human factors in flight operations a caa perspective pacific and australasia crm developers and...
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Human Factors in Flight Human Factors in Flight OperationsOperations
A CAA PerspectiveA CAA Perspective
Pacific and Australasia CRM Developers and Facilitators Forum
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ScopeScopeHuman Factors / Crew Resource
Management
1. Current regulatory framework
2. Present industry state
3. Initiatives for change
4. Desired future state
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FocusFocus
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Current Regulatory FrameworkCurrent 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 FrameworkCurrent Regulatory FrameworkRules, 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 FrameworkCurrent Regulatory FrameworkAdvisory 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 FrameworkCurrent Regulatory FrameworkCAR 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 FrameworkCurrent Regulatory FrameworkSummary 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 StatePresent 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 ChangeInitiatives 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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SMSSMS
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 ManualICAO 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 DevelopmentRule 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 PromotionSafety 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 StateDesired 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 StateDesired 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 FactorsImportance 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 – IndustryCAA – Industry“A shared approach for safety”“A shared approach for safety”
Thank youThank you
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