Risk Management Handbook (FAA-H-8083-2A)
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Chapter Summary
Many GA pilots have freedom to choose when and where they fly. However, this freedom may also lead pilots to situations
where lack of proficiency and equipment capability become a factor. Responsible pilots set personal minimums to help reduce
the probability of experiencing an encounter that could lead to an incident or accident.
A copy of the charts used in this chapter can be found in Appendix B, Risk Assessment Tools. Pilots are encouraged to copy and
use the charts in the appendix or use comparable tools on an electronic flight bag (EFB) before each flight.
Risk Management Handbook (FAA-H-8083-2A)
Introduction
The words “hazard” and “risk” seem simple, but these words are easily confused. 14 CFR part 5, section 5.5 defines these two
terms as follows:
• Hazard – a condition that could foreseeably cause or contribute to an aircraft accident as defined in 49 CFR part 830,
section 830.2.
• Risk – the composite of predicted severity and likelihood of the potential effect of a hazard.
Simply put, a hazard is a condition that could cause an accident. The probability and predicted severity of the consequences
that may result from any hazard is the risk. Identifying, analyzing, and responding appropriately to hazards decreases the risks
and increases the margin of safety.
Hazard Exposure
The example of a person crossing a street helps explain the relationship between hazard and risk. The traffic is always a hazard,
but it does not usually create a significant risk for a pedestrian until the actual street crossing takes place.
Some people may lack the experience needed to understand the hazards and risks associated with crossing a busy street and
need to learn the procedures used to cross streets safely. In a similar way, pilots need to identify aviation hazards and associated
risks and learn to deal with them appropriately. However, when assuming pilot-in-command duties, pilots encounter a variety of
hazards, and they may not recognize the potential for an accident in a given situation. Pilots need the ability to perceive relevant
hazards, understand and analyze potential consequences, and exercise judgment when responding to any hazard.
Why Hazards Result in Aviation Accidents
Pilots learn to recognize hazards during ground and flight training. While instructors normally include the learner in the decision-
making process, training does not teach the learner how to manage every hazard. A saying goes that new pilots have a cup of
luck and an empty cup of experience, and they should fill the cup of experience before their cup of luck runs out. However, all
pilots should understand that any situation involving a hazard may present a significant risk to their safety. Rather than relying
on luck, the correct response to a given hazard often depends on many variables and calls for a disciplined analysis and response.
The following case studies illustrate this point.
A pilot with approximately 233 hours of total time rented an unfamiliar airplane for a round-trip VFR cross-country flight. The
pilot had about 2.6 hours of time in the specific make and model. The NTSB narrative indicates the following:
According to the operator of the airplane, the pilot had difficulty starting the engine prior to departing for Erie
International/Tom Ridge Field (KERI), and requested assistance. The operator proceeded out to the airplane, and
showed the pilot how to start the engine. The operator then suggested the pilot leave Erie with enough time to return to
Waterbury-Oxford Airport (KOXC) before sunset. Later in the day, the pilot called the operator and informed him that
the airplane operated fine on the flight to Erie, and he would be back at Waterbury-Oxford by 19:00.
The pilot actually departed Erie at night. There was a fatal crash and the NTSB probable cause states:
The loss of partial engine power for undetermined reasons, and the pilot’ s loss of control after performing an evasive
maneuver to avoid trees during a forced landing at night. Factors related to the accident were a rough running engine
and the pilots inability to see the trees due to the nighttime conditions. The NTSB accident details are available here.
While not common, even professionally trained pilots sometimes fail to recognize and respond to hazards and associated risks.
An airline accident involving a transport category turbojet taken to its maximum operating altitude resulted in both engines
flaming out after an aerodynamic stall. The flight ended in a crash and two fatalities. The NTSB probable cause(s) follows:
The National Transportation Safety Board determines the probable cause(s) of this accident to be: (1) the pilots’
unprofessional behavior, deviation from standard operating procedures, and poor airmanship, which resulted in an
in-flight emergency from which they were unable to recover, in part because of the pilots’ inadequate training; (2)
the pilots’ failure to prepare for an emergency landing in a timely manner, including communicating with air traffic
controllers immediately after the emergency about the loss of both engines and the availability of landing sites; and (3)
Chapter 3: Identifying Hazards & Associated
Risks
Risk Management Handbook (FAA-H-8083-2A)
the pilots’ improper management of the double engine failure checklist, which allowed the engine cores to stop rotating
and resulted in the core lock engine condition. Contributing to this accident were (1) the core lock engine condition,
which prevented at least one engine from being restarted, and (2) the airplane flight manuals that did not communicate
to pilots the importance of maintaining a minimum airspeed to keep the engine cores rotating. The NTSB accident
details are available here.
Understanding the Risks Posed by Hazards
A predisposition to respond to persons, situations, or events in a given manner reveals a person’s attitude. Studies have identified
five hazardous attitudes that can affect a pilot’s ability to make sound decisions and exercise authority properly. [Figure 3-1]
The Five Hazardous Attitudes
Anti-authority: “Don’t tell me.”
This attitude is found in people who do not like anyone telling them what to do. In a sense, they are saying, “No one can tell me
what to do.” They may be resentful of having someone tell them what to do or may regard rules, regulations, and procedures as
silly or unnecessary. However, it is always pilot prerogative to question authority if it seems to be in error.
Impulsivity: “Do it quickly.”
This is the attitude of people who frequently feel the need to do something—anything—immediately. They do not stop to think about
what they are about to do; they do not select the best alternative; and they do the first thing that comes to mind.
Invulnerability: “It won’t happen to me.”
Many people believe that accidents happen to others, but never to them. They know accidents can happen, and they know that
anyone can be affected. They never really feel or believe that they will be personally involved. Pilots who think this way are more likely
to take chances and increase risk.
Macho: “I can do it.”
Pilots who are always trying to prove that they are better than anyone else are thinking, “I can do it, I’ll show them.” Pilots with this
type of attitude will try to prove themselves by taking risks in order to impress others. While this pattern is thought to be a male
characteristic, women are equally susceptible.
Resignation: “What’s the use?”
Pilots who think, “What’s the use?” do not see themselves as being able to make a great deal of difference in what happens to them.
When things go well, the pilot is apt to think that it is good luck. When things go badly, the pilot may feel that “someone is out to get
me,” or attribute it to bad luck. The pilot will leave the action to others, for better or worse. Sometimes, such pilots will even go along
with unreasonable requests just to be a “nice guy.”
Figure 3-1. Pilots should examine their decisions carefully to ensure that their choices have not been influenced by a
hazardous attitude.
Most pilots sincerely believe that they will respond to hazards appropriately and take actions necessary to avoid accidents.
However, a pilot’s attitude affects perception of hazards, the analysis of the potential threat, and performance of an appropriate
response.
Since attitude influences behavior, pilots should consider their own attitude and the antidote to any hazardous attitude. [Figure
3-2] The pilots in the two fatal accidents described above exhibited several of these hazardous attitudes. If they had recognized
their attitude toward the hazards and associated risks and considered that their behavior could result in an accident, it is very
likely that they would have acted differently (invulnerability). If the general aviation pilot had waited and returned the next
day, he might be alive today (impulsivity). The commercial pilots wanted to claim they had flown the aircraft at its maximum
altitude (macho). Pilot attitudes regarding hazard analysis clearly play a role in decision-making.
Risk Management Handbook (FAA-H-8083-2A)
Hazardous Attitude Antidotes
Macho
Steve often brags to his friends about his skills
as a pilot and how close to the ground he flies.
During a local pleasure flight in his single-
engine airplane, he decides to buzz some
friends barbecuing at a nearby park.
Anti-authority
Although he knows that flying so low to the
ground is prohibited by the regulations, he
feels that the regulations are too restrictive in
some circumstances.
Invulnerability
Steve is not worried about an accident since
he has flown this low many times before, and
he has not had any problems.
Impulsivity
As he is buzzing the park, the airplane does
not climb as well as Steve had anticipated, and
without thinking, he pulls back hard on the
yoke. The airspeed drops, and the airplane is
close to stalling as the wing brushes a power
line.
Resignation
Although Steve manages to recover, the wing
sustains minor damage. Steve thinks to himself,
“It doesn’t really matter how much effort I put
in—the end result is the same whether I really
try or not.”
Taking
chances is
foolish.
Follow the
rules. They
help prevent
accidents.
It could
happen
to me.
Not so fast.
Think first.
I’m not
helpless.
I can make
a difference.
Figure 3-2. Antidotes to hazardous attitudes.
Leading Accident Causes
The aviation accident record has improved considerably in recent years, but the reduction in accident rates has not been uniform
across the aviation community. For example, the accident rate for air carriers operating under 14 CFR part 121 was reduced by
nearly 80 percent in the ten-year period beginning in the mid-1990s. In contrast, general aviation aircraft operating under 14
CFR part 91 maintained a static accident rate of about one fatal accident per 100,000 flight hours.
The FAA and the general aviation community collaborate through the General Aviation Joint Steering Committee (GAJSC),
to suggest safety enhancements that could reduce accidents. As part of this effort, the GAJSC analyzed hundreds of general
aviation accidents and evaluated the causal factors. The FAA Fact Sheet on General Aviation Safety ranks the following ten
leading causes of general aviation fatal accidents during the period 2001-2016:
1. Loss of control in-flight (LOC-I)
2. Controlled flight into terrain (CFIT)
3. System component failure–powerplant
4. Fuel related
5. Unknown or undetermined
6. System component failure–non powerplant
7. Unintended flight into IMC
8. Midair collisions
Risk Management Handbook (FAA-H-8083-2A)
9. Low-altitude operations
10. Other
The top four causes of general aviation fatal accidents include loss of control in-flight (LOC-I), controlled flight into terrain
(CFIT), system component failure of the powerplant (SCF-PP), and fuel-related issues. These causes often signify the final
result of a chain of events. However, an in-depth analysis of these accidents will often reveal inadequate risk management as a
common thread. To begin with, pilots should recognize hazards linked to causes of aircraft accidents as presented below:
1. Loss of Control In-flight (LOC-I)–Examples of loss of control scenarios include continued VFR into IMC, wake
turbulence upsets, thunderstorm encounters, instrument failure, improper aircraft loading, loss of outside references
during flight at night or over water, and conditions that exceed the pilot’s capability.
2. Controlled Flight into Terrain (CFIT)–CFIT often results from continued VFR flight into areas with a low ceiling or
low visibility, flight at night, incorrect interpretation of a chart, flight at high density altitude, flight in mountainous
terrain, or intentionally flying too low.
3. System Component Failure Powerplant (SCF-PP)–This category includes a variety of hazards, some which the pilot or
operator may not easily identify. If a pilot experiences difficulty with an engine run-up or experiences an engine issue
after maintenance, a significant hazard may exist.
4. Fuel-Related–Pilots still experience fuel starvation or fuel exhaustion. Misunderstanding or mishandling the aircraft's
fuel system, a lack of adequate planning, trying to stretch aircraft fuel range, or an unwillingness to take the time or
make the effort to stop for fuel contributes to this type of accident.
Identifying Hazards
There are several ways pilots can detect hazards. Pilots should use combinations of methods to detect hazards, including the
following:
• Visual Observation–A pilot’s observations provide a primary means to identify hazards. For example, a pilot can
visually observe thunderstorms and maintain a safe distance from them. A pilot who can see terrain can maneuver to
avoid it.
• Preflight Planning–Many hazards can be detected through preflight planning. Weather briefings identify hazards.
Aircraft performance calculations, preflight inspections, and other routine procedures may identify hazards.
• On-board Equipment–The availability of lower-cost modern avionics has improved situational awareness in many
general aviation aircraft. Technologies such as GPS-based moving map navigation, datalink weather, traffic displays,
terrain displays, and synthetic vision help pilots recognize different hazards.
• Radio Communication–V oice radio provides an effective means to find out about hazards. Communication with air
traffic controllers and flight service specialists can provide real-time information on weather, air traffic, airspace
activity, and other hazards.
• Postflight Inspections–Inspecting the aircraft following the completion of a flight may identify aircraft hazards before
the next person flies the aircraft. Common items include condition of tires and brakes, security of access panels and
latches, and leaking operating fluids. Properly securing the aircraft may prevent damage, which could affect the next
flight.
Using the PAVE Checklist to Identify Hazards
As described in Chapter 1, the PA VE checklist provides a means to identify hazards using four convenient hazard “buckets.”
Using all four checklist categories before a flight captures most hazards normally encountered. This section discusses hazards
associated with each category.
Pilot Hazards
“P” hazards can be classified in terms of both capability and aeromedical factors as follows:
1. Qualification–Does the pilot possess the appropriate pilot certificate, category, class, and type rating needed to operate
a specific aircraft under the given set of conditions? Some accidents have occurred when pilots have attempted to
operate under IFR without holding an instrument rating. A few accidents occur every year when the pilot did not
possess any airman certificate.
Risk Management Handbook (FAA-H-8083-2A)
2. Currency–Has the pilot logged the minimum number of takeoffs and landings and instrument approaches, flight
reviews, or other currency events required by 14 CFR? Are the currency requirements sufficient to guarantee that the
pilot will be able to handle the flight requirements?
3. Proficiency–Does the pilot have the ability to manage the conditions expected during flight? For example, suppose
a pilot plans an IFR flight with forecast of low ceilings. Under 14 CFR part 61, the pilot needs to have logged six
instrument approaches, holding, and tracking within the previous six calendar months to be IFR current. However, if
these currency events occurred five months ago, the pilot may lack the proficiency to make the flight safely. If a pilot
flies an unfamiliar aircraft, does the pilot have the ability to use the avionics and systems efficiently and properly?
Aeromedical
Aeromedical hazards relate to physical and emotional readiness for flight including:
• Illness–Does a pilot suffer from initial symptoms, ongoing illness, or any aftereffects? Even mild symptoms may be
sufficiently debilitating to create a “P” hazard.
• Medication–Could any medications the pilot takes affect the flight? Both prescription and non-prescription over-the-
counter (OTC) drugs have side effects that can affect a pilot’s physical and mental performance. The FAA provides
information regarding OTC drugs here.
• Stress–Has a stressful life situation affected the pilot? Many personal or business events and activities can cause
stress. Stress has many manifestations and affects thinking, behavior, and health.
• Alcohol–Has the pilot consumed alcohol recently? The CFRs include a time limit (no consumption within eight hours
before a flight), a quantity limit (blood alcohol must be below 0.04 percent), and a performance limit (flight duty
prohibited while under the influence of alcohol). Aftereffects of alcohol consumption (dehydration, hangover, and
headaches, etc.) may trigger a “P” hazard for longer than eight hours after consumption.
• Fatigue–How alert is the pilot? Fatigue may result from insufficient sleep. However, sufficient sleep only corrects
acute fatigue. Chronic fatigue may involve multiple factors and requires additional analysis and remedy. Fatigue can
be intensified by hypoxia as well as emotional state. While fatigued pilots have fallen asleep while flying, the effects
of fatigue may be subtle. For example, fatigue may degrade cognitive skills and decision-making ability.
• Emotion–Has the pilot experienced an event or received information that creates strong feelings? Emotions may
affect normal pilot ability to focus.
The IMSAFE checklist, which is an acronym for Illness, Medication, Stress, Alcohol, Fatigue, and Emotion, can help a pilot
identify these hazards. [Figure 3- 3] Note that some publications combine Emotion with Stress as the “S” in IMSAFE and leave
the “E” to remind pilots about “Eating.” Since proper nutrition and hydration affects wellness and safety, a pilot planning a long
flight should consider appropriate food and water intake and supply.
Risk Management Handbook (FAA-H-8083-2A)
Illness—Do I have any symptoms?
Medication—Have I been taking prescription or
over-the-counter drugs?
Stress—Am I under psychological pressure from
the job? Worried about financial matters, health
problems, or family discord?
Alcohol—Have I been drinking within 8 hours?
Within 24 hours?
Fatigue—Am I tired and not adequately rested?
Emotion—Am I emotionally upset?
I'M SAFE CHECKLIST
Figure 3-3. IMSAFE checklist.
Aircraft Hazards
“A” hazards can be classified in terms of both performance and equipage.
Performance
Aircraft performance hazards may include:
• Fuel and Range–As previously described, fuel issues continue to be a leading cause of general aviation accidents.
Planning a flight to the aircraft’s maximum range magnifies this “A” hazard. Inaccurate calculations, changing
conditions, or the aircraft’s failure to achieve “book” speeds and fuel consumption can lead to an incident or accident.
• Takeoff and Landing Performance– Takeoffs and landings become more hazardous when the calculated performance
approaches the available runway length.
• Altitude Performance–Operating to or from high altitude airports or cruising at high altitudes may result in a lack of
performance. In some cases, this lack of performance may not allow for a safe departure. In situations where a climb
could avoid a weather or terrain hazard, the lack of performance might contribute to an incident or accident.
• Payload–Does an aircraft have the capability to carry the passengers, baggage, cargo, and fuel for a planned flight? In
addition, operating near maximum takeoff weight reduces climb performance.
• Weight and Balance–Pilots who do not check center of gravity limits may experience difficulty trimming or
controlling the aircraft, which could lead to a loss of control in-flight.
Equipage
The avionics and other equipment installed in an aircraft affect both utility and the ease with which a pilot can identify hazards.
Equipment considerations include:
• Redundancy–Could equipment failure affect the type of flight contemplated? For example, on a day VFR flight in
Class E airspace, having only a single navigation/communication radio is not a major concern. However, for a flight
in IMC, having one radio could be considered an “A” hazard. Instrument failure is also a concern in IMC or at night,
and backup systems could prevent an accident.
• Autopilot–Operating an aircraft in IMC without an autopilot increases pilot workload. A pilot flying an aircraft in
these conditions might consider aircraft without an autopilot an “A” hazard.
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• Inoperative Equipment–Inoperative equipment triggers an “A” hazard. For example, an inoperative landing light may
make night operation more hazardous, even though a landing light is not required for Part 91 operations when not for
hire. A pilot should consider the effect of inoperative equipment in relation to expected flight conditions.
Environmental Hazards
The environment or “V” hazard encompasses weather, terrain, airports, airspace, time of day, and other factors.
Weather
Of all the environmental hazards, weather is the most variable. However, improvements in aviation weather forecasts and
improvements in technology make it easier to identify weather hazards.
• Thunderstorms and Convective Activity–Thunderstorms and their associated weather represent a severe hazard to all
aviation activities. Severe turbulence, hail, and other phenomena can create the potential for loss of control and may
result in structural failure of the aircraft.
• Icing–Icing conditions constitute a hazard, and in-flight ice accretion has resulted in numerous loss of control
accidents. Frost, ice, or snow adhering to the aircraft on the ground, if not removed, can also be a hazard.
• Low Ceilings and Visibility–At times, conditions below minimums can extend beyond the range of an IFR flight.
Continued VFR flight into IMC continues to cause accidents.
• Turbulence and Winds–Severe turbulence aloft, although not common, can result in loss of control and may lead to
aircraft structural failure. Surface winds also constitute a hazard. For example, a crosswind that exceeds an aircraft’s
demonstrated maximum crosswind component or the pilot’s ability may result in loss of control on the ground
(LOC-G).
Terrain
Terrain and surface features are a significant hazard to all aircraft. In extreme cold or high pressure, height above ground
and obstacles may be less than indicated. Pilots following instrument approach procedures have also been involved in CFIT
accidents.
• Mountains, Hills, and Elevated Terrain–Mountainous terrain affects departure, en route, and arrival operations.
Numerous airports in the western United States require the use of special procedures.
• Density Altitude–The combination of high temperature and high elevation affects aircraft performance. High density
altitude is a “V” hazard that affects takeoffs, climbs, and landings.
• Over-water Operation–Takeoff at night over a large body of water can create a “black hole” effect and require the
pilot to immediately shift to control by instruments. Operating over water may not provide a suitable surface for an
emergency landing.
Facilities
The departure and arrival facilities pilots use contain various hazards, and these can be aggravated by other environmental
factors.
• Airports–Runway dimensions may not be sufficient such that a takeoff or landing can be performed safely under the
given conditions.
• Runway Contamination–Wet or snow-covered runways are an environmental hazard. Some airplane flight manuals
(AFM) provide little or no guidance on how to modify takeoff and landing distances for contaminated runways.
• Heliports–The aircraft rotor diameter may exceed the space available.
• Seaplane Bases–Conditions that allow for landing may not be sufficient for takeoff. Obstructions may exist below the
water and could be affected by tides. Rough water or glassy water conditions may exist.