incrementally, as long as you audit all the objectives at least annually. Any major non-conformities as described in RTCA/DO-200B, section 3.4, must be reported to the FAA office issuing the LOA. Additionally, the FAA may perform periodic audits in accordance with procedures agreed to by you and the ACO/MIDO. Scheduling of periodic FAA audits should use a risk-based approach to determine the appropriate intervals considering such factors as the type of LOA, maturity of the FAA/data supplier relationship, and evidence the data supplier's internal a udit program is performing adequately.
10.2.5 You must notify all users and the FAA (ACO/MIDO from which the LOA was obtained), when you no longer comply with the conditions of the LOA.
10.2.6 You must provide a release statement with each database distribution to broadcast the identified LOA status, state your compliance, and provide information on known deviations and alterations. The release statement must include:
LOA status (e.g., current, suspended, expired, etc.).
Any deviations to the agreed DQRs (e.g., deletion of procedures due to source / processing errors (i.e., completeness change), etc.).
Any data alteration (reference RTCA/DO-200B, section 2.4.2).
Note: The objective for the release statement is to communicate LOA status and any deviations/alterations so the operator / end-user can satisfy their responsibility for ensuring the data meets the quality requirements for its intended function. The release statement may be in the form of an enclosed document, an electronic posting with the download files, or on the web.
10.2.7 You must surrender or withdraw your LOA if you no longer uphold its terms and conditions. The LOA is not transferable and is effective until surrendered or withdrawn by you, or terminated by the FAA, as described in the LOA.
10.2.8 Notification of LOA status changes to data customers. You must notify your data customers of the status of your LOA. You must also be aware of and provide any change in status of LOAs (or foreign acceptance, including designation of the foreign authority acknowledging the foreign source’s compliance to RTCA/DO-200B and the means of approval or acceptance) for previous data chain participant(s) up to, but not including, a Contracting State’s Aeronautical Information Publication (AIP). The method of notification must be timely to ensure customers can react to changes in the status of an LOA before they accept the next data update.
Note: An example of this notification requirement might consist of posting a copy of the LOA on a website for customers, with a procedure to reference the site before updating data. This would ensure notification of any changes in the LOA status.
11 HOW DOES THIS GUIDANCE APPLY TO DATA SUPPLIERS?
11.1 A data supplier seeking an FAA LOA for acceptance of its aeronautical data process meeting the objectives of this AC should follow the guidelines contained in paragraph 10 of this AC for application procedures.
11.2 In addition to the requirements in RTCA/DO-200B, the following applies for obtaining FAA acceptance of the aeronautical data process:
11.2.1 Verification and Validation of Data.
11.2.1.1 You may receive data from any data supplier in the aeronautical data chain.
If a data supplier has complied with the requirements of RTCA/DO-200B, or previous version as evidenced by an FAA LOA, the responsibility to validate the incoming data meets the DQRs is discharged (reference RTCA/DO-200B, section 1.5 and 2.3.3 (3)). Likewise, for data published in the AIP, provided via an official government source (as recognized by the FAA), or an authoritative source (as recognized by the FAA (reference RTCA/DO-200B, appendix A)), the responsibility to validate the incoming data meets the DQRs is discharged (we refer to these types of suppliers/publications as authoritative source). We recommend the use of verification or validation techniques whenever possible to catch data errors.
You must verify and validate data obtained from non-authoritative sources through an approved process prior to delivery (reference RTCA/DO-200B, appendix C). You should evaluate the suitability of the foreign data supplier as part of your LOA application. Responsible management and process approval authority must be located in the United States for the FAA to discharge validation requirements for a data supplier’s internal supply sources located outside the United States.
Note: Database production procedures of non-U.S. data suppliers should comply with RTCA/DO-200B (or EUROCAE ED-76A) to the satisfaction of the data supplier/user as verified by the supplier’s civil aviation authority (CAA). The FAA recognizes approvals by the CAA through bi-lateral agreement or EASA LOA / Data Supplier Certificate (EASA LOAs / Data Services Provider Certificates demonstrating RTCA/DO-200A / RTCA/DO-200B (or EUROCAE ED-76 / EUROCAE ED-76A) are acceptable). The approval by the CAA may be acceptable and should be equivalent to the FAA acceptance defined in this AC.
11.2.1.2 Data Process Assurance Level (DPAL). The level of rigor representing the amount of verification and validation tasks performed during data processing to assure data quality is known as data process assurance level, or DPAL. The DPAL is determined by the integrity requirement of the data 14
through allocation of risk using a preliminary system safety assessment of the system architecture (reference RTCA/DO-200B, appendix C, section C.2, AC 23.1309-1, System Safety Analysis and Assessment for Part 23 Airplanes, AC 25.1309-1, System Design and Analysis, ARP 4754A, Guidelines for Development of Civil Aircraft and Systems, and ARP 4761 Guidelines and Methods for Conducting the Safety Assessment Process on Civil Airborne Systems and Equipment). For data processes with a mixture of DPALs (e.g., processing DPAL 1 data with DPAL 2 data), then the higher DPAL is recommended across a mixed data set. Otherwise, you must employ partitioning and protection to ensure the higher DPAL data set utilizes the higher rigor. Regardless, the DPAL should be consistent with the tightest requirements derived from malfunction or availability effects caused by the data (reference RTCA/DO-200B, appendix C, section C.2.3).
11.2.1.3 Acceptable techniques for the verification and validation of navigation and other aeronautical data are in RTCA/DO-200B, appendix C and RTCA/DO-201A, sections 2.1.7 and appendix B.
11.2.1.4 Acceptable techniques for the verification and validation of airport mapping data are in RTCA/DO-272D, section 3.10.
11.2.1.5 Acceptable techniques for the verification and validation of terrain and obstacle data are in RTCA/DO-276C, sections 6.1.4 and 6.1.5.
11.2.2 Data Security. Your data processing procedures must define the means of confirming data you receive is not corrupted, your means to protect stored data from corruption, and what methods you provide the user to verify the data they receive from you is not corrupted (reference RTCA/DO-200B, section 2.4.1, items 1, 3, and 12). Additionally, to protect from the possibility of intentional corruption, you must maintain records showing what data security provisions you implement to accomplish these objectives (reference RTCA/DO-200B, section 2.4.6). Your data security provisions must describe both the technical and organizational controls you implement to ensure you receive data from known sources and to prevent intentional corruption during processing and exchange of data. Provisions for data security must describe how you identify, assess, and mitigate security threats and prevent unauthorized access to data or tools. Moreover, there are two important concepts applicable to the rigor of your data security provisions. First, the higher the DPAL the more rigorous controls and protocols you will need to implement.
Additionally, to protect data developed with higher item development assurance levels (IDAL), security provisions need to address any mixing of data processed at lesser DPALs and any potential vulnerability affecting the more critical data (see 11.2.1.2).
11.2.3 Changes to DQRs and Identification of Non-Compliant Data. You must identify the process for establishing new configuration baselines in the configuration management plan.
11.2.3.1 Changes within the DQRs may affect the ability of the equipment to satisfy the intended function of the installed equipment. Changes to the DQRs must be coordinated between the data supplier and user receiving the data.
You should give sufficient advance notice of changes to allow subsequent participants in the data chain (avionics manufacturer, OEM, and potentially the operator / end-user) ample time to review the effect of the change.
11.2.3.2 You may have certain data elements not compliant with the three assurance levels identified in RTCA/DO-200B, appendix B, section B.1.3. If you deliver non-compliant data with RTCA/DO-200B compliant data, then the agreed-upon DQRs should identify this data as assurance Level 4, indicating it may not satisfy safety objectives. Level 4 data must be distinguishable from any compliant data through means acceptable to the FAA. The operator / end-user is ultimately responsible for ensuring Level 4 data meets the quality requirements for its intended application.
11.3 Tailored data. Tailored data is aeronautical data originated by an operator / end-user under their sole responsibility and for their exclusive use. The accountability for this data, and its subsequent update, remains solely with the operator / end-user and thus verification, validation, and corruption detection requirements are applicable to the data originator and not the data supplier. There are currently no established data requirements for tailored data. Therefore, data suppliers (i.e., both Type 1 and Type 2 LOA) must ensure tailored data is not distributed to entities other than the operator / end-user requesting the data.
Note: This requirement means the Type 1 LOA holder must sufficiently identify tailored data to support the Type 2 LOA holder in meeting this distribution constraint.
11.4 Tool Qualification. Performance of tool qualification in RTCA/DO-200B utilizes RTCA/DO-330, Software Tool Qualification Considerations, with adaptations provided in RTCA/DO-200B, appendix D. FAA acceptance of your aeronautical database associated with a TSOA, TC, STC, or LOA project utilizing this AC provides various frameworks for recognizing this compliance and the relationship to the liaison process.
As such, for the tool qualification liaison process under a TSOA, TC, or STC framework you would provide all necessary tool qualification data with the application and subsequent changes to the tool qualification data would follow the agreed change process for the type of approval (i.e., the Plan for Software Aspects of Certification (PSAC) and other output artifacts may include the required data or reference the artifact where this data is contained (e.g., the Data Processing Procedures)). Under an LOA framework, you would provide all necessary tool qualification data as part of the LOA application and subsequent changes to the tool qualification data would follow the agreed to LOA change process (i.e., the Data Processing Procedures fulfill the role of the PSAC and other output artifacts). In addition, regardless of which framework (i.e., TSOA, TC, STC, or LOA project utilizing this AC), you must submit the documentation (e.g., a Tool 16
Accomplishment Summary (TAS)) demonstrating tool qualification activities were satisfactorily completed.
12 WHAT IS THE RELATIONSHIP BETWEEN RTCA/DO-200B AND AIRWORTHINESS APPROVAL?
12.1 Identify the DQRs. The avionics manufacturer should identify the DQRs, usually as part of the compliance documentation at the equipment design level. During the airworthiness approval (e.g., TSOA, STC/TC), you must demonstrate the DQRs are consistent with the intended function of the equipment. Many aircraft and avionics manufacturers obtained approval for systems prior to the issuance of this AC and may not have previously identified its DQRs. For such systems, the data supplier must identify the DQRs demonstrated as consistent with the intended function of the avionics (e.g., using system verification tests, sampling checks, etc.) prior to obtaining a Type 2 LOA.
The DAH should establish the DQRs, or alternately a data supplier covered under a production certificate may establish them (provided the data supplier has access to the original documentation for the avionics). For example, flight management system ( FMS) suppliers to an OEM may document compatibility with its own FMS without the direct involvement of the OEM. The requirements should reflect the original design documentation, supplemented as necessary to address the data quality characteristics.
Typically, you find definition of the data format, accuracy, and resolution in the high-level data requirements in the original equipment software documentation when using RTCA/DO-178C, or previous versions. These data requirements are refined in RTCA/DO-201A, RTCA/DO-272D, or RTCA/DO-276C with the corresponding assurance level integrity requirements assigned.
12.2 Defining DQRs. An aircraft manufacturer, avionics manufacturer or systems integrator must use the requirements defined in section 2.3 of RTCA/DO-200B as a means to define the DQRs for the aeronautical database. The DQRs must be under configuration control.
RTCA/DO-200B, section 2.3 and appendix B, provides an acceptable means to define the DQRs. As described in RTCA/DO-200B, aeronautical data is characterized by its accuracy, resolution, assurance level, traceability, timeliness, completeness, and format.
For navigation databases, this definition could include data elements with corresponding accuracy, resolution and assurance level, record types and interrelationships to define paths (e.g., ARINC 424 path terminators if used within the avionics), any filters being applied to those record types, and company-specific format requirements (field-by-field description of what is delivered in the packed data). For terrain and obstacle data, RTCA/DO-276C, section 3 should be used as a minimum set of DQRs used for terrain awareness and warning systems. As part of the design approval, an aircraft manufacturer, avionics manufacturer or systems integrator must define DQRs for other applications
(e.g., synthetic vision systems or overlay of terrain on attitude indicator). For airport mapping data, RTCA/DO-272D sections 2 and 3 should be used as a minimum set of DQRs used for airport map displays. The aircraft manufacturer, avionics manufacturer or systems integrator must demonstrate the DQRs meet the requirements for the intended function and document the means to maintain the data.
12.3 Intended Function. The DQRs must be consistent with the intended function of the equipment identified as part of the normal design approval. One or more of the data characteristics can affect the equipment. The system compliance and installation documentation defines the system functions and any dependencies on the data (i.e., DQRs). For example, with navigation systems, this includes all uses of the system, such as navigating on published airways or routes, standard arrivals, departures, and specific types of approach operations.
12.3.1 Many aspects of the DQRs are addressed to support meeting the objectives of RTCA/DO-178C. DQRs reviewed and approved in compliance with RTCA/DO-178C, or previous versions, do not need re-approval by the FAA to meet this AC. However, the aircraft manufacturer, avionics manufacturer or systems integrator must ensure the DQRs developed under RTCA/DO-178C or previous versions, correctly establish the requirements on the data’s intended use (see RTCA/DO-200B, section 2.3). The aircraft manufacturer, avionics manufacturer or systems integrator may need to develop supplementary documentation to address deficiencies in the DQRs. Supplementary documentation changes may be in documents separate from the TSOA, TC, or STC design documentation, but then they must provide the necessary references to such documentation. The TSOA, TC, or STC DAH should incorporate supplementary documentation into the certification basis at the next opportunity.
12.3.2 Navigation, obstacle, and airport mapping data change frequently. In order to retain data currency, this AC provides an acceptable means for associating the DQRs for the aeronautical data with the aircraft type design without requiring the data (e.g., loadable media) become part of the RTCA/DO-178C, or previous versions, software life cycle.
Note: When RTCA/DO-201A, RTCA/DO-272D, RTCA/DO-276C, or other comparable criteria do not address the source data for the data product, the data quality may only reflect your processes and assurances specified by the DQRs.
12.4 Identification and Configuration Control.
12.4.1 Configuration control processes must include traceability between the DQRs and a database specification (e.g., a database definition document describing content, format, structure, and having a unique identification). The aircraft manufacturer, avionics manufacturer or systems integrator must also reference the DQRs in the installation documentation / ICAs.
12.4.2 The aircraft manufacturer, avionics manufacturer or systems integrator must evaluate changes to the DQRs per the change control process of the TSOA and/or TC/STC approval. This does not preclude changes to the data expected to change, remain current, or support operations in different geographic regions. The aircraft manufacturer, avionics manufacturer or systems integrator must evaluate changes to the DQRs to determine whether they have a major, minor, or no effect on the system’s intended function.
Note: The aircraft manufacturer, avionics manufacturer or systems integrator may incorporate any additional configuration management and control requirements found in other existing standards.
12.4.3 Database configuration management should address identification / part number, version control, data quality assurance / management, coordination processes (e.g., reporting of errors), and change management.
12.5 Instructions for Continued Airworthiness (ICA) (Title 14 of the Code of Federal Aviation Regulations (14 CFR) § 21.50(b)). If the aircraft manufacturer, avionics manufacturer or systems integrator do not identify the database as part of the type design
(i.e., RTCA/DO-178C compliance), and if database assurance is required (i.e., database has a safety effect), the installation documentation / ICAs must require the data meet the database assurance objectives (e.g., RTCA/DO-200B) and comply with the DQRs for the target hardware. For example, for an aeronautical database with a Type 2 LOA, a statement in the installation instructions or ICAs accomplishes this by directing the operator / end-user (before installing an aeronautical database) to review the release statement (reference paragraph 10.2.6 of this AC), thereby verifying database assurance and acknowledging any deviations to the DQRs or data alterations.
12.6 Aircraft Flight Manual. You must document any assumptions related to database assurance in the aircraft flight manual.
Example: The approval of the XXX application is based on the XXX database provider obtaining a Type 2 Letter of Acceptance (LOA) (or an equivalent means of compliance as defined by airworthiness authorities) and the operator / end-user complying with the requirements of AC 20-153B, paragraph 13.
13 HOW DOES THIS GUIDANCE APPLY TO AN OPERATOR / END-USER?
13.1 Operator / end-user responsibilities. This AC does not alter or affect the responsibility or authority of the operator (aircraft owner or pilot) in updating aeronautical data. The end user (operator) is ultimately responsible for ensuring the data meets the quality requirements for its intended application. The following guidelines apply to operators /end-users seeking compliance with RTCA/DO-200B:
13.1.1 The operator / end-user is responsible for ensuring the DQRs were defined and appropriate for the intended use. A Type 2 LOA confirms this is valid for the compatible equipment listed on the LOA.
13.1.2 Of the data characteristics applicable to the installed equipment, the operator / end-user is responsible for defining the completeness and timeliness requirements for the data, or accepts the requirements defined by its data supplier. The operator / end-user accomplishes this by obtaining all the data needed to support intended use (i.e., completeness) and ensuring the data is valid for its period of use (i.e., timeliness).
13.1.3 Prior to updating aeronautical databases in installed avionics, the operator / end-user must review the release statement from its supplier to confirm the validity of RTCA/DO-200B compliance and acknowledge any report of deviations to the DQRs or any modification to the data by alteration. For non-U.S. companies with an approval or acceptance from their respective CAA, the FAA recognizes approvals by the CAA through bi-lateral agreement (e.g., EASA LOA / Data Supplier Certificate).
13.1.4 The operator / end-user must have procedures established to report to its Type 2 data supplier any discrepancy or error in the data having a potential safety effect on the operational use of the data. The operator / end-user must also have procedures to obtain notification of errors and anomalies from their data supplier and must consider such notifications prior to use of the affected data in flight operations.
13.2 Operators / end-users formatting and altering data. If the operator / end-user is performing data preparation and data transmission (i.e., formatting or altering information within an aeronautical database provided by the Type 2 LOA holder), then in order to demonstrate RTCA/DO-200B compliance, the operator must comply with paragraphs 10 and 11 of this AC and obtain an LOA, or an equivalent means.
14 RELATED REFERENCES. All references to FAA documents in this AC are to the current version.
14.1 FAA ACs. Order copies of Advisory Circulars from the U.S. Department of Transportation, Subsequent Distribution Office, M-30, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, MD 20785. You can also get copies from our website at www.faa.gov/regulations_policies/advisory_circulars/.
14.1.1 AC 20-115, Airborne Software Assurance.
14.1.2 AC 20-174, Development of Civil Aircraft and Systems.
14.1.3 AC 23.1309-1, System Safety Analysis and Assessment for Part 23 Airplanes.
14.1.4 AC 25.1309-1, System Design and Analysis.
14.2 ICAO Documents. Publications are available from ICAO, Attention: Customer Service unit, 999 University Street, Montreal, Quebec, Canada H3C5H7. Telephone +1 514-954 8022, facsimile: 514-954-6769, sitatex: YULCAYA, email: sales@icao.int or online at http://www.icao.int. ICAO Annex 15, Aeronautical Information Services.
14.3 RTCA, Inc. Documents. Order copies of RTCA documents from RTCA, Inc., 1150 18th NW, Suite 910, Washington, DC 20036. Telephone: (202) 833-9339, or online at http://www.rtca.org.
14.3.1 RTCA/DO-178C, Software Considerations in Airborne Systems and Equipment Certification, dated December 13, 2011 and its equivalent, EUROCAE document ED-12C, Software Considerations in Airborne Systems and Equipment Certification.
14.3.2 RTCA/DO-200B, Standards for Processing Aeronautical Data, dated June 18, 2015 and its equivalent, EUROCAE document ED-76A, Standards for Processing Aeronautical Data.
14.3.3 RTCA/DO-201A, Standards for Aeronautical Information, dated April 19, 2000 and its equivalent, EUROCAE document ED-77, Standards for Aeronautical Information.
14.3.4 RTCA/DO-272D, User Requirements for Aerodrome Mapping Information, dated September 22, 2015 and its equivalent, EUROCAE document ED-99C, User Requirements for Aerodrome Mapping Information.
14.3.5 RTCA/DO-276C, User Requirements for Terrain and Obstacle Data, dated September 22, 2015 and its equivalent, EUROCAE document ED-98B, User Requirements for Terrain and Obstacle Data.
14.3.6 RTCA/DO-291C, Minimum Interchange Standards for Terrain, Obstacle and Aerodrome Mapping Data dated September 22, 2015 and its equivalent, EUROCAE document ED-119B, Interchange Standards for Terrain, Obstacle and Aerodrome Mapping Data.
14.3.7 RTCA/DO-330, Software Tool Qualification Considerations, dated December 13, 2011.
14.4 SAE International Documents. Order SAE documents from SAE International, 400 Commonwealth Drive, Warrendale, PA 15096-0001. Telephone (724) 776-4970, fax
(724) 776-0790. Order copies online at http://www.sae.org.
14.4.1 ARP 4754A, Guidelines for Development of Civil Aircraft and Systems.
14.4.2 ARP 4761, Guidelines and Methods for Conducting the Safety Assessment Process on Civil Airborne Systems and Equipment.
14.5 Airlines Electronic Engineering Committee (AEEC), ARINC, Inc. Documents.
Order copies of ARINC documents from ARINC Industry Activities, 16701 Melford Blvd., Suite 120, Bowie, MD 20715. Telephone: (240) 334-2578, email: standards@sae itc.org. Order copies online at http://www.aviation-ia.com/cf/store/.
14.5.1 ARINC Specification 424, Standard, Navigation System Data Base.
h____ Susan J. M. Cabler V ~ Acting Manager, Design, Manufacturing, & Airworthiness Division Aircraft Certification Service 4/19/16 AC 20-153B
14.5.2 ARINC Specification 816, Embedded Interchange Format for Airport Mapping Database.
Appendix 1 APPENDIX 1. APPLICATION FOR AN LOA Figure 1. Sample of a Type 1 LOA Application ACME Data Company
1919 Lombardi Avenue
Green Bay, WI 81119
Federal Aviation Administration
Chicago ACO (ACE-115C)
2300 East Devon Avenue, Room 107 Des Plaines, IL 60018 Manager, Aircraft Certification Office, ACE-115C
Subject: Request for New Type 1 Letter of Acceptance for ACME Data Company’s
Aeronautical Data Process
To Whom It May Concern:
ACME Data Company is applying for a new Type 1 letter of acceptance for our aeronautical data process. We meet the objectives of AC 20-153B and request your review of the enclosed data
submitted in support of this application. ACME Data Company develops < insert data type here
> data per the data quality requirements specified in ACME Data Document XXX.XX. We request acceptance of our aeronautical data process meeting the objectives of AC 20-153B based
on the specification and control of these data quality requirements, compliance with RTCA/DO 200B, and our documented procedures for processing data. This < insert data type here > data
is not intended to be directly loaded in any aircraft system.
We developed the data at ACME Data Company, 1919 Lombardi Avenue, Green Bay, WI
81119. ACME Data Company hereby certifies the Data Quality Requirements, Data Processing
Procedures, and Quality Management System are in accordance with RTCA/DO-200B, section 2, and we produce < insert data type here > data in accordance with this system.
Your efforts in support of this request are most appreciated.
Sincerely,
Administrator,
ACME Data Company
Enclosures:
1 copy ACME Data quality control manual, specifications and processes.
A1-1
Appendix 1 Figure 2. Sample of a Type 2 LOA Application ACME Avionics 1919 Lombardi Avenue
Green Bay, WI 81119
Federal Aviation Administration Chicago ACO (ACE-115C)
2300 East Devon Avenue, Room 107 Des Plaines, IL 60018 Manager, Aircraft Certification Office, ACE-115C
Subject: Request for New Type 2 Letter of Acceptance for ACME Avionics’ Aeronautical Data Process
To Whom It May Concern:
ACME Avionics is applying for a new Type 2 letter of acceptance for our aeronautical data
process. We meet the objectives of AC 20-153B and request your review of the enclosed data
submitted in support of this application. ACME Avionics receives data from other sources and develops < insert data type here > data per the data quality requirements specified in ACME
Avionics Documents XXX.XX and YYY.YY, respectively. We request acceptance of our
aeronautical data process meeting the objectives of AC 20-153B based on the specification and control of these data quality requirements, compliance with RTCA/DO-200B, and compatibility
of the delivered data with the following products:
ACME FMS Model XY, P/N 12345-23a
ACME FMS Model Z, P/Ns 56789-1 through 56789-8
ACME Avionics established compatibility with these systems based on the original software
design documentation approved under the original TSO authorization. We compile data to the
compatible format using ACME Avionics Tool 123.
We developed the data at ACME Avionics, 1919 Lombardi Avenue, Green Bay, WI 81119.
ACME Avionics hereby certifies the Data Quality Requirements, Data Processing Procedures,
and Quality Management System are in accordance with RTCA/DO-200B, section 2, and we produce < insert data type here > data in accordance with this system.
Your efforts in support of this request are most appreciated.
Sincerely,
Administrator,
ACME Avionics
Enclosures:
1 copy ACME Avionics quality control manual, specifications and processes.
A1-2