Aviation Instructor's Handbook (FAA-H-8083-9)
Chapter 10: Teaching Practical Ri sk Management during Flight Instruction
Introduction
Examination of accident data leads to the inevitable conclusion that many aviation accidents involve poor risk management decisions.
Therefore, effective risk management is one of the most important skills a pilot needs to learn, understand, and practice as a habit.
Since flight instructors continually deal with risk, they quickly become subject matter experts.
Instructors know to increase the scope of risk management while teaching. For example, risk management during flight
instruction includes a consideration of the dangers from maneuvers performed incorrectly by the learner close to the ground, in
addition to all the other risks associated with the flight.
Chapter 1, Risk Management and Single-Pilot Resource Management, discussed the foundations of effective risk management, as
well as other critical skills that are a part of single-pilot resource management (SRM). Flight instructors, however, may want
additional practical guidance on teaching risk management to pilots of various experience levels and applying risk management to
instructional flights. This chapter provides such practical guidance.
Poor Risk Management and Accident Causality
Traditional Accident Investigation Taxonomy
Aviation accidents are investigated by both the National Transportation Safety Board (NTSB) and the Federal Aviation
Administration (FAA). The role of the NTSB is to determine the probable cause of accidents and make recommendations, while th e
FAA seeks to determine if the accident revealed deficiencies in pilot training, aircraft certification, air traffic control or another area
of FAA responsibility. The two government entities are often assisted by other interested parties, such as aircraft and/or engine
manufacturers, in an effort to determine the facts.
The NTSB role can be illustrated by looking at a typical accident report. [ Figure 10-1] While this accident occurred several decades
ago and the pilot had LORAN navigation, the lack of risk assessment by the pilot is typical. Pilots have confronted the same type of
scenario and many have repeated similar behavior when faced with a significant and potentially lethal hazard.
Figure 10-1. NTSB Accident Report.
Key findings of the NTSB final report of the Mooney accident, highlighted in yellow, emphasized the pilot's loss of control of the
aircraft and inadequate in-flight planning. These facts accurately described the final events of the flight leading to the loss of control.
In fact, conventional accident analysis classifies accidents such as this one as pilot error due to loss of control.
Risk Analysis Using the PAVE Checklist
The NTSB report on the Mooney accident reviews the accident facts to arrive at its probable-cause finding. Yet, there is more to learn
about the root causality of the accident by examining the pilot’s reaction to events during the flight using the PAVE acronym from
Chapter 1.
The pilot knew about the vacuum pump failure and the instrument meteorological conditions (IMC) ahead of him. The faulty
equipment generated an aircraft, or "A" hazard and IMC generated an environment or “V” hazard. The combination of those two
hazards created an unacceptable risk once the pilot decided to penetrate the weather. In addition, it is possible that the pi lot’s desire to
get to his destination created an external pressure, or “E” hazard. Finally, the pilot’s assumption that he could control the aircraft with
critical instruments inoperative created a pilot, or “P” hazard. The risk assessment matrix [Figure 10-2], indicates
catastrophic consequences were possible from loss of control in IMC, and the likelihood of loss of control after a vacuum pump
failure, was at least occasional or even probable. Thus, the overall risk presented was high or red and needed mitigation of some kind.
Figure 10-2. This risk matrix can be used for almost any operation by assigning likelihood and severity. In the case presented, the
likelihood of occasional and the severity as catastrophic falls in the high-risk area.
The pilot’s most effective mitigation may have been to divert and land while still in visual meteorological conditions (VMC). Why
was the pilot unable to practice effective risk management on this flight? Lack of risk management training may have created an
inability to cope with a difficult situation.
Instructors have a role and a responsibility to help pilots obtain the necessary risk management training and to adopt a safety culture
that embraces risk management and mitigation of risk. The instructor’s role in risk management should be incorporated at all levels of
training, from a new pilot with little experience to a multi-thousand-hour pilot taking recurrent training.
When to Teach Risk Management
The importance of risk management suggests that it should be taught at the very start of flight training and should be integrated into
any actual flight training, rather than taught as a separate subject. However, it will be even more effective if the learner receives
ground instruction on this topic prior to the first flight lesson. This preliminary instruction should also be part of any f ormal ground
school.
Risk management activity and discussion should be included in all preflight and postflight briefings. Learners should be encouraged
to participate and even lead such discussions as their experience increases.
Risk management training should no t b e confined to in itial training. Recurren t, transition, fligh t reviews, instrumen t proficiency
checks, and other training and currency events should also include risk management.
Identifying Risk
As described in Chapter 1, the PAVE checklist is an effective and accepted means for identifying risk. Its four categories capture
broad areas of risk and provide the learner with convenient “buckets” for risk identification. Instructors should coach learners, as
required, to ensure they use the PAVE checklist methodically and consider all the sub- elements in each bucket. For example, the “P”
applies to both the learner pilot and the instructor pilot, and has two major sub-elements. The first includes pilot qualification,
currency and proficiency. The second "P" sub-element covers aeromedical hazards and risks and, as described in Chapter 1, the
acronym IMSAFE can be used to identify those hazards and risks.
Instructors should identify common hazards that generate flight risks. The PAVE checklist can be used to analyze each hazard for its
level of risk. For example, the instructor can show that certain weather hazards are almost always “red” and create a need for
mitigation when encountered. Examples include a solid line of thunderstorms ahead, or IMC before takeoff if the pilot is not
instrument rated and current or the aircraft is not suitably IFR equipped.
The instructor should emphasize that risk can be effectively managed, and learners should acquire the necessary skills to accomplish
this. In many cases, learners will be professionals who are used to managing risk in their workplace, although the hazards may be very
different. Instructors should acknowledge the learner’s expertise in those areas. The instructor should involve the learner in aviation
risk management decisions.
Assessing Risk
In some ways, risk assessment is the most difficult part of the risk management process. Assessing risk severity (consequences) and
likelihood (probability) can be subjective during flight operations. In other aviation applications, such as aircraft certification, the
likelihood of an event is calculated mathematically, and consequences are also precisely defined. Nevertheless, risk assessment
accuracy can improve with practice and experience.
Instructors should initially lead learners through the assessment phase of each risk identified and provide examples that will help the
learner gain confidence in risk assessment. For example, the instructor could suggest an event with a low but generally fixed
likelihood, such as an engine failure after takeoff. The learner should consider the outcomes from various responses to that event.
A review of the outcomes identifies the severity for the risk matrix.
Mitigating Risk
As explained in Chapter 1, risk mitigation is the “payoff” for the risk management process. Effective risk mitigation may allow for a
proposed flight to begin or an ongoing flight to continue. However, this is not always the case, and the pilot should be pre pared to
delay or terminate any flight.
Instructors should teach that the risk management process begins days or even weeks before a specific flight. Early in the process, if a
pilot identifies a risk that cannot be easily mitigated, such as a forecast weather system with widespread icing conditions, then the
pilot can transfer the risk by getting an airline ticket. Alternatively, if the flight’s purpose is just recreational, then the pilot can
eliminate the risk by cancelling the flight. Other examples of risk elimination include not flying if the crosswind exceeds a limit or not
practicing stalls if the ceiling is below a set value.
Whenever a flight is contemplated, the process to mitigate each identified risk assessed as high (red) or serious (yellow) can begin.
Instructors should emphasize to learners that medium (green) risks may be mitigated, if possible, following the principle of not
accepting unnecessary risk.
Instructors should emphasize that even though risk management may begin days before a flight, it continues into the immediate pre-
flight planning and throughout the flight itself. Instructors can plan to introduce scenarios in-flight that simulate hazards and ask the
learner to practice how to identify, assess, and mitigate.
The final step in risk mitigation is to consider whether or not to accept the remaining risk. A pilot accomplishes this step consciously
and on behalf of any passengers. During flight instruction, the instructor mitigates the risk associated with a learner's actions by
operating at a safe altitude and by guarding the controls. The instructor consciously accepts the risk that remains. Although the
mitigation process completes, the instructor is vigilant for any hazard that needs consideration.
The acronym TEAM describes the steps in the mitigation process. TEAM represents transfer, eliminate, accept, and mitigate. These
steps describe actions pilots take to deal with risk appropriately. During flight instruction, the instructor takes steps to ensure safety
through risk mitigation and then operates with lower risk when the learner flies. Note that an unprepared learner constitutes a serious
hazard. Prudent risk mitigation includes using a syllabus, providing quality ground instruction, and conducting a thorough briefing
before each training flight.
Risk Management Tools
The risk management process is largely intuitive, but as with many new concepts, it can be daunting to the learner, especially at the
beginning of training. Accordingly, the instructor should use available tools to simplify or make the process more orderly an d
effective.
The TEAM acronym and the risk assessment matrix discussed previously should be considered as primary tools for teaching risk
management. Learners should be encouraged to use these simple tools as a basis for conducting risk management during and afte r
their flight training.
On many flights, the risk management process can be more complex, and a mor e sophisticated risk management tool is needed . As
discussed in Chapter 1, a flight risk assessment tool (FRAT) can serve this purpose.
There are a variety of FRATs available from various sources. Many of these FRATs have numerical scoring systems. A fixed list of
hazards and associated risks are presented and assigned “scores” based on the severity of the hazard. Typically, if the total score is
below a certain number, the pilot can begin the flight. If the score is above a certain number then some sort of mitigating action is
required.
Numerical FRATs should be used with caution. A low score can still have one or more hazards and associated risks that, if not
properly mitigated, can create unacceptable levels of risk. This can happen because a risk on a particular flight is not included in the
FRAT’s list, or there is only one risk, but it is extreme. As an example, a line of embedded thunderstorms may block your route. If
that is the only item identified as a risk then the “score” may suggest a “go” decision without requiring mitigation.
Risk Management Teaching Techniques by Phase of Instruction
Instructors should teach risk management using a building block approach. This method will be effective with both new pilots as well
as existing pilots who have not previously been exposed to formal risk management training.
Risk Management Training through the Private Pilot Level
A new learner’s exposure to risk management should begin before the first flight and become part of a routine that
continues throughout initial training. Instructors should emphasize both practical risk management techniques and skills needed to
comply with the Airman Certification Standards (ACS).
Pre-Solo
Instructor-led and guided risk management training should occur during pre-solo instruction. Risk management should be part of
every preflight and postflight brief. To assist in structuring the risk management process, the learner should be introduced to a non-
numerical FRAT, and its use should be demonstrated by the instructor during the first few flights. By the first solo, the learner should
be able to conduct a basic risk management analysis.
Post-Solo Prior to Cross-Country Training
During the initial solo and dual flights following the first solo, the learner should be able to perform a risk analysis of the planned
flight, with occasional coaching from the instructor. The instructor should review the learner’s risk analysis for all solo flights and
provide any required feedback. At the completion of solo flights, the learner should de-brief the instructor on the risk management
aspects of the flight.
Cross-Country Training
During the cross-country phase of training, learners should master risk management techniques commensurate with the complexity of
flights and the terrain along the route to the destination(s). This could include, for a private certificate, flights at night, flights in
complex airspace, or to unfamiliar airports. Instructors should ask the learner to accomplish a full risk analysis for every dual and solo
cross-country flight. The process should include use of a FRAT or other method of analysis. The instructor should review and
approve the risk analysis, just as would be done for other aspects of the learner’s preflight preparation and calculations.
Risk Management Training for Experienced Pilots
Risk management is not a task confined solely to the initial training environment. Instructors should ensure that risk management is
part of all training events for all certificated pilots. This is especially important for pilots who have not been exposed to risk
management standards now contained in the ACS.
Instrument Training
Risk management training is vital during instruction for the instrument rating because of the potential hazards related to IMC.
Instructors should emphasize broad risk management techniques and strategies that will allow a pilot to analyze and evaluate complex
weather and other elements that generate risk. For example, an instructor might suggest that a pilot consider the risk management
aspects of flight in:
⦁ single-engine aircraft or over terrain higher than the single-engine service ceiling of a multiengine aircraft
⦁ aircraft with a single alternator or a single radio and navigation system
⦁ night conditions
⦁ low IMC
⦁ icing conditions or at altitudes above the freezing level
Transition Training
Pilots transitioning to more advanced aircraft will encounter additional types of risk associated with such aircraft. These include more
complex systems and avionics, enhanced performance, and expanded abnormal and emergency procedures. Pilots transitioning to
lighter, slower aircraft will also encounter additional risk due to less performance capability than the pilot has come to expect.
Before teaching in advanced aircraft, instructors should ensure that they have familiarity with the aircraft and equipment. Instructors
should employ scenarios that emphasize risk management aspects of operating advanced aircraft in the National Airspace System. In
addition to risk management, other SRM skills such as automation management, task and workload management, and maintaining
situational awareness should be emphasized. In most instances, the pilot seeking training will be instrument rated and the instructor
should evaluate the pilot’s risk management and other SRM proficiency under an IFR scenario.
Recurrent Training, Flight Reviews, and Instrument Proficiency Checks
Instructors should particularly emphasize risk management during any kind of recurrent training or proficiency event. Many pilots
who held certificates prior to the introduction of the ACS may not have been exposed to formal risk management training or
evaluation.
Instructors should consider using scenarios to evaluate pilot risk management proficiency. The scenario should be constructed in a
way that mirrors the pilot’s typical operating profile. However, if the pilot plans to change that operating profile, the instructor should
discuss or evaluate the pilot’s ability to address any potential new risk management issues. For example, a pilot usually operates
flights between rural airports in Class E airspace, but is soon planning to begin flying regularly to a location in Class B airspace. In
this case, the instructor should address the operating requirements, such as Mode “C” and ADS-B, and the environmental risk factors
related to Class B operation.
Risk Management during Operational Flights
Pilots who are already certificated conduct most of their flights without an instructor present. As an instructor, you should encourage
them to practice effective risk management on all their flights.
Realistically, pilots will not always follow the risk management procedures discussed in this chapter. Instructors should encourage
pilots to scale their risk management procedures to match the complexity of the flight. For example, for a local flight, it is acceptable
to use an abbreviated risk management protocol using the PAVE acronym to briefly review the major elements of potential risk.
However, for longer or more complex flights it may be desirable to complete a FRAT. A key objective for instructors is to provide
risk management guidance that will allow pilots to think of risk management intuitively, as a part of the preparation for every flight
and continuously while the flight progresses.