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

2. 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
Pacific and Australasia CRM Developers and Facilitators Forum

3. Pacific and Australasia CRM Developers and Facilitators Forum
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 – 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 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 Air operator exposition
“(a) ...provide the Director with an exposition that contains – (11) details of the programmes required by ... Part (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. Pacific and Australasia CRM Developers and Facilitators Forum
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. Pacific and Australasia CRM Developers and Facilitators Forum
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. Pacific and Australasia CRM Developers and Facilitators Forum
Rule Development
Part 121/125 Rules Development for training and competency assessment almost complete
CAR 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. Pacific and Australasia CRM Developers and Facilitators Forum
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. Pacific and Australasia CRM Developers and Facilitators Forum
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. Pacific and Australasia CRM Developers and Facilitators Forum
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. Pacific and Australasia CRM Developers and Facilitators Forum
Thank you
Pacific and Australasia CRM Developers and Facilitators Forum