Task D. Aeronautical Decision-Making

UA.V.D.K1  Aeronautical decision-making (ADM)(FAA-H-8083-25 Ch. 2)

Aeronautical decision-making (ADM) is decision-making in a unique environment—aviation. It is a systematic approach to the mental process used by pilots to consistently determine the best course of action in response to a given set of circumstances. It is what a pilot intends to do based on the latest information he or she has.

The importance of learning and understanding effective ADM skills cannot be overemphasized. While progress is continually being made in the advancement of pilot training methods, aircraft equipment and systems, and services for pilots, accidents still occur. Despite all the changes in technology to improve flight safety, one factor remains the same: the human factor which leads to errors. It is estimated that approximately 80 percent of all aviation accidents are related to human factors and the vast majority of these accidents occur during landing (24.1 percent) and takeoff (23.4 percent).  ADM is a systematic approach to risk assessment and stress management. To understand ADM is to also understand how personal attitudes can influence decision-making and how those attitudes can be modified to enhance safety in the flight deck. It is important to understand the factors that cause humans to make decisions and how the decision-making process not only works, but can be improved.

Risk Management

The goal of risk management is to proactively identify safety-related hazards and mitigate the associated risks. Risk management is an important component of ADM. When a pilot follows good decision-making practices, the inherent risk in a flight is reduced or even eliminated. The ability to make good decisions is based upon direct or indirect experience and education. The formal risk management decision-making process involves six steps as shown in Figure 2-3.

Consider automotive seat belt use. In just two decades, seat belt use has become the norm, placing those who do not wear seat belts outside the norm, but this group may learn to wear a seat belt by either direct or indirect experience. For example, a driver learns through direct experience about the value of wearing a seat belt when he or she is involved in a car accident that leads to a personal injury. An indirect learning experience occurs when a loved one is injured during a car accident because he or she failed to wear a seat belt.

As you work through the ADM cycle, it is important to remember the four fundamental principles of risk management.

1. Accept no unnecessary risk. Flying is not possible without risk, but unnecessary risk comes without a corresponding return. If you are flying a new airplane for the first time, you might determine that the risk of making that flight in low visibility conditions is unnecessary.

2. Make risk decisions at the appropriate level. Risk decisions should be made by the person who can develop and implement risk controls. Remember that you are pilot-in-command, so never let anyone else—not ATC and not your passengers—make risk decisions for you.

3.  Accept risk when benefits outweigh dangers (costs). In any flying activity, it is necessary to accept some degree of risk. A day with good weather, for example, is a much better time to fly an unfamiliar airplane for the first time than a day with low IFR conditions.

4.  Integrate risk management into planning at all levels. Because risk is an unavoidable part of every flight, safety requires the use of appropriate and effective risk management not just in the preflight planning stage, but in all stages of the flight. While poor decision-making in everyday life does not always lead to tragedy, the margin for error in aviation is thin. Since ADM enhances management of an aeronautical environment, all pilots should become familiar with and employ ADM.

While poor decision-making in everyday life does not always lead to tragedy, the margin for error in aviation is thin. Since ADM enhances management of an aeronautical environment, all pilots should become familiar with and employ ADM.

UA.V.D.K1a  Effective team communication (AC 107A A.2.5.1, A.2.5.2, & 5.9.2.2)

A.2.5.1 Communication Procedures. One way to accomplish this is for the VO to maintain visual contact with the small unmanned aircraft and maintain awareness of the surrounding airspace and operational area, and then communicate flight status and any hazards to the remote PIC and person manipulating the controls so that appropriate action can be taken. Then, as conditions change, the remote PIC should brief the crew on the changes and any needed adjustments to ensure a safe outcome of the operation.

A.2.5.2 Communication Methods. The remote PIC, person manipulating the controls, and VO must work out a method of communication, such as the use of a handheld radio or other effective means that would not create a distraction and allows them to understand each other. The remote PIC should evaluate which method is most appropriate for the operation and should make a determination prior to flight.

A.5.9.2.2 To make this communication possible, the remote PIC, person manipulating the controls, and VO must work out a method of effective communication that does not create a distraction. Such a means of communication entails the constant ability to understand one another. The communication method must be determined prior to operation. Effective communication would permit the use of communication-assisting devices, such as a handheld radio, to facilitate communication from a distance.

UA.V.D.K1b  Task management (AC 107A A.2.5.3)

Tasks vary depending on the complexity of the operation. Depending upon the area of the operations, additional crewmembers may be needed to operate the small unmanned aircraft safely. The remote PIC should utilize sufficient crewmembers to ensure no one on the team becomes overloaded. Once a member of the team becomes overworked, a greater possibility of an incident/accident exists.

UA.V.D.K2  Crew Resource Management (CRM)(AC 107A 5.3 & A.2.5, FAA-H-8083-2A pg. 8-3, 14 CFR §107.19 )

14 CFR §107.19b Remote pilot in command The remote pilot in command is directly responsible for and is the final authority as to the operation of the small unmanned aircraft system.

5.3 ADM is a systematic approach to the mental process used by pilots to determine consistently the best course of action in response to a given set of circumstances. A remote PIC uses many different resources to safely operate a small unmanned aircraft and needs to be able to manage these resources effectively. CRM is a component of ADM, in which the pilot of a small unmanned aircraft makes effective use of all available resources: human resources, hardware, and information. Many remote pilots operating under part 107 may use a VO, oversee other persons manipulating the controls of the small UAS, or any other person with whom the remote PIC may interact to ensure safe operations. Therefore, a remote PIC must be able to function in a team environment and maximize team performance. This skill set includes situational awareness, proper allocation of tasks to individuals, avoidance of work overloads for himself or herself and in others, and effectively communicating with other members of the crew, such as VOs and persons manipulating the controls of a small unmanned aircraft. Appendix A, Risk Assessment Tools, contains expanded information on ADM and CRM, as well as sample risk assessment tools to aid in identifying hazards and mitigating risks.

A.2.5 Using All Available Resources with More Than One Crewmember (CRM). A characteristic of CRM is creating an environment where open communication is encouraged and expected, and involves the entire crew to maximize team performance. Many of the same resources that are available to manned aircraft operations are available to unmanned aircraft operations. For example, remote PICs can take advantage of traditional CRM techniques by utilizing additional crewmembers, such as VOs and other ground crew. These crewmembers can provide information about traffic, airspace, weather, equipment, and aircraft loading and performance. If conducting operations over people or moving vehicles, crewmembers can also provide timely information regarding the presence of those not directly participating in the operation.

FAA-H-8083-2A Single-Pilot Resource Management Single-pilot resource management (SRM) specifically refers to appropriate management of all resources available to the single pilot. SRM includes competencies such as situational awareness, communication skills, teamwork, task allocation, aeronautical decision-making, risk management, controlled flight into terrain (CFIT) awareness, and automation management. Resources are found both inside and outside the aircraft. Many of the concepts are similar to crew resource management (CRM). Learning to recognize these resources is an essential part of SRM. In addition, a pilot should evaluate whether there is time to use a particular resource. For example, ATC assistance may be very useful if a pilot becomes lost, but there may be no time to contact ATC in an emergency. During an emergency, a pilot needs to prioritize tasks and manage workload. Many older aircraft may have modern equipment installed, which require a flight manual supplement. This equipment can be a valuable single-pilot resource if the pilot uses the equipment proficiently and adjusts procedures appropriately. In some cases, the procedures for new equipment affect the aircraft checklists.

In a single-pilot operation, pilots often gather, organize, and manage available resources before flight to make it easier to assess and manage risks and make informed aeronautical decisions. If the pilot prepares for scenarios that may occur during a flight, such as a diversion or precautionary landing, it becomes easier to consider and perform that option with the needed information at hand. For example, while en route to an airport the aircraft alternator fails. After completing the appropriate checklist, the alternator remains off line, and the battery will only provide electricity for a short time. The pilot decides to divert to the nearest suitable airport. Does the pilot know the destinations along the route of flight that qualify? Did the pilot organize personal and flight deck resources to access information such as communication frequencies and navigation aids for the available airports? By considering and organizing information before flight, the single pilot may perform such tasks with crew-like efficiency.

UA.V.D.K3   Situational awareness (FAA-H-8083-25 Ch. 2)

Situational awareness is the accurate perception and understanding of all the factors and conditions within the five fundamental risk elements (flight, pilot, aircraft, environment, and type of operation that comprise any given aviation situation) that affect safety before, during, and after the flight. Monitoring radio communications for traffic, weather discussion, and ATC communication can enhance situational awareness by helping the pilot develop a mental picture of what is happening.

Maintaining situational awareness requires an understanding of the relative significance of all flight related factors and their future impact on the flight. When a pilot understands what is going on and has an overview of the total operation, he or she is not fixated on one perceived significant factor. Not only is it important for a pilot to know the aircraft’s geographical location, it is also important he or she understand what is happening. For instance, while flying above Richmond, Virginia, toward Dulles Airport or Leesburg, the pilot should know why he or she is being vectored and be able to anticipate spatial location. A pilot who is simply making turns without understanding why has added an additional burden to his or her management in the event of an emergency. To maintain situational awareness, all of the skills involved in ADM are used.

Obstacles to Maintaining Situational Awareness

Fatigue, stress, and work overload can cause a pilot to fixate on a single perceived important item and reduce an overall situational awareness of the flight. A contributing factor in many accidents is a distraction that diverts the pilot’s attention from monitoring the instruments or scanning outside the aircraft. Many flight deck distractions begin as a minor problem, such as a gauge that is not reading correctly, but result in accidents as the pilot diverts attention to the perceived problem and neglects proper control of the aircraft.

Workload Management

Effective workload management ensures essential operations are accomplished by planning, prioritizing, and sequencing tasks to avoid work overload. As experience is gained, a pilot learns to recognize future workload requirements and can prepare for high workload periods during times of low workload. Reviewing the appropriate chart and setting radio frequencies well in advance of when they are needed helps reduce workload as the flight nears the airport. In addition, a pilot should listen to ATIS, Automated Surface Observing System (ASOS), or Automated Weather Observing System (AWOS), if available, and then monitor the tower frequency or Common Traffic Advisory Frequency (CTAF) to get a good idea of what traffic conditions to expect. Checklists should be performed well in advance so there is time to focus on traffic and ATC instructions. These procedures are especially important prior to entering a high density traffic area, such as Class B airspace.

Recognizing a work overload situation is also an important component of managing workload. The first effect of high workload is that the pilot may be working harder but accomplishing less. As workload increases, attention cannot be devoted to several tasks at one time, and the pilot may begin to focus on one item. When a pilot becomes task saturated, there is no awareness of input from various sources, so decisions may be made on incomplete information and the possibility of error increases.

UA.V.D.K4  Hazardous attitudes (FAA-H-8083-25 Ch. 2)

Being fit to fly depends on more than just a pilot’s physical condition and recent experience. For example, attitude affects the quality of decisions. Attitude is a motivational predisposition to respond to people, situations, or events in a given manner. Studies have identified five hazardous attitudes that can interfere with the ability to make sound decisions and exercise authority properly: anti-authority, impulsivity, invulnerability, macho, and resignation.

Hazardous attitudes contribute to poor pilot judgment but can be effectively counteracted by redirecting the hazardous attitude so that correct action can be taken. Recognition of hazardous thoughts is the first step toward neutralizing them. After recognizing a thought as hazardous, the pilot should label it as hazardous, then state the corresponding antidote. Antidotes should be memorized for each of the hazardous attitudes so they automatically come to mind when needed.

UA.V.D.K5  Hazard identification and risk assessment (AC 107-2A)

A.3 Hazard Identification

Hazards related to the small unmanned aircraft and its operating environment must be identified and controlled. The analysis process used to define hazards needs to consider all components of the system, based on the equipment being used and the environment in which it is operated. The key question to ask during analysis of the small unmanned aircraft and its operation is, “what if?” Small unmanned aircraft remote PICs are expected to exercise due diligence in identifying significant and reasonably foreseeable hazards related to their operations. It is recommended that remote pilots document small unmanned aircraft and operating environment hazards in accordance with the hazard identification process described in Figure A-1.

A.4  Safety Risk Assessment and Mitigation Steps

Before flight, the following Safety Risk Assessment and Mitigation steps should be taken. Figure A-2 in this paragraph is an example of a risk assessment plan in table format to accomplish this task. This example should not be considered a required format. It is designed simply to show one way to document a risk assessment and mitigation plan.

Notes:

(1) Likelihood: Likelihood the risk will occur – Improbable, Remote, Occasional, Probable, or Frequent.

(2) Severity: Consequence if the hazard occurs – No safety effect, Minor, Major, Hazardous, or Catastrophic.

(3) Risk: Combination of Likelihood and Severity – Low, Medium, High, or Avoid (i.e., changes to operation are required for mitigation or the operation should not be conducted). These definitions are used to assign the level of risk prior to consideration of risk mitigation effects.

(4) Emergency or Contingency Procedures: This column is your plan of action if the event still occurs.

(a) In order to identify effectively all potential hazards and their associated risks, you should first begin with a thorough description of the operational environment. This should include (but is not limited to):

1. Current and forecasted weather conditions.

2. Condition of the equipment to be used and associated operational limitations.

3. Remote pilot, observer, and other participants’ fatigue and awareness levels.

4. Terrain and obstacles (such as proximity to power lines, buildings, etc.) in the planned and emergency/contingency flightpath.

5. Identify the hazard(s) associated with flying over people (hazard column above).

6. If the operation will occur at night, identify hazards of flying at night, to include those operations whose mission duration includes portions of day, twilight, and night. Such potential hazards include night vision adaptation when unlit towers and buildings are present in the area of operation. Other potential hazards include current and forecast weather conditions and terrain features that may affect the ability for other aircraft operating in the area to see the anti-collision light for at least 3 statute miles (sm).

7. Identify other hazard(s) present during all small unmanned aircraft flights, such as schedule pressure, health issues, lack of familiarity with equipment, etc. (hazard column above).

(b) Once you have identified the potential hazards, complete the following steps for each hazard.

(c) List the cause(s) of each hazard (cause column above).

(d) List the effect(s) of each hazard (effect column above).

(e) Perform a qualitative risk assessment by:

1. Estimating the likelihood of each hazard occurring (probability column (1) above).

2. Estimating the severity of each hazard, if it occurs (severity column (2) above).

3. Defining the risk of each hazard as a combination of the probability and severity (risk column (3) above).

(f) Describe the mitigation steps for each hazard (mitigation column above). Develop controls to mitigate all risks to an acceptable level. If such development is not possible, the operator should not operate the small unmanned aircraft until the operator can accomplish this.

(g) Describe any procedures to accomplish, including emergency and contingency procedures, should the hazard occur (emergency or contingency procedure column (4) above).

A.4.1 In-Flight Mitigations. During the flight, the following safety risk assessment and mitigation steps should be taken:

1. Properly use the assessment and inspection checklists, including briefing of appropriate safety risk assessment and mitigation steps.

2. Maintain proper configuration of the small unmanned aircraft for the category of the operation.

3. Constantly re-assess risk.

4. Have and follow procedures for making changes to the flight profile, including crewmember notification.

A.4.2 Post-Flight. After the flight, the following steps should be taken:

1. Perform a thorough debriefing.

2. Capture lessons learned and recommendations.

A.4.3 Contributors to Consider When Performing Risk Assessments. The following list contains examples of factors to consider in assigning a risk rating to a specific identified hazard. This is not a comprehensive list, but an initial list of items to consider:

• Workload.

• Configuration (gross weight, center of gravity (CG), etc.).

• Environment (weather, ATC, particular airport conditions, turbulence, etc.).

• Specific small unmanned aircraft limitations as stated by the manufacturer.

• Consequence of failure in technique, system, or structure.

A.4.4 Formulating Mitigations. Mitigate all risks to an acceptable level. Mitigations are actions to minimize, understand, prepare, or respond to causes of the hazards. They are actions the remote pilot, crewmember(s), or other team member(s) have control over. Mitigations will address reducing either the probability of a cause, the severity of the effect, or both. Mitigations should be detailed and specific in nature. The following items should be considered when formulating mitigations. This is not a comprehensive list, but an initial list of items to consider:

• Set limits on flight conditions (e.g., minimum weather, altitude, minimum/maximum speed, etc.).

• Clearly define and brief criteria that could cause the discontinuation of the flight (e.g., items that affect safety of flight) and who will make and execute decisions.

• Review hazards and specify steps to reduce the associated risk(s).

• Review Weight and Balance (W&B) computations.

A.4.5 Emergency and Contingency Procedures. Describe any emergency and contingency procedures to accomplish if the hazard occurs, despite mitigation steps (emergency or contingency procedure column (4) in Figure A-2 above).

A.4.6 Other Risk Assessment Tools for Flight and Operational Risk Management. Other tools can also be used for flight or operational risk assessments and can be developed by the remote PICs themselves. The key consideration is ensuring all potential hazards and risks are identified and appropriate actions are taken to reduce the risk to persons and property not associated with the operations.

A.4.7 Reducing Risk. Risk analyses should concentrate not only on assigning levels of severity and likelihood, but on determining why these particular levels were selected. This is referred to as root cause analysis, and is the first step in developing effective controls to reduce risk to lower levels. In many cases, simple brainstorming sessions among crewmembers is the most effective and affordable method of finding ways to reduce risk. This also has the advantage of involving people who will ultimately be required to implement the controls developed.

A.4.7.1 It is very easy to get quite bogged down in trying to identify all hazards and risks. That is not the purpose of a risk assessment. The focus should be upon those hazards which pose the greatest risks. As stated earlier, by documenting and compiling these processes, a remote PIC can build an arsenal of safety practices that will add to the safety and success of future operations.

A.4.8 Sample Hazard Identification and Risk Assessment.

A.4.8.1 Example. I am the remote PIC of a small unmanned aircraft in the proximity of an accident scene shooting aerial footage. Much like pilots in manned aircraft must adhere to preflight action (14 CFR part 91, § 91.103), I must adhere to preflight familiarization, inspection, and aircraft operations (14 CFR part 107, § 107.49). Let’s say there is an obvious takeoff and landing site that I intend to use. What if, while I am operating, a manned aircraft (emergency medical services (EMS) helicopter) requires use of the same area and I am not left with a suitable landing site? Furthermore, I am running low on power. If I consider this situation prior to flight, I can use the Basic Hazard Identification and Mitigation Process. Through this process, I might determine that an acceptable level of risk can be achieved by also having an alternate landing site and possibly additional sites at which I can sacrifice the small unmanned aircraft to avoid imposing risks to people on the ground or to manned aircraft operations. It is really a simple process: I must consider the hazards presented during this particular operation, determine the risk severity, and then develop a plan to lessen (or mitigate) the risk to an acceptable level. By documenting and compiling these processes, I can build a collection of safety practices that will add to the safety and success of future operations. The following are some proven methods that can help a new remote PIC along the way:

A.4.8.2 Hazard Identification. Using the Personal Minimums (PAVE) Checklist for Risk Management, I will set personal minimums based upon my specific flight experience, health habits, and tolerance for stress, just to name a few. After identifying hazards, I will then input them into the Hazard Identification and Risk Assessment Process Chart (see Figure A-1).

1. Personal: Am I healthy for flight and what are my personal minimums based upon my experience operating this small unmanned aircraft? During this step, I will often use the IMSAFE checklist in order to perform a more in-depth evaluation:

• Illness – Am I suffering from any illness or symptom of an illness which might affect me in flight?

• Medication – Am I currently taking any drugs (prescription or over-the-counter)?

• Stress – Am I experiencing any psychological or emotional factors that might affect my performance?

• Alcohol – Have I consumed alcohol within the last 8 to 24 hours?

• Fatigue – Have I received sufficient sleep and rest in the recent past?

• Eating – Am I sufficiently nourished?

2. Aircraft: Have I conducted a preflight check of my small UAS (aircraft, control station (CS), takeoff and landing equipment, anti-collision light for night operations, etc.)? Has it been determined to be in a condition for safe operation? Is the payload properly secured to the aircraft prior to flight?

3. Environment: What is the weather like? Am I comfortable and experienced enough to fly in the forecast weather conditions? Have I considered all of my options and left myself an “out?” Have I determined alternative landing spots in case of an emergency? Will I be flying at night and how may that change the way I operate? What are my associated risks when operating at night? Will I have the ability to see the anti-collision light for at least 3 sm? Will other aircraft that may be operating in the area have the ability to see the anti-collision light for at least 3 sm, considering weather and terrain (certain weather phenomena, such as fog, terrain features, and other phenomena, and obstacles such as hills, mountains, and manmade structures, may affect the ability for me and other aircraft to see the anti-collision light for at least 3 sm)? Is the flash rate sufficient to avoid a collision? Will I be operating over people, and if so, how will I ensure I do not create any hazards to persons not directly participating in the operation? Can my operational area be considered an open-air assembly of persons? Will I be operating over moving vehicles, and if so, how will I ensure I do not create any hazards to vehicles? Will my operations (landing spots) need to be relocated due to the people?

A.4.9 Controlling Risk. After hazards and risks are fully understood through the preceding steps, risk controls must be designed and implemented. These may be additional or changed procedures, additional or modified equipment, the addition of VOs, or any of a number of other changes.

A.4.10 Residual and Substitute Risk. Residual risk is the risk remaining after mitigation has been completed. Often, this is a multistep process, continuing until risk has been mitigated to an acceptable level necessary to begin or continue operation. After these controls are designed but before the operation begins or continues, an assessment must be made of whether the controls are likely to be effective and/or whether they introduce new hazards to the operation. The latter condition, introduction of new hazards, is referred to as substitute risk, a situation in which the resolution is worse than the original issue. The loop seen in Figure A-1 that returns back to the top of the diagram depicts the use of the preceding hazard identification, risk analysis, and risk assessment processes to determine whether the modified operation is acceptable.

A.4.11 Starting the Operation. Once a remote PIC develops and implements appropriate risk controls, the operation can begin.