ADVISORY CIRCULAR
SUBJECT:
DATE: AC NUMBER: VERSION:
HUMAN FACTORS PRINCIPLES IN
2016-02-29 000-03 1.0
CIVIL AVIATION
NOTE: THIS ADVISORY CIRCULAR IS PUBLISHED TO PROVIDE REGULATORY
INFORMATION AND DESCRIBE ACCEPTABLE MEANS OF COMPLIANCE WITH THE
GENERAL AUTHORITY OF CIVIL AVIATION REGULATIONS (GACAR).
CHAPTER 1 – INTRODUCTION
1.1 Purpose.
The purpose of this advisory circular is to provide guidance and information on the development
and application of Human Factors principles in those civil aviation organisations and operations
where the General Authority of Civil Aviation Regulations (GACAR) require, and across the
aviation industry in general. The information is broad in nature and primarily intended to provide
source material for organisations to develop their own Human Factors training programs and to
ensure that when they develop procedures, checklists, programs, manuals and systems that they do
so with proper consideration of Human Factors principles.
1.2 Applicability.
This advisory circular is applicable to all civil aviation organisations exercising privileges under
those GACAR requiring adherence to Human Factors principles.
1.3 Cancellation.
This is the first official version of this Advisory Circulars.
1.4 Related Regulatory Provisions.
All of the GACAR.
1.5 Related Reading Material.
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ICAO Doc 9683 - Human Factors Training Manual
ICAO Doc 9758 - Human Factors Guidelines for Air Traffic Management (ATM) Systems
ICAO Doc 9806 - Human Factors Guidelines for Safety Audits Manual
ICAO Doc 9808 - Human Factors in Civil Aviation Security Operations
ICAO Doc 9824 - Human Factors Guidelines for Aircraft Maintenance Manual
ICAO Human Factors Digests:
No. 1 - Fundamental Human Factors concepts
No. 2 - Flight crew training: Cockpit resource management and line-oriented flight training
No. 3 - Training of operational personnel in human factors
No. 5 - Operational implications of automation in advanced technology flight decks
No. 6 - Ergonomics
No. 7 - Investigation of human factors in accidents and incidents
No. 8 - Human factors in air traffic control
No. 10 - Human factors, management and organization
No. 11 - Human factors in CNS/ATM systems
No. 12 - Human factors in aircraft maintenance and inspection
No. 15 - Human factors in cabin safety
No. 16 - Cross-cultural factors in aviation safety
1.6 Definitions of Terms Used in this Advisory Circular.
Affected parties should refer to Subpart A of GACAR Part 1 for a full listing of defined terms used
in the new GACARs and specifically those related to safety management and Human Factors. This
Advisory Circular may introduce several additional definitions to aid in a common understanding
of the ideas presented in this document. In cases where the definitions in this document differ from
an identical term defined in GACAR Part 1, the definition in GACAR Part 1 will prevail when
interpreting regulatory requirements.
1.7 Approval.
This Advisory Circular has been approved for publication by the Assistant President, Safety,
Security and Air Transport Sector of the General Authority of Civil Aviation.
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CHAPTER 2 – HUMAN FACTORS PRINCIPLES IN CIVIL AVIATION
2.1 Introduction.
2.1.1 Human error has been documented as a primary contributor to more than 70 percent of
commercial airplane hull-loss accidents, and there is increasing evidence that human error may, in
fact, contribute at a significantly higher rate. While typically associated with flight operations,
human error has also recently become a major concern in aircraft maintenance practices and air
navigation services including air traffic management.
2.1.2 The term ‘Human Factors’ refers to the wide range of issues affecting how people perform
tasks in their work and non-work environments. The study of human factors involves applying
scientific knowledge about the human body and mind, to better understand human capabilities and
limitations so that there is the best possible fit between people and the systems in which they
operate. Human factors knowledge can be used to reduce the likelihood of errors and at the same
time build more error tolerant, and therefore more resilient, systems.
2.1.3 Human factors are the social and personal skills (for example, communication and decision
making) which complement technical skills, and are important for safe and efficient aviation.
What are human factors?
2.1.4 Human factors specialists look at human capabilities and limitations and the manner in
which these capabilities and limitations interact with complex systems, such as those in aviation.
The goal is to minimise the likelihood of human error and to maximise performance to improve the
overall safety of the system.
How do human factors affect you?
2.1.5 Safety management systems need to manage all areas of risk including those that increase the
likelihood of human error. New regulations require pilots and engineers to receive training in
human factors as part of minimising the likelihood and impact of human error.
Do I need to train my staff in human factors?
2.1.6 Various GACAR sections require organisations to either include human factors principles in
their operations, or to specifically include Human Factors training for their staff – this includes
human factors training for flight crew, cabin crew, flight operations officers, flight dispatchers,
maintenance engineering staff, and air navigation services staff.
How do I find a human factors specialist for my organisation?
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2.1.7 Human factors specialists work in high-reliability safety-critical industries (e.g., maritime,
rail, oil/gas, nuclear/hydro power, aviation, mining, firefighting), in user-design roles (e.g.,
developing search engines, communication devices); as consultants, or as practitioners/academics
in universities.
Is human factors the same as Human Resources (HR)?
2.1.8 No. Human factors is about humans interacting with systems. One HR element relevant to
managing human performance, however, is training and assessment.
What is the cost benefit of addressing human factors?
2.1.9 There is a clear cost benefit for organisations in managing human factors and designing
systems to be user-centric. Reducing the likelihood of error can have substantial cost savings in
terms of reduced down-time, repair work and reduction in injury to personnel. Ultimately,
reducing error reduces the likelihood of accidents.
2.2 Elements of Human Factors Training Program.
2.2.1 The key to implementing a human factors program in any organization is training. There are a
number of elements that need to be considered in the development of a Human Factors training
program. These should be tailored around the specific aviation industry sector, but should
include:
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Factor Elements
Definitions of human error
Definition of threat
Definition of threat and error management
Types of threat and errors
Threats and errors Threat identification
Threat management strategies
Error chain
Error prevention and detection
Error management strategies
Definition of safety culture
Elements of positive safety culture
Reporting system as a function of overall safety management
Use of safety data to rectify problems and reduce risks
Organisational
factors
Organisational factors, latent risks
Organisational risk tolerance
SOPs development based on human factors
Company culture re SOP adherence
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Definition of stress, stress management, and fatigue
Identify stress
Effects of stress
Stress and fatigue
Stress management techniques
Fatigue and tiredness - causes and symptoms
Circadian rhythms, biological clock, jet lag, etc.
Fatigue risk
management systems Management of fatigue at the individual and organisational levels
(FRMS)
Definition of information acquisition, information processing
Stages of information processing
Attention and perception
Information
acquisition and Types of memory
processing
Limitations and failures of memory
Techniques for improving/enhancing memory
Skill development
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Definition of situational awareness and workload management
Types of situational awareness
Components of situational awareness
Activities to achieve situational awareness
Situational
awareness and
Loss of situational awareness - recognition and recovery
workload
management Capacity limitations and cognitive overload
Workload management strategies
Prioritisation
Managing distractions
Definition of decision making
Factors affecting decision making
Bias
Types of decision making
Decision making
Option generation
Decision making skills
Problem solving techniques
Risk management
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Definition of communication
Modes of communication
Factors affecting communication / barriers to effective communication
Standard phraseology
Communication
Listening
Communication styles and techniques
Internal and external communication
Briefings
Definition of leadership and authority
Attributes and qualities of good leaders
Assertiveness
Authority gradient
Identify factors affecting team performance
Define Crew Resource Management
Leadership and team
behavior
Methods of optimising CRM
Group decision making – advantages and disadvantages
Cooperation and team building
Concept of management
Conflict resolution
Cultural differences
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Definition of automation, vigilance and monitoring
Guidelines on use of automation
Mode awareness/understanding
Automation complacency
Automation, Redundancy and automation failure detection
vigilance and
monitoring Intervention
Need for active monitoring
Techniques for improving monitoring
Detection of failure
Factors affecting vigilance
2.3 External Sources.
Further information on human factors in civil aviation can be found through a number of sources,
and in a number of publications, including:
• International Civil Aviation Organization (ICAO) (www.icao.org/)
Documents - Refer Paragraph 1.5 of this AC.
• United Kingdom Civil Aviation Authority (UKCAA) (www.caa.co.uk/)
Document - CAP 715 An Introduction to Aircraft Maintenance Engineering Human Factors
for JAR 66
Document - CAP 716 Aviation Maintenance Human Factors (EASA Part-145)
Document - CAP 718 Human Factors in Aircraft Maintenance and Inspection
Document - CAP 719 Fundamental Human Factors Concepts
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Document - CAP 737 Flightcrew human factors handbook
Document - CAP1159 A strategy for human factors
Document - CAP1209 Human Factors: Action Plan
• Eurocontrol (www.eurocontrol.int/)
Location – Eurocontrol - Human Factors Library (www.eurocontrol.int/articles/human-
factors-library)
Document - Human Performance in Air Traffic Management
• Skybrary (www.skybrary.aero/)
Document - Operators Guide to Human Factors in Aviation
Document - Human Factors Training
• European Aviation Safety Agency (EASA) (www.easa.europa.eu/)
Document - 2012 European Strategy for Human Factors in Aviation
Document - Regulatory Inspector Human Factors Competence Framework
• Federal Aviation Administration (FAA) (www.faa.gov/)
Location - Human Factors Group (www.hf.faa.gov/)
Location – Aviation Research Division – Human Factors Branch (ANG-E25)
(www.hf.tc.faa.gov/)
Document - FAA Order 9550.8 Human Factors Policy
Document – Role of Human Factors in the FAA
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