A Legal Analysis of 14 C.F.R. Part 91 See and Avoid
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Journal of Air Law and Commerce Volume 80 | Issue 1 Article 13 2015 A Legal Analysis of 14 C.F.R. Part 91 See and Avoid Rules to Identify Provisions Focused on Pilot Responsibilities to See and Avoid in the National Airspace System Ernest E. Anderson William Watson Douglas M. Marshall Kathleen M. Johnson Follow this and additional works at: https://scholar.smu.edu/jalc Recommended Citation Ernest E. Anderson et al., A Legal Analysis of 14 C.F.R. Part 91 See and Avoid Rules to Identify Provisions Focused on Pilot Responsibilities to See and Avoid in the National Airspace System, 80 J. Air L. & Com. 53 (2015) https://scholar.smu.edu/jalc/vol80/iss1/13 This Article is brought to you for free and open access by the Law Journals at SMU Scholar. It has been accepted for inclusion in Journal of Air Law and Commerce by an authorized administrator of SMU Scholar. For more information, please visit http://digitalrepository.smu.edu. A LEGAL ANALYSIS OF 14 C.F.R. PART 91 "SEE AND AVOID" RULES TO IDENTIFY PROVISIONS FOCUSED ON PILOT RESPONSIBILITIES TO "SEE AND AVOID" IN THE NATIONAL AIRSPACE SYSTEM PROFESSOR ERNEST E. ANDERSON, J.D.* PROFESSOR WILLIAM WATSON, J.D.** DOUGLAS M. MARSHALL, J.D.*** KATHLEEN M. JOHNSON, J.D.**** * Ernest Anderson, J.D., is an Associate Professor in the Department of Aviation at the University of North Dakota. Prior to joining UND in 2003, he served as an attorney with the Southwest Region of the Federal Aviation Administration. He also served six years active duty with the Marine Corps as a helicopter pilot. During his eleven-year association with UND, Professor Anderson has taught courses in aerospace law, helicopter systems, and a Master's degree course in aviation policy and regulation. ** William D. Watson, J.D., is an Assistant Professor of Aviation at the University of North Dakota. He teaches Aviation Law, Helicopter Aerodynamics, and the Safety Management System (SMS) in the graduate school. He researches in the area of Unmanned Aircraft Systems (UAS). Prior to his tenure at UND, Professor Watson piloted helicopters in the U.S. Army, practiced aviation law in Los Angeles, CA, and was a Deputy Attorney General for the state of California. *** Owner, TrueNorth Consulting LLC, a UAS support and service organization founded in 2007; previously served as Division Manager, UAS Regulations & Standards Development at New Mexico State University; and Professor of Aviation at the University of North Dakota. He is co-editor of two books related to aviation, co-author of Introduction to Unmanned Aircraft Systems, and is author of numerous published articles on aviation law, regulations, and remotely piloted aircraft. Prior to his academic appointments he practiced aviation, maritime, and employment law in California. **** Kathleen M. Johnson, J.D., graduated from the University of North Dakota School of Law in 2014. She is a judicial law clerk for the South Central Judicial District in North Dakota. The research team with the University of North Dakota would like to gratefully acknowledge the leadership and guidance of Mr. Philip Maloney, FAA Technical Center, and Mr. Charles C. Johnson, FAA Technical Center. Without their guidance, completing this project on time would not have been possible. The research team would also like to gratefully acknowledge Mr. Terry Dempsey, Legal Information Officer, Office of the Chief Counsel, Washington DC. Without his insight on what resources would best meet our research needs and help accessing the FAA Legal Library, important material for this report would not have been available. While this article was prepared under the sponsorship of the Federal Aviation Administration, the views contained herein are those of the authors. The United States Government and the Federal Aviation Administration assume no liability for its contents or use thereof. 54 JOURNAL OF AIR LA W AND COMMERCE [80 TABLE OF CONTENTS I. EXECUTIVE SUMMARY ........................... 57 A. PART 91 REGULATIONS IMPOSING DIRECT DUTY TO "SEE AND AVOID".............................. 57 B. PART 91 REGULATIONS FACILITATING "SEE AND AVOID" RESPONSIBILITIES ........................ 58 C. REGULATIONS PROVIDING USAGE OF ENHANCED SYSTEM S ........................................ 58 II. INTRODUCTION .................................. 60 III. REGULATIONS IMPOSING DIRECT DUTY TO "SEE AND AVOID" ................................ 63 A. 14 C.F.R. § 91.3 RESPONSIBILITY AND AUTHORITY OF THE PILOT IN COMMAND, AND SECTION 91.123 COMPLIANCE WITH ATC CLEARANCE AND INSTRUCTIONS .................................. 63 1. Introduction ................................. 63 2. History of Section 91.3 ....................... 63 3. Analysis of Section 91.3 ...................... 65 a. Emergency Must Not Be of Pilot's Own M aking ................................ 66 b. Emergency Must Occur In-Flight ...... 67 c. Requests for Waiver From Regulations - o,,* **-**.*.*.".-*.''**..".- **-*..,. 68 d. Avoiding Collisions Is an Emergency Contemplated by Section 91.3 ......... 68 e. Two-Way Radio Communications Failure ................................. 69 4. Analysis of Deviations Contemplated by Section 91.123 ...................................... 69 B. 14 C.F.R. § 91.13 CARELESS OR RECKLESS O PERATION ..................................... 71 1. Introduction ................................. 71 2. Background and Analysis of Section 91.13 .... 71 3. Careless Standard............................ 76 a. Breadth of Section 91.13(a) ........... 76 b. Actual or Potential Endangerment? ... 78 c. Does Section 91.13(a) Apply to Non- Pilots? .................................. 78 d. Application of Section 91.13(a) for Other Than Air Navigation ............ 79 4. Reckless Standard............................ 81 2015] "SEE AND A VOID" RULES 5. Application of Section 91.13 to Regulations Related to the Duty to "See and Avoid" Other A ircraft ..................................... 83 a. Section 91.111 ......................... 83 b. Section 91.113 ......................... 84 c. Section 91.155 ......................... 84 6. Aeronautical Information Manual (AIM) and Advisory Circulars ........................... 84 C. 14 C.F.R. § 91.111 OPERATING NEAR OTHER AIRCRAFT ....................................... 85 D. 14 C.F.R. § 91.113 RIGHT-OF-WAY RULES: EXCEPT WATER OPERATIONS .................... 92 1. Vigilance .................................... 93 2. The Reasonable Prudent Pilot and the Duty of Vigilance .................................... 97 3. Well Clear................................... 101 4. Duty of See the Invisible-The Duty to "Visualize and Avoid" ....................... 108 5. Air Traffic Control and "See and Avoid"...... 112 E. 14 C.F.R. § 91.126 OPERATION ON OR IN VICINITY OF AN AIRPORT IN CLASS G AIRSPACE .. 129 1. Introduction ................................. 129 2. Discussion ................................... 130 F. 14 C.F.R. § 91.155 BASIC VFR WEATHER M INIMUMS ...................................... 133 1. Introduction ................................. 133 2. Background and Analysis of Section 91.155... 133 a. Visibility ............................... 138 b. Cloud Clearance ....................... 141 c. Pilot's Duty to "See and Avoid" and to Be Seen and Avoided .................. 141 G. 14 C.F.R. § 91.185 IFR OPERATIONS: Two-WAY RADIO COMMUNICATIONS FAILURE .............. 142 IV. REGULATIONS FACILITATING "SEE AND AVOID" RESONSIBILITY .......................... 143 A. 14 C.F.R. § 91.105 FLIGHT CREWMEMBERS AT STATIONS ....................................... 143 1. Introduction ................................. 143 2. Discussion ................................... 144 B. 14 C.F.R. § 91.117 AIRCRAFr SPEED ............. 146 1. Introduction ................................. 146 2. History of Section 91.117 .................... 146 3. Analysis of Section 91.117 ................... 148 JOURNAL OF AIR LAW AN) COMMERCE [80 a. Authorized Deviations ................. 149 C. 14 C.F.R. § 91.181 COURSE TO BE FLOWN ...... 149 D. 14 C.F.R. § 91.209 AIRCRAFT LIGHTS ........... 151 1. Introduction................................. 151 2. History of Section 91.209 .................... 151 3. Summary of Section 91.209 .................. 152 V. REGULATIONS PROVIDING FOR USEAGE OF ENHANCED SYSTEMS ............................ 153 A. 14 C.F.R. § 91.221 TRAEFIC ALERT AND COLLISION AVOIDANCE SYSTEM EQUIPMENT AND U SE ............................................ 154 1. Introduction ................................. 154 2. Statutory and Regulatory Background ......... 154 3. Analysis of Section 91.221 ................... 156 4. FAA Advisory Circulars ...................... 157 5. Implementation of TCAS in the National Airspace System .............................. 158 6. NASA TCAS Study .......................... 163 B. 14 C.F.R. § 91.225 AUTOMATIC DEPENDENT SURVEILLANCE-BROADCAST (ADS-B) OUT EQUIPMENT AND USE ........................... 166 1. Introduction ................................. 166 2. Statutory and Regulatory Background ......... 166 C. DISCUSSION OF OTHER FORMS OF TRANSPORTATION: MARITIME ANTICOLLISION RULES AND PERSPECTIVES IN SUPPORT OF PART 3 OF CURRENT RESEARCH ......................... 172 VI. RESULTS AND CONCLUSIONS .................. 176 VII. APPENDICES ...................................... 178 A. APPENDIX A: RELEVANT STATUTORY PROVISIONS. 178 B. APPENDIX B: RELEVANT ADMINISTRATIVE RULES . 181 C. APPENDIX C: REGULATORY GUIDANCE ........... 199 D. APPENDIX D: ACRONYMS AND LIST OF REGULATIONS ................................... 233 VIII. LIST OF FIGURES