Towards Command PDF

The 2 Rules Of
Commercial Aviation
Rule 1: The Captain is ALWAYS right!
Rule 2: See Rule 1.
Sign po sted on an Airline’ s Notice Boar d
CATHAY PACIFIC Page 2 T o w a r d s C o m m a n d (Version 1.1)

Towards Command
Cathay Pacific Airways
Flight Operations Department
Towards Command is produced by Cathay Pacific Airways – Flight Operations
Department (FOPS), for the purpose of providing guidance and suggested study for
Cathay Pacific candidates who are currently completing, or who have been assessed as
suitable to undertake, a Command Training Course. It may also be used as a study guide
for Officers who have not yet been assessed to begin their preparation for future
Command.
Towards Command has been developed and designed to be read in conjunction with
the Command Course – Flying Phase Course Book, also produced by FOPS.
Any information contained within Towards Command is for information and guidance
only and does not supersede Cathay Pacific Airways’ official operational Manuals,
Publications, Policy or Procedures.
Manager Flying Training (MFT) is Owner and General Manager Flying (GMF) is
Approver of Towards Command.
To report errors or to suggest improvements or amendments or to provide feedback,
contact the Towards Command Editor, by GroupWise or by email
towardscommand@cathaypacific.com.
This version of Towards Command is Version 1.1, published on 20 June 2009.
Copyright © 2009 and Database Rights 2009 by Cathay Pacific Airways. All photographs and images are
copyright of Grant Frost unless otherwise indicated (see the Photo Credits).
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or
transmitted in any form or by any means electronic, mechanical, photocopying, recording or otherwise, without
the prior written permission of Cathay Pacific Airways.

Aviate,
Navigate,
Communicate,
Manage.
It h as al w ays b een s o...
more so as a C apt ain .
And don’t forget it!

Conten ts
Preface ............................................................................................................................. 3
Contents ........................................................................................................................... 5
Acknowledgements .......................................................................................................... 7
Foreword – DFO .............................................................................................................. 9
Foreword – GMF ............................................................................................................ 10
Introduction............................................................................................................ 11
How To Use Towards Command ................................................................................... 15
A Captain’s Job – What Is Required? .............................................................................. 19
The Differences Between Captain and First Officer ........................................................ 21
Command Skills (Core Competencies).......................................................... 25

Leadership and Teamwork (includes Assertiveness) ........................................................ 29
Communication.............................................................................................................. 43
Problem Solving and Decision Making (includes Risk Management) ............................... 53
Task and Workload Management ................................................................................... 79
Situational Awareness (includes Monitoring) ................................................................... 87
Threat and Error Management ...................................................................................... 103
Recovery From Unplanned Events and Outcomes ........................................................ 115
Intervention .................................................................................................................. 123
Knowledge Based Skills .................................................................................... 129

Aircraft Maintenance Logbook (AML) ........................................................................... 133
To Be Issued Later
Dispatch Deviation Guide (DDG/MEL) ......................................................................... 139
Failures After Pushback................................................................................................. 153
AOG/Extensive Delays At Outports ............................................................................... 157
Flight Time Limitations (FTLs) ....................................................................................... 163
Fuel Policy.................................................................................................................... 173
General Command Requirements ................................................................ 183

Command Course Overview ........................................................................................ 185
Command Preparation ................................................................................................. 189
Stress and Your Command Course................................................................................ 197
The Command Jigsaw Puzzle – Putting It All Together .................................................. 205
Abbreviations ............................................................................................................... 211
Further Resources And Study Material .......................................................................... 212
Photo Credits................................................................................................................ 213
Changes And Amendments .......................................................................................... 215

You reach the finish line one step at a time,
o ne da y at a time, and with the
understanding that it will take many steps
and many days to ensure you get there first.
You achieve your goal one step at a time,

focused and diligent, always moving forward.
(Muhammad Ali)

Acknowledgements
Towards Command is the culmination of team work and collaboration between a
great many individuals and Departments within Cathay Pacific.
The majority of the text was originally written for Airline Command, a blog conceived
and developed by the Editor, and subsequently adapted and modified to become the
core elements of Towards Command.
Thanks go to the various people who wrote specialist topics or were involved with the
initiation, nurturing, production and eventual publication;
Dr. Michele Liew (Aviation Medical Officer) for her formulation of the Stress &
Command Course Chapter.
Barry Ronald (Human Factors Manager) for aid, guidance and assistance with the
Chapters on Threat and Error Management and Situational Awareness.
Captain Henry Craig (General Manager Flying) and Captain Alan Wilson (Manager
Flying Training) for overall guidance and an insight into how Command Training is
structured in Cathay Pacific.
Captain Graham Forbes for his resolute perseverance to get the Command Course –
Flying Phase Course Book out on the street. It provides the skeleton for the “meat”
of Towards Command.
Captain Darryl Hill (the “Ghost Whisperer”) for help in crafting the section on
Command LOFTs and scenarios generally.
Tim Frost (Senior Vice-Presidential Co-Junior Designer (Graphics)) for assistance and
support in designing and devising the graphical layout of Towards Command.
Captain Neil Phillips (Manager Line Operations), Captain Bill Seymour (Deputy
Manager Line Operations) and Gary Greenfield (Manager IOC) for an “operational”
perspective to much of the subject material, especially the Fuel Policy, FTL, AML
and DDG Chapters.
Ian Cusack, Ed Yacyshyn and Brett Mumford (B777, B744 and Airbus Fleet
Technical Managers respectively) and Tony Britten (Engineering Operations Support
Manager) for their assistance in the preparation of the AML and DDG Chapters.
Peter Simpson (Manager Flight Safety – CSD) for advice and direction with the
Chapter on Problem Solving and Decision Making.
Senior First Officers Albert Wong, Darren McPherson and Tin Yun Lam and Captains
Jonathon Keefe, Dennis Poon and Jason Worrell who reviewed and gave often
pointed feedback about the initial drafts of various Chapters from the “sharp-end” –
as potential or new Cathay Pacific Captains.
All the First Officers, Captains, Training Captains and Managers, too numerous to
individually mention, that I cornered and pestered relentlessly and who acted
selflessly to refine and develop ideas for the drafts of this publication. They
provided a much needed lens to focus the material on really pertinent Command
topics and picked up many errors in the first drafts. You know who you are – pat
yourself on the back for a job well done.
Captain Mark Hoey for a “trial by fire” initiation to the mysteries of the DDIS
document system.
Captain Peter Clemmow (Deputy Flying Training Manager B777) for being my
Management “minder” and source of help and assistance throughout the entire
production of Towards Command.
And finally, Captain Nick Martin (former Airbus Fleet Manager) for encouragement,
support and inspiration, who listened to feedback, had the vision and thought a
revamped Command publication would be a good idea. Nick initiated and started
this whole thing rolling. It’s all his fault – really.
Captain Jack Frost – Towards Command Editor 20 June 2009.

You star t with a bag full of luck an d an
empty bag of exper ience.
Th e trick is to fill th e bag o f experience

before you empty the bag o f luck.

Foreword
Director Flight Operations (DFO)
Nick Rhodes
If you are reading Towards Command, it probably means that a Command Course
with Cathay Pacific is on the horizon. It also probably means that you are far too young
to remember Hong Kong in the 1970’s and early ‘80s. In those days, Hong Kong was a
manufacturing centre for cheap plastic toys and anything that was “Made in Hong Kong”
became synonymous with poor quality.
It was against this background that Cathay Pacific was expanding its’ network within
Asia and beyond, and it was essential for an airline, “Made in Hong Kong,” to establish a
reputation of the highest quality. The strategy of the day, for the Flight Operations
Department, was to entice the most experienced pilots in the world to come to Hong
Kong and to develop the Cathay Pacific standards we know today.
It was these pilots who designed the infamous Cathay Command Course – the early
Command Course consisted of 90+ sectors and it became an endurance test as much as
anything else. The Command Course has evolved over the years (thankfully becoming a
lot shorter) but the exacting standards have remained. If anything, the Command “check-
list” has become longer. In addition to the necessary handling skills, Command presence
and decision making, a greater emphasis has been placed on the softer skills of teamwork,
CRM and communication.
I make no apology for the rigorous challenge of a Cathay Pacific Command Course. It
is essential to maintain the standard that has been built up over so many years. If nothing
else, it makes it all the more rewarding when you do get through!
And you will – if you do the preparation. If you have been assessed as suitable by the
Command Selection Panel then you already have the necessary handling skills. The rest
is up to you. Preparation breeds confidence and with confidence comes Command
presence and sound decision making.
The only piece of advice from me, which is easy to say as a non-pilot, is – don’t get
too stressed! This is the opportunity that you have been waiting for. Seize the moment
and enjoy the experience!

Foreword
General Manager Flying (GMF)
Captain Henry Craig
Every pilot in an airline aspires to be a Captain. It’s the goal; the “prize” that we all
aim for. While there are career steps both before and after Command, no single step in a
pilot’s career is as significant as this one. The first time we step out as the Commander of
a wide-body aircraft in Cathay Pacific colours, is rightfully a proud moment – pride in
what we’ve achieved, pride in the job we do and pride in the Company we work for.
This Command “booklet” is a window into what we expect of our Captains. It talks
about Core Competencies that are the hallmark of a good aircraft Commander. Of
course these skills are acquired over a career and cannot all be attained during a
Command Course. Very early in our careers as professional pilots, we should be setting
our sights on achieving the technical and non-technical skills required to make a Captain.
By producing these notes and writing about these skills, we want to give every pilot a
chance to see what is required, and to recognize that there is lot more to being a Captain
than just sitting in the left hand seat!
Hopefully Towards Command will prove beneficial to every pilot in the Company.
While it is primarily written for those who will soon embark on a Command Course, it
should also have ample food for thought for all our pilots; for those who are new to
Cathay Pacific, as well as those who are much further along their career paths.
As you read through this information, we hope that we will have removed the mystery
of Command, while at the same time, offering insights into what it takes to be in charge
of an aircraft in the Cathay Pacific fleet.

Introduction
Welcome to Command in Cathay Pacific.
Towards Command is aimed at the prospective First Officer who will soon start a
Command Course.
This is the culmination of many years of “apprenticeship” in your entire aviation
career. It has taken you a number of years to arrive at this destination and Towards
Command is intended to assist you in preparing and studying for your Command Course
journey.
While First Officers approaching
Command are the primary group of
individuals targeted by this book, current
Commanders can also use the guiding
principles to refine and improve their
existing Command skills.
Other airline crew members (Second
Officers and First Officers who do not have
an upcoming upgrade) will also benefit
from assimilating the knowledge and
beginning to apply the skills in their normal
Line Flights. Many of the Core Command
Competencies are applicable for Junior
First Officer and Relief Commander
upgrades. Future Commanders can then
observe how their current Captain leads,
manages, organises and flies Line Flights –
they are then free to choose the best of traits and discard the worst, which they can then
start to meld into their own unique style of Command.
Developing your Command qualities and skills should have happened well before you
are required to use them. An ineffective Commander can at best barely handle a major
disruption and at worst can turn it into a disaster; for himself, his crew, his passengers and
the Company.
Your Command Course, while not implicitly teaching Command skills, will focus
heavily on those skills displayed by you as the Captain-under-training. You can be sure
that even if you can fly and operate the aircraft to a high standard but cannot effectively
lead a crew and passengers and manage the aircraft operation that you will struggle with
any Command Course. This is one of the most common causes of candidates who
experience difficulties during their Command upgrades; lack of Command skills.
Towards Command will assist you to develop your Command Skills.
You either will be, or have been assessed, as suitable to undertake a Command
Course. Part of that selection process is a review of your Aircraft Handling skills
(RT/PC/Command Skills Training simulator sessions/PCA/CALC etc.) and a prerequisite to
be suitable is a sound standard of Aircraft Handling skills. Be under no illusions; to be a
good Captain you need to possess good Aircraft Handling skills. This is taken for granted
and Aircraft Handling is assessed but not formally taught on the Command Course.
Therefore Aircraft Handling, while essential and important, is not discussed in depth by
Towards Command.
You will be issued a Command Course – Flying Phase Course Book for the particular
aircraft type that you will undertake your Command Course on that details the essential
required skills and knowledge that Cathay Pacific expects of their Captains and explains
the format and structure of the Command Course. Towards Command is a
complementary book that amplifies and explains all of the Command Skills and
Command Knowledge subjects that are detailed in the Command Course – Flying Phase
Course Book and gives some guidance on how to approach your Command Course and

should be read in conjunction with it. Therefore, Towards Command can be used as a
“Study Guide” during your Command preparation.
While Towards Command does not guarantee that you will automatically become an
effective Commander by reading it, it does have the essential building blocks and
examines the essential Command Skills which, if diligently applied, will certainly increase
the probability that you will become an effective Commander and pass the Course.
These building blocks of Command characteristics, skills and traits need to be honed,
practised and developed as a First Officer prior to Command upgrade Training. Only
then will you have developed your effective and unique Command style to bring into the
Command upgrade process.
You may have heard that a Command Course in Cathay Pacific is tough work – well it
is! Nothing that is worthwhile is easy. You, however, are a dedicated, motivated
professional aviator (otherwise you would not have this Command opportunity) and it is
crucial that you adequately prepare for the Command Course.
Preparation is the “price of admission” to your Command Course.
FOPS makes no apologies for the Command Course being perceived as ”tough”.
Cathay Pacific Captains were consistently rated as above average Commanders and
Leaders in both LOSA audits conducted in 2001 and 2005. We are proud of this above
average level and do not intend to change this high Command and Leadership standard.
While the Command Course is hard work at times, if you approach it with a positive
attitude, come confidently into the Course adequately prepared and sensibly absorb the
knowledge, suggestions and opinions that will be presented to you, it can actually be
enjoyable – despite what you may have heard!
Ensure that you spend your “apprenticeship” as a First Officer wisely and begin your
Command preparation earlier rather than later. Leaving your preparation until just before
the Command Course starts is too late, guarantees extra pressure and stress and usually
results in sub-standard Command results.
The Command Course is primarily Self Directed Learning (self education and self
study) and you are expected to devote a considerable amount of time in your
preparation. Nobody will remind or force you to do this study and preparation – it’s
entirely up to you. You will get out of the Course what you put into it.

You have had to endure a lengthy selection process to qualify for a Command Course.
The very fact that you have been assessed as suitable for a Command Course means that
everyone involved with your training, from the DFO and Flight Operations Management
team down, EXPECTS that you will be successful.
If you start a Command Course it is in everybody’s interest (yours, your Trainers, the
Fleet and Training management team...everybody) that you pass. It costs time, money,
resources, reams of paperwork and personnel to fail someone on a Command Course. As
far as the bean-counters are concerned, failing is a poor business option.
Everyone wants and expects you to pass your Command Course.
If you experience any problems professionally or personally during your Command
Course that are, or you think will, adversely affect your performance while on the Course,
then seek assistance; and be proactive about it – do it earlier rather than later. Utilise
your peers and the Managers, both Fleet and/or Training, for their expertise and
guidance. Remember that the Training Management team are there to help you.
Towards Command is available to view online as a PDF document (and later as a
DDIS document) on IntraCX and to download as a PDF document. It can then be
printed if you prefer a hard copy.
It is intended that this will be a “living” document and for that to occur requires your
suggestions and input. The Towards Command Editor, FOPS Management and Training
Captains welcome any comments or criticism (both good and bad) to improve Towards
Command for its’ target audience – future Cathay Captains.
Send feedback via GroupWise or email to: towardscommand@cathaypacific.com.
The DDIS and PDF version will be updated and improved with your valuable feedback.
So, work hard, be the best Captain that you can be, have a positive attitude and
attack the Command Course with confidence, enthusiasm and passion.
Remember – when you pass your Command Course you get to fly with the best
Captain in Cathay Pacific everyday!
NOTES:
Throughout Towards Command the terms Commander and Captain are used
interchangeably – they mean the same thing.
Masculine terms in this book, such as He, Him or His also imply the female gender.
This book is intended as a guide to individuals developing Command characteristics,
skills and traits. Relevant procedures contained in Company Operations Manuals and
Documentation and Statutory and Legal requirements have precedence over material in
this book.

How T o Use Tow ards Command
This section contains some guidelines and tips on how to best use Towards Command
during your Command preparation.
Command Course – Flying Phase Course Book

Towards Command has been designed to be complimentary to the syllabus subject
matter in your Command Course – Flying Phase Course Book for the Basic, Intermediate
and Advanced Phases of the Course. Therefore, Towards Command can be used as a
“Study Guide” for you to study, examine and incorporate Command skills and traits into
your unique way of doing “Command business”.
This Command study should be well and truly established, if not fully completed, by
the time you actually commence your Command Course. You should be integrating the
Command Skills (Core Competencies) and Knowledge Based Skills into your day-to-day
Line operations as a First Officer so that you can practise, hone and develop those skills.
By doing so, when you actually undertake your Command Course, you bring into the
Course, mature, well practised and individualised Command skills. Your Command and
Leadership style will then be well developed and should only require minor refinement
and polish when you are actually acting as the Captain during your Line Flying Under
Supervision (LFUS) flights.
General Layout Of Towards Command

Towards Command is structured into four main sections, which you can see from the
layout of the Contents page;
Main Sections Of Towards Command

General Preamb le And Introduction
This “sets the scene” and the tone for the remainder of Towards Command.
Command Skills ( Core Competencies)

The Command Skills (Core Competencies) syllabus items contained within the
Basic Phase are detailed and amplified. This is the “meat” of your Command
Course.
Contained within this section in Towards Command is the additional
Advanced Phase skill of Intervention, which is included here for
completeness.
Knowledge Base d Skills

In this section are details and amplification of the Knowledge Based syllabus
items contained within the Basic Phase. These skills are also an essential
requirement of the Command Course.
General C ommand Re quirements

This last section discusses general Command principles and discusses
additional subjects that are not part of the formal Command Course but
which are “nice to know” and may assist you in gaining a deeper
understanding of the requirements and aspects of your Command Course.
A list of Abbreviations is included at the conclusion for reference and
convenience.

Hard Copy Printing
While Towards Command can be read on your computer directly from IntraCX as a
PDF document or saved electronically as a PDF document and later read on-screen,
many may prefer to print out a hard copy.
Towards Command has been designed and formatted to enable double-sided
printing. That’s why there are many “quotations” pages. Each new Section or Chapter
has been formatted to begin on an odd-numbered page. This is so that the printed hard
copy is laid out correctly when the pages of Towards Command are bound or placed in a
ring binder.
So if you are going to print out a hard copy, find a printer that is capable of printing
on both sides of the page and help save the planet.
Version Number
Towards Command will be regularly updated and amended in response to your
feedback.
The most up to date version will be available for reading on-line and downloading on
IntraCX. The Version Number is included in the footer of each page. The date of
publication of that particular Version can be found on the Preface page.
Chapter Resources
Some of the Chapters have a Resources section at the end of them.
In here you will find additional related material to amplify the contents of that
particular Chapter. The information may come from Cathay Pacific publications (e.g. Kai
Talk, Crew News), from IntraCX (Best Practices, Fleet specific articles), other Cathay
Pacific areas of expertise (e.g. Corporate Safety Department, FOPS Resource Library) or
from the Internet (e.g. PDF or Word documents available for download or web articles).
If you are reading Towards Command on a computer screen either directly from
IntraCX or after having saved it, you will be able to directly link to the web-based articles
contained within the Chapter Resources section if you have an internet connection by
clicking on the link. If you are reading this from a hard copy printed version the full link
address is included in all versions so that you can manually access the web-based
resources on the internet at a later time if required.
While these additional resources are not included in the formal Command Course, by
studying these articles will give you a deeper understanding of the particular Chapter and
will result in you being a better Commander.
Towards Command Feedback Hyperlinks

Numerous email hyperlinks are included throughout Towards Command to allow you
to provide feedback to the Towards Command editor.
If you are reading this on-line, just place your mouse over the hyperlink to read a brief
message and then just click on the email address hyperlink
(towardscommand@cathaypacific.com) and your default Email program will
automatically open. You then just type in your comments and send it.
Scenario Based Learning

Much of the information contained within Towards Command tells you HOW to do
the job of Command. To give you some guidance and to demonstrate WHAT to do, at
the end of some Chapters will be Scenario Based Learning examples.
These are only examples, they are generic and not Fleet specific (they focus on the
broad overall issues of Command and Leadership) and there are many ways to
successfully accomplish them. They are provided as “food for thought” and for you to
start to develop your aviation thinking into that of a Captain and a Leader.

Try to think through these scenarios to their logical, practical and ultimate conclusion.
For example, if you decide to return to the bay after getting a malfunction or problem
after pushback, don’t just think “I’ll return to the bay”. Develop the scenario and think
about what you need to do to get back to the bay; what ATC considerations are there,
can you taxi back into the bay you have just pushed back from or do you need to obtain
a new bay, will you have to be towed back into the bay and how will you attract the
ground crew’s attention and accomplish this, what checklists will be required, who do
you have to communicate with (ISM, passengers via a PA, IOC, Engineering), will Flight
Time Limitations be a problem, do you need to swap aircraft, and so on.
In addition to these “canned” scenarios, try this Scenario Based Learning on real
incidents that you or other crew members have experienced, incidents from Kai Talk or
defects that have been written up in the Aircraft Maintenance Logbook. Discuss these
scenarios with your current Line Captain when you have adequate time and are in a low
workload phase of flight. Learn from the Captains you fly with and seek out how they
would handle the situation – you can then either incorporate this new knowledge into
your Command skills if you determine if it is good or reject it if you decide it is poor.
Suggestions For Scenarios In Towards Command

These Scenario Based Learning situations are in an early stage of development with
the first versions of Towards Command and will need to be further developed in the
future.
If you encounter a real-life situation that you think was a good Command learning
situation or provided you with valuable Command lessons, don’t just keep it to yourself.
Give all the other potential Commanders the benefits from your hard won experience
and send in the situation as feedback to the Towards Command Editor.
Send feedback via GroupWise or email to: towardscommand@cathaypacific.com.
Your experiences do make a difference.
Your Current First Officer Operation

Start to gradually incorporate the lessons you learn when studying Towards Command
into your current day-to-day operation as a Line First Officer. Begin to try new and
improved ways to be a better aviator from what you learn from Towards Command.
Initiate Self Directed Learning in how to be an effective Commander while you are
serving your “Command Apprenticeship” as a First Officer.
Take the attitude that you will learn at least one new Command thing on each flight
you do. Even if you are stuck in the Long Haul Relief Commander rut, you can learn
Command lessons by paying attention to how your current Captain conducts the flight
and projects himself and his Command Presence.
Think Like A Captain

One of the main themes of Towards Command is to get you to adjust your way of
thinking from that of a First Officer to that of a Captain.
When you use Towards Command for your study, particularly when you do Scenario
Based Learning, visualise yourself in the Left Hand Seat and conduct the scenario as if
you were the actual Captain.
Don’t think “What do they want me to do?”; think “What will I do as the Captain?”
Adjust your way of thinking to choose what is acceptable and reasonable to YOU and
how and what YOU would do for real if you were the Captain.
Start to improve and develop your Command skills. Think like a Captain.

The most important airspace is the six inches
between your ears.

A Captain’s Job – What Is Required?
A Captain (the Leader):

Has to be able to mould and lead a team from a disparate group of individuals (most of whom he may
never have met before) in a few minutes, so that they can transport up to several hundred paying
passengers in an unstable, fragile and very dynamic, high speed "office", costing hundreds of millions of
dollars, which is cramped and noisy, and in which there is frequent distraction, across time zones,
countries and continents, in a hostile environment, utilising a multitude of other people and teams, often
communicating in their second language, over which he has little or no control and will never meet, all the
while continually making decisions with little or no recourse to validate if they are correct or not (and these
decisions are sometimes split-second decisions that involve significant risk to all the lives on board the
mobile, multi-million dollar "office") and at all times applying sound and practical airmanship with a high
standard of CRM to conduct the entire flight skilfully in a safe, legal and efficient way.
Another description might be:

A balanced person, with strong communication skills, health, experience, discipline, diplomacy, and
humility (when appropriate). A person who uses their knowledge, experience, judgement and skill
confidently, who is prepared to consider other views and who is capable of Leading people, making timely,
considered and correct decisions (usually with incomplete information, with time constraints and under
some form of stress) and managing time, resources and risk effectively. After this, they must act carefully,
correctly and decisively.
At times the Captain is the final and sole authority of what occurs on his flight and is ultimately
responsible for himself, his crew, his passengers, the cargo and the aircraft. He has powerful legal powers.
Only suitable applicants need apply.

Do you fit the description?
Some succeed because they are destined to,
but most succeed because they ar e
determined to.
Desire is the key to motivation, but it is

determination and commitment to an
unrelenting pursuit of your goal – a
commitment to excellence – that will enable
you to attain the success that you seek.
(Mario Andretti)

The Di fferences Between Capta in And F/O
What are differences between being THE Captain and being A First Officer?
You need to be absolutely clear on the very different requirements between the two
roles prior to commencing your Command Course.
There is a definite difference between being THE Captain and being A First Officer.
Commander’s Authority and Responsibilities

Perhaps the best place to start to comprehend the major differences between the roles
of Captain and that of a First Officer is in Volume 1 – specifically Part 2 Operations,
Authority and Responsibilities of the Commander.
While there are quite a few paragraphs detailing the Commander’s Authority and
Responsibilities (and you should be extremely familiar with then all), the first three are
possibly the most important and highlight the Leadership and management roles of
Command that you will shortly be taking on:
The Commander is responsible for:
A. The safety of the Passengers, Crew Members, Cargo, and Mail on-board the
aircraft when the Doors are closed.
B. The operation and safety of the aircraft from the moment the aircraft is ready to
move for the purpose of Taking-off, until the moment it finally comes to rest at the
end of the flight and the Engines are shutdown.
C. Full control and authority in the operation of the aircraft, without limitation,
over other Crew members in the performance of their duties from doors closed, or
engine start, whichever occurs first, until any external door is opened on arrival
and all engines are shut down. (Volume 1)
At times the Captain is the final and sole authority of what occurs on his flight and is
ultimately responsible for himself, his crew, his passengers, the cargo and the aircraft. He
also has powerful legal powers.
While undertaking your Command Course, in the Conversion, Basic and Intermediate
Phases, you will be sitting in the Left Hand Seat role-playing as the Commander and you
will assume these authorities and responsibilities. After successfully completing your
Intermediate Command Check (“3 Bar”) you will then legally be the Commander for the

remainder of your flights in the Advanced Phase and the role-playing has finished –
Command reality begins.
Leadership
One the major differences that you will be required to display as a Commander is
Leadership qualities.
At times as a First or Second Officer you may have had the opportunity to display
Situational Leadership – where you take the lead in certain circumstances because of
your greater experience or better knowledge in that particular situation. However, as the
Captain you will now be expected to display Leadership at all times.
You will be the Leader of a “team”. That team may consist of not only your
immediate followers; First Officer(s), Second Officers, ISM, Cabin Crew and passengers,
but also ATC, IOC, Engineering, Mechanics, Security, Fleet Office personnel, Traffic and
Cargo Loading Staff, Ground Handling Personnel, Dispatchers etc. These are members of
your “extended team” and you will at times be required to Lead them to achieve your
Command safety, flight, legal and commercial goals.
You will be required to include, consider and build your various team members into a
cohesive and effective group.
You are expected to Lead and act as the Captain from your very first simulator session.
Leadership becomes increasingly more important the further you progress in your
Command Course. Very little Leadership is required in the Conversion Phase. In the
Basic Phase your initial Leadership skills, traits, style and qualities will be refined,
polished, added to and improved upon. When you progress to the Intermediate Phase
you will be exposed to the “loneliness of Command”. In this Phase you will be expected
to Lead your team (both immediate and extended) with almost no help from your
Trainer. You will have to make hard decisions, by yourself, and have to live with the
consequences (both good and bad) of those decisions and outcomes. In the Advanced
Phase you will require well developed Leadership qualities for real as you will now be
operating as the legal Captain with real Line First Officers.
Good Leaders make good Captains.
This important and absolutely essential Command Core Competency of Leadership is
expanded further in its’ own Chapter in Towards Command.
Management
Another of the key differences that will now be required to fulfil in your new role of
Captain is to manage your flight(s).
You will need to think and act strategically, globally, broadly and take into account the
“Big Picture”. You need to consider the past, act in the present and, most importantly,
plan for the future. You will have to be proactive and control events, rather than be
reactive and be driven by them. You will be required to “run the show”; and run it
YOUR way – to achieve YOUR aims, desires, outcomes and goals.
You need to take into account the safety, legal and commercial considerations for
your flight. You will possibly need to project ahead and consider the next flight(s) that
you may not even be involved with (e.g. a significant delay may affect FTLs, passenger
handling or service recovery at the destination, or may impact on the next crew or aircraft
utilisation during an integrated pattern or an inflight aircraft defect may require an aircraft
change or rectification for the aircrafts’ next sector). In conjunction with IOC and
Engineering you may have to “manage” your crews’, another crews’ or your aircrafts’
current or future utilisation.
As the Captain you will have considerable authority and powers and people in your
extended team will take notice of your opinion, requirements and (if necessary) orders.
Often they will look to you to solve their problem ("What do you want to do Captain?")
and they will want a piece of your time. You will be required to manage not only your

workload, but your teams’ workload, prioritise tasks and if necessary delegate duties.
Time management as the Captain becomes an indispensible essential skill.
And you have to do all of these “extra” Command essentials at the same time as your
PF/PM Normal Procedures that you did previously as a First Officer.
Be The Captain
Some people accommodate the role change from First Officer to Captain with ease.
Others do not.
One of the common areas that Command Trainees are often unsuccessful at (and this
in turn causes them to struggle or fail their Command Course) is: BE THE CAPTAIN.
They think like a First Officer rather than thinking like the Captain.
These Command Trainees have not adjusted their ATTITUDE and their mental MIND
SET to embrace the Captain Leadership and Management qualities, traits and
characteristics.
Sure they can fly the jet, their handling skills are usually very good, but they either
don’t or are ineffective at Leading, making decisions, thinking “Big Picture”, managing
time, people, the situation, distractions or their workload and running the show safely,
legally and efficiently. You will have to do this under some form of stress, often self-
imposed (especially when doing your Command Course) while simultaneously
accomplishing all the previous PF/PM duties that you did as a First Officer.
Moving from the Right Hand Seat to the Left Hand Seat is much more than laterally
displacing yourself physically left a couple of metres. That’s the easy part, but
paradoxically, the area that most people focus on (even if you do a type swap and
Command upgrade simultaneously). Much harder is the need to adjust and change
yourself mentally; your ATTITUDE and MIND SET.
Command does not begin when you start your first simulator session. It starts many
years or months before-hand when you make the conscious decision to BE THE
CAPTAIN and start to mentally prepare to take on your new role.
Use your “Command apprenticeship” period as a First Officer wisely.
This mental transformation is one of the main elements of Toward Command – it is a
key, essential idea. You need to start to change your mental attitude and mind set early,
and certainly prior to your Command Course. It will take many weeks or even months to
appreciably change your long ingrained “First Officer” way of thinking.
You need to alter your mental outlook and accomplish this well before you
commence your Command Upgrade training.
When the Command Course actually starts, there is no “warm-up” period – it is full-
on right from the start. On your first flight in the LHS when you commence your LFUS
Basic Phase you are expected to BE THE CAPTAIN and to THINK LIKE THE CAPTAIN.
If you don’t alter your attitude and mind set prior to the commencement of the
Command Course and think that you can do it when the Course is under way, you will
flounder and struggle.
You cannot afford to do this; the Course is intense and does not have the luxury of
letting you gradually settle in to your new, very different Command role.
Do not fall into the common Command Trainee trap of deferring to or seeking
solutions or approval from your Trainer (who is role playing as your “F/O”). By all means
seek input from your role playing “F/O” (after all that’s what CRM is all about), but
ultimately YOU are expected to BE THE CAPTAIN.
THINK LIKE THE CAPTAIN
Nobody else will or can make you change your mental outlook – only you.
Work on it right NOW!

Common Sense
Commo n sense is a vital co mpone nt
of Airma nship.
Unfortunately,
common sense isn’t always
that common.
Be comm on a nd us e sense.

Command Skills
Core Competencies
There are certain required Command Skills that you are required to perform and
display to be an effective Captain.
These seven essential Command Skills – the “Core Competencies” that are required to
be an effective Captain – have been determined by Cathay Pacific FOPS to be the
following:
Command Skills – Core Competencies

Leadership and Teamwork
Communication Skills
Prob lem Solving an d Decision Making
Task and Workload Manage ment
Situational Awareness
Threat and Error Management
Recovery Fro m Un planned Events and Outcomes
Core Competencies describe the intellectual Command Skills required to safely

operate an aircraft and form the basis of the Basic, Intermediate and Advanced Phases.
These skills apply equally to Commanders and F/Os, however your Trainer will
concentrate on their applicability to your Command task, highlighting their relevance to
the different phases of flight. For example, task and workload management are of critical
importance during the pre-departure phase of flight, whilst problem solving and decision
making assume importance during non-normal operation.
These required Command skills, traits and behaviours have been incorporated into
the Command Course – Flying Phase Course Book. You will be issued a copy of the
Command Course – Flying Phase Course Book and you will need to review its’ material
and each Core Competency’s sub-headings in conjunction with the guidance provided by
Towards Command and use both of these FOPS publications to formulate, guide and
plan your Command self-study.
The Command Course – Flying Phase Course Book provides “Guidelines For Trainers”
in all the Phases. These are worthwhile to review as it gives you an idea on what the
Trainer expects from you and the standard that is expected and an overview of how the
training may be presented (although this is entirely up to the individual Trainer).
The seven Command Skills (Core Competencies) will be taught by your Training
Captain and discussed primarily during the Basic Phase. These competencies do not lend
themselves easily to conventional instructional techniques, but do allow a complex
subject to be broken into a series of more manageable sub-topics.
You should discuss these competencies with your Trainer prior to commencing the
Basic Phase, with the aim of relating their applicability to the various phases of flight. You
need to be able to incorporate these competencies into your individual Command “way
of doing business”.
There is not enough time or sectors in the Command Course to teach you these
Command Skills from scratch or from a low knowledge base. It is therefore essential that
you prepare and study your Core Competencies prior to commencing your Command

Course and have a solid, basic understanding of them. Ideally you should be practising
them, mentally at the very least or with the concurrence and agreement with your Line
Captain, while you are a First Officer.
Once in the Basic Phase you will get the opportunity to practically refine and improve
these skills in actual real-time situations out on the Line under the guidance of your
Training Captain. If real opportunities do not present themselves during your Basic Phase
to practise each of these Command Skills, your Trainer may introduce scenarios for you
to complete to assist you in gaining a deeper understanding of the practical application of
the Skills.
By the end of the Basic Phase you will be required to have developed your Command
Skills (the Core Competencies) to the point where you are able to function as a
Commander, albeit with limited assistance if required from the Trainer. Command Skills
need not be polished, but there must be clear evidence that the Core Competencies are
understood and are embedded into your operation.
In the Intermediate and Advanced Phases you should have developed your Command
Skills to the point where you are able to function effectively as a Commander. It is
expected that at the Intermediate Command Check and at your Final Command Check
that you will have resolved previously identified Command Skills weaknesses in the
Phase(s) leading up to the Check and have displayed more refined, higher developed
Command Skills during the actual Check itself.
The Basic Phase is the foundation that much of the rest of the Course depends upon,
so it essential that you have a firm grasp of the Command Skills by the end of the Basic
Phase. Once you progress to the Intermediate Phase you will be required to use these
newly honed Command Skills with minimal or no guidance from your Trainer and in the
Advanced Phase you will be using these Command Skills with real First Officers.
You therefore should aim for continual steady improvement of your Command Skills
throughout the entire Command Course.
These Command Skills are required at all times, both as PF and as PM.
They are also required from your first meeting with the rest of the crew at Flight
Dispatch (in Hong Kong) or in the hotel lobby or aircraft (if at an Outport) until the
finalisation of all required duties after the flight. Command doesn’t start and stop at the
aircraft – it often begins long before arriving at the aircraft and ends long after you leave
the aircraft. Never forget that you are the Leader of a team and as the Leader you have
an overall responsibility and a Duty of Care towards your followers or subordinates.
Each of the FOPS derived Command Skills (Core Competencies) is expanded and
discussed in the next series of Chapters.
NOTE:
In the Advanced Phase when you will be operating with real Line F/Os, the
Leadership and team management aspect of the Command Skill Intervention may be
required. This is the only Advanced Phase syllabus item required to be discussed. While
Intervention – when and how – is not one of the Core Competencies, it is grouped in this
section with the basic Command Skills for completeness as it is an essential but more
advanced Command Skill.

The Lu mbe rjacks
A team of lumberjacks hopped in their truck and drove for miles to get to the forest
to start their work.
On arrival they got out and began busily cutting down trees in the lush forest. They
were good workers and knew what their job was, which resulted in them efficiently
cutting down many trees in a short time.
One of the loggers decided to climb a tree to get a view from the top.
Upon viewing the landscape from this higher level, he immediately realised
something was wrong and shouted down to the others, “Wrong forest! Wrong
forest!”
No one stopped cutting, but one lumberjack paused long enough to groan and yell
back, “Stop bothering us. Can’t you see we’re busy?!”
The moral of the story: Not only must you be able to see the forest
through the trees, but also to ensure that you are in the right forest!
Don’t lose sight of the Big Picture.

Leadership and Teamwork
Leadership is like gravity. You know it’s there, you know it exists, but how do you define it? (Dr. Jamie Williams)
Command Leadership
As a Command Trainee, Leadership is just one aspect of your development, admittedly a major one, that you will
have to refine, expand and grow. Leadership is essential and fundamentally integral to being a Captain. You cannot
have one without the other.
If you’ve never been in a Leadership position before it can be quite daunting to all of a sudden be the Command
Trainee who is expected to display Leadership qualities and to actually Lead your “team”. And even if you have had
previous Leadership experience, there is still plenty to learn.
Most aviators learn Leadership traits, qualities and styles from their former Captains. They learn by osmosis –
absorbing the good and bad and then hopefully blending and melding these qualities, traits and styles into their own
unique and personal brand of “Leadership Style”.
Like everything that Command entails, your style of Leadership and the techniques that you use will be very
individual. What works for one Captain may not be very effective for another. It will depend a great deal on your
personality and your previous exposure to Leaders and Leadership skills. This is one of the reasons that you must
have a fair amount of self-awareness. The more you are aware of how and why you do certain actions, reach certain
decisions or display certain behaviours, the more you can pick and chose those Leadership styles, techniques and
skills to compliment your individual personal style. This will result in you becoming a more effective Leader.
Hopefully you have been learning about Leadership during your “apprenticeship” as a First Officer and
developing your own individual Leadership style. Ensure you invest some time and effort to learn about Leadership
and do some personal Self Directed Learning in Leadership development. At the end of this Leadership chapter
there are a number of Leadership resources that you can access to self study.
Whether you like it or not, ultimately YOU are the only one (and possibly your Trainer) who will educate you on
the “Art of Leadership”.
As an aircraft Captain you will absolutely be required to perform and display Leadership skills on every single flight
that you operate. You will be the “ultimate” authority for each flight that you undertake as Captain and the one
responsible for the safe, legal and effective conduct of the flight from pre-dispatch to after blocks on.
Leadership does not begin when you sign on at Flight Dispatch and end when you block on at the end of the
day’s flying. Leadership is all encompassing and is sometimes required before you “formally” arrive for a flight (e.g.
arranging rest patterns prior to a long flight with other crew members or alerting them to any special requirements for
that flight) and often is required after you finish flying for the day (e.g. completing ASRs, CDRs, Unruly Passenger
Reports or ensuring all of your flight and cabin crew get successfully through airport formalities and to the crew hotel
after a flight).
You have a responsibility and a Duty of Care towards the followers and subordinates in your team. Do not
neglect it. An added benefit of Leading and caring for your team members is the increased respect that you will earn
and increasing the sense of “team spirit” between you and your followers.
So you’d better firmly believe that you are a Leader and begin to develop and refine your Leadership skills. Like
everything with Command all that is required to improve your Leadership skills is some time and effort.
Leaders Are Made, Not Born

A common misconception is that Leaders are born, not made. The opposite is true – anyone can be a Leader.
Leaders are made, they are not born; and they are made just like anything else has ever been made in
this country – by hard work. (Vince Lombardi)
Genome scientists have yet to isolate a “Leadership” gene that gets passed on to succeeding generations. Nobody
is born a Captain; every Captain has had to start at the bottom and learn his craft through years of training.
You just have to know yourself (be self-aware), know and apply suitable individual Leadership style(s) and skills
and be prepared to embark upon a life-long learning and improvement experience. Leadership should never be
static, you should always be striving to improve and be the best possible Leader (and Captain) that you can be.

Leadership characteristics, traits and skills can be learnt and therefore Leadership characteristics, traits and skills
can be taught. Otherwise why would major Companies, Corporations and the Military bother to spend vast sums of
money to educate and instruct their personnel in Leadership?
It’s true that some people are poor Leaders while others are great Leaders and most of the rest are in between
these two extremes. The main difference is that the great Leaders have invested time and effort in learning,
developing, researching and practising their Leadership skills while the poor Leaders just bumble unknowingly along.
Leadership Styles
Leadership style is the manner and approach of providing direction, implementing plans, and motivating people.
Leadership style is very individual and how you incorporate those characteristics into your own individual Leadership
style is entirely up to you. There is just no way that Leadership can be reduced to a “cookie cutter”, simplistic, “do it
this way” type of approach.
There is no right or wrong way. But more importantly, YOU will have to “discover” what works for you and how
you will adopt and adapt these Leadership characteristics and traits into YOUR way of doing things as the Captain.
It’s all about learning and educating yourself.
There are a number of different Leadership styles. Although there are many other different Leadership styles, for
our Command purposes we will look at the following three:
Authoritarian
This is an autocratic, direct and dominant style of Leadership characterised by strong and individualistic people.
This type of Leader does not involve subordinates, likes to maintain as much control as possible, make decisions
independently and is very task orientated. This type of Leader exercises authority rather than Leadership. It is
sometimes an appropriate Leadership style in time critical or serious situations. Most followers (certainly highly
trained professionals such as flight and cabin crew) resent this type of Leadership in normal circumstances.
The focus is on the LEADER.
Participative
This is a democratic, shared Leadership style with the Leader including and involving their followers to make the
most of the team’s strengths and minimise their weaknesses. This style is the best to promote effective CRM.
However the Leader maintains the final decision making authority.
The focus is on the TEAM.
Delegative
In this style, the Leader allows his followers free reign to get on with their tasks relatively unsupervised and make
their own decisions. This may be because the followers have the required skills or information or because the Leader
delegates to competent and suitably skilled followers (good) or because the Leader abrogates his responsibility due to
laziness or incompetence or defers to others (bad).
The focus is on the FOLLOWERS.
Situational Leadership
Although good leaders use all three of these Leadership styles, with one style normally dominant, bad Leaders
tend to stick with only one style.
There is no one right Leadership style that will suit all situations. Your Leadership style needs to subtlety change
and shift between the different Leadership styles to suit the particular situation that you and your team experience.
The style of Leadership that you use with a very experienced Senior First Officer (likely Participative or Delegative)
may be inappropriate for use with an inexperienced Junior First Officer (Authoritarian may be appropriate, gradually
merging into Participative when trust and competence has been gained).
In time-critical situations where safety is involved an extremely Authoritarian style may be necessary. You do not
have the time to discuss the situation and the risk may be too great.
In other situations you may be so involved with the other responsibilities of Command that you have little choice
but to be extremely Delegative to manage your overall Command workload.

The Delegative style is also effective when your followers know more about the situation than you do (e.g. you
have never operated into a new Port, but your First Officer has operated into there numerous times or a member of
your crew has experienced an unusual situation or emergency before).
All three styles can be used for complex and unusual situations. For example, you may determine that the present
course of action is not working and so direct a new plan (Authoritarian). In implementing this new plan you may ask
for your team’s information, input and ideas to refine your initial plan (Participative). Finally, you may delegate tasks
to ease your workload and to implement action to effect the plan (Delegative).
Remember always that you are ultimately responsible for the conduct of the flight and are accountable for not
only your decisions and actions but also for your followers’ decisions and actions.
As a general rule, the members of your team are all adequately trained and skilled, with the requisite level of
knowledge and skills and will normally prefer a Participative style of Leadership – they desire and want to be
involved.
A Leader Or A Manager?
As the Captain you are the Leader and also a manager. Be very clear in your own mind about the differences
between the two roles that you have to simultaneously fulfil.
Leader Attributes Manager Attributes

All Leaders are managers. Management is a subset of Not all managers are Leaders. They might be good at
Leadership. To be an effective Leader you also have to management skills, but that does not necessarily mean
employ effective management skills. that they are good Leaders.
Innovates and inspires. Administers, maintains and focuses on systems and
controls.
Develops and focuses on people, while engendering Controls and directs the various resources at his
trust. disposal.
Asks what and why. Asks how and when.
Has a long-term, broad, global, strategic view and never Has a short-term, narrow, focussed, tactical view.
loses sight of the “Big Picture”.
Makes people want to accomplish a task, mission or Orders people to accomplish a task, mission or
objective. objective.
Delegates tasks and lets people get on with it relatively Directs tasks and tends to micro-manage, often with
unsupervised. excessive supervision.
Is more “people centred”. Is more “resource centred”.
Managers are people who do things right, while Leaders are people who do the right thing. (Warren Bennis).
You manage things; you Lead people. (Grace Hopper)
Managers have subordinates – Leaders have followers. (Murray Johannsen)
Spend a bit of time and think about the differences between being a manager and being a Leader. Think about
how you, as the Captain, project your Leadership; your Leadership style and your method of delivery.
Be a LEADER, not a manager.
Ensure that you don’t over manage and under Lead.
Authority and Respect

Some people are confused with the relationship between authority and respect. They assume one will come with
the other, but this is not necessarily so.
Authority
You will be appointed as the Captain (On Probation) by Cathay Pacific after you successfully pass the Intermediate
Command Check. As a result of this appointment you will have a certain amount of legal authority and power to

accomplish the task or objective. Up to that point during your training you will be role playing (fairly seriously) as the
Captain and assume that authority.
That appointed authority is quite powerful and wide-ranging.
Respect
This appointment of authority does not automatically make you a Leader and endow your follower’s respect.
Being a Leader doesn’t just happen – you have to work at it and it will be a constant evolution throughout your
career and life. As a Leader you will require the respect of your followers; and you will have to earn that respect.
Authority/Respect Differences
Simply having authority is something that makes you a Boss. The Boss through that authority orders his
subordinates what to do and then expects them to accomplish that task, whether they want to or not.
However, a respected Leader can tell his followers what to do and can confidently expect the task to be willingly
accomplished.
You’ve probably heard of these following phrases:
“Talk the Talk”, but more importantly ensure you also “Walk the Walk”.
Actions speak louder than words.
Lead by example.
You need to do these things with competence, personal integrity, professional discipline and decent human
humility. If you manage to achieve this high professional and personal standard, people will willingly follow you
through even the most difficult circumstances. You have become a LEADER!
Ensure you know the difference and inter-relationship between authority and respect. It will help you with your
projection of Leadership.
Respect and reputations are earned – not given.
Professional And Personal Respect
Respect can be of two main types; Professional Respect or Personal Respect.
Don’t confuse Professional Respect with Personal Respect.
One person may be perceived as a “difficult” person because his CRM, Communication and Leadership skills are
poor, but he gets the job done “safely” by using his good skills of effective TEM, SA, Knowledge and aircraft handling.
You will likely have little Personal Respect for the guy, and you will probably grudgingly give him Professional
Respect.
Another person may be the opposite, a nice guy but slightly incompetent as a pilot. The “really nice guy” might
earn your Personal Respect but NOT your Professional Respect.
Who would you rather fly with? The difficult guy who gets the job done or the nice guy who struggles?
In the overall scheme of the Command Course you can be a “difficult” person, who gets the job done
competently, but you may struggle with the overall Command Course due to areas of sub-standard Command Skills
and CRM. You can be a “really nice guy”, who is less than competent, but again you may struggle with your
Command Course due to areas of sub-standard Command and Aircraft Handling Skills. So the secret is to be an
“acceptably nice guy” who is “reasonably competent”, and you will pass.
This is all mainly about Leadership and the way you project your “Command Presence” and your personal
“Command Style” with your individual Command Skills (Core Competencies).
Earning Respect
Earning respect is simple – but not easy. You have to earn respect. It is never given away or automatically
conferred with authority.
Respect is earned by personal example.
It’s a simple as that. But to project and display high personal example is far from easy.
Your team is a reflection of your personal image and you as the Captain and Leader of your team get to mould
your team. Learn how to mould your team – it is an important Command skill. Watch how your current, or recall
how your previous Captains, have accomplished this. Learn from them.

Maintaining a high personal example is not easy. You will have to continually work at it, catch yourself when you
start to slacken off and raise yourself back up to your high, predetermined, personal standard. This requires continual
self-discipline.
Discipline yourself and others won’t need to. (John Wooden)
A High Standard
To earn the respect of your followers, as the Captain at all times resolve to;
Always strive for and project a high personal and professional standard (nobody else will make you).
Always expect this type of high standard from your subordinates.
If it is not apparent in your subordinates, “guide” or counsel them on what you expect from them.
Good Leadership
You should strive for excellence in Leadership – this will help make you an excellent Captain.
Good leadership consists of motivating people to their highest levels by offering them opportunities, not
obligations. (Lao Tzu)
Leadership is in the eye of the follower. (Simon Caulkin)
While it is difficult to continuously project all the following, good Leadership qualities you should endeavour to
display the majority of them at most times – otherwise you will lose the respect of your followers and team members.
Poor Leaders are poor Captains.
Good Leadership Characteristics

Leads by example.
Aviates, Navigates, Communicates and Manages – in that priority order.
Is an influential, credible, consistent role model with integrity and is aware that their every move is examined,
judged, scrutinised and often copied by their followers.
Delegates when appropriate, regulates the tempo and pace when possible, spreads the workload, prioritises tasks
and utilises available team members’ expertise so that spare mental capacity is available to allow management,
planning, risk assessment and risk management, decision making and implementation and review of action.
Is highly driven, intrinsically motivated and innovative, and also fosters that same enthusiasm in their followers.
Sets a high personal and professional standard, is a disciplined and skilled performer who readily and openly
admits own mistakes.
Well organised, well prepared and as a result, rarely caught off guard.
Communicates well; but matches words with actions.
Has a sense of humour and promotes fun with excellence, along with a passion and joy for the job and task at
hand.
Is calm in a crisis, tolerates ambiguity, applies common sense, simplifies complex situations and operates optimally,
intelligently and flexibly when under pressure and is able to direct the team in difficult situations.
Establishes and maintains an appropriate positive Command gradient; leaves no doubt as to who is the Leader and
is firm but fair.
Is approachable and establishes and maintains an open, respectful, sincere and supportive team atmosphere, being
mindful of each team member’s welfare.
Is confident, proactive and readily and promptly takes command if the situation dictates and uses the correct and
appropriate level of authority.
Involves other team members in the planning and decision making process and explains the rationale behind the
final decision.
Relates well with other people and has good Interpersonal and CRM skills.

Able to modify and change Leadership styles to suit the particular individual team members and the current
situation.
Takes into account each individual’s needs and abilities, builds their self esteem and self satisfaction and provides
opportunities for the individual to perform and gain experience.
Is aware of their followers’ workload, tasks, duties and abilities.
Builds, moulds, and engenders a sound team spirit and morale to maintain good team work, clearly states
performance standards and objectives and monitors and guides the team’s performance.
Outlined in the previous table is a comprehensive list of characteristics, traits and values that good Leaders, and
therefore good Captains (and that means you!), should possess and display. Use these good Leadership qualities to
refine and improve your Leadership Core Competency.
Followers
Good Leadership enhances followers, just as good followership
enhances Leaders. (Heller and Van Til)
Leadership is not possible without followers. You have probably just spent
a number of years as a First Officer – a follower.
A superior and successful Leader will promote and foster good followership
in the team by developing and nurturing essential follower skills. Like
Leadership there are a number of good characteristics of good followers.
Remember what it was like to be a First Officer and a follower. Recall the
instances of good Captains letting you function efficiently and do your job and
resolve not to emulate the poor Captains who suppressed their followers.
Never forget to include your followers (First Officer, ISM, Cabin Crew etc.)
in your sphere of Leadership.
It is your followers who determine if you are a good Leader, NOT you the
Leader, or your superiors.
Good Followership Characteristics

Works effectively as a team member.
Treats the Captain with the respect that is earned and is mindful of a positive Command Gradient.
Accepts all assigned tasks willingly and executes them to the best of their ability.
Maintains a positive attitude, especially when the situation is confused and changing.
Offers suggestions and uses advocacy, questioning and assertion as appropriate, but without usurping the Captain’s
authority.
Supports the chain of command, especially under stress.
Voices differences of opinion, but executes with vigour the eventual decision.
Places the task, team and Company interests above personal interests.
Leader/Follower Interacting Skills

Dr. Maureen Pettitt and Mr. Joseph Dunlap of Western Michigan University have identified several “interacting
skills” that both effective Leaders and followers applied as necessary to ensure task accomplishment.
A description of each skill and behaviour representative of the skill is described below:
• Initiative – begins an action, without external direction, to overcome a perceived deficiency.
• Influence – obtains commitment from others to ideas or actions using effective interpersonal skills, styles and
methods (CRM).

• Adaptability – adjusts to changing environments, ambiguity, and abnormal situations.
• Receptiveness – encourages, pays attention to, and conveys understanding of another’s ideas, comments or
questions.
• Modelling – exhibits behaviour consistent with Cathay Pacific’s highest technical and ethical standards.
• Envisioning – creates and articulates a picture of the future or a desired state.
If you, as the Captain, foster these “interacting skills” by displaying them yourself and encouraging and allowing
your First Officer and other followers in your team to utilise them, then you have displayed good Leadership. In
doing so you have built a better team, reduced the risks involved as a direct consequence of the better team and as a
result, have increased safety and efficiency.
These interacting skills are especially critical in our airline operations because of the constantly changing
composition of Cockpit (and Cabin) crews and the shifting cockpit roles due to the rotation of PF/PM (and at a later
stage of your career the addition of RQ First Officers and Second Officers on Long Haul flights).
Cockpit Gradient
At all times you should maintain a positive intra-cockpit gradient. YOU as the Captain should be the one running
the show. Normally you will be the one with the most experience and knowledge of your cockpit team, otherwise
you would not be in a position of Command.
A positive cockpit gradient is essential to maintain a Leadership role. If you end up with a negative cockpit
gradient your First Officer is running the show and you have given up your Leadership role and adopted or allowed
yourself to be transformed into a follower. The cockpit gradient can be either steep or shallow, but it should always
remain positive.
The cockpit gradient will usually vary depending on the Experience of the cockpit crew members and on the
particular Situation that they find themselves in.
Leadership Styles & Gradient

AUTHORITARIAN PARTICIPATIVE DELEGATIVE
LEADER Focus TEAM Focus FOLLOWER Focus
STEEP Gradient NORMAL Gradient SHALLOW Gradient
Experience
The relative cockpit “levels” of the LHS and RHS vary depending on the experience levels of the Captain and
(Junior or Senior) First Officer and the situation encountered.
For most of the time you will encounter normal experience levels between you and your First Officer and you will
face routine situations.
This results in a moderate and “normal” cockpit gradient which facilitates the usual use of the Participative style of
Leadership.
An experienced Captain (a high LHS cockpit level) and an inexperienced Junior First Officer (a low RHS cockpit
level) will have a steep cockpit gradient.
An inexperienced Captain and an experienced Senior First Officer will have a shallow cockpit gradient, but it still
should be positive.

Situation
A routine flight will not place any great demands on either cockpit crew and so the cockpit levels will be low and
the cockpit gradient may be normal to quite flat.
A time critical situation will require you as the Captain to “increase” your cockpit level as you take on more of the
decision making, risk assessment, workload management tasks and more actively Lead your team. This has the effect
of steepening the overall cockpit gradient.
Changing Leadership Styles
If a routine flight is coupled with a new and inexperienced Captain (a low LHS cockpit level) and an experienced
Senior First Officer (a high RHS cockpit level), a very shallow cockpit gradient would result.
A shallow cockpit gradient lends itself to a Delegative style of Leadership as you can reasonably expect that your
experienced F/O team member will competently execute tasks and duties with minimal input or direction from you.
Ensure that the cockpit gradient remains positive. You must still retain the overall Leadership role.
In a complex, difficult, time critical situation the Captain will be required to rapidly elevate his cockpit level. If
this occurs with a new and inexperienced Junior First Officer, the cockpit gradient will steepen quickly.
A steep cockpit gradient lends itself to an Authoritative style of Leadership.
Between these two extremes lie many different angles of cockpit gradient, from steep to shallow. The often
varying cockpit gradient will influence to some extent what Leadership style you employ to react to the given crew
composition, crew experience and the conditions and situation that you find your team in.
Which Leadership style you eventually choose to use will result from the experience levels within the cockpit, the
situation and how demanding it is and, of course, your knowledge of Leadership, coupled with common sense and
effective CRM.
Leadership Summary
The Leadership style that you eventually choose to employ during your Command Training (and later as a Line
Captain) is very personal and varies with the individual. By studying and learning about the characteristics and traits
of effective Leaders, you can begin to mould and incorporate the traits that you think will best suit your particular
personality and preferred style.
Projecting an open, confident and relaxed, yet no nonsense and professional demeanour will clearly mark you as
the Leader and someone worthy of following.
Never forget – good Leaders are good Captains.
Assertiveness
There are two aspects of assertiveness – one is between the members of the crew (CRM) and the other is when
fulfilling your role as the final authority and decision maker in your role as the Captain of your flight.
Crew Assertiveness (CRM)
From your point of view as the Captain in the realm of Crew Assertiveness there are two sides; your assertion of
the authority invested in you as the Captain of the flight and Leader of your team, and the assertion of your crew
members and followers, which may result from your (usually unintentional) deficiencies. It flows both ways and is an
integral part of effective CRM.
As the Captain you WILL make mistakes, errors of judgement, poor decisions or take inappropriate courses of
action throughout your career in the Left Hand Seat. A good Captain will openly admit their mistake, but more
importantly, generate an open team atmosphere to enable their followers to point out the error or mistake using
advocacy, enquiry, questioning and where required assertion.
If you ever hear your First Officer say “Captain, you MUST listen to me!” you need to immediately recognise that
you’ve allowed the situation to deteriorate such that your First Officer has perceived (rightly or wrongly) that you
have backed them into a corner and this is a last resort to forcefully get your attention to resolve the situation. CRM
and/or Error Recovery is required – immediately!

Pilots generally know when to speak up and to back up and support the Captain in decision making. A
very authoritative Captain may tend to stifle crew assertiveness and a very passive Captain may cause
excessively assertive behaviour on the part of the crew.
A good balance is ideally attained by the Captain being authoritative enough to command the flight
effectively, yet seeking inputs from the other crew members. (F/O Lucy Young, USAir)
Command Assertiveness
Captains have quite powerful authority to ensure that their flights are completed safely, legally and efficiently
while completing the commercial task.
The secret is to use that authority judiciously and wisely to achieve your desired outcome safely and legally.
Sometimes your followers or your “extended team” members; cockpit or cabin crew, ATC, engineers, traffic staff
or even IOC, will want you to undertake a course of action that you determine is unsafe or inappropriate. In these
cases you may have to just say “NO!” and outline your alternative desired plan of action by sharing your mental
model and communicating your intent using the necessary level of CRM.
Do not ever allow anyone to “force” you into a situation that you are uncomfortable or unsure about. The other
party may be unhappy about your not agreeing with their desired decision, but Command is not a popularity contest
and you will be required to make tough decisions that you determine to be best for your particular situation.
You will never really be a Captain until you can say “NO!” (Sal Fallucco)
It might be as simple as requesting that the engineer explain again the ramifications of a complicated DDG item
or requesting from ATC extra track miles or a holding pattern to gain extra time to complete emergency actions.
During confusing, complex, ambiguous or novel situations you may have to exercise your power of Command by
being decisive and assertive when required. This is absolutely essential in time-critical situations – you cannot afford
to waffle and be indecisive, uncertain or hesitant.
In these situations you need to be proactive rather than reactive. Being reactive reduces your available options
and often places you into unavoidable, undesirable outcomes, not of your choosing. Being proactive allows you to
decide, plan, have options and dictate the outcome.
Control events (be proactive) rather than be driven by them (reactive).
You, the Captain, are ultimately responsible for the safe and legal operation of your crew and the flight and you
get to run the operation your way if required.
Assertion is not normally required in a well structured CRM team environment, but it is an essential Command
skill for you to use when you require decisiveness to achieve your plan and outcome.
Use assertion wisely when required and if time permits explain your reasons, justification and rationale to your
followers.
Teamwork
In this teamwork section we’re going to concentrate more on the team that is the closest to you – primarily your
F/O (or your other Cockpit Crew) and to a lesser degree your ISM and Cabin Crew. These are the people in your
team that you will have personal contact with.
However, some of these same ideas and principles can also be used for your other “extended team” members
such as, ATC, IOC, ground engineers, operational or other ground staff.
Why Bother With Teams?

In our profession of aviation, teams are a very important and integral part of our everyday operation. You and the
other members of your team (often complete strangers) will be required to interact and function effectively from the
very first time that you meet prior to commencing your preflight paperwork, until well after you complete all your
post flight duties.
NPs have naturally evolved into very team dependant operations. CRM focuses very heavily on team co-
operation and co-ordination. There is a minimum of two pilots on our flight decks and NPs are constructed and
formulated on this team basis.
If you cannot operate within a team framework, at best you will struggle and have great difficulty in effectively
completing your job and at worst you will just not survive in this aviation game.

Why? Have you ever thought about why we operate in teams (in aviation, sports and life)?
It’s pretty basic really. Effective and competent teamwork improves performance.
That’s the reason we as humans, form and live in families, tribes, associations and groups.
A champion team will always beat a team of champions.
Or in other words; a group of average individuals operating as a functional and effective team will always beat a
group of above average individuals who do not operate as a team.
An example is the crew of United 232 who worked together to “land” their crippled DC10 after suffering a total
hydraulic failure and total loss of all flight controls. An everyday example is whenever YOU turn up for work and go
flying.
Over 70% of all severe aircraft accidents between 1959 and 1989 were at least partially attributable to flight crew
behaviour. This alarming statistic has been one of the main drivers into recent CRM education by Airlines and ICAO.
It is your neck on the line here (and your Command Course), so you may as well do your utmost to minimise your
risk and surround yourself with the best team possible.
The First Five Minutes

When your team meets for the first time, you as the Captain and Leader, in the first five minutes set the tone for
the rest of your team’s time together (one sector, multiple sectors or even days).
This first five minutes is an important time for you to display and promote your Interpersonal Skills, Command
Presence, Leadership and forge how your team will relate together, now and in the future. You’ve got to open
channels of communication, be friendly and accessible and briefly and succinctly outline how you want your “show”
to be run. This will determine your teams’ behaviour towards both you and to other team members – how your
group will operate as a team. First impressions really do count!
Endeavour to warmly greet each member of your team (both cockpit and cabin crew), look him or her in the eye
and shake their hand. Spend a bit of time to get to know the person you will be sitting next to – examples might be
to ask about his roster, aviation background, landing recency, port and route knowledge for the areas you will be
operating into – anything to “break the ice”, put him at ease and get him onto your side. You’re effectively moulding
your team in this first five minutes.
Include them in the decision making right from the beginning. Make them feel important, give them some
control over their destiny and make them feel as if they are a valued team member. Ultimately all the really
important decisions are yours, but you can “disguise” this by asking questions, providing additional information and
guiding your F/O to reach “your” desired answer. For example, get your F/O to determine how much fuel is required
for this sector. If you agree with his amount, great, your F/O has made the decision, if you don’t agree with it you’ll
have to “guide” him to your pre-conceived amount. However you do it, try to make it appear that your team has
arrived at this desired decision themselves. If you can’t accomplish this, or don’t have enough time to do this, then
you as Captain get to decide and then get on with the job.
To foster your new team environment use the first person plural when talking. Use words such as “we, us, our”
which indicate a team association. Avoid words such as “me, you, I” that tend to indicate an individualistic
connotation. Do the same thing with your Cabin Crew.
In this first five minutes you get to mould your team into a “good” team or a “bad” team. Numerous studies have
shown that good teams generally get better the longer they are together and bad teams generally get worse the longer
they are together. Your job as Captain will be so much easier if you generate a “good” team and to a certain extent
you can control and influence this, primarily by your behaviour and attitude towards the team.
Research has shown that effective Captains use Crew briefings as a time to delineate expectations of crew
members’ performances and tasks, and to define the team’s structure. Good Captains and Leaders established
Boundaries, Norms and Authority.
Ensure that you either allow your F/O to decide, or you nominate who will be PF for the sector. There’s nothing
worse as an F/O than wondering who will be PF for this sector when the Captain is vague and indecisive.
Forming and moulding a team that can function effectively over time to achieve a difficult task is not an effortless
process, and certainly not instantaneous. You will have to expend some effort and work at it.

Advantages Of Teams
Teamwork improves performance by;
Increasing knowledge and expertise available (two heads are better than one) and obtaining different points of
view.
Increasing synthesis of ideas and skills to create new or better options and tend to more successful in
implementing complex plans and dealing with complex situations and developing more creative solutions to
difficult problems.
Spreading the workload and allowing you to delegate tasks so that you can function more effectively as the Leader
and Captain (which improves your team’s performance).
Increasing synergy (the whole is greater than the sum of the parts).
Team members have the opportunity to learn from each other.
Facilitating the transfer of knowledge (provided you as the Leader foster and promote the sharing of information).
This improved team performance can allow the team to be less cautious, but paradoxically not less safe. With the
increased knowledge, expertise and monitoring capability available to you and the assistance of your team, as the
Captain, you may decide to take what you originally considered in isolation a “riskier” choice, but now assess as a
better choice, as a result of the extra information and assistance now available.
Being part of a successful and competent team can increase everyone’s morale and mood, which in turn can
improve performance and results.
Disadvantages Of Teams
When you mention teamwork most people immediately think only of the advantages. There are several
disadvantages to teamwork that have the potential to decrease performance.
Poor inter-personal relationships within the team can result in individuals working separately and/or against the
team goals or not contributing at all. Conflict may develop between team members or other teams. You as the
Captain and Leader must not allow this to happen or minimise its effect. On some rare occasions you will be
required to “lay down the law” and be the Authority Figure to get your team to function more optimally. Command
is not a popularity contest; you are the Leader and the one in charge.
“Free-riding” or “Social Loafing” within the team may occur. This is when some team members think they can
slack off when they perceive that the team can handle and cope with the situation or problem without their input.
“She’ll be right, they’ve got it under control”.
Teams can allow the phenomenon of “Groupthink” to occur. Groupthink prevails when the “need to conform”
is operating. Individuals can withhold valuable information that may in fact improve their situation in the belief that
the rest of the group has already decided on a particular course of action. They don’t want to “rock the boat”,
appear contrary to the majority or want to avoid conflicts and censure. Groupthink is characterized by a pattern of
members agreeing to ideas or other aspects of team interactions without questioning or disputing. This trend may
occur due to a need or desire to conform, to maintain harmony, to avoid conflict, or out of fear of expressing
different viewpoints. The results may include reduction in creativity and less sound group decisions. Don’t assume
that silence by other team members means that they internally consent and agree with the team’s decisions – they
just might be reluctant to go against the majority decision and elect to keep their mouths shut.
Most of the time any of the above team disadvantages can be nullified or improved by good CRM and good
communication skills, but this requires you to cultivate an accessible and open team environment and to open or
improve your channels of communication.
It’s Up To You
You are the Captain and Leader of your team, so the team formation and moulding process is largely in your
hands. Expect that your F/Os and Cabin Crew will take your lead. If you are open and indicate that you need and
want their input, ideas, assistance and suggestions, then you’ll get it. The opposite is also true.
You set the tone for your crew in the first five minutes of meeting. Make sure you get it right and start off with a
good team that improves the longer you are together.
Endeavour to form a functioning team rather than have a bunch of individual crew members.
A good team makes your job as Captain so much easier, less stressful, enjoyable and pleasant.

It really is all up to you, Captain!
Leadership Resources
Leadership requires continual self education and self study (Self Directed Learning) to increase your
Leadership knowledge. This Self Directed Learning of Leadership is required not only prior to your Command
Course commencing, but during and after you have successfully completed the Command Course.
Learning about Leadership won’t guarantee that you’ll become a good Leader instantly, but it will guarantee
that you’ll become a better Leader than you currently are.
The following is a list of Leadership resources that you can utilise to further your understanding and
application of Leadership.
Internet
Do a Google search for “Leadership” or “Aviation Leadership” then pick the most interesting articles. You
will find thousands of Leadership articles. Apply common sense and pick articles that are relevant to aviation
and your role as the Captain.
The Art and Science of Leadership. Highly recommended, understandable and comprehensive.
http://www.nwlink.com/~donclark/leader/leader.html
The Characteristics Of Good Leaders. An excellent and succinct summary of good Leaders.
http://www.angelfire.com/il/adventureclub/leader.html
ME 96 Leadership. Outlines Leadership and followership traits.
http://www.see.ed.ac.uk/~gerard/MENG/ME96/intro.html
The CRM Advocate. Contains numerous Leadership, followership and CRM articles.
http://s92270093.onlinehome.us/CRM-Devel/resources/crmadvocate/index.htm
Books
Aircraft Command Techniques. Has an entire chapter devoted to Characteristics of Effective Leaders.
Redefining Airmanship. Has a section in Chapter 6 – Know Your Team, about Leaders and followers.
The U.S. Army Leadership Field Manual. Don’t be put off by the title – this book has excellent Leadership
theory and descriptions of the application of Leadership.

To lead people, walk beside them...
As for the best leaders, the people do not

notice their existence.
The next best, the people honour and praise.
The next, the people fear;
and the next, the people hate...
When the best leader's work is done the

people say...
"We did it ourselves!"
(Lao-tsu)

Communication
Communication – Any act by which one person gives to or receives from another person information about that
person’s needs, desires, perceptions, knowledge, or affective states. Communication may be intentional or
unintentional, may involve conventional or unconventional signals, may take linguistic or non-linguistic forms, and
may occur through spoken or other modes.
Command Communication
Communication is the key to successful teams – your team. How well you, as the Captain, communicate directly
determines how well your team functions.
Communication is the glue that holds a team together. (Tony Kern, Redefining Airmanship)
On a daily basis you will interact with people who have different thoughts, ideas, opinions, values, beliefs and
needs from your own. Your ability to exchange ideas with others, understand their different perspectives, solve
problems and implement decisions depends on how effectively you can communicate with others.
Often faulty communication will cause you the most problems. A NASA study of jet transport accidents and
incidents found that pilot error was more likely to reflect failures in team communication and coordination than
deficiencies in technical proficiency. Interpersonal communication has been identified as a causal factor in
approximately 70% to 80% of all accidents over the last 20 years.
Good Captains and good Leaders are good communicators.
You must be able to effectively convey your plans, thoughts, ideas, goals, intentions, opinions and information
with your First Officer, Second Officer, ISM, Cabin Crew, passengers, ATC and anybody else that comes within your
sphere of influence. In other words you have to get the thoughts or what is in your head into the head of someone
else (i.e. My Mind Your Mind).
You must also be able to receive ideas, information, opinions or desires from others for you to fulfil your role as an
effective Captain (i.e. Your Mind My Mind). This is after all a team collaboration, with you as the Leader of
your extended team.
Communication is a dialogue, not a monologue.
It is a continuous two way process. In fact, communication is more concerned with a dual simultaneous
transmit/receive process. For communication to be effective, the message must mean the same thing to both the
transmitter and the receiver.
You will be required to communicate with people and also with computers/hardware. This electronic
communication is becoming more important than ever with highly automated aircraft with multiple computers (e.g.
AP/FD, FMS, ACARS, CPDLC, ECAM/EICAS etc.). The same basic communication process that you utilise with
people is also used when you communicate with a computer or other hardware in the aircraft via keyboards, MCDU,
FCU/MCP or other means.
Basic Communication Model

A basic model of the communication process is outlined as follows:
Message Preparation takes place. This message contains the idea, knowledge, goal, information, intention or
opinion. If the message sender is unable to formulate a sensible, coherent and understandable message the
remainder of the communication process is useless.
A Transmitter sends the message. This transmitter may be you or another person, a document or publication, an
ATC radio message, electronic (ACARS or FMS via a keyboard or MCP/FCU) or a visual marshalling signal.
The transmitter Encodes the message and then sends it. The encoding may take the form of the English language
(verbal), it might be an accepted visual signal, or correct radio phraseology or written words, usually in a very specific
technical aviation jargon in our particular Command case.
The Message Transmission occurs via some sort of Medium. This may be via sound if you are talking face to
face with someone, electrical and sound if receiving a radio call via a headset or speaker, purely electrical if using the
FMS or visual if looking at a person or book.

A Receiver intercepts the message. This receiver, like the transmitter, can be another person (the usual case) or
may be electronic (e.g. ACARS, a computer or the FMS).
The receiver then Decodes the message. The decoding is the opposite of encoding. Effective decoding relies on
the transmitter and receiver using the same encode/decode methodology, language and conventions.
After decoding, the receiver carries out Message Interpretation. This is NOT the same as understanding the
Transmitter’s intended message; Interpretation is the individual receiver’s perception of the received message (which
may or may not be correct).
Effective communication only takes place if after decoding and interpreting, the receiver actually Understands
the transmitter’s intended message.
Ineffective communication can take place from the transmitter’s message preparation, through any other part of
the Basic Communication Model to the receiver’s message interpretation.
Refined Communication Model

This is the very basic Communication Model that all forms of communication follow. But, as we have seen
communication is a dialogue, a two way process.
A more refined Communication Model has both the transmitter and the receiver as combined
Transmitter/Receivers and messages are being sent simultaneously in both directions providing Feedback to both
the primary transmitter and the primary receiver. This feedback is very important as it one way for the transmitter to
ensure that the message has been received, decoded correctly, interpreted correctly and so understood effectively.
If you cannot get your message understood effectively you have failed at the communication process. That failure
can occur at any stage from the message preparation, transmit, encode, message transmission via the medium,
reception, decode and message understanding. The feedback mechanism provides one method for the transmitter to
ensure that the message is received and correctly understood.
The communication process is further complicated by Noise. Noise is anything that distorts the message. It can
distort or interfere with the transfer of information from Message Preparation to Message Interpretation and during
Feedback. Noise is usually thought of when discussing sound, but for the purposes of our discussion it is the
interference with any of the different Mediums of communication. For instance, you may not be able to adequately
read the PFD or a document if it is bathed in bright sunlight or the words or symbols are illegible.
Communication In Aviation
Both ICAO and Cathay Pacific have mandated that English is the primary language of aviation.
It therefore follows that to be a good Commander and communicator you will require a high standard and a
comprehensive understanding of the English language (both written and oral).

English As A Second Language
Many potential Cathay Pacific Commanders are multi-lingual and have English as their second language.
To be a good Captain you have to be a good communicator, and more specifically a good communicator in
English.
DESIGNATED COMMON LANGUAGE
It is Cathay Pacific Airways Policy that English shall be the designated common language for Flight
Operations. All communications pertaining to Flight Operations, whether oral or written will be
conducted in English. This includes all oral communications between Flight Crew within the Cockpit,
and between the Flight Crew and all other staff (includes the Cabin Crew, Ground Handling Personnel,
Passengers, Air Traffic Control and any other ground station or aircraft). All operational documentation
including training materials shall be written in English. All Flight Crew and Cabin Crew training activities
and evaluations shall be conducted in English. (Policy Statement, Volume 1)
If your English is sub-standard, your communication will also be sub-standard and by extension your overall
Command effectiveness will be sub-standard. If your English skills are lacking then that is an area of Command
weakness that you will have to address and improve before you begin your Command Course.
If English is your second language, ensure that it is to a high standard (both written and verbal).
Aviation English
Words used in aviation, particularly words used during radio calls with ATC, have certain defined, specific
meanings. It is important that you correctly utilise the appropriate aviation terminology and radio telephony (R/T)
phraseology to avoid misinterpretation during the “encoding/decoding” process.
A high standard of R/T discipline, including the use of standard phraseology, is an important factor in
achieving safe operations. This is particularly so when operating in areas of high traffic density and
when communicating with air traffic controllers whose normal language is not English. R/T is a series of
code words. A word may have subtly different meanings in the vernacular, but has a precise meaning
within the context of ATC. (Volume 2, Part 2, Radio Phraseology)
By using the “language of aviation” correctly you will minimise misunderstandings and be able to effectively
convey your thoughts, intentions, plans or requirements to someone else.
Communication Of Intent
To be an effective Leader and Commander you have to be able to transfer your thoughts, knowledge, ideas, goals,
intentions, plans or decisions to others. People are not mind readers and you will be required to adequately
communicate your intentions or requirements to them (My Mind Your Mind).
If you achieve this, there will be no doubt in any of your team members’ minds, and you and your team will all be
working towards a commonly understood goal.
Communication Of Intent is required to ensure a commonly understood goal and effective team performance.
Sharing Your “Mental Model”

Closely aligned with Communicating Your Intent is another communication mode called your Mental Model.
This is communicating to your team your understanding or your perception of a particular situation – what you
think has happened, is actually happening or will happen (your personal version of Situational Awareness). Clarify is
the first step of the CLEAR Model and by sharing your Mental Model you are in effect clarifying the situation as you
perceive and understand it.
Your Mental Model will normally be correct; but not always. By sharing your Mental Model you allow your other
team members the opportunity to cross-check the accuracy of your perception of the situation. This allows your
team to eliminate or mitigate potential or actual errors and mistakes. It also may enable another less aware crew
member to update their own Situational Awareness (Crew Shared SA).
A pilot can make a mistake…but a crew must not. (Captain A. C. ‘Mac’ McLauchlan)
The Importance Of these Two Modes
These two modes of communication; Communication Of Intent and sharing your Mental Model, are extremely
important for any Commander and particularly so for a Command Trainee. It is the essence of Command
Communication.

You will be required to have a very high standard of Communication Of Intent and of sharing your Mental Model
during your Command Course, and later after you are successful, as a Line Captain.
This is often an area of weakness for Command Trainees, so ensure that you build, refine and practise your
Communication Of Intent and sharing your Mental Model as part of your Command preparation.
Good communication will make your task as the Leader and Captain so much easier.
Communicating Beyond Words – The Three V’s

When you communicate verbally you are actually using three different communication components to get your
message across;
1. Verbal
2. Vocal
3. Visual
Despite what you may think, the vast majority of a “verbal” message is often contained within the vocalisation or
visual elements of the message, even if you are not having a face-to-face conversation.
Verbal
The verbal aspect of communication is the actual words you choose to use in your message.
You need to be concise and succinct and use words that everyone can understand (encode and decode). This is
why having a good command of the English language and using the correct aviation jargon and language is important.
Avoid colloquialisms, especially if the other person is from a different cultural or regional background. You may
understand what you mean by using the vernacular, but the other person may be totally confused or interpret the
message in a completely unintended way.
Avoid words that are critical, judgemental or accusatory as they will lead to a defensive and resistive mindset in
others. You want to keep the communication channels open and not have others “shutdown” on you. Also, don’t
waffle on – people will either get bored or not listen to you. Either way, your message will be less effective.
The verbal aspect of communication can sometimes contain as little as 10% of the perceived message. It is
normally much greater than 10% due to the standardisation of meanings given to particular words in the aviation
context.
Vocal
The vocal or paraverbal (how you say the words) are the messages that you send through the volume, pitch, tone,
accent and tempo of your speech.
This aspect of communication can be considered to be an “emotional” component of the words used – it is often
the way you or others will express feelings and moods.
A sentence can have entirely different meanings depending on the emphasis of particular words and the tone
used. For example, the statement “I agree with that” has three different meanings depending which word is
emphasized:
“I agree with that.”
When you communicate be aware of the paraverbal aspect. If you are under stress, your speech will tend to
become more rapid and higher pitched – something to be aware of when giving PAs or talking to ATC (it will convey
a message that you may not intend). When you are bored your speech will tend to slow down and become very
monotone.
You can often determine the emotional state of members of your team from the paraverbal quality of their
speech. This is one way of getting feedback from them.
Even if you are having a conversation with someone and it is not face-to-face (e.g. ATC), you can extract a lot
from the vocalisation (the volume, pitch, tone, accent and tempo) used.
The vocal aspect of communication can contain as much as 35% of the perceived message.

Visual
The visual or nonverbal (your body language) component of communication is a powerful part of the message.
Even if a person is completely silent, they are still communicating and providing feedback. You are continuously
communicating, whether you want to or not and whether you realise it or not.
This aspect is another potent way to communicate the “emotion” of words. Endeavour to maintain appropriate
eye contact (don’t stare) with those that you are communicating with. Watch for facial expressions, particularly the
eyes and postures and gestures.
Visual signals present immediate feedback and can often indicate whether or not someone has understood your
message (e.g. nodding their head in agreement).
The visual aspect of communication can contain as much as 55% of the perceived message.
Congruency Of The Three V’s
When you communicate ensure that there is congruency or agreement between the Verbal and the Non Verbal,
Vocalisation and Visual, components of communication; conformity between the Three V’s.
It is easy to say one thing (verbal) but mean something completely different by sending opposite messages via the
vocalisation and visual modes. For example, you might say “I agree”, but if you say it softly, with hesitation and while
frowning and squirming in your seat – well, that’s not congruent feedback and it will probably be obvious to
everyone that you DON’T really agree.
Inconsistent and incongruent messages will often leave the listener confused and can create a lack of trust and
undermine crew relationships. The non verbal aspect of the communication will very often be believed over the
verbal aspect.
Sometimes it’s not WHAT you say, but HOW you say it.
Active Listening
Hearing But Not Listening
Hearing and Listening are not the same things. Hearing is the act of perceiving sound, while Listening is a
selective cognitive activity which involves not only reception of sound but also the interpretation of that sound, both
verbal and non verbal.
You can Hear faster than you can Listen. Listening requires more conscious effort than Hearing and so is slower.
So you can Hear lots of information, but does any of that information really get absorbed and understood?
Active Listening is listening with a purpose.
Active Listening requires that you attend to the words and feelings and emotions of the sender so that you can
interpret the various messages and meanings that they contain and verify your understanding of them.
When you Listen Actively you convey an attitude of respect and acceptance and a willingness to understand and
accept another’s point of view.
For you to be a good Active Listener you need to:
Pay attention and not let your mind drift. Slow down your thoughts – you can think faster than the other person
can talk.
Provide appropriate feedback, either verbally or non verbally, but not interrupt unnecessarily.
Maintain appropriate eye contact and interest.
Spend more time listening than talking.
Ask open questions, paraphrase and summarise.
Allow the other person to complete their message.
Formulate responses AFTER the other person has finished speaking, not while they are speaking. Suspend your
judgement and evaluation until they are finished.
Looking But Not Seeing

While much of this communication chapter focuses on the verbal aspect of communication, there are some
parallels with the visual component of communication – particularly with “reading” or automatically responding to
FMA changes or visual configuration indications on the EICAS or ECAM.

Looking is like Hearing. It is just the act of perceiving light. But Seeing is like Listening in that you are actively
and consciously aware of the visual indications. You can Look faster than you can See, but like Hearing does any of
that visual information get really understood?
You sometimes have to force yourself to slow down and consciously interpret the visual indication and then
decide on your response.
For example, an FMA mode change is analogous to the FMS visually communicating with you. You should
consciously process any FMA change, ascertain whether it is correct or appropriate and only then respond to the
change, rather than replying parrot fashion “Checked”.
Communication Skills
Some very general communication skills that you can employ as the Captain are:
Avoid dithering and indecisiveness. Be CDF – Clear, Decisive and Firm – when communicating. Convey the
impression of being the Captain and of one who is in control.
Exercise an appropriate level of authority. Promote and foster a relaxed, but professional, open atmosphere that
allows your subordinates to actively participate and if necessary question you.
Listen more and talk less. You will gather more ideas and information this way and will have a far better idea of
the team “working” environment.
Never miss an opportunity to keep your mouth shut.
It is better to keep your mouth shut and look like a fool, than to open it and remove all doubt.
Slow down your thoughts and suspend your judgements and evaluations until you have all the required
information. Similarly, bias, expectation and assumptions can alter the true meaning of the message – sometimes
you hear or see what you expect to hear or see not what actually occurs.
We see what we believe, instead of believing what we see.
Understand the other person and their point of view – be empathetic. This requires awareness of not only the
other person, but also awareness of yourself.
Creating a threatening climate will usually alienate people, result in a less effective team and increase your
Command workload.
Attack problems – not people.
Control your emotions and your body language. These non verbal cues send powerful messages.
Ask questions, paraphrase and summarise as you go.
Be aware of the cultural differences that exist in our multi-cultural work environment. What may be acceptable
or funny to an occidental may be totally unacceptable or completely misunderstood by an oriental. For example,
North Americans and Brits can’t understand why Aussies put underwear on their feet when they put on their
“thongs”. Context can make the same message mean different things (e.g. sarcasm and colloquialisms) – not good in
English-as-a-second-language environments.
Feedback
Communication is ineffective if the intended message is not correctly interpreted and understood by the receiver.
Feedback is an important component of the Communication Model as it allows you to check that your team
members have correctly understood your message (your plan, idea, thoughts, goal or decision) or you have correctly
interpreted the other person’s message.
When you know something, say what you know. When you don’t know something, say that you don’t
know. That is knowledge. (Confucius)

So how can you obtain feedback to ensure that the message is adequately understood?
Maintain appropriate eye contact to obtain feedback by noticing the visual body language signals (facial, posture,
gestures etc.) that everybody intentionally or unintentionally broadcasts.
Be aware of the vocalisation (the pitch, tone, volume and tempo) of the person’s speech.
Ask open questions to get information or clarification (this also engages the other person in the communication
process).
Have the other person paraphrase the communication message (the other person responds in his own words with
a brief and succinct summary of his perceived interpretation of the message). The transmitter can also summarise
as he goes if the communication is lengthy.
Notice if there is congruency and agreement (or not) between the verbal, vocalisation and visual modes.
Actively Listen. This also includes the Readback/Hearback responses that you have with ATC.
Promote a stress free environment and create a climate where the lines of communication are always kept open.
Feedback freely given is much better than hard won feedback obtained from an “unco-operative” person.
Feedback occurs continuously, and is intentional or unintentional. You just have to be aware of it and take it into
consideration.
Communicating With The Pax (PAs)

The Purpose Of PAs
PAs should be clear, precise and to the point. Its’ purpose is to inform and at times reassure the passengers (and
during time-critical events, your Cabin Crew). It is important to reflect that many passengers are scared of flying and
therefore what you say is most important.
PAs also are a “marketing tool” to promote the Company’s value-for-money service and safe and caring image.
The passengers’ impression of the Airline (and of you as the Leader and Captain) is often directly related to the
quality of the PAs given.
PA Practise
Your “standard” PAs (Welcome and Farewell PAs) will get used on almost every flight. You may elect to use a
script to begin with but try to be able to confidently complete your PAs from memory as you practise more.
Practise your “PAs” in the safety and comfort of your own home by recording your PA message on your answering
machine or mobile phone. Then debrief yourself after listening to the playback. You might be surprised at how you
actually sound (pleasantly or otherwise).
Practise not only your set-piece welcoming and farewell standard PAs, but also your “We’re delayed”, “We’re
diverting”, “We’ve had a slight problem”, “We can’t land at the moment”, “We’ve discontinued the landing”, “We
have to hold” etc. These “non-standard” PAs are usually required during high workload, time-limited and often
stressful situations. Get really confident at making PAs so that they flow and come easily and naturally.
Things To Consider
Listed below are some things to consider whenever you have to make a PA.
Make PAs during low workload times. If you’re really busy then elect to NOT give a PA. This is especially
relevant approaching Top of Descent. If you get pushed for time then you’ve got to prioritise. However, you
really do need to make some sort of PA during high workload abnormal/emergency situations.
Avoid the use of terms that will confuse or create fear i.e. thunderstorms, turbulence, missed approaches,
windshear or in depth technical discussions.
Avoid colloquialisms. You may understand what you’re talking about, but your audience may not. Colloquialisms
can confuse and distort your intended message.
Eliminate Umms and Ahhs. You will sound indecisive and less than competent. Before you open your mouth,
silently review the relevant facts and rehearse what you are about to say.
Speak clearly, enunciate and consider slowing your verbal pace a little. Mumbling, speaking softly or speaking so
fast that your words all blend together as one do not achieve any of your communication goals.

Delays Or Disruptions
Passengers are generally concerned whenever there are any delays or disruptions to their travel plans, especially if
they have connecting flights.
PAs explaining the why, what and how long of any delay or disruption provides you, as the Captain, with an
opportunity to dispel any fears or worries that passengers may have and allows you to promote the “safe and caring”
image of Cathay Pacific. A good explanation will also ease the ISM’s and Cabin Crews’ workload by providing the
passengers with full and complete information so that the passengers don’t have to be continually asking the Cabin
Crew “What is happening?” or “How much longer?”
Some things to think about before you make your delay or disruption PA are;
Don’t continually apologize for delays, one good and simple explanation will usually suffice.
Don’t lie or be creative and make things up. Passengers do actually listen to PAs and any falsehoods may come
back to haunt you.
Tell the truth. How much of that truth you elect to reveal is up to you and depends on the particular
circumstances you face. This is one of the secrets to making effective PAs.
Do not get too bogged down trying to explain technical stuff to the generally non-technical and uninformed pax.
You’ll either bore them and they won’t listen or you’ll scare them. Again, how much you reveal is up to you and
your current circumstances.
If you get delayed either departing or arriving at your destination, give your best estimate of the time delay.
Remember, you are not a fortune-teller and can only work with the information that you currently have. Be
prepared to make further PAs to keep your passengers updated with any new information that you receive.
Abnormal or Emergency Situation

During abnormal or emergency situations you have to display Leadership and Captaincy. You MUST inform the
passengers of what is happening and what you intend to do about it. Your primary method of communicating your
intent to those aft of the cockpit door is by the PA system.
These situations will be unique and only very general guidance of how to make a PA in these situations can be
given.
You will be under some form of additional stress (a lot of stress?). When under stress, you will tend to speak
quickly and in a higher pitched tone. This quick, high pitched vocalisation tone is usually interpreted by listeners as
panic, fear or distress. So before you make your PA, take a deep breath, rehearse what you are going to say, force
yourself to enunciate and speak at a normal pace and clearly. Sound like you’re in control and have the situation in
hand.
Think about it now, in the calm, safe environment of your home so that you’re ready if it happens for real on a
dark and stormy night. Be short, succinct and speak clearly to get your intended message across.
Communication Resources
The following are some articles that you can utilise to further your understanding and application of
Communication.
Kai Talk
Communication Breakdown. An article by Peter Simpson (Manager Flight Safety) (Kai Talk – Issue 2, 2005).
Communication, Crew And Controllers. An article by Peter Simpson (Manager Flight Safety) (Kai Talk –
Issue 2, 2005).

Good judgment comes from experience.
Unfortunately, experience usually comes

from bad judgment.

Problem Solving & Decision Making
Pilot judgement is the process of recognising and analysing all available information about oneself, the aircraft, the
flying environment and the purpose of the flight. This is followed by a rational evaluation of alternatives to
implement a timely decision which assures safety.
Pilot judgement involves your attitude towards risk-taking and your ability to evaluate risks and make decisions based
on your knowledge, skills and experience. (FAA)
You – The Decision Maker

One of the biggest changes and challenges that you will experience in moving from the Right Hand Seat as F/O to
the Left Hand Seat as Captain, is that now you will have to make decisions; and lots of them.
As an F/O you usually don’t get to make the final decision. An F/O may have an opinion, but he normally doesn’t
have to make a major decision. There is a big difference between having an opinion and making a decision.
It is perhaps worthwhile reviewing the Command Skill, Core Competency of Problem Solving and Decision
Making as detailed in the Command Course – Flying Phase Course Book. You will be expected to have the following
traits;
Is capable of lateral thought.

Are you confident enough that you will exercise your Command authority to the fullest extent, while remaining
within the guidelines prescribed by policy, procedure, rules and regulations? This requires sound preparation to
be able to use these guidelines creatively but still remain safe and legal.
Analyses problems logically and in a pragmatic fashion.
Can you recognise that a problem exists, identify that problem and then solve it by making a sensible decision and
then actioning that decision? This Chapter will present some guides on how to do this.
Establishes priorities.
Often you will be required to deal with several things at once. You will need to determine which is the most
pressing problem and deal with that first and defer the lesser problems to later. See the Task and Workload
Management Chapter also.
Uses a structured approach to problem solving (such as the CLEAR model).
Do you even know how you solve problems? What decision making method do you use? This is what this
Chapter is all about.
Recognises risk and strikes the correct balance between risk and commercial considerations.
You are the primary Risk Assessor and Risk Manager for your flights. Any decision is always a compromise
between the costs and the benefits and your assessment of the Risk involved will need to be balanced.
Exercises good judgement and airmanship.
In short, you will be expected to display common sense and utilise your previous experience.
Makes decisions in a rational and timely way, consistent with the nature of the problem and the time pressure
that exists.
How good is your time management? Again this is a primary goal of this Chapter.
Solutions to problems are not overly complicated.
KISS. You will not impress anyone by overly complicating any situation.
Resolves conflicts and doubts satisfactorily.
You must not only be able to resolve your own doubts, but also those of your team members. This requires good
communication and CRM skills.
Are you able to do these skills? How do you make decisions? If you don’t know how, then how can you possibly
self-critique yourself and learn to be a better decision maker? How do you exercise good judgement (and what is
“good” judgement)? How do you assess risk?
Most pilots have great difficulty in actually answering these questions. The usual answer to the question “How do
you make decisions?”, is “I don’t know, I just do it”.
The remainder of this Chapter will attempt to educate you so that you can recognise your decision making traits
and qualities so that you can improve your own personal decision making.

If you don’t understand why and how you make a decision, you will not be able to look back and reflect on your
good (or bad) decisions and so learn from them. And learning how to make good decisions is the goal of any good
Commander.
What Is A Decision?
A decision is simply the choice we make when there is more than one option. If there is only one option then
you don’t need to make a decision.
A judgemental decision always involves a problem of choice, an unknown element and usually a time
constraint and stress. (FAA)
This FAA definition succinctly encapsulates the conflicting requirements and operational constraints that you will
regularly encounter as the Captain. You have to accurately determine what the problem actually is and so choose the
most appropriate decision, with limited, ambiguous, incomplete data, within limited time that is continuously ticking
away, while you yourself are under pressure and stress.
The eventual decision that you make will never be perfect. There will always be advantages and disadvantages
with any decision you make (e.g. diverting to an alternate airfield due to poor weather may have an operational
safety advantage, but also a concurrent commercial disadvantage).
Part of your job as a decision maker is to balance these conflicting outcomes and this is normally done by
assessing and managing the risk associated with the available options.
Aviation Decision Making

Decision making in the aviation environment is heavily influenced by two absolute and constant factors.
You Can’t Stop
The first factor is that for most of the time you cannot stop (you can stop on the ground in certain situations, but
not in the air).
Aviation occurs in a dynamic environment. Decisions are often like errors, one thing will lead to another and a
“decision chain” will eventuate. Most of the time you cannot undo something; it is frequently irreversible. You can’t
press the pause button or rewind and review or reassess a decision already made. You can’t get back the fuel you
have burnt, erase the track miles already flown or go back to an Enroute airfield after you go past its’ Point of No
Return.
A poor decision (that is eventually recognised) will very often require many more decisions to effect error recovery
or to achieve your original desired outcome.
Time
Time waits for no man. Time marches inexorably on.
The second factor, time, is always present in whatever you do in aviation. As the Captain you will have to learn to
be an efficient Time manager, as its’ mismanagement is usually a factor in any aircraft incident or accident.
(Time) is the most valuable thing you have. It is perishable, it is irreplaceable, and it cannot be saved.
It can only be reallocated from activities of lower value to activities of higher value. (Brian Tracy)
With limited time you must effectively prioritise your tasks and workload, particularly decision making; resolve the
most pressing problem first and defer other lesser important problems for later.
The amount of time available (or the perceived lack of it) has a direct effect on your decision making abilities and
the quality of those decisions. A decision is only “good” if it can be implemented in the time available with the
know-how and expertise available at that time.
Each decision is only valid for a limited period. There is almost always a “deadline” due to time constraints and
the fact that you can rarely stop the aircraft. Beyond this deadline, the decision has no value, for if it is not taken in a
timely manner or not implemented, it is either ineffective or too late.
Basic Decision Making Model

It is perhaps best to use a basic decision making model and start with a brief overview of the entire problem
solving and decision making process before we progress and study decision making in greater depth.

As the title to this Chapter suggests there are two broad components in the entire decision making process. First
you have to recognise that a problem exists and determine what the problem actually is. This recognition then leads
to the second component of the process of making a decision and then implementing it through action.
The entire process is circular, cyclical and continuous and after you put your decision into action you must review
if your decision is actually solving your originally defined problem.
Problem Solving
INPUT
Before you even make a decision you must recognise that
a problem exists. This is accomplished by effective
monitoring of the flight, the environment, the team and the
instruments in the cockpit which results in you continually
updating your Situational Awareness.
Good monitoring and SA results in you recognising that a
problem exists, but then you must accurately determine
What Is The Problem? The nature of the problem will
establish the decision(s) to be made.
Problem solving is the INPUT stage and the start of the
decision making process.
Decision Making
OUTPUT
After establishing what the problem is you then make a
decision to solve that problem to your satisfaction.
As part of your judgemental decision making you may have to balance one option against another and assess the
risks associated with the option(s).
Part of making a decision is ensuring that it is enacted. A decision without action is useless.
Decision making is the OUTPUT stage of the entire process.
Review
Once you put your decision into action, you must continually review the outcomes of that decision. Are we
achieving our desired outcome?
This Review feedback loop “closes the circle” and is where you will pick up errors in your problem solving; “Did I
work out what the real problem actually was?” and also errors in your decision making; “Is my decision actually
solving my problem?”. If you cannot answer “Yes” to either of these basic questions you will need to restart the
problem solving and/or decision making again.
This diagram illustrates a very basic decision making model and displays the essential steps that you will have to
complete as the Command decision maker.
This basic decision making model will be expanded later to include other important steps in the problem solving
and decision making process.
Communication
While communication is not a formal part of the problem solving and decision making model, it is essential for
good crew decision making and overlays the entire process.
Good communication is required in both the problem solving and the decision making stages. Good
communication coupled with effective CRM ensures that everyone in your team knows what the problem is, how
you are planning to solve it and is striving to achieve a satisfactory outcome to fix the problem.
Problem Solving. You will need to share your Mental Model in the problem solving stage with the rest of your
team. Gathering data and information is important in this stage to ensure that your team agrees with the assessment
of What is the problem.
Decision Making. Communication Of Intent is vital in the decision making stage. This is where you implement
your decision by initiating action, providing direction or delegating tasks within your team members.
Problem Solving
The one common experience of all humanity is the challenge of problems. (R. Buckminster Fuller)

Before you make a decision it is absolutely crucial that you recognise and then determine and define what the
problem actually is.
A problem unrecognised will be ignored and no decision

will eventuate. A problem inaccurately defined will result
in an incorrect decision which will either not solve your
original problem or exacerbate or complicate the original
problem.
A problem well defined frequently suggests its own

solution.
Define The Problem
Before you can define the problem you must first
recognise that a problem exists. This recognition occurs
when your preparation, experience, knowledge,
airmanship and common sense mesh with your
monitoring of the flight, the environment, the crew and
the situation. In other words, you have good Situational
Awareness; and more particularly Level 3 SA.
Your senses will have gathered the “raw data” it will
then penetrate your consciousness and you will recognise
that information. This recognised data will then be further filtered by your perception of the situation.
Now you must ensure that your perception of the problem is in fact correct. You need to Define The Problem.
If you don’t know where you are going, every road leads you to there. (Lewis Caroll)
A problem well stated is a problem half solved. (John Dewey)
You do this by gathering and seeking extra information or raw data to either confirm your initial diagnosis or for
you to realise that your initial perceived problem was incorrect. This extra information/data may come from your
internal senses or from external sources such as your F/O, other Crew members, Company publications or policy,
ATC, Engineers, Operational staff, other aircraft etc. (i.e. your “extended team” members).
Involving your crew and communicating your perception of the problem – your Mental Model, or what you think
is happening – is essential in this problem solving step. Your other team members may have some information that
you have missed, or may even completely disagree with your assessment of the problem. By defining the problem in
the early stages of the decision making process may save valuable time later, especially if you eventually realise that
you have been solving the wrong problem.
Gathering further supporting information to assist in Defining The Problem is one of the very first steps in the
CLEAR Model – Clarify the problem.
Selling & Ownership

Once you have Defined The Problem you may have to “Sell” it to your crew (involve them, get them to agree that
this is in fact the problem – or not) and engender a feeling of “Ownership” of the problem in which they feel that
they have been consulted with the assessment of the problem and so have some control over their actions and
destiny.
If you can “Sell” the problem and your crew has this feeling of “Ownership” they will be more willing and more
active at solving the problem and as a result, highly motivated. Contrast this with a crew who has had the problem
and solution “imposed” upon them by an Autocratic Captain. This crew will be less co-operative, less motivated and
less willing and helpful – a less effective team.
A function of your Leadership is to involve your team members, build support and enable contribution from your
team members. It makes your overall job easier, more proficient and less stressful.
Symptom Vs Problem
What appears to be a problem may be just a symptom of a larger underlying problem. There is no point in curing
the “surface” symptom and then leaving the underlying “deeper” problem unresolved.
Since all problems have solutions, it’s critical that you define your problems correctly. If you don’t, you
might solve the wrong problem. (Jack Foster)

An example: If you are unlucky enough to get a Cargo Fire/Smoke warning indication inflight, is the real problem
the fire/smoke or is it getting on the ground ASAP? If you discharge the fire extinguisher and complete the checklist
actions have you actually solved your problem or just fixed one of the symptoms?
Ask yourself “Is this ‘surface problem’ masking a ‘deeper’ more important problem?”
How You Define The Problem
How you Define The Problem will quite often influence how you arrive at the solution – the decision to solve the
problem.
The solution to a problem changes the nature of the problem. (John Peers)
To solve the problem, you may have to redefine it. (Jeff Chase)
For example: If the weather at your destination is poor and deteriorating, is the problem “The weather is poor”,
or is it “We may not have enough fuel to hold and do the approach”? How you define this problem will dictate your
solution. Solution 1 may be “We will do a Cat 2/3 approach and Autoland”. Solution 2 may be “We will hold and
attempt an approach until xxxx time or xxx amount of fuel remaining, then we will divert.”
If you get stuck Defining The Problem you may have to start the decision making process from the start again.
Your definition of the problem can either make it OBVIOUS to your team or will CONFUSE them.
If a problem has no solution, it may not be a problem, but a fact – not to be solved, but to be coped
with over time. (Shimon Peres)
It isn't that they can't see the solution. It's that they can't see the problem. (G. K. Chesterton)
Be careful that you as the Captain don’t define the problem in such a way that the decision and solution is
implied.
For example: “The HYD system has failed.” This implies that the solution is to turn off the affected HYD system.
But, what if it is an indication problem and the HYD system is in fact operating normally? You have missed the
opportunity to correctly diagnose the problem by utilising the co-operation and expertise of your other crew
members. You will probably get it right most of the time – but is this good enough? Why not increase your chances
of getting it right by using your entire team.
Ask open questions of your other team members such as, “It looks like we have a HYD problem. Check the
gauges and tell me what you see”. In this way you will get their perceived interpretation of the problem. If your
crews’ perception agrees with yours great...if not you may have to seek further information or data.
Those Really Tricky Problems

If it is a novel, unusual, complex and ambiguous problem you might have extreme difficulty in actually Defining
The Problem. It may be beyond your team’s resources, time available, workload, stress and brain power.
You might be reduced to generalising and defining the problem as “I don’t know what is causing this (...insert
unusual problem indications here...), but we need to get on the ground ASAP”. While you don’t define the actual
problem, you do eventually formulate an acceptable solution to not solve it, but eliminate or mitigate it (“Let’s land
ASAP and run away!”)
There will never be the ONE RIGHT, PERFECT solution. Don’t become paralysed by trying to Define The
Problem to such an extent that you do nothing. Often you will have to Satisfice(1) – take the closest, good enough,
but not perfect option. You may not know the true problem and it may not be the optimal solution...but it’s good
enough.
Sometimes getting on the ground AND then worrying about the problem is a good option.
(1) Satisfice; a combination of the words satisfactory and suffice. When you satisfice you seek a decision that is the first one that is “good enough”
or “near enough”. It may not be optimal, but it’s close enough to achieve your goal.
Remain Problem Centred

Focus initially on being Problem Centred and not being Solution Centred.
Gain extra information to accurately Define The Problem. If you are Solution Centred you will often entirely skip
this step and jump straight to the Decision and Action stage.
When the only tool you own is a hammer, every problem begins to resemble a nail. (Abraham Maslow)

Skipping this vital step of correctly Defining The Problem by remaining Problem Centred, often results in failing to
identify the real problem. As a result you will solve the wrong problem (or just solve a symptom of the real problem)
and leave the real problem festering waiting to catch you out.
You may even have to disengage yourself from the Problem/Solution process and take a “Mental Step Back” to
look at the Big Picture and update your SA. You might then notice or take in some other more important information
which may help you to more correctly Define The Problem.
Problem Solving Summary
Involve your crew and team and get them contributing (after all that’s what CRM is all about). “Sell” the problem
to them and enable them to take “Ownership” of the problem.
There is no point in defining the incorrect problem and them making a decision and solving that wrong problem.
It is essential that you take the time and effort to correctly Define The Problem.
Decision Making
After defining the problem, you then must choose from available options how you are going to solve that problem
– you must make a decision.
And not only decide on an option but enact that decision – decide and act.
Decision Methods
While learning about decision making is as exciting as watching grass grow, it is valuable aviation knowledge to
have as you will then be able to re-examine, review and self-debrief your decisions with the view to learn and
incorporate the good and avoid the bad in your future decision making.
Decision making is an essential Command skill and is one area that some Trainees struggle with, especially during
the Command LOFTs when things rarely go to plan and inflight revisions, diversions and decisions are invariably
required to cope with abnormal and emergency situations.
There are two broad decision methods that you can use to make decisions. Each has its’ strengths and
weaknesses and depending on the situation, your assessment of that situation and your skill, experience, preparation
and knowledge will determine which of the two you elect to use.
You probably already use a mix of these two decision methods in your day-to-day decision making – you just
don’t know about them. Much of your decision making skills were probably acquired through osmosis; by observing
what and how your previous Captains, simulator instructors and fellow crew members did when they made
decisions.
Hopefully after you assimilate this decision making knowledge you will be a better decision maker and as a direct
result a better Captain.
Analytical
Analytical decision models assume that you will be rational, use logical thinking, gather all the relevant
information or facts (individually or as a team), investigate, calculate and assess all the appropriate options (and there
may be many options) and after completing this through analysis choose the option that will derive the greatest or
optimal benefit.
The CLEAR Model is one example of Analytical decision making (more on the CLEAR Model later). When you
don’t know or are unsure about what to do, start to use an Analytical decision making Model such as the CLEAR
Model.
Following an Analytical Model will not guarantee an optimal solution, but it does provide a structured, logical and
easily understandable method to initiate the decision making process, reduce the probability of missing an essential
step and increase the chance of arriving at a suitable solution.
There are some significant drawbacks in the practical use of Analytical decision making in aviation.
One is that you require sufficient time (usually lots of time) to complete the various analysis; time that you often
don’t have. Another is that you need lots of information; correct, relevant information, which again you often won’t
have. And both of these disadvantages require that you have sufficient spare mental capacity to cope with the lack of
time and the large amounts of data.

Intuitive
The other broad decision making method is the Intuitive
method.
This method is what researchers have determined that pilots
actually use for real in their time constrained, fast paced, dynamic
environment.
Intuitive decision making is what is occurring when “things just
pop into your head” or you go with your “gut feeling”. Most people
have great difficulty explaining how they arrived at their decision
when using this Intuitive method.
The Intuitive method is more suitable for situations when you
have little time available, there are multiple conflicting (and often
changing) goals, involving multiple players or teams (sometimes
requiring shared decision making), you have incomplete, ambiguous
information, while operating in a changing and dynamic
environment.
You need to be experienced – an expert – to be able to use this
decision making method. Novices or less experienced aviators are
much more likely to use a more Analytical decision making method as it is easier to implement and understand
because it is more structured and defined.
Another disadvantage of the Intuitive method is that you can “jump to the wrong conclusion” which results in
either diagnosing the problem incorrectly or implementing the incorrect decision. For this reason Intuitive decision
making requires a strong, continuous Review feedback loop to guard against these types of errors.
Comparison Of Decision Methods

Analytical Intuitive
Seeks an optimal, best solution. Seeks a “good enough” solution (satisfice).
Examines all of the various options simultaneously in Examines options serially, one by one until a “good
parallel and then compares the final results to choose enough” solution is found. The process is then
the optimal solution. stopped.
As the optimal, best solution is chosen after careful As a “good enough” solution is chosen after a brief
deliberation, requires less extensive, general Review examination, requires robust and extensive, specific
feedback to determine if the goal is achieved. Review feedback to ensure that the goal is achieved.
Rational, logical and structured. “Irrational” and relatively unstructured.
Requires lots of time and is generally slower. Requires little time and is generally faster.
Requires more brain power (conscious thinking). Requires less brain power (unconscious thinking).
Requires lots of information and data. Requires minimal information and data (or the pilot is
able to determine the essential, relevant information
from amongst all the other irrelevant data).
Suits novices or inexperienced pilots. Suits experts and experienced pilots.
Can be complex with many options. Can be simple with few options.
Based on examining all options. Based on heuristics (“rules of thumb”) and individual
biases (human element).
Four Decision Types

Within the two extremes of the Analytical and Intuitive decision methods are four suitable decision types that you
can use when making decisions as a Commander.
They are sorted such that the first is mainly Intuitive and then they progress on a sliding scale towards the last
which is mainly Analytical.
No one decision type will ever be entirely Intuitive or entirely Analytical; in real-life situations they all possess
elements of both methods, it is just the proportions of each method that varies.

1. Recognition Primed Decision (RPD) is almost entirely Intuitive with just a little bit of Analytical.
2. Rule Based (RB) is mainly Intuitive with some Analytical.
3. Choice, is mainly Analytical with some Intuitive.
4. Creative, is almost entirely Analytical with just a little bit of Intuitive.
The first two decision types (RPD and RB), which are primarily Intuitive methods, are the types you will use in
most normal or abnormal circumstances. You may have to use the primarily Analytical method of a Choice type
occasionally and the Creative type rarely.
Which decision method and type you chose to use will depend on your
familiarity with using the various decision types, adaptability, assessment of the
situation and your skill, experience, preparation and knowledge.
1. Recognition Primed Decisions (RPD)
This type of decision making is almost totally an Intuitive method. It is the type of
decision making that most experienced pilots use.
It gets its’ name from the fact that you recognise key or important select cues
rather than engaging in analysis or calculations and this “primes” you to make a
decision.
It is very suitable in the aviation environment as the decision making process is
rapid, requires minimal conscious effort and takes little time.
The difficulty with this type of decision making is that it relies heavily on your
individual past experiences to recognise the sets of information that trigger the almost
automatic decision response. It is hard to teach, hard to learn, tricky to debrief and relies on a great deal of practical
exposure.
In RPD you are effectively “pattern matching” – you recognise a particular set of information from your PFD, ND
or other data source or indications – specific, particular “patterns” that are often buried within a multitude of less
important and irrelevant data – realise almost unconsciously that it is a problem and retrieve from your storehouse of
long term memory a course of action to solve that problem. This is what is occurring when “things pop into your
head”.
Heuristics (“rules of thumb”) and personal bias (your own personal way of doing things) heavily influence RPD
decision making. These “short-cuts” to decision making are what makes RPD decision making so rapid.
It is probably best to explain how these two factors, heuristics and bias, work with a practical example.
You see on checking the met forecast at dispatch that your destination of VHHH has RASH and a TEMPO of +RA
with visibility reducing to 2,000m.
You may have a personal heuristic that you will carry an extra 30 minutes destination holding fuel anytime the
visibility reduces below 2,500m. This heuristic may have been given to you by a more experienced pilot and
further reinforced by past personal experience in marginal weather approaches.
This heuristic and your personal preference (bias) is “activated” whenever you see visibility at less than 2,500m,
associated with poor or marginal weather (pattern matching) and your reaction to this RPD type event is to carry
30 minutes destination holding fuel.
Little time is wasted and a minimal amount of brain power is used as you have already decided what you will do
in this type of situation (this can be considered to be a form of “decision preparation”).
Because RPD type decisions occur rapidly, involve heuristics and personal bias and do not involve in-depth
analysis of the situation, a very robust Review feedback loop is vital to determine if you have correctly assessed the
problem and that your decision is achieving the desired outcome.
2. Rule Based (RB)
This type of decision making is mainly Intuitive (provided you know the “rules”) with some components of
Analytical and is a common aviation decision making type that you will use extensively.
Some decisions are pre-made for you and are included in the policy, procedures, NPs, rules and regulations that
are contained within the publications that are in the flight deck library. The NPs, Fuel Policy or ECAM/EICAS actions
are examples of RB types of decision making. If you know the “rules” you don’t have to think too much about them,
you just retrieve the rules and comply with them.

Rarely performed abnormal and emergency actions are also considered to be RB decisions. In time critical and
high risk situations it is essential that you perform the RB actions rapidly and correctly. Rejected take Off actions and
emergency/abnormal “Memory Items” are examples of time critical, high risk situations that are RB decisions.
Preparation prior to commencing your Command Course is required before you can use the Rule Based (RB)
decision type. You don’t have to expend too much time or brain power in accessing RB decisions (provided you
have adequately prepared and know that the rule exists!), you just have to comply with the intent of the rule. RB
decisions do however require conscious effort to recall the rule or procedure from memory or to recognise that the
information is contained within a publication and for you to look the rule up.
You may find that as you begin your Command Course you will rely heavily on RB decisions as you are a “novice”
Captain. The more exposure to Command situations and the more experience and expertise that you gain will result
in the RB process becoming more and more automatic and blending into a more RPD process.
Two Notes Of Caution go with RB decision making;
1. Most “rules” are written as a result of the hard won experience of previous crews. However, they are written with
a “normal” situation in mind. Don’t become so fixated and narrow-minded that you prohibit yourself from
“thinking outside the box” if the situation warrants. There is no point in complying with the “rules” if in an
unusual situation it results in more risk or compromises safety or just plain doesn’t make common sense for that
situation. Remember this sentence from your NPs “The Captain retains the authority to vary procedures if and
when circumstances dictate.”? You need to have a very good reason for NOT doing things the prescribed way,
but you can do whatever you want as long as you can justify it (to yourself, your crew and possibly to CX
Management).
2. You cannot and are not expected to know everything. But you are expected to know where to find the answer or
solution to problems that will inevitably occur during your Training. Get intimately familiar with the books, use
their indexes/chapters and be able to locate sections quickly.
3. Choice
This type of decision making is mainly Analytical with some components of Intuitive.
The CLEAR Model is a Choice decision type and is the type that CX promotes. Other Choice types that you may
have encountered are A-GRADE (QF), DODAR (BA) or DECIDE (FAA).
Choice decisions require analysing multiple sources of information, while generating numerous alternatives and
their outcomes and then assessing and choosing the best option.
This decision type requires a lot of information/data, time and brain power and is relatively slow. It may not be
suitable in some fast paced, dynamic situations as the goals may be rapidly changing.
The advantage of a Choice type decision process is that it is structured, logical and relatively easy to apply. When
you don’t know what to do, you should start a Choice type decision process such as the CLEAR Model.
4. Creative
This type of decision making is almost totally an Analytical method.
It is used whenever you encounter a completely unique and novel situation that you or your crew have never
experienced before, have no knowledge of, and there are no procedures, guidelines, rules or policy to assist you.
There are no ready-made solutions. You have to “make it up as you go”.
Common sense, innovation, lateral thinking, communication, CRM, sound judgement and airmanship are
definitely required. Creative decision making requires an accurate diagnosis of the problem, large chunks of your
entire team’s brain power and is complex and time consuming.
It is rarely used in normal aviation decision making due to these severe constraints, but it may be an appropriate
decision type when faced with a novel, complex, abnormal situation. Ensure that you manage your time, workload
and prioritise tasks effectively.
Advanced Decision Making Model

At the beginning of this Chapter a very basic decision making model was presented consisting of just a Problem
Solving and Decision Making loop.
Decision making cannot be undertaken in isolation; it requires some of the other Command Core Competencies,
particularly Situational Awareness, Communication, Threat and Error Management and Task and Workload
Management for you to effectively make high quality decisions. Reference to these other Chapters may also be

required to remind yourself of the essential characteristics that they each contain and their relevance to decision
making.
We will now expand this basic model to a more advanced decision making model that more closely reflects how
you make aviation related decisions for real.
While either of the two main decision methods (Intuitive or Analytical) and any of the four decision types (RPD,
RB, Choice or Creative) can be used with this Advanced decision making model, it is best suited to the more Intuitive
methods (RPD and RB). While this Advanced Model is not as well suited for Analytical methods (Choice and
Creative), do not dismiss it immediately as with adaptation it may be relevant for these types of decision making as
well.
Note that the fundamental layout of this Advanced Decision Making Model is still circular.
INPUT
OUTPUT
1. Situational Awareness
Situational Awareness is where the decision making process starts through an awareness of the aircraft, the flight,
the crew and the environment. It is the INPUT stage to the decision making model.

This is where you recognise that a problem exists and you carry out the problem solving to define what the
problem actually is. See the Problem Solving section that was discussed earlier in this Chapter for expanded Problem
Solving information. It is important to accurately define the problem as this will often dictate the solution or decision
that you make.
Good monitoring and SA is required as you can’t solve a problem if you either don’t recognise that a problem
exists or you realise that something is amiss but don’t know what the problem is.
Share Your Mental Model
Also required is good communication, and more specifically sharing your Mental Model. This is your perception
of what the problem is. It may be correct or incorrect. By sharing your Mental Model you provide your other team
members the opportunity to either agree with your assessment (you’ve probably got it right) or alert you to missed
information or their perception of what the problem is if it differs from yours (you may have got it wrong).
Potential errors that may occur at this stage are an inaccurate appraisal of the problem. You may have to seek
more information or data to clarify the situation and problem. To avoid this error, ask yourself;
“Are we missing something?”
2. Situation & Risk Assessment

Experience plays a big part in this stage of the decision making process – to be able to recognise the developing
situation from amongst all the other competing lesser or irrelevant information. You will also be required to assess the
risk and apply risk management strategies to transfer, eliminate, accept or mitigate the perceived risk.
Good Level 3 SA is required to project possible consequences into the future to choose safe, viable and practical
courses of action. Sound TEM is also required to avoid possible threats.
Risk
Contained within the decision making process is also the related subject of risk management, an area that is
important for Commanders.
You are required to be a Risk Assessor and a Risk Manager as the Captain and as such decision making is
inseparable from risk. In other words, your perceived assessment of risk and how you intend to manage that risk will
influence your decisions.
This process of choosing the “best” option normally culminates in you completing your Risk Assessment and doing
your Risk Management of the situation. As part of your Risk Management you will weigh up the benefits (positives or
advantages) and the costs (negatives or disadvantages) of the various options available to you. You have to Balance
the Risk.
See the related section later in this Chapter for a review of risk and its’ management.
Potential errors that may occur at this stage are a misjudgement of the situation or the risk involved. You will
need to have reasonably developed risk assessment and risk management skills to balance the competing
requirements (e.g. safety vs operational/commercial). To avoid this error, ask yourself;
“Do the benefits outweigh the costs?”
3. Mental Simulation
In this step you play out the potential decision that has been chosen in your own mind.
You imagine the consequences, the advantages and disadvantages of the possible course of action BEFORE you
commit to the decision to determine if that course of action is safe, sensible, legal and practically viable given the
current situation and the time available.
You will most likely be using a RPD or RB decision type here, so you will probably just quickly run only a very few
Simulations in series and settle on the first “good enough” scenario (satisfice) that presents itself rather than running a
number of in-depth, comprehensive Simulations that will require a lot of time, will be much slower and require a lot
of brain power (things you may not have much of). You will most likely not consciously or subconsciously consider
Plan B until you've completed a Mental Simulation of Plan A and realized it won't work.
Often you will recognise and assess the situation as typical and familiar and be able to rapidly retrieve from your
long term memory a solution for the problem; and so be able to make a decision, which you judge to have a high
probability of success, very quickly after considering only a few very pertinent clues (pattern matching). You may

simply choose an option that you either know works or have experienced success with previously (“It worked last
time...”).
You will either reject the considered decision and return to the previous step of Situation and Risk Assessment to
chose another alternative if during your Mental Simulation you determine that it is not feasible or practical (NO), or
accept it and then move to the next step of Decision and Action to put your preferred alternative into action (YES).
You may even establish that your original course of action may have to be modified due to short-comings that
became apparent during your Mental Simulation, but with suitable amendments and after re-running the Simulation
the changed option is now suitable (NO into YES).
You may estimate potential Threats that are associated with the possible decision and generate Strategies to avoid
those estimated Threats as part of the Simulation (TEM).
This Mental Simulation is like a mini-internal review loop so that you can assess or gauge the viability of your
prospective decision and is a GO/NO GO stage which has the potential of halting and re-starting the process before
you waste time and effort on a poor or unworkable decision choice.
If time is particularly limited a full Mental Simulation may not be possible. In these time-critical situations you
may have to proceed with a decision that your previous experience indicates may have the best chance of being
successful and cope with amendments and modifications as you Review your decision to verify if you are achieving
your desired outcome. A perfect solution is rarely possible and compromises will often have to be made to strike a
balance between the advantages (benefits) and the disadvantages (costs) as you cope with time pressure and the
dynamic environment.
Potential errors that may occur at this stage are considering insufficient options or not mentally simulating an
option to its ultimate conclusion. Especially when using RPD decision making you may choose the first “good
enough” solution (satisfice) and not continue further to consider other options that may possibly be better options.
To avoid this error, ask yourself;
“Have we considered all reasonable options?”
4. Decision & Action

The eventual decision you make is the observable OUTPUT of a complex judgement process that you (usually
unknowingly and sub-consciously) go through. See the Decision making section that was discussed earlier in this
Chapter for expanded Decision & Action information.
The decision you make is normally the only thing that others can “see” – they don’t get to “see” how you arrived
at that final output decision (one of the reasons why decision making is so hard to self-review or debrief).
You may have gone through a number of options that you can choose from during your Mental Simulation step,
which results in a number of different possible decisions that you can choose from or you may have settled on the
first “good enough” option. It’s your job to choose the best one to suit the situation that you find yourself in.
Easy Decisions
Often it will be relatively easy – during your Mental Simulation you assess that Option A is very much better (or
safer) than Option B because of...
Often the decision will already have been made for you and incorporated into NPs, policy, procedures, checklists,
QRH/ECL, manuals or other publications (Rule Based decision making).
For you to be the most effective as the Commander and the primary Decision Maker obviously requires that you
be knowledgeable and adequately prepared to take advantage of this. Ensure that you thoroughly know your stuff, as
this will make your decision making far easier, quicker, more correct, less stressful and allows you to have more Spare
Mental Capacity (SMC) so that you can then fulfil your Leadership and Command functions and manage the situation
after you have made your decision.
Hard Decisions
Sometimes the decision will be hard. A lot of the time you will be operating in unclear, ambiguous and novel
situations – the “Grey Areas” where the required decision is not clear-cut. The process of making a decision when
operating in these Grey Areas takes longer, more brain power (more of an Analytical decision making method may be
required) and you may be unsure if you’ve eventually made the correct decision.

Can you see why it’s essential that you are knowledgeable and prepared? Why as the Captain you need much
more refined and better developed communication, SA, TEM and monitoring?
“Closing the circle” and ensuring that a strong Review feedback loop is accomplished is essential when
completing these hard decisions. It will be the only way you will be able to determine if you are solving your
problem satisfactorily and achieving your desired outcome.
Action
To accomplish results you must couple your decision with the necessary action to attain results. The formula for
achieving results is:
Decision + Action = Results
A decision without action is no more powerful than indecision or no decision. Decisions are powerless unless we
follow through. Without action, you could make the greatest decision and have the greatest plan in the world and
you would still fail. However a modest idea and an incomplete plan often produces success when accompanied by
enough action.
A well thought-out decision is useless unless acted upon (in a timely manner).
Indecision is debilitating; it feeds upon itself; it is, one might almost say, habit-forming. Not only that,
but it is contagious; it transmits itself to others. (H. A. Hopf)
In any moment of decision the best thing you can do is the right thing, the next best thing is the wrong
thing, and the worst thing you can do is nothing. (Theodore Roosevelt)
Even if you are on the right track, you will get run over if you just sit there. (Will Rogers)
Make A Decision
Often in the difficult decision making situations you will need to come up with A Decision. Sometimes any
decision is better than nothing. It doesn’t have to be perfect or optimal (sometimes you have to satisfice), but you
can’t afford to be indecisive.
If your initial decision is incorrect, imperfect or can be refined to a better outcome, then the final part of the
Decision Making Model, Review, can be used to improve that initial decision. But don’t just sit there being hesitant,
uncertain and indecisive.
Never, ever forget that this is a team game. YOUR decisions potentially can affect hundreds of people. More
specifically your immediate crew and team members (F/O, S/O, ISM and Cabin Crew) will be looking to you for
guidance and direction in these difficult situations. Sometimes it may be appropriate to initially make a decision (any
decision), get your team focussed on what you require from them and then revisit the whole Decision Making Model
process to amend or refine your initial decision to provide a better outcome.
You have to be flexible and adaptable, while at the same time being CDF – Clear, Decisive and Firm.
When Doing Nothing Is A Decision
Occasionally you may find yourself in the situation where after completing your Risk Management in the Situation
& Risk Assessment phase you decide that doing nothing is the best option.
This is fine, but make sure that you communicate your Mental Model of your perception of the circumstances and
your intention to do nothing to the rest of your team. Otherwise they might think that you’ve gone to sleep or
haven’t made a decision at all!
NOTE: This “do nothing” option is only valid if you have made a conscious decision to do nothing and
communicate that intent to your other team members.
This is OK.
If you do nothing for any other reason it is either due to ignorance of the situation because you did not recognise
the developing signs or indications, or did not have the knowledge or skills to formulate a decision.
This is definitely NOT OK.
Communicate Your Intent

Now that you have made up your mind and made your decision, you need to communicate your decision,
intentions and requirements to the rest of your team.
This may also include not only your F/O, S/O, ISM and Cabin Crew, but also your “extended team” members
such as your passengers (by PA), ATC, IOC and Engineering, Traffic and Ground Staff etc.

You may need to inform your team as to why you have decided on this particular course of action. You have to
convince them that this is the right thing to do. You need to get them to “come on board” with you and to take
“ownership” of your decision. It may require you to “sell” the decision to others to convince them that this is the
best possible decision, in the current circumstances, so that they willingly follow you.
It’s all about team work. If you can get your followers striving towards a commonly understood and accepted goal
as a functional team then they will perform better than a bunch of unconvinced individuals pulling in different
directions.
As the Leader you can delegate tasks to various individuals in your team. Ensure that you tell these people their
required tasks, what you expect from them, to what standard and how much time they have to complete the task.
Be Clear, Decisive and Firm and implement into action your decision.
Potential errors that may occur at this stage are rigidly sticking to your original decision, despite conflicting or
contradictory evidence. You need a strong feedback review loop to ensure that you are in fact solving your
original problem. To avoid this error, ask yourself;
“Are we achieving our desired outcome?”
And if not...
“Could we be wrong?”
5. Review – “Closing The Circle”

This Review step is like a closed feedback loop and its’ purpose is to ensure that the decision that you put into
action is indeed achieving your desired goal or outcome.
There is no point in implementing and executing flawlessly a decision, if that decision does NOT solve your
original problem. Problem Solving and Decision Making are intimately interwoven – the problem drives the decision
and sometimes the decision will change the problem.
The only way to determine if your chosen decision is satisfactory and is achieving your desired outcome is to
review the eventual outcome that comes from the action that is taken after you make a decision.
In fact, most pilots do real-life decision making by doing a bit, observing the change, then doing a bit more,
observing that change etc. You use the feedback from your initial actions to refine and modify your initial decision to
attain your eventual preferred outcome.
The difficulty occurs when your decision and its’ actions DO NOT achieve your preferred goal. If you do not
incorporate this feedback Review into your decision making process you will never determine if you have either;
1. Tried to solve the wrong problem (a Problem Solving error), or
2. Your actions, that come from your decision, are not working (a Decision Making error).
Don’t get caught out by ignoring or disregarding contrary evidence that your problem is NOT getting solved
because you assume that “I can’t be wrong” or “I fixed that problem”. As humans we tend to disregard indications
that don’t fit into our perceived model of the way we think the world should be (assumptions).
We see what we believe, instead of believing what we see.
Evidence Based Feedback (look at your instruments and/or data and take in what they are actually saying) is one
way to counter this potentially erroneous step in your decision making.
Closing the circle by using feedback to Review your decision will result in you determining that you are achieving
your desired outcome (solving your problem), and if not, will indicate that you will have to start the decision making
process again.
Decision Making Practise

Like being able to change your Leadership style to suit the particular CRM situation, you have to be able to
change your decision method or decision type to suit the particular problem you encounter.
Theoretical decision making knowledge is useless.
You have to practise your decision making on Line sectors (ask your Captain if it is OK for you to try this), or best
of all, in the simulator.

You cannot successfully learn and incorporate these decision methods and types into your Command “toolbox”
by just reading about them – you’ve got to practise using them.
The biggest factor you can’t simulate while trying to learn theoretical decision making is the time element. You
may be (unpleasantly) surprised by how time seems to evaporate in real-life decision making situations, which adds to
your stress levels.
Command Skills Training (pre-Command) and Command LOFTs (during Command Training) in the simulator are
an essential step in teaching or assessing your decision making skills. Don’t waste them.
What Do They Want Me To Do?

Do not get distracted by wasting time and brain power by wondering “What do they want me to do?” during
decision making. This type of thinking indicates indecision and under-confidence in yourself and your Command
abilities.
What you need to be thinking is “I’m satisfied with MY decision – now let’s get on with it”. If you can justify why
you chose that option logically and rationally (which may be hard to do if you’ve used an Intuitive decision making
method) and it is safe, legal and sensible, then get on with enacting that decision, being the Captain and Leading your
team. You run the show your way.
Your decision may not be the absolute best decision possible in those circumstances (there may be other optimal
or more efficient ways to accomplish the same outcome), but that doesn’t necessarily mean that it is wrong. You will
make mistakes during your Command Course; complete your error recovery if needed, get on with Commanding the
flight and learn from the experience.
Decisions & Course Phases
If you are in the Basic Phase of your Course, your Trainer may provide assistance or further information to “guide”
you towards a better decision while you are making your decision or to improve the decision outcome. This Phase is
a “training” phase and you are expected to run the operation as Commander, with the Trainer intervening in real
time to make necessary training points.
When you are in the Intermediate and Advanced Phases, your Trainer will likely just let you go (to live with the
consequences, both good and bad), and if improvements could have been made, will point these out in the debrief.
These two Phases consolidate the essential Core Competencies from the Basic Phase and you are expected to
manage the operation with little or no input from the Trainer as events unfold.
Remember – BE THE CAPTAIN.
The CLEAR Model

The CLEAR Model is a logical and structured team approach to any problem situation. It is Cathay Pacific’s
preferred Choice decision type, however, you are free to use any decision making type provided it suits you and
works.
The CLEAR Model provides the stimulus and focus to deal with any non-routine events that may occur in a team
environment. It is easy to remember, uses your team and remains problem rather than solution centred until you
make your decision and then act. And it really does work!
As it is more of an Analytical method of
decision making it is more suited to unusual,
non-standard types of problems where you
have adequate time, your workload is
relatively low and where you have spare
mental capacity to think things through.
If you’re stuck and don’t know what to
do, then the CLEAR Model is a good place to
begin your decision making process.
It also a good method to use when
reviewing past decisions to ensure that your
actions are achieving your intended outcome
or goal.

Like the Advanced decision making model it is also of a circular, continuous, cyclical process with the loop being
closed by the Review step.
If you ever forget what CLEAR stands for look at the clipboards placed on the aircraft – they all have the CLEAR Model
printed on one side of them.
CLARIFY The Problem

It is important to stay focussed on the problem rather than rush to the solution. It is only by properly
understanding the nature of the problem that you will be equipped to offer an informed solution. Traditionally
aviation decision making has leapt from the problem straight to Action; to fix the problem. This is rarely required
(e.g. an urgent, time critical problem). In the vast majority of cases a considered and well developed plan is much
better.
Frequently there will be more than just the one most immediate problem and these all need to be fully
appreciated and then dealt with in order of priority as part of your workload management strategy.
Clarifying the problem can be done either mentally (if it is a time critical issue) or verbalised to the entire crew –
summarising what you perceive the problem to be (by sharing your Mental Model through effective communication)
– so that everyone is informed and aware of what the problem is. If you've got enough time, speed, altitude and
brain power you can even write it down.
It is important that all your team is aware of what the actual problem is, as different people will perceive that
same situation differently and so arrive at different solutions and therefore different decisions and actions.
This is where you as the Leader get to foster and direct your team’s work. You want everybody in your team
striving to solve the same problem in a co-ordinated way.
LOOK For Ideas And Share Information

Teamwork benefits from having different members each with a different perspective of the same problem that
was clarified in the first step. By clarifying the problem you focus your teams’ attention to look for and share
information to fix your problem. Each person should be encouraged to contribute toward this step. A member of
your team may have experienced this problem before and so provide a ready-made solution with appropriate
actions.
Don't just limit yourself to the F/O or other crew members in the cockpit; use your “extended team”. Cast your
net wide. There is a wealth of resources available to today's crew. These include individual Crew expertise, local
knowledge, Manuals, IOC and Engineering (ACARS, Satcom etc.), Cabin Crew (and occasionally Passengers), DT
Company personnel, ATC requests etc.
The more information you obtain, the better will be the quality of your eventual decision.
EVALUATE Different Solutions

It is sometimes easy to look for one solution (often the
first one that pops into your head) to any problem, where in
fact many solutions might exist, some of which will be better
than others. This is now the time to perhaps be critical and
to consider the consequences of any possible solution. You
are in effect doing Risk Assessment and Management
(Option A is better than Option B because of these reasons).
Involve your team in this aspect as well.
ACT On Your Decision

This step is where many people instinctively leap to.
The CLEAR Model is designed to ensure that you stay
problem centred in establishing all the facts before being
solution oriented and acting.
This is the stage that you actually make your decision, communicate your decision and then act on your decision.
The most important element of this ACT step is to ensure that all crew members understand what has been
decided and what is expected of them. This places great importance on effective communications and may include

the cabin crew or other personnel who provide a resource input. This is where your Communication and Leadership
skills come to the fore.
REVIEW Performance
The Review step is like a circular feedback loop to ensure that your desired outcome (the solution) is actually
solving the originally defined problem. Continual review of the entire process also ensures that the desired outcome
is achieved by considering any new information that you receive.
The Review step must be continually ongoing and provides a "safety valve". If things are not working out, you may
have to return to the beginning and re-Clarify the problem or re-Evaluate and alter your Actions.
Risk
Decision making is inseparable from risk and as the primary decision maker of your flights you will also have to be
an accomplished Risk Assessor and Risk Manager. How you perceive risk and how you intend to manage that risk
will heavily influence your decisions.
Everything we do has some sort of risk (high, low or neutral) associated with it.
The only people without risk are six feet under.
Risk is required to get things done.
We accept risk on an “assumed risk” basis because there is a potential benefit or opportunity to be
gained.
Where there is no risk there is usually no opportunity.
Risk Definitions
The following definitions will be used throughout this Risk article.
Hazard. Any current real or potential condition that can overtly or covertly lead to or contribute to an unplanned
or undesired event.
A hazard is the potential SOURCE of risk.
A hazard is always a PRESENT event – it is what is happening or affecting you right now.
Risk. The probability and severity of a loss linked to a hazard that is not adequately controlled or eliminated.
Risk is always a FUTURE event.
Risk Assessment. The detection of hazards and the application of “measurement” to the level of risk that they
represent (see Risk Formula).
Risk Management. The process of defining and controlling risk. A major function of your role as the Captain.
Risk Neutral. Where the risk being accepted meets the requirements of the desired action.
Low Risk is low opportunity and may be overly “safe”.
High Risk is high opportunity and may be overly “dangerous”.
Risk Neutral is somewhere between these two extremes and is dependent on the actual situation and your
perception of the risk involved.
Balancing The Risk. Risk Assessment and Management such that a Risk Neutral situation is obtained for the
current situation.
Risk & Safety

You may have heard the phase “safety is paramount” (i.e. safety comes above and before all else). If that were
truly the case we would be out of a job, as we would never go flying. There will always be an element of risk in
anything we do (including aviation), but just because there is some form of risk does not mean that we will not
attempt it.
We obviously want to minimise risk or even eliminate it if possible. Our usual strategy in the aviation game is to
be as safe as possible.
Being safe usually does not eliminate risk – it only reduces it.

That is where you, the Captain, come in. One of your primary goals, tasks and jobs is to constantly be a Risk
Assessor and Risk Manager and to Balance The Risk that you have elected to take on, to maximise the safe, legal and
efficient outcome of your flight. This Risk Management role will often dictate the decisions that you make. You will
be required to decide if you, or your crew, engage in risky behaviour or activities and when, where and how much
assumed risk you take on. This will have to be assessed based on your desired goals and plans.
Some pilots can be “Dangerously Safe”. This is another way of saying they are extremely Risk Aversive and do not
willing accept risk or will avoid risk no matter how minor. These dangerously safe pilots usually miss out on the
benefits and opportunities associated with taking a considered and calculated Risk Assessment. They usually frustrate
the hell out of their other crew members, as the other person cannot understand why they are not accepting some
risk to achieve a better outcome.
Safety in our aviation system depends, to a great extent, upon the amount of control we exercise over
our choices to take risks. (Richard S. Jensen).
Human Centred Risk
Most pilots associate risk with external factors; the weather, environment, aircraft serviceability, ATC, terrain,
traffic etc.
However, risk can also be associated with internal, “human” factors. Risk is very often human centred, the
human element – it is YOU!
Do you ever look at yourself as a “risk”?
Poor Decision Making, lack of judgement, uncurrent, ill-disciplined, not prepared, fatigued, frustrated, lack of
knowledge, emotional (both positive and negative emotions).
Often it is these “humanity” aspects that are risky. You can also gain or lose in the humanity stakes.
You may be worried about being late, not being promoted, being embarrassed, getting reprimanded. You may
need to satisfy your need to be valued, feed your ego, fulfil other’s expectations, be seen as competent, to achieve a
personal convenient outcome or be accepted by your peers and/or superiors. You may want to get home, gain or
avoid a financial advantage/disadvantage, seek enjoyment or thrills. You may be personally over/under confident,
happy, sad, frustrated, angry or be Risk Aversive or a Risk Taker.
These human elements also have positive and negative opportunities and outcomes and these are the human
motivators that may affect what types of risk you accept. These “human” factor risks could be seen as illogical and
irrational and have no place in aviation Risk Assessment and Management.
But you (and your crew) ARE human and therefore you WILL be affected by these humanity risk factors.
The Weakest & Strongest Link
Accident and incident reports have time and again shown that pilots are very often the weakest link in the
accident or incident chain (or in other words, the highest risk factor) and could be considered to be the weakest link
in the chain of events. So you and your team are a risk factor that you will have to consider.
But accidents or incidents are the negative outcomes of possibly poor or inadequate Judgement and Decision
Making. They are also an extremely tiny minority of the millions of flights that are undertaken.
The vast majority of flights will have a successful outcome. And one of the reasons for this overwhelmingly
successful rate is the complex and correct (not always optimal, but nevertheless correct and safe) Judgement and
Decision making that the human element (you) of aviation makes continually on every flight. We pilots are
irreplaceable (at least at the moment!), as computers and machines cannot match our flexibility, deductive, analytical
and decision making abilities in rapidly changing, complex, volatile and ambiguous situations. So you could also be
considered to be the strongest link in the chain of events.
As the Captain you are the Leader, the primary Decision Maker and primary Risk Assessor and Risk Manager. You
will most likely determine if you and your team are the weakest or the strongest link on any particular flight.
Hopefully you will favour your strengths and work on improving your weaknesses.
The Four Essential “Rules Of Risk”

If you apply the following Four Essential “Rules Of Risk” you will become a far more effective Risk Manager and
Captain.
In addition, these “Rules” will assist, guide and help you to exercise good judgment and formulate sound
decisions.

1. Do not accept unnecessary risk
The key word in this rule is “unnecessary”. An unnecessary risk is any risk that if taken, will not contribute
meaningfully to your flights accomplishment.
Aviation is by its’ very nature an inherently risky business. You face and accept risk all the time, whether you
realize it or not. You need to be constantly Balancing The Risk – achieving the “Risk Neutral” state, which is not
overly “safe” (low opportunities) and not overly “dangerous” (high opportunities).
There is no advantage to accepting a course of action that results in a new, increased or unjustifiable risk if there
are no meaningful benefits to be derived.
Risk should not be greater than the undertaking.
If it is not worth doing safely, then it is probably not worth doing at all.
Risk properly managed is acceptable.
2. Accept risk when the benefits outweigh the costs
Nothing in aviation is risk free and we choose certain options that contain an element of risk because there is an
opportunity or benefit to be gained. This needs to be balanced against the probability of the occurrence and the
possible costs or severity of the risk.
Again you need to be Balancing The Risk. You walk the fine line of being either too risk aversive (low
opportunity, but possibly overly safe) or being too risky (high opportunity, but possibly dangerous).
If you are faced with a difficult decision, ask yourself “When is the success of the task not worth the risk?”
3. Make Risk Decisions At The Appropriate Level
What is the right level? It is the level where the decision maker has the experience and maturity to make a good
decision.
Normally, this is the Captain’s job as most times you cannot defer or transfer your risk management duties due to
time constraints or a lack of resources.
However, you don’t need to make all the hard decisions solely yourself. You can involve other external agencies
(e.g. IOC, Engineering, Dispatchers, Fleet Managers or Operations Managers). The real trick is to assign the risk
accountability at the lowest possible level i.e. to the person closest to the action with the best SA, knowledge of the
situation and experience.
Remember that ultimately the buck stops with you. As the Captain you are the final authority and are responsible
for the safe operation and conduct of the flight.
4. Integrate Risk Management Into Planning And Execution At All Levels

Risk management is an integral part of the planning and execution of all flight operations.
You need to constantly be assessing, managing and balancing risk during all phases of flight. This includes pre-
flight, in-flight and post-flight.
Risk management is an important part of the Captain’s role and you need to involve your entire team at all levels
– both on the ground and in the air. This entire “team” includes not only your flight and cabin crew, but ground
engineers, dispatchers, operations personnel, ATC, airline management and cargo loading, passenger handling and
traffic ground staff.
Balancing The Risk

First reckon, then risk. (Field Marshal Helmuth von Moltke)
One way to envisage your role as the primary Risk Manager is to use the analogy of weighing the risks and the
opportunities on a set of balance scales. You’ve probably heard of “Balancing The Risk” and this discussion will
explore what is meant by that phrase.

No Risk
On one side of the balance scales is the No Risk
option.
This can be characterized by potential Safety (benefits

– desirable) and Low Opportunity (costs – undesirable).
In this region there is little gain, but also little risk.

You may be missing some valuable opportunities on this
side of the equation and a less efficient operation
normally results.
If you are a Risk Aversive person (i.e. you personally

avoid risk whenever possible) you will heavily weigh this
side of the scales.
Whenever the Balance Of Risk is tipped to this side you will be in a Risk Aversive situation.
High Risk
On the other side of the balance scales is the High
Risk option.
This can be characterized by potential Danger (costs –

undesirable) and High Opportunity (benefits – desirable).
In this region you can achieve big gains, but at the
possible expense of elevated risk. You might obtain
significant, valuable opportunities but you also face the
threat of “crashing and burning” if it does not turn out
correctly.
If you are a Risk Taker type of person (i.e. you readily

accept risk if possible) you will heavily weigh down this
opposite side of the scales.
Whenever the Balance Of Risk is tipped to this opposite side you will be in a High Risk situation.
Risk Neutral
When the scales are “balanced” you have weighed

the benefits against the costs – No Risk against High Risk,
Safety against Danger and Low Opportunity against High
Opportunity.
We accept risk on an “assumed risk” basis because

there is a potential benefit or opportunity to be gained.
The rewards are now worth the risk.
You are now “Balancing The Risk” and the scales are
centred on the Risk Neutral region.

Balancing The Risk
Weighing up the options or calculating your Risk Assessment and getting the scales centred on the Risk Neutral
region is the main aim of Risk Management. You will be required to assess risk and determine the possible negative
costs and balance them against the potential positive benefits.
Notice that both the No Risk and the High Risk sides both have simultaneous positive (benefits) and negative
(costs) characteristics. On the No Risk side there is Safety (positive, a benefit), but also Low Opportunity (negative, a
cost). On the High Risk side there is Danger (negative, a cost) and also High Opportunity (positive, a benefit).
This Risk Neutral region is where opportunity and risk interconnect and engage. It is where the risk being
accepted meets the requirements. The positive benefits are balanced with the negative costs. If you can manage this
you are “Balancing The Risk”.
Risk Neutral can at times be a fine balancing act; just enough risk – but not too little or not too much.
The Individual’s Risk Neutral Position
Different People. Each different individual person will have their own singular personal “risk thresholds”
depending on their self-confidence, experience, knowledge and personality. Some people may tend to be more Risk
Aversive and others will be Risk Takers.
If you are a Risk Aversive person your individual, personal perceived Risk Neutral region will tend towards the No
Risk, Safety, Low Opportunity side. If you are more of a Risk Taker then your individual, personal perceived Risk
Neutral region will tend towards the High Risk, Danger, High Opportunity side.
Have an awareness of your personal “risk threshold” so that you can factor this into your Risk Assessment and
Management.
You Personally. Your individual Risk Neutral region may alter and vary depending on your personal physical and
emotional state.
If you are fatigued (and you recognise this state) you may elect to be a little more conservative and Risk Aversive
to counter that fatigued state. If you get pissed off and angry you may tend to be more aggressive and become more
of a Risk Taker (“I’ll show them...”).
Your own personal individual Risk Neutral region may tend towards No Risk or High Risk and is constantly
changing (usually within a narrow “risk comfort” band).
Summary
Use the “balance scale” analogy to envisage how you will manage the risk of your flights. Allow for the different “risk
thresholds” which will result in different Risk Neutral positions (the “risk comfort level”) of the members of your crew.
Recognise that your own Risk Neutral position will vary depending on the circumstances and your emotional state.
When you do your Risk Management and Balance the Risk into the Risk Neutral area you should always try to keep it
on an even keel.
Risk Assessment
Risk Assessment is the detection and identification of potential threats (hazards) and the application of
“measurement” of the level of risk (magnitude) that they potentially represent. It requires an adequate level of
Situational Awareness.
Unlike many corporate decision-makers, who allow risks to be accepted and are usually quite removed from the
resultant risk bearers (hey, it’s not my neck...), you are the combined decision-maker and the bearer of that resultant
risk. There is no accountability gap. So it is in your best interests to get it right!
Real-time inflight Risk Assessment is subjective. It is based on your reckoning of the “Perceived Risk”; not the
Real (actual) Risk. It will be highly unlikely that you will have the luxury of time, resources or spare brain power to
accurately quantify the level of Real Risk that you face when in an aircraft. It just doesn’t happen that way for real.
Risk Formula
You will never be able to accurately quantify the product of the various risk factors (at least not in flight when you
will definitely lack the time, resources and brain power). So how can you assess the level of risk for any situation that
you actually face?
One way is to use the Risk Formula.

The Risk Formula is a guide for you to “estimate” or assess the magnitude of risk for a particular situation, with the
limited information available to you, the lack of resources and the time constraints imposed on you in-flight.
RISK = SEVERITY x PROBABILITY x EXPOSURE
Severity is the extent of a possible loss. The severity lies in a range from a negligible, minor loss to a
catastrophic, total loss.
Probability is the likelihood that a threat could potentially cause a loss.
Exposure is the amount of times an event (usually a repeated event) occurs, or the length of time an event is
experienced.
For example; you may be faced with windshear forecasts and pilot reports of severe windshear and get predictive
windshear warnings as you line up for take off.
Should you return to the bay or take off? What decision will you make?
By using the Risk Formula you may determine that the probability of an extreme windshear event is remote and
that you will have brief exposure during the take off and initial climb, but you may determine that the
consequences of being caught in a severe windshear event may be catastrophic.
Your decision might then be, to return to the bay (i.e. NOT take off).
Risk Assessment Matrix

The Risk Assessment Matrix can be used to determine the magnitude of the Risk (as best as you can), by
estimating the perceived level of the Severity of the risk and the Probability of that risk occurring.
Severity
Catastrophic Death or serious injury, or hull loss/serious damage to aircraft (aircraft accident).
Critical Serious injury, or damage to aircraft/systems (aircraft incident).
Marginal Flight can be accomplished, although there may be adverse effects on the flight efficiency (extra
cost, delays, diversion etc.).
Negligible No or little effect on the flight.
Probability
Frequent May be continuous or encountered often during each flight.
Probable May be encountered several times during the course of many flights.
Occasional May be encountered sporadically during the course of many flights.
Remote May be encountered infrequently; chances are possible but remote.
Improbable May be encountered only rarely; chances are possible but improbable.
Assess The Threats & Risk

You must estimate what the risk severity will be (catastrophic, critical, marginal or negligible) and what is the
probability of the threat occurring (frequent, probable, occasional, remote or improbable). The goal of this step is to
categorize the risk into the following categories: Extreme, High, Medium or Low.

Just try and fit the situation that you face somewhere in the Matrix and you will get your best “guess” as to the
magnitude of risk that you face; Severe, High, Moderate or Low. Any situation that you assess the risk is Severe or
High requires careful scrutiny and monitoring of the situation and for you to proactively manage the risk. Moderate
risk requires careful consideration and Low risk is what we all would like our flights to be like.
How you personally categorise your risk magnitude will have a major impact on the Judgement you use to
manage that risk and the eventual decision that you make. A High risk level situation will be judged differently to a
Low risk one and very different decisions may be made to cope with either of these situations.
Factors Affecting Risk Perception
You will likely never be able to accurately measure the real, actual level of risk that you face in any flight that you
undertake. You have to rely on your Perceived magnitude of risk.
Your perception of risk may be influenced by factors other than its magnitude. The following factors affect your
perception of risk and your acceptability of risk;
Risks perceived to be voluntary are more acceptable than risks perceived to be imposed.
Risks perceived to be under an individual’s control are more accepted than risks perceived to be controlled by
others.
Risks perceived to have clear benefits are more accepted than risks perceived to have little or no benefit.
Risks perceived to be fairly distributed are more accepted than risks perceived to be unfairly distributed.
Risks perceived to be natural are more accepted than risks perceived to be man-made.
Risks perceived to be statistical are more accepted than risks perceived to be catastrophic.
Risks perceived to be generated by a trusted source are more accepted than risks perceived to be generated by an
untrusted source.
Risks perceived to be familiar are more accepted than risks perceived to exotic. (Fischhoff B, Lichtenstein S,
Slovic P, Keeney D. 1981)
When risks are perceived to be dreadful, unfamiliar, uncontrollable by the individual, unfair,
involuntary, and potentially catastrophic, they are typically of great public concern, or high outrage.
When risks are perceived as voluntary, controllable by the individual, familiar, equitable, easily
reducible, decreasing, and non-catastrophic, they tend to be minimized by the public, or low outrage.
(Dr. Robert Scheuplien)
Our natural tendency is to think in the manner described by Dr. Scheuplien and this will lead you to be overly
concerned about risks for which we feel little control and to feel little concern for risks where we can exercise
significant control. So be aware of your personal “Risk Tolerance” level.
So How Do I Do This?
As you can see Risk Assessment for Captains is more of an acquired Art than a Science. Hopefully you have been
studying your previous Captains and absorbing their collective wisdom on Risk Assessment and incorporating it into
your “way of doing business”.
Policy, Procedures and NPs are a good framework to base your Risk Assessment on. In fact some risks may have
already been identified, assessed and a decision made for you. For example, Cathay Pacific has mandated that when
Microburst Alerts are in force (a possible Extreme risk level) that no take offs or landings are to be done at that
airfield. Another example is Unstable Approaches (a possible High Risk event and a leading cause of runway
excursions) – if certain flight parameters are exceeded (e.g. not stabilised approach criteria) that a Go Around is
mandatory.
Ultimately it will be up to you. Often your experience will be all that you have to determine the Risk magnitude.
This is why inexperienced and novice Captains are generally more risk aversive (they avoid risk) as they do not have
the experience to judge accurately the risk magnitude a particular situation presents.
When all else fails remember the “Rules Of Risk”;
Do not accept unnecessary risk.
Accept risk when the benefits outweigh the costs.
Finally, when in doubt, take the safest option.

Risk Management
Once you have assessed the risk involved you have to do something about it. What you eventually do or what
decision you ultimately make takes place after you consider and complete the final part of the Risk Management
process – actually managing the risk.
Risk Management can be defined as;
Risk management is the human activity which integrates recognition of risk, risk assessment, developing
strategies to manage it, and mitigation of risk using managerial resources. (Wiki)
Risk management is the process of identifying risks, assessing their implications, deciding on a course of
action, and evaluating the results. (Transport Canada)
What Is It?
Risk Management is used to decide what to do about each threat or hazard and its’ risk, and to formulate and
implement those decisions. It is based on the notion that the probability of an adverse event occurring can be
reduced or its’ consequences minimised. Effective risk management seeks to maximise the benefits of a risk (risk
versus reward) while minimising the risk itself (balancing the risk).
Effective risk management requires effective risk assessment.
“Perceived” Risk
People do NOT react to “real” risk; they react to their individual “perceived” risk.
“Real” risk is almost impossible to quantify in the dynamic and ever changing aviation environment and you will
almost never have all the relevant data or information that affects the risk of a particular situation.
Your personal perception of what is or is not risky will often be very different to someone else. In particular your
risk perception may be very different from your F/O or your Cabin Crew. As the Captain (and decision maker) you
will be required to use good communication skills to clarify and either “sell” your point of view to the rest of the crew
(or ATC or any other member of your extended team) or be convinced that your crew or other team member has a
better perception of risk than you. Never forget that aviation is a team game and you want everyone striving to
willingly achieve the same goal.
T.E.A.M.
What you actually do to manage those risks you have assessed can easily be recalled by using the T.E.A.M.
acronym. For each threat or hazard that presents a risk to your flight, consider whether you should;
Transfer the risk.

A common example of transferring the risk would be the Captain (and usually more
experienced pilot) acting as PF in difficult or abnormal situations (e.g. windshear or an engine
inoperative landing). The risk is transferred from the less experienced F/O to the more
experienced Captain.
T ransfer The final go/no-go decision ultimately rests with the Captain, but ask yourself; Are there
circumstances that require consultation or a decision beyond the scope or your own authority?
Can you consult someone (e.g. ATC, Engineering or IOC)?
Transferring risk does not change exposure, probability or severity but rather shifts possible
losses or costs of the outcome to another entity.

Eliminate the risk.
For example, not taking off or going around eliminates the risk posed by the threat of bad
weather.
E liminate Can you remove threats or hazards?

Avoiding risk altogether requires cancelling or delaying the sector, or operation, but this option
is rarely exercised due to task importance. However, it may be possible to avoid specific risks,
e.g., avoid risks associated with a night operation by planning the operation for daytime or if a
pitot or static heater is inoperative by avoiding clouds and icing conditions.
Accept the risk.

This is the most common form of risk management that you will face.
There is always some level of risk – aviation is not a risk free endeavour. The question to
A ccept answer is whether the level of risk is one you can accept, in accordance with the four rules of
risk management.
Do the benefits outweigh the risks? Accept risk when the benefits clearly outweigh the costs,
but only as much risk as necessary to accomplish the mission or task.
Mitigate the risk.

This probably the second most common form of risk management that you will face and is
normally linked with accepting the risk – now that you have accepted the risk, what can you
do to mitigate, reduce or minimise that risk.
M itigate Risk can be reduced. What can you do to reduce the risk by lowering the exposure,
probability or severity of harm from one of the threats or hazards you have already identified?
Using protective devices (e.g. predictive windshear equipment) and engineering controls (e.g.
DDG) usually helps control severity. Training, situational awareness, attitude change, rest, and
stress reduction usually help control probability. Reducing the number of people involved or
the number of events, cycles, or evolutions usually helps control exposure.
Like anything to do with aviation (or indeed Command) you will have to practise this T.E.A.M. structure of
managing risk. Use it in real life, in situations that you will experience on the Line as an F/O. Use it in scenarios that
you or your peer study group pose.
Remember that preparation is the price of admission to a Command Course. Don’t waste your apprenticeship –
and start practising this T.E.A.M. management of risk now as an F/O so that it is routine, effortless and entirely natural
for when you have to use it in a Command situation.
Problem Solving & Decision Making Resources

The following are some articles that you can utilise to further your understanding and application of Problem
Solving & Decision Making.
IntraCX
Decision Making. This was a focus of Recurrent Training in 2008. A PowerPoint presentation is included in
the Flight Crew Training section under Recurrent Training.
Kai Talk
Naturalistic Decision Making. An article by Peter Simpson (Manager Air Safety) (Kai Talk – Issue 1, 2008).
Books
Pilot Judgement And Crew Resource Management. Richard S. Jensen. An in depth study of the Judgement
and Decision Making process that pilots use.

Task & Workload Management
Observations during Line Operational Safety Audits (LOSA) at several major airlines revealed over one-third of the
monitoring errors occurred due to poor workload management. A significant number of pilots simply weren't
planning ahead to accomplish as many tasks during low workload periods as possible. (Patrick R. Veillette)
Command Workload Management

One of your “new” roles as Captain will be to ensure that your team’s workload is managed to ensure things get
done safely, SA and monitoring remains at a high level, tasks are distributed fairly and equally (usually within the
framework of NPs) and to ensure that YOU never get so overloaded that your Command SA, decision making, risk
assessment and management and overall Leadership are not compromised.
Workload Management is the process of evenly distributing activities by planning, prioritising and assigning tasks
to individual crewmembers within your team (and this may also include “outside agencies” such as IOC, Engineering,
ATC etc.). It is avoiding Underload and Overload and striving to operate in an Optimum workload environment to
maximize your team’s performance.
Workload Management is concerned with;
The proper allocation or delegation of tasks and duties to individuals to distribute the workload.
Avoidance of work overload (and to a lesser extent, work underload) in yourself and in members of your team.
Prioritisation of tasks, especially during periods of high workload.
Preventing nonessential factors from distracting attention from adherence to effective monitoring, SA and NPs,
particularly those relating to critical tasks.
Ensuring that you have enough spare mental capacity to cope with and manage unexpected events.
At the very core of workload management are the essential concepts of prioritisation and delegation, which in
turn results in you having spare mental capacity.
Prioritise
As the Captain you must be able to prioritise tasks – for both your team and yourself.
To prioritise is to identify those tasks that are most important and need to be done first and those that are less
important and can be deferred to a later time. In addition to determining the relative importance of tasks you need
to be able to sequence the accomplishment of those tasks and allocate the workload between team members
effectively.
During periods of high workload, prioritisation is extremely important to ensure that the essential fundamental
tasks are accomplished first.
How you choose to allocate priority to the various required tasks in any situation will be up to you and is heavily
influenced by your perception of the situation, the current phase of flight, previous experience, preparation and
planning.
Aviate, Navigate, Communicate, Manage (or Plane, Path, People, Parts) is a sound framework to begin
prioritisation of tasks.
Aviate, Navigate, Communicate, Manage.
Prioritisation is useless unless your team is aware of what your perceived priorities are. Sound SA is required to
plan ahead, as is good communication skills to share your mental model and communicate your intent to the others
in your team.
Delegate
To effectively accomplish your prioritised tasks, you must assign duties and responsibilities within your team. You
must delegate tasks where appropriate to allocate or share the workload and to reduce individual crew member’s
workloads when they start to get behind; especially your own Command workload.
Delegation is also an essential element of Leadership. You do not have to do everything yourself; something that
often escapes new Commanders. By delegating tasks within the team you manage the individual’s and also the

team’s overall workload. As an additional bonus, if your team’s workload is equitably distributed, you, in your
Command role, will function better.
Often when you are faced with new, novel, ambiguous, difficult or complex situations (e.g. an emergency or a
tricky DDG item), it can sometimes be best to delegate some of your duties or tasks to others within your team so
that you can free up extra mental capacity and take a step back to look at the “Big Picture” and focus on your
Command management and Leadership functions. This allows you to effectively regulate and achieve your desired
outcome.
Delegate so that you can regulate.
Be sure that those you delegate tasks to are capable of performing the task. You must monitor their progress and
subsequent workload as well as the progress of the assigned task.
Work Smarter, Not Harder

Command is not normally about physical handling skill (although it is important) – it’s about Leadership, and a
component of that is workload management. Use your time and energy wisely, work efficiently and reduce your
team’s workload whenever possible.
Efficiency is intelligent laziness.
Use your available resources effectively to get the job efficiently done. Strive for the most output for least input.
Whenever possible;
• Avoid unnecessary work and shift the work you have to do from busy periods to less busy periods. This requires
good Level 3 SA and results from future projection, anticipation and planning. This is an important element of
workload management.
• Do not unnecessarily over-complicate issues. Use the KISS principle and aim to simplify whenever possible.
You will not impress anyone by making the job harder than it actually needs to be.
• Do not micro-manage your team. Assign or delegate tasks and then let them get on with doing it. You will still
need to monitor them, but don’t interfere if the task is being accomplished – you can be doing something else of
a high priority simultaneously.
• Consider using appropriate automation to reduce your physical and mental workload and to increase your spare
mental capacity so that you can utilise and maximise your Leadership and Command management skills.
Good Captains are relaxed, appear to being doing little work and have spare mental capacity, yet they still have
everything under control.
You should focus on working smarter, not harder.
Spare Mental Capacity

To fulfil the required Command duties of adequate SA, CRM, TEM, Leadership, risk assessment, decision making
and safe operation of the flight you need to ensure that you have sufficient Spare Mental Capacity. You cannot allow
yourself to be working so hard that all you are able to achieve is Level 2 SA (functioning in the Present).
During periods of high workload you will tend to become fixated and develop “tunnel vision” to cope with the
increased workload. Monitoring and SA will decrease and you will likely have zero spare mental capacity to plan
ahead.
You As PF or PM?
Studies have shown that your (J)F/O when acting as PM typically is able to cope with technical knowledge or skill
problems, but may be unable to accurately assess a situation's risk and time available, and have limited ability to
manage workload effectively.
In addition, NTSB analysis of accidents has noted that the error type observed most often for Captains while
acting as PF was the tactical decision error. Tactical decision errors include improper decision making, failure to
change course of action in response to signals to do so, and failing to heed warnings or alerts that suggest a change in
course of action. The NTSB attributed these errors in part to the additional cognitive and manipulative skill workload
of aircraft control while the Captain was acting as PF.
Depending on the situation, consider letting your (J)F/O act as PF, in conjunction with appropriate use of
automation, while you review the Big Picture, update SA, monitor and fulfil your management and supervisory roles

while acting as PM. You may find that this lets you think more and as a result arrive at higher quality decisions and
outcomes.
However, you still need to monitor the aircraft, what your (J)F/O is doing and his workload as well.
Keep Spare Mental Capacity
Ensure you guard against losing the valuable Command asset of Spare Mental Capacity (SMC). If you recognise
that you are losing SMC, reduce your workload and slow the tempo of the flight to increase it.
Methods to ease your workload and increase your Spare Mental Capacity are;
• Automation. Used appropriately (AP/FD, A/THR, FMS etc.) reduces your cognitive workload.
• Preparation. By properly preparing (either through suitable study before flight or while inflight) you can identify
potential problem areas and implement solutions to mitigate their effect before you encounter them. This is also
an element of TEM.
• Delegation. Allocate and assign tasks or duties to your team members.
• “Buy” time. Slow the tempo and pace of the flight by requesting extra track miles, entering a holding pattern,
reducing to minimum manoeuvring speed, going around or delaying take off.
• Prioritisation. Do the important tasks first and defer the less urgent or non-essential tasks.
• Be flexible. Don’t rigidly pursue one course of action and totally disregard alternatives. Your way may not be the
best way.
• Communication. Share ideas, your mental model and communicate your intent. Tell your crew when you are
becoming bogged down or that you simply don’t know the answer or solution. Often your team members may
have a ready-made solution (they may have experienced something similar before) or can assist you.
You will require Spare Mental Capacity to cope with the unexpected, unusual or novel events that will eventually
happen to you and your team.
High Workload
Every flight has periods of high workload. You need to be aware of when these high workload periods will occur
and you need to plan ahead and organize tasks around the low workload periods.
A major element of workload management is shifting the workload from busy times to quiet times.
Mismanagement of workload will degrade your team’s performance. Plan for the future and identify when high
workload periods will occur during low workload periods; when you have time and are not overloaded. Then you
can formulate plans and brief your team to mitigate the perceived threats, pace their activities, prioritise and
effectively manage their workload to ensure that everything gets done correctly and nobody gets bogged down and
left behind when things get busy.
Plan during low workload periods for the high workload periods.

Effective CRM pays dividends any time the workload increases to intensive levels such as during an emergency or
when activities conspire in a manner that are typically beyond one pilot’s abilities. You need to ensure that your
team acts cohesively together.
High workload situations are sometimes unavoidable. During these situations you need to;
Give clear, concise commands (provide Leadership and direction for your team).
Monitor each individual’s workload to identify times of overload. If you recognise overload in yourself or others,
you will need to communicate this and prioritise, delegate, defer or redistribute the workload.
Communicate task saturation to other crewmembers. This individual overload recognition is difficult to see in
yourself, easier to spot in others and requires crew to monitor each other.
How To Cope
Why do some Captains cope efficiently with difficult and high workload situations and yet for others nothing
seems to go right?
A 2004 conference sponsored by Boeing looked at what qualities successful crews used as countermeasures in
TEM. There were four particular groupings of CRM skills:
• Team building and climate. Of particular importance were good communications and effective Leadership.
Good teams perform better.
• Planning. Crews that excelled performed good briefings, anticipated threats, stated plans, assigned workload,
and developed contingency plans for known threats (plan during low workload for high workload).
• Execution. These crews had solid monitoring and cross-checking, workload management, and vigilance skills.
They also showed a mastery of automation management.
• Review/Modify. High performing crews reviewed plans frequently against the stated goals, modified plans when
necessary, asked questions, and stated critical information with persistence.
As you can see, workload management is important in ensuring that the flight is completed efficiently and safely
and is intimately tied to SA, TEM, monitoring, team work and communication.
Effects Of Increasing Workload
Increasing workload results in decreasing SA and poor monitoring (see the SA chapter). All too often flight crews
tend to do too many concurrent things and not adequately monitor the aircraft.
The common key periods in which you are most likely to commit the most errors due to poor workload
management on routine flights are;
Preflight preparation with an “unusual” situation (e.g. passenger handling issues, difficult DDG item or equipment
malfunction possibly requiring engineering assistance),
During taxi for departure and after arrival,
Within 1,000 feet of level-off (“One to go”), and
During descent and making an approach or landing. Avoid briefing during descent – complete your CTWO+
brief early and omit PAs if pushed for time.
You will need to pay more attention to workload management so that at least one pilot is always monitoring
during low workload periods and both pilots are monitoring as much as possible when things get busy.
Distractions
Distractions are really just misallocated priorities – you focus on the wrong thing rather than the most important
task at the time. You will be required to avoid distractions during critical flight phases.
Distraction can led to workload management failures and no one flying the aircraft. Common distractions are;
The traffic staff, ISM or ATC interrupting you during a preflight briefing (that’s why we don’t copy ATC clearances
during pushback).
PAs after commencing descent. LOSA studies have determined that you are 5 times more likely to make a
mistake if you are busy making a PA after you have commenced descent.
ECAM/EICAS. Sometimes the automation can cause you to focus on it rather than the higher priority Aviate,
Navigate, Communicate, Manage functions. Don’t get sucked into the “Automation Vacuum Cleaner”.

Unusual, novel, complex or ambiguous events. See the ECAM/EICAS discussion above.
Robust Work Routines

To cope with these distractions and interruptions you will need to formulate and continually practise robust work
routines – especially during the preflight phase or during novel, complex and unusual situations, both of which have
the potential to be high workload periods.
Work routines are just easy to use ways that you do your normal business, within the framework of NPs. They
may take the form of pneumonics, brief personal checklists that you cross off (either physically or mentally) when you
complete actions or methods that link one task with the next if tasks are required to be done sequentially.
Whatever method you chose, it needs to be strong and robust. It needs to be able to be effective and usable
when the pressure starts to increase and it needs to be well practised and ingrained.
On most “normal” flights the preflight phase will be a higher workload environment with the additional pressure
of OTP. You need to have a sound understanding of the time-line associated with the pre-departure phase and you
will need to manage the tasks in this busy period effectively.
This is where a well practised strong work routine is essential and can assist you.
Automation
The introduction of the glass cockpit redistributed, rather than reduced flight crews’ workloads. Pilots now
spend more resources managing the various systems in the cockpit.
...some of the burden for handling of safety and efficiency has been passed to the automation, but the pilots
instead have to spend extra time and effort on learning how to manage these systems. Indeed, the
introduction of technology has changed the nature of training such that pilots are now taught to aviate,
navigate, communicate and manage systems. (Baxter and Besnard 2004)
LOSA audit data indicates that about 30 percent of crew errors occurred when the flight crew was programming
the FMS.
The FMS and ECAM/EICAS associated with “Glass Cockpits” have been likened to a vacuum cleaner; they suck
heads, eyes, fingers and attention straight into them.
Management of Automation
Automation is both a curse and a blessing.
It depends very much on how you utilise the various automation systems and the particular situation that you find
yourself in. Automation requires
sound management and monitoring
techniques.
Do not place a blind faith in
automation; always have a healthy
level of scepticism. But do not
disregard or overlook the
automation features as they can
reduce your workload immensely
when used correctly.
Consider the automation to be
another member of your team –
tasks can be delegated to it, but
you also need to monitor it and if it
does not do what you desire be
prepared to take manual control,
reverting to Basic Modes if
required.
Ensure that you and your team avoid the automation “Vacuum Cleaner”.
Automation is another aspect of your Command operation that you will be required to utilise correctly to
effectively manage your team’s workload.

Task & Workload Management Resources
The following are some articles that you can utilise to further your understanding and application of
Workload Management.
Kai Talk
Managing Cockpit Distractions and Interruptions. An article by Peter Simpson (Manager Air Safety) (Kai
Talk – Issue 1, 2006).

Excellence is n ever an acciden t;
it is well tho ugh t, well plann ed an d
well ex ecuted.

Situational Awareness (SA)
SA is a pilot’s (or aircrew’s) continuous perception of self and aircraft in relation to the dynamic environment of flight,
threats, and mission, and the ability to forecast, then execute tasks based on that perception.
It is problem solving in a three-dimensional spatial relationship complicated by the fourth dimension of time
compression, where there are too few givens and too many variables. It encompasses the individual’s experience
and capabilities, which affect the ability to forecast, decide and then execute.
SA represents the cumulative effects of everything an individual is and does as applied to mission accomplishment.
(Carol, L. A. 1992).
Command SA
Situational Awareness (SA) is vital in our aviation domain as the information flow can be very high, variable in
quantity and quality and the effects of poor decisions can result in safety being compromised with serious
consequences. If you can accurately perceive the environment you are operating in, your level of risk will be low(er).
It requires a high degree of spatial (where you are in the three dimensions) and temporal (how much, or little,
time is available) awareness and knowledge.
You no doubt have been using and applying SA throughout your aviation career. Now that you are taking on a
Command role, SA assumes a far more important role. Good SA is what will ensure that you and your team conduct
a safe and efficient flight.
SA is intimately interwoven with Leadership, Monitoring, Workload Management, Communication, Risk
Management and ultimately affects Judgement & Decision making. Each segment influences the others and directly
affects the operation as a whole.
Situational Awareness is when perception matches reality and you are able to act upon it in a timely
and rational manner. (Redefining Airmanship).
Good SA allows you to maximise opportunities and to avoid undesirable situations.
It’s Not Just About You
In your new Command role, you not only have to manage yourself, but now you will be required to Lead and
manage your team and more specifically your Crew.
You will have to include and monitor what the rest of your team is doing. This includes being situationally aware
of what your F/O is doing, his workload, capabilities and skills, in addition to his strengths and weaknesses. This crew
and team awareness applies also to your ISM and Cabin Crew, ground, engineering and operational staff you may
come into contact with and your interaction with ATC.
At times you will have to intentionally slow the tempo of operations so that the other team members can keep
pace with the situation and not overload them.
Good individual SA is achieved by having an accurate mental model.
Good shared crew SA is achieved by having an accurate shared mental model (which requires good
communication).
Three Levels of SA (NUTA)

SA is “the perception of elements in the environment within a volume of time and space, the
comprehension of their meaning, and the projection of their status in the near future.” (Mica Endsley)
From this SA definition, three Levels of SA can be inferred;
Level 1 SA Perception You Notice

Level 2 SA Comprehension You Understand.
Level 3 SA Projection You Think Ahead.
These three SA Levels can be distilled into;
NUTA (Notice, Understand, Think Ahead).

Level 1 – Perception (Notice)
In this first Level of SA you are required to Perceive or Notice and then recognise a relevant cue, status or
attribute (e.g. a caution light or flight parameter). This is enhanced by being aware of the various procedures, policy,
technical and operational factors affecting the operation.
Well developed Monitoring skills and an effective scanning technique are required at this Notice stage. This
occurs in the Present time – it is what you need to do right now.
Low experienced and overloaded crew members often only operate at this SA Level. They have either not learnt
the required skills and techniques or are so overwhelmed or task saturated that they cannot progress to the higher SA
Levels.
This initial starting point of SA is commonly where the most numerous number of missed Threats, mistakes and
Errors occurs.
Generally if you notice something you will respond correctly to it. Ignorance is NOT bliss. You need to be
actively and continually scanning and monitoring all aspects of the current operation.
Working at Level 1 SA means you are probably BEHIND the aircraft.
Level 2 – Comprehension (Understand)

The next step in SA formation is where the various separate disjointed pieces of Level 1 SA information that you
Notice are linked together so that patterns are recognised to form a Comprehension and Understanding of what is
happening. It requires a holistic view of events – nothing ever operates in isolation.
In this Understanding stage you will need to interpret and Evaluate what is happening around you. This stage
occurs also in the Present time.
A large number of crew will often stop at this Level of SA due to high workload, poor CRM or a lack of
communication skills.
If you just operate in this area of Level 2 SA you are being reactive.
To be able to operate at this SA Level requires that you have the necessary airmanship, technical and operational
knowledge to understand the inter-relationship and implications of the various separate disjointed factors.
Functioning at Level 2 SA means you are probably just KEEPING UP with the aircraft.
Level 3 – Projection (Think Ahead)

In this highest Level of SA you should Project the elements and dynamics of Level 1 & 2 SA information into the
Future – Think Ahead of the aircraft.
You need to Anticipate and Consider events likely to affect the operation and convey your assessment and
thoughts to your crew and team.
Once you reach Level 3 SA you are being proactive.
Never let an airplane take you somewhere your brain didn't get to five minutes earlier.
Usually in this Level 3 SA you will have anticipated or considered multiple paths to achieve your goal, so that if
one option becomes unavailable you change flexibly to another suitable option. This contingency planning is a
highlight of good Captains and good crews which starts at the pre-flight phase and continues throughout the entire
flight.
Operating at Level 3 SA should be your goal and results in you BEING AHEAD of the aircraft.
SA State SA Level Position Temporal Reaction

NOTICE Perceive Level 1 Behind Past Reactive
UNDERSTAND Comprehend Level 2 Keeping Up Present Reactive
THINK AHEAD Project Level 3 Being Ahead Future Proactive

Shared or Crew SA
These three levels of SA occur at an individual level, but you really want a shared team or crew SA.
An SA aware Captain and an SA aware F/O don’t necessarily add up to an SA aware crew. Your crew needs to
have an accurate shared mental model of what is occurring.
This aspect of sharing information within the crew requires good communication skills. You need to ask yourself:
• What do they know that I need to know?

• What do I know that they need to know?
• What do none of us know that we need to know?
The SA of your team as a whole depends on both;
• A high level of individual SA for the aspects of the situation necessary for their own individual tasks, and
• A high level of shared crew SA between members of your team that are common to the needs of the team.
An SA aware crew has a much greater chance of not losing their individual or crew SA in the first place, or if it is
lost, rapidly recognising that loss and then swiftly recovering their SA. That’s good teamwork and something that you
need to promote as the Leader and Captain.
An Example Of Shared Crew SA

You are the Captain (PM) coming around the base leg behind Lantau under ATC vectors for Runway 07L at Hong
Kong.
Perception Level 1 SA Level 2 SA Level 3 SA

You understand that at 180 You think ahead and by
You notice from monitoring knots and the 40 knot tailwind considering the flight and
your ND that there is 40 knots will make the capture of the environmental parameters you
of tailwind on the base leg for localiser difficult due to the anticipate that the tailwind
approach. high LOC closure rate and will likely be present all the
Individual high groundspeed, and way down finals to
touchdown.
You evaluate these combined
You also notice that ATC has
parameters will reduce the
requested a speed of 180
time available to configure
knots until 8 nms.
and be stable on finals.
F/O: “I think we’d better ask

CN: “That’s a lot of tailwind, CN: “That tailwind will
ATC to reduce speed now and
40 knots, and ATC want us at probably be with us the whole
Crew configure a little earlier to give
180 knots.” way to landing.”
us some more time.”
Shared
F/O: “I agree. I’ll use full
F/O: “Yeah…thanks.” CN: “Good idea.”
reverse.”
This simple example can be applied to any situation that you find yourself in. Good communication skills and
effective CRM is crucial to optimising not only your own SA but also your crew’s.
Degraded SA
It is important that you are able to recognise when you or your team are losing or have lost SA.

This SA degradation highlights three points;
1. It can be eroded or degraded gradually (poor SA) or lost all at once (lost SA),
2. Seriously degrades the ability to achieve efficiency and flight safety (it is often a prime factor in aircraft
incidents and accidents), and
3. There are nearly always sufficient cues for individual crew members to recognise and recover from lost SA.
(Redefining Airmanship)
Don’t paint yourself into a corner and then have to do everything exactly right to recover. Maintain a healthy
level of scepticism and be slightly conservative to maintain the flexibility of multiple options.
Recognising Poor Or Lost SA
“Red Flags” or indicators that indicate possible degrading, poor or lost SA in yourself or within your team are;
Ambiguity or confusion. Unresolved discrepancies and what you expect to happen doesn’t.
Loss of spatial (where you are in three dimensions) and temporal (time) awareness.
“Gut” feeling. If something doesn’t look or “feel” right, then it probably isn’t.
Both pilots “heads down”. Remember Aviate is the first priority.
Fixation, “tunnel vision” or a narrowing of attention. This may be caused by an unusual, novel or stressful
situation.
Running out of time to execute or complete tasks.
Expectation, assumption and bias. Reality doesn’t always happen as you think it should.
Distractions. A major cause of SA loss.
Malfunctions (especially ECAM/EICAS) or novel, abnormal or unusual occurrences.
Overload (busy) or underload (bored).
Fatigue or stress.
Over reliance on automation (Automation Dependency, Automation Complacency and Automation Bias).
Poor communication (vague or incomplete statements) or reduced frequency of communication (hesitancy or
withdrawal from the situation).
Failure to meet targets (e.g. altitude constraints, stabilised approach criteria).
Getting behind the aircraft. No Level 3 SA or thinking ahead of the aircraft.
Use of an undocumented procedure, non NP or violation of a minimum. Usually unintentionally, which creates
confusion in your team.
Attempting to operate the aircraft outside of known limitations (e.g. lowering flaps above their limit speed).
Recognising a loss of SA within yourself can be very difficult, especially when you are getting overloaded and
immersed in the task and flight requirements.
It is often easier to recognise a loss of SA in the other pilot by looking for the above “Red Flags”. Confusion,
uncertainty and “quietness” from the other pilot (as he withdraws from the situation due to overload) are common
symptoms of a loss of SA. As the Captain, when you are PM, if you detect a loss of SA within your F/O you may need
to Intervene to re-establish or regain crew shared SA.
Be alert for these SA “Red Flags” and monitor and cross check each other to recognise a loss of SA early – this will
make it easier to regain that lost SA.
Recovering SA
You must recognise that you have lost SA before you can begin to recover it. Recognising lost or degraded SA
takes place when you monitor the situation and notice any of the “Red Flags” that are listed above.
You also need to admit and accept that your SA may have been lost or degraded – only then can you go about
recovering it.
Do this by;
Getting away from dirt, rocks, trees and metal – avoid terrain, traffic and weather (see the Six Quick & Dirty SA
Enhancers).
Stabilising the aircraft – minimise changes until you regain your spatial awareness.

Buying time – slow the tempo, enter the hold, reduce speed, request extra track miles, go around if on finals or
delay take off.
Seeking information – listen and update your team’s shared mental model.
Learning from experience – if you have experienced a similar situation before, you are more likely to recognise
and resolve that situation before poor SA develops.
Prevention
Two of the main enemies of good SA are distractions and a high workload. Both have the effect of reducing the
monitoring and scanning of the operation. You need to minimise distractions and control the tempo and pace of
operations such that your team’s workload is kept to an appropriate and manageable level.
To develop an understanding of effective SA you need to actively manage the following factors that enable you to
prevent a loss of SA;
Manage distractions.
Reduce workload and avoid overload.
Prioritise.
Define roles, follow NPs and delegate duties.
Conduct good preparation and planning (so that you don’t get caught out).
Avoid complacency.
Test assumptions, confirm expectations and suspend bias.
Intervene (if required).
Actively monitor.
Actively direct attention and scan.
Use all available sources to obtain information. You also need to share your mental model and communicate
your intent.
Ensure you don’t end up with too much information and not enough SA (paralysis by analysis).
Be aware of your own and your crew’s limitations.
Good SA
Good Crew SA
Four major actions that are important for enhancing team or crew SA;
1. Identifying problems or potential problems (Threats),

2. Demonstrating knowledge of the actions of others (team work),
3. Keeping up with flight details (scanning and monitoring), and
4. Verbalizing actions and intentions (Communication of Intent). (Prince and Salas 1998)
If you and your team can do these things you will be able to solve problems quicker and be able to recognise
problem areas developing sooner.
Good SA Elements
Good SA requires you to engender and promote the following elements within your team:
Building a composite image of the entire situation in three dimensions (the Big Picture).
Assimilation of information from multiple sources (communication and prioritising is critical).
Knowing spatial position and geometric relationships (e.g. where am I, where is the other traffic, where is my
nearest suitable airfield?).
Periodically updating the current dynamic situation (update your shared mental model).
Prioritising information and actions (do the important stuff first and defer the others).
Making quality and timely decisions (a major quality required for Command).
Projecting the current situation into the future (be proactive, not reactive).

Mental Step Back
It is very easy to become entirely focussed on the one individual problem or situation that has occurred to such an
extent that you neglect the other sometimes more important and imperative things happening around you (an
extreme form of tunnel vision), which usually leads to decreased SA and increased risk.
This is when your SA and monitoring is most likely to break-down. There is no point in doing an excellent job of
dealing with the situation or problem, only to get an EGPWS because you are now flying towards the high ground!
When a problem occurs, pilots tend to focus almost exclusively on what the problem is and then go about solving
it (solution centred). This narrows your “Field Of View” (FOV) as the problem area and its’ solution becomes your
centre of attention. By taking a Mental Step Back you detach yourself temporarily from the problem and allow your
FOV to open up and take in the Big Picture and improve your SA.
It has to be a pretty demanding and time critical event for you to spring into action whenever you are below MSA
or MRA. Try to ”sit on your hands”, Stop And Think about the SA Enhancement items that follow and get above
MSA, reduce your workload, then deal with the event in a low workload environment. KISS.
Ensure that you let the rest of the crew know what you're doing if you assess that the situation can wait, as they'll
be expecting to launch into action, i.e. use the magic word "Standby". Otherwise they'll be wondering if you're
incapacitated or not!
Whenever you are faced with any unusual problem or situation, quickly mentally run through these three
different SA Enhancers (6 Quick and Dirty SA, 3 Temporal, and 4 Technical). It is big picture, quick and dirty stuff,
doesn't focus too much on details or the ultimate outcome or solution, but it might be the one thing that saves your
neck one day.
Six Quick and Dirty SA Enhancers

Review the following six Quick and Dirty SA Enhancers to maintain or re-establish your SA whenever a problem
or uncertainty occurs.
These six items are not intended to be in-depth (that comes later when you have more time to assess the situation
and your workload is lower) and should only take a few seconds to quickly go through, but to be this quick takes
discipline and practise...lots of practise.
Six Quick and Dirty SA Enhancers

11.. TERRAIN Lookout, What am I pointed at, EGPWS, ND map display, ND
Will I hit the ground? MORA, Am I below MSA or MRA?
22.. TRAFFIC Lookout, TCAS, ATC, Listen-out.
Will I hit another aircraft?
33.. WEATHER Lookout, Weather radar.
Will I fly into weather?
AP use (Basic Modes of HDG, V/S) or Manual flight, FD commands,
44.. AVIATE L/G, Flaps/Slats, Speedbrake, Attitude, Thrust (A/THR or Manual
Is my configuration suitable, and Thrust), raw performance information (IAS, V/S, altitude, heading
How will I fly the aircraft? etc.).
55.. NAVIGATE FMS, ND, TO Waypoint, HDG or NAV.
Where am I going?
66.. COMMUNICATE Tell the team. Share your mental model and your initial assessment,
What next and What are my intentions? thoughts, plans, or actions. Communicate your intent.
Notice that Lookout is in all of the first three items. You've got a dirty great window just in front of your face – use
it! That's just basic airmanship!
Three Temporal (Time) Enhancers

It is easy to focus on what has just happened as the aircraft is moving through time/space. Don’t let your mind
dwell on what has occurred behind the aircraft or you will be operating in the past and at Level 1 SA.

Consider the following three Temporal Enhancers and do a quick review of;
Three Temporal (Time) Enhancers

1. What has happened (Past)
2. What is currently happening (Present)
3. What will happen (Future)
Consider the Past, Operate in the Present, so that you can Plan for the Future.
By doing these temporal things you will either maintain, enhance or update your SA and begin to formulate an
outcome, goal or solution to your problem.
Four Technical Enhancers
If the problem is an ECAM/EICAS or a system technical problem when you take a Mental Step Back consider the
following Four Technical Enhancers to update your SA;
Four Technical Enhancers

1. What have I lost?
2. What do I have left?
3. How does this affect me now and in the future?
4. What is the worst case scenario?
These questions are sometimes best pondered before you drag out the DDG or launch into the ECAM/EICAS
actions if time and the situation permits.
By considering these four things at this early stage you may be able to formulate tentative plans and actions that
will be confirmed when you peruse the DDG or do the ECAM/EICAS actions (or possibly not – remember; be
flexible). Considering these things may also help you in making decisions and planning for the future.
Monitoring And Cross-Checking

To obtain and maintain good SA requires good monitoring and its’ associated skill of cross-checking. Monitoring
is the skill where you notice changes in flight parameters or changes in the task, crew or operational situation.
To state the obvious, one of the most important aspects of a safe flight operation is the requirement for
crewmembers to carefully monitor the aircraft's flight path and systems, as well as actively cross-check
each other's actions.
Unfortunately, these seem to receive too little attention. (Patrick R. Veillette)
Monitoring, and cross-checking, are an integral part of our operation as aviators and are embedded in our Normal
Procedures (NPs). It is perhaps worthwhile to spend a few moments reviewing, really looking at what the words say
and mean, what your NPs state about monitoring and cross-checking.
Like most things related to being the Captain, an extra dimension is added to your Command requirements when
you move from the RHS to the LHS. In addition to complying with the monitoring you had previously done as a First
Officer relating primarily to the safe flight path of the aircraft, as the Captain you will now also be required to monitor
what your First Officer is doing (or not doing), along with your other team members and monitoring the overall
progress of the sector(s).
The Problem With Monitoring

Monitoring and cross-checking is part of our NPs and we all do this don’t we? It’s been drilled into us from our
very first flight, assessed every time we do our RTs/PCs and other simulator duties and during our Annual Line
Checks. So what’s the problem?
Monitoring
The problem with monitoring is that humans are usually not very good at it.

Humans are generally poor at monitoring tedious, repetitive and boring things and we therefore tend to become
complacent. We are also not particularly good at catching our own self-induced errors, despite there being at least
two pilots on our airline’s Flight Deck for just that reason; monitoring and cross-checking to increase safety.
Good monitoring skills are not inherent in pilots as they progress in their careers. Effective monitoring
techniques must be trained and rewarded. (Capt. Frank Tullo)
LOSA audits, and analysis of ICAO, Flight Safety Foundation, NTSB ASRS; in fact pick any report or study, has
found abundant evidence that well over 50% of accidents and incidents have had inadequate monitoring and cross-
checking as a causal factor. And this doesn’t even look at unintentional errors or Undesirable Aircraft States that
didn’t result in a reportable incident or accident!
In an attempt to alleviate this very human tendency, aircraft designers and manufacturers have increased the level
of automation (AP/FD, A/THR, ECAM/EICAS, FMGS, CPDLC, ACARS etc. and in the process designed out the human
flight engineer). This increased use of automation, and in certain cases the lack of human centred automation – i.e.
automation designed without any regard to how humans will inter-face and utilise the automation – has further
degraded our monitoring skills, as our NPs are designed around the use of automation.
In some cases we now rely, depend and in some case blindly trust our automation (Automation Dependency,
Automation Complacency and Automation Bias).
Cross-Checking
Cross-checking is basically the crew ensuring that the other pilot is performing safely and correctly. The PM is
essentially monitoring the PF to detect any errors that he may commit.
Do you as the PM automatically respond with “Check” at whatever the PF initiates? Do you actually consciously
look at, review, digest the displayed FMA or other instrument indications, check they do indeed indicate what the PF
is saying and then respond? Are you actually checking or are you just automatically responding?
You need to discipline yourself (and your crew) to actually look at the indications that have been initiated by the
PF/PM – to consciously process that information and then decide if the indications are appropriate. Only then should
you respond in the positive (if it is correct) or the negative (if it is incorrect).
Poor cross-checking is the primary cause of many errors committed by flight crews and was a primary factor in
many of our past inadvertent flap retraction incidents.
The end result of all this is that a lack of effective monitoring and cross-checking by the crew can render the
procedural defences (NPs) ineffective and so potential mistakes or errors may occur and/or not be detected, which
ultimately reduces safety.
Why Is Monitoring So Hard?

In the past monitoring and cross-checking had received little attention from any of the Regulatory bodies, the
Airlines, pilots or from the training establishments responsible for training those pilots. Everybody just assumed that
pilots naturally accomplished monitoring and all pilots did it to a high standard.
Monitoring and cross-checking, in the past, wasn’t considered a primary task for pilots. So it is easy to allow other
pilot actions, skills and requirements to take precedence. However monitoring is a primary task and as a primary
pilot task you cannot allow other duties or distractions to degrade your or your crew’s monitoring.
Monitoring and cross-checking are primary tasks for all crew members.
Like any pilot skill, monitoring and cross-checking must be taught, practised, developed and honed. It sometimes
requires targeted, planned, conscious thought. It’s not easy and you have to work at it.
To further emphasise the primary monitoring and cross-checking skill requirement the “old” designation of PNF –
Pilot Not Flying, has been changed to PM – Pilot Monitoring. The rationale behind this change of designation is to
amend it from what the non-flying or non-handling pilot was NOT doing (a negative description of PNF), to what he
IS doing (a positive description of PM).
Monitoring is an Active skill that you’ll have to studiously work at. Ensure that it is given the priority and
importance that it deserves as a primary task and skill that you will be required to display. Discipline yourself to
intentionally and consciously apply Monitoring skills.
Monitoring is an Active skill.
Ultimately it is up to you as an individual and as the Captain to discipline, develop, practise and insist on effective
Monitoring and cross-checking from yourself and your team members.

How To Effectively Monitor
Distractions and inappropriate workload management are two big enemies of monitoring. Generally as your
workload increases, your monitoring decreases.
Monitoring also can decrease when you start to run out of time. Be aware of this and ensure that you and your
crew conduct their duties with this in mind. Be conscious of your workload and manage your workload to ensure
that you or your team don't get overloaded. Afford monitoring the high priority it deserves.
All too often flight crews are doing too many concurrent things to adequately monitor the aircraft. Pace your crew
and slow down the tempo if required and prioritise your workload.
High Risk Areas For Monitoring
Areas that studies have shown are high risk monitoring times are;
Taxi – Both for Take off and after Landing. Both of you should be “Heads Up”, with taxi charts available, cross-
checking the taxi route and looking out for taxiway traffic. Avoid unnecessary “Heads Down” e.g. getting an
updated ATIS, or new RTOW data. This is when runway transgressions, overshooting taxi clearance limits,
incorrect Slat/Flap settings and incomplete checklist actions regularly occur.
Thrust Reduction/Acceleration Altitude – A lot of simultaneous actions and FMA changes are required or
automatically happening here and the pace and priority of these tasks needs to be addressed. If you can see that
it will be a particular problem, include monitoring, pacing and workload management in your Take Off CTWO +
brief.
“Glass” Cockpits – Glass cockpits and the FMS have been described as a “vacuum cleaner”; it seems to suck
heads, eyes, fingers and attention straight into it! LOSA data has found that 30% of crew errors occurred when
the flight crew was programming or altering the FMS. One of you should always be “Heads Up” doing the Aviate
and Navigate bit and the other is “Heads Down” interacting with the FMS. Remember that if you are getting
bogged down with the automation that you can revert to Basic Modes to prioritise your tasks. Be very disciplined
about this division of duties and attention and strictly follow NPs.
Final Course or LOC and/or G/S Interception – Again there is a lot happening here. Afford this critical area of
flight the strict attention of monitoring that it deserves. You both want to be focussing on the Final Course or LOC
and G/S capture. Workload management and prioritisation is imperative here. Changing to the Tower frequency,
putting the gear down, flap selection, checklist completion, standard calls etc. is very important, but so is ensuring
a stable approach and capturing the LOC and G/S.
Non Precision, Circling or Visual Approaches – We rarely get to fly these types of approaches. As they are
infrequent the potential is there for error, so you want both pilots’ attention focussed on ensuring the procedure is
completed correctly, within limits and safely. Get all non-essential duties completed early (workload management
and prioritisation again) and consider being a little more conservative when flying the approach. Don’t allow
distractions to affect your Monitoring. Plan and brief the arrival in detail.
TOD and Descent – LOSA audits again have identified the Top Of Descent as a monitoring high risk area. Get
your PA to the passengers out of the way early, get the ATIS early and brief the approach before TOD. If you
can’t get the ATIS ask ATC for the runway in use or use your most accurate information (TAF, METAR, ACARS,
local knowledge). 90% of the time you’ll have picked the correct STAR, arrival and runway in use. You both
should be “Heads Up” in a low workload environment at TOD and during Descent just monitoring the flight path,
ATC and each other, NOT reviewing charts and conducting an arrival briefing.
One To Go – Altitude busts are most prevalent if a distraction and consequent breakdown of monitoring occurs
within one thousand feet of level off during climb or descent. 1,000 feet to go should be a “quiet” time when
you’re both “Heads Up” focussing on the altitude capture.
High/Low Workload Periods – Again, LOSA audits have revealed that over 30% of monitoring errors occurred
due to poor workload management (pacing and prioritisation crop up yet again! Are you seeing a pattern here?)
Good Captains and pilots plan ahead during periods of low workload for the hectic times of high workload. An
example of this would be checking the STAR and approach in the cruise (low workload) and identifying areas of
potential high workload during the arrival and approach. This should be part of your TEM strategy. Don’t just
identify threats, work out some way to mitigate those threats and then share your plan with your crew
(communicate your intent).
“Heads Down” – At some stage someone is going to have to go “Heads Down”. Try to schedule these “Heads
Down” occurrences to low workload periods. Determine if it is really necessary at the present time. It may be
more appropriate to defer it until a more opportune time. If you do have to go “Heads Down” alert the other
pilot so that he is aware of your reduced monitoring state and so that he can focus and increase his monitoring
state.

Self-Monitoring
Automation is an increasingly complex and integral part of our daily operation as pilots. As the PF you will likely
have the AP/FD and A/THR engaged for most of the flight with the FMGS programmed for the strategic, long-term
vertical and horizontal flight path or use the FCU/MCP for the tactical short-term flight path.
You, as the PF, are in effect “monitoring” the AP/FD flying the aircraft, as well making, or directing, the
appropriate selections through the automation interfaces (FCU/MCP and/or FMS and MCDU) and the PM is also
monitoring the AP/FD in addition to monitoring you monitoring the AP/FD!
Monitoring the results of one's actions is an important ingredient in consistent, excellent performance of
complex tasks. In flying, self-monitoring allows a pilot to recognize inadequate performance, observing
changes in the operational environment and take corrective action. Self-corrections may range from
adjusting control inputs to reversing decisions. In multi-crew operations, the monitoring task is shared
by two or more crewmembers. The flying pilot (PF) is responsible for monitoring his or her own
procedures and control inputs. In addition, operational redundancy is provided by the non flying
crewmember (PM), who is given the task of monitoring the flying pilot. (NTSB Safety Study)
Self-monitoring is generally where you will pick up self-induced errors (e.g. inserting the wrong speed or altitude
constraints into the FMS, or selecting the wrong speed, heading or altitude on the FCU/MCP in response to an ATC
clearance).
Don’t just solely rely on your PM to pick up your mistakes.
Actively Monitoring
Monitoring is an Active Skill and not something that just happens – you’ve got work at it.
“Actively Monitoring” is a slightly different term, in that you are “mentally flying” the aircraft as the PF with the
AP/FD engaged or as the PM at any time.
When you’re actively monitoring the aircraft you’re assessing its’ flight path (vertically and horizontally), the
navigation (we’re here and we want to go to there), the speed, configuration, aircraft systems, where is the high
terrain or windshear (hazardous areas), the automation modes on the FMA, FCU/MCP and FMS and are they suitable
to achieve what we want.
If that sounds a bit like SA, then you’re right. Actively Monitoring is the process that you acquire information by
being consciously aware of your aircraft, its flight path, its systems and its state to continually update your SA.
Often pilots when they are PM will relax this aspect of their monitoring and cross-checking. It is imperative that
when you are PM that you consciously Actively Monitor what the PF is doing. Only by Actively Monitoring your PF
F/O, as the Captain, will you have sufficient SA to be able to Intervene when your F/O starts to lose SA (more on
Intervention in a later Chapter).
When you are PM; ACT as the PM, but THINK like the PF.
Workload Vs Monitoring
Workload management was a common theme in the High Risk Areas For Monitoring section above.
Workload
As the Captain and Leader you will have to master the art of workload management. You actually get to choose
(to a certain extent) how hard you or your team work. You can use delegation, prioritisation, planning and
preparation, use of automation or your crew to regulate how hard you, as the Captain, or your team have to work.
Managing your workload allows you to become much more effective at both using manipulative fine motor skills
to physically fly the jet and make systems selections (if manually flying) and more importantly, to free up mental
capacity so that you can plan, use judgement, make decisions, communicate your intent, direct and guide your team
– you know, do those Captain things!
Monitoring
As the Captain and Leader you will also have to master the art (or science?) of monitoring. Monitoring is now a
primary flying skill.
In addition to monitoring what is happening with the aircraft systems; their state and health (Plane), and where
the aircraft is going in the three dimensional world that we work in; by observing the attitude, airspeed, altitude,

configuration and navigation (Path), you now have to focus your attention much more on what your F/O, Cabin Crew
and the members of your “external extended team” are doing (People). You also have to Lead and manage the
different people in your team and the task (Parts).
Workload Vs Monitoring
In an ideal world you want your monitoring to be good at every level of workload – both during low workload
and high workload. But as you’ve probably already experienced this is not how it works in real life!
As your workload increases your monitoring effectiveness decreases. Or another way of saying it would be that
your Monitoring is inversely proportional to your Workload.
This is the exact opposite of what you really want to happen.
In an ideal world as your workload increases you want your monitoring to increase to cope with the extra
demands placed upon you and your crew in the high
workload environment. But as you know, as your
workload increases with unusual, complex, ambiguous,
abnormal, emergency, unplanned changes or surprise
events, your monitoring can plummet (if you let it).
The relationship is not linear either. It is more like an
exponential relationship. A relatively small change in
complexity can lead to a large increase in workload and
a subsequent large decrease in monitoring. The more
things stack up against you and your team, the more
your teams’ workload increases and the more your
teams’ monitoring decreases.
Ideally you want to keep your workload to the left
side of the graph (low level workload) so that you have
excess monitoring capacity (high level monitoring).
Using the graph analogy further; the difference
between your workload curve and your monitoring
curve (to the left of the crossover point) could be said to
be your “excess monitoring capacity”. The lower your
workload, the greater the difference between the two curves and the greater the excess capacity and greater the
monitoring capability.
You definitely don't want to go pass the point where the two curves crossover – you're now overloaded (poor
workload management), have no excess capacity (in fact you are in a “capacity deficit” area and this is when you
load-shed tasks and make errors and miss things) and your monitoring becomes almost nonexistent.
You are now a passenger and NOT a pilot!
What To Do About It
First of all, recognise that this is what happens for real. Be aware that by allowing your workload to increase to
“high” levels you end up with monitoring at “low” levels and potentially will eventually compromise safety.

Don’t rush to the scene of the accident!
Next, train yourself to recognise the “Red Flags” that your, or your teams’, workload is increasing.
You cannot react, if you don’t recognise. If you don’t recognise that things are going off the rails you cannot react
and alter the situation to a desirable outcome. This might be triggers such as missing radio calls or standard callouts, a
breakdown of SA, making a series of minor mistakes, being unsure of what is happening and what will happen next,
having to rush things to get them done in time or having a gut feeling that something is not right.
Work on identifying your own individual workload “Red Flags”. Practise this as an F/O in the lead-up to your
Command Course.
Now that you’ve recognised that the increased workload may, or is actually, affecting your monitoring you need
to put your workload management strategies into effect. It might be as simple as using the Autopilot, handing over
control to your F/O (but don’t forget you still have to monitor him), requesting an orbit, holding, extra track miles
(buy extra time), putting into place a pre-planned strategy that has been discussed while you were in a low workload
environment, focussing on the highest priority requirement and deferring the lower priority tasks or communicating to
your team your assessment of the situation and what you require from them.
It will all happen in a rush, when you are under pressure and stress. You need to think out your workload
management strategies well before you have to use them, and practise them as an F/O as you will not have too much
spare time to think about what you’re going to do when it actually happens.
An Example
You’re flying into Hong Kong for an ILS on runway 25R. Lots of high terrain surrounds the airfield and there is a
dirty great 3,300’ hill just to the right of the LOC at almost your altitude when descending on the G/S. It is busy and
ATC is giving everybody quick fire radar vectors and speed control to get the traffic spaced for optimal runway
capacity.
Approaching the LOC, ATC cuts you in early and you lose some track miles. You need to use speedbrake and
start configuring right now. There are numerous ATC radio exchanges with new altitude and speed requirements,
you’re observing the other traffic on TCAS and there are numerous standard calls as you and your F/O start to extend
flap.
While all this is simultaneously occurring your workload is increasing. It is so easy to allow your monitoring to
decrease by neglecting to monitor the LOC and G/S capture. You want to get this right as there is that big hill just
waiting for you to go through the LOC and head on down parallel to the G/S.
In this case you might assess that the highest priority task is ensure that you capture the LOC and only then will
you follow the G/S. This isn’t rocket science – this is basic survival!
You should have communicated this requirement as part of your arrival brief. Now your F/O is made aware of
the danger and your particular requirements and highest task priority. You both should be devoting a fair bit of time
monitoring the radar vectors to the LOC and the raw data to ensure that you, your F/O or the A/P actually gets it
right.
Decrease your workload by anticipating this high workload, high threat situation and brief a strategy to mitigate
this Threat; slowing a little earlier, taking flap a little earlier, deferring non essential tasks until you get to a lower
workload time – manage your workload to a “low” level so that your monitoring remains at a “high” level.
You do get to manage some aspects of your workload and as the Captain, workload management needs to be
very highly refined and developed. By managing your level of workload to the “low” level, you can manage your
monitoring to the “high” level – which is what we want.
Monitoring Your Team And Task

Team
You will be the Captain and Leader of your team. In addition to the primary flying monitoring skills and task that
you had as a First Officer (Plane and Path), you will now have the additional task of monitoring what the other
members of your team do (People).
You will primarily monitoring be your First Officer, but do not neglect to monitor your Cabin Crew or the other
players in your “extended team” (engineering, IOC, ATC, Traffic and Airport Staff etc.). A Commander needs to
think globally, strategically and view the “Big Picture”.

Be aware of what your First Officer is doing, how he is flying the aircraft, the FMS and autoflight modes he is
using, his level of workload, whether he is coping or needs assistance. Be particularly aware if he starts to reach
YOUR perceived upper skill level – he is starting to reach the point at which you feel YOU can just recover the
situation safely.
This aspect of Command will be explored much further in the Landings To First Officer simulator session after you
pass your ICC when you investigate Intervention.
Be aware also of the state of affairs in the Cabin; the cabin workload, any problems the ISM or Cabin Crew may
have. This is also sound CRM and will be appreciated by your Cabin Crew.
If you delegate duties to, or require assistance from, ATC, the ground engineer, IOC or any other agency ensure
that you follow up with their progress and results. You also have to effectively monitor these “external team”
members. This does not mean that you do their jobs for them, just that you are kept in the information loop so that
you have accurate information as a basis for accurate decision making.
Task
One of your additional Command roles is to be the supervisor, manager and Leader of the whole show. This
includes overall monitoring of the present sector and how it might affect future sectors. You’ve got to manage the
overall task requirements (Parts).
Don’t just sit there; ensure everything is happening as you plan and desire. Be proactive, not reactive. Plan,
prepare and have various options to complete the commercial and operational task. You’re responsible for running
the show and ensuring that the sector/flight(s) are completed safely, legally and efficiently.
Can you reduce the Cost Index to save fuel, step climb, make up time to keep the schedule intact, slow down to
arrive after a curfew, are Flight Time Limitations an issue, do you need to apply the DDG on the next sector, avoid
traffic conflicts etc.?
The only way you can ensure that this happens is to be aware of and continually monitor and then manage the
progress and state of the aircraft and the sector.
Monitoring Summary
To ensure the highest levels of safety each flight crewmember must carefully monitor the aircraft’s flight
path and systems, as well as actively cross-check the actions of each other. Effective crew monitoring
and cross-checking can literally be the last line of defence; when a crewmember can catch an error or
unsafe act, this detection may break the chain of events leading to an accident scenario. Conversely,
when this layer of defence is absent the error may go undetected, leading to adverse safety
consequences. ( Captain Robert L. Sumwalt, Captain Ronald J. Thomas and Key Dismukes)
The bottom line? Be good at monitoring and cross-checking and discipline yourself and your crew to maintain a
high standard.
Monitoring Summary
Be aware of when you need increased Monitoring vigilance.
Monitoring is an Active Skill and you need to consciously work at it.
Actively Monitor (“mentally fly”) the aircraft either as PF or as PM.
Keep your workload low, so that your monitoring is high.
Monitor your Team and Task
SA & Monitoring
To have good SA requires good Monitoring.
Monitoring is how you scan for and notice and receive the data and information that is required for effective SA.
It is imperative that you have good SA, as good SA maintains or enhances safety and drives the entire decision
making process.

Situational Awareness Resources
The following are two SA articles from the CRM Developers Forum that you can utilise to further your
understanding and application of SA.
Internet
Situational Awareness, Key Component of Safe Flight.
http://www.crm-devel.org/resources/article/flyingcareers.htm
Managing Situational Awareness On The Flight Deck – Or The Next Best Thing To A Crystal Ball. An
excellent and easy to read SA article written from a pilot’s point of view.
http://www.crm-devel.org/resources/paper/chappell.htm
Kai Talk
Situational Awareness. An article by Captain Peter Willison (Kai Talk – Issue 1, 2006).
Maintaining and Training for Situational Awareness in the Modern Flight Deck. An article by Rick Howell
(Head of Corporate Safety) (Kai Talk – Issue 1, 2006).
Monitoring Resources
Included here are some relevant Monitoring and Cross-Checking resources that you can utilise to further
your understanding and application of this important primary flight skill.
Internet
Enhancing Flight-crew Monitoring Skills Can Increase Flight Safety.
http://human-factors.arc.nasa.gov/flightcognition/Publications/FSF_Monitoring_FINAL.pdf
Human Factors in Aviation Safety: A View From the Left Seat.
http://www.aviacao-civil.ifi.cta.br/FHSeminario/Apresentacoes/Sumwalt_CTA_presentation.pdf

Th e futur e in aviation is th e n ext
30 s econds .
Long term planning is an

hour and a half.

Threat And Error Management
TEM – Defensive flying for pilots.
Threat and Error Management (TEM) is a philosophy that proposes that Threats, Errors and Undesired Aircraft
States are everyday events that you must manage to maintain safety. Therefore, flight crews that successfully manage
these events, regardless of occurrence, are assumed to increase their potential for maintaining adequate safety
margins. This is what you should aim for as a Captain.
You are only human and as such are prone to make errors, particularly under conditions of overload, stress and
fatigue. Human error is ubiquitous and inevitable. Threats and Errors are an integral part of your daily flight
operations and must therefore be effectively managed.
You will make errors during your Command Course – 100% guaranteed. The difference between good Captains
and bad ones is that the good Captains;
• Identify and then minimise the risks and chances of a Threat affecting their flight by having Strategies to avoid
those Threats, and
• If an Error is made they recognise, trap and then mitigate or correct that Error to a satisfactory and safe result.
TEM is not just looking at your self-generated errors, but at the bigger picture of external Threats and Errors that
confront you during your day to day operations.
TEM does not teach pilots how to technically fly an aircraft; instead it promotes a proactive philosophy and
provides techniques for maximising safety margins despite the complexity of one’s flying environment. In this sense
TEM can be framed as defensive flying for pilots.
This is the heart of TEM; identifying and avoiding Threats and detecting, trapping and correcting Errors.

The TEM Model – An Overview
State & Manage Layers
The TEM Model can be diagrammatically represented by a series of two different types of “layers” depicted in the
shape of an inverted triangle. The different Layers form a kind of overlapping defensive shield.
There are three different types of modes or State layers in the TEM Model; Threats, Errors and UAS (Undesired
Aircraft States).
Each State layer has a corresponding Manage layer; Avoid, Trap and Mitigate.
These Manage layers are the most important part of the TEM Model as it is here that you get to influence the
eventual result of the whole TEM process. The Manage layers and the implementation of actions within them is what
separates good Captains from the bad.
In other words, the TE part of TEM leads to the most important M part – the effective Management of the Threats
and Errors.
TEM can be seen as a set of counter-measures with multiple management “layers of defence”.
The Manage Layers are the areas that you should focus the majority of your TEM Command attention.
Layer Thickness
Each independent and individual layer can be either thick or thin.
State Layer. A thin State layer would represent few Threats, Errors or UASs – an easy day at the office. A thick
State layer would represent numerous, multiple Threats, Errors or UAS’s – where you really need to be proactive and
on top of your game as the Captain.
Manage Layer. A thin Manage layer would characterize little planning or limited strategies to counter the Threats,
Errors or UAS’s that are affecting you – usually resulting in decreased safety and increased risk. A thick Manage layer
would signify that you have adequately catered for the various Threats, Errors and UAS’s – safety is increased and risk
minimised.
Creating thick and robust “Manage” layers should be your TEM Command goal.
TEM & SA
TEM and Situational Awareness (SA) are intimately and inexorably linked. You cannot have any semblance of
TEM without a reasonable level of SA.
The three different TEM States are very closely related to the three SA Levels (as explained in the SA Chapter).
This relationship is displayed in the TEM Table at the end of this Chapter.
Overall TEM Model

Outcome. If you progress deep enough into the TEM triangle and you do not adequately Manage the different
State layers, you may eventually bypass or defeat all the State and Manage Layers end up with an Outcome. An
Outcome is usually readily observable by everyone (both inside and outside of the cockpit) and is manifested as an
Incident or an Accident.
Entry Point. Notice that there are two possible places to enter the TEM Model.
The most usual point of entry into the TEM Model is via the Threat Layer and then depending on how you
manage (or mismanage) those Threats will dictate how deep into the TEM triangle you get.
However you can also enter the TEM Model directly via the Error Layer – here you make a mistake or error in the
absence of any Threats. These are Spontaneous Errors. Some days you just screw up.
Inverted Triangle. The inverted triangle shape of the TEM Model is most appropriate as the deeper into the
Model you progress, the less time, resources and options are available to you to successfully Manage the Treat, Error
or UAS.
The deeper into the TEM Model you allow yourself to get will result in safety decreasing and risk increasing. In
addition your workload will be increasing and your monitoring decreasing.
Getting really deep into the TEM triangle is not a good thing!

Threats
The upper-most State layer of the TEM Model is the THREAT layer.
A Threat is defined as;
An event or error that;

Occurs outside the influence of the flight crew (i.e. not caused by the
crew),
Increases the operational complexity of a flight, and
Requires crew attention and management if safety margins are to be
maintained.
A Threat can be high terrain, icing conditions, an aircraft malfunction (e.g. a thrust reverser inoperative or an
ECAM/EICAS), an incorrectly coded navigation database, a late runway change, other people’s errors (e.g. an
inaccurate recording of a fuel load by the refueller or an incorrect altitude assignment by ATC), an unfamiliar airfield
or congested airspace with high traffic loads.
Threats occur independently of the flight crew.
This means that Threats come “at” the crew from external sources, which add to the crew’s workload and need to
be managed. Threats have the potential to or may actually increase risk and decrease safety.
Threats may be;
Expected. Known or Expected Threats can be projected to influence the operation (e.g. you hear on the ATIS
during pre-flight preparation that the runway in use has changed or a thrust reverser is deactivated and the aircraft
dispatched within the DDG). You want to be operating in this Expected Threat area as much as possible.
Unexpected. No forewarning is available (e.g. an ECAM/EICAS with no prior indications). Once the Unexpected
Threat has been recognised you must apply skills and knowledge acquired through training and operational
experience to counter that Threat (e.g. it may be more prudent to “Standby” on an ECAM/EICAS until above MSA
and your workload decreases).
Latent. Not directly obvious to, or observable by, you or your crew (e.g. equipment design faults, optical illusion,
database errors or software anomalies). Deal with Latent Threats in the same manner as Unexpected Threats.
Regardless of whether Threats are Expected, Unexpected or Latent, one measure of the effectiveness of your
ability to manage those Threats is whether the Threats are detected with the necessary anticipation to enable your
crew to respond to and avoid them through the use of an effective counter-measure – i.e. do you effectively Manage
those Threats?
Managing Threats – AVOID Layer
The corresponding Manage layer to the Threat State is the AVOID Layer.
Here you must identify potential Threats in advance (as much as
possible); things that may happen in the future.
This requires you to be projecting and planning for the future – Thinking
Ahead, i.e. have adequate Level 3 SA.
Once Threats have been identified, Strategies need to be formulated to
avoid those Threats. Identifying a Threat and having no strategy to avoid it is
useless. You will need to work together as a team to develop Threat
management strategies to build a thick AVOID layer.
Threat management is being proactive by looking ahead into the future to anticipate problems that you may
encounter. Operating in the AVOID Layer normally results in you having Level 3 SA (Think Ahead) and low
workload/high monitoring.
Threat management is being proactive.
Some of the common tools and techniques used in the Avoid layer are, preparation, thorough pre-flight planning,
making reference to Port Pages, briefings (which allow you to share your mental model and communicate your
intent), knowledge of NPs, regulations, policy and procedures and contingency scenarios (What if...?).

One effective method to counter Expected Threats is to divide a page into two columns. On the left side list all
the Threats that you can think of and on the corresponding right side list all the Strategies to counter (avoid) those
Threats.
Do the same for any potential Unexpected or Latent Threats that you have either actually experienced in the past,
are common in your fleet or area of operation or you think may affect you.
This is essentially Preparation – you have a pre-thought out plan to deal with unusual events such as ECAM/EICAS
etc.
Threats are effectively managed by crews who;
Anticipate and consider the Threats (which requires Level 3 SA).

Are vigilant for Threats (a healthy level of scepticism and suspicion) coupled with good verification, monitoring
and cross-checking.
When uncomfortable acknowledge and respond to their own personal internal “Master Caution” (gut feeling) and
identify the cause of their concern.
Work together as a team to develop Threat management strategies to avoid those Threats.
You may not be able to identify all possible Threats, but by using vigilance, monitoring, briefings, communication,
workload management, SA and Leadership you will minimise the possible effects of an unanticipated Threat.
Strategies to deal with identified Threats that potentially will come “at” you (in the future) can be thought of as a
proactive AVOID layer of defence.
Unrecognised, unmanaged or mismanaged Threats significantly increase the potential for Error(s).
Errors
The middle State layer of the TEM Model is the ERROR layer.
An Error is defined as;
Flight crew actions or inactions that;

Lead to a deviation from crew or organisational intentions or
expectations,
Reduces safety margins, and
Increases the probability of adverse operational events on the ground or
during flight.
An Error can be the result of a momentary slip or lapse, or induced by an Expected or Unexpected Threat (e.g. a
late runway change might induce a procedural shortcut that results in a crew error).
Errors occur as a direct result of the flight crew’s actions or inactions.
Errors can be seen as coming internally “from” the crew. Errors actually increase risk and decrease safety.
Unrecognised, unmanaged or mismanaged Threats often directly result in an Error(s). However Errors can also
occur spontaneously (i.e. without direct linkage to specific, obvious Threats and this is an Error type that causes you
to enter the TEM Model directly at the Error Layer, bypassing the Threat and Avoid Layers) or as part of an Error chain
(one Error leads to another).
In addition, Errors are categorised as;
Procedural. These include slips, lapses or mistakes in the execution of regulations or procedures. The intention
is correct but the execution flawed.
Communication. These occur when information is incorrectly transmitted or interpreted within the cockpit or
between the cockpit crew and external sources such as cabin crew or ATC or when there is no communication of
intent or sharing of the mental model within the crew.
Aircraft Handling. Indicates a lack of technical knowledge or “stick and rudder” skills. Examples include poor or
incorrect flare technique, incorrect configuration management, inappropriate use of automation or an incorrect mode
selection.

Managing Errors – TRAP Layer
The corresponding Manage layer to the Error State is the TRAP layer.
Here you must recognise Errors and if required complete error recovery to
a safe situation.
Once Errors are recognised they can be trapped and managed by using
two interactive sub-layers of defence between the Error and the potential
UAS.
Resist. These are the “hard” safeguards – from system defences provided
by hardware and formal procedures (e.g. TCAS, Reactive or Predictive
Windshear, EGPWS, NPs, or checklists).
Even with the best designed equipment these “hard” safeguards may not
be enough to ensure that all Errors are trapped, so then it will be necessary for...
Resolve. These are the “soft” safeguards – through crew technical and non-technical skills, knowledge,
preparation, core Command competencies (SA, Decision Making, Communication, Workload Management and
Leadership etc.), CRM, experience, Airmanship and training.
This TRAP layer is often the final layer between a “safe” flight and the consequences of an “unsafe” UAS.
Error management is always recovering from things that have already happened – in the past – and as such you
are being reactive.
Operating in the TRAP Layer normally results in you having Level 2 SA (Understand) and medium
workload/medium monitoring. Therefore you need to initially act in the present to minimise or mitigate the past
Error effects by monitoring and evaluating crew actions or inactions. Once you’ve trapped the Error you then need
to plan and think ahead (Level 3 SA) to minimise or mitigate the Error (error recovery).
With the hard and soft TRAP safeguards in place, the last line of defence against Threat, Error and UAS is still
ultimately, the flight crew.
YOU are often the final layer of defence.
Resist and Resolve functions for the recognised Errors that have come “from” you (in the past) can be thought of as a
reactive TRAP layer of defence.
If you fail to recognise the Error or mismanage that Error then a UAS may arise.
Undesired Aircraft State

The final State layer of the TEM Model is the UAS (Undesired Aircraft
State) Layer.
An Undesired Aircraft State (UAS) is defined as;
An Error induced aircraft deviation or incorrect configuration associated

with a clear reduction in safety margins.
Examples of UAS’s are unstable approaches, lateral or vertical deviations,

overspeeds, incorrect configuration management (flaps/slats etc.), altitude
busts, long or short landings and taxiway or runway incursions.
UAS are an extension of Errors. As can be seen from the UAS definition, a
UAS results directly from the crew’s Error(s).
Also as with Errors, UAS’s can be seen as coming internally “from” the crew and significantly increase risk and
decrease safety.

Managing UAS – MITIGATE Layer
The corresponding Manage layer to the UAS State is the MITIGATE layer.
UAS management is an essential component of the TEM Model, as
important as Threat and Error management. UAS management largely
represents the last opportunity to avoid an unsafe Outcome and thus maintain
safety margins in flight operations.
UASs are normally (but not always) the end consequence of failing to
avoid Threats and trap Errors. They are also the result of poor SA. When
managing UASs you are being totally reactionary and probably operating at
Level 1 SA (Notice). Your crew will have high workload/low monitoring.
You obviously want to circumvent UASs. To do this generate thick AVOID
(identify Threats) and TRAP (recognise – Resist and Resolve Errors) layers of defence by the proper use of equipment,
skills and knowledge.
Recovery from an Undesired Aircraft State that has resulted “from” your previous errors (in the past) can be thought
of as a reactive MITIGATE layer of defence.
In most cases UASs can be effectively managed through mitigating the UAS effects and the aircraft recovered to
safe flight. However, there may be occasions when they lead to additional Errors which may then precipitate an
Outcome of an Incident or an Accident.
Outcomes
An OUTCOME is what occurs when an event, which has its’ final conclusion as an UAS, is not adequately
managed and defeats all the protective layers in the TEM Model. It is analogous to all the holes lining up in the
“Swiss Cheese” Error Model.
An Outcome usually manifests itself as an Accident or Incident (probably a certain way of failing your Command
Course!). For example an unstable approach (fast and high) on a short, slippery runway may result in a runway over-
run; or landing downwind of the centreline in a raging crosswind, using the incorrect crosswind landing technique
may end with the aircraft bogged off the side of the runway; or you land on the wrong parallel runway.
While UASs are undesirable, they are better than an Outcome – at least with an UAS you get a chance to
“manage” the situation. If you are fast and high in an unstable approach, you can Mitigate the UAS by going around
and completing the next approach satisfactorily and safely.
TIME WORKLOAD/ SAFETY/ SITUATIONAL

TEM MODEL TEMPORAL
AVAILABLE
REACTION
MONITORING RISK AWARENESS
“AT” YOU TTH
HIIN
NKK AAH
HEEAAD
D
THREATS ADEQUATE PROACTIVE LOW/HIGH HIGH/LOW
(In The Future) (Level 3 SA)
STRATEGIES A V O I D L A Y E R
“FROM” YOU U
UN ND
DEERRSSTTAAN
NDD
ERRORS MINIMAL REACTIVE MED/MED MED/MED
(In The Past) (Level 2 SA)
RESIST/RESOLVE T R A P L A Y E R
N
NOOTTIICCEE
U AS (In The Past) MARGINAL REACTIVE HIGH/LOW LOW/HIGH
(Level 1 SA)
RECOVERY M I T I G A T E L A Y E R
OUTCOME I N C I D E N T / A C C I D E N T

Putting It All Together
In the TEM philosophy Threat or Error situations fall into three recognised outcomes;
1. A Threat or Error that is detected and effectively managed has no adverse impact on the flight (anticipation).
This should be your goal.
2. A Threat or Error that is not detected cannot be managed, which may or may not adversely affect the flight
or reduce safety margins (recognition).
3. A mismanaged Threat or Error reduces safety margins by linking to or inducing additional Errors or an
Undesired Aircraft State (recovery).
You cannot avoid or trap everything (even though this is your ultimate TEM goal), but what you can do is to try
and construct thick AVOID and TRAP layers and if it is required carry out good error recovery in the MITIGATE
Layer. Work on these “Manage” layers as a Captain, in conjunction with your crew, to make them thick and robust.
The effective MANAGEMENT of Threats, Errors and UASs is a major difference between good Captains and bad
Captains.
Threat management allows you to manage your FUTURE. Error management requires you to manage your
PAST. (Captain Don Gunther)
TEM & CRM
For all this to work and support effective TEM, the crew has to use their “core CRM” skills. The TEM philosophy
stresses three basic concepts: anticipation, recognition and recovery. Anticipation builds vigilance and vigilance with
monitoring and SA is the key to recognising adverse events and errors. Logically, recognition leads to recovery.
Recover first, analyse the causes later.
While “hard” and “soft” safeguards help support pilots to best anticipate, recognise and recover from Threats,
Errors and UASs, there is arguably no better way to manage these events in multi-crew cockpits than through effective
crew coordination and CRM.
Many of the best practises advocated by CRM can be considered as operational TEM counter-measures.
Initial research in the LOSA Archive has supported links between TEM and CRM. For example, crews that;
Develop contingency management plans, such as proactively discussing Strategies for anticipated Threats, tend to
have fewer mismanaged Threats.
Exhibit good monitoring and cross-checking usually commit fewer Errors and have fewer mismanaged Errors.
Display strong Leadership, inquiry and workload management are typically observed to have fewer mismanaged
Errors and UASs than other crews.
Time “Compression”
A further constraint that is affecting the identification of Threats and the recognition of Errors is Time
“Compression”.
Time is a vital factor in aviation operations and as the TEM diagram indicates, the further down or deeper into the
TEM triangle that you get, the thinner the time window to detect and deal with the Threat or Error also gets. Time
gets “compressed”.
You will need to manage not only your own time but also your team’s time and except for those rare time-critical
emergency situations, you should have control over and manage the time available to you and your team.
The TEM diagram recognises that the deeper into the triangle that you get, the less time is available to you and the
decreasing time available is taking you closer to the bottom apex of the triangle, reducing your options and increasing
your chances of defeating all the defensive layers of protection and ultimately resulting in an Outcome.
By expanding or “buying time”, you can either thicken the current “Manage” layer you are in or move back up
the triangle away from an Outcome, UAS or Error and therefore towards a safer flight.
Monitoring & Cross-Checking
One of the best tools available to crews to help identify any Threats or Errors is Monitoring and Cross-Checking.
In a survey of recent CX ASRs, 60% were directly related to poor monitoring and cross-checking skills. These
included a number of altitude deviations, incidents of stick shaker activation and approach path deviations (all are
UASs).

What do we need for effective monitoring to take place?
Prioritising Workload. It is very easy to overload crew members during a critical phase of flight. This may
require that you delay certain tasks to a more appropriate time, (Aviate, Navigate, Communicate, Manage), but by
prioritising your team’s workload around the busy phases of flight, more effective monitoring takes place. The PM
must mentally fly the aircraft (Actively Monitor) to be able to anticipate the needs of the PF. For example, there is no
need for the PM to immediately communicate with ATC that the crew is executing a MAP, when the priority is to
monitor the MAP itself.
Communication. In its’ simplest form, communication of intent is achieved through the CTWO+ departure and
arrival briefing. It is essential that you not only identify the Threats, but that you also discuss the Strategies that you
will employ to manage and avoid those Threats. If you do not share your mental model or communicate your intent,
how can you expect the other crew members to be able to monitor you? For example, letting the crew know your
intentions and limits when making an approach to an airfield that is renowned for runway changes. Let the crew
know at what altitude a runway change is acceptable, and if you do change runways, what actions are needed to be
carried out.
Appropriate Cockpit Gradient. As the Captain you need to use your Leadership skills to foster an environment
where even the most junior crew member can speak up when they see a Threat or detect an Error that appears to
have gone unnoticed. An appropriate (not too steep; not too shallow) cockpit gradient allows this to occur. This is a
team game and your followers may “save the day” – but only if you allow them to.
Adherence to NPs. NPs have been developed to provide a standardised technique for dealing with certain
specific threats. NPs are often amended or modified after an Error, UAS or Outcome. By following NPs everyone
knows what to expect and is sharing the same mental model.
Effective monitoring and cross-checking can literally be the last line of defence in your TRAP layer.
Good CRM is what ties everything in TEM together.
TEM & LOSA

It is educational to review the past LOSA results that Cathay Pacific has participated in (2001 and 2005). The
mistakes of others and their subsequent lessons can provide you with areas to focus your Command preparation so
that you can avoid Threats, trap Errors and minimise or Mitigate UASs and risk, so as to increase safety.
TEM & LOSA

Monitoring and cross-checking was Poor or Marginal in 23% of our flights.
Monitoring is a primary responsibility of all pilots.
To increase Monitoring, decrease Workload.
From our LOSA findings CX encountered an average of 6.6 Threats per flight.
We operate in a high Threat environment and you will encounter significant Threats on almost every flight.
Be vigilant, be prepared and formulate Strategies to AVOID those Threats.
About 50% of Errors went undetected or were not responded to by the crew.
A Threat that is not identified or an Error that is not recognised cannot be managed.
31% of our UASs were linked to mismanaged Threats.
Develop thick AVOID and TRAP layers.
Error Recovery is an essential Command skill.
Crews that brief late or during descent are 5 times more likely to commit a significant error than crews that briefed
early.
Brief and discuss TEM Strategies at times of low workload, when you have high capacity.
Use times of low workload to plan ahead.
LOSA results also highlighted what outstanding crews do;

• They used briefings that included explicit contingency management as part of Threat anticipation in pre-
departure, descent, approach and landing phases. They identified Threats and used Strategies to form a thick
AVOID layer.
• They used Monitoring and Cross-Checking as part of workload management during the busiest phases of flight.
This allowed them to recognise and TRAP errors.
A TEM Example
To illustrate the concept of TEM and how it can be practically applied consider the following scenario:
Situation TEM State

After a long multi-sector day you and your crew are fatigued. Threat
The destination airfield has two parallel runways. Threat
Your crew notes on the ATIS and is informed by ATC that 07L is the runway in use for
arrivals. The PF intends to enter an approach to runway 07L into the FMS; however he Error
mistakenly enters the data for 07R.
The PF’s error is not detected by the PM on a NP required cross-verification. Error
The flight crew executes the incorrect FMS entry to 07R and the aircraft starts flying on a
profile to the wrong parallel runway.
UA S
At this point, if the crew recognise the Error/UAS, they can either analyse what’s wrong with the automation and fix
the problem or save valuable time by simply disconnecting the autopilot and hand-flying the approach to the
correct runway (or going around if not enough time or spare brain power is available and doing the approach again
– safely).
The latter option of hand-flying or going around is more effective from the TEM perspective because it focuses
effort on recovering from the UAS rather than analysing its’ causes.
If the various Errors and the resultant UAS is not picked up by either the crew or ATC the
aircraft will land on the wrong runway.
Outcome
• What Strategies could you employ to AVOID the Threats?

• How would you recognise the Errors and TRAP them?
• What Error Recovery technique or method would you use to MITIGATE the UAS?
• How good are you at ASRs, paperwork and explanations if the Outcome occurs?
TEM Summary
TEM is defensive flying for pilots.
TEM can be seen as a set of counter-measures with multiple “layers of defence”.
Many of the best practises advocated by CRM can be considered as operational TEM counter-measures.
Work as a crew on creating thick and robust “Manage” layers (AVOID, TRAP and MITIGATE). This is the most
important part of the whole TEM Model and you will need to practice and develop this essential Command skill.
TEM and SA are inexorably linked – you cannot have one without the other if your goal is safe and effective flight.
The deeper into the TEM triangle you get;
• The less time, resources and options are available to you.
• Safety decreases and risk increases.
• Workload increases and monitoring decreases.
• The more Reactive you become.

• SA gradually reduces from Level 3 SA to Level 2 SA and finally to Level 1 SA.
TEM Resources
There are numerous TEM resources available from CX related sources. They are very good and are specific
to the operational environment you will find yourself in.
IntraCX
TEM articles are available from IntraCX. Usually as PowerPoint presentations in the Flight Crew Training
section under either Best Practice or Recurrent Training.
Kai Talk
Safety Articles. There are numerous safety articles and CX Incidents that have been extensively analysed and
examined from a TEM view-point in CX’s Kai Talk Safety Magazine. Review these articles (previous Issues of
Kai Talk can be downloaded in PDF format from the CSD web site via IntraCX). See if you would have
recognised the developing situation and how you would have avoided Threats, trapped Errors or Mitigated
UASs by doing some scenario based learning.
Decision Making TEM. An article by Peter Simpson (Manager Air Safety) (Kai Talk – Issue 1, 2008).
LOSA Special, Issue 2 (June 2009). Contains good background TEM information.
Internet
The following TEM resources can be downloaded from the Internet and are excellent TEM reference
material.
Defensive Flying For Pilots: An Introduction To Threat And Error Management.
http://homepage.psy.utexas.edu/HomePage/Group/HelmreichLAB/Publications/pubfiles/TEM.Paper.12.6.06.
pdf
Threat And Error Management. http://www.flightsafety.org/doc/tem/maurino.doc

Th ere are four ways to fly:
Th e righ t way,
Th e wron g way,
Th e Company wa y, and
Th e Captain ’s wa y.
Onl y on e co unts.

Recovery From Unplanned Events & Outcomes
Anyone can do this job when everything goes as planned. You get to see the “good” Captains when things deviate
from the plan – and they still manage to easily cope.
Command Mistakes
The focus on this Chapter is on how you, as a Command Trainee, deal with events, outcomes and situations that
you yourself generate – your mistakes and errors or unplanned events that occur that will increase your Command
workload.
Humans make mistakes. You are human – therefore you WILL make mistakes.
Everyone will make mistakes or get caught out by unexpected eventualities, and you are no different. What
makes good Captains is their ability to recognise these self-generated adverse events and then be adaptable,
proactive and flexible to ensure that their future projection of events (Level 3 SA) results in a favourable, desired
outcome of their choosing.
The ultimate aim of any recovery from these self-generated unplanned events or outcomes is to ensure that an
adequate safety margin is always maintained and that the final outcome that you eventually choose is satisfactory.
You cannot afford to let any mistake you make during Command Training affect you so much that your
performance during the flight becomes sub-standard.
The greatest mistake a person can make in life is to be continually afraid you will make one. (Elbert
Hubbard)
You must realise that everyone makes mistakes and that you are no different. Perfection is an unattainable goal.
During Command Training you will make mistakes. To successfully complete Command Training you must be
able to “manage” how mistakes affect you, direct a satisfactory outcome after the mistake (using error recovery),
minimise the stress (self-induced or otherwise) and then direct and continue the flight to a successful conclusion.
Most Command Trainers are very aware that you will make mistakes. The really good Trainers will let you make
mistakes and not interfere because mistakes can be a very powerful learning tool. They want to see how you
react to the mistake and more importantly how you recover from that mistake.
Trainers may assist you to cope with your mistakes during the Basic Phase (as this is primarily a “training” phase),
but they will be less likely to assist you during the subsequent phases as they want to see your reaction and
recovery to self-generated mistakes.
During your PR, ICC or FCC Check Flights the Trainer (whose role is as an Assessor) will usually not provide any
guidance or assistance to help recover from your mistake as they are assessing your overall performance.
It’s up to you. Welcome to the “loneliness of Command”.
My Mistakes
Mistakes are always assessed as such in retrospect – they are deemed to be mistakes after you make them. The
time frame between making the mistake and realising that it was a mistake can vary. It may be almost instantaneous
(“I shouldn’t have deleted that waypoint”) or it may be after the completion of the flight, during the debrief or upon
later reviewing the flight yourself days later.
Commanders do not deliberately set out to make mistakes. Their actions and decisions are made using the
information available to them at the time. Using that information in conjunction with their previous flying skills and
aviation experience, airmanship, their training and their knowledge of procedures and SOPs, Commanders then
make what they determine to be the best course of action. It is only later, after you have completed that course of
action, that you may deem it to have been a mistake.
We’re not going to focus on major errors, such as hitting the ground or other objects while taxying, incorrect
procedures during TCAS RA’s or engine failures. Major errors such as these are not acceptable in a Cathay Pacific
Commander. These types of major errors are prevented by adherence to NPs and Company regulations,
comprehensive knowledge of FCOM’s (particularly any procedures that are required to be completed entirely by
memory and therefore must be executed accurately and almost instantaneously) and by using your experience to
avoid placing yourself in situations that require extreme measures to escape.

Nor are we going to bother with the inconsequential and innocuous mistakes that everyone makes during a flight
(although by applying the principles that follow you may lessen or minimise the effects of trivial mistakes).
Between these two extremes of errors are the mistakes that have the potential to affect your Command decisions
and your progression through Command Training. These are the types of mistakes that we’ll be focussing on.
As with most things in life the perceived magnitude of a mistake will vary with different individuals and will also
vary depending on that individuals current emotional condition, mood or state of mind.
What one Command Trainee perceives as a big mistake will be perceived by another as minor error and not
worth worrying about.
Minimising Mistakes
Mistakes are an inevitable fact of life. But is there any way that you can somehow minimise the number or
severity of the mistakes that you will make in your aviation career? The following includes some guidance on how to
minimise or eliminate mistakes.
Successive Approximation
Many of the skills that are required as a pilot are fairly repetitious. As you do and redo these skills you become
more proficient at them. “Successive Approximation” is the redoing of skills to get better and so move closer to the
perfection of the skill by receiving feedback provided by mistakes.
You do a skill, make a mistake, learn from that mistake and the next time you do that skill you perform better
since you do not make the mistake again.
Flight Simulator Training is an excellent method for practising Successive Approximation. If you make an error in
the Simulator, get the instructor to reset the Sim and fly the profile again.
The same can be done during flights. Most approaches to busy airports in our aircraft are via radar vectors to
intercept the ILS localiser. Use these opportunities to refine and improve your flying skills.
Successive Approximation can also be used to refine your “People Skills” – how you interact and relate with
people.
You should be actively doing Successive Approximation well before your Command Training begins.
NPs and FCOMs
Airlines long ago realised the value of standardising their flight procedures. These NPs result in all the flight crew
knowing their particular responsibilities and required duties. They also minimise errors. It is absolutely imperative
that you know your aircraft’s NPs intimately.
In conjunction with NPs are aircraft Flight Manuals or FCOMs, Operations Manuals (Volume 1, Volume 2 Part 2
etc.) and other Operational Directives (NTC etc.). The more you thoroughly know and are able to apply the contents
of these documents the fewer errors you will make. By knowing the contents of these publications, or by seeking out
the particular reference you require, you will be guided towards making the correct decisions and fewer mistakes.
Publications and Documentation

Most Trainers will require that you know procedures and actions to important items intimately (such as
emergency procedures or the Fuel Policy). They also expect that you don’t necessarily have to memorise absolutely
everything, but must be able to find the required information, usually contained in on-board publications, and then
practically apply that information (e.g. Flight Time Limitations).
Familiarity with all the publications stored on the Flight Deck is essential. Know which publications are kept there
and have a good working knowledge of their contents.
When faced with an unusual situation you may be able to avoid making an error by looking up the solution in a
book. However, to do this you must be aware that the solution lies within the aircraft publications, you must be able
to quickly select the correct document, then find the appropriate reference and then apply it correctly. If you are
able to do this quickly and effectively it not only saves a great deal of time (which is usually in short supply and
therefore takes pressure off you) and conveys to the Trainer that you are a competent and knowledgeable
Commander.
Ensure you know your books and more importantly that you can practically apply the information that they
contain.

Time Out
When faced with unusual problems take time to pause and then think them through (Stop & Think).
Making “off the cuff” decisions when pressed for time can be one of the most effective ways to introduce errors.
If you are being pressured to take a particular action or make a decision, take a quick time out. Stop what you are
doing and think about the situation. If required, get out of the cockpit or tell other non essential people to get out of
the cockpit or to be quiet or close the cockpit door. Minimise distractions so that you can think about the problem
and formulate an appropriate solution.
Other People
Utilise the expertise of other people available to you.
Command is not a solo enterprise; you are the Leader of a team.
Other crew members or ground staff may have experienced this problem before and have a ready-made solution
for you. This is the essence of team work and CRM. Ask for their assistance, question them or delegate the problem
to someone else (ensure that you are not fobbing off the problem to someone else when it is really you who are
responsible for that problem and you who has to provide the solution).
The fear of making mistakes can stifle your creativity and affect your piloting and Command performance. It may
also result in Command Trainees changing their style of Command and flying. You may become very conservative
and try to slow things down as much as possible, particularly your flying when acting as PF. You may also start to off-
load your decision making responsibilities to subordinates or other airline staff.
Remember, as a Commander the responsibility is ultimately yours.
Managing Mistakes – 5 Steps

Mistakes happen! What do you do when the inevitable error occurs? Have you even thought about your actions
after making a mistake?
The following section gives a Five Step model on how to manage mistakes. Realise that every situation will be
different and a strict, set formula may not be appropriate for all situations. In these cases the Steps may have to be
modified to suit the particular case. Like most things with Command Training, practise makes perfect – use these
Steps prior to Command Training so that you can effectively manage mistakes when they occur during the upgrade
Course.
Step 1 – Awareness
The very first step in managing mistakes is to be aware that you make mistakes and that perfection is not possible.
Mistakes are human nature and you should get used to making them.
By all means do everything in your power to minimise errors but be aware that you will make mistakes.
Step 2 – Acknowledge & Move On

The next step is to acknowledge that you have made a mistake, learn from the mistake and then move on.
The aircraft or flight will not stop to let you dwell on your mistake. A mistake that has occurred is in the past but
you must operate in the present to produce satisfactory outcomes in the future.
In acknowledging that you have made a mistake do not unduly criticise yourself. You are a human who has the
same imperfections as other humans. You can be your own worst critic, especially so as a pilot. Do not keep vilifying
yourself over a mistake by continually replaying the error or postulating “What if…” scenarios.
You should only have to pay for a mistake once and that is when you acknowledge the mistake – then move on.
This concept of moving on is particularly important if you make a mistake early in a multi-sector (or even multi-
day) flight and more so on a Check Flight. If you make a mistake on the first sector, criticising and vilifying yourself
and worrying about the mistake will increase your anxiety and stress levels. If you do not control this self-induced
form of stress it will inevitably affect your future performance and decision making.
In extreme forms this anxiety will create further errors in other sectors – you are fretting about the past mistake
and fail to operate in the present and so create further problems for yourself. If you then have an overnight, you
spend the entire time in the Hotel castigating yourself and worrying that the entire series of flights is turning into a can
of worms. You get a poor nights’ sleep and start the next day fatigued. Small mistakes then start building up and
creating further mistakes. You can get into a “Death Spiral” of self-induced mistakes, your confidence plummets, you

start to fly very conservatively (so as not to make more mistakes), your stress levels soar and your Command
performance suffers.
Some Command Trainees who have experienced this situation of mistakes perpetuating mistakes, increased stress
and decreased Command performance describe it as “Losing It”. You must break the vicious cycle, put the mistake(s)
behind you and move on.
Step 3 – Time Out
In moving on from the mistake take a quick time out to get yourself physically and more importantly, mentally
refocussed. You might even take a “mental step back” to review or update your SA as described in the Situational
Awareness Chapter. The time available to do this may of necessity be very short (sometimes only a few seconds).
Deep, rhythmic breathing and relaxing tense muscles can control some of the physiological effects as can positive
thinking. Reframe the mistake from a negative to a positive experience (e.g. “I learnt a lot from that” or “I know how
to solve this”).
These physical and mental skills are very individual and what works for one person will not work for another.
They are only acquired through practise and you should begin to incorporate them into your day-to-day flying well
before the Command Course begins so that they are ingrained and almost automatic.
You may need to continue to calm and “de-stress” yourself, turn your thinking positively and reframe the error
after the flight has finished. As has been discussed this is important during Check Flights, multi sector flights and
during overnight stopovers.
Step 4 – Error Recovery
After refocussing you should be concentrating on Error Recovery. By operating in the present to produce
satisfactory outcomes in the future you should be formulating plans and taking actions to recover from the mistake.
Don’t just ignore a mistake you make, do something positive to either mitigate the effect or produce a different
satisfactory outcome. Be proactive and positive.
Error recovery is one component that is assessed during any Line Check (including your PR, ICC and FCC). While
you may not receive an optimum assessment due to the mistake, you may receive an above average assessment for
the way that you handled the recovery from the initial error. Error recovery is an important skill in being a
Commander. Trainers (and you) can learn a lot about you from watching how you react to a mistake.
Your error recovery outcome may not be as good as if you had not made the error in the first place, but it will
inevitably be better than if you had done nothing about the error.
Step 5 – Self Concept
Finally, don’t let mistakes erode your concept of yourself. Do not fall into the trap of equating mistakes with
failure.
You are only a failure if you do not learn from your mistakes.
Mistakes should be viewed as a powerful learning opportunity. Whether or not you view mistakes as a positive
experience depends upon your attitude and the value you place on your self-worth. Just because you make a
mistake does not mean that you are a lesser person and you should not allow your self-esteem to be adversely
affected.
Managing Mistakes – Summary

Mistakes can be small or they can be monumental. Generally small mistakes, the inconsequential errors everyone
makes, are OK during Command Training but larger mistakes are not.

Not making a mistake in the first place is ideal but if you do make a large mistake use the 5 Step Mistake
Management Plan to get back on track:
Managing Mistakes
S t ep 1 Be aware that you make (and will make) mistakes.
S t ep 2 Acknowledge and learn from the mistake, then move on.
S t ep 3 Refocus physically and mentally. Take a “mental step back” to regain or update your SA.
S t ep 4 Error recovery.
S t ep 5 Maintain your Self-Concept.
You must be able to apply these steps quickly, efficiently and as instinctively as possible. Accomplishing Steps 2, 3
and 4 are the most important steps to be accomplished after making a mistake airborne.
The 5 Steps are a learned skill and the more you practise this skill the better you will become at handling errors,
especially errors which are time dependant. As an added benefit if you can control your attitude and the way that
you think about the mistake in a positive way, you will reduce your anxiety and stress levels and increase your
Command performance.
Responsibility
The buck stops here. (Harry Truman)
As an aircraft Commander you are charged with the ultimate responsibility of the crew, passengers and the
conduct of the flight. As such you must accept responsibility for any mistakes that you make and to a certain extent
the mistakes your followers make or you allow them to make.
Fobbing off the blame for mistakes to subordinates, ATC, the weather or the aircraft is just not acceptable. Step 2
of the Mistake Management Plan is to acknowledge and learn from the mistake, then move on. Part of the
acknowledgement of the mistake is to accept responsibility for the mistake.
Don’t try to make excuses about a mistake you have made. Most competent pilots will know why it happened
and by trying to pull the wool over their eyes will result in their having less respect for you.
Especially do not try to convince Trainers that it was not your fault – it is extremely unlikely they will fall for the
deception. By attempting to place the blame on some other person or object you display poor Command and
Leadership skills and risk developing a reputation as a less than responsible person and someone not to be trusted.
As a Captain you will be setting an example to your followers (primarily your F/O). Admitting an error, learning
from the experience and demonstrating how to recover from the mistake are all valuable learning experiences (both
for you and your F/O).
Unplanned Events
Unplanned events (or events that you have not planned for – there’s a subtle difference) are a fact of aviation life.
Get used to it.
Often of Command Trainees, especially when doing Checks, bemoan how “unlucky” they were – the aircraft had
multiple MEL items or it broke on them, the weather was atrocious, they had a “bad” F/O, “poor” cabin crew or
“difficult” passengers, “abysmal” ATC – essentially everything that could go wrong, went wrong and made their job as
Captain much more difficult than it “should” have been.
It’s all a conspiracy – they’re out to get me, it’s not fair! I should have got fine and beaut weather, a dream
aircraft and a superb F/O and crew with really nice and pleasant pax and ATC anticipating my every wish (like my
buddy had a few days ago).
Yeah right! Dream on!
Fact 1: Get used to it – this is what life as a Captain is like in reality!
If you can’t stomach this fact, then you’re going to have a very hard time completing your Command Course and
you will be under an increased amount of self-imposed stress. Aircraft and things break, the weather does what it
wants and people are illogical and irrational emotional creatures.

Fact 2: “Luck” has nothing to do with it.
You make your own “luck”. The harder you work, the more you prepare, the more you develop and hone your
Leadership and Command skills the “luckier” you get with the situation that you are dealt with on the day.
Fact 3: You are only able to control things or items that you have actual influence or control over.
The corollary to this fact is that if you have no control or influence over these items or things then there is not
much point in fretting over them and attempting to try and control them. You cannot do anything about things that
you have no control or influence over.
Control The Controllable

You need to focus your energy and efforts towards those
things you CAN control and have some form of influence over.
This is a form of being Proactive.
One way to view this aspect of controlling the controllable is
to envisage two concentric circles; a larger circle that contains all
the things that you concern you as the Captain (Circle of
Concern), and a smaller circle within the larger one that contains
all the things that you have some influence over (Circle of
Influence).
Circle Of Concern
Things that concern you and you have to take notice of as
the Captain are within your “Circle Of Concern”.
They include the aircraft and its serviceability state and
defects, DDG items, the weather, your F/O and crew, your
passengers, ground engineers and other ground staff, ATC, other
traffic, relevant NOTAMs – everything to do with your flight.
You have to recognise and react to these things using your Leadership and Command skills. Some of these things
you will NOT be able to control (e.g. the weather or the aircraft serviceability state).
Reactive people focus their energy and efforts on the “Circle Of Concern”, usually to no great effect, trying to
change things that they have no control or influence over.
This “Circle Of Concern” is an everyday, every flight occurrence for you as the Captain (see Fact 1).
Circle Of Influence
Within your “Circle Of Concern” is a smaller “Circle Of Influence”.
These are the things that you actually are able to influence and control as the Captain.
They are things that you, as the Captain, have the power to really do something about. You might be able to
“direct” the Ground Engineer to the correct MEL item to dispatch the aircraft, use good CRM to cause your “team”
(F/O, cabin crew and pax) on the aircraft together to work effectively or uplift extra fuel if the weather looks dodgy.
Proactive people focus their energy and efforts on the “Circle Of Influence”.
Now you are controlling the controllable (see Fact 3).
The Two “Circles”
If you are a Reactive Captain and you expend your time, energy and effort within your “Circle Of Concern”, but
outside of your “Circle Of Influence” – on things that you have no control over – you effectively shrink your inner
“Circle Of Influence”. You miss opportunities to influence things that you have control over by incorrectly and
inefficiently mis-focussing your efforts. This is when some people state they were “unlucky” (see Fact 2).
If, however, you are a Proactive Captain you will expend your time, energy and effort within your “Circle Of
Influence”. All of a sudden you start to pick up and notice things that you have some influence over. You are
controlling the controllable and your “Circle Of Influence” tends to then expand.
The Role of “Luck”
As the Captain you have to play with the hand that you are dealt with.

Normally you cannot control who your F/O, cabin crew, Trainer
or Checker is; you turn up to work and go flying with them/him or
her. You can’t control the serviceability of your aircraft by wishing
it was a good one or hoping that it won’t subsequently break later
in the flight. If the weather decides it is going to be poor and
marginal then you’re stuck with that poor and marginal weather
situation.
“Unlucky” Reactive people focus on their “Circle Of Concern”, while “Lucky” Proactive ones control the
controllable within their “Circle Of Influence”. You really do make your own “luck”. The harder you work on your
“Circle Of Influence”, the more you prepare, the more knowledge, Leadership and Command skills that you develop
the “luckier” you will get.
An example of “luck” happened to one Command Trainee on his Intermediate Command Check – the big one!
After getting airborne, on selecting the Gear lever up, the Gear promptly stayed down, accompanied with an ECAM
Caution. How “unlucky” can you get! However, this guy didn’t focus on the “bad” aircraft and how “unlucky” he
was, he just got stuck into controlling the controllable. He liaised with ATC, levelled off and tracked to a clear area,
followed the ECAM actions (which didn’t fix the problem), did some trouble-shooting (still couldn’t fix it), considered
his options and did a quick risk assessment, made the decision to return and land, communicated his intent with his
“F/O”, completed all checklists, informed the cabin crew and made a PA to the passengers and went back and
landed. Total time airborne – 20 minutes.
He did a really, really good Command job. He managed, through focussing on his “Circle Of Influence”, to turn
an “unlucky” occurrence into a “lucky” one. He turned an aircraft malfunction into a “Command Opportunity” to
display his good Captaincy and Leadership skills and as a direct result of this focussed, Proactive effort got a glowing
report.
“Unlucky” events are really “Command Opportunities” in disguise and by focussing on your “Circle Of
Influence”, being prepared and acting proactively you turn an “unlucky” event into a “lucky” one!
For those of you who say “Well, what if he hadn’t handled the “unlucky” situation well and cocked it up?”. In
that case he probably wasn’t displaying adequate Command and Leadership skills and may have possibly failed the
Check. You get to control the outcome by focussing on your “Circle Of Influence” and being prepared.
Do not let what you cannot do interfere with what you can do. (John Wooden)
Be Proactive, control the controllable and focus your time, energy and efforts on your “Circle Of Influence”.
The Light Comes On - A Major Command Realisation

A current Captain said that the biggest lesson or revelation (epiphany perhaps?) that occurred to him while on the
Command Course happened about halfway through the flying phase when he was in the thick of the action. He was
wondering why the weather always seemed to get worse when he was due to go flying, why the aircraft was
presented to him with defects and DDG items or it always seemed to break on him.
Why does it always seem to happen to me? Why can’t I have fine weather and a good aircraft? I don’t want to
have to work too hard while on this Command Course (that tends to increase my chances of screwing something up)!
The “light came on” halfway through the Course when he finally recognised that this is what his life would be
like as a Captain for the rest of his career.
This uncertainty is a Captain’s fact of life. If you want an easy, comfortable life, then don’t become a Captain.
As the Captain you will continually be operating in VUCA (Volatile, Uncertain, Complex and Ambiguous)
situations in which you’ve got to focus your efforts on your “Circle Of Influence” by controlling the controllable and
considering those things that you can’t control (such as the weather or the aircraft serviceability) to achieve your
desired outcome safely, legally and efficiently.
It’s one of the main differences between being the Captain and being an F/O – and most of the major change
required is a MENTAL change of ATTITUDE and MIND SET.
When you make this connection, “when the light comes on”, between the uncertainty and extra work involved
and the role of Captain, and realise that this is normal and what the rest of your life as a Captain will be like, the self-
imposed pressure and stress will lessen (it won’t disappear completely) and you just accept what is dealt to you on
the day and get on with the job.
You won’t waste time or mental energy worrying about “Life is so unfair! Why me!” – you will just knuckle down
and get on with your job as the Captain.

Intervention
You should never allow anyone to put the aircraft or situation outside of your “Skill Envelope”; your personal outer
boundary limit. If it is required, be proactive and intervene.
OR
A superior pilot uses their superior knowledge to avoid situations that require the use of their superior skill.
Advanced Phase
After successfully completing your Intermediate Command Check (ICC) you will be appointed Captain (On
Probation).
You are now legally the Captain of the aircraft. A Senior Trainer will be sitting on the jumpseat, but he is an
“observer” and his role is as an “advisor” to watch your supervisory and monitoring skills as you operate these sectors
with real First Officers and to offer advice, recommendations or suggestions.
Very little formal “training” will be conducted in this Phase as you should already be a competent Commander
and able to function effectively as a Captain.
Real First Officers
The Advanced Phase will be your first opportunity to fly with real Line F/Os. Many successful Commanders are of
the opinion that this was a difficult period of their Command Training as they grappled with “reading” and judging
their F/Os.
Is he good, bad or indifferent; and how do you tell? You might have only just met the guy for the first time a few
minutes ago. How far do you let him go when you start to feel uncomfortable and what do you do and how do you
recover (if required)?
You will need highly developed CRM, Leadership, interpersonal and communication skills, along with good
monitoring and supervision of your F/Os.
First Officers come in all different personality types, competency and experience levels. An unknown, quiet,
softly spoken JF/O who you initially judge as possibly under confident and low in experience may surprise you with
his good aircraft handling skills and expertise, while an outwardly confident SF/O who you know well may give you a
nasty surprise!
Always have a healthy level of suspicion and/or scepticism – you are ultimately responsible for not only your errors
but also your crew’s errors and mistakes.
Never let your guard down.
Skill Envelope
Much of this Chapter focuses on aircraft handling, but this Intervention “Skill” is not only your physical aircraft
handling skills, but is also your decision making skills, your team management skills, your CRM skills, your SA skills,
your Leadership skills...in fact your anything skills.
Intervention may be required to quietly assert your Leadership position, to “guide” or countermand a decision
that a follower has made, to get your team functionally interacting together or to update or reaffirm your perception
of TEM or SA.
Intervention is what good Leaders do to direct and guide their followers so that the Leader’s desired outcome is
achieved.
As Captain you, yourself, should never, or allow your subordinates (e.g. F/O), to fly or operate outside of YOUR
own personal "Skill Envelope". You must retain and remain in control of the situation. Otherwise safety is
compromised.
So what is meant by "Skill Envelope"?
A Balloon
To explain your “Skill Envelope” we will use the analogy of a balloon.

A balloon can be filled with varying amounts of gas to produce different sizes and volumes. It is quite elastic and
can expand (up to a limit when it will suddenly burst) or contract, depending on the amount of gas blown into it or
released. It is quite flexible when filled with gas and can alter shape. A balloon can be small, with a tiny volume, or
if extra gas is added, big with a larger volume. Different balloons can be different sizes, colours and shapes.
And so it is with pilots. Each individual pilot has their own personal unique Skill Envelope, which may be very
different from another pilot's. The balloon’s skin can be thought of as the outer limits of your Skill Envelope.
You can usually tell when you’re approaching the outer limit of your Skill Envelope as your bum starts
“puckering”, you get a bit “twitchy” and feel outside of your “Comfort Zone”. These are all highly technical aviation
terms that every pilot recognises and has experienced at some time in their career.
When you first start flying your Skill Envelope is likely to be quite small. It gradually expands as you fill your
balloon with the “gas” of experience. Your balloon’s shape will vary depending on what incidents, situations or
problems you have previously experienced. Your balloon may contract occasionally (e.g. if you have an extended
time off flying), but its’ volume generally should remain either relatively constant or be gradually increasing as you fill
it with your experience “gas”. As a Command Trainee you definitely want to be gradually expanding your “Skill
Envelope”.
Expanding Your Skill Envelope
When you do your Command Training you will be with a more experienced Trainer. That Trainers’ Skill
Envelope will be greater than yours (his balloon is bigger than yours). That’s why your Trainer may occasionally
“push” you into something you may not have considered or are uncomfortable with attempting – he knows that as
long as YOU don’t exceed HIS Skill Envelope that he can safely recover the situation.
Why should your Trainer put you in this situation? It’s one effective training technique to expand YOUR Skill
Envelope. Once you have accomplished successfully the new skill, effectively and while under supervision, you will
have the confidence, skills and attributes to be able to repeat that skill. Sometimes you can probably achieve
successfully the goal required but you just don’t know it yet. Remember your balloon is flexible, but only up to the
point that it bursts – push things too far and you’ll exceed everybody’s Skill Envelope!
Stay Inside YOUR Skill Envelope

When you are Captain, you also have to ensure that your subordinates do not exceed YOUR own personal Skill
Envelope. This includes not only your immediate subordinate; your F/O, but also the ISM, Cabin Crew members or
anyone else that is part of your extended “team”.
Generally your F/O will have a smaller Skill Envelope than you. But not always.
This can sometimes be a problem if you fly with an experienced on type (S)F/O and you have completed
Command Training AND a type conversion (so you’ve got low experience on that particular type).
Never allow anybody to put you in a situation that YOU cannot recover safely from, even if they think they can.
When you are monitoring your F/O and he is approaching the boundary of your personal Skill Envelope you need
to employ your communication and CRM skills. Depending on the severity or time available of the particular
situation the CRM skills that you use can either be subtle or blunt and direct.
The “Art” Of Intervention

You will get to experience the very uncomfortable experience of approaching your Skill Envelope during the
Landings To First Officers’ Simulator, prior to commencing the Advanced Phase flying.
A Balancing Act
To avoid using your superior skill to extricate yourself from an undesirable situation you will need to closely
monitor and supervise your F/O. You will need to be proactive and it is generally better to intervene earlier rather
than later, when the situation has developed into a more serious condition. You need to understand the importance
of sequencing the intervention elements in a timely manner to avoid an Undesired Aircraft State or go around. You
must also understand the importance of an immediate takeover of control in a rapidly deteriorating situation, using
fleet specific procedures.
You should also be aware that you may be reluctant to intervene in your F/O’s operation and if intervention is
warranted early verbal intervention will, more often than not, preclude the need for physical intervention.
Balancing the need to closely monitor and supervise your F/O with the requirement to let him “do his job” can
often be a fine balancing act to manage. If you micro-manage, over-supervise and interrupt your F/O’s operation,

you risk alienating or marginalising him. This is poor CRM and is counter-productive, degrades his authority and may
ultimately inhibit his ability to take decisive and unambiguous action when required.
Be prepared – if in doubt say something; if still in doubt take control.
The Four Levels Of Intervention

Overview
There are four different levels of intervention available to you to rectify any situation that you feel concerned
about.
It is like a sphere (or balloon) with four different concentric layers, with the outer-most surface being the boundary
of your Skill Envelope. Like TEM, the further into the layers from the centre and closer to the boundary of your
personal Skill Envelope (with increasing levels of concern, requiring increasing levels of intervention), the more
serious the situation is becoming and usually the less time and options are available to you to successfully salvage the
situation.
It is a four layer, escalating defence mechanism for when you start feeling concern and can see that the situation is
deteriorating or judge that your Skill Envelope is being approached or may possibly be breached.
The first three levels involve verbal intervention and require good SA, monitoring, communication skills and CRM.
The final level is physical intervention; to take control – BEFORE your Skill Envelope is exceeded.
Depending on the time available and the seriousness of the situation you may only briefly stay at the lower levels
of intervention before escalating to the higher levels. Or you may entirely skip levels in an attempt to keep a rapidly
developing situation under control and manageable.

I N T E R V E N T I O N
Level Description Examples
Ask Question(s) of your F/O.
1 Obtain your F/O’s mental model and
his intentions.
“How’s your descent profile looking?”
“Are you going left or right?”
QUESTION Minor concern, but is within your “When will you start decelerating?”
acceptable comfort zone.
Offer Suggestion(s) to your F/O. “Would you like flap now?”

2 Can often be framed in the form of a
“question” to elicit a response (CRM).
“I can ask for extra track miles if that
would help?”
SUGGESTION Slight concern and unease, but no “It’s starting to rain. Let’s use WET for
serious alarm. the RTOW.”
Provide clear and firm Instruction(s) to

direct your F/O so as to stay within
3 YOUR Skill Envelope. Limited time
usually means a blunt and direct verbal
“Use full speedbrake now.”
“Turn left, fly heading 120.”
tone and style may be required.
INSTRUCTION “You need to put flap and gear down.”
Serious concern for the outcome and
severe unease.
Take Over Control and fly the aircraft
4 to remain within YOUR Skill Envelope.

Major concern as the situation has
become unacceptable to you, as the “I Have Control”
TAKE OVER Captain,
CONTROL Never allow anyone to exceed YOUR
Skill Envelope.
Intervention & CRM

You as the Captain retain the prerogative of doing things YOUR way. Whenever you intervene in your F/Os (or
other team members’ operation or duties) you will need to use good CRM. This is especially the case if you have to
intervene with the flying or handling of the aircraft.
Being The “Nice Guy”

The further into the intervention layers you get, the more likely it will be that you will be required to use a blunt
and direct verbal tone and style. Time and options may be limited and you must be proactive and decisive to
manage the deteriorating situation. A more Authoritarian Leadership style may be required.
Don’t confuse the niceties of CRM with the requirements of Command and try to be a “nice guy” all the time.
Command is not a popularity contest. If you do find yourself in a serious intervention situation, be clear, direct and
firm. Recover the situation first and then worry about the CRM issues later when everyone is safe.
“I Have Control”
If you allow the situation to reach this final physical intervention level, it is usually because you have not been
monitoring your F/O sufficiently or you have not provided timely earlier verbal intervention (one of the other three
subordinate levels of intervention of Questioning, Suggestion or Instruction).
It is vitally important that in the event of a rapidly deteriorating situation that when you decide to take over
control that you do so decisively and firmly, so that there is absolutely no doubt that you now have control of the
aircraft.
Ensure that you use the correct fleet specific procedure for assuming control of the aircraft.

This is especially important if you are flying the Airbus, where you get no tactile feedback through the side-stick
and are not able to directly observe your F/O’s manipulation of the side-stick.
If the Captain or PM deems it necessary to take-over control of the aircraft in manual flight, he shall clearly state “I
have control” and press the sidestick priority pushbutton. The other pilot shall respond "You have control".
The pushbutton shall remain pressed until the transfer of control is clearly established. (Airbus FCOM 3, NPs)
While each situation is unique, as a general rule if you do have to say “I Have Control”, consider retaining
control. This is especially so if you had to assume control during the arrival, approach or landing.
Your F/O’s mind will likely be back at the point where you took over control; he may be embarrassed or self-
conscious, possibly feel unskilled and may be mentally criticising or berating himself. His SA must have been
degraded to reach this state and it would be unlikely that he would be able to regain adequate SA quickly enough
and also readjust his mental outlook to be faced with “You Have Control” just after the incident. Each situation will
be unique, so consider carefully who you want to be PF in this case.
Use your CRM and Leadership skills to defuse, explain or justify why you took the action that you did. After all,
you may be flying with that same F/O for the next few sectors or days.
Be aware of your Skill Envelope and never let anyone put you outside of YOUR personal outer boundary limit.
Otherwise you are not in control and safety is compromised.

The entire, six Knowledge Based Skills chapters;
• Aircraft maintenance Logbook,

• Dispatch Deviation Guide (DDG/MEL),
• Failures After Pushback,
• AOG/Extensive Delays At Outports,
• Flight Time Limitations, and
• Fuel Policy,
will be issued at a later date.
Pages 129 to 182 inclusive, are therefore missing.
CATHAY PACIFIC T o w a r d s C o m m a n d (Version 1.1)

Intentionally
Blank
CATHAY PACIFIC T o w a r d s C o m m a n d (Version 1.1)

General Command Requirements
The previous sections of Towards Command – Command Skills (Core Competencies)
and Knowledge Based Skills – dealt with the actual Command syllabus subjects as
detailed in your Command Course – Flying Phase Course Book.
This final section of Towards Command contains subjects that are not formally
required to complete your Command Course and could be considered “nice to know”.
However, if you are aware of these other subjects, it may make your preparation and
your experience while undertaking your Command Course easier and a more pleasant
experience.
A few of the subjects that are covered in this General Command Requirements section
are;
General Command Requirements

C o m m a n d C o u r s e O v e r v i e w (wha t to e xpe ct whe n th e
Cou rs e b e g ins )
P r e p a r a t i o n (how to g e t re a dy for a s u cces sfu l Comma nd

Cou rs e )
S t r e s s (how to cope w ith t he ine v ita b l e s tre s s ors tha t

Comma nd b ring s )
T h e C o m m a n d J i g s a w P u z z l e (pu tting a l l the Comma nd

e l e me nts tog e the r, hol is tica l l y)
This final section of Towards Command is very much a “work-in-progress”.

The subjects included are what FOPS Management and the Towards Command Editor
have thought would be beneficial for a prospective Command Trainee to know – before
the Command Course starts.
More subjects will be added at a later time in response to your feedback and
requirements.
YOU Provide Feedback

You are encouraged to provide feedback about what you found useful, what was
possibly irrelevant (although others may find it valuable) and what additional subjects that
you would like included in future revisions of Towards Command. The Towards
Command Editor is interested in what post-Command Course Trainees found helpful and
more particularly, what they wished they had known about before the Command Course
began.
To report errors or to suggest improvements or amendments or to provide feedback,
contact the Towards Command Editor, by GroupWise or by email
towardscommand@cathaypacific.com.
Your feedback is essential to keep Towards Command up to date and relevant for
Command Trainees; so that it can ensure that they have the greatest possible chance of
successfully completely their Command Course.

Command Course Overview
Rule books are paper – they will not cushion a sudden meeting of stone and metal. (Ernest K. Gann, “Fate is the
Hunter.”)
This chapter will outline what you can expect when your Command Course begins.
Each person’s Command Course will of necessity be slightly different. One person may be Current-on-Type (CT)
and so just be upgrading from the RHS to the LHS on the same familiar type. Others will be Not-Current-on-Type
(NCT) and their Command Course will include a full conversion course in addition to their Command upgrade.
The new Command Course (as of January 2009) has four additional LFUS sectors and the LOFT simulator phase
has been strengthened.
Volume 7, Part 1
All Command Courses, regardless of aircraft type follow the same Course “footprint”.
This footprint details how your Course will be structured and how the various Phases and Checks fit together.
There is a reason why the various sessions are progressed and sequenced and Volume 7, Part 1, Section 6
(Command) lists these reasons and the progression of Command events.
Review Volume 7, Part1 before your Command Course starts to get an idea of how YOUR Command Course is
structured.
Command Course – Flying Phase Course Book

The new Command Course – Flying Phase Course Book is available to view or download from IntraCX and a copy
will be delivered to your mail box about a month before your Command Course begins.
Towards Command has been written as a complementary “study” document to the Command Course – Flying
Phase Course Book. It is recommended that you download a copy of the Command Course – Flying Phase Course
Book and review its’ contents as you are preparing for your Command Course and reading Towards Command.
The Command Course

Command training consists of a ground portion (which may consist of ground school and will definitely include
simulator sessions).
After completion of the Ground portions you will start on the Flying portion (Command LFUS, LOFTs and
Checks). Command LFUS is divided into 4 Phases.
Ground Training
If you are CT there will be no formal ground based training. You just move from the RHS to the LHS. You will be
expected to be reasonably knowledgeable and competent due to your previous experience as a First Officer on your
current aircraft type. It would be prudent to refresh aircraft systems, NPs and Supplementary Procedures.
If you are NCT there will be formal Ground School prior to commencing the simulator sessions. This is essentially
a conversion course consisting of Computer Based Training, with some classroom instruction facilitated by the
Technical Training School (TTS).
Simulator Training
After completing the formal Ground School (if NCT) or your first formal Command session (if CT) will commence
your Command simulator sessions. The actual number of sessions depends on whether you are current on type (CT)
or not current on type (NCT). See Volume 7, Part 1.
These Command simulator sessions are conducted by the Simulator Instructors.
When your roster comes out with the simulator sessions on it, check to see who you are paired up with. Ideally
you will be paired up with a Junior First Officer upgrade trainee. Who you are actually paired up with depends very
much on rostering constraints.
These initial Command simulator sessions provide you with your first “formal” opportunity to display Command
skills. Ensure that you BE THE CAPTAIN right from the outset, even in these initial simulator sessions.

If you are rostered with your simulator partner for a significant number of sessions you can form a “study group”
together and assist each other in preparing for upcoming simulator sessions.
Once your simulator sessions are completed you then move onto the Flying portion of your Command Course.
Flying Training
When you start your Line Flying Under Supervision (LFUS) is when the “rubber meets the road” – this is when all
the theory gets put into practical Command use.
The Command Course – Flying Phase Course Book details the requirements and syllabus items to be completed
during this Flying portion of your Command Course.
There are four separate and distinct Phases during your Command LFUS.
Conversion Phase
This phase is to establish the Trainee in the left seat (if CT) and complete conversion training (if NCT) prior to
commencing focused Command training.
The Conversion Phase consists of the first four sectors for CT Trainees and the first 12 sectors for NCT Trainees.
Basic Phase
The Basic Phase requires the discussion of and practice of Core Command Competencies. These core
competencies are derived from Industry best practice and are a move toward competency based training which
defines the knowledge skills and attitudes required to execute the Command task.
10 sectors are programmed in the Basic Phase.
In this Phase most of the “theory” and scenario based learning will take place, which includes all the Core
Command Competencies and the Knowledge Based Skills.
Progress Review (PR)
At the completion of the Basic Phase you will complete a Progress Review check flight.
This Review is ensure that the basic foundation skills are firmly established before progressing to the more
advanced Phases. It also allows a snapshot of your Command skills to highlight strengths and also weaker Command
areas to focus attention on in the Intermediate Phase. The PR also provides a gauge to assess your improvement
throughout the Command Course.
Intermediate Phase
The Intermediate Phase is a consolidation phase during which you practically apply the lessons of the Basic Phase.

Here you get to “run the show” your way, using your personal Command style. You will make mistakes and are
then expected to cope with their consequences or complete error recovery to manage the overall safety, legality and
efficiency of a normal Line flight with little or no guidance from your Trainer at the time. The primary aim of this
phase is to expose the candidate to the loneliness of Command. You will be expected to manage the operation with
minimal input and the training input will ideally be limited to the post flight debriefing.
In this phase the four programmed Command LOFTs (C1 to C4) will take place.
The PR, C1 and C2 will be conducted by the same STC. C1 will be a benchmark LOFT and together with the
Progress Review will give a clear indication of areas requiring refinement prior to the ICC. C2 will be used to address
any issues identified in the PR and C1. A philosophical change will permit intervention by the Trainer during the
conduct of C2 for review or to provide specific training input. C2 will not require detailed reporting and will usually
be simply annotated “Complete” in Training Records.
See the Guidance To Candidates – Command LOFT that is provided on IntraCX, (particularly Appendix 1 –
Strategies For Dealing With Abnormal And Emergency Situations) and also review Volume 7, Part 1.
The Intermediate Phase has 12 sectors programmed.
Intermediate Command Check (ICC)
At the completion of the Intermediate Phase when all syllabus items (except Intervention), the flying and LOFTs
have been completed you will complete the Intermediate Command Check (ICC). This is almost universally known
as the “3 Bar”.
This is the main Check of the whole Command Course as after you successfully complete the ICC you will be
legally the Captain of the aircraft.
Advanced Phase
In this Phase you will be the legal Captain (On Probation) for all your sectors.
The Advanced Phase is the sectors under observation with the only syllabus item being discussion of appropriate
levels of Intervention in the First Officer’s operation.
In this phase the Landings To F/Os simulator will take place with a BTC prior to commencing the Line flying with
real First Officers.
The goal of this Phase is to experience the Command realities of flying with real Line First Officers, some of whom
you will never have met before. This adds an extra monitoring component to your Command tasks.
There are 6 sectors programmed in this Phase.
Final Command Check (FCC)
This Final Command Check (FCC) is the final requirement of your Command Course. This Check is usually
known as the “4 Bar”.
Line Captain
After you have successfully completed your FCC, you will be released to the Line to arguably commence your real
“Command training”, with real aircraft defects, real people, real First Officers, real weather and real problems.
Enjoy flying with the best Captain in Cathay Pacific every day!

Th ere are no accidents an d no fatal
flaws in the machin es;
Th ere are only pilo ts with th e wron g
stuff.
(To m Wol fe, ”Th e Righ t S tuff”)

Command Preparation
YOU are ultimately responsible for your Command Training – not Cathay Pacific, not your Training Captain, not
anyone else, but YOU.
Self Directed Learning (SDL)

In Cathay Pacific you, as an individual, are primarily responsible for your own continuing aviation self-education.
You have to refresh your procedural and systems knowledge, cope with amendments, changes and new policies and
procedures, study for regulatory simulator sessions or flights and, as an F/O, you have to prepare for your Command
upgrade.
Nobody else but YOU will ensure that you study and prepare for this most important phase of your aviation
career.
The Only Person Who Looks After You – Is You!
Don’t expect anyone to hold you by the hand, spoon feed you and walk you through your Command Training. If
you can’t manage your study and preparation for Command, then how will you be able to manage the job as
Captain?
For the most part, everything is pretty well left up to you. No one will force or remind you to study or prepare. If
you have problem areas with study or flying, you will generally be expected to sort it out yourself (use some common
sense here, if you really need help, then YOU seek it out and get it from your Trainer or Training Department).
If it is to be, it is up to me.
What Is SDL?
For you to be responsible for your Command Training requires that you learn and prepare for the Command
upgrade. This entails self-study, self-education – in other words Self Directed Learning (SDL).
Most adults spend a considerable time acquiring information and learning new skills. The rapidity of
change, the continuous creation of new knowledge, and an ever-widening access to information make
such acquisitions necessary. Much of this learning takes place at the learner's initiative, even if
available through formal settings. A common label given to such activity is self-directed learning. In

essence, self-directed learning is seen as any study form in which individuals have primary responsibility
for planning, implementing, and even evaluating the effort.
In terms of learning, it is the ability or willingness of individuals to take control that determines any
potential for self-direction. This means that learners have choices about the directions they pursue.
Along with this goes responsibility for accepting any consequences of one's thoughts and actions as a
learner. (Hiemstra, R. 1994).
Of necessity you have probably been conducting SDL throughout your entire aviation career from student pilot to
F/O. Now you will have to increase your SDL considerably in preparation for the important change in your role to be
the Captain.
There are many additional skills, techniques and knowledge that are required as the Captain that you will not
normally formally get taught (e.g. Leadership, decision making, inter-personal skills, team building; the mental aspects
of being in Command) and you will need to re-educate yourself on other common aviation skills that need to be
much more refined and of a higher quality (e.g. CRM, SA, TEM, aircraft handling, airfield and route knowledge).
Who’s In Charge?
Note how you as an individual are the one responsible for you own self-education. In SDL you acknowledge,
accept and take primary responsibility for your own education. Get used to it. It will become an ever present fact of
life as the Captain. You might as well start now and make SDL an integral part of your learning, education and
preparation for your Command Course.
Not everyone has the highly developed internal personality characteristics, motivation and drive to accept
responsibility and effectively undertake SDL. Nobody will require, supervise or force you to do it. If you are one of
these people who find it difficult to self-study you will quickly find yourself at a severe disadvantage compared to
those who do. If you are such a person then you really need to examine your internal mental attitude towards
Command. You need to change yourself mentally to embrace SDL so that it becomes part of your preparation.
Only you as an individual can determine how much SDL you are willing to accomplish. Only you can determine
how much time and effort you will put into your Command SDL.
Ask yourself “How much does this Command/Captaincy thing mean to me?”
If it doesn’t mean much, then spend your time and effort some other way – but don’t be surprised if you fail in
the Command upgrade process. If it means a hell of a lot to you, then that’s probably all the motivation you require
and you’ll conduct some form of planned, effective SDL towards your Command.
Successful people ensure that the hard, necessary things are done before the fun, easy things. SDL is often one of
those hard, necessary things that you will have to discipline yourself to do. Don’t put off your SDL. You need to
conduct some effective, pre-planned, long-term study, education and preparation for your Command Course.
SDL and preparation are the "Price Of Admission" to your Command Course.
A Study Guide
Every person will do their SDL in their own unique personal way. The following is a suggested outline for you to
begin to plan and conduct dedicated Command study. It will, of necessity, need to be modified to suit you as an
individual, the particulars of your Command Course, your perceived weak areas and your experience level.
Hopefully you have been preparing for this Command upgrade your entire aviation career and during your entire
time with Cathay Pacific.
Dedicated Command study should begin about six months before your Course actually starts.
The following is split into three distinct “study phases”;
General Command is a discussion of getting ready to undertake your Command Training (some of which this
Towards Command publication addresses),
Pre-Command Course Study which looks at more specialised aircraft specific and technical subjects, and
On Command Course Study which consists of what to study while actually on the Course and under training.
How you eventually choose to actually study for your Command is entirely up to you. Some people will require
very little as they may have had a Command in a previous Airline and some will require considerable study if you
have done little preparation during the years that you have been an F/O.

You will have to adapt this suggested study guide to suit your Command Training program and you as an
individual.
1. General Command Study

You should really have been preparing for this Command Upgrade for all the years that you’ve been employed as
a professional aviator.
Cathay Pacific don’t hire Cadets, S/Os or F/Os; they employ Future Captains. Hopefully you have not wasted
your “apprenticeship” as an F/O and have been preparing for your Command Upgrade for a number of years.
Six Months
If you’re just about to start a Command Upgrade or you’ve already started and you think that reading Towards
Command will solve all your questions or woes – then you are sadly mistaken! You’ve left it too late! Sure some of
the chapters will help you as you go through your Command Training, but to get maximum value out of this type of
material you need to start about SIX MONTHS before you do your first formal Command Upgrade training session or
ground school class.
Preparation is key to getting the most out of your Command Upgrade training. And the biggest change, the major
thing you have to do prior to commencing your Command Training, is to change your ATTITUDE and MIND SET so
that you can operate and BE THE CAPTAIN.
You cannot change your attitude and mind set to form different thinking patterns and ways of “running the show”
as the Captain overnight. It’s like changing an ingrained habit; it takes a gradual change over a long period so that
the new behaviour becomes a part of who you are and how you function. That’s why it is recommended to start
really studying for your Command Course about six months before you turn up for your first “formal”, rostered
session.
It cannot be emphasised enough – the main change that you have to undergo is a MENTAL one. And to
effectively change your mental processes takes a considerable amount of time.
What’s In Store For You
You should know or find out the date your Command Course is planned to commence. If you can’t nail down a
firm date you should have a rough idea by asking your Fleet or Training Managers or by keeping an eye on who is
currently doing their Command Training and comparing your Seniority Number with theirs. It’s simple then to
estimate when your turn will arrive.
As part of your Command preparation you should have a
fairly good idea of the syllabus for Command Upgrade that
is contained in Volume 7, Part 1; how many classroom,
ground training and simulator sessions, the number of
training sectors, progress or check rides required and how
long the entire Course normally takes from start to final
Check out.
If you’re doing a Command Upgrade AND a type
conversion, find out what extra ground school, simulator
sessions and training flights are built into the syllabus.
Talk to your peers and mates who have recently gone
through the “sausage machine” of training to get a feel for
what it was like, areas that they had problems with or were
easy, what the Training Department was like (ambivalent,
supportive etc.), what airfields they mainly operated into
to, what the ground school, simulator and flight training
was like, what training aids are available, books they
read/studied or how they approached their study for the
Course. The better informed that you are on what you
can reasonably expect while on Course, the better you can
plan your study and preparation.
YOUR Training Department

Get to know the people in your Training Department – the Fleet Training Manager (FTM) and his Deputies
(DFTM).

Your Training Department is in existence for YOU. They are the ones who will read all your Training Reports and
who you will need to go to and discuss any problem areas that you may have. Use them like any other “team”
member that you would use as Captain. Believe it or not, they can help you (and they actually want to help you –
they want you to be successful and pass your Command Course!)
If you have any problems that concern you deeply (personal, flying – whatever) and you think this problem may
affect your performance during Training, then get it sorted out EARLY rather than later. Sometimes if you let a major
problem fester and keep it to yourself in the hope that it will somehow resolve itself, it can potentially decrease or
impair your Command performance. Now not only do you have your previous problem, but now you’ve got a new
problem, with all that extra stress of performing badly during your Command Training.
It can be a vicious circle; get it sorted out early. Your Training Department cannot help you unless they know
about your problem – so if it potentially can be a problem, talk with them.
Study Resources
There are many Command study resources available to you within the Company. Some of these resources are;
FOPS Resource Library (5/F, FTC). This library has books, DVDs, and CBT CDs. Well worth a look and the
various Resource Library titles can also be perused on IntraCX.
IPT. The booking procedure is contained in IntraCX. Good for practising workflows and for those undergoing
conversion to another type.
Best Practise. Again, on IntraCX and contains many topical PowerPoint presentations.
CBT Carrels (5/F FTC). Particularly for conversion courses, but also available for those who are current on type.
Publications Library (2/F FTC). For those who like to study with paper documents.
Route Briefing on IntraCX.
Captains. Are there any Captains that you trust enough to ask if they could help you out, even to be a mentor to
you? You should be actively pumping every Captain you go flying with for their tips, suggestions and
recommendations.
Engineering information on IntraCX (defects and (P/S)ADDs).
Usually there is a plethora of handed down information that gets passed from one Command Trainee to the
next. (Note: be extremely careful about this type of “Volume 8” information – it may be out of date, someone’s
personal preference or just plain wrong). If you rely on this information and it’s wrong, it is deemed to be YOUR
fault.
Seek and you shall find. A little bit of effort now may pay big dividends later.
2. Pre-Command Course Study

Try to determine what is Essential and definitely Need-to-Know, as opposed to Should-Have-A-Bit-Of-An-Idea-
About and Nice-To-Know or For-Info. You want to aim to manage your study workload and focus your main effort
on high value, essential items and just brush over the less important stuff. Don’t try and commit everything to
memory and burn yourself out one month before your Course starts! Pace yourself and do a little bit every day.
So what do you need to concentrate on and actually study?
Books and Publications
In this pre-Command Course preparation phase get all of the “bookwork” out of the way before you get
anywhere near a simulator or an aircraft before starting your Command Course.
This is all the Company Publications, Policy and Procedures (primarily Volume 1 and Volume 2 Part 2). You need
to have a very firm grasp of what is contained within these documents. As you study these documents pay particular
attention to anything that relates to “The Captain”; e.g. The Captain’s responsibilities are…, The Captain shall do
this…, The Captain is required to sign this…etc.
You don’t have to recall every single thing within these documents, but you will be expected to know that a
particular situation is covered in a relevant publication and be able to locate the item so that you can apply it. Some
items you will have to know extremely well and will have to put quite a bit of effort into e.g. Fuel Policy, Emergency
Memory Items, Limitations etc just to name a few. Ask your peers, other Captains that you fly with and your Training
Department what is expected of you.
Don’t just read the document and go onto the next item. There is a world of difference between being able to
regurgitate the item word-for-word and being able to practically apply the specific item in the real world.

Do some Scenario Based Training. Set scenarios for yourself and think through how you apply the
policy/procedure for real. If you can, actually do the required items e.g. physically complete a Non Standard Fuel
Load form or actually get RTOW information via SMS or complete a Manual Loadsheet or calculate the Minimum
Normal Fuel Required Inflight. You can often find that actually doing the required actions is quite different from just
reading about it. Books generally tell you what to do, not how to do it; a big difference. By practising beforehand, if
you are ever required to actually do one of these things for real during your Command Training you will approach it
with confidence, not waste time and create minimal stress for yourself.
Spend a bit of time using real-live paper publications, as that’s what is in the aircraft and what you’ll have to use
for real. Doing a PDF computer search with on-line manuals to find information (easy) is very different from locating
information in a document using chapters and indexes in a book when you’re under pressure (harder).
Don’t limit yourself to just Company Publications, Policy and Procedures. Know how to read and use Jeppesen
plates and charts (Volume 2 Part 1), AERAD Guides, Company Notices, Dangerous Goods Regulations etc. – basically
if it is in the cockpit and you can access it, then know how to read, decipher and practically use it.
It doesn’t matter whether you are going from Right to Left on the same type or doing a Type Conversion in
conjunction with your Command Upgrade as this stuff is usually very general and not normally type specific.
NP, FCOM, QRH
There is no easy way around this. You will be required to have a very good working knowledge of your aircrafts’
Normal Procedures (NPs) and any other Supplementary Procedures (SPs) that are contained within your particular
aircraft type’s flight publications.
You need to know these publications intimately and how to use your aircraft’s QRH and what information is
contained within it as this is quite often the first document you will access in flight.
You need to know and have a reasonable working knowledge of your aircraft’s FCOMs. Contained within these
documents are, normal and emergency procedures, system descriptions, limitations, Warnings, Cautions and Notes.
Again, try to determine what is Essential and definitely Need-to-Know, Should-Have-A-Bit-Of-An-Idea-About and
Nice-To-Know or For-Info.
If you are doing a Type conversion in conjunction with your Command Training you’ll have a bit of trouble here.
You’ll be expected to remain current and competent on your current aircraft type, but some of the stuff that you
attempt to learn about your new aircraft type will just will not make any sense through reading about it in a book.
Use the CBT Carrels or on-line training to start to build a general knowledge base that you can build on when your
Training actually begins.
Gradually start to soak in some knowledge but don’t get too worked up if it is all completely new. Hook up with
a peer, or mentor if possible, to guide you through your learning. If you go through a Command/Conversion dual
Upgrade there will be extra simulator sessions, sectors and training to cater for this.
The “REAL” Command Stuff

What about all the “REAL Command Stuff” that nobody tells you about?
Things like Leadership and Management, CRM, TEM, Decision Making, Judgement, Team Building, Situational
Awareness, Risk Management, the Legal Aspects of being the Captain etc.?
This is what Towards Command primarily addresses – the Command Qualities, Traits and Characteristics. These
are the areas that most Command Trainees who fail their Upgrade are lacking in.
The Internet is a wonderful “Information Super-Highway” and there is a lot of really good information out there
just waiting for you to discover and soak up. You just have to be prepared to invest some time and effort and go out
there and find it and sort out the “wheat from the chaff”.
A lot of this Real Command information you will have been learning sub-consciously; “learning through osmosis”
throughout your entire aviation career. Hopefully you’ve been aware of this and have been continually soaking up
the lessons presented to you throughout the years. You adopt the good Command Stuff into your “Command
Toolbox” and decide to not use the not so good or bad Command Stuff that you’ve seen and experienced (usually by
poor Captains) as an S/O or F/O or in your previous aviation career.
There is wealth of information out there – you just have to make the conscious decision that you in charge of your
SDL and be prepared to expend the time and effort to find and absorb that information.
You’ll probably spend quite a bit of time studying your aircrafts’ systems. Why not spend a bit of time studying
YOU as the Captain? It’s time well spent.

Spread It Out
By starting your "formal" study six months before your Command Course you can spread the study load out over
that six months. Do a little bit every day. That's a much better way to do it rather than cram everything into the last
few weeks. Occasionally go over your notes and review subjects that you studied weeks or months earlier so that
you retain all that good knowledge.
It will take discipline, effort and some planning to accomplish the required study. But it will pay off big time when
you're stuck with a tricky defect with a confusing MEL item, when you're pushed for time in a real aircraft, with real
pressures and stresses and everyone is looking to you as the Captain during your Command Course to sort the
problem out!
3. On Command Course Study

This area of Command Preparation is "where the rubber meets the road". It's where everything comes together so
that you can approach your Command Training with confidence and with the knowledge that you've prepared as
best as you possibly can.
Confidence is a huge factor during the stressful time of your Command Training. Confidence is like a “skill
multiplier”; the more confidence you possess, the better you perform.
Preparation can make or break your Command performance – ensure that it MAKES yours.
What To Study Now?
All of your “book work” should have been
completed before you get anywhere near a real
aircraft and before you commence your “formal”
Command Course. Just occasionally review selected
parts of your previously studied work or your personal
notes to clarify any questions you may have, now that
you've entered the “practical” phase of Line Flying.
Most of the hard work has already been
completed if you've been disciplined and put the
effort in. All you should really need to study and
prepare for now is each simulator session or training
flight(s) that you are rostered for.
Simulator
The simulator sessions may require a bit of systems
review and probably will require extensive study of
abnormal or emergency procedures (you did take
notes and review them during your Pre-Command
Course Study didn’t you?).
If you are paired up with a “crash buddy”, get
together every so often and study together as team,
pose scenarios to each other and generally learn and
help each other out. Without even knowing it you
will be exercising your Command and Leadership
skills as you both begin your Training.
Line Flying Training
As a Command Trainee you may get to go to places you've never been to before and you will be expected to
manage the flight safely and efficiently. Local knowledge goes a long way in operating into some of the places you
potentially can operate into. Ask around and glean as much local knowledge as possible from other pilots who have
operated into those places recently.
Read every bit of information about the places you will operating into. This might be Jeppesen produced info,
Port Pages or Route Briefing Information. Find it, read it and absorb it.
For your departure, arrival and alternate airfield(s) review the operating times, taxi routes, restrictions, SIDs,
STARs, ATC frequencies and restrictions, curfew times, navigation and approach aids, terrain, likely weather patterns
for the time of the year, alternate(s) and their routeing, where you will hold and at what altitude and speed, alternate

runways, approaches and navaids, hazards, de-icing facilities and methods, what ground handling can you expect, is
there a Company Engineer there, any special operating procedures...you get the picture.
Review also the route that you take, the MRA and terrain, ETOPS procedures and airfields, the Enroute Airfields
where you will divert in the remote chance of suffering a major emergency (runway(s), approach aids, elevation and
runway lengths), special use airspace, RVSM, CPDLC, ATC route restrictions, Danger and Restricted Areas.
Apply some common sense here, as it is obviously stupid to study every single item in minute detail. Concentrate
on the high value items that you as the Captain will be expected to have a good knowledge of and that you will
definitely require. Again, pace yourself – a little bit of study every day adds up to a lot over the course of a few
weeks or months.
Leave no stone unturned. The more you prepare the less likely you will be caught out, the more confident you
will be and the better you will look and perform as the Captain.
Preparation (P7)
Prior Preparation & Planning, Prevents Piss Poor Performance (P7)
And so it is with Command Training. It will be patently obvious to your Trainer if you have done little preparation
or have studied the wrong things. This almost certainly guarantees Piss Poor Performance!
Why is preparation so important? Why not save your brain cells, some time and dispense with any preparation
altogether!
There are a couple of reasons.
Decision Making
As Captain you will be required to make decisions. To make decisions you require information. Some of that
information you get at the time a decision is required and some you can have “pre-loaded” in your head as Long
Term Memory ready to use.
After acquiring the necessary information and then by using your previous experience, Airmanship, knowledge,
CRM, the particular circumstances of the situation that you are in and common sense, you eventually arrive at your
decision.
Your decisions can be good, bad or indifferent. As a Command Trainee you want most of your decisions to be
high quality and correct ones. Your tenure in the Left Seat will be cut abruptly short if you either can’t make
decisions or make lots of poor decisions.
To improve your decisions, improve your preparation (P7).
“Pre-load” information before your flight(s). Often good preparation will enable you to make use of ready-made
solutions to problems. This might be as simple as;
Following the correct procedures (NPs) or Company Policy (which is contained within publications).
Discussing a Port that you have never been to with your peers and obtaining some local knowledge.
Being aware of your nearest suitable airfield (and being aware of the runway(s), their length(s), elevation,
approach aids, hours of operation and if the approach is in your particular aircraft's Nav Database).
Knowing how to correctly and instinctively recognise and apply Memory Checklist Items with minimum delay
(e.g. RTO, TCAS, (E)GPWS, Windshear etc.)
Knowing the likely SID or STAR for the departure or arrival runway in use and any ATC constraint(s) associated
with them.
Knowing where the high terrain (both around the airfield and en-route and possible escape routes) and how high
is it so that you can have a plan formulated ready for a Depressurisation situation.
Which airfields would you use if you suffered an engine failure (these may be quite different for twins or quads
and if ETOPS).
Determine, if possible, what defects and possible DDG Operational Procedures (if applicable) exist on the aircraft
that you are about to take flying.
All these types of information (and much more) will help you make an informed decision in far quicker time than
if you had to seek out the knowledge from some other source first.
You will display your “Command Qualities” to good effect. Contrast this with someone who knows the answer is
in the books (at least he knows it is in there somewhere!) and spends 5 frantic minutes seeking out that information,

frantically flipping random pages. This does not look good and you will put yourself under immense (self-imposed)
stress.
Skill Development – Simulation
How often do you actually execute a Missed Approach, Go Around, Diversion, LWMO, Abnormal or Emergency
Procedure, Circling, Non Precision or Visual Approach? In actual, real life Line operations, very rarely.
You get to practise these flying skills in the simulator, but that was weeks or months ago. So how can you be
prepared for the day when things don't right and you have to do something slightly unusual?
Practise in your head. Arm-chair fly the sequence mentally (visual simulation). Make it as realistic as possible.
Try to include colours and sounds, what your PFD, ND and other instruments will display and what the attitude
will look like (visual and aural simulation), practise making the actual physical body movements to touch, push, pull,
move switches, push buttons, manipulate the yoke or side stick and the thrust levers (kinaesthetic simulation).
If you are not very good at visualisation (and this is a valuable skill to practise and refine – it costs nothing and you
can do it anywhere) get cockpit photos or diagrams and put them up on your wall, then practise kinaesthetically using
the photo/diagram. Use the IPT or CBT simulations. This improves your “muscle memory” and you can practise
where you have to look to recognise and receive information.
As you have rehearsed these unusual manoeuvres (i.e. prepared for the unusual situation – P7), when you are
required to actually do them, you will perform them better and with less conscious thought required (so you have a
greater amount of spare “brain power”) to manage the situation and direct good quality outcomes. As these are
slightly unusual situations, you will be working under some increased pressure.
By Failing to Prepare, you are Preparing to Fail.
Summary
The easiest way to approach your Command preparation is to do a little bit every day.
And thorough Command preparation will ensure that you are confident and successful when you are placed in
the sometimes stressful situation of being the Commander.

Stress & Your Command Course
Without stress, there would be no life. (Hans Selye)
Why talk about stress?

Many Command Trainees will succeed through their Command Course without being burdened by incapacitating
stress...and some will not. Many will cope with this stress...and some will not.
This Command professional upgrade is significant on personal, professional and public levels. The potential stress
may become overwhelming, especially when it is cumulative over a period of months, as a Command Course
typically is. Additionally, there may be certain pilot traits which may predispose you to unhealthy stress.
Stress has the potential to affect your performance while undertaking your Command Course, especially if you
bring pre-existing stressors into your Command Course.
Stress is not a new fact of life.
Stress is not a new health risk concept.
Stress is a universal experience shared by all human beings.
The good news is that all the preventive and helpful measures can be initiated and controlled by YOU.
PUT THE GLASS DOWN

A Captain was presenting a lecture on stress management to his Trainees. He raised a glass of water and asked
the class, “How heavy do you think this glass of water is?” The Trainees guessed about 250 grams. “It doesn't
matter what the absolute weight is. It depends on how long you hold it for.” the Captain replied.
“If I hold it for a minute, it is OK. If I hold it for an hour, my arm will start to ache. If I hold it for a day, you
will have to call an ambulance. It is the exact same weight, but the longer I hold it, the ‘heavier’ it becomes.”
If you carry your burdens all the time, sooner or later, you will not be able to carry on; the burden will be too
heavy. What you have to do is put the glass down and rest for a while before holding it up again.
You have to put down the burdens from time to time, so that you can be refreshed and be able to carry on.
Whatever burden you are carrying on your shoulders, let it down.
Take a rest. If you must, you can pick it up again later when you have rested. Rest and relax.

Stress affects everybody, particularly so on a Command Course. If you can effectively manage your stress right
now, then mentally file away this useful information. If you think you might be affected by stress then apply this
information to assist you in successfully completing your Command Course.
So, divert some of your brain energy from the NPs and manuals and read on to ensure you have a good
understanding of the stress pitfalls, prevention and solutions.
Stress Facts
• Stress can be defined as a physical and emotional response to a situation involving a perceived threat.
• Your personal view or perception of the stressor makes it either a positive or negative experience; that is, it is your
reaction to the event, rather than the actual event, which determines the outcome of how the stress affects you.
E+R=O
The Event plus your Reaction to that event equals your eventual Outcome.
• Stress is a demand made on the body’s coping capacities or reserves; when your capacities are resilient and
healthy, then the outcome is positive, and when your capacities are saturated and weakened, then the outcome is
negative.
Stress affects the mind, body, and behaviour in many ways and the signs and symptoms of stress may vary widely
from person to person.
To get a handle on stress, you first need to learn how to recognize it in yourself and recognize your limit.
The Stress Response
During human evolution, the survival of our species depended on the ability to escape physical
danger of natural predators. This physiological response is also called the ‘fight-flight response’ and is
an adaptive survival mechanism when facing a dangerous situation.
When danger is sensed, a chemical alarm is triggered by the part of the brain called the
hypothalamus. This causes the release of a flood of stress hormones, including adrenaline,
norepinephrine, and cortisol which surge through the bloodstream, readying us to either flee the scene
or battle it out.
The desired outcomes of this hormone surge are;
Your heart rate and blood flow to your large muscles increase so you can run faster and fight harder.
The blood vessels under your skin constrict to prevent blood loss in case of injury.
Your pupils dilate so as to improve your visual field.
Blood sugar surges up as an energy boost and serves to quicken your reaction time.
At the same time, body processes not essential to immediate survival are suppressed;
Your digestive and reproductive systems slow down.
Growth hormones are switched off.
Your immune system is dampened down.
Today, we are much more likely to face psychological

rather than physical threats. In addition, the stress
response may persist long after the threat (real or
perceived) has passed.
Stress and performance
In 1908, Robert Yerkes and John Dodson from
Harvard first described the relationship between stress
and performance. The Yerkes-Dodson principle states
that up to a certain point, a specific amount of stress (or
arousal) is healthy and beneficial.
As the stress increases, so does performance. This
benefit in performance is commonly seen in academic,
creative and sporting achievements; and Command
Courses. However, at the point when the stress exceeds

the person’s coping capacity, this overload from ongoing stress increment will contribute to diminished outcome and
performance will decline.
So the aim is to avoid the down-turn of the curve. The top of the curve would indicate the burst of peak
performance. However that is unsustainable for prolonged durations. So the optimal level for maintaining good
performance is about ¾ of the way up the curve.
That would be simple if the optimal level is the same for everyone. But that is not the case.
For this reason, it is crucial to;
• Learn where this optimal level of stress is for you personally, and
• Know how to reduce physical arousal levels using coping skills and relaxation techniques in order to minimize the
adverse effects of chronic stress. More on this later.
Effects Of Stress
On Your Body On Your Thoughts On Your Behaviour
Sleep disturbance (very common) Anxiety Over or under eating
Headache Irritability Angry outbursts
Tiredness Sadness Volatile mood
Back pain Anger Drug abuse
Muscle aches Mood swings Excessive drinking
Clenched jaws Job dissatisfaction Increased smoking
Teeth grinding Feelings of insecurity Social withdrawal
Chest pain Confusion Relationship conflicts
Pounding heart Burnout Decreased productivity
Shortness of breath Resentment Blaming others
High blood pressure Guilt
Increased sweating Memory problems
Stomach upset Poor concentration
Constipation Negative attitude
Diarrhoea
Weight gain or loss
Sexual dysfunction
Good And Bad Stress

“Life is a question of dose.”
When perceived positively, in small to moderate doses, acute stress can be a good thing. It makes an otherwise
mundane life or job interesting with inspiration and motivation towards goal achievement. It can give you the push
you need, motivating you to do your best, or to stay focused and alert despite the lulling effects of cruising over a
long stretch. Acute stress is what keeps you on your toes during final approach into unforecast severe weather or
drives you to study for your RT/PC when you'd rather be drinking at the pub.
But too much for too long is exhausting for the human body and brain.
Those with frequent episodes of acute stress become over-aroused, short-tempered, tense, irritable, and intolerant
of even minor disruptions in their lives. They are under constant time pressure and struggle to cope with the many
self-inflicted demands, pressures and constraints in their lives. They often externalize their problems and tend to
blame other people and external events for them, often their families or those closest to them.
Typically, persistent tension headaches, migraines, digestive problems, hypertension, chest pain, and heart disease
are not uncommon side effects.

Chronic Stress
It has been said that the ability to reason is what separates man from beast. Ironically, our ability to think and
reason also serves to perpetuate the stress response. Not surprisingly, the top 10 stressful Life Events are all triggers
for chronic stress.
Top 10 Stressful Life Events – (Holmes-Rahe Life Stress Inventory)
• Spouse’s death
• Divorce
• Marriage separation
• Jail term
• Death of a close relative
• Injury or illness
• Marriage
• Fired from job
• Marriage reconciliation
• Retirement
Chronic stress results from the unrelenting demands and pressures that go on for interminable periods of time.
The danger of chronic stress is that some people just get used to it, lose hope, and give up searching for solutions.
Physical and mental resources are depleted and the seemingly never-ending stress wears you down day after day.
Long-term stress results in stress-related disease and reduces the quality of life. It also has the potential to negatively
affect your performance while undertaking a Command Course.
Furthermore, extended or repeated activation of the stress response takes a heavy toll on the body with potential
widespread damage.
Cortisol is a stress hormone which serves as a fuel for metabolism and also regulates our immune system.
However, cortisol secretion in excess is associated with;
Disrupting metabolism and worsening metabolic diseases such as diabetes and obesity.
Causing impaired immune function (ever wondered why you come down with an infection or the “sniffles” when
under stress?).
Contributing to heart disease and high blood pressure.
Significant effects on the brain including destroying certain brain cells involved in memory function and
hypersensitive response to anxiety triggers.
The more the stress response is activated, the harder it is to shut off. Instead of levelling off once the crisis has
passed, your stress hormones, heart rate, and blood pressure remain elevated, increasing your risk of everything from
heart disease, obesity, and infection to anxiety, depression, and memory problems.
Sources Of Stress
Daily Hassles. Your day starts with hundreds of small, but significant hassles that you just don't need and that can
push you to the edge: a flat tire, a blocked toilet, computer crash, sick kids, rosters (and their disruptions) and the list
goes on.
In today’s world of computers and technology with information traffic 24/7, you also have to deal with
information overload; the newly coined ‘technostress’.
Additionally, your world is filled with choice, from every type, colour, brand of merchandise, to where to go for
vacation and how to pay for it (cash, credit card, debit card, check, or loan), study or take your partner to dinner,
leave early for work or drop the kids at school. Too much choice can be overwhelmingly stressful!
Thus we are usually trying to juggle several stressors, way before work stress or other aspects of our lives are
considered (let alone a big career hurdle such as a Command Course). In the ideal world, we absorb the daily
expected stressors with a comfortable buffer of reserve to cope with any unexpected, unplanned stress load.
However, the insidious build up of cumulative stress depletes the reserve capacity, or to use the analogy above, the
adverse effects of not putting the glass down for a rest.
Personal. As can be seen from the list below, the qualities which make a pilot excel in the cockpit may not be
beneficial in other situations. A perfectionist who is obsessive, highly motivated, enjoys a challenge and works more
using the logical rather than emotional brain may be vulnerable to stress overloading in many life situations.

Common Pilot Personality Traits
Above normal intelligence
Good perceptual/motor skills
Absence of neurotic symptoms
Adaptive
Positive response to challenge
Strong gender identification
High motivation
Low tolerance for personal imperfection
Obsessive traits
Emotionally avoidant
Stop for a minute and list your own expectations for this Command Course. Are you, or others, putting demands
on yourself which are unrealistic? Are you taking on more (professionally and personally) than you should? What are
you trying to prove? And who are you trying to prove it to?
You may be your own worst enemy.
If, after reflecting on your prospective Command Course, you identify abnormal personal stressors this would be a
good time to prioritise and lessen your other stress-inducing commitments, which will allow you the adequate
capacity to deal with the expected and unexpected demands of this upgrade.
Occupational. These occupational stress factors associated with your profession as a pilot may be largely
unavoidable but an awareness of them is useful;
Peer pressure and expectation (how will your peers view you if you are unsuccessful and more importantly, will
this erode your self-esteem).
Performance pressures e.g. conversion and an upgrade.
Working relationships with management, your Trainers and F/Os (helpful or a hindrance).
Employment conditions of service.
Aviation environment e.g. fatigue, circadian disruption, shift work issues, commercial pressures, roster disruptions.
Family/Relationships. Relationship stress or underlying relationship discord with your spouse, partner or family is
a big stressor that you ideally do not want to bring with you into a Command Course. This includes your kids as well
(sickness, schooling etc.).
You have to balance work and Command Course requirements with family requirements – there is no point in
passing the Command Course if you end up divorced! Ensure that you don’t lock yourself in a room and do non-
stop study (remember that glass?)
Plan breaks during the Course to spend time with your loved ones. Those closest to you are often a source of
support when things don’t go so well. Do not alienate them; make them an integral part of your life.
If you have a problem here, if possible, be proactive and sort it out well before the Course starts. Seek help or
counselling if required or even delay your Command Course to a more suitable time.
Social Isolation. A significant number of Command Trainees are required to undertake their Command Course
in Hong Kong away from family or social support.
To counter this isolation seek out “study buddies” or another Command Trainee/peer at a similar stage of career
progression. Bounce ideas and scenarios off each other and share experiences and knowledge.
Ensure that you have some sort of family support network in place before you leave for Hong Kong (e.g. extended
family or friends to assist your spouse, partner and kids). Not having to worry about your family’s welfare will
decrease your stress levels enormously.
Financial. Personal wealth management or financial issues should also be minimised before and during your
Command Course. Again be proactive and sort it out before the Course starts or consider delaying the Course.

Health. In preparation for and during the Command Course it can be easy to let lifestyle issues such as a lack of
sleep, inadequate exercise and unhealthy nutrition affect your Command performance. You have got to look after
you. Do not neglect your Rest, Exercise or Diet (RED).
Health issues in family members, especially spouses and/or kids, can often be even more disturbing and
distracting. Again be proactive, solve the issue if you can and if you can’t seek assistance.
How To Tackle Stress?

Identifying the cause of your stress can be an important first step in developing a plan to reduce or eliminate the
stress.
It is just important to learn how to increase your capacity to buffer the demands of life as it is to know how to
manage stress. Understanding the relationship between health and stress as well as being aware of the several
aspects of health which need to be in balance, will help you assess the dimensions of your health.
Health is more than just the absence of disease.
Rather than just managing stress to prevent disease and other ill-effects, it is crucial to aim to increase your stress-
coping reserves so that you can enjoy good health and well-being.
Health is more than just physical.
Health encompasses the physical, intellectual, emotional, and social dimensions, and all require nourishment if
you are to get the best out of yourself.
Physical Health
Taking care of your body through healthy nutrition, regular exercise, adequate sleep and avoiding alcohol excess
and drug abuse will promote physical resilience. Physical exercise serves as a good stress reliever as it dissipates the
physiological effects of stress on the body and in particular, cardiovascular exercise may stimulate the body’s release
of endorphins (‘feel-good’ chemicals) which give us a sense of heightened well-being.
Intellectual Or Mental Health

The mental abilities of thinking (especially your mind and how and what you think), learning new tasks,
adaptability, decision making and judgement all have a significant impact on health. Therefore, learning about stress
and how the particular way it affects you is an important first step. Setting goals which test or exceed the comfortable
limits of your capacity can erode self-esteem, self-confidence and be negatively re-enforcing. Understanding what
drives you personally, setting realistic boundaries, and learning new ways to approach challenges and goals may
significantly reduce the contribution of self-imposed stress.
Remember – you will often be your own worst enemy by expecting faultless performance to a high standard; and
if you fail at this lofty goal you will likely berate yourself and your self-esteem and confidence may suffer.
Everyone makes mistakes and you’re no different. Mistakes are only truly mistakes if you do not learn from
them.
Secondly, do not underestimate the benefit of a mental respite from the energy-draining state of stress.
Remember the benefit of putting the glass down for a while? There are many cognitive methods which enable you to
have a ‘mental holiday’ such as meditation, positive thinking techniques, or imagery. These techniques become
more useful with practice and as different methods will suit different individuals, it is worth finding one which works
for you.
Practise whatever method works personally for you prior to commencing your Command Course, so that you can
easily slip into your stress reducing mode when under the extra pressure of the Course.
Emotional Health
While mental health covers the thinking mind, emotional health refers to the feeling mind, involving experiencing
and appreciating the wide range of feelings and the ability to express and resolve them in a healthy way.
Stress build up often leads to negative emotions, sometimes affecting emotional control. Good stress
management means you take control of your emotions and not the other way round. It may be difficult to avoid
feeling overwhelmed or to recognize the negative reaction resulting from stress overload. Emotional flexibility to
accommodate life’s surprises is a good marker of emotional well-being and may be a useful sign of stress.

The first step is recognizing the adverse effects of stress. Information for self-help is widely available on the
Internet, via books, talking to peers, family or friends or even professional counsellors and can offer advice or
suggestions.
Additionally, living and making life choices not consistent with your own personal values will create stress.
Priorities will need to be revisited and perhaps revised. Sometimes the benefit of an outsider view from a peer or
counsellor helps with gaining insight.
Activities which create positive self-feedback and nurturing talents and hobbies through the arts, music, nature or
sporting avenues allows self-expression and will reduce stress and enhance emotional wellness.
Humour is also a wonderful stress reducer, an antidote to Life’s (and Command Course) upsets. Laughter relieves
tension. As that song says, “Don’t worry. Be happy.”
Social Health
Social well-being depends on satisfying interpersonal relationships, effective communication skills with others and
purposeful social roles. A strong social support network increases the capacity for managing life stressors.
It is crucial to develop good social support from family and a wide network of friends and peers whom can lend a
listening ear or assistance in times of need.
You don’t need to do this alone.
You may also need to provide a social support network for not only yourself but also your family.
Conclusion
The main point is to strive for work-life balance to preserve all health aspects, because by doing this you are most
likely to bring out the best in yourself.
Stress can be challenging and beneficial when approached with a right mind-set and attitude, and hopefully will
fill you with drive and motivation, mental clarity and insight under pressure, capacity for new learning with improved
memory and recall and an overall sense of optimism.
However, stress overload can also overwhelm you to the point where you can no longer cope. You will hopefully
be able to identify the negative stressors, learn how to prevent them and learn how to increase your coping capacity
to deal with the stress you can’t prevent.
Key Points
There is a direct relationship between stress and health.
Strategies for stress management and increasing stress coping capacity are best self-initiated; this is all under your
control. Be proactive.
Health is more than the absence of disease. It includes physical, intellectual, emotional and social dimensions.
Imbalance in any of these dimensions will affect overall health.
“Keep life simple” is a good motto to reduce the daily hassles of life.
Get to know your own drives and motivations in order to minimise self-imposed stress during your Command
Course.
Look after your body and your brain with adequate sleep and rest, exercise and nutrition and diet (RED).
Nourish your mind with positive relationships, take pleasure in recreational activities and remember that laughter
is still the best medicine.
Be proactive in seeking advice and support early from family, friends, peers or even your Fleet Training Office.
Sources Of Assistance
The following various sources of assistance are resources that you may consider using if stressors are getting too
much for you while on your Command Course (and remember that it is NOT a weakness to seek assistance – be
proactive);
Peers, friends and family (they are often your most powerful antidote to stress). Form a support network prior to
your Command Course commencing.
CX Duty Doctor, 24 Hours (+852) 9151 5011.
CX Aviation Medicine Office 2747 2922.

Employee Assistance Programme (EAP). Global Lifeline (worldwide) +1 48 0333 3800, (QHMS Hong Kong)
8200 7470.
Aircrew Assistance Group (AAG). Provides assistance to aircrew and their families. The AAG hotline number is
+852 9090 8569.
FOPS – Fleet or Training Managers, Training Captains or Flight Crew Relations Managers (do you know who they
are?) These people can assist you with advice, suggestions and can have a significant input into altering or
tailoring your Training and/or your roster – but only if they are made aware of the problem.
Be proactive in combating stress.
THE JAR OF LIFE

A Captain stood before his Command class and had some items in front of him. When the class began,
wordlessly, he picked up a very large and empty mayonnaise jar and proceeded to fill it with golf balls. He then
asked the Trainees if the jar was full? They agreed that it was.
So the Captain then picked up a box of pebbles and poured them into the jar. He shook the jar lightly. The
pebbles rolled into the open areas between the golf balls. He then asked the Trainees again if the jar was full.
They agreed it was.
The Captain next picked up a box of sand and poured it into the jar. Of course, the sand filled up everything
else. He asked once more if the jar was full. The Trainees responded with an unanimous "yes."
The Captain then produced two cans of beer from under the table and poured their entire contents into the jar,
effectively filling the empty space between the sand. The Trainees laughed.
"Now," said the Captain, as the laughter subsided, "I want you to recognize that this jar represents your life. The
golf balls are the important things; your family, your health, your children, your friends, your favourite passions -
things that if everything else was lost and only they remained, your life would still be full. The pebbles are the
other things that matter like your job, your house, your car. The sand is everything else - the small stuff."
"If you put the sand into the jar first," he continued, "there is no room for the pebbles or the golf balls. The
same goes for life. If you spend all your time and energy on the small stuff, you will never have room for the things
that are important to you. Pay attention to the things that are critical to your happiness. Play with your children.
Take time to get medical checkups. Take your partner out to dinner. Play another 18 holes of golf. There will
always be time to clean the house and fix the leaking tap later."
"Take care of the golf balls first, the things that really matter. Set your priorities. The rest is just sand."
One of the Trainees raised his hand and inquired what the beer represented.
The Captain smiled. "I'm glad you asked. It just goes to show you that no matter how full your life may seem,
there's always room for a couple of beers."
Finally after putting down the glass, you can raise it again with renewed zeal to give a toast...
“To a successful Command Course.”
Stress Resources
The following are some articles that you can utilise to further your understanding and application of Stress.
Kai Talk
Aircrew Stress Revisited, Again. An article by Bruce Parry (Director of IPS Worldwide and Cathay Pacific’s
Employee Assistance Program (EAP)) (Autumn, 2004).
Managing Flight Crew Stress. An article by Peter Simpson (Manager Flight Safety) (Issue 3, 2007)
Employee Assistance Program (EAP). An article by Bruce Parry (Director of IPS Worldwide and Cathay
Pacific’s Employee Assistance Program (EAP)) (Issue 3, 2007).
Life Event Stress Scale And Checklist. Describes the Holmes-Rahe Life Stress Scale. (Issue 3, 2007)
Crews News

Stress Busting. Captain Alan Wilson (Summer 2006).

Command Jigsaw Puzzle
Life is a Puzzle – Solve it.
A jigsaw puzzle can be a metaphor – a concrete way to explain the abstract concept of putting all the various
skills, knowledge, traits and requirements of Command together.
In this final chapter of your Command journey we will use this jigsaw puzzle analogy to help you to put all the
pieces together as you progress towards your destination of Command. All the Command pieces are not separate;
they are synergistic and inter-related.
Part of your job as the Captain is arrange all the pieces in an eye pleasing manner so that your Command is
holistic and effective...and you do it your way.
The Puzzle Pieces

We all have most of the individual pieces of the Command puzzle. The pieces might be TEM, SA,
Communication, Leadership, CRM, Workload Management, Monitoring, Knowledge, Aircraft Handling, Preparation
etc.
Your individual pieces might be available or missing, big or small, they might be complete or partly formed, the
picture on the pieces may be clear or blurry and out of focus. The individual pieces may fit together perfectly,
imperfectly or not at all, they may be polished and well used or dusty and rarely used.
Generally your pieces will become available, big, complete and clear with experience. Some of that experience
you will gain as you progress through your Command Course.
Your Command Jigsaw Puzzle might be a 10 piece puzzle of a fuzzy, toy plane, drawn with crayon, with some
dusty bits missing that you “force” together with a hammer and someone else who is more experienced might have
an immaculate complete 1,000 piece puzzle of a perfect, polished A380/Dreamliner in high resolution photo quality,
that fits together effortlessly.
Every piece is linked and relies on everything else. Nothing in Command ever happens in isolation.

For example, to be an effective Commander;
Requires sound Decision Making.

Decision Making requires effective Risk Management.
Risk Management requires good TEM.
TEM requires superior SA.
SA requires high-quality Monitoring.
Monitoring requires excellent Workload Management.
And all these qualities need to be mixed and blended with an overall level of good Communication, CRM and
Leadership.
It is like all the pieces are continuously rotating and spiralling and sometimes their positions and sizes are changing
or morphing depending on the current situation, your priority and your assessment of their importance at the time.
Some pieces are more relevant at a particular time and at other times the same piece is not very important.
Your Command “Style” or the “way you do the business of Command” is how you fit the individual jigsaw puzzle
pieces that you currently possess together to get from A to B safely, legally and efficiently.
The Big Picture

The puzzle is easier to solve if you’ve got the box-top picture. It’s like having a map, a plan, a goal to work
towards. It guides you and allows comparison to see how close you are getting; going from the unknown to the
known. It allows you to see links, the pieces that go together; those that are similar coloured or portions of images on
the pieces.
You have all these apparently random jumbled pieces and by looking at the box-top picture you can see what
you’re working towards. Imagine how much more difficult it would be if you had no completed picture to use. You
have to piece it together blind, and you never know what is around the corner.
There are a few more surprises built into the concept of how this particular Command Jigsaw Puzzle is designed,
which you will only discover as you play on (both with each individual puzzle and the total sum of all your Command
experiences). You will eventually get more and more expert, become more and more a better Commander.
Looking at the heap of jumbled pieces is like having your Command spread out before you. Now you’ve got to
piece it together as best you can. What will you learn while you put this puzzle together? You don’t know the final
picture, there always an element of surprise, and you don’t always know what comes next.
Like a Jigsaw Puzzle, you don’t know beforehand what you will learn and experience as your life and your
Command unfolds.
New information and experiences change the shape, size, pattern and image of your individual pieces and how
they inter-connect. Your Command puzzle pieces will change as you fit your individual pieces together slightly
differently as you gain more experience.
The pieces are dynamic and forever morphing.
But It’s Hard

Nobody ever said Command would be easy.
As you play the great game of Command, the Jigsaw Puzzle, whatever you do with it or not do, has some kind of
relevance or significance as to how you project your Command presence at that moment and how you will work out
your Command style in the future.
You may be confused and you may find the puzzle very difficult, however the more of the puzzle you complete
the easier it becomes. There are less possible choices, holes and spaces and the connection progressively becomes
easier to see and make. You may struggle initially with your “place” in the grand scheme of Command, but with
each experience gained the puzzle will become easier.
Your Command will become more comfortable, effortless and straightforward.
A small puzzle with a few pieces may be easy, uncomplicated, with little challenge and you may get bored with it,
but it is best to start small and gradually work your way up. That is how you gain expertise (with safety and by
minimising the risk) – from the small to the large, the simple to the complex, the concrete to the abstract. This is why
the Basic Phase of Command is the “teaching” phase and the Intermediate Phase is the “experiencing“ phase.

A larger puzzle provides more complexity, but is more time intensive and interesting and provides a greater sense
of achievement when you solve the puzzle.
The bigger puzzle requires more pieces (obviously) which relate to more skills and strategies that you will
eventually require. It presents more challenges. You get out of it what you are prepared to put in. If you get
overwhelmed or it seems too complicated then maybe you need to simplify and use a smaller puzzle (the KISS
principle). What did that box-top picture of my Command look like again?
Maybe you need to eat smaller pieces rather than choke on the bigger pieces.
Maybe it looks complicated at first, but if you start out by completing small goals (finding the corners and then the
edges) then perhaps it will begin to make more sense and become easier.
What’s Your Attitude?

What is your attitude towards the puzzle? Is it – this is way too complicated; and you therefore don’t even
attempt it. Or is it – this is a real challenge, but I can do this; and you get fulfilment when you achieve your goal. Do
you enjoy playing and solving the puzzle or do you only enjoy it when the puzzle is finally completed? (Process
versus Outcome, Journey versus Destination – if you only enjoy it once the puzzle is completed, you will probably
not get too much enjoyment or fulfilment out of your Command upgrade).
When you finish an easy puzzle you’re probably ready for the next level up; a harder one. Continual
improvement is required to be the best you can be. That’s why there is the Basic, Intermediate and Advanced Phases
built in to your Command Course.
Often you won’t have all the pieces, some may be missing – but that shouldn’t stop you from completing the
puzzle as best you can with the pieces available to you. Sometimes you’ve just to play with the hand that has been
dealt to you. There’s no point in whinging and whining – that’s just the way Command is. The aircraft won’t stop
mid-flight and wait for you to find your “missing” piece.
Sometimes pieces are easy to find and easy to fit together and other times pieces are hard to find in amongst the
jumble and are hard to fit together (do you “force” pieces together?)
Look at the whole picture first, and then try to piece the individual pieces together (“Big Picture”). Is your “Big
Picture” the right one? Have you made assumptions or do you have biases that will make solving the puzzle difficult
or possibly even impossible? Do you try to force or manipulate the pieces together to fit your “private hallucination”;
your personal assumptions?
You will be confronted with Command puzzle pieces that you have to assemble into the “Big Picture”.
Start with the “Big Picture”, and see where the pieces fit within that framework. You don’t have to change a
piece, or fix it, or mask it, you simply have to remove interference to allow that piece to fit more easily and skilfully
into the whole. This is harder to do. It requires that you forget your biases and programmed tendencies. The pieces
are actually malleable and flexible and provided your mind is malleable and flexible all the pieces will eventually fit
together – you’ve just got to allow that to happen. Suspend assumptions, biases, prejudices and pre-conceptions.
You might have pieces that don’t belong in that particular puzzle. You’ve got to recognise and set aside those
pieces. Otherwise you’ll never get them to fit in the current puzzle.
When you don’t have the box-top picture you have to be creative and rely on intuition. You have to try and find
the easy pieces that fit together (and these will usually be the corners and the edges) to make a framework or
reference that the rest of the puzzle can fit into. What Command qualities are you comfortable with, areas that you
have a high level of confidence in? You can then work inwards to produce glimpses of the unknown picture. And
these glimpses will either confirm that you are on the right track or that you will have to start looking for another
“picture” to complete this particular puzzle.
But I’ve Got Missing Pieces

The ultimate Command jigsaw puzzle is one where there is no box-top picture and many pieces are missing.
Do you really need all the pieces to infer what the picture looks like? Can you mentally fill in the blanks, deduce
what the missing piece looks like from clues in its’ surrounding neighbours? Can you rearrange the pieces to make a
sensible picture? Or will there always be too many crucial pieces missing; too many holes?
You may have to radically change your point of view. If the world doesn’t fit into your viewpoint, perhaps it is
your viewpoint that needs to alter to suit the world. Maybe you need to simplify the puzzle. Maybe you need to ask
yourself Am I using the correct puzzle?

Focus on one small task or area at a time…be that the border, sorting colours, or just putting a recognisable object
together. The small to the big.
Make sure that you select the “right” puzzle to suit the particular situation – otherwise you may never solve it.
There IS an overall design and purpose, but there are MANY pieces – hundreds or even thousands – and your
Command task is to make sense of the seeming chaos. It often looks like chaos, and yet it is not. There are many
Command ways of solving the same Command puzzle; some perhaps more correct than others, but that does not
necessarily mean that any of them are wrong.
How you choose to solve your Command puzzle is completely up to you as an individual. YOU get to run the
show YOUR way.

Everyone is different.
You are an individual.
There are many ways of achieving the same Command outcome.
And you get to display your Command prowess in your own distinctive, individual, unique, inimitable way. You
get to run the show your way – with all your strengths and weaknesses, with all your available Command puzzle
pieces.
Everything fits together and your effectiveness as a Commander is dependent on how well developed your
Command puzzle pieces are and how effectively you are able to arrange the pieces to form a clear coherent
Command picture.
So work on developing your Command puzzle pieces and work on fitting all the pieces together proficiently.
Be the best Captain you can be.

When an arch er mis ses the mar k h e
turns and loo ks for the faul t within
hims elf.
Failur e to h it the bullseye is n ever th e

faul t of th e tar get.
To improve your aim, improve yours elf.
(Gil ber t Arland)

Abbreviations
AAG ...........................................Aircrew Assistance Group FTL................................................. Flight Time Limitations
ACARS.. Aircraft Communication Addressing & Reporting System FTM ............................................... Fleet Training Manager
ADPM ................ Aircraft Deactivation Procedures Manual G/S.................................................................. Glide Slope
ALC ...................................................... Annual Line Check ICAO....................International Civil Aviation Organisation
AML ................................... Aircraft Maintenance Logbook ICC ................................... Intermediate Command Check
AMM .................................... Aircraft Maintenance Manual ILS............................................Instrument Landing System
ANO.................................................. Air Navigation Order IOC ...................................... Integrated Operations Centre
AOG.................................................... Aircraft On Ground ISM ............................................. Inflight Services Manager
AP ....................................................................... Autopilot JAR ............................................. Joint Aviation Regulations
ASR .................................................. Aircraft Safety Report JF/O ...................................................... Junior First Officer
ASRS............................... Aviation Safety Reporting System KISS ............................................... Keep It Simple...Stupid
ATA .............................................Air Transport Association LOC ..................................................................... Localiser
ATIS.................... Automated Terminal Information Service LHS ............................................. Left Hand Seat (Captain)
A/THR ............................................................... Autothrust LOFT..................................... Line Oriented Flight Training
BTC ................................................. Base Training Captain LOSA ...................................Line Operational Safety Audit
CALC............................ Command Assessment Line Check MCP................................................... Mode Control Panel
CAR ...........................Commander’s Administrative Report MEL ........................................... Minimum Equipment List
C/B ............................................................. Circuit Breaker METAR ...Meteorological Aviation Routine Weather Report
CDL........................................ Configuration Deviation List NP ...................................................... Normal Procedures
CDR ................................ Commander’s Discretion Report NTSB ....................... National Transportation Safety Board
CDS...................................... Configuration Data Summary OTP ................................................ On Time Performance
CDSSS ......Configuration Data Summary Supplementary Sheet PA ............................................................... Public Address
CPDLC ........... Controller Pilot Data Link Communications PC ..........................................................Proficiency Check
CRM ..................................... Crew Resource Management PCA.......................................... Pre-Command Assessment
CSD..................................... Corporate Safety Department PF .....................................................................Pilot Flying
DDIS .......................Digital Document Information System PM ........................................................... Pilot Monitoring
DDO ............................................ Design Deviation Order PNF................................ Pilot Not Flying (replaced by PM)
DOM.........................................Duty Operations Manager PR .............................................................Progress Review
DDG ......................................... Dispatch Deviation Guide QAR ...............................................Quick Access Recorder
DFTM ................................ Deputy Fleet Training Manager QHMS ......................Quality HealthCare Medical Services
EAP ..................................... Employee Assistance Program RHS .................................... Right Hand Seat (First Officer)
ECAM ..................... Electronic Centralised Aircraft Monitor RT ....................................................... Regulatory Training
ECL...................................................... Electronic Checklist SA .................................................... Situational Awareness
EICAS ............ Engine Indication and Crew Alerting System SDL ................................................. Self Directed Learning
ETOPS .............................................. Extended Operations SFCC .................................... Slats Flaps Control Computer
FAA .................................. Federal Aviation Administration SF/O......................................................Senior First Officer
FAR ....................................... Federal Aviation Regulations SP ............................................ Supplementary Procedures
FCC ............................................... Final Command Check SRM ............................................ Structural Repair Manual
FCRM ................................. Flight Crew Relations Manager STC ............................................... Senior Training Captain
FCU...................................................... Flight Control Unit TAF ................................................ Terminal Area Forecast
FD ............................................................... Flight Director TC ............................................................ Training Captain
F/E .............................................................. Flight Engineer TEM .................................... Threat and Error Management
FMA .......................................... Flight Mode Annunciation TOC .............................................................. Top of Climb
FMGS ................Flight Management and Guidance System TOD .......................................................... Top of Descent
FMS ..........................................Flight Management System T/R ......................................................Temporary Revision
F/O .................................................................. First Officer UAS ..............................................Undesired Aircraft State
FL .....................................................................Flight Level
FTC ........................................ Flight Crew Training Centre

Command Resources
Further Reading And Study Material
Crews News (back copies available from the Crews news Editor – 3/F, South Tower)
Approaching Command............................................................................... Autumn 2003

Threat And Error Management.......................................................................... Xmas 2004
Training Tribulations .................................................................................... Summer 2004
Training Development ................................................................................. Summer 2004
SITREP ............................................................................................................ Spring 2004
8 Core Pilot Skills ......................................................................................... Autumn 2005
LOSA 2005 Report Summary.......................................................................... Spring 2006
Ready To Step Up? ......................................................................................... Spring 2006
Stress Busting ............................................................................................... Summer 2006
Only Fools And Courses............................................................................. New Year 2007
Unmasked – The Command Assessment Process ....................................... New Year 2007
The Volume 8 Conundrum .......................................................................... Summer 2007
Flying Low ................................................................................................... Summer 2007
Kai Talk (back copies available from Corporate Safety Department – 1/F, South Tower)
LOSA Special (good TEM background information) ...................................... Issue 2, 2009
Books (available from the FOPS Resource Library – 5/F, FTC)
Aircraft Command Techniques ........................................................................ Sal Fallucco

Flight Discipline ................................................................................................. Tony Kern
Pilot Judgement & Crew Resource Management..................................... Richard S. Jensen
Redefining Airmanship....................................................................................... Tony Kern
The Limits of Expertise ..............R. Key Dismukes, Benjamin Berman, Loukia Loukopoulos

Photo Credits
All photos are accurate. None of them is the truth. (Richard Avedon)
All photos and images contained in Towards Command are copyright of the individual
photographers.
All photos and images contained in Towards Command were photographed or

created by Grant Frost except for;
• Failures After Pushback cover photo of a B747-400 on pushback – Darren

McPherson.
• AOG & Extensive Delays At Outports photo of a B747-400 during cargo unloading –
Darren McPherson.
• AOG & Extensive Delays At Outports cover photo of the B777-300ER fan blades –
Colin Parker.
• FTL cover photo of the sunset tail of a B777 – Colin Parker.
If you would like to contribute high quality photos for consideration in future versions of Towards Command
contact the Towards Command Editor, by GroupWise or by email towardscommand@cathaypacific.com.

Rule One:
No matter what else happens,
fly the aircraft.

Changes And Amendments
From Ver si on 1.0 (30 Apri l 2009) to Versi on 1.1 (20 June 2009)
Preface
• Revised Version 1.1 dated 20 June 2009 added.
Contents
• Changes And Amendments page added to list of contents.
Acknowledgements
• Revised date 20 June 2009 added.
Introduction
• Minor grammatical and editorial changes.
How To Use Towards Command
• How to determine the current Version Number and date of publication of Towards Command added.
The Differences Between Captain And F/O
• Table removed.
• Major portions of the Chapter extensively rewritten.
• Picture removed.
Command Skills Core Competencies
• Quote changed to “The Lumberjacks”.
Leadership
• Chapter Cover photo changed.
• Photo removed.
• Quote changed to Lao-tsu Leadership.
Problem Solving & Decision Making
• Minor additions, grammatical and editorial changes.
Situational Awareness
Threat and Error Management
• Added quotation at the end of the Putting It All Together section.
• New reference in Resources, Kai Talk Issue 2 – June 2009 LOSA Special, added.
Recovery From Unplanned Events & Outcomes
• Two images of cards added to The Role Of “Luck” section.
Knowledge based Skills
• Page added to reflect that the entire, six Knowledge Based Skills chapters will issued later.
Command Course Overview

Stress & Your Command Course
The Command Jigsaw Puzzle
• Minor additions, grammatical and editorial changes.
Command Resources – Further Reading And Study Material
• New reference, Kai Talk Issue 2 – June 2009 LOSA Special, added.
Command Preparation
Photo Credits
• “Rule One” quote added.

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The 2 Rules Of

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And don’t forget it!

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Command Skills (Core Competencies).......................................................... 25

Knowledge Based Skills .................................................................................... 129

General Command Requirements ................................................................ 183

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You achieve your goal one step at a time,

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Captain Jack Frost – Towards Command Editor 20 June 2009.

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Th e trick is to fill th e bag o f experience

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Command Course – Flying Phase Course Book

General Layout Of Towards Command

Main Sections Of Towards Command

Command Skills ( Core Competencies)

Knowledge Base d Skills

General C ommand Re quirements

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Towards Command Feedback Hyperlinks

Scenario Based Learning

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Suggestions For Scenarios In Towards Command

Your Current First Officer Operation

Think Like A Captain

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A Captain (the Leader):

Another description might be:

Only suitable applicants need apply.

Desire is the key to motivation, but it is

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Commander’s Authority and Responsibilities

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Command Skills – Core Competencies

Prob lem Solving an d Decision Making

Task and Workload Manage ment

Threat and Error Management

Recovery Fro m Un planned Events and Outcomes

Core Competencies describe the intellectual Command Skills required to safely

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Don’t lose sight of the Big Picture.

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Leaders Are Made, Not Born

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Leader Attributes Manager Attributes

You manage things; you Lead people. (Grace Hopper)

Managers have subordinates – Leaders have followers. (Murray Johannsen)

Authority and Respect

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