Exam review
The six HUM topics the instructor named in the review class, first and in full, then the rest of the HUM syllabus in short, in one place and made to print. The HUM part of the exam has nine questions. Every part keeps the wording of its lesson, and a line under it names that lesson for the detail.
Each section shows its syllabus level, the depth the course asks for: 1 know it (state, list, define), 2 explain it (explain, describe, differentiate), 3 apply it (decode, calculate, appreciate). The levels come from the EU training rules, Regulation (EU) 2015/340, and every level is exam material.
The Swiss cheese model
On latent safety issues. James Reason’s model, as ICAO’s Safety Management Manual, Doc 9859, draws it.
Syllabus level 2explain itHUMB 1.1.3
| Slice | What it is |
|---|---|
| Organisation | Management decisions and organisational processes |
| Workplace | Working conditions |
| People | Errors and violations |
| Defences | Technology, training, regulations |
Each slice is a defence, and every defence has holes. An accident gets through only where the holes line up.
Latent conditions. Also called latent failures. In the system well before any damaging outcome, and they may lie dormant for a long time. Created by people far removed in time and space from the event: poor equipment or procedural design, conflicting organisational goals, management decisions, a lack of safety culture.
Active failures. Actions or inactions, including errors and violations, with an immediate adverse effect. Mostly at the front line: pilots, air traffic controllers, engineers.
From HUM 001, Introduction to human factors.
Slips, lapses and mistakes
Human error is simply a deviation from intention. Slips and lapses are unintentional. Mistakes are unintentional too: the action was intended, but the plan was wrong from the start.
Syllabus level 2explain itHUMB 4.1.1, 4.2.1, 4.2.4
Error. “The term error will be applied to all those occasions in which a planned sequence of mental or physical activities fails to achieve its desired goal without the intervention of some chance agency.” Reason, 2013. A plan stopped by a chance event from outside, such as lightning, is not an error.
| Type | What it is |
|---|---|
| SlipUnintentional | An incorrect action. The plan is good; the action is not according to plan. An attentional failure: an error of execution, minor or serious.ICAO’s example: operating the flap lever instead of the gear lever. |
| LapseUnintentional | An action forgotten. The plan is good; a step is left out. A memory failure: distracted, a task is not completed, or a step is omitted while performing it.ICAO’s example: forgetting a checklist item. |
| MistakeUnintentional | The plan is not correct for reaching the goal: a failure in the plan of action. Even if the plan were carried out correctly, the intended outcome could not be achieved. Rule-based: application of bad rules, or misapplication of a good rule. Knowledge-based: decision-making based on an incomplete evaluation of the situation.For example: in a situation no procedure covers, a FISO decides on an incomplete evaluation of it and carries the plan out exactly. The plan was wrong: a knowledge-based mistake. |
Which type is it? Was a rule, procedure or norm broken on purpose? Yes: a violation. If not, was the plan correct for reaching the goal? No: a mistake. If it was, the action did not go to plan: an incorrect action is a slip, an action forgotten a lapse.
From HUM 002, Human error (what an error is, the four error types, which type is it?, two kinds of mistake).
Violations
Intentional action, or inaction, against known rules, procedures or norms. Four kinds.
Syllabus level 2explain itHUMB 4.2.3, 4.2.4
| Kind | For example |
|---|---|
| Corner-cuttingor routine violations | Every shift, a FISO leaves out one step of the handover, as everyone at the unit does, to save time. |
| Thrill-seekingor optimising violations | On a quiet shift, a FISO drops standard phraseology with a pilot, because it is more exciting than the routine. |
| Necessaryviolations, also called situational | A procedure needs a piece of equipment that has failed, so a FISO works round the procedure to get the job done. |
| Exceptionalviolations, under exceptional conditions | In an emergency no procedure foresaw, a FISO breaks a rule once, to help the aircraft in trouble. |
Slips, lapses and mistakes are unintentional, violations intentional. A violation is a deliberate violation of a rule, procedure or norm.
The mental economics of violating. As the one breaking a rule sees it, the perceived benefits (an easier way of working, saves time, more exciting) are immediate, and the perceived costs (possible accident, injury to self or others, damage) are remote from experience, so the scales tip towards breaking it. Increasing the benefits of compliance is therefore essential. Battmann and Klumb, 1993.
From HUM 002, Human error (violations, the mental economics of violating).
Performance levels and GEMS
Three levels of cognitive functions, after Jens Rasmussen, 1983. GEMS, the Generic Error-Modelling System (James Reason, 1990), places each error type on one of them.
Syllabus level 2explain itHUMB 4.2.1, 4.2.2
| Performance level | What it is like | Error type, by GEMS |
|---|---|---|
| Errors of execution | ||
| Skill-basedBased on routine | Learned routine skills in normal, well-known situations. The action becomes completely automatic. | Slips: attentional failures. Lapses: memory failures. |
| Failures in the plan of action | ||
| Rule-basedBased on rules | Professional rules are put to use to reach a result. The task is done well, but it takes thought and focus. | Rule-based mistakes: application of bad rules, or misapplication of a good rule. |
| Knowledge-basedBased on knowledge | The most attention-consuming level: a completely new situation, met with theoretical knowledge about it. | Knowledge-based mistakes: decision-making based on an incomplete evaluation of the situation. |
The two kinds of mistake, rule-based and knowledge-based, are named after the two upper levels.
From HUM 002, Human error (performance levels, GEMS, two kinds of mistake).
Effects of fatigue on actions and mind
Nine things fatigue does to a controller, grouped here by what they act on: actions, the mind and the body.
Syllabus level 2explain itHUMB 2.2.2, 2.2.3
Fatigue. A physiological state of reduced mental or physical performance capability resulting from sleep loss, extended wakefulness, circadian phase, and/or workload (mental and/or physical activity) that can impair a person’s alertness and ability to perform safety-related operational duties. ICAO Annex 11.
| On | The effects |
|---|---|
| Actions | Increased reaction time; sacrificing routine tasks; reduced or ineffective communication; micro sleeps. |
| Mind | Reduced attention (lapses); diminished memory; reduced motivation; withdrawn mood. |
| Body | Health: weakened immune system. |
The same nine are the effects of lack of personal fitness in HUM 007.
From HUM 004, Stress and fatigue (what fatigue is, effects of fatigue), and HUM 007, Fitness for duty.
FIRO and team formation
Two models of how a team forms. Side by side, Schutz’s three needs come in the order of Tuckman’s first three stages.
Syllabus level 2explain itHUMB 5.1.5
FIRO. Fundamental Interpersonal Relations Orientation: Will Schutz, 1958.
Tuckman’s model. Bruce Tuckman, 1965.
| Step | FIRO need | Tuckman’s stage |
|---|---|---|
| 1 | Inclusion In or out? | Forming Getting to know each other |
| 2 | Control Who decides? | Storming Conflict over roles and control |
| 3 | Openness How close? First called affection. | Norming Agreeing how to work |
| 4 | – | Performing Working at its best |
From HUM 005, Teamwork and team roles.
Human factors and safety
Human factors, human performance and safety, each as ICAO puts it, and why people do what they do.
Syllabus level 1know itHUMB 1.1.1, 1.1.2
Human factors. “Human factors is concerned with the application of what we know about human beings, their abilities, characteristics and limitations, to the design of equipment they use, environments in which they function and jobs they perform.” ICAO.
Human performance. “Human performance refers to how people perform their tasks.” ICAO. The human part of system performance.
Safety. “The state in which risks associated with aviation activities, related to, or in direct support of the operation of aircraft, are reduced and controlled to an acceptable level.” ICAO Annex 19. Not zero risk: an acceptable level.
The local rationality principle. “People are doing reasonable things given their point of view and focus of attention; their knowledge of the situation; their objectives and the objectives of the larger organization they work for.” Dekker, 2006.
From HUM 001, Introduction to human factors.
More on human error
Error categorisation, the conditions in which errors are more likely, and the picture every decision is made on.
Syllabus level 2explain itHUMB 4.2.2
Errors of omission. A person fails to carry out a required task.
Errors of commission. A person carries out a task incorrectly, or does something that is not required.
Error-prone conditions in ATM. Light to moderate traffic conditions and complexity; a controller’s first 15 minutes on position; a controller with less than six years of experience.
Mental models. The picture in your head of how things work and what is going on right now. Controllers call theirs “the picture”. Built from training and experience, and from the display, the strips and the radio; used to understand, predict and decide; updated as new information comes in.
When the picture is wrong. Incomplete, out of date, or expected, not seen. A reasonable decision on a wrong picture is still wrong.
Situational awareness. “Loss of situational awareness” is nonsensical: there is no cognitive vacuum. People always have a picture, which may be incomplete, or even wrong, compared with what you know in hindsight. Decisions follow the local rationality principle.
Information requirement. Quantitative information, such as speed, rate of climb or descent and flight level, is on the display. Qualitative information (reliability, validity, trustworthiness) is not usually displayed. The experienced operator learns to recognise and adjust to information of poor quality.
From HUM 002, Human error (omission and commission, error-prone conditions in ATM, mental models, situational awareness, information requirement).
Communication
A message leaves the transmitter encoded and reaches the receiver decoded, and barriers push against it on the way.
Syllabus level 3apply itHUMB 6.1.1, 6.1.3, 6.1.4, 6.2.1, 6.2.2
The communication model. The transmitter encodes the message and sends it; the receiver decodes it. Each end runs the message through its own emotion, personality, attitude and experience.
Barriers. Age; gender; seniority; noise and static; lack of credibility; multiple communications; body language; bad listening and expectancy; culture and prejudice (bias); fatigue and stress; language and jargon; distractions and load capacity; incomplete messages and dubious wording.
| Kind | What it is | For example |
|---|---|---|
| Verbal | In words, spoken or written | Clearances, information and instructions; coordination with colleagues; writing on strips; writing memos; and more. |
| Non-verbal | Everything but the words | Body language; tone of voice; strip placement on the flight progress board; visual signals; hand movements; and more. |
What you perceive. Body 60%, voice 30%, words 10%, according to communication experts; Albert Mehrabian’s own figures, 1971, are 55%, 38% and 7%. On the radio there is no body to see, so the voice and the words carry it all.
Good communication in RTF. Standard phraseology; the ICAO alphabet; split up long messages; good rate of speech; tone of voice; radio discipline; read-back; active listening.
Hearing and listening. Hearing that someone is talking, against listening to what is actually being said. We call it: to listen actively.
Active listening. Focus must be on the one who is sending the message, not upon your reply. If you only focus upon your answer, you will prevent active listening.
You must listen to what is actually being said, not just hear that someone is talking.
From HUM 003, Communication.
Stress, and what affects fatigue
It starts with a demand. Stress is what the mind and the body do about it.
Syllabus level 2explain itHUMB 2.2.1, 2.2.3, 2.2.4
| Stress | Fatigue | |
|---|---|---|
| What it is | A nonspecific reaction of the mind and/or body to a demand. | An extreme form of tiredness, often described as exhaustion. |
| How long | Acute or chronic. | Acute or chronic. |
| What causes it | Novelty; unpredictability; threat to self-confidence; threat to control. | Sleep loss; extended wakefulness; circadian phase; workload, mental or physical. |
The stress curve. Performance rises with stress to a point, then falls away. No stress at all (underload) isn’t necessarily a good thing. Moderate stress (optimum) goes a long way, if it is manageable, motivational and performance enhancing. Intense stress (overload) can lead to fight, flight or freeze.
The stages of stress. Resistance over time. After a baseline of good health: alarm, resistance and exhaustion.
The stress cycle. Source, the cause: stressors. Effect: stress impact on performance and health. Signal: recognisable signs and symptoms of stress. Coping: the response adopted to reduce the effects of stress.
Stressors in ATM. Work environment; work time; work organisation; operating procedures; work tools; demand.
What affects fatigue. Each can make it better or worse: circadian rhythms and sleep patterns; shift work and scheduling the shift; bedtime routines and napping; relaxation; light, noise, music, books, television and the internet; caffeine, alcohol and nicotine; emotions and balancing life; food, diet and medications; exercise and break-time stretches; the ride home after a shift.
From HUM 004, Stress and fatigue.
Teamwork
What makes a team effective, the signs that it is not, a good leader, and differences between people. How a team forms is in FIRO and team formation, above.
Syllabus level 2explain itHUMB 3.1.2, 5.1.5
An effective team. Clear objectives and agreed goals; openness and confrontation; cooperation and conflict resolution; sound intergroup relations; individual development; appropriate leadership; regular review; sound procedures; support and trust.
Lack of teamwork. High turnover and more transfer requests; avoidance approach to potential conflict; absence of new ideas and creativity; people not developing; a lack of courage to report or voice problems; unhealthy competition and lack of trust; warring cliques or subgroups; domination by leadership.
A good leader. Can motivate and inspire; has awareness of self and others; learns from mistakes; optimistic and proactive; courage to change; intervenes when needed.
Differences and commonalities. Cultural, linguistic, political, religious, personality, gender, values and more. When people are different from each other, smooth collaboration and teamwork can seem slightly challenging at best, impossible at worst.
Avoiding conflict. Let go of the “need to be right”; curiously approach other people who are different to you; invite and engage people in a healthy debate and exchange; look for the common purpose; discuss and agree on some basic principles; figure out what each person is best at; communication.
Differences mean diversity. Diversity should be seen as a strength.
From HUM 005, Teamwork and team roles.
Safety culture and professional conduct
How to behave responsibly at work, the attitudes that help and the six to recognise, and what a safety culture is.
Syllabus level 2explain itHUMB 3.1.3, 3.1.4, 3.1.5, 3.2.1, 3.2.2, 3.2.3
Responsible behaviour. Follow regulatory requirements and workplace procedures; know adjacent sectors/units and attend operational meetings; file reports to identify potential gaps; contribute to the development of good practice; go on study visits; communicate and contribute to good teamwork; show positive attitudes.
Positive attitudes. Optimism, openness and honesty. They foster self and team discipline and trust among team members, and increase personal and team confidence.
| Attitude | What it is |
|---|---|
| Anti-authority“Don’t tell me what to do!” | Some people have a problem with being told what to do. |
| Impulsiveness“I don’t need to think about that!” | An impulsive person acts without thinking or analysing a situation. |
| Invulnerability“It could never happen to me!” | The belief that nothing can go wrong or that you are immune to harm. |
| Machismo“I’m in charge!” | Being overly assertive and domineering; feeling the need to prove oneself or to impress others. |
| Resignation“Nothing else can be done!” | Some people feel that nothing more can be done to improve a situation. |
| Complacency/overconfidence“We don’t need to worry!” | Can be associated with boredom and attitudes of machismo and invulnerability. Novices are at risk because they do not understand risks; experts because of overconfidence. |
A safety culture. Four parts, along one path: just culture, no blame culture, reporting culture, learning culture.
Just culture. Front-line operators and others are not punished for actions, omissions or decisions that match their experience and training. Gross negligence, wilful violations and destructive acts are not tolerated. Regulation (EU) No 376/2014.
What it looks like. Teamwork; just, reporting and learning; involvement; responsibility; commitment; communication and trust.
The safety culture ladder. Pathological, reactive, calculative, proactive, generative: from “We don’t care as long as we don’t get caught” to “Safety is how we do business”. Patrick Hudson’s ladder, after Ron Westrum.
From HUM 006, Safety culture and professional conduct.
Fitness for duty
Being fit for work means being physically and mentally rested.
Syllabus level 2explain itHUMB 2.1.1, 2.1.2, 2.1.3, 2.1.4, 2.3.2, 2.3.3
Fit for duty. Medically fit; rested for duty; free from psychoactive substances such as alcohol or drugs.
Strategies for medical fitness. A healthy lifestyle, for example a healthy diet, sleeping, physical activities and mental activities.
Signs of lack of personal fitness. Less ability to deal with stress; anxiety and depression; fatigue throughout the day, not sleeping properly; eating more food, comfort eating; tension headaches; gut problems; cardiovascular issues; knee, back and other pain issues; less attention and focus, restless mind, irritability and low mood.
Effects of lack of personal fitness. The same nine as the effects of fatigue, above.
Problematic use of psychoactive substances. The use of one or more psychoactive substances by aviation personnel or an individual, in a way that constitutes a direct hazard to the user or endangers the lives, health, or welfare of others, and/or causes or worsens an occupational, social, mental or physical problem or disorder. ICAO and EASA.
Testing programmes. Hair, urine, breath and blood. Failure to pass the test can result in your licence being revoked.
Provisional inability. The licence holder is under the influence of psychoactive substances; unfit to perform the duties due to injury, fatigue, sickness, stress, including critical incident stress or other similar causes; or not meeting all competence-related requirements set out in the unit competence scheme. It is temporary; for suspension and revocation, see LAW 011.
From HUM 007, Fitness for duty.