Appendix 1 to Chapter 4

HUMAN FACTORS CHECKLISTS

The sample checklis& which form this Appendix are based a n checkiiss used by rhree different I C A O States. Although
each checklist reflects a different approach to the investigation o f Human Facton, all three have the goal o f assisting the
investigator to identify the relevant factors and focus analysis on germane issues. Any one, or even all three, may be
adapted for use by the investigator.

CHECKLIST A

To detenine the relevant areas warranting further Human Q Personality, moods, character
Factors investigationianalysis. rate me importance of each
factor by indicatingthe appropriate weighting value beside each R. Memory mindsel (expectancy)
item.
S. Habit pallems
0 = Not contributory
1 =Possibly contributory T. Perceptions or illusions
2 = Probably contributory
3 = Evidence of hazard U. Bush pilot syndrome

BEHAVIOURAL FACTORS
MEDICAL FACTORS
A. Faulty planning (pre-flight, in-flight)
A Physical anriMes, conditioning
B. Haste (hurried departure, etc.) and general healtti -
C. Pressing the weathe1 6. Sensory acuity (vision, hearing,
smell, etc.)
D. boredom, inaltention, distraction
C. Fatigue -
E. Personal problems (familial.
professional, financial) D. Sleep deprivation

F. Overconfidence, excessive E. Circadian dishmrnia (jet lag)

motivation ("get-home-ilk)
F. Nutritional factors (missed meals,
G. Lack of confidence fccd poisonlng, elc) -

I. Violation of flight discipline H. Medication(s) (doctor-prescribed) -

(risk-taking) -
1. D~glalmhol
inges6on -
J. Error in judgement -
J. Altered consciousness -
K. Delay -
K. Reaction time or temporal distortions -
L. Complacency, lack of
motivation, etc. - L. Hypoxia, hyperventilation, etc. -
M. lnterpefsonal tension - M. Disbarisms, trapped gases, etc. -
N. Inadequate stress coping - N. Decompression

0. D ~ g a b u s e ' - 0. Motion sickness

P. Alcoholhangover - P. Disorientation. vedgo -

 Chapter 4. H u m factors training for safely investigawrs

Q. Visual illusions EQUIPMEKT DESIGN FACTORS

R. s e e s A. Designnocation of inshumenis,
controls
S. Hypothermiahyperlhermia
8. Lighting
T. Omer acute illnes(es)
C. Workspace inmpatibility
U. Pre-existing disease(s)
D. Anthropwneiric incompatibility

OPERATIONAL FACTORS E. Confusion of mtrols, switches, etc.

A. P e m n e l selection F. Misread insbuments

0. Limned expelience G. Visual restrictiw due to structure

C. lnadequate bansition Mning H. Task oversaturation(complex steps)

D. Leck of n?rrencl/proficiency I. Inadvertent operation

E. lnadequate knowledge of J. Cockpit standardizaiion(lack of)

AIC systems
K. Personal equipment interference
F. lnadequate knowledge of
N C life support systems L. In-flight lile support equipment

G. Company policies and pmcedures M. E f f W of autcfnation

N. Seat design/configuration

I. Command and control relationships 0. Aerodrome design and kywt

3. Company cpersting pressures P. Conspicuity of oner aircraft,

vehides etc.
K. Crew mmpatibllily

L Crew Mning (e.g. -it ENVIRONMENTAL FACTORS

resource management)
A. Wealher
M. Inadequate Right information
(AIC manuals. Right planning, etc.) 6. Alr blhulence

C. Illusions (white-att, black hole, stc.)

TASK-RELATED FACTORS
D. Visibllily resbiction (glare, etc.)
A Tasking Information (briefing, 06.) - E. Work area lighting
B. Task cwnponents (number,
duration. etc.) - F. Noise

C. WorWoad tempo G. Acceleratiddeceleration forces

D. WorWcad saturation H. Decompression

E. Supervisory surveillance of operation I. Vibrafion

F. Judgement and decision-&ng J. Heatlmld

G. Sihlational awareness K. Windblast

L. Motion (dutch dl.sna!dng, etc.)

I. Short-term memory M. Smoke, fumes in mckpit

J. False hypotheses (vs. expectancy. N. Oxygen contamination

habit, etc.)
0. CO poisoning or other
K. Cockpit reswrce management toxic chemicals
2-4-30 Human Factors Training Manual

P. Radiation C. Communications (phraseology, rate

of speech, pronunciation etc.)
Q. Electrical shock
D. Working environment (lighting,
R. Flicker vertigo noise. visibPii, etc.)

S. Air Traffic Control - E. Equlpmentldisplay layout and design

F. Judgement
INFORMATION f RANSRR FACTORS
G. Training and currency
A. Adequacy of written materials
(availability, understandability, H. Coordination and back-ups
currency, etc.)
1. Supervisory presence
5. Misinterpretationof oral
communications J. ATC polides and operating
procedures
C. Language banier
Vehicle Operators
D. Noise Interference
K. Selection and training
E. Disrupted oral communication
L. WorWng environment (noise, fatigue.
visibility. etc.)

G. Crew/ATS communication M. Command and control, supervision

H. Timaliness/accuracy of verbal Aircraft Llne-Sewicing Personnel

communications
N. Selection and training
I. Cockpit crew non-verbat
commun[cations 0. Availability of relevant information

J. Cockpit warnings, horns, chimes. etc. P. Operating pressures

K. Cockptt instrument displays1

L. Airport signals, marking

and lighting
M. Groundlhand signals A Crashworthinessof design

B. Postdccldent life support equipment

OTHER PERSONNEL FACTORS (exits,chutes, life vests, ELTs,
medical Idts, etc.)
Alr Traffic Contra1
C. Command and control procedures
A. Attention (vigilance.
forgetfulness, etc.) D. Crew trdning
8. Fatigue vs workload E. Passenger briefings and demos

3. CHECKUST BASED ON WE SHE1 MODEL

FACrORS RELAI7NG 'f0 THE Sensory Iirnhatlons

iNiXvrDuAL (LIVEWARE) Vsim
visual threshold
1. PHYSICAL FACTORS 'visual acuity (seeing details)
'focustime
Physical characteristics 'light adaptation
' helght, welght, age, sex 'peripheral vision
build. sitting height, functional 'speed, depth perception
reach, leg length,shoulder width 'emply field myopia
'strength, wrdination glasses. contacts
 Chapter 4. Humanfacrors training for safety investigarors

Others llluslons
-
auditw threshold. underslandina Vestibular

-
'vestibdar (ear senses)
Smell. touch
kinaesthetic (body feelings)
'somatcgyral (vertigo)
' somatcgravic
' the leans
' g-tolerances ' coriolis illusion
'elevator illusion
'giant hand
2. PHYSIOLOGICAL FACTORS Visual
'black hole
Nutritional factors ' autokinesis
'food intake 24 hours ' horizontal misplacement
'hours since last meal ' circulawection
dehydration ' linearvection
'on a dietheight loss 'landing illusions
'chain-link fence illusion

.
Health
dsease
'fibless
flicker vertigo
' geomehic perspective illusion

* pain
'dental conditions 3. PSYCHOLOGICAL FACTORS
blood donation Perceptions
' obesity, pregnancy Tvpes
'stress mDina lemotionaV 'non perception
behawok s&s) mlsperception
smoker 'delayed perception
Reaction tinm
Lifestyle ' to detect
' friendships ' to make an appropriate decision
relations with others 'to take the appropriate aclion
' change in ad'vities Disorientaticm
' life habits ' situational awareness
' spatial
FaUgue visual
'acute (Wlerm) 'temporal
'chnmlc ( l q lerm) 'geographic (lost)
'skill (due to task)
'aaivity level (mentaUphysical) Attention
Duh, 'attention span
'duration of Right 'inattention (general, selective)
duty hours ' distraction (internal, external)
leave periods -activities ' channelized attention
Sleep 'fascination. fixation
'crew rest nap duration 'vigilance. boredom, monotony
'sleep defidt, disruption ' habii pattern interference
'circadian disrythmia (iet lag) 'habit paUem substilulion
'time distortion
Drugs lnformatlon Processing
medication over the counter 'mental capacity
'medication -predption 'decision making (delayed, poor)
'illiit drugs 'judgment (delayed, poor)
'cigarettes, mffee. others
Alcohol
-
'memory capacity
forgesing
mrdination -timing
impairment
hangover Workload
' addid'on 'task saturation
underload
' prioritization
'carbon monoxide poisoning 'task components
hypoxidanoxia
hyperventilation Experlencdrecency
loss of cwciousness ' in position
'motion sickness 'in aircraft type, total time
' food w i m i n a 'on instruments
'on route, aerodrome
'nauseating f u k s 'night time
'toxic fumes
others ' emergency procedures
Knowledge
Decompression~diving competence
decompression skillsnechniques
'trapped gas effects ' airmanship
' undelwater diving .procedures
24-32 Human Factors Training Manual

Training ' language barrier

' readbacklheaaack
Initial
' on the job
ground Visual signals
' flight groundhand signals
' fransltion,learning transfer ' body language
recurrent
' problem areas Crew interactions
' emergemy procedures supervision
* briefings
Planning cmrdination
pie-flight compatibililylpairing
in flight ' resource management
" task assignment
Attitudesfmoods 'age, personality, experience
'mood
' motivation Controllers
= habitualjon supervision
'attitude ' briefing
'boredom " cwrdination
complacency
Epectafions Passengers
'mind s e t / a x p ~ ' behaviour
'false hypothesis 'briefing
* uget-home"itis ' knowledge of aircraft, procedures
' risk-bking
Conlidem8
'in aircraft WORKER-MANAGEMENT
' in equipment
in self Personnel
* overconfidence. showing off ' recruitment/selection
* staffing requirements
MentaVemotlonal Stab ' training
ernotimd stale policies
* anxiety ' remunerationhncentives
'apprehension * crew pairing, scheduling
'panic 'seniority
* aroud Ievellreackms 'resource allocation
self-induced mental 'operational supportlcontrd
pressurelstress 'i n ~ t ~ c n s l d i r e c t i o n d o r d e ~ ~
'managerial operating pressure
Personality
'withdrawn, grouchy, inflexible Supervision
'hostile, sarcastic, negative 'operational supe~sion
'aggressive, assertive, Impulsive quality control
'excitable, careless, fmmature 'standards
risk taker, insewre. fdtwver
* disorganized, late. messy Labour relations
anti-auhritative,reslgned employee/employee-management
'Invulnerable. 5-na&om 'I n d m adon
' uniondpmfessiona! grwp
Pressures
msntal pressure -operational
' mental pressure morale
'interpersonal conkt pear pressure
* persod loss
financial problems Regulatory agency
'significant lifestyle changes 'standards
'famiiy pressure ' regulations
'implementation
FACTORS RELATED TO iNDIY1DUAL audit
AND WEIR W O R K inspection
monitoring
' surveillance
1. UVEWARE-UVEWARE
(HUMAN-HUMAN) INTERFACE
2. LIVEWARE-HARDWARE
Oral communication (HUMAN-MACHINE) lNTERFACE
noise Interference
' misinterpretation Equipment
' phtasedogy (oparational) Switches, controls, displays
'content, rate of s~eech * ir~strumentlcontrols
design
 Chaplet 4. H u m factors training for safety inves~igators 24-33

Inshvmentlmtrds location 4. UVEWAUE-ENV1RONMEKT

fnstnrmenUmntrolsmovement (HUMAN-ENVIRONMENT) 1NTERFACE
'm b r s , markings, fllumination
confusion. staniardization INTERNAL
Workspace ' heat, wid, humidity
' workspace layout ambient pressure
'workspace standardization ' illumination, glare
'communication equipment " acceleration
' eye reference position ' noise interference
seat design ' vibrations
resttidons to movement ' air quality, poilulion, fumes
' illumination level ' ozone. radiations
motor workload
information displays EXTERNAL
" visibility restrictions
'alerting and warnings Weather
'personal equipment interference 'weather briefing, FSS faafies
[comfort) 'weather: actual and forecasts
data tink * weather visibility, ceiling
'operation of instruments 'turbufence (wind, mechanic)
(finger trouble) ' whiteout

Other factors
3. LIVEWARESOFTWARE time of day
(HUMANSYSTEM) INTERFACE ' lightingfglare
other air traffic
Written information wind blast
manuals " termintwater features obstacles
' checklists
' publications Infrastructure
* regulations Dispatch facililies
maps and charts type of facilities
' NOTAMs use
" standard operating procedures 'quality of service
'slgnage At the gate
directives APU
'towing equipment
Computers 'refudling equipment
computer software support equipment
user friendliness Aerodmrne
runwayltaxiway haracteristics
Automation markings, tighting, obstructions
operator wotkload approach aids
'monitoring task " emergency eguipment
task saturation radar facilities
'situational awareness A f C fadtities
' skill maintenance FSS. weather fadlies
utilization 'ainield faalities
Maintenance
Regulatory requirements 'support equipment
-
qualification in position availability of parts
qualification - in management 'operational standards,
certification procedures and practices
'medical certificate quality assurance practices
' licencelrating 'servicing and inspectjon
' non-compliance 'training
infraction history 'documentation requirements

CHECKLIST C -SELECTION, TRAINING AND EXPERIENCE

INTRODUCTION
The purpose of this checklist on selection, training and
experience for human factors aspects of accident investigation
is to assist the investigator during the field phase in developing
a comprehensive factual base on the pilot selection, training
and experience issues relyant to the specific accident under
investigation.
An effort has been made to present the cheddist in a generic
format so that investigators can apply it to any modality by
substituting lair traffic controller'. "mechanic', ek.,for "pilor, as
appropriate. However. since most accidents are by nature
unique and diverse, some degree of discretion will be required
to tailor the checklist to particular cases. In this way, ttle
checklist is a dynamic tool, to be modified and updatedwith use
over time.

A. SELECTION
1) When was the pilot selected for mi! position?
2) How was the pilot selected?
a) What were the required qualifications?(e.g. experience,
education, training and physiologicallmedicaI
requirements)
b) Were any examinations required? What? When taken?
c) What special licences were required?
d! Were the pilors qualifications, references and licenses
verified by hisher employer prior to selection for
employment?
3) Was specific training on this position provided to the pilot
before he was selected for it? If yes.
a) Describe the wntent of the training.
b) When was this training?
c) Who provided this training?
4) Was specific training on this position provided to the pilot
after he was selecied for it? If yes.
a) Describe its mntent.
b) When was this training given?
c) Who provided this training?
5) Where any problems ever noted with the pilot's performance
after he assumed me duties of this position? Ifyes.
a) describe the problems.
b) When were these observations made?
c) Who made these observations?
d) What a c l i w , if any, were taken to correct the pmblems?
8. PILOT EXPERIENCE
1) What other expe*nce has the pilot had using Uds specific
equiprnent?
2) What other jobs has the pilot had using other eqldpment in
this m o d a l i i
3) What is the total length of time the pilot has worked in this
modality?
4) How long has the pilot wo&ed for this specific employer?
5) How long did the pilot work for his previous employers?
6) Was the pilot's previous experience verified by hisher
current employer?
7) Has the pilot ever been involved in any other acddents in
this modality? If yes.
a) Describe the arcumslances.
b) When?
c) What equipment was in use?
Human Factors Training Manual
8) Has the pilot ever been involved in any other accidents in
other modalies? if yes.
a) Describe the circumstances.
b) When?
c) What equiprnent was in use?
9) Has the pilot ever complained about or reported any
problems related to the use of this specific equipment? If
yes.
a) Describe the nature of the complaints or repod.
b) When?
c) Were any corrective action made? By whom? When?
d) Have any other similar complaints or reports ever been
made? Provide details.
C. PILOT TRAINING
The invesiigato, shwld review (requesting copies when
applicable) training-related records, dontments, rule books,
manuals, bulletins and pilot examinations.
1) What training has the pilot receivedon the useof equipment
in this modality?
a) Describe the training: classroom? simulator? on-the-job-
training (OJT)? materials used? topics?
b) When did the pilot receive it?
c) Who were the instructors andlor supervisors?
d) How was the pilot's performance evaluated (e.g. check
ride, on the road, simulation, paper and pencil
examination)?
e) What was UE over-all evaluation of the pilot's
performance?
0 Were any proMems noted in the pilot's performance? If
yes.
- What were lhey?
- How were they noted and by whom?
- What corrective actions were taken. if any?
2) Initial lrain.org vs. follow-on training using this specific
equipment:
a) Has the pilot received training on this equipment from
more one employer? If yes.
- Wrh employer provided the initial training?
- When?
- How much emphasis was placed on:
- compliance with Standard OperaGng Procedures
(SOPS)
- rxmpliance with wles and requirements?
- use of performance evaluations (e.g. check rides.
examinations)?
 Chapter 4. flumar;facrors fraining for safety investigarors

b) How does the pilot's initial training differ from any follow- c) Is the pilot current in all areas of accident equipment
on or subsequent training in terms of the following: operation?

- Compliance with SOPs? - Describe areas lacking currency.

- Compliance with rules and reguIations? - Describe required exams, certifimtes or licenses
indicating full currency.
- Use of performance evaluations (e.g. check rides,
examinations)? d) Rate sufficiency of training on:

c) Do any of these differences appear related to !he - Emergency situations.

mishaps?
- Equipment matfunctions.
- Did the pilot violate any SOPS he had been iaught7 - Maintenance reports, complaint procedures, logs.
I f yes.

- What were they? - Crew interaction and coordination skills.

- When were tney taught? - Degradedc o n d i i (e.g. reducedvisibility, high sea
state, gusty or high winds. heavy precipitation).
- Did the pilot violate any rules or requirementshe had - Communication procedures.
been taught? If yes.

- What were they? - Physidogical requirements (e.g. issues related to

rest, health, nutrition and use of medication, drugs
- When were they taught? and alcohol).

e) If simulators or training device were used for training:

- Has the pilot ever violated any rules. requirements, or
SOPS belore? If yes. - What specific training was provided in the sirnufatof
or training device?
- What were the circumstances?
- M a t actions were taken? - What are the major similarities a d o r differences
between the simulatw or training device and the
actual equipment?
- Has the pilot received any new. recent training that
may have: - How recent was the training witf.1 the simulator or
training device?
- Interfered with his knowledge and skills in using
this equipment? - Were m y problem areas
performance?
noted in the pilofs
- Required his use of new. different SOPs under
emergency conditions? f) Did the pilot receive training specifically related to the
conditions of the mishap (e.g. wind-shear, equipment
3) Other training Issues: malfunction. specif~ctype of e m e w , specific weather
conditions)? If yes.
a) Has the pilot received any recent training for
- Transition to operation of different equipment in this
- Describe when and type.
modality7 - How did the pilot perform in mining?
- Learning different o p e r a h of similar equipment g) Was the pilot providing or receiving baining at the time
systems? of the mishap? If yes.
b) If the pilot has received any recent transition andlor - Describe the ammstances in detail.
differences training:
- Determine the qualifications of instructor(s) andor
- Describe when and type trainee(s) involved.

- Check potential interference from this training with

operation of accident equipment
- When did this training begin and how long had it
been in progress?