Airplane Flying Handbook (FAA-H-8083-3C)
Chapter 5: Maintaining Aircraft Control: Upset Prevention and Recovery
Training
Introduction
Safe pilots prevent loss of control in flight (LOC-I), which is the leading cause of fatal general aviation accidents in the U.S. and
commercial aviation worldwide. LOC-I includes any significant deviation of an aircraft from the intended flightpath and it often
results from an airplane upset. Maneuvering represents the most common phase of flight for general aviation LOC-I accidents;
however, LOC-I accidents occur in all phases of flight.
To prevent LOC-I accidents, it is important for pilots to recognize and maintain a heightened awareness of situations that increase the
risk of loss of control. Those situations include: uncoordinated flight, equipment malfunctions, pilot complacency,
distraction, turbulence, and poor risk management. Attempting to fly in instrument meteorological conditions (IMC) when the
pilot is not qualified or proficient is a common example of poor risk management. The Emergency Procedures chapter of this
handbook contains specific information regarding unintended flight into IMC. Sadly, there are also LOC-I accidents resulting from
intentional disregard for safety.
To maintain aircraft control when faced with these or other contributing factors, the pilot needs to be aware of situations where LOC-I
can occur; recognize when an airplane is approaching a stall, has stalled, or is in an upset condition; and understand and execute the
correct procedures to recover the aircraft.
Defining an Airplane Upset
The term “upset” was formally introduced by an industry work group in 2004 in the “Pilot Guide to Airplane Upset Recovery,” which
is a part of the “Airplane Upset Recovery Training Aid.” The work group was primarily focused on large transport airplanes and
sought to come up with one term to describe an “unusual attitude” or “loss of control,” for example, and to generally describe specific
parameters as part of its definition. Consistent with the Guide, the FAA considers an upset to be an event that unintentionally
exceeds the parameters normally experienced in flight or training. These parameters are:
1. Pitch attitude greater than 25°, nose up
2. Pitch attitude greater than 10°, nose down
3. Bank angle greater than 45°
4. Within the above parameters, but flying at airspeeds inappropriate for the conditions
The reference to inappropr iate airspeeds describes a number of undesired aircraf t states, including stalls. However, stalls ar e directly
related to angle of attack (AOA), not airspeed.
To develop th e crucial skills to preven t LOC-I, a pilot may receiv e academic or on-aircraf t upset prevention and recovery training
(UPRT), which should include: slow flight, stalls, spins, and unusual attitudes.
Upset training places considerable emphasis on understanding and preventing an upset, so a pilot avoids such a situation. If an upset
does occur, upset training also reinforces proper recovery techniques. A detailed discussion of UPRT follows, including core
concepts, what the training should include, and what airplanes or kinds of simulation can be used for the training. A discussion
of various maneuvers and how to execute them follows later in this chapter.
Upset Prevention and Recovery
An unusual attitude is commonly referenced as an unintended or unexpected attitude in instrument flight. These unusual attitudes are
introduced to a pilot during student pilot training as part of basic attitude instrument flying and continue to be trained and tested as
part of certification for an instrument rating, aircraft type rating, and an airline transport pilot certificate. A pilot is taught the
conditions or situations that could cause an unusual attitude, with focus on how to recognize one, and how to recover from one.
Unusual Attitudes Versus Upsets
Given the upset definition, there are a few key distinctions between an unusual attitude and an upset. An upset:
⦁ Includes stall events.
⦁ Includes overspeeds or other inappropriate speeds for a given flight condition.
⦁ Has defined parameters. For example, for training purposes an instructor could place the aircraft in a 30°
ank with a nose-up pitch attitude of 15° and ask the student to recover and that would be considered an
unusual attitude, but would not meet the upset parameters.
⦁ Centers on unintentional situations that may lead to a startle effect. For example, during unusual attitude
tr
aining, the pilot is often directed to close their eyes, and any element of surprise disappears.
The top four causal and contributing factors that have led to an upset and resulted in LOC-I accidents are:
1. Environmental factors
2. Mechanical factors
3. Human factors
4. Stall-related factors
Environmental Factors
Turbulence, or a large variation in wind velocity over a short distance, can cause upset and LOC-I. Maintain awareness of conditions
that can lead to various types of turbulence, such as clear air turbulence, mountain waves, wind shear, and thunderstorms or
microbursts. In addition to environmentally-induced turbulence, wake turbulence from other aircraft can lead to upset and LOC-I.
Icing can destroy the smooth flow of air over the airfoil and increase drag while decreasing the ability of the airfoil to create lift.
Therefore, it can significantly degrade airplane performance, resulting in a stall if not handled correctly.
Mechanical Factors
Modern airplanes and equipment are very reliable, but anomalies do occur. Some of these mechanical failures can directly cause a
departure from normal flight, such as asymmetrical flaps, malfunctioning or binding flight controls, and runaway trim.
Upsets can also occur if there is a malfunction or misuse of the autoflight system. Advanced automation may tend to mask the cause
of the anomaly. Disengaging the autopilot and the autothrottles allows the pilot to directly control the airplane and possibly eliminate
the cause of the problem. For these reasons the pilot should maintain proficiency to manually fly the airplane in all flight conditions
without the use of the autopilot/autothrottles.
Although these and other in-flight anomalies may not be preventable, knowledge of systems and AFM/POH recommended
procedures helps the pilot minimize their impact and prevent an upset. In the case of instrument failures, avoiding an upset and
subsequent LOC-I may depend on the pilot’s proficiency in the use of secondary instrumentation and partial panel operations.
Human Factors
VMC to IMC
Unfortunately, accident reports indicate that continued VFR flight from visual meteorological conditions (VMC) into marginal VMC
and IMC is a factor contributing to LOC-I. A loss of the natural horizon substantially increases the chances of encountering vertigo or
spatial disorientation, which can lead to upset.
When operating in IMC, maintain awareness of conditions.
Diversion of Attention
In addition to its direct impact, an in- flight anomaly or malfunction can also lead to an upset if it diverts the pilot’s attention from
basic airplane control responsibilities. Failing to monitor the automated systems, over-reliance on those systems, or incomplete
knowledge and experience with those systems can lead to an upset. Diversion of attention can also occur simply from the pilot ’s
efforts to set avionics or navigation equipment while flying the airplane.
Task Saturation
The margin of safety is the difference between task requirements and pilot capabilities. An upset and eventual LOC-I can occur
whenever requirements exceed capabilities. For example, an airplane upset event that requires rolling an airplane from a near-inverted
to an upright orientation may demand piloting skills beyond those learned during primary training. In another example, a fatigued
pilot who inadvertently encounters IMC at night coupled with a vacuum pump failure, or a pilot fails to engage pitot heat while flying
in IMC, could become disoriented and lose control of the airplane due to the demands of extended —and unpracticed—partial panel
flight. Additionally, unnecessary low-altitude flying and impromptu demonstrations for friends or others on the ground could lead
pilots to exceed their capabilities, with fatal results.
Sensory Overload/Deprivation
A pilot’s ability to adequately correlate warnings, annunciations, instrument indications, and other cues from the airplane d uring an
upset can be limited. Pilots faced with upset situations can be rapidly confronted with multiple or simultaneous visual, auditory, and
tactile warnings. Conversely, sometimes expected warnings are not provided when they should be; this situation can distract a pilot as
much as multiple warnings can.
The ability to separate time-critical information from distractions takes practice, experience, and knowledge of the airplane and its
systems. Cross-checks are necessary not only to corroborate other information that has been presented, but also to determine if
information might be missing or invalid. For example, a stall warning system may fail and therefore not warn a pilot of close
proximity to a stall, so other cues need to be used to avert a stall and possible LOC-I. These cues include aerodynamic buffet, loss of
roll authority, or inability to arrest a descent.
Spatial Disorientation
Spatial disorientation has been a significant factor in many airplane upset accidents. Accident data from 2008 to 2013 shows nearly
200 accidents associated with spatial disorientation with more than 70% of those being fatal. All pilots are susceptible to false sensory
illusions while flying at night or in certain weather conditions. These illusions can lead to a conflict between actual attitude
indications and what the pilot senses is the correct attitude. Disoriented pilots may not always be aware of their orientation error.
Many airplane upsets occur while the pilot is engaged in some task that takes attention away from the flight instruments or outside
references. Others perceive a conflict between bodily senses and the flight instruments, and allow the airplane to divert from the
desired flightpath because they cannot resolve the conflict.
A pilot may experience spatial disorientation or perceive the situation in one of three ways:
1. Recognized spatial disorientation: the pilot recognizes the developing upset or the upset condition and is
able to safely correct the situation.
2. Unrecognized spatial disorientation: the pilot is unaware that an upset event is developing, or has occurred,
an
d fails to make essential decisions or take any corrective action to prevent LOC-I.
3. Incapacitating spatial disorientation: the pilot is unable to affect a recovery due to some combination of:
(a) not understanding the events as they are unfolding, (b) lacking the skills required to alleviate or correct
th
e situation, or (c) exceeding psychological or physiological ability to cope with what is happening.
For detailed information regarding causal factors of spatial disorientation, refer to Aerospace Medicine Spatial Disorientation and
Aerospace Medicine Reference Collection, which provides spatial disorientation videos. The videos are available online at:
www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/cami/library/online_libraries/aerospace_medicine/sd/videos/.
Surprise and Startle Response
Surprise is an unexpected event that violates a pilot’s expectations and can affect the mental processes used to respond to the event.
Startle is an uncontrollable, automatic muscle reflex, raised heart rate, blood pressure, etc., elicited by exposure to a sudden, intense
event that violates a pilot’s expectations.
This human response to unexpected events has traditionally been underestimated or even ignored during flight training. The reality is
that untrained pilots often experience a state of surprise or a startle response to an airplane upset event. Startle may or may not lead to
surprise. Pilots can protect themselves against a debilitating surprise reaction or startle response through scenario-based training, and
in such training, instructors can incorporate realistic distractions to help provoke startle or surprise. To be effective the controlled
training scenarios should have a perception of risk or threat of consequences sufficient to elevate the pilot’s stress levels. Such
scenarios can help prepare a pilot to mitigate psychological/physiological reactions to an actual upset.
Upset Prevention and Recovery Training (UPRT)
Upsets are not intentional flight maneuvers, except in maneuver-based training; therefore, they are often unexpected. The reaction of
an inexperienced or inadequately trained pilot to an unexpected abnormal flight attitude is usually instinctive rather than intelligent
and deliberate. Such a pilot often reacts with abrupt muscular effort, which is without purpose and even hazardous in turbulent
conditions, at excessive speeds, or at low altitudes.
Without proper upset recovery training on interpretation and airplane control, the pilot can quickly aggravate an abnormal flight
attitude into a potentially fatal LOC-I accident. Consequently, UPRT is intended to focus education and training on the prevention of
upsets, and on recovering from these events if they occur. [Figure 5-1]
Figure 5- 1. Maneuvers that better prepare a pilot for understanding unusual attitudes and situations are representative of upset
training.
⦁ Upset prevention refers to pilot actions to avoid a divergence from the desired airplane state.
Awareness and prevention training serve to avoid incidents. Early recognition of an upset scenario
coupled with appropriate preventive action often can mitigate a situation that could otherwise
escalate into an LOC-I accident.
⦁ Recovery refers to pilot actions that return an airplane that is diverging in altitude, airspeed, or
attitude to a desired state from a developing or fully-developed upset. Recovery training serves to
reduce accidents as a result of an unavoidable or inadvertently-encountered upset event. The pilot
can learn to initiate a recovery to a normal flight mode immediately upon recognition of the
developing upset condition. The pilot should ensure that control inputs and power adjustments
applied to counter an upset are in direct proportion to the amount and rates of change of roll, yaw,
and pitch, or airspeed so as to avoid overstressing the airplane unless ground contact is imminent.
UPRT Training Core Concepts
Airplane upsets are by nature time-critical events; they can also place pilots in unusual and unfamiliar attitudes that sometimes require
counterintuitive control movements. Upsets have the potential to put a pilot into a life-threatening situation compounded by panic,
diminished mental capacity, and potentially incapacitating spatial disorientation. Real-world upset situations often provide very little
time to react, but exposure to such events during training can reduce surprise and mitigate confusion during an actual unexpected
upset. The goal is to equip the pilot to promptly recognize an escalating threat pattern or sensory overload and quickly identify and
correct an impending upset.
UPRT stresses that the first step is recognizing any time the airplane begins to diverge from the intended flightpath or airspeed. Pilots
need to identify and determine what, if any, action should be taken. As a general rule, any time visual cues or instrument indications
differ from basic flight maneuver expectations, the pilot should assume an upset and cross-check to confirm the attitude, instrument
error or instrument malfunction.
To achieve maximum effect, it is crucial for UPRT concepts to be conveyed accurately and in a non-threatening manner. Reinforcing
concepts through positive experiences significantly improves a pilot’s depth of understanding, retention of skills, and desire for
continued training. Also, training in a carefully structured environment allows for exposure to these events and can help the pilot react
more quickly, decisively, and calmly when the unexpected occurs during flight. However, like many other skills, the skills needed for
upset prevention and recovery are perishable and thus require continuous reinforcement through training.
UPRT in the airplane and flight simulation training device (FSTD) should be conducted in both visual and simulated instrument
conditions to allow pilots to practice recognition and recovery under both situations. UPRT should allow them to experience and
recognize some of the physiological factors related to each, such as the confusion and disorientation that can result from visual cues
in an upset event. Training that includes recovery from bank angles exceeding 90 degrees could further add to a pilot’s overall
knowledge and skills for upset recognition and recovery. For such training, additional measures should be taken to ensure the
suitability of the airplane or FSTD and that instructors are appropriately qualified.
Upset prevention and recovery training is different from aerobatic training. [Figure 5-2] In aerobatic training, the pilot knows and
expects the maneuver, so effects of startle or surprise are missing. The main goal of aerobatic training is to teach pilots how to
intentionally and precisely maneuver an aerobatic-capable airplane in three dimensions. The primary goal of UPRT is to help pilots
overcome sudden onsets of stress to avoid, prevent, and recover from unplanned excursions that could lead to LOC-I.
Figure 5-2. Some differences between aerobatic training and upset prevention and recovery training.
Comprehensive UPRT builds on three mutually supportive components: academics, airplane-based training and, typically at the
transport category type-rating training level, use of FSTDs. Each has unique benefits and limitations but, when implemented
cohesively and comprehensively throughout a pilot’s career, the components can offer maximum preparation for upset awareness,
prevention, recognition, and recovery.
Academic Material (Knowledge and Risk Management)
Academics establish the foundation for development of situational awareness, insight, knowledge, and skills. As in practical skill
development, academic preparation should move from the general to specific while emphasizing the significance of each basic
concept. Although academic preparation is crucial and does offer a level of mitigation of the LOC-I threat, long-term retention of
knowledge is best achieved when applied and correlated with practical hands-on experience.
The academic portion of UPRT should also address the prevention concepts surrounding aeronautical-decision making (ADM) and
risk management (RM), and proportional counter response.
Prevention Through ADM and Risk Management
This element of prevention routinely occurs in a time scale of minutes or hours, revolving around the concept of effective ADM and
risk management through analysis, awareness, resource management, and interrupting the error chain through basic airmanship skills
and sound judgment. For instance, imagine a situation in which a pilot assesses conditions at an airport prior to descent and
recognizes those conditions as being too severe to safely land the airplane. Using situational awareness to avert a potentially
threatening flight condition is an example of prevention of an LOC-I situation through effective risk management. Pilots should
evaluate the circumstances for each flight (including the equipment and environment), looking specifically for scenarios that may
require a higher level of risk management. These include situations that could result in low-altitude maneuvering, steep turns in the
pattern, uncoordinated flight, or increased load factors.
Another part of ADM is crew resource management (CRM) or single-pilot resource management (SRM). Both are relevant to the
UPRT environment. When available, a coordinated crew response to potential and developing upsets can provide added benefits such
as increased situational awareness, mutual support, and an improved margin of safety. Since an untrained crewmember can be the
most unpredictable element in an upset scenario, initial UPRT for crew operations should be mastered individually before being
integrated into a multi-crew, CRM environment. A crew should be able to accomplish the following:
1. Communicate and confirm the situation clearly and concisely;
2. Transfer control to the most situationally-aware crewmember;
3. Using standardized interactions, work as a team to enhance awareness, manage stress, and mitigate fear.
Prevention Through Proportional Counter-Response
In simple terms, proportional counter-response is the timely manipulation of flight controls and thrust, either as the sole pilot or crew
as the situation dictates, to manage an airplane flight attitude or flight envelope excursion that was unintended or not commanded by
the pilot.
The time-scale of this element of prevention typically occurs on the order of seconds or fractions of seconds, with the goal being the
ability to recognize a developing upset and take proportionally-appropriate avoidance actions to preclude the airplane entering a
fully-developed upset. Due to the sudden, surprising nature of this level of developing upset, there exists a high risk for panic and
overreaction to ensue and aggravate the situation.
Recovery
Last but not least, the academics portion lays the foundation for development of UPRT skills by instilling the knowledge, procedures,
and techniques required to accomplish a safe recovery. The airplane and FSTD-based training elements presented below serve to
translate the academic material into structured practice. This can start with classroom visualization of recovery procedures and
continue with repetitive skill practiced in an airplane, and then potentially further developed in the simulated environment.
In the event looking outside does not provide enough situational awareness of the airplane attitude, a pilot can use the flight
instruments to recognize and recover from an upset. To recover from nose-high and nose-low attitudes, the pilot should follow the
procedures recommended in the AFM/POH. In general, upset recovery procedures are summarized in Figure 5-3.
Figure 5-3. Upset recovery template.
Common Errors
Common errors associated with upset recoveries include the following:
1. Incorrect assessment of what kind of upset the airplane is in
2. Failure to disconnect the wing leveler or autopilot
3. Failure to unload the airplane, if necessary
4. Failure to roll in the correct direction
5. Inappropriate management of the airspeed during the recovery
Roles of FSTDs and Airplanes in UPRT
Training devices range from aviation training devices (e.g., basic and advanced) to FSTDs (e.g., flight training devices (FTD) and full
flight simulators (FFS)) and have a broad range of capabilities. While all of these devices have limitations relative to actual flight,
only the higher fidelity devices (i.e., Level C and D FFS) are a satisfactory substitution for developing UPRT skills in the actual
aircraft. Except for these higher fidelity devices, initial skill development should be accomplished in a suitable airplane, and the
accompanying training device should be used to build upon these skills. [Figure 5-4]
Figure 5-4. A Level D full-flight simulator could be used for UPRT.
Airplane-Based UPRT
Ultimately, the more realistic the training scenario, the more indelible the learning experience. Although creating a visual scene of a
110° banked attitude with the nose 30° below the horizon may not be technically difficult in a modern simulator, the learning
achieved while viewing that scene from the security of the simulator is not as complete as when viewing the same scene in
an airplane. Maximum learning is achieved when the pilot is placed in the controlled, yet adrenaline-enhanced, environment of
upsets experienced while in flight. For these reasons, airplane-based UPRT improves a pilot’s ability to overcome fear in an airplane
upset event.
However, airplane-based UPRT does have limitations. The level of upset training possible may be limited by the maneuvers approved
for the particular airplane, as well as by the flight instructor’s own UPRT capabilities. For instance, UPRT conducted in the normal
category by a typical flight instructor will necessarily be different from UPRT conducted in the aerobatic category by a flight
instructor with expertise in aerobatics.