Booz & Company
Beijing, 25 September 2009
General Aviation
Implementation Support (GAIS)
Safety Module (Revised)
1st Revision: October, 2010
Final Revision: October, 2011
This document is confidential and is intended solely for
the use and information of the client to whom it is addressed.
Purpose of Document
 The intent of this document is to provide a detailed handover of all analysis and materials relating to regulatory gap
studies on Safety Module as part of deliverables for General Aviation Implementation Support (GAIS) project funded by
the US Trade Development Administration (USTDA)
 The study focuses on drawing general aviation (GA) regulatory experience and insights from the U.S. because:
– The U.S. has the most established and successful GA industry with a mature regulatory system that increases GA
capacity and efficiency while maintaining safety
– ACP is an U.S. organization with its members consisting of FAA and key GA aircraft and equipment manufacturers
with global presence. ACP member firms are best able to share GA regulatory, management, technological and
operational experiences from the U.S.
 Analysis has been conducted and completed by Booz & Company with active contribution from Civil Aviation
Administration of China (CAAC), Development Research Center of the State Council (DRC), Aviation Industry
Corporation of China (AVIC), ACP members and other key stakeholders
 For further information please contact:
– Mr. Paul Fiduccia (PFiduccia@aol.com)
– Mr. Frank Yu (Dongfang.yu@ge.com)
– Mr. Kevin Wu (kevinwu@textron.com)
– Dr. Edward Tse (edward.tse@booz.com)
– Mr. Yang Guang (yang.guang@booz.com)
– Mr. Timothy Wong (timothy.wong@booz.com)
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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1
This is one of the seven sets of deliverables developed for ACP
GAIS project
ACP General Aviation Implementation Support (GAIS)
List of Deliverables
Executive Summary
1
2
4
5
6
Safety
Module
General
Aviation Airport
Module
Airworthiness
Module
Flight
Standards
Module
Operators
Module
GA
Associations
Module
GA Safety
Regulation
GA Airport
Regulations
Airworthiness
Regulations
Flight Standards
Regulations
Regulatory
Constraints for
Operators
Roles of GA
Associations
Safety Oversight
Organizational
Structure
GA Airport
Planning & Design
Type and
Production
Certifications
Mechanics
GA Aircraft
Ownership
Case Studies
Safety
Performance
Measurement
GA Airport
Funding
Aircraft
Registration and
Certification
Pilots
GA Operating
Cost
Main
Module
Sub - Module
3
Safety culture and
promotion
Booz & Company
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2
In China, GA refers to all civil aircrafts activities other than public
aircraft transportation activities
NON EXHAUSTIVE
Definition of General Aviation
China:
General Aviation refers to all civil aircrafts activities other
than public aircraft transportation activities. Including
flight operations associated with industrial, agricultural,
forestry, fishery and construction, and other purpose
operations such as medical and sanitation, emergency
rescue, Meteorological sounding, ocean monitoring,
scientific experiments, education and training, culture
and sports etc.
FAA:
General aviation (GA) refers to all flights other than military
and scheduled airline flights, both private and
commercial.
ICAO:
General aviation comprises all aircraft that are not operated
by commercial aviation or by the military.
(*)
(1)
(2)
(3)
Source:
Three Main Categories of General Aviation Flight Activities*
General Aviation
Public Service
Economic
Construction
Consumer
Aviation
Agriculture
Aerial
Photography
Training and
Sports
Forestry
Mine
Exploration
Tourism
Meteorology
Petroleum
Services
Business Travel
Disaster Relief
Others2
Private Use
Others1
CAAC categorization
Others include aircraft seeding, pest control, farming and emergency rescue
Others include remote sensing, power line services and industrial associated applications
Non scheduled commercial operations include air taxi and air charter operations
Committee of General Aviation Specialist of China Aviation Industrial Base (CAIB), CAAC and Booz Allen analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Non scheduled
commercial
operations3
3
Safety Module aims to identify regulatory improvement
opportunities to increase GA efficiency and capacity while
maintaining safety in China
 The main objective of the Safety Module is to conduct analysis on differences of overall general aviation
regulatory system in the U.S. and China to identify opportunities to increase efficiency and capacity while
maintaining GA safety
 The scope of the policy and regulatory difference analysis between the U.S. and China includes
the following:
– GA safety regulation
– Safety oversight organizational structure
– Safety performance measurement
– Safety culture and promotion
Booz & Company
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4
U.S. GA policy and regulatory system finds a balance between risk
and regulatory resources while enabling GA development
Overall GA Policy and Regulatory System Difference
(Summary)
Main GA categories
General Aviation
Non-scheduled Part
135
Aerial Works
Air taxi
Instructional
Appropriate level
of policy and
regulations for
different GA
segments
General Aviation
Non-scheduled Part
135
Commercial
Non commercial
Corporate
Business
Private and
business GA
segments
Personal
 China has no separation of different GA
segments as in the case of U.S.
 As compared to the U.S. China lacks
appropriate regulations for private and
recreational GA segments
Recreational
Note:
Business GA - Business purpose (non salaried pilot. Pilot is the manager)
Corporate GA: Business purpose (professional, salaried pilots)
Source: Booz & Company analysis
Booz & Company
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Underdeveloped Private,
Business and Transportation GA
Segments
5
Overall observations for policy and regulatory differences
between U.S. and China for Module 1: Safety (1/2)
Module 1: Safety
Key Areas
U.S. (FAA) Observations
China (CAAC) Observations
Recommendations
 GA Safety
Regulations
 FAA establishes appropriate level
of GA safety regulations based on
risk level and cost for different GA
segments (e.g. private, small
commercial), at lower levels than
large commercial airlines
 FAA formulates regulations that
enable the growth (high capacity
and efficiency) of general aviation
while maintaining adequate safety
 Safety
Oversight
Organizational
Structure
 FAA’s General Aviation and
 Different divisions are responsible  Consolidate the efforts for all GA
Commercial Division is the key
for specific parts of GA matters
policy and regulation related
department responsible for GA
(e.g. registration submission,
activities within CAAC
regulation and policy related works
airworthiness approval and
 Setup a “one-stop” GA customer
within FAA and coordinates GA
operational standards)
service interface and initiative at
related regulatory development with  GA users have to liaise with
headquarter and regional offices
other departments
multiple divisions which is resource
including website guidance
consuming
Booz & Company
 China lacks appropriate level of
 Revise policy and regulations
regulatory requirements for general
(CCAR Part 21, 61, 65 and 91) to
aviation segments to enable and
match risk level and regulatory cost
encourage their growth
for different segments of GA
 China does not segment general
 Define clearly regulatory
aviation appropriately
requirements for non-scheduled
– No separation of recreational/
commercial GA operation
personal/ business/ instructional/
corporate/ aerial work segments
of GA, and same as airlines
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6
Overall observations for policy and regulatory differences
between U.S. and China for Module 1: Safety (2/2)
Module 1: Safety
Key Areas
 Safety
performance
measurement
Booz & Company
U.S. (FAA) Observations
China (CAAC) Observations
 FAA has established quantitative
 The current CAAC GA safety goal
GA safety performance targets
is to avoid serious (fatal) accident
based on historical data
which is not attainable; need to
 To enable this FAA has an annual
reform the performance targets for
general aviation activity survey of
GA
all GA aircraft owners to determine  There is also lack of voluntary
aircraft usage levels and patterns
incident reporting (those not
 To continually improve safety, GA
required under regulations) such as
accident/incident data is
Aviation Safety Reporting System
supplemented by a voluntary
in the U.S.
incident reporting system and other  CAAC publishes annual GA
safety information sharing
accident/incident statistics but
platforms
there is a lack of system approach
for the design and conduct of GA
flight activity survey
 More detailed GA flight activity
related data not available in the
public domain
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Recommendations
 Review GA accident statistical data
and set GA safety performance
targets
 Enhance current accident/
reporting system to have sufficient
data for cause analysis
 Establish a voluntary incident
reporting system
 Design and formalize CAAC annual
GA flight activity survey system
7
Executive summary
GA Safety Regulation
Safety oversight organizational structure
Safety performance measurement
Safety culture and promotion
Appendix
Booz & Company
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We have identified differences in three areas which have impacted
the effectiveness of current CAAC’s GA Safety Regulation
Key Areas
Key Differences
1
 China does not have regulatory system governing general
aviation and private airport development and operation
GA Safety
Regulations
 China does not segment general aviation appropriately
 China lacks of appropriate level of regulatory requirements
for general aviation segment
 Different divisions are responsible for specific parts of GA
matters (e.g. registration submission, airworthiness approval
and operational standards)
2
Safety Oversight
Organizational
Structure
 GA users have to liaise with multiple divisions which is
resource consuming
3
 There is a lack of system approach for the design and
conduct of GA flight activity survey
Safety Performance
Measurement
 GA safety performance metrics and targets not established
 More detailed GA flight activity related data not available in
the public domain
Source: Booz & Company analysis
Booz & Company
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Impact
 Onerous approval process for
private GA airports (almost
impossible)
 Over stringent requirements
restrict recreational GA growth
 Lack of efficiency and
effectiveness
 GA users have to liaise with
multiple divisions
 Without reliable field data, it is
difficult to:
– Establish performance metrics
and targets
– Design and implement
effective safety improvement
program
9
1
GA Safety Regulation
FAA general aviation safety regulatory system aims to increase
capacity and efficiency while maintaining safety
Principles
Key Considerations
Take into
consideration risk
tolerability of
stakeholders
 Public’s Risk Tolerance
 Regulators’ Risk Tolerance
Establish
appropriate level of
GA safety
regulations
 Appropriate level of safety regulations
– Regulating to suit operational privileges
– Regulating to suit oversight
capabilities/needs
Develop GA safety
measurement
system to continual
improve safety
 Safety must be quantified
– Risk measured in terms of likelihood and
severity
– Requires the right data for validation
General Aviation (GA)
Regulatory Objectives
 Develop a regulatory system
taking into consideration
acceptable risk tolerability
levels of stakeholders
 Increase GA capacity and
efficiency
 Enable growth of all GA
segments
 Continual improvement of
GA safety
Source: FAA, Booz & Company analysis
Booz & Company
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1
GA Safety Regulation
FAA defines GA as all flights other than military and scheduled
commercial but includes on demand commercial operations
FAA’s Definitions and Scope of General Aviation
“General Aviation”
FAA
General Aviation
Aerial Work
 “Flights conducted by operators
other than Title 14 of the Code of
Federal Regulations (14 CFR) part
121 or part 135 certificate holders”
 “Aerial Work including Crop dusting,
seeding, spraying, and bird chasing;
Banner towing; Aerial photography
or survey; Fire fighting; Helicopter
operations in construction or repair
work; and power line or pipeline
patrol” (1)
 On demand/Non-scheduled
commercial operation as defined in
part 135 and 119
FAA treats aerial work as part of general
aviation though defines it separately
On demand /
Nonscheduled(3)
1)
2)
3)
Source:
Commercial Aviation
 “Commercial purposes means the
transportation of persons or property
for compensation or hire, but does
not include the operation of an
aircraft by the armed forces for
reimbursement when that
reimbursement is required by any
Federal statute, regulation, or
directive” (2)
 On-demand operation means any operation for compensation or hire that is one of the following:
– (1) Passenger-carrying operations conducted as a public charter under part 380 of this title or any operations in which the
departure time, departure location, and arrival location are specifically negotiated with the customer
– (2) Scheduled passenger-carrying operations conducted with one of the following types of aircraft with a frequency of
operations of less than five round trips per week on at least one route between two or more points
– (3) All-cargo operations conducted with airplanes having a payload capacity of 7,500 pounds or less, or with rotorcraft
14 CFR Part 119
14 CFR Part 1
14 CFR Part 119
ICAO, FAA, Booz & Company analysis
Booz & Company
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1
GA Safety Regulation
FAA groups together GA applications with similar operational
characteristics and develops appropriate levels of regulations
FAA groups
“like things”
together
FAA General Aviation Regulatory Mapping
General Aviation
Recreational
Personal
Business
Non-scheduled Part 135
Corporate
Instructional
Regulations





 Airport
 Part 153 Airport Operation
 Airmen





Part 60 Flight simulation training device initial and continuing qualification and use
Part 61 Certification: pilots, flight instructors, and ground instructors
Part 63 Certification: flight crewmembers other than pilots
Part 65 Certification: airmen other than flight crewmembers
Part 67 Medical standards and certification
 Operator






Part 119 Certification: air carriers and commercial operators
Part 129 Operations: foreign air carriers and foreign operators of U.S.-Registered aircraft engaged in common carriage
Part 141 Pilot schools
Part 142 Training centers
Part 145 Repair stations
Part 147 Aviation maintenance technician schools
 Operations
 Part 91 General operating and flight rules
Sports
Balloons, kites
Ultralight
Parachute
LSA
 Flying for
 Business
 Business
 Flight
personal
purpose (non
purpose
training
reasons (e.g.
salaried pilot.
(professional,
visiting)
Pilot is the
salaried
manager)
pilots)
Aerial Work
 Part 101 Moored balloons,
 Part 125 Airplanes having a seating capacity of 20 or more
kites, unmanned rockets and
passengers or maximum payload capacity of 6000 pounds or
unmanned free balloons
more
 Part 103 Ultralight vehicles
 Part 105 Parachute operations
 Rotorcraft
external-load
 Agricultural
Air-taxi
 On-demand/nonscheduled
 Part 133
 Part 135 Operating
Rotorcraft
requirements:
external-load
commuter and on
operation
demand operations and
 Part 137
rules governing persons
Agricultural
on board such aircraft
aircraft operation
Source: GAO, FAA, Booz & Company analysis
Booz & Company
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1
GA Safety Regulation
CAAC has similar structure and scope of GA Safety Regulation as
compared with FAA but several differences are observed
General Aviation
Non-commercial

Regulation
Airport
Airmen
Non-public transport
– Aerial work in the fields of industry, agriculture, forestry, fishery and building
industry
– Flight operations in the fields of medical and health work, emergency and
disaster relief, meteorological service, ocean monitoring, scientific research
and experiment, educational training and cultural and sports purposes
 Civil Airport Construction Regulation（CCAR-158）
 Civil Airport Special Facility Usage Regulation（CCAR-137 CA-R2）
 Civil Airport Usage Regulation（CCAR-139 CA-R1）
Commercial Operation under Part 135
 Scheduled, non-scheduled and all-cargo flight with
– Single engine or rotorcraft
 Specifically
– Multi-engine non-scheduled flight with maximum weight load capacity less than 5700 kg
– Multi-engine scheduled flight with a seating capacity less than 30 and maximum weight
load capacity less than 3400kg
– Multi-engine cargo flight with maximum weight load capacity less than 3400kg
No separation of
recreational/personal/business
/instructional/corporate/aerial
 Certification: Civil Aircraft pilot, flight instructor, ground instructor regulation（CCAR-61-R1）
work segments of GA
 《民用航空器领航员、飞行机械员、飞行通信员合格审定规则》（CCAR-63FS）




Operator
Commercial
《民用航空器维修人员执照管理规则》（CCAR－66-R1）
《民用航空飞行签派员执照管理规则》（CCAR-65FS-R1）
《民用航空航行情报人员岗位培训管理规定》（CCAR-65TM-TV）
《民用航空航行情报员执照管理规则》(CCAR-65TM-III-R2)。
 CCAR 285 Non-commercial general
 CCAR-135TR-R3 General aviation
operation permit administrative rules (
aviation registration rules (非经营性通用
航空登记管理规定)
通用航空经营许可管理规定)
Non-scheduled commercial
operation under Part 135 is
defined as general aviation by
CAAC
 CCAR-135TR-R3 General aviation operation permit administrative rules (通用航空经营许可管
理规定)
 《民用航空器驾驶员学校合格审定规则》(CCAR-141)
 《飞行训练中心合格审定规则》(CCAR-142)
 《民用航空器维修单位合格审定规定》(CCAR－145)
Operation
Booz & Company
 CCAR 91 General operation and flight rules(一般运营和飞行规则) and specifically
– Section M: Agriculture and forestry operation (农林喷洒作业飞行)
– Section N: Rotorcraft external-load operation (旋翼机机外载荷作业飞行)
– Section O: Ultralight vehicle (超轻型飞行器)
– Section P: Parachute operation (跳伞)
 飞机播种造林技术规程GB/T（15162-1994）、1:5000 1:10000 1:25000 1:50000
1:100000比例尺地形图航空摄影规范GB/T （15661-1995）、民用航空器飞行事故等
级 GB（14648-1993）、航空摄影产品注记、包装规范GB/T （16176－1996）、通
用航空机场设备设施GB/T （17836-1999）、航空摄影技术设计规范MH/T （10092000）、1:500 1:1000 1:2000比例尺地形图航空摄影规范GB （6962-1986）等
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 CCAR 91 General operation and flight rules(一般运营和飞行规则)
 CCAR 135 Commercial transportation operator certification and operating rules for small
aircrafts (小型航空器商业运输运营人运行合格审定规章)
13
1
GA Safety Regulation
As compared to the U.S. China lacks appropriate regulations for
Airspace is not
airport, private and recreational GA segments
part of the scope
of this review
Differences of FAA and CAAC Regulatory System for General Aviation (High Level)
Key Areas
Observations
Key Differences
 Airport
 CCAR 139 and 158 focus more on airports used for commercial airline operation
 There is a lack of appropriate level of regulations for general aviation airports (including
temporary landing strips) to ensure safety while enabling its development
 No appropriate level of
regulations for GA airports
 Airmen
 FAA set the certification requirements for airmen in Part 60, 61, 63, 65 and 67
 CAAC has similar regulatory structure for airmen, also in CCAR-60, 61, 65, 67 and even
more detailed for different types of airmen
 Very similar except that FAA
has less stringent requirements
for recreational GA
 Operator
 Depending on the purpose of GA (commercial or non-commercial), China sets different
 China has more administrative
registration and administrative rules for commercial (CCAR-135TR-R3) and nonrules in addition to operator
commercial (CCAR-285) GA operators
related regulations
 CAAC and FAA has similar regulatory structure for domestic and foreign operator as well
as other organization such as pilot school, training center, repair station and aviation
maintenance technician schools
 Operation  FAA applies different regulations to different types of GA operation e.g. part 91, part 101,  Moored/ unmanned free
part 103, part 105, Part 125, Part 133, Part 135 and Part 137
balloons and kites not regulated
 Regulation for moored balloons, kites, unmanned rockets and unmanned free balloons is
by CAAC
under meteorological department and lack of regulations for light-sports aircrafts
 No regulations specific to
operation
operation of recreational
 China does not have regulations specific to recreational GA operation
aviation (LSC)
Source: Booz & Company analysis
Booz & Company
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Less differences
More differences
14
2
Safety Oversight Organizational Structure
Several AFS divisions and branches are responsible for general
aviation regulations, policies and operational matters
FAA
Roles and Responsibilities of GA Related Divisions and Branches
General Aviation & Commercial
Division
Aircraft Maintenance Division
Regional Flight Standards Divisions
 Responsible for regulations and policy
recommendations governing the
certification, inspection, and
surveillance of:
– GA airmen training and testing
– DPEs
– GA air agencies (pilot schools)
– commercial operations (rotorcraft
external load, agricultural, part 125
operators, part 91, corporate,
business, personal and recreational,
subpart K fractional ownership) and
– public aircraft operations
 Responsible for regulations and national
 Responsible for Flight Standards matters,
policy governing the certification, inspection,
airmen, operators, and airworthiness
and surveillance of the maintenance aspects matters. The division is under the executive
of:
direction of the Director, Flight Standards
– GA air carrier and commercial operators
Service
– airmen (mechanics, repairmen, designees,  The Flight Standards District Offices (FSDO)
parachute riggers)
are field elements of the Flight Standards
– Avionics
Service with the following responsibilities:
– air agencies (Aviation Maintenance
– Certification and surveillance of: air
Technician Schools (AMTS), and repair
operators, air agencies, and airmen
stations) and
– Conduct or assist in conducting accident
– maintenance requirements, performance
and incident investigations and investigate
standards, and practices applied to ensure
possible violations of regulations
the airworthiness of civil aircraft
– Ensure the adequacy of flight procedures,
 This department is Principal for general  General Aviation Branch is the principal
operating methods, airmen qualifications
aviation regulation and policy
element in the division for all general aviation
and proficiency, and aircraft maintenance
maintenance as related to technical training,
regulations, policies, and procedures
Focus on regulations and policies
development and recommendations
Note:
GA type and production approval matters are handled by Aircraft Certification Services (AIR), separate from Aviation Safety (AFS)
Please refer to the appendix for more details of the roles and responsibilities of selected AFS divisions and branches
Source: FAA, Booz & Company analysis
Booz & Company
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Focus on certification
and surveillance
(operational level)
15
2
Safety Oversight Organizational Structure
General Aviation and Commercial Division is the key department
for regulation and policy recommendation within GA
FAA
Responsibility of General Aviation and Commercial Division
 Responsible for regulations and policy recommendations governing the certification, inspection, and surveillance of general aviation airmen,
DPEs, general aviation air agencies (pilot schools), commercial operations (rotorcraft external load, agricultural, part 125 operators, part 91,
corporate, business, personal and recreational, subpart K fractional ownership) and public aircraft operations.
 With respect to the foregoing, the division:
– Develops and recommends national policies, standards, systems, procedures, and program plans to include international operation activities.
– Determines the need for, justifies, and formulates new or amended regulations and supplementary regulatory material; participates in regulatory review
programs; recommends grants or denials of exemptions; and develops Operation Specifications.
– Advises the Director, Associate Administrator, and other principal officials, and serves as a central point of contact for the public and the aviation
community on matters appropriate to the national level.
– Participates in the analysis and evaluation of field execution of programs.
– Determines the need for, and recommends research and development projects.
– Guides and assists the other divisions, the regions, and other elements of the agency in the implementation and conduct of related programs, and
provides guidance on applying agency policies, standards, and procedures pertaining to safety issues.
– Develops, coordinates, and issues national directives to provide technical guidance on policies and procedures.
– Recommends, initiates, and coordinates regulatory and policy actions to resolve safety problems resulting from accidents, incidents, or other sources.
 Provides liaison between FAA and other offices for general aviation issues regarding airspace rules, air carrier interface, pilot certification,
human factors, and other vital topics.
 Facilitates and coordinates concerns of the aviation community to assure general aviation views are considered in air traffic rules and aviation
safety regulatory actions.
 Develops, coordinates, and recommends career development programs to ensure organizational competence for employees of this division
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
Booz & Company
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16
2
Safety Oversight Organizational Structure
The diffusion of roles and responsibilities of CAAC divisions
reduces the effectiveness and efficiency of GA regulatory services
CAAC
CAAC Divisions
Planning and
Development
GA related responsibilities
 Final approvals of aircraft
certification and registration
Airworthiness
Certification
 Processing of aircraft
registration and airworthiness
certification (initial
airworthiness)
Flight Standards
 Parts and components
certification
 Operational regulations and
standards
Transportation
 The marketing department is
responsible for the registration
of commercial and noncommercial GA operator
Source: Expert Interviews, Booz & Company analysis
Booz & Company
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Issues
 Current CAAC organization structure and
governance does not support longer term
institutional capability and capacity building for GA
– No single division accountable and responsible
for GA regulations and development
– Lack of synergy in terms of leveraging expertise
and resources
 The diffusion of roles and responsibilities also
hinders provisions of effective and efficient
services to GA users:
– Currently only registration management is
delegated to CAAC regional offices, other
activities are still centralized at HQ
– Multi divisional involvement cause confusion
and inefficiency in the provision of services to
GA users
– Users have to liaise with different divisions on
different matters which is very resource
consuming and frustrating
– GA users may choose not to follow strict
regulatory compliance requirements to avoid the
onerous and resource consuming approval
process
17
2
Safety Oversight Organizational Structure
We recommend a staged approach to organizational improvement
to continually enhance the provisions of GA regulatory oversight
CONCEPTUAL
Proposed Staged Approach to CAAC Organizational Improvements that Enhance the
Effectiveness and Efficiency of GA Regulatory Oversight System
Consolidate policy and
regulation functions
Establish work and
coordination processes
Improve provisions of
Regulatory Services
Organizational setup that enables provision
of improved GA regulatory oversight
 Consolidate all policy
and regulation review
and development
functions within CAAC
 Set up a department to
spearhead, lead and
coordinate cross
divisional GA policy and
regulatory related
activities
 Appoint key contact
points within relevant
divisions (e.g. Policy &
Regulation, Air
Transportation and
Flight Standards)
 Establish processes to
clearly define roles
and responsibilities,
communication
mechanism (internal
and external) and
work flows for both
HQ and regional
offices
 Implement a “one-stop
service” or reduce the
amount of service
interfaces at both HQ
and regional levels
 Develop and publish
guidance materials to
clarify regulatory
requirements and
ensure consistency
 Institutionalize internal system and
processes to:
– Capture industry, stakeholders needs to
develop appropriate regulations of GA
– Ensure best utilization of resources and
expertise
– Ensure knowledge sharing across the
whole organization
 May consider setting up one single division
dealing with GA matters (similar to FAA)
when appropriate
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Ultimate Goal
18
3
Safety Performance Measurement
Current CAAC’s GA flight activity data collection and GA safety
performance measurement systems are not well established
CAAC
Observation
Observations
GA Activity
Survey
GA Safety
Targets
GA Accident/
incident
Statistics
 Flight hour statistics published in
Statistical Data on Civil Aviation of
China
 No structured survey mechanism in
place
 No definite target is set
 Only mention “prevent GA major
accident” in annual CAAC safety
work plan
 Established and data published in
Statistical Data on Civil Aviation of
China
 Data set not as comprehensive as
FAA, need prioritize “fatal accident”
 Lack of breakdown by segments
Less established
More established
GA
Accident/incide
nt Reporting
 Accident/ incident reporting system
established
 Appropriate regulations and orders
are in place
GA Accident/
incident
Investigation
 Accident/ incident investigation
system established
 Appropriate regulations and orders
are in place
Aviation Safety
Information
System
CAAC must prioritize
these improvement
needs
 Post accident/incident information
sharing system in place
 Lack of voluntary incident reporting
(those not required under
regulations) such as Aviation Safety
Reporting System in the U.S.
Source: Booz & Company analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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19
3
Safety Performance Measurement
FAA works with GA community to develop rate-based safety
performance metric derived from historical operational data
Key Principles to Develop GA Safety
Performance Metric
Work with GA
community to
ensure
reasonability and
practicality
Transit from
absolute to ratebased metric
Establish
baseline from
historical
operational and
safety statistics
 FAA worked with GA community (e.g. AOPA,
GAMA) to develop GA safety targets
 This ensures targets set are realistic
 Rate-based metric (e.g. number of fatal
accidents per 100,000 hour operation) are
used in favor of the total number of accidents
 The rate based performance measure reflect
fleet activity levels and its relationship to the
number of fatal accidents
 FAA set performance target baseline based on
safety data from May 2005 through April 2008
(3 years period)
 This includes on-demand (non-scheduled FAR
Part 135) and GA flights
FAA Safety Targets
FAA
FY 2009 Performance Target
 Limit the general aviation
fatal accident rate to no
more than 1.11 fatal
accidents per 100,000
flight hours
 Unit of measure:
Number of fatal accidents per 100,000 flight hours
 Formula:
Number of general aviation fatal accidents
Number of GA flight hours/ 100,000
 Scope of measure:
– GA flights
– On-demand (non-scheduled FAR Part 135)
Source: FAA, Booz & Company analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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20
3
Safety Performance Measurement
Accident data and statistics provide a reference baseline for FAA to
establish realistic safety performance targets for general aviation
FAA
Accidents
per 100,000
flight hours
Accident Trends of General Aviation and Non-Scheduled Part 135 Operation
(Number of accidents per 100,000 flight hours)
10
Historical
2008
Low
9
8
7
6
All accident (GA)
7.11
6.34
All accident (combined*)
6.31
5.67
All accident
(non scheduled Part 135)
1.52
1.39
1.16
1.08
0.27
5
4
3
Fatal accident (GA)
2
Fatal accident (combined*)
1.25
1.15
1
Fatal accident
(non scheduled Part 135)
0.52
0
1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008
(*)
Combined = General Aviation + non scheduled Part 135 operation
Note:
All accidents = fatal + non fatal accidents
NTSB accident rates includes both fixed wing and rotary wing aircraft
Source: NTSB, Booz & Company analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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21
3
Safety Performance Measurement
Robust flight activity and accident/incident data collection
systems are pre-requisites to build safety performance database
FAA
GA Flight Activity Data
GA Accident/ Incident Data
Accident Reporting and Investigation
General Aviation and Part 135
Activity Surveys
 The survey was first implemented in
1978
 It provides the (FAA) with information
on general aviation and on-demand
Part 135 aircraft activity
 The information obtained from the
survey enables FAA to monitor the
general aviation fleet so that it can:
– Anticipate and meet demand for
National Airspace System facilities
and services
– Evaluate the impact of safety
initiatives and regulatory changes
– Build more accurate measures of the
safety of the general aviation
community
NTSB Part 830
 NTSB Part 830 Notification and
reporting of aircraft accidents or
incidents and overdue aircraft,
and preservation of aircraft
wreckage, mail, cargo, and
records
 It provides guidance on the
notification and reporting of
aviation incidents and accidents
comes from the National
Transportation Safety Board
(NTSB) 49 CFR Part 830,
commonly known as "NTSB
830"
 It governs actions concerning
these events, as well as
overdue aircraft
Source: FAA, NTSB, Booz & Company analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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FAA 8020.11B
 FAA 8020.11B prescribes FAA
procedure and responsibilities for
aircraft accident and incident
notification, investigation and
reporting
 It provides direction and guidance
to aviation safety inspectors when
they are called upon to perform
accident investigations
 It also delineates the
responsibilities of the FAA and the
National Transportation Safety
Board when conducting
investigations
 The order is also used as a
training guide for teaching
accident investigation courses at
the Transportation Safety Institute
22
3
Safety Performance Measurement
FAA’s Annual general aviation activity survey helps establish fleet
size and the hours flown by the general aviation community
FAA
Frequency
 Conducted annually by the FAA Statistics and Forecast
Branch
 The FAA has contracted independent research firm, to
implement the survey
 Standard survey forms and on line surveys are
conducted
 Close collaboration with the FAA, other federal agencies
and aviation groups and associations
Survey
population
 Based on a statistically selected sample of aircraft,
covering approximately 83% of related aircraft in the
Civil Aviation Registry (2007)
 It includes aircraft registered with the FAA and operating
in the US or US territories under Part 91, Part 125, Part
133, Part 135 on demand air taxi and commuter
operations not covered by Part 121 and Part 137
agricultural aircraft operation
Survey
sample
 The survey sample is stratified by:
– aircraft type
– FAA region in which the aircraft is registered
– whether the aircraft operates under a Part 135
certificate
– and whether the aircraft was manufactured in the
past 5 years
Survey Contents
 Overall aircraft activity
– Under which FAR part (e.g. 121, 129 etc.)
– In which states the aircraft mainly flown
– Total flight hours (including how many hours in
Alaska)
 % of hours flown for the following purposes:
– General use (personal, instructional, business,
air medical, aerial sight seeing and etc.)
– FAR Part 135 (Air taxi, air tours, air medical
services, commuter)
 % hours flown under fractional ownership program
 % hours flown with the aircraft rented or leased to
others
 % hours flown with the aircraft hired by the
governments
 % hours flown under VFR, IFR and no flight plans
 Was the aircraft certified and maintained to
operate under IFR
 # of landings
 Fuel
– Type, grade and fuel burn rate (gallon per hours)
 List of installed avionics equipment installed
Source: FAA, Booz & Company analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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23
3
Safety Performance Measurement
US. federal regulations require operators to notify the NTSB
immediately of aviation accidents and certain incidents
FAA
NTSB Part 830 Requirements on Accident/ Incident Reporting
Initial Notification
Preservation of Aircraft
Wreckage, Mail, Cargo,
and Records
Reporting of Aircraft
Accidents, Incidents, and
Overdue Aircraft
 The operator of an aircraft shall provide  The operator of an aircraft shall be
 The operator of a civil public or foreign
immediate notification to the nearest
responsible for preserving to the extent
aircraft shall file a report on NTSB Form
NTSB’s field office for an aircraft
possible any aircraft wreckage, cargo,
6120.1.2 within 10 days after an
accident, and any of the following listed
and mail aboard the aircraft, and all
accident, or after 7 days if an overdue
incidents occur:
records, including all recording mediums
aircraft is still missing
– Flight control system malfunction or
of flight, maintenance, and voice
 Each crewmember, if physically able at
failure
recorders, pertaining to the operation
the time the report is submitted, shall
– Inability of any required flight
and maintenance of the aircraft and to
attach a statement setting forth the facts,
crewmember to perform normal flight
the airmen until the NTSB Board takes
conditions, and circumstances relating to
duties as a result of injury or illness;
custody thereof or a release is granted
the accident or incident as they appear
– Failure of structural components of a
to him. If the crewmember is
turbine engine excluding compressor
incapacitated, he shall submit the
and turbine blades and vanes;
statement as soon as he is physically
– In-flight fire; or
able
– Aircraft collide in flight
 The operator of an aircraft shall file any
– Damage to property, other than the
report with the field office of the NTSB
aircraft, estimated to exceed $25,000
nearest the accident or incident
for repair (including materials and
labor) or fair market value in the event
of total loss, whichever is less
Note:
The National Transportation Safety Board (NTSB) is an independent U.S. Federal agency that investigates every civil aviation accident in the United States
Source: NTSB Part 830, Booz & Company analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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24
3
Safety Performance Measurement
CAAC publishes annual GA accident/incident statistics but does
not establish performance targets for GA
CAAC
GA Safety Statistics Published in the Annual
Statistical Data on Civil Aviation of China
Category
Unit
2006
2007
Accident
Death Toll
Accident per 10K Hours
Accident per 10K times
Incident
Incident per 10K Hours
Incident per 10K times
# of Times
# of People
# of Times
# of Times
# of Times
# of Times
# of Times
1
0
0.042
0.025
8
0.34
0.20
1
0
NA
NA
5
0.18
0.11
Safety Target of 2009
CAAC www.caac.gov.cn (2009-01-07)
Prevent serious public transport accident; prevent
skyjacking, blowing-up, remove the causes for air force
accident; prevent serious GA accident; Prevent serious
ground accident and major aircraft maintenance
accident; the incident rate of public transport is less
than 0.6 per 10,000 hours
Source: CAAC, Annual Statistical Data on Civil Aviation of China, Booz & Company analysis
Booz & Company
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Discussion
 CAAC published GA safety performance
level at its annual Statistical Data on Civil
Aviation of China
 CAAC has set broad objectives for its
annual safety plan (those published in the
public domain)
– CAAC has set a rate of incident for
commercial aviation of not exceeding 0.6
per 10,000 flight hours
– CAAC does not publish an official safety
performance target for general aviation
sector
– CAAC only mentioned “prevent general
aviation major accident”
 CAAC needs to set quantitative GA safety
targets to guide identification and
implementation of strategic initiatives to
achieve set targets
25
3
Safety Performance Measurement
CAAC can further improve GA survey mechanism and data needs
to better establish operational detailed of different GA segment
CAAC
GA Activity Reporting Example
Eastern China Civil Aviation Administration
Regulation on Civil Aviation Statistics
 CCAR 241-R1 Management of Civil Aviation Statistics
– Section 10: Civil aviation statistical survey is divided
into General Statistical Survey, Organizational
Survey and Specialized Survey. General statistical
survey refers to the development status of China civil
aviation and to be conducted by CAAC and related
departments and reported to Statistical Bureau of
China
– Section 11: General Statistical Survey includes
aviation safety, output, service quality, fixed
investment, human resources, financial and other
information. The survey is to be developed by CAAC
in accordance with Appendix 1 Civil Aviation General
Statistical Survey Reporting Structure
 Civil Aviation General Statistical Survey Reporting
Structure includes statistic tables related to industrial,
agricultural and other GA related flight hours
Source: CCAR 241-R1, Interviews, Booz & Company analysis
Booz & Company
Basic
statistical data
needs
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CAAC
Regional Aviation Administration
Period: Monthly
Commercial GA
operators under
CCAR 135 TR-R3
Non-commercial GA
Operators under
CCAR 285
 Aerial Work Type
 Number of Flight
– Industrial
 Hours of Flight
– Agricultural
– Training
The survey mechanism and
– Others
more in depth granularity of
data requirements should be
developed
26
3
Safety Performance Measurement
CAAC has already established more stringent accident and
incident reporting requirement than FAA
Initial Notification of Aircraft Accidents and Incidents
Report to nearest NTSB office
Report CAAC or Regional Aviation Administration
Accident
 An aircraft accident - (including GA accident)
 All flight accident - immediate to CAAC and regional
aviation administration (including GA)
 All ground aviation accident - immediate to regional
aviation administration (including GA)
Incident
 Flight control system malfunction or failure;
 All incident - immediate to regional aviation
 Inability of any required flight crewmember to perform
administration (including GA)
normal flight duties as a result of injury or illness;
 Failure of structural components of a turbine engine
excluding compressor and turbine blades and vanes;
 In-flight fire; or
CAAC has more
 Aircraft collide in flight.
stringent incident
 Damage to property, other than the aircraft, estimated
reporting
to exceed $25,000 for repair (including materials and
requirements than
 labor) or fair market value in the event of total loss,
FAA
whichever is less.
 (including GA)
Regulations
 NTSB Part 830
 CCAR-395-R1
Source: Civil Aviation Safety Information Management Regulation, 14 CFR 830, Booz & Company analysis
Booz & Company
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3
Safety Performance Measurement
CAAC should further develop and enhance aviation safety
information management to disseminate lessons learned more
effectively
Regulation on
Aviation Safety Information Management System
 CCAR 396 Regulations on Civil Aviation Safety Information
Management (Effective from Apr.7th, 2005)
 Article 5 The Civil Aviation Safety Information System refers to the
computer network system that collect, report and manage civil aviation
information
 Article 8 CAAC is in charge of establishing civil aviation safety
information system to share civil aviation safety information
 Article 9 CAAC encourage and support the relevant technical research
on collection, report and analysis of civil aviation safety information,
and CAAC will praise and reward the individuals / organizations that
make significant contribution to civil aviation safety information
management
 Article 16 It should use the most appropriate and quick channel to
report civil aviation safety information; the initial and final report should
be reported via civil aviation safety information system, and other
channels are also applicable if the system is not available
Discussion
 China’s Aviation Safety Management Information
System (ASMIS) is intent on collecting, reporting and
managing aviation data, however, ASR helps more to
establish a sharing platform and focus on the missing
part of safety management and investigation
 China’s aviation safety information management
system is not open to the public but a selected
subscriber e.g. regional aviation administration, GA
operators
 China’s aviation safety information system is run by
CAAC, and ASRS is run by NASA - an independent
third-party which separate the authorization and
 ASR and aviation safety information system are
different and not at the same developing stage due to
its purpose and causes
Feedback from interviews:
ASMIS is not accessible and
operational yet
Source: CCAR-396, Booz & Company analysis
Booz & Company
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28
Safety Culture and Promotion
CAAC can leverage four main factors that can best influence safety
culture of GA industry to promote GA safety in China
Booz & Company Analysis
Main Influential Aspects of Organization Safety Culture
Voluntary and Collaborative Approach
Safety Management Tool Approach
 Institutionalize an effective
safety reporting system
– Encourages safety incident
reporting
– Defines clear accountability
and responsibilities
– Enables flexibility and
information sharing and
learning
 Voluntary industry
stakeholder participation
to improve safety
– Programs and initiatives to
help GA companies
develop A safety culture
that holds safety as a core
value
Safety Culture
 Cultivate safety
investigation culture to
improve system reliability
– Learn about system
vulnerability;
– Develop strategies for
change; and
– Prioritize investment of
safety resources
Booz & Company
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 Government and Industry
Partnership to improve
safety
– Develop joint workgroup to
spearhead safety
improvement initiatives
– Encourage information and
lessons learned sharing
29
Recommendations
We recommend seven initiatives that will improve the
effectiveness and efficiency of the current regulatory system while
maintaining GA safety
Key Areas
Key Recommendations
1
 Review regulations (CCAR Part 21, 61, 65 and 91)
1.1
to establish appropriate rules for LSA
 Review and define clearly regulatory requirements
1.2
for non-scheduled commercial GA operation
GA Safety
Regulation
2
2.1
 Streamline current GA roles and responsibilities across
Safety Oversight
Organizational
Structure
various CAAC divisions on regulation
 Setup a “one-stop” GA customer service interface and
2.2
initiative
3
3.1
 Design and formalize CAAC annual GA flight activity survey
system
3.2
 Review GA accident statistical data and set GA safety
performance targets
– Enhance current accident/ reporting system (data need);
– Establish safety targets
3.3
 Design and develop a robust accident/ incident reporting
and information sharing system
Safety Performance
Measurement
Expected Benefits
 Stimulate more recreational
GA and non scheduled GA
flight activities
 Facilitate CAAC internal GA
institutional capability and
capacity building
 Improve service efficiency
 Standardize definitions and
improve accuracy of data
collected
 Set objective safety targets to
enable formulation of
effective safety improvement
strategy
Source: Booz & Company analysis
Booz & Company
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30
Recommendations
Initiative (1.1) Review regulations to establish appropriate rules
for LSA
Initiative (1.1) Regulatory Review for LSA
Initiative
 Review regulations (CCAR Part 21,43, 61,
65 and 91) to establish appropriate rules
for recreational GA to make flying more
accessible
Task 1: Certification of LSA Aircraft
 Review current CAAC Special
Airworthiness category
 Compare with FAA’s practice
 Make provisions for LSA:
– Airworthiness certification and
classification
– Duration of validity of certification
– Eligibility for issue of LSA airworthiness
certification
– Certification requirements for kit built
aircraft
Stakeholders to be Consulted




FAA
LSA equipment suppliers
Flying clubs
ACP
Booz & Company
Key Objectives
 Identify regulatory changes required to make recreational GA more accessible and affordable
for public
 Achieve better regulation of recreational GA to ensure safety while not restricting their growth
Task 2: Certification of LSA pilots and flight
instructors
 Review CCAR Part 61 and 65
 Review requirement for certificates,
ratings, and authorizations
 Medical certificates: Requirement and
duration
 Type rating requirements, additional
training, and authorization requirement
 Examination and test requirements
 Logbook requirements
 Operation limitation
Expected Benefits
 More appropriate regulations for
recreational GA to ensure safety while not
restricting their growth
 Easier and cheaper to fly for public
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Task 3: Certification of Repairman
 Review CCAR Part 43
 Identify possible exemptions of LSC from
part 43 maintenance performance
standards and recording requirements
 Review how owners can be allowed to
maintain LSC aircraft
 The recording requirements
Next Steps/Follow-up
 Set up CAAC internal Rule Review
Workgroup
 Draft detailed scope and work plan
31
Recommendations
Initiative (1.2) Review regulations to establish appropriate rules
for non scheduled commercial GA
Initiative (1.2) Regulatory Review for Non Scheduled Commercial GA
Initiative
 Review and define clearly regulatory
requirements for non-scheduled
commercial GA operation
Task 1: Define non-scheduled operation
 Refer to FAA definition in Part 119 and 135
 Review current CCAR definitions and gaps
 Provide formal definition of non-scheduled
commercial operation (including air taxi
operation)
Stakeholders to be Consulted
 GA industry stakeholders
Booz & Company
Key Objectives
 To better define non-scheduled commercial GA so as to develop more appropriate level of
regulatory requirements to promote growth while safeguarding safety
Task 2: Conduct Regulatory Reviews
 Set up regulatory committee to review
necessary provisions in affected CCAR
regulations (e.g. CCAR 91, 135)
Expected Benefits
 Clear definition
 Appropriate level of regulatory
requirements to promote non-scheduled
commercial GA
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Task 3: Collect Industry Feedback
 Issue the proposed changes and seek
comments from stakeholders
Next Steps/Follow-up
 Set up steering committees/work groups
for each task
 Draft detailed scope and work plan
32
Recommendations
Initiative (2.1) Streamline current GA roles and responsibilities
across various CAAC divisions
Initiative (2.1) Streamline current GA roles and responsibilities across various CAAC divisions
Initiative
 Streamline current GA roles and
responsibilities across various CAAC
divisions
Task 1: Organizational Review
 Review current CAAC organizational set
up for providing GA oversight:
– Regulations and policies
– Operational issues
 Consolidate policy and regulation functions
in one department
 Identify any overlaps of roles and
responsibilities
Stakeholders to be Consulted
 CAAC internal divisions/ departments
Booz & Company
Key Objectives
 Identify organizational improvement opportunities to streamline roles and responsibilities of
various visions to enable longer term institutional capability and capacity building
Task 2: Identify Key Contacts
 Identify key contacts within different
divisions
 Define clearly roles and responsibilities
 Develop cross divisional communication,
coordination and liaison mechanism and
processes
Expected Benefits
 Streamlined organization structure that
enables the building of institutional
capability and capacities
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Nil
 Nil
Next Steps/Follow-up
 Setup up cross divisional work group to
streamline the GA roles and
responsibilities
33
Recommendations
Initiative (2.2) Setup a “one-stop” GA customer service interface
and initiative
Initiative (2.2) Setup a “one-stop” GA customer service interface and initiative
Initiative
 Setup a “one-stop” GA customer service
interface and initiative
Task 1: Customer Interface Setup
 Differentiate GA related matters that should
be handled at HQ and regional levels
 Work with Regional CAAC to set up
customer interface point to handle GA
related matters (approval, registration,
certification etc.) at various regions
Stakeholders to be Consulted
 CAAC internal divisions/ departments (HQ
and regional)
Booz & Company
Key Objectives
 improve the effectiveness and efficiency of services provided for GA users
 Provide clear and ambiguous guidance to ensure compliance of regulations
Task 2: Formulate SOP
 Formulate internal Standards Operating
Procedure (SOP) to guide internal and
external communications
Expected Benefits
 Improved service efficiency
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Task 3: Produce Guidance Materials
 Produce guidance materials (e.g. info
pack) for users with regard to submission
requirements, processes and approval
duration
Next Steps/Follow-up
 Setup up cross divisional work group to
streamline the GA roles and
responsibilities
34
Recommendations
Initiative (3.1) Design and formalize CAAC annual GA flight
activity survey system
Initiative (3.1) Design and formalize CAAC annual GA flight activity survey system
Initiative
 Design and formalize CAAC annual GA
flight activity survey system
Task 1: Survey Information and Data
 Standardize definitions
 Confirm survey purposes
 Work with the GA communities to identify
data and information required for the
survey
Stakeholders to be Consulted
 CAAC HQ and regional offices
 GA communities
Booz & Company
Key Objectives
 Implement a systematic and structured approach towards GA flight activity information
collection system to support formulation of effective strategies to improve GA safety while
encouraging growth
Task 2: Design Survey Form
 Design standard survey form
 Gather feedback from GA communities and
make appropriate changes
Expected Benefits
 More accurate data
 More extensive data and information
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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Task 3: Test Survey Implementation
 Conduct pilot test
 Identify gaps, if any
 Analyze survey data and prepare sample
reports and charts
Next Steps/Follow-up
 Set up a working group to spearhead this
initiative
35
Recommendations
Initiative (3.2) Review GA accident statistical data and set GA
safety performance targets
Initiative (3.2) Review GA accident statistical data and set GA safety performance targets
Initiative
 Review GA accident statistical data and set
GA safety performance targets
Task 1: GA Accident/ Incident Reporting
system
Key Objectives
 Enhance current accident/ reporting system (data need);
 Establish GA safety performance targets
Task 2: GA Safety Performance Targets
 Review current GA accident/ incident
reporting system to:
– Ensure adequate granularity of data and
breakdowns
– Ensure close match of information/ data
requested with GA Flight Activity Survey
(see Initiative 3.1)
 Review CAAC’s past statistical data
 Review accident/ incident data in other
countries (e.g. U.S, Canada and Australia)
to benchmark targets
 Set safety performance targets
Stakeholders to be Consulted
Expected Benefits
 GA communities
 CAAC
Booz & Company
 Standardize definitions and improve
accuracy of data collected
 Set safety targets to enable formulation of
effective safety improvement strategy
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Task 3: GA Safety Information Sharing
 Synthesize and publish more
comprehensive GA safety performance
statistics e.g.,:
– By aircraft type
– By applications (agriculture, private ,
etc.)
– By operating rules (Part 91 etc.)
– By flight phases
– Others
Next Steps/Follow-up
 Set up a working group to spearhead this
initiative
36
Recommendations
Initiative (3.3) Design and develop a robust voluntary accident/
incident reporting and information sharing system
Initiative (3.3) Design and develop a robust
accident/ incident reporting and information sharing system
Initiative
 Design and develop a robust accident/
incident reporting and information sharing
system
Task 1: Design Information System
 Refer to aviation information sharing
system of the U.S.
 Identify the key features of information
system
 Design the information sharing system
Stakeholders to be Consulted
 CAAC
 General aviation stakeholders
 Airmen including pilots
Booz & Company
Key Objectives
 Develop a robust accident/incident reporting and information sharing system
 Establish a database and library for historical accidents and incidents
Task 2: Promote this System
 Promote the information system to relative
organizations and individuals
 Provide guidance on how to use this
system to these organizations and
individuals
Expected Benefits
 Provide a database and library for aviation
accidents/incidents
 Provide the raw data for the analysis and
safety training
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Task 3: Establish Accident Library
 Refer to FAA accident library
 Analyze historical aviation accident and
incident
 Establish accident library
Next Steps/Follow-up
 Set up a working group to spearhead this
initiative
37
Executive summary
GA Safety Regulation
Safety oversight organizational structure
Safety performance measurement
Safety culture and promotion
Appendix
Booz & Company
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FAA general aviation safety regulatory system aims to increase
capacity and efficiency while maintaining safety
Principles
Key Considerations
Take into
consideration risk
tolerability of
stakeholders
Establish
appropriate level of
GA safety
regulations
Develop GA safety
measurement
system to continual
improve safety
 Public’s Risk Tolerance
 Regulators’ Risk Tolerance
 Appropriate level of safety regulations
– Regulating to suit operational privileges
– Regulating to suit oversight
capabilities/needs
 Safety must be quantified
– Risk measured in terms of likelihood
and severity
– Requires the right data for validation
General Aviation (GA)
Regulatory Objectives
 Develop a regulatory system
taking into consideration
acceptable risk tolerability
levels of stakeholders
 Increase GA capacity and
efficiency
 Enable growth of all GA
segments
 Continual improvement of
GA safety
Source: FAA, Booz & Company analysis
Booz & Company
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FAA defines GA as all flights other than military and scheduled
commercial but includes on demand commercial operations
FAA’s Definitions and Scope of General Aviation
“General Aviation”
FAA
General Aviation
Aerial Work
 “Flights conducted by operators
other than Title 14 of the Code of
Federal Regulations (14 CFR) part
121 or part 135 certificate holders”
 “Aerial Work including Crop dusting,
seeding, spraying, and bird chasing;
Banner towing; Aerial photography
or survey; Fire fighting; Helicopter
operations in construction or repair
work; and power line or pipeline
patrol” (1)
 On demand/Non-scheduled
commercial operation as defined in
part 135 and 119
FAA treats aerial work as part of general
aviation though defines it separately
On demand /
Nonscheduled(3)
1)
2)
3)
Source:
Commercial Aviation
 “Commercial purposes means the
transportation of persons or property
for compensation or hire, but does
not include the operation of an
aircraft by the armed forces for
reimbursement when that
reimbursement is required by any
Federal statute, regulation, or
directive” (2)
 On-demand operation means any operation for compensation or hire that is one of the following:
– (1) Passenger-carrying operations conducted as a public charter under part 380 of this title or any operations in which the
departure time, departure location, and arrival location are specifically negotiated with the customer
– (2) Scheduled passenger-carrying operations conducted with one of the following types of aircraft with a frequency of
operations of less than five round trips per week on at least one route between two or more points
– (3) All-cargo operations conducted with airplanes having a payload capacity of 7,500 pounds or less, or with rotorcraft
14 CFR Part 119
14 CFR Part 1
14 CFR Part 119
ICAO, FAA, Booz & Company analysis
Booz & Company
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FAA groups together GA applications with similar operational
characteristics and develops appropriate levels of regulations
FAA groups
“like things”
together
FAA General Aviation Regulatory Mapping
General Aviation
Recreational
Personal
Business
Non-scheduled Part 135
Corporate
Instructional
Regulations





 Airport
 Part 153 Airport Operation
 Airmen





Part 60 Flight simulation training device initial and continuing qualification and use
Part 61 Certification: pilots, flight instructors, and ground instructors
Part 63 Certification: flight crewmembers other than pilots
Part 65 Certification: airmen other than flight crewmembers
Part 67 Medical standards and certification
 Operator






Part 119 Certification: air carriers and commercial operators
Part 129 Operations: foreign air carriers and foreign operators of U.S.-Registered aircraft engaged in common carriage
Part 141 Pilot schools
Part 142 Training centers
Part 145 Repair stations
Part 147 Aviation maintenance technician schools
 Operations
 Part 91 General operating and flight rules
Sports
Balloons, kites
Ultralight
Parachute
LSA
 Flying for
 Business
 Business
 Flight
personal
purpose (non
purpose
training
reasons (e.g.
salaried pilot.
(professional,
visiting)
Pilot is the
salaried
manager)
pilots)
Aerial Work
 Part 101 Moored balloons,
 Part 125 Airplanes having a seating capacity of 20 or more
kites, unmanned rockets and
passengers or maximum payload capacity of 6000 pounds or
unmanned free balloons
more
 Part 103 Ultralight vehicles
 Part 105 Parachute operations
 Rotorcraft
external-load
 Agricultural
Air-taxi
 On-demand/nonscheduled
 Part 133
 Part 135 Operating
Rotorcraft
requirements:
external-load
commuter and on
operation
demand operations and
 Part 137
rules governing persons
Agricultural
on board such aircraft
aircraft operation
Source: GAO, FAA, Booz & Company analysis
Booz & Company
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Three case studies illustrate why and how FAA has developed
appropriate level of regulations for different GA segments
1
2
Private, Small Commercial
and Large Commercial
Operation
Booz & Company
3
Light Sport Aircraft
Operation
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Unmanned Aerial Vehicle
(UAV) Operation
42
1
Private, Small Commercial and Large Commercial Operation
As an example for general aviation operation FAA has three tiers
of aviation oversight conducted under three primary regulations
Three Tiers of Aviation Oversight Conducted
under Three Primary Regulations
Private
(General) Aviation
(Part 91)
Small Commercial
Aviation: on demand
(Part 119, 135)
Large Commercial
Aviation
(Part 121)
 This group comprises of individuals or private businesses that usually fly smaller
aircraft that are not for hire
 These operators have the least restrictive regulations and receive the least FAA
oversight
 This group operates smaller aircraft that are configured for 30 passengers or less or
under 7,500 pounds of payload or rotorcraft
 While operators in this group receive more oversight than those in the private aviation
group, they do not receive the level of oversight that FAA provides for large,
commercial air carriers
 These carriers operate larger aircraft with primarily scheduled flights.
 They have the most stringent regulations and receive the most FAA oversight.
Source: FAA Report AV-2009-066, Booz & Company analysis
Booz & Company
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1
Private, Small Commercial and Large Commercial Operation
Level of control and responsibility over airworthiness and
operation of the aircraft is the main factor driving regulatory
differences ...
FAA Objectives
Regulation Rationale for Commercial Operation
 Airline passengers exercise no control over and bear no responsibility for the
airworthiness or operation of the aircraft on which they are passengers
 The air carrier exercises control of the operation and bears responsibility for
compliance with the regulations
To establish
the
appropriate
level of
regulatory
oversight to
ensure safe
aircraft
operations
Booz & Company
 Because the air carrier is a commercial enterprise in the business of air transportation
for the public, the FAA imposes on the air carrier stringent regulations and oversight
under part 121 or part 135, as appropriate
Regulation Rationale for individual/Corporate Operation
 Aircraft owners flying aboard aircraft they own or lease exercise full control over and
bear full responsibility for the airworthiness and operation of their aircraft
 Under these circumstances, the FAA has determined that the appropriate level of
oversight is provided by the regulations in part 91, which are generally less stringent
than those of part 121 or part 135
 Part 91 regulations cover what is commonly called general aviation, which includes
individual pilot/owner operations and corporate owner operations
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1
Private, Small Commercial and Large Commercial Operation
… with different levels of regulatory requirements for aircraft,
operation, and airmen for both commercial and private operations
EXAMPLE
Regulatory Differences Between Parts 135 and 121
Subjects
Pilot Duty/Rest
Maximum Yearly Flight Hours
Maximum Flight Hours in 24-Hr. period
Personnel Requirements
Minimum Pilot Experience/Hours
Part 135 (<30 seats)
Part 121
1400
10 hours
1000
8 hours
500 hours and
commercial license
Not Required
Not Required
1,500 hours and Air Transport license
Crew Resource Management Training
Required
FAA-Licensed Dispatcher
Required
Maintenance
Aging Airplane - Operator Supplemental Inspections
Not Required for all Operators
Required
Aging Airplane - FAA Inspection and Records Review
Not Required for all Operators
Required
Maintenance Program that includes required inspection items
Not Required for all Operators
Required
and continuous analysis and surveillance system
Aircraft Flight Instruments
Terrain Awareness and Warning System
Not Required for all Operators
Required
Traffic Alert & Collision Avoidance System
Not Required for all Operators
Required
Cockpit Voice/Data Recorders
Not Required for all Operators
Required
In-Flight Weather Radar
Not Required for all Operators
Required
Note: Depending on the size and type of aircraft used, FAA regulations for on-demand operations can be more or less restrictive. This table contains
the least restrictive regulations for on-demand aircraft for each subject.
Source: FAA Report AV-2009-066, Booz & Company analysis
Booz & Company
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1
Private, Small Commercial and Large Commercial Operation
FAA also establishes standards for fractional ownership operation
which has some element of commercial operation management
services
Fractional Ownership operation
is unique as it straddles between
private and commercial
operations…
… therefore more appropriate
safety standards are required
 Fractional ownership programs
have some of the elements of
traditional management services
companies, but because of the size
and complexity of today’s fractional
ownership programs, the part 91
rules are not adequate
 The part 121 and part 135 rules are
not appropriate either because
those rules are directed at air
carriers and other entities that hold
themselves out to provide
transportation to the general public
 New Subpart K of 14 CFR Part 91
clarifies what qualifies as a
fractional ownership program,
clarifies who has operational
control, defines operational control
responsibilities, codifies many of
the ‘‘best practices’’ now being
used voluntarily in fractional
ownership programs, and
incorporates many of the safety
standards of part 121 and part 135
 By this rulemaking, the FAA
establishes safety standards to
maintain the safety record of
current fractional ownership
programs and to ensure that new
fractional ownership programs will
also meet a high level of safety
Source: FAA Report, Booz & Company analysis
Booz & Company
Key Features of Subpart K in Part 91
 It establishes the criteria for qualifying
as a fractional ownership program
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 It establishes that fractional owners
and the management company share
operational control of the aircraft and
delineates operational control
responsibilities
 It establishes regulatory safety
standards for operations under
fractional ownership programs,
including management operations,
maintenance, training, crewmember
flight and duty requirements, and
other
46
2
Light Sport Aircraft Operation
Another example is light sport aircraft segment where users faced
many problems to 2004 due to the lack of appropriate regulations
What is Light Sport Aircraft?
 The FAA has defined light-sport aircraft as simple-to-operate,
easy-to-fly aircraft that, since initial certification, has
continued to meet the performance definition illustrated in the
diagram below
What were the problems faced?
 Before the implementation of LSA rules in 2004.
there was lack of appropriate regulations for existing
light sport aircraft
– Light sport aircraft does not fall under the
regulation of 14CFR Part 103 Ultralight Vehicles
as their weights exceed ultralight category
– Requirements under 14CFR Part 21, 61, 65 and
91 for certification, pilot, airmen and operation
were too expensive and cumbersome for very
light, inexpensive light sport aircraft
 There was lack of standardization to allow industry
to grow and prosper beyond historic levels
– No design and performance standard
– No production standard
– No quality assurance standard
– No maintenance or inspection standard
Source: EAA, Booz & Company analysis
Booz & Company
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2
Light Sport Aircraft Operation
FAA then published LSA rules and amended regulations to
increase safety while not increasing burdens for users
Purpose of This Sport Pilot and Light Sport
(SP/LSA) Rule
Close the
gaps in
existing
regulations
Establish
training and
certification
requirements
 Increase safety in the LSA by closing the
gaps in existing regulations and by
accommodating new advances in
technology
 Provide for the manufacture of light-sport
aircraft that are safe for their intended
operations by establishing standards
 Allow operation of light-sport aircraft
exceeding the limits of ultralight vehicles
operated under 14 CFR part 103, with a
passenger and for flight training, rental, and
towing
 The rule has provisions for obtaining sport
pilot student certificates, sport pilot
certificates, flight instructor certificates with
sport pilot rating, airworthiness criteria, and
repairmen certificates with an inspector
and/or maintenance rating
Impact of the Implementation of
SP/LSA Rules
 More than 2,000 individuals have earned sport pilot
certificates and numerous others have earned sport
pilot privileges
 Individuals can fly light sport aircraft with a valid
driver's license in lieu of a medical certificate and
creates new, less-expensive ways to become a pilot
 Aircraft manufacturers have developed more than 90
new designs, and more than 800 factory-built special
light-sport aircraft (SLSA) are recognized under the
LSA rule
 Many designs offer advanced safety features,
including devices such as whole-plane emergency
parachute systems, airbags, and single-button
avionics that can automatically stabilize the aircraft
Sport Pilot - Now You Can!
Affordable, achievable and fun.
Sport Pilot is for you!
Note:
EAA = Experimental Aircraft Association
Source: FAA Aviation News Jul/Aug 2009, EAA, Booz & Company analysis
Booz & Company
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2
Light Sport Aircraft Operation
LSA rules raises the safety level via consensus standards on a
previously unregulated segment of aviation
Expected Level of Safety for Light Sport
Aircraft
Level of Certitude
High
Discussion
 Type certificate
 Production
certificate
 Consensus
standard
 Statement of
compliance
 No design
standards
 No manufacturing
standards
Part 23
Special
Light-sport
Kit-Built
Light-sport
“Fat” Ultralight
Amateur Built
Part 103
103 Training
Exemption
 The expected level of safety of an LSA is not the
same as Part 23 certificated products, nor is the
level of FAA oversight the same
 LSA Rule raises the level of safety (via Consensus
Standards) on a previously unregulated segment
of aviation
– Bridges gap between Ultralights and Part 23.
– Raise the level of safety, but still not expected to
meet Part 23
 There are two classes of LSA airworthiness
certificates, Special (SLSA) and Experimental
(ELSA)
– SLSA: aircraft manufactured to consensus
standards and delivered in a “ready-to-fly”
condition
– ELSA: aircraft assembled from a manufacturer’s
“kit” that meets a consensus standard; or an
SLSA aircraft converted to ELSA
Low
Source: FAA, Booz & Company analysis
Booz & Company
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2
Light Sport Aircraft Operation
The LSA industry’s use of industry consensus standards allows
rapid design changes and for quicker incorporation of changes
resulting from safety findings
 Industry chose ASTM International to facilitate the development of standards for LSA. ASTM established the F37
Committee on Light-Sport Aircraft in 2004
 The Committee revises existing standards or develops new ones in response to demand, regulatory
requirements, or ASTM protocols
 Several FAA employees participate on the committee in the standards development process, but FAA has only
one official voter
 The FAA accepts, not approves the standards
 The FAA does not have veto authority of the standards content or requirements
 ASTM standards are not regulations. However, SLSA are required to be manufactured in accordance with the
accepted consensus standard
– That means that the SLSA manufacturer must monitor and correct safety-of-flight issues through the issuance
of safety directives. The manufacturer must also have a continued airworthiness system that meets the
identified consensus standard
– The owner or operator of an SLSA must comply with each safety directive applicable to the aircraft, unless he
or she uses an acceptable alternative means of compliance or obtains an FAA waiver from the provisions of
the safety directive.
Source: FAA Aviation News Jul/Aug 2009, Booz & Company analysis
Booz & Company
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3
Unmanned Aerial Vehicle (UAV) Operation
Unmanned Aerial Vehicle (UAV) has demonstrated successful
usage in several GA areas in recent years in the U.S.
EXAMPLE
Unmanned Aerial Vehicle (UAV) Operation
Remote Sensing
 This function include electromagnetic spectrum sensors, biological sensors, and
chemical sensors. A UAV's electromagnetic sensors typically include visual
spectrum, infrared, or near infrared cameras as well as radar systems
Transport
 UAVs can transport goods using various means based on the configuration of
the UAV itself. Most payloads are stored in an internal payload bay somewhere
in the airframe. For many helicopter configurations, external payloads can be
tethered to the bottom of the airframe. With fixed wing UAVs, payloads can also
be attached to the airframe
Scientific
Research
Search and
Rescue
 Unmanned aircraft are uniquely capable of penetrating areas which may be too
dangerous for piloted craft
 E.g. The National Oceanic and Atmospheric Administration (NOAA) began
utilizing the Aerosonde unmanned aircraft system in 2006 as a hurricane hunter
 The US will likely to increase usage of UAV in this function since it was
demonstrated successful during the 2008 hurricanes that struck Louisiana and
Texas
Source: Booz & Company analysis
Booz & Company
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3
Unmanned Aerial Vehicle (UAV) Operation
Although there are many ways to classify UAV…
UAV Classifications
UAV by Function
UAV by Range / Altitude
 Target and decoy - providing
ground and aerial gunnery a
target that simulates an enemy
aircraft or missile
 Reconnaissance - providing
battlefield intelligence
 Combat - providing attack
capability for high-risk missions
 Logistics - specifically designed
for cargo and logistics operation
 R&D - used to further develop
UAV technologies to be
integrated into field deployed
UAV aircraft
 Civil and Commercial UAVs UAVs specifically designed for
civil and commercial applications
 Handheld 2,000 ft altitude, about 2 km
range
 Close 5,000 ft altitude, up to 10 km
range
 NATO type 10,000 ft altitude, up to 50
km range
 Tactical 18,000 ft altitude, about 160 km
range
 MALE (medium altitude, long endurance)
up to 30,000 ft and range over 200 km
 HALE (high altitude, long endurance)
over 30,000 ft and indefinite range
 HYPERSONIC high-speed, supersonic
(Mach 1-5) or hypersonic (Mach 5+)
50,000 ft (15,200 m) or suborbital
altitude, range over 200km
 ORBITAL low earth orbit (Mach 25+)
Other Categorization
 By fixed routes vs.
dynamically variable
routes
 By U.S. military “Tier
System”
 CIS Lunar Earth-Moon transfer
Source: Booz & Company analysis
Booz & Company
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3
Unmanned Aerial Vehicle (UAV) Operation
… FAA regulates UAV in three distinctive areas - a public aircraft,
a civil aircraft and a model
 Public Aircraft (operated by the government or the military)
– When the military or a government agency wants to fly a UAS in civil airspace, the FAA
evaluates the request and issues a Certificate of Authorization (COA)
 Civil Aircraft
– Civil aircraft must operate under experimental airworthiness certificates
 Model Aircraft
– FAA Advisory Circular 91-57 provide guidelines for operation of model aircraft
– Such aircraft may only be used for sport, and not for commercial or business purposes
Source: AvWeb, FAA
Booz & Company
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3
Unmanned Aerial Vehicle (UAV) Operation
For the FAA, it is critical that UAVs don’t come too close to aircraft
carrying people or compromise the safety of anyone on the ground
FAA Recent Initiatives on UAV / UAS (Unmanned Aircraft System)
 At FAA Headquarters in Washington, D.C., a team of experts from various parts of the agency is working on
guidance that will increase the level of access to airspace for UAS in a step-by-step fashion without being overly
restrictive in the early stages
 Developing and implementing this new UAS guidance is a long-term effort and is still a “work in progress.”
 More immediately, the FAA is reviewing certification requests from several UAS manufacturers. The FAA has
issued 13 airworthiness certificates in the “experimental” category (for research and development, crew training,
or market survey) to date. These certification efforts provide an excellent opportunity for the FAA to work with
manufacturers and to collect vital technical and operational data that will help improve the UAS airworthiness
certification process.
 The FAA has asked RTCA — a group that frequently advises the agency on technical issues — to help develop
UAS standards. RTCA will answer two key questions: How will UASs handle communication, command, and
control, and how will they detect and avoid other aircraft?
 The FAA continues to work closely with its international counterparts to harmonize standards, policies,
procedures, and regulatory requirements
Source: FAA
Booz & Company
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1
2
3
Summary
The above examples illustrate two key principles to achieve better
regulation of general aviation: Proportionality and Participation
ILLUSTRATIVE
Principles of General Aviation Regulations
Proportionality
 Level of regulation appropriate
and proportionate to risk
 General aviation well informed
of risk justify lower level of
regulation
 Target regulation to bring
greater safety benefits
+
Participation
=
 Active participation of
stakeholders in regulation
formulation
 Bringing regulation closer to
stakeholders makes them
more responsible
 Voluntary action by industry in
safety related activities
Better
Regulatio
n for
General
Aviation
 Regulations that enable the
growth (capacity and
efficiency) of general aviation
while maintaining safety and
security
 Coordinated private activities
supporting safety
Source: Booz & Company analysis
Booz & Company
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China has put in place a regulatory system to regulate general
aviation industry and operation
Regulatory System Applicable to General Aviation in China
Administrative
Regulations
State Law
 Civil Aviation Law of the
People's Republic of
China, issued at Mar. 1st,
1996
 Define what is general
aviation, “aerial work”
segments for GA and the
conditions for GA activities
 Provisional Regulations of
the State Council on the
Administration of General
Aviation
 Regulations of the State
Council and Central Military
Committee on Aircraft
Usage on Professional
Service
 Regulations of the State
Council and Central Military
Committee on General
Aviation Flight Control
Civil Aviation Rules




Economic management (5)
Safety operations (11)
Operational approval (2)
Professional authority /
institution approval (3)
Aerial
Work Standard
 National standards (6)
 Industrial standards (10)
 License and certifications
(6)
 Others (10)
Note:
Number in parentheses above, e.g. (2) , (3) denotes the number of the applicable regulations
Source: CAAC, Booz & Company analysis
Booz & Company
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CAAC has similar structure and scope of GA Safety Regulation as
compared with FAA but several differences are observed
General Aviation
Non-commercial

Regulation
Airport
Airmen
Non-public transport
– Aerial work in the fields of industry, agriculture, forestry, fishery and building
industry
– Flight operations in the fields of medical and health work, emergency and
disaster relief, meteorological service, ocean monitoring, scientific research
and experiment, educational training and cultural and sports purposes
 Civil Airport Construction Regulation（CCAR-158）
 Civil Airport Special Facility Usage Regulation（CCAR-137 CA-R2）
 Civil Airport Usage Regulation（CCAR-139 CA-R1）
Commercial Operation under Part 135
 Scheduled, non-scheduled and all-cargo flight with
– Single engine or rotorcraft
 Specifically
– Multi-engine non-scheduled flight with maximum weight load capacity less than 5700 kg
– Multi-engine scheduled flight with a seating capacity less than 30 and maximum weight
load capacity less than 3400kg
– Multi-engine cargo flight with maximum weight load capacity less than 3400kg
No separation of
recreational/personal/business
/instructional/corporate/aerial
 Certification: Civil Aircraft pilot, flight instructor, ground instructor regulation（CCAR-61-R1）
work segments of GA
 《民用航空器领航员、飞行机械员、飞行通信员合格审定规则》（CCAR-63FS）




Operator
Commercial
《民用航空器维修人员执照管理规则》（CCAR－66-R1）
《民用航空飞行签派员执照管理规则》（CCAR-65FS-R1）
《民用航空航行情报人员岗位培训管理规定》（CCAR-65TM-TV）
《民用航空航行情报员执照管理规则》(CCAR-65TM-III-R2)。
 CCAR 285 Non-commercial general
 CCAR-135TR-R3 General aviation
operation permit administrative rules (
aviation registration rules (非经营性通用
航空登记管理规定)
通用航空经营许可管理规定)
Non-scheduled commercial
operation under Part 135 is
defined as general aviation by
CAAC
 CCAR-135TR-R3 General aviation operation permit administrative rules (通用航空经营许可管
理规定)
 《民用航空器驾驶员学校合格审定规则》(CCAR-141)
 《飞行训练中心合格审定规则》(CCAR-142)
 《民用航空器维修单位合格审定规定》(CCAR－145)
Operation
Booz & Company
 CCAR 91 General operation and flight rules(一般运营和飞行规则) and specifically
– Section M: Agriculture and forestry operation (农林喷洒作业飞行)
– Section N: Rotorcraft external-load operation (旋翼机机外载荷作业飞行)
– Section O: Ultralight vehicle (超轻型飞行器)
– Section P: Parachute operation (跳伞)
 飞机播种造林技术规程GB/T（15162-1994）、1:5000 1:10000 1:25000 1:50000
1:100000比例尺地形图航空摄影规范GB/T （15661-1995）、民用航空器飞行事故等
级 GB（14648-1993）、航空摄影产品注记、包装规范GB/T （16176－1996）、通
用航空机场设备设施GB/T （17836-1999）、航空摄影技术设计规范MH/T （10092000）、1:500 1:1000 1:2000比例尺地形图航空摄影规范GB （6962-1986）等
ACP GAIS - 1_ Safety_Revised Oct 2011_EN_vf.ppt
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 CCAR 91 General operation and flight rules(一般运营和飞行规则)
 CCAR 135 Commercial transportation operator certification and operating rules for small
aircrafts (小型航空器商业运输运营人运行合格审定规章)
57
However as compared to the U.S. China lacks appropriate
regulations for airport and non aerial work GA segments
Differences of FAA and CAAC Regulatory System for General Aviation (High Level)
Airspace is not
part of the scope
of this review
Key Areas
Observations
Key Differences
 Airport
 CCAR 139 and 158 focus more on airports used for commercial airline operation
 There is a lack of appropriate level of regulations for general aviation airports (including
temporary landing strips) to ensure safety while enabling its development
 No appropriate level of
regulations for GA airports
 Airmen
 FAA set the certification requirements for airmen in Part 60, 61, 63, 65 and 67
 CAAC has similar regulatory structure for airmen, also in CCAR-60, 61, 65, 67 and even
more detailed for different types of airmen
 Very similar except that FAA
has less stringent requirements
for recreational GA
 Operator
 Depending on the purpose of GA (commercial or non-commercial), China sets different
 China has more administrative
registration and administrative rules for commercial (CCAR-135TR-R3) and nonrules in addition to operator
commercial (CCAR-285) GA operators
related regulations
 CAAC and FAA has similar regulatory structure for domestic and foreign operator as well
as other organization such as pilot school, training center, repair station and aviation
maintenance technician schools
 Operation  FAA applies different regulations to different types of GA operation e.g. part 91, part 101,  Moored/ unmanned free
part 103, part 105, Part 125, Part 133, Part 135 and Part 137
balloons and kites not regulated
 Regulation for moored balloons, kites, unmanned rockets and unmanned free balloons is
by CAAC
under meteorological department and lack of regulations for light-sports aircrafts
 No regulations specific to
operation
operation of recreational
 China does not have regulations specific to recreational GA operation
aviation (LSC)
Source: Booz & Company analysis
Booz & Company
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Less differences
More differences
58
Executive summary
GA Safety Regulation
Safety oversight organizational structure
Safety performance measurement
Safety culture and promotion
Appendix
Booz & Company
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59
FAA Flight Standards Service (AFS) under Aviation Safety Service
assumes key responsibilities for providing oversight of GA in the
FAA
U.S.
FAA Organizational Structure (Simplified)
Administrator
AOA
Deputy Administrator ADA
Associate Administrator for
Airport
ARP
Assistant Administrator for
Regions and Center Operation
ARC
Associate Administrator for
Aviation Safety
AVS
Office of Accident Aircraft Certification
Investigation (AAI)
Services (AIR)
Office of Rule
Making (ARM)
Flight Standards
Service (AFS)
Aviation Safety
Analytical Service
(ASA)
General Aviation &
Commercial
Division
Civil Aviation
Registry
Regional Flight
Standards Divisions
Flight Standard
Certification &
Surveillance
Certification &
General Aviation
Branch
Plans & Programs
Aircraft
Maintenance
Division
General Aviation
Airmen Registration
Branch
Program
Management and Aircraft Registration
Information Branch
Special Programs
Branch
Flight Standard
District Offices
Certificate
Management
Offices
Associate Administrator for
Commercial Space
Transportation AST
Other 10 Offices
Office of Air Traffic Federal Air Surgeon
Oversight (AOV)
(AAM)
Regional Divisions
Quality, Integration
and Executive
Service (AQS)
Flight Technologies
Regulatory Support
& Procedures
Division
Divisions
Offices (Associate Administrator level)
Services (Director level)
Repair Station
Branch Branch
Divisions (Manager level)
Avionic Branch
Divisions/ branches responsible for general aviation matters
Branches
Source: FAA, Booz & Company analysis
Booz & Company
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60
Several AFS divisions and branches are responsible for general
aviation regulations, policies and operational matters
FAA
Roles and Responsibilities of GA Related Divisions and Branches
General Aviation & Commercial
Division
Aircraft Maintenance Division
Regional Flight Standards Divisions
 Responsible for regulations and policy
recommendations governing the
certification, inspection, and
surveillance of:
– GA airmen training and testing
– DPEs
– GA air agencies (pilot schools)
– commercial operations (rotorcraft
external load, agricultural, part 125
operators, part 91, corporate,
business, personal and recreational,
subpart K fractional ownership) and
– public aircraft operations
 Responsible for regulations and national
 Responsible for Flight Standards matters,
policy governing the certification, inspection,
airmen, operators, and airworthiness
and surveillance of the maintenance aspects matters. The division is under the executive
of:
direction of the Director, Flight Standards
– GA air carrier and commercial operators
Service
– airmen (mechanics, repairmen, designees,  The Flight Standards District Offices (FSDO)
parachute riggers)
are field elements of the Flight Standards
– Avionics
Service with the following responsibilities:
– air agencies (Aviation Maintenance
– Certification and surveillance of: air
Technician Schools (AMTS), and repair
operators, air agencies, and airmen
stations) and
– Conduct or assist in conducting accident
– maintenance requirements, performance
and incident investigations and investigate
standards, and practices applied to ensure
possible violations of regulations
the airworthiness of civil aircraft
– Ensure the adequacy of flight procedures,
 This department is Principal for general  General Aviation Branch is the principal
operating methods, airmen qualifications
aviation regulation and policy
element in the division for all general aviation
and proficiency, and aircraft maintenance
maintenance as related to technical training,
regulations, policies, and procedures
Focus on regulations and policies
development and recommendations
Note:
GA type and production approval matters are handled by Aircraft Certification Services (AIR), separate from Aviation Safety (AFS)
Please refer to the appendix for more details of the roles and responsibilities of selected AFS divisions and branches
Source: FAA, Booz & Company analysis
Booz & Company
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Focus on certification
and surveillance
(operational level)
61
General Aviation and Commercial Division is the key department
for regulation and policy recommendation within GA
FAA
Responsibility of General Aviation and Commercial Division
 Responsible for regulations and policy recommendations governing the certification, inspection, and surveillance of general aviation airmen,
DPEs, general aviation air agencies (pilot schools), commercial operations (rotorcraft external load, agricultural, part 125 operators, part 91,
corporate, business, personal and recreational, subpart K fractional ownership) and public aircraft operations.
 With respect to the foregoing, the division:
– Develops and recommends national policies, standards, systems, procedures, and program plans to include international operation activities.
– Determines the need for, justifies, and formulates new or amended regulations and supplementary regulatory material; participates in regulatory review
programs; recommends grants or denials of exemptions; and develops Operation Specifications.
– Advises the Director, Associate Administrator, and other principal officials, and serves as a central point of contact for the public and the aviation
community on matters appropriate to the national level.
– Participates in the analysis and evaluation of field execution of programs.
– Determines the need for, and recommends research and development projects.
– Guides and assists the other divisions, the regions, and other elements of the agency in the implementation and conduct of related programs, and
provides guidance on applying agency policies, standards, and procedures pertaining to safety issues.
– Develops, coordinates, and issues national directives to provide technical guidance on policies and procedures.
– Recommends, initiates, and coordinates regulatory and policy actions to resolve safety problems resulting from accidents, incidents, or other sources.
 Provides liaison between FAA and other offices for general aviation issues regarding airspace rules, air carrier interface, pilot certification,
human factors, and other vital topics.
 Facilitates and coordinates concerns of the aviation community to assure general aviation views are considered in air traffic rules and aviation
safety regulatory actions.
 Develops, coordinates, and recommends career development programs to ensure organizational competence for employees of this division
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
Booz & Company
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62
The diffusion of roles and responsibilities of CAAC divisions
reduces the effectiveness and efficiency of GA regulatory services
CAAC
CAAC Divisions
Planning and
Development
GA related responsibilities
 Final approvals of aircraft
certification and registration
Airworthiness
Certification
 Processing of aircraft
registration and airworthiness
certification (initial
airworthiness)
Flight Standards
 Parts and components
certification
 Operational regulations and
standards
Transportation
 The marketing department is
responsible for the registration
of commercial and noncommercial GA operator
Source: Expert Interviews, Booz & Company analysis
Booz & Company
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Issues
 Current CAAC organization structure and
governance does not support longer term
institutional capability and capacity building for GA
– No single division accountable and responsible
for GA regulations and development
– Lack of synergy in terms of leveraging expertise
and resources
 The diffusion of roles and responsibilities also
hinders provisions of effective and efficient
services to GA users:
– Currently only registration management is
delegated to CAAC regional offices, other
activities are still centralized at HQ
– Multi divisional involvement cause confusion
and inefficiency in the provision of services to
GA users
– Users have to liaise with different divisions on
different matters which is very resource
consuming and frustrating
– GA users may choose not to follow strict
regulatory compliance requirements to avoid the
onerous and resource consuming approval
process
63
We recommend a staged approach to organizational improvement
to continually enhance the provisions of GA regulatory oversight
CONCEPTUAL
Proposed Staged Approach to CAAC Organizational Improvements that Enhance the
Effectiveness and Efficiency of GA Regulatory Oversight System
Consolidate policy and
regulation functions
Establish work and
coordination processes
Improve provisions of
Regulatory Services
Organizational setup that enables provision
of improved GA regulatory oversight
 Consolidate all policy
and regulation review
and development
functions within CAAC
 Set up a department to
spearhead, lead and
coordinate cross
divisional GA policy and
regulatory related
activities
 Appoint key contact
points within relevant
divisions (e.g. Policy &
Regulation, Air
Transportation and
Flight Standards)
 Establish processes to
clearly define roles
and responsibilities,
communication
mechanism (internal
and external) and
work flows for both
HQ and regional
offices
 Implement a “one-stop
service” or reduce the
amount of service
interfaces at both HQ
and regional levels
 Develop and publish
guidance materials to
clarify regulatory
requirements and
ensure consistency
 Institutionalize internal system and
processes to:
– Capture industry, stakeholders needs to
develop appropriate regulations of GA
– Ensure best utilization of resources and
expertise
– Ensure knowledge sharing across the
whole organization
 May consider setting up one single division
dealing with GA matters (similar to FAA)
when appropriate
Booz & Company
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Ultimate Goal
64
Executive summary
GA Safety Regulation
Safety oversight organizational structure
Safety performance measurement
Safety culture and promotion
Appendix
Booz & Company
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65
GA has lower safety performance level than commercial airlines
due to inherent risks associated with its operational characteristics
 Variety of mission
Reasons of Higher Accident Rates of General Aviation
 Greater variety of facilities and
level of equipage
– Wide range of operations and applications
– Some operations such as aerial applications
have inherent mission-related risks
 Variability of pilot
certification and experience
– GA is the training ground for pilot
– Experience of pilot varies a lot
– Many GA facilities such as airports are not
as well equipped as large commercial
airline airports
– There are also heliports and seaplane
bases different from conventional airports
General aviation
has higher
accident rates
than airlines
 Limited cockpit resources and
flight support
– Usually a single pilot conducts operation
– The pilot typically handles all aspects of the flight
from flight planning to piloting
Source: AOPA Nall Report 2008, Booz & Company analysis
Booz & Company
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 More takeoffs and landings
– GA conducts many more takeoffs and
landings than airline carriers on a per hour
basis
– Aircraft is prone to accidents during
takeoffs and landings than in other phases
of flight
 Less weather tolerant aircraft
– Most GA aircraft can not fly over or around
weather the way airliners can
– They often do not have the systems to
avoid or cope with hazardous weather
conditions such as ice
66
This is evident from the historical aviation data collected in the
U.S. with general aviation recorded much higher accident rate
Accidents
per 100,000
flight hours
Historical Aviation Data of General Aviation and Commercial Aviation Operation
(Number of accidents per 100,000 flight hours)
Average “All Accident” Rate (1985 - 2008)
10
General Aviation
9
7.71 per 100,000 flight hours
Commercial Airlines 0.23 per 100,000 flight hours
8
All accident (GA)
7
6
5
4
All accident (Scheduled under Part 135)
3
Fatal accident (GA)
2
All accident (Commercial Airline under Part 121)
1
Fatal accident (Commercial Airline under Part 121)
Fatal accident (Scheduled under Part 135)
0
1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008
Note:
All accidents = fatal + non fatal accidents
Source: NTSB, Booz & Company analysis
Booz & Company
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67
Pursuing GA safety improvement is a critical element of FAA 5years Flight Plan and annual Aviation Safety (AVS) business plan
FAA Strategic and Business Planning Process
FAA Flight Plan (5 Year Plan)
Increased Safety
 A five year plan aims to provide
a strategic direction for the FAA
and its organizations
 It covers four goal areas/
objectives:
– Increased Safety
– Greater Capacity
– International Leadership
– Organizational Excellence
 Under each objective, the
Flight Plan then lists strategies,
initiatives, and specific,
measurable performance
targets
 The Flight Plan goal area of
Increased Safety consists of
seven specific objectives:
– Reduce commercial air
carrier fatal accident rate.
– Reduce general aviation fatal
accident rate
– Reduce accidents in Alaska
– Reduce the risk of runway
incursions
– Implement a Safety
Management System (SMS)
for the FAA
– Ensure the safety of
commercial space launch
– Reduce operational errors
Booz & Company
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Aviation Safety (AVS) Annual
Business Plan
 It has numerous discrete
activities in support of
initiatives under five of these
seven objectives and in
support of initiatives under two
non-Flight Plan, core business
objectives:
 Flight Plan Initiatives:
– Reduce commercial air
carrier fatal accident rate.
– Reduce general aviation fatal
accident rate.
– Reduce accidents in Alaska
 Non-Flight Plan, Core
Business Initiatives:
– Commercial Aviation
– General Aviation
68
FAA AVS sets safety targets for general aviation and non
scheduled Part 135 operation in its business plan
FAA GA Safety Targets
Flight Plan Target
Non Flight Plan, Core Business
 General
Aviation
Accidents
 Reduce the fatal accident rate per 100,000
flight hours by 10% over a 10-year period
(2009-2018)
 FY 2009 Target: 1.11
 By FY 2009, reduce the number of general
aviation and non scheduled Part 135 fatal
accidents to no more than 319 (from 385,
which represents the average number of fatal
accidents for the baseline period of 19961998)
 FY 2008 Target: 325
 Alaska
Accidents
 By the end of FY 2009, reduce accidents in
Alaska for general aviation and all Part 135
operations from the 2000 - 2002 average of
130 accidents per year to no more than 99
accidents per year
 This measure will be converted from a
number to a rate at the beginning of FY 2010
 FY 2009 Target: 99 accidents
 By FY 2009 reduce accidents in Alaska for
general aviation and all Part 135 operations
from the 2000-2002 average of 130 accidents
per year to no more than 99 accidents per
year
 FY 2008 Target: 104
Source: FAA, Booz & Company analysis
Booz & Company
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69
AVS works with GA community to develop rate-based safety
performance metric derived from historical operational data
Key Principles to Develop GA Safety
Performance Metric
Work with GA
community to
ensure
reasonability and
practicality
Transit from
absolute to ratebased metric
Establish
baseline from
historical
operational and
safety statistics
 FAA worked with GA community (e.g. AOPA,
GAMA) to develop GA safety targets
 This ensures targets set are realistic
 Rate-based metric (e.g. number of fatal
accidents per 100,000 hour operation) are
used in favor of the total number of accidents
 The rate based performance measure reflect
fleet activity levels and its relationship to the
number of fatal accidents
 FAA set performance target baseline based on
safety data from May 2005 through April 2008
(3 years period)
 This includes on-demand (non-scheduled FAR
Part 135) and GA flights
FAA Safety Targets
FY 2009 Performance Target
 Limit the general aviation
fatal accident rate to no
more than 1.11 fatal
accidents per 100,000
flight hours
 Unit of measure:
Number of fatal accidents per 100,000 flight hours
 Formula:
Number of general aviation fatal accidents
Number of GA flight hours/ 100,000
 Scope of measure:
– GA flights
– On-demand (non-scheduled FAR Part 135)
Source: FAA, Booz & Company analysis
Booz & Company
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Accident data and statistics provide a reference baseline for FAA to
establish realistic safety performance targets for general aviation
Accidents
per 100,000
flight hours
Accident Trends of General Aviation and Non-Scheduled Part 135 Operation
(Number of accidents per 100,000 flight hours)
10
Historical
2008
Low
9
8
7
6
All accident (GA)
7.11
6.34
All accident (combined*)
6.31
5.67
All accident
(non scheduled Part 135)
1.52
1.39
1.16
1.08
0.27
5
4
3
Fatal accident (GA)
2
Fatal accident (combined*)
1.25
1.15
1
Fatal accident
(non scheduled Part 135)
0.52
0
1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008
(*)
Combined = General Aviation + non scheduled Part 135 operation
Note:
All accidents = fatal + non fatal accidents
NTSB accident rates includes both fixed wing and rotary wing aircraft
Source: NTSB, Booz & Company analysis
Booz & Company
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CAAC publishes annual GA accident/incident statistics but does
not establish performance targets for GA
GA Safety Statistics Published in the Annual
Statistical Data on Civil Aviation of China
Category
Unit
2006
2007
Accident
Death Toll
Accident per 10K Hours
Accident per 10K times
Incident
Incident per 10K Hours
Incident per 10K times
# of Times
# of People
# of Times
# of Times
# of Times
# of Times
# of Times
1
0
0.042
0.025
8
0.34
0.20
1
0
NA
NA
5
0.18
0.11
Safety Target of 2009
CAAC www.caac.gov.cn (2009-01-07)
Prevent serious public transport accident; prevent
skyjacking, blowing-up, remove the causes for air force
accident; prevent serious GA accident; Prevent serious
ground accident and major aircraft maintenance
accident; the incident rate of public transport is less
than 0.6 per 10,000 hours
Source: CAAC, Annual Statistical Data on Civil Aviation of China, Booz & Company analysis
Booz & Company
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Discussion
 CAAC published GA safety performance
level at its annual Statistical Data on Civil
Aviation of China
 CAAC has set broad objectives for its
annual safety plan (those published in the
public domain)
– CAAC has set a rate of incident for
commercial aviation of not exceeding 0.6
per 10,000 flight hours
– CAAC does not publish an official safety
performance target for general aviation
sector
– CAAC only mentioned “prevent general
aviation major accident”
 CAAC needs to set quantitative GA safety
targets to guide identification and
implementation of strategic initiatives to
achieve set targets
72
Robust flight activity and accident/incident data collection
systems are pre-requisites to build safety performance database
1
2
GA Flight Activity Data
GA Accident/ Incident Data
Accident Reporting and Investigation
General Aviation and Part 135
Activity Surveys
 The survey was first implemented in
1978
 It provides the (FAA) with information
on general aviation and on-demand
Part 135 aircraft activity
 The information obtained from the
survey enables FAA to monitor the
general aviation fleet so that it can:
– Anticipate and meet demand for
National Airspace System facilities
and services
– Evaluate the impact of safety
initiatives and regulatory changes
– Build more accurate measures of the
safety of the general aviation
community
NTSB Part 830
 NTSB Part 830 Notification and
reporting of aircraft accidents or
incidents and overdue aircraft,
and preservation of aircraft
wreckage, mail, cargo, and
records
 It provides guidance on the
notification and reporting of
aviation incidents and accidents
comes from the National
Transportation Safety Board
(NTSB) 49 CFR Part 830,
commonly known as "NTSB
830"
 It governs actions concerning
these events, as well as
overdue aircraft
Source: FAA, NTSB, Booz & Company analysis
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FAA 8020.11B
 FAA 8020.11B prescribes FAA
procedure and responsibilities for
aircraft accident and incident
notification, investigation and
reporting
 It provides direction and guidance
to aviation safety inspectors when
they are called upon to perform
accident investigations
 It also delineates the
responsibilities of the FAA and the
National Transportation Safety
Board when conducting
investigations
 The order is also used as a
training guide for teaching
accident investigation courses at
the Transportation Safety Institute
73
1
GA Flight Activity Data
FAA’s Annual general aviation activity survey helps establish fleet
size and the hours flown by the general aviation community
Frequency
 Conducted annually by the FAA Statistics and Forecast
Branch
 The FAA has contracted independent research firm, to
implement the survey
 Standard survey forms and on line surveys are
conducted
 Close collaboration with the FAA, other federal agencies
and aviation groups and associations
Survey
population
 Based on a statistically selected sample of aircraft,
covering approximately 83% of related aircraft in the
Civil Aviation Registry (2007)
 It includes aircraft registered with the FAA and operating
in the US or US territories under Part 91, Part 125, Part
133, Part 135 on demand air taxi and commuter
operations not covered by Part 121 and Part 137
agricultural aircraft operation
Survey
sample
 The survey sample is stratified by:
– aircraft type
– FAA region in which the aircraft is registered
– whether the aircraft operates under a Part 135
certificate
– and whether the aircraft was manufactured in the
past 5 years
Survey Contents
 Overall aircraft activity
– Under which FAR part (e.g. 121, 129 etc.)
– In which states the aircraft mainly flown
– Total flight hours (including how many hours in
Alaska)
 % of hours flown for the following purposes:
– General use (personal, instructional, business,
air medical, aerial sight seeing and etc.)
– FAR Part 135 (Air taxi, air tours, air medical
services, commuter)
 % hours flown under fractional ownership program
 % hours flown with the aircraft rented or leased to
others
 % hours flown with the aircraft hired by the
governments
 % hours flown under VFR, IFR and no flight plans
 Was the aircraft certified and maintained to
operate under IFR
 # of landings
 Fuel
– Type, grade and fuel burn rate (gallon per hours)
 List of installed avionics equipment installed
Source: FAA, Booz & Company analysis
Booz & Company
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1
GA Flight Activity Data
In addition FAA conducts annual Airport Activity Survey to collect
on demand operation enplanement data for its AIP program
 FAA engages an external party to conduct the voluntary annual Airport Activity Survey
 Data collected in this survey will be used to allocate Airport Improvement Program (AIP) funds to
eligible airports.
 This survey is restricted to on demand operations that are NOT reported to the Office of Airline
Information, Bureau of Transportation Statistics (BTS), Department of Transportation
 Information requested is as follows:
– City where departing passengers boarded the aircraft
– Names of airports where passengers boarded
– Nonscheduled Enplanements for charter operation
– Number of revenue passengers for regular air taxi services
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1
GA Flight Activity Data
CAAC has set basic statistics requirements for general aviation
activities in CCAR 241-R1
EXAMPLE
GA Activity Reporting Example
Regulation on Civil Aviation Statistics
Eastern China Civil Aviation Administration
 CCAR 241-R1 Management of Civil Aviation Statistics
– Section 10: Civil aviation statistical survey is divided
into General Statistical Survey, Organizational
Survey and Specialized Survey. General statistical
survey refers to the development status of China civil
aviation and to be conducted by CAAC and related
departments and reported to Statistical Bureau of
China
– Section 11: General Statistical Survey includes
aviation safety, output, service quality, fixed
investment, human resources, financial and other
information. The survey is to be developed by CAAC
in accordance with Appendix 1 Civil Aviation General
Statistical Survey Reporting Structure
 Civil Aviation General Statistical Survey Reporting
Structure includes statistic tables related to industrial,
agricultural and other GA related flight hours
CAAC
Regional Aviation Administration
Period: Monthly
Commercial GA
operators under
CCAR 135 TR-R3
Non-commercial GA
Operators under
CCAR 285
 Aerial Work Type
 Number of Flight
– Industrial
 Hours of Flight
– Agricultural
– Training
The monthly reporting is not
– Others
mandatory for each party
and based on capacity and
statistics needs
Source: CCAR 241-R1, Interviews, Booz & Company analysis
Booz & Company
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2
GA Accident/ Incident Data
US. federal regulations require operators to notify the NTSB
immediately of aviation accidents and certain incidents
NTSB Part 830 Requirements on Accident/ Incident Reporting
Initial Notification
Preservation of Aircraft
Wreckage, Mail, Cargo,
and Records
Reporting of Aircraft
Accidents, Incidents, and
Overdue Aircraft
 The operator of an aircraft shall provide  The operator of an aircraft shall be
 The operator of a civil public or foreign
immediate notification to the nearest
responsible for preserving to the extent
aircraft shall file a report on NTSB Form
NTSB’s field office for an aircraft
possible any aircraft wreckage, cargo,
6120.1.2 within 10 days after an
accident, and any of the following listed
and mail aboard the aircraft, and all
accident, or after 7 days if an overdue
incidents occur:
records, including all recording mediums
aircraft is still missing
– Flight control system malfunction or
of flight, maintenance, and voice
 Each crewmember, if physically able at
failure
recorders, pertaining to the operation
the time the report is submitted, shall
– Inability of any required flight
and maintenance of the aircraft and to
attach a statement setting forth the facts,
crewmember to perform normal flight
the airmen until the NTSB Board takes
conditions, and circumstances relating to
duties as a result of injury or illness;
custody thereof or a release is granted
the accident or incident as they appear
– Failure of structural components of a
to him. If the crewmember is
turbine engine excluding compressor
incapacitated, he shall submit the
and turbine blades and vanes;
statement as soon as he is physically
– In-flight fire; or
able
– Aircraft collide in flight
 The operator of an aircraft shall file any
– Damage to property, other than the
report with the field office of the NTSB
aircraft, estimated to exceed $25,000
nearest the accident or incident
for repair (including materials and
labor) or fair market value in the event
of total loss, whichever is less
Note:
The National Transportation Safety Board (NTSB) is an independent U.S. Federal agency that investigates every civil aviation accident in the United States
Source: NTSB Part 830, Booz & Company analysis
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GA Accident/ Incident Data
NTSB investigates civil aircraft accidents and incidents and
coordinates with the FAA in its conduct of the investigation
FAA and NTSB Agreement
FAA’s Roles in Accident Investigation
 FAA and NTSB have agreed that the following apply when
NTSB conducts an investigation:
– The investigation is under the control and direction of the
NTSB IIC
– FAA shall at all times have a coordinator (FAA IIC)
designated as its principal representative until the
investigation is complete
– Participation of other FAA personnel shall be determined by
the FAA IIC
– The FAA IIC shall work with the NTSB IIC in coordinating
FAA's activities
– FAA personnel assigned to a group shall work under the
direction of the group chairperson and remain with the group
until that phase of the investigation has been completed or
they are released by the NTSB IIC and the FAA IIC
– The NTSB IIC shall inform the FAA IIC of all aspects of the
investigation
– Pertinent investigation records and reports shall be made
available to FAA in an orderly and timely manner
 Ensure that all facts, conditions, and circumstances leading to the accident
are recorded and evaluated, and action is taken to prevent similar accidents.
 Promulgate and enforce Federal Aviation Regulations for certificating civil
aircraft airworthiness, for certificating airmen and air carriers for
competency, and for certifying airports used by air carriers utilizing aircraft
with more than 30 passenger seats for compliance with certain safety
standards.
 Support the NTSB by verbally informing the office with jurisdictional accident
investigation responsibility of all facts, conditions, and circumstances
surrounding an accident in which the NTSB does not participate on scene.
 Participate in any civil aircraft accident investigation or any accident
investigation conducted by the NTSB that involves both civil and military
aircraft so that the Administrator may properly discharge his or her duties
and responsibilities in accordance with Title 49 United States Code.
 Participate with the NTSB in foreign accident investigations upon request by
the State of accident occurrence.
 Notify the NTSB, through the FAA IIC, when the NTSB does not participate
in the on-scene investigation prior to authorizing NTSB funds
 Conduct autopsies and tests of the remains of persons aboard the aircraft at
the time of the accident under authority delegated by the Administrator to
any medically qualified official or medically qualified FAA employee.
Designated aviation medical examiners are not deemed to be FAA officials
or employees for this purpose
Source: FAA 8020.11B, Booz & Company analysis
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2
GA Accident/ Incident Data
FAA Order 8020.11B prescribes procedures and responsibilities for
aircraft accident and incident notification, investigation, and
reporting
FAA
Investigator
in charge
(FAA IIC)
FAA
Participator
 The FAA IIC directs and controls all FAA participation in the investigation until the investigation is completed
 The FAA IIC reports to AAI-1 through the Manager, Accident Investigation Division, AAI-100.
 NTSB and the military service use the term "FAA coordinator" during NTSB or military service-conducted
investigations
 Participants from FAA side includes: Office of Accident Investigation, Operations Centers, Air Traffic Service, Flight
Standards Service, Aviation System Standards, Air Traffic Resource Management Program, Office of Runway Safety,
Office of Aviation Medicine, Airway Facilities Service, Office of Airport Safety and Standards, Office of The Chief
Counsel, Associate Administrator for Civil Aviation Security, Aircraft Certification Service, Office of Public Affairs, Office
of International Aviation, Office of Commercial Space Transportation (detailed responsibilities of each participant
available)
 Participants are responsible to the FAA IIC in all matters related to the function(s) assigned by and/or agreed to by the
FAA IIC. FAA participants shall not withdraw from the investigation (if assigned to a group) until that phase of the
investigation has been completed or they are released by the NTSB IIC and the FAA IIC. Participants shall submit
reports if requested by the FAA IIC.
 Participants may provide information or reports only to members of the investigative team and appropriate FAA
management. The FAA IIC shall be made aware of the nature and content of this information.
Source: FAA 8020.11B, Booz & Company analysis
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GA Accident/ Incident Data
FAA Order 8020.11B also provides recommendation on procedures
for accident and incident prevention
Accident or Incident Prevention
Recommendations Process
Inspector, FAA
Manager, other FAA
employee
 Prepare a memorandum which
briefly describes the accident
or incident and the deficient
areas
 Receive the final
decision from SRRB
Review by author or
other individuals
Federal Aviation
Administration, Office of
 Review each recommendation,
Accident Investigation,
enter it in the office's evaluation
Recommendation and
program
Analysis Division
(AAI 200)
Forward to FAA
 entered into the Program
Tracking and Reporting
System will not be received
or acted upon by AAI
Action Office
 90 calendar days to evaluate the recommendation
and forward its response to AAI-200
FAA Action Office
 Safety recommendations deemed as emergency
or significant in nature may have suspense dates
of less than 90 days.
Safety Recommendation
Review Board
Not Approved
- Reevaluate
 Response
- (Rejected or Accepted)
 Review all responses from the FAA action
offices
Approved
Source: FAA 8020.11B, Booz & Company analysis
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GA Accident/ Incident Data
2
NTSB has lower accident or incident investigation priority for
general aviation as compared with airlines
NTSB Roles
Accident Level and Description
Major Accident
Major Investigation,
Regional Office
 This usually entails an accident involving a commercial
airliner or cargo aircraft
 The Washington headquarters of the NTSB,
through the OAS dispatches a “go-team” of
investigators to handle the investigation of such an
accident
 This is a less serious air accident in which significant safety
issues have been identified.
 It is handled by one of the NTSB’s six regional
offices, at least at the outset
 Some nonfatal airline accidents and most small commuter
airline accidents fall into this category
Field Investigation
Limited Investigation
(Non-field
investigation)
 This is an airline accident or incident with no fatalities (such
as an incident involving air turbulence) or a GA accident.
 The investigation is conducted by the nearest
regional office and at least one investigator goes
to the site of the accident
 A limited investigation, sometimes called a “desk
investigation,” is conducted subsequent to an event
involving GA aircraft
 The investigation of GA accidents is almost
exclusively assigned to the field and regional
offices
 They include accidents involving rotorcraft, amateur built
aircraft, restricted category aircraft, and all fixed wing
aircraft that have a certificated maximum gross takeoff
weight of 12,000 pounds or less, unless fatalities occurred,
the aircraft was operated as an “air taxi,” or the accident
involved a midair collision
NTSB, Booz & Company analysis
Delegated
Investigation
(Non-field
Investigation)
Source:
Applicable to
GA
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 This investigation is carried out by U.S. mail or
over the telephone
 These investigations are delegated to the FAA
 The FAA is directed to report the facts, conditions,
and circumstances of the accident to the NTSB; if
necessary, the Safety Board may determine the
probable cause
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2
GA Accident/ Incident Data
CAAC has more stringent initial notification than NTSB requiring
incidents be notified
Initial Notification of Aircraft Accidents and Incidents
Report to nearest NTSB office
Report CAAC or Regional Aviation Administration
Accident
 An aircraft accident - (including GA accident)
 All flight accident - immediate to CAAC and regional
aviation administration (including GA)
 All ground aviation accident - immediate to regional
aviation administration (including GA)
Incident
 Flight control system malfunction or failure;
 All incident - immediate to regional aviation
 Inability of any required flight crewmember to perform
administration (including GA)
normal flight duties as a result of injury or illness;
 Failure of structural components of a turbine engine
excluding compressor and turbine blades and vanes;
 In-flight fire; or
 Aircraft collide in flight.
 Damage to property, other than the aircraft, estimated
to exceed $25,000 for repair (including materials and
 labor) or fair market value in the event of total loss,
whichever is less.
 (including GA)
Source: Civil Aviation Safety Information Management Regulation, 14 CFR 830, Booz & Company analysis
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GA Accident/ Incident Data
CAAC follows four principles to ensure independency, objectivity,
thoroughness and comprehensiveness of accident investigation
Investigation Principles
 Independent Investigation Principle: the
accident investigation should be
independent, and any other organization and
individuals cannot obstruct the investigation
 Objective Investigation Principle: the
accident investigation should base on facts,
and be objective, fair and scientific without
subjectivism
 Depth Investigation Principle: the accident
investigation should find out the direct
causes, and other causes during the
process, and analyze the factors, including
aircraft design, manufacture, operation,
maintenance, airmen training, government
regulations and corporate governance and
implementation
 Complete Investigation Principle: the
accident investigation should find out not
only the causes and factors relevant to this
accident, but also some exposed, not
relative factors which affects aviation safety
Investigation Party
 The accident investigation
charged by CAAC including:
– Major flight accident
delegated by state council;
– Accident by foreign civil
aircraft in China, except for
the ones delegated to other
organizations by state
council;
– Serious public transport
accident;
 The accident investigation
charged regional aviation
administration:
– Serious and general GA flight
accident;
– General public transport flight
accident;
– Other accidents delegated by
CAAC
Investigation Team
 The structure of investigation team should follow:
– The investigation department should appoint one team leader.
This team leader is in charge of investigation, and has the
rights to made decision for team structure and investigation
work. The team leader for serious and above accident should
be chief investigator and for general accident and incident
should be chief investigator or investigator;
– Based on investigation needs, the team leader could establish
several professional sub-team, in charge of the investigation
on flight operation, airworthiness and maintenance, air traffic
management, aeronautical meteorology, air security, airport
support, flight record analysis, failure analysis, aviation
medicine, survival factors, human factors and safety
management . The team leader should appoint one chief
investigator or investigation as the leader of professional subteam
– The investigation team should consist of investigator and
temporary experts. The team should follow the team leader’s
management during investigation process and only report to
the team leader. During the investigation period, the team
member should devote him/herself into investigation without
other benefits
– The one who has direct stakes with accident or incident
cannot join the investigation
Source: Civil Aviation Accident Investigation Regulation, Booz & Company analysis
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GA Accident/ Incident Data
CCAR-395-R1 provides the standard procedure for accident
notification and reporting
Civil Aviation Accident Notification and Reporting Procedure
Oral Report: Immediate
Organization/Individual
Written Report: within 12 hours
Involved in the
accident
Oral Report: Immediate
Written Report: within 12 hours
Local Civil Aviation
Administration and
Local Government
Local Government
Oral Report: Immediate
Written Report: within 24
hours
CAAC Air Traffic
Management Bureau,
Operation Management
Centre
CAAC Accident
Investigation Division
Executives of CAAC
and Corresponding
Departments
State Council and
corresponding
ministries
Representatives of Aircraft Registry
Country, Operator Registry Country, Design
Country, Manufacture Country and ICAO
Initial Accident Report
within 30 days to ICAO
Source: CCAR-395-R1, Booz & Company analysis
Booz & Company
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2
GA Accident/ Incident Data
CAAC also starts to establish the aviation safety information
management system but different from ASRS in the U.S
Regulation on
Aviation Safety Information Management System
 CCAR 396 Regulations on Civil Aviation Safety Information
Management (Effective from Apr.7th, 2005)
 Article 5 The Civil Aviation Safety Information System refers to the
computer network system that collect, report and manage civil aviation
information
 Article 8 CAAC is in charge of establishing civil aviation safety
information system to share civil aviation safety information
 Article 9 CAAC encourage and support the relevant technical research
on collection, report and analysis of civil aviation safety information,
and CAAC will praise and reward the individuals / organizations that
make significant contribution to civil aviation safety information
management
 Article 16 It should use the most appropriate and quick channel to
report civil aviation safety information; the initial and final report should
be reported via civil aviation safety information system, and other
channels are also applicable if the system is not available
Discussion
 China’s aviation safety information management
system is intent on collecting, reporting and managing
aviation data, however, ASR helps more to establish a
sharing platform and focus on the missing part of safety
management and investigation
 China’s aviation safety information management
system is not open to the public but a selected
subscriber e.g. regional aviation administration, GA
operators
 China’s aviation safety information system is run by
CAAC, and ASR is run by NASA - an independent
third-party which separate the authorization and
 ASR and aviation safety information system are
different and not at the same developing stage due to
its purpose and causes
Source: CCAR-396, Booz & Company analysis
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3
Safety Performance Measurement
CAAC must prioritize improvement of GA flight activity data
survey and establishment of GA safety performance metrics
Observation
Observations
GA Activity
Survey
GA Safety
Targets
GA Accident/
incident
Statistics
 Flight hour statistics published in
Statistical Data on Civil Aviation of
China
 No structured survey mechanism in
place
 No definite target is set
 Only mention “prevent GA major
accident” in annual CAAC safety
work plan
 Established and data published in
Statistical Data on Civil Aviation of
China
 Data set not as comprehensive as
FAA, need prioritize “fatal accident”
 Lack of breakdown by segments
Less established
More established
GA
Accident/incide
nt Reporting
 Accident/ incident reporting system
established
 Appropriate regulations and orders
are in place
GA Accident/
incident
Investigation
 Accident/ incident investigation
system established
 Appropriate regulations and orders
are in place
Aviation Safety
Information
System
CAAC must prioritize
these improvement
needs
 Post accident/incident information
sharing system in place
 Lack of voluntary incident reporting
(those not required under
regulations) such as Aviation Safety
Reporting System in the U.S.
Source: Booz & Company analysis
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Executive summary
GA Safety Regulation
Safety oversight organizational structure
Safety performance measurement
Safety culture and promotion
Appendix
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In terms of the management of safety, understanding of culture is
as important as understanding context
ICAO
 Culture can be described in the simplest terms as a “collective programming of the mind”. It is the
sum total of the way people conduct their affairs in a particular social milieu and provides a
context in which things happen
– influences the values, beliefs and behavior that we share with the other members of our various
social groups
– binds us together as members of groups and provides clues and cues as to how to behave in
both normal and unusual situations
– sets the rules of the game, or the framework for all our interpersonal interactions
 In terms of the management of safety, understanding culture is as important as understanding
context, since culture is an important determinant of human performance
Source: ICAO Safety Management Manual, Booz & Company analysis
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Safety management initiatives with organizational culture offering
the greatest opportunities to promote safety culture
ICAO
Three Distinct Culture
National
Professional
Organizational
 The greatest scope for creating and nourishing an
effective, generative culture for the management of
safety is at the organizational level
 Operational personnel in aviation are influenced in
their day-to-day behavior by the value system of their
organization
Source: ICAO Safety Management Manual, Booz & Company analysis
Booz & Company
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Description of Three Culture
 National culture differentiates the national characteristics and value
systems of particular nations. People of different nationalities differ,
for example:
– in their response to authority
– how they deal with uncertainty and ambiguity, and how they
express their individuality
 Professional culture differentiates the characteristics and value
systems of particular professional groups (the typical behavior of
pilots vis-à-vis that of air traffic controllers, or maintenance
engineers)
– Through personnel selection, education and training, on-the-job
experience, peer pressure and etc., professionals (physicians,
lawyers, pilots, controllers) tend to adopt the value system and
develop behavior patterns consistent with their peers
– They generally share a pride in their profession and are
motivated to excel in it
 Organizational culture differentiates the characteristics and value
systems of particular organizations (the behavior of members of one
company versus that of another company, or government versus
private sector behavior).
– For example, in an airline, pilots may come from different
professional backgrounds (military versus civilian experience,
bush or commuter operations versus development within a large
carrier)
89
There are four main factors that can influence organizational
safety culture
Booz & Company Analysis
Main Influential Aspects of Organization Safety Culture
Voluntary and Collaborative Approach
Safety Management Tool Approach
1 Institutionalize an effective
3 Voluntary industry
stakeholder participation
to improve safety
– Programs and initiatives to
help GA companies
develop A safety culture
that holds safety as a core
value
safety reporting system
– Encourages safety incident
reporting
– Defines clear accountability
and responsibilities
– Enables flexibility and
information sharing and
learning
Safety Culture
2 Cultivate safety
investigation culture to
improve system reliability
– Learn about system
vulnerability;
– Develop strategies for
change; and
– Prioritize investment of
safety resources
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4 Government and Industry
Partnership to improve
safety
– Develop joint workgroup to
spearhead safety
improvement initiatives
– Encourage information and
lessons learned sharing
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1
Safety reporting system
One of the most influential aspects of an organizational culture in
terms of the management of safety is the safety reporting system
ICAO
Effective safety reporting — Five basic traits
 Personnel are knowledgeable about the
human, technical and organizational
factors that determine the safety of the
system as a whole
– Institutionalize formal training to
recognize and report hazards
– Understand the incidence and
consequences of hazards
Information
Flexibility
 People can adapt reporting when
facing unusual circumstances
– Shifting from the established
mode to a direct mode thus
allowing information to quickly
reach the appropriate decision
making level
Effective
Safety Reporting
 People are willing to report their
errors and experiences
– Identify operational
requirements to support active
hazard reporting and ensure
key safety data are properly
registered
Willingness
Learning
Accountability
 People have the competence to
draw conclusions from safety
information systems and the will to
implement major reforms as a
consequence of the awareness of
the importance of communicating
hazard information at all levels of
the organization
 People are encouraged (and rewarded) for providing essential
safety information related to hazards
– Establish a system of checks and balances that ensures that
reporters of hazards feel confident that hazard reporting will not
be put to uses others than for which it was implemented
Source: ICAO Safety Management Manual, Booz & Company analysis
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1
Safety reporting system
In the U.S. voluntary incident reporting system such as ASRS is
implemented to encourage incident reporting and information
U.S. Example
sharing
Descriptions of FAA’s Aviation Safety Reporting System (ASRS)
ASRS
 The Aviation Safety Reporting System, or
ASRS, is a voluntary system that allows pilots
and other airplane crew members to
confidentially report near misses and close
calls in the interest of improving air safety
Reporting Process
 A notable feature of the ASRS is its confidentiality and
immunity policy. Reporters may, but are not required,
submit their name and contact information
Independent
 The confidential and independent nature of the
ASRS is key to its success, since reporters do
not have to worry about any possible negative
consequences of coming forward with safety
problems
 The ASRS is run by NASA, a neutral party,
since it has no power in enforcement. The
success of the system serves as a positive
example that is often used as a model by other
industries seeking to make improvements in
safety
 Pilot is one of the key sources of ASRS and ASRS wants
to involve more pilot in this program
 If the ASRS staff has questions regarding a report, it can
perform a callback and request further information or
clarification from the reporter. Once the staff is satisfied
with the information received, the report is stripped of
identifying information and assigned a report number
Confidential
 The part of the reporting form with contact information is
detached returned to the reporter. ASRS will issue alerts
to relevant parties, such as airlines and air traffic
controllers, if it feels it is necessary to improve safety
 The ASRS also publishes a monthly newsletter
highlighting safety issues, and now has an online
database of reports that is accessible by the public
Source: NASA, Booz & Company analysis
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1
Safety reporting system
FAA has established an accident library to share information for
most major accidents and their related lessons with users
U.S. Example
Lessons Learned From Transport Airplane Accidents
Objective and Methodology
of Accident Library
 The objective is to populate the
material with many more of the most
historically significant, policy shaping
accidents, in order that the lessons
that can be learned from their review
may be available to all users of the
library
 Each accident also contains at least
one high level lesson related to a
threat element, and at least one
lesson related to a theme element
Accident Threat Categories
Bird Hazards
Cabin Safety /
Hazardous Cargo
Flight Deck Layout / Crew Resources
Avionics Confusion Management
Fuel Exhaustion
Fuel Tank Ignition
Inclement Weather / Incorrect Piloting
Icing
Technique
Pressurization/
Decompression
Failures
Lack of System
Isolation /
Segregation
Landing / Takeoff
Excursions
Midair / Ground
Incursions
In-flight Upsets
Structural Failure
Uncommanded
Thrust Reversal
Uncontained
Engine Failure
Uncontrolled Fire
Windshear
Accident Threat Categories
Flawed Assumptions
Human Error
Organizational Lapses
Pre-existing Failures
Unintended Effects
Source: Lit Research, Booz & Company analysis
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Safety Investigation Culture
Another important influential aspect is the progression of safety
investigation culture from funereal purpose to improving system
ICAO
reliability
Progression of Safety Investigation Culture
Safety investigation for “funeral”
purposes
 This is a traditional approach to safety
investigation
 Its main purposes are to:
– put losses behind;
– reassert trust and faith in the system;
– resume normal activities; and
– fulfill political purposes.
Safety investigation for improved system
reliability
 It focuses on the identification and analysis
of the occurrence causation
 The main purposes are to:
– learn about system vulnerability;
– to develop strategies for change; and
– to prioritize investment of safety resources
Source: ICAO Safety Management Manual, Booz & Company analysis
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3
Voluntary Industry Stakeholder Participation
Voluntary participation of industry stakeholders to spearhead
safety programs is crucial and effective to cultivate safety culture
U.S. Example
Background of Medallion Foundation
 The Medallion Foundation is a non-profit
organization promoting aviation safety through
systems enhancements by providing
management resources, training, and support
to the aviation community
 It focuses on changing the culture and
attitude of operators and pilots flying in
Alaska
 The Foundation provides training on system
safety and human behavior in an effort to
reduced aviation accidents
Source: Medallion Foundation, Booz & Company analysis
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5-Star Shield Programs
 The 5-Star Shield programs promotes and helps develop:
– A safety culture that holds safety as a core value
– Continuous professional development of individual skills and
competence
– Proactive sharing of operational control responsibilities
– Hazard identification and risk management techniques and trend
analysis
– Management practices that support the organization's safety
objectives
 The program encourages organizations to develop and incorporate a:
– Safety Star Program
– CFIT Star Avoidance Program
– Operational Risk Management Star Program
– Maintenance and Ground Service Operations Star Program
– Internal Evaluation Star Program
 The Medallion Shield is the culmination point of the 5-Star program;
as once an organization has received all five stars, they are eligible to
be evaluated for the Medallion Shield
 This evaluation focuses on company management, corporate safety
culture and front-line employees to determine if the concepts
associated with the stars are successfully incorporated into day-today company operations
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Government and Industry Partnership
FAA works closely with industry stakeholders to spearhead efforts
to improve GA safety
U.S. Example
General Aviation Joint Steering Committee
GAJSC members
 The General Aviation Joint Steering Committee (GAJSC) is a
government-industry group that
Federal Aviation Administration
– manages efforts to reduce fatal general aviation accidents
– meets about four times a year to review GA accident trends,
establish areas for special emphasis, and share information
 The FAA and the Aircraft Owners and Pilots Association (AOPA) Air
Safety Foundation (ASF) co-chair the GAJSC
 The GAJSC conducts its work through three subgroups:
– Personal/Sport Aviation: This subgroup oversees multiple accident
mitigation strategies related to weather, controlled flight into terrain
(CFIT), and aeronautical decision-making
– Technically Advanced Aircraft/Automation: The TAA/Automation
Subgroup monitors the introduction of new GA aircraft designs and
new avionics, which have increased the feasibility of using these
aircraft for personal transportation
– Turbine Aircraft Operations: The Turbine Aircraft Operators
Subgroup works to mitigate accidents in the nonscheduled Part 135
sector and to proactively address safety issues arising from the
introduction of very light jets (VLJs)
 The GAJSC’s General Aviation Data Improvement Team oversees the
annual GA activity survey and analyzes accidents in each sector
Aircraft Owners and Pilots Association (AOPA)
Source: FAA
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Experimental Aircraft Association (EAA)
General Aviation Manufacturers Association
(GAMA)
Helicopter Association International (HAI)
National Air Transportation Association (NATA)
National Business Aviation Association (NBAA)
National Transportation Safety Board (NTSB)
National Weather Service
Small Aircraft Manufacturers Association (SAMA)
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Government and Industry Partnership
FAA Safety Team also encourage continual growth of a positive
safety culture within the aviation community
Mission of FAA Safety Team
 To improve the Nation's aviation safety record
by conveying safety principles and practices
through training, outreach, and education. At
the same time, FAASTeam Managers and
Program Managers will establish meaningful
aviation industry alliances and encourage
continual growth of a positive safety culture
within the aviation community.
The new FAASTeam will help the
FAA and industry focus their
resources on combined efforts to
reach our common goal of reducing
accidents. Join the FAASTeam and
be part of the solution! "
-- Kevin Clover, National FAA Safety
Team Manager
New Relationship with Aviation Community
 FAASTeam Members
– A FAASTeam Member is anyone who makes a conscious effort to
promote aviation safety and become part of the shift in safety
culture. To become a member:
– Sign-up to use FAASafety.gov and take part in all it has to offer.
– Pilots – participate in our new WINGS - Pilot Proficiency Program
– Mechanics – participate in the AMT Awards Program
– Attend live FAASTeam seminars and events in your area
 FAASTeam Representatives
– Aviation safety volunteers that wish to work closely with
FAASTeam Program Managers (FPM) to actively promote safety
may be designated as FAASTeam Representatives. These
volunteers will receive training and will be supported by the FPM
with equipment and materials
 FAASTeam Industry Members
– The FAASTeam is in the process of developing guidelines for the
establishment of Industry Members. They are companies or
associations of people that have a vested interest in aviation
safety. The guidelines will describe how these groups and the
FAASTeam can formalize their desires to promote aviation safety
together
Source: Lit Research, Booz & Company analysis
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Executive summary
Aviation regulatory system
GA Safety Regulation
Roles and responsibilities of AFS
Safety oversight organizational structure ICAO definitions
Safety performance measurement
Safety culture and promotion
Appendix
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Overall structure of U.S. Aviation Regulatory System
Title 49 Transportation
Congressional Acts (Acts of Congress are Public Laws)
Code of Federal Regulations (CFR) (50 Titles)
Public Law Basis for Title 14 is PL 103-272
Title 14 Aeronautics and Space (Five Volumes)
Volume 1 Part 1-59,
Chapter I
Subchapter A
Definitions and
Abbreviations
Part: 1, 3
Subchapter B
Procedural Rules
Parts: 11, 13, 14, 15, 16, 17
Subchapter
Aircraft
Parts: 21, 23, 25, 27, 29,
31, 33, 34, 35, 36, 39, 43,
45, 47, 49
Volume 2 Parts 60-139,
Chapter I
Volume 3 Parts 140-199,
Chapter I
Subchapter D
Airmen
Parts: 61, 63, 65, 67
Subchapter H
Schools and Other Certified Agencies
Parts: 141, 142, 145, 147
Subchapter E
Airspace
Parts: 71, 73, 77
Subchapter I
Airports
Parts: 150, 151, 152, 155, 156, 157,
158, 161, 169
Subchapter F
Air Traffic and General
Operating Rules
Parts: 91, 93, 95, 97,99, 101,
103, 105
Subchapter J
Navigational Facilities
Parts: 170, 171
Subchapter G
Air Carriers
Parts: 119, 121, 125, 129, 133,
135, 137, 139
Volume 4
Chapter II
Parts 200-399
Office of Secretary,
D.O.T
Volume 5
Parts 1200-1299
Chapter V
NASA
Chapter III
Parts 200-399
Parts 400-1199
Office of Commercial
Space Transportation
Subchapter K
Administrative Regulations
Parts: 183, 185, 187, 189, 193
Subchapter L through M
Reserved
Subchapter N
Risk Insurance
Part: 198
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Comparison of US FAR and China CCAR
Airport
U.S. FAR
Scope
China CCAR
Part 139
 Certification of airports
Part 150
 Airport noise compatibility planning
Part 151
 FEDERAL AID TO AIRPORTS
CCAR 158
Part 152
 AIRPORT AID PROGRAM
CCAR 158
Part 153
 AIRPORT OPERATIONS
CCAR 97-RSI/2, CCAR 139CA-R1
CCAR 140
Part 155
 RELEASE OF AIRPORT PROPERTY FROM SURPLUS PROPERTY DISPOSAL
RESTRICTIONS
CCAR 229
Part 156
 STATE BLOCK GRANT PILOT PROGRAM
Part 157
 NOTICE OF CONSTRUCTION, ALTERATION, ACTIVATION, AND DEACTIVATION
OF AIRPORTS
Part 158
 PASSENGER FACILITY CHARGES (PFC'S)
Part 161
 NOTICE AND APPROVAL OF AIRPORT NOISE AND ACCESS RESTRICTIONS
Part 169
 EXPENDITURE OF FEDERAL FUNDS FOR NONMILITARY AIRPORTS OR AIR
NAVIGATION FACILITIES THEREON
Booz & Company
 民用机场航空器活动区道路交通安全管理规则
CCAR 331 SB-R1
 民用机场专用设备使用管理规定
CCAR 137CA-R2
 民用运输机场应急救援规则
CCAR 139-2
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Comparison of US FAR and China CCAR
Airmen
U.S. FAR
Scope
China CCAR
Part 60
 FLIGHT SIMULATION TRAINING DEVICE INITIAL AND CONTINUING
QUALIFICATION AND USE
CCAR-60
Part 61
 CERTIFICATION: PILOTS, FLIGHT INSTRUCTORS, AND GROUND INSTRUCTORS
CCAR-61 -R1/R2
Part 63
 CERTIFICATION: FLIGHT CREWMEMBERS OTHER THAN PILOTS
CCAR-63FS
Part 65
 CERTIFICATION: AIRMEN OTHER THAN FLIGHT CREWMEMBERS
CCAR-65FS-R1
CCAR-65TM-III-R3
CCAR-65TM-1-R2
CCAR-66-R1
CCAR66TM-I-R3
Part 67
 MEDICAL STANDARDS AND CERTIFICATION
CCAR-67FS
CCAR-67FS-R1
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Comparison of US FAR and China CCAR
Operation
U.S. FAR
Scope
China CCAR
Part 91
 General operating and flight rules
CCAR 91
Part 101
 Moored balloons, kites, unmanned rockets and unmanned free balloons
N.A.
Part 103
 Ultralight vehicles
CCAR 91 Section O
Part 105
 Parachute operation
CCAR 91 Section P
Part 133
 Rotorcraft external-load operation
CCAR 91 Section N
Part 137
 Agricultural aircraft operation
CCAR 91 Section M
 Light-sport aircraft
N.A
Part 135
 Commuter and on demand operations
CCAR 135
Part 125
 Airplanes having a seating capacity of 20 or more passengers or
maximum payload capacity of 6000 pounds or more
CCAR 91 Section L
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Comparison of US FAR and China CCAR
Operator
U.S. FAR
Scope
China CCAR
Part 119
 CERTIFICATION: AIR CARRIERS AND COMMERCIAL OPERATORS
CCAR-121-R2
Part 129
 OPERATIONS: FOREIGN AIR CARRIERS AND FOREIGN OPERATORS OF U.S.REGISTERED AIRCRAFT ENGAGED IN COMMON CARRIAGE
CCAR-119TR-R1
CCAR-129
Part 141
 PILOT SCHOOLS
CCAR-141
Part 142
 TRAINING CENTERS
CCAR-142
Part 145
 REPAIR STATIONS
CCAR-145-R3
Part 147
 AVIATION MAINTENANCE TECHNICIAN SCHOOLS
CCAR-147
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Executive summary
Aviation regulatory system
GA Safety Regulation
Roles and responsibilities of
Safety oversight organizational structure AFS
Safety performance measurement
ICAO definitions
Safety culture and promotion
Appendix
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General Aviation and Commercial Division
Responsibility of General Aviation and Commercial Division
 Responsible for regulations and policy recommendations governing the certification, inspection, and surveillance of general aviation airmen,
DPEs, general aviation air agencies (pilot schools), commercial operations (rotorcraft external load, agricultural, part 125 operators, part 91,
corporate, business, personal and recreational, subpart K fractional ownership) and public aircraft operations.
 With respect to the foregoing, the division:
– Develops and recommends national policies, standards, systems, procedures, and program plans to include international operation activities.
– Determines the need for, justifies, and formulates new or amended regulations and supplementary regulatory material; participates in regulatory review
programs; recommends grants or denials of exemptions; and develops Operation Specifications.
– Advises the Director, Associate Administrator, and other principal officials, and serves as a central point of contact for the public and the aviation
community on matters appropriate to the national level.
– Participates in the analysis and evaluation of field execution of programs.
– Determines the need for, and recommends research and development projects.
– Guides and assists the other divisions, the regions, and other elements of the agency in the implementation and conduct of related programs, and
provides guidance on applying agency policies, standards, and procedures pertaining to safety issues.
– Develops, coordinates, and issues national directives to provide technical guidance on policies and procedures.
– Recommends, initiates, and coordinates regulatory and policy actions to resolve safety problems resulting from accidents, incidents, or other sources.
 Provides liaison between FAA and other offices for general aviation issues regarding airspace rules, air carrier interface, pilot certification,
human factors, and other vital topics.
 Facilitates and coordinates concerns of the aviation community to assure general aviation views are considered in air traffic rules and aviation
safety regulatory actions.
 Develops, coordinates, and recommends career development programs to ensure organizational competence for employees of this division
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
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General Aviation and Commercial Division Certification & General Aviation Branch
Working Scope
Roles and Responsibilities
 This branch, AFS-810, is
the principal element of the
division concerning the
certification and training of
– airmen (pilots, ground,
and flight instructors)
under part 61 and the
operational aspects of
part 91 (except for air
traffic and aircraft
maintenance rules)
– as pertaining to
sport/recreational/
personal operations
(excluding light sport
aircraft), aviation events,
operations of surplus
military aircraft and
operations under parts
101, 103, and 105.
 Ensures the initiation of appropriate corrective actions concerning FAA’s regulations/policies,
procedures, standards, and operating practices as a result of reviewing investigations and
hearings resulting from general aviation accidents, incidents, and violations.
 Advises the Director, Associate Administrator, and other officials on advanced flight training,
general aviation management systems, and flight training standards. The branch is
responsible for the development and implementation of standards, policies, and procedures.
 Ensures course sponsors and mentors coordinate with AFS_500 to ensure that new and
existing course are accurate, kept current, and meet AFS objectives and the organization’s
needs.
 Ensures inclusion of Flight Standards’ programs, goals, and objectives in the development,
review, and recommendation of policy and procedures with respect to Designated Pilot
Examiners who serve the general aviation community.
 Analyzes NTSB Safety Recommendations and prepares required responses on its findings
following an accident investigation.
 Responds to FAA Safety Recommendations from field offices and takes proper action.
 Advises the Associate Administrator for AVS, AFS-1, and AFS-800 management on matters
pertaining to the National Airshow Program and aviation events. In addition to advisement
responsibilities, the branch is responsible for establishing rules, technical guidance, policies,
and approvals on national air show matters and aviation events.
 Provides program management for the development and deployment of the Airman Certificate
and/or Rating Application (ACRA)/Integrated ACRA (IACRA) automated airman application
program.
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
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General Aviation and Commercial Division Commercial Operation Branch
Working Scope
Roles and Responsibilities
 This branch, AFS-820, is
the principal element of the
division with respect to the
– operational aspects of
part 91 to include
corporate, turbine and
very light jets, (except for
air traffic and aircraft
maintenance rules)
– as pertains to
commercial operations,
part 91, corporate
business and aerial
work, subpart K
(fractional ownership)
and parts 125, 133, 137,
and public aircraft
operations.
 Ensures the initiation of appropriate corrective actions concerning FAA policies,
procedures, standards, and operating practices, as a result of reviewing investigations
and hearings resulting from general aviation accidents, incidents, and violations.
 Participates on the FOEB and FSB.
 Analyzes NTSB Safety Recommendations and prepares required responses on its
findings following an accident investigation.
 Responds to FAA Safety Recommendations from field offices and takes proper action.
 Develops and carries out division policy pertaining to the MMEL.
 Evaluates training for General Aviation Operations inspectors.
 Develops and carries out rotorcraft policy, external-load operations, and leads the
Vertical Flight Committee.
 Drafts and reviews applicable chapters of Order 8900.1 for operations under part 91,
including subpart K, and parts 125, 133, and 137 (except for air traffic and aircraft
maintenance rules).
 Administers and oversees the Headquarters regional 4040 flight proficiency program.
 Serves as co-chair to the Turbine Aircraft Operations Subgroup of the General Aviation
Joint Steering Committee.
 Develops and carries out policy concerning aerial work such as banner towing and
motion picture operations.
 Works with DOT regarding North American Free Trade Agreement policy. Develops and
implements NAFTA guidance and policy for FAA field offices.
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
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General Aviation and Commercial Division Plans and Program Branch
Working Scope
Roles and Responsibilities
 This branch, AFS-820, is
the principal element of the
division with respect to the
– operational aspects of
part 91 to include
corporate, turbine and
very light jets, (except for
air traffic and aircraft
maintenance rules)
– as pertains to
commercial operations,
part 91, corporate
business and aerial
work, subpart K
(fractional ownership)
and parts 125, 133, 137,
and public aircraft
operations.
 Provides advice, counsel, and program support to the division manager and other
members of the division’s management team on management systems,
processes, procedures, principles, and methodologies; strategic and tactical
planning; matrix and participative management; and program analysis, evaluation,
success metrics, and quality assurance measures.
 Develops and implements division policies, programs, processes, and procedures
governing administrative, fiscal, and human resource management.
 In accordance with established FAA administrative policies and procedures,
provides administrative management support for the division’s management team
for correspondence control and general paperwork management, contract
management, general office services, and logistical support.
 Monitors and reports on the progress of responses for White House Report,
Congressional requests for action, requests under the Freedom of Information
Act, and the Government Performance and Results Act.
 Monitors the Cost Accounting System/Labor Distribution Reporting activities for
the division.
 Manages the production of all division publications. This includes FAA Aviation
News. The branch responds to requests from AFS-1 to provide design and
photographic support for various publications.
 Acts as the division focal point for matters pertaining to ISO 9000 issues.
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
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Regional Flight Standard Division
Flight Standard District Office
Roles of
Flight Standard Regional Division
 The Flight Standards division is responsible for
Flight Standards matters, airmen, operators, and
airworthiness matters. The division is under the
executive direction of the Director, Flight Standards
Service. The division provides staff assistance to
the director and program support to FAA
representative regarding
– Inspection and surveillance of general aviation
operating U.S.-registered aircraft within the area
– Recurrent airworthiness certification and the
airworthiness of air carrier and general aviation
aircraft
Roles of
Flight Standard District Office
 The Flight Standards District Offices (FSDO) are field
elements of the Flight Standards Service.
 FSDOs are responsible for the certification and
surveillance of air operators, air agencies, and airmen.
 FSDO personnel conduct or assist in conducting
accident and incident investigations and investigate
possible violations of the Federal aviation regulations.
 They ensure the adequacy of flight procedures,
operating methods, airmen qualifications and
proficiency, and aircraft maintenance.
 Aviation safety is promoted through accident prevention
and other safety-related seminars presented by FSDO
aviation safety program managers
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
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Civil Aviation Registry
Aircraft Registration Branch
 AFS-750, is responsible for the national programs of
aircraft registration, recording of encumbrances against
U.S. civil aircraft, identification system of registered
aircraft, and law enforcement assistance as it involves
the aircraft registration program
 Serves as the national repository for aircraft records
containing registration, lien, and airworthiness
information
 Provides technical advice and assistance to financial
institutions, attorneys, title search companies, FAA and
other government offices, foreign registries, and the
aviation public pertaining to aircraft registration and
recording
Airmen Certification Branch
 AFS-760, is responsible for the issuance of all FAA
airmen certificates, the content of all airmen certification
records and law enforcement assistance as it involves
the airmen certification program.
 Serves as the national repository for airmen certification
records and provides the central services necessary for
control of these records, which are used in court
litigation, employment, and insurance verification by the
aviation public
 Provides advice, guidance, and regulatory counsel to the
aviation public, attorneys, law enforcement agencies,
government officials at all levels, foreign government
aviation officials, and agency field personnel on
regulatory matters concerning the testing and
certification of airmen
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
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Aircraft Maintenance Division General Aviation Branch
Development of certification, inspection, and
surveillance policy
 Airmen: mechanic certificate, repairman certificate,
inspection authorization, and parachute riggers.
 Aviation Maintenance Technical Schools (AMTS).
 Various designated representatives of the Administrator
(designees) to include Designated Airworthiness
Representatives and Organization Designation
Authorities.
 Designated maintenance examiners, and designated
parachute rigger examiner.
 Ensures course sponsors and mentors coordinate with
AFS-500 to ensure that new and existing courses are
accurate, kept current, and meet AFS objectives and the
organization’s needs.
 General aviation maintenance operations under 14 CFR
parts 43 and 91.
 Malfunction or defect reporting (M or D) systems.
Other Functions
 Develops, implements, and evaluates, procedures, policies,
and programs for the maintenance, alteration, and
airworthiness of aircraft used by pilot schools, external-load
operator, special purpose, agriculture operators, and
operating certificate holders under part 125.
 Provides technical interface with Aircraft Certification Service
(AIR) for general aviation function concerning maintenance
regulatory aspects of 14 CFR parts 21, 23, 25, 27, and 29
regarding data approvals for repairs and alterations.
 Provides technical guidance to the other divisions, the
regions, and the other elements of the agency on all
operational and technical facets of general aviation.
 Provides technical assistance to other Government agencies,
industry, and international aeronautics organizations
 Coordinates course sponsors and mentors with AFS-500 to
ensure that new and existing courses are accurate, kept
current, and meet AFS objectives and the organization’s
needs
Source: FAA Order FS 1100.1B, Flight Standard Organizational Handbook, Booz & Company analysis
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Executive summary
Aviation regulatory system
GA Safety Regulation
Roles and responsibilities of AFS
Safety oversight organizational structure ICAO definitions
Safety performance measurement
Safety culture and promotion
Appendix
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ICAO and FAA share similar definitions of general aviation and
aerial work
FAA treats aerial work as part of general
aviation though defines it separately
ICAO
FAA
Definitions of General Aviation and Aerial Work
Include both scheduled, non
scheduled, air cargo and air taxi
General Aviation
Aerial Work
Commercial Aviation
 “All civil aviation operations other
than scheduled air services and nonscheduled air transport operations
for remuneration or hire or aerial
work” (1)
 “An aircraft operation in which an
aircraft is used for specialized
services such as agriculture,
construction, photography, surveying,
observation and patrol, search and
rescue, aerial advertisement, etc” (2)
 “Commercial air transport operation.
An aircraft operation involving the
transport of passengers, cargo or
mail for remuneration or hire”. Annex
6 Part 1, Chapter 1 (3)
 “Flights conducted by operators
other than Title 14 of the Code of
Federal Regulations (14 CFR) part
121 or part 135 certificate holders”
 On demand/Non-scheduled
commercial operation as defined in
part 135 and 119
 “Aerial Work including Crop dusting,
seeding, spraying, and bird chasing;
Banner towing; Aerial photography
or survey; Fire fighting; Helicopter
operations in construction or repair
work; and power line or pipeline
patrol” (4)
 “Commercial purposes means the
transportation of persons or property
for compensation or hire, but does
not include the operation of an
aircraft by the armed forces for
reimbursement when that
reimbursement is required by any
Federal statute, regulation, or
directive” (5)
Although non scheduled and air taxi are not classified as GA&AW according to ICAO and
FAA definitions, they are usually considered part of GA&AW due to the type of aircraft used
1)
2)
3)
4)
5)
Source:
ICAO Annex 6 Part1, Chapter
Annex 6 Part1, Chapter 1.H9
Annex 6 Part 1, Chapter 1
14 CFR Part 119
14 CFR Part 1
ICAO, FAA, CAAC, Booz & Company analysis
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ICAO and FAA share similar definitions of aviation incident,
accidents and fatal accidents
Definitions of Incident, Accident and Fata Accident
ICAO Annex 13
Incident
Accident
Fatal Accident
 An occurrence, other than an accident,
associated with the operation of an aircraft which
affects or could affect the safety of operation.
 An occurrence associated with the operation of
an aircraft which takes place between the time
any person boards the aircraft with the intention
of flight until such time as all such persons have
disembarked, in which a person is fatally or
seriously injured or the aircraft sustains damage
or structural failure or the aircraft is missing or is
completely inaccessible.
 Fatal injuries include all deaths determined to be
a direct result of injuries sustained in the
accident.
NTSB/FAA
 An occurrence other than an accident associated
with the operation of an aircraft, which affects or
could affect the safety of operations
 An occurrence associated with the operation of
an aircraft which takes place between the time
any person boards the aircraft with the intention
of flight and until such time as all such persons
have disembarked, and in which any person
suffers death or serious injury, or in which the
aircraft receives substantial damage
 Any accident cause injury which results in death
within 30 days of the accident
Source: ICAO Annex 13, FAA 8020.11b, Booz & Company analysis
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ICAO, NTSB/FAA and CAAC have different but clear definition
for its classification of accident and incident
Classification of Accident and Incident
ICAO
 Accident
NTSB/FAA
 Accident
CAAC
 飞行事故 Flight Accident
 Serious Incident
– Major Accident
– 特别重大飞行事故 Major Flight Accident
 Incident
– Serious Accident
– 重大飞行事故 Serious Flight Accident
– Major Incident
– Injury Accident
– 一般飞行事故 General Flight Accident
– Significant Incident
– Damage Accident
 Occurrence without safety effects
 Incident
 航空地面事故 Aircraft Ground Accident
– 特别重大航空地面事故 Major Aircraft Ground
Accident
– 重大航空地面事故 Serious Aircraft Ground Accident
– 一般航空地面事故 General Aircraft Ground Accident
 事故征候 Incident
– 严重飞行事故征候 Serious Flight Incident
– 飞行事故征候 Flight Incident
– 训练飞行事故征候 Training Flight Incident
Source: NTSB Aviation Safety, ICAO ECCAIRS 4.2.6 Data Definition Standard, Civil Aviation Flight Accident Classification, Civil Aviation Ground Accident Classification, Civil Aviation Incident Classification,
Booz & Company analysis
Booz & Company
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