Intelligence, Strategy and Policy Flight-crew human factors handbook CAP 737 CAP 737 Published by the Civil Aviation Authority, 2014 Civil Aviation Authority, Aviation House, Gatwick Airport South, West Sussex, RH6 0YR. You can copy and use this text but please ensure you always use the most up to date version and use it in context so as not to be misleading, and credit the CAA. Enquiries regarding the content of this publication should be addressed to: Intelligence, Strategy and Policy Aviation House Gatwick Airport South Crawley West Sussex England RH6 0YR The latest version of this document is available in electronic format at www.caa.co.uk, where you may also register for e-mail notification of amendments. December 2016 Page 2 CAP 737 Contents Contents Contributors 5 Glossary of acronyms 7 Introduction to Crew Resource Management (CRM) and Threat and Error Management (TEM) 10 Section A. Human factors knowledge and application 15 Section A, Part 1. The Individual (summary) 17 Section A, Part 1, Chapter 1. Information processing 18 Chapter 2. Perception 22 Chapter 3. Attention 30 Chapter 4. Vigilance and monitoring 33 Chapter 5. Human error, skill, reliability,and error management 39 Chapter 6. Workload 55 Chapter 7. Surprise and startle 64 Chapter 8. Situational Awareness (SA) 71 Chapter 9. Decision Making 79 Chapter 9, Sub-chapter 1. Rational (classical) decision making 80 Chapter 9, Sub-chapter 2. Quicker decision making mechanisms and shortcuts 88 Chapter 9, Sub-chapter 3. Very fast (intuitive) decision-making 96 Chapter 10. Stress in Aviation 100 Chapter 11. Sleep and fatigue 109 Chapter 12. Personality and cultural differences 117 Section A, Part 2. The Crew 122 Chapter 13. Effects of groups and teams (coordination, teamwork, roles and group decisions) 123 Chapter 14. Leadership 132 December 2016 Page 3 CAP 737 Contents Chapter 15. Communication (communication, language, sharing mental models, assertiveness and verbal intervention) 137 Section B, Part 1. Specific Context Guidance 146 Chapter 16. Automation human factors 147 Chapter 17. Working with external teams 155 Chapter 18. Specific guidance for cabin crew CRM trainers 163 Section B, Part 2. CRM assessment and behavioural markers 168 Chapter 19. CRM assessments 169 Chapter 20. Behavioural marker systems 179 Part B, Part 3. CRM effectiveness 184 Chapter 21. Facilitation skills 185 Chapter 22. Resources for improving CRM effectiveness 190 Chapter 22a. Checklist of 10 practical indicators of effective CRM 191 Chapter 22b. Guide to assessing a CRM ground trainer 193 Chapter 22c. Short guide to performance standards for CRM trainers 196 Chapter 22d. Informal checklist for CRM trainer competencies 204 Chapter 22e. Informal guide to twenty instructional traps and faults of CRM trainers 206 Chapter 22f. Trainer competencies – simulator and aeroplane 208 Chapter 22g. Examiner competencies – simulator 215 Chapter 22h. Report writing and handover guide 217 Section B, Part 4. CRM in safety management 219 Chapter 23. CRM in safety management 220 Chapter 24. Use of taxonomies 223 Section B, Part 5. CRM regulation 224 Chapter 25. CRM regulations 225 References 235 December 2016 Page 4 CAP 737 Contributors Contributors Editor Dr Steve Jarvis Chapter authors Dr Steve Jarvis 1-9, 12-16 20 Captain Peter Shaw 19, 23, 24, 25 Professor Michael Bagshaw 10, 11 Combined Contributions 21, 22 Captain Charlie Cantan 17 - Working with External Teams Sarah Skelton & RAeS 18 - Specific Guidance for Cabin Crew CRM trainers Cabin Crew Standing Group Major Contributors . Capt Colin Budenberg . Capt Paddy Carver . Capt Graham Cruse . Capt Chris Mann, easyJet . Capt Paul Field, British Airways . Capt Dave Thom, CTC training . Capt Kevin Lawrence, Bond Offshore Helicopters . The CRM Advisory Panel Numbered Anecdote Contributions 1. Capt Colin Budenburg 2. Capt Paddy Connelly, CAA Flight Ops Inspector (Helicopters) 3. Capt Angus Crawford, easyJet 4. Capt Mike Dorrian, Air New Zealand 5. Dr Steve Jarvis, Jarvis Bagshaw Ltd December 2016 Page 5 CAP 737 Contributors 6. Brian Lecomber, Firebird Aerobatics 7. Capt Keith Perry, former TRE & CAA FOI 8. Delphine Tabary, Jarvis Bagshaw Ltd 9. Capt Neil Taylor, B777 TRI/TRE, British Airways 10. Capt Peter Shaw, CAA flight Operations Inspector 11. Capt Ianko Stoimenov, B737 TRI/TRE 12. Captain Charlie Cantan (all Chapter 17 cases) The authors would like to acknowledge the assistance of British Airways, easyJet, Thomson Airways, Thomas Cook Airlines, Virgin Atlantic, Bond Helicopters and Bristow Helicopters. The authors also acknowledge those anecdote contributors who preferred not to be named. December 2016 Page 6 CAP 737 Glossary of acronyms Glossary of acronyms AAIB Air Accident Investigation Branch SMS Safety Management System AMC Acceptable Means of Compliance SOP Standard Operating Procedure ASR Air Safety Report TCO Turnaround Co-ordinator CEO Chief Executive Operator TEM Threat and Error Management CRM Crew Resource Management TRE Type Rating Examiner CRMI Crew Resource Management TRI Type-Rating Instructor Instructor UT University of Texas CRMIE Crew Resource Management Instructor Examiner CSA Customer Service Agent CTA Cognitive Task Analysis CVR Cockpit Voice Recorder EASA European Aviation Safety Agency EEG Electroencephalogram EFB Electronic Flight Bag FCL Flight Crew Licensing FMA Flight Mode Annunciator FAA Federal Aviation Administration FCU Flight Control Unit FDM Flight Data Monitoring GOR Ground Occurrence Report HF Human Factors HUD Head-Up Display ISP Inflight Service Personnel JAA Joint Aviation Authorities LOSA Line Oriented Safety Audit LPC Line Proficiency Check LTM Long Term Memory NOTECHS Non-Technical Skills MCC Multi-Crew Cooperation MCP Mode Control Panel MOR Mandatory Occurrence Report OPC Operator Proficiency Check OTP On Time Performance PF Pilot Flying PM Pilot Monitoring REM Rapid Eye Movement RNP Required Navigational Performance SCCM Senior Cabin Crew Member SIM Simulator December 2016 Page 7 CAP 737 Foreword Foreword Cap 737 has been re-structured in response to commercial air transport needs, identified by the Crew Resource Management Advisory Panel, to provide more focussed and applied practical CRM training guidance. The civil aviation community has fully embraced the need for change and have made significant contributions in the form of anecdotal experiences to provide context to the complex human behaviours described in the document. The document is structured into 6 main parts: . Human Factors knowledge and application comprises 15 chapters covering the full range of individual and team human characteristics that manifest themselves within aircraft operational roles. The approach adopted throughout these chapters is threefold: . Firstly a theoretical explanation relating to each of the human processes or behaviours is provided to equip the trainers with the pertinent knowledge . Secondly a description of the application of the specific human attributes within roles and tasks is provided and is supported by contextual anecdotal illustrations. Thirdly practical guidance in how the specific human vulnerabilities can be understood through suggested CRM training activities is provided. Specific context guidance comprises 3 chapters which explores the application of CRM training within three focal areas. The first area is automation and the challenges in mode management and its impact on situation awareness and workload are discussed. The impact of manual flying skills and its contribution to predictive monitoring skills is debated. CRM challenges associated with novel interfaces (e.g. electronic flight bags) are tabled. The second area relates to the interfaces that the aircrew and cabin crew have with external agencies (turnaround co-ordinators, dispatchers, cargo and ground handlers, line engineering, customer service agents and airport operations staff) and identifies the value of aligning cultures and attitudes through a more comprehensive approach to CRM training. Case study material reinforces the need to widen the CRM training net. December 2016 Page 8 CAP 737 Foreword . The third area provides guidance in the delivery of CRM training to cabin crew and emphasises the contribution that cabin crew can make to flight safety with examples provided. CRM assessment comprises 2 chapters which detail the instructor competencies required to carry out CRM and TEM assessment and the behavioural marker system as a method of feedback to the crew. This will enable Instructors and Examiners to understand and comply with the EASA requirements contained in AMC1 FCL.920 and AMC1 ORO.FC 115 & 215 (h). Observation skills are key attributes and example case studies are provided. Candidate behavioural markers are provided. CRM effectiveness comprises guidance in the development and application of facilitation skills which are an essential part of the assessment task. It also provides a set of guidelines and checklists which underpin good CRM practices in terms of required trainer attributes and competencies. The overall aim is to ensure that the Air Transport Operators are able to recognise indicators which contribute towards effective CRM. CRM in safety management emphasises the importance of recognising poor CRM as an aviation hazard and good CRM as risk mitigation strategy. It provides advice in the capturing and classifying of accident and incident data where human vulnerabilities are identified as contributing factors. The encouragement of non-punitive reporting to capture human error safety trends for internal occurrence reporting