Upgrading to captain is a special moment in any pilot’s career. Putting on the fourth stripe gives the pilot added authority, and with that comes more responsibility and accountability. In the eyes of the regulator and your organization, the buck stops at the left seat with regards to safety and operational matters. Understanding the history, intent, and limits of this authority will ease this added burden for both the new and seasoned pilot-in-command.

The origins of captain’s authority are deeply rooted in maritime law and tradition. At sea, operations in an unnatural environment required a single responsible authority. A ship’s captain had absolute authority and was the unquestioned commander responsible for the ship, cargo, and crew. In fact, as an example, depending on the country’s flag being flown, the captain could order someone restrained or locked up, remove any member of the staff, refuse to carry passengers or cargo, and legally perform a marriage.

In the early years of aviation, before 1930, there wasn’t a strong need to mandate an aircraft commander until the advent of flying boats. These aircraft, such as the Pan Am Clippers, had multiple crewmembers that created the need to designate a commander. Early regulations, gave the pilot in command (PIC)—while in flight—the final responsibility and authority of the aircraft and crewmembers.

In the U.S., the current regulation outlining the responsibility and authority of the PIC is largely unchanged from the 1930s. Specifically, FAR 91.3 states, “The PIC of an aircraft is directly responsible for and is the final authority as to the operation of that aircraft.” The regulation further notes that in the event of “an in-flight emergency requiring immediate action, the PIC may deviate from any rule…to the extent required to meet the emergency.” This rule goes on to state that if the PIC deviates from a rule, a written report to the administrator may be required.

Airline pilots must take into account the concept of “operational control” that is addressed in 14 CFR 121.533. This rule is what differentiates airline pilots from their seafaring counterparts. Elements of this reg outline the responsibilities of the certificate holder, aircraft dispatcher, and PIC. Operating under this rule, the PIC must understand that there is a shared joint responsibility with the dispatcher for preflight planning, delay, and dispatch of the flight. The intent is to continue to work with the dispatcher throughout the flight, especially when things don’t go as planned. During flight—defined as once the aircraft is operating under its own power for the purpose of flight—this rule specifies that the PIC is responsible for the safety of flight and grants full control and authority over other crewmembers.

Notwithstanding, during an actual in-flight emergency, all bets are off and the PIC can deviate from any rule, as necessary. This emergency authority allows the PIC to do whatever it takes to get the aircraft safely on the ground. Declaring an emergency with air traffic control is often very prudent and helps align the necessary resources to make the captain’s job easier.

After the emergency, the PIC should be prepared to document all of the details of the event and submit and required company reports, as well as a NASA or ASAP report, if that’s an option. It’s typical for the FAA to investigate an incident; it’s their job. Emergencies involving air carriers or air-taxi operations get more scrutiny. In fact, air traffic managers are specifically directed to notify FAA headquarters if an incident involves an air carrier or air-taxi operator.

As stated, regulations, at least in the U.S., are very specific and limit a captain’s authority only to flight. By design, this makes sense and as a captain, you can use this to your advantage. On the ground, at zero airspeed, there’s adequate time to consult with a dispatcher or others to help with decision making. Once airborne, though, decisions must be made “on the fly,” and this is where the captain has full authority.

Pilot, safety expert, consultant, and aviation journalist Kipp Lau writes about flight safety and airmanship for AIN. He can be reached by email.