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.