15.1 Risk Matrix. For pilots, one of the most basic risk assessment tools is the risk matrix.
With adequate training and experience pilots can learn to recognize hazards quickly and assess the associated risks. In the changing and often complex environment of ENG operations, it is imperative that ENG pilots understand the risks involved for each flight in advance and as an event such as a moving scene develops. After determining the level of risk, the pilot can then mitigate the risk.
15.2 Preflight Risk Analysis. Each operator conducting ENG operations should establish and document a preflight risk analysis that includes at least the following:
1. Flight considerations, to include obstacles and terrain along the planned route of flight; landing zone conditions, if applicable; and fuel requirements.
2. Human factors, such as fatigue, life events, and other stressors.
3. Weather, including departure, en route, destination, and forecasted.
4. Pilot workload associated with ENG flight profile.
5. Strategies and procedures for mitigating identified risks. These include procedures for obtaining approval of operator’s management personnel to release a flight when a risk exceeds a level predetermined by the operator and procedures for determining conditions under which workload will remain manageable, particularly during pilot-reporter ENG operations.
15.3 Further Information. More information on SMS can be obtained from the FAA Web site http://www.faa.gov, AC 120-92, and InFO 07015. Appendix A, Sample Risk Assessment Tools, provides ENG operators an example of how a risk assessment tool can be customized for use by ENG pilots.
Note: The risk assessment tool cannot guarantee a safe flight; safety is ultimately the responsibility of the pilot and operator. However, it does provide an additional tool to help in making sound safety decisions.
16 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.
John S. Duncan Director, Flight Standards Service
Appendix A A-1 APPENDIX A. SAMPLE RISK ASSESSMENT TOOLS A.1 PURPOSE OF THIS APPENDIX. The samples below are provided to assist those organizations developing and implementing Safety Risk Management (SRM) or Safety Management System (SMS). They provide examples of potential risk factors for electronic news gathering (ENG) operators but should be customized based on the unique operational environment. The operator must determine the risks and the specific weighting of risks on a risk assessment form for its particular operation in making a go or no-go decision. The unique operational and environmental needs will drive the relative weight of each identified risk for each operation and/or location. The examples given are for reference only; the FAA does not endorse the use of one tool over another.
RISK ASSESSMENT MATRIX Severity Likelihood Negligible Marginal Critical Catastrophic Frequent Medium Serious High High Probable Medium Serious High High Occasional Low Medium Serious High Remote Low Medium Medium Serious Improbable Low Medium Medium Medium
Severity Scale Definitions Catastrophic Results in fatalities and/or loss of the system.
Critical Results in severe injury and/or major system damage.
Marginal Results in minor injury and/or minor system damage.
Negligible Results in less than minor injury and/or less than minor system damage.
Likelihood Scale Definitions Frequent Individual Likely to occur often.
Fleet Continuously experienced.
Probable Individual Will occur several times.
Fleet Will occur often.
Occasional Individual Likely to occur sometime.
Fleet Will occur several times.
Remote Individual Unlikely to occur, but possible.
Fleet Unlikely, but can reasonably be expected to occur.
Improbable Individual So unlikely, it can be assumed it will not occur.
Fleet Unlikely to occur, but possible.
Appendix A A-2 SAMPLE RISK ASSESSMENT MATRIX: Day Operations RISK ASSESSMENT MATRIX: DAY OPERATIONS Use this tool to assess the potential for links in the safety chain Apply Operational Factors Applicable Weather for Flight WEATHER Well Above Minimums and Stable
CEILING Within 200' of Minimums
VISIBILITY Within 1 mi.
of Minimums
CEILING & VIS Within 200’ and 1 mi. of Minimums DAY Normal ops Normal Ops Caution Caution Extreme Caution
AIRCRAFT No high-intensity lighting VFR-only cockpit Nav/Radio MEL items Caution Caution Extreme Caution Critical Safety Decision Required
SCENE/ENVIRONMENTAL Multi-ship ENG Moving scene TFR in effect Caution Caution Extreme Caution Critical Safety Decision Required
DUTY/FATIGUE Late in shift?
Pilot-Reporter?
Caution Extreme Caution Extreme Caution Critical Safety Decision Required Risk Assessment Value:
Green Normal Ops Blue Caution Yellow Extreme Caution Orange Critical Safety Decision Required Note: This example is for reference only. Each operator should consider its own operational and environmental needs in developing its risk assessment tool(s) and plans. The operator will have to determine how to manage the identified risk by transferring, eliminating, accepting, or introducing a mitigating action. The operator may assign different values based on its operating environment.
Appendix A A-3
SAMPLE RISK ASSESSMENT FORM
STATIC RISK FACTORS SCORE PILOT-“Without” Reporting Duties External Stresses (illness, fatigue, family/work issues or conflicts) +1 Less than 1500 Hours Total Time PIC +3 1501 – 2500 Hours Total Time PIC +2 > 2500 Hours Total Time PIC +1
PILOT-“With” Reporting Duties 1000-2500 Hours Total Time PIC +5 Greater than 2500 Total Time PIC +4 < 350 Hours or 1 Year as PIC in ENG +1 Last Night Flight > 30 Days (night requests only) +1 Pilot New to Base Location +1
DUTY LIMITATIONS 14 Hours Duty +3 10-14 Hours Duty +2 8-10 Hours Duty +1
AIRCRAFT EQUIPMENT No High-Intensity Anticollision Lighting (strobes, pulse lights) or Inoperative +1 No High-Visibility Main/Tail Rotor Blades +1 TAS or ADS-B Inoperative or Not Equipped +2 Cockpit Not Configured for Instrument Flight +2 Navigation or Radio Item Inoperative +3 Backup Aircraft +1
Total Static Score
DYNAMIC RISK FACTORS
WEATHER Ceiling within 200 ft of Company/Pilot Minimums +1 Visibility within 1 mi of Company/Pilot Minimums +2 Ceiling < 1000 ft and Visibility < 3 mi +3 Deteriorating Weather Trend +3 Ground Reference Low +1 SVFR Clearance Required +4
FLIGHT PROFILE Local (<25 nm) +1 Cross-Country (>25 nm) +2 Night Flight +2 Mountainous or Hostile Terrain +2 Landing at Alternate Airport/Improved LZ +1 Landing at Alternate Off-Airport/Unimproved LZ +3
SCENE ENVIRONMENT Single-Ship ENG +1 Multiple-Ship ENG +3 Moving Scene +2 TFR in Effect +1
Appendix A A-4
CONTROL MEASURES Delay Flight -2 Decline Reporter Duties During Flight -2 Utilize Co-Pilot or Observer -1 Avoid Mountainous/Hostile Terrain -1 Area Familiarization Training (self-directed) -1 Intermediate Fuel Stop Planned -1
Total Dynamic Score
Grand Total of Static and Dynamic Scores
RISK CATEGORY COLOR CATEGORY ACTION TOTAL SCORE Normal GREEN 0–10 Caution YELLOW 11–14 Extreme Caution ORANGE Consult Supervisor, Consider Canceling Flight 15–19 Severe RED Cancel Flight 20 or Greater Note: This example is for reference only. Each operator should consider its own operational and environmental needs in developing its risk assessment tool(s) and plans. The operator will have to determine how to manage the identified risk by transferring, eliminating, accepting, or introducing a mitigating action. The operator may assign different values based on its operating environment.
Advisory Circular Feedback Form If you find an error in this AC, have recommendations for improving it, or have suggestions for new items/subjects to be added, you may let us know by contacting General Aviation and Commercial Division (AFS-800) at 9-AFS-800-Correspondence@faa.gov or the Flight Standards Directives Management Officer.
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