Introducing the DAL Concept
DAL/DQR Workshop
Brussels, 19-20 February 2013
Presented by:
Miguel Rodrigues Paulo
SES unit
EUROCONTROL
The European Organisation for the Safety of Air Navigation
Specification Scope
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The primary intention of the DAL Specification is to address Article 6(2)
– Evidence Requirements - of the Commission Regulation (EU) No
73/2010 and the requirements in Annex IV, Part B.
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However, the Specification also covers Articles 4 through 10 and Article
13 by providing supplementary objectives for them, but only in so far as
is necessary to address its relation with the evidence requirements.
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The DAL Specification is built on the assumption that it is often difficult
to demonstrate compliance with data quality requirements in a
quantified manner (particularly for data integrity requirements). As such,
the DAL Specification provides a qualitative method, based on a
procedural approach, to assure and demonstrate compliance with
specific data quality requirements.
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Editions History
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Edition 0.16a, 1 July 2010, Draft sent to Consultation
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Ad-hoc Drafting Group meetings
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Reduce the number of objectives (removing redundancies, merging,
clarifications…)
Link objectives with ISO 9001:2008 Certification
Several Working Draft versions
Edition 0.20d, 30 January 2012, Proposed Issue sent to Consultation
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Workshop 17/18 February 2011
Minor adjustments
Edition 1.0, 15 March 2012, Published
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Evidence Requirements Provisions
Article 6(2)
“When providing aeronautical data and/or aeronautical information, the
parties […] shall comply with the evidence requirements laid down in
Annex IV, Part B.”
Annex IV, Part B
Show evidence that:
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Accuracy and resolution requirements are complied at data origination and
maintained through the aeronautical data chain
Origin and change history of each data item is traceable
Data is complete (or any missing item is declared)
All processes are defined and adequate to protect the integrity of the data
Data validation and verification processes are in place
Manual and semi-automatic tasks are performed by trained and qualified staff
Constituents are validated and comply with the requirements of Annex V
An error reporting, measurement and correction process is in operation and
comply with the requirements of Annex IV, Part F
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Interoperability Provisions
COMMON
EXCHANGE
FORMAT
COMMON
DATA SET
ANSP
DATA QUALITY
REQUIREMENT
S:
•Accuracy
•Resolution
•Integrity
•Timeliness
NEXT
INTENDED
USER
COMMON
DATA SET
ANSP
AERODROME
Tools and Software
DATA
ORIGINATOR
Automation
Error Report and Feedback
Personnel
Consistency
Evidence
Requirements
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Evidence Requirements v
Interoperability Provisions
COMMON
EXCHANGE
FORMAT
COMMON
DATA SET
ANSP
DATA QUALITY
REQUIREMENT
S:
•Accuracy
•Resolution
•Integrity
•Timeliness
NEXT
INTENDED
USER
COMMON
DATA SET
ANSP
AERODROME
Tools and Software
DATA
ORIGINATOR
Automation
Error Report and Feedback
Personnel
Evidence
Requirements
Consistency
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Underlying Principles
Data Assurance Levels (1)
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ICAO Annex 15, Section 3.2.10
“Aeronautical data integrity requirements shall be based upon the
potential risk resulting from the corruption of data and upon the use to
which the data item is put. Consequently, the following classifications
and data integrity levels shall apply:
a) critical data: there is a high probability when using corrupted critical data that
the continued safe flight and landing of an aircraft would be severely at risk
with the potential for catastrophe;
b) essential data: there is a low probability when using corrupted essential data
that the continued safe flight and landing of an aircraft would be severely at
risk with the potential for catastrophe; and
c) routine data: there is a very low probability when using corrupted routine
data that the continued safe flight and landing of an aircraft would be
severely at risk with the potential for catastrophe.”
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Underlying Principles
Data Assurance Levels (2)
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The DAL Specification map Data Assurance Level (DAL) to each of the
defined ICAO Data Integrity Level (DIL)
DIL
DAL
Critical Data
DAL 1
Essential Data
DAL 2
Routine Data
DAL 3
and then establish objectives applicable to each of the DALs
Objective
Reference
DAL-CT-010
DAL-DP-100
Objective
DAL 1
DAL 2
DAL 3
Mechanisms shall be established to
ensure consistency between
aeronautical data or aeronautical
information which is duplicated in
one or more publications of the
Member State.
○ ○ ○
Secure areas shall be protected to
prevent unauthorised access.
○ ○
Remarks
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Underlying Principles
Data Assurance Levels (3)
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Constituents and work instructions shall be classified as either:
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Measurement (data origination)
Data Processing
Data Checking
Other
Constituents shall have an assigned Tool Qualification Level (TQL) and
work instructions shall have a Data Process Assurance Level (DPAL)
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Either one-to-one according to the DAL of the data they are handling
Reduce the assurance requirements based on the reliance tables
• Data Processing: Sole, Major or Minor
• Data Checking: Primary or Secondary
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Underlying Principles
Data Error Barriers
Survey
Validation
Data
Error
Procedure
Design
Authentication
Activities
Data
Preparation
Data
Publication/
Distribution
Data
Application
Integration
End Use
Accident
Introduced
Errors
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Based on the ATM Barrier Model
Barriers will detect and mitigate errors
However barriers can also introduce errors
Thus, the DAL objectives are aimed at minimising the impact of errors
introduced either at source or during data preparation
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Underlying Principles
Functional Levels
Organisation
Business and Technical Management
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Strategic / Operational
e.g. Formal Arrangements / Data Product Specification
Process and Product Assurance
Assurance
Data Processing
Data Quality Control
Data Processing Quality Control
• Tool Qualification
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Aeronautical Data and Information Processing
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Specific to Data Chain Stage
e.g. Initial Data Check – Receive, Assess, Evaluate, Approve
Support Activities
Support
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Administration and Services Provision
e.g. Enabling Technology Support/Administration
Ensuring the quality of the data goes beyond the operational system for
data processing
Thus, the DAL define four functional levels and establish objectives that
involve them in the processes and procedures
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Underlying Principles
Aeronautical Data Chain
DAL Scope
Data
Origination
Data
Request
DAL-RDO
DAL-PRC;
DAL-DS;
DAL-ER;
DAL-TS;
DAL-DP.
DAL-FA;
DAL-DE;
DAL-DTP.
Data
Evaluation
and Approval
DAL-FA;
DAL-DE;
DAL-DTP.
DAL-PRC;
DAL-DS;
DAL-ER;
DAL-TS;
DAL-DP.
Data Product
Preparation
DAL-FA;
DAL-DE;
DAL-DTP.
DAL-PRC;
DAL-DS;
DAL-ER;
DAL-TS;
DAL-DP.
Data Product
Issue/
Distribution
DAL-FA;
DAL-DE;
DAL-DTP.
DAL-PRC;
DAL-DS;
DAL-ER;
DAL-CT;
DAL-TS;
DAL-DP.
DAL-DPE
DAL-PRC;
DAL-DS;
DAL-ER;
DAL-CT;
DAL-TS;
DAL-DP.
Application
Integration
End Use
DAL-EV; DAL-STC; DAL-QM; DAL-SM; DAL-CM. DAL-AR.
Objectives applicable only to specific
Aeronautical Data Chain stages
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Objectives applicable to most
Aeronautical Data Chain stages
Objectives applicable to all Aeronautical Data
Chain stages (but not necessarily to all parties)
Well known conceptual representation of the stages for aeronautical
data and aeronautical information production
Objectives applicable to specific stages, to most of the stages and
transversal to all the stages
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Underlying Principles
Independence
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Independent Verification and Validation
Multiple layers of defence
More stringent according to the DAL of the data
Independence between the person or department or performing the
activity and the person or department verifying and/or validating the
activity output
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[P] Peer: another suitably qualified and experienced person within the same group or
department
[D] Independent Department: a suitably qualified and experienced person within a
separate group or department
Objective
Reference
DAL-PRC-200
DAL-PRC-210
DAL-PRC-220
Objective
DPAL 1
DPAL 2
DPAL 3
Data checking and data processing Work Instructions
shall be validated prior to use as not contributing to
data errors in the aeronautical information or product.
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D
D
Data checking Work Instructions shall be analysed
prior to use to identify how the Work Instruction can
fail to detect data errors.
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D
D
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Work Instructions involving transformations from one
format to another shall be validated prior to use to
ensure that anomalies and ambiguities that can arise
from this transformation are identified and addressed.
Remarks
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P
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Underlying Principles
ISO 9001:2008
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Overlap with ISO 9001:2008 requirements
Identified DAL objectives moved to ANNEX J of the Specification
Parties certified with ISO 9001:2008 shall provide evidence that their
Certification complies with the objectives of ANNEX J
Parties not certified with ISO 9001:2008 shall implement objectives of
ANNEX J
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Underlying Principles
Terminology
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Article 2(1) “[…] systems, their constituents and associated procedures […].”
System
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Constituents
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Meets the requirements
Verification
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Associated procedure is the detailed set of actions that are undertaken relating to a
process
Work Instructions
Validation
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EC Regulation 552/2004 defines constituents as “tangible objects such as hardware
and intangible objects such as software upon which the interoperability of EATMN
depends”
Tools
Associated Procedures
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Annex I of EC Regulation 552/2004 subdivides EATMN into eight systems. For the DAL
context EATMN system refers to Annex I, item 7 Systems and procedures for
aeronautical information services
Overarching process & Processes
Ensure that the output is correct
Upgrade
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EC Regulation 549/2004 “any modification that changes the operational characteristics
of a system”
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