Transcript FAA BASA Technical Assessment

Human Factors in Flight
Operations
A CAA Perspective
Pacific and Australasia CRM Developers and Facilitators Forum
Scope
Human Factors / Crew Resource
Management
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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 nontechnical skills
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Present Industry State
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 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
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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
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 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
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 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
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 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
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 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:
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Safety seminars
Loss of Control Safety Conference (15 Dec 09)
Vector
Safety Summary Reports
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Desired Future State
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 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
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 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 – Industry
“A shared approach for safety”
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Thank you
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