U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Upset Prevention and Recovery Training Date: 1/4/17 AC No: 120-111 Initiated by: AFS-200 Change: 1
1. PURPOSE. This advisory circular (AC) describes the recommended training for airplane Upset Prevention and Recovery Training (UPRT). The goal of this AC is to provide recommended practices and guidance for academic and flight simulation training device (FSTD) training for pilots to prevent developing upset conditions and ensure correct recovery responses to upsets.
2. PRINCIPAL CHANGES. This change updates FSTD qualification information for UPRT tasks in Appendix 3 consistent with the amendments to Title 14 of the Code of Federal Regulations (14 CFR) part 60 in the Flight Simulation Training Device Qualification Standards for Extended Envelope and Adverse Weather Event Training Tasks final rule and updates references in Chapters 1 through 3. This change is also responsive to the FAA Extension, Safety, and Security Act of 2016, section 2102, item 4, which requires the FAA to issue guidance to air carriers by January 11, 2017, regarding standards for compliance with the requirements for enhanced pilot training contained in the Qualification, Service, and Use of Crewmembers and Aircraft Dispatchers final rule published on November 12, 2013.
PAGE CONTROL CHART Remove Pages Dated Insert Pages Dated Pages i thru iii (and iv) 4/14/15 Pages i thru iii (and iv) 1/4/17 Pages 4, 7, and 11 4/14/15 Pages 4, 7, and 11 1/4/17 Appendix 3, Pages 1 and 2 4/14/15 Appendix 3, Pages 1 and 2 1/4/17
John S. Duncan Director, Flight Standards Service
U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Upset Prevention and Recovery Training Date: 4/14/15 AC No: 120-111 Initiated by: AFS-200 Change:
This advisory circular (AC) describes the recommended training for airplane Upset Prevention and Recovery Training (UPRT). The goal of this AC is to provide recommended practices and guidance for academic and flight simulation training device (FSTD) training for pilots to prevent developing upset conditions and ensure correct recovery responses to upsets. The AC was created from recommended practices developed by major airplane manufacturers, labor organizations, air carriers, training organizations, simulator manufacturers, and industry representative organizations. This AC provides guidance to Title 14 of the Code of Federal Regulations (14 CFR) part 121 air carriers implementing the regulatory requirements of part 121, §§ 121.419, 121.423, 121.424, and 121.427. Although this AC is directed to air carriers to implement part 121 regulations, the Federal Aviation Administration (FAA) encourages all airplane operators, pilot schools, and training centers to implement UPRT and to use this guidance, as applicable to the type of airplane in which training is conducted.
Although a stall is by definition an upset, stall prevention and recovery training is contained in the current edition of AC 120-109, Stall Prevention and Recovery Training.
Core principles of this AC include:
• Enhanced instructor training on the limitations of simulation.
• Comprehensive pilot academic training on aerodynamics.
• Early recognition of divergence from intended flightpath.
• Upset prevention through improvements in manual handling skills.
• Training that integrates Crew Resource Management (CRM) including progressive intervention strategies for the pilot monitoring.
CAUTION: Prior to commencing UPRT, air carriers should review 14 CFR part 60, FSTD Directive 2 and FAA National Simulator Program (NSP) FSTD Qualification Guidance Bulletin 11-05, FSTD Evaluation and Qualification for Upset Prevention and Recovery Training (UPRT) Tasks, to ensure FSTDs are specifically evaluated for UPRT maneuvers. Otherwise, negative transfer of training could occur.
Page iii (and iv)
CONTENTS Paragraph Page
CHAPTER 1. INTRODUCTION1
1-1. General1
1-2. Background1
1-3. Part 121 Requirements1
1-4. AQPs1
1-5. Air Carriers Conducting Training in Airplanes1
1-6. Definitions/Terms2
1-7. Related Regulations3
1-8. Related FAA Guidance (current editions)4
1-9. Related References4
1-10. AC Feedback Form4
CHAPTER 2. UPSET PREVENTION AND RECOVERY TRAINING (UPRT)
PRINCIPLES5
2-1. General5
2-2. Training Philosophy5
2-3. Importance of the UPRT Instructor6
2-4. Instructor Requirements (§§ 121.412 and 121.414)6
2-5. Instructor Training6
2-6. Instructor Standardization9
CHAPTER 3. TRAINING METHODOLOGY11
3-1. General11
3-2. Comprehensive Air Carrier UPRT Program11
3-3. Key UPRT Considerations12
CHAPTER 4. UPSET RECOVERY TEMPLATE15
4-1. Methodology15
4-2. Upset Recovery Templates15
Table 1. Nose High Recovery Template16
Table 2. Nose Low Recovery Template17
Table 3. Nose High Recovery Template with Explanation18
Table 4. Nose Low Recovery Template with Explanation20
APPENDIX 1. TRAINING ELEMENTS AND EVENTS (10 pages)1
APPENDIX 2. SAMPLE TRAINING SCENARIOS AND MANEUVERS (8 pages)1
APPENDIX 3. FLIGHT SIMULATION TRAINING DEVICE (FSTD)
CONSIDERATIONS (4 pages)1
Par 1-1 Page 1 CHAPTER 1. INTRODUCTION
1-1. GENERAL. Operational data indicates that some pilots have failed to prevent airplanes from entering a fully developed upset and have not been able to properly recover from such events. In addition to stall training, Upset Prevention and Recovery Training (UPRT) is an essential training element to reduce loss of control events or, if they occur, enable recovery to normal flight.
1-2. BACKGROUND. Based on accident reviews, a concern exists within the Federal Aviation Administration (FAA) and industry regarding loss of control in-flight (LOC-I) accidents.
As LOC-I is generally a consequence of an airplane upset, the FAA reconvened the Section 208 Aviation Rulemaking Committee (ARC) in 2011 to provide recommendations for UPRT. The FAA, International Civil Aviation Organization (ICAO), and the European Aviation Safety Agency (EASA) then decided to combine efforts to identify and establish an acceptable approach to reducing upsets. ICAO sponsored meetings in 2012 during which the 208 ARC, Civil Aviation Authorities, and subject matter experts participated in focused discussions on LOC-I accidents and upset recovery training. This combined effort was called the loss of control avoidance and recovery training (LOCART) initiative. Additionally, the Commercial Aviation Safety Team (CAST) studied 18 accidents and incidents resulting from a lack of awareness of either the airplane’s energy or attitude. One recommendation of the team was for air carriers to conduct upset training using realistic scenarios. This advisory circular (AC) is based upon the recommendations of both LOCART and CAST.
1-3. PART 121 REQUIREMENTS. All part 121 air carriers, including those who train under an Advanced Qualification Program (AQP), are required to conduct UPRT beginning March 12, 2019. The requirement for part 121 pilots to receive upset training is statutorily mandated in Public Law 111-216, Section 208 and the FAA does not have the authority to exempt any part 121 air carrier from this requirement. Air carriers must include UPRT for pilots during:
• Initial training,
• Transition training,
• Differences and related aircraft differences training (if differences exist),
• Upgrade training,
• Requalification training (if applicable), and
• Recurrent training.
1-4. AQPs. For simplicity, because the requirements for UPRT are contained in part 121 subpart N and appendix E, the terminology used in this AC is consistent with those regulations.
Air carriers with an AQP should use the content of this AC in conjunction with the current edition of AC 120-54, Advanced Qualification Program.
1-5. AIR CARRIERS CONDUCTING TRAINING IN AIRPLANES.
a. For part 121 air carriers, § 121.423 requires the following extended envelope training maneuvers discussed in this AC to be conducted in a Level C or higher full flight simulator (FFS): manually controlled slow flight, manually controlled loss of reliable airspeed, manually
Par 1-5 Page 2 controlled instrument departure and arrival, and upset recovery maneuvers. Air carriers are encouraged to use the highest fidelity level FFS available.
b. In accordance with § 121.423, part 121 air carriers may submit a request to the Administrator for approval of a deviation from the FFS requirements to conduct the extended envelope training using an alternative method to meet the learning objectives of § 121.423.
c. Although the training in this AC is designed to be conducted in an FSTD, those operators using airplanes for training can incorporate into their training programs all of the academic elements and some of the flight training elements. Operators should carefully select flight training maneuvers and employ risk mitigation strategies. Airplanes used for flight training elements should be those designed for the specific maneuvers being conducted, and training programs should use instructors specifically qualified to conduct UPRT in airplanes. The FAA recommends that any operator conducting UPRT in airplanes follow the guidance and associated risk mitigation strategies contained in ICAO’s Doc 10011, Manual on Aeroplane Upset Prevention and Recovery Training.
1-6. DEFINITIONS/TERMS. For the purpose of this AC, the following definitions and terms are provided:
a. Airplane Upset. An airplane in flight unintentionally exceeding the parameters normally experienced in line operations or training:
• Pitch attitude greater than 25 degrees nose up;
• Pitch attitude greater than 10 degrees nose down;
• Bank angle greater than 45 degrees; or
• Within the above parameters, but flying at airspeeds inappropriate for the conditions.
b. Angle of Attack (AOA). The angle between the oncoming air, or relative wind, and some reference line on the airplane or wing.
c. Awareness. Knowledge or perception of the situation.
d. Crew Resource Management (CRM). Effective use of all available resources: human resources, hardware, and information.
e. Developing Upset Condition. Any time the airplane is diverging from the intended flightpath and has not yet exceeded the parameters defining airplane upset.
f. Distraction. The diversion of attention away from the primary task of flying.
g. Extended Envelope Training. The flight training contained in § 121.423 consisting of:
• Manually controlled slow flight;
• Manually controlled loss of reliable airspeed;
• Manually controlled instrument departure and arrival;
• Upset recovery maneuvers;
Par 1-6 Page 3
• Recovery from bounced landing; and
• Instructor-guided hands on experience of recovery from full stall and stick pusher activation.
h. Flight Simulation Training Device (FSTD). A full flight simulator (FFS) or a flight training device (FTD).
i. Flightpath Management. Active manipulation, using either onboard avionics systems or manual handling, to command the aircraft flight controls to direct the aircraft along a desired trajectory in the lateral and vertical planes.
j. Instructor Operating Station (IOS). The interface panel between the FSTD instructor and the FSTD.
k. Landing Configuration. Starts when the landing gear is down and a landing flap setting has been selected during an approach until executing a landing, go-around, or missed approach.
l. Loss of Control in Flight (LOC-I). A categorization of an accident or incident resulting from a deviation from the intended flightpath.
m. Maneuver-Based Training. Training that focuses on a single event or maneuver in isolation.
n. Prevention. Actions to avoid any divergence from a desired airplane state.
o. Scenario-Based Training (SBT). Training that incorporates maneuvers into real-world experiences to cultivate practical flying skills in an operational environment.
p. Startle. 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.
q. Surprise. An unexpected event that violates a pilot’s expectations and can affect the mental processes used to respond to the event.
r. Transfer of Training. The ability of a trainee to apply knowledge, skills, and behavior acquired in one learning environment (e.g., a classroom, an FSTD) to another environment
(e.g., flight). In this context, “negative transfer of training” refers to the inappropriate generalization of knowledge or skills learned in training to line operations.
s. Undesired Aircraft State. A position, velocity, or attitude of an aircraft that reduces or eliminates safety margins.
1-7. RELATED REGULATIONS. Title 14 of the Code of Federal Regulations (14 CFR) parts 61, 91 subpart K (part 91K), 121, 125, 135, and 142.
Par 1-8 Page 4
1-8. RELATED FAA GUIDANCE (current editions):
• Safety Alert for Operators (SAFO) 13002, Manual Flight Operations.
• Information for Operators (InFO) 10010, Enhanced Upset Recovery Training.
• Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Airplane.
• Commercial Pilot Practical Test Standards for Airplane (Single-Engine Land (SEL), Multiengine Land (MEL), Single-Engine Sea (SES), Multiengine Sea (MES)).
• Order 8900.1, Volume 2, Air Operator and Air Agency Certification and Application Process.
• Order 8900.1, Volume 3, General Technical Administration.
• Order 8900.1, Volume 5, Airman Certification.
• AC 120-51, Crew Resource Management Training.
• AC 120-90, Line Operations Safety Audits.
• AC 120-109, Stall Prevention and Recovery Training.
• AC 120-114, Pilot Training and Checking (14 CFR Part 121 Subparts N and O, Including Appendices E and F).
• FAA Safety Brochure, Spatial Disorientation: Why You Shouldn’t Fly by the Seat of Your Pants.
1-9. RELATED REFERENCES:
• Airplane Upset Recovery Training Aid (AURTA) Revision 2:
http://www.faa.gov/other_visit/aviation_industry/airline_operators/training/media/AP_ UpsetRecovery_Book.pdf.
• Defensive Flying for Pilots: An Introduction to Threat and Error Management Ashleigh Merritt, Ph.D. and James Klinect, Ph.D. (The University of Texas Human Factors Research Project – The LOSA Collaborative): http://www.skybrary.aero /bookshelf/books/1982.pdf.
• Culture, Threat, and Error: Assessing System Safety, Robert L. Helmreich, University of Texas Human Factors Research Project, The University of Texas at Austin:
http://158.132.155.107/posh97/private/culture/culture-threat-error-Helmreich.pdf.
• The Effectiveness of Airline Pilot Training for Abnormal Events, Stephen M. Casner, et al., Human Factors, Vol. 55, No. 3, June 2013, pp. 477-485.
• CAST Safety Enhancement 196, Airplane State Awareness – Effective Upset Prevention and Recovery Training: http://www.skybrary.aero/index.php/ SE196:_Airplane_State_Awareness_-_Effective_Upset_Prevention_and_Recovery_Tra ining.
• Operational Use of Flight Path Management Systems. Final Report of the Performance-Based Operations Aviation Rulemaking Committee/Commercial Aviation Safety Team Flight Deck Automation Working Group, September 5, 2013.
• ICAO Doc 10011, Manual on Aeroplane Upset Prevention and Recovery Training, 2014.
1-10. AC FEEDBACK FORM. For your convenience, the AC Feedback Form is the last page of this AC. Note any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this AC on the Feedback Form.
Par 2-1 Page 5 CHAPTER 2. UPSET PREVENTION AND RECOVERY TRAINING (UPRT)
PRINCIPLES
2-1. GENERAL. An effective UPRT curriculum provides pilots with the knowledge and skills to prevent an upset, or if not prevented, to recover from an upset. Training should focus on preventing upsets rather than waiting to recover from one. The focus on prevention is a significant shift from previous upset or unusual attitude training, which primarily focused on recovering from a fully developed upset. Prevention training prepares pilots to avoid incidents, while recovery training intends to avoid an accident if an upset occurs.
2-2. TRAINING PHILOSOPHY. While basic aerodynamics and unusual attitude1 training are required elements for a pilot’s private, commercial, and airline transport pilot (ATP) certifications, it is important to reinforce and expand upon this certification training throughout a pilot’s career. This advisory circular (AC) describes the academic and flight training components of a comprehensive UPRT curriculum, requirements for UPRT instructors, flight simulation training device (FSTD) requirements, upset recovery procedures, and sample UPRT scenarios.
a. Training Goal. A pilot who has successfully completed UPRT will demonstrate knowledge and skill in preventing, recognizing, and, if necessary, recovering from an upset.
b. Training Methodology. UPRT is to be conducted as train-to-proficiency (i.e., training will continue until completion criteria are met).
NOTE: UPRT is not to be evaluated in proficiency checks, line-oriented evaluation (LOE), or by other jeopardy events.
c. Completion Criteria for Prevention. Prevention is the primary goal of UPRT, including timely action to avoid progression toward a potential upset.
• When acting as either pilot flying (PF) or pilot monitoring (PM), actively scans the internal and external environment and identifies and alerts the crew to factors that may lead to divergence from the desired flightpath.
• When acting as PM, creates, communicates, and manages alternative courses of action that reduce the likelihood of an upset.
d. Completion Criteria for Recognition. Timely action to recognize divergence from the intended flightpath and interrupt progression toward a potential upset.
• When acting as PF, prompt recognition of divergence from intended flightpath or uncommanded changes to the aircraft flightpath.
• When acting as PM, active monitoring of aircraft state and flight parameters and prompt callout of divergence from planned or briefed flightpath.
• Take prompt action (if PF or through callouts if PM) to correct a divergence from the intended flightpath and interrupt progression toward a potential upset.
1 This training is incorporated into “Upset Recover Techniques” in Appendix 1, Section 8.
Par 2-2 Page 6
e. Completion Criteria for Recovery. Timely action to recover from an upset in accordance with the air carrier’s procedures, or in the absence thereof, in accordance with recommendations provided in Chapter 4 of this AC.
• A PF will take action, or a PM will call out the need, for timely execution of recovery priorities: 1) manage the energy; 2) arrest flightpath divergence; 3) recover to stabilized flightpath.
• Apply (PF), or monitor (PM), appropriate control actions to recover the aircraft without exceeding aircraft limitations.
• When an upset is precipitated by stall, recover from the stall before initiating other recovery actions.
2-3. IMPORTANCE OF THE UPRT INSTRUCTOR. The key to effective UPRT is the instructor. The safety implications and consequences of applying poor instructional technique, or providing misleading information, are more significant in UPRT compared with some other areas of pilot training. Therefore, an essential component in the effective delivery of UPRT is a properly trained and qualified instructor who possesses sound academic and operational knowledge.
2-4. INSTRUCTOR REQUIREMENTS (§§ 121.412 and 121.414). UPRT instructors must meet the following requirements:
• Hold an ATP Certificate and airplane type rating2 in the airplane for which they are conducting training.
• Successfully complete the certificate holder’s UPRT program as a student and the UPRT instructor training in paragraph 2-5 below.
• Be able to teach, assess, and debrief the elements included in the training programs they are conducting.
• Be trained and qualified to conduct training in the FSTD to be used for the training.
2-5. INSTRUCTOR TRAINING. Instructor knowledge of the subject areas below ensures accurate UPRT and minimizes the risk of negative transfer of training. The focus of instructor training should be on the practical application of these principles and the evaluation of a pilot’s understanding of the airplane’s operating characteristics. Instructor training should include the following and if a regulation is cited, the training is required:
a. Limitations of the FSTD (§ 121.414).
(1) Instructors must complete training on the data and motion limitations for each specific FSTD used for UPRT with emphasis on areas that have the potential to introduce negative transfer of training. Training on the limitations of the specific FSTD will enable instructors to provide upset recovery training consistent with the capabilities and performance of the specific aircraft type. This comprehensive instructor training will not only increase instructor
2 A second in command pilot type rating issued under part 61, § 61.55 does not meet this requirement.