Annex B: Certification Plan and Certification Basis (Steps 2a and 2b)

1. General

1.1 This annex provides guidance on developing the surveillance system certification plan and certification basis.

2. Rationale and Guidance – Certification Plan

2.1 The Applicant is responsible for developing the certification plan and, if the design change is out of scope, for submitting it to DTAES 3 for approval.  DTAES 3 will staff the plan to DTAES 6 for the review of the surveillance system technical aspects of the plan, specifically the certification basis, means and methods of compliance, and surveillance system criteria. During the development of the plan, it is recommended that the Applicant consult DTAES 6 staff for assistance.

2.2 In addition to the standard certification plan requirements defined in the TAM (regulatory reference 3.2.1.a), Parts 2 and 3, the plan must include the following:

1. the currently approved type design and any already approved surveillance system capabilities;
2. the new surveillance system capabilities to be certified (Step 1);
3. the current and proposed aircraft surveillance system equipment configuration to be approved, including any differences across the fleet;
4. any operating configurations and equipment restrictions that affect surveillance capabilities, including those for mission equipment and external stores. This information is used to determine the scope of compliance demonstration tests and analyses; and
5. the proposed certification basis (Step 2a).

3. Rationale and Guidance – Certification Basis

3.1 As described in paragraph 4.2.2.b.(1) of the advisory, the certification requirements that will form the certification basis must be selected from one of the approved civil or military airworthiness codes identified in the ADSM (regulatory reference 3.2.1.b).

3.2 Table B-1 provides a listing of the certification requirements that should be considered when defining the certification basis for a surveillance system design change. This table provides only an example of requirements, it does not constitute an exhaustive list of requirements involving Surveillance systems certification. Certain changes could involve, for example, control and stability requirements due to installation of large antennas on the exterior part of the aircraft.

3.3 The Applicant must include aircraft cybersecurity requirements within the certification basis. Table B-1 is FAA-centric and, at the time this TAA advisory was published, the FAA, unlike EASA, did not have specific Title 14 Code of Federal Regulations (14 CFR) paragraphs that dealt with Aircraft Cybersecurity. EASA has codified Aircraft Cybersecurity requirements by including paragraph 1319 into the following Certification Specifications (CS) 25, 27, and 29 (Table B-1 item 23). The EASA Aircraft Cybersecurity requirements for CS -2323 are addressed in EASA Guidance Material (GM) 23.2500(b). The ADSM (regulatory reference 3.2.1.b) Part 2, Chapter 6 – “Aircraft Cybersecurity” provides additional details on establishing an aircraft cybersecurity certification basis. Furthermore, DTAES 8 staff can provide assistance in establishing the aircraft cybersecurity certification basis.

4. Rationale and Guidance – Standards, Means and Methods of Compliance, and Guidance Documents

4.1 Table B-2 should be consulted to identify the appropriate standards, means and methods of compliance, and guidance material applicable to the required surveillance capabilities identified in Step 1. Once identified, the criteria should be collated to create the Surveillance Criteria Table, as described in Step 2c – Setting up the Surveillance Criteria Table.

4.2 Specialist knowledge and experience are required to interpret and select the appropriate criteria. The DTAES 6 engineering support staff can be contacted to assist in the selection of the applicable criteria and the development of the Surveillance Criteria Table. Guidance material for the development of the Surveillance Criteria Table is provided in Annex C of this advisory.

4.3 The final step in demonstrating compliance is the identification of compliance artefacts, which will be provided to support the findings of compliance and design assessment. Examples of compliance artefacts include:

1. Design description documents;
2. Design analysis reports;
3. Integration lab test reports;
4. Aircraft ground and flight test reports;
5. TSO Authorization (TSOA) or Military Standard Order (MSO) approval references; and
6. Approvals from other Airworthiness Authorities.

4.4 Table B-3 provides an ADS-B Out example of surveillance system certification basis and compliance matrix. The first three columns in the table relate to the certification basis.

Table B-2 Design Standards, Means and Methods of Compliance, and Guidance Material by Type of Surveillance Capability

Mode A/C

Mode S

ADS-B Out

ADS-B In

IFF Mode 1, 2, 3 and 5

Department of Defense (DoD) Air Traffic Control Radar Beacon System, Identification Friend or Foe, Mark XII/Mark XIIA, Systems (AIMS) 17-1000

Table B-3 Example of ADS-B Out Surveillance Certification Basis and Compliance Matrix