ADQ Regulators Working Group Common Understanding 01/2013 Application of the provisions of Commission Regulation (EU) 73/2010 to NOTAM Edition: 1.4 Date: 20 October 2016 Reference: ARWG CU 01/2013 ARWG CU 1/2013 1/10
1. INTRODUCTION This document describes the common understanding endorsed by the participants of the ADQ Regulators Working Group (ARWG) concerning the harmonised application of the provisions of Commission Regulation (EU) 73/2010 to the NOTAM system. 2. DEFINITIONS For the purpose of this document the following definitions shall apply: NOTAM means a notice distributed by means of telecommunication containing information concerning the establishment, condition or change in any aeronautical facility, service, procedure or hazard, the timely knowledge of which is essential to personnel concerned with flight operations; digital NOTAM means a data set that contains the information included in a NOTAM, and that will be used to create an AFTN format NOTAM, in a structured format which can be fully interpreted by an automated computer system without human interpretation; Digital NOTAM Concept means the encoding of NOTAM based on the Aeronautical Information Exchange Model (AIXM) version 5 1. 3. COMMON UNDERSTANDING (1) Both NOTAM and digital NOTAM are under the scope of the ADQ Regulation. (2) The ADQ Regulation provisions for Data set (Article 4) and Data exchange (Article 5) only apply to digital NOTAM. (3) The ADQ Regulation does not address the format used for distribution of NOTAM to the next intended user. (4) Tools and software, and associated processes and procedures, involved in the origination, production, storage, handling, processing, transfer and distribution of NOTAM and/or digital NOTAM shall comply with any relevant provision of the ADQ Regulation. (5) When transferring digital NOTAM between themselves the digital NOTAM originator and the ANSP are not required to comply with the data exchange format requirements laid down in Annex II of the Regulation. (6) When transferring digital NOTAM between themselves the ANSP and the next intended user are not required to comply with the data exchange format requirements laid down in Annex II of the Regulation. (7) When transferring digital NOTAM between themselves the ANSPs are required to comply with the data exchange format requirements laid down in Annex II. However, in accordance with Article 5(3) the Member State may exempt the ANSP from this obligation. If both ANSPs are exempted from this obligation, the ANSPs concerned may transfer digital NOTAM between themselves in formats not compliant with the requirements laid down in Annex II of the Regulation. (8) The obligation to comply with the relevant provisions of the Regulation shall not inhibit the urgent distribution of aeronautical information necessary to ensure the safety of flight. It is recognised that in the cases of NOTAM or digital NOTAM that are crucial to ensure the safety of flight it is not always possible to comply with all the relevant provisions of the Regulation. However, it is also not possible to determine a priori in all cases where this consideration may apply, this shall be dependent of a case by case individual assessment made by competent staff. 1 http://www.eurocontrol.int/articles/digital-notam-phase-3-p-21 ARWG CU 1/2013 2/10
(9) In the circumstance where the case by case individual assessment referred to in (8) determines that it is not possible to comply with all the relevant provisions of the Regulation, the NOTAM Office shall ensure, at the minimum, that: i. The originator is authorised and/or from an eligible/reasonable source; ii. The content is plausible; iii. All data quality requirements are validated post publication, as soon as practicable 4. RECOMMENDATIONS (1) If a Member State does not exempt the ANSP from the obligation to comply with the exchange format requirements for digital NOTAM, and the ANSP decides to put in place a new system designed to distribute NOTAM based on the Digital NOTAM concept, it is recommended that the ANSP should ensure that the new system is compatible with the means of telecommunication currently used to distribute NOTAM. This should be done in such a way that it does not compromise the interoperability of the overall system. (2) It is recommended that an eventual exemption given to the ANSP from the obligation to comply with the data exchange format requirements shall not jeopardise any effort, already in course or planned, to move towards the Digital NOTAM Concept. (3) It is recommended that during the case by case individual assessment referred to in 3(9), the guidance provided in Annex I of this Common Understanding is taken into consideration. (4) It is recommended that the ANSP ensures that the staff responsible for the case by case individual assessment referred to in 3(9) is adequately trained and competent to perform the task. (5) It is recommended that the urgency of the post publication validation referred to in 3(9) item iii takes into consideration the criticality of the data. (6) It is recommended that the Member State acknowledge that the compliance of service providers using the EAD as one of their constituents will depend on the level of compliance achieved by the EAD. 5. JUSTIFICATION During the 46 th Session of the Single Sky Committee, held on the 14/15 June 2012, United Kingdom and France submitted a Flimsy on the difficulties encountered during the implementation of the Commission Regulation (EU) 73/2010. Particularly in reference to NOTAM, the Flimsy requested the Commission to confirm that Regulation (EU) No 73/2010 apply to the NOTAM, except when to do so will inhibit the distribution of aeronautical information necessary to ensure the safety of flight. The Flimsy was not discussed during the SSC meeting and the Commission organised on 19 July 2012 a working session of the Single Sky Committee (SSC) to discuss the content of the Flimsy and other issues related with the implementation of the Regulation. In the report of this working session, the Commission recognised that the implementation of the obligations laid down in the Regulation shall not endanger the timely knowledge of the information communicated in the NOTAM, which may be essential to personnel concerned with flight operations. In point 2.3 of this report the Commission confirmed that Regulation (EU) No 73/2010 applies to NOTAM, except when to do so will inhibit the distribution of aeronautical information necessary to ensure the safety of flight. This conclusion from the Commission was discussed during the 4 th Meeting of the ARWG and the meeting confirmed that it would be important to establish a more elaborated common ARWG CU 1/2013 3/10
understanding based on and in line with the conclusions from the European Commission regarding the application of the Regulation provisions to NOTAM. 6. LEGAL TEXT Article 3(17) defines NOTAM means a notice distributed by means of telecommunication containing information concerning the establishment, condition or change in any aeronautical facility, service, procedure or hazard, the timely knowledge of which is essential to personnel concerned with flight operations. Article 3(18) defines digital NOTAM means a data set that contains the information included in a NOTAM in a structured format which can be fully interpreted by an automated computer system without human interpretation. The NOTAM and PIB are specifically referred to in Article 3(7) as part of the integrated aeronautical information package which, in turn, is within the scope of the Regulation according to Article 2(1)(a). Article 5(2) requires that Air navigation service providers shall ensure that the aeronautical data and aeronautical information referred to in the second subparagraph of Article 2(1) are transferred between themselves in accordance with the data exchange format requirements laid down in Annex II. Article 5(3) defines Member States may exclude digital NOTAM from the data exchange format referred to in paragraph 2. Article 5(4) only refers to AIPs, AIP amendments and AIP supplements. Hence 5(4)(c) does not apply to NOTAM or digital NOTAM. ARWG CU 1/2013 4/10
ANNEX I GUIDANCE FOR APPLICABILITY OF THE ADQ PROVISIONS TO THE NOTAM SYSTEM NOTAM which do not need NOTAM which need ARTICLE NO ARTICLE SUBJECT Article 1 SUBJECT MATTER Applicable Applicable Article 2 SCOPE Applicable Applicable Article 3 DEFINITIONS Applicable Applicable Article 4 DATA SET Article 5(1) DIRECT ELECTRONIC CONNECTION For NOTAM distribution: NOTAM format is a standard being specified by Annex 15, but Annex 15 does not fully comply with the ADQ Annex I requirements (e.g. no UML diagram, no feature catalogue, etc.). originators: Format for NOTAM request to be specified according to Annex I. For NOTAM distribution: AFTN seems to be a direct electronic connection. originators: Aeronautical data to be supplied by means of a direct electronic connection (no fax, no paper provision, etc.). For NOTAM distribution: NOTAM format is a standard being specified by Annex 15, but Annex 15 does not fully comply with the ADQ Annex I requirements (e.g. no UML diagram, no feature catalogue, etc.). originators: Format for NOTAM request shall not be fully specified according to Annex I, because the provision of data quality parameters (metadata) by the originators will inhibit the timely distribution of time-critical NOTAM => conflict ADQ - ICAO Annex 15 (State responsibilities). For NOTAM distribution: AFTN seems to be a direct electronic connection. originators: Mostly not feasible because a direct electronic connection may inhibit the timely distribution of time-critical NOTAM (e.g. need to inform ANSP by telephone call) => conflict ADQ - ICAO Annex 15 (State responsibilities). ARWG CU 1/2013 5/10
ARTICLE NO ARTICLE SUBJECT Article 5(2) DATA EXCHANGE FORMAT NOTAM which do not need Not feasible, because the NOTAM standard as specified in Annex 15 does not comply with this ADQ requirement. NOTAM which need Not feasible, because the NOTAM standard as specified in Annex 15 does not comply with this ADQ requirement. Article 5(3) DIGITAL NOTAM Applicable Applicable Article 5(4) AIP FORMATS Not applicable Not applicable Article 6(1) DATA QUALITY REQUIREMENTS Article 6(2) Article 6(3) EVIDENCE REQUIREMENTS FORMAL ARRANGEMENTS Data quality requirements defined in ICAO Annex 15. State has to ensure, that respective ICAO Annex 15 requirements are met. But stringent data quality requirements may lead to the risk, that responsible owners of temporary objects (e.g. short-term obstacles) might not report the data in order to avoid the ADQ. See also comment for Article 6(6). Applicable Applicable Data quality requirements defined in ICAO Annex 15. Nevertheless, stringent data quality requirements will inhibit the timely distribution of time-critical NOTAM, if State requires to meet those requirements => conflict ADQ - ICAO Annex 15 (State responsibilities). Meeting all evidence requirements will inhibit the timely distribution of timecritical NOTAM (e.g. accuracy and resolution requirements are complied with at data origination, complete data, etc.) => conflict ADQ - ICAO Annex 15 (State responsibilities). Formal arrangements including stringent data quality requirements (see b, c, i and j of Annex IV, Part C) will inhibit the timely distribution of time-critical NOTAM => conflict ADQ - ICAO Annex 15 (State responsibilities). ARWG CU 1/2013 6/10
ARTICLE NO ARTICLE SUBJECT Article 6(4) DATA ORIGINATION REQUIREMENTS Article 6(5) NON REGULATED DATA ORIGINATORS NOTAM which do not need Applicable Applicable NOTAM which need Meeting all data origination requirements (especially Annex IV, Part D, (5)-(8)) will inhibit the timely distribution of time-critical NOTAM => conflict ADQ - ICAO Annex 15 (State responsibilities). Annex IV, Part D, (5) seems not to be applicable to NOTAM data (NOTAM mostly refers to short-term data). Applicable If this requirement would be applicable to all time-critical NOTAM (even those supplied by parties as referred to in Article 2(2)), there will be no conflict situation between ADQ and ICAO Annex 15 (State responsibilities) anymore. ARWG CU 1/2013 7/10
ARTICLE NO ARTICLE SUBJECT Article 6(6) REQUEST FOR DATA ORIGINATION NOTAM which do not need NOTAM which need Not feasible. Even if temporary objects (e.g. temporary obstacles) can be planned in advance and therefore instructed for a data origination activity, there is a risk that originators might not report those objects due to the stringent data quality requirements. It does not make any sense to survey a crane, that will be erected only for a few days, by regarding all the data quality requirements (accuracy, resolution, integrity, production of quality reports, etc.). Responsible object owners may think better not to report the object in order to avoid the ADQ. This is safety relevant issue!!! Absolutely not feasible, because time-critical NOTAM are always raised by a sudden event. Nothing can be planned in order to perform a data origination activity by the responsible entity for the official request. Article 6(7) DATA PROCESS REQUIREMENTS Applicable Applicable Article 6(8) ERROR REPORT AND FEEDBACK Applicable Applicable Article 7(1) CONSISTENCY Not applicable Not applicable Article 7(2) ANNOTATION Not applicable Not applicable Article 7(3) AIP TIMELINESS Not applicable Not applicable Article 7(4) AWARENESS OF PERSONNEL (ICAO REQUIREMENTS) Applicable Applicable Article 7(5) TRAINING OF PERSONNEL Applicable Applicable Article 8 TOOLS AND SOFTWARE Applicable Applicable ARWG CU 1/2013 8/10
ARTICLE NO ARTICLE SUBJECT Article 9(1) DATA PROTECTION NOTAM which do not need For NOTAM distribution: application of CRC32Q not feasible originators: Annex VI refers to data exchanged in a direct electronic connection. Therefore feasible. Article 9(2) ARCHIVING Applicable Applicable Article 10(1) QMS Applicable Applicable Article 10(2) SAFETY AND SECURITY Applicable Applicable Article 10(3) SAFETY ASSESSMENTS Applicable Applicable Article 10(4) SAFETY ASSESSMENTS Most of the referred requirements cannot be considered for NOTAM distribution and/or NOTAM requests. Article 11 CONFORMITY OR SUITABILITY FOR USE Applicable Applicable Article 12(1) VERIFICATION OF SYSTEMS (ANSP) Applicable Applicable Article 12(2) VERIFICATION OF SYSTEMS (NOTIFIED BODY) Applicable Applicable Article 13(a) SECURITY CLEARANCE Applicable Applicable Article 13(b) AWARENESS OF PERSONNEL (ADQ IR) Applicable Applicable Article 13(c) OPERATIONS MANUALS Applicable Applicable Article 13(d) OPERATIONS MANUALS Applicable Applicable Article 13(e) COMPLIANCE WITH ADQ IR Applicable Applicable Article 14(1) TRANSITIONAL PROVISIONS Applicable Applicable Article 14(2) LEGACY DATA Applicable Applicable NOTAM which need For NOTAM distribution: application of CRC32Q not feasible originators: It cannot be ensured to get time-critical NOTAM requests by a direct electronic connection (see comment for 5(1)). Therefore Article 9(1) not feasible in that cases. Most of the referred requirements cannot be considered for NOTAM distribution and/or NOTAM requests. ARWG CU 1/2013 9/10
NOTAM which do not need NOTAM which need ARTICLE NO ARTICLE SUBJECT Article 15(1) ENTRY INTO FORCE Applicable Applicable Article 15(2) DERROGATIONS Applicable Applicable ARWG CU 1/2013 10/10