PWS 2.0_mm_NAVAIRINST 13034.1G.pdf

NAVAIRINST 13034.1G

1 Jun 2022

AIRWORTHINESS

POLICY

NAVAIR Public Release 2022-46. Distribution Statement A - "Approved for public release; distribution is unlimited"

DEPARTMENT OF THE NAVY

NAVAL AIR SYSTEMS COMMAND

RADM WILLIAM A. MOFFETT BUILDING

47123 BUSE ROAD, BLDG 2272

PATUXENT RIVER, MARYLAND, 20670-1547

NAVAIRINST 13034.1G

V5 1 Jun 2022

NAVAIR INSTRUCTION 13034.1G

From: Commander, Naval Air Systems Command

Subj: AIRWORTHINESS POLICY

Ref: See Appendix A

1. Purpose

a. To implement airworthiness policy for all Department of the Navy (DON) public air systems consistent with Title 10 United States Code, § 8013 and references (a) through (d).

b. To define airworthiness roles and responsibilities across the Naval Air Systems Command (NAVAIR) Organization and Naval Aviation Enterprise (NAE) consistent with reference (e).

2. Cancellation. This instruction cancels NAVAIRINST 13034.1F and NAVAIR M-13034.1.

This is a major revision and should be reviewed in its entirety.

3. Applicability. This instruction applies to all air systems that are owned, leased, operated, used, designed, or modified by or on behalf of the DON. DON air systems include, but are not limited to, air systems accepted into the DON Aircraft Inventory and Readiness Reporting System, Federal Acquisition Regulation Part 15 pre-accepted air systems, and Contracted Air Services (CAS) air systems performing DON Public Aircraft Operations (PAO).

4. Records Management

a. Records created as a result of this directive, regardless of format or media, must be maintained and dispositioned per the records disposition schedules located on the Department of the Navy Directorate for Administration, Logistics, and Operations, Directive and Records Management Division portal page at https://portal.secnav.navy.mil/orgs/DUSNM/DONAA/DRM/Records-and-Information- Management/Approved%20Record%20Schedules/Forms/AllItems.aspx.

b. For questions concerning the management of records related to this directive or the records disposition schedules, please contact the local records manager or the Department of the

NAVAIR Public Release 2022-46. Distribution Statement A - "Approved for public release; distribution is unlimited" https://portal.secnav.navy.mil/orgs/DUSNM/DONAA/DRM/Records-and-Information-Management/Approved%20Record%20Schedules/Forms/AllItems.aspx https://portal.secnav.navy.mil/orgs/DUSNM/DONAA/DRM/Records-and-Information-Management/Approved%20Record%20Schedules/Forms/AllItems.aspx

NA V AIRINST 13034.1 G

Navy Directorate for Administration, Logistics, and Operations, Directives and Records Management Division program office.

5. Review and Effective Date. Per OPNAVINST 5215.17 A, Director, Engineering and Cyber Warfare Group will review this instruction annually on the anniversary of its effective date to ensure applicability, currency, and consistency with Federal, DoD, SECNAV, and Navy policy and statutory authority using OPNA V 5215/40 Review of Instruction. This instruction will expire 5 years after effective date unless it has been reissued, certified current, or canceled prior to the 5-year anniversary date.

Releasability and distribution:

This instruction is available electronically via the NA VAIR Directives Website at:

https://directives.navair.navy.mil

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TABLE OF CONTENTS

CHAPTER 1 - INTRODUCTION TO AIRWORTHINESS

1. Overview 1-1

2. Objective 1-2

3. Definitions 1-2

CHAPTER 2 - AIRWORTHINESS ASSESSMENT PROCESS AND PRODUCTS

1. Introduction 2-1

2. Airworthiness Assessment Process 2-3

3. Airworthiness Products 2-8

CHAPTER 3 - SPECIFIC AIRWORTHINESS PROCESS AND PRODUCT APPLICATIONS

1. Security Cooperation Programs 3-1

2. Flight in Foreign-Owned Military Aircraft 3-1

3. Unmanned Aircraft Systems (UAS) 3-1

4. Contracted Air Services (CAS) 3-3

CHAPTER 4 - ROLES AND RESPONSIBILITIES

1. Airworthiness Authority 4-1

2. NAVAIR Airworthiness and CYBERSAFE Office (ACO) 4-1

3. Technical Authorities 4-2

4. Programmatic Authorities 4-4

5. NAVAIR Sustainment Group 4-5

6. NAVAIR Procurement Group 4-5

7. Test Wings 4-5

8. TYCOM, ACCs, and TCC 4-6

APPENDIX A - REFERENCES A-1

APPENDIX B - DEFINITIONS B-1

APPENDIX C - CHANGES THAT MAY AFFECT AIRWORTHINESS OR SAFETY

OF FLIGHT C-1

APPENDIX D - ACRONYMS D-1

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FOREWORD

NAE stakeholders should use this document to better understand NAVAIR airworthiness policies, processes, roles and responsibilities, organizational relationships, and products.

Airworthiness is a multi-discipline concept that requires enterprise-level collaboration and teamwork. Key to its success is the partnership between certification authorities, technical authorities, and programmatic authorities to ensure DON air systems are airworthy and safe for flight throughout their life cycle. This partnership extends not just within NAVAIR but across the NAE, Department of Defense (DoD), industry, and internationally. Airworthiness encompasses life cycle engineering and sustainment policies and processes to design, build, and maintain air systems. The engagement of appropriately qualified personnel, the execution of documented processes, and the availability of effective tools are all critical to successful execution of the airworthiness processes contained in this instruction.

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CHAPTER 1

INTRODUCTION TO AIRWORTHINESS

1. Overview

a. The DON Airworthiness framework encompasses all of the policies, processes, procedures, and products necessary to establish and sustain the airworthiness of an air system throughout its life cycle. An overview of life cycle airworthiness is provided in figure 1-1. The DON airworthiness framework encompasses two primary elements: Design Airworthiness and Continuing Airworthiness. Design Airworthiness is the focus of this instruction; however, Design Airworthiness must be evaluated in view of Continuing Airworthiness.

Figure 1-1 – Airworthiness Life Cycle

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c. Continuing Airworthiness encompasses the life cycle sustainment processes necessary to ensure that individual air systems remain in a condition for safe operation and that each air system (i.e., each “tail”) conforms to the approved Design Airworthiness configuration.

Continuing Airworthiness processes governed by other NAVAIR and NAE policies include, but are not limited to: the Naval Aviation Maintenance Program (NAMP) (organization, quality assurance, technical manuals, supplies, spares, records, configuration management and auditting, etc.), Naval Aviation Safety Management System, Training Curriculum and Training Systems, Grounding Bulletins, Deficiency Reporting, and Contractor Flight and Ground Operations.

2. Objective. This instruction describes the airworthiness roles, responsibilities, processes, and products under the cognizance of Commander, NAVAIR (COMNAVAIR).

3. Definitions. The definitions in paragraph 3a-i are broadly used throughout this instruction.

Additional applicable definitions are provided in appendix B.

a. Airworthiness. The property of an air system configuration to safely attain, sustain, and terminate (“complete” in case of Unmanned Aircraft Systems (UAS)) flight in accordance with approved normal and emergency procedures and operating limitations.

b. Safety of Flight. The property of an air system configuration to safely attain, sustain, and terminate (“complete” in case of UAS) flight in accordance with approved normal and emergency procedures, operating limitations, and accepted risks for injury or death to personnel, loss of aircraft, damage to equipment, property, or the environment.

c. Air System. Includes manned aircraft, UAS, and aerial targets. Aviation Life Support Systems (ALSS) are considered to be part of the air system. Weapons and unmanned tethered aerostats or free balloons are not considered air systems.

d. Aircraft. A manned or unmanned fixed wing, rotary wing, tilt rotor, vertical and/or short take-off and landing (V/STOL) aircraft, airship, manned balloon, or aerial target. Stores and store suspension equipment, when installed or loaded, are considered to be part of the aircraft.

e. Airworthiness Assessment. An independent technical evaluation of an air system for its intended mission against applicable airworthiness criteria and standards.

f. Airworthiness Approval. A result of an airworthiness assessment that affirms the appropriate tenets of the airworthiness process are met and residual safety risks are accepted by the appropriate authority. Residual safety risks are the risks remaining after mitigations have been applied.

g. Airworthiness Authority. An individual who has the authority to issue airworthiness products and to develop and enforce pertinent rules, regulations, and policies governing airworthiness. COMNAVAIR is the DON Airworthiness Authority.

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h. Unmanned Aircraft (UA). A rotary wing, fixed wing, or lighter than air aircraft which is capable of flight without an on-board crew. UA can be operated autonomously or remotely, can be expendable or recoverable, and can carry a lethal or nonlethal payload. Ballistic or semi-ballistic vehicles, cruise missiles, artillery projectiles, torpedoes, mines, satellites, and unattended sensors (with no form of propulsion) are not considered unmanned vehicles.

i. UAS. Includes the UA, remote control station, data link systems, communications systems, and UA-unique launch and recovery equipment. Components of the UAS may be airborne, surface, or sub-surface based (e.g., located on the ground (stationary or mobile), ship, submarine, or aircraft).

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CHAPTER 2

AIRWORTHINESS ASSESSMENT PROCESS AND PRODUCTS

1. Introduction

a. Per reference (c), all DON air systems must have a DON airworthiness approval prior to flight. Airworthiness approvals affirm that the appropriate tenets of the airworthiness process have been met and that an air system is airworthy or safe for flight. Airworthiness approvals typically provide normal and emergency procedures, operating limitations and other information necessary to safely operate an air system configuration, and are issued after applicable residual safety risks have been accepted (or communicated to the contractor in the case of CAS PAO) by the appropriate authority. Figure 2-1 depicts the Acquisition Life Cycle and the Airworthiness Products that are typically associated with each acquisition phase.

Figure 2-1 – Airworthiness Products throughout the Acquisition Life Cycle

b. Airworthiness assessments are conducted throughout an air system’s life cycle to establish and sustain an air system’s Design Airworthiness. Airworthiness assessments require multi-disciplinary technical reviews by empowered Subject Matter Experts (SME), using proven and documented processes, standards, and tools. The results of these assessments are typically documented in the form of airworthiness approvals, issued by the Airworthiness and CYBERSAFE Office (ACO).

c. During EMD, an air system design matures and a series of technical reviews are conducted to assess the design. NAVAIR Technical Domain SMEs, working with their government and contractor design and test engineering counterparts, establish tailored

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2-2 airworthiness criteria, standards or requirements, methods of compliance, and data artifacts needed to enable independent airworthiness assessments.

d. Prior to first flight, airworthiness assessments are often based on analysis, modeling, simulation, and ground tests. Early collaboration between the Research, Development, Test and Evaluation (RDT&E) stakeholders is mandatory for successful planning and execution of developmental flight test to balance data requirements, timing, and risk as additional data is obtained.

e. Airworthiness products (typically in the form of Interim Flight Clearances (IFC)) are issued to support developmental flight testing to: refine the air system design; characterize the functional, performance, and safety characteristics; establish normal and emergency procedures;

and establish operating limitations. This process supports maturation of the configuration, and development of Permanent Flight Clearances (typically in the form of Naval Air Training and Operating Procedures Standardization (NATOPS) manuals and Naval Aviation Technical Information Product (NATIP)), and other technical publications required to support and sustain fleet operational capability.

f. After an air system’s initial airworthiness has been established, airworthiness assessments are conducted for temporary or permanent changes to the air system configuration, mission (usage), and operating environment based on tailored criteria and standards applicable to the change. The results of these continued airworthiness assessments are documented in the form of approved engineering changes per reference (f) and, when necessary, as new or revised airworthiness products (typically in the form of updates or revisions to Permanent Flight Clearances). During airworthiness assessments, new, changed or special maintenance procedures, inspections, or training requirements for personnel other than aircrew, may be established and implemented as part of an air system’s continuing airworthiness program through coordination with the Product Support Manager (PSM) or Assistant Program Manager for Logistics (APML).

(1) Conditions Requiring an Airworthiness Assessment. Airworthiness assessments are conducted for defined air system configuration(s), mission(s), and operating environment(s). All DON air systems require an initial airworthiness assessment. Subsequent changes to the air system configuration, mission, operating environment, envelope, service life, etc., must be evaluated to determine whether the proposed change could reasonably have an appreciable effect on airworthiness or safety of flight, meaning that the proposed change could reasonably lead to injury or death to personnel, loss of aircraft, or damage to equipment or property. The Assistant Program Manager for Engineering (APME1), with concurrence from SMEs representing affected technical domains, are responsible for determining and documenting whether a change has an

1 For the purposes of this Instruction “APME” generically refers to the assigned lead systems engineer for a given air system. In practice, the APME, Military Class Desk, or Assistant Program Manager(s) for Systems Engineering (APMSE) that are empowered for a specific air system may fulfil the airworthiness assessment process responsibilities ascribed to the “APME” by this Instruction . See Chapter 4 – Roles and Responsibilities for specific details.

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2-3 appreciable effect on airworthiness or safety of flight. This evaluation often requires consultation with the ACO to determine which technical domains are affected. For changes determined to affect airworthiness or safety of flight, an airworthiness assessment is required.

Changes determined to have no appreciable effect, are authorized by means other than issuing an airworthiness approval. Appendix C provides a list of criteria that should be used to evaluate whether a change has an appreciable effect on airworthiness or safety of flight.

(2) Conditions Requiring an Airworthiness Approval. Airworthiness approval is required for fixed wing aircraft when there is intent or potential for flight (e.g., high-speed taxi). Intent or potential for flight will vary for UAS based on launch method and system design. Airworthiness approval is required for rotary wing or tilt-rotor aircraft when there is engagement or turning of the rotors. An airworthiness approval is not required for UA flight operations inside an unoccupied enclosed structure where there is no potential for open-air flight.

g. Airworthiness Assessments for non-DON Air Systems

(1) If it is determined that NAVAIR is not the airworthiness authority for a non-DON air system under consideration , then a NAVAIR airworthiness assessment is not required.

However, by exception, NAVAIR may conduct airworthiness assessments for non-DON air systems. Exceptions include, but are not limited to:

(a) COMNAVAIR has entered into a formal agreement that establishes NAVAIR as the airworthiness authority for the non-DON air system,

(b) A DON ship or facility (e.g., test range) requests a NAVAIR airworthiness assessment to support the operation of a non-DON air system to, from, at, or near a DON ship or facility,

(c) A formal written agreement that establishes the extent of a requested assessment (e.g., Airworthiness Qualification Plan (AQP)) has been reached between the customer, ACO, the Program Executive Officer (PEO) or Program Manager AIR (PMA), or other applicable stakeholder.

(2) The airworthiness assessment process is the same whether conducted for a DON air system or a non-DON air system; however, when NAVAIR is not the airworthiness authority for the non-DON air system being assessed, then the outcome will be documented as a Flight Clearance Recommendation (FCR) or other product as agreed upon with the customer.

2. Airworthiness Assessment Process. The airworthiness assessment process, leading to the issuance of airworthiness approvals or other airworthiness products follow the steps summarized in figure 2-2. The six basic process steps are: planning, request, technical domain assessment (chop sheet), airworthiness product development, airworthiness authority review and approval, and airworthiness product release (typically IFC, NATOPS, and NATIP). Detailed, specific process descriptions are provided in ACO Airworthiness Bulletins (AWB), task-specific Standard Work Packages (SWP), and reference (g).

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Figure 2-2 – Airworthiness Assessment Process Steps

a. Step 1 – Planning

(1) Objective: Define and document the Airworthiness strategy and required stakeholders via an AQP, Engineering Data Requirements Agreement Plan (EDRAP), Data Element List (DEL), and Planning Chop Sheet.

(2) Both strategic (life cycle) and tactical (project) planning is essential during the Design Airworthiness stage to establish and sustain the airworthiness of an air system throughout the product life cycle. An AQP documents the overall strategy for establishing and sustaining the airworthiness of an air system. EDRAPs and DELs document specific data needs for a project within the overall strategy.

(3) Airworthiness assessment planning should be initiated by the APME in coordination with the ACO as soon as possible after a requirement to conduct an airworthiness assessment or issue a new or revised airworthiness product (e.g., flight clearance) is identified. A primary goal of planning, after establishing the strategy to achieve airworthiness approval, is to identify the subset of technical domains required to conduct the airworthiness assessment, determine the technical data necessary for the assessment, and establish a plan to obtain the data and conduct the review within the required timeline. ACO SWPs and reference (g) provide detailed descriptions of the planning process and procedures including Planning Meeting Management, Airworthiness Review Assignment (Chop Sheets), and development of EDRAPs and DELs.

(a) Airworthiness Qualification Plans. The APME, working with the ACO, is responsible for developing a strategy for establishing and sustaining the airworthiness of assigned air systems and documenting the strategy in an AQP. An AQP delineates the roles, responsibilities, processes, and airworthiness products (e.g., interim and permanent flight clearances or military type certificates) expected for the air system throughout the product life cycle. An AQP is required for new development air system programs (e.g., new Type/Model/Series (T/M/S)), major upgrade programs, Security Cooperation Programs (SCP) (e.g., foreign military sales (FMS)), CAS air systems performing DON PAO, Joint Programs, or when a program intends to utilize non-DON airworthiness certifications or approvals, data, or airworthiness support from sources outside of NAVAIR (e.g., Federal Aviation Administration

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(FAA) or other DoD Service). In cases where multiple airworthiness authorities are involved, the AQP must delineate the roles and responsibilities of each organization.

(b) Airworthiness Basis Development. Airworthiness assessments are predicated on having basic knowledge of an air system’s pedigree and Design Airworthiness basis. An airworthiness basis includes technical data that documents the Design Airworthiness of an air system. The airworthiness basis establishes and documents the set of tailored airworthiness criteria, standards, methods of compliance, data artifacts (i.e., means of evidence), and ultimately, the results of SME independent technical evaluations (assessments) of a defined air system configuration for a specified mission and operating environment. Processes and procedures to develop and sustain an air system’s airworthiness basis are provided in reference (h). Figure 2-3 is a graphical representation of the elements that comprise an airworthiness basis.

(c) Other Airworthiness Authorities

1. Airworthiness certifications, approvals, and data from other U.S. and foreign government airworthiness authorities may be used to the maximum extent possible to establish the airworthiness basis for a DON air system when configuration, mission (usage) and operating environment commonalities support doing so. In coordination with the National Airworthiness Council (NAC) (reference (i)), NAVAIR maintains an agreement with the U.S. Air Force and U.S. Army that outlines the mutual acceptance of airworthiness approvals, assessments, and data as the basis for issuance of Service-specific airworthiness approvals, see reference (j). DON airworthiness approvals may also be based on a FAA-issued Type Certificate (TC), Supplemental TC (STC), Type Inspection Authorization, or other FAA airworthiness certificates.

Per reference (k), the Armed Services maintain a Federal Reimbursable Agreement with the FAA for airworthiness support of CDA.

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2. In cases where the DON intends to leverage another airworthiness authority’s certification or data, it is essential that an AQP document the role of the other authority, the airworthiness standards to which the system was previously certified (or approved), the specific configuration, and the approved mission (usage) and operating environment, as compared to the planned Naval operations, in order to identify the appropriate and applicable portions of the original certification or data to be used in support of the DON airworthiness assessments and any gaps or differences that need to be addressed. The APME, in consultation with the ACO and appropriate technical domain SMEs, must assess whether the intended DON configuration, operating environment, limitations, usage spectrum, flight profiles, flight manuals, and continuing airworthiness processes such as training and maintenance, are consistent with the certification or data issued by the other airworthiness authority, and ensure applicable safety risks accepted by the other authority are evaluated for DON acceptance. If there are no DON-unique requirements, the AQP should reflect that the applicable technical domain SMEs will be informed of the plan, but are not required to conduct a technical evaluation of the air system. If there are DON-unique requirements, then the AQP must reflect that an airworthiness assessment will be conducted by appropriate technical domain SMEs to evaluate the DON-unique aspects.

b. Step 2 – Request

(1) Objective: Officially initiate airworthiness product development and identify a product need date.

(2) Requests for new or revised airworthiness products must be submitted to the ACO.

Requests are generally submitted via an electronic tool (e.g., Airworthiness website) with controlled user-permissions. Before submission, requests should have concurrence from the Type Commander (TYCOM), applicable Aircraft Controlling Custodian (ACC) (e.g., Commander, Naval Reserve Forces (COMNAVRESFOR), COMNAVAIR, Commander, Naval Air Forces (COMNAVAIRFOR), and Commander Naval Air Training Command (CNATRA)), Target Controlling Custodian (TCC), Commander, U.S. Marine Air Forces Command (COMMARFOR), Designated Approval Authority, or the contracting entity for a CAS air system, to ensure that the requested assessment corresponds with the planned operation. For NATOPS change requests, concurrence is satisfied by the NATOPS advisory group review process executed per reference (c). Requests must be complete and actionable, and specify the desired air system configuration, operating limitations, normal or emergency procedures, and other changes to existing airworthiness products. The request must include a draft airworthiness product and a proposed list of technical domains required to perform an airworthiness assessment based on the scope of the effort and knowledge of the action being requested.

Requests should specify a need date that permits sufficient time for the requested airworthiness assessment to be performed. Requests should be tailored to the requirements of the specific airworthiness product desired. For timely release of airworthiness products, requests should be submitted after all or most of the technical data identified during the Planning step is available for review.

c. Step 3 – Scope Review (chop sheet)

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(1) Objective: Identify required technical domain stakeholders via an approved chop sheet.

(2) Upon receipt of a request, the ACO will review it for completeness and generate the technical domain review assignment list known as a “chop sheet”. The chop sheet documents the scope of the airworthiness assessment and reflects the required technical domains, APME(s), and fleet representatives identified in the Planning and Request steps. If there are unresolved differences regarding the determination of required technical domains, or if the scope of the requested assessment changed subsequent to the Planning step, the ACO and the empowered Technical Decision Authority (TDA) (see reference (e)) will adjudicate the issue (e.g., revise the chop sheet), with leadership involvement if needed. The ACO assigns the request to a Product Developer (PD) for action per reference (g). The chop sheet and database of empowered Technical Warrant Holders (TWH), Deputy Technical Warrant Holders (DTWH), and SMEs are used to make the routing assignments for the requested airworthiness product.

d. Step 4 – Airworthiness Product Development

(1) Objective: Develop a final draft airworthiness product that has been reviewed by required stakeholders, hazards identified and mitigated, residual risks documented and accepted, as required, and that the product is operationally (test or fleet use) relevant and executable.

(2) Independent Evaluation. Assigned personnel (e.g., TWHs, DTWHs, SMEs, fleet representatives, APMEs, APMSEs, etc.) execute a thorough and independent review of the requested airworthiness product. The assessment is independent from the PEO and PMA who are responsible for the cost, schedule, and performance of assigned air systems, in order to ensure unbiased focus on airworthiness and safety of flight. SMEs evaluate the air system design against applicable airworthiness criteria and standards, and work to mitigate safety risks when standards are not met. Reviewers may amend the draft airworthiness product to account for airworthiness and safety of flight concerns. APMEs and fleet or test team representatives evaluate the appropriateness of the draft product for the intended mission.

(3) Safety Risks. As part of the airworthiness assessment process, SMEs may identify technical issues or safety hazards that could result in injury or death to aircrew, passengers, third parties on the ground or damage to or loss of equipment or property. SMEs collaborate across the stakeholders (including the APME, Military Class Desk, APMSE, test team, TWHs, and other technical domain SMEs, etc.) to develop recommendations for risk mitigations and assist with defining the severity and frequency of residual safety risks for the planned operation. Risk mitigation measures may include configuration changes, operating limitations, normal or emergency procedures, warnings, cautions, and notes, training, maintenance, inspections, flight test planning and practices (e.g., Test Hazard Analysis, instrumentation, test point build-up procedures), or other unique solutions. The TDA is responsible for selecting and assuring the mitigation that best meets the requirement is implemented and for coordinating acceptance (or communication to the contractor in the case of CAS PAO) of residual risks by the appropriate authorities prior to issuance of an airworthiness product.

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e. Step 5 – Airworthiness Authority Review and Approval. Objective: Conduct final airworthiness authority review and execute airworthiness product release. After the independent technical evaluation and risk acceptance (if required) is complete, the final airworthiness product is formatted for release. An ACO-empowered releaser then verifies that the airworthiness assessment process was properly executed prior to releasing (see Step 6; also known as ‘issuing’) the airworthiness product. This verification includes ensuring that the required technical domains reviewed the product and that proposed changes were incorporated or adjudicated, that any cross-technical domain issues were resolved, and that the final product is correct and executable. If the airworthiness product is technically correct and all independent evaluation responses have been documented, the product is released. If the releaser determines that additional reviews or actions are required, the airworthiness product will be revised and re-reviewed as necessary.

f. Step 6 – Airworthiness Product Release

(1) Objective: Release of accurate and timely airworthiness products to the customer.

(2) The final airworthiness product is released to the recipients (customer) specified in the request. Airworthiness products are generally issued to the TYCOM, ACC, Aircraft Reporting Custodians (ARC), Test Squadrons, and PMAs. Airworthiness products are often posted to a permission-based website (e.g., Airworthiness website) for distribution and archival purposes. If required, airworthiness products may be readdressed by the recipient to subordinate commands.

3. Airworthiness Products. ACO airworthiness products primarily include IFCs, Permanent Flight Clearances (PFC), and DON Military Type Certificates (MTC). PFCs include NATOPS and NATIP manuals per references (c) and (d) respectively. A flight clearance is an airworthiness approval that affirms the appropriate tenets of Design Airworthiness for the mission are met and residual safety risks have been accepted by the appropriate authority. Flight clearances typically include normal and emergency procedures, approved configurations and loadings, and operating limitations necessary for safe operation of an air system. Tenets of Continuing Airworthiness, such as maintenance and training, are executed via other NAVAIR and NAE processes. Flight clearances are generally issued for a given T/M/S air system and the audience for a flight clearance is the aircrew or operator of that system. Care must be taken to ensure that the appropriate limits are applied when multiple airworthiness products are applicable.

a. IFC. IFCs are primarily issued for new air systems, or air systems with non-standard configurations, operating limitations, or procedures. IFCs are frequently utilized to support Developmental Testing (DT) and Operational Testing (OT) but may also be used to support fleet forces for limited operations or while PFCs are under development. IFCs for air systems operated under a flight test plan (per reference (l)) are often approved based on limited technical data to permit the collection of additional flight-test data in support of further system development or verification. In these cases, SMEs and test teams collaborate to identify hazards and mitigate risks through test planning and test execution methodologies including envelope

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2-9 expansion, continuation criteria, instrumentation, and other incremental or build-up approaches (e.g., Operating Limitations Database or Green Box IFC). An IFC is required when an air system will:

(1) Commence its first test flight and subsequent developmental test flights in a non-standard configuration or operating envelope;

(2) Commence its first flight as a DON air system;

(3) Operate with a Draft or Preliminary NATOPS, NATIP, or equivalent NAVAIR-approved flight manual product such as an original equipment manufacturer (OEM), contractor, or system operating manual;

(4) Operate outside of PFC operating envelopes, limitations, or authorized missions (usage) or operating environment. Flight Envelope Restriction IFCs issued by the ACO may restrict operations due to safety issues. Flight Envelope Restriction IFCs are not used to ground aircraft, but may complement a grounding action per reference (m), especially when no prescribed maintenance remedy has been developed and a temporary restriction in flight envelope or other limitations is appropriate while long-term resolutions are developed. Flight Envelope Restriction IFCs provide an explanation of the restriction, as well as the conditions that must be met to allow the restriction to be lifted; and,

(5) Operate in a configuration or loading not approved via NAVAIR Technical Publications, Technical Directives (TD) (including interim TDs), or specified in a PFC. If operating limitations, normal or emergency procedures, or warnings, cautions, and notes are affected, an IFC is required, despite a configuration becoming standard (e.g., production-line Engineering Change Proposals (ECP), TDs, etc.), until an applicable PFC update is released.

One time flight (OTF) IFCs are issued to enable specific air systems (“tails”) in a non-standard configuration to be ferried from its current location to a repair facility (possibly including several takeoffs and landings). OTF IFCs generally provide flight envelope restrictions for damaged air systems with non-standard field repairs.

b. PFC. PFCs are primarily issued for Fleet air systems with standard configurations operated using standardized operating limitations and procedures.

(1) NATOPS Products. NATOPS, or NATOPS-equivalent products, are published for all DON T/M/S to provide general flight and operating procedures, technical data, and limitations (reference (c) defines the NATOPS Program roles and responsibilities). Depending on maturity, NATOPS products may be categorized as Draft, Preliminary, or Promulgated. The technical content, style, and format for paper and electronic NATOPS products must follow ACO guidelines for standardization. Updates to NATOPS products are described in references (c), (g), and applicable ACO SWPs.

(a) Draft NATOPS. Draft NATOPS are used to support DT of new acquisitions and system upgrades. Draft NATOPS use is limited to the RDT&E community and are authorized

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2-10 for use via a reference in a flight test IFC. Updates to Draft NATOPS are generally managed by the APMSE, with airworthiness assessments by SMEs as required.

(b) Preliminary NATOPS. Draft NATOPS are matured during DT and expanded or updated to become a Preliminary NATOPS. New acquisitions and system upgrades must have a Preliminary NATOPS prior to the Operational Test Readiness Review to facilitate evaluation of the NATOPS during OT. Preliminary NATOPS must be technically correct but may be incomplete. Preliminary NATOPS must contain accurate technical data, configurations, limits, interfaces, and procedures which have been approved via the airworthiness assessment process.

Updates to Preliminary NATOPS are managed by the ACO. Preliminary NATOPS are approved for OT community use and for limited fleet operations until they are complete and ready to be issued as a Promulgated NATOPS. The use of Preliminary NATOPS is authorized via a reference in an IFC.

(c) Promulgated NATOPS. Preliminary NATOPS are evaluated during OT and initial fleet operations, then updated to become a Promulgated NATOPS that is authorized for fleet use. Promulgated NATOPS are approved via an ACO-issued release message, and accessed via a Naval Air Technical Data and Engineering Service Command (NATEC) website, and an ACO-approved electronic library (e.g., Airworthiness website). Updates to Promulgated NATOPS are managed by the ACO and follow the airworthiness assessment process.

(2) NATIP Products. The NATIP is the primary technical reference upon which an air system’s tactics are developed (see reference (d)). NATIP provides technical information about air system weapons and mission systems. Depending on maturity, NATIP products may be categorized as Draft, Preliminary, or Approved. NATIP are released in an electronic format, and the technical content, style, and format must follow ACO standardization guidelines. Updates to NATIP products are described in reference (g) and applicable ACO SWPs.

(a) Draft NATIP. Draft NATIP are used to support DT of new acquisitions or system upgrades. Draft NATIP use is limited to the RDT&E community and are authorized for use via a reference in a flight test IFC. Updates to Draft NATIP are generally managed by the APMSE, with airworthiness assessments by SMEs as required to approve changes to technical data.

(b) Preliminary NATIP. Draft NATIP are matured during DT and expanded or updated to become a Preliminary NATIP. New acquisitions and system upgrades must have a Preliminary NATIP at or prior to the Operational Test Readiness Review to facilitate evaluation of the NATIP during OT. Preliminary NATIP must be technically correct but may be incomplete. Preliminary NATIP must contain accurate technical data, configurations, limits, interfaces, and procedures that have been approved via the airworthiness assessment process.

Updates to Preliminary NATIP are managed by the ACO. Preliminary NATIP are approved for OT community use and for limited fleet operations until the manual is complete and ready for fleet use as Approved. The use of Preliminary NATIP is authorized via a reference in an IFC.

(c) Approved NATIP. Preliminary NATIP are evaluated during OT and initial fleet operations, then updated to become an Approved NATIP that is authorized for fleet use.

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Approved NATIP are authorized via an ACO-issued release message, and accessed via an ACO-approved electronic library (e.g., Airworthiness website). Updates to Approved NATIP are managed by the ACO and follow the airworthiness assessment process.

c. DON MTC. A DON MTC is an overarching airworthiness approval that encompasses Design and Continuing Airworthiness for an air system. An MTC documents that an air system type design configuration has been evaluated against defined and tailored airworthiness requirements (criteria and standards); safety hazards have been identified and adjudicated or mitigated; residual safety risks have been accepted by the appropriate authority; mission usage has been defined; Flight Manuals accurately document normal and emergency procedures, the permissible flight envelope, and operating limitations. An MTC also documents that Instructions for Continuing Airworthiness including Maintenance Manuals and Life Cycle Support Plans have been established and approved for the type design. An MTC applies to all conforming air systems (i.e., those air systems conforming to the Design and Continuing Airworthiness documents and processes for which the MTC is issued). Processes and procedures for issuance and sustainment of DON MTCs are provided in reference (n).

d. Other Airworthiness Products. The ACO may issue tailored airworthiness products that document the results of airworthiness assessments. These tailored products include but are not limited to Military Airworthiness Authority Recognition Assessment Reports and Certificates (per reference (o)), PAO Determinations, FCRs, and other airworthiness assessment reports.

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CHAPTER 3

SPECIFIC AIRWORTHINESS PROCESS AND PRODUCT APPLICATIONS

1. SCP. SCPs include FMS, International Armament Cooperation, Direct Commercial Sales, and Building Partner Capacity programs. The extent of NAVAIR airworthiness policy and process application to the different types of SCPs may vary significantly depending upon the type of program, airworthiness requirements articulated by the foreign partner or customer country, and any applicable international agreements. Each SCP must develop an AQP to establish the agreed-to strategy to achieve the airworthiness requirements specified for a given SCP. In the absence of SCP-specific airworthiness requirements the DON airworthiness assessment process must be followed subject to Letter of Offer and Acceptance terms and conditions or other program agreements. Reference (p) provides guidance on airworthiness requirements for SCPs.

2. Flight in Foreign-Owned Military Aircraft. Per reference (a), when DoD personnel (includes Service members, DoD civilians, and DoD contractors) are designated to fly aboard foreign-owned military air systems as passengers or aircrew, an airworthiness assessment must be made per Military Department policy. Depending on the circumstance, the assessment may result in the release of an airworthiness product such as an airworthiness assessment report, IFC, or FCR per this instruction. Alternatively, a NAC Recognition of the foreign Military Airworthiness Authority responsible for the airworthiness of the foreign-owned air systems (see reference (o)), or operational commander’s risk acceptance is required per Office of the Undersecretary of Defense for Acquisition and Sustainment (OUSD(A&S)) guidance (reference (q)).

3. UAS

a. UAS vary widely in UA size, weight, total energy, complexity, mission, autonomy, and cost; and given that the UA carries no people onboard, a lower level of airworthiness than for a manned aircraft may be acceptable. Airworthiness assessments for UAS must consider the airspace and area of operation of the UA in addition to Design Airworthiness. Safety of flight considerations that must be considered include: safety of personnel during launch and recovery, safety of personnel on the ground during flight, airspace and operating area containment, and midair collision avoidance. In order to mitigate risk of midair collision, hazards to people and property on the ground, and uncontrolled flight outside of planned or contingency flight profiles, the airworthiness approval may place limitations on UAS operations. For the purposes of this instruction, UAS airworthiness processes apply to aerial targets (see reference (r) for policy regarding target operations).

b. In collaboration with the other U.S. DoD Service airworthiness authorities, three UAS categories (defined in paragraph 3b(1)-(3)) have been established to accommodate the wide-spectrum of Design Airworthiness and potential for operational limitations. The configuration, mission (usage), operating environment, and airworthiness basis determines which of the three UAS categories is appropriate. Two quantitative safety objectives have been established to assist

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3-2 in determining the appropriate UAS category: Design Controllable Probability of Loss of Aircraft (PLOAdc) and Cumulative Probability of Catastrophic Failure (PCumCat). Details on PCumCat methodologies are found in references (s), (t), and (u). Either PLOAdc or PCumCat may be used as suitable metrics for assessing safety of flight and hazards to personnel on the ground. The APME, in view of recommendations from SMEs and with concurrence from the ACO, determines the appropriate UAS category.

(1) Category 1 UAS have a level of airworthiness and safety of flight quantitatively equivalent to manned aircraft, and are generally permitted to operate over all population densities. The airworthiness basis for Category 1 UAS is derived from manned aircraft airworthiness criteria, standards, methods of compliance, and data requirements, while taking into account UAS-unique design considerations. Quantitatively, Category 1 UAS have:

(a) A PLOAdc rate of no more than 1 loss of UA per 100,000 flight hours (1E-05 per flight hour); or,

(b) A PCumCat rate of no more than 1 loss of UA per 100,000 flight hours (1E-05 per flight hour) for UA with a design gross takeoff weight less than or equal to 12,500 pounds, and a PCumCat rate of no more than 1 loss of UA per 1,000,000 flight hours (1E-06 per flight hour) for UA with a design gross takeoff weight greater than 12,500 pounds.

(2) Category 2 UAS have a level of airworthiness and safety of flight quantitatively less than manned aircraft, and may have restrictions on the overflight of densely populated and congested areas. Quantitatively, Category 2 UAS have:

(a) A PLOAdc rate of no more than 1 loss of UA per 10,000 flight hours (1E-04 per flight hour); or,

(b) A PCumCat rate of no more than 1 loss of UA per 10,000 flight hours (1E-04 per flight hour) for UA with a design gross takeoff weight less than or equal to 12,500 pounds, and PCumCat rate of no more than 1 loss of UA per 100,000 flight hours (1E-05 per flight hour) for UA with a design gross takeoff weight greater than 12,500 pounds.

(3) Category 3 UAS do not meet the Category 1 or 2 quantitative safety objectives or were not designed to accepted airworthiness standards, and may have stringent operating restrictions and procedures to ensure safety to people and property in the air and on the ground.

Airworthiness assessments for Category 3 UAS focus on the safety of flight of a defined UAS configuration, mission (usage), operating environment, and functionality. Data and procedures in operating manuals or other applicable documents are typically not independently verified by the SMEs. Category 3 UAS may have insufficient data to evaluate to airworthiness standards.

Category 3 UAS must have owner or sponsor acknowledgment of the high probability of material loss of the UA.

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c. UAS Airworthiness Assessment Data Requirements. Airworthiness assessment data requirements directly correlate to the UAS category, configuration, mission (usage) and area of operation, and operating environment. Area of operation include consideration of airspace (e.g., Restricted Areas, Warning Areas, combat zones, U.S. National Airspace (NAS), international or foreign airspace), congested areas vice sparsely populated or unpopulated areas, controlled test ranges vice civil airspace or combat zones, and shipboard launch and recovery.

d. FAA Certificate of Waiver and Authorization (COA). In view of reference (c), in order to operate UAS in the U.S. NAS outside of Restricted or Warning Areas, DON UAS operators are required to obtain an FAA COA. The FAA requires a statement of airworthiness (i.e., airworthiness approval) from the sponsoring Military Department in support of the COA application. The operational or airspace restrictions provided in the airworthiness approval must be appropriate for the operations proposed in the COA application.

4. CAS. The DoD routinely contracts for services that utilize air systems that are owned by civilian entities. While the FAA is the airworthiness authority for US civil aircraft operations (CAO), airworthiness authority transfers to the DON per reference (v) for operations determined to be DON PAO. PAO performed by civil operators causes a significant transfer of responsibility to the government contracting entity since most FAA oversight is not applicable to PAO. For DON PAO of CAS air systems (including operations conducted outside of the U.S.

NAS), NAVAIR is the airworthiness authority and is responsible for conducting airworthiness assessments and issuing airworthiness approvals for the operation. NAVAIR may serve as the airworthiness authority for non-DON air systems (e.g., Combatant Command sponsored CAS activities) as agreed-to on a case-by-case basis (see chapter 2, paragraph 1g of this instruction).

The contractor typically holds primary responsibility for the safety of the CAS air system and aircrew under contract, and is responsible for damage…