ICAO 9806-2002 Human Factors Guidelines for Safety Audits Manual《安全性审核人为因素指引 第1版》.pdf

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13、prao, Bangkok 10901 United Kingdom. Airplan Flight Equipment Ltd. (AFE), la Ringway Trading Estate, Shadowmoss Road, Manchester M22 5LH 1 /O2 Catalogue of ICAO Publications and Audio-visual Training Aids Issued annually, the Catalogue lists all publications and audio-visual training aids currently a

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15、r networking permitted without license from IHS-,-,-Doc 9806 AN1763 Human Factors Guidelines for Safety Audits Manual Approved by the Secretary General and published under his authority First Edition - 2002 I n t e rn at i o n a I C vi I Av at i on O rg a n izat i o n Copyright International Civil A

16、viation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-AMENDMENTS The issue of amendments is announced regularly in the ICAO Journal and in the monthly Supplement to the Catalogue of ICAO Publications and Audio-v

17、isual Training Aids, which holders of this publication should consult. The space below is provided to keep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA mm (ii) Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction

18、 or networking permitted without license from IHS-,-,-FOREWORD The safety of civil aviation is the major objective of the International Civil Aviation Organization (ICAO). Con- siderable. progress has been made in increasing safety, but additional improvements are needed and can be achieved. It has

19、long been known that the majority of aviation accidents and incidents result from less than optimum human per- formance, indicating that any advance in this field can be expected to have a significant impact on the improvement of aviation safety. This was recognized by the ICAO Assembly, which in 19

20、86 adopted Resolution A26-9 on Flight Safety and Human Factors. As a follow-up to the Assembly Resolution, the Air Navigation Commission formulated the following objective for the task: “To improve safety in aviation by making States more aware and responsive to the importance of Human Factors in ci

21、vil aviation operations through the pro- vision of practical Human Factors material and measures, developed on the basis of experience in States, and by developing and recommending appro- priate amendments to existing material in Annexes and other documents with regard to the role of Human Factors i

22、n the present and future operational environ- ments. Special emphasis will be directed to the Human Factors issues that may influence the design, transition and in-service use of the future ICAO CNS/ATM systems.” One of the methods chosen to implement Assembly Resolution A26-9 is the publication of

23、guidance materials, including manuals and a series of digests, that address various aspects of Human Factors and its impact on aviation safety. These documents are intended primarily for use by States to increase the awareness of their personnel of the influence of human performance on safety. The t

24、arget audience of Human Factors manuais and digests includes the managers of both civil aviation administrations and the airline industry (including airline safety, training and operational managers), regulatory bodies, safety and investigation agencies and training establishments, as well as senior

25、 and middle non-operational airline management. This manual provides the ICAO Universal Safety Oversight Audit Programme auditors and Contracting States with standard procedures for the conduct of safety oversight audits, with respect to those factors dealing with human performance. The manual inclu

26、des: an introduction to aviation Human Factors to assist in better understanding some of the fundamental concepts upon which the SARPs and industry-wide, safety-related practices are based; practical guidance regarding means of compliance with ICAOs Human Factors-related SAWS and industry-wide, safe

27、ty-related practices; specific guidance material for the auditors in particular specialities; and an examination of some of the Human Factors affecting the performance of the auditor, including cross-cultural issues. This manual is intended as a living document and will be kept up to date by periodi

28、c amendments as experience is gained during safety oversight audits. (iii) Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-TABLE OF CONTENTS Chapter 1.1 1.2 1.3 I . 4 1 . Int

29、roduction . Background to the ICAO Universal Safety Oversight Audit Programme Relationship to Human Factors . for Safety Audits Manual . for Safety Audits Manual . mirpose of the Human Factors Guidelines Using the Human Factors Guidelines References Chapter 2 . Basic Concepts in Human Factors . 2.1

30、Introduction . 2.2 2.3 A conceptual model of Human Factors . 2.4 Human error . 2.5 Summary . References Appendix 1 to Chapter 2 . human performance Appendix 2 to Chapter 2 . management (CRM) and line-oriented The meaning of Human Factors . Factors affecting Crew resource flight training (LOFT) . Cha

31、pter 3 . factors 3.1 Introduction . 3.2 Basics of system safety 3.3 Safe and unsafe organizations . 3.4 Managements contribution to s 3.5 Summary . References Appendix 1 to Chapter 3 . Safety culture Appendix 2 to Chapter 3 . Standard operating procedures (SOPS). checklists and crew briefings . Chap

32、ter 4 . Cultural factors in aviation . 4.1 Introduction 4.2 Cultural differenc 4.3 Culture at three levels . 4.4 More on corporate culture 4.5 Communicating across cultural barriers . 4.6 ICAO culture versus client culture . 4.7 Summary . References . Organizational and management Page 1-1 1-1 1-2 1

33、-3 1-4 1-4 1-2 2- 1 2- 1 2-3 2-5 2-7 2-8 2-9 2-16 3-1 3- 1 3- 1 3-6 3-10 3-13 3-14 3-15 3-19 4-1 4- 1 4-2 4-5 4-7 4-9 4-11 4-11 4-12 Chapter 5 . Human Factors and the auditor . 5.1 Introduction 5.2 what you get! 5.3 Challenge: Dealing with bias . 5.4 Challenge: Working with cultural petcep tions 5.5

34、 Challenge: Language 5.6 Challenge: Emotions Challenge: What you see is not always 5.7 5.8 5.9 Challenge: Effective findings and Challenge: the multicultural audit team . Challenge: The relationship with the State recommendations . 5.10 Challenge: Personal stress 5.11 Summary . References . Appendix

35、 1 to Chapter 5 . Tips for crossing the language barrier Chapter 6 . Human Factors in aircraft maintenance . 6.1 Introduction . 6.3 Representative examples of maintenance occurrences 6.4 Common issues affecting human ,6.2 Contemporary maintenance problems . performance in aircraft maintenance 6.6 Ma

36、intenance safety culture . References . Appendix i to Chapter 6 . Maintenance error 6.5 Managing maintenance errors . 6.7 Summary . decision aid (MEDA) . Chapter 7 . Human Factors in air traffic services . 7.1 Introduction . 7.2 ATC in aviation accidents 7.3 Errors and ATC 7.4 Common issues affectin

37、g human 7.5 7.6 performance in ATC Future changes affecting ATC . Selection and training of controllers Page 5-1 5-1 5-1 5-2 5-3 5-4 5-5 5-5 5-5 5-6 5-7 5-8 5-8 5-9 6-1 6-1 6-2 6-3 6-4 6-9 6-10 6-10 6-11 6-12 7-1 7-1 7-2 7-2 7-3 7-8 7-9 Copyright International Civil Aviation Organization Provided by

38、 IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-(vi) Human Factors Guidelines for Safety Audits Manual Page Page 7.7 Summary . References. . 7-10 7-10 Chapter 8. Accident and incident investigation . 8-1 Chapter 9. Aerodromes 9-1 Chapter

39、 10. Auditing Human Factors Standards and Recommended Practices (SAWS). 10-1 10.1 Introduction . 10-1 10.2 Annex 1 - Personnel Licencing 10.2.1 Introduction. . 10-3 10.2.2 10.2.3 Airline transport pilot licence and Training. 10-3 performance knowledge 10-4 Pilots licences - Basic human (ATPL) - Huma

40、n performance Skills . 10-7 10.2.4 Pilots - Instrument rating. . 10-8 10.2.5 Flight instructor rating . 10-9 10.2.6 Aircraft maintenance technician licence - Air traffic controller licence - Knowledge requirement 10-10 knowledge requirement. 10- 11 10.2.7 10.2.8 Flight operations officer/flight disp

41、atcher licence - knowledge requirement. 10- 13 10.2.9 Aeronautical stations operator licence - knowledge requirement 1 O- 14 10.3 Annex 6 - Operation of Aircraft. . 1 O- 15 10.3.1 Introduction . 10-15 10.3.2 Operator training programmes . 10-16 10.3.3 Operator flight crew training programmes - Knowl

42、edge and skills related to human performance . 1 O- 17 10.3.4 Flight crew training programmes - Human performance skills . 1 O- 18 10.3.5 Flight crew training programmes pilots - crew resource management (CRM) training. . 10-20 10.3.6 Flight crew training programmes pilots - line oriented flight tra

43、ining . 10-23 pilots - use of automation . 10-24 10.3.7 Flight crew training programmes 10.3.8 Training programmes cabin crew - human performance knowledge. 10-26 10.3.9 Flight operations officers/flight dispatchers - knowledge and skills in human performance . . 10-28 10.3.10 Documents 10-29 10.3.1

44、 1 Aircraft operating manuals. . 10-31 10.3.12 Checklists . 10-32 10.3.13 Accident prevention and flight safety programme. 10-33 10.4 Annexes 6 and 8 - Airworthiness of Aircraft. 10-35 10.4.1 Introduction. . 10-35 10.4.3 Maintenance manuals. 10-37 10.4.4 Maintenance training programmes . 10-39 10.4.

45、2 Maintenance programme . 10-36 10.5 Annex 1 1 - Air traffic services. 10-40 10.6 Annex 13 - Accident and incident investigation . 10-40 10.7 Annex 14 - Aerodromes 10-40 Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networ

46、king permitted without license from IHS-,-,-Chapter 1 INTRODUCTION 1.1 BACKGROUND TO THE ICAO UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME 1.1.1 Air transport remains the safest mode of transportation. However, after years of substantial declines, trends in accidents rates have shown signs of levellin

47、g off. Unless appropriate measures are taken to reduce accident rates, the anticipated global growth in air traffic will result in more accidents. The public derives little comfort from “stable accident rates”. Every accident, regardless where it occurs, now has an impact well beyond local and natio

48、nal communities through real-time news coverage provided by the electronic media. I. 1.2 Globalization, privatization of government services, liberalization of economic regulation, increasing environmental controls and the emergence of new tech- nologies all have significant implications for safety

49、and security. Fundamentally, governments cannot divest them- selves of the responsibility of ensuring the optimum level of safety, security and efficiency of civil aviation at the inter- national level. At the same time, addressing these issues effectively will require an unprecedented level of cooper- ation among States and a corresponding level of