Manual No.

: JCI-13

Jade Cargo International Co. Ltd. Crew Resource Management MANUAL (January 2008) Revision Status: Original

Approved By Flight Crew Training Section

Acknowledgement and credit for most of the content of this manual is hereby given to Emirates and SAA

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CRM Manual

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Table of Contents 1 CRM Training................................................................................................... 4 1.1 Introduction............................................................................................. 4 1.2 Courses...................................................................................................4 1.2.1 CRM Introduction Course.............................................................. 4 1.2.2 CRM Indoctrination Course........................................................... 4 1.2.3 CRM Update Course..................................................................... 4 1.2.4 CRM Recurrent Training................................................................5 1.2.5 CRM Upgrade Training..................................................................5 1.2.6 CRM Transition CRM.................................................................... 5 2 Modules Content.............................................................................................. 5 2.1 Threat and Error Management............................................................... 5 2.2 Culture.................................................................................................... 5 2.3 Automation.............................................................................................. 5 2.4 Leadership, Followership & Team Dynamics......................................... 6 2.5 Communication (Communication Styles & Conflict Resolution)............. 6 2.6 Problem-Solving & Decision Making.......................................................6 2.7 Cognition................................................................................................. 6 2.8 Stress & Alertness Management............................................................ 6 2.9 Situational Awareness............................................................................ 6 3 Threat and Error Management.........................................................................7 3.1 Introduction............................................................................................. 7 3.2 CRM Training in Aviation........................................................................ 7 3.3 Human Performance...............................................................................7 3.4 Evolution of CRM.................................................................................... 8 3.5 Human Error........................................................................................... 8 3.6 Human Factors In Design....................................................................... 8 3.7 The Error Chain...................................................................................... 9 3.8 Swiss Cheese......................................................................................... 9 3.9 Threat and Error Management............................................................. 10 3.10 Threat and Error..................................................................................10 3.11 Warning Flags.....................................................................................11 3.12 Avoid, Trap, Mitigate........................................................................... 11 4 Culture............................................................................................................12 4.1 Introduction........................................................................................... 12 4.2 National Culture.................................................................................... 12 4.3 Individualism/Collectivism (IDV)........................................................... 12 4.4 Effects on Crew Behaviors................................................................... 12 4.5 Uncertainty Avoidance (UA)................................................................. 13 4.6 Power Distance (PDI)........................................................................... 13 4.7 Organizational and Professional Culture.............................................. 14 5 Automation..................................................................................................... 14 5.1 Introduction........................................................................................... 14 5.2 Flight Deck Automation.........................................................................14 5.3 What to Automate................................................................................. 15 5.4 Fitts’ List................................................................................................ 16 5.5 The Automation Pyramid...................................................................... 17 5.6 The Irony of Automation....................................................................... 18

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5.7 The Automation Issue........................................................................... 18 5.8 Interfaces.............................................................................................. 18 5.9 Feedback.............................................................................................. 19 5.10 From an Aircraft Manufacturer............................................................ 19 5.11 Ergonomic Design Principles.............................................................. 19 5.12 Conclusion.......................................................................................... 20 6 Leadership and Team Dynamics................................................................... 20 6.1 Introduction........................................................................................... 20 6.2 Leadership............................................................................................ 20 6.3 Leadership Theory................................................................................ 21 6.4 Action-Centred Leadership................................................................... 21 6.5 Task...................................................................................................... 22 6.6 Team Building and Maintenance.......................................................... 22 6.7 Individual Development and Satisfaction.............................................. 22 6.8 The Role of Leader............................................................................... 22 6.8.1 Regulating Information Flow........................................................ 22 6.8.2 Directing and Coordinating Crew Activities................................. 23 6.8.3 Motivating Crew Members........................................................... 23 6.8.4 Leadership Styles........................................................................ 23 6.9 Cockpit Authority Gradient.................................................................... 25 6.10 Followership........................................................................................25 6.11 Team Dynamics.................................................................................. 26 7 Communication.............................................................................................. 27 7.1 Introduction........................................................................................... 27 7.2 Principles of Communication................................................................ 27 7.3 Communication Barriers....................................................................... 27 7.4 Communication Styles.......................................................................... 28 7.4.1 Assertive Behavior [a1]................................................................28 7.4.2 Aggressive Behavior [a2].............................................................29 7.4.3 Supportive Behavior [s1]............................................................. 29 7.4.4 Submissive Behavior [s2]............................................................ 29 7.5 Dealing with Aggression....................................................................... 30 7.6 Conflict Resolution................................................................................ 31 7.7 Problem Solving....................................................................................31 7.8 Compromising....................................................................................... 31 8 Problem Solving and Decision Making.......................................................... 32 8.1 Introduction........................................................................................... 32 8.2 Structured Decision Making.................................................................. 32 8.2.1 The Model “Footprint”.................................................................. 33 8.2.2 Providing “Seamless Integration”................................................ 33 8.3 A Problem-Solving Model..................................................................... 34 8.4 Time Management................................................................................ 35 8.5 The Jade Cargo International Decision-Making Model.........................36 8.6 Assess.................................................................................................. 37 8.7 Action.................................................................................................... 37 8.8 Manage................................................................................................. 37 9 Cognition........................................................................................................ 38 9.1 Introduction........................................................................................... 38 9.2 Models.................................................................................................. 38
Flight Crew Training Centre

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9.3 A Model of the Cognitive Brain............................................................. 38 9.4 Input functions.......................................................................................39 9.4.1 Senses.........................................................................................39 9.4.2 Attention.......................................................................................39 9.4.3 Divided Attention......................................................................... 39 9.5 Perception............................................................................................. 39 9.6 Processing Functions........................................................................... 40 9.6.1 Memory........................................................................................40 9.6.2 Sensory Memory......................................................................... 40 9.6.3 Short-Term Memory.................................................................... 40 9.6.4 Long-Term Memory..................................................................... 41 9.6.5 Flashbulb Memory....................................................................... 41 9.6.6 Central Processor/Decision-Maker.............................................. 42 9.6.7 Problems with Decision Making...................................................42 9.7 Conclusion............................................................................................ 43 10 Stress and Alertness.................................................................................... 43 10.1 Introduction......................................................................................... 43 10.2 Stress.................................................................................................. 44 10.3 Types of Stress................................................................................... 44 10.3.1 Acute Stress.............................................................................. 44 10.3.2 Episodic Acute Stress................................................................45 10.3.3 Chronic Stress........................................................................... 46 10.3.4 Sources of Stress...................................................................... 46 10.3.5 Life Stress..................................................................................46 10.3.6 Environmental Stress................................................................ 47 10.3.7 Cognitive Stress........................................................................ 47 10.4 Alertness............................................................................................. 48 10.5 Sleep Management.............................................................................48 10.6 Circadian Rhythms..............................................................................49 10.7 Stress and Alertness Management.....................................................50 10.8 Controlled Rest in the Flight Deck...................................................... 50 11 Situational Awareness..................................................................................50 11.1 Introduction......................................................................................... 50 11.2 Levels of Situation Awareness (SA)................................................... 50 11.3 Loss of Situational Awareness............................................................51 11.4 The Safety Window.............................................................................52 11.5 Situational Awareness and Error Management.................................. 53 11.6 Factors Affecting Situational Awareness............................................ 53 11.7 Communication and Shared Situational Awareness.......................... 53 11.8 Techniques for Better Situational Awareness Management...............54 12 Reference Notes.......................................................................................... 55

Flight Crew Training Centre

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CRM Manual

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1 CRM Training
1.1 Introduction
CRM training will be provided to all Jade Cargo International pilots in accordance with the policy contained within the Flight Operations Manual. CRM training provided to Jade Cargo International pilots is based on the requirements of the Chinese Civil Aviation Regulations (CAAC) and also meets the requirements of other regulatory bodies.

1.2 Courses 1.2.1 CRM Introduction Course
The Jade Cargo International CRM Introduction Course is a “CAAC” approved course conducted by Jade Cargo International staff. The course is not assessable. The Initial Course will be applied to all new pilots upon entry to Jade Cargo International. It is designed to introduce pilots who have received prior Human Performance training with other airlines to the concepts in use at Jade Cargo International. The required time is prior to transition training. It is designed to be complementary to the Transition Course (see below). The duration of the course is one day.

1.2.2 CRM Indoctrination Course
The Jade Cargo International CRM Indoctrination Course is a “CAAC” approved course conducted by Jade Cargo International staff. The course is not assessable. Most pilots joining Jade Cargo International will have completed Human Performance training as part of their license requirements; however CRM is viewed as specific to the airline. Therefore, the purpose of this course is to deliver Jade Cargo International perspective on CRM, expanding on the introductory course that has already been completed. The duration of the course is two days and is designed to be applied in isolation. The award of a Certificate of Completion and registration with Crew Records signifies successful completion of a course.

1.2.3 CRM Update Course
Jade Cargo International designates a three-year training cycle for CRM. This cycle is deemed to begin when a pilot completes his transition training with Jade Cargo International. To revalidate a pilot’s CRM training at the end of the cycle, a one day update course is conducted.
Flight Crew Training Centre

The content of this CRM component is designed by the Head of Training in co-ordination with the CRM Instructor.4 CRM Recurrent Training Jade Cargo International pilots receive a recurrent CRM component as part of the recurrent training package approved by the (CAAC).2.3 Automation   Impact of automation Appropriate use of automation Flight Crew Training Centre .2 Culture     The characteristics of National culture Influence of Professional & Organizational culture Defenses against multi-cultural threats Safety culture within Jade Cargo International 2.6 CRM Transition CRM Jade Cargo International includes a CRM component in all type transition courses. This has proven to be a powerful tool to reinforce the learning process. leadership and team management.5 CRM Upgrade Training Jade Cargo International requires all candidates for Command training to receive an intensive CRM course.2. and team management skills. 1.1 Threat and Error Management       Nature of human performance & error A model of human error Threat and error defined Latent threats Defenses Managing error 2. assisted by the facilitator. and a series of role-plays. The course consists of a review of decisionmaking. The role-plays are designed to allow upgrade candidates to use the decisionmaking tools.Page: 5 CRM Manual Date: January 2008 1. 1. 2 Modules Content 2. They will be conducted in a cockpit environment and videotaped where appropriate for debriefing purposes. The course is tailored to suit the specific requirements of each aircraft type. This will be delivered during the ground school phase.2. The candidates will conduct their own debrief.

5 Communication (Communication Styles & Conflict Resolution)     Model for effective communication Source of Conflict Communication role-play Reference accidents with communication issues 2.6 Problem-Solving & Decision Making     Problem identification Time management Company decision-making tool Reference accidents with decision-making issues 2.4 Leadership.9 Situational Awareness     Types of situational awareness Skills affecting individual situational awareness Loss of situational awareness Reference accidents with situational awareness issues Flight Crew Training Centre .8 Stress & Alertness Management    Types and sources of stress Fatigue & sleep management Jade Cargo International policy and procedures 2.Page: 6 CRM Manual Date: January 2008  Reference accidents with automation issues 2. Followership & Team Dynamics     Command authority Leadership styles Team effectiveness Reference accidents with leadership issues 2.7 Cognition      Overview of cognitive functions Perception Senses Memory Limitations 2.

3. MCC and CRM is most easily described as one of specialization. to the brightness required of an electronic display. who complains that it is all a waste of time and does not apply to him. Regulators and industry have sought to reduce the human effect by the introduction of non-technical training to address the human issues. with an understanding of the limitations of the human operator. to the amount of air recirculation that is required in a pressurized aircraft. Traditionally the focus of CRM has been on attitude. whereas CRM is focused at the level of the individual airline and is normally a customized program. skill and attitude. and with other humans. Despite improvements in technology. to the design of a checklist.1 Introduction Investigation of commercial airline accidents has identified that a significant proportion of these are due in some way to a human element. MCC starts to cover the practicalities of multi-crew operations. because it encompasses all other areas of the discipline.2 CRM Training in Aviation The relationship between Human Factors. knowledge. Threat and error management is at the core of current CRM practice. design and engine reliability. home. This includes everything from the design of a tool. in part. completion of a Multi-Crew Co-ordination (MCC) course prior to airline employment and for an airline to run an approved Crew Resource Management (CRM) program for all phases of training. 3. Human Performance and Limitations refers to those aspects that relate to human involvement in aircraft operations. The safe and efficient management of an aircraft requires a balance of both technical knowledge and skills. This is a general overview and broadly theoretical. Flight Crew Training Centre . Every airline has the anecdotal CRM immune Captain. This is due. Regulators require knowledge of Human Performance and Limitations (HPL) for license issue. environment. HPL.3 Human Performance Human performance can be considered as falling into three categories. Human Factors or ergonomics is the broad science that covers human interaction in the workplace. which has typically resulted in only temporary changes in behavior and is not universally accepted by the pilot population.Page: 7 CRM Manual Date: January 2008 3 Threat and Error Management 3. Human Factors still have a critical influence on the accident rate.

Error cannot be avoided so the design must ensure that the most serious mistakes are prevented by trapping mechanisms and clearly forewarned by use of appropriate and timely feedback. Most of these errors are small. Current CRM thinking focuses on training knowledge and skills.Page: 8 CRM Manual Date: January 2008 It is now recognized that attitudes are difficult to change. and humans have good error-correcting mechanisms to mitigate the effects of these errors. which cannot be tolerated in the aviation industry.6 Human Factors In Design The principle need for Human Factors in design is to account for individual differences and to produce a system that is better matched to real human performance. Not only is this more predictable and measurable. especially on a long. 3. focus on specific skills 4th Fourth Generation developed alongside the introduction of Advanced Qualification Program (AQP) and LOFT 5th Fifth Generation introduced the concept of error management This has now evolved into “threat and error” management. with aviation focus (Crew RM) 3rd Generation attempt at integration with technical training. but pilots are predisposed to accept knowledge and tools with which to improve performance. Violations refer to intentional noncompliance. but avoiding the trap of undue emphasis on attitudes. In particular this means designing for error.term basis in the presence of contradictory influences. Errors are defined as unintentional deviations from required behavior and are to be expected in everyday life with unavoidable regularity. J. 3. encompassing the best of previous generations. Reason is the acknowledged expert on human error.4 Evolution of CRM      1st Generation concentrated on attitudes and personal management style (Cockpit RM) 2nd Generation introduction of modular training.5 Human Error Reason (Reason. 1990. Flight Crew Training Centre . Human Error) has developed a model of human error that classifies these according to the circumstances under which they occur. 3.

Accident investigation has therefore become much more complex with additional factors to consider. the British Midland 737-400 that crashed in 1989 was a classic example of an error chain. Reason used Swiss cheese. leaving an opening in the defensive wall and allowing an accident to happen. of which the operating crew are the last link. the last line of defense. the holes will line up. For example. Occasionally.7 The Error Chain The introduction of automated systems has made it virtually impossible for a frontline operator to cause an accident in isolation. It was but it is not an isolated case. existing conditions that might remain dormant for years. a combined layer of defenses that can act as an effective shield. The holes in the cheese are the flaws that exist in each individual layer of defense. This does not mean that accidents can no longer occur. Reason has likened the multiple layers of defenses to slices of cheese. it snaps. In isolation it is insignificant. The accident is caused by the completion of a chain of events – the “error chain”. The crew was the last chance of avoiding this accident. In order to illustrate better the concept of latent threats. Others were management failures. Some were latent failures. but when the mouse tries to take the bait. but placed together they form a robust wall. These are what Reason call “latent threats”. Flight Crew Training Centre .Page: 9 CRM Manual Date: January 2008 3. possibly as early as the design stage of a product. Rather. that the causes of most recent accidents have been found to be omissions or errors that occurred remotely from the operator who suffered the loss. A simple example of a latent threat is a mousetrap. occurring years ago on the drawing board. Each layer in itself is a rather flimsy defense. 3.8 Swiss Cheese In the example above it might appear that this was one very unlucky scenario. the accident does not occur. some of the factors were as follows:         Lengthened 737-400 entered service requiring increased thrust Existing engines approved for higher thrust without flight-test Type certification granted Operator differences training approved Fleet operated with mix of different style engine instruments Significance of other operator’s engine defects not identified Engine malfunction during accident flight Incorrect identification of engine malfunction All of these factors were required for the accident to take place. If they can break the chain. There are similar events unfolding all around us in aviation. Without assigning a principle cause.

the start of an accident chain. Most errors committed by the flight-crew are inconsequential. external to the flight-deck that requires action to ensure safe operation. A small percentage (8%) results in additional errors.) Threats .e. Management.e. The latest statistics indicate that one accident occurs per million aircraft departures. wrong altitude selection on MCP Communication – missing information or misinterpretation Decision – elective decision by crew that unnecessarily increases risk – i. 3. but as long as the holes do not line up. (Errors made by other people ATC. because despite the risks. flying to close to a thunderstorm Violations – intentional non-compliance – i. and it is up to us to break the chain. Flight Crew Training Centre . Engineering. The safety record in the airline industry is held in high regard.9 Threat and Error Management Aviation is a hazardous industry but it is not a dangerous one.Page: 10 CRM Manual Date: January 2008 We cannot have a foolproof layer of defense.Internal influences Safe operation depends on management of those threats and errors that cannot be completely eliminated. Some examples of common threats are:      Adverse weather Terrain Airport conditions Aircraft malfunctions Automation events. but they are well managed within a system that has countless checks and balances.External influences Errors . Regulators etc are threats to the crew. There are four broad classifications of flight-crew errors:      Procedural – appropriate procedure followed but incorrect execution – i.10 Threat and Error Threat is defined as an influence. Line Operational Safety Audits (LOSA) observations have shown that over 70% errors are inconsequential. the accident chain is broken. safe operations are the norm. The last layer of defense is the flight-crew. 3. at any level. Threats and errors are unavoidable. in fact almost half of all errors go totally undetected by the crew. Errors made by the crew during normal and nonnormal operations may require intervention to prevent an unsafe situation arising. performing a checklist from memory.e.

The purpose of the NTSB review was to enable flight-crews to recognize that when multiple warning flags exist. and correct them Mitigate Identify errors that have occurred and limit the damage Flight Crew Training Centre . presence of several of these warning flags should alert us to the possibility of danger. These have been termed warning flags.Page: 11 CRM Manual Date: January 2008 Over 20% of the time though. 3.12 Avoid. We have already determined that we cannot expect to work in a risk-free industry. the crew failed to see the threats and usually compounded them by making additional errors. Mitigate How we deal with these threats and errors depends on the phase of flight:    Avoid Identify potential threats/errors in advance and avoid them Trap Identify current threats/errors that are developing. nine common factors existed. research has shown that flight-crew error led directly to an undesired aircraft state. The NTSB identified in 1994 that of 37 commercial aviation accidents reviewed. However. Trap. such as an unstabilized approach. 3. The flags can be loosely divided into threats and errors: Threats Captain flying Experience gradient First duty day Time since awake Operational stress Errors Procedural error Poor tactical decision Failure monitor/challenge Improper checklist use Those accidents described below and covered during Jade Cargo International CRM courses have many of these warning flags clearly identifiable. However in all cases. great care should be taken to avoid compounding the problem by making additional errors.11 Warning Flags Aircraft accidents tend to have many similarities.

2 National Culture Most discussion about culture tends to centre on the effects of national culture. Hofstede carried out the principle research in this area1. Uncertainty Avoidance. On the individualist side we find societies in which the ties between individuals are loose: everyone is expected to look after him/herself and his/her immediate family. such as organizational. A compromise between the two extremes is what is desired for safe operation Flight Crew Training Centre . Long-term/ Short-term orientation and Masculinity/Femininity. versus its opposite. having left their country of domicile for economic advantage. The five dimensions are Individualism/Collectivism. collectivism.3 Individualism/Collectivism (IDV) Individualism on the one side. On the collectivist side. aunts and grandparents) which continue protecting them in exchange for unquestioning loyalty. often extended families (with uncles.4 Effects on Crew Behaviors     High IDV – Personal gain and protection of oneself are the main priorities. The remaining three dimensions are discussed below. 4. is the degree to which individuals are integrated into groups. “Look after number 1” regardless of the effect on the operation Low IDV – Focus is on the gain for the collectivist whole regardless of personal inconvenience or benefit. Power Distance. 4. 4. regarding all societies in the world. the issue addressed by this dimension is an extremely fundamental one. Expatriates are typically of a more individualist nature.Page: 12 CRM Manual Date: January 2008 4 Culture 4.1 Introduction Due to the diverse nature of the workforce. Jade Cargo International has identified that cultural issues represent a significant difference from a typical airline CRM program. He identified five dimensions where cultures differ. Again. professional and safety culture. not to the state. The last two do not typically apply to pilot groups. (which are predominantly male). we find societies in which people from birth onwards are integrated into strong. This chapter identifies the key concepts that differentiate national cultures and also examines the influence that may occur as a result of particular sub-cultures. The word “collectivism” in this sense has no political meaning: it refers to the group. cohesive in-groups.

Uncertainty avoidance is the extent to which members of a culture feel threatened by the uncertain or unknown. and not expected by their environment to express emotions. uncertainty accepting cultures. but some are more unequal than others. The opposite type. “there can only be one Truth and we have it”. not from above. Unstructured situations are novel. and motivated by inner nervous energy. safety and security measures. surprising. are more tolerant of opinions different from what they are used to. Effects on crew behaviors:   High PDI – can lead to an autocratic leadership style by the Captain – a steep cockpit gradient Medium PDI – a consultative style where input is sought but the final decision is made by the Captain Flight Crew Training Centre .   4. unknown. This represents inequality (more versus less). “I know better than the people who wrote the books” style of operation. of course. Medium UA is optimum for the flight deck. People in uncertainty avoiding countries are also more emotional. and different from usual. and on the philosophical and religious level by a belief in absolute Truth. Low UA Disregard for SOPs and procedures. It indicates to what extent a culture programs its members to feel either uncomfortable or comfortable in unstructured situations. It suggests that the followers. but defined from below.6 Power Distance (PDI) Power-Distance is the extent to which the less powerful members of organizations and institutions (like the family) accept and expect that power is distributed unequally. are extremely fundamental facts of any society and anybody with some international experience will be aware that all societies are unequal. Power distance can be related to cockpit gradient. Power and inequality. as much as by the leaders endorse a society’s level of inequality. and on the philosophical and religious level they are relativist and allow many currents to flow side by side. Uncertainty avoiding cultures try to minimize the possibility of such situations by strict laws and rules.5 Uncertainty Avoidance (UA) Uncertainty avoidance deals with a society's tolerance for uncertainty and ambiguity. they try to have as few rules as possible. “A rule for every situation” approach to flying and a marked reluctance to deviate from SOPs even if the situation demands it.Page: 13 CRM Manual Date: January 2008 4. Effects on crew behaviors:  High UA Rigid adherence to procedures and SOPs. it ultimately refers to man's search for Truth. People within these cultures are more phlegmatic and contemplative.

by a machine function. though the Air Safety Report and Confidential Human Factors Reporting schemes. Improvements in technology (automation) have resulted in only the two pilots remaining as required crew. navigators and flight engineers. It is not the policies themselves that are a potential problem. This chapter investigates the benefits and the traps associated with automation. Although there are numerous examples of the introduction of automated systems on the flight deck.Page: 14 CRM Manual Date: January 2008  Low PDI – decisions arrived at by consensus with all crew having equal Input 4. Furthermore. or an organizational culture can prevail. This is endorsed by an open-reporting policy for safety and human factors issues. The aircraft manages and self-monitors many of the functions that were previously in the domain of the other crewmembers. it is those automatic functions relating to flight path control and navigation with which we are primarily concerned.1 Introduction Automation is defined as the replacement of a human function. but the pilots’ perceptions of the Company’s intent. not what we thought we told them to do.7 Organizational and Professional Culture Although national culture tends to dominate in most circumstances. there can be anomalies where a professional group. (Norbert Wiener) 5. against a conflicting trend. this may or may not conflict with a Company’s management style. promotion of a safety culture might be encouraged for the pilot group to resist a perceived weakness in any national characteristic. In particular.2 Flight Deck Automation Early jet transport aircraft had a crew of five or six on the flight deck. 5 Automation The problem with computers is that they do what they are actually told to do. either physical or cognitive. Flight Crew Training Centre . and also provide some guidance for the management of automation issues. including radio operators. 5. In Jade Cargo International we have a structure that emphasizes “Safe and efficient”. An “On time departure” policy or a “Minimum Fuel” policy might lead to unnecessary pressure to compromise. The reason that this has been acceptable is that the residual workload has remained at a manageable level. such as pilots.

5. “Dekker and Woods” highlighted the apparent benefits of automation against the real effect: Table 1: Benefit of Automation: Intended Benefit Better Results.3 What to Automate Prior to deciding on what to automate. same system (substitution) Reduction in workload Focuses user attention Less knowledge required Reduces error Reality Transforms practice. The latter will not be discussed here. The issue of automation is not whether a machine is capable of doing the job.” This may be the intention but the statement doesn’t provide the whole story. it is the understanding of the automation that causes concern. it is that humans are still required for the part of the task that cannot be automated.Page: 15 CRM Manual Date: January 2008 Why automate? “Automation brings increased safety. it would be a good idea to determine the comparative advantages of humans and machines. The problem with automation is therefore how man and machine interact – the interface. There are (system) performance issues associated with the introduction of automation. accuracy and reduced costs. often at the wrong time Difficulties with Situation Awareness New knowledge and skills required New error associated with communication The table above illustrates how the intended benefits of automation will not be achieved without additional effort. In practice this does not always happen. engineers automate what they are able to automate and the rest is left for the human operator to manage. not to mention the human (social) effects. roles of humans change Creates more cognitive work. Flight Crew Training Centre . In particular.

accurate.4 Fitts’ List In the 1950s. Poor spoken material. access restricted and formal Human Comparatively slow Comparatively weak Unreliable. engineering is the process of economically building a working system that fulfils a need. error correction Good at error correction Specialized. Poor at at detecting messages in noise. The principle task allocated to humans on the flight deck involves monitoring for which we are not ideally Flight Crew Training Centre . Poor program. easy to re program. inaccurate.Page: 16 CRM Manual Date: January 2008 “Engineering is not the process of building a perfect system with infinite resources. User-derived impact analysis as a tool for usability engineering) 5. difficult to re. access versatile and innovative Reasoning Good deductive. Good quantitative assessment.Good inductive. Whiteside. fast communication Ideal for literal reproduction. J & George. fast. slow communication Better for principles and strategies.” (Good. T. narrow range. P. detecting messages in noise. Fitts identified those skills where machines exceeded and those where the human is better. Poor at pattern assessment Wide energy ranges. The “Fitts” list’ is still valid today: Table 2: Fitts’ list3 Skill Speed Power Output Consistency Information Capacity Memory Machine Much superior Superior in level and consistency Ideal for repetitive activity Multi-channel. Rather. slow. Spine. 1986. subject to learning and fatigue Single-channel. Most notable of the differences from a flight-deck perspective is that humans are poor monitors and good at accepting revised plans. M. some multi-function Sensing Perceiving Good at coping with Poor at coping with variation in variation in written & written & spoken material.

Pilots will dynamically move between levels. The automation on the other hand may need to be re-programmed for last minute changes.Page: 17 CRM Manual Date: January 2008 suited. Monitoring or supervising is the principle role left to the pilot. with different cognitive skills required. it is possible to differentiate seven distinct levels. so the overall workload is drastically reduced. but the system must be programmed to give the correct guidance. This refers to the level of monitoring and decision-making required by the operator. These four levels of automation are available to us to use as appropriate for the situation. Although in some systems. according to any change in tactical goal. including when to turn it off! Flight Crew Training Centre . this refers to how far removed the pilot is from the actual job of flying the aircraft. in practical aviation terms we have identified four levels of automation. although “fly-by-wire” will still be assisting. Autopilot with fully managed modes (LNAV/VNAV): The pilot no longer has to calculate closing rate information or fly the aircraft. Note that the pilot is still actively involved in the task and through FCU/MCP manipulation retains situational awareness of the flights progress. There is a reduced cognitive load. Consider the case where an aircraft is on an intercept heading for an instrument approach:  Manual flight without flight director: requires the pilot to manually fly the aero plane and monitor the closing rate of the inbound track and adjust accordingly.5 The Automation Pyramid Research literature on automation talks about levels of “supervisory control”. In the aviation scenario. Autopilot with basic/selected modes: The cognitive demand is as above. Manual flight with flight director: the pilot now has a reduced cognitive load as he no longer has to interpret closing information. It also becomes more difficult to revert to more basic modes with reduced automation. The principle pilot skill on modern generation automated aircraft knows which mode of automation is most appropriate to the task.    The potential problem that we face is that if we operate for too long in the fully automated regime. but the pilot is relieved of the task of manual flight. 5. vigilance and complacency may become issues. Overall result is reduced workload. – This is a high workload situation. such as nuclear power-plant control rooms. In its current mode the aircraft will intercept the inbound course. resulting in further reduced workload. an area of weakness in interface design.

6 The Irony of Automation The irony of automation is that. The major problem that has been identified with automation is due to a lack of understanding. the pilots still have to intervene at critical moments when the automation cannot cope. Using automation requires us to:    Understand each mode before selection Anticipate how the aircraft will react to the mode change Evaluate whether the desired effect has been achieved Numerous accidents have resulted as a result of pilot inputs that were not appropriate for the correct completion of the desired task (Nagoya. The key issue is with the design of the interface: how the pilots and the automation communicate. In particular. It has already been noted that the introduction of automated features changes the role of the pilot. Flight Crew Training Centre . as routine automation takes away the opportunity to rehearse basic flying skills the skill and practice required by the pilots to manage these events is lacking. 5.8 Interfaces The blame for this lack of understanding is not necessarily with the pilot. The report identified links between automation and situational awareness. Habsheim etc). communications and monitoring.7 The Automation Issue Now that the benefits and drawbacks of automation have been identified. The FAA identified this weakness and commissioned a study that reported in 1996. 5. the FAA recommended that operators’ manuals should provide “clear and concise guidance” on conditions when the auto-pilot or auto-throttle will or will not engage.Page: 18 CRM Manual Date: January 2008 5. Cali. The highest workload situations tend to be left un-automated. Unfortunately. it is important to address the issues identified by accident reviews. will disengage or will revert to another mode. If we do not fully understand the system we are not able to anticipate the system response or evaluate its performance. For this new knowledge and skills are required. Studies have revealed that “mode” errors are among the most common on advanced aircraft. having been unable to completely replace the pilots with automation.

A lack of. feedback results in a reduction of situational awareness.11 Ergonomic Design Principles The following design principles have been identified as necessary for producing a usable interface:        Intuitive . Boeing and Airbus flight decks incorporate intuitive. These systems support instrument displays with visual and tactile motion cues to minimize potential confusion about what functions are automated. Appropriate feedback makes the task of monitoring system failures or anomalies more effective. easy-to-use systems. Flight-crew errors typically occur when the crew does not perceive a problem and fails to correct the error in time to prevent the situation from deteriorating.Page: 19 CRM Manual Date: January 2008 5. These cues reinforce situational awareness and help keep the flight crew fully aware of changes occurring to the airplane’s status and flight path during all phases of automated and manual flight. The Jade Cargo International procedure’s of calling FMA changes is designed to counter this threat.9 Feedback “Norman” contests that the real issue with automation is due to poor or inappropriate feedback.10 From an Aircraft Manufacturer Appropriate degree of automation. 5. Consequently. the flight-crew member responsible for safe operation of the airplane. The failing of the man-machine system is because the pilot is no longer “in the loop”. 5. but not replace. or subtle. Understandable error messages Error prevention These principles apply to computerized systems as much as day-to day items.Logical layout of controls and displays Use of natural command language (Windows v Dos) Minimal user memory load (prompt keys) Consistency Feedback Clear. Boeing and Airbus flight decks are designed to provide automation to assist. When was the last time you had to refer to a user manual for a chair or a tea-pot? …or a video cassette recorder…? Flight Crew Training Centre . Feedback is also required for monitoring normal system status change.

either as an organization or as individuals to reduce the threat posed by a design that is less than perfect. which is assigned. In the flight-deck environment. There is a fundamental difference between leadership. 5. Flight Crew Training Centre . An individual's position as captain does not automatically assume that he or she is an effective leader. which is acquired. by knowledge of the appropriate levels of automation and understanding of the automated systems. 6. We must guard against the threats posed by automation. An optimal situation exists when leadership and authority are combined.2 Leadership A leader is a person whose ideas and actions influence the thought and the behavior of others.12 Conclusion Automation is seen as the antidote to pilot error. In fact it has generated the potential for a different type of human error. Aircraft accident and incident investigations have demonstrated that personality differences can influence the behavior and performance of crewmembers. and authority. Leadership is needed to effectively understand and cope with a variety of situations. Personality or attitude clashes within a crew complicate the task of a leader and can have an influence on both safety and efficiency. yet numerous accident and incident reports identify where the leader has failed in his role and remarkably has not exercised leadership. Through the use of example and persuasion. and an understanding of the goals and desires of the group. 6 Leadership and Team Dynamics 6.Page: 20 CRM Manual Date: January 2008 The advantage of retaining humans in the system is that they are adaptable and flexible. the Captain is the designated “leader”. Appropriate feedback is vital to achieve and sustain the high levels of situational awareness required for safe operations. Humans are capable of devising strategies. Recognition of a poor design is part of the way towards eliminating the threat it poses. This chapter will identify some of the attributes necessary for effective leadership and identify how styles of leadership vary. the leader becomes a means of change and influence.1 Introduction There are various competing theories about what makes a leader and the definition of leadership.

In fact.Page: 21 CRM Manual Date: January 2008 The Captain’s authority as leader is derived from the China Civil Aviation Regulations. Task Team Individuals Figure 1: Action Centred Leadership Flight Crew Training Centre . along with recognition of the appropriate source of assistance and the correct answer when provided. with use of the Assess. and Manage Decision-Making Model. The leader must have a thorough technical knowledge of the aircraft and appropriate supporting systems. any limitations of this knowledge must be identified. 6. As leader the Captain has both responsibility and accountability. Jade Cargo International SOPs and technical training support this function of leadership. the team and the individual. An ability to communicate and self-motivation are also vital. 6. This implies a certain amount of discretion in choice of action. and a duty. An effective leader must have both technical and personal skills. and be able to maintain team morale. The leader must balance the demands of the task. Some of this is relevant in the sphere of commercial aviation. Action. from a practical view point the Captain has a right. however the leader also has other areas of responsibility. will power. The importance of each sphere of responsibility will change dynamically according to the situation.4 Action-Centred Leadership Pilots tend to be naturally task-focused individuals. initiative and integrity. to decide on a course of action.3 Leadership Theory Early research into leadership theory stems from the military. In addition. Personal qualities required are those of courage.

7 Individual Development and Satisfaction In the two-pilot flight deck.6 Team Building and Maintenance Team work is vital for an effective solution to a task.8 The Role of Leader The CRM Manual produced by Transport Canada identified the following four tasks that encompass the role of the leader: 6.Page: 22 CRM Manual Date: January 2008 6. Maintain situation awareness Monitor and evaluate the task’s progress 6. To enhance the sense of unity:     Use expertise within the team Briefing Co-ordination of effort Provide feedback 6.8. experience and culture in Jade Cargo International the following techniques may also assist in promoting the individual’s needs:    Sensitivity to cultural needs Maintain an open environment by active listening Admission of errors and encourage Standard calls to identify deviations 6. consider the following:      Planning Communication of intent Avoid over-involvement as it reduces the capacity to think ahead. With a wide variety of background. suggestions Clarifying communication Providing feedback Regulating participation Flight Crew Training Centre . ideas and suggestions within the crewmembers and outside sources       Communicating flight information Asking for opinions. suggestions Giving opinions. many of the considerations for the team also apply for managing an individual’s needs.5 Task To achieve the task.1 Regulating Information Flow The leader must regulate. manage and direct the flow of information.

8. there are differing degrees of participation such as democratic and participative. In between.8. coordination and direction for group performance     Directing and coordinating crew activities Monitoring and assessing crew performance Providing planning and orientation Setting priorities 6. Flight Crew Training Centre .4 Leadership Styles Having determined what is required of a leader. how is this delivered in practice? Leadership style refers to the degree of involvement between the leader and the team during decision-making.Page: 23 CRM Manual Date: January 2008 6.8.3 Motivating Crew Members The leader must maintain a positive climate to encourage good crew member relations and to invite full participation in crew activities      Creating proper climate Maintain an "open" cockpit atmosphere Resolving/preventing angry conflict Maintain positive relations Providing non-punitive critique and feedback The leader is ultimately responsible for decisions      Assuming responsibility for decision making Gathering and evaluating information Formulating decisions Implementing decisions Providing feedback on action 6.2 Directing and Coordinating Crew Activities The leader must function as crew manager to provide orientation. It can range from the extreme of autocratic or dictatorial to “Laissez-faire”.

It may be acceptable to be “laissez-faire” when all goes well. Then makes the decision that may or may not reflect the subordinates’ influence. but not if things are going wrong.   Autocrat [A1]: solves the problem or makes the decision alone. getting their ideas and suggestions without bringing them together as a group. a different style is adopted according to the situation. Together.Page: 24 CRM Manual Date: January 2008 Laissez Faire Democratic/Participative Autocratic Figure 2: Authority Dynamic Range While “laissez-faire” (loosely translated as anything goes) might appear to be an appropriate attitude. “VROOM” has isolated five categories on the scale above. generates and evaluates alternatives and attempts to Flight Crew Training Centre    . The definition used here is “laissez-faire”. Consultative Autocrat 1 [A2]: obtains the necessary information from subordinates. regardless of performance – which is unacceptable on the flight deck. collectively obtaining their ideas and suggestions. The role played by subordinates in making the decision is clearly one of providing the necessary information. Consultative Autocrat 3 [C2]: shares the problem with subordinates as a group. using information available at that time. in this case the leader does not care whether the team performs well or not. Consensus Seeker [G2]: shares the problem with subordinates as a group. This differs from a “relaxed” attitude. Does not necessarily tell subordinates what the problem is while getting the information from them. These definitions below provide more detail to assist with understanding the concept. Then makes the decision that may or may not reflect your subordinates' influence. while monitoring to assure necessary performance. rather than generating or evaluating alternative solutions. and then decides on the solution to the problem alone. For most effective leadership. Note that an individual need not always be associated with only one style. Consultative Autocrat 2 [C1]: shares the problem with relevant subordinates individually.

For successful team performance.  Trying not to influence the group to adopt "own" solution and willing to adopt and implement any solution that has the support of the entire group. The optimum gradient. and followership is a skill in its own right. R & Curphy. Flight Crew Training Centre . passive/critical. predictability and an appropriate level of assertiveness. R. The role is much like that of a chairman.9 Cockpit Authority Gradient In addition to the style adopted by the Captain. Ginnett. while respecting the Captain’s legal authority. Hughes. Jade Cargo International encourages a flat cockpit authority gradient. that of dependent/independent uncritical/critical thinking and active/passive involvement in the team’s performance. RE. G (Eds). from the team perspective nothing could be further from the truth. which may differ between individuals and national cultures. Followers are a vital part of a team. An effective follower requires qualities of flexibility and adaptability. The four combinations available are therefore passive/uncritical. the interaction between the flightdeck members will define the authority gradient between the two. Of these classifications it is worth noting that the last. A fifth group “Company men” is chameleons adopting any of the four other styles as appropriate. Redefining Airmanship) model of followership examines two dimensions.Page: 25 CRM Manual Date: January 2008 reach agreement (consensus) on a solution. Nevertheless the duties and responsibilities of the pilot-in-command should in no way be affected by this need. 1997. along with good communication skills. encourages an open atmosphere to monitor and challenge. A two-dimensional model of follower behavior in Leadership: Enhancing the Lessons of Experience. supportive followers are as important as a leader. active/uncritical and active/critical. “Kelly’s” (Kelly. G2. since there are a number of nationalities. levels of experience and different cultural backgrounds among the workforce in the company. 6.10 Followership Followership is often perceived as a short-term necessity on the way to a leadership position. While this might be an individual’s view. 6. cited by Kern. and a flat one reduces the Captains’ authority by constant (unnecessary) challenge. 1988. A steep gradient results in ineffective monitoring from the co-pilot. avoids the Captains’ obligation and duty to make a decision and to accept responsibility. T.

to give the best possible impression during the crew brief and ensure that both pilots come across as open to communication from the crew. but through disillusionment and disenchantment are not prepared to speak up. completing tasks in silence without adding to the team’s performance. Sheep are akin to human automatons. The only way to ensure this is. They are also the foundation for teambuilding.11 Team Dynamics Unlike military crews. not afraid to speak up when necessary and challenge a flawed decision. Team building is therefore a skill that needs to be emphasized if a “scratch” crew is to perform well. The crew briefing is probably the only opportunity to foster a vital link between the flight deck and the cabin. A poor first impression could take as long as seven hours of continual contact to undo. and actively supportive without being “yes men”. Their motivation is political rather than task/team oriented. Using the first minutes of meeting effectively is obviously very important. Flight Crew Training Centre . not to foster an effective team but to avoid making waves. A good first impression is vital for successful team bonding and should be accomplished in the first few minutes of team formation. Yes people can add an element of danger to the operation. Good communication skills have already been identified as critical for both leaders and followers. They inhibit crew decision-making and can encourage a feeling of invincibility to the pilot-in-command. 6. They have the potential to destroy a team’s effectiveness. Alienated followers are those that have identified a problem with the operation. Making a good first impression is vital. An airline crew needs to be working together and communicating well from before the take-off roll. because they actively support without thinking. unless identified and brought “back onside”.Page: 26 CRM Manual Date: January 2008 Effective followers are essential to safe flight. airlines form new teams for practically every duty. they are typified by mediocre performance and shift quadrants. Survivors are the Company men.

The actual words used accounting for about 10%. verbal communication is one of the oldest forms of human interaction. the advantages of various communication styles and the requirement for conflict resolution. and very rarely are raised voices heard. The actual words used accounting for only about 10% The impact of body language is greatly reduced in a flight deck. Between a Captain and a First Officer. 7. rank could impinge on communication as well. 7. the words used tend to be very important. as does the fact that many of our pilots do not use English as their native language. Barriers to communication are also identified. insulting. along with methods of eliminating them. There are many barriers to communication within a cockpit.e.Page: 27 CRM Manual Date: January 2008 7 Communication 7. Communication breaks down barriers and promotes the exchange of important information. This chapter is aimed at producing effective crew communication in the context of multi crew operations. as much as 90%. degrading language.2 Principles of Communication Human communication is the act of sharing information. While modern flight decks are well insulated. In the case of Jade Cargo International.3 Communication Barriers The flight deck of an airliner is not an ideal place to have a conversation. culture plays a large part. Body Language and tone of voice makes up for the majority of human communication. This chapter describes the principles of communication. It serves a complex and vital role in establishing and maintaining relationships Flight Crew Training Centre . This is the most relevant definition to the task of flying an aircraft. However. noise is still a factor. This can be verbal or non-verbal information. Communication on the flight deck can be affected primarily by:    Tone of voice Focusing on own/others’ needs The use of emotional language or “put-downs” i.1 Introduction One of the key skills required for operating a multi-crew aircraft is the ability to communicate. So. in communication within a crew.

Flight Crew Training Centre . supportive and submissive. two aspects of the message content will be considered. This is especially in the flight deck from a person in a position of authority. By adhering to these “standard calls” the danger of miscommunication is greatly reduced. aggressive. From these two aspects the following model can be constructed: Table 1: Communication Styles “No put-downs” (1) Focus on own needs A Focus on needs of others S Assertive A1 Supportive S1 “Put-downs” (2) Aggressive A2 Submissive S2 Four communication styles can be determined from this model. the focus. assertive. It is stating our own needs and feeling without putting others down. The SOPs contain standard phrases and occasions when exchanging information or verifying facts is required. whether on the needs of others or your own.1 Assertive Behavior [a1] An assertive style enables one to speak in such a way that one does not abuse or dominate others. and the manner.4. Establishing a cordial and efficient working relationship can be made easier by the use of some of the techniques covered in this chapter. While a silent flight deck is desirable in some stages of flight.Page: 28 CRM Manual Date: January 2008 between people. whether unnecessary emotional language or “put-downs” are used. 7.4 Communication Styles To assist in analyzing effective communications. a lively discussion in low workload phases usually goes a long way toward “setting the tone”. Being Assertive:    Heightens self esteem Makes other people take notice Establishes authority Assertive behavior is a desirable form of communication. The principle means of communication is by the use of Standard Operating Procedures (SOPs). 7.

However. it is clear that aggression comes about when an individual is focused on his own needs and uses put. 7. The key to identifying aggression is the use of “put downs”. In a non-critical situation. A person being supportive will:    Show concern Not diminish their own or others’ worth Be willing to help and listen In a typical crew the PNF should adopt a supportive role. Defining a “put down” is not easy and it is incumbent on all parties (particularly in a multi-cultural environment such as Jade Cargo International) that great care is taken to avoid anything that can be construed to be one. such as during training or non-normal situations. They put themselves down. With a submissive style the individual focuses on others’ needs in a way that diminishes their own worth. Therefore.4. not recommended but part of life. This is a “no-go” area for us at work. It is important that “put downs” or words or tone of voice that may be interpreted as such. It is unlikely to motivate the team. the key here is the use of “put downs” or abusive language. is it better to be submissive in order to defuse a situation? Sometimes it may be preferable to “let it go” in order to preserve harmony.2 Aggressive Behavior [a2] This is when someone is being aggressive.4 Submissive Behavior [s2] The simplest definition of submissive behavior is the acceptance of “put downs”. and will likely isolate the aggressor.4. When aggressive feelings burst forth we tend to regret it afterwards because serious negative consequences usually occur as a result of aggression. However this may change depending on circumstances. A2 behavior rarely occurs without precursors. Being focused on one’s own needs is very human. Aggressive behavior will have a negative impact on a team.Page: 29 CRM Manual Date: January 2008 7. 7. A person using a submissive style of communication allows himself to be dominated. Flight Crew Training Centre . Referring to the matrix.downs. are avoided at all times.4.3 Supportive Behavior [s1] A supportive style focuses on others needs in a way that does not downgrade themselves.

Since the safety of the flight is of paramount importance and is a common need between all parties. Flight Crew Training Centre . provided that the intent is to stop the use of put-downs. This brings the focus back to the task at hand and reduces conflict. it is likely communication that will break down completely. their needs will be overlooked. Each individual and in fact every team. and perhaps discount their views even in a crisis 7. If the other person is submissive. Being aware of this and expecting it from yourself and others goes a long way toward fostering good communication. The use of the communication styles model identifies boundaries between own/others needs and the use of “put-downs”. be supportive. It may be necessary to vary the style of communication according to the situation.5 Dealing with Aggression If aggression is met with aggressive behavior. focusing on this usually helps in restoring harmony. The best response is to focus on the other person’s needs (where this does not compromise safety) and ignore the perceived put-downs. Assertive and supportive behavior styles are those that promote the most efficient communication. the assumption might be that they have nothing to contribute. Some of the factors that affect the position of these lines are:      Race Culture Nationality Age Seniority / Rank It must be emphasized that the lines move all the time. Establishing the position of the lines can be difficult. In other words. An assertive response might also be effective. In fact submissive behavior often comes about as a result of aggressive behavior on the part of another person. Dealing with aggression is not easy. will find a style that works well for them. If someone is submissive.Page: 30 CRM Manual Date: January 2008 Sometimes a person will prefer not to say anything for fear of being laughed or shouted at. These boundaries are not necessarily static or evenly divided. but leads to good understanding when accomplished.

High respect for mutual support.6 Conflict Resolution Any time two or more people are brought to work together. communications may breakdown. and the damage is usually difficult to repair. What is important when conflict does occur is that the issue is resolved and that safety is not compromised. Conflict becomes unhealthy when it is avoided or approached on a win/ lose basis. depending on how those involved choose to approach it.Page: 31 CRM Manual Date: January 2008 7. Conflict is usually present because of:     Differences in needs. Conflict is healthy when it causes the parties to explore new ideas. When conflict is dealt with constructively. Differing expectations of outcomes . Conflict should not be taken as another word for not working together. people can be stimulated to greater creativity. which will lead to better results. actions and situations. You must give to get. If conflict does occur. Flight Crew Training Centre . but unfortunately does occur a great deal. Unwillingness to work through issues. It is possible to cooperate with conflict arising. the results may be positive or negative. There is more than one way to do anything. objectives and values. Reference to the Action-Centred Leadership model1 can assist in probing sources of differences. Differences in perceiving motives. The two key learning points in resolving a conflict are: 7. When sides are chosen. productivity will diminish or stop. Conflict is not a necessary component of human behavior. Resolving conflict requires an analysis of the root cause of the conflict. No one makes major concessions. collaborate or compromise. trust and support will deteriorate.7 Problem Solving     Needs of both parties are legitimate and important. and stretch their imagination. the stage is set for potential conflict. test their position and beliefs. Animosities can develop. 7. No one person or idea is perfect.8 Compromising     Important all parties achieve basic goals and maintain good relationship. Conflict resolution can be achieved on a win/win basis and this produces the best results.favorable versus unfavorable. words. Assertive and cooperative.

it is possible for diverse personality types from widely disparate cultures to work together harmoniously and ensure safe flight. Action and Critique.Page: 32 CRM Manual Date: January 2008 Provided these concepts are borne in mind. or good or bad outcomes. Flight Crew Training Centre . This raises the question as to whether we should consider good or bad decisions. Advocacy. It is the end result that we are interested in. The importance of time management is also covered in this chapter. 8 Problem Solving and Decision Making 8. 8. either for routine or novel situations. It is not which model that is used that is important. and reduces the risk of omissions and errors in the assessment phase of the problem. however it is the industry’s belief that a structured decision making process will reduce the risk of a poor outcome. Using a structured approach for problem solving and decision making leads to a better outcome. GOOD OUTCOMES ARE GENERALLY ENSURED BY THE USE OF     Briefings Sharing the workload Planning for change Using aircraft equipment to your best advantage POOR OUTCOMES ARE CAUSED IN PART BY:      Attitudes Failures of judgment Deviation from SOPs Lack of briefings leading to misunderstandings and omissions Emotions overcoming good judgment Various structured models are in use in airlines around the world. a situation arises that is beyond our scope or experience.1 Introduction Problem-solving and decision-making are activities we conduct instinctively every day.2 Structured Decision Making Research has identified numerous occasions where similar accidents nearly occurred. However. which provides a structured approach to problem solving and decision-making. rather that a model is used. once in a while. Using a structured approach is a form of SOP for decision making. This chapter introduces the Company decision-making model. Conflict Resolution. Most of them are based on the original CRM loop of Inquiry.

“The Situational Assessment Model focuses on factors that influence a flight crew’s assessment of a situation and the subsequent management of available resources”.1 The Model “Footprint” The model is based on the “Battelle” “Situational Assessment Model” that had been developed for the FAA. it is felt that the process to “Rectify / contain the problem” had very specific needs that could only be accommodated by allocating it to a phase of its own. Risk Management Model (RMM) is for the two man crew cockpit.Page: 33 CRM Manual Date: January 2008 The Jade Cargo International. further modification to the RMM was required. Because this additional phase consists mainly of corrective actions. Flying skills and good management of the auto-flight systems is also applicable throughout the application of the RMM. The RMM is based on the assumption that the crew is fully proficient with the following. as well as the appropriate CRM principals.     Handling skills (manual and auto-flight) Technical knowledge (Type specific) Procedures (Manufacturer and Company) Basic Knowledge in Human Factors Principles It must be emphasized at the outset that the RMM and CRM is intended to provide an extra dimension to the Pilot’s management skills and not to make up for a lack of knowledge or skills in any of the above mentioned documents.2 Providing “Seamless Integration” To provide the required “seamless integration” as required by Advanced Qualification Program (AQP).2.2. This model was expanded to accommodate the following: Procedures to rectify / contain the problem Making a decision Implementing the decision However. Flight Crew Training Centre . according to the manufacturers non-normal checklist and or company procedures. 8. indicating when manufacturer’s company procedures should be applied. During each of the phases specific guidance is provided. 8. it was decided to call this the “Action Phase”.

The line in question determines whether the discussion is centred on the problem (below the line) or on solutions to the problem (above the line). it is essential to accurately determine what the exact nature of the problem is. its implications and how much time is available. By staying below the line as much as possible. a better understanding of the problem itself can be gained. there are two typical responses. Enquiry Solution Problem Examples of each category are:     Solution Enquiry [SE] – Suggestion Solution Information [SI] – Instruction Problem Enquiry [PE] . immediately come up with a solution or stay with the problem by further defining it.3 A Problem-Solving Model Prior to deciding on a course of action.Information seeking. seeking more information about it. The situation can be considered in two separate domains. to make sure we fully understand the implications. Using these classifications we can use a model to identify the appropriate type of communication to best assist with resolving the situation. A key factor in making this decision depends on how much time is available.Page: 34 CRM Manual Date: January 2008 8. Jade Cargo International uses a problem-solving model to focus on the problem until these questions are answered. Men in general and particularly pilots tend to go straight to a solution. This does not always produce the best solution. Whenever a problem is encountered at work. questions Problem Information [PI] – Analysis Information SI PI SE PE Sometimes it is more appropriate to spend time in gathering information before developing a solution. Any communication relating to this issue can also be considered as either information about the problem/solution or an enquiry. Flight Crew Training Centre . Jade Cargo International uses the catch phrase “stay below the line” to help crews focus on the issues related to the problem before taking action. the problem and the solution.

The use of open questions can assist in staying below the line. Moving above the line is significant because it involves a suggestion or an instruction. EFIS architecture. critical. In the latter case. Assessment of how much time we have is essential in problemsolving. this limits the opportunity for assessment. It is for this very reason that moving above the line should be done with caution. losing vital feedback.Page: 35 CRM Manual Date: January 2008 The key of “staying below the line” allows us to fully assess the problem within the available time. it is possible to prioritize accordingly. Once a time frame has been established. Time spent “below the line” is kept to a minimum. using a traffic light system. immediate action is required. available and required.  Time Critical situations require immediate action.4 Time Management Some situations require an immediate response. However there will be some occasions where it may be necessary to slow down or enter into a holding pattern.solving resource. Time Available: Cautions require a timely response. may at best get a query in response. whereas the second is almost a suggestion [SE]. A solution in the form of a question however. but will probably be accepted.   The key to these different types of time is that EICAS/ECAM will assist with our assessment of time. might compound Flight Crew Training Centre . 8. Caution level alerts are amber on EFIS. time is available to consider the problem and when is appropriate to take action. Time Required: Other levels of alert may or may not necessarily be identified with color coding on EFIS. The effective use of time is very important in problem solving. They may be associated with immediate action drills (such as GPWS). both in Boeing (EICAS) or Airbus (ECAM). Consider the likely responses to these two questions:   Where do you think we should divert to? Or Do you think we should divert to Munich? The first question is an open question [PE?]. A fast decision may not always be the correct one. Open questions allow more options. when there is little available. On the other hand. is a valuable problem. Time can be considered as. Warnings and Time-Critical Warnings are coded red on EFIS displays. others may be less time dependent. In all cases. recall actions (Engine Fire) or a checklist (Fire Wheel Well). taking too much time to collect information and make a decision. all conversation tends to stop and the decision is implemented. In many cases it assists with our assessment of time.

GROUP AND INDIVUDUAL needs  MONITOR PROGRESS – continually check for poor judgment (PJ) [Participation. This means that the F/O is best assigned the task of flying. COMMUNICATE CONTINUOUSLY [Use Autopilot if available] ASSESSMENT PHASE [Seek information. the Captain must manage. summarize] CHECK CB’s AND SWITCHES ● IDENTIFY DIAGNOSE: What is wrong? • VERIFY How to RECTIFY • Identify procedure ACTION PHASE [Monitor. seek information. test understanding. 8. test understanding. prioritize. An early calculation of the time situation will assist with decisionmaking. propose. NAVIGATE. build] EVENT STATUS Making the Decision Consider: TASK NEEDS Aircraft performance EROPS AWOPS ATC DDM/MEL GROUP NEEDS crew company passengers INDIVIDUAL NEEDS control stress individual crew members passenger  Options(Itemize best option.Page: 36 CRM Manual Date: January 2008 difficulties. test understanding propose. delegation] Remember that in complex situations. QRH If needed: “stop the checklist” MANAGEMENT PHASE [summarize. Flight Crew Training Centre . prioritize.5 The Jade Cargo International Decision-Making Model RISK MANAGEMENT MODEL AVIATE. keep partner in the loop] PROCEDURE TO RECTIFY / RECALL ITEMS / USE EICAS. Good teamwork needs good communication. Achieving the best solution demands good teamwork. Open Participation)  Brainstorm options and check for poor judgment  Summaries  DECIDE[selling if required IMPLEMENTING THE DECISION  Satisfy TASK.

However. It is only when you have to make decisions in somewhat abnormal situations that the weighting of the circles change.8 Manage Once the action has been completed. “Did the action solve the problem?” “Are you sure?” These are good questions to ask of oneself. Action centered leadership is based on the principle that during a normal flight.7 Action During this phase the emphasis is placed on procedural/technical knowledge combined with good communication and monitoring techniques.Page: 37 CRM Manual Date: January 2008 8. we must come back to summarizing our actions and again reflect and analyze our actions. if there were any elements of confusion during the initial assess phase. Once the Group is informed and placated.6 Assess The assessment phase is characterized by problem-solving and time assessment. It is a circular or iterative process. all the circles are the same size. Use Action-Centered leadership to meet the needs of the task. Flight Crew Training Centre . the team and the individual. Once this is under control. a good commander will then address the passengers and crew and explain to them the steps taken. Undue haste has led to more accidents than most people realize. 8. it diminishes in importance and the group need comes to the fore. Once the problem is clearly defined and summarized should we then move above the line. the task need is paramount. For example in the first stages of a diversion. When the process is complete. The specific action and or checklist required may be dictated by the type of situation. With the aircraft descending and flying in the desired direction. Individual type procedures will determine what other action may be required. including the navigation away from terrain. An important point here is that you do not rush. individual needs (a cup of coffee or a visit to the restroom perhaps) can be attended to. Information may come from SOPs or other sources such as QRH or other manuals and will need to be clearly defined. it is time to manage. the first priority is to maintain control of the aircraft. 8. obstacles and weather. Both the assessment and time factor may be provided by EICAS/ ECAM indications.

2 Models Psychologists use models to produce a simple explanation of how something complex works. In the same way. An awareness of these limitations and errors can reduce their impact on flight operations. Some characteristics of mental models are:     They are incomplete and constantly evolving They are usually not completely accurate. Mental models are also a key component of situation awareness. but functionally can be quite accurate. INPUT PROCESSING OUTPUT Figure 1: Basic Cognition Flow Very simply. do something with that information and then act on it. we will consider the brain in terms of input functions. they typically contain errors and contradictions They provide simplified explanations of complex phenomena They can be represented by sets of condition-action rules (If… then…) 9.3 A Model of the Cognitive Brain As in most processing flows. The importance of the model is that it is effective in assisting understanding. This chapter looks in particular at some of the limitations of the human brain and the typical errors that can occur as a result. we receive information. 9.Page: 38 CRM Manual Date: January 2008 9 Cognition 9. Mental models are vital to users for controlling systems and problem-solving. A model may not be a very good literal representation of a system. Flight Crew Training Centre .1 Introduction Cognition is all about how humans process information. these are known as “mental models”. individuals create internal representations of how systems work. output functions and an internal processing function.

even though they do not have the loudest voice. are actually switching from one to the other. 9.4. noisy social function it is quite possible to sustain a conversation with someone. so much that.1 Senses We have five senses through which we receive information. This is quite normal. warnings or “attention-getters” use audible alarms.5 Perception Perception can also be thought of as another filter by the processing function. it is very difficult to subsequently identify it correctly and take the correct action to Flight Crew Training Centre . Attention is directed by the processing function and can be thought of as a filter to the overload of sensations all around us. smell and taste. The brain will filter the unwanted background noise. sight.4. Routine (status) information is therefore conveyed by visual cues. it would become increasingly difficult to maintain the original conversation. However the brain does have a mechanism for making sure that we do attend to matters that affect us. 9. sound and touch.3 Divided Attention Problems occur when we need to attend to more than one matter at a time. 9. but only a limited signal can be conveyed.Page: 39 CRM Manual Date: January 2008 9. Perception is incredibly powerful. Flight-deck design typically makes use only of the first three of these – sight. but it is not being ignored completely. sound. Attention is believed to be a single-channel function. as many of the signals are neither intended for us nor relevant to us. The “cocktail party” syndrome provides a useful example of this. if we miss-perceive an event.4. The advantage of sight is that quite complex information can be transferred to the user as long as they are looking at the signal.4 Input functions 9. It is only possible to concentrate on one signal at a time. not all of them get through to the processing stage. During a busy. This refers to a “pre-processing” stage where the brain interprets what it thinks it has seen before dealing with it.2 Attention Our senses are constantly receiving and discarding signals. Those who believe that they can monitor two channels simultaneously. We are unable to effectively monitor our principle task. as firstly you would detect this new signal and secondly try to monitor it as well as the initial conversation. Sound on the other hand is omnidirectional. at some point they will lose part of one or other signal. touch. If someone nearby were to mention a key topic of interest to you (such as your name).

In this case the “echoic” memory (of the auditory system) can retain the data for as long as 10 seconds. It has a capacity of approximately seven bits of information. unless it is consciously being dealt with. New information received on top of this will replace the current contents of working memory. and retained by conscious attention. Flight Crew Training Centre . An example might be an R/T call that interrupts a conversation. 9.6.6. 9. expect 150 by xxx.72”. and contact 119. typically with the response “…was that for us?” but by the time the question is asked. for instance if you are looking in the general direction of the EICAS/ECAM and a message pops up and disappears. The mind can have difficulty perceiving something it has never seen before or that appears to be impossible. Sensory memory data is lost by decay.Page: 40 CRM Manual Date: January 2008 deal with the problem. short-term and long-term.1 Memory Memory is the storage area of the brain. which really belongs with the input functions. The string “28531018015011972” is clearly longer than seven digits. Iconic memory (for visual stimuli) is almost literally gone in a flash.5 second to replay the stimulus before it is lost.6 Processing Functions 9. 9. you have as little as 0. However it becomes more manageable even with additional information in the form – “Heading 285. speed 310. descend 180. The processing function is considered to have two types of memory.6. We can increase the effectiveness of our short-term memory by “chunking” information. the original message has been replayed by the mind.3 Short-Term Memory Short-term or “Working” memory is extremely limited and slow in operation. Another type of memory is sensory memory. Psychology text-books (and the internet) have numerous examples of such illusions.2 Sensory Memory Sensory memory refers to how long the senses maintain received data before it is consciously dealt with or lost. Perception is considered to be the first stage of Situational Awareness.

even if the correct data has never been learned. Usually the event and what you were doing at the time are inextricably linked as one memory. patterns or mini theories. However the problem is not with forgetting.4 Long-Term Memory Information transfers to the long-term or permanent memory by rehearsal and repetition. you would be able to state with a fair degree of confidence that:     It has four wheels It has leather seats It has an amazing stereo It will be available in black and silver …. 9. some secret? Long-term memory data is not lost.5 Flashbulb Memory This is a phenomenon which describes what happens when an event so incredible occurs that the information is immediately placed in long-term storage. Flight Crew Training Centre . long after the event. Short-term memory data is lost by displacement and retained by rehearsal. using “motor actions” without recourse to the conscious workspace. and Mitigate). but it is top secret. episodic memory gives an autobiographical view of events. but with inability to retrieve or access the information.. but becomes irretrievable due to interference.Page: 41 CRM Manual Date: January 2008 Chunking has reduced this sequence to just five bits of information. Retrieval of information is fast and effortless and parallel processing is available. whereas semantic memory stores similar data in a form of hierarchical tree. It is believed to be unlimited in capacity and lasts forever. For example. 9. This enables the brain to come up with a “sensible wrong answer”.6. Data is stored in one of two methods by the long-term memory. such as ATM (Avoid. manageable by most. Data in the long-term memory can be in the form of single bits of data or in the form of learned routines. This enables this “knowledgebase” to handle recurrent routines.6. Trap. For this reason it is normally possible to date these events quite accurately. if you were told that Lexus have developed a new luxury car. One technique to assist with retrieval is the use of mnemonics.

Common psychological traps that humans may encounter include:        Confirmation bias – only accepting evidence that confirms our position and rejecting contradictory evidence.7 Problems with Decision Making As powerful as it is. There are other occasions where humans can do more than one thing at a time. Overconfidence Sunk Cost – “throwing good money after bad” Wishful thinking Outguessing Randomness Plan Continuation Error – The most significant trap that we fall into as pilots is that we find it hard to discontinue a bad approach.6 Central Processor/Decision-Maker The processor in the brain is exceptionally powerful. in particular responses to RTO. The process tends to be dominated by vision and can only work sequentially. the explosion of the Space Shuttle Challenger [January 1986]. 2001 are slightly different in this respect. It can only deal with one issue at a time.Page: 42 CRM Manual Date: January 2008 Examples of events producing a “flash-bulb” effect are. the death of Princess Diana [August 1997] and the crash of Concorde [July 2000]. This prevents the cognitive functions from reaching overload and resulting inaction. this is when the action has become a learned routine. however it is a single channel device. 9. It is the intention in pilot training to transfer emergency drills into over-learned routines. Availability – Solutions selected because they are available and simple to execute regardless of effectiveness. 9. a response and is handled by the knowledge-base in the form of “motor-actions”. There may be occasions where it appears to be doing several tasks. but in fact it is just switching quickly between them. human decisions have numerous sources of bias that may hinder optimal performance. as they are referred to by the date itself. the assassination of JFK [November 1963]. or we press on Flight Crew Training Centre .6. GPWS and Wind-shear warnings fall into this category. The events of September 11.6.

This chapter covers the effects of stress. Performance varies with a number of factors.7 Conclusion The brain is exceptionally powerful but typically limited to dealing consciously with one issue at a time. Some of these place physical strains on the body. some a combination of both. sleeps loss and disruption on the body and discusses techniques to manage stress and alertness. The term arousal will be used as the generic term for both. 9.Page: 43 CRM Manual Date: January 2008 towards a landing with significant issues not resolved. including workload and circadian rhythms. Our interest is human performance. In this respect. your brain knows how to deal with them… 10 Stress and Alertness 10.1 Introduction Stress may be defined as the demands that act on the human body. others mental strains. This chapter highlights some of the issues now that they have been identified. Optimum Stimulation Creativity Rationality Problem Solving Progress Under Stimulation Boredom Frustration Dissatisfaction Over Stimulation Overload Confusion Distress Flight Crew Training Centre . stress and fatigue produce similar results. It is easily overloaded and can also produce biased results. Alertness is a term used to describe the state of the body as it reacts to stress and also to describe a state of awareness.

As stress increases further. The left side of the curve shows a person in a state of under. performance actually peaks. Sustained operation in the shaded area is however. but the time spent in these phases is relatively short. but too much is exhausting. from being somewhat dormant. consider that arousal refers to stress. The body needs an optimum level of stress to operate.stimulation. The American Psychological Association explains these as follows: 10. In the diagram above. After a certain point.1 Acute Stress Acute stress is the most common form of stress. Skiing beyond your limits can lead to falls and broken bones. Performance tends to degrade very rapidly if an attempt is made to remain at optimum for a long period.3 Types of Stress Stress can be divided into two types. Critical phases of flight. performance declines below optimum or satisfactory performance and enters a rapid decline thereafter. as stress increases. such as take-off and landing. overdoing on short-term stress can lead to psychological distress. It comes from demands and pressures of the recent past and anticipated demands and pressures of the near future. It is preferable to remain on the left hand side of the curve. Too little stress causes complacency.Page: 44 CRM Manual Date: January 2008 The diagram above can be used to explain the effects of both stress and fatigue and these are covered below. and other symptoms.3. Initially. 10. By the same token. acute and chronic. is exhilarating early in the day. which differs according to individuals and within individuals.2 Stress Stress is not necessarily a bad thing. largely impossible. 10. Optimum human performance takes place in the shaded area at the top of the curve. performance improves. upset stomach. within easy reach of peak performance if new demands arise. Acute stress is thrilling and exciting in small doses. Stress is also a factor in achieving peak performance due to the release of adrenalin. The wellknown “fight or flight” or “adrenalin rush” syndromes are as a result of stress. A small amount of stress acts as a stimulus and results in improved performance. Stress has been necessary for the evolutionary survival of the human. for example. Too much stress decreases a person’s ability to function. into the optimum performance range (shaded). tension headaches. That same ski run late in the day is taxing and wearing. require the crew to be at optimal performance. and then falls away. The right side shows over stimulation. A fast run down a challenging ski slope. Flight Crew Training Centre . These prepare the body to react when presented with danger.

and heart disease. have too many irons in the fire. rapid heartbeat. shortness of breath. chest pain. and sometimes their irritability comes across as hostility. If something can go wrong. anxious. and can't organize the slew of self-inflicted demands and pressures clamoring for their attention. gut and bowel problems such as heartburn. they describe themselves as having "a lot of nervous energy. it does.Page: 45 CRM Manual Date: January 2008 Fortunately. 10. dizziness. The most common symptoms are:    emotional distress--some combination of anger or irritability. Because it is short term. a deadline they're rushing to meet. constipation." Always in a hurry. acute stress doesn't have enough time to do the extensive damage associated with long-term stress. muscular problems including tension headache. They seem perpetually in the clutches of acute stress. and chest pain. their child's occasional problems at school. most people recognize acute stress symptoms themselves. anxiety. however. It's a laundry list of what has gone awry in their lives: the auto accident that crumpled the car fender. irritable. diarrhea. The work becomes a very stressful place for them. and it is highly treatable and manageable. It is common for people with acute stress reactions to be over aroused. Interpersonal relationships deteriorate rapidly when others respond with real hostility.    Acute stress can crop up in anyone's life. They take on too much. the three stress emotions.2 Episodic Acute Stress There are those. stomach. Treating episodic acute stress requires intervention on a number of levels. acid stomach. They're always in a rush. hypertension. jaw pain. who suffer acute stress frequently. and depression. and the muscular tensions that lead to pulled muscles and tendon and ligament problems. migraines. Flight Crew Training Centre .3. generally requiring professional help. but always late. the loss of an important contract. heart palpitations. transient over arousal leads to elevation in blood pressure. they tend to be abrupt. back pain. flatulence. whose lives are so disordered that they are studies in chaos and crisis. Often. migraine headaches. cold hands or feet. and so on. shorttempered. and irritable bowel syndrome. and tense. sweaty palms. The symptoms of episodic acute stress are the symptoms of extended over arousal: persistent tension headaches.

and their ways of perceiving the world as part and parcel of who and what they are. Frequently. They forget it's there. violence. 10. hyperventilation. It wreaks havoc through long-term attrition.4 Sources of Stress A stressor is the term used to define the cause of stress. Because physical and mental resources are depleted through long-term attrition. their patterns of interacting with others. Chronic stress comes when a person never sees a way out of a miserable situation. Chronic stress destroys bodies. People wear down to a final.5 Life Stress Life stress typically results from a person’s particular lifestyle.. People are immediately aware of acute stress because it is new. they see their lifestyle. a change in lifestyle is a source for this type of stress.Page: 46 CRM Manual Date: January 2008 Often.3. change in job or responsibilities (i. heart attack. There are three broad sources of stressor: life. It's the stress of poverty. and. sweating. minds and lives. perhaps.3. This is the grinding stress that wears people away day after day. and sometimes. the individual gives up searching for solutions. stress is accepted as the human response to these stressors. This could come in many different forms. heart arrhythmia. 10. fatal breakdown. of being trapped in an unhappy marriage or in a despised job or career. Chronic stress kills through suicide. the symptoms of chronic stress are difficult to treat and may require extended medical as well as behavioral treatment and stress management. Some examples are: marriage or divorce. year after year.g. even cancer. the illness or death of a close relative or friend. of dysfunctional families. or a mental response such as irritability. Flight Crew Training Centre .3.e. With no hope. familiar.3 Chronic Stress While acute stress can be thrilling and exciting. The worst aspect of chronic stress is that people get used to it. promotion to Captain). They blame their woes on other people and external events. More precisely. almost comfortable. lifestyle and personality issues are so ingrained and habitual with these individuals that they see nothing wrong with the way they conduct their lives. It's the stress of unrelenting demands and pressures for seemingly interminable periods of time. environmental and cognitive. they ignore chronic stress because it is old. which exhibits as either a physical response e. Generally. stroke. tremors. chronic stress is not. 10.

Noise arouses the individual.3. Two common examples could be heat and noise. In trying to complete a task and move to Flight Crew Training Centre . The most quoted example is that of a pilot experiencing marital difficulties.7 Cognitive Stress Cognitive stress refers to the mental workload imposed on a person. or the selecting SPD instead of HDG. and mismanage priorities.deck. but exposure for extended periods also causes a drop in performance. These occur when a pilot follows a “motor-action” response and selects a control very similar to the desired one. as it is a mental “picture” it is extremely difficult to establish any direct causal link between life stress and an aircraft accident.Page: 47 CRM Manual Date: January 2008 Research carried out by various organizations suggests a strong link between life stress events and aircraft accidents. this will be covered later in the chapter. either on the apron. as their brains try to accept large and unmanageable chunks of information. Heat causes a subtle and unseen form of incapacitation. Sleep disturbance is also a source of environmental stress. Examples are the auto-brake selector instead of brake fans. This is again caused by the brain trying to manage large chunks of information in short periods. 10. However. When workload is high. who collided with a ground vehicle whilst landing. most pilots will experience some degree of hearing loss.6 Environmental Stress Environmental stress results from the physical environment surrounding an individual. but with a dissimilar function. His accident statement directly attributed the incident to his state of mind.3. Temperatures in the cockpits rise rapidly on the ground during summer. The effect is that pilots will become focused on a task. Pilots using noise attenuating headsets report less fatigue over long sectors. The effects of cognitive stress overload are most often experienced in high workload situations. This is referred to as “tunnel vision”. Another not uncommon consequence of high workload is the tendency to trade accuracy for speed. or in the flight. 10. Noise is generated internally (radios) and externally (airflow and engine). This is caused by the limited ability of humans to process information. humans tend to become victims of “intentional selectivity”. In the long-term. Noise is an unavoidable factor with aircraft operation. High workload causes a skilled pilot to commit what are termed “action slips”. Suffice to say that life stress is almost definitely a threat to aircraft safety. especially when it involves an operating pilot. The original research was carried out by US Navy psychologists during the Vietnam era and has been expanded since.

Again this is caused by the inability to manage large amounts of information. it may take some time before performance reaches an acceptable level. workload (physical exertion). inactivity and a lack of interaction in a low-light environment can result in insufficient stimulation and loss of vigilance. it starts to decline as fatigue or weariness sets in. Where pilots have actually assigned priorities to other tasks. Managing alertness is an essential skill for long-haul flying. A loss of sleep leads to suppressed Rapid Eye Movement (REM). the mind and body are still in a state of drowsiness. Response time.5 Sleep Management Sleep is a vital physiological function. this occurs during pre-flight where the workload is high with pre-assigned priorities. For example. As in the case of stress. lack of stimulus (stress) or circadian rhythms. It cannot be stored. Getting eight hours of disrupted sleep can have effects similar to too little sleep. the range of optimal performance is reached. Techniques for maintaining vigilance in such a situation are similar to those for combating fatigue. Typically. Sleep achieved as the body temperature starts to rise can be disrupted by mid-morning. this can have a negative effect during the cruise. they may become bogged down in processing the data. with an inability to sleep further. Depending on the individual. or experiencing difficulty in responding to another task is another possible symptom.discipline must be exercised to ensure a review is completed checking the suitability of actions performed. after reaching a peak. Sleep quality is also affected by our body clock. or state of awake ness. The inevitable result is a slowdown in completing the task. thereby inducing further errors. Immediately after awakening. leading to withdrawal effects and further disrupted sleep. when workload is at an absolute minimum. self. 10. Better quality sleep is achieved during our natural night. this continues to improve performance until. Although this can be an effective strategy. Other factors affecting alertness might be the quality and/or quantity of the previous sleep (sleep debt). a F/O may experience difficulty in calculating the take-off speeds because he feels the need to check the ATIS for the latest temperature. humans will trade off speed against accuracy. The consequences of sleepiness are:  Decreased physical and mental performance Flight Crew Training Centre . but conversely a sleep debt can build up.Page: 48 CRM Manual Date: January 2008 the next. On a night flight. Jade Cargo International aircraft have advanced automation features that manage most routine tasks. However. This might be due to time since awake.4 Alertness Consider that arousal now refers to alertness. The tendency is to accept a less than optimum solution to a problem. 10. if we do not achieve enough sleep at the right time. After some time of being awake.

Page: 49 CRM Manual Date: January 2008    Decreased positive and increased negative mood Increased vulnerability to performance decrements Following sleep loss. Shift-work has similar effects to jet-lag. Jet-lag can be described as external or internal. on the wrong time zone.6 Circadian Rhythms A well-rested individual operating within their normal circadian rhythms. inattentive and has an increased reaction time. Stress and fatigue combine to pose a significant challenge to airline operations. The typical biological clock works on a 25-hour cycle. which extend the operating day. not all body functions resynchronize at the same rate. neither well rested nor within their circadian rhythms. 10. The longer body-day also makes it easier to adjust to time zone changes on westbound routings. Knowing how to combat the ill-effects caused by these factors is an acquired skill that needs to be practiced actively by the modern airline crewmember. this can leave the pilot somewhat disoriented for several days after a trip involving several time-zone changes. This is known as jet-lag. However. It is kept synchronized on a daily basis by exposure to bright light and regular social interaction. External refers to the body being “out of sync” with the environment. rather than eastbound which compresses the day. the nature of long-haul operations means that pilots are more often than not. An individual with a significant “sleep-debt” (accumulated sleep disruption) is often irritable. Following the disturbance of a time-zone change. sleep is deeper rather than longer. will have little problem achieving optimal performance at short notice should it become necessary. Longer term effects include depression and chronic fatigue. Internal refers to the different body functions being “out of sync” with each other. which include:       Disturbed sleep (inability to fall asleep or stay asleep) Increased waking (work-time) sleepiness Decreased physical or mental performance Increased reports of fatigue More negative mood Gastrointestinal problems Flight Crew Training Centre .

a staggering 88% have been identified as involving a loss of situational awareness. 10. However it is often quoted without really being explained. The duration of rest is limited to prevent sleep inertia. In extreme cases this can take the form of dangerous sports. providing awareness and in need of management.Page: 50 CRM Manual Date: January 2008 Circadian Rhythms As with the other threats that we face. when conducted in a structured fashion.2 Levels of Situation Awareness (SA) “Endsley” has produced the commonly accepted definition of situation awareness as: “The perception of the elements within a volume of time and space. Managing stress and sleep effectively. This practice is based on extensive research done by NASA among others. computer games appear to be increasingly filling this role. This chapter will explain what it is. As any medical practitioner will verify. circadian disrhythmia is not sufficient cause to cease operations. is the duty of every crewmember.1 Introduction Situational awareness is frequently stated as a factor in accidents and incidents. 10. Exercise is often used as a form of stress relief. In the modern world. who has it and the skills necessary for maintaining and sharing situational awareness. This acts as an effective fatigue prevention tool and allows a satisfactory level of alertness to be maintained. 11. The use of card and board games has historically been a popular form of stress relief. this is a potentially dangerous practice. 11 Situational Awareness 11.7 Stress and Alertness Management The FOM requires pilots to be in good physical and mental health – fit for duty. In accidents involving human error. It has proven that controlled rest is a very effective tool for combating fatigue and maintaining alertness. Others prefer mental stimulation. the Flight Crew Training Centre . with dire consequences in the aviation industry.8 Controlled Rest in the Flight Deck The FOM also provides for controlled sleep during low workload situations. The use of alcohol is not recommended as a form of stress relief. It is another warning flag.

Page: 51 CRM Manual Date: January 2008 comprehension of their meaning and the projection of their status in the near future. and Communicate. 11. The Importance of Situational Awareness Now that we know what SA is. Flight Crew Training Centre . In addition to three levels of SA. which mitigates part of the problem. systems. The pilot must monitor the aircraft (flight-path. but it guides our selection of goals by providing understanding and projection.” This is quite complex. one must understand and think ahead.3 Loss of Situational Awareness Individuals have differing levels of situational awareness. Navigate. there are different domains that must be monitored by the pilot. those with normally high SA tend to recognize when they are losing SA. If we are aware of all the relevant factors (good SA). In a well-known phrase: Aviate. automation modes. the environment (terrain and weather) and the people (ATC. why is it so important? Situational awareness is considered to be the driving force behind good decisions. then our decisions will be well founded and good performance will follow. crew. Situational Awareness + Decision-Making = Performance SA is our current “mental mode” and not only directs attention where required. but what it means is that there are three levels of situational awareness. fuel and time). passengers and company). The problems with SA in accident cases have mostly revolved around pilots failing to notice! Figure 1: Levels of Situational Awareness The key to situational awareness knows what comes next. It is not just enough to notice a situation.

A three-stage model “Avoid. clear briefings and good communication should take place to achieve this. there is much to be concerned about here. Jade Cargo International uses the concept of the “Safety Window”.uncertainty about a situation (often accompanied by anxiety or uneasiness) Failure to fly the plane: everyone is focused on non-flying activities Failure to look outside: everyone heads down Failure to meet expected checkpoint on flight plan or profile-ETA. These may indicate that an error chain is in progress. fuel burn. Since historically over 70% of accidents have occurred in this phase. if potential problems can be identified in time.vague or incomplete statements 11.contradictory data or personal conflicts Failure to communicate fully and effectively . Results from observations at several different airlines. Most accidents involving human error include at least four of the following:           Ambiguity .Page: 52 CRM Manual Date: January 2008 Clues that indicate a possible loss of SA are ambiguity. The philosophy is to stay out or get out of the safety window where ambiguity. Trap. fixation and confusion exist. Prior to descent. fixation and confusion.4 The Safety Window Reviews of accident trend data continue to indicate that most accidents occur close to the ground. identified that most of the consequential and additional errors occurred during the descent and landing phase.descent and leads up to the approach. Additional errors should be guarded against as these could lead to an error-chain forming. When below 2000’ AGL (approximately 7nm from the airport) there is limited time to troubleshoot an unresolved problem. during the take-off and landing phases. regulations etc Failure to resolve discrepancies . etc Failure to adhere to standard operating procedures Failure to comply with limitations. minimums. Flight Crew Training Centre . In fact most are within seven miles of the airport. so the emphasis should switch to trapping any errors that do occur.information from two or more sources that doesn't agree Fixation . After descent initiation. The trapping phase begins at top-of. less time is available for noticing and avoiding.focusing on any one thing to the exclusion of everything else Confusion . Mitigate” is one solution to the problem. Avoiding error is the initial course of action.

psychomotor skills and pattern matching are trainable. self-monitoring.6 Factors Affecting Situational Awareness Studies have revealed a ten-fold difference in SA between pilots within the same airline. Finally. unstabilized approach. 11. attention-sharing. this may indicate they are operating at understanding [Level 2 SA].” Flight Crew Training Centre . contingency planning. identified by the PM: PM: “Looks like a 15 knot tailwind on approach” This is shared perception – they have noticed the problem PF: “OK. scan patterns and checklist use. However.e. so that we can take action to improve it.Page: 53 CRM Manual Date: January 2008 In the final stages of the approach. It has also been observed that crews flying non-glass aircraft have better SA than those with the latest technology. Consider the case of an unexpected tailwind on approach. indicating that the crew is thinking ahead [Level 3 SA]. there is very little time left to correct it. Advanced skills include pre-flight planning. PM: “They might change runways if the surface wind picks up. I’ll reduce speed xx miles earlier than briefed. Skills relating to spatial ability. then the crew is only noticing problems [Level 1 SA]. otherwise crew SA tends to fall to that of the weaker crewmember. we can make the link to identify at which level of SA we are operating at. an undesired aircraft state (i. too fast etc) must be avoided. task management and prioritization. 11. Human error is inevitable.5 Situational Awareness and Error Management Using “Threat and Error” management principles. By analyzing how we deal with the problem. too high. and use the speed brake if necessary. if mitigation seems to be the key factor. Information can be shared at all three levels of SA. The Mitigate phase commences at the start of the Safety Window (2000’ AGL). Situational awareness can be trained to a certain extent.7 Communication Awareness and Shared Situational For a crew to be most effective they must share the same high SA. Should such a state occur. Basic skills that high SA crews exhibit are. communications. The best strategy is to “Mitigate” the problem by going-around. If the crew is trapping a lot of errors. potential problems that are identified early allow the opportunity to avoid. 11. perceptual speed and working memory capacity are inborn.” This identifies shared comprehension – the PF understands.

It is essential to confirm a level of understanding when communicating at the perception level. Focus on the details and scan the big picture. Monitor and evaluate current status relative to your plan. but for various reasons feel inhibited in offering more processed information for fear of offending the other pilot.8 Techniques for Better Situational Awareness Management           Predetermine crew roles for high-workload phases of flight. Solicit input from all crew-members including cabin. Typically crews are comfortable with “perception” level communication. ATC. maintenance. Flight Crew Training Centre . Rotate attention from plane to path to people . Create visual and/or aural reminders of interrupted tasks Watch for clues of degraded SA. Speak up when you see SA breaking down. The response “Ok” is no guarantee that the other pilot has even noticed – he may just be acknowledging that you have stopped speaking! 11. dispatch. Develop a plan and assign responsibilities for handling problems and distractions. etc.Page: 54 CRM Manual Date: January 2008 This is shared projection – they are thinking ahead. Project ahead and consider contingencies.don't fixate.

University of Texas: Aerospace Crew Research Project.C. Paper presented at the ICAO Global Human Factors Seminar. New Zealand. A.C. (1996). Ohio. Designing culturally sensitive CRM training: CRM in China. Merritt. CRM Advocate. & Helmreich... Flight management attitudes questionnaire 2.. April 23-25. Ooi.C. (1996). A. April).. Merritt. 1997.C.S. J.. 1995. CRM: I hate it.C. 1991. (1995). stress. CRM in 1995: Where to from here? In Proceedings of the Third Australian Aviation Psychology Symposium.L. R. (1995). Auckland. & Merritt. & Helmreich. A. April-May. R.L.C. (1996.J.C. Colombus. A. A.A. Columbus: Ohio State University. November 20-24.. R... A. Colombus. Guangzhou. The Aerospace Crew Research Project Line-LOSChecklist: Assessing system safety and crew performance.Page: 55 CRM Manual Date: January 2008 12 Reference Notes Helmreich.L. (1991)..1 (USA/Anglo) (Technical Report 96-4).0 (International) & 2.C. 1996. & Helmreich. and culture) Paper presented at the Orient Airlines Association Air Safety Seminar. R. Ohio. (1997).. April-May. P.. November 26-28... May 1995. & Merritt. Local solutions for global problems: The need for specificity in addressing human factors issues. In proceedings of the VIIIth International Symposium on Aviation Psychology. & Sherman. 1996.R. Helmreich. T. Paper presented at the Training and Safety Symposium. Merritt. Merritt.L.L.. Helmreich. Cultural issues in crew resource management. Paper presented at the IXth International Symposium on Aviation Psychology. R. (1996). Creating and sustaining a Safety Culture. Indonesia.. Paper presented at the SAS Flight Academy Training Conference. Wilhelm. Flight Crew Training Centre . 1. Taggart. W. P. Jakarta. 1997. Paper presented at the IXth International Symposium on Aviation Psychology. Merritt. Merritt.C. Replicating Hofstede: a study of pilots in eighteen countries. 8-12. (1997). (1995). Sydney. April. A. A.L. what is it? (Error.R. Cultural influences on flight operations. R.

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