Section 5. Pilot/Controller Roles
and Responsibilities
5-5-1. General
a. The roles and responsibilities of the pilot and controller for
effective participation in the ATC system are contained in several documents. Pilot
responsibilities are in the CFR's and the air traffic controller's are in the FAA Order
7110.65, Air Traffic Control, and supplemental FAA directives. Additional and supplemental
information for pilots can be found in the current Aeronautical Information Manual (AIM),
Notices to Airmen, Advisory Circulars and aeronautical charts. Since there are many other
excellent publications produced by nongovernment organizations, as well as other
government organizations, with various updating cycles, questions concerning the latest or
most current material can be resolved by cross-checking with the above mentioned
documents.
b. The pilot in command of an aircraft is directly responsible for,
and is the final authority as to the safe operation of that aircraft. In an emergency
requiring immediate action, the pilot in command may deviate from any rule in the General
Subpart A and Flight Rules Subpart B in accordance with 14 CFR Section 91.3.
c. The air traffic controller is responsible to give first priority
to the separation of aircraft and to the issuance of radar safety alerts, second priority
to other services that are required, but do not involve separation of aircraft and third
priority to additional services to the extent possible.
d. In order to maintain a safe and efficient air traffic system, it
is necessary that each party fulfill their responsibilities to the fullest.
e. The responsibilities of the pilot and the controller
intentionally overlap in many areas providing a degree of redundancy. Should one or the
other fail in any manner, this overlapping responsibility is expected to compensate, in
many cases, for failures that may affect safety.
f. The following, while not intended to be all inclusive, is a
brief listing of pilot and controller responsibilities for some commonly used procedures
or phases of flight. More detailed explanations are contained in other portions of this
publication, the appropriate CFR's, AC's and similar publications. The information
provided is an overview of the principles involved and is not meant as an interpretation
of the rules nor is it intended to extend or diminish responsibilities.
5-5-2. Air Traffic Clearance
a. Pilot.
1. Acknowledges receipt and understanding of an ATC clearance.
2. Reads back any hold short of runway instructions issued by ATC.
3. Requests clarification or amendment, as appropriate, any time a
clearance is not fully understood or considered unacceptable from a safety standpoint.
4. Promptly complies with an air traffic clearance upon receipt
except as necessary to cope with an emergency. Advises ATC as soon as possible and obtains
an amended clearance, if deviation is necessary.
NOTE-
A clearance to land means that appropriate separation on the landing runway will be
ensured. A landing clearance does not relieve the pilot from compliance with any
previously issued altitude crossing restriction.
b. Controller.
1. Issues appropriate clearances for the operation to be conducted,
or being conducted, in accordance with established criteria.
2. Assigns altitudes in IFR clearances that are at or above the
minimum IFR altitudes in controlled airspace.
3. Ensures acknowledgement by the pilot for issued information,
clearances, or instructions.
4. Ensures that readbacks by the pilot of altitude, heading, or
other items are correct. If incorrect, distorted, or incomplete, makes corrections as
appropriate.
5-5-3. Contact Approach
a. Pilot.
1. Must request a contact approach and makes it in lieu of a
standard or special instrument approach.
2. By requesting the contact approach, indicates that the flight is
operating clear of clouds, has at least one mile flight visibility, and reasonably expects
to continue to the destination airport in those conditions.
3. Assumes responsibility for obstruction clearance while
conducting a contact approach.
4. Advises ATC immediately if unable to continue the contact
approach or if encounters less than 1 mile flight visibility.
5. Is aware that if radar service is being received, it may be
automatically terminated when told to contact the tower.
REFERENCE-
Pilot/Controller Glossary Term- Radar Service
Terminated.
b. Controller.
1. Issues clearance for a contact approach only when requested by
the pilot. Does not solicit the use of this procedure.
2. Before issuing the clearance, ascertains that reported ground
visibility at destination airport is at least 1 mile.
3. Provides approved separation between the aircraft cleared for a
contact approach and other IFR or special VFR aircraft. When using vertical separation,
does not assign a fixed altitude, but clears the aircraft at or below an altitude which is
at least 1,000 feet below any IFR traffic but not below Minimum Safe Altitudes prescribed
in 14 CFR Section 91.119.
4. Issues alternative instructions if, in their judgment, weather
conditions may make completion of the approach impracticable.
5-5-4. Instrument Approach
a. Pilot.
1. Be aware that the controller issues clearance for approach based
only on known traffic.
2. Follows the procedure as shown on the IAP, including all
restrictive notations, such as:
(a) Procedure not authorized at night;
(b) Approach not authorized when local area altimeter not
available;
(c) Procedure not authorized when control tower not in operation;
(d) Procedure not authorized when glide slope not used;
(e) Straight-in minimums not authorized at night; etc.
(f) Radar required; or
(g) The circling minimums published on the instrument approach
chart provide adequate obstruction clearance and pilots should not descend below the
circling altitude until the aircraft is in a position to make final descent for landing.
Sound judgment and knowledge of the pilot's and the aircraft's capabilities are the
criteria for determining the exact maneuver in each instance since airport design and the
aircraft position, altitude and airspeed must all be considered.
REFERENCE-
AIM, Approach and Landing Minimums, Paragraph 5-4-18.
3. Upon receipt of an approach clearance while on an unpublished
route or being radar vectored:
(a) Complies with the minimum altitude for IFR; and
(b) Maintains the last assigned altitude until established on a
segment of a published route or IAP, at which time published altitudes apply.
b. Controller.
1. Issues an approach clearance based on known traffic.
2. Issues an IFR approach clearance only after the aircraft is
established on a segment of published route or IAP, or assigns an appropriate altitude for
the aircraft to maintain until so established.
5-5-5. Missed Approach
a. Pilot.
1. Executes a missed approach when one of the following conditions
exist:
(a) Arrival at the Missed Approach Point (MAP) or the Decision
Height (DH) and visual reference to the runway environment is insufficient to complete the
landing.
(b) Determined that a safe landing is not possible.
(c) Instructed to do so by ATC.
2. Advises ATC that a missed approach will be made. Include the
reason for the missed approach unless the missed approach is initiated by ATC.
3. Complies with the missed approach instructions for the IAP being
executed unless other missed approach instructions are specified by ATC.
4. If executing a missed approach prior to reaching the MAP or DH,
flies the instrument procedure to the MAP at an altitude at or above the Minimum Descent
Altitude (MDA) or DH before executing a turning maneuver.
5. Radar vectors issued by ATC when informed that a missed approach
is being executed supersedes the previous missed approach procedure.
6. If making a missed approach from a radar approach, executes the
missed approach procedure previously given or climbs to the altitude and flies the heading
specified by the controller.
7. Following a missed approach, requests clearance for specific
action; i.e., another approach, hold for improved conditions, proceed to an alternate
airport, etc.
b. Controller.
1. Issues an approved alternate missed approach procedure if it is
desired that the pilot execute a procedure other than as depicted on the instrument
approach chart.
2. May vector a radar identified aircraft executing a missed
approach when operationally advantageous to the pilot or the controller.
3. In response to the pilot's stated intentions, issues a clearance
to an alternate airport, to a holding fix, or for reentry into the approach sequence, as
traffic conditions permit.
5-5-6. Radar Vectors
a. Pilot.
1. Promptly complies with headings and altitudes assigned to you by
the controller.
2. Questions any assigned heading or altitude believed to be
incorrect.
3. If operating VFR and compliance with any radar vector or
altitude would cause a violation of any CFR, advises ATC and obtains a revised clearance
or instructions.
b. Controller.
1. Vectors aircraft in Class A, Class B, Class C, Class D, and
Class E airspace:
(a) For separation.
(b) For noise abatement.
(c) To obtain an operational advantage for the pilot or controller.
2. Vectors aircraft in Class A, Class B, Class C, Class D, Class E,
and Class G airspace when requested by the pilot.
3. Vectors IFR aircraft at or above minimum vectoring altitudes.
4. May vector VFR aircraft, not at an ATC assigned altitude, at any
altitude. In these cases, terrain separation is the pilot's responsibility.
5-5-7. Safety Alert
a. Pilot.
1. Initiates appropriate action if a safety alert is received from
ATC.
2. Be aware that this service is not always available and that many
factors affect the ability of the controller to be aware of a situation in which unsafe
proximity to terrain, obstructions, or another aircraft may be developing.
b. Controller.
1. Issues a safety alert if aware an aircraft under their control
is at an altitude which, in the controller's judgment, places the aircraft in unsafe
proximity to terrain, obstructions or another aircraft. Types of safety alerts are:
(a) Terrain or Obstruction Alert. Immediately issued
to an aircraft under their control if aware the aircraft is at an altitude believed to
place the aircraft in unsafe proximity to terrain or obstructions.
(b) Aircraft Conflict Alert. Immediately issued to an
aircraft under their control if aware of an aircraft not under their control at an
altitude believed to place the aircraft in unsafe proximity to each other. With the alert,
they offer the pilot an alternative, if feasible.
2. Discontinue further alerts if informed by the pilot action is
being taken to correct the situation or that the other aircraft is in sight.
5-5-8. See and Avoid
a. Pilot. When meteorological conditions permit, regardless of type
of flight plan or whether or not under control of a radar facility, the pilot is
responsible to see and avoid other traffic, terrain, or obstacles.
b. Controller.
1. Provides radar traffic information to radar identified aircraft
operating outside positive control airspace on a workload permitting basis.
2. Issues safety alerts to aircraft under their control if aware
the aircraft is at an altitude believed to place the aircraft in unsafe proximity to
terrain, obstructions, or other aircraft.
5-5-9. Speed Adjustments
a. Pilot.
1. Advises ATC any time cruising airspeed varies plus or minus 5
percent or 10 knots, whichever is greater, from that given in the flight plan.
2. Complies with speed adjustments from ATC unless:
(a) The minimum or maximum safe airspeed for any particular
operation is greater or less than the requested airspeed. In such cases, advises ATC.
NOTE-
It is the pilot's responsibility and prerogative to refuse speed adjustments considered
excessive or contrary to the aircraft's operating specifications.
(b) Operating at or above 10,000 feet MSL on an ATC assigned SPEED
ADJUSTMENT of more than 250 knots IAS and subsequent clearance is received for descent
below 10,000 feet MSL. In such cases, pilots are expected to comply with 14 CFR Section
91.117(a).
3. When complying with speed adjustment assignments, maintains an
indicated airspeed within plus or minus 10 knots or 0.02 Mach number of the specified
speed.
b. Controller.
1. Assigns speed adjustments to aircraft when necessary but not as
a substitute for good vectoring technique.
2. Adheres to the restrictions published in the FAA Order 7110.65, Air Traffic Control, as to when speed adjustment
procedures may be applied.
3. Avoids speed adjustments requiring alternate decreases and
increases.
4. Assigns speed adjustments to a specified IAS (KNOTS)/Mach number
or to increase or decrease speed using increments of 10 knots or multiples thereof.
5. Advises pilots to resume normal speed when speed adjustments are
no longer required.
6. Gives due consideration to aircraft capabilities to reduce speed
while descending.
7. Does not assign speed adjustments to aircraft at or above FL 390
without pilot consent.
5-5-10. Traffic Advisories (Traffic Information)
a. Pilot.
1. Acknowledges receipt of traffic advisories.
2. Informs controller if traffic in sight.
3. Advises ATC if a vector to avoid traffic is desired.
4. Does not expect to receive radar traffic advisories on all
traffic. Some aircraft may not appear on the radar display. Be aware that the controller
may be occupied with higher priority duties and unable to issue traffic information for a
variety of reasons.
5. Advises controller if service is not desired.
b. Controller.
1. Issues radar traffic to the maximum extent consistent with
higher priority duties except in Class A airspace.
2. Provides vectors to assist aircraft to avoid observed traffic
when requested by the pilot.
3. Issues traffic information to aircraft in the Class B, Class C,
and Class D surface areas for sequencing purposes.
5-5-11. Visual Approach
a. Pilot.
1. If a visual approach is not desired, advises ATC.
2. Complies with controller's instructions for vectors toward the
airport of intended landing or to a visual position behind a preceding aircraft.
3. The pilot must, at all times, have either the airport or the
preceding aircraft in sight. After being cleared for a visual approach, proceed to the
airport in a normal manner or follow the preceding aircraft. Remain clear of clouds while
conducting a visual approach.
4. If the pilot accepts a visual approach clearance to visually
follow a preceding aircraft, you are required to establish a safe landing interval behind
the aircraft you were instructed to follow. You are responsible for wake turbulence
separation.
5. Advise ATC immediately if the pilot is unable to continue
following the preceding aircraft, cannot remain clear of clouds, or lose sight of the
airport.
6. Be aware that radar service is automatically terminated, without
being advised by ATC, when the pilot is instructed to change to advisory frequency.
7. Be aware that there may be other traffic in the traffic pattern
and the landing sequence may differ from the traffic sequence assigned by approach control
or ARTCC.
b. Controller.
1. Do not clear an aircraft for a visual approach unless reported
weather at the airport is ceiling at or above 1,000 feet and visibility is 3 miles or
greater. When weather is not available for the destination airport, inform the pilot and
do not initiate a visual approach to that airport unless there is reasonable assurance
that descent and flight to the airport can be made visually.
2. Issue visual approach clearance when the pilot reports sighting
either the airport or a preceding aircraft which is to be followed.
3. Provide separation except when visual separation is being
applied by the pilot.
4. Continue flight following and traffic information until the
aircraft has landed or has been instructed to change to advisory frequency.
5. Inform the pilot when the preceding aircraft is a heavy.
6. When weather is available for the destination airport, do not
initiate a vector for a visual approach unless the reported ceiling at the airport is 500
feet or more above the MVA and visibility is 3 miles or more. If vectoring weather minima
are not available but weather at the airport is ceiling at or above 1,000 feet and
visibility of 3 miles or greater, visual approaches may still be conducted.
7. Informs the pilot conducting the visual approach of the aircraft
class when pertinent traffic is known to be a heavy aircraft.
5-5-12. Visual Separation
a. Pilot.
1. Acceptance of instructions to follow another aircraft or to
provide visual separation from it is an acknowledgment that the pilot will maneuver the
aircraft as necessary to avoid the other aircraft or to maintain in-trail separation.
Pilots are responsible to maintain visual separation until flight paths (altitudes and/or
courses) diverge.
2. If instructed by ATC to follow another aircraft or to provide
visual separation from it, promptly notify the controller if you lose sight of that
aircraft, are unable to maintain continued visual contact with it, or cannot accept the
responsibility for your own separation for any reason.
3. The pilot also accepts responsibility for wake turbulence
separation under these conditions.
b. Controller. Applies visual separation only:
1. Within the terminal area when a controller has both aircraft in
sight or by instructing a pilot who sees the other aircraft to maintain visual separation
from it.
2. Pilots are responsible to maintain visual separation until
flight paths (altitudes and/or courses) diverge.
3. Within en route airspace when aircraft are on opposite courses
and one pilot reports having seen the other aircraft and that the aircraft have passed
each other.
5-5-13. VFR-on-top
a. Pilot.
1. This clearance must be requested by the pilot on an IFR flight
plan, and if approved, allows the pilot the choice (subject to any ATC restrictions) to
select an altitude or flight level in lieu of an assigned altitude.
NOTE-
VFR-on-top is not permitted in certain airspace areas, such as Class A airspace, certain
restricted areas, etc. Consequently, IFR flights operating VFR-on-top will avoid such
airspace.
REFERENCE-
AIM, IFR Clearance VFR-on-top, Paragraph 4-4-7.
AIM, IFR Separation Standards, Paragraph 4-4-10.
AIM, Position Reporting, Paragraph 5-3-2.
AIM, Additional Reports, Paragraph 5-3-3.
2. By requesting a VFR-on-top clearance, the pilot assumes the sole
responsibility to be vigilant so as to see and avoid other aircraft and to:
(a) Fly at the appropriate VFR altitude as prescribed in 14 CFR
Section 91.159.
(b) Comply with the VFR visibility and distance from clouds
criteria in 14 CFR Section 91.155, Basic VFR weather minimums.
(c) Comply with instrument flight rules that are applicable to this
flight; i.e., minimum IFR altitudes, position reporting, radio communications, course to
be flown, adherence to ATC clearance, etc.
3. Should advise ATC prior to any altitude change to ensure the
exchange of accurate traffic information.
b. Controller.
1. May clear an aircraft to maintain VFR-on-top if the pilot of an
aircraft on an IFR flight plan requests the clearance.
2. Informs the pilot of an aircraft cleared to climb to VFR-on-top
the reported height of the tops or that no top report is available; issues an alternate
clearance if necessary; and once the aircraft reports reaching VFR-on-top, reclears the
aircraft to maintain VFR-on- top.
3. Before issuing clearance, ascertain that the aircraft is not in
or will not enter Class A airspace.
5-5-14. Instrument Departures
a. Pilot.
1. Prior to departure considers the type of terrain and other
obstructions on or in the vicinity of the departure airport.
2. Determines if obstruction avoidance can be maintained visually
or that the departure procedure should be followed.
3. Determines whether a departure procedure and/or DP is available
for obstruction avoidance.
4. At airports where IAP's have not been published, hence no
published departure procedure, determines what action will be necessary and takes such
action that will assure a safe departure.
b. Controller.
1. At locations with airport traffic control service, when
necessary, specifies direction of takeoff, turn, or initial heading to be flown after
takeoff.
2. At locations without airport traffic control service but within
Class E surface area when necessary to specify direction of takeoff, turn, or initial
heading to be flown, obtains pilot's concurrence that the procedure will allow the pilot
to comply with local traffic patterns, terrain, and obstruction avoidance.
3. Includes established departure procedures as part of the ATC
clearance when pilot compliance is necessary to ensure separation.
5-5-15. Minimum Fuel Advisory
a. Pilot.
1. Advise ATC of your minimum fuel status when your fuel supply has
reached a state where, upon reaching destination, you cannot accept any undue delay.
2. Be aware this is not an emergency situation, but merely an
advisory that indicates an emergency situation is possible should any undue delay occur.
3. On initial contact the term "minimum fuel" should be
used after stating call sign.
EXAMPLE-
Salt Lake Approach, United 621, "minimum fuel."
4. Be aware a minimum fuel advisory does not imply a need for
traffic priority.
5. If the remaining usable fuel supply suggests the need for
traffic priority to ensure a safe landing, you should declare an emergency due to low fuel
and report fuel remaining in minutes.
REFERENCE-
Pilot/Controller Glossary Item- Fuel Remaining.
b. Controller.
1. When an aircraft declares a state of minimum fuel, relay this
information to the facility to whom control jurisdiction is transferred.
2. Be alert for any occurrence which might delay the aircraft.
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