Doc 9806. Edition 1
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Human Factors Guidelines for Safety Audits Manual
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International Civil Aviation OrganizationApproved by the Secretary Generaland published under his authorityHuman FactorsGuidelines forSafety Audits ManualFirst Edition 2002Doc 9806AN/763
AMENDMENTSThe issue of amendments is announced regularly in the ICAO Journal and in themonthly Supplement to the Catalogue of ICAO Publications and Audio-visualTraining Aids, which holders of this publication should consult. The space belowis provided to keep a record of such amendments.RECORD OF AMENDMENTS AND CORRIGENDAAMENDMENTSCORRIGENDANo.DateapplicableDateenteredEnteredbyNo.Dateof issueDateenteredEnteredbyii
iiiFOREWORDThe safety of civil aviation is the major objective of theInternational Civil Aviation Organization ICAO. Con-siderable progress has been made in increasing safety, butadditional improvements are needed and can be achieved. Ithas long been known that the majority of aviation accidentsand incidents result from less than optimum human per-formance, indicating that any advance in this field can beexpected to have a significant impact on the improvementof aviation safety.This was recognized by the ICAO Assembly, which in 1986adopted Resolution A26-9 on Flight Safety and HumanFactors. As a follow-up to the Assembly Resolution, theAir Navigation Commission formulated the followingobjective for the taskTo improve safety in aviation by making States moreaware and responsive to the importance of HumanFactors in civil aviation operations through the pro-vision of practical Human Factors material andmeasures, developed on the basis of experience inStates, and by developing and recommending appro-priate amendments to existing material in Annexes andother documents with regard to the role of HumanFactors in the present and future operational environ-ments. Special emphasis will be directed to the HumanFactors issues that may influence the design, transitionand in-service use of the future ICAO CNS/ATMsystems.One of the methods chosen to implement AssemblyResolution A26-9 is the publication of guidance materials,including manuals and a series of digests, that addressvarious aspects of Human Factors and its impact onaviation safety. These documents are intended primarily foruse by States to increase the awareness of their personnel ofthe influence of human performance on safety.The target audience of Human Factors manuals and digestsincludes the managers of both civil aviation administrationsand the airline industry including airline safety, trainingand operational managers, regulatory bodies, safety andinvestigation agencies and training establishments, as wellas senior and middle non-operational airline management.This manual provides the ICAO Universal Safety OversightAudit Programme auditors and Contracting States withstandard procedures for the conduct of safety oversightaudits, with respect to those factors dealing with humanperformance. The manual includesan introduction to aviation Human Factors to assistin better understanding some of the fundamentalconcepts upon which the SARPs and industry-wide,safety-related practices are basedpractical guidance regarding means of compliancewith ICAOs Human Factors-related SARPs andindustry-wide, safety-related practices specific guidance material for the auditors inparticular specialities andan examination of some of the Human Factorsaffecting the performance of the auditor, includingcross-cultural issues.This manual is intended as a living document and will bekept up to date by periodic amendments as experience isgained during safety oversight audits.
vTABLE OF CONTENTSPagePageChapter 1.Introduction . . . . . . . . . . . . . . . . . . .1-11.1Background to the ICAO Universal Safety Oversight Audit Programme . . . .1-11.2Relationship to Human Factors. . . . . . . .1-21.3Purpose of the Human Factors Guidelines for Safety Audits Manual. . . . . . . . . . . . .1-31.4Using the Human Factors Guidelines for Safety Audits Manual. . . . . . . . . . . . .1-4References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-4Chapter 2.Basic Concepts in Human Factors.1-22.1Introduction . . . . . . . . . . . . . . . . . . . . . . .2-12.2The meaning of Human Factors . . . . . . .2-12.3A conceptual model of Human Factors .2-32.4Human error. . . . . . . . . . . . . . . . . . . . . . .2-52.5Summary . . . . . . . . . . . . . . . . . . . . . . . . .2-7References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8Appendix 1 to Chapter 2.Factors affecting human performance . . . . . . . . . . . . . . . . . . . . . .2-9Appendix 2 to Chapter 2.Crew resource management CRM and line-orientedflight training LOFT . . . . . . . . . . . . . . . . . . . .2-16Chapter 3.Organizational and management factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-13.1Introduction . . . . . . . . . . . . . . . . . . . . . . .3-13.2Basics of system safety. . . . . . . . . . . . . .3-13.3Safe and unsafe organizations. . . . . . . . .3-63.4Managements contribution to safety . . .3-103.5Summary . . . . . . . . . . . . . . . . . . . . . . . . .3-13References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-14Appendix 1 to Chapter 3. Safety culture. . . . . .3-15Appendix 2 to Chapter 3. Standard operating procedures SOPs, checklists and crewbriefings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-19Chapter 4.Cultural factors in aviation. . . . . . .4-14.1Introduction . . . . . . . . . . . . . . . . . . . . . . .4-14.2Cultural differences . . . . . . . . . . . . . . . . .4-24.3Culture at three levels . . . . . . . . . . . . . . .4-54.4More on corporate culture. . . . . . . . . . . .4-74.5Communicating across cultural barriers .4-94.6ICAO culture versus client culture . . . . .4-114.7Summary . . . . . . . . . . . . . . . . . . . . . . . . .4-11References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-12Chapter 5.Human Factors and the auditor. . .5-15.1Introduction . . . . . . . . . . . . . . . . . . . . . . .5-15.2Challenge What you see is not always what you get. . . . . . . . . . . . . . . . . . . . . .5-15.3Challenge Dealing with bias . . . . . . . . .5-25.4Challenge Working with culturalperceptions. . . . . . . . . . . . . . . . . . . . . . . .5-35.5Challenge Language. . . . . . . . . . . . . . . .5-45.6Challenge Emotions . . . . . . . . . . . . . . . .5-55.7Challenge the multicultural audit team .5-55.8Challenge The relationship with the State5-55.9Challenge Effective findings and recommendations. . . . . . . . . . . . . . . . . . .5-65.10Challenge Personal stress. . . . . . . . . . . .5-75.11Summary . . . . . . . . . . . . . . . . . . . . . . . . .5-8References . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8Appendix 1 to Chapter 5. Tips for crossing the language barrier . . . . . . . . . . . . . . . . . . . . . .5-9Chapter 6.Human Factors in aircraft maintenance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-16.1Introduction . . . . . . . . . . . . . . . . . . . . . . .6-16.2Contemporary maintenance problems. . .6-26.3Representative examples of maintenance occurrences. . . . . . . . . . . . . . . . . . . . . . . .6-36.4Common issues affecting human performance in aircraft maintenance. . . .6-46.5Managing maintenance errors. . . . . . . . .6-96.6Maintenance safety culture . . . . . . . . . . .6-106.7Summary . . . . . . . . . . . . . . . . . . . . . . . . .6-10References . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-11Appendix 1 to Chapter 6. Maintenance error decision aid MEDA. . . . . . . . . . . . . . . . . . . . .6-12Chapter 7.Human Factors in air traffic services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-17.1Introduction . . . . . . . . . . . . . . . . . . . . . . .7-17.2ATC in aviation accidents. . . . . . . . . . . .7-27.3Errors and ATC . . . . . . . . . . . . . . . . . . . .7-27.4Common issues affecting human performance in ATC . . . . . . . . . . . . . . . .7-37.5Selection and training of controllers. . . .7-87.6Future changes affecting ATC. . . . . . . . .7-9
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Annex 6. Part 3. Edition 11. Operation of Aircraft. Part III. International Operations. HelicoptersAnnex 10. Vol 1. Edition 8. Aeronautical Telecommunications. Volume I. Radio Navigation AidsAnnex 11. Edition 15. Air Traffic ServicesAnnex 13. Edition 13. Aircraft Accident and Incident InvestigationAnnex 14. Vol 2. Edition 5. Aerodromes. Volume II. HeliportsDoc 8168. Vol 1. Edition 6. Aircraft Operations. Volume I. Flight ProceduresDoc 7192. Part 6. Edition 1. Training Manual Part F-1. Meteorology for Air Traffic Controllers and PilotsDoc 9683. Edition 1. Human Factors Training ManualDoc 9735. Edition 4. Universal Safety Oversight Audit Programme Continuous Monitoring ManualDoc 9814. Annual Report of the Council - 2002 umentation for the Session of the Assembly in 2004Doc 9842. Programme Budget of the Organization 2005-2006-2007Doc 10000. Edition 1. Manual on Flight Data Analysis Programmes (FDAP)Doc 10000. Edition 2. Manual on Flight Data Analysis Programmes (FDAP)Doc 10206. Edition 1. Manual on Aircraft Accident and Incident Investigation TrainingCircular 298. Edition 1. Training Guidelines for Aircraft Accident InvestigatorsCircular 300. Edition 1. Human Factors Digest No. 15 - Human Factors in Cabin SafetyCircular 302. Edition 1. Human Factors Digest No. 16 - Cross-Cultural Factors in Aviation SafetyВСЕ ДОКУМЕНТЫALL DOCUMENTSDoc 9806Индивидуальный Бандл № 18082022
Table Of Contents
COVER PAGE
AMENDMENTS
FOREWORD
TABLE OF CONTENTS
Chapter 1
Chapter 2
Chapter 3
Chapter 4
Chapter 5
Chapter 6
Chapter 7
Chapter 8
Chapter 9
Chapter 10