AIS-AIMSG/1-SN No. 14
20/11/08
AERONAUTICAL INFORMATION SERVICES-AERONAUTICAL
INFORMATION MANAGEMENT STUDY GROUP (AIS-AIMSG)
FIRST MEETING
Montréal, 2 to 4 December 2008
Agenda Item 7:
7.4:
Agenda Item 8:
8.5:
Annex amendment proposals
Quality
Guidance material
Quality
DATA QUALITY AND INTEGRITY IN THE DATA SUPPLY CHAIN —
CHAIN SOLUTIONS
(Presented by Paul Bosman)
SUMMARY
This study note provides deliverables concerning the Eurocontrol CHAIN
programme, outlines its overall achievements and suggests a way how to best
integrate the individual deliverables into global ICAO documentation. This shall
support other regions to help realizing improvements in relation to data quality
and data integrity. In order to do so, an addition of a recommendation to Annex
15 chapter 3.2 is suggested whilst it also suggested that all supporting detailed
material may be provided through ICAO guidance material.
1.
INTRODUCTION
1.1
ICAO Annex 15, chapter 1 conveys the essential statement: ‘…. The role and importance
of aeronautical information/data changed significantly with the implementation of area navigation
(RNAV), required navigation performance (RNP) and airborne computer based navigation systems.
Corrupt or erroneous aeronautical information/data can potentially affect the safety of air navigation’.
1.2
This confirms that quality of aeronautical information is a key enabler for current and
future navigation methods, and systems rely extensively on accurate and reliable data. To reach the
required levels of performance, ground and airborne navigation systems demand aeronautical information
of considerably higher quality than that currently available.
1.3
Quality of data including quality of service will play an important role for AIM to
become future key enabler for ATM. Therefore, it is a pre-requisite for the transition from AIS to AIM
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that quality requirements are met and quality of service is addressed as a matter of urgency by the States.
High priority needs to be given to the implementation of existing Annex 15 SARPs, in particular the
implementation of a Quality Management System.
1.4
In support of achieving compliance to Annex 15 requirements, this study note proposes
the inclusion of specific material, based on the CHAIN solutions, into global ICAO documentation to
address wider quality attributes and to supply to states a range of means to ease implementation actions.
2.
BACKGROUND
2.1
Several studies in Europe have shown and continue to show that the quality of
information provided by AIS falls far short of the required ICAO values. Particularly in reference to data
integrity. Europe is, at best, able to achieve the levels for routine data (10-3) rather than the required for
critical data (10-8). Far higher performance is required in order to support ATM target levels of safety and
rapidly increasing capacity demand.
2.2
Recognising this common need, Eurocontrol carried out an implementation support
programme between 2005 and 2007 named ‘CHAIN - Controlled and Harmonised Aeronautical
Information Network’. The results of this undertaking are herewith shared and submitted for potential
global exploitation.
Note: The detailed CHAIN solutions are outlined in Appendix A of this paper and the deliverables behind
are provided via separate CD. Further information on CHAIN can be found on:
www.eurocontrol.int/chain.
2.3
Based on the endeavour of Eurocontrol and its member States and based on the criticality
and importance of high quality data, the European Commission (EC) has also recognised AIS/AIM as
being a crucial enabler for future ATM. The EC has, therefore, taken action to prepare an Implementing
Rule on Aeronautical Data Quality (IR ADQ) based on the Interoperability Regulation established under
the Single European Sky I package of legislation. Once published – foreseen for the second quarter of
2009 - this IR will become directly applicable law in all European Union (EU) member States plus those
States, who have signed an aviation agreement with the EU. The SES IR on ADQ in essence strengthens
ICAO SARPs. It complements them to commit all actors in the data supply chain to consistently apply
quality management principles based on a set of defined means of compliance by overlaying those actions
with an oversight management scheme beyond AIS.
3.
THE KEY PROBLEM IN THE DATA SUPPLY CHAIN
3.1
The core problem appears when tasks are performed by multiple actors based on manual
processes with the existence of numerous transaction points. At each of these points data may leave a
semi-electronic or even a fully manual environment and are transferred in paper form (=media break)
rather than in electronic form. As a result, the system is faced with repeated entry and checking, which
involves a high risk of error with a very likely safety impact.
3.2
The mitigation to these risks is standardised processes and procedures, common data
formats and digital data exchange enabling interoperability.
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THE CHAIN OBJECTIVE
4.1
The objective of CHAIN was to improve the quality of the originated aeronautical data
and its management from the point of origin to the point of publication and to subsequently enable
enhanced processing throughout the entire aeronautical data chain.
4.2
The purpose was to support aeronautical information regulators and service providers in
implementing and maintaining traceable, controlled and auditable processes with a particular focus on
data integrity.
4.3
The scope of CHAIN covered flight-critical and essential navigational aeronautical data
(e.g. a runway threshold) as established in ICAO Annex 15, supplemented by the industry standards
EUROCAE ED-76 and ED-77 (and equivalent RTCA documents).
4.4
CHAIN facilitated a pan-European, and potentially world-wide, adoption of the
deliverables in order to support the transition towards a future digital management of aeronautical
information.
4.5
5.
CHAIN’s achievements were particularly based on two key measures:

establishing the ECIP implementation objective INF051;

support to the establishment of a European legislation: the SES IR on ADQ.
CHAIN SOLUTIONS – DELIVERABLES
5.1
CHAIN delivered a carefully scoped and logically defined ‘suite of deliverables’
(outlined in Appendix A) permitting a stepwise approach towards quality improvements. This enables
stakeholders to select those deliverable(s) that help to realise enhancements in the most critical areas.
Deliverables may be applied either one after the other or all at the ‘same time’, if the operational
environment so requires.
5.2
Through a series of pilot implementations the deliverables were proactively validated and
enhanced, initial implementation experiences were gathered, first success established and a small number
of trials ultimately paved the way for further implementation steps.
5.3
1
Deliverables were realised in the following main areas (details in Appendix A):

Foundation elements (requirements, quality principles for processing);

Data process mapping;

Service level agreements;

Standard input forms;
ECIP stands for European Convergence and Implementation Plan. The implementation objective INF05 addresses: ‘Improve
end-to-end integrity of aeronautical data.’
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6.

Specification for an automated data quality process;

General elements (safety, training, implementation plan etc.).
MASTERPLAN – THE STEPWISE APPROACH
6.1
Based on CHAIN’s experience a stepwise approach towards improvements is highly
recommended and the following logical steps for implementation should be considered:
1) A Quality Management System (QMS) is a pre-requisite for enhanced service
provision and is to be established. Note: CHAIN solutions are modular and may
exceptionally be applied before establishing a QMS.
2) The CHAIN ‘suite of deliverables’ for process enhancements are to be exploited.
o
First, analyse the document: ‘Data Integrity – Practical Guide’ as it provides
practical tips and tricks including quick wins (start to apply them).
o
Second, study the main document from the Foundation material, called:
‘Integrity of Aeronautical Information - Principles, Data and Quality
Management.’
o
Third, perform an internal Validation & Assessment by using the V & A
criteria deliverable. This will highlight main issues enabling a prioritization
of actions to be taken.
3) Define an initial ‘Data Integrity/Quality action plan’ and involve the key actors
(such as representatives from service providers, the regulator, key data
originator).
o
The establishment of a national ‘data quality group’ will help here. The
group should include key partners (incl. regulator and key data providers)
and it shall be sponsored by management.
4) Establish (an) implementation objective(s)
o
Similar to or based on ECIP implementation objective INF05.
5) Identify main data originators
o
Apply the SLA Originator Index (xls) which will indicate the key providers
and the most critical data that are concerned.
6) Map the data processes.
o
Apply the data process mapping tool to customise and map your processes.
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7) Establish SLAs with key data originators
o
Exploit the lessons learned and the SLA package. Start with screening the
tutorial package and involve the key originators.
o
Apply technical solutions (e.g. SIF2) helping to realise SLAs.
8) Initiate the establishment of an automated process (to modify or procure systems)
o
7.
Based on the above steps and results from data process mapping and SLA
exploit the specification for an automated data quality process.
CONCLUSION
7.1
The ‘suite of CHAIN solutions’ enables a stepwise approach towards improvements
allowing stakeholders to pick those specific elements that help them realising enhancements in the most
critical areas.
7.2
The challenge is with all supply chain actors - with AIS/AIM in the facilitating role - to
exploit the deliverables to the maximum, to put supplementary building blocks in place and to fully
translate the substantial investments made into national operational benefits.
7.3
It is important to note the proposed deliverables are not a single solution to a single
problem. All supply chain actors have a ‘duty of care’ to be able and ready to satisfy the needs of the
overall ATM system.
8.
PROPOSAL FOR AMENDMENT
8.1
In support of achieving compliance to Annex 15 requirements, this study note proposes
the inclusion of specific material, based on the CHAIN solutions, into global ICAO documentation to
address wider quality attributes. This should supply States with a range of specific means to assist
implementation actions.
8.2
Following new text is recommended to be inserted into Annex 15 after para 3.2.4:
3.2.5 Recommendation.— Guidelines for data supply chain management and in
particular the establishment of Service Level Agreements (SLA), are covered in the
ICAO Doc <Nr.> Manual <title>.
8.3
Recommended application date is Nov 2010.
8.4
The detailed, distinct CHAIN solutions as outlined in Appendix A of this study note and
as supplied through the CD, are proposed for inclusion into specific ICAO guidance material, by either:
2

integration into the ICAO Quality Manual; or

by creating a new Manual addressing the subject of ‘data supply chain management’.
SIF - Standard Input Forms; refer to Annex item 4
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9.
9.1
ACTION BY THE AIS-AIMSG
The AIS-AIMSG is invited to:
a) discuss the content of this study note;
b) support the inclusion of a new recommendation into Annex 15 following para 3.2.4
as outlined in item 8.2 of this study note; and to
c) endorse the proposal to integrate the detailed, distinct CHAIN solutions into ICAO
guidance material as outlined in item 8.4 and to advise the secretariat on best means
to publish the subject of ‘data supply chain management’.
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Appendix
APPENDIX
CHAIN SOLUTIONS — DELIVERABLES
1.
FOUNDATION ELEMENTS
1.1
The foundation elements are a set of guidance material which clarifies the key
requirements and supports the implementation of processes, procedures and systems throughout the
Aeronautical Information data processing chain. They also provide current good practices.
1.2
A key component is the ‘Family of Data Integrity Documents’. They are guidance,
however, they are written in a style that allows States to adopt them as national regulatory material. They
consist of:

‘Principles – Data and Quality Management’ [CHAIN/0028]. Provides a high level
overview of both the processes and requirements which are applicable throughout the
data chain. It is supported by a separate Abbreviations and Definitions document and
three further documents which detail the three specific functions of the generic data
process.

‘Aeronautical Data Origination’. Sets out the minimum requirements for the
origination of navigation-related data applying to all organisations involved in the
data origination process. The requirements cover the surveying of radio navigation
aids and points whose coordinates contribute to air navigation.
Note: This document is prepared and issued by the Eurocontrol Navigation (NAV)
domain in collaboration with the Air Navigation Team.

‘Data Exchange’ [CHAIN/0029]. Provides the requirements necessary for the
protection of data in transmission from one point to another, be it within an
organisation or between organisations.

‘Data Publication’ [CHAIN/0030]. Sets out the minimum requirements for the
process involved in the provision of aeronautical data publication and applies to all
organisations involved in the publication process for Aeronautical Information.

‘Glossary - Abbreviations and Definitions’ [CHAIN/0031]. Provides abbreviations
and detailed definitions applicable to all documents and organisations.
1.3
Based on the above documents, the ‘CHAIN Validation & Assessment Criteria’
(requirements) have been defined and integrated into 2 distinct tools:

The Excel based V & A tool (basic tool).
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Appendix

The ‘CHAIN Audit tool’ (advanced tool) exploiting an earlier development of the
AIS Operations Subgroup, initially known as ‘AIP Audit Assistant’. Note: both tools
are using the same V & A criteria.
1.4
Furthermore, during the awareness phase current practices providing a range from quick
solutions to complex actions as applied by individual stakeholders were assembled. Those are published
in the document ‘Data Integrity - A practical Guide’.
2.
DATA PROCESS MAPPING
2.1
The ‘Data Process Model’ (DPM) provides an understanding of the generic steps,
sequences, roles and functions of the actors involved in the data supply chain.
2.2
The output is a ‘Generic Data Process Model’ which can be customised by stakeholders
to model their individual processes. There are two immediate areas where DPM will be beneficial: SLA
and process automation. For both there is a need to clearly understand the processes involved and the
relationships and dependencies.
2.3
3.
The process repository provides following deliverables and formats:

‘Data Process Mapping – Generic Data Process Model’, a report in MS Word (doc
file) with the generalised process based on the input of the six States. This report
enables ‘easy review’ and communication. It has been directly extracted from the
Generic Rational Rose model.

‘Generic Data Process Model’ in html (packed into a zip file) to enable easy viewing
and sharing of the Rose model.

‘Generic Data Process Model’ in Rational Rose (mdl file) enabling to view, edit and
modify the data contained. This model enables customisation of the individual
processes and to capture them into your state/organisation model. In order to do so,
potential users will need to have a version of IBM Rational Rose Data Modeller.

Extraction macros (ebs file) and MS Word template (dot file) for the report creation
out of the Rose model.
SERVICE LEVEL AGREEMENTS (SLA)
3.1
CHAIN has identified the clear need for a more formal arrangement for the provision of
source information to the Aeronautical Information Services (AIS) and such need would be best served
through the utilization of Service Level Agreements (SLA).
3.2
In order to support the implementation of SLAs, a comprehensive ‘SLA package’ has
been developed to support the establishment of agreements between data providers (originators) and
Aeronautical Information Services possibly under the umbrella of a regulator.
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3.3
4.
Appendix
The SLA package is made up of the following elements:

SLA Guidelines: The introduction to SLA introducing the concept, providing
guidance on its elements and the underlying key process and providing a generic
template.

Originator index: A Microsoft Excel spreadsheet that reflects the structure of the AIP
(as defined in ICAO Annex 15). It is intended to be used to assist in the identification
of the supplier of each data item in the AIP, the approver and the criticality of the
data (again as defined in ICAO Annex 15).

Static Data Procedures (upstream operations): An additional Static Data Procedure
(SDP-21) that has been developed to specify the interface from the Data Provider to
the AIS.

Key Performance Indicators (KPI): A list of selected KPIs which relate to the
performance of exchanging aeronautical information between a Data Originator and
an AIS Service Provider (AISP).

SLA template: A template document which provides the basic structure of an SLA,
some example text and placeholders for the negotiated agreement to be captured.

Set of tutorial slides: To aid training and implementation.

SLA Pilot Implementation - Lessons Learned: Providing specific lessons learned to
aid further implementation and to increase awareness of good practices and potential
risks.
STANDARD INPUT FORMS (SIF)
4.1
The Standard Input Forms (SIF) provide a flexible means to improve the quality and
integrity of aeronautical data. They allow data providers and regulators to collect, distribute and approve
aeronautical data in a structured and secure way. SIF also reduce the risk of human error while
transferring data between aeronautical actors.
4.2
SIF are a set of digital forms based on AIXM covering critical and essential data entities
as defined by ICAO Annex 15, Appendix 7. SIF are extracted from the AIXM 4.5 with embedded
security and basic validation features. At the end of the data supply chain AIS may extract an AIXM
update message to be then loaded into the production system.
4.3
SIF do not impose a way of working on the States and supply chain actors are free to
collectively define the data flow that suits their needs based on an SLA. Whatever data flow they decide
upon, they will still profit from the advantages of enhanced security, capturing of meta data and improved
data quality offered by the SIF.
4.4
The operational concept behind SIF is the principle of ‘store and forward’, meaning that
the package as a whole is distributed to the next intended user. SIF are an intermediate technical means,
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Appendix
enabling enhanced data input and supply from originators to AIS, before system-wide process automation
takes place.
4.5
The SIF package is provided through a series of files. It is supplemented by a readme file.
Follow the installation procedure described in the SIF manual.
4.6
Manuals: SIF User Manual and SIF Customization Manual.
4.7
Zip files:
5.

Empty-SIF-package.zip: SIF with no data in it (for new or ‘basic’ users). It can be
used immediately for testing. AIS offices can distribute it after having changed the
return address. How? This is explained in the customization documentation.

AIS-tools.zip: Standard package for AIS offices, for day-to-day SIF management.
AIS may import an AIXM snapshot into this package and generate a new 'prepopulated' SIF. AIS offices can also use this package to merge SIF packages.

SIF-customisation.zip: This package is only needed to customize SIFs: change which
fields are editable, which feature types to show etc. This zip file is targeted to
developers, not to AIS operational staff.

SIF-demo-certificates.zip: Providing sample certificates and keys for testing of SIF in
relation to electronic signatures. All passwords are: ‘test’. Attention: These keys are
NOT FOR OPERATIONAL USE!
SPECIFICATION FOR
QUALITY PROCESS
AN
AUTOMATED
DATA
5.1
Inevitably, automation has to be considered when applying a more holistic approach. The
specification for an ‘automated data quality process’ defines the common, underlying requirements for an
automated data process. The specification is intended to be used by data originators and AIS providers to
support improving the overall quality of the data management process, for critical and essential data.
These deliverables will help States to modify or develop specific, automated solutions/systems ensuring a
harmonised approach through common criteria.
5.2
Besides developing the specification itself a series of studies were performed in order to
analyse existing (industry) work flow management solutions and to supply representative case studies.
5.3
Deliverables are:

'Specification for an Automated Data Quality Process' plus an 'Executive Summary'.

Study reports on:
o
Work Flow Management Solutions: presenting primarily factual input from
industry.
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6.
Appendix
o
Skyguide: implementation of Workflow Management Solutions.
o
United Kingdom Hydrographic Office (UKHO): another industry’s
organisation handling critical data using a workflow management solution in
their data chain.
GENERAL ELEMENTS
6.1
A series of individual activities were performed and elements were provided such as a
Preliminary Safety Case or training elements. The main deliverable areas were supplemented by an
elearning package consisting of six Computer Based Training (CBT) modules:

Module A: Introductory module providing an overview of the CHAIN activity, the
applicable regulations and the CHAIN deliverables overview.

Module B: Foundation module that introduces the CHAIN family of guidance
documents, their relationship, and how they may be applied.

Module C: SLA module that introduces the concept behind the SLAs, together with
an understanding of the problems that may be addressed by SLAs, the content of the
SLA package, the process for implementing SLAs, and the experiences and lessons
learnt during implementation.

Module D: SIF module that explains how to use SIF to exchange aeronautical
information between AIS offices and their data originators. A supporting technical
module is also provided for developers wanting to customise and enhance SIF.

Module E: Specification module providing an overview of the CHAIN deliverable:
‘Specification for an automated Data Quality Process’, including the problems
automation will address, and how the specification should be used.

Module F: Data Process Mapping module that introduces the ‘CHAIN Generic Data
Process Model’ (a rational rose based model).
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