Performance-based Navigation (PBN) Manual - ICAO

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Doc 9613AN/937Performance-basedNavigation (PBN)ManualApproved by the Secretary Generaland published under his authorityThird Edition — 2008International Civil Aviation Organization

Doc 9613AN/937Performance-basedNavigation (PBN)ManualApproved by the Secretary Generaland published under his authorityThird Edition — 2008International Civil Aviation Organization

Published in separate English and French editions by theINTERNATIONAL CIVIL AVIATION ORGANIZATION999 University Street, Montréal, Quebec, Canada H3C 5H7For ordering information and for a complete listing of sales agentsand booksellers, please go to the ICAO website at www.icao.intThird edition 2008ICAO Doc 9613, Performance-based Navigation (PBN) ManualOrder Number: 9613ISBN 978-92-9231-198-8 ICAO 2008All rights reserved. No part of this publication may be reproduced, stored in aretrieval system or transmitted in any form or by any means, without priorpermission in writing from the International Civil Aviation Organization.

AMENDMENTSAmendments are announced in the supplements to the Catalogue of ICAOPublications; the Catalogue and its supplements are available on the ICAO websiteat www.icao.int. The space below is provided to keep a record of such amendments.RECORD OF AMENDMENTS AND CORRIGENDAAMENDMENTSNo.DateCORRIGENDAEntered byNo.(iii)DateEntered by

VOLUME ICONCEPT AND IMPLEMENTATION GUIDANCE

EXECUTIVE SUMMARYBackgroundThe continuing growth of aviation increases demands on airspace capacity therefore emphasizing the need for optimumutilization of available airspace. Improved operational efficiency derived from the application of area navigation (RNAV)techniques has resulted in the development of navigation applications in various regions worldwide and for all phases offlight. These applications could potentially be expanded to provide guidance for ground movement operations.Requirements for navigation applications on specific routes or within a specific airspace must be defined in a clear andconcise manner. This is to ensure that the flight crew and the air traffic controllers (ATCs) are aware of the on-boardRNAV system capabilities in order to determine if the performance of the RNAV system is appropriate for the specificairspace requirements.RNAV systems evolved in a manner similar to conventional ground-based routes and procedures. A specific RNAVsystem was identified and its performance was evaluated through a combination of analysis and flight testing. Fordomestic operations, the initial systems used very high frequency omnidirectional radio range (VOR) and distancemeasuring equipment (DME) for estimating their position; for oceanic operations, inertial navigation systems (INS) wereemployed. These “new” systems were developed, evaluated and certified. Airspace and obstacle clearance criteria weredeveloped based on the performance of available equipment; and specifications for requirements were based onavailable capabilities. In some cases, it was necessary to identify the individual models of equipment that could beoperated within the airspace concerned. Such prescriptive requirements resulted in delays to the introduction of newRNAV system capabilities and higher costs for maintaining appropriate certification. To avoid such prescriptivespecifications of requirements, this manual introduces an alternative method for defining equipage requirements byspecifying the performance requirements. This is termed performance-based navigation (PBN).Performance-based navigation (PBN)The PBN concept specifies that aircraft RNAV system performance requirements be defined in terms of the accuracy,integrity, availability, continuity and functionality, which are needed for the proposed operations in the context of aparticular airspace concept. The PBN concept represents a shift from sensor-based to performance-based navigation.Performance requirements are identified in navigation specifications, which also identify the choice of navigation sensorsand equipment that may be used to meet the performance requirements. These navigation specifications are defined ata sufficient level of detail to facilitate global harmonization by providing specific implementation guidance for States andoperators.Under PBN, generic navigation requirements are defined based on operational requirements. Operators then evaluateoptions in respect of available technology and navigation services, which could allow the requirements to be met. Anoperator thereby has the opportunity to select a more cost-effective option, rather than a solution being imposed as partof the operational requirements. Technology can evolve over time without requiring the operation itself to be reviewed,as long as the expected performance is provided by the RNAV system. As part of the future work of ICAO, it isanticipated that other means for meeting the requirements of the navigation specifications will be evaluated and may beincluded in the applicable navigation specifications, as appropriate.PBN offers a number of advantages over the sensor-specific method of developing airspace and obstacle clearancecriteria, i.e.:a)reduces the need to maintain sensor-specific routes and procedures, and their associated costs;I-(iii)

Performance-based Navigation (PBN) ManualVolume I. Concept and Implementation GuidanceI-(iv)b)avoids the need for developing sensor-specific operations with each new evolution of navigation systems,which would be cost-prohibitive;c)allows for more efficient use of airspace (route placement, fuel efficiency and noise abatement);d)clarifies how RNAV systems are used; ande)facilitates the operational approval process for operators by providing a limited set of navigation specificationsintended for global use.Within an airspace concept, PBN requirements will be affected by the communication, surveillance and ATMenvironments, the navaid infrastructure, and the functional and operational capabilities needed to meet the ATMapplication. PBN performance requirements also depend on what reversionary, non-RNAV means of navigation areavailable and what degree of redundancy is required to ensure adequate continuity of functions.During development of the performance-based navigation concept, it was recognized that advanced aircraft RNAVsystems are achieving a predictable level of navigation performance accuracy which, together with an appropriate levelof functionality, allows for more efficient use of available airspace. It also takes account of the fact that RNAV systemshave developed over a 40-year period and as a result there are a large variety of systems already implemented. PBNprimarily identifies navigation requirements irrespective of the means by which these are met.Purpose and scopeThis manual identifies the relationship between RNAV and RNP applications and the advantages and limitations ofchoosing one or the other as the navigation requirement for an airspace concept. It also aims at providing practicalguidance to States, air navigation service providers and airspace users on how to implement RNAV and RNPapplications, and how to ensure that the performance requirements are appropriate for the planned application.Recognizing that there are many airspace structures based on existing RNAV applications, and conscious of the highcost to operators in meeting different certification and operational approval requirements for each application, thismanual supports those responsible for assessing whether an application can use an existing navigation specification forimplementation. The primary aim is to provide guidance in the identification of whether, by a suitable adjustment of theairspace concept, navigation application and/or infrastructure, it is possible to make use of an existing navigationspecification, thereby obviating the need for a specific and potentially costly imposition of a new certification requirementfor operation in an individual airspace.Where analysis identifies that a new standard is needed, the manual identifies the steps required for the establishmentof such a new standard. It identifies a means by which, through the auspices of ICAO, unnecessary proliferation ofstandards can be avoided.Performance-based navigation (PBN) terminologyTwo fundamental aspects of any PBN operation are the requirements set out in the appropriate navigation specificationand the navigation aid infrastructure (both ground- and space-based) allowing the system to operate.A navigation specification is a set of aircraft and aircrew requirements needed to support a navigation application withina defined airspace concept. The navigation specification defines the performance required by the RNAV system as wellas any functional requirements such as the ability to conduct curved path procedures or to fly parallel offset routes.

Executive SummaryI-(v)RNAV and RNP systems are fundamentally similar. The key difference between them is the requirement for on-boardperformance monitoring and alerting. A navigation specification that includes a requirement for on-board navigationperformance monitoring and alerting is referred to as an RNP specification. One not having such requirements isreferred to as an RNAV specification. An area navigation system capable of achieving the performance requirement ofan RNP specification is referred to as an RNP system.In elaborating the PBN concept and developing associated terminology, it became evident to the Required NavigationPerformance and Special Operational Requirements Study Group (RNPSORSG) that the use of RNAV-relatedexpressions could create some complexities. States and international organizations should take particular note of theExplanation of Terms and to Chapter 1, Part A, of Volume I of this manual.Because specific performance requirements are defined for each navigation specification, an aircraft approved for aRNP specification is not automatically approved for all RNAV specifications. Similarly, an aircraft approved for an RNPor RNAV specification having stringent accuracy requirements (e.g. RNP 0.3 specification) is not automatically approvedfor a navigation specification having a less stringent accuracy requirement (e.g. RNP 4).Transition strategiesTransition to PBNIt is expected that all future RNAV applications will identify the navigation requirements through the use of performancespecifications rather than defining equipage of specific navigation sensors.Where operations exist that were defined prior to the publication of this manual, a transition to PBN may not necessarilybe undertaken. However, where revisions to the functional and operational requirements are made, the developmentand publication of the revised specifications should use the process and description established in this manual.Transition to RNP specificationsAs a result of decisions made in the industry in the 1990s, most modern RNAV systems provide on-board performancemonitoring and alerting, therefore the navigation specifications developed for use by these systems can be designatedas RNP.Many RNAV systems, while offering very high accuracy and possessing many of the functions provided by RNPsystems, are not able to provide assurance of their performance. Recognizing this, and to avoid operators incurringunnecessary expense, where the airspace requirement does not necessitate the use of an RNP system, many new aswell as existing navigation requirements will continue to specify RNAV rather than RNP systems. It is therefore expectedthat RNAV and RNP operations will co-exist for many years.However, RNP systems provide improvements on the integrity of operation permitting, inter alia, possibly closer routespacing, and can provide sufficient integrity to allow only the RNP systems to be used for navigating in a specificairspace. The use of RNP systems may therefore offer significant safety, operational and efficiency benefits. WhileRNAV and RNP applications will co-exist for a number of years, it is expected that there will be a gradual transition toRNP applications as the proportion of aircraft equipped with RNP systems increases and the cost of transition reduces.

TABLE OF CONTENTSPageExecutive summary .I-(iii)Table of contents .I-(vii)Foreword .I-(xi)References .I-(xv)Abbreviations .I-(xvii)Explanation of terms .I-(xix)Part A — THE PERFORMANCE-BASED NAVIGATION CONCEPTChapter 1.Description of performance-based 1.31.1.4General .Benefits .Context of PBN .Scope of performance-based navigation.1.1.4.1Lateral performance .1.1.4.2Vertical performance gation specification.I-A-1-21.3NAVAID infrastructure .I-A-1-71.4Navigation applications.I-A-1-71.5Future developments.I-A-1-8Airspace concepts .I-A-2-12.1Introduction.I-A-2-12.2The airspace concept .I-A-2-12.3Airspace concepts by area of operation -A-2-41.1Chapter 2.Oceanic and remote continental.Continental en-route.Terminal airspace: arrival and departure.Approach.I-(vii)

Performance-based Navigation (PBN) ManualVolume I. Concept and Implementation GuidanceI-(viii)Chapter 3.Stakeholder uses of performance-based navigation .I-A-3-13.1Introduction.I-A-3-13.2Airspace planning .I-A-3-33.3Instrument flight procedure design .I-A-3-53.3.13.3.23.3.33.3.43.3.5Introduction .Non-RNAV: conventional procedure design.Introduction of sensor-specific RNAV procedure design .RNP procedure design (pre-PBN).PBN procedure design .I-A-3-5I-A-3-5I-A-3-5I-A-3-6I-A-3-6Airworthiness and operational approval.I-A-3-83.43.4.13.4.23.4.33.5General . I-A-3-8Airworthiness approval process . I-A-3-83.4.2.2Approval of RNAV systems for RNAV-X operation. I-A-3-93.4.2.3Approval of RNP systems for RNP-X operation . I-A-3-9Operational approval. I-A-3-93.4.3.2General RNAV approval process. I-A-3-93.4.3.3Flight crew training . I-A-3-103.4.3.4Navigation database management . I-A-3-10Flight crew and air traffic operations. I-A-3-10PART B — IMPLEMENTATION GUIDANCEChapter 1.Introduction to implementation processes.I-B-1-11.1Introduction.I-B-1-11.2Process overview .I-B-1-11.3Development of a new navigation specification.I-B-1-1Process 1: Determine t to Process 1 .I-B-2-12.3Steps in Process 1.I-B-2-12.3.12.3.22.3.3I-B-2-1I-B-2-2Chapter 2.2.3.4Step 1 — Formulate airspace concept .Step 2 — Assessment of existing fleet capability and available navaid infrastructure.Step 3– Assessment of existing ATS surveillance system andcommunications infrastructure and ATM system.Step 4 — Identify necessary navigation performance and functional requirements .I-B-2-5I-B-2-6

Table of ContentsChapter 3.I-(ix)Process 2: Identifying ICAO navigation specification for implementation .I-B-3-13.1Introduction.I-B-3-13.2Input to Process 2 .I-B-3-13.3Steps in Process 2.I-B-3-13.3.13.3.2Step 1 — Review ICAO navigation specifications in Volume II .Step 2 — Identify appropriate ICAO navigation specification toapply in the specific CNS/ATM environment .Step 3 — Identify trade-offs with airspace concept and navigation functionalrequirements (if necessary).I-B-3-1Process 3: Planning and implementation .I-B-4-14.1Introduction.I-B-4-14.2Inputs to Process 3.I-B-4-24.3Steps in Process .3.94.3.10Step 1 — Formulate safety plan.Step 2 — Validate airspace concept for safety.Step 3 — Procedure design .Step 4 — Procedure ground validation .Step 5 — Implementation decision.Step 6 — Flight inspection and flight validation.Step 7 — ATC system integration considerations .Step 8 — Awareness and training material .Step 9 — Establishing operational implementation date .Step 10 — Post-implementation review I-B-4-5I-B-4-6I-B-4-7Guidelines for development of a new navigation specification .I-B-5-15.1Introduction.I-B-5-15.2Steps for developing a new navigation specification .5.2.1Step 1 — Feasibility assessment and business case.5.2.2Step 2 — Development of navigation specification .5.2.3Step 3 — Identification and development of associated ICAO provisions.5.2.4Step 4 — Safety assessment .5.2.5Step 5 — -23.3.3Chapter 4.Chapter 5.I-B-3-2I-B-3-2ATTACHMENTS TO VOLUME IAttachment 1 — Area navigation (RNAV) systems.1.2.3.Purpose .Background .RNAV system — basic functions.I-A1-1I-A1-1I-A1-1I-A1-3

Performance-based Navigation (PBN) ManualVolume I. Concept and Implementation GuidanceI-(x)4.5.RNP system — basic functions .RNAV and RNP specific functions .I-A1-5I-A1-5Attachment 2 — Data processes.I-A2-11.2.3.4.Aeronautical data .Data accuracy and integrity .Provision of aeronautical data .Altering aeronautical data .I-A2-1I-A2-2I-A2-2I-A2-3

FOREWORDThis manual consists of two volumes:Volume I — Concept and Implementation GuidanceVolume II — Implementing RNAV and RNPOrganization and contents of Volume I:Part A — The Performance-based Navigation (PBN) Concept, contains three chapters:Chapter 1 — Description of Performance-based Navigation, explains the PBN concept and specifically emphasizesthe designation of navigation specifications as well as the distinction between RNAV and RNP specifications.This chapter provides the foundation for this manual.Chapter 2 — Concepts of Operation, provides a context to PBN and explains that it does not exist in isolation butrather as an integral component of an airspace concept. This chapter also clarifies that PBN is one of theCNS/ATM enablers in an airspace concept.Chapter 3 — Stakeholders’ Uses of Performance-based Navigation, explains how airspace planners, proceduredesigners, airworthiness authorities, controllers and pilots use the PBN concept. Written by specialists of thesevarious disciplines, this chapter is intended for non-specialists in the various disciplines.Part B — Implementation Guidance, contains five chapters based on three processes aimed at providing practicalguidance for the implementation of PBN:Chapter 1 — Introduction to Implementation Processes, provides an overview of the three implementationprocesses with a view to encouraging the use of existing navigation specifications when implementing PBN.Chapter 2 — Process 1: Determine Requirements, outlines steps for a State or region to determine its strategic andoperational requirements for performance-based navigation through development of an airspace concept.Chapter 3 — Process 2: Identifying an ICAO Navigation Specification for Implementation, explains how, once thenavigation requirements are identified, attempts should be made to use an existing navigation specification tosatisfy the requirements identified.Chapter 4 — Process 3: Planning and Implementation, provides guidance on activities and tasks to be undertakenin order to enable operational implementation.Chapter 5 — Guidelines for Development of a New Navigation Specification, outlines how a State or region shouldprogress if it becomes impossible to satisfy an airspace concept using an existing navigation specification.I-(xi)

I-(xii)Performance-based Navigation (PBN) ManualVolume I. Concept and Implementation GuidanceAttachments to Volume IAttachment A — Area Navigation (RNAV) Systems, provides an explanation of RNAV systems, how they operate andwhat the benefits are. This Attachment is particularly directed at air traffic controllers and airspace planners.Attachment B — Data Processes, is directed at anyone involved in the data chain, from surveying to packing of thenavigation database. This attachment provides a simple and straightforward explanation of a complex subject.Specific remarksThis volume, to a large extent, is based on the experiences of States which have used RNAV operations. The PBNconcept described in Volume I is a notable exception, as it is new and should be viewed as more than just a remodellingor an extension of the RNP concept — see Part A, Chapter 1, 1.1.1. This volume should not be read in isolation as it isboth an integral part of and complementary to Volume II, Implementing RNAV and RNP.Attention is drawn to the fact that expressions such as RNP type and RNP value that were associated with the RNPconcept (as referred to in Doc 9613, Second Edition, formerly titled Manual on Required Navigat

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