ICAO: Human Factors documents » ICAO: Human factors guidelines for safety audits manual
ICAO published in 2002, the Doc 9806 AN/763 "Human factors guidelines for safety audits manual"1. This manual provides the ICAO Universal Safety Oversight Audit Programme (USOAP) auditors and Contracting States with standard procedures for the conduct of safety oversight audits, with respect to those factors dealing with human performance. Although a relatively old publication, the main ideas that are addressed in the manual currently remain relevant and used by ICAO Safety Oversight Auditors when conducting USOAP Audits to contracting states. Described below is a synopsis of the contents in the manual.
The introduction chapter of the Doc 9806 contains the background information of USOAP, its relationship to human factors and purpose of the human factors guidelines for safety audits manual.
Chapter 2. Basic Concepts in Human Factors
The Chapter 2 contains fundamental human factors concepts, a brief description of the SHELL framework, and an introduction to Reason's (1990)2 error classification system. Because error is an integral part of all human endeavours, eliminating it is an unachievable objective. However, a model was presented which is useful to the safety auditor in assessing how to control and manage human errors.
Appendix 1 to Chapter 2 contains a brief discussion of some of the more common factors affecting human performance. These factors create the operating context where personnel commit errors.
Appendix 2 to Chapter 2 contains information on Crew Resource Management (CRM) and its practical corollary Line-Oriented Flight Training (LOFT).
Chapter 3. Organizational and Management Factors
3.1.2.-3.1.53. Management and organizational factors are key concepts in system safety and understanding it essential for ICAO safety oversight auditors.
The Chapter 3 also contains information on Basics of system safety, Safe and unsafe organizations and Management’s contribution to safety.
For detailed information on this please visit ICAO: human factors, management and organization.
Appendix 1 to Chapter 3 contains brief description on Safety Culture and specific guidelines to the Safety oversight auditor how audited State is promoting an effective safety culture.
Appendix 2 to Chapter 3 contains brief description on Standard Operating Procedures (SOPs), Checklists and Crew Briefings.
Chapter 4. Cultural Factors in Aviation
4.3.1 Three levels of culture have been differentiated in this chapter:
• national culture, which represents the shared components of national;
• professional culture, which differentiates the behaviour and characteristics of particular professional groups; and
• organizational culture, which differentiates the behaviour and values of particular organizations1.
Chapter 5. Human Factors and the Auditor
This chapter contains challenges that can face the ICAO safety auditor, hence the auditor also human being, “such as
• Dealing with bias
• Working with cultural perceptions
• The multicultural audit team
• Personal stress”1.
Successful auditors will learn to appreciate how these factors affect their personal performance and that of the audit team. Self-awareness is the foundation for effective audits.
Chapter 6. Human Factors in Aircraft Maintenance
This chapter contains information on Human Factors in Aircraft Maintenance and the indicators that the ICAO airworthiness safety auditor might watch for regarding the demonstrated commitment of the civil aviation authority to improving Human Factors performance in Maintenance Organizations.
Chapter 7. Human Factors in Air Traffic Services
This chapter contains information on Human Factors in CNS/ATM Systems and the indicators that the ICAO safety oversight auditor might watch for regarding the regulator’s and management’s commitment to improving Human Factors performance in ATS.
Chapter 8. Accident and Incident Investigation
Chapter 9. Aerodromes
Chapter 10. Auditing Human Factors Standards and Recommended Practices (SARPs)
This chapter provides the ICAO Safety auditor with additional guidance material and instructions to assist auditing the implementation of SARPs, as well as safety practices relating to Human Factors.
Want to know more?
- ICAO's Doc 9806. Human factors guidelines for safety audits manual
- You can access the whole document online as "Doc 9806 AN/763. Human factors guidelines for safety audits manual". ICAO (Montreal, Canada), 2002.