Hendrick (1987) states that human factors, or ergonomics, has two levels: micro-ergonomics and macroergonomics.Micro-ergonomics is focused at <strong>the</strong> direct human-machine system, e.g., controls, displays,etc. Macro-ergonomics, by comparison, is focused at <strong>the</strong> overall human-technology system and isconcerned with its impacts on organizational, managerial, and personnel sub-systems. Likewise, weargue that in order to understand how pilots conduct flight-deck procedures, we cannot look only at <strong>the</strong>micro-ergonomics, i.e. procedures, but we also must also examine macro-ergonomics, i.e., <strong>the</strong> policiesand concepts <strong>of</strong> operation, that are <strong>the</strong> basis on which procedures are developed, taught, and used. Wesubmit that both <strong>the</strong> macro- and micro-ergonomics aspects <strong>of</strong> any complex human-machine system mustbe examined in order to improve any human-machine system. The same, we have found, is true forprocedural design.1.3 OBJECTIVES OF THE STUDYThe intent <strong>of</strong> this work was to conduct a broad examination <strong>of</strong> design, usage, and compliance <strong>of</strong> cockpitprocedures from both macro- and micro-ergonomics perspectives. The objectives were to:1. Understand what procedures are.2. Identify <strong>the</strong> process by which procedures are presently designed.3. Understand whe<strong>the</strong>r procedures are actually used by line pilots, and why deviations from SOPsexist.4. Highlight some <strong>of</strong> <strong>the</strong> factors that affect procedural design.5. Provide guidelines for conceptual framework, design, and implementation <strong>of</strong> flight-deckprocedures.Based on our previous work on checklists (Degani and Wiener, 1990; 1991), we developed aframework, or model, <strong>of</strong> <strong>the</strong> link between <strong>the</strong> goal <strong>of</strong> operation and conduct <strong>of</strong> procedures. In additionto <strong>the</strong> five objectives listed above, we also wanted to test <strong>the</strong> usefulness <strong>of</strong> this model for proceduraldesign. The two chapters that follow will detail this <strong>the</strong>ory.4
2. THEORY OF THE THREE P'S: PHILOSOPHY, POLICIES, AND PROCEDURES2.1 PROCEDURE DEVELOPMENT<strong>Procedures</strong> do not fall from <strong>the</strong> sky. Nor are <strong>the</strong>y inherent in <strong>the</strong> equipment. <strong>Procedures</strong> must be basedon a broad concept <strong>of</strong> <strong>the</strong> user's operation. These operating concepts blend into a set <strong>of</strong> work policiesand procedures that specify how to operate <strong>the</strong> equipment efficiently. There is a link between proceduresand <strong>the</strong> concepts <strong>of</strong> operations. We call that link “The Three P's <strong>of</strong> cockpit operations”: philosophy,policies, and procedures. In this chapter we shall explore <strong>the</strong> nature <strong>of</strong> <strong>the</strong>se links, and how an orderly,consistent path can be constructed from <strong>the</strong> company's most basic philosophy <strong>of</strong> operation to <strong>the</strong> actualconduct <strong>of</strong> any given task. The fourth P, “practices,” will be introduced in <strong>the</strong> next chapter.2.1.1 <strong>Procedures</strong>: What and Why?In general, procedures exist in order to specify, unambiguously, six things:1. What <strong>the</strong> task is.2. When <strong>the</strong> task is conducted (time and sequence).3. By whom it is conducted.4. How <strong>the</strong> task is done (actions).5. What <strong>the</strong> sequence <strong>of</strong> actions consists <strong>of</strong>.6. What type <strong>of</strong> feedback is provided (callout, indicator)The function <strong>of</strong> a well-designed procedure is to aid flight crews by dictating and specifying aprogression <strong>of</strong> sub-tasks and actions to ensure that <strong>the</strong> primary task at hand will be carried out in amanner that is efficient, logical, and also error resistant. Ano<strong>the</strong>r important function <strong>of</strong> a cockpitprocedure is that it should promote coordination between agents in <strong>the</strong> system, be <strong>the</strong>y cockpit crew,cabin crew, ground crew, or o<strong>the</strong>rs. A procedure is also a form <strong>of</strong> quality control by management andregulating agencies (e.g., FAA) over <strong>the</strong> airlines.2.1.2 Standard Operating <strong>Procedures</strong>Standard operating procedures are set <strong>of</strong> procedures that serve to provide a common ground for two orthree individuals (comprising a flight crew) who are usually unfamiliar with each o<strong>the</strong>r's experience andtechnical capabilities. So strong is <strong>the</strong> airline industry's belief in SOPs, it is believed that in a wellstandardized operation, a cockpit crew member could be plucked from <strong>the</strong> cockpit in mid-flight andreplaced with ano<strong>the</strong>r pilot qualified in <strong>the</strong> seat, and <strong>the</strong> operation would continue safely and smoothly.As mergers and acquisitions <strong>of</strong> airlines create “mega-carriers,” <strong>the</strong> process <strong>of</strong> standardization becomesincreasingly important, costly, and difficult to achieve. The need to render manuals, procedures,policies, and philosophies that are consistent and unambiguous becomes more difficult. This is becausenot all flight crews equally share <strong>the</strong> corporate history and culture that led to a certain concept <strong>of</strong>operation. Never<strong>the</strong>less, any human operator knows that adherence to SOPs is not <strong>the</strong> only way that onecan operate equipment. There may be several o<strong>the</strong>r ways <strong>of</strong> doing <strong>the</strong> same task with a reasonable level<strong>of</strong> safety (Orlady, 1989). For example, most carriers require that crews enter <strong>the</strong> magnetic course <strong>of</strong> <strong>the</strong>runway into <strong>the</strong> heading select window on <strong>the</strong> mode control panel (MCP) before take<strong>of</strong>f. <strong>On</strong>e companyrequires that <strong>the</strong> first published or expected heading will be entered instead. Good reasons exist for bothprocedures.2.2 PHILOSOPHYThe cornerstone <strong>of</strong> our approach to <strong>the</strong> concepts <strong>of</strong> cockpit procedures is philosophy <strong>of</strong> operations. Byphilosophy we mean that <strong>the</strong> airline management determines an over-arching view <strong>of</strong> how <strong>the</strong>y willconduct <strong>the</strong> business <strong>of</strong> <strong>the</strong> airline, including flight operations. A company's philosophy is largely5
- Page 2 and 3: TABLE OF CONTENTSSUMMARY ..........
- Page 4 and 5: 1. INTRODUCTIONWhen we try to pick
- Page 8 and 9: influenced by the individual philos
- Page 10 and 11: 3. THE FOURTH P: PRACTICES3.1. AN E
- Page 12 and 13: To summarize, the ultimate factor t
- Page 14 and 15: Humor. Humor is closely related to
- Page 16 and 17: technical deficiencies, induce work
- Page 18 and 19: operations and the philosophy of th
- Page 20 and 21: 5.3 MERGERS AND ACQUISITIONSMergers
- Page 22 and 23: Figure 7. A Boeing B-757 checklist
- Page 24 and 25: e made. Consider, also, the followi
- Page 26 and 27: flight operations, the philosophy m
- Page 28 and 29: 5.7.3 Technique and PoliciesAny giv
- Page 30 and 31: For example, one company constantly
- Page 32 and 33: 6. ISSUES IN PROCEDURE DESIGN6.1 CO
- Page 34 and 35: solution involves “anchoring” a
- Page 36 and 37: On August 19, 1980, a Saudi Arabian
- Page 38 and 39: 3. The procedures allow the other a
- Page 40 and 41: coordination of tasks between agent
- Page 42 and 43: Similarly, it has been a common pra
- Page 44 and 45: 7.1.3 Structure of ProceduresAs men
- Page 46 and 47: mission simulation (see Wiener et a
- Page 48 and 49: felt that this is an efficient tech
- Page 50 and 51: esponse. The PF, therefore, can con
- Page 52 and 53: 7.5.1 Cross-fleet StandardizationCr
- Page 54 and 55: 1. Training department (for both pi
- Page 56 and 57:
REFERENCESAviation Week and Space T
- Page 58 and 59:
Perrow, C. (1986). Complex organiza
- Page 60 and 61:
APPENDICESAppendix 1 - Guidelines f
- Page 62 and 63:
14. In managing automated cockpits,
- Page 64 and 65:
APPENDIX 3 - QUESTIONS ASKED OF FLI
- Page 66 and 67:
APPENDIX 5 - QUESTIONS ASKED DURING
- Page 68 and 69:
8. Change in operational environmen