Human Factors in Flight Operations A CAA Perspective

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Human Factors in Flight OperationsA CAA
Perspective

• Pacific and Australasia CRM Developers and
  Facilitators Forum

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Scope

• Human Factors / Crew Resource Management
• Current regulatory framework
• Present industry state
• Initiatives for change
• Desired future state

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Focus
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Current Regulatory Framework

• Civil Aviation Act, s12(4)(b)
• Every participant shall ... provide training and
  supervision to all employees ... so as to
  maintain compliance with the relevant prescribed
  safety standards and the conditions attached to
  the document and to promote safety.

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Current Regulatory Framework

• Rules, Advisory Circulars
• Aircraft Certification
• Medical fitness
• Fatigue
• Human Factors training (CPL, IR)
• CRM / Operator training programmes (exposition
  acceptance)
• Safety Culture (AC 00-3)
• Reporting HF events (AC 12-1)

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Current Regulatory Framework

• Advisory Circular 61-5 CPL training syllabus
• Physiology
• Aviation psychology
• Situational awareness
• Judgement decision making
• Flight deck management
• Communication
• Threat Error Management
• Culture
• Ergonomics

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Current Regulatory Framework

• CAR 121.553 - Crew Member Training
• The certificate holder shall establish a
  training programme to ensure that each assigned
  crew member is trained and competent to perform
  their assigned duties.
• CAR 119.81 - Air operator exposition
• (a) ...provide the Director with an exposition
  that contains (11) details of the programmes
  required by ... Part 121. (b) The exposition
  must remain acceptable to the Director

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Current Regulatory Framework

• Summary
• NZ Civil Aviation Rules are not prescriptive, and
  do not cover all aspects of HF/CRM
• In the absence of AC guidance, exposition
  acceptance is subject to CAA FOI assessment
• Some initial training requirements for HF, but
  not for recurrent training
• Rules and associated guidance focus on technical
  skills, very little direction/guidance on
  non-technical skills

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Present Industry State

• Some operators have adopted comprehensive
  training programmes for CRM and HF (beyond Rule
  requirements)
• Many operators train to a minimum standard in
  these areas because
• they are not convinced of the safety benefit
• they do not have the resources to do so
• they are not compelled by regulation

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Initiatives for Change

• Safety Management Systems (SMS)
• Part 121/125 Rules Development
• Advisory Circular development
• Training and assessment of Human Factors during
  simulator and line training
• Safety promotion re Human Factors, including
  emphasis on Loss of Control, Runway incursions,
  Runway excursions etc.
• CAA audits and investigations focus on
  organisational factors

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SMS

• SMS Rule development underway (last PWG on 4
  August 2009)
• SMS Advisory Circular will have detailed
  acceptable means of compliance (AMOC)
• Service providers (operators) must address Human
  Factors as part of
• risk assessment and mitigation
• training and education

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ICAO SMS Manual

• Risk Assessment and mitigation (9.4.2)
• Safety risk controls must be designed and
  implemented. These alternatives will involve
  deployment or re-deployment of the traditional
  aviation defences technology, training, and
  regulations (policy, procedures).
• Safety Promotion Training and Education
  (9.11.4)
• Safety training and education should consist of
  the following ... Training incorporating SMS,
  including Human Factors and organisational
  factors.

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Rule Development

• Part 121/125 Rules Development for training and
  competency assessment almost complete
• CAR 121.565 - Syllabus for crew member training
  programme (proposed)
• The syllabus must include at least the
  following elements - (8) training on human
  factors and crew resource management
• Advisory Circular to provide more detail is also
  contemplated

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Safety Promotion

• S 72B of the Civil Aviation Act 1990
• The Authority has the following functions
• (a) to promote civil aviation a safety and
  security in New Zealand ...
• Safety promotion initiatives include
• Safety seminars
• Loss of Control Safety Conference (15 Dec 09)
• Vector
• Safety Summary Reports

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Desired Future State

• Prescriptive regulation vs. performance based
  regulatory framework
• NZCAR performance/outcome based rules
• UKCAA prescriptive (e.g. CAP 737)
• ICAO SMS Manual State Safety Programme (SSP)
  objective
• The transition from a predominantly
  prescriptive regulatory environment to an
  integrated regulatory environment combining
  prescriptive and performance-based regulatory
  approaches.

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Desired Future State

• Regarding CRM/HF, some prescriptive guidance/
  direction is required otherwise full benefits
  will not be realised across entire sector
• Advisory Circular (AC) provides means of
  compliance with Rule (i.e. Part 121/125 training)
• AC will borrow elements from ICAO Human Factors
  Training manual, CAP 737 etc
• Under SMS operators will be required to identify
  hazards and manage risks Human Factors is a key
  area of focus

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Importance of Human Factors

• ICAO SMS Manual slogans vs. safety principles
• Slogan 70 of accidents are caused by human
  error
• Principle Humans design, manufacture, train,
  operate, manage, and defend the system.
  Therefore, when the system breaks down, it is of
  necessity due to human error. From this
  perspective and depending on the level of
  observation, one hundred per cent of accidents
  are arguably caused by human error.

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CAA IndustryA shared approach for safety
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Thank you

• Pacific and Australasia CRM Developers and
  Facilitators Forum