Risk Management Handbook (FAA-H-8083-2A)
Risk Identification, Assessment, and Mitigation ............................................................................................... C-4
Appendix D: Risk Management Exercises
Four Scenarios.................................................................................................................................................... D-1
Scenario 1: Recreational Aviation .................................................................................................................... D-1
Scenario 2: Turboprop-Powered, Personal Transportation ............................................................................. D-2
Scenario 3: Turbine Helicopter ........................................................................................................................ D-2
Scenario 4: Turbojet-Powered Airplane ...........................................................................................................D-3
Glossary ...............................................................................................................................................................G-1
Index ...................................................................................................................................................................... I-1
Risk Management Handbook (FAA-H-8083-2A)
Introduction
Pilots experience the joy of taking an aircraft and passengers on flights that are visually pleasing and productive. However, most
pilots also know people who have had accidents or died while flying.
By following the principles discussed in this handbook, pilots can:
• Make safety of flight their top priority.
• Fly with confidence.
• Enjoy each trip to the fullest extent possible.
Safety Management Systems in Aviation
This Risk Management Handbook focuses on the individual and not on safety management systems (SMS). SMS addresses
risk management from an organizational perspective as an ongoing activity. Interested persons may obtain information about
SMS here.
Accident Causality & Responsibility
Both the National Transportation Safety Board (NTSB) and the Federal Aviation Administration (FAA) investigate aviation
accidents. The NTSB determines the probable cause(s) of accidents and makes recommendations, while the FAA determines
if accidents reveal deficiencies in pilot training, aircraft certification, air traffic control, or other areas of FAA responsibility.
During accident investigations, the two government entities usually receive assistance from other interested parties, such as
aircraft manufacturers and operators.
A review of the following accident report illustrates the role of the NTSB. The sidebar in Figure 1-1 is an excerpt from an NTSB
final report of a fatal accident involving a single-engine airplane with a reciprocating engine.
Figure 1-1. Sample NTSB final report.
Key findings of the NTSB aviation accident final report, highlighted above in yellow, emphasize the pilot's inadequate in-flight
planning/decision to continue flight into known adverse weather conditions after the engine’s dry air vacuum pump failed and
Chapter 1: Introduction to Risk Management
Risk Management Handbook (FAA-H-8083-2A)
the pilot’s failure to maintain airplane control during approach. The NTSB report, available here, also contains information
about this pilot’s decision-making and risk management.
Many incidents and accidents occur as a result of poor risk management. The following accident review illustrates the importance
of risk-based decision-making, as a means to prevent a negative outcome.
Risk Management Analysis Using the PAVE Checklist
The accident described above contains risk factors included in the PA VE checklist. As shown in Figure 1-2, the acronym
“PA VE” represents hazards that relate to the pilot, the aircraft, the environment, and external pressures. The sample analysis
below describes how PA VE items may relate to the accident.
A pilot must continually make decisions about competency,
condition of health, mental and emotional state, level of
fatigue, and many other variables. For example, a pilot may
be called early in the morning to make a long flight. If a pilot
has had only a few hours of sleep and is concerned that the
sinus congestion being experienced could be the onset of a
cold, it would be prudent to consider if the flight could be
accomplished safely.
A pilot had only 4 hours of sleep the night before
being asked by the boss to fly to a meeting in a city
750 miles away. The reported weather was marginal
and not expected to improve. After assessing fitness
as a pilot, it was decided that it would not be wise to
make the flight. The boss was initially unhappy, but
was later convinced by the pilot that the risks
involved were unacceptable.
Pilot
The environment encompasses many elements that are not
pilot or airplane related, including such factors as weather,
air traffic control (ATC), navigational aids (NAVAIDS), terrain,
takeoff and landing areas, and surrounding obstacles. Weather
is one element that can change drastically over time and
distance.
A pilot was landing a small airplane
just after a heavy jet had departed
a parallel runway. The pilot
assumed that wake turbulence
would not be a problem since
landings had been performed under
similar circumstances. Due to a
combination of prevailing winds
and wake turbulence from the
heavy jet drifting across the landing
runway, the airplane made a hard
landing. The pilot made an error
when assessing the flight
environment.
Environment
A pilot frequently bases decisions on evaluation of the
airplane, such as performance, equipment, or airworthiness.
During a preflight, a pilot noticed a small amount of oil dripping
from the bottom of the cowling. Although the quantity of oil
seemed insignificant at the time, the pilot decided to delay the
takeoff and have a mechanic check the source of the oil.
The pilot’s good judgment was confirmed when the mechanic
found that one of the oil cooler hose fittings was loose.
Aircraft
The interaction between the pilot, airplane, and the
environment is greatly influenced by the purpose of each
flight operation. The pilot must evaluate the three previous
areas to decide on the desirability of undertaking or continuing
the flight as planned. It is worth asking why the flight is being
made, how critical it is to maintain the schedule, and if the
trip is worth the risks.
On a ferry flight to deliver an airplane from the factory, the pilot
calculated the groundspeed and determined he would arrive at
the destination with only 10 minutes of fuel remaining. A check
of the weather revealed he would be flying into marginal
weather conditions. By asking himself whether it was more
critical to maintain the schedule or to arrive with an intact
aircraft, the pilot decided to schedule a refuel stop even though
it would mean he would not be able to keep to the schedule.
He chose not to “stretch” the fuel supply in marginal weather
conditions which could have resulted in an emergency landing.
External Pressures
Figure 1-2. The P AVE checklist.
The pilot reported to air traffic control (ATC) that the vacuum pump failed while in visual meteorological conditions (VMC).
As a result, the attitude indicator and directional gyro became inoperative. Rather than divert to an airport while in VMC, the
pilot decided to continue toward the destination and into instrument meteorological conditions ( IMC). This elevated the risks
associated with an “A” hazard because of the inoperative instruments and a “V” hazard because of the IMC. After the vacuum
Risk Management Handbook (FAA-H-8083-2A)
pump failure, the pilot communicated with ATC that IMC would not be a problem, which may indicate a hazardous attitude or
“P” hazard. It is unknown if an external pressure or “E” hazard factored in the pilot’s apparent desire to get to the destination.
In this case, the pilot had the opportunity to change the outcome of the flight by diverting to an airport while still in VMC. Several
reasons explain why pilots do not make appropriate decisions. Pilot error often results from an over-estimate of capability, a
lack of preparation for flight, or a failure to prioritize safety. Varying levels of risk tolerance, or even intentional disregard of
risk, may be a factor.
Risk management training includes a variety of measures that change the way pilots perceive and deal with hazards both before
and during a flight. This handbook will emphasize using risk management as a process to avoid situations and decisions that
might lead to an aircraft accident.
Chapter Summary
Poor risk management is a cause of many accidents. Accordingly, pilots should emphasize risk management in all types of
operations, from recreational flying to using aircraft for business.
Risk Management Handbook (FAA-H-8083-2A)
Introduction
Federal regulations that apply to aviation do not cover every situation nor do they guarantee safety. For example, a pilot may
legally fly in marginal VFR conditions at night even though low visibility and night hazards increase the risk for an incident or
accident. Therefore, pilots should consider non-mandatory self-regulation in the form of personal minimums.
Personal Minimums
Pilots who understand the difference between what is “smart” or “safe” based on pilot experience and proficiency establish
personal minimums that are more restrictive than the regulatory requirements. The following six steps allow pilots to establish
a set of personal minimums in order to reduce risk and fly with greater confidence.
Step 1—Review Weather Flight Categories
Establishing personal minimums normally begins with weather, and pilots should know the range of ceiling and visibility that
defines each category. [Figure 2-1]
Visual Flight Rules
VFR
Marginal Visual Flight Rules
MVFR
Instrument Flight Rules
IFR
Low Instrument Flight Rules
LIFR
Category
Ceiling Visibility
and/or
and/or
and/or
andGreater than 3,000 feet AGL
1,000 to 3,000 feet AGL
500 to below 1,000 feet AGL
below 500 feet AGL
Greater than 5 miles
3 to 5 miles
1 mile to less than 3 miles
less than 1 mile
Figure 2-1. Weather category values for ceiling and visibility.
Step 2—Assess Experience and Comfort Level
Pilots should also take a few minutes to complete the certification, training, and experience summary in Figure 2-2 by filling
in the right column. Some pilots fly different aircraft categories and classes and may develop different personal minimums
based on the specific aircraft flown. For example, many pilots will have a different set of personal minimums when flying a
single-engine airplane versus a multiengine airplane. Depending on pilot experience, the minimums in a multiengine airplane
could be higher than the single-engine airplane minimums. Pilots may use the information entered in Figure 2-2 to set personal
minimums for a variety of situations using tables in Figure 2-3, Figure 2-4, and Figure 2-5.
Chapter 2: Personal Minimums