U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Standard Operating Procedures and Pilot Monitoring Duties for Flight Deck Crewmembers Date: 1/10/17 AC No: 120-71B Initiated by: AFS-200 Change:
This advisory circular (AC) provides guidance for the design, development, implementation, evaluation, and updating of standard operating procedures (SOP), and for pilot monitoring (PM) duties. SOPs are universally recognized as fundamental to safe aviation operations. Their importance cannot be overstated, especially in light of the advent of PM standards with respect to the use of increasingly modernized automated systems. This AC provides a process for developing procedures that meet clear and specific requirements. Safe operations are founded on comprehensive SOPs made readily available within the manuals used by flight deck crewmembers. This AC also provides guidance on the definition and the training of PM duties and their integration into SOPs. Although this AC is directed towards Title 14 of the Code of Federal Regulations (14 CFR) part 121 and part 135 air carriers, the Federal Aviation Administration (FAA) encourages all air carriers, aircraft operators, pilot schools, and training centers to utilize this guidance.
ORIGINAL SIGNED by /s/ John Barbagallo Deputy Director, Flight Standards Service
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CONTENTS Paragraph Page
Chapter 1. Background Information1-1
1.1 General1-1
1.2 Cancellation1-1
1.3 Summary of Changes1-1
1.4 Terms and Definitions1-2
1.5 Related 14 CFR Sections1-2
1.6 Related Gudiance and Information1-3
Chapter 2. Determining When Procedures Need to be Designed or Modified2-1
2.1 Requirements for Procedures2-1
2.2 Modifying OEM Procedures2-1
Chapter 3. Creating a Procedure Development Process3-1
3.1 Characteristics of Good Procedures3-1
3.2 Collaborating for Effective SOPs3-1
3.3 Resources to Develop SOPs3-1
Chapter 4. Writing Procedures4-1
4.1 General Guidelines4-1
4.1.1 Information to Include4-1
4.1.2 Avoid Visual Clutter4-1
4.1.3 Use Plain Language4-1
4.1.4 Use Short Sentences4-1
4.1.5 Use Active Verbs4-1
4.1.6 Write Steps as Imperatives4-1
4.2 Organization4-1
4.2.1 General Organization4-1
4.2.2 Navigation and Place Keeping4-1
4.2.3 Lists4-1
4.2.4 References4-2
4.2.5 Memory Items4-2
4.2.6 Indices4-2
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4.3 Vocabulary4-2
4.3.1 Use Words Consistently4-2
4.3.2 Avoid Using Words with Multiple Common Meanings4-2
4.3.3 Use Abbreviations Carefully4-2
4.4 Numbers4-2
4.4.1 Use Arabic Numbers4-2
4.4.2 Include Units of Measurement4-2
4.5 Format4-2
4.5.1 Type Size4-2
4.5.2 Line Spacing4-3
4.5.3 Font4-3
4.5.4 Case4-3
4.5.5 Grouping4-3
4.5.6 Justification4-3
4.5.7 Line Length4-3
4.6 Place Keeping4-3
4.6.1 Title4-3
4.6.2 New Lines4-3
4.6.3 Bullets and Numbering4-3
4.6.4 Continuation4-3
4.6.5 End4-3
4.7 Emphasis4-3
4.7.1 Typographical4-4
4.7.2 Graphical4-4
4.7.3 Spatial4-4
4.7.4 Verbal4-4
4.8 Conditional Steps4-4
4.8.1 Complex Conditional Statements4-4
4.8.2 Waiting, Continuous Actions, Repeated Actions4-5
4.9 Cross-References4-5
4.9.1 Explicit Reference4-5
4.9.2 Version Control4-5
4.10 Warnings and Cautions4-5
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4.10.1 Components of Warnings and Cautions4-5
4.10.2 Placement4-5
Chapter 5. Developing Checklists5-1
5.1 General5-1
5.1.1 Consistency5-1
5.1.2 Type of List and Manner of Execution5-1
5.1.3 Timing5-1
5.1.4 Roles5-2
5.1.5 Initiation Anchor5-2
5.1.6 Completion Signal5-2
5.1.7 Checklist Verification5-2
5.2 Methods for Managing Checklist Accomplishment5-3
5.2.1 Single-Pilot Aircraft5-3
5.2.2 Multi-Pilot Aircraft5-3
5.2.3. Interruptions5-4
5.2.4 Representative Items5-4
5.3 Item Order5-5
5.4 Phraseology5-5
5.5 Common Errors That Occur When Using Checklists5-5
5.6 Preventing Checklist Errors5-6
5.6.1 Training Support Personnel5-6
5.6.2 Restarting From the Beginning5-6
5.6.3 Cognitive Limitations5-6
5.6.4 Checklist Error Prevention Tips5-6
Chapter 6. Pilot Monitoring6-1
6.1 General6-1
6.2 Effective Monitoring6-1
6.3 Challenges and Barriers to Effective Monitoring6-1
6.3.1. Time Pressure6-1
6.3.2 Lack of Feedback to Pilots When Monitoring Lapses Occur6-1
6.3.3 Design of SOPs6-1
6.3.4 Pilots’ Inadequate Mental Model of Autoflight System Modes6-2
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6.3.5 Training6-2
6.3.6 Pilot Performance6-2
6.4 Defining Pilot Monitoring Duties6-2
6.5 Operational Policies and Procedures6-3
6.6 Intervention Strategies6-3
6.6.1 What Intervention Strategies Should Include6-3
6.6.2 Human-to-Human Intervention6-3
6.7 Training for PM6-4
6.8 Incorporate Monitoring into SOPs6-5
6.9 Autoflight Considerations6-6
6.9.1 Autoflight Mode Confusion6-6
6.9.2 Autoflight Mode Awareness6-7
Appendix A. Related Guidance and InformationA-1
1-1 CHAPTER 1. BACKGROUND INFORMATION
1.1 General. Standard operating procedures (SOP) are universally recognized as fundamental to safe aviation operations, yet accidents and incidents continue to occur as a direct result from, or related to, a failure by the flightcrew to follow SOPs, particularly during critical phases of flight.
This advisory circular (AC) provides guidance for the design, development, implementation, evaluation, and updating of SOPs. It emphasizes that SOPs should be clear, comprehensive, and readily available within the manuals used by flight deck crewmembers. Although this AC is directed towards Title 14 of the Code of Federal Regulations (14 CFR) part 121 and part 135 air carriers, the FAA encourages all air carriers, aircraft operators, pilot schools, and training centers to utilize this guidance. The basis for this guidance is contained in the related regulations and FAA guidance sections of this AC. This AC is not mandatory and does not constitute a regulation. This AC describes an acceptable means, but not the only means, to design, develop, update, and use SOPs.
Effective crew coordination and crew performance depend on the crew’s having a shared mental model of each task. That mental model, in turn, is founded on SOPs. SOPs should serve to provide a consistent, standardized model of each task that must be performed by each crewmember during each phase of flight and during any reasonably anticipated abnormal, non-normal, or emergency situation. SOPs must be kept current and may be individually developed by the operator or by incorporating those procedures found in their aircraft operating manuals into their daily operations. Once established, the SOPs must be applied with consistency and uniformity throughout the operation.
Implementation of any procedure as an SOP is most effective when:
1. The procedure is appropriate to the situation.
2. The procedure is practical to use.
3. Crewmembers understand the reasons for the procedure.
4. Pilot flying (PF) and pilot monitoring (PM) duties are clearly delineated.
5. Effective training is conducted.
6. Adherence to the standard is emphasized by flightcrews, and reinforced by instructors, check pilots, and managers alike.
7. Crewmembers are aware of the potential risks/hazards if SOPs are not followed.
1.2 Cancellation. This AC cancels AC 120-71A, Standard Operating Procedures for Flight Deck Crewmembers, dated February 27, 2003.
1.3 Summary of Changes. Many changes have been made to improve clarity, accuracy, completeness, and consistency. Significant changes include adding regulatory
1-2 requirements contained in part 121 for PM and removing many of the examples previously found in the appendices. The stabilized approach criteria has been removed from this AC and can be found in AC 91-79A, Mitigating the Risks of a Runway Overrun Upon Landing (include Chg 1).
1.4 Terms and Definitions. For the purpose of this AC, the following definitions and terms are provided:
1. Checklist. A checklist is a tool to reduce the potential for flightcrew error in configuring the aircraft safely for various phases of flight, and for any malfunctions that may have occurred.
2. Crew Resource Management (CRM). The effective use of all available resources to achieve safe and efficient flight, to include human resources, hardware, and information.
3. Electronic Checklist. A checklist that is displayed to the flightcrew by means of an electronic device.
4. Flightpath. The aircraft trajectory and energy state, in flight.
5. Flightpath Management. Flight deck planning, execution, and assurance of the guidance and control of the flightpath.
6. High Workload Environment. Any environment in which multiple demands on the flightcrew necessitate the prioritizing of work functions. For example, IFR operations below 10,000 feet during arrival or departure from a terminal area (including taxiing) are considered to be high workload environments.
7. Pilot Flying (PF). The pilot who is controlling the path of the aircraft at any given time, in flight or on the ground.
8. Pilot Monitoring (PM). The PM monitors the aircraft state and system status, calls out any perceived or potential deviations from the intended flightpath, and intervenes if necessary.
9. Procedure. A logical progression of actions, decisions, or both in a sequence which is prescribed to achieve a specified objective.
10. Standard Operating Procedure (SOP). Written and tested procedures that are applied uniformly and consistently within an operation and involve all aspects of flight operations, normal, abnormal, non-normal, and emergency.
1.5 Related 14 CFR Sections.
• Part 91, §§ 91.1033 and 91.1079.
• Part 121, §§ 121.133, 121.135, 121.141, 121.315, 121.401, 121.403, 121.424,
121.542, and 121.544.
• Part 125, § 125.287.
• Part 135, §§ 135.83, 135.100, 135.293, and 135.327.
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1.6 Related Guidance and Information. Related FAA guidance and other reading material may be found in Appendix A.
2-1 CHAPTER 2. DETERMINING WHEN PROCEDURES NEED TO BE DESIGNED
OR MODIFIED
2.1 Requirements for Procedures. Operators are required to provide flightcrews with operating procedures per the applicable regulations as identified in the related regulations section. Although an Original Equipment Manufacturer (OEM) will typically supply its customers with suggested procedures and checklists for its equipment, operators may choose to develop, or modify, the procedures and checklists provided by the OEM. Some procedures may require a “No Technical Objection” from the OEM to modify them.
Also, some procedure modifications may require acceptance or approval from an operator’s principal operations inspector (POI). Operators should work with the OEM and FAA to determine if involvement in a SOP modification is necessary.
2.2 Modifying OEM Procedures. Procedures and checklists published by the OEM are designed to reflect that manufacturer’s flight deck design and operating procedures. They promote optimum use of aircraft features as envisioned by the designers, but may be generic in their applicability. Potential factors which may drive changes to OEM procedures and checklists include new or modified equipment, changes to the operational environment, company mandated procedures, standardization among related fleets, observed operational problems, incidents, accidents, or airline mergers.
3-1 CHAPTER 3. CREATING A PROCEDURE DEVELOPMENT PROCESS
3.1 Characteristics of Good Procedures. A well-designed procedure aids flightcrews by specifying a sequence of actions that, if followed, helps ensure that the primary task will be carried out in a manner that meets the basic guidelines of being clear, correct, reliable, and robust.
In general, as a minimum, good procedures cover the following elements:
• What the procedure is designed to accomplish.
• When and under what conditions the procedure should be executed.
• Who is responsible for executing each step in the procedure.
• How, in sufficient detail, the procedure is to be performed.
• How to confirm the procedure has been accomplished properly.
3.2 Collaborating for Effective SOPs. Collaboration can improve the effectiveness of SOPs. Partners in the collaboration could include representatives of the aircraft manufacturer, pilots having previous experience with the aircraft or with the type of operations planned by the operator, training organizations, and representatives from the FAA. Procedure developers should pay close attention to the approved Airplane Flight Manual (AFM) or Rotorcraft Flight Manual (RFM), to AFM/RFM revisions and operations bulletins issued by the manufacturer, and to the applicable FAA Flight Standardization Board (FSB) report. It is especially important for a new operator to establish a periodic review process that includes line flightcrews. Together, managers and flightcrews are able to review the effectiveness of SOPs and to reach valid conclusions for revisions. A trial period might be implemented, followed by feedback and revision, in which SOPs are improved. The review process will be meaningful and effective when managers promote prompt implementation of revisions to SOPs when necessary.
3.3 Resources to Develop SOPs. The procedure development process should start with a careful analysis of the factors driving the need to develop or modify a procedure and the implications of these factors.
Procedure developers should research all available sources of information that pertain to the process or procedure being developed or revised. This may include reviewing data from an Aviation Safety Action Program (ASAP) or a flight operations quality assurance (FOQA) program. Procedure developers should also understand the entire system of procedures and how they fit within the framework of existing policies, guidance, and the operator’s overall operational philosophy. Any new process or procedure should be consistent with that framework.
Employee groups who will be affected by the procedures in question may also add value in the development process. Procedures which interface with other employee groups should be coordinated accordingly.
4-1 CHAPTER 4. WRITING PROCEDURES
4.1 General Guidelines. Procedures should be communicated and trained effectively after they are developed.
4.1.1 Information to Include. Include only the information needed to validate it is the correct procedure to use and information to properly execute the procedure. While it is important to document and communicate the rationale behind the procedure design, this information should be provided in a separate training manual or other document.
4.1.2 Avoid Visual Clutter. Include supplemental detail only when necessary. When the addition of supplemental information is necessary, separate the supplemental information from the presentation of the actual steps to be accomplished.
4.1.3 Use Plain Language. Use simple English; the use of uncomplicated wording will increase comprehension while reducing ambiguity.
4.1.4 Use Short Sentences. Break long sentences into short sentences with a simple sentence structure.
4.1.5 Use Active Verbs. Sentences with active verbs (e.g., “Do X”) are easier to read and less likely to be misunderstood than sentences using passive verb forms (e.g., “X should be done”).
4.1.6 Write Steps as Imperatives. Imperative commands are direct; they tell someone what to do, and are often used when giving instructions. Avoid negatives when possible.
Negative statements are difficult to read and if it is missed, the meaning of the sentence will be misunderstood. When negatives are required, clearly specify what is being negated.
4.2 Organization.
4.2.1 General Organization. Procedures should be organized as simply as possible by order of tasking. Normal procedures are typically organized in sequence by phase of flight. When applicable, abnormal, non-normal, and emergency procedures should be organized by the triggering condition (e.g., smoke in the flight deck) rather than the potentially related system (e.g., electrical system).
4.2.2 Navigation and Place Keeping. Steps should follow a simple numbering system to assist pilots in maintaining their place in the procedure. Excessively detailed hierarchies should be avoided. Use headers when necessary to distinguish major sections of multifaceted procedures. Headers should provide useful cues to the purpose of the section of the procedure they address.
4.2.3 Lists. One step in a procedure may require that the pilot perform several actions or check several different indications. These components should be presented on separate lines in an indented numbered or bulleted list rather than in the body of the text.
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4.2.4 References. References to other procedures or appendices should be avoided unless necessary for completion of the procedure.
4.2.5 Memory Items. Memory items should be avoided whenever possible. If the procedure must include memory items, they should be clearly identified, emphasized in training, less than three items, and should not contain conditional decision steps.
4.2.6 Indices. An index should be provided for every procedure manual. In designing the index, ensure that the format accurately reflects the operator’s philosophies and training. If a procedure is identified in more than one way (e.g., if there are multiple indications), include all likely parameters in the index.
4.3 Vocabulary.
4.3.1 Use Words Consistently. Word use should be simple and consistent throughout the SOPs.
If possible, avoid creating new terms. Use words in their common English sense unless they have a widely accepted aviation-specific meaning. Match flight deck nomenclature.
4.3.2 Avoid Using Words with Multiple Common Meanings. Avoid using words with multiple meanings (e.g., use “correct” rather than “right”). Avoid using the same words as both nouns and verbs (e.g., display, position); if a word is to be used that could be a noun or a verb, choose one usage and apply it consistently (e.g., move the switch into the ON position vs. position the switch to ON).
4.3.3 Use Abbreviations Carefully. Only use abbreviations that are defined and commonly used in the industry (e.g., Vertical Navigation (VNAV), reference landing speed (VREF), air traffic control (ATC)), and avoid creating new abbreviations whenever possible.
Abbreviations should also only be used that are defined in the operating environment.
4.4 Numbers.
4.4.1 Use Arabic Numbers. Arabic numbers (e.g., 0, 1, 2) are easier to read than numbers that are spelled out (e.g., one, two). However, use spelled-out numbers for references when two or more different values must be presented in close proximity to other numbers
(e.g., use “one 10 kg weight,” rather than “1 10 kg weight”).
4.4.2 Include Units of Measurement. Do not specify numbers in greater precision than is necessary, or than can be read from instruments.
4.5 Format. In determining how to format procedures, the purpose, mode, and conditions under which the displayed procedures will be used must be considered. The presentation of procedures that are meant to be used on the ground at leisure in printed form may use a different format from procedures that will be read from a tablet computer in flight during turbulence or at night under time pressure. The presentation should be evaluated under conditions approximating those under which the procedure display might be needed.
4.5.1 Type Size. Use a type size that is large enough to be readable under all conditions likely to be encountered. In general, a 14- to 20-point laser printed sans serif font is adequate