Appendix 3 A3-6
Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 6-5 The data processing procedures shall define the method of origination for locally originated data.
RTCA/DO- 200A
2.4.1 Item 4
6-6 Documentation of criteria for originated data. AC 13b(3)
6-7 Originated data must be distinguishable from Contracting State provided data.
AC 13b(3)
6-8 The data processing procedures shall define the means to ensure locally originated data is not corrupted.
RTCA/DO- 200A
2.4.1 Item 5
6-9 Documentation of process for validating any originated data.
AC 13b(3)
6-10 The data processing procedures shall define the means by which validation is performed.
RTCA/DO- 200A
2.4.1 Item 6 (a-c)
6-11 The data processing procedures shall define the action to be taken when data fails verification/validation.
RTCA/DO- 200A
2.4.1 Item 7
6-12 The data processing procedures shall define the method used to evaluate degradation of accuracy.
RTCA/DO- 200A
2.4.1 Item 8
6-13 The data processing procedures shall define the requisite skills and competencies.
RTCA/DO- 200A
2.4.1 Item 9
Appendix 3 A3-7
Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 6-14 The data processing procedures shall define the tools required.
RTCA/DO- 200A
2.4.1 Item 10
6-15 The data processing procedures shall define the method used to verify received data.
RTCA/DO- 200A
2.4.1 Item 11
6-16 Data obtained from non-RTCA/DO-200A suppliers (excluding state data) must be verified and validated.
AC 14a
6-17 The data processing procedures shall define the method by which data quality is preserved.
RTCA/DO- 200A
2.4.1 Item 12
6-18 The data processing procedures shall define the method for ensuring that any changed data meets resolution and accuracy requirements.
RTCA/DO- 200A
2.4.1 Item 13
6-19 The data processing procedures shall define the method to be used to provide the user with the ability to verify data.
RTCA/DO- 200A
2.4.1 Item 14
6-20 LOA holder submission of minor changes to the data process to the ACO as agreed to.
AC 10a(3)
6-21 Major changes to the data process must be substantiated.
AC 10a(3)
Data alteration
7-1 Documentation of criteria for informing the data originator of any data alteration.
AC 14b(3)
Appendix 3 A3-8 Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 7-2 Altered data shall not be transmitted if the originator rejects the change.
RTCA/DO- 200A
2.4.2
7-3 Records shall be kept of all alterations and shall be made available to any user upon request.
RTCA/DO- 200A
2.4.2
Configuration management (CM)
8-1 CM plan shall define the data configuration requirements and shall identify all data to be placed under CM.
RTCA/DO- 200A
2.4.3.1
8-2 CM plan shall include all delivered data products.
RTCA/DO- 200A
2.4.3.1 Item 1
8-3 CM plan shall include all data that are identified in planning process as required to be stored in order to recover from data loss or corruption.
RTCA/DO- 200A
2.4.3.1 Item 2
8-4 Data elements placed under CM shall be assigned a unique identification contained within the data element as well as being used as a physical label.
RTCA/DO- 200A
2.4.3.2
8-5 The CM procedures sha ll ensure that the data element cannot be changed without changing the identification.
RTCA/DO- 200A
2.4.3.2
8-6 Records shall be maintained that identify the data content of all data elements and shall be sufficient to allow items 1-5.
RTCA/DO- 200A
2.4.3.2
Appendix 3 A3-9
Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 8-7 A copy of each data element shall be retained for a period determined by the CM plan. The method of storage and number of copies shall be such that items 1-2 are achieved.
RTCA/DO- 200A
2.4.3.2
Skills and competencies
9-1 Procedures shall be established that define the means that personnel may acquire or maintain the required skills and competencies.
RTCA/DO- 200A
2.4.4.1
9-2 Appropriate records of skills and competencies shall be maintained.
RTCA/DO- 200A
2.4.4.1
9-3 Short falls in skills and competencies shall be identified and corrective actions taken.
RTCA/DO- 200A
2.4.4.1
Tool qualification
10-1 Each tool (new or modified) shall be reviewed to determine need for qualification.
RTCA/DO- 200A
2.4.5.1 Item 1
10-2 Justification for not qualifying a tool shall be documented.
RTCA/DO- 200A
2.4.5.1 Item 2
10-3 Tool qual plan shall describe the tool qualification process.
RTCA/DO- 200A
2.4.5.2
Appendix 3 A3-10
Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 10-4 Tool qual plan shall identify:
Tool requirements, qualification procedures, CM procedures, documentation requirements, QM procedures, and those responsible for qualification process including its authority.
RTCA/DO- 200A
2.4.5.2
10-5 Tool requirements sha ll be defined and include the functionality and performance of the tool, a description of the operational environment and user information.
RTCA/DO- 200A
2.4.5.3
10-6 Tool qualification procedures shall specify the means to ensure the required data quality for the data output and the means by which the tool satisfies the tool requirements.
RTCA/DO- 200A
2.4.5.4
10-7 The tool CM process shall provide a unique identification for each distinct version of the tool, the convenient visibility of the tool version, the ability to consistently replicate a particular version of the tool, a change control process and a secure environment for physical archiving, recovery and control.
RTCA/DO- 200A
2.4.5.5
10-8 Documents and reports shall be maintained to show that tool qualification activities have been completed satisfactorily.
RTCA/DO- 200A
2.4.5.6
QM
11-1 LOA holder must maintain QMS. AC 10a(2)
11-2 LOA holder must report changes to QMS that affect objectives.
AC 10a(2)
11-3 QM requirements must define data elements that can be originated or altered.
13b(3)
Appendix 3 A3-11 Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 11-4 QM requirements must define level of review and approval required for any originated data.
13b(3) 11-5 LOA holder must perform periodic internal audits.
AC 10a(4)
11-6 Any major non-conformities must be reported to FAA.
AC 10a(4)
11-7 LOA holder must notify FAA when they no longer comply with conditions of LOA.
AC 10a(5)
11-8 LOA holder must notify customers of LOA status and must be timely.
AC 10b
11-9 The QM procedures shall define the criteria used for the review of plans and procedures, review of personnel skills records and review of qualified tools.
RTCA/DO- 200A
2.5.1 Items 1-3
11-10 The QM procedures shall identify who will have approval authority.
RTCA/DO- 200A
2.5.1 Items 4-6
11-11 All plans and procedures shall be reviewed and approved prior to its application.
RTCA/DO- 200A
2.5.2
11-12 Review of any new data requirements from suppliers shall be evaluated prior to its application.
RTCA/DO- 200A
2.5.2
11-13 Any unauthorized deviations from procedures shall be corrected.
RTCA/DO- 200A
2.5.2
11-14 All personnel shall be qualified to carry out designated procedures.
RTCA/DO- 200A
2.5.2
Appendix 3 A3-12 Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 11-15 Personnel shall have access to authorized version of the procedures.
RTCA/DO- 200A
2.5.2
11-16 Personnel shall be notified of any approved changes to the procedures.
RTCA/DO- 200A
2.5.2
11-17 Obsolete versions of documents shall not be used.
RTCA/DO- 200A
2.5.2
11-18 All tools including any updates shall be reviewed and approved prior to its application.
RTCA/DO- 200A
2.5.2
11-19 Records of procedures, personnel and tools shall be kept.
RTCA/DO- 200A
2.5.2
11-20 Records of all reviews shall be maintained. RTCA/DO- 200A 2.5.3
QM event driven changes
11-21 Plans and procedures shall be reviewed when there are event driven changes (proposal to provide new data that may result in changes to procedures or tools).
RTCA/DO- 200A
2.5.3.1
11-22 Event driven changes shall be implemented prior to delivery of the affected data.
RTCA/DO- 200A
2.5.3.1
11-23 Event driven changes shall include an evaluation of data supplier’s ability to meet required data quality.
RTCA/DO- 200A
2.5.3.1
Appendix 3 A3-13
Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference 11-24 Records of skill shall be reviewed for new tasks.
RTCA/DO- 200A
2.5.3.1
11-25 Personnel shall be authorized as having the necessary skills.
RTCA/DO- 200A
2.5.3.1
11-26 When an error is reported, action shall be taken to correct the procedures, skills or tools.
RTCA/DO- 200A
2.5.3.1
QM periodic reviews
11-27 Plans and procedures shall be reviewed periodically.
RTCA/DO- 200A
2.5.3.2
11-28 Records of skill for personnel shall be reviewed periodically to confirm personnel have required skills.
RTCA/DO- 200A
2.5.3.2
11-29 Tools shall be reviewed periodically to confirm ability of tool to meet DQRs.
RTCA/DO- 200A
2.5.3.2
11-30 The accreditation of suppliers (to the RTCA/DO-200A standard) shall periodically be confirmed.
RTCA/DO- 200A
2.5.3.2
11-31 All records of detected data errors shall be reviewed periodically. Any actions shall be recorded.
RTCA/DO- 200A
2.5.3.2
11-32 All periodic reviews shall include a review of all problems reported. Any deficiencies or limitations shall be assessed and corrective action taken if necessary to meet DQRs.
RTCA/DO- 200A
2.5.3.2
Appendix 3 A3-14 Objective
Reference Verification Method
(e.g., Inspection, Observation)
Applicant’s Reference Document or ID Config.
Control on Reference Document Objective Met Yes, No or Pending Notes
Numerical reference QM records and management reviews 11-33 Retention of records shall be established and recorded.
RTCA/DO- 200A
2.5.4 Item 1
11-34 Records shall be legible. RTCA/DO- 200A 2.5.4 Item 2
11-35 Records shall be retrievable. RTCA/DO- 200A 2.5.4 Item 3
11-36 Management reviews shall confirm that data plans and procedures will meet required data quality and will evaluate the need for corrective/preventive action.
RTCA/DO- 200A
2.5.5
11-37 Results of the management reviews shall be recorded.
RTCA/DO- 200A
2.5.5