Doc 10151 - ICAO

1 Approved by and published under the authority of the Secretary GeneralINTERNATIONAL CIVIL AVIATION ORGANIZATIONDoc 10151 Manual on Human Performance (HP)for RegulatorsFirst Edition (Advance unedited), 2021 DisclaimerThis document is an unedited version of an ICAO publication and has not yet been approved in final form. As its content may still be supplemented, removed, or otherwise modified during the editing process, ICAO shall not be responsible whatsoever for any costs or liabilities incurred as a result of its by and published under the authority of the Secretary GeneralINTERNATIONAL CIVIL AVIATION ORGANIZATIONDoc 10151 Manual on Human Performance (HP)for RegulatorsFirst Edition (Advance unedited), 2021 DisclaimerThis document is an unedited version of an ICAO publication and has not yet been approved in final form.

2 As its content may still be supplemented, removed, or otherwise modified during the editing process, ICAO shall not be responsible whatsoever for any costs or liabilities incurred as a result of its use. Published in separate English, Arabic, Chinese, French, Russian and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 Robert-Bourassa Boulevard, Montr al, Quebec, Canada H3C 5H7 For ordering information and for a complete listing of sales agents and booksellers, please go to the ICAO website at First Edition (advance unedited) 2021 ICAO Doc 10151 , Human Performance (HP) Manual for Regulators Order Number: xxxxx ISBN [TBD] ICAO 2021 All rights reserved.

3 No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, without prior permission in writing from the International Civil Aviation Organization. (i) AMENDMENTS Amendments are announced in the supplements to the Products and Services Catalogue; the Catalogue and its supplements are available on the ICAO website at The space below is provided to keep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA AMENDMENTS CORRIGENDA No. Date Entered by No. Date Entered by (ii) From ICAO Assembly Resolutions in Force (as of 4 October 2019) (Doc 10041), A40-4: Appendix O: Human performance Whereas the aims and objectives of ICAO as laid down by the Chicago Convention provide for fostering the development of international air transport.

4 So as to .. promote safety of flight in international air navigation ; Whereas it is recognized that human performance, as influenced by physiological and cognitive capabilities and constraints, contributes significantly to the overall safety performance of the aviation system; Whereas it is recognized that the safety and efficiency benefits associated with new technologies, systems and procedures can only be realized when they are designed to enhance the performance of the individuals who use them; and Whereas it is recognized that implementation of the future aviation systems will result in changes in roles for aviation professionals requiring work across multi-disciplinary teams to support collaborative decision-making; The Assembly resolves that: 1.

5 Member States ensure the integration of human performance considerations in the planning, design, and implementation of new technologies, systems and processes as part of a safety management approach; 2. Member States promote and facilitate the integration of human performance elements within competency-based training programmes throughout the career of a professional; and 3. Member States include strategies which promote safe, consistent, efficient and effective operational performance of the individual and across teams of individuals to address safety priorities.

6 (iii) TABLE OF CONTENTS ACRONYMS .. iv FOREWORD .. v Purpose of this Manual .. v Structure of this Manual .. vi PART 1. UNDERSTANDING HP .. 1-1 Human Performance, Human Factors or Ergonomics? .. 1-2 A Human-Centred Design Process .. 1-4 Examples of Using the HCD Process .. 1-8 Systems Thinking .. 1-10 HP Principles .. 1-12 PART 2. HP IMPLICATIONS FOR REGULATORY ACTIVITIES .. 2-1 Collecting and Analyzing Data .. 2-2 Sources and Types of Data .. 2-3 HP Taxonomies .. 2-4 In-Depth Analysis of a Single Occurrence .. 2-6 Analysis of Aggregated Data.

7 2-9 Developing Regulatory Material .. 2-10 Evaluating, Accepting and Approving .. 2-11 Equipment .. 2-11 Organizations, Management Systems, Processes and Procedures .. 2-18 Personnel Training and Licensing .. 2-25 Providing Ongoing Surveillance .. 2-33 Safety Reporting Systems .. 2-34 Safety Risk Assessment .. 2-35 Safety Investigations .. 2-36 (iv) Fatigue 2-36 Training Activities .. 2-37 Management of Change .. 2-38 Promoting Safety .. 2-41 APPENDIX A. REFERENCES ..A-1 APPENDIX B. HP WEBLINKS .. B-1 ACRONYMS ASBU Aviation system block upgrades ATC Air traffic control ATO Approved training organization ATS Air traffic services CE Critical elements CRM Crew resource management FRMS Fatigue risk management systems GANP Global Air Navigation Plan HCD Human centred design HF Human factors HP Human performance HPP Human performance principle ICAO International Civil Aviation Organization SARPs ICAO Standards and Recommended Practices SMS Safety management system SSP State Safety Programme TEM Threat and error management TRM Team resource

8 Management UAS Unmanned aircraft system (v) FOREWORD PURPOSE OF THI S MA NUAL This manual highlights the importance of integrating human performance (HP) considerations in the development of ICAO Standards and Recommended Practices (SARPs) and in States associated regulatory activities. It supports regulators to make it easy for people in the aviation system to do the right thing and avoid negative safety consequences. Regulators do this through the development of appropriate regulatory material, through evaluating, accepting and approving, and through the continued surveillance of how service providers1 meet these regulatory requirements.

9 This manual addresses HP considerations in all these regulatory activities. This manual also provides guidance to regulators on HP considerations necessary to meet their obligations under the Convention on International Civil Aviation2 and the ICAO Annex 19 Safety Management SARPs for the establishment of a State Safety Programme (SSP). It illustrates how HP considerations are embedded in key oversight responsibilities and activities that are included in an SSP. It does not, however, attempt to comprehensively address all aspects of safety oversight, nor all aspects of HP.

10 For instance, this manual does not discuss in any detail issues of physical or mental health, nor questions of individuals fitness for duty. Nor does the manual focus on HP issues for specific types of aviation personnel. Instead, it takes a system s perspective on human performance, and it brings to focus the human contribution to the global aviation system. It is not the purpose of this manual to make every regulator an HP expert, but to enable all regulatory personnel to recognize HP considerations in their daily work activities, including in their own internal organization, and to know when the help of a qualified and experienced HP professional should be sought.