DRAFT. Advisory Circular. AC 121A-09(0) December 2003 HUMAN FACTORS AND CREW RESOURCE MANAGEMENT TRAINING

Transcription

1 Advisory Circular AC 121A-09(0) December 2003 HUMAN FACTORS AND CREW RESOURCE MANAGEMENT TRAINING CONTENTS 1. References 2. Purpose 3. Status of this AC 4. Introduction 5. Definitions 6. CRM Training Course Personnel Qualifications 7. Training Programme Auditing 8. CRM Training Course Syllabus 9. CRM Training Courses for Flight Operations 10. CRM Training Courses for Cabin Operations 11. Implementation of CRM Training 12. Assessment of CRM Competencies 13. Periodic Checks 14. Line Operational Simulation 15. Sources of Further Information 1. REFERENCES CASR Part 121A regulations: 121A.942, 121A.943, 121A.1002, 121A ICAO. (2002). Human Factors Guidelines for Safety Audits Manual. Doc ICAO: Montreal. ICAO. (1998). Human Factors Training Manual. Doc ICAO: Montreal. ICAO. (1989). Human Factors Digest No. 2 Flight Crew Training: Cockpit Resource Management (CRM) and Line- Oriented Flight Training (LOFT). Circular 217-AN/132. ICAO: Montreal. Joint Aviation Administration (2001). JAR-OPS Subpart N (Amendment 3, 1 December 2001). 2. PURPOSE 2.1 This advisory circular provides general information and guidance for Human Factors (HF) and Crew Resource Management (CRM) training as required by CASR Part 121A relating to Air Transport Operations Large Aeroplanes. 2.2 This AC applies to: Holders of AOCs. Flight crew. Cabin crew. An Advisory Circular (AC) is intended to provide recommendations and guidance to illustrate a means but not necessarily the only means of complying with the Regulations, or to explain certain regulatory requirements by providing interpretative and explanatory material. Where referred to in a Note below the regulation, the AC remains as guidance material. ACs should always be read in conjunction with the referenced regulations.

2 2 AC 121A-09(0) - Human Factors and Crew Resource Management 3. STATUS OF THIS AC This is the first issue of the AC to be issued on this subject and will remain current until it is either cancelled or suspended. 4. INTRODUCTION 4.1 The International Civil Aviation Organisation (ICAO) has incorporated Human Factors (HF) training requirements into the training and licensing requirements within Annex 1 (Personnel Licensing) and Annex 6 (Operation of Aircraft). ICAO publishes HF guidance material (ICAO, 1989, 1998) and has a working group considering the development of competency-based HF training and assessment. Australia has now incorporated HF training and assessment into its licensing and operational regulations. Many airline operators in Australia have already introduced HF and CRM training into flight operations to some extent. 4.2 This AC is intended to provide a framework and guidance for operators to develop appropriate HF and CRM training and assessment programs as required by CASR Part 121A. The AC material has been adapted from the Joint Aviation Administration JAR-OPS Subpart N (JAA, 2001). 4.3 This AC provides a suggested means for organisations to satisfy the requirements of the Civil Aviation Safety Regulations. Alternative means of demonstrated compliance to the intent of these regulations will also be considered for providing appropriate HF and CRM training to flight crew and cabin crew in order to effectively conduct their operational duties. 5. DEFINITIONS 5.1 Human Factors Human Factors is concerned to optimise the relationship between people and their activities by the systematic application of human sciences, integrated within the framework of systems engineering (ICAO, 1998, Chap 1, 1.2.6) Human Factors principles are those which apply to aeronautical design, certification, training, operations and maintenance; and which seek safe interface between the human and other system components by proper consideration of human performance (ICAO, 2002, Chap 1, 1.2.7). 5.2 Crew Resource Management (CRM) CRM is the effective use of all available resources to achieve safe and efficient flight operations A primary goal of CRM is the recognition, management and mitigation of threats and human error. 5.3 CRM Training The objective of CRM training is to enhance communication, teamwork, and threat and error management competencies. Emphasis is placed on the non-technical aspects of individual and team performance, including instruction on the limitations of human performance, the nature of error, and the mitigation and management of error Training in CRM requires the use of a range of instructional strategies that seek to develop competencies to improve both individual and team performance in the work environment by applying well-tested training tools (eg. simulators, lectures, videos, role-plays, and computer-based training) targeted at specific content.

3 AC 121A-09(0) - Human Factors and Crew Resource Management CRM Evaluation and Assessment There is a subtle difference between evaluation and assessment Evaluation is used to monitor learning progress during instruction and to provide continuous feedback to both student and instructor concerning learning successes and failures. The results are typically not used to certify mastery of intended learning outcomes Assessment typically comes at the end of a unit of instruction. It is designed to determine the extent to which the instructional objectives have been achieved and is used primarily for certifying mastery of the intended learning outcomes CRM can be objectively assessed by evaluating defined, observable behaviours (i.e. behavioural markers) against specified standards of performance (i.e. competencies) defined by individual operators. Behavioural markers are observable, non-technical behaviours that contribute to effective or ineffective performance within a work environment. Competency is the specification of knowledge and skill, and the application of that knowledge and skill to the standards of performance required in the workplace. Competency standards are the defined competencies required for effective performance in the workplace expressed in outcome terms. Competency-based training develops the skills, knowledge and behaviour required to meet competency standards. Competency assessment is the process of collecting evidence and making judgements as to whether competency has been achieved. Assessment is made against a required standard. 6. CRM TRAINING COURSE PERSONNEL QUALIFICATIONS 6.1 CRM Course Designer CRM course designers/design teams should individually or as a team possess appropriate human factors, CRM, and adult learning qualifications and experience and should: (a) have completed a course in Instructional Principles and Methods equivalent to the level of the Australian National Training Authority (ANTA) Certificate IV modules relating to course design, conducting training and conducting assessment; and (b) have completed a theoretical human factors course covering a syllabus at least equivalent to the human factors component of the ATPL examination: and (c) have completed a CRM training course; and (d) have completed a CRM training facilitator s course An operator should ensure that all course designers/design teams: (a) have the appropriate knowledge for their role; and (b) have the necessary CRM training course design skills; and (c) have appropriate operational experience.

4 4 AC 121A-09(0) - Human Factors and Crew Resource Management 6.2 CRM Course Trainer Appropriately qualified CRM trainers should conduct all CRM training (CRM facilitators are considered to be CRM trainers) All CRM trainers should: (a) have completed a course in Instructional Principles and Methods equivalent to the level of the Australian National Training Authority (ANTA) Certificate IV modules relating to conducting and evaluating training; and (b) have completed a theoretical human factors course covering a syllabus at least equivalent to the human factors component of the ATPL examination. (c) have completed the company s initial CRM training course; and (d) have completed a CRM facilitator s course; and (e) be supervised by suitably qualified CRM training personnel when conducting specific CRM training sessions until deemed competent An operator should ensure that all CRM trainers: (a) have the appropriate knowledge for their role; and (b) have the necessary instructional and facilitation skills; and (c) are able to objectively evaluate individual CRM performance; and (d) are able to facilitate a constructive debrief of the training process and outcome; and (e) have appropriate operational experience. 6.3 CRM Simulator Instruction for Flight and Cabin Operations In addition to the required qualifications for all CRM trainers, a CRM trainer conducting simulator instruction for flight or cabin operations should have appropriate air transport experience as a flight or cabin crew member. 6.4 CRM Examiner Appropriately qualified CRM examiners should assess all flight and cabin crew members for CRM competency All CRM examiners should: (a) have completed a course in Instructional Principles and Methods equivalent to the level of the Australian National Training Authority (ANTA) Certificate IV modules relating to conducting training and conducting assessment; and (b) have completed a theoretical human factors course covering a syllabus at least equivalent to the human factors component of the ATPL examination; and (c) have completed the company s initial CRM training course; and (d) have completed a CRM examiner s training course; and (e) be supervised by suitably qualified CRM examiner personnel when conducting specific CRM examining sessions until deemed competent An operator should ensure that all CRM examiners: (a) have the appropriate knowledge for their role; and (b) have the necessary standardised assessment skills; and (c) are able to objectively assess individual and crew CRM performance; and

5 AC 121A-09(0) - Human Factors and Crew Resource Management 5 (d) are able to facilitate a constructive debrief of the assessment process and outcome: and (e) have appropriate operational experience. 7. TRAINING PROGRAMME AUDITING 7.1 All CRM training and assessment documentation including course syllabi should be incorporated within the Company Operations Manual along with the name of any third party providers used (it may be a separate volume of the Operations Manual, yet still be an integral part of it). 7.2 The operator must be able to demonstrate to the Authority that the quality of training programmes, including course content, delivery and assessment, meets the intent of the regulations and accompanying advisory circulars. 8. CRM TRAINING COURSE SYLLABUS 8.1 CRM training should be based upon the following CRM core elements that should be delivered at an appropriate level (eg. overview, in-depth etc) for each type of CRM training course (i.e. initial, conversion, command/upgrade, or recurrent). 8.2 CRM Core Elements: Company safety culture, SOPs, organisational factors Information acquisition and processing Situation awareness Workload management Human error and reliability Threat and error management Communication and co-ordination Leadership and team behaviour synergy Decision making Stress and stress management Fatigue Vigilance Cultural factors Automation, and the philosophy of the use of automation (if relevant) Specific type-related differences Case-based studies

6 6 AC 121A-09(0) - Human Factors and Crew Resource Management 9. HF & CRM TRAINING COURSES FOR FLIGHT OPERATIONS 9.1 Training overview HF & CRM training can be conducted as distinct modular courses, or it can be integrated into other technical and non-technical training programs. In either case it should address the equivalent operational phases of initial, conversion, command/upgrade, and recurrent training Where HF & CRM training is integrated into other courses the HF and CRM objectives should be clearly identified and assessed where appropriate with respect to well defined behavioural markers The course duration should be appropriate to meet the objectives of the training A flight crew member should be evaluated and feedback provided throughout all CRM training on their performance relative to specified CRM competency standards. 9.2 Human Factors training An operator should ensure that all flight crew members have completed a human factors course designed to provide knowledge of human factors relevant to flight operations prior to completion of the operator s Initial CRM training program. This can be the air transport pilot licence human factors program, or an equivalent program. 9.3 Initial CRM Training Initial CRM training programmes are designed to provide both knowledge and application of human factors relevant to flight operations. An operator should ensure that all applicable core elements are integrated into the initial CRM training course. A minimum of two days is recommended An operator should ensure that initial CRM training addresses the nature of the operations of the company concerned, the associated procedures and the culture of the company. This should include potential threats to operational safety An operator may use a course provided by another operator, or a third party, or training organisation acceptable to the Authority On completion of initial CRM training the flight crew member should be assessed in the 9.4 Conversion Course CRM Training An operator should ensure that all applicable core elements are integrated into the conversion course On completion of conversion training the flight crew member should be assessed in the 9.5 Command Course CRM Training An operator should ensure that all applicable core elements are integrated into the command course Good CRM skills are essential for command. On completion of command training the flight crew member should be assessed in the operational role as competent to apply CRM practices to the task of safely operating the aircraft.

7 AC 121A-09(0) - Human Factors and Crew Resource Management Recurrent CRM Training An operator should ensure that: (a) elements of CRM are integrated into all appropriate phases of recurrent training every year; and (b) modular CRM training covers all the core elements over a maximum period of three years On completion of recurrent training the flight crew member should be assessed in the 10. HF & CRM TRAINING COURSES FOR CABIN OPERATIONS 10.1 Training overview HF & CRM training can be conducted as distinct modular courses, or it can be integrated into other technical and non-technical training programs. In either case it should address the equivalent operational phases of initial, conversion, command/upgrade, and recurrent training Where HF & CRM training is integrated into other courses the HF and CRM objectives should be clearly identified and assessed where appropriate with respect to well defined behavioural markers The course duration should be appropriate to meet the objectives of the training A cabin crew member should be evaluated and feedback provided throughout all CRM training on their performance relative to specified CRM competency standards Human Factors training An operator should ensure that all cabin crew members have completed a human factors course designed to provide knowledge of human factors relevant to cabin operations prior to completion of the operator s Initial CRM training program Initial CRM Training Initial CRM training programmes are designed to provide both knowledge and application of human factors relevant to cabin operations. An operator should ensure that all applicable core elements are integrated into the initial CRM training course. A minimum of two days is recommended An operator should ensure that initial CRM training addresses the nature of the operations of the company concerned, the associated procedures and the culture of the company. This should include potential threats to operational safety An operator may use a course provided by another operator, or a third party, or training organisation acceptable to the Authority On completion of initial CRM training the cabin crew member should be assessed in the

8 8 AC 121A-09(0) - Human Factors and Crew Resource Management 10.4 Conversion Course CRM Training An operator should ensure that all applicable core elements are integrated into the conversion course On completion of conversion training the cabin crew member should be assessed in the 10.5 Senior Cabin Crew Upgrade Course CRM Training An operator should ensure that all applicable core elements are integrated into the upgrade course Good CRM skills are essential for leadership. On completion of upgrade training the cabin crew member should be assessed in the operational role as competent to apply CRM practices to the task of safely operating the aircraft Recurrent CRM Training An operator should ensure that: (a) elements of CRM are integrated into all appropriate phases of recurrent training every year; and (b) modular CRM training covers all the core elements over a maximum period of three years On completion of recurrent training the cabin crew member should be assessed in the 11. IMPLEMENTATION OF CRM TRAINING 11.1 An operator should conduct relevant parts of CRM training in synthetic training devices, which reproduce a realistic operational environment and permit crew member interaction. This includes, but is not limited to, simulators with appropriate Line-Orientated Flight Training (LOFT) scenarios Operators should, as far as is practicable and appropriate, provide combined training for flight crew and cabin crew including briefing and debriefing. This is particularly important for command/upgrade training There should be an effective liaison between flight crew and cabin crew training departments. Provision should be made for flight and cabin crew instructors to observe and comment on each other s training, and to participate in combined training sessions. 12. ASSESSMENT OF CRM COMPETENCIES 12.1 Assessment is the process of observing, recording, and interpreting individual knowledge and performance against a required standard CRM assessment should be included in an overall assessment of the flight or cabin crew member s performance and be in accordance with defined competency standards. Suitable methods of assessment should be documented, together with the selection criteria and training requirements of the examiners and their relevant qualifications, knowledge and skills CRM competencies should be customised to reflect the specific operating environment, culture and standard operating procedures (SOP s) of individual operators.

9 AC 121A-09(0) - Human Factors and Crew Resource Management Each flight and cabin crew member should be individually assessed within the crew as a whole An operator should maintain a documented record of CRM training and assessment to demonstrate a flight or cabin crew member s completion of each stage of training and assessment Operators should establish documented procedures to be applied in the event that personnel do not achieve or maintain the required standards Assessment of CRM skills should: (a) provide feedback to the individual on their performance; and (b) provide feedback into the CRM training system for continual improvement. 13. PERIODIC CHECKS 13.1 An operator should ensure that all flight and cabin crew members are assessed in the operational role as competent to apply CRM practices to the task of safely operating the aircraft during all periodic checks. 14. LINE OPERATIONAL SIMULATION (LOS) 14.1 When a flight simulator is used, the opportunity should be taken where possible, to use Line Operational Simulation (LOS) Line Operational Simulation (LOS) is widely used to provide opportunities for crews to practice CRM concepts in realistic and challenging simulated flight situations. LOS includes Line- Oriented Flight Training (LOFT), and Line Operational Evaluation (LOE). LOFT is the original non-jeopardy form of simulation training in which crews are not graded on their performance. In LOE crews are graded. Both LOFT and LOE are full-mission simulations that include all phases of flight. 15. SOURCES OF FURTHER INFORMATION 15.1 The UK Civil Aviation Authority has recently released a comprehensive advisory publication, CAP 737 Crew Resource Management (CRM) Training with many useful follow-up information sources in its appendices. It is recommended that these sources be reviewed for further information relating to Human Factors and CRM course development. It is available online at Bill McIntyre Executive Manager Aviation Safety Standards