Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Performance-basedNavigation (PBN)Manual

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Doc 9613AN/937

Performance-basedNavigation (PBN)Manual

Approved by the Secretary General

and published under his authority

Third Edition — 2008

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Published in separate English and French editions by the

INTERNATIONAL CIVIL AVIATION ORGANIZATION

999 University Street, Montréal, Quebec, Canada H3C 5H7

For ordering information and for a complete listing of sales agents

and booksellers, please go to the ICAO website at

Third edition 2008

ICAO Doc 9613, Performance-based Navigation (PBN) Manual

Order Number: 9613

ISBN 978-92-9231-198-8

© ICAO 2008

All rights reserved. No part of this publication may be reproduced, stored in a

retrieval system or transmitted in any form or by any means, without prior

permission in writing from the International Civil Aviation Organization.

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

AMENDMENTS

Amendments are announced in the supplements to the Catalogue of ICAO

Publications; the Catalogue and its supplements are available on the ICAO website

RECORD OF AMENDMENTS AND CORRIGENDA

Entered by

Entered by

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

VOLUME I

CONCEPT AND IMPLEMENTATION GUIDANCE

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

EXECUTIVE SUMMARY

Background

The continuing growth of aviation increases demands on airspace capacity therefore emphasizing the need for optimum

utilization 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 of

flight. 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 and

concise manner. This is to ensure that the flight crew and the air traffic controllers (ATCs) are aware of the on-board

RNAV system capabilities in order to determine if the performance of the RNAV system is appropriate for the specific

airspace requirements.

RNAV systems evolved in a manner similar to conventional ground-based routes and procedures. A specific RNAV

system was identified and its performance was evaluated through a combination of analysis and flight testing. For

domestic operations, the initial systems used very high frequency omnidirectional radio range (VOR) and distance

measuring equipment (DME) for estimating their position; for oceanic operations, inertial navigation systems (INS) were

employed. These “new” systems were developed, evaluated and certified. Airspace and obstacle clearance criteria were

developed based on the performance of available equipment; and specifications for requirements were based on

available capabilities. In some cases, it was necessary to identify the individual models of equipment that could be

operated within the airspace concerned. Such prescriptive requirements resulted in delays to the introduction of new

RNAV system capabilities and higher costs for maintaining appropriate certification. To avoid such prescriptive

specifications of requirements, this manual introduces an alternative method for defining equipage requirements by

specifying 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 a

particular 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 sensors

and equipment that may be used to meet the performance requirements. These navigation specifications are defined at

a sufficient level of detail to facilitate global harmonization by providing specific implementation guidance for States and

operators.

Under PBN, generic navigation requirements are defined based on operational requirements. Operators then evaluate

options in respect of available technology and navigation services, which could allow the requirements to be met. An

operator thereby has the opportunity to select a more cost-effective option, rather than a solution being imposed as part

of 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 is

anticipated that other means for meeting the requirements of the navigation specifications will be evaluated and may be

included in the applicable navigation specifications, as appropriate.

PBN offers a number of advantages over the sensor-specific method of developing airspace and obstacle clearance

criteria, i.e.:

a) reduces the need to maintain sensor-specific routes and procedures, and their associated costs;

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

I-(iv)

Volume I. Concept and Implementation Guidance 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; and e) facilitates the operational approval process for operators by providing a limited set of navigation specifications

intended for global use.

Within an airspace concept, PBN requirements will be affected by the communication, surveillance and ATM

environments, the navaid infrastructure, and the functional and operational capabilities needed to meet the ATM

application. PBN performance requirements also depend on what reversionary, non-RNAV means of navigation are

available 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 RNAV

systems are achieving a predictable level of navigation performance accuracy which, together with an appropriate level

of functionality, allows for more efficient use of available airspace. It also takes account of the fact that RNAV systems

have developed over a 40-year period and as a result there are a large variety of systems already implemented. PBN

primarily identifies navigation requirements irrespective of the means by which these are met.

Purpose and scope

This manual identifies the relationship between RNAV and RNP applications and the advantages and limitations of

choosing one or the other as the navigation requirement for an airspace concept. It also aims at providing practical

guidance to States, air navigation service providers and airspace users on how to implement RNAV and RNP

applications, 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 high

cost to operators in meeting different certification and operational approval requirements for each application, this

manual supports those responsible for assessing whether an application can use an existing navigation specification for

implementation. The primary aim is to provide guidance in the identification of whether, by a suitable adjustment of the

airspace concept, navigation application and/or infrastructure, it is possible to make use of an existing navigation

specification, thereby obviating the need for a specific and potentially costly imposition of a new certification requirement

for operation in an individual airspace.

Where analysis identifies that a new standard is needed, the manual identifies the steps required for the establishment

of such a new standard. It identifies a means by which, through the auspices of ICAO, unnecessary proliferation of

standards can be avoided.

Performance-based navigation (PBN) terminology

Two fundamental aspects of any PBN operation are the requirements set out in the appropriate navigation specification

and 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 within

a defined airspace concept. The navigation specification defines the performance required by the RNAV system as well

as any functional requirements such as the ability to conduct curved path procedures or to fly parallel offset routes.

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Executive Summary I-(v)

RNAV and RNP systems are fundamentally similar. The key difference between them is the requirement for on-board

performance monitoring and alerting. A navigation specification that includes a requirement for on-board navigation

performance monitoring and alerting is referred to as an RNP specification. One not having such requirements is

referred to as an RNAV specification. An area navigation system capable of achieving the performance requirement of

an RNP specification is referred to as an RNP system.

In elaborating the PBN concept and developing associated terminology, it became evident to the Required Navigation

Performance and Special Operational Requirements Study Group (RNPSORSG) that the use of RNAV-related

expressions could create some complexities. States and international organizations should take particular note of the

Explanation 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 a

RNP specification is not automatically approved for all RNAV specifications. Similarly, an aircraft approved for an RNP

or RNAV specification having stringent accuracy requirements (e.g. RNP 0.3 specification) is not automatically approved

for a navigation specification having a less stringent accuracy requirement (e.g. RNP 4).

Transition strategies

Transition to PBN

It is expected that all future RNAV applications will identify the navigation requirements through the use of performance

specifications 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 necessarily

be undertaken. However, where revisions to the functional and operational requirements are made, the development

and publication of the revised specifications should use the process and description established in this manual.

Transition to RNP specifications

As a result of decisions made in the industry in the 1990s, most modern RNAV systems provide on-board performance

monitoring and alerting, therefore the navigation specifications developed for use by these systems can be designated

as RNP.

Many RNAV systems, while offering very high accuracy and possessing many of the functions provided by RNP

systems, are not able to provide assurance of their performance. Recognizing this, and to avoid operators incurring

unnecessary expense, where the airspace requirement does not necessitate the use of an RNP system, many new as

well as existing navigation requirements will continue to specify RNAV rather than RNP systems. It is therefore expected

that 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 route

spacing, and can provide sufficient integrity to allow only the RNP systems to be used for navigating in a specific

airspace. The use of RNP systems may therefore offer significant safety, operational and efficiency benefits. While

RNAV and RNP applications will co-exist for a number of years, it is expected that there will be a gradual transition to

RNP applications as the proportion of aircraft equipped with RNP systems increases and the cost of transition reduces.

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Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

TABLE OF CONTENTS

Page

Executive 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 CONCEPT

Chapter 1. Description of performance-based navigation............................................................................. I-A-1-1

1.1 Introduction.......................................................................................................................................... I-A-1-1

1.1.1 General................................................................................................................................. I-A-1-1

1.1.2 Benefits................................................................................................................................. I-A-1-1

1.1.3 Context of PBN..................................................................................................................... I-A-1-1

1.1.4 Scope of performance-based navigation............................................................................... I-A-1-2

1.1.4.1 Lateral performance............................................................................................. I-A-1-2

1.1.4.2 Vertical performance............................................................................................ I-A-1-2

1.2 Navigation specification....................................................................................................................... I-A-1-2

1.3 NAVAID infrastructure......................................................................................................................... I-A-1-7

1.4 Navigation applications........................................................................................................................ I-A-1-7

1.5 Future developments........................................................................................................................... I-A-1-8

Chapter 2. Airspace concepts.......................................................................................................................... I-A-2-1

2.1 Introduction.......................................................................................................................................... I-A-2-1

2.2 The airspace concept.......................................................................................................................... I-A-2-1

2.3 Airspace concepts by area of operation.............................................................................................. I-A-2-3

2.3.1 Oceanic and remote continental............................................................................................ I-A-2-3

2.3.2 Continental en-route.............................................................................................................. I-A-2-3

2.3.3 Terminal airspace: arrival and departure............................................................................... I-A-2-3

2.3.4 Approach............................................................................................................................... I-A-2-4

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

I-(viii) Volume I. Concept and Implementation Guidance

Chapter 3. Stakeholder uses of performance-based navigation................................................................... I-A-3-1

3.1 Introduction.......................................................................................................................................... I-A-3-1

3.2 Airspace planning................................................................................................................................ I-A-3-3

3.3 Instrument flight procedure design...................................................................................................... I-A-3-5

3.3.1 Introduction........................................................................................................................... I-A-3-5

3.3.2 Non-RNAV: conventional procedure design.......................................................................... I-A-3-5

3.3.3 Introduction of sensor-specific RNAV procedure design....................................................... I-A-3-5

3.3.4 RNP procedure design (pre-PBN)......................................................................................... I-A-3-6

3.3.5 PBN procedure design.......................................................................................................... I-A-3-6

3.4 Airworthiness and operational approval............................................................................................... I-A-3-8

3.4.1 General................................................................................................................................. I-A-3-8

3.4.2 Airworthiness approval process............................................................................................ I-A-3-8

3.4.2.2 Approval of RNAV systems for RNAV-X operation............................................... I-A-3-9

3.4.2.3 Approval of RNP systems for RNP-X operation................................................... I-A-3-9

3.4.3 Operational approval............................................................................................................. I-A-3-9

3.4.3.2 General RNAV approval process.......................................................................... I-A-3-9

3.4.3.3 Flight crew training............................................................................................... I-A-3-10

3.4.3.4 Navigation database management....................................................................... I-A-3-10

3.5 Flight crew and air traffic operations.................................................................................................... I-A-3-10

PART B — IMPLEMENTATION GUIDANCE

Chapter 1. Introduction to implementation processes................................................................................... I-B-1-1

1.1 Introduction.......................................................................................................................................... I-B-1-1

1.2 Process overview................................................................................................................................ I-B-1-1

1.3 Development of a new navigation specification................................................................................... I-B-1-1

Chapter 2. Process 1: Determine requirements.............................................................................................. I-B-2-1

2.1 Introduction.......................................................................................................................................... I-B-2-1

2.2 Input to Process 1............................................................................................................................... I-B-2-1

2.3 Steps in Process 1............................................................................................................................... I-B-2-1

2.3.1 Step 1 — Formulate airspace concept.................................................................................. I-B-2-1

2.3.2 Step 2 — Assessment of existing fleet capability and available navaid infrastructure........... I-B-2-2

2.3.3 Step 3– Assessment of existing ATS surveillance system and

communications infrastructure and ATM system................................................................... I-B-2-5

2.3.4 Step 4 — Identify necessary navigation performance and functional requirements.............. I-B-2-6

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

Table of Contents I-(ix)

Chapter 3. Process 2: Identifying ICAO navigation specification for implementation................................ I-B-3-1

3.1 Introduction.......................................................................................................................................... I-B-3-1

3.2 Input to Process 2............................................................................................................................... I-B-3-1

3.3 Steps in Process 2............................................................................................................................... I-B-3-1

3.3.1 Step 1 — Review ICAO navigation specifications in Volume II............................................. I-B-3-1

3.3.2 Step 2 — Identify appropriate ICAO navigation specification to

apply in the specific CNS/ATM environment......................................................................... I-B-3-2

3.3.3 Step 3 — Identify trade-offs with airspace concept and navigation functional

requirements (if necessary)................................................................................................... I-B-3-2

Chapter 4. Process 3: Planning and implementation..................................................................................... I-B-4-1

4.1 Introduction.......................................................................................................................................... I-B-4-1

4.2 Inputs to Process 3.............................................................................................................................. I-B-4-2

4.3 Steps in Process 3............................................................................................................................... I-B-4-2

4.3.1 Step 1 — Formulate safety plan............................................................................................ I-B-4-2

4.3.2 Step 2 — Validate airspace concept for safety...................................................................... I-B-4-2

4.3.3 Step 3 — Procedure design................................................................................................. I-B-4-3

4.3.4 Step 4 — Procedure ground validation................................................................................. I-B-4-4

4.3.5 Step 5 — Implementation decision........................................................................................ I-B-4-4

4.3.6 Step 6 — Flight inspection and flight validation..................................................................... I-B-4-5

4.3.7 Step 7 — ATC system integration considerations................................................................. I-B-4-5

4.3.8 Step 8 — Awareness and training material........................................................................... I-B-4-5

4.3.9 Step 9 — Establishing operational implementation date....................................................... I-B-4-6

4.3.10 Step 10 — Post-implementation review................................................................................ I-B-4-7

Chapter 5. Guidelines for development of a new navigation specification.................................................. I-B-5-1

5.1 Introduction.......................................................................................................................................... I-B-5-1

5.2 Steps for developing a new navigation specification........................................................................... I-B-5-1

5.2.1 Step 1 — Feasibility assessment and business case............................................................ I-B-5-1

5.2.2 Step 2 — Development of navigation specification............................................................... I-B-5-2

5.2.3 Step 3 — Identification and development of associated ICAO provisions............................. I-B-5-2

5.2.4 Step 4 — Safety assessment................................................................................................ I-B-5-2

5.2.5 Step 5 — Follow-up............................................................................................................... I-B-5-2

ATTACHMENTS TO VOLUME I

Attachment 1 — Area navigation (RNAV) systems............................................................................................ I-A1-1

1. Purpose ................................................................................................................................................... I-A1-1

2. Background ............................................................................................................................................. I-A1-1

3. RNAV system — basic functions.............................................................................................................. I-A1-3

Performance-based Navigation (PBN) Manual——ICAO基于性能的导航技术手册——国际民航组织

I-(x) Volume I. Concept and Implementation Guidance

4. RNP system — basic functions ............................................................................................................... I-A1-5

5. RNAV and RNP specific functions .......................................................................................................... I-A1-5

Attachment 2 — Data processes......................................................................................................................... I-A2-1

1. Aeronautical data .................................................................................................................................... I-A2-1

2. Data accuracy and integrity ..................................................................................................................... I-A2-2

3. Provision of aeronautical data ................................................................................................................. I-A2-2

4. Altering aeronautical data ........................................................................................................................ I-A2-3

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