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Human Factors in Flight Operations A CAA Perspective

Human Factors in Flight Operations A CAA Perspective. Pacific and Australasia CRM Developers and Facilitators Forum. Scope. Human Factors / Crew Resource Management Current regulatory framework Present industry state Initiatives for change Desired future state. Focus.

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Human Factors in Flight Operations A CAA Perspective

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  1. Human Factors in Flight OperationsA CAA Perspective Pacific and Australasia CRM Developers and Facilitators Forum

  2. Scope Human Factors / Crew Resource Management • Current regulatory framework • Present industry state • Initiatives for change • Desired future state Pacific and Australasia CRM Developers and Facilitators Forum

  3. Focus Pacific and Australasia CRM Developers and Facilitators Forum

  4. 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.” Pacific and Australasia CRM Developers and Facilitators Forum

  5. 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) Pacific and Australasia CRM Developers and Facilitators Forum

  6. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  7. 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” Pacific and Australasia CRM Developers and Facilitators Forum

  8. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  9. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  10. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  11. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  12. 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.” Pacific and Australasia CRM Developers and Facilitators Forum

  13. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  14. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  15. 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.” Pacific and Australasia CRM Developers and Facilitators Forum

  16. 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 Pacific and Australasia CRM Developers and Facilitators Forum

  17. 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. Pacific and Australasia CRM Developers and Facilitators Forum

  18. CAA – Industry“A shared approach for safety” Pacific and Australasia CRM Developers and Facilitators Forum

  19. Thank you Pacific and Australasia CRM Developers and Facilitators Forum

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