Philosophy and Policies of

Automation:

An Operational Perspective

FO Helena Reidemar

(Director of Human Factors – ALPA)

► The main values, vision, and goals Founders (Eddie Rickenbacker’s, Wolman)

Culture, modus operandi, business focus

► A sophisticated, takes you one level higher,

direction and approach to get there

Collaborative automation

Team-oriented approach to automation

► Means, or the conceptual engine, for

propelling you there Implications across org., funding, rules, etc.

Philosophy

► Deconstruction and direction of how to

implement the philosophy for specific

situations and aspects of the operation Automation, procedures design, checklist usage,

emergency procedures, and every aspect of the

operation in and out of the flight deck

► The essence of the operation, focus areas,

and a general approach

► Setting of priorities

► How to operationalize priorities What is to be maximized, what is to be minimized

Policies

► Jurisprudence

Used by traffic court when there are no laws or

legal precedence 1. Minimize the impact on the flow of traffic and the

operational environment stay at home …

be very sensitive to the traffic, understand it, and don’t

take action that will agitate it

2. Maximize the courtesy to other drivers and the

environment but not at the expense of rule #1

► Setting of priorities

► How to operationalize priorities

What is to be maximized, what is to be minimized

Example of Policies: Traffic Laws

► Objective: to provides general principles for human-

automation interaction in the cockpit and all other

aspects of operation

► The operator (pilot) must be knowledgeable,

considerate, and highly sensitive to the abilities and

limitations of the automation Team-oriented approach

► Minimize the impact on the flow of traffic (ATC, ground

control, terminal area) while using manual, semi-, or fully-automatic modes of operation

► Maximize the smoothness and elegance of the human

automation interaction, mode switches, and inter-crew

interaction

Elements of an Automation Policy

► A prescribed method for executing a task.

► Procedures don’t come from thin air.

► They correspond to policies and the overarching philosophy,

thus achieving internal coherency.

► Procedures define: 1. What is the task

2. When and where is the task conducted (time, in response to an

event or necessitating conditions)

3. By whom it is conducted (and which other personal is needed)

4. The mechanics of carrying out the task (actions, sequences,

callouts)

5. What information is used to perform the procedural tasks?

6. What feedback is provided (to other crew members, e.g.) about

task (its action, sequences, start and completion)

7. How does it relate to other procedures and tasks (e.g.,

branching)

Procedures

Philosophy

Policies

Procedures

The 4 P’s Framework

Philosophy

Policy A, Policy B

Procedure 1, Procedure 2, Proc. 3

The 4 P’s Framework

Practices

Philosophy

Policies

Procedures

The 4 P’s Framework

Practices

► The term “practice” encompasses every activity

conducted on the flight deck

► While a procedure may be mandatory, it is the

pilot who will either conform to it or deviate

► Ideally, procedures and practices should be the

same

► The high prevalence of the “pilot deviation from

SOP” classification in ASRS reports indicates that

no one should assume that pilots will follow

procedures dictated by their company

Practices

Philosophy

Policies

Procedures

Practices

Philosophy

Policies

Procedures

Practices

Philosophy

Policies

Procedures

Practices

Philosophy

Policies

Procedures

Practices

►Flaps configuration change during

takeoff roll

►Getting too caught up in the FMC and

not flying the aircraft and results in

undesired aircraft state.

►Out of trim problem due to icing not

recognized.

Philosophy

Policies (automation, emergencies, abnormal,

normal, captain authority, PF/PM, etc.)

Procedures (checklist, approach, takeoffs, volcanic ash, etc.)

Scientific

principles

feedback

The 4 P’s Framework: Ideal

Practices (actual behavior during line operations)

Practices (actual behavior during line operations)

Practices Practices

Feedback

Procedures

Scientific

principle

s

The 4 P’s Framework: Real

►With respect to automation…

Consider the manufacturers polices and

philosophies of automation

Clarify and articulate a philosophy of

operation

► Airline A, B, C

Begin articulating a policy of automation

► Airline policy of automation

What can we do?

Automation Philosophies (Abbott, 2001)

Within the normal

flight envelope, the

automation must not

work against

operator inputs,

except when

absolutely necessary

for safety.

The pilot is the final

authority for the

operation of the

airplane.

Apply automation as

a tool to aid, not

replace, the pilot.

Airbus Boeing

► Automation must not reduce overall

aircraft reliability, it should enhance

aircraft and systems safety, efficiency,

and economy

► Automation must not lead the aircraft

out of the safe flight envelope and it

should maintain the aircraft within the

normal flight envelope

► Automation should allow the operator

to use the safe flight envelope to its

full extent, should this be necessary

due to extraordinary circumstances

► Within the normal flight envelope, the

automation must not work against

operator inputs, except when

absolutely necessary for safety

► Flight crew tasks, in order of

priority, are safety, passenger

comfort, and efficiency

► The pilot is the final authority for

the operation of the airplane

► Apply automation as a tool to aid,

not replace, the pilot

► Use new technologies and

functional capabilities only when:

They result in clear and

distinct operational or

efficiency advantages, and

there is no adverse effect to

the human-machine interface

Automation Philosophies At the Manufacturers (Abbott, 2001)

Airbus Boeing

► The manufacturers’ automation philosophy is about

design. Says nothing about operations and provide

little guidance for training, procedures, division of

labor, workload in the terminal area, etc.

► The problem is compounded by the fact that many

airlines operate both Airbus and Boeing aircraft.

► That’s exactly why a philosophy and policy of

automation is imperative.

► It helps in creating more coherent procedures,

proper guidance, and also helps pilot to deal with

automated-related situation where there is no SOP.

Do you see the problem?

► Philosophy Culture: Texan. Unique approach to doing business.

May be considered Cowboy mentality. Takes care of his

own. Short haul, good weather.

► Procedures and usage of automation

guidance No VNAV, No LNAV

Steam gauge displays despite new aircraft

► Policy (inferred) No need for automation. Metal covers over VNAV

button. No training for automation. Pilots discouraged

from using automation.

Airline A

► Philosophy (same) Culture: Texan. Unique approach to doing business.

May be considered Cowboy mentality. Takes care of

his own. Short haul, good weather.

► Procedures and usage of automation

guidance Signed up to be the first airline to use RNAV

need to train for automation, yet have little

experience with it

► Policy (inferred) Complete revamp of policy!!!

Airline A

► Philosophy Culture: Nordic/Germanic. Everything is pre-thought

and evaluated. Flat hierarchy gradient between F/O

and captains. Air Force mentality.

► Procedures and usage of automation

guidance “Open Descent” restricted below 1000 feet (A-330)

► Policy elements (inferred) Very narrow interpretation for pilots while using

automation

Airline B

► Philosophy (inferred) Culture: ”wide road,” Pilot in command is supreme

commander. Navy mentality

► Procedures and usage of automation

guidance “Open Descent” restricted below 500 feet (A-330)

► Policy elements (inferred) Broad for pilots while using automation

Airline C

► Objective: to provides general principles for human-

automation interaction in the cockpit and all other

aspects of operation ► The operator (pilot) must be knowledgeable, considerate,

and highly sensitive to the abilities and limitations of the

automation A team-oriented approach (human and machine are sensitive to

one another) vs. supervisory control (slave-master) or even

human-centered (machine sensitive to human)

► Minimize the impact on the flow of traffic (ATC, ground

control, terminal area) While using manual, semi-, or fully-automatic modes of operation

► Maximize the smoothness and elegance of the human

automation interaction, mode switches, and inter-crew

interaction

Elements of Style for designing an Automation Policy

The word “Automation,” where it appears in this statement, shall mean the

replacement of human function, either manual or cognitive, with a machine function.

This definition applies to all levels of automation in all airplanes flown by this airline.

The purpose of automation is to aid the pilot in doing his or her job. The pilot is the

most complex, capable and flexible component of the air transport system, and as

such is best suited to determine the optimal use of resources in any given situation.

Pilots must be proficient in operating their airplanes in all levels of automation. They

must be knowledgeable in the selection of the appropriate degree of automation,

and must have the skills needed to move from one level of automation to another.

Automation should be used at the level most appropriate to enhance the priorities of

Safety, Passenger Comfort, Public Relations, Schedule, and Economy, as stated in the

Flight Operations Policy Manual. In order to achieve the above priorities, all Delta Air

Lines training programs, training devices, procedures, checklists, aircraft and

equipment acquisitions, manuals, quality control programs, standardization,

supporting documents, and the day-to-day operations of Delta aircraft shall be in

accordance with this statement.

Delta Automation Statement (Wiener et al. 1991 )

Loukopoulos, Dismukes, Barshi - NASA