human factors in flight operations a caa perspective

Human Factors in Flight Human Factors in Flight OperationsOperations

A CAA PerspectiveA CAA Perspective

Pacific and Australasia CRM Developers and Facilitators Forum

Pacific and Australasia CRM Developers and Facilitators ForumPacific and Australasia CRM Developers and Facilitators Forum2

ScopeScopeHuman Factors / Crew Resource

Management

1. Current regulatory framework2. Present industry state3. Initiatives for change4. Desired future state

C IVIL A VIAT IO N AU TH O R ITYO F N E W ZE A LA N D


FocusFocus


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.”


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)


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


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”


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



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



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



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



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.”



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



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



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.”



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


Importance of Human FactorsImportance of Human FactorsICAO 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.


CAA – IndustryCAA – Industry“A shared approach for safety”“A shared approach for safety”

Thank youThank you

Pacific and Australasia CRM Developers and Facilitators Forum

human factors in flight operations a caa perspective

Documents

australasia crm developers

safety benefitthey

assigned crew member

reporting hf events

absence of ac guidance

associated guidance

air operator expositiona

little directionguidance