Explanatory Statement Civil Aviation Act 1988 Civil Aviation Order 20.

91 (Instructions and directions for performance-based navigation) 2012 Purpose Civil Aviation Order 20.91 (Instructions and directions for performance-based navigation) 2012 (CAO 20.91, or the Order) creates a new regulatory framework and authorisation process for Area Navigation (RNAV) and Required Navigation Performance (RNP) navigation specifications for Australian aircraft. CAO 20.91 also includes arrangements for a transition of existing navigation authorisations to the new regulatory framework. The Order is based on the International Civil Aviation Organizations (ICAO) Performance-Based Navigation Manual and is part of a world-wide harmonisation process for use of performance-based navigation (PBN). Background Navigation specifications Navigation specifications for conventional aircraft navigation are sensor-based using, for example, navigation beacons and waypoints. If a navigation specification also includes requirements for navigation performance to be monitored with alerting capacity, it is known as an RNP specification. If a navigation specification does not include such requirements, it is known as an RNAV specification. Different RNAV and RNP navigation specifications (for example, RNAV 5, or RNP 2) have different performance requirements denoted by their numbers which identify the sensors and equipment that must be used to achieve the level of navigation performance associated with the specification. PBN involves a technologically-driven ICAO initiative to move from sensor-based to performance-based navigation in which different RNAV and RNP performance requirements can be defined in terms of the specific accuracy, integrity, availability, continuity and functionality required for a particular operation, in particular airspace, provided the requisite satellite, airborne and ground navigation equipment is in place. ICAO One of ICAOs highest priorities is to rapidly implement PBN in order to maximise the associated safety, economic and environmental benefits which have been made possible by advances in navigation technology and the development of internationally agreed standards. The goal is to safely maximise the utilisation of available airspace through initiatives such as reductions in oceanic and en route separation standards and track miles flown during approach-to-land procedures in terminal airspace. As a part of this initiative, ICAO is striving to harmonise navigation standards globally and achieve an outcome-based approach to navigation requirements and approvals through its PBN concept. For the PBN concept to be successfully implemented worldwide, member States must adopt the ICAO standards for navigation requirements in their domestic legislation. The intention is that, with this level of standardisation, appropriate navigation specifications may be used world-wide by any authorised operator, from any State in which the specification is designated.

Explanatory Statement to F2012L01570

2 The ICAO concept specifies navigation accuracy and performance rather than specific equipment requirements. Such an approach offers considerable benefits for operations in international and domestic airspace. Any reduction in separation minima and track miles flown provides significant benefits to operators and service providers alike. For those benefits to be realised, aircraft must be operated to international procedures that provide full and seamless compatibility and recognition between regulatory authorities and Air Navigation Service Providers (ANSPs). Once a PBN navigation authorisation is granted, it will enable an operator to gain equivalent approvals from any State globally. Australia In Australia, with the exception of RNAV 10 and RNP 4, CASA previously did not have an adequate regulatory framework to permit it to issue navigation authorisations against any of the new PBN navigation specifications (that is, other than RNAV 10 and RNP 4). CASA did have technical and operational requirements that operators and aircraft had to satisfy before being administratively authorised to operate in airspace where other States had implemented RNAV navigation specifications, for example B-RNAV or P-RNAV. However, with the proliferation of navigation specifications for en route and terminal area airspace, and the ICAO requirement for States to regularly assess the safety of airspace, a more robust regulatory framework was needed by CASA to issue navigation authorisations and monitor system safety. The need for a legislative framework to authorise the new types of navigation had become pressing as the new specifications became available. Legislative background to CAO 20.91 CAO 20.91 is CASAs response to this and it will enable the rapid implementation of the ICAO PBN concept. CAO 20.91 contains instructions to pilots in command of instrument flight rules (I.F.R.) flights, specifying the method by which an aircraft engaged in PBN is to be navigated. The Order also contains directions to pilots in command and operators in relation to the conduct of I.F.R. flight using particular PBN navigation specifications. The CAO is legislatively authorised as follows. Navigation instructions Section 98 of the Civil Aviation Act 1988 (the Act) empowers the Governor-General to make regulations for the Act and the safety of air navigation. Under paragraph 179A (1) (a) of the Civil Aviation Regulations 1988 (CAR 1988), CASA may issue instructions in relation to I.F.R. flights specifying the method by which an aircraft is to be navigated. Under subregulations 179A (2) and (2A) of CAR 1988, it is a strict liability offence for the pilot in command of an aircraft to fly the aircraft under the I.F.R. if it is not equipped for the navigation in accordance with the instructions issued under subregulation 179A (1). Under subregulation 179A (4) of CAR 1988, CASA may give permission for an aircraft to be flown under the I.F.R. if the aircraft is not equipped in accordance with the instructions.

Explanatory Statement to F2012L01570

3 Directions Under regulation 11.245 of the Civil Aviation Safety Regulations 1998 (CASR 1998), for subsection 98 (5A) of the Act, CASA may, by instrument (such as a Civil Aviation Order (CAO)), issue directions necessary for the safe navigation and operation of aircraft. Under subregulation 11.245 (2) of CASR 1998, CASA may issue directions only if it is satisfied that it is necessary to do so in the interests of the safety of air navigation, without inconsistency with the Act, and only for the purposes of CASAs functions. Under regulation 11.250 of CASR 1998, a direction specifying a date on which it is to cease to be in force, ceases on that date. Directions without a cease-by date would cease to be in force after 1 year. Under regulation 11.255 of CASR 1998, it is a strict liability offence for a person to contravene an applicable direction. Details of CAO 20.91 The new Order commences on the day after registration. Anything in the Order that is a direction under regulation 11.245 of CASR 1998 ceases to be in force on 30 June 2017. A Note explains that, to support the Order, CASA is using both the power to issue instructions under regulation 179A of CAR 1988 and the power to issue directions under regulation 11.245 of CASR 1998. For paragraph 11.250 (a) of CASR 1998, an expiry date must be included for a direction which is to endure for longer than 1 year, hence the insertion of the 2017 date. However, the Order will have been superseded by new regulations before 30 June 2017. Navigation authorisations Under subsection 12 of the Order, an Australian aircraft using a relevant PBN navigation specification may be navigated in I.F.R. flight only in accordance with the navigation authorisation and other requirements set out in the Order and in the Appendix to the Order that applies for the use of the specification. PBN navigation specifications Under subsection 11, the particular PBN navigation specifications for Australian aircraft are as follows: (a) RNAV 5; (b) RNAV 1 and RNAV 2; (c) RNP 2; (d) RNP 1; (e) on a foreshadowing basis only at this stage RNP 0.3 because RNP 0.3 is to be provided for by future amendments; (f) RNP APCH, including: (i) LNAV; ` (ii) LNAV/VNAV(APV Baro-VNAV); (iii) LP; (iv) LPV;

Explanatory Statement to F2012L01570

4 (g) RNP AR, including: (i) RNP AR APCH (ICAO); (ii) RNP AR APCH (Proprietary); (iii) RNP AR DEP (ICAO); (iv) RNP AR DEP (Proprietary); (v) RNP AR EOSID (Proprietary); (h) APV Baro-VNAV. As noted above, the PBN navigation specifications RNAV 10 and RNP 4 are each already dealt with in Part 91 of CASR 1998, as RNP 10 and RNP 4, respectively. Requirements for the specifications The actual operating requirements for each of these particular PBN navigation specifications are set out in the respective Appendices to the Order as follows: (a) RNAV 5 Appendix 1; (b) RNAV 1 and RNAV 2 Appendix 2; (c) RNP 2 Appendix 3; (d) RNP 1 Appendix 4; (e) RNP 0.3 (see above) Appendix 5; (f) RNP APCH Appendix 6; (g) RNP AR Appendix 7; (h) APV Baro-VNAV Appendix 8. Operator obligations Under paragraph 12.2 of the Order, the pilot in command of an I.F.R. flight must not use the particular PBN navigation specification unless he or she satisfies each pilot requirement, set out in the relevant Appendix for the specification. The operator of the aircraft must also hold, or be deemed to hold, a navigation authorisation under the Order for the particular PBN navigation specification. The flight must be conducted in accordance with the navigation authorisation issued by CASA under the relevant Appendix. Further, the operator must not permit the flight to commence unless he or she holds, or is deemed to hold, the relevant navigation authorisation and complies with each requirement for the flight set out in the relevant Appendix (or set out in a section dealing with deeming see below). The operator must also ensure that each member of the flight crew of the aircraft satisfies the flight crew requirements set out in the relevant Appendix, and conducts the flight in accordance with the navigation authorisation (or its deemed equivalent). Deemed authorisations Subsections 13, 14 and 15 provide that the operators of certain Australian aircraft are deemed to hold navigation authorisations for certain navigation specifications.

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5 These deeming provisions arise from the fact that the relevant operators of Australian aircraft are already, and have for some time been, compliant with the essential requirements for the applicable specifications, in particular Australian and European Technical Standards Orders (TSOs and ETSOs). CASA, being satisfied that safety is not thereby prejudiced, has decided to protect, or grandfather, their position. Thus under subsection 13 of the Order, operators of certain Australian aircraft are deemed to hold navigation authorisations for: (a) RNAV 5; and (b) RNAV 1 and RNAV 2; and (c) RNP 2; and (d) RNP 1. The aircraft must be equipped with a GNSS stand-alone system with en route and terminal navigation capability having: (a) TSO-C129 ( ) authorisation for Class A1 or A2; or (b) TSO-C146 ( ) or ETSO-C146 ( ) authorisation for Class Gamma and operational Class 1, 2 or 3. The equipment must have been installed: (a) if installed before 13 April 2005 in accordance with Civil Aviation Advisory Publication (CAAP) 35-1; or (b) if installed on or after 13 April 2005 in accordance with CASA Advisory Circular (AC) 21-36 ( ). The aircraft must be flown in a navigation specification only by a pilot who complies with the requirements of paragraph 13.7 or 13.8 for the navigation specification. Under paragraph 13.7, the pilot must have: (a) successfully completed a course of ground training: (i) conducted by CASA, a training and checking organisation or an instrument flight school; and (ii) based on, or in accordance with, the syllabus set out in Appendix IV of CAO 40.2.1; and (b) a log book: (i) certifying successful completion of that ground training; and (ii) containing an endorsement or entry under CAO 40.2.1, valid for navigation equivalent to the navigation specification in which the aircraft is to be flown by the pilot under the deemed authorisation. Under paragraph 13.8, the pilot must have: (a) successfully completed a course of training for the issue of a GNSS flight procedure authorisation (FPA) under CAO 40.2.3; and (b) a log book: (i) certifying successful completion of that training; and

Explanatory Statement to F2012L01570

6 (ii) containing an entry under CAO 40.2.3, valid for navigation equivalent to the navigation specification in which the aircraft is to be flown by the pilot under the deemed authorisation. With similar but appropriately modified requirements, under subsection 14 of the Order, the operators of certain Australian aircraft are deemed to hold navigation authorisations for the same specifications but with the addition of RNP APCH-LNAV. Again, with similar but appropriately modified requirements, under subsection 15 of the Order, the operators of certain Australian aircraft are deemed to hold navigation authorisations for the same specifications as under subsection 14 but with the addition of RNP APCH-LP or RNP APCH-LPV. Transitional provisions for existing authorisations Before the Order, Australia, like many other ICAO States, developed special navigation requirements for its airspace, giving rise to a complex range of authorisations needed by some operators. For example, internationally there was: European B-RNAV (B-RNAV); US RNAV Type A (US RNAV A); European Precision Area Navigation (P-RNAV); US RNAV Type B (US RNAV B); and North Atlantic Minimum Navigation Performance Specification (MNPS). Australian unique navigation authorisations include: GPS RNAV; GPS Oceanic; and Australian RNAV (AUSEP). Previously, for Australian aircraft, approvals to use these specifications were dealt with by CASA administratively. These are unique specifications although they may overlap with (but are not identical to) the PBN specifications. For example, in the following Table, each unique specification in column 1 is considered to be sufficiently similar to the matching specification in column 2, to allow a suitable transition: B-RNAV US RNAV A P-RNAV US RNAV B MNPS RNAV 5 RNAV 2 RNAV 1 RNAV 1 RNP 2 Oceanic

CASA, being satisfied that safety is not thereby prejudiced, has decided to preserve the application of these unique specifications for a transitional period of 2 years after commencement of the Order. Thus, it is necessary to capture them appropriately within the legislative operation of CAO 20.91. CAO 20.91 includes transitional arrangements for operators of Australian aircraft utilising the following navigation authorisations or operational approvals: B-RNAV; P-RNAV;

Explanatory Statement to F2012L01570

7 US RNAV A; US RNAV B; GPS Oceanic; AUSEP; GPS RNAV (but currently reserved only); and MNPS (but currently reserved only).

B-RNAV Thus, for B-RNAV, if, immediately before the commencement of this Order, the operator of an Australian aircraft held a B-RNAV instrument or equivalent, then he or she is taken, after the commencement of the Order, to be in compliance with Appendix 1 for use of RNAV 5 until whichever of the following happens first: (a) the B-RNAV instrument or equivalent: (i) lapses; or (ii) is surrendered; or (iii) is revoked; (b) 2 years have elapsed from the commencement of the Order; (c) CASA issues the operator with an RNAV 5 navigation authorisation. An operator, who is thus taken to be in compliance with Appendix 1 for use of RNAV 5, must be issued with an RNAV 5 navigation authorisation if he or she applies to CASA for one. P-RNAV and US-RNAV A and B Similar transitional provisions apply for P-RNAV and US-RNAV A and B. Thus, if immediately before the commencement of this Order the operator of an Australian aircraft held a P-RNAV, or US-RNAV A or B, navigation authorisation, and paragraph 5.3 or 5.4 applies, as the case requires, he or she is taken, after the commencement of the Order, to be in compliance with Appendix 2 for use of RNAV 1 and RNAV 2 until whichever of the following happens first: (a) the P-RNAV, or US-RNAV A or B, authorisation as the case may be: (i) lapses; or (ii) is surrendered; or (iii) is revoked; (b) 2 years have elapsed from the commencement of this Order; (c) CASA issues the operator with an RNAV 1 and RNAV 2 navigation authorisation. An operator, who is thus taken to be in compliance with Appendix 2 for use of RNAV 1 and RNAV 2, must be issued with an RNAV 1 and RNAV 2 navigation authorisation if he or she applies to CASA for one. To satisfy paragraph 5.3 of the Order, the AFM, AFM Supplement or OEM (original equipment manufacturer) service letter must state that the operators aircraft navigation system is approved for P-RNAV in accordance with JAA TGL-10, and the additional requirements for RNAV 1 and RNAV 2 are met as set out in ICAO Doc 9613, Performance-based Navigation (PBN) Manual, Volume II, Part B, Chapter 3, Implementing RNAV 1 and RNAV 2.

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8 Alternatively, to satisfy paragraph 5.4 of the Order, the AFM, an AFM Supplement, or an OEM service letter must state that the operators aircraft navigation system is approved for US RNAV in accordance with FAA AC 90-100A, and the additional requirements for RNAV 1 and RNAV 2 are met as set out in ICAO Doc 9613, Performance-based Navigation (PBN) Manual, Volume II, Part B, Chapter 3, Implementing RNAV 1 and RNAV 2. GPS Oceanic For GPS Oceanic, if, immediately before the commencement of the Order, the operator of an Australian aircraft held a GPS Oceanic approval, he or she must cease using the approval 2 years after the commencement of the Order, unless the approval sooner ceases to be in force because it lapses, is surrendered, is revoked or is replaced, on application, by an RNP 4 navigation authorisation issued under Subpart 91U of CASR 1998. Australian RNAV (AUSEP) For Australian RNAV (AUSEP), if, immediately before the commencement of this Order, the operator of an Australian aircraft held an Australian RNAV (AUSEP) approval, he or she must cease using the approval 2 years after the commencement of this Order, unless the approval sooner ceases to be in force because it lapses, is surrendered, is revoked or is replaced by an RNAV 5 navigation authorisation. Thus, an RNAV 5 navigation authorisation, issued as appropriate on application under Appendix 1 of this Order, may replace an Australian RNAV (AUSEP) approval when the latter ceases to be in force. GPS RNAV For GPS RNAV, if, immediately before the commencement of the Order, the operator of an Australian aircraft held a GPS RNAV approval, he or she must cease using the approval 2 years after the commencement of this Order, unless the approval sooner ceases to be in force because it lapses, is surrendered, is revoked or is replaced by an RNP 2 navigation authorisation. Thus, an RNP 2 navigation authorisation, issued as appropriate on application under Appendix 3 of this Order, may replace a GPS RNAV approval when the latter ceases to be in force. MNPS For MNPS, a Note in the Order explains that MNPS will be retained until the North Atlantic Program Coordination Office publishes a PBN navigation specification alternative procedure. Although one is not yet available, it is anticipated that RNP 2, used in an Oceanic application, may provide this alternative. In the interim, CASA MNPS approvals will remain in force according to their terms. Appendices Appendix 1 to Appendix 8, set out the detailed requirements for use of the various navigations specifications that are the subject of the Order in the following sequence: (a) RNAV 5 Appendix 1; (b) RNAV 1 and RNAV 2 Appendix 2; (c) RNP 2 Appendix 3; (d) RNP 1 Appendix 4;

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9 (e) (f) (g) (h) RNP 0.3 (but see above) Appendix 5; RNP APCH Appendix 6; RNP AR Appendix 7; APV Baro-VNAV Appendix 8.

Each Appendix follows a broadly similar format. The opening provisions indicate that the navigation specification may only be used for PBN only if the operator has the appropriate navigation authorisation in writing from CASA, and the aircraft is appropriately equipped. The documentary requirements for an application are set out, as are the criteria for the issue of the authorisation. Standards are mandated for aircraft eligibility, system performance, system functionality, equipment, operating standards, flight planning, flight procedures, flight crew knowledge and training, and navigation database requirements. The Appendices are drafted to reflect the accumulative nature of compliance standards. Thus, an aircraft (and operator) authorised by CASA for a particular PBN type may automatically qualify for a particular lower PBN type (though the aircraft eligibility requirements must be met and it must be formally applied for and issued by CASA). For example, an operator who holds a navigation authorisation for RNAV 1 and RNAV 2, or for RNP 2, or for RNP 1, may be issued with an RNAV 5 authorisation, provided the relevant aircraft meets the aircraft eligibility requirements for RNAV 1 and RNAV 2, or for RNP 2, or for RNP 1, or for RNAV 5 itself, and the operator applies in writing to CASA for the new authorisation. Legislative Instruments Act 2003 (the LIA) Under paragraph 179A (1) (a) of CAR 1988, CASA may issue instructions in relation to I.F.R. flights specifying the method by which an aircraft is to be navigated. Under subregulation 5 (1) of CAR 1988, if CAR 1988 empowers CASA to issue instruments such as instructions, CASA may do so in the form of CAOs. Under subsection 98 (5) of the Act, the regulations may provide that CASA may issue a CAO containing, among other things, an instruction. Under subsection 98 (5AAA) of the Act, where regulations provide for an instrument to be issued in the form of a CAO, the CAO so made is a legislative instrument. Under regulation 11.245 of CASR 1998, for subsection 98 (5A) of the Act (regulations may empower the issue of instruments for safe navigation), CASA may, by instrument (such as a CAO), issue directions for safe navigation. Under subsection 98 (5AA) of the Act, an instrument so issued is a legislative instrument if it applies to classes (or persons, or aircraft) as is the case with the directions in CAO 20.91. Under both sets of provisions, the Order is a legislative instrument subject to registration, and tabling and disallowance in the Parliament, under sections 24, and 38 and 42, of the LIA.

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10 Consultation Consultation for Project AS 08/19, initiated to develop CAO 20.91 Navigation Authorisations, was as follows. Using the standard processes of the SCC (Standards Consultative Committee, a joint CASA/industry consultation forum), a project team was established consisting of representatives from CASA, Airservices Australia (AA), ICAO, the International Air Transport Association (IATA) and industry. On 29 July 2011, CASA published Notice of Proposed Rule Making (NPRM) 1002AS Navigation Authorisations Incorporating ICAO PBN Navigation Specifications. The NPRM introduced, and invited public comments on, a proposed regulatory framework for RNAV and RNP navigation specifications consistent with the PBN Manual. When the NPRM was published, the requirements for RNP 2 navigation specifications had not been officially published in the ICAO PBN Manual. However, the proposed amendments to the PBN Manual for RNP 2 are soon to be published in the Manual and CASA considered it appropriate to include RNP 2 navigation specifications in CAO 20.91. Inclusion of RNP 2 authorisations will also allow transition of Australian specific GPS RNAV approvals to RNP 2 approvals. When the period for public comment on the NPRM closed on 23 September 2011, a Project Team comprising representatives from Qantas Airways Limited, Regional Express, Aircraft Owners and Pilots Association of Australia (AOPA), AA and CASA reviewed the comments received. The Project Team also reviewed the additional RNP 2 navigation authorisation requirements. The Project Team determined that the scope, instructions and directions for use of CAO 20.91 navigation authorisations would benefit from clarification of the respective responsibilities of pilots in command and operators. In addition, it was determined that GNSS FPA issued under CAO 40.2.3 for Private I.F.R. ratings should be inserted under the deeming provisions of CAO 20.91. An Addendum to NPRM 1002AS addressing these issues was published on 23 April 2012 and the period for public consultation closed on 7 May 2012. As a result of an internal CASA review during the consultation stages, it is made clear in CAO 20.91 that it applies only to Australian aircraft. To conduct similar navigation procedures, in the first instance foreign aircraft require the approval of the State of the aircraft operator. In arriving at the final form of CAO 20.91, CASA considered all responses and comments arising from the overall consultation process. Regulation Impact Statement (RIS) The Office of Best Practice Regulation (OBPR) assessed the impact of CAO 20.91 on business and competition as minor and indicated that a RIS was not required (OBPR id: 10429). Statement of Compatibility with Human Rights The following Statement is prepared in accordance with Part 3 of the Human Rights (Parliamentary Scrutiny) Act 2011.

Explanatory Statement to F2012L01570

11 Civil Aviation Order 20.91 (Instructions and directions for performance-based navigation 2012) creates a new regulatory framework and authorisation process for RNAV and RNP navigation specifications for Australian aircraft. The Order also includes arrangements for a transition of existing navigation authorisations to the new regulatory framework. The Order is based on ICAOs Performance-Based Navigation Manual and is part of a world-wide harmonisation process for use of PBN. The Order is a safety measure designed as CASAs response to this ICAO harmonisation process for use of PBN and it will enable the rapid implementation of the ICAO PBN concept. The Order contains instructions to pilots in command of I.F.R. flights, specifying the method by which an aircraft engaged in PBN is to be navigated. The Order also contains directions to pilots in command and operators in relation to the conduct of I.F.R. flights using particular PBN navigation specifications. The Order is compatible with the human rights and freedoms recognised or declared in the international instruments listed in section 3 of the Human Rights (Parliamentary Scrutiny) Act 2011. The instrument does not engage any of the applicable rights or freedoms, and is compatible with human rights, as it does not raise any human rights issues. Commencement and making CAO 20.19 commences on the day after registration. It was made by the Director of Aviation Safety, on behalf of CASA, in accordance with subsection 73 (2) of the Act.
[Civil Aviation Order 20.91 (Instructions and directions for performance-based navigation) 2012]

Explanatory Statement to F2012L01570