Appendix 2 APPENDIX 2. FAA LOAs Figure 1. Sample of a Type 1 FAA LOA ACME Data Company August 11, 2016 1919 Lombardi Avenue Green Bay, WI 81119 The FAA has verified ACME Data Company meets the objectives of AC 20-153B with regard to its processing of < insert data type here > data. This Type 1 Letter of Acceptance (LOA) does not authorize the ACME Data Company to supply < insert data type here > data directly to an operator (e.g., end-user, airlines) for loading directly into installed equipment.
The following terms and conditions are applicable to this LOA, are not transferable, and are effective until surrendered or withdrawn by the holder, or terminated by the FAA:
1. ACME Data Company’s data quality requirements for the receipt of data from other sources, and for the delivery of data to its customers, are defined in ACME Data document XXX.XX.
2. ACME Data Company’s procedures for processing data are defined in ACME Data document YYY.YY.
3. Reporting of Failures, Malfunctions, and Defects. ACME Data Company must report to the FAA < insert local FAA LOA Program Manager’s office > any failure, malfunction, or defect of the aeronautical data produced under this LOA having a potential safety effect on operational use of the data.
4. Maintain a Quality Management System (QMS). ACME Data Company must maintain a QMS as described in RTCA/DO-200B, section 2.5. Changes to the QMS affecting the data quality objectives must be reported to the < insert local FAA LOA Program Manager’s office/MIDO > for acceptance prior to implementation.
5. Design Changes.
a. ACME Data Company must submit minor changes to the data quality requirements, the data processing standards, or the QMS to the < insert local FAA LOA Program Manager’s office > in accordance with procedures described within ACME Data document XXX.XX. All other changes are considered major and must be substantiated and accepted prior to implementation in the same manner as the original LOA.
b. Upon receipt of notification by the < insert local FAA LOA Program Manager’s office > of an unsafe condition existing in a database product supplied under this LOA, ACME Data Company shall develop a corrective action and submit it to the < insert local FAA LOA Program Manager’s office > for acceptance. ACME Data A2-1
Appendix 2 Company shall expedite distribution of the accepted corrective action to customers and users.
6. ACME Data Company must perform periodic internal audits of both AC 20-153B and RTCA/DO-200B as described in RTCA/DO-200B, section 3, with a maximum time between audits of not more than one year. Audits may be total or conducted 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 < insert local FAA LOA Program Manager’s office >. Additionally, the FAA may perform periodic audits in accordance with procedures described within ACME Data document XXX.XX.
7. ACME Data Company must provide a release statement with each database distribution to broadcast LOA status, state their compliance, and provide information on known deviations and modifications.
8. ACME Data Company must advise customers of the status of its LOA as well as the 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 all previous chain participants (up to, but not including, a Contracting State’s AIP). The method must be timely to ensure customers can react to changes in the status of its LOA.
Manager, {regional} Aircraft Certification Office A2-2
Appendix 2 Figure 2. Sample of a Type 2 FAA LOA ACME Avionics August 11, 2016 1919 Lombardi Avenue Green Bay, WI 81119 The FAA has verified ACME Avionics meets the objectives of AC 20-153B with regard to its processing of < insert data type here > data. For this Type 2 Letter of Acceptance (LOA), compatibility has been established with the following systems:
ACME FMS Model XY, P/N 12345-23a ACME FMS Model Z, P/Ns 56789-1 through 56789-8 (or) “…identified in ACME Avionics FMS Compatibility Matrix, Document XXX.XX, dated YYY, or latest FAA accepted revision.”
The following terms and conditions are applicable to this LOA, are not transferable, and are effective until surrendered or withdrawn by the holder, or terminated by the FAA:
1. ACME Avionics’ data quality requirements for the receipt of data from other sources, and for the delivery of data to its customers, are defined in ACME Avionics Documents XXX.XX and YYY.YY, respectively.
2. ACME Avionics’ procedures for processing data are defined in ACME Avionics document YYY.YY.
3. Reporting of Failures, Malfunctions, and Defects. ACME Avionics must report to the FAA <insert local FAA LOA Program Manager’s office> any failure, malfunction, or defect of the aeronautical data produced under this LOA having a potential safety effect on operational use of the data.
4. Maintain a Quality Management System (QMS). ACME Avionics must maintain a QMS as described in RTCA/DO-200B, section 2.5. Changes to the QMS affecting the data quality objectives must be reported to the < insert local FAA LOA Program Manager’s office/MIDO > for acceptance prior to implementation.
5. Design Changes.
a. ACME Avionics must submit minor changes to the data quality requirements, the data processing standards, or the QMS to the < insert local FAA LOA Program Manager’s office > in accordance with procedures described within ACME Avionics document XXX.XX. All other changes are considered major and must be substantiated and accepted prior to implementation in the same manner as the original LOA.
A2-3
Appendix 2
b. Upon receipt of notification by the < insert local FAA LOA Program Manager’s office > of an unsafe condition existing in a database product supplied under this LOA, ACME Avionics shall develop a corrective action and submit it to the < insert local FAA LOA Program Manager’s office > for acceptance. ACME Avionics shall expedite distribution of the accepted corrective action to customers and users.
6. ACME Avionics must perform periodic internal audits of both AC 20-153B and RTCA/DO-200B as described in RTCA/DO-200B, section 3, with a maximum time between audits of not more than one year. Audits may be total or conducted 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 < insert local FAA LOA Program Manager’s office >. Additionally, the FAA may perform periodic audits in accordance with procedures described within ACME Avionics document XXX.XX.
7. ACME Avionics must provide a release statement with each database distribution to broadcast LOA status, state their compliance, and provide information on known deviations and modifications.
8. ACME Avionics must advise customers of the status of its LOA as well as the 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 all previous chain participants (up to, but not including, a Contracting State’s AIP). The method must be timely to ensure customers can react to changes in the status of its LOA.
Manager, {regional} Aircraft Certification Office A2-4
Appendix 3 APPENDIX 3. O BJECTIVES MATRIX
Figure 1. Data processing objectives for AC
Objective Number Objective Reference Applicant’s Reference Document or ID Objective Met Yes, No, Pending, or N/A Notes LOA post acceptance responsibilities.
1-1 You must report to customers, the FAA and to source any failure, malfunction, or defect in the distributed data having potential to adversely affect the safety of operational use.
AC
10.2.1 1-2 The initial reporting of confirmed safety-related errors or defects must be timely and prompt to ensure swift resolution. AC 10.2.1 1-3 You must endeavor, through documented procedure, to ensure receipt of data alerts reporting safety-related errors or defects.
AC
10.2.1 1-4 You must consider any safety-related data alerts prior to use of the affected data. AC 10.2.1 1-5 You must maintain a QMS as described in RTCA/DO-200B, section 2.5. AC 10.2.2 1-6 You must report all changes made to the QMS affecting the data quality objectives to the issuing ACO/MIDO before their implementation.
AC
10.2.2 1-7 You must submit minor design changes for an existing LOA in accordance with procedures agreed to with the issuing ACO/MIDO.
AC
10.2.3 1-8 You must substantiate major design changes, and the ACO/MIDO must accept them prior to their implementation. AC 10.2.3 1-9 Procedures for reporting of changes to the data process must address changes to tools used in its data process. AC 10.2.3 A3-1
Appendix 3 Objective Number Objective Reference Applicant’s Reference Document or ID Objective Met Yes, No, Pending, or N/A Notes 1-10 You must perform periodic internal audits of both AC 20-153B and RTCA/DO-200B objectives as described in RTCA/DO-200B, section 3, with the maximum time between audits not to exceed one year.
AC
10.2.4 1-11 Any major non-conformities as described in RTCA/DO-200B, section 3.4, must be reported to the FAA office issuing the LOA.
AC
10.2.4 1-12 You must notify all users and the FAA, when you no longer comply with the conditions of the LOA. AC 10.2.5 1-13 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.
AC
10.2.6 1-14 The release statement must include LOA Status. AC 10.2.6 1-15 The release statement must include any deviations to the agreed DQRs. AC 10.2.6 1-16 The release statement must include any data alteration. AC 10.2.6 1-17 You must surrender or withdraw your LOA if you no longer uphold the terms and conditions. AC 10.2.7 1-18 You must notify your data customers of the status of your LOA. AC 10.2.8 1-19 You must be aware of and provide any change in status of LOAs for previous data chain participant(s) up to, but not including, a Contracting State’s AIP.
AC
10.2.8 A3-2
Appendix 3 Objective Number Objective Reference Applicant’s Reference Document or ID Objective Met Yes, No, Pending, or N/A Notes 1-20 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.
AC
10.2.8 How does this guidance apply to data suppliers?
2-1 You must verify and validate data obtained from nonauthoritative sources through an approved process prior to delivery.
AC
11.2.1.1 2-2 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.
AC
11.2.2 2-3 To protect from the possibility of intentional corruption, you must maintain records showing what data security provisions you implement to accomplish these objectives.
AC
11.2.2 2-4 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.
AC
11.2.2 2-5 Provisions for data security must describe how you identify, assess, and mitigate security threats and prevent unauthorized access to data or tools.
AC
11.2.2 2-6 You must identify the process for establishing new configuration baselines in the configuration management plan.
AC
11.2.3 A3-3
Appendix 3 Objective Number Objective Reference Applicant’s Reference Document or ID Objective Met Yes, No, Pending, or N/A Notes 2-7 Changes to the DQRs must be coordinated between the data supplier and user receiving the data. AC 11.2.3.1 2-8 Level 4 data must be distinguishable from any compliant data through means acceptable to the FAA. AC 11.2.3.2 2-9 There are currently no established data requirements for tailored data. Therefore, data suppliers must ensure tailored data is not distributed to entities other than the operator / end-user requesting the data.
AC
11.3 2-10 In addition, regardless of which framework, you must submit the documentation demonstrating tool qualification activities were satisfactorily completed.
AC
11.4 Relationship between RTCA/DO-200B and airworthiness approval.
3-1 During the airworthiness approval, you must demonstrate the DQRs are consistent with the intended function of the equipment.
AC
12.1 3-2 Aircraft and avionics manufacturers with airworthiness approval for systems prior to the issuance of this AC must identify the DQRs for the avionics prior to obtaining a Type 2 LOA.
AC
12.1 3-3 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 AC
12.2 3-4 The DQRs must be under configuration control. AC 12.2 A3-4
Appendix 3 Objective Number Objective Reference Applicant’s Reference Document or ID Objective Met Yes, No, Pending, or N/A Notes 3-5 As part of the design approval, an aircraft manufacturer, avionics manufacturer or systems integrator must define DQRs for other applications.
AC
12.2 3-6 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.
AC
12.2 3-7 The DQRs must be consistent with the intended function of the equipment identified as part of the normal design approval.
AC
12.3 3-8 The aircraft manufacturer, avionics manufacturer or systems integrator must ensure DQRs developed under RTCA/DO 178C, or previous versions, correctly establish the requirements on the data’s intended use.
AC
12.3.1 3-9 References in the TC or STC must be provided for supplementary documentation changes found in documents separate from design documentation, if applicable.
AC
12.3.1 3-10 Configuration control processes must include traceability between the DQRs and a database specification. AC 12.4.1 3-11 The aircraft manufacturer, avionics manufacturer or systems integrator must reference the installation documentation / DQRs in the ICAs.
AC
12.4.1 3-12 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.
AC
12.4.2 A3-5
Appendix 3 Objective Number Objective Reference Applicant’s Reference Document or ID Objective Met Yes, No, Pending, or N/A Notes 3-13 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.
AC
12.4.2 3-14 If the aircraft manufacturer, avionics manufacturer or systems integrator do not identify the database as part of the type design, and if database assurance is required, the installation documentation / ICAs must require the data meet the database assurance objectives and comply with the DQRs for the target hardware.
AC
12.5 3-15 You must document any assumptions related to database assurance in the aircraft flight manual. AC 12.6 How does this guidance apply to an operator / end-user?
4-1 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.
AC
13.1.3 4-2 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.
AC
13.1.4 4-3 The operator / end-user must 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.
AC
13.1.4 A3-6
Appendix 3 Objective Number Objective Reference Applicant’s Reference Document or ID Objective Met Yes, No, Pending, or N/A Notes 4-4 If the operator / end-user is performing data preparation and data transmission, 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.
AC
13.2 A3-7
_________________________________________________________________ _________________________________________________________________ _________________________________________________________________ ________________________________________________________________ 4/19/16 AC 20-153B Appendix 4 APPENDIX 4. ADVISORY CIRCULAR FEEDBACK INFORMATION If you have comments or recommendations for improving this advisory circular (AC), or suggestions for new items or subjects to add, or if you find an error, you may let us know about it by using this page as a template and:
1) Emailing it to 9-AWA-AVS-AIR500-Coord@faa.gov, or
2) Faxing it to the attention of the AIR Directives Management Officer at 202-267-3983.
Subject: (insert AC number and title) Date: (insert date) Comment/Recommendation/Error: (Please fill out all that apply) An error is noted:
Paragraph ____________________ Page ______ Type of error (check all that apply): Editorial:----- Procedural---- Conceptual____ Description/Comments:______________________________________________ Recommend paragraph ______ on page ______ be changed as follows:
(attach separate sheets if necessary) In a future change to this advisory circular, please include coverage on the following subject:
(briefly describe what you want added attaching separate sheets if necessary) Name: __________________________ A4-1