National Airspace System
Status of FAA's Standard Terminal Automation Replacement System Gao ID: GAO-02-1071 September 17, 2002Since September 1996, the Federal Aviation Administration (FAA) has been developing the Standard Terminal Automation Replacement System (STARS) project to replace the outdated computer equipment that air traffic controllers currently use in some facilities to control air traffic within 5 to 50 nautical miles of an airport. Comparing the currently projected cost and deployment schedule for STARS with the original cost and schedule is difficult because the program presently bears little resemblance to the program envisioned in 1996. FAA has officially changed the cost, schedule, and requirements for STARS twice. In October 1999, FAA estimated the cost for its new approach at $1.4 billion, with a schedule to begin deploying STARS in 2002 at 188 facilities and complete installation at all facilities by 2008. The second change occurred in March 2002, when FAA lowered its estimate from $1.4 billion to $1.33 billion, reduced the number of facilities receiving STARS from 188 to 74, and changed the date to complete installation at all facilities from 2008 to 2005. FAA responded to the Department of Transportation Inspector General's concerns about the agency's plans for deploying STARS in Philadelphia by stating that it plans to follow its policy for testing STARS and addressing critical software problems. Because the FAA changed the date for deploying STARS at the first facility from 1998 to 2002, it had to implement interim systems to allow it to continue to meet demands for air traffic services. Specifically, it had to replace radar displays and other hardware that were difficult to maintain and had limited capacity to accommodate software that would allow FAA to add new features. FAA documents show the cost to implement these interim solutions when STARS was delayed was $90.5 million.
GAO-02-1071, National Airspace System: Status of FAA's Standard Terminal Automation Replacement System
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Report to Congressional Requesters:
September 2002:
National Airspace System:
Status of FAA‘s Standard Terminal Automation Replacement System:
GAO-02-1071:
Contents:
Letter:
Results in Brief:
Background:
Major STARS Project Changes Make Comparisons of Costs and Schedules
Difficult:
FAA Has Changed Its Official Estimates Twice:
FAA Officials Said They Plan to Follow Agency Policy in Testing STARS
and Addressing Software Problems but Acknowledge that Challenges
Remain:
Changes in the Schedule for Deploying STARS Led FAA to Implement
Interim Projects:
Agency Comments:
Scope and Methodology:
Appendix:
Appendix I: GAO Contacts and Staff Acknowledgements:
GAO Contacts:
Staff Acknowledgments:
Table:
Table 1: Baseline and Approved Changes to STARS
Figures:
Figure 1: Standard Terminal Automation Replacement System (STARS)
Figure 2: STARS Software Development Phases
Figure 3: STARS Operational Schedule
Abbreviations:
ARTS: Automated Radar Terminal System:
DOD: Department of Defense:
DOT: Department of Transportation:
FAA: Federal Aviation Administration:
IG: Inspector General:
PTR: program trouble report:
STARS: Standard Terminal Automation Replacement System:
Letter:
September 17, 2002:
The Honorable Sonny Callahan
The Honorable Ellen O. Tauscher
House of Representatives:
Since September 1996, the Federal Aviation Administration (FAA) has
been developing the Standard Terminal Automation Replacement System
(STARS) project to replace the outdated computer equipment that air
traffic controllers currently use in some facilities to control air
traffic within 5 to 50 nautical miles of an airport. Under the STARS
project, controllers at both FAA and the Department of Defense (DOD)
locations will receive new hardware and software that produce color
displays of aircraft position and flight information.[Footnote 1] In
the future, FAA will be able to upgrade the software to provide air
traffic control tools, such as those that will allow better spacing of
aircraft as they descend into airports. The STARS project is complex,
costly, and software intensive. Since 1997, GAO and the Department of
Transportation‘s (DOT) Office of the Inspector General (IG) have
reported on the status of STARS. Recently, the DOT IG raised concerns
about FAA‘s plans for testing STARS and resolving problems identified
during testing before deploying STARS later this year at the
Philadelphia air traffic control facility.[Footnote 2] As agreed with
your offices, this report addresses the following questions:
* How do the currently projected cost and deployment schedule for STARS
compare with the original cost and schedule?
* How often has FAA changed its approved estimates?
* How has FAA responded to the DOT IG‘s concerns about the agency‘s
plans for deploying STARS in Philadelphia?
* What has been the impact of changes in the schedule for deploying
STARS?
You also asked how our analysis of the cost and schedule for STARS
compares with FAA‘s and the DOT IG‘s analyses. We did not perform an
independent analysis of the cost and schedule of STARS, in part because
of time constraints and in part because FAA is reassessing its plans
for modernizing the equipment in terminal facilities. Specifically, FAA
is exploring how it can reduce its future STARS costs by using portions
of equipment developed for STARS with other automated equipment that it
recently deployed to around 140 facilities. FAA officials indicated
that they hope to have information in early spring 2003 for making a
decision about the future direction of the STARS project.
Our work covers FAA‘s efforts to develop and deploy STARS;[Footnote 3]
we did not review similar efforts by DOD. To conduct this work, we
reviewed FAA biweekly status reports, deployment schedules, and test
results; and we interviewed officials from FAA‘s program and
independent testing offices, the MITRE Corporation,[Footnote 4] the DOT
IG, and union officials representing the air traffic controller and
maintenance technician workforces. We did not independently verify cost
and performance data that we received from FAA and did not adjust the
costs that FAA and others have reported to reflect the effects of
inflation. We performed our work in August 2002 in accordance with
generally accepted government auditing standards.
Results in Brief:
Comparing the currently projected cost and deployment schedule for
STARS with the original cost and schedule is difficult because the
program presently bears little resemblance to the program envisioned in
1996. At that time, FAA contracted with the Raytheon Corporation for a
system using commercially available technology that could be deployed
throughout the National Airspace System with very little software
development. The plan was to install STARS in 172 facilities at a cost
of $940 million with implementation to begin in 1998 and be completed
in 2005. However, in 1997, when FAA controllers first tested an early
version of this commercially available system, they raised some
concerns about the way aircraft position and other data were displayed
and updated on the controllers‘ radar screens. For example, the
controllers said the system did not provide enough detail about an
aircraft‘s position and movement, which could hamper their ability to
monitor traffic movement. To address these concerns, as well as others
identified by the technicians who maintain the system, FAA decided to
develop a more customized system that is software dependent and to
deploy an incremental approach, thereby enabling controllers and
technicians to adjust to some changes before introducing others.
Because this incremental approach requires more custom software than
initially planned, it also costs more and is taking longer to implement
than the original STARS project.
FAA has officially changed the cost, schedule, and requirements for
STARS twice. In October 1999, FAA estimated the cost for its new
approach at $1.4 billion with a schedule to begin deploying STARS in
2002 at 188 facilities and complete installation at all facilities by
2008. The second change occurred in March 2002, when FAA lowered its
estimate from $1.4 billion to $1.33 billion, reduced the number of
facilities receiving STARS from 188 to 74, and changed the date to
complete installation at all facilities from 2008 to 2005. The date for
deploying STARS to the first location is still 2002. This estimate
reflected FAA‘s decision to deploy STARS first to those facilities with
frequent equipment failures and then to determine how to deploy STARS
at remaining facilities in a cost effective manner. Since some
facilities had already received new automated terminal equipment when
STARS was delayed, these facilities may not get the full STARS system.
FAA responded to the DOT IG‘s concerns about the agency‘s plans for
deploying STARS at Philadelphia by stating that it plans to follow its
policy for testing STARS and addressing critical software problems. In
June 2002, the IG questioned whether FAA‘s commitment to deploy STARS
in Philadelphia, before testing it first in Memphis as planned, would
allow the agency to test the system adequately and address critical
software problems identified before the deployment. According to FAA,
its plans for deploying STARS in Philadelphia are consistent with its
testing policy, which calls for independent operational testing of a
system after it has been deployed in one location. While FAA planned to
deploy and test STARS in Memphis, which has fewer and less complex air
traffic control operations than Philadelphia, FAA believes that going
directly to Philadelphia will serve as a more demanding and instructive
test site. The independent operational test is scheduled to start in
Philadelphia, on November 18, 2002, the day after the system begins
operating, and to continue through December 2002. FAA also responded
that it is working with Raytheon to address the most critical software
problems before using STARS to control air traffic on November 17,
2002. These problems, if not corrected, might prevent FAA from using
STARS to control air traffic and might jeopardize safety. In addition,
FAA is working with Raytheon and with the system‘s internal users to
address other issues associated with its deployment schedule and to
ensure that problems that might jeopardize safety are being adequately
addressed. In spite of these efforts, FAA acknowledges that challenges
remain. Specifically, both FAA and the unions representing controllers
and maintenance technicians are concerned that FAA may not have enough
time to train all employees on the new system before deployment. The
agency and the unions are working to address training issues.
Because FAA changed the date for deploying STARS at the first facility
from 1998 to 2002, it had to implement interim systems to allow it to
continue to meet demands for air traffic services. Specifically, it had
to replace radar displays and other hardware that were difficult to
maintain and had limited capacity to accommodate software that would
allow FAA to add new features. FAA documents show that the cost to
implement these interim solutions when STARS was delayed was around
$90.5 million.
We provided DOT with a draft of this report for review and comment.
Transportation officials generally agreed with the facts and provided
technical and clarifying comments, which we have incorporated into this
report as appropriate.
Background:
STARS will replace controller workstations with new color displays,
processors, and computer software at FAA and DOD terminal air traffic
control facilities. (See fig. 1.) The total number of facilities
scheduled to receive STARS has fluctuated between 70 and 190 because
some of the facilities have received interim systems and may not get
full STARS. FAA is designing STARS to provide a platform that allows
easy and rapid incorporation of new hardware-and software-based tools
to help improve controllers‘ productivity and make the nation‘s
airspace safer and managed more efficiently.
Figure 1: Standard Terminal Automation Replacement System (STARS):
[See PDF for image]
Source: FAA.
[End of figure]
For each acquisition project that the agency undertakes, FAA officially
estimates, or develops baselines for, the project‘s life-cycle costs,
schedule, benefits, and performance in a formal document called the
acquisition program baseline. This baseline, which is approved by the
Joint Resources Council, FAA‘s acquisition decision-making body, is
used to monitor a project‘s progress in these four areas. The initial
acquisition plan for STARS was approved in March 1996; and in September
1996, FAA signed a contract with Raytheon Corporation to acquire STARS.
The initial strategy for STARS included two phases: (1) initial system
capability, which was to provide the same functions as the equipment in
use at the time and (2) final system capability, which was to implement
new functions to help controllers move traffic more safely and
efficiently.
FAA‘s acquisition policy requires that projects follow a structured and
disciplined test and evaluation process appropriate to the product or
facility being tested. Typically, this process includes system testing
and field familiarization testing. System testing usually includes
development and operational, production, and site acceptance testing.
Field familiarization testing includes system and software testing in
an operational environment to verify operational readiness. Raytheon
and FAA have already conducted a series of tests of the STARS software
and plan to continue such testing. As problems arise during these
tests, they are documented using program trouble reports (PTR) and are
classified from type 1, the most severe, to type 4, the least severe.
FAA‘s policy defines each type. The policy states that type-1 PTRs
prevent the accomplishment of an operational or mission-essential
capability and could jeopardize safety and security. Type-2 PTRs
adversely affect but does not preclude the performance of an
operational or mission-essential capability and a workaround solution
is not available. Type-3 PTRs adversely affect but does not preclude
the performance of an operational or mission-essential capability and a
workaround solution is available. Type-4 PTRs prevent or adversely
affect the accomplishment of a nonessential capability and can be
handled procedurally. FAA‘s contract with Raytheon calls for the
contractor to correct all type-1 and type-2 PTRs and, as directed by
the government, to correct type-3 and type-4 PTRs. The timing of the
corrective action depends, in part, on the severity of the PTR and on
its relevance to upcoming activities.
From the project‘s inception until 2001, a multidisciplinary team
oversaw STARS and was responsible for carrying out the acquisition
strategy for implementing the project.[Footnote 5] In November 2000,
FAA began formulating a new organization that would be responsible for
all terminal modernization activities. This new organization, the
Terminal Business Service, was intended to move the agency from a
project-driven to a point-of-service approach, which would address
performance issues at each facility in an integrated fashion. This new
organization is now responsible for the STARS program along with other
projects for terminal facilities.
Major STARS Project Changes Make Comparisons of Costs and Schedules
Difficult:
The current STARS program is not the program that FAA contracted for in
1996. When FAA awarded the contract in September 1996, it estimated
that STARS would cost $940 million and be implemented at 172 facilities
by 2005. This estimate was based on acquiring STARS through a
commercial off-the-shelf technology with limited development, since a
version of this technology was already in use in other countries. In
1997, when FAA first introduced STARS, FAA controllers, who were
accustomed to using the older equipment, began to voice concerns about
computer-human interface issues that could hamper their ability to
monitor air traffic. For example, the controllers noted that many
features of the old equipment could be operated with knobs, allowing
controllers to focus on the screen. By contrast, STARS was menu-driven
and required the controllers to make several keystrokes and use a
trackball, diverting their attention from the screen. The maintenance
technicians also identified differences between STARS and its backup
system that made it difficult to monitor the system. For example, the
visual warning alarms and the color codes identifying problems were not
consistent between the two systems.
Addressing these and other issues required extensive software
development because the commercial version of STARS that Raytheon
delivered to FAA very tightly coupled the software for the information
that would be displayed on the screen and the software that would
calculate aircraft position. Because of this coupling, it was difficult
for Raytheon to implement the new or modified display requirements that
FAA had identified. Accordingly, FAA directed Raytheon to separate the
display software from the air traffic control software so that Raytheon
could more efficiently implement future display-and air traffic
control-related changes to each type of software.
To help ensure that STARS meets all of these and other requirements,
FAA is developing multiple versions of STARS software, each with
specific features, and plans to integrate them into a single version,
which will be deployed nationwide. (See fig. 2.) This incremental
approach, according to FAA, gives air traffic controllers early
experience with the software as it is being developed rather than
introducing an entirely new system at the end, as was the case with the
commercially available version. For example, FAA has developed a
version known as early display configuration, which would replace the
controllers‘ current displays and monitoring equipment but would use
the existing computer and processing software.
Figure 2: STARS Software Development Phases:
[See PDF for image]
Source: GAO‘s analysis of FAA data.
[End of figure]
Figure 2 shows FAA‘s new strategy for developing STARS software
incrementally. In the early display configurations, FAA separated the
display software from the original commercial version and installed and
tested the display software, together with some of the original
software, at El Paso and Syracuse. In the initial system configuration,
FAA took the original software and added some air traffic control
software and tested this software at Eglin Air Force Base. After each
type of software was tested, FAA began combining the two types to run
together in a version called full STARS 2. Subsequent versions of full
STARS incorporate additional functions. Figure 3 provides the schedule
for when each version of STARS became or is scheduled to become
operational at the first facility.[Footnote 6]
Figure 3: STARS Operational Schedule:
[See PDF for image]
Source: GAO‘s analysis of FAA data.
[End of figure]
FAA Has Changed Its Official Estimates Twice:
Since 1996, FAA acquisition executives have approved two changes to the
cost and schedule estimates for STARS. These changes are presented in
table 1. The October 1999 change was approved to give Raytheon enough
time to add and modify the display software in order to resolve
computer-human interface issues. The March 2002 change was approved
after FAA decided to deploy STARS to facilities where frequent
equipment failures caused delays; to new facilities; and to facilities
where a digital radar, needed to operate STARS, is available.[Footnote
7] Under this strategy, FAA is also assessing how to deploy STARS to
remaining facilities in a cost-effective manner. Facilities that
previously received new hardware and software so that they could
continue to operate while waiting for STARS would get new technology
but may not get the full STARS system.
Table 1: Baseline and Approved Changes to STARS:
Dollars in billions.
Date: February 1996 (baseline); Number of FAA facilities
receiving STARS: 172; Projected date for first
deployment: 1998; Projected date for last
deployment: 2005;
Estimated cost: $0.94.
Date: October 1999; Number of FAA facilities receiving
STARS: 188; Projected date for first deployment:
2002; Projected date for last deployment: 2008;
Estimated cost: $1.40.
Date: March 2002; Number of FAA facilities receiving
STARS: 74; Projected date for first deployment:
2002; Projected date for last deployment: 2005;
Estimated cost: $1.33.
Source: GAO‘s presentation of FAA data.
[End of table]
FAA Officials Said They Plan to Follow Agency Policy in Testing STARS
and Addressing Software Problems but Acknowledge that Challenges
Remain:
FAA responded to the DOT IG‘s concerns about the agency‘s plans for
deploying STARS at Philadelphia by stating that FAA plans to follow its
policy for testing STARS and addressing critical software problems.
However, FAA officials, controllers and maintenance technicians all
have concerns about whether required training can be completed by the
November 17, 2002, deployment date.
In June 2002, the DOT IG questioned whether FAA‘s commitment to deploy
STARS in Philadelphia before testing it first in Memphis, as planned,
would allow the agency to test the system adequately and address
critical software problems that might be identified before deployment.
While the Memphis terminal facility has fewer and less complex air
traffic control operations than more congested facilities, such as the
one in Philadelphia, FAA changed its plans because meeting the
commitment to deploy STARS in Philadelphia would not allow enough time
to test STARS first in Memphis. FAA testified in September 2001 that it
would deploy STARS to Philadelphia to coincide with the opening of a
new terminal, scheduled for November 17, 2002. FAA officials said they
view the achievement of the November 17, 2002, deployment as important
to the agency‘s credibility and that they believe they will learn more
from testing STARS in Philadelphia, which is more representative of
terminal facilities, than they would have learned in Memphis.
According to FAA, its plans for deploying STARS in Philadelphia are
consistent with its testing policy, which calls for independent
operational testing of a system after it has been deployed in one
location. Under the current plan, FAA will use STARS to control live
traffic at Philadelphia beginning on November 17, 2002--a step
signifying initial operating capability--but the current air traffic
control system will remain available as a backup. In accordance with
its policy, the agency will then conduct independent testing after a
’period of use,“ scheduled from the day after initial operations
through December 2002. At that point, as the policy directs, the agency
will declare the system ready for operational use and will complete the
switch to the new system. At that time, now scheduled for February
2003, the new system will be formally commissioned and the current
system decommissioned.
To address critical STARS software problems identified prior to
deploying STARS, FAA is attempting to resolve the most critical
problems (type-1 and type-2 PTRs) before November 17, 2002. According
to FAA‘s definition, type-1 problems are those that, if not corrected,
might prevent the accomplishment of an operational or mission-essential
capability or might jeopardize safety, while type-2 problems adversely
affect but does not prevent the accomplishment of an operational or
mission-critical capability. FAA‘s data showed that as of August 30,
2002, there were 5 type-1 PTRs and 68 type-2 PTRs, against the system
being deployed in Philadelphia, that still need to be resolved. FAA
officials stated that they have assigned these problems to the
contractor
and plan to validate the contractor‘s fixes. Validation is important
because,in some instances, the fixes have not performed as intended.
In addition, FAA has identified at least 12 type-3 PTRs and other
issues,
such as completing required training, that need to be resolved prior to
deployment in Philadelphia. FAA is also meeting biweekly with Raytheon
to monitor the contractor‘s progress in implementing and testing fixes
for PTRs. In addition, FAA has installed STARS hardware and an earlier
version of STARS software at Philadelphia so that users can become
familiar with the system. On September 19, 2002, FAA plans to begin
testing the most recent STARS software in Philadelphia.
While FAA maintains that its plans for testing STARS and addressing
critical software problems are adequate to address the DOT IG‘s
concerns, the agency is less certain that it will be able to complete
the certification training required for maintenance technicians at the
Philadelphia terminal before the new version of STARS begins operation
in November. The union representing maintenance technicians expressed
concern because FAA has not yet finalized the content and schedule of
the training for controllers and maintenance technicians on the
software that will be deployed in Philadelphia. Under a new training
agreement between the union and FAA, on-site certification training--
rather than training at FAA‘s central facility in Oklahoma City--is
required for all employees before a new system begins operation. Union
officials expressed concern that without a finalized training schedule,
its members will not have enough time to receive training for
certification before the November deployment. FAA officials
acknowledged that having enough time for training is an issue. Union
and FAA officials are working to solve these concerns prior to
deployment. Moreover, according to FAA officials, FAA is meeting with
maintenance technicians and controllers to discuss issues related to
training, as well as maintenance and testing.
Changes in the Schedule for Deploying STARS Led FAA to Implement
Interim Projects:
Because FAA was not able to deploy STARS according to its original
schedule, under which some terminals would have received the new
equipment by 1998, FAA implemented several interim projects. Under
these projects, FAA replaced failing equipment with new software, radar
displays, and other hardware so that the terminals could continue
operating while STARS was delayed. Under one project, Common Automated
Radar Terminal System (Common ARTS), FAA procured common software for
the automated equipment at some of its largest terminal facilities and
about 130 smaller facilities.[Footnote 8] Common ARTS provides
functions similar to those being designed for STARS, such as the
ability to support simultaneous multiple radar displays and adapt to
site changes. FAA also purchased 294 ARTS color displays, which
replaced aging radar displays at six terminals with those that are
high-resolution. The cost for Common ARTS and the ARTS color displays
attributable to STARS delays was around $90.5 million.
Agency Comments:
We provided a draft of this report to DOT. We met with DOT officials,
including the Director, Terminal Business Service, FAA. These officials
generally agreed with the facts and made technical and clarifying
comments, which we have incorporated into this report as appropriate.
Scope and Methodology:
To determine the projected cost and deployment schedule for STARS, the
system‘s cost and schedule when the contract was awarded in 1996, and
how often FAA changed the approved estimates, we reviewed documentation
provided by FAA, including FAA acquisition baseline reports, STARS
briefing documents, and IG and GAO reports and testimonies. To
determine how FAA responded to the DOT IG‘s concerns about FAA‘s plans
for deploying STARS in Philadelphia, we interviewed officials from
FAA‘s Terminal Business Service and the Office of Independent
Operational Test and Evaluation, the DOT IG, the MITRE Corporation, and
union officials representing the air traffic controller and maintenance
technician workforces. We reviewed STARS program office documentation
on the prioritization of trouble reports and agency policy and guidance
on critical trouble reports and test and evaluation requirements. To
determine the impact of changes in the schedule for deploying STARS, we
reviewed FAA documentation on the interim projects and the associated
costs and also reviewed IG and GAO products on the impact of delays on
implementing STARS. We did not independently verify the data we
received from FAA.
We performed our work in August 2002 in accordance with generally
accepted government auditing standards.:
We are sending copies of this report to interested Members of Congress,
the Secretary of Transportation, and the Administrator, FAA. We will
also make copies available to others upon request. In addition, this
report will be available at no charge on the GAO Web site at http://
www.gao.gov.
If you or your staff have any questions about this report, please
contact me at (202) 512-3650. I can also be reached by E-mail at
dillinghamg@gao.gov. Key contributors to this report are listed in
appendix I.
Gerald L. Dillingham, Ph.D.
Director, Physical Infrastructure:
Signed By Gerald L. Dillingham
[End of section]
Appendixes:
Appendix I: GAO Contacts and Staff Acknowledgments:
GAO Contacts:
Gerald L. Dillingham (202) 512-3650
Belva Martin (202) 512-4285:
Staff Acknowledgments:
In addition to those individuals listed above, Nabajyoti Barkakati,
Geraldine Beard, Elizabeth Eisenstadt, Tammi Nguyen, Madhav Panwar, and
Glenda Wright made key contributions to this report. :
FOOTNOTES:
[1] STARS is a joint procurement with DOD, which is purchasing up to
199 units for its facilities.
[2] Department of Transportation Inspector General, Follow-up on
Federal Aviation Administration …s Acquisition of Standard Terminal
Automation Replacement System, JA-10:x60500 (Washington, D.C.: June 3,
2002).
[3] Throughout this report, we use the term ’deploy“ to denote efforts
by FAA to put STARS software, hardware, and other supporting equipment
into a facility to test it and eventually use it to control traffic.
[4] MITRE provides air traffic control, air traffic management, and
airport systems engineering support to FAA and others.
[5] The team included, among others, members from FAA‘s acquisition,
systems engineering, air traffic, and airway facilities organizations.
[6] ’Operational“ denotes that STARS has been deployed, implemented,
and is meeting requirements.
[7] The Joint Resources Council verbally approved the March 2002
estimate but written approval is pending receipt of additional
information from another program that was also reviewed.
[8] FAA initially began the Common ARTS project because of delays in a
program that preceded STARS. Under the initial phase of this project,
developed by Lockheed Martin Corporation, equipment was delivered to
131 small-to medium-sized facilities beginning in 1997 and to 5 large
facilities in 1998 and 1999. However, FAA later purchased equipment for
five additional facilities, which was installed in 2001 and 2002.
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