Conformity Assessment Task Force Meeting

1
Conformity Assessment Task ForceMeeting 14
EUROCONTROL Headquarters VEGA Meeting Room 27
November 2008
2
Agenda Item 1
Opening Approval of Agenda
3
Agenda Item 2
Key elements of the SES Annual Report Octavian
Cioara
4
Context

• Legal obligation for the Member States to report
  annually on the implementation of the SES and of
  FUA Art 12 of the SES framework Regulation
  549/2004 and Article 8 of the FUA Regulation
  2150/2005.
• The European Commission has formally requested
  EUROCONTROL (31.07.2008) to
• Collect
• Validate
• Analyse
• on its behalf, the data to be provided by States
  in their annual reports on the implementation of
  the SES

5
Context

• Reporting to be done through the LCIP 2009-2013
  reporting mechanism, as follows
• Annual Report on SES implementation through
  Chapter 2 of LCIP2009-2013
• Annual Report on the Application of FUA through
  Chapter 7 of LCIP2009-2013
• Most of the questions addressed to or through the
  NSA

6
Reporting on interoperability

• Specific section (2.8) dealing with the
  implementation of the interoperability Regulation
  and the associated implementing rules
• Questions derived directly from the
  interoperability Regulation or from the
  applicable implementing rules
• Coordination and transfer (1032/2006)
• Flight Message Transfer Protocol (633/2007)
• Initial Flight Plan (1033/2006)
• Voice Channel Spacing (1265/2007)

7
CA issues

• Opportunity to have a consistent view across the
  27 Member States ( those having signed aviation
  agreements)
• Questions on
• Definition/allocation of tasks and processes
  dealing with the supervision of compliance by the
  NSA
• Appointment of Notified Bodies
• Number of received EC declarations of
  verification and provision of some examples (max
  8)
• Number of EC declarations of conformity/suitabilit
  y and provision of some examples (max 8)
• Any cases of non-compliance ascertained by the NSA

8
Next steps

• More info available at http//www.eurocontrol.int
  /elcip
• E-mail address set-up sesreporting_at_eurocontrol.in
  t
• FAQ section available
• Deadline for submission of the reports
  31.01.2009
• Delivery of the results/analysis by EUROCONTROL
  to the EC April 2009

9
Agenda Item 3
Application of Conformity Assessment to
Meteorological Systems Jean-Paul Doré
10
Review of initial proposalApplication of CA to
met systems

• How to identify/delineate Met systems and
  constituents part of EATMN?
• Systems supporting D-ATIS D-VOLMET should be
  part of EATMN (see CATF13.5)
• Feedback from CATF members indicates that this
  approach is too restrictive
• Two possible views
• Service provision of Met information (549/2004,
  2096/2005 with amended Annex III)
• Systems and constituents for the acquisition,
  processing and dissemination of Met information

11
CATF14 Paper on Met Systems

• Explore the way ahead to define EATMN Met systems
• Met information provided to aeronautical users
  and covered by ICAO / WMO standards
• Anticipate potential overlap or dependency with
  other processes / initiatives including
  verification of compliance activities with ICAO
  standards
• Highlight orientations for the drafting of
  specific CA guidelines

12
Essential RequirementsMet systems

• ER 8.1 Seamless Operations
• Systems procedures for the use of
  meteorological information shall improve the
  consistency and timeliness of its provision and
  the quality of its presentation, using an agreed
  set of data
• ER 8.2 Support for new concepts of operation
• Systems procedures for the use of
  meteorological information shall improve the
  promptness and its availability and the speed
  with which it may be used, in order to support
  continuous improvement of the efficiency of
  airspace and airport use

13
Main benefits of Met info for the ATM system

• Improved accuracy and timeliness of shared met
  info to optimize flight trajectory and
  prediction, safety and efficiency of the ATM
  system
• Increased availability of shared met info onboard
  a/c will allow the preferred trajectory to be
  refined in real time
• Adverse weather conditions ? decision for
  diversion and re-routing
• Aerodrome reports and forecasts ? optimum use of
  aerodrome capacity
• Met info will contribute to minimize the
  environmental aspect of air traffic

14
SESAR technical architecture
15
SESAR ViewATM Information Reference Model, AIRM
16
Meteo information supplied to aeronautical users
/1
17
Meteo information supplied to airspace users /2

• Pre-flight planning
• Met info for en-route and aerodromes
• VOLMET service
• ATIS service

18
Meteo information provided to aeronautical users
/2

• Presentation of Met information
• Abbreviated plain-language messages (ICAO
  approved abbreviations) existing alphanumeric
  codes accepted by flight crews and ATS personnel,
  
• Digital form for automatic information system
• Graphical format

19
Application of the Quality Management System
defined in ICAO Doc 9873

• Quality Management System for the Provision of
  Meteorological Service to ANS
• Requirements of ISO 90012000
• Clause 7.5 Production and service provision
• Clause 7.6 Control of monitoring and measuring
  devices
• Potential overlap between requirements of the QMS
  for Met service providers and conformity
  assessment of constituents and systems

20
Considerations on the application of CA to Met
systems /1

• Two categories of users
• Airspace users
• ATS units, TWR, APP, ACC, FIC, AIS, RCC
• CA objectives
• Ascertain the quality of service of met
  information supplied to ATS units
• Verification of compliance of supporting systems
  with applicable ICAO and WMO standards
• Provide evidences of compliance for the technical
  file
• Met service providers associated to (ACC, FIC)
  should issue a DoV
• Supply of met info meets QoS requirements
• Generation dissemination of met info complies
  with applicable standards

21
Considerations on the application of CA to met
systems /2

• Met service providers associated to (TWR, APP)
  should issue a DoV
• Supply of met info meets QoS requirements
• Generation dissemination of met info complies
  with applicable standards
• Met systems subject to CA
• System supporting ATIS service
• System supporting VOLMET service
• Aerodrome weather observation systems, AWOS
• System for the generation dissemination of met
  info to ACCs
• Automated pre-flight planning systems

22
Considerations on the application of CA to met
systems /3

• Met service providers which will implement a QMS
  on the basis of Doc 9873 should consider SES CA
  activities as part of their QMS

23
Next Step

• Drafting of guidance materials for the
  application of CA to met systems
• Definition of EATMN met systems
• Identification of ICAO, WMO standards to conduct
  CA activities
• Review by Met service providers and ATSPs

24
Agenda Item 4
Approach for Drafting Guidance for the
Application of Conformity Assessment to CNS
systems Paul Ravenhill
25
Approach for drafting guidance for the
application of Conformity Assessment to CNS
Systems

• CATF14
• Agenda Item 4
• Paul Ravenhill

26
Content

• Purpose
• Definitions
• Approach
• Step 1 Top-down
• Step 2 Bottom-up
• Step 3 Consolidation
• Timescales

27
PART C DEFINITION OF CNS-TYPE CONSTITUENTS

• To harmonise the application of CA to
  constituents, it is deemed necessary to define a
  set of CNS-type constituents subject to EC
  declaration.
• This definition should not be interpreted as a
  technical specification for the design,
  production or maintenance of CNS products.
• This definition should be used to determine and
  delineate the minimum granularity of CNS elements
  which are subject to EC declaration.

28
Definitions - IOP Regulation

• Definition of a system
• part of the EATMN and identified by a single name
• coherent group of linked constituents
• a system requires the administration of the
  assembly as a single system, for the purpose of
  the CA
• Definition of a constituent
• part of a system
• provides a specific function as part of a system
  or component

29
Working definitions

• The following working definitions are required as
  stepping stones to the identification of
  constituents
• Functional Area
• A CNS service that is typically provided by a
  system
• Candidate Constituent
• A logical division of a functional area capable
  of providing a discrete service
• A constituent will be a refinement of a candidate
  constituent
• Physical component
• A physical asset that supports provision of a CNS
  service
• Not all physical assets will be constituents
• A single constituent could represent several
  components
• A constituent will be a sub-set of physical
  components

30
Outline Approach

• Step 1 Top-down Analytical
• Analysis of existing CNS/ATM architectural
  products and standards to identify
• Functional areas
• Identification of candidate constituents
• Identification of standards
• Step 2 Bottom-Up Case Study
• Analysis of existing CNS systems from two ANSPs
• Identification of physical components
• Grouping of physical components to functional
  areas
• Review of identified standards
• Step 3 Consolidation
• Refinement of CNS Element and Component mappings
  to identify
• Constituents
• Alignment with
• Part A Definition of EATMN systems
• Part B Determination of operational
  characteristics

31
Step 1 Analytical identification

• Top-down approach is based on analysis of
  existing CNS/ATM architectural products (for
  example OATA, NAS, SESAR etc.) and standards
  (ICAO, EUROCAE, etc.) to identify
• functional areas
• candidate constituents
• standards

32
Step 1 Analytical identification
Domain
Functional Area
Candidate Constituent
33
Step 1 Types of ATM Standards
SARPs (E)TSOs TGLs ESSARs MOPS MASPS Guidelin
es European Standards (IRs and CSs) Function,
Form and Fit Core Technology Standards
ICAO
FAA
EASA
SRC
RTCA
EUROCAE
SAE
Eurocontrol
ESOs
AEEC
ISO
IEEE
34
Step 1 Relevant standards Datalink 1/3
35
Step 1 Relevant standards Datalink 2/3
36
Step 1 Relevant standards Datalink 3/3
EUROCAE ED-120
ICAO Doc 9776
EUROCAE ED-110A
ICAO Doc 9705
ATN Technical Manual
X.25
37
Step 1 Standards Maps

• Develop a standardised model (map) for
  standards and/or specifications for a functional
  area
• e.g. capture the generic standards required
• Populate map for each CNS element
• e.g. identify the specific standards (and
  potential gaps)

38
Step 1 Analytical identification
Domain
StandardsMap
Functional Area
Candidate Constituent
39
Step 2 ANSP Case Study

• Bottom-up Analysis of existing CNS systems in
  operation with ANSPs
• Two Case studies will be performed
• identification of physical components (e.g. an
  asset list)
• grouping physical components to functional areas
• review of identified standards

40
Step 2 ANSP Case Study
Domain
Functional Area
Physical Component
41
Step 3 Consolidation

• Refinement of CNS Element and Component mappings
  to identify constituents
• Alignment with
• Part A Definition of EATMN systems
• Part B Determination of operational
  characteristics

42
Step 3 Analyse CNS Element and Components
Domain
Functional Area
Candidate Constituent
Physical Component
43
Step 3 Identify Constituents
Domain
Functional Area
Constituents
44
Identification of Constituents

• The grouping of components into constituents will
  take due account of
• procurement practice e.g. the definition of
  constituent should not constrain available
  procurement options.
• granularity of standards e.g. a constituent
  should represent the functionality required by a
  discrete set of standards.
• The concept of bringing in to service e.g. a
  constituent should be capable of deployment as
  part of a system upgrade which may or may not
  include additional operational characteristics.
  (This notion will be investigated further in
  Part B)

45
Timescales
46
Thank you for your attention

• Paul Ravenhill
• www.askhelios.com paul.ravenhill_at_askhelios.com

47
Agenda Item 5
Overview of EASA SES Regulatory
Systems Jean-Luc Garnier Jean-Paul Doré
48
Overview

• EASA SES Regulatory Systems Today.
• EASA SES Regulatory Systems Tomorrow.
• Application of both Regulatory Systems.
• Requirements for the application of both
  Regulatory Systems.
• Institutional arrangements.
• Conclusions.

49
EASA SES Regulatory Systems for Aviation
2 Regulatory Systems

• Originated from different sources.
• Complementary Regulations and Means of
  Compliance.
• Coordinated application.

50
EASA and SES Regulatory Systems today

• Interoperability of EATMN
• Service Provision
• Airspace
• Safety of EATMN ANS

• Air operations
• A/c airworthiness
• A/c environment
• Certification
• Licensing
• Inspection

• Regulated organisations
• Regulated processes
• Regulated objects

MEANS OF COMPLIANCE
CONFORMITY
51
EASA and SES Regulatory Systems - today

• Air operations
• A/c airworthiness
• A/c environment
• Certification
• Licensing
• Inspection

• Interoperability of EATMN
• Service provision
• Airspace
• Safety of EATMN ANS

Airborne
Ground
EATMN
Space
52
EASA and SES Regulatory Systems -tomorrow

• Air operations
• A/c airworthiness
• A/c environment
• Certification
• Licensing
• Inspection
• Safety of EATMN ANS

• Interoperability
• of EATMN

EASA
SES
Interoperability IRs
IRs
REGULATIONS
Cert. Spec. AMCs, TGLs
Comm. Spec.
MEANS OF COMPLIANCE
Airworthiness Certification Ops.
approval Safety compliance
CA of constituents systems Superv. Compli.
CONFORMITY
Airborne
Ground
EATMN
Space
53
Application of both Regulatory Systems
SESAR Concept of Operation

• Regulated organisations
• Regulated processes
• Regulated objects

Which requirements for the application of both
regulatory systems in support of SESAR Concept of
Operation ?
54
Application of both Regulatory Systems

• Main driver for EATMN evolution ? SESAR IP-phased
  implementation requirements based on a common
  concept of operations and logical CNS/ATM
  architecture.
• Right balance of EASA and SES regulations
  providing the regulatory baseline to SESAR
  IP-phased implementation requirements.
• Right set of standards and specifications
  complementing these regulations.

55
Requirements for the application of both
Regulatory Systems
Development and maintenance of EASA SES
Regulatory Materials.
Consistency of dependent EASA SES regulatory
materials.
Coordination of EASA and SES processes for the
delivery and maintenance of coherent dependent
regulatory materials.
56
Requirements for the application of both
Regulatory Systems
Harmonisation and interoperability of EASA SES
Regulatory Systems.
Interfaces between EASA and SES regulatory
systems must be adjusted to streamline
stakeholders activities (verification of
compliance, supervision of compliance,).
Common basic principles and mechanisms for the
implementation of both regulatory frameworks.
57
Institutional ArrangementsEUROCONTROL Support
to SES
SES
EUROCONTROL
Interoperability IRs
Support to regulation
Support to standardisation
Comm. Spec.
CA of constituents systems Superv. Compli.
Support to implementation
Support to regulatory studies

• Air operations
• A/c airworthiness
• A/c environment
• Certification

• Licensing
• Inspection
• Safety of EATMN ANS

Coordination with EASA
58
Conclusions
European Commission
EASA
EUROCONTROL

• SES and EASA will provide clear regulatory and
  standardisation baselines to aviation
  community in Europe.
• Supporting mechanisms will be further
  developed.
• EUROCONTROL committed to support the European
  Commission and EASA, including through
  already existing coordination arrangements.

59
Agenda Item 6
Impact assessment of SES interoperability
Regulation on ARTAS Products Jean Marc Duflot
Jean-Paul Doré
60
Outline

• Background on ARTAS
• SES requirements applicable to constituents and
  systems
• The issues
• Proposed approach
• Recommendations

61
Background (1/2)

• ARTAS (ATM suRveillance Tracker and Server)
• Surveillance Data Processing system designed to
  establish an accurate Air Situation Picture and
  to distribute tracks to a community of user
  systems.
• Recognised as one of the most advanced SDP
  solution in the world
• Composed of ARTAS Application Software, OTS
  (Off-The-Shelf) software, COTS (Commercial-Off-The
  -Shelf) Software and Hardware.
• Used operationally in 19 ATC centres and tested
  at another 20 sites
• Common development and centralised support led by
  EUROCONTROL enabled substantial savings for ANSP
  Users.
• Development started in 1993, followed up by a
  group of European SDP experts
• Centralised EUROCONTROL Maintenance Support
  organisation set up in 1999
• Continued development in line with the
  Surveillance strategy
• Ongoing work for compliance to ESARR safety
  framework

62
Background (2/2)

• ARTAS distribution policy
• End user shall sign a Run-time License
  Agreement
• Software used on an as-is basis
• Grants access to the Maintenance Support
  service (CAMOS) ruled by SLA
• ARTAS industrial policy
• EUROCONTROL holds most of ARTAS Intellectual
  Property Rights and can authorise support,
  maintenance and development to the ATM industry
  (Open tender actions)
• EUROCONTROL encourages and promotes the use of
  the ARTAS Application Software by the ATM
  industry in the ECAC area
• The ARTAS Industry Licence Agreement
  authorises the ATM industry to offer ARTAS
  together with own product line to any user,
  within ECAC.
• Principles of the license can be found on
• http//www.eurocontrol.int/artas/public/standard_p
  age/artas_industrialpolicy.html

63
SES Requirements

• SES interoperability Regulation (EC552/2004)
  requires in
• Article 5, that the manufacturer/representative
  shall issue an EC declaration of conformity or
  suitability for use
• Article 6, that ANSPs shall establish an EC
  declaration of systems and submit it to the NSA
  together with a technical file
• EUROCONTROL will continue to provide users with
  ARTAS technical file documentation needed for
  ANSPs to establish the EC declaration of
  verification of systems

64
The Issues (1/4)

• Application of obligations on manufacturers/repres
  entatives and ANSPs to an ARTAS product supplied
  by EUROCONTROL needs careful consideration.
• ARTAS users have raised questions on the role of
  ANSPs, EUROCONTROL, other actors and the need
  for a manufacturer declaration
• To clarify the status of the ARTAS product, the
  following 3 questions are asked

65
The Issues (2/4)

• Q 1 Should the ARTAS product be considered a
  constituent of
• the EATM SUR?
• ARTAS designed for integration into SUR systems
  designed by ANSPs, or ATM system manufacturers
• EUROCONTROL provides support to ARTAS users to
  ease integration the design and integration
• No specific reason prevents ANSPs from
  considering ARTAS as an EATM constituent

66
The Issues (3/4)

• Q2 What roles do ANSPs, EUROCONTROL and
  designated sub-partners
• contactors developing ARTAS products
  have?
• Role of EUROCONTROL and a manufacturer which
  designs, develops and maintains a software are
  alike
• Manufacturers in the EU must comply with EU
  regulations for the circulation of goods and
  services.
• EUROCONTROL is committed to comply with technical
  provisions of the SES Regulations, but is not
  directly subject to those or other EU regulations
• ANSPs are not considered to be manufacturers.
  However, some in-house ANSP manufacturers will
  issue an EC Declaration of suitability for use as
  if they were independent manufacturers.

67
The Issues (4/4)

• Q3 Should EUROCONTROL issue a declaration of
  suitability for use for ARTAS products?
• An EC declaration
• Must be issued by EU manufacturers
• Might be issued by in-house ANSP manufacturers
• EUROCONTROL can not be considered as a
  manufacturer as it does not put any product on
  the market.
• ? Therefore, it is not considered appropriate
  that EUROCONTROL issues a formal
• EC declaration
• Issuance of an EC declaration does not influence
  the responsibility of ANSPs putting an ARTAS
  product into service
• It is important to ensure that ANSPs have all
  necessary information, to be confident that the
  system complies with applicable requirements
• ? EUROCONTROL is willing to provide such
  information any time the product is
• made available to an ANSP

68
Proposed Approach

• EUROCONTROL provides technical requirements
  elements of the conformity case (Quality Manual,
  System Test Plan, Users manual, etc)
• This does not modify EUROCONTROL
  responsibility/liability to
• Supply SUR products compliant with SES
  Interoperability Regulation
• Apply best practices for the conformity
  assessment of constituents not covered by
  implementing rules
• ANSPs shall still complete their declaration of
  verification of SUR systems with traceability
  between ARTAS constituents and SES
  interoperability Regulation

69
Recommendations

• CATF Members are invited to comment on
• The issues and questions raised
• The proposed approach

70
Agenda Item 7
Regulatory Contexts of RVSM and Mode S Monitoring
Processes Peter Martin
71
Context

• Previous work illustrated benefit of monitoring
  overall operation of CNS/ATM Air/Ground Systems
• Failure of individual constituents gt impact on
  interoperability, safety
• Own-system maintenance monitoring gt no
  complete end-to-end view of interoperability
  performance
• Increased integration gt increased need for
  monitoring
• Objective
• Investigate regulatory basis for some current
  examples of overall CNS/ATM Air/Ground Systems
  monitoring
• Inform future development of monitoring schemes

72
RVSM Height Keeping
Obligation on ICAO Regions to monitor
height-keeping in RVSM airspace on regional basis
ICAO Annex 11
Guidance to ICAO Regions on implementation
incl. obligation to establish RMA
Doc 9574
Monitoring of height keeping is integral part of
RVSM Safety Case
Doc 7030
ICAO EUR Region approach to RMA implementation
responsibility on EANPG
EANPG
EANPG/43, 44 45 assigned RMA to EUROCONTROL.
73
Conduct of RVSM Monitoring

• EUROCONTROL support
• In run-up to RVSM GO
• In early stages of operation
• Longer term
• Reliability of Data for Safety Case
• Technical Risk (Automated Data Collection) ?
• Operational Risk (Reported Operational Error
  Data) ?
• Conclusion
• Regulatory basis - clear
• Funding by beneficiaries clear arrangement
• Some issues on data provision

74
Mode S Airborne Monitoring
ICAO Annex 10 Part IV
EASA AMC 20-13 / JAA TGL 13
EC 2096/2005 EC 552/2004
Doc 7003
Standards for Mode S, mandatory carriage by a/c,
no monitoring obligation
Guidance includes routine monitoring of ongoing
operation of a/c installation by operator
ANSP monitoring of own services only and ANSP
systems constituents to comply with
interoperability requirements throughout
lifecycle.
75
Conclusion Considerations for Effective
Monitoring of CNS/ATM Air/Ground Systems

• Monitoring may be necessary for safety and/or
  interoperability
• Regulatory framework helpful but is not a
  pre-requisite
• Regulatory basis facilitates
• Disclosure of information
• Follow-up of faults
• Funding arrangements

76
Agenda Item 8
Open Tour de table
77
Agenda Item 9
Any Other Business Date of next Meeting