AIM

4/3/14

Section 4. ATC Clearances and Aircraft Separation

4-4-1. Clearance

a. A clearance issued by ATC is predicated on known traffic and known physical airport conditions. An ATC clearance means an authorization by ATC, for the purpose of preventing collision between known aircraft, for an aircraft to proceed under specified conditions within controlled airspace. IT IS NOT AUTHORIZATION FOR A PILOT TO DEVIATE FROM ANY RULE, REGULATION, OR MINIMUM ALTITUDE NOR TO CONDUCT UNSAFE OPERATION OF THE AIRCRAFT.

b. 14 CFR Section 91.3(a) states: “The pilot-in-command of an aircraft is directly responsible for, and is the final authority as to, the operation of that aircraft.” If ATC issues a clearance that would cause a pilot to deviate from a rule or regulation, or in the pilot's opinion, would place the aircraft in jeopardy, IT IS THE PILOT'S RESPONSIBILITY TO REQUEST AN AMENDED CLEARANCE. Similarly, if a pilot prefers to follow a different course of action, such as make a 360 degree turn for spacing to follow traffic when established in a landing or approach sequence, land on a different runway, takeoff from a different intersection, takeoff from the threshold instead of an intersection, or delay operation, THE PILOT IS EXPECTED TO INFORM ATC ACCORDINGLY. When the pilot requests a different course of action, however, the pilot is expected to cooperate so as to preclude disruption of traffic flow or creation of conflicting patterns. The pilot is also expected to use the appropriate aircraft call sign to acknowledge all ATC clearances, frequency changes, or advisory information.

c. Each pilot who deviates from an ATC clearance in response to a Traffic Alert and Collision Avoidance System resolution advisory must notify ATC of that deviation as soon as possible.

REFERENCE-
Pilot/Controller Glossary Term- Traffic Alert and Collision Avoidance System.

d. When weather conditions permit, during the time an IFR flight is operating, it is the direct responsibility of the pilot to avoid other aircraft since VFR flights may be operating in the same area without the knowledge of ATC. Traffic clearances provide standard separation only between IFR flights.

4-4-2. Clearance Prefix

A clearance, control information, or a response to a request for information originated by an ATC facility and relayed to the pilot through an air-to-ground communication station will be prefixed by “ATC clears,” “ATC advises,” or “ATC requests.”

4-4-3. Clearance Items

ATC clearances normally contain the following:

a. Clearance Limit. The traffic clearance issued prior to departure will normally authorize flight to the airport of intended landing. Many airports and associated NAVAIDs are collocated with the same name and/or identifier, so care should be exercised to ensure a clear understanding of the clearance limit. When the clearance limit is the airport of intended landing, the clearance should contain the airport name followed by the word “airport.” Under certain conditions, a clearance limit may be a NAVAID or other fix. When the clearance limit is a NAVAID, intersection, or waypoint and the type is known, the clearance should contain type. Under certain conditions, at some locations a short-range clearance procedure is utilized whereby a clearance is issued to a fix within or just outside of the terminal area and pilots are advised of the frequency on which they will receive the long-range clearance direct from the center controller.

b. Departure Procedure. Headings to fly and altitude restrictions may be issued to separate a departure from other air traffic in the terminal area. Where the volume of traffic warrants, DPs have been developed.

REFERENCE-
AIM, Abbreviated IFR Departure Clearance (Cleared. . .as Filed) Procedures, Paragraph 5-2-5.
AIM, Instrument Departure Procedures (DP) - Obstacle Departure Procedures (ODP) and Standard Instrument Departures (SID), Paragraph 5-2-8.

c. Route of Flight.

1. Clearances are normally issued for the altitude or flight level and route filed by the pilot. However, due to traffic conditions, it is frequently necessary for ATC to specify an altitude or flight level or route different from that requested by the pilot. In addition, flow patterns have been established in certain congested areas or between congested areas whereby traffic capacity is increased by routing all traffic on preferred routes. Information on these flow patterns is available in offices where preflight briefing is furnished or where flight plans are accepted.

2. When required, air traffic clearances include data to assist pilots in identifying radio reporting points. It is the responsibility of pilots to notify ATC immediately if their radio equipment cannot receive the type of signals they must utilize to comply with their clearance.

d. Altitude Data.

1. The altitude or flight level instructions in an ATC clearance normally require that a pilot “MAINTAIN” the altitude or flight level at which the flight will operate when in controlled airspace. Altitude or flight level changes while en route should be requested prior to the time the change is desired.

2. When possible, if the altitude assigned is different from the altitude requested by the pilot, ATC will inform the pilot when to expect climb or descent clearance or to request altitude change from another facility. If this has not been received prior to crossing the boundary of the ATC facility's area and assignment at a different altitude is still desired, the pilot should reinitiate the request with the next facility.

3. The term “cruise” may be used instead of “MAINTAIN” to assign a block of airspace to a pilot from the minimum IFR altitude up to and including the altitude specified in the cruise clearance. The pilot may level off at any intermediate altitude within this block of airspace. Climb/descent within the block is to be made at the discretion of the pilot. However, once the pilot starts descent and verbally reports leaving an altitude in the block, the pilot may not return to that altitude without additional ATC clearance.

REFERENCE-
Pilot/Controller Glossary Term- Cruise.

e. Holding Instructions.

1. Whenever an aircraft has been cleared to a fix other than the destination airport and delay is expected, it is the responsibility of the ATC controller to issue complete holding instructions (unless the pattern is charted), an EFC time, and a best estimate of any additional en route/terminal delay.

2. If the holding pattern is charted and the controller doesn't issue complete holding instructions, the pilot is expected to hold as depicted on the appropriate chart. When the pattern is charted, the controller may omit all holding instructions except the charted holding direction and the statement AS PUBLISHED, e.g., “HOLD EAST AS PUBLISHED.” Controllers must always issue complete holding instructions when pilots request them.

NOTE-
Only those holding patterns depicted on U.S. government or commercially produced charts which meet FAA requirements should be used.

3. If no holding pattern is charted and holding instructions have not been issued, the pilot should ask ATC for holding instructions prior to reaching the fix. This procedure will eliminate the possibility of an aircraft entering a holding pattern other than that desired by ATC. If unable to obtain holding instructions prior to reaching the fix (due to frequency congestion, stuck microphone, etc.), hold in a standard pattern on the course on which you approached the fix and request further clearance as soon as possible. In this event, the altitude/flight level of the aircraft at the clearance limit will be protected so that separation will be provided as required.

4. When an aircraft is 3 minutes or less from a clearance limit and a clearance beyond the fix has not been received, the pilot is expected to start a speed reduction so that the aircraft will cross the fix, initially, at or below the maximum holding airspeed.

5. When no delay is expected, the controller should issue a clearance beyond the fix as soon as possible and, whenever possible, at least 5 minutes before the aircraft reaches the clearance limit.

6. Pilots should report to ATC the time and altitude/flight level at which the aircraft reaches the clearance limit and report leaving the clearance limit.

NOTE-
In the event of two-way communications failure, pilots are required to comply with 14 CFR Section 91.185.

4-4-4. Amended Clearances

a. Amendments to the initial clearance will be issued at any time an air traffic controller deems such action necessary to avoid possible confliction between aircraft. Clearances will require that a flight “hold” or change altitude prior to reaching the point where standard separation from other IFR traffic would no longer exist.

NOTE-
Some pilots have questioned this action and requested “traffic information” and were at a loss when the reply indicated “no traffic report.” In such cases the controller has taken action to prevent a traffic confliction which would have occurred at a distant point.

b. A pilot may wish an explanation of the handling of the flight at the time of occurrence; however, controllers are not able to take time from their immediate control duties nor can they afford to overload the ATC communications channels to furnish explanations. Pilots may obtain an explanation by directing a letter or telephone call to the chief controller of the facility involved.

c. Pilots have the privilege of requesting a different clearance from that which has been issued by ATC if they feel that they have information which would make another course of action more practicable or if aircraft equipment limitations or company procedures forbid compliance with the clearance issued.

4-4-5. Coded Departure Route (CDR)

a. CDRs provide air traffic control a rapid means to reroute departing aircraft when the filed route is constrained by either weather or congestion.

b. CDRs consist of an eight-character designator that represents a route of flight. The first three alphanumeric characters represent the departure airport, characters four through six represent the arrival airport, and the last two characters are chosen by the overlying ARTCC. For example, PITORDN1 is an alternate route from Pittsburgh to Chicago. Participating aircrews may then be re-cleared by air traffic control via the CDR abbreviated clearance, PITORDN1.

c. CDRs are updated on the 56 day charting cycle. Participating aircrews must ensure that their CDR is current.

d. Traditionally, CDRs have been used by air transport companies that have signed a Memorandum of Agreement with the local air traffic control facility. General aviation customers who wish to participate in the program may now enter “CDR Capable” in the remarks section of their flight plan.

e. When “CDR Capable” is entered into the remarks section of the flight plan the general aviation customer communicates to ATC the ability to decode the current CDR into a flight plan route and the willingness to fly a different route than that which was filed.

4-4-6. Special VFR Clearances

a. An ATC clearance must be obtained prior to operating within a Class B, Class C, Class D, or Class E surface area when the weather is less than that required for VFR flight. A VFR pilot may request and be given a clearance to enter, leave, or operate within most ClassD and Class E surface areas and some Class B and Class C surface areas in special VFR conditions, traffic permitting, and providing such flight will not delay IFR operations. All special VFR flights must remain clear of clouds. The visibility requirements for special VFR aircraft (other than helicopters) are:

1. At least 1 statute mile flight visibility for operations within Class B, Class C, Class D, and Class E surface areas.

2. At least 1 statute mile ground visibility if taking off or landing. If ground visibility is not reported at that airport, the flight visibility must be at least 1 statute mile.

3. The restrictions in subparagraphs 1 and 2 do not apply to helicopters. Helicopters must remain clear of clouds and may operate in Class B, Class C, Class D, and Class E surface areas with less than 1 statute mile visibility.

b. When a control tower is located within the Class B, Class C, or Class D surface area, requests for clearances should be to the tower. In a Class E surface area, a clearance may be obtained from the nearest tower, FSS, or center.

c. It is not necessary to file a complete flight plan with the request for clearance, but pilots should state their intentions in sufficient detail to permit ATC to fit their flight into the traffic flow. The clearance will not contain a specific altitude as the pilot must remain clear of clouds. The controller may require the pilot to fly at or below a certain altitude due to other traffic, but the altitude specified will permit flight at or above the minimum safe altitude. In addition, at radar locations, flights may be vectored if necessary for control purposes or on pilot request.

NOTE-
The pilot is responsible for obstacle or terrain clearance.

REFERENCE-
14 CFR Section 91.119, Minimum safe altitudes: General.

d. Special VFR clearances are effective within Class B, Class C, Class D, and Class E surface areas only. ATC does not provide separation after an aircraft leaves the Class B, Class C, Class D, or Class E surface area on a special VFR clearance.

e. Special VFR operations by fixed-wing aircraft are prohibited in some Class B and Class C surface areas due to the volume of IFR traffic. A list of these Class B and Class C surface areas is contained in 14 CFR Part 91, Appendix D, Section 3. They are also depicted on sectional aeronautical charts.

f. ATC provides separation between Special VFR flights and between these flights and other IFR flights.

g. Special VFR operations by fixed-wing aircraft are prohibited between sunset and sunrise unless the pilot is instrument rated and the aircraft is equipped for IFR flight.

h. Pilots arriving or departing an uncontrolled airport that has automated weather broadcast capability (ASOS/AWSS/AWOS) should monitor the broadcast frequency, advise the controller that they have the “one-minute weather” and state intentions prior to operating within the Class B, Class C, Class D, or Class E surface areas.

REFERENCE-
Pilot/Controller Glossary Term- One-minute Weather.

4-4-7. Pilot Responsibility upon Clearance Issuance

a. Record ATC clearance. When conducting an IFR operation, make a written record of your clearance. The specified conditions which are a part of your air traffic clearance may be somewhat different from those included in your flight plan. Additionally, ATC may find it necessary to ADD conditions, such as particular departure route. The very fact that ATC specifies different or additional conditions means that other aircraft are involved in the traffic situation.

b. ATC Clearance/Instruction Readback.
Pilots of airborne aircraft should read back those parts of ATC clearances and instructions containing altitude assignments, vectors, or runway assignments as a means of mutual verification. The read back of the “numbers" serves as a double check between pilots and controllers and reduces the kinds of communications errors that occur when a number is either “misheard" or is incorrect.

1. Include the aircraft identification in all readbacks and acknowledgments. This aids controllers in determining that the correct aircraft received the clearance or instruction. The requirement to include aircraft identification in all readbacks and acknowledgements becomes more important as frequency congestion increases and when aircraft with similar call signs are on the same frequency.

EXAMPLE-
“Climbing to Flight Level three three zero, United Twelve" or “November Five Charlie Tango, roger, cleared to land runway nine left."

2. Read back altitudes, altitude restrictions, and vectors in the same sequence as they are given in the clearance or instruction.

3. Altitudes contained in charted procedures, such as DPs, instrument approaches, etc., should not be read back unless they are specifically stated by the controller.

4. Initial read back of a taxi, departure or landing clearance should include the runway assignment, including left, right, center, etc. if applicable.

c. It is the responsibility of the pilot to accept or refuse the clearance issued.

4-4-8. IFR Clearance VFR-on-top

a. A pilot on an IFR flight plan operating in VFR weather conditions, may request VFR-on-top in lieu of an assigned altitude. This permits a pilot to select an altitude or flight level of their choice (subject to any ATC restrictions.)

b. Pilots desiring to climb through a cloud, haze, smoke, or other meteorological formation and then either cancel their IFR flight plan or operate VFR-on-top may request a climb to VFR-on-top. The ATC authorization must contain either a top report or a statement that no top report is available, and a request to report reaching VFR-on-top. Additionally, the ATC authorization may contain a clearance limit, routing and an alternative clearance if VFR-on-top is not reached by a specified altitude.

c. A pilot on an IFR flight plan, operating in VFR conditions, may request to climb/descend in VFR conditions.

d. ATC may not authorize VFR-on-top/VFR conditions operations unless the pilot requests the VFR operation or a clearance to operate in VFR conditions will result in noise abatement benefits where part of the IFR departure route does not conform to an FAA approved noise abatement route or altitude.

e. When operating in VFR conditions with an ATC authorization to “maintain VFR-on-top/maintain VFR conditions” pilots on IFR flight plans must:

1. Fly at the appropriate VFR altitude as prescribed in 14 CFR Section 91.159.

2. Comply with the VFR visibility and distance from cloud criteria in 14 CFR Section 91.155 (Basic VFR Weather Minimums).

3. 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.

NOTE-
Pilots should advise ATC prior to any altitude change to ensure the exchange of accurate traffic information.

f. ATC authorization to “maintain VFR-on-top” is not intended to restrict pilots so that they must operate only above an obscuring meteorological formation (layer). Instead, it permits operation above, below, between layers, or in areas where there is no meteorological obscuration. It is imperative, however, that pilots understand that clearance to operate “VFR-on-top/VFR conditions” does not imply cancellation of the IFR flight plan.

g. Pilots operating VFR-on-top/VFR conditions may receive traffic information from ATC on other pertinent IFR or VFR aircraft. However, aircraft operating in Class B airspace/TRSAs must be separated as required by FAA Order JO 7110.65, Air Traffic Control.

NOTE-
When operating in VFR weather conditions, it is the pilot's responsibility to be vigilant so as to see-and-avoid other aircraft.

h. ATC will not authorize VFR or VFR-on-top operations in Class A airspace.

REFERENCE-
AIM, Class A Airspace, Paragraph 3-2-2.

4-4-9. VFR/IFR Flights

A pilot departing VFR, either intending to or needing to obtain an IFR clearance en route, must be aware of the position of the aircraft and the relative terrain/obstructions. When accepting a clearance below the MEA/MIA/MVA/OROCA, pilots are responsible for their own terrain/obstruction clearance until reaching the MEA/MIA/MVA/OROCA. If pilots are unable to maintain terrain/obstruction clearance, the controller should be advised and pilots should state their intentions.

NOTE-
OROCA is an off-route altitude which provides obstruction clearance with a 1,000 foot buffer in nonmountainous terrain areas and a 2,000 foot buffer in designated mountainous areas within the U.S. This altitude may not provide signal coverage from ground-based navigational aids, air traffic control radar, or communications coverage.

4-4-10. Adherence to Clearance

a. When air traffic clearance has been obtained under either visual or instrument flight rules, the pilot-in-command of the aircraft must not deviate from the provisions thereof unless an amended clearance is obtained. When ATC issues a clearance or instruction, pilots are expected to execute its provisions upon receipt. ATC, in certain situations, will include the word “IMMEDIATELY” in a clearance or instruction to impress urgency of an imminent situation and expeditious compliance by the pilot is expected and necessary for safety. The addition of a VFR or other restriction; i.e., climb or descent point or time, crossing altitude, etc., does not authorize a pilot to deviate from the route of flight or any other provision of the ATC clearance.

b. When a heading is assigned or a turn is requested by ATC, pilots are expected to promptly initiate the turn, to complete the turn, and maintain the new heading unless issued additional instructions.

c. The term “AT PILOT'S DISCRETION” included in the altitude information of an ATC clearance means that ATC has offered the pilot the option to start climb or descent when the pilot wishes, is authorized to conduct the climb or descent at any rate, and to temporarily level off at any intermediate altitude as desired. However, once the aircraft has vacated an altitude, it may not return to that altitude.

d. When ATC has not used the term “AT PILOT'S DISCRETION” nor imposed any climb or descent restrictions, pilots should initiate climb or descent promptly on acknowledgement of the clearance. Descend or climb at an optimum rate consistent with the operating characteristics of the aircraft to 1,000 feet above or below the assigned altitude, and then attempt to descend or climb at a rate of between 500 and 1,500 fpm until the assigned altitude is reached. If at anytime the pilot is unable to climb or descend at a rate of at least 500 feet a minute, advise ATC. If it is necessary to level off at an intermediate altitude during climb or descent, advise ATC, except when leveling off at 10,000 feet MSL on descent, or 2,500 feet above airport elevation (prior to entering a Class C or Class D surface area), when required for speed reduction.

REFERENCE-
14 CFR Section 91.117.

NOTE-
Leveling off at 10,000 feet MSL on descent or 2,500 feet above airport elevation (prior to entering a Class C or Class D surface area) to comply with 14 CFR Section 91.117 airspeed restrictions is commonplace. Controllers anticipate this action and plan accordingly. Leveling off at any other time on climb or descent may seriously affect air traffic handling by ATC. Consequently, it is imperative that pilots make every effort to fulfill the above expected actions to aid ATC in safely handling and expediting traffic.

e. If the altitude information of an ATC DESCENT clearance includes a provision to “CROSS (fix) AT” or “AT OR ABOVE/BELOW (altitude),” the manner in which the descent is executed to comply with the crossing altitude is at the pilot's discretion. This authorization to descend at pilot's discretion is only applicable to that portion of the flight to which the crossing altitude restriction applies, and the pilot is expected to comply with the crossing altitude as a provision of the clearance. Any other clearance in which pilot execution is optional will so state “AT PILOT'S DISCRETION.”

EXAMPLE-
1. “United Four Seventeen, descend and maintain six thousand.”

NOTE-
1. The pilot is expected to commence descent upon receipt of the clearance and to descend at the suggested rates until reaching the assigned altitude of 6,000 feet.

EXAMPLE-
2. “United Four Seventeen, descend at pilot's discretion, maintain six thousand.”

NOTE-
2. The pilot is authorized to conduct descent within the context of the term at pilot's discretion as described above.

EXAMPLE-
3. “United Four Seventeen, cross Lakeview V-O-R at or above Flight Level two zero zero, descend and maintain six thousand.”

NOTE-
3. The pilot is authorized to conduct descent at pilot's discretion until reaching Lakeview VOR and must comply with the clearance provision to cross the Lakeview VOR at or above FL 200. After passing Lakeview VOR, the pilot is expected to descend at the suggested rates until reaching the assigned altitude of 6,000 feet.

EXAMPLE-
4. “United Four Seventeen, cross Lakeview V-O-R at six thousand, maintain six thousand.”

NOTE-
4. The pilot is authorized to conduct descent at pilot's discretion, however, must comply with the clearance provision to cross the Lakeview VOR at 6,000 feet.

EXAMPLE-
5. “United Four Seventeen, descend now to Flight Level two seven zero, cross Lakeview V-O-R at or below one zero thousand, descend and maintain six thousand.”

NOTE-
5. The pilot is expected to promptly execute and complete descent to FL 270 upon receipt of the clearance. After reaching FL 270 the pilot is authorized to descend “at pilot's discretion” until reaching Lakeview VOR. The pilot must comply with the clearance provision to cross Lakeview VOR at or below 10,000 feet. After Lakeview VOR the pilot is expected to descend at the suggested rates until reaching 6,000 feet.

EXAMPLE-
6. “United Three Ten, descend now and maintain Flight Level two four zero, pilot's discretion after reaching Flight Level two eight zero.”

NOTE-
6. The pilot is expected to commence descent upon receipt of the clearance and to descend at the suggested rates until reaching FL 280. At that point, the pilot is authorized to continue descent to FL 240 within the context of the term “at pilot's discretion” as described above.

f. In case emergency authority is used to deviate from provisions of an ATC clearance, the pilot-in-command must notify ATC as soon as possible and obtain an amended clearance. In an emergency situation which does not result in a deviation from the rules prescribed in 14 CFR Part 91 but which requires ATC to give priority to an aircraft, the pilot of such aircraft must, when requested by ATC, make a report within 48 hours of such emergency situation to the manager of that ATC facility.

g. The guiding principle is that the last ATC clearance has precedence over the previous ATC clearance. When the route or altitude in a previously issued clearance is amended, the controller will restate applicable altitude restrictions. If altitude to maintain is changed or restated, whether prior to departure or while airborne, and previously issued altitude restrictions are omitted, those altitude restrictions are canceled, including departure procedures and STAR altitude restrictions.

EXAMPLE-
1. A departure flight receives a clearance to destination airport to maintain FL 290. The clearance incorporates a DP which has certain altitude crossing restrictions. Shortly after takeoff, the flight receives a new clearance changing the maintaining FL from 290 to 250. If the altitude restrictions are still applicable, the controller restates them.

2. A departing aircraft is cleared to cross Fluky Intersection at or above 3,000 feet, Gordonville VOR at or above 12,000 feet, maintain FL 200. Shortly after departure, the altitude to be maintained is changed to FL 240. If the altitude restrictions are still applicable, the controller issues an amended clearance as follows: “cross Fluky Intersection at or above three thousand, cross Gordonville V-O-R at or above one two thousand, maintain Flight Level two four zero.”

3. An arriving aircraft is cleared to the destination airport via V45 Delta VOR direct; the aircraft is cleared to cross Delta VOR at 10,000 feet, and then to maintain 6,000 feet. Prior to Delta VOR, the controller issues an amended clearance as follows: “turn right heading one eight zero for vector to runway three six I-L-S approach, maintain six thousand.”

NOTE-
Because the altitude restriction “cross Delta V-O-R at 10,000 feet” was omitted from the amended clearance, it is no longer in effect.

h. Pilots of turbojet aircraft equipped with afterburner engines should advise ATC prior to takeoff if they intend to use afterburning during their climb to the en route altitude. Often, the controller may be able to plan traffic to accommodate a high performance climb and allow the aircraft to climb to the planned altitude without restriction.

i. If an “expedite” climb or descent clearance is issued by ATC, and the altitude to maintain is subsequently changed or restated without an expedite instruction, the expedite instruction is canceled. Expedite climb/descent normally indicates to the pilot that the approximate best rate of climb/descent should be used without requiring an exceptional change in aircraft handling characteristics. Normally controllers will inform pilots of the reason for an instruction to expedite.

4-4-11. IFR Separation Standards

a. ATC effects separation of aircraft vertically by assigning different altitudes; longitudinally by providing an interval expressed in time or distance between aircraft on the same, converging, or crossing courses, and laterally by assigning different flight paths.

b. Separation will be provided between all aircraft operating on IFR flight plans except during that part of the flight (outside Class B airspace or a TRSA) being conducted on a VFR-on-top/VFR conditions clearance. Under these conditions, ATC may issue traffic advisories, but it is the sole responsibility of the pilot to be vigilant so as to see and avoid other aircraft.

c. When radar is employed in the separation of aircraft at the same altitude, a minimum of 3 miles separation is provided between aircraft operating within 40 miles of the radar antenna site, and 5 miles between aircraft operating beyond 40 miles from the antenna site. These minima may be increased or decreased in certain specific situations.

NOTE-
Certain separation standards are increased in the terminal environment when CENRAP is being utilized.

4-4-12. Speed Adjustments

a. ATC will issue speed adjustments to pilots of radar-controlled aircraft to achieve or maintain required or desire spacing.

b. ATC will express all speed adjustments in terms of knots based on indicated airspeed (IAS) in 10 knot increments except that at or above FL 240 speeds may be expressed in terms of Mach numbers in 0.01 increments. The use of Mach numbers is restricted to turbojet aircraft with Mach meters.

c. Pilots complying with speed adjustments are expected to maintain a speed within plus or minus 10 knots or 0.02 Mach number of the specified speed.

d. When ATC assigns speed adjustments, it will be in accordance with the following recommended minimums:

1. To aircraft operating between FL 280 and 10,000 feet, a speed not less than 250 knots or the equivalent Mach number.

NOTE-
1. On a standard day the Mach numbers equivalent to 250 knots CAS (subject to minor variations) are:
FL 240-0.6
FL 250-0.61
FL 260-0.62
FL 270-0.64
FL 280-0.65
FL 290-0.66.

2. When an operational advantage will be realized, speeds lower than the recommended minima may be applied.

2. To arriving turbojet aircraft operating below 10,000 feet:

(a) A speed not less than 210 knots, except;

(b) Within 20 flying miles of the airport of intended landing, a speed not less than 170 knots.

3. To arriving reciprocating engine or turboprop aircraft within 20 flying miles of the runway threshold of the airport of intended landing, a speed not less than 150 knots.

4. To departing aircraft:

(a) Turbojet aircraft, a speed not less than 230 knots.

(b) Reciprocating engine aircraft, a speed not less than 150 knots.

e. When ATC combines a speed adjustment with a descent clearance, the sequence of delivery, with the word “then” between, indicates the expected order of execution.

EXAMPLE-
1. Descend and maintain (altitude); then, reduce speed to (speed).

2. Reduce speed to (speed); then, descend and maintain (altitude).

NOTE-
The maximum speeds below 10,000 feet as established in 14 CFR Section 91.117 still apply. If there is any doubt concerning the manner in which such a clearance is to be executed, request clarification from ATC.

f. If ATC determines (before an approach clearance is issued) that it is no longer necessary to apply speed adjustment procedures, they will:

1. Advise the pilot to “resume normal speed.” Normal speed is used to terminate ATC assigned speed adjustments on segments where no published speed restrictions apply. It does not cancel published restrictions on upcoming procedures. This does not relieve the pilot of those speed restrictions which are applicable to 14 CFR Section 91.117.

EXAMPLE-
(An aircraft is flying a SID with no published speed restrictions. ATC issues a speed adjustment and instructs the aircraft where the adjustment ends): “Maintain two two zero knots until BALTR then resume normal speed.”

NOTE-
The ATC assigned speed assignment of two two zero knots would apply until BALTR. The aircraft would then resume a normal operating speed while remaining in compliance with 14 CFR Section 91.117.

2. Instruct pilots to “comply with speed restrictions” when the aircraft is joining or resuming a charted procedure or route with published speed restrictions.

EXAMPLE-
(ATC vectors an aircraft off of a SID to rejoin the procedure at a subsequent waypoint. When instructing the aircraft to resume the procedure, ATC also wants the aircraft to comply with the published procedure speed restrictions): “Resume the SALTY ONE departure. Comply with speed restrictions.”

CAUTION-
The phraseology “comply with restrictions” requires compliance with all altitude and/or speed restrictions depicted on the procedure.

3. Instruct the pilot to “resume published speed.” Resume published speed is issued to terminate a speed adjustment where speed restrictions are published on a charted procedure.

NOTE-
When instructed to “comply with speed restrictions” or to “resume published speed,” ATC anticipates pilots will begin adjusting speed the minimum distance necessary prior to a published speed restriction so as to cross the waypoint/fix at the published speed. Once at the published speed, ATC expects pilots will maintain the published speed until additional adjustment is required to comply with further published or ATC assigned speed restrictions or as required to ensure compliance with 14 CFR Section 91.117.

EXAMPLE-
(An aircraft is flying a SID/STAR with published speed restrictions. ATC issues a speed adjustment and instructs the aircraft where the adjustment ends): “Maintain two two zero knots until BALTR then resume published speed.”

NOTE-
The ATC assigned speed assignment of two two zero knots would apply until BALTR. The aircraft would then comply with the published speed restrictions.

4. Advise the pilot to “delete speed restrictions” when either ATC assigned or published speed restrictions on a charted procedure are no longer required.

EXAMPLE-
(An aircraft is flying a SID with published speed restrictions designed to prevent aircraft overtake on departure. ATC determines there is no conflicting traffic and deletes the speed restriction): “Delete speed restrictions.”

NOTE-
When deleting published restrictions, ATC must ensure obstacle clearance until aircraft are established on a route where no published restrictions apply. This does not relieve the pilot of those speed restrictions which are applicable to 14 CFR Section 91.117.

g. Approach clearances supersede any prior speed adjustment assignments, and pilots are expected to make their own speed adjustments as necessary to complete the approach. However, under certain circumstances, it may be necessary for ATC to issue further speed adjustments after approach clearance is issued to maintain separation between successive arrivals. Under such circumstances, previously issued speed adjustments will be restated if that speed is to be maintained or additional speed adjustments are requested. Speed adjustments should not be assigned inside the final approach fix on final or a point 5 miles from the runway, whichever is closer to the runway.

h. The pilots retain the prerogative of rejecting the application of speed adjustment by ATC if the minimum safe airspeed for any particular operation is greater than the speed adjustment.

NOTE-
In such cases, pilots are expected to advise ATC of the speed that will be used.

i. Pilots are reminded that they are responsible for rejecting the application of speed adjustment by ATC if, in their opinion, it will cause them to exceed the maximum indicated airspeed prescribed by 14 CFR Section 91.117(a), (c) and (d). IN SUCH CASES, THE PILOT IS EXPECTED TO SO INFORM ATC. Pilots operating at or above 10,000 feet MSL who are issued speed adjustments which exceed 250 knots IAS and are subsequently cleared below 10,000 feet MSL are expected to comply with 14 CFR Section 91.117(a).

j. Speed restrictions of 250 knots do not apply to U.S. registered aircraft operating beyond 12 nautical miles from the coastline within the U.S. Flight Information Region, in Class E airspace below 10,000 feet MSL. However, in airspace underlying a Class B airspace area designated for an airport, or in a VFR corridor designated through such as a Class B airspace area, pilots are expected to comply with the 200 knot speed limit specified in 14 CFR Section 91.117(c).

k. For operations in a Class C and Class D surface area, ATC is authorized to request or approve a speed greater than the maximum indicated airspeeds prescribed for operation within that airspace (14 CFR Section 91.117(b)).

NOTE-
Pilots are expected to comply with the maximum speed of 200 knots when operating beneath Class B airspace or in a Class B VFR corridor (14 CFR Section 91.117(c) and (d)).

l. When in communications with the ARTCC or approach control facility, pilots should, as a good operating practice, state any ATC assigned speed restriction on initial radio contact associated with an ATC communications frequency change.

4-4-13. Runway Separation

Tower controllers establish the sequence of arriving and departing aircraft by requiring them to adjust flight or ground operation as necessary to achieve proper spacing. They may “HOLD” an aircraft short of the runway to achieve spacing between it and an arriving aircraft; the controller may instruct a pilot to “EXTEND DOWNWIND” in order to establish spacing from an arriving or departing aircraft. At times a clearance may include the word “IMMEDIATE.” For example: “CLEARED FOR IMMEDIATE TAKEOFF.” In such cases “IMMEDIATE” is used for purposes of air traffic separation. It is up to the pilot to refuse the clearance if, in the pilot's opinion, compliance would adversely affect the operation.

REFERENCE-
AIM, Gate Holding due to Departure Delays, Paragraph 4-3-15.

4-4-14. Visual Separation

a. Visual separation is a means employed by ATC to separate aircraft in terminal areas and en route airspace in the NAS. There are two methods employed to effect this separation:

1. The tower controller sees the aircraft involved and issues instructions, as necessary, to ensure that the aircraft avoid each other.

2. A pilot sees the other aircraft involved and upon instructions from the controller provides separation by maneuvering the aircraft to avoid it. When pilots accept responsibility to maintain visual separation, they must maintain constant visual surveillance and not pass the other aircraft until it is no longer a factor.

NOTE-
Traffic is no longer a factor when during approach phase the other aircraft is in the landing phase of flight or executes a missed approach; and during departure or en route, when the other aircraft turns away or is on a diverging course.

b. A pilot's acceptance of instructions to follow another aircraft or 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. In operations conducted behind heavy jet aircraft, it is also an acknowledgment that the pilot accepts the responsibility for wake turbulence separation.

NOTE-
When a pilot has been told to follow another aircraft or to provide visual separation from it, the pilot should promptly notify the controller if visual contact with the other aircraft is lost or cannot be maintained or if the pilot cannot accept the responsibility for the separation for any reason.

c. Scanning the sky for other aircraft is a key factor in collision avoidance. Pilots and copilots (or the right seat passenger) should continuously scan to cover all areas of the sky visible from the cockpit. Pilots must develop an effective scanning technique which maximizes one's visual capabilities. Spotting a potential collision threat increases directly as more time is spent looking outside the aircraft. One must use timesharing techniques to effectively scan the surrounding airspace while monitoring instruments as well.

d. Since the eye can focus only on a narrow viewing area, effective scanning is accomplished with a series of short, regularly spaced eye movements that bring successive areas of the sky into the central visual field. Each movement should not exceed ten degrees, and each area should be observed for at least one second to enable collision detection. Although many pilots seem to prefer the method of horizontal back-and-forth scanning every pilot should develop a scanning pattern that is not only comfortable but assures optimum effectiveness. Pilots should remember, however, that they have a regulatory responsibility (14 CFR Section 91.113(a)) to see and avoid other aircraft when weather conditions permit.

4-4-15. Use of Visual Clearing Procedures

a. Before Takeoff. Prior to taxiing onto a runway or landing area in preparation for takeoff, pilots should scan the approach areas for possible landing traffic and execute the appropriate clearing maneuvers to provide them a clear view of the approach areas.

b. Climbs and Descents. During climbs and descents in flight conditions which permit visual detection of other traffic, pilots should execute gentle banks, left and right at a frequency which permits continuous visual scanning of the airspace about them.

c. Straight and Level. Sustained periods of straight and level flight in conditions which permit visual detection of other traffic should be broken at intervals with appropriate clearing procedures to provide effective visual scanning.

d. Traffic Pattern. Entries into traffic patterns while descending create specific collision hazards and should be avoided.

e. Traffic at VOR Sites. All operators should emphasize the need for sustained vigilance in the vicinity of VORs and airway intersections due to the convergence of traffic.

f. Training Operations. Operators of pilot training programs are urged to adopt the following practices:

1. Pilots undergoing flight instruction at all levels should be requested to verbalize clearing procedures (call out “clear” left, right, above, or below) to instill and sustain the habit of vigilance during maneuvering.

2. High-wing airplane. Momentarily raise the wing in the direction of the intended turn and look.

3. Low-wing airplane.Momentarily lower the wing in the direction of the intended turn and look.

4. Appropriate clearing procedures should precede the execution of all turns including chandelles, lazy eights, stalls, slow flight, climbs, straight and level, spins, and other combination maneuvers.

4-4-16. Traffic Alert and Collision Avoidance System (TCAS I & II)

a. TCAS I provides proximity warning only, to assist the pilot in the visual acquisition of intruder aircraft. No recommended avoidance maneuvers are provided nor authorized as a direct result of a TCAS I warning. It is intended for use by smaller commuter aircraft holding 10 to 30 passenger seats, and general aviation aircraft.

b. TCAS II provides traffic advisories (TAs) and resolution advisories (RAs). Resolution advisories provide recommended maneuvers in a vertical direction (climb or descend only) to avoid conflicting traffic. Airline aircraft, and larger commuter and business aircraft holding 31 passenger seats or more, use TCAS II equipment.

1. Each pilot who deviates from an ATC clearance in response to a TCAS II RA must notify ATC of that deviation as soon as practicable and expeditiously return to the current ATC clearance when the traffic conflict is resolved.

2. Deviations from rules, policies, or clearances should be kept to the minimum necessary to satisfy a TCAS II RA.

3. The serving IFR air traffic facility is not responsible to provide approved standard IFR separation to an aircraft after a TCAS II RA maneuver until one of the following conditions exists:

(a) The aircraft has returned to its assigned altitude and course.

(b) Alternate ATC instructions have been issued.

c. TCAS does not alter or diminish the pilot's basic authority and responsibility to ensure safe flight. Since TCAS does not respond to aircraft which are not transponder equipped or aircraft with a transponder failure, TCAS alone does not ensure safe separation in every case.

d. At this time, no air traffic service nor handling is predicated on the availability of TCAS equipment in the aircraft.

4-4-17. Traffic Information Service (TIS)

a. TIS provides proximity warning only, to assist the pilot in the visual acquisition of intruder aircraft. No recommended avoidance maneuvers are provided nor authorized as a direct result of a TIS intruder display or TIS alert. It is intended for use by aircraft in which TCAS is not required.

b. TIS does not alter or diminish the pilot's basic authority and responsibility to ensure safe flight. Since TIS does not respond to aircraft which are not transponder equipped, aircraft with a transponder failure, or aircraft out of radar coverage, TIS alone does not ensure safe separation in every case.

c. At this time, no air traffic service nor handling is predicated on the availability of TIS equipment in the aircraft.

d. Presently, no air traffic services or handling is predicated on the availability of an ADS-B cockpit display. A “traffic-in-sight” reply to ATC must be based on seeing an aircraft out-the-window, NOT on the cockpit display.

 

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