Par 8-6 Page 90
d. The File Naming Convention. Data submissions must use the file-naming format (xyzmmyya.mdb) as shown in the example below:
S ECTION 3. DATA ANALYSIS AND REPORTS
8-7. OVERVIEW. The primary users of data reports are internal carrier personnel and the FAA. Chapter 2, Section 7 discusses the specific reporting requirements to the FAA.
a. Air Carrier. AQP requires that the data collection conducted by the air carrier for its own use in monitoring curricula will support more analytical detail and diagnostic functions than the data collected for submission to the FAA. The FAA expects the certificate holder to do an in-depth analysis of the effectiveness of the training. Reporting of data is based on the analysis of the PPDB to provide information on the curriculum and participant groups (crewmembers, instructor/evaluators). Once the data is collected and entered into the PPDB, an analysis should be performed on the aggregate information. Statistical analysis of the proficiency data enables carriers to make an internal assessment of their performance. Carriers should tailor these processes and techniques to suit their own requirements. Each carrier’s data collection and performance assessment processes should be refined over time, based on their own practical experience. That is, the measures and processes should be optimized on an iterative basis to provide the degree of discrimination in crewmember performance needed to establish effective quality control over AQP curricula. See the A4A’s Data Management guide for a more extensive discussion on reports and their use.
b. FAA. The data submissions to the FAA are primarily ratings and reason codes associated with performance measures taken at validation and evaluation gates and supporting data. The data, presented to the FAA in the three tables previously discussed is analyzed using the Data Analysis Reporting Tool (DART). This tool allows Principal Operations Inspectors (POI) and the appropriate Safety Standards office personnel to conduct trend analysis to monitor overall program effectiveness.
Par 8-7 Page 91 FIGURE 8-1. DATA SUBMISSION REQUIREMENTS Training Program Single Visit Advanced Qualification Program Curriculum Recurrent Qualification Continuing Qualification Table # Field Short Name FL PC LC SV PV MV LOE LC FL MV LOE LC Performance Data Report Table 1 Measured Item MItem Req. Req Req Des Des Req Req Req Req Req Req Req 2 Measured Item ID MitemID N/A N/A N/A Des Des Req Req Req Req Req Req Req 3 Measured Item Rating Mrate Req. Req Req Des Des Req Req Req Req Req Req Req 4 Rating Meaning Rmean Des Des Des Des Des Req Req Req Req Req Req Req 5 Skill/Reason SklRsn Req. Req Req N/A N/A Req Req Req Req Req Req Req 6 PF/PNF PFPNF Req** Req Req N/A N/A DES Req Req Req** DES Req Req 7 Is Currency Item? Currcy N/A N/A N/A N/A N/A Req N/A N/A Req Req N/A N/A 8 Is Critical Item Crit N/A N/A N/A N/A N/A Req N/A N/A Req Req N/A N/A 9 Crew ID CrewID Req. Req Req Req*** Req.*** Req Req Req Req Req Req Req 10 Evaluation Date EvalDate Req. Req Req Req Req Req Req Req Req Req Req Req 11 Airline Designator AirDsgn Req Req Req Req Req Req Req Req Req Req Req Req 12 FAA Fleet Designator Fleet Req Req Req Req Req Req Req Req Req Req Req Req 13 Training Program TrPgm Req Req Req Req Req Req Req Req Req Req Req Req 14 Curriculum Curr N/A N/A N/A Req Req Req Req Req Req Req Req Req 15 Evaluation Type EvalType Req Req Req Req Req Req Req Req Req Req Req Req 16 FAA Simulator ID SimID DES DES N/A N/A N/A Req Req N/A Req Req Req N/A 17 Evaluator ID EvaltrID DES DES DES Req Req Req Req Req Req Req Req Req 18 FAA Inspector ID FAAID DES DES DES Req Req Req Req Req Req Req Req Req 19 Random LC Geo. Area GeoArea N/A N/A Req N/A N/A N/A N/A N/A N/A N/A N/A Req 20 Comments Comment Des Des Des Des Des Des Des Des Des Des Des Des 21 Crewmember ID CmID Req Req Req Req Req Req Req Req Req Req Req Req 22 Crew Position CrewPos Req Req Req Req Req Req Req Req Req Req Req Req 23 Evaluation Rating Type EvalRtg N/A Req Req Req Req Req Req Req N/A Req Req Req
Skill Reason Table 5 Skill/Reason SklRsn Req Req Req N/A N/A Req Req Req Req N/A Req Req 24 Skill Reason Text SklRsnText Req Req Req N/A N/A Req Req Req Req N/A Req Req
Par 8-7 Page 92 FIGURE 8-1. DATA SUBMISSION REQUIREMENTS (CONTINUED) Training Objectives Report Table 2 Measured Item ID MItemID N/A N/A N/A Des Des Req Req Req Req Req Req Req 25 Objective ID ObjID N/A N/A N/A Des Des Req Req Req Req Req Req Req 26 Objective Title ObjTitle N/A N/A N/A Des Des Req Req Req Req Req Req Req 27 Objective Type ObjType N/A N/A N/A Des Des Req Req Req Req Req Req Req Req - A required entry.
N/A - If no value is to be entered, use N/A. Leave no blank fields.
Des - Desired. This is optional information that is not required, but desired for submission. If not submitted, then N/A must be entered as the value.
** - See Notes in Data Reporting Format - Figure 8-2.
*** - If there is no crew pairing for Systems or Procedures Val, submit the single CmID (No. 21) for the crewmember.
SVT - Single Visit Training Qual - AQP Qualification Curriculum CQ - AQP Continuing Qualification Curriculum FL - First Look Maneuvers PC - Proficiency Check SV - Systems Validation PV - Procedures Validation MV - Maneuvers Validation LOE - Line Operational Evaluation LC - Line Check
Par 8-7 Page 93 FIGURE 8-2. PERFORMANCE DATA REPORT TABLE (PDRT) Table No. Field Description Short Name Type Field Size Example(s) Notes PDRT 1 Measured Item The task, maneuver, procedure, or event set statement.
Mitem Text 80 Perform Engine Failure Procedure
1) This field will be N/A for Qual. SV and PV because these validations are usually graded pass/fail and recorded in field No. 23.
2 Measured Item ID An alphanumeric used to identify the task, maneuver, procedure or event set being graded.
MitemID Text 12 1.2.1.3 or KK73456
1) This value is associated with a TPO, SPO, or event set. When it is a TPO or SPO, use the related number from the hierarchical numbering system. When it is an event set, enter the event set identifier.
2) This field will be N/A for Qual. SV and PV because these validations are normally graded in aggregate (pass/fail), and recorded in field No. 23.
3 Measured Item Rating The numeric rating assigned on the first attempt for each measured item.
Mrate Numeric 1 3 1) Values depend on rating scale.
2) Do not provide records that are missing MRate: Provide only performance related information. Do not provide “Incomplete”.
3) Reported rating must refer only to the first attempt of the measured Item, not the terminal performance.
4) * Use 9 instead of N/A for Qual. SV and PV. This is a numeric only field.
4 Rating Meaning A description of the Measured Item Rating.
Rmean Text 40 Satisfactory 1) The text meaning of each number in the rating scale.
5 Skill/Reason Link between the PDRT and SKLRSN tables.
SklRsn Text 90 B737-LOE- 5555-Taxi
1) This field is a unique record identifier that must be provided for Unsatisfactory Measured Item ratings (MRate) to provide a link to the Skill Reason table for single or multiple reasons for a failure.
2) This identifier can be a combination of the fields that make it unique. For example: Fleet+EvalType+CmID+MItem. As long as the identifier is unique to the record, it is the carrier’s discretion to determine which fields are used.
3) If Mitem is satisfactory, insert N/A in this field.
6 PF/PNF Indicates whether the pilot performing the Measured Item was flying or not flying.
PFPNF Text 3 PF or PNF 1) No entry requirement for FE, FA or DISP.
2) N/A for Qualification Curriculum Systems and Procedures Validation.
3) * For FL, it is desired and encouraged that PNF data be submitted along with PF data. However, if significant grade sheet changes are necessary to accommodate this, only the standard PF items need be identified. For these airlines, the value entered for all FL Measured Items will be “PF”.
4) This field is desired for Qual. and CQ Maneuvers Validation, however, if PNF is not submitted then the value will be “PF”.
Par 8-7 Page 94 Table No. Field Description Short Name Type Field Size Example(s) Notes PDRT 7 Is currency Item?
Indicates whether the Measured Item is a currency item.
Currcy Text 3 Yes, No or N/A 1) N/A is used when the Measured Item is an Event Set.
8 Is Critical Item Indicates whether the Measured Item is a critical item.
Crit Text 3 Yes, No or N/A 1) N/A is used when the Measured Item is an Event Set.
9 Crew ID The de-identified alphanumeric assigned to a specific pairing of crewmembers that will be maintained for the duration of a curriculum, unless the crew make-up changes or a seat substitute is present.
CrewID Text 40 P21234 SIC F12312
1) CrewID N/A for FA’s, IRO’s or dispatchers.
2) CrewID is the concatenation of the CmID’s (#21) of all crewmembers present. Order of ID’s: PIC SIC FE.
3) If two PICs or SICs are trained together use the structure PIC PIC FE, or SIC SIC FE, as appropriate, separated by spaces.
4) If there is no crew pairing for Systems or Procedures Val, submit the single CmID (#21) for the crewmember.
5) Maintain CrewID in exact form and order, except for seat substitutes. For seat subs, use Crew Position (No. 22) values relative to the seat position in the CrewID sequence. For example, P21234 SIC F12312 would indicate that the first office position was a seat substitute.
10 (MM/YYYY) The month and the year the Measured Item data is collected.
Date Date 7 10/2001 1) Set the date field format in Access to month/year; use full century: MM/YYYY.
2) The day value will default to 01.
11 Airline Designator The airline’s four character designator reporting the measured items.
AirDsgn Text 4 XYZA 12 FAA Fleet Designator The FAA designation of the fleet or equipment type relevant to the Measured Item.
Fleet Text 20 B-737 1) See Airline/Fleet Designator Menu.
13 Training Program The training program relevant to the Measured Item.
TrPgm Text 4 AQP or SVT 14 Curriculum The AQP curriculum in which the Measured Item is being validated or evaluated.
Curr Text 4 Qual, CQ or N/A
1) N/A for SVT.
15 Evaluation Type The evaluation type in which the Measured Item is accomplished.
EvalType Text 4 FL, PC, SV,
PV, MV, LOE, LC
Par 8-7 Page 95 PDRT 16 FAA Simulator ID The FAA simulator ID number of the simulator where the Measured Item is performed.
SimID Text 4 1234 or N/A 1) If a simulator is not used, enter N/A.
17 Evaluator ID The identification number of the evaluator who graded the Measured Item.
EvaltrID Text 15 123456 1) If an FAA inspector is the evaluator, use the FAAID in this field and in the FAA Inspector ID field, No. 18.
18 FAA Inspector ID The Form 110A number of the aviation safety inspector who observed the Measured Item.
FAAID Text 4 1234 1) Report the FAA ID Number (110A) of a FAA inspector who is there as an observer and/or evaluator (#17). If no FAA inspector is present, enter N/A.
19 Random Line Check Geographic Area The geographic area where the Measured Item is collected for Random Line Checks.
GeoArea Text 30 Pacific 1) Use geographic descriptors as define by the airline.
2) This field is only required for airlines with approved Random Line Check programs otherwise enter N/A.
20 Comments Additional comments submitted by evaluator.
Comment Memo 1) The comment field provides further explanation of unsatisfactory or outstanding measured Item Rating.
2) Evaluator comments are provided to the appropriate Safety Standards office at the discretion of the airline, unless otherwise require in accordance with the approved airline’s AQP.
3) If there are no comments, enter N/A.
21 Crewmember ID The de-identified alphanumeric assigned for the duration of a curriculum to the crewmember performing the measured item.
CmID Text 10 P123456 1) Begin all PIC ID’s with P, Sic ID’s with S, FE ID’s with F, FA ID’s with A, dispatcher ID’s with Des, and IRO ID’s with R.
2) The P, S, or F refer to the position for which the pilot in training is being qualified, not necessarily the seat occupied.
22 Crew Position The “seat” occupied by the person performing the Measured Item.
CrewPos Text 4 PIC PIC = Pilot in Command; FA = Flight Attendant;
SIC = Second in Command; DISP = Dispatcher;
FE = Flight Engineer; IRO = International Relief Officer E.g., a SIC in the left seat would be entered a PIC.
23 Evaluation Type Rating The overall rating the pilot performing the Measured Item received for the evaluation type.
EvalRtg Text 5 Sat or Unsat 1) Rating must refer to the first execution of the evaluation type.
Repeated sessions are not reported in this table.
Par 8-7 Page 96 FIGURE 8-3. SKILL/REASON TABLE (SKLRSN) Table # Field Description Short Name Type Field Size Example(s) Notes SklRsn 5 Skill/Reason Link between the PDRT and SKLRSN tables.
SklRsn Text 90 B-737-LOE- 5555-Taxi
1) This field is a unique record identifier that must be provided for Unsatisfactory Measured Item ratings (MRate) to provide a link to the Skill Reason table for single or multiple reasons for a failure.
2) This identifier can be a combination of the fields that make it unique. For example: Fleet+EvalType+CmID+ MItem.
3) As long as the identifier is unique to the record, it is the carrier’s discretion to determine which fields are used.
4) None of the component fields can contain a N/A value.
24 Skill Reason Text A description of the skill or reason for assigning an unsatisfactory Measured Item rating.
SklRsn Text Text 40 Technical CRM Procedural
1) Provided for Unsatisfactory Measured Item Ratings from the carrier’s Reason Codes.
2) If more than one skill or reason is relevant, allow one field for each skill or reason.
3) Enabling Objectives (EO’s) are acceptable as skill descriptors.
Par 8-7 Page 97 (and 98) FIGURE 8-4. TRAINING OBJECTIVES REPORT TABLE (TORT) Table # Field Description Short Name Type Field Size Example(s) Notes TORT 2 Measured Item ID An alphanumeric used to identify the task, maneuver, procedure or event set being graded.
MitemID Text 12 1.2.1.3 or KK73456
1) This value is associated with a TPO, SPO, or event set. When it is a TPO or SPO, use the related number from the hierarchical numbering system. When it is an event set, enter the event set identifier.
2) This field will be N/A for Qual. SV and PV because these validations are normally graded in aggregate (pass/fail), and recorded in field No. 23.
25 Objective ID An alphanumeric assigned to each terminal or supporting objective tested by the Measured Item.
ObjID Text 12 3.2 1) List all the TPO’s, SPO’s or other high level objective grouping that apply to the Measured Item.
26 Objective Title A description of the objective ID.
ObjTitle Text 80 Perform Engine Fire Procedures
1) A description of the objective ID in field No. 25.
27 Objective Type A description of the objective type.
ObjType Text 5 TPO or SPO or EO
1) Identify the training objective as a TPO, SPO, or EO.
Par 9-1 Page 99 CHAPTER 9. CREW RESOURCE MANAGEMENT SECTION 1. INTRODUCTION
9-1. OVERVIEW. Crew Resource Management (CRM) training develops skills that enhance flight safety through the effective use of all available resources: human, hardware and information. CRM training increases awareness of human and system error and provides techniques and skills that will minimize their effects. This is accomplished through awareness of crewmember attitudes and behavior as well as the use of practical flight management skills.
CRM training has achieved a greater degree of integration through the Advanced Qualification Program (AQP). This chapter describes the integration of CRM training into pilot training curriculums using the instructional systems development methodology that forms the foundations of the AQP process. The approach demonstrates how the analytical methodologies in AQP have the potential to produce more rigorous CRM training, including the appropriate integration of CRM and technical training.
SECTION 2. INTEGRATING CRM INTO AN AQP
9-2. SCOPE OF INTEGRATION. One of the major objectives of AQP is the seamless integration of CRM and technical training. Where appropriate, CRM procedures are identified, documented, integrated, and accorded the same weight as the technical procedures required for the execution of a given phase of flight and its associated flight tasks.
a. However, integration does not mean that only those aspects of CRM that can be proceduralized are addressed in flight operations technical training and evaluation. Some aspects of CRM are inherent to maneuver performance, and have already been proceduralized. For example, communication procedures for coordinating callouts during takeoffs, approaches, and other maneuvers are specified in terms of what should be said and when it should be said. These callouts take place during most flight phases and are performed at fixed points in the flight-phase sequence of task activities. Similarly, some aspects of communication during the management of non-normal conditions can be easily positioned within the sequence of activities performed to manage the non-normal condition.
b. Other equally important CRM activities, in contrast, are performed on an as-needed basis, in order to manage the flight, work well as a team, or respond to unique situations.
Recognizing the need for, and effectively executing these activities, is critical to coordinating the various duties the crew must perform during the flight. For example, certain communications should be performed in order to maintain crew awareness of flight status. Regardless of the phase of flight, it is critical that the crew recognize this communication requirement and effectively act upon it in a timely manner to maintain crew situational awareness.
c. These global activities do not fit neatly within a hierarchical list of technical activities, organized by phase of flight. Instead, they act as a “shell” or “template” that overlays and organizes the activities that may need to be performed during any phase of flight. These skills as a whole constitute a management strategy that represents a critically important part of the inventory of defenses against error that crews bring with them to the flightdeck. In particular, they can provide the crew with the tools needed to resolve problematic situations to which they
Par 9-2 Page 100 may never have been previously exposed in training or in flight operations. It is important, therefore, that training activities seek to fully instill these skills in crews, in order to provide a basis for generalization to a potentially wide variety of situations. Figure 9-1 contains samples of some of these phase-of-flight independent CRM skills.
9-3. CRM/AQP TASK LIST. The AQP task list reflects the air carrier’s definition of the flightcrew’s job, including the role that CRM is expected to play in the performance of that job.
This job definition specifies the task activities, the knowledge, and the skills that must be trained to achieve and maintain pilot and other crewmember proficiency. Because of the fundamental role played by the task list, it should provide a comprehensive specification of the various task activities that constitute the job, and the knowledge and skills required in performing those task activities, both technical and CRM. In terms of the task list, this means that there are CRM task activities just as there are technical task activities. All of the technical and CRM task activities that must be performed to support these high-level task activities can now be identified. The high-level task activities, which also act as objectives, serve as a type of template that will overlay the specific procedures for handling each condition. High-level CRM task activities act as the framework within which technical activities are positioned to support management objectives.
9-4. CRM KNOWLEDGE AND SKILLS. A CRM skill represents the ability of a person to apply specific CRM knowledge across a broad range of flight situations. In AQP, these CRM skills are combined to develop proficiency objectives. Once the carrier has identified the set of task activities appropriate for defining the flightcrew’s job (from the task list), these activities then provide the framework for identifying the CRM knowledge and skills that a pilot or crew must possess in order to effectively perform each task activity. Two approaches are commonly used to identify CRM knowledge and skills:
a. Top-Down. This approach uses the CRM categories chosen by the carrier, or presented in the CRM advisory circular (AC), to identify the set of CRM knowledge and skills. The resulting knowledge and skills can then be attached to those task activities whose performance they support.
b. Bottom-Up. This approach identifies CRM knowledge and skills by analyzing each individual task activity. The task activity’s structure determines the knowledge and skill requirements. This approach has the advantage that it defines an inherent link between the task activity and its knowledge and skills.
9-5. CRM AND PROFICIENCY OBJECTIVES. Once the task list has been completed, the proficiency objectives can be identified for that job. Two types of proficiency objectives may be used: ground training enabling objectives, which reflect the subject matter a flightcrew must know; and flight training terminal, supporting, and enabling objectives, which reflect the activities a flightcrew must be able to do. Appropriate integration of CRM into both ground and flight proficiency objectives ensures that the range of CRM issues important to the carrier will be addressed both in training and in evaluation by means of the performance standards included in the proficiency objectives.
Par 9-6 Page 101
9-6. TRAINING EVENTS. The complete set of proficiency objectives defines the end result of training: the task activities the crew must be able to perform, the set of conditions under which they must be able to perform them, the performance standards that must be met, and the evaluation strategy that will be used to evaluate proficiency. They do not, however, describe the specific training situations and activities that will be used to achieve this end result, especially in terms of flight training. One means for specifying the set of flight training situations to be included in a curriculum is by means of events. The suggestion that flight training and testing activities should be developed around a set of events was formalized in 1994 by an industry group tasked to recommend a systematic approach for developing Line Operational Simulation (LOS) scenarios under AQP. The event set methodology has achieved wide acceptance because of its analytical approach to scenario design and its reinforcement of the use of realistic line conditions that enable crews to practice the full range of flight-management skills. The effectiveness of the event set methodology for integrating technical and CRM training objectives suggests that an event orientation throughout the curriculum, rather than just in Line-Oriented Flight Training (LOFT) or Line Operational Evaluation (LOE), could offer important advantages.
9-7. EVENT SETS. The primary unit of both LOS design and CRM assessment is the event set.
The event set is made up of one or more events, including an event trigger, distracters, and supporting events. The event trigger is the condition or conditions under which the event is fully activated. The distracters are conditions inserted within the event set time frame that are designed to divert the crew’s attention from other events that are occurring or are about to occur.
Finally, supporting events are other events taking place within the event set designed to further CRM and technical training objectives. In LOS scenario design, the CRM and technical training objectives should be integrated into the event sets. This event set framework allows the design team to present the appropriate degree of realism in the LOS. Instead of focusing on a specific technical issue, the event set integrates the entire complex line environment (e.g., terrain, air traffic control (ATC), weather issues, etc.) to facilitate and maximize the crew’s performance in response to specified CRM and technical issues. The event set tends to follow the phase of flight and may extend beyond a single phase. This event set framework provides a logical breakdown for terrain, ATC, and weather issues as they interact with LOS events. With the LOS scenario now defined by event sets, scenario validation is performed at the event set level rather than limiting validation to the overall LOS. A sample event-set development worksheet is shown in Figure 9-2.
9-8. SOURCE. The carrier’s safety information system (incident reports, Aviation Safety Action Program (ASAP) reports, Flight Operational Quality Assurance (FOQA) data, line check data, etc.) is an important source for events and event sets. The conditions that encouraged the occurrence of an incident can be replicated in flight training or discussed in ground training. The purpose is to educate pilots about the types of conditions that can increase the likelihood of an error, to present strategies for avoiding these errors, and techniques for recovering from them, should they occur.
Par 9-9 Page 102
9-9. CURRICULUM DESIGN. Curriculum design is the final product of the AQP analyses performed to this point: what is the job, what is proficiency on the job and how is it measured, and what training opportunities should be provided to achieve proficiency. The curriculum layout reflects the products of these analyses. Much of the work involved in designing a curriculum has been accomplished through the preparation of the task list, proficiency objectives, and events. If objectives and events have been developed, the design of the curriculum is largely complete, except for choosing the specific locations within the syllabus for the individual elements.
9-10. INDOCTRINATION CURRICULUM. CRM training is likely to be integrated into indoctrination training in two ways. A separate CRM portion might be appropriate to address the philosophical issues pertaining to captain’s and first officer’s authority, and corporate expectations concerning professionalism and individual responsibility. CRM is also likely to play a supporting role in other portions, such as weather. The decision processes involved in managing severe weather conditions provides an appropriate flight management context for addressing operational issues pertaining to weather.
9-11. QUALIFICATION CURRICULUM. Qualification training will likely use a different set of training topics. These topics could reflect the transition from knowledge acquisition to skill acquisition and, finally, to skill application. If so, the topics will reflect the following learning stages:
a. Knowledge. This includes basic awareness training concerning the nature of the skills, their value, strategies for using them, and ways to assess the effectiveness of skill use. Presenting the different roles that could be played by each crewmember sets the stage for later events where the crew must actually assume the appropriate roles for that situation.
b. Procedures. This training includes the proceduralized aspects of CRM.
c. Maneuvers. This training can extend beyond simply practicing individual maneuvers so as to encompass situation assessment, planning, workload distribution, and other critical CRM skills.
d. Flight Management. This training requires the strategic use of multiple skills adapted to the requirements of the situation and the accurate assessment of skill effectiveness in managing the situation. Effectively accomplishing such training requires a systematic approach to the development of scenario events designed to elicit complex crew skills.
9-12. CONTINUING QUALIFICATION CURRICULUM. This curriculum has two goals: to evaluate pilot and crew proficiency, and to provide supplemental training. Because of the severe time constraints imposed on this curriculum, only “snapshot” samples of pilot and crew performance are possible. If a flight-management framework has been used to prepare the task list and proficiency objectives, the performance samples could use an event-based approach that gauges pilot and crew performance for procedures, maneuvers, and flight management.