• Advise those who are waiting at the destination that the arrival may be delayed. Know how to notify them when delays are encountered.
• Manage passengers’ expectations. Make sure passengers know that they might not arrive on a firm schedule, and if they must arrive by a certain time, they should make alternative plans.
• Eliminate pressure to return home, even on a casual day flight, by carrying a small overnight kit containing prescriptions, contact lens solutions, toiletries, or other necessities on every flight.
The key to managing external pressure is to be ready for and accept delays. Remember that people get delayed when traveling on airlines, driving a car, or taking a bus. The pilot’s goal is to manage risk, not create hazards. [Figure 2-7]
Human Factors
Why are human conditions, such as fatigue, complacency and stress, so important in aviation? These conditions, along with many others, are called human factors. Human factors directly cause or contribute to many aviation accidents and have been documented as a primary contributor to more than 70 percent of aircraft accidents.
Figure 2-7. The PAVE checklist.
Typically, human factor incidents/accidents are associated with flight operations but recently have also become a major concern in aviation maintenance and air traffic management as well. [Figure 2-8] Over the past several years, the FAA has made the study and research of human factors a top priority by working closely with engineers, pilots, mechanics, and ATC to apply the latest knowledge about human factors in an effort to help operators and maintainers improve safety and efficiency in their daily operations.
Human factors science, or human factors technologies, is a multidisciplinary field incorporating contributions from psychology, engineering, industrial design, statistics, operations research, and anthropometry. It is a term that covers the science of understanding the properties of human capability, the application of this understanding to the design, development and deployment of systems and services, and the art of ensuring successful application of human factor principles into all aspects of aviation to include pilots, ATC, and aviation maintenance. Human factors is often considered synonymous with CRM or maintenance resource management (MRM) but is really much broader in both its knowledge base and scope. Human factors involves gathering research specific to certain situations (i.e., flight, maintenance, stress levels, knowledge) about human abilities, limitations, and other characteristics and applying it to tool design, machines, systems, tasks, jobs, and environments to produce safe, comfortable, and effective human use. The entire aviation community benefits greatly from human factors research and development as it helps better understand how humans can most safely and efficiently perform their jobs and improve the tools and systems in which they interact.
Human Behavior
Studies of human behavior have tried to determine an individual’s predisposition to taking risks and the level of an individual’s involvement in accidents. In 1951, a study regarding injury-prone children was published by Elizabeth Mechem Fuller and Helen B. Baune, of the University of Minnesota. The study was comprised of two separate groups of second grade students. Fifty-five students were considered accident repeaters and 48 students had no accidents. Both groups were from the same school of 600 and their family demographics were similar.
The accident-free group showed a superior knowledge of safety, was considered industrious and cooperative with others, but were not considered physically inclined. The accident-repeater group had better gymnastic skills, was considered aggressive and impulsive, demonstrated rebellious behavior when under stress, were poor losers, and liked to be the center of attention. One interpretation of this data—an adult predisposition to injury stems from childhood behavior and environment—leads to the conclusion that any pilot group should be comprised only of pilots who are safety-conscious, industrious, and cooperative.
Figure 2-8. Human factors effects pilots, aviation maintenance technicians (AMTs) and air traffic control (ATC).
Clearly, this is not only an inaccurate inference, it is impossible. Pilots are drawn from the general population and exhibit all types of personality traits. Thus, it is important that good decision-making skills be taught to all pilots.
Historically, the term “pilot error” has been used to describe an accident in which an action or decision made by the pilot was the cause or a contributing factor that led to the accident. This definition also includes the pilot’s failure to make a correct decision or take proper action. From a broader perspective, the phrase “human factors related” more aptly describes these accidents. A single decision or event does not lead to an accident, but a series of events and the resultant decisions together form a chain of events leading to an outcome.
In his article “Accident-Prone Pilots,” Dr. Patrick R. Veillette uses the history of “Captain Everyman” to demonstrate how aircraft accidents are caused more by a chain of poor choices rather than one single poor choice. In the case of Captain Everyman, after a gear-up landing accident, he became involved in another accident while taxiing a Beech 58P Baron out of the ramp. Interrupted by a radio call from the dispatcher, Everyman neglected to complete the fuel cross-feed check before taking off. Everyman, who was flying solo, left the right-fuel selector in the cross-feed position. Once aloft and cruising, he noticed a right roll tendency and corrected with aileron trim. He did not realize that both engines were feeding off the left wing’s tank, making the wing lighter.
After two hours of flight, the right engine quit when Everyman was flying along a deep canyon gorge. While he was trying to troubleshoot the cause of the right engine’s failure, the left engine quit. Everyman landed the aircraft on a river sand bar but it sank into ten feet of water.
Several years later Everyman flew a de Havilland Twin Otter to deliver supplies to a remote location. When he returned to home base and landed, the aircraft veered sharply to the left, departed the runway, and ran into a marsh 375 feet from the runway. The airframe and engines sustained considerable damage. Upon inspecting the wreck, accident investigators found the nose wheel steering tiller in the fully deflected position. Both the after takeoff and before landing checklists require the tiller to be placed in the neutral position. Everyman had overlooked this item.
Now, is Everyman accident prone or just unlucky? Skipping details on a checklist appears to be a common theme in the preceding accidents. While most pilots have made similar mistakes, these errors were probably caught prior to a mishap due to extra margin, good warning systems, a sharp copilot, or just good luck. What makes a pilot less prone to accidents?
The successful pilot possesses the ability to concentrate, manage workloads, and monitor and perform several simultaneous tasks. Some of the latest psychological screenings used in aviation test applicants for their ability to multitask, measuring both accuracy, as well as the individual’s ability to focus attention on several subjects simultaneously. The FAA oversaw an extensive research study on the similarities and dissimilarities of accident-free pilots and those who were not. The project surveyed over 4,000 pilots, half of whom had “clean” records while the other half had been involved in an accident.
Five traits were discovered in pilots prone to having accidents. These pilots:
• Have disdain toward rules
• Have very high correlation between accidents on their flying records and safety violations on their driving records
• Frequently fall into the “thrill and adventure seeking” personality category
• Are impulsive rather than methodical and disciplined, both in their information gathering and in the speed and selection of actions to be taken
• Have a disregard for or tend to under utilize outside sources of information, including copilots, flight attendants, flight service personnel, flight instructors, and ATC
The Decision-Making Process
An understanding of the decision-making process provides the pilot with a foundation for developing ADM and SRM sk
ills. While some situations, such as engine failure, require an immediate pilot response using established procedures, there is usually time during a flight to analyze any changes that occur, gather information, and assess risks before reaching a decision.
Risk management and risk intervention is much more than the simple definitions of the terms might suggest. Risk management and risk intervention are decision-making processes designed to systematically identify hazards, assess the degree of risk, and determine the best course of action. These processes involve the identification of hazards, followed by assessments of the risks, analysis of the controls, making control decisions, using the controls, and monitoring the results.
The steps leading to this decision constitute a decision-making process. Three models of a structured framework for problem-solving and decision-making are the 5P, the 3P using PAVE, CARE and TEAM, and the DECIDE models. They provide assistance in organizing the decision process. All these models have been identified as helpful to the single pilot in organizing critical decisions.
Single-Pilot Resource Management (SRM)
Single-Pilot Resource Management (SRM) is about how to gather information, analyze it, and make decisions. Learning how to identify problems, analyze the information, and make informed and timely decisions is not as straightforward as the training involved in learning specific maneuvers. Learning how to judge a situation and “how to think” in the endless variety of situations encountered while flying out in the “real world” is more difficult.
There is no one right answer in ADM, rather each pilot is expected to analyze each situation in light of experience level, personal minimums, and current physical and mental readiness level, and make his or her own decision.
The 5 Ps Check
SRM sounds good on paper, but it requires a way for pilots to understand and use it in their daily flights. One practical application is called the “Five Ps (5 Ps).” [Figure 2-9] The 5 Ps consist of “the Plan, the Plane, the Pilot, the Passengers, and the Programming.” Each of these areas consists of a set of challenges and opportunities that every pilot encounters. Each challenge and opportunity can substantially increase or decrease the risk of successfully completing the flight based on the pilot’s ability to make informed and timely decisions. The 5 Ps are used to evaluate the pilot’s current situation at key decision points during the flight or when an emergency arises. These decision points include preflight, pretakeoff, hourly or at the midpoint of the flight, pre-descent, and just prior to the final approach fix or for VFR operations, just prior to entering the traffic pattern.
Figure 2-9. The Five Ps checklist.
The 5 Ps are based on the idea that pilots have essentially five variables that impact his or her environment and forcing him or her to make a single critical decision, or several less critical decisions, that when added together can create a critical outcome. These variables are the Plan, the Plane, the Pilot, the Passengers, and the Programming. This concept stems from the belief that current decision-making models tended to be reactionary in nature. A change has to occur and be detected to drive a risk management decision by the pilot. For instance, many pilots complete risk management sheets prior to takeoff. These form a catalog of risks that may be encountered that day. Each of these risks is assigned a numerical value. If the total of these numerical values exceeds a predetermined level, the flight is altered or cancelled. Informal research shows that while these are useful documents for teaching risk factors, they are almost never used outside of formal training programs. The 5P concept is an attempt to take the information contained in those sheets and in the other available models and use it.
The 5P concept relies on the pilot to adopt a “scheduled” review of the critical variables at points in the flight where decisions are most likely to be effective. For instance, the easiest point to cancel a flight due to bad weather is before the pilot and passengers walk out the door and load the aircraft. So the first decision point is preflight in the flight planning room, where all the information is readily available to make a sound decision, and where communication and Fixed Base Operator (FBO) services are readily available to make alternate travel plans.
The second easiest point in the flight to make a critical safety decision is just prior to takeoff. Few pilots have ever had to make an “emergency takeoff.” While the point of the 5P check is to help the pilot fly, the correct application of the 5 P before takeoff is to assist in making a reasoned go/no-go decision based on all the information available. That decision will usually be to “go,” with certain restrictions and changes, but may also be a “no-go.” The key idea is that these two points in the process of flying are critical go/no-go points on each and every flight.
The third place to review the 5 Ps is at the midpoint of the flight. Often, pilots may wait until the Automated Terminal information Service (ATIS) is in range to check weather, yet, at this point in the flight, many good options have already passed behind the aircraft and pilot. Additionally, fatigue and low-altitude hypoxia serve to rob the pilot of much of his or her energy by the end of a long and tiring flight day. This leads to a transition from a decision-making mode to an acceptance mode on the part of the pilot. If the flight is longer than 2 hours, the 5 P check should be conducted hourly.
The last two decision points are just prior to descent into the terminal area and just prior to the final approach fix, or if VFR, just prior to entering the traffic pattern as preparations for landing commence. Most pilots execute approaches with the expectation that they will land out of the approach every time. A healthier approach requires the pilot to assume that changing conditions (the 5 Ps again) will cause the pilot to divert or execute the missed approach on every approach. This keeps the pilot alert to all manner of conditions that may increase risk and threaten the safe conduct of the flight. Diverting from cruise altitude saves fuel, allows unhurried use of the autopilot and is less reactive in nature. Diverting from the final approach fix, while more difficult, still allows the pilot to plan and coordinate better, rather than executing a futile missed approach. Let’s look at a detailed discussion of each of the Five Ps.
The Plan
The “Plan” can also be called the mission or the task. It contains the basic elements of cross-country planning, weather, route, fuel, publications currency, etc. The “Plan” should be reviewed and updated several times during the course of the flight. A delayed takeoff due to maintenance, fast moving weather, and a short notice TFR may all radically alter the plan. The “plan” is not only about the flight plan, but also all the events that surround the flight and allow the pilot to accomplish the mission. The plan is always being updated and modified and is especially responsive to changes in the other four remaining Ps. If for no other reason, the 5 P check reminds the pilot that the day’s flight plan is real life and subject to change at any time.
Obviously, weather is a huge part of any plan. The addition of datalink weather information gives the advanced avionics pilot a real advantage in inclement weather, but only if the pilot is trained to retrieve and evaluate the weather in real time without sacrificing situational awareness. And of course, weather information should drive a decision, even if that decision is to continue on the current plan. Pilots of aircraft without datalink weather should get updated weather in flight through an FSS and/or Flight Watch.
The Plane
Both the “plan” and the “plane” are fairly familiar to most pilots. The “plane” consists of the usual array of mechanical and cosmetic issues that every aircraft pilot, owner, or operator can identify. With the advent of advanced avionics, the “plane” has expanded to include database currency, automation status, and emergency backup systems that were unknown a few years ago. Much has been written about single pilot IFR flight, both with and without an autopilot. While this is a personal decision, it is just that—a decision. Low IFR in a non-autopilot equipped aircraft may depend on several of the other Ps to be discussed. Pilot proficiency, currency, and fatigue are am
ong them.
The Pilot
Flying, especially when business transportation is involved, can expose a pilot to risks such as high altitudes, long trips requiring significant endurance, and challenging weather. Advanced avionics, when installed, can expose a pilot to high stresses because of the inherent additional capabilities which are available. When dealing with pilot risk, it is always best to consult the “IMSAFE” checklist (see page 2-6).
The combination of late nights, pilot fatigue, and the effects of sustained flight above 5,000 feet may cause pilots to become less discerning, less critical of information, less decisive, and more compliant and accepting. Just as the most critical portion of the flight approaches (for instance a night instrument approach, in the weather, after a 4-hour flight), the pilot’s guard is down the most. The 5 P process helps a pilot recognize the physiological challenges that they may face towards the end of the flight prior to takeoff and allows them to update personal conditions as the flight progresses. Once risks are identified, the pilot is in a better place to make alternate plans that lessen the effect of these factors and provide a safer solution.
The Passengers
One of the key differences between CRM and SRM is the way passengers interact with the pilot. The pilot of a highly capable single-engine aircraft maintains a much more personal relationship with the passengers as he/she is positioned within an arm’s reach of them throughout the flight.
The necessity of the passengers to make airline connections or important business meetings in a timely manner enters into this pilot’s decision-making loop. Consider a flight to Dulles Airport in which and the passengers, both close friends and business partners, need to get to Washington, D.C. for an important meeting. The weather is VFR all the way to southern Virginia, then turns to low IFR as the pilot approaches Dulles. A pilot employing the 5 P approach might consider reserving a rental car at an airport in northern North Carolina or southern Virginia to coincide with a refueling stop. Thus, the passengers have a way to get to Washington, and the pilot has an out to avoid being pressured into continuing the flight if the conditions do not improve.
Pilot's Handbook of Aeronautical Knowledge (Federal Aviation Administration) Page 9