perform internal audit / compliance review of processes and procedures relating to aeronautical data


2. Prepare report recording all findings and observations. 3. Publish report.



4. Agree and record corrective actions to be taken (with associated target dates).

5. Conduct follow-up review of actions.





Regulation 139/2014 ADR.OR.D.007 Management of aeronautical data and aeronautical information

ADR.OR.D.017 Training and proficiency check programmes

Supporting Material

AMC/GM to Reg. 139/2014 All related AMC/GM





Known Issues

1. Lack of formally captured process and procedures or documented processes and procedures do not reflect day-to-day activities.





Recommendations


1. Inclusion of staff involved in daily work in process and procedures development.





S3O2.1


S3O2.2


S3O2.3


S3O2.4


S3O2.5


S3O2.6


S3O2.7






S3O2.10





7.8.3 Objective 3: Establish Verification and Validation Procedures Scenario 3: Implementation by Aerodrome Operator as Data Originator




Step Activity







Proposed AMDT to Reg. 139/201410

ADR.OPS.A.030 Aeronautical data catalogue

ADR.OPS.A.035 Data validation and verification

Supporting Material

AMC/GM to Reg. 139/2014

AMC1 ADR.OR.D.007(a) Quality management system for aeronautical data and aeronautical information provision activities

GM1 ADR.OR.D.007(a) Quality management system for aeronautical data and aeronautical information provision activities

AMC1 ADR.OR.D.007(b) Security management for aeronautical data and aeronautical information provision activities

Draft AMC/GM to proposed AMDT to Reg. 139/2014 tbd once published


1. Software tools to verify and validate data

2. Formal Arrangements

3. Management system manual(s) and supporting documents (including work instructions)


Known Issues

1. Lack of awareness of validation and verification requirements.

9 Relevant DQRs should have already been defined and those applicable will be identified from those established. 10 Based on EASA Opinion 02/2018, consequential changes are being proposed to amend Commission Implementing Regulation 139/2014 (Delegated Act in process of adoption).



2. Processes are not adequate for the assigned integrity level of the data item (as per EUROCONTROL Specifications).

3. Inability to fully validate and verify data provided to it, only perform plausibility checks.


Recommendations




S3O3.1



data




7.8.4 Objective 4: Assure Tools and Software Scenario 3: Implementation by Aerodrome Operator as Data Originator




Step Activity

1. Identify tools and software 1. Identify tools and software currently used in data processes. 2. Determine tools and software requiring assurance, documenting

findings.





4. Perform tool assessment/validation and verification





Proposed AMDT to Reg. 139/2014 ADR.OPS.A.055 Tools and software

Supporting Material

Draft AMC/GM to proposed AMDT to Reg. 139/2014 tbd

EUROCAE ED-76A Standards for Processing Aeronautical Data All


1. Documented tool assessments.

2. Management system manual(s) and supporting documents (including work instructions and IT Protocols).

3. Evidence of assurance activities.

Known Issues

1. Lack of awareness of requirements for tools.

2. Using CD/DVD/pen-drives in any data activities.

3. No retention policy for old tools / old version of tools

Recommendations






S3O4.1


S3O4.2


S3O4.3


S3O4.4


S3O4.5

Confirm readiness




7.8.5 Objective 5: Establish Process to Monitor Data Scenario 3: Implementation by Aerodrome Operator as Data Originator


Description The Establish Process to Monitor Data objective describes the activities to be undertaken to ensure that those items that are the responsibility of the aerodrome to provide are regularly reviewed and updated,

where necessary.

Step Activity


1. Use the established aerodrome Data Catalogue. 2. Record review cycle for all data items provided by the

aerodrome and identify relevant data activities.







1. Objective 12: Request Data Origination / Provision 2. Objective 13: Originate Data


Regulation 139/2014 ADR.OPS.A.005 Aerodrome data

ADR.OPS.A.010 Data quality requirements

Proposed AMDT to Reg. 139/2014 ADR.OPS.A.010 Revised Data quality requirements

Supporting Material





Known Issues

N/A

Recommendations

N/A




S3O5.1


S3O5.2


S3O5.3

Review data

S3O5.4


S3O5.5





7.8.6 Objective 6: Establish and Manage Formal Arrangements Scenario 3: Implementation by Aerodrome Operator as Data Originator



need for and develop, implement and monitor Formal Arrangements which accurately describe the responsibilities of parties in providing and receiving data.

Step Activity




3. If no assignment exists, for each property/sub-property in the Data Catalogue identify the parties transmitting / providing data.

4. Agree assignments with the identified parties. 5. Discuss/agree the assignments with the Regulator.


1. Using the assignments, identify and document data items within the responsibility of the party which are provided by the party itself or parties acting on their behalf (contracted activities) for publication in AIS products.


3. Create template. 4. Confirm compliance with regulatory needs. 5. Agree template with relevant parties, e.g. Regulator, legal, etc.



1. Use Data Catalogue from Step 1. to identify where Formal Arrangements are required.


3. Discuss the relevant details that are to be covered within the Formal Arrangements (e.g. scope, data items, standards, reporting, performance, etc.).

4. Prepare Formal Arrangements based on the agreed template. 5. Agree Formal Arrangements with each party. 6. Sign and implement Formal Arrangements.

5. Manage Formal Arrangements 1. Record performance. 2. Address non-achievement or issues.




7. Revise Formal Arrangements 1. Revise Formal Arrangements.



2. Discuss/agree updated Formal Arrangements with each party. 3. Sign and implement updated Formal Arrangements.


Regulation 139/2014 ADR.OPS.A.010 Data quality requirements

Supporting Material

AMC and GM to Reg. 139/2014 AMC2 ADR.OPS.A.010 Data quality requirements Data quality requirements

AMC and GM to Reg. 139/2014 AMC1 ADR.OR.D.005(b)(11) Management system

Examples from other stakeholders CAP 1732 Aerodrome survey guidance

Appendix 1. Guidance on the content of Formal Arrangements between the Aerodrome Operator and the external organisation providing a survey of aeronautical data for the aerodrome).



All



1. Signed Formal Arrangements (all data items are provided in accordance with Formal Arrangements from the point of origination to the point of submission to the AIS Provider).

Known Issues



3. Lack of a Formal Arrangements template or use of many different Formal Arrangements templates.

4. Changing Formal Arrangements every time there is a change to the personnel (high number of changes).

5. Lack of efficient maintenance of Formal Arrangements leading to out-of-date documents remaining in force.

6. Difficulties in changing/amending valid business contracts.

Recommendations

1. Initially, when establishing Formal Arrangements, liaison with the Competent Authority is recommended (unless sufficient guidance has been provided at the national level).

2. Establishment of the Formal Arrangements between the aerodrome operator and the AIS Provider is normally led by the AIS Provider (following the AIS Provider’s process).




S3O6.1




S3O6.3




S3O6.5




S3O6.7





7.8.7 Objective 7: Coordinate With AIS Provider Scenario 3: Implementation by Aerodrome Operator as Data Originator

Objective 7: Coordinate With AIS Provider

Description The Coordinate With AIS Provider objective describes the activities to be undertaken to ensure that matters

that need to be reported to the AIS Provider are done so in accordance with the Formal Arrangements or reporting procedures in place.

Step Activity

1. Identify AIS-reporting procedure(s)

1. Using the aerodrome Data Catalogue, identify existing AIS- Provider reporting processes to ensure that all required data items are provided and maintained.

2. Make arrangements to report to AIS on matters of operational significance or affecting aircraft and aerodrome operations

1. Engage with the AIS Provider and confirm that the aerodrome is making full use of and has full access to the existing interface between the AIS Provider and Data Originators.

2. Follow Formal Arrangements agreed with AIS Provider. 3. Update Formal Arrangements if/when necessary.

3. Establish reporting procedures

1. Identify and document matters of operational significance or affecting aircraft and aerodrome operations (other than those established in Step 1) that shall be reported to the AIS Provider and identify the AIS products normally used to promulgate this information.

2. Identify changes which need to be approved by the Competent Authority prior to publication (if any).

4. Follow AIRAC system and any other publication schedule established by AIS

1. Identify relevant cut-off dates made available by the AIS Provider for each AIRAC cycle and follow the schedule when notifying about matters which shall be promulgated in accordance with the AIRAC cycle.

2. Identify relevant cut-off dates made available by the AIS Provider for any other publication schedule established by the AIS Provider (if any) and follow the schedule.


Regulation 139/2014 ADR.OPS.A.015 Coordination between aerodrome operators and providers of aeronautical information services

Proposed AMDT to Reg. 139/2014 ADR.OPS.A.010 Revised Data quality requirements

Supporting Material

AMC and GM to Reg. 139/2014 AMC1 ADR.OPS.A.015 Coordination between aerodrome operators and providers of aeronautical information services



1. Timely submissions of data to the AIS Provider.



Known Issues

1. Roles and responsibilities are not clearly defined, and reporting does not follow any standard procedure (e.g. the same matter is reported randomly by an Operational Manager/Duty Officer/ATCO – without any instruction to do so)

Recommendations

1. Establish regular coordination meetings at the working level.

2. Establish a good working relationship with the AIS Provider (including attendance in the AIS Provider’s user forums).


S3O7.1

Identify AIS-reporting procedure(s)

S3O7.2Make arrangements to report

to AIS on matters of operational significance

S3O7.3

Establish reporting procedures

S3O7.4Follow AIRAC system and

any other publication schedule established by AIS




7.8.8 Objective 8: Define and Implement Training Programme Scenario 3: Implementation by Aerodrome Operator as Data Originator

Objective 8: Define and Implement Training Programme

Description The Define and Implement Training Programme objective describes how a Competence Scheme and

training programme should be established to ensure that all staff are competent and trained for the activities that they perform.

Step Activity

1. Create Competence Scheme

1. Determine the regulatory requirements related to training and competence.

2. Identify minimum competency levels (requirements) for personnel involved in performing data activities in accordance with the relevant regulations.

3. Record competence levels. 4. Identify training for competence levels.

2. Determine training programme

1. Identify existing training programme for personnel involved in data activities (including contractors, if relevant).

2. Create or update the training programme for the identified training requirements, including refresher training.

3. Identify training needs

1. Using the Competence Scheme and training programme, determine the training needs for each role, identifying if any role changes require different competences to be recorded in the Competence Scheme.

2. Assess individuals, identifying any changes in their role and any gaps in competence.

3. Update Competence Scheme and training programme, as needed.

4. Update individual training records with required training.

4. Provide training

1. Provide training following training programme. 2. Gather feedback. 3. Update training records. 4. Record received feedback. 5. Update training programme.


Regulation 139/2014 ADR.OR.D.015 Personnel requirements

Supporting Material

AMC-GM to Reg. 139/2014 All related AMC/GM


1. Competence scheme/matrix including documented minimum competency levels.

2. Training plans.

3. Training records/history (evidence that personnel receive adequate training within the established timescale).



Known Issues

1. High level statements in training policy rather than an established and followed training plan relevant to roles with defined timescale.

2. Training provided in a reactive, not pro-active manner.

3. Employees responsible for the delivery of their training plan (with no support from the training manager/line managers) – leading to delays in the delivery of the plan and also a lack of control/visibility of the delivery of the training programme.

Recommendations

1. Monitoring of the delivery of the training programme – including reminders to personnel requiring training and reports to their line managers and training managers. Make it as easy as possible for your personnel – they should not have to organise/chase training.

2. Training should include, as a minimum, the promotion of safety awareness around the organisation by sharing lessons arising from safety activities.

3. All staff should be involved in proposing solutions to identified safety issues and improvements to assist the effectiveness and efficiency of the processes.




S3O8.1

Create Competence Scheme

S3O8.2

Determine training programme

S3O8.3

Identify training needs

S3O8.4

Provide training




7.8.9 Objective 9: Self-Assess and Monitor Compliance with Relevant Regulations

Scenario 3: Implementation by Aerodrome Operator as Data Originator

Objective 9: Self-Assess and Monitor Compliance with Relevant Regulations

Description The Self-Assess and Monitor Compliance with Relevant Regulations objective describes how the work


Step Activity



2. Plan compliance review

1. Plan internal compliance review schedule in accordance with management system requirements.

2. Prepare compliance review plan. 3. Provide compliance review plan.






Regulation 139/2014 ADR.OR.D.005 Management system

Supporting Material

Draft AMC-GM to Reg. 139/2014 AMC1 ADR.OR.D.005(b)(11) Compliance Monitoring


1. Evidence demonstrating that the compliance monitoring process is implemented, maintained and continually reviewed and improved as necessary.

2. Management system manual(s) and supporting documents (including work instructions) regarding compliance monitoring process.




Known Issues

1. Aeronautical data activities are not in the scope of the compliance monitoring process.

2. Compliance monitoring process does not cover the full extent of data activities (e.g. does not cover contracted activities).






Recommendations

N/A


S3O9.1


S3O9.2


S3O9.3





7.8.10 Objective 10: Error Reporting, Measurement and Corrective Actions

Scenario 3: Implementation by Aerodrome Operator as Data Originator



community informed.

Step Activity






















Proposed AMDT to Reg. 139/2014 ADR.OPS.A.040 Error handling requirements

Supporting Material

Draft AMC-GM to Reg. 139/2014 tbd


1. Records of identified data errors and the consequential corrective actions taken.

2. Each provided data item traceable from the point of submission to AIS Provider to the point of origination.

Known Issues

1. Relying on manual entry of data. 2. Formal recording of errors captured during normal data processing do not need to be captured in an

error process. The error process should be used to manage ‘escaping’ errors.

Recommendations

1. Manual data processes can be compliant with data quality requirements, but it is recommended to limit manual data entries to the minimum.


3. Give priority to errors in critical or essential data.




S3O10.1


S3O10.2


S3O10.3


S3O10.4

Investigate error

S3O10.5


S3O10.6


S3O10.7

Close error report




7.8.11 Objective 11: Manage Requests for Data Changes Scenario 3: Implementation by Aerodrome Operator as Data Originator

Objective 11: Manage Requests for Data Changes

Description The Manage Requests for Data Changes objective describes how requests for data changes should be

checked before further processing.

Step Activity

1. Receive request

1. Receive internal/external notification about changes to aeronautical data (e.g. new survey, new permanent or temporary obstacle or operational changes at the airport).

2. Confirm the appropriate role (e.g. function, name, organisation, etc.) to process data (as established in Objective 1 and documented in management system documents) and forward the request to the relevant (competent) personnel without undue delay.

3. If not already established, assess whether there is a need to establish Formal Arrangements with the party providing data.

2. Verify request

1. Confirm that the request relates to aeronautical information defined in the Data Catalogue.

2. Confirm that the request is clear, complete and the timescales are feasible.

3. Determine if the request has been submitted by the correct provider of data, in accordance with the Formal Arrangements.

4. If the provider of data is not the correct one, determine action to be taken.

5. Record findings of verification of request.

3. Assess verification outcome

1. Determine if the request is ready for validation, if the provider of data or State Designated Authority needs to be contacted for clarification or if the request should be rejected.

2. Record outcome of the verification activity.

4. Apply change request 1. Hand over the change request to the relevant process team.

5. Reject request 1. Notify provider of data that the request has been rejected,

providing the reasons for this.

2. Record details of the rejection sent.



Proposed AMDT to Reg. 139/2014 ADR.OPS.A.010 Data quality requirements

Supporting Material




EUROCONTROL Guidelines for the provision of Metadata to support the Exchange of Aeronautical Data.



2. Software tools to manage the receipt of data changes.

3. Management system manual and supporting documents (including work instructions).


5. Each provided data item traceable from the point of submission to AIS Provider to the point of origination.

Known Issues

1. Requests received not in defined format.

2. Requests received by unauthorised Data Providers.

Recommendations

N/A





No

S3O11.1

Receive request

S3O11.2

Verify request

S3O11.3

Assess verification outcome

S3O11.4

Apply change request

S3O11.5

Reject request




7.8.12 Objective 12: Request Data Origination / Provision Scenario 3: Implementation by Aerodrome Operator as Data Originator


Description The Request Data Origination / Provision objective describes how data should be formally requested from a

provider of data.

Step Activity









1. Review the Request for Origination/Provision, ensuring that the correct originator/provider of data has been identified, that the request is clear, complete and accurate and in accordance with the applicable Formal Arrangements.


1. Send Request for Origination/Provision and supporting documentation to the originator/provider of data.





ADR.OR.D.007 Revised


ADR.OPS.A.020 Common reference systems


Supporting Material

Draft AMC-GM to Reg. 139/2014



All



2. Data Product Specifications






6. AIP change requests resulting from the data origination.

7. Each provided data item traceable from the point of submission to the AIS Provider to the point of origination.

8. Survey reports.

9. IFP/airspace design.

10. Relevant processes included in QMS or management system manual(s) and supporting documents (including work instructions).

11. Safeguarding Map/Software.

12. Obstacle assessment reports.

Known Issues

1. Lack of awareness/understanding of requirements for data origination.

2. Gaps between aerodrome surveys and IFP reviews.

3. Delay in updates to the aerodrome obstacle dataset (should be updated as soon as possible).

4. Delays at any stage of the safeguarding process.

5. NOTAM proliferation.

Recommendations

1. Minimise the number of parties involved in the upstream data chain. If it is considered beneficial for the aerodrome operator (e.g. cost reduction), feasible for the AIS Provider and permitted by the Competent Authority, the aerodrome operator may appoint other parties to originate or process aeronautical data at the aerodrome’s request and to submit data to the AIS Provider on its behalf (this shall be reflected in the Formal Arrangements).

2. Identify: • the latest full survey date and status of its compliance with data quality requirements; • aeronautical data items which are not compliant with data quality requirements; • all data products, including non-compliant data (if there are any) e.g. AIP, IFP design, etc.; • transition plan for achieving full compliance with data quality requirements (if not already achieved),

including date of the full compliant survey and date when all aeronautical information products, including aerodrome data, will be compliant;

• procedures for continuous monitoring of the obstacle environment and annual review of the aeronautical data;

• aerodrome safeguarding procedures (including IFP safeguarding); • existing data provision and maintenance arrangements (with timescales and evidence); • required data provision and maintenance arrangements (with timescales and evidence).




S3O12.1

Establish originator/provider of data

S3O12.2


S3O12.3


S3O12.4


S3O12.5



No




7.8.13 Objective 13: Originate Data Scenario 3: Implementation by Aerodrome Operator as Data Originator




Step Activity



identified.


1. Determine the origination requirements, including the standards to be met and the data quality requirements by referencing, as applicable: • The Formal Arrangements. • The Request for Origination. • The Data Product Specification (DPS).

3. Originate data




4. Process data

1. Verify and validate that data meets its requirements and Data Product Specification (DPS).



5. Coordinate data














ADR.OPS.A.020 Common reference systems

ADR.OPS.A.025 Data error detection and authentication



ADR.OPS.A.045 Metadata

ADR.OPS.A.050 Data transmission

ADR.OPS.A.055 Tools and software

Supporting Material




All


1. Data Product Specification (DPS).


3. Software tools to manage/process data.

4. Origination Reports



Known Issues

1. Lack of awareness/clarity of requirements for data origination.

2. Data origination process does not address EUROCONTROL Specifications and/or it is unknown whether the established mechanisms are compliant with data quality requirements.

3. Aerodrome operator does not originate data but receives it from the originator for submission to the AIS Provider – and is unaware of its part in the data chain (data can be changed or corrupted by the aerodrome operator).


Recommendations





Validatedrequest?

Yes

No

S3O13.1


S3O13.3

Originate data

S3O13.2


S3O13.9


S3O13.4

Process data

S3O13.5

Coordinate data

S3O13.6

Obtain approvals

S3O13.7


S3O13.8

Close request




7.8.14 Objective 14: Collect Data Scenario 3: Implementation by Aerodrome Operator as Data Originator



changes to the collected data are identified. This is objective is applied when data is originated by a function other than the Aerodrome operator and the originating party notifies that new data is available.

Step Activity




2. Collect data


changes to data.


4. Process data











Supporting Material





Known Issues

1. Lack of awareness of requirements for data origination, exchange and collection.

2. Data collection process is unknown or it is unknown whether the established mechanisms are compliant with data quality requirements.



3. Aerodrome operator often does not originate data but simply receives it from the originator for submission to the AIS Provider – and is unaware of its part in the data chain (data can be changed or corrupted by the aerodrome operator) - see Objective 10 for more information.



6. Incompleteness of some data provided by Data Originators / Data Providers.

Recommendations

1. Clarify the roles and responsibilities in the Formal Arrangements.


S3O14.1


S3O14.2

Collect data

S3O14.3


S3O14.4

Process data




7.8.15 Objective 15: Store Data Scenario 3: Implementation by Aerodrome Operator as Data Originator

Objective 15: Store Data

Description The Store Data objective describes the activities to be undertaken to ensure that verified and validated data

is stored correctly and then made available for further processing.

Step Activity

1. Confirm readiness for storage 1. Confirm that all necessary data, metadata and approvals are in

place for data prior to storage and that the data has been validated and verified.

2. Store data 1. Store the data in the appropriate data store. 2. Check that the data has been correctly stored. 3. Record results of checks performed.

3. Approve data for further processing 1. Approve the stored data for further processing.

4. Make data available for use

1. Set status of stored data to available so that it is available for further processing.

2. Notify that data is available. 3. Record the notification.


Regulation 139/2014 ADR.OR.D.007 Management of aeronautical data

and aeronautical information

ADR.OR.D.035 Record keeping









1. Existing data storage solutions.

2. Management system manual(s) and supporting documents (including work instructions and IT protocols).

Known Issues

1. Data storage solutions do not meet safety and security objectives (data is not protected from interference and only restricted to those authorised while in storage and therefore the risk of any aviation incident arising from data errors - intentional or accidental - is not minimised).

Recommendations



2. Do not delete data to help meet retention requirements.

3. Backup data regularly.

4. Test backups to ensure that they have worked.


Data approved?

Yes

No

S3O15.1

Confirm readiness for storage

S3O15.2

Store data

S3O15.3

Approve data for further processing

S3O15.4

Make data available for use




7.8.16 Objective 16: Transmit Data Scenario 3: Implementation by Aerodrome Operator as Data Originator


Description The Transmit Data objective describes the activities to be undertaken to submit data to the AIS Provider in

accordance with the Formal Arrangements in place.

Step Activity




2. Assess readiness to submit data

1. Review and confirm readiness to submit data (there is a need to submit data and mechanisms are in place to transmit data to the AIS Provider).

3. Transmit data 1. Exchange data with the AIS Provider in accordance with management system documents and Formal Arrangements.


Regulation 139/2014 ADR.OPS.A.005 Aerodrome data



ADR.OPS.A.010 Revised

ADR.OPS.A.050 Data transmission


Supporting Material



1. Timely submissions of data to AIS Provider.

Known Issues

1. Not allowing sufficient time for the AIS Provider to process and publish data in desired AIRAC cycle (e.g. incomplete last-minute submissions). Late delivery and late cancellations.


Recommendations


2. Build the AIRAC cycle into the data submission component of any Data Provision Tool used so the Data Provider can only select the available AIRAC dates.




S3O16.1


S3O16.2


S3O16.3

Transmit data




7.9 Scenario 4: Obligations for Data Originator Not Regulated by EASA

7.9.1 Objective 1: Establish Verification and Validation Procedures Scenario 4: Obligations for Data Originator Not Regulated by EASA




Step Activity





Primary Regulation Leading to State Enacted Action

CIR 2017/37312 Article 3(5) DQR contained in ATM/ANS.OR.A.085, 090

Supporting Material

Supporting material will be dependent upon the Member State’s means of complying with their regulatory obligations, as addressed by Scenario 6. Reference should be made to the national aviation regulation authorities to seek guidance on compliance with this objective.




Known Issues


Recommendations


11 Relevant DQRs should have already been defined and those applicable will be identified from those established. 12 Commission Implementing Regulation 2017/373 as amended by Commission Implementing Regulation 2020/469.




S4O1.1



data




7.9.2 Objective 2: Self-Assess and Monitor Compliance with Relevant Regulations

Scenario 4: Obligations for Data Originator Not Regulated by EASA

Objective 2: Self-Assess and Monitor Compliance with Relevant Regulations

Description The Self-Assess and Monitor Compliance with Relevant Regulations objective describes how the work


Step Activity








Primary Regulation leading to Obligation

Regulation 2020/469 Article 3(5)

Supporting Material






Known Issues




Recommendations

1. Make use of compliance function (compliance officer or similar) if available within the organisation.





S4O2.1


S4O2.2


S4O2.3





7.9.3 Objective 3: Originate Data Scenario 4: Obligations for Data Originator Not Regulated by EASA




Step Activity



identified.


1. Determine the origination requirements, including the standards to be met and the data quality requirements by referencing, as applicable: • The Formal Arrangements. • The Request for Origination. • The Data Product Specification (DPS).

3. Originate data

1. Obtain any required data sets. 2. Originate data in accordance with Request for Origination, Data

Product Specification (DPS), Formal Arrangements, applicable standards and data quality requirements.


4. Process data

1. Verify and validate that data meet its quality requirements and Data Product Specification (DPS).



5. Coordinate data






9. Reject Request for Origination If step 1 fails: 1. Record reasons for rejecting Request for Origination. 2. Inform the party requesting data origination.




CIR 2017/373 Article 3(5) DQR contained in ATM/ANS.OR.A.085, 090

Supporting Material





3. Requests for Origination.



Known Issues


2. Ambiguous Requests for Origination.

Recommendations






Validatedrequest?

Yes

No

S4O3.1


S4O3.3

Originate data

S4O3.2


S4O3.9


S4O3.4

Process data

S4O3.5

Coordinate data

S4O3.6

Obtain approvals

S4O3.7


S4O3.8

Close request




7.9.4 Objective 4: Transmit Data Scenario 4: Obligations for Data Originator Not Regulated by EASA


Description The Transmit Data objective describes the activities to be undertaken to provide data to the body requesting

it.

Step Activity




2. Assess readiness to submit data 1. Review and confirm readiness to provide data.

3. Transmit data 1. Exchange data with the body requesting it in accordance with data quality requirements and any Formal Arrangements.


Regulation 2020/469 Article 3(5) DQR contained in ATM/ANS.OR.A.085, 090

Supporting Material



1. Timely submissions of data to body requesting the provision.

Known Issues

1. Not allowing sufficient time for data to be processed and published in desired AIRAC cycle (e.g. incomplete, last-minute submissions). Late delivery and late cancellations.

2. Were manual data entry is used, additional verification checks are often inappropriate to ensure that no errors have been introduce

Recommendations





S4O4.1


S4O4.2


S4O4.3

Transmit data




7.10 Scenario 5: Implementation by Competent Authority 7.10.1 Objective 1: Establishment of Certification and Oversight

Processes Scenario 5: Implementation by Competent Authority

Objective 1: Establishment of Certification and Oversight Processes

Description The Establishment of Certification and Oversight Processes objective describes the activities required to

establish processes to perform an initial certification of ATM/ANS Providers and Aerodrome Operators and the processes required to subsequently audit and oversee them.

Step Activity

1. Establish coordination with other relevant competent authorities

1. Identify relevant competent authorities and establish points of contact for others.

2. Establish and document procedures for coordination.

3. Perform coordination activities.

2. Establish certification process for ATM/ANS Providers and Aerodrome Operators

1. Prepare process for ATM/ANS Providers.

2. Review process for ATM/ANS Providers.

3. Notify affected parties of process for ATM/ANS Providers.

4. Prepare process for Aerodrome Operators.

5. Review process for Aerodrome Operators.

6. Notify affected parties of process for Aerodrome Operators.

3. Establish audit process

1. Prepare process.

2. Review process.

3. Notify affected parties of process.

4. Establish process for oversight of changes

1. Prepare process.

2. Review process.


5. Establish process to issue safety directives

1. Prepare process.

2. Review process.



Annex II to CIR 2017/37313

ATM/ANS.AR.A.005 Certification, oversight and enforcement tasks

ATM/ANS.AR.C.010 Oversight

ATM/ANS.AR.C.020 Issue of certificates




Annex II to Regulation 139/2014 ADR.AR.A.005 Competent Authority

ADR.AR.C.005 Oversight

Supporting Material

AMC-GM to Annex II (Part-ATM/ANS.AR) to CIR 2017/373

AMC1 ATM/ANS.AR.A.005(b)

Certification, oversight and enforcement tasks

GM1 ATM/ANS.AR.A.005(b) Certification, oversight and enforcement tasks


GM1 ATM/ANS.AR.A.005(c) Certification, oversight and enforcement tasks

AMC-GM to Annex II (Part-ADR.AR) to Regulation 139/2014

AMC1 ADR.AR.C.005 Oversight

GM1 ADR.AR.C.005 Oversight


1. Coordination process.

2. Certification process.

3. Defined audit process.

4. Process for oversight of systems.

5. Process to issue safety directives.

Known Issues

N/A

Recommendations

N/A




S5O1.1Establish coordination with other relevant competent

authorities

S5O1.2Establish certification process for ATM/ANS Providers and

Aerodrome Operators

S5O1.3

Establish audit process

S5O1.4

Establish process for oversight of changes

S5O1.5

Establish process to issue safety directives




7.10.2 Objective 2: Certification of ATM/ANS Providers and Aerodrome Operators

Scenario 5: Implementation by Competent Authority

Objective 2: Certification of ATM/ANS Providers and Aerodrome Operators

Description The Certification of ATM/ANS Providers and Aerodrome Operators objective describes the activities

required to certify ATM/ANS Providers and Aerodrome Operators, from application to issue of a certificate.

Step Activity

1. Initiate certification process

1. Receive application for certification.

2. Record application.

3. Initiate initial audit process.

2. Issue certificate

1. Examine initial audit results to confirm minimum compliance required.

2. Examine required corrective actions being implemented.

3. Issue certificate.


Annex II to CIR 2017/373 ATM/ANS.AR.A.005 Certification, oversight and

enforcement tasks

ATM/ANS.AR.C.020 Issue of certificates


ADR.AR.C.015 Initiation of certification process

Supporting Material

AMC-GM to Annex II (Part-ATM/ANS.AR) to Regulation 2017-373

GM1 ATM/ANS.AR.C.020 Issue of certificates

GM2 ATM/ANS.AR.C.020 Issue of certificates


AMC1 ADR.AR.C.015(a) Initiation of certification process

AMC1 ADR.AR.C.015(c) Initiation of certification process

AMC2 ADR.AR.C.015(c) Initiation of certification process

GM1 ADR.AR.C.015 Initiation of certification process

GM1 ADR.AR.C.015(b) Initiation of certification process

G M1 ADR.AR.C.015(c) Initiation of certification process


1. Audit reports.

2. Certificates.

Known Issues

N/A

Recommendations



N/A


S5O2.1

Initiate certification process

S5O2.2

Issue certificate




7.10.3 Objective 3: Oversight of ATM/ANS Providers and Aerodrome Operators

Scenario 5: Implementation by Competent Authority

Objective 3: Oversight of ATM/ANS Providers and Aerodrome Operators

Description The Oversight of ATM/ANS Providers and Aerodrome Operators objective describes the activities required to oversee ATM/ANS Providers and Aerodrome Operators through audit and, where required, the issue of

safety directives.

Step Activity

1. Plan audit or follow-up audit

1. Identify audit scope.

2. Establish draft audit plan.

3. Issue audit plan and request evidence material.

2. Conduct audit

1. Receive evidence material.

2. Examine and ensure completeness of evidence material received.

3. Perform desktop audit.

4. Identify areas for on-site audit and update audit plan.

5. Issue final audit plan.

6. Perform on-site audit.

7. Document audit findings.

8. Provide audit report to audited organisation.

3. Manage audit findings

1. Issue Corrective Action Requests.

2. Receive Corrective Action Proposal.

3. Review Corrective Action Proposal.

4. Accept Corrective Action Proposal.

5. Track implementation.

6. Receive evidence of implementation of Corrective Action Proposal.

7. Verify compliance by desktop and/or on-site audit.

8. Close Corrective Action Proposal and notify closure.

4. Issue safety directive

1. Identify unsafe condition requiring immediate action.

2. Identify affected functional system.

3. Identify required action.

4. Issue safety directive to ATM/ANS Service Provider and/or Aerodrome Operator or relevant functional system.

5. Inform relevant concerned competent authorities.

6. Verify compliance to directive of ATM/ANS Service Provider and/or Aerodrome Operator.




Annex II to CIR 2017/373 ATM/ANS.AR.A.005 Certification, oversight and enforcement tasks

Annex II to CIR 2017/373 ATM/ANS.AR.C.010 Oversight


ADR.AR.C.005 Oversight

Supporting Material

AMC-GM to Annex II (Part-AIS) to CIR 2017/373

AMC1 ATM/ANS.AR.A.005(b)

Certification, oversight and enforcement tasks



GM1 ATM/ANS.AR.A.005(c) Certification, oversight and enforcement tasks


AMC1 ADR.AR.C.005 Oversight

GM1 ADR.AR.C.005 Oversight


1. Audit plans.

2. Audit reports.

3. Safety directives.

4. Corrective Action Proposals.

Known Issues

N/A

Recommendations

N/A




S5O3.1

Plan audit or follow-up audit

S5O3.3

Manage audit findings

S5O3.2

Conduct audit

S5O3.4

Issue safety directive




7.11 Scenario 6: Implementation for Member States 7.11.1 Objective 1: Establish National Policy and Regulatory Framework

Scenario 6: Implementation for Member States

Objective 1: Establish National Policy and Regulatory Framework

Description The Establish National Policy and Regulatory Framework objective describes the activities required to plan

and establish a regulatory framework and national implementation plan for the provision of aeronautical data by non-regulated parties.

Step Activity

1. Establish policy

1. Review new international requirements and guidance material.

2. Establish regulatory framework for out-of-scope Data Providers in accordance with CIR 2017/373 Article 3(5).

3. Establish national adjustments / extensions required to Data Catalogue (data and data quality requirements).

4. Establish implementation concept and plan.

5. Adopt policy.

6. Notify parties of revised policy and implementation plan.

2. Adapt regulatory framework

1. Define required changes to regulatory framework.

2. Establish required means of compliance.

3. Adapt regulatory framework.

4. Notify parties of revised regulatory framework and available means of compliance.

3. Establish national implementation plan

1. Establish national implementation concept and plan.

2. Notify parties of national implementation plan.


CIR 2017/37314 Article 3(5)

Supporting Material


1. National Policy.

2. Regulatory Framework.

3. Implementation Plan.

Known Issues

1. The AIS Provider is not able to fully validate and verify data provided to it. It can only perform plausibility checks.




2. The validation and verification of accuracy can only be performed by the Data Originator.

Recommendations

1. Parties should be made aware of and fulfil their responsibilities.


S6O1.1

Establish policy

S6O1.2

Adapt regulatory framework

S6O1.3

Establish national implementation plan




7.11.2 Objective 2: Oversight of Out-of-Scope Data Providers Scenario 6: Implementation for Member States

Objective 2: Oversight of Out-of-Scope Data Providers

Description The Oversight of Out-of-Scope Data Providers objective describes the activities required to oversee Data

Providers through planning and implementation of oversight activities and the management of their findings.

Step Activity

1. Plan oversight activity or follow-up activity

1. Identify scope and Data Provider.

2. Establish draft oversight plan.

3. Issue oversight plan and request evidence material.

2. Conduct oversight activity

1. Receive evidence material.

2. Examine and ensure completeness of evidence material received.

3. Perform desktop review.

4. Identify areas for on-site activity and update oversight plan, if required.

5. Issue final oversight plan.

6. Perform on-site oversight activity, if required.

7. Document findings.

8. Provide oversight activity report to the Data Provider.

3. Manage findings

1. Issue Corrective Action Requests.

2. Receive Corrective Action Proposal.

3. Review Corrective Action Proposal.

4. Accept Corrective Action Proposal.

5. Track implementation.

6. Receive evidence of implementation of Corrective Action Proposal.

7. Verify compliance by desktop and/or on-site oversight activity.


CIR 2017/373 Article 3(5) Provision of ATM/ANS and ATM network functions regulation

Supporting Material


1. Oversight plan

2. Oversight reports

3. Oversight actions and follow-up



4. Corrective Action Proposals.

Known Issues

N/A

Recommendations

1. It is recommended that the oversight of out-of-scope Data Providers is delegated to the Competent Authority.


S6O2.1

Plan oversight activity or follow-up activity

S6O2.3

Manage findings

S6O2.2

Conduct oversight activity




Annex A Differences ADQ vs Part-AIS A.1 General

Chapter 6 provided a high-level overview of the conceptual differences between Commission Regulation (EU) 73/2010 [Ref 1] and Part-AIS. It is appreciated that users of the AIR Guide who have achieved a degree of compliance to Commission Regulation (EU) 73/2010 [Ref 1], be it minor or full, will wish to better understand how the work that has been undertaken to date contributes towards compliance with Part-AIS. The following two tables present a mapping between the two regulations, firstly Part-AIS to Commission Regulation (EU) 73/2010 [Ref 1] and then secondly Commission Regulation (EU) 73/2010 [Ref 1] to CIR 2017/373 [Ref 3]. In the latter case, it should be noted that some of the requirements of Commission Regulation (EU) 73/2010 have equivalents in either CIR 2017/373 [Ref 3] or its Annexes. In these cases, this is highlighted. The user may clearly identify which requirements do not have a direct equivalent in the corresponding regulation.

A.2 Mapping of Part-AIS to Commission Regulation (EU) 73/2010 Part-AIS 73/2010

Identifier Title


Article 6(2) Article 6(7) Article 10(1) Annex IV Part B Annex IV Part E

AIS.OR.105

Responsibilities of aeronautical information services (AIS) providers

Article 2(1) Article 2(2) Article 6(8) Article 10(2) Annex IV Part F Annex VII Part B

AIS.OR.200 General

Article 6(1) Article 6(2) Article 6(7) Article 8 Annex IV Part A Annex IV Part B Annex IV Part E Annex V

AIS.OR.205 Formal Arrangements Article 6(3) Annex IV Part C

AIS.OR.210 Exchange of aeronautical data and aeronautical information

Article 5 Annex II

AIS.OR.215 Tools and software Article 8


Article 6(2) Article 6(5) Annex IV Part B (e) Annex IV Part C (i)



Part-AIS 73/2010

Identifier Title

AIS.OR.225 Metadata

Article 4 Article 5(2) Annex I Part C


Article 9(1) Article 9(2) Annex VI

AIS.OR.235

Error reporting, error measurement, and corrective actions

Article 6(8) Annex IV Part F

AIS.OR.240 Data limitations Article 7(2)

AIS.OR.250 Consistency requirement Article 7(1)


Article 6(7) Article 7(1) Annex IV Part E


Article 2(1)(a) Article 5(4)

AIS.OR.310 AIP amendments Article 2(1)(a) Article 5(4)

AIS.OR.315 AIP supplements Article 2(1)(a) Article 5(4)

AIS.OR.320 Aeronautical information circular (AIC) Out of scope

AIS.OR.325 Aeronautical charts Only partially in scope through Article 2(1)(a)

AIS.OR.330 NOTAM Article 2(1)(a) Article 5(4)


Article 2(1)(b) Article 2(1)(c) Article 2(1)(d)


Article 5(2) Annex I Part A Annex I Part C Annex II(1)

AIS.OR.345 AIP data set

Article 5(4)(c) Annex I Part A Annex I Part C Annex II(1)

AIS.OR.350 Terrain and obstacle data — General requirements


AIS.OR.355 Terrain data sets

Article 5(2) Annex I Part B Annex I Part C Annex II(1)



Part-AIS 73/2010

Identifier Title

AIS.OR.360 Obstacle data sets


AIS.OR.365 Aerodrome mapping data sets


AIS.OR.370 Instrument flight procedure data sets Out of scope

AIS.OR.400 Distribution services Article 5(4) (Partially)

AIS.OR.405 Pre-flight information services Not specifically covered

AIS.OR.500 General — Aeronautical information products updates

Article 6(1) Article 7(3) Article 7(4) Annex IV Part A(5)(d)

AIS.OR.505 Aeronautical information regulation and control (AIRAC) Not specifically covered

AIS.OR.510 NOTAM Not specifically covered

AIS.OR.515 Data set updates Not specifically covered

AIS.OR.600 General requirements

Article 7(4) Article 7(5) Article 10(1) Annex VII, Part A

AIS.TR.200 General

Article 6(1) Article 6(2) Article 6(7) Annex IV Part A Annex IV Part B Annex IV Part E

AIS.TR.210 Exchange of aeronautical data and aeronautical information

Article 5(2) Annex II

AIS.TR.220 Verification

Article 6(2) Annex IV Part B (e) Annex IV Part C (i)

AIS.TR.225 Metadata

Article 4 Article 5(2) Annex I Part C

AIS.TR.235

Error reporting, error measurement and corrective actions

Article 6(8) Annex IV Part F

AIS.TR.240 Data limitations Article 7(2)

AIS.TR.300 General — Aeronautical information products Not specifically covered



Part-AIS 73/2010

Identifier Title


Article 5(4)(a) Article 5(4)(b)

AIS.TR.310 AIP amendments Article 5(4)(a) Article 5(4)(b)

AIS.TR.315 AIP supplements Article 5(4)(a) Article 5(4)(b)

AIS.TR.320 Aeronautical information circular (AIC) Out of scope

AIS.TR.330 NOTAM Not specifically covered

AIS.TR.335 General — Digital data sets

Article 4 Article 5(4) Annex I Part A(g) Annex II Part A(1) Annex II Part B(1)

AIS.TR.340 Metadata requirements

Article 4 Article 5(2) Article 5(4)(c) Annex I Part C Annex II Part A Annex II Part B

AIS.TR.345 AIP data set

Article 2(1) Article 4 Article 5(2) Article 5(4)(c) Annex I Part A Annex II Part A

AIS.TR.350 Terrain and obstacle data — General requirements

Article 2(1)(c) Article 4 Article 5(2) Annex I Part B Annex II Part B

AIS.TR.355 Terrain data sets

Article 2(1)(c) Article 4 Article 5(2) Annex I Part B Annex II Part B

AIS.TR.360 Obstacle data sets

Article 2(1)(b) Article 4 Article 5(2) Annex I Part B Annex II Part B

AIS.TR.365 Aerodrome mapping data sets Only partially covered by inference Article 2(1)(d)

AIS.TR.370 Instrument flight procedure data sets Out of scope

AIS.TR.400 Distribution services Article 5(4) (Partially)

AIS.TR.405 Pre-flight information services Not specifically covered



Part-AIS 73/2010

Identifier Title

AIS.TR.500 General — Aeronautical information products updates

Article 7(3) Article 7(4)

AIS.TR.505 AIRAC

Article 6(1) Article 7(3) Article 7(4) Annex IV Part A(5)(d)

AIS.TR.510 NOTAM Not specifically covered

AIS.TR.515 Data set updates Not specifically covered

Table 7 - Mapping of Part-AIS to Commission Regulation (EU) 73/2010

A.3 Mapping of Commission Regulation (EU) 73/2010 to CIR 2017/373

73/2010 2017/373

Identifier Title

Article 1 Article 1 of 2017/373 Subject Matter

Article 2(1) AIS.OR.105 Responsibilities of aeronautical information

services (AIS) providers


Article 2(1)(a)




AIS.OR.330 NOTAM

Article 2(1)(b) AIS.OR.335 General — Digital data sets


Article 2(1)(c)




Article 2(1)(d) AIS.OR.335 General — Digital data sets

Article 2(2) AIS.OR.105 Responsibilities of aeronautical information services (AIS) providers

Article 3 Annex 1 of 2017/373 Definitions

Article 4

AIS.OR.225 Metadata

AIS.TR.225 Metadata






73/2010 2017/373

Identifier Title




Article 5 AIS.OR.210 Exchange of aeronautical data and aeronautical information

Article 5(2)

AIS.OR.225 Metadata







AIS.TR.225 Metadata






Article 5(3) No specific requirement

Article 5(4)




AIS.OR.330 NOTAM




Article 5(4)(a)




Article 5(4)(b)




Article 5(4)(c) AIS.OR.345 AIP data set



73/2010 2017/373

Identifier Title



Article 6(1)

AIS.OR.200 General


AIS.TR.200 General

AIS.TR.505 AIRAC

Article 6(2)


AIS.OR.200 General


AIS.TR.200 General


Article 6(3) AIS.OR.205 Formal Arrangements

Article 6(4) ATM/ANS.OR.A.085 of Annex III to 2017/373 Aeronautical data quality management

Article 6(5) Article 3(5) of 2017/373

Provision of ATM/ANS and ATM network functions


Article 6(6) ATM/ANS.OR.A.085 of Annex III to 2017/373 Aeronautical data quality management

Article 6(7)


AIS.OR.200 General


AIS.TR.200 General

Article 6(8)




Article 7(1) AIS.OR.250 Consistency requirement


Article 7(2) AIS.OR.240 Data limitations


Article 7(3) AIS.OR.500 General — Aeronautical information products updates



73/2010 2017/373

Identifier Title


AIS.TR.505 AIRAC

Article 7(4)




AIS.TR.505 AIRAC

Article 7(5) AIS.OR.600 General requirements

Article 8 AIS.OR.200 AIS.OR.215

General Tools and software

Article 9(1) AIS.OR.230 Data error detection and authentication

Article 9(2) AIS.OR.230 Data error detection and authentication

Article 10(1)


ATM/ANS.OR.B.005 of Annex III to 2017/373 ATM/ANS.OR.B.010 of Annex III to 2017/373

Management system Change management procedures

Article 10(2)


ATM/ANS.OR.B.005 ATM/ANS.OR.D.010 of Annex III to 2017/373

Management system Security management

Article 10(3) ATM/ANS.OR.B.005 Management system


Article 11 ATM/ANS.AR.C.005 of Annex III to 2017/373

Certification, declaration, and verification of service providers' compliance with the requirements



Article 13 No specific requirement





73/2010 2017/373

Identifier Title

Article 15(1) Date not yet known


Annex I Part A








Annex I Part A(g) AIS.TR.335 General— Digital data sets

Annex I Part B




Annex I Part C

AIS.OR.225 Metadata







AIS.TR.225 Metadata


Annex II AIS.TR.210 Exchange of aeronautical data and aeronautical information

Annex II Part A AIS.TR.340 Metadata requirements


Annex II Part A(1) AIS.TR.335 General— Digital data sets

Annex II Part B





Annex II Part B(1) AIS.TR.335 General— Digital data sets

Annex II(1) AIS.OR.340 Metadata requirements



73/2010 2017/373

Identifier Title






Annex IV Part A AIS.OR.200 General

AIS.TR.200 General

Annex IV Part A(5)(d) AIS.OR.500 General — Aeronautical information products

updates

AIS.TR.505 AIRAC

Annex IV Part B


AIS.OR.200 General

AIS.TR.200 General

Annex IV Part B (e) AIS.OR.220 Validation and verification


Annex IV Part C AIS.OR.205 Formal Arrangements

Annex IV Part C (i) AIS.OR.220 Validation and verification


Annex IV Part E


AIS.OR.200 General


AIS.TR.200 General

Annex IV Part F




Annex V AIS.OR.200 General

Annex VI AIS.OR.230 Data error detection and authentication

Annex VII Part B AIS.OR.105 Responsibilities of aeronautical information services (AIS) providers

Annex VII, Part A AIS.OR.600 General requirements

Table 8 - Mapping of Commission Regulation (EU) 73/2010 to CIR 2017/373



Annex B Compliance Matrix for AIS Providers B.1 General

This Annex provides a compliance matrix listing all the regulatory provisions of Annexes III and VI of CIR 2017/373 [Ref 3] applicable to AIS Providers and which may be used by an AIS Provider to record its level of compliance.

B.2 Annex III to CIR 2017/373 Identifier Description

ATM/ANS.OR.A.005 General Requirements - Application for a service provider certificate

ATM/ANS.OR.A.020 General Requirements - Means of compliance

ATM/ANS.OR.A.025 General Requirements - Continued validity of a certificate

ATM/ANS.OR.A.035 General Requirements - Demonstration of compliance

ATM/ANS.OR.A.040 General Requirements - Changes — general

ATM/ANS.OR.A.045 General Requirements - Changes to a functional system

ATM/ANS.OR.A.050 General Requirements - Facilitation and cooperation

ATM/ANS.OR.A.055 General Requirements - Findings and corrective actions

ATM/ANS.OR.A.060 General Requirements - Immediate reaction to a safety problem

ATM/ANS.OR.A.065 General Requirements - Occurrence reporting

ATM/ANS.OR.A.070 General Requirements - Contingency plans




ATM/ANS.OR.B.005 Management - Management system

ATM/ANS.OR.B.010 Management - Change management procedures

ATM/ANS.OR.B.015 Management - Contracted activities

ATM/ANS.OR.B.020 Management - Personnel requirements

ATM/ANS.OR.B.025 Management - Facilities requirements

ATM/ANS.OR.B.030 Management - Record-keeping

ATM/ANS.OR.B.035 Management - Operations manuals

ATM/ANS.OR.C.005 Specific Organisation Requirements for Service Providers Other Than ATS Providers - Safety support assessment and assurance of changes to the functional system

ATM/ANS.OR.D.010 Specific Organisational Requirements for ANS and ATFM Providers and The Network Manager - Security management

Table 9 – Compliance Matrix: Annex III to CIR 2017/373

B.3 Annex VI to CIR 2017/373 Identifier Description




Identifier Description


AIS.OR.200 General

AIS.OR.205 Formal Arrangements

AIS.OR.210 Exchange of aeronautical data and aeronautical information

AIS.OR.215 Tools and software


AIS.OR.225 Metadata



AIS.OR.240 Data limitations

AIS.OR.250 Consistency requirement





AIS.OR.320 Aeronautical information circular (AIC)

AIS.OR.325 Aeronautical charts

AIS.OR.330 NOTAM








AIS.OR.370 Instrument flight procedure data sets


AIS.OR.405 Pre-flight information services


AIS.OR.505 Aeronautical information regulation and control (AIRAC)

AIS.OR.510 NOTAM

AIS.OR.515 Data set updates


AIS.TR.200 General





Identifier Description

AIS.TR.225 Metadata



AIS.TR.300 General — Aeronautical information products




AIS.TR.320 Aeronautical information circular (AIC)

AIS.TR.330 NOTAM







AIS.TR.365 Aerodrome mapping data sets

AIS.TR.370 Instrument flight procedure data sets


AIS.TR.405 Pre-flight information services


AIS.TR.505 AIRAC

AIS.TR.510 NOTAM

AIS.TR.515 Data set updates

Table 10 – Compliance Matrix: Annex VI to CIR 2017/373



Annex C Scenario / Objective Mapping C.1 General

This Annex provides a simple means of cross-referencing scenarios to objectives and vice versa. This allows an easy identification of where common objectives exist in more than one scenario.

C.2 Scenario to Objective Mapping Scenario Objective

Implementation by AIS Provider Apply for Service Provider Certificate

Implement and Maintain Management System

Define and Implement Processes and Procedures

Establish Verification and Validation Procedures

Assure Tools and Software

Establish Process to Monitor Data

Establish and Manage Formal Arrangements

Establish Process to Ensure Consistency of Data and Products

Establish Contingency Plans

Define and Implement Training Programme

Self-Assess and Monitor Compliance With Relevant Regulations

Error Reporting, Measurement and Corrective Actions

Provide and Maintain Operations Manuals

Define Catalogue of AIS Products and Services

Manage Requests for Data Changes

Request Data Origination / Provision



Scenario Objective

Originate Data

Collect Data

Apply Data Assurance Process

Store Data

Assemble AIS Products

Annotate AIS Data / Products for Limitations

Distribute AIS Products

Manage Occurrence Reporting

Manage Changes to the Functional System

Implementation by ATM/ANS Provider as Data Originator






Coordinate With AIS Provider




Originate Data

Collect Data

Transmit Data

Manage Occurrence Reporting

Implement and Maintain Management System



Scenario Objective

Implementation by Aerodrome Operator as Data Originator






Coordinate With AIS Provider

Define and Implement Training Programme

Self-Assess and Monitor Compliance with Relevant Regulations


Manage Requests for Data Changes


Originate Data

Collect Data

Store Data

Transmit Data

Obligations for Data Originator Not Regulated by EASA


Self-Assess and Monitor Compliance with Relevant Regulations

Originate Data

Transmit Data

Implementation by Competent Authority Establishment of Certification and Oversight Processes

Certification of ATM/ANS Providers and Aerodrome Operators

Oversight of ATM/ANS Providers and Aerodrome Operators

Implementation for Member States Establish National Policy and Regulatory Framework



Scenario Objective

Oversight of Out-of-Scope Data Providers

Table 11 – Scenario to Objective Mapping

C.3 Objective to Scenario Mapping Objective Scenario Annotate AIS Data / Products for Limitations Implementation by AIS Provider Apply Data Assurance Process Implementation by AIS Provider Apply for Service Provider Certificate Implementation by AIS Provider Assemble AIS Products Implementation by AIS Provider Assure Tools and Software Implementation by AIS Provider

Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator

Certification of ATM/ANS Providers and Aerodrome Operators

Implementation by Competent Authority

Collect Data Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator

Coordinate With AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator

Define and Implement Processes and Procedures Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator

Define and Implement Training Programme Implementation by AIS Provider Implementation by Aerodrome Operator as Data Originator

Define Catalogue of AIS Products and Services Implementation by AIS Provider



Objective Scenario Distribute AIS Products Implementation by AIS Provider Error Reporting, Measurement and Corrective Actions

Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator

Establish and Manage Formal Arrangements Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator

Establish Contingency Plans Implementation by AIS Provider Establish National Policy and Regulatory Framework

Implementation for Member States

Establish Process to Ensure Consistency of Data and Products

Implementation by AIS Provider

Establish Process to Monitor Data Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator

Establish Verification and Validation Procedures Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator Obligations for Data Originator Not Regulated by EASA

Establishment of Certification and Oversight Processes


Implement and Maintain Management System Implementation by AIS Provider Implementation by Aerodrome Operator as Data Originator

Manage Changes to the Functional System Implementation by AIS Provider Manage Occurrence Reporting Implementation by AIS Provider

Implementation by ATM/ANS Provider as Data Originator Manage Requests for Data Changes Implementation by AIS Provider



Objective Scenario Implementation by Aerodrome Operator as Data Originator

Originate Data Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator Obligations for Data Originator Not Regulated by EASA

Oversight of ATM/ANS Providers and Aerodrome Operators


Oversight of Out-of-Scope Data Providers Implementation for Member States Provide and Maintain Operations Manuals Implementation by AIS Provider Request Data Origination / Provision Implementation by AIS Provider

Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator


Implementation by AIS Provider Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator Obligations for Data Originator Not Regulated by EASA

Store Data Implementation by AIS Provider Implementation by Aerodrome Operator as Data Originator

Transmit Data Implementation by ATM/ANS Provider as Data Originator Implementation by Aerodrome Operator as Data Originator Obligations for Data Originator Not Regulated by EASA

Table 12 – Objective to Scenario Mapping



Annex D Reference Documents Ref. Document Number Title Link

1. Commission Regulation (EU) No 73/2010

Laying down requirements on the quality of aeronautical data and aeronautical information for the single European sky 73/2010

2.

Commission Regulation (EU) No 139/2014*

Laying down requirements and administrative procedures related to aerodromes pursuant to Regulation (EC) No 216/2008 * as amended by Commission Implementing Regulation (EU) 2020/469 of 14 February 2020. Note: Further consequential changes are proposed based on EASA Opinion 03/2019 (Delegated Act in final process of adoption).

139/2014

3. Commission Implementing Regulation (EU) 2017/373*

Laying down common requirements for providers of air traffic management/air navigation services and other air traffic management network functions and their oversight, repealing Regulation (EC) No 482/2008, Implementing Regulations (EU) No 1034/2011, (EU) No 1035/2011 and (EU) 2016/1377 and amending Regulation (EU) No 677/2011 * as amended by Commission Implementing Regulation (EU) 2020/469 of 14 February 2020 and as amended by Commission Implementing Regulation (EU) 2020/1177 of 7 August 2020 (replacing article 5) – in short called CIR 2017/373.

2017/373

4. Annex III to CIR 2017/373

Common Requirements for Service Providers (Part-ATM/ANS.OR) * as amended by Commission Implementing Regulation (EU) 2020/469

2017/373

5. Annex VI to CIR 2017/373

Specific Requirements for Providers of Aeronautical Information Services (Part-AIS) * as amended by Commission Implementing Regulation (EU) 2020/469

2017/373

6. Commission Implementing Regulation (EU) 2020/469

amending Regulation (EU) No 923/2012, Regulation (EU) No 139/2014 and Regulation (EU) 2017/373 as regards requirements for air traffic management/air navigation services, design of airspace structures and data quality, runway safety and repealing Regulation (EC) No 73/2010

2020/469

https://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2010:023:0006:0027:EN:PDF

https://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2014:044:0001:0034:EN:PDF

http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32017R0373&from=EN



https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32020R0469&from=EN



Ref. Document Number Title Link as amended by Commission Implementing Regulation (EU) 2020/1177 of 7 August 2020 (replacing article 5)

7. AMC-GM to Annex II — (Part-ATM/ANS.AR) to CIR 2017/373

Decision 2020/008/R Amendments to the Acceptable Means of Compliance and Guidance Material to Regulation (EU) 2017/373 - Annex II

ED 2020/008

8. AMC-GM to Annex III (Part-ATM/ANS.OR) to CIR 2017/373

Decision 2020/008/R Amendments to the Acceptable Means of Compliance and Guidance Material to Regulation (EU) 2017/373 - Annex III

ED 2020/008

9. AMC-GM to Annex VI (Part-AIS) to CIR 2017/373

Decision 2020/008/R Amendments to the Acceptable Means of Compliance and Guidance Material to Regulation (EU) 2017/373 – Annex VI

ED 2020/008

10. ICAO Annex 15 Aeronautical Information Services Annex 15

11. ICAO Doc 8126 - Volume I

AIS Manual : Regulatory Framework for Aeronautical Information Services To be released

12. ICAO Doc 8126 - Volume II

AIS Manual : Processing Aeronautical Data To be released

13. ICAO Doc 8126 - Volume III

AIS Manual : Aeronautical Information in a Standardized Presentation and Services To be released

14. ICAO Doc 10066 Procedure for Air Navigation Services Aeronautical Information Management (PANS-AIM) Doc 10066

15. EUROCONTROL-GUID-0121

EUROCONTROL Guidelines Operating Procedures for AIS Dynamic Data (OPADD) OPADD

16. EUROCONTROL-SPEC-146

EUROCONTROL Specification for the Electronic Aeronautical Information Publication (eAIP) eAIP Specification


EUROCONTROL Specification for Aeronautical Information Exchange (AIX) AIX Specification

https://www.easa.europa.eu/document-library/acceptable-means-of-compliance-and-guidance-materials/amc-and-gm-part-atmansar-0

https://www.easa.europa.eu/document-library/acceptable-means-of-compliance-and-guidance-materials/amc-gm-part-atmansor-issue-0

https://www.easa.europa.eu/document-library/acceptable-means-of-compliance-and-guidance-materials/amc-gm-part-ais-issue-1

https://store.icao.int/products/annex-15-aeronautical-information-services?_pos=1&_sid=8781a9452&_ss=r

https://store.icao.int/products/aeronautical-information-management-doc-10066

https://www.eurocontrol.int/publication/eurocontrol-guidelines-operating-procedures-ais-dynamic-data-opadd

https://www.eurocontrol.int/publication/eurocontrol-specification-electronic-aeronautical-information-publication-eaip

https://www.eurocontrol.int/publication/eurocontrol-specification-aeronautical-information-exchange-aix



Ref. Document Number Title Link


EUROCONTROL Specification for the Origination of Aeronautical Data Volume 2: Guidance Material (DO) DO Specification Volume 2


EUROCONTROL Terrain and Obstacle Data Manual TOD Manual


EUROCONTROL Guidelines on the Implementation of Safety Support Assessment for AIS

21. EUROCAE ED-76A Standards for Processing Aeronautical Data ED-76A

22. EUROCAE ED-215 Software Tool Qualification Considerations ED-215

23. EUROCONTROL ADQ Formal Arrangements Template ADQ Formal Arrangements Template

24. AIXM 5.1 Data Model (UML)

AIXM UML

25. AIXM 5.1 XML Schema (XSD)

AIXM XML

26. EUROCONTROL Aeronautical Data Processes ADP

27. EUROCONTROL Specification for AIP Data Set Coding using AIXM 5.1.1 To be released

28. EUROCONTROL Specification for Obstacle Data Set Coding using AIXM 5.1.1 To be released

29. EUROCONTROL Specification for Instrument Flight Procedures Design Data Set Coding using AIXM 5.1.1 To be released

30. EUROCONTROL Specification for Digital NOTAM Data Set Coding using AIXM 5.1.1 To be released

31. EUROCONTROL Guidelines on Safety Support Assessments performed by AIS Providers To be released

32. EUROCONTROL Guidelines for the Annotation of data not compliant with Commission Regulation (EU) No 73/2010 (ADQ) Guidelines

Table 13 - Referenced Documents

https://www.eurocontrol.int/publication/eurocontrol-specification-origination-aeronautical-data-do

https://www.eurocontrol.int/publication/eurocontrol-terrain-and-obstacle-data-manual

https://eshop.eurocae.net/eurocae-documents-and-reports/ed-76a/#non-member

https://eshop.eurocae.net/eurocae-documents-and-reports/ed-215/

https://www.eurocontrol.int/publication/eurocontrol-guidelines-adq-formal-arrangements-fa

http://aixm.aero/document/aixm-51-data-model-uml#http://aixm.aero/document/aixm-51-data-model-uml

http://aixm.aero/document/aixm-51-xml-schema-xsd#http://aixm.aero/document/aixm-51-xml-schema-xsd

https://www.eurocontrol.int/tool/aeronautical-information-system-data-process-and-static-data-procedures

https://www.eurocontrol.int/publication/guidelines-annotation-data-not-compliant-commission-regulation-eu-no-732010-adq



Annex E Auditing Checklist As part of its work, the AIRI SG has developed a compliance checklist to support both auditors and auditees in the demonstration of compliance. The material is provided in the form of a Microsoft Excel spreadsheet comprising eight worksheets, each addressing a different function of Commission Implementing Regulation (EU) 2017/373 [Ref 3], as follows:

• COVER; • OR; • GEN; • DQR; • AI PRODUICT; • DISTRIB, Pre-flight; • Product Updates; • Personnel.

In turn, each worksheet comprises six columns as follows: Column A ARTICLE / NMB REG:

A reference to the relevant regulatory article, AR, OR or TR. Column B: PARAGRAPH / TITLE:

The title or provision reference of the regulatory article, AR, OR or TR. Column C: COMMON REQUIREMENT:

The text of the provision, AR, OR or TR. Column D: IMPLEMENTATION QUESTION

A suggested question or question that may be asked to aid the auditor and auditee in ascertaining whether compliance has been achieved.

Column E: KEY ELEMENTS Key elements that may be assessed to determine if evidence exists to confirm compliance.

Column F: REFERENCES Any useful references to other material that may assist in assessing compliance.

The checklists may be downloaded at https://www.eurocontrol.int/service/aeronautical-data-and-information-quality.



Annex F Terms and Definitions Term Definition

Acceptable Means of Compliance (non-binding)

The AMC serves as a means by which the requirements contained in the Basic Regulation, and the IR, can be met. However, applicants may decide to show compliance with the requirements using other means. Both NAAs and organisations may propose alternative means of compliance. ‘Alternative Means of Compliance’ are those that propose an alternative to an existing AMC. Those Alternative Means of Compliance proposals must be accompanied by evidence of their ability to meet the intent of the IR. Use of an existing AMC gives the user the benefit of compliance with the IR. [ EASA]

Guidance Material (non-binding)

Non-binding explanatory and interpretation material on how to achieve the requirements contained in the Basic Regulation, the IRs, the AMCs and the CSs. It contains information, including examples, to assist the user in the interpretation and application of the Basic Regulation, its Implementing Rules, AMCs and the Community Specifications. [EASA]

Safety Support Assessment

The set of activities carried out in order to study the impact on service behaviour resulting from any change in the AIS functional system or any new parts or components of the functional system.

Safety Assessment / Assurance

Planned and systematic actions necessary to provide adequate confidence that a product, a service, an organisation or a functional system achieves acceptable or tolerable safety.

Validation

The confirmation through the provision of objective evidence that the requirements for a specific intended use or application have been fulfilled [ISO].

Verification The conformation through the provision of objective evidence that specified requirements have been fulfilled [ISO].

Table 14 – Terms and Definitions



Annex G Abbreviations Abbreviation Meaning

AMC Acceptable Means of Compliance

ADQ Aeronautical Data Quality

ADR Aerodrome

AIM Aeronautical Information Management

AIP Aeronautical Information Publication

AIS Aeronautical Information Services

AIRAC Aeronautical Information Regulation And Control

AIRI Aeronautical Information Regulations Implementation

AIRI SG Aeronautical Information Regulations Implementation Sub-group

AMDT Amendment

ANS Air Navigation Services

ANSP Air Navigation Service Provider

ATM Air Traffic Management

ATSEP Air Traffic Safety Electronics Personnel

AMC Acceptable Means of Compliance

AR Authority Requirement

CIR Commission Implementing Regulation

CS Community Specification

DPS Data Product Specification

DQR Data Quality Requirements

EAR Easy Access Rule

EASA European Union Aviation Safety Agency

ERAF EUROCONTROL Regulatory and Advisory Framework

EU European Union

EUROCONTROL European Organisation for the Safety of Air Navigation

GM Guidance Material

ICAO International Civil Aviation Organisation

IR Implementing Rule

ISO International Organisation for Standardisation

OPADD EUROCONTROL Guidelines Operating Procedures for AIS Dynamic Data

OR Organisation Requirement

PANS Procedures for Air Navigation Services

TR Technical Requirement

Table 15 – Abbreviations



Annex H Document Update Procedure It is necessary to periodically check these EUROCONTROL Guidelines document for consistency with referenced material, notably the evolution of the regulatory package of CIR 2017/373 including the related AMC/GM. The Guidance material is also expected to evolve following implementation progress and field experience. The main objectives of a regular review are:

• to improve the quality and clarity;• to verify that the level of detail published is adequate and up to date; and• to make all stakeholders aware of the latest developments.

The update of the AIR Guide can be initiated by the AIRI SG or the AIM/SWIM Team as key working arrangement. Stakeholders are advised to provide a change request (CR) through the AIRI SG. However, any stakeholder that wishes to request a change to these guidelines can submit a change request (CR) either directly to the identified document editor (Contact Person) or via the generic email address: [email protected] . The CR needs to provide following minimum elements:

• Originator information (name, organisation, contact details)• Doc title, number and edition date• Page, chapter, section/subsection, scenario/objective numbers, step numbers etc. where the

issue/change appears• Description of the issue/change and reason for change• Specific change proposal text (incl. potential alternatives, if any).

Main steps towards a revised edition: • AIRI SG secretariat will assess each CR and classify the CR impact category (major, minor or

editorial).• AIRI SG secretariat will then prepare resolution proposal(s) and, if needed, discuss those with

the originator.• AIRI SG will discuss and agree resolution proposal(s) covering at least major changes.• Agreed changes will be integrated into a revised edition “Proposed Issue” including a

summarised list of changes.• The “Proposed Issue” will be consulted at AIRI SG and AIM/SWIM Team level before release.

Note: Identified errors which may cause potential problems when implementing, may be corrected directly via separate “Corrigendum”.

– END –

mailto:[email protected]

Edition number: 1.0 Edition date: 07 December 2020 Document reference: EUROCONTROL-GUID-0181

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