Next Generation Air Transportation System
Status of Systems Acquisition and the Transition to the Next Generation Air Transportation System Gao ID: GAO-08-1078 September 11, 2008The Joint Planning and Development Office (JPDO), an interagency organization within the Federal Aviation Administration (FAA), was created to plan and coordinate research and development for the next generation air transportation system (NextGen). Transitioning to NextGen will require FAA to continue to acquire new air traffic control (ATC) systems on schedule and on budget. GAO's concerns about the size, complexity, and cost of FAA's acquisition of ATC systems led GAO to designate this issue as high-risk in 1995. NextGen includes system acquisitions but is a significantly larger initiative involving multiple federal agencies, such as the National Aeronautics and Space Administration (NASA), which conducts aeronautics research and development for NextGen, and nonfederal aviation stakeholders, such as aviation equipment manufacturers, airports, and aircraft operators. GAO addressed (1) FAA's ATC systems acquisition activities, (2) key NextGen planning and transition issues, and (3) key challenges that FAA faces in implementing NextGen. GAO reviewed FAA's management processes and cost and schedule data for acquiring ATC systems, interviewed senior FAA, JPDO, and NASA officials, and 24 aviation stakeholders involved in NextGen. This report is also based on recent GAO products. The Department of Transportation (DOT) and NASA provided technical corrections, which GAO included.
The majority of FAA's key ATC acquisition programs are currently being managed within the established cost and time estimates since FAA created the performance-based Air Traffic Organization (ATO) in 2004 and improved its management of acquisitions. The agency has demonstrated executive-level commitment to addressing systemic factors that have contributed to historic cost overruns and schedule delays. FAA's response to over 45 recommendations by GAO contributed to significantly improved acquisition management. While FAA has implemented numerous acquisition management practices, areas remain that need further improvement, such as ensuring transparency on rebaselined programs. FAA plans to address this issue by reporting annually to Congress the original budget and schedule baselines and the reasons for the rebaselining. FAA needs to continue its progress in managing acquisitions, since it will be acquiring billions of dollars of new systems as part of the NextGen transformation. JPDO has completed the initial versions of three basic planning documents for NextGen, but many aviation stakeholders felt the documents, which focus on a 2025 time frame, lack the information that industry needs to make near-term business decisions to support NextGen. The next version of the NextGen work plan, scheduled to be issued in September 2008, will address some of these concerns. ATO recently reorganized to facilitate the transition to NextGen, but it is too early to tell if the reorganization addresses concerns about the fragmented management structure for NextGen, since multiple offices in ATO and FAA continue to have responsibility for NextGen. FAA's ability to implement NextGen will be affected by how it addresses research and development, human capital, and infrastructure challenges. Although research and development are critical for NextGen, research gaps exist because of a recent decline in NASA's aeronautical research funding and the expanded requirements of NextGen. FAA faces a human capital challenge of having the necessary knowledge and skills, such as contract management and system engineering expertise, to implement NextGen. In response to GAO's prior recommendation, in September 2008, FAA expects to complete an analysis comparing the skills needed for NextGen with its current staff resources. However, it may take considerable time to hire what FAA estimates could be up to 200 more staff with the needed skills. FAA also faces the challenge of maintaining and repairing existing ATC infrastructure, such as radar stations, while consolidating or realigning its facilities to accommodate NextGen technologies and operations. An additional infrastructure challenge is increasing airport runway capacity to handle the expected increases in traffic. While FAA's plans call for building or expanding runways at the nation's 35 busiest airports, its analyses indicate that 14 more airports will still need additional runway capacity. These efforts to expand capacity by means of runway development could be delayed without significant reductions in emissions and noise around some airports.
GAO-08-1078, Next Generation Air Transportation System: Status of Systems Acquisition and the Transition to the Next Generation Air Transportation System
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This document was revised on September 25, 2008, to reflect the
following changes on page 4, lines 11-12 and page 29, lines 6 and 7.
The corrected text on page 4 should read: ’In response to our prior
recommendation, FAA contracted with the National Academy of Public
Administration (NAPA) to determine the mix of skills and strategies to
obtain the necessary expertise for NextGen.“ The corrected text on page
29 should read: ’In response to our prior recommendation, FAA
contracted with NAPA to determine the mix of skills, including
technical and contract management skills, and strategies to obtain the
necessary expertise for NextGen.“
Report to Congressional Requesters:
United States Government Accountability Office:
GAO:
September 2008:
Next Generation Air Transportation System:
Status of Systems Acquisition and the Transition to the Next Generation
Air Transportation System:
GAO-08-1078:
GAO Highlights:
Highlights of GAO-08-1078, a report to congressional requesters.
Why GAO Did This Study:
The Joint Planning and Development Office (JPDO), an interagency
organization within the Federal Aviation Administration (FAA), was
created to plan and coordinate research and development for the next
generation air transportation system (NextGen). Transitioning to
NextGen will require FAA to continue to acquire new air traffic control
(ATC) systems on schedule and on budget. GAO‘s concerns about the size,
complexity, and cost of FAA‘s acquisition of ATC systems led GAO to
designate this issue as high-risk in 1995. NextGen includes system
acquisitions but is a significantly larger initiative involving
multiple federal agencies, such as the National Aeronautics and Space
Administration (NASA), which conducts aeronautics research and
development for NextGen, and nonfederal aviation stakeholders, such as
aviation equipment manufacturers, airports, and aircraft operators.
GAO addressed (1) FAA‘s ATC systems acquisition activities, (2) key
NextGen planning and transition issues, and (3) key challenges that FAA
faces in implementing NextGen. GAO reviewed FAA‘s management processes
and cost and schedule data for acquiring ATC systems, interviewed
senior FAA, JPDO, and NASA officials, and 24 aviation stakeholders
involved in NextGen. This report is also based on recent GAO products.
The Department of Transportation (DOT) and NASA provided technical
corrections, which GAO included.
What GAO Found:
The majority of FAA‘s key ATC acquisition programs are currently being
managed within the established cost and time estimates since FAA
created the performance-based Air Traffic Organization (ATO) in 2004
and improved its management of acquisitions. The agency has
demonstrated executive-level commitment to addressing systemic factors
that have contributed to historic cost overruns and schedule delays.
FAA‘s response to over 45 recommendations by GAO contributed to
significantly improved acquisition management. While FAA has
implemented numerous acquisition management practices, areas remain
that need further improvement, such as ensuring transparency on
rebaselined programs. FAA plans to address this issue by reporting
annually to Congress the original budget and schedule baselines and the
reasons for the rebaselining. FAA needs to continue its progress in
managing acquisitions, since it will be acquiring billions of dollars
of new systems as part of the NextGen transformation.
JPDO has completed the initial versions of three basic planning
documents for NextGen, but many aviation stakeholders felt the
documents, which focus on a 2025 time frame, lack the information that
industry needs to make near-term business decisions to support NextGen.
The next version of the NextGen work plan, scheduled to be issued in
September 2008, will address some of these concerns. ATO recently
reorganized to facilitate the transition to NextGen, but it is too
early to tell if the reorganization addresses concerns about the
fragmented management structure for NextGen, since multiple offices in
ATO and FAA continue to have responsibility for NextGen.
FAA‘s ability to implement NextGen will be affected by how it addresses
research and development, human capital, and infrastructure challenges.
Although research and development are critical for NextGen, research
gaps exist because of a recent decline in NASA‘s aeronautical research
funding and the expanded requirements of NextGen. FAA faces a human
capital challenge of having the necessary knowledge and skills, such as
contract management and system engineering expertise, to implement
NextGen. In response to GAO‘s prior recommendation, in September 2008,
FAA expects to complete an analysis comparing the skills needed for
NextGen with its current staff resources. However, it may take
considerable time to hire what FAA estimates could be up to 200 more
staff with the needed skills. FAA also faces the challenge of
maintaining and repairing existing ATC infrastructure, such as radar
stations, while consolidating or realigning its facilities to
accommodate NextGen technologies and operations. An additional
infrastructure challenge is increasing airport runway capacity to
handle the expected increases in traffic. While FAA‘s plans call for
building or expanding runways at the nation‘s 35 busiest airports, its
analyses indicate that 14 more airports will still need additional
runway capacity. These efforts to expand capacity by means of runway
development could be delayed without significant reductions in
emissions and noise around some airports.
To view the full product, including the scope and methodology, click on
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-1078]. For more
information, contact Gerald Dillingham at (202) 512-2834 or
dillinghamg@gao.gov.
[End of section]
Contents:
Letter:
Results in Brief:
Background:
Most Acquisition Programs Are Meeting Cost and Schedule Estimates since
the Creation of ATO:
Basic Planning for NextGen Is Completed and ATO Has Reorganized as It
Transitions to NextGen, but Stakeholders Have Concerns:
FAA's Ability to Implement and Obtain Expected Benefits from NextGen
Will Be Affected by Research and Development, Human Capital, and
Infrastructure Challenges:
Appendix I: Scope and Methodology:
Appendix II: Stakeholder Responses to Semistructured GAO Interview
Questions:
Appendix III: ATC Acquisition Performance:
Appendix IV: Baseline History for Programs Selected for Acquisition
Performance Measurement:
Appendix V: GAO Contact and Staff Acknowledgments:
Figures:
Figure 1: Standard Terminal Automation Replacement System Controller
Workstation:
Figure 2: FAA Organization, November 2007:
Figure 3: ATO Organization, July 2008:
Figure 4: NASA's Aeronautics Research Budget for Fiscal Years 2003
through 2008 and Proposed Budget through Fiscal Year 2013, in Constant
2008 Dollars:
Figure 5: FAA's Overall Research and Development Funding for Fiscal
Years 2006 through 2008 and Proposed Funding through Fiscal Year 2013,
in Constant 2008 Dollars:
Figure 6: Example of Use of ADS-B:
Abbreviations:
ADS-B: Automatic Dependent Surveillance-Broadcast:
ATC: air traffic control
ATO: Air Traffic Organization
CDA: Continuous Descent Arrival:
CLEEN: Continuous Lower Energy, Emissions, and Noise
COO: Chief Operating Officer:
DOT: Department of Transportation
ERAM: En Route Automation Modernization:
FAA: Federal Aviation Administration
JPDO: Joint Planning and Development Office
MOU: memorandum of understanding
NAPA: National Academy of Public Administration
NASA: National Aeronautics and Space Administration
NATCA: National Air Traffic Controllers Association
NextGen: next generation air transportation system:
OEP: Operational Evolution Partnership
OMB: Office of Management and Budget
PASS: Professional Aviation Safety Specialists
RNAV: Area Navigation
RNP: Required Navigation Performance
SWIM: System-Wide Information Management
UPS: United Parcel Service:
[End of section]
United States Government Accountability Office:
Washington, DC 20548:
September 11, 2008:
Congressional Requesters:
The nation's air transportation system is experiencing some of the
worst delays in recent times with one in four flights facing delays.
Currently, the U.S. air transportation system handles about 50,000
flights over a 24-hour period. By 2025, air traffic is projected to
increase two-to three-fold, equating to about 100,000 to 150,000
flights every 24 hours. It is acknowledged that the current U.S. air
transportation system will not be able to meet these air traffic
demands. In 2007, the aviation industry recorded the second worst year
for delays since 1995; 27 percent of flights were delayed or canceled
in 2007. According to the Senate Joint Economic Committee these delays
cost passengers, airlines, and the U.S. economy over $40 billion.
Although air traffic overall was down in the first half of 2008, in
part because of economic factors that have led airlines to reduce
service, there has been no significant reduction in traffic at the most
congested airports, such as those in the New York and New Jersey area.
Congestion and delays at key airports cascade across the entire system.
Moreover, according to FAA, even if traffic is reduced, congestion at
these key airports will not be significantly reduced.
To try to reduce system congestion, FAA is in the process of
implementing a number of initiatives, such as redesigning airspace in
certain locations to improve efficiency, to try to alleviate choke
points in the system. However, the existing air traffic control (ATC)
system is not scalable to meet the forecasted traffic increases. To
meet this expected increase in traffic, the Joint Planning and
Development Office (JPDO) was established by Congress in 2003 to plan
and coordinate an interagency effort to create a new air traffic
management system that will transform the current radar-based ATC
system into a more automated aircraft-centered, satellite-based system.
This transformation to the next generation air transportation system
(NextGen) will require the acquisition and integration of billions of
dollars of sophisticated new ATC technologies with existing or legacy
ATC technologies as well as a major shift in the operating paradigm
from air traffic control to air traffic management by 2025.
You asked us to assess FAA's ability to acquire and integrate new ATC
systems and transition to NextGen. Accordingly, we established the
following research questions: (1) What are the status and outcome of
FAA's ATC systems acquisition activities? (2) What is the status of the
key NextGen planning and transition issues? (3) What key challenges
does FAA face in implementing NextGen?
To address these questions, we reviewed documents from FAA, JPDO, and
the National Aeronautics and Space Administration (NASA). In addition,
we held discussions with senior FAA, JPDO, and NASA officials;
interviewed 24 private sector stakeholders involved in the NextGen
effort, including representatives of aviation associations,
manufacturers, and academics; and updated prior GAO studies. To address
key NextGen planning and transition issues and challenges to
implementation, we interviewed the 24 NextGen stakeholders and
conducted a content analysis of their responses. We then obtained
further information related to those responses from relevant NextGen
federal partners--FAA, JPDO, and NASA. We did not obtain further
information from the other federal partners--the Departments of
Commerce, Defense, and Homeland Security and the White House Office of
Science and Technology Policy because the stakeholders did not
articulate issues related to those agencies. We conducted our
performance audit from July 2007 to September 2008 in accordance with
generally accepted government auditing standards. Those standards
require that we plan and perform the audit to obtain sufficient,
appropriate evidence to provide a reasonable basis for our findings and
conclusions based on our audit objectives. We believe that the evidence
obtained provides a reasonable basis for our findings and conclusions
based on our audit objectives. Additional information on our
methodology is found in appendix I. See appendix II for our content
analysis of the stakeholder interviews.
Results in Brief:
Most of FAA's major ATC acquisition programs are being managed within
the established cost and time estimates since the creation of its
performance-based Air Traffic Organization (ATO) in 2004. For example,
24 major acquisition programs experienced a cumulative 2.5 percent cost
underage and only a 2.7 percent schedule overage when the baseline
status as of February 2004 was compared to the estimated total cost and
schedule as of June 2008. These positive cost and schedule outcomes
have occurred, in part, as a result of FAA's sustained executive-level
commitment and improved acquisition management practices that include
establishing a capital investment team to review financial performance
data and provide early warnings of potential problems as well as
corrective actions. However, since FAA measures progress related to
current program baselines, the agency will need to ensure transparency
so that rebaselined programs and performance reporting do not mask
budget increases and schedule delays, which could have a cascading
impact on the cost and schedule of NextGen. FAA plans to report
annually to Congress on the original budget and schedule baselines for
each rebaselined program and the reasons for the rebaselining.
JPDO has completed the initial versions of three basic planning
documents for NextGen--a Concept of Operations, an Enterprise
Architecture, and an Integrated Work Plan--and ATO recently reorganized
to facilitate the transition to NextGen, but industry stakeholders have
concerns about both efforts. Many aviation industry stakeholders we
spoke with indicated that they were not satisfied with the impact of
their participation in NextGen planning and felt that the planning
documents lacked the information the industry needed for NextGen to be
implemented by 2025. For example, 19 of 21 industry stakeholders who
discussed the issue noted that the planning documents lacked the
information that industry participants need for planning, such as
information on the requirements or specifications needed to develop and
manufacture NextGen equipment or make other business decisions needed
to implement NextGen. However, a senior JPDO official noted that the
JPDO planning documents were not intended to provide that level of
detail. Stakeholders further believe FAA should develop, for the 2015
time frame, an interim planning document that can provide sufficient
details about NextGen to help industry plan for the investments they
need to make in NextGen systems. According to FAA, it will annually
update an interim NextGen planning document to reflect its annual
budget submission and that document is currently being revised to
reflect the fiscal year 2009 budget submission. Furthermore, the next
version of the work plan, scheduled to be issued in September 2008,
should address some of the stakeholders concerns. In addition, an
effective management structure is a key issue for the transition to
NextGen. However, all 10 stakeholders who discussed FAA's management
structure believed that it was not adequate for the transition to
NextGen, with multiple executives responsible for NextGen-related
activities and the lack of a single manager with authority to make key
decisions. In part, to address such comments and facilitate its role in
implementing NextGen, ATO recently reorganized, designating a Senior
Vice President for NextGen and Operations Planning who reports to ATO's
Chief Operating Officer (COO). However, it is too early to tell if this
reorganization addresses concerns about the fragmented management
structure for NextGen, since other offices in ATO and FAA continue to
have responsibility for parts of NextGen and the division of
responsibility for NextGen efforts among the offices is not clear.
FAA's ability to implement NextGen will be affected by how well it
addresses some key challenges, including research and development,
human capital, and infrastructure. Research and development is still
needed to define and demonstrate the new NextGen technology; however,
it is uncertain which entities will fund and conduct that research.
Budget requests for FAA have increased to help provide the needed
research and development funding for NextGen, and NASA and FAA have
developed a strategy to identify, conduct, and transfer research from
NASA to FAA to help bridge the gap between NASA's research and FAA's
need to implement new technology. Unless NextGen's developmental
research needs are met in a timely manner, the implementation of
NextGen is also likely to be delayed, jeopardizing NextGen's goals of
increased safety, efficiency, and capacity of the system. In addition,
FAA faces a human capital challenge of having the necessary knowledge
and skills, such as systems engineers and contract management
expertise, to implement NextGen. In response to our prior
recommendation, FAA contracted with the National Academy of Public
Administration (NAPA) to determine the mix of skills and strategies to
obtain the necessary expertise for NextGen. NAPA expects to
complete this assessment in September 2008. Once the right skill set is
identified, however, it may take considerable time to select, hire, and
integrate what FAA estimates could be 150 to 200 more staff. This
situation has the potential to contribute to delaying the integration
of new technologies and transformation of the national airspace system.
Further, FAA faces an immediate challenge to maintain and repair
existing infrastructure to keep the current ATC system operating
safely, while managing its resources to develop facilities that can
accommodate NextGen technology and operations. According to FAA, it
will require a new configuration of radar facilities to be consistent
with NextGen. However, the agency has not developed a cost analysis or
implementation plan for reconfiguring its facilities. Until that
analysis and plan have been developed, the configurations needed for
NextGen cannot be implemented and potential savings realized. In
addition, NextGen will depend on the ability of airports to handle
greater capacity. FAA's plans call for building or expanding runways at
the nation's 35 busiest airports to help meet the expected increases.
However, even with these planned runway improvements and the additional
capacity gained through NextGen technologies and procedures, FAA
analyses indicate that 14 more airports will still need additional
capacity. Moreover, without significant reductions in emissions and
noise around some of the nation's airports, efforts to expand their
capacity could be stalled and the implementation of NextGen delayed. We
provided a draft of this report to the Department of Transportation
(DOT) and NASA for their review and comments. Both agencies provided
technical clarifications, which we incorporated into this report as
appropriate.
Background:
For over two decades FAA has been conducting a major modernization of
its ATC systems but, until the last several years, has had difficulties
in meeting cost, schedule, and performance targets in acquiring major
systems. In 1995, GAO designated the ATC modernization program as a
high-risk information technology initiative because of its size,
complexity, cost, and problem-plagued past. We have issued numerous
reports on FAA's inability to meet its acquisition performance goals.
[Footnote 1] In addition, we have reported that four key factors have
historically contributed to acquisitions missing their original cost,
schedule, and performance targets: (1) acquisitions receiving less
funding than called for in agency planning documents, (2) adding
requirements or unplanned work, (3) underestimating the complexity of
software development, and (4) not sufficiently involving stakeholders
throughout system development.[Footnote 2]
FAA, in response to over 45 recommendations we have made, has taken
steps to improve its acquisition management. For example, when
reviewing acquisitions, FAA now focuses on the acquisition's impact on
customer service and contribution to achieving the agency's strategic
and performance goals, including expanding the overall capacity of the
national airspace system, rather than on securing the approval of and
managing individual acquisition programs. FAA has also established
basic investment management capabilities, including many practices for
selecting and controlling its mission-critical information technology
investments. Our previous work showed that FAA was not regularly
reviewing investments that are more than 2 years into their operations.
As a result, FAA was limited in its ability to oversee, as a total
package of competing investment options, more than $1 billion of its
information technology investments, and to pursue only those that best
meet its goals. As a response to our recommendation, FAA stated that it
had changed its acquisition review process to a semiannual "service-
level review" process that encompasses systems that are in service.
Additionally, FAA has changed its format for justifying major
technology investments to that prescribed by the Office of Management
and Budget (OMB). According to FAA, this change provides more
comprehensive information than the previous format and provides
efficiencies by avoiding the need to later translate the information
into OMB's prescribed format.
In August 2005, FAA submitted a plan to OMB of steps it intended to
take to remove ATC modernization from GAO's high-risk list. FAA
submitted this plan in response to a request from OMB, which had asked
agencies with programs on GAO's high-risk list to identify their goals
for reducing fraud, waste, or mismanagement.
In addition to our recommendations and those of the Department of
Transportation Inspector General[Footnote 3] for improving FAA's
acquisition management, Congress and others have taken steps to address
these issues. For example, in 1997, the congressionally appointed
National Civil Aviation Review Commission recommended, among other
things, that FAA's management become more performance-based. In
December 2000, President Clinton signed an executive order, and
Congress passed supporting legislation that, together, provided FAA
with the authority to create the performance-based ATO to control and
improve FAA's management of the modernization effort. FAA reorganized,
transferring 36,000 employees, most of whom worked in air traffic
services and research and acquisitions, to ATO in February 2004. By
creating ATO, headed by a chief operating officer, FAA established a
new, flatter organizational structure and adopted more leading
practices of private sector businesses to address the cost, schedule,
and performance shortfalls that have plagued ATC acquisitions.
In 2003, Congress mandated the creation of JPDO,[Footnote 4] housed
within FAA but involving several federal partner agencies, for the
agencies to conceptualize and plan for NextGen. The previous ATC
modernization program largely consisted of FAA's efforts to acquire
more sophisticated ATC equipment with a 10-year planning horizon.
NextGen also includes the acquisition of ATC systems. Moreover, NextGen
is a multidecade, multiagency effort to transform the current air
traffic system to the next generation air transportation system by
moving from largely ground-based radars to precision satellite-based
navigation and includes digital, networked communications and an
integrated weather system. NextGen involves the coordinated research
activities of multiple federal agencies, including NASA, FAA, and the
Departments of Commerce, Defense, and Homeland Security. To achieve the
NextGen vision, JPDO was charged with coordinating research activities
of the federal agencies in developing the 20-year research and
development program for NextGen. FAA will play the central role in
implementing NextGen, as it will be responsible for acquiring,
integrating, and operating the new ATC systems. Industry stakeholders
will also play a key role in implementing NextGen because they are
expected to develop, finance, and operate many of the new NextGen
systems that will need to be installed in aircraft. JPDO reported in
2006 that the total cost for NextGen infrastructure may range from $15
billion to $22 billion. The agency also noted that it expects a
corresponding cost to system users, who will have to equip themselves
with the advanced avionics necessary to realize the full benefits of
some NextGen technologies, in the range of $14 billion to $20 billion.
Most Acquisition Programs Are Meeting Cost and Schedule Estimates since
the Creation of ATO:
Since the creation of ATO in 2004, FAA has shown significant
improvement in its management of ATC modernization through better
acquisitions management and the introduction of more efficient business
practices. FAA has demonstrated executive-level commitment to
addressing the systemic factors that we have identified as contributing
to FAA's historic cost overruns and schedule delays. Since 2004, many
more acquisition programs are being completed within the original cost
and time estimates than prior to ATO's existence. FAA data show that
from February 2004 to June 2008, 24 major acquisition programs
experienced a cumulative 2.5 percent cost underage and a cumulative 2.7
percent schedule overage. Of the 24 programs, 19 were at or less than
the baseline cost estimate and 15 were at or earlier than the baseline
schedule estimate. However, the two programs with the largest
reductions in cost--Airport Surveillance Radar Model 11 and FSAS
Operations and Supportability System--also had large reductions in the
number of systems to be acquired.[Footnote 5] Additional information on
the 24 programs is shown in appendix III.
A specific example of a successful acquisition management outcome is
ATO's success in keeping the En Route Automation Modernization (ERAM)-
-considered the heart of the new ATC system--acquisition on schedule
and close to budget. The ERAM acquisition began in 2003, a few months
before FAA formed ATO. ERAM replaces the software and hardware in the
host computers at FAA's 20 en route ATC centers, which provide
separation, routing, and advisory information to aircraft. We and the
Department of Transportation's Inspector General identified ERAM as a
high-risk effort because of its size and complex software requirements.
According to FAA, ERAM has met its original schedule and has remained
close to its original budget.[Footnote 6] Officials in the ERAM program
office attribute the program's success to a number of factors,
including having a thorough understanding of the project's requirements
and costs prior to establishing a baseline, imposing disciplined
requirements control, having early stakeholder involvement, and having
a stable budget. Our research has shown that the absence of these
factors contributed to past problems in acquisitions achieving cost and
schedule targets. ERAM officials also noted benefits from ATO's flatter
organizational structure and the consolidation of responsibility for
acquisitions and operations under a single manager, the COO. They said,
for example, that the elimination of organizational stovepipes has
allowed important conversations to take place without going through
several layers of administration. These officials also noted that
working under the former organizational structure was much more
difficult.
The positive cost and schedule outcomes have occurred subsequent to
ATO's improved acquisition management practices. More specifically, to
better manage its acquisitions, ATO has done the following:
* Established a portfolio approach to managing investments. This
approach allows ATO to evaluate the relative merits of spending funds
to develop new systems, enhance current systems, or continue operating
and maintaining existing systems.
* Applied a business case approach to each project, which includes an
analysis of assumptions, constraints, and alternatives to the project,
and for each alternative, the full life cycle cost, benefit, schedule,
risk, and economics.
* Established a capital investment team to review financial and
performance data. These reviews provide early warnings of potential
problems as well as help to develop corrective actions.
* Implemented earned value management on all new major acquisitions as
a way to prevent, detect, report, and correct problems in acquiring
major systems and to ensure that major programs are within budget and
schedule targets.[Footnote 7] While ATO has taken important steps to
implement earned value management policies, we have found that it needs
to strengthen its policies governing earned value management and add
rigor to its oversight processes.[Footnote 8]
* Developed and applied a process improvement model in a number of
software-intensive system acquisitions, resulting in, among other
things, enhanced productivity and greater ability to predict schedules
and resource needs.
* Undertaken human capital initiatives to improve its acquisition
workforce culture and build toward a results-oriented, high-performing
organization.
* Established annual acquisition performance goals to improve oversight
and accountability over acquisition processes.
Additionally, agency executives have met regularly with GAO and OMB
over the past 2 years to provide updates on FAA's efforts to improve
its handling of ATC modernization and ensure transparency about these
efforts both inside and outside the agency. These meetings have
included updates on the status of a corrective action plan that FAA is
implementing to institutionalize sound acquisition management practices
and successful performance and outcomes. FAA is also working to
establish an internal oversight capability to validate the information
that executives receive on the status of the plan. OMB has seen
sufficient progress in FAA's efforts to address the risk associated
with ATC modernization that the meetings now occur semiannually, rather
than quarterly.
While FAA has made progress in improving acquisition management
practices in the 4 years since ATO was created, areas remain that need
further improvement. For example, in prior work we found that FAA does
not publicly report changes in the cost and schedule baselines for some
major ATC acquisitions and thus may not provide Congress and the public
with a complete picture of the agency's overall performance in
acquiring these systems.[Footnote 9] Such unreported rebaselining could
make budget increases and schedule delays more difficult to identify.
For instance, for fiscal years 2004 through 2006, FAA reported
exceeding its annual goals to keep a high percentage of the major
acquisition programs within 10 percent of budget and on schedule 80
percent of the time. However, we found that FAA measures progress
related only against current program baselines and does not disclose
when a system has been rebaselined (when cost and schedule targets have
been officially changed). According to ATO's performance reports, the
organization showed nearly steady improvement in fiscal years 2003
through 2006 and substantially exceeded its targets for those years,
twice reaching 100 percent. However, when performance was measured
against original baselines instead of annual budgets or milestones,
acquisition performance was lower than reported, but still showed a
general trend of improvement for that period. We believe that
rebaselining may be appropriate in some cases and that measuring
performance against the current baseline has value. However, annual
measurements for acquisitions that have been rebaselined and span
several years do not provide a complete picture of acquisition
performance over time.
In addition, based on original cost and schedule baselines, the
acquisitions on which FAA reported performance from 2003 to 2006
collectively exceeded their original budget estimates by approximately
$4.4 billion, or over 66 percent, and experienced schedule slippages of
from 1 to 10 years. The Standard Terminal Automation Replacement System
(see fig. 1) and the Wide Area Augmentation System--both key NextGen
systems--accounted for most of the budget increase. The acquisition of
both of these systems began in the mid-to late 1990s, well before the
establishment of ATO. (See app. IV for a baseline history of the
acquisition programs FAA selected for performance measurement.)
Figure 1: Standard Terminal Automation Replacement System Controller
Workstation:
[See PDF for image]
Photograph of a Standard Terminal Automation Replacement System
Controller Workstation.
Source: FAA.
[End of figure]
In December 2007, we recommended that FAA identify or establish a
vehicle for regularly reporting to Congress and the public on the
agency's overall, long-term performance in acquiring ATC systems by
providing original budget and schedule baselines for each rebaselined
program and the reasons for the rebaselining.[Footnote 10] We also
recommended that FAA report information on the potential effects that
any budget increases or schedule slippages could have on the overall
transition to NextGen. FAA plans to address our recommendation by
reporting such information in its Capital Improvement Plan, which it
sends annually to Congress.
FAA will need to continue to manage the acquisition of billions of
dollars worth of new ATC systems as NextGen progresses. FAA plans to
spend roughly $5.4 billion from fiscal years 2009 through 2013 on
NextGen development and capital costs. The agency estimates that the
total federal cost for NextGen infrastructure through 2025 will range
from $15 billion to $22 billion.[Footnote 11] Therefore, it is now more
important than ever for FAA to continue to maintain progress and avoid
cost overruns and schedule delays, since they could have a cascading
impact on the cost and schedule of NextGen.
Basic Planning for NextGen Is Completed and ATO Has Reorganized as It
Transitions to NextGen, but Stakeholders Have Concerns:
Congress authorized JPDO to plan and coordinate the development of
NextGen and placed JPDO organizationally within FAA. JPDO initially
prepared three basic planning documents for NextGen--a Concept of
Operations, an Enterprise Architecture, and an Integrated Work Plan.
[Footnote 12] Collectively, the three documents form the basis of the
joint planning environment for NextGen. Further iterations of these
planning documents will be needed as NextGen technologies are developed
and implemented. As NextGen has now progressed from the initial
planning to the early implementation phase, JPDO's role has evolved to
include coordination and facilitation among the numerous federal and
industry stakeholders, JPDO has sought to institutionalize the
collaborative process with partner federal agencies by establishing a
memorandum of understanding (MOU), signed by the secretary or other
high-ranking official from each partner agency that broadly defines the
partner agency's roles and responsibilities. As of June 2008, the MOU
had been signed by all five partner agencies--the Departments of
Commerce, Defense, Homeland Security, and Transportation and NASA. For
the transition to NextGen, ATO has undergone a reorganization to
facilitate its critical role in implementing NextGen. However,
stakeholders have raised concerns about their lack of impact on NextGen
planning, the usefulness of key planning documents, and the adequacy of
FAA's management structure, including the organizational placement of
JPDO, for implementing NextGen.
Stakeholders Are Not Satisfied with their Participation in NextGen
Planning or the Information Provided in NextGen Planning Documents:
Thirteen of 15 industry stakeholders[Footnote 13] who discussed the
issue raised concerns over what they perceive as a lack of impact on
NextGen planning from their participation in the NextGen effort so far.
Stakeholders can provide input into NextGen planning through
participation in JPDO working groups and the NextGen Institute. JPDO's
organizational structure includes nine working groups[Footnote 14] that
were created[Footnote 15] to bring together federal and nonfederal
experts to plan for and coordinate the development of NextGen systems.
Similarly, the NextGen Institute was established to incorporate the
expertise of industry, state and local governments, and academia into
the NextGen planning process. The Institute Management Council,
composed of top agency officials and representatives from the aviation
community, oversees the policy, recommendations, and products of the
institute and provides a means for advancing consensus positions on
critical NextGen issues. All of the stakeholders we interviewed, with
the exception of stakeholders from an FAA employee union--the
Professional Aviation Safety Specialists (PASS)--indicated that they
participated in NextGen planning and development activities as members
of various JPDO working groups, as members of the Institute Management
Council, or by serving as consultants to FAA. Stakeholders from the
National Air Traffic Controllers Association (NATCA)--another FAA
employee union--indicated that while the union does participate in FAA
meetings and briefings related to NextGen, their status is that of a
recipient of information rather than an equal party with other
stakeholders on the development of NextGen.
While 21 of 22 stakeholders who discussed the issue felt that they were
provided the opportunity to participate in NextGen planning, many were
not satisfied with the impact of their participation on NextGen
planning or with the outcomes of their participation. Some stakeholders
said that they frequently attended meetings, but were frustrated by the
lack of tangible products being developed and lack of progress being
made during these meetings. Thirteen of 15 stakeholders who discussed
the issue stated that they did not feel that their level of
participation in NextGen allowed for sufficient or meaningful input
toward decision making. Some stakeholders expressed concern that JPDO
and FAA did not include their input in the development of planning
documents and other products and that critical issues are not being
addressed or incorporated in NextGen plans. In particular, some
stakeholders noted that planning documents were drafted by JPDO staff
and then provided to them for review and comment. By doing so, one
industry stakeholder noted that JPDO was not taking full advantage of
their capabilities. Some stakeholders also suggested examining the
types of industry players involved with JPDO and how they contribute,
indicating that certain types of expertise may not be represented, such
as avionics experience.
In addition, a number of stakeholders as well as members of Congress
have expressed concerns with the key NextGen planning documents being
developed by JPDO and FAA--JPDO's Concept of Operations, Enterprise
Architecture, and Integrated Work Plan and FAA's implementation plan
for NextGen (a document previously known as the Operational Evolution
Partnership (OEP) and now called the NextGen Implementation Plan).
Nineteen of 21 industry stakeholders who discussed the issue said that
the planning documents lack the information that industry participants
need for planning. Many of the stakeholders we interviewed said that
while the planning documents provide a high-level view of NextGen
benefits, they do not provide specific details such as a catalog of
critical needs, clearly defined and prioritized intermediate
objectives, and a structured plan for achieving tangible results.
According to aviation manufacturing stakeholders, the plans lack
specific details to inform them about the type of technology they need
to design for NextGen or provide insights to market, build, and install
systems that support NextGen. A senior JPDO official noted, however,
that the JPDO planning documents were not intended to provide that
level of detail. Some industry stakeholders further noted that the
current planning does not identify all of the needed research,
establish priorities for research and development, or show how to
obtain those results. We agree that the latest publicly available
versions of these documents lack information that various stakeholders
need. For example, the documents do not include key elements such as
scenarios illustrating NextGen operations, a summary of NextGen's
operational impact on users and other stakeholders, and an analysis of
the benefits, alternatives, and trade-offs that were considered for
NextGen. However, the next version of the Integrated Work Plan, which
JPDO plans to release at the end of September 2008, has schedule
information that has been updated to reflect newly available
information, coordination with FAA schedule and plans, and revisions in
response to public comments received on the previous version, according
to JPDO and FAA officials. Our review of the upcoming version--which is
an automated, searchable database--verified that it will have the
capability to track dates and identify programs that are behind
schedule. In addition, the new version is able to identify programs,
policies, or research that must be completed before specific NextGen
capabilities can be implemented as well as identify whether industry or
a specific federal agency is responsible for completing the action.
Agency officials expect subsequent versions of the work plan to include
cost information, which we believe will enhance the work plan's
usefulness for NextGen oversight.
In addition, a key intended purpose of these planning documents,
according to JPDO officials, is to provide the means for coordinating
among the partner agencies and private sector manufacturers, aligning
relevant research and development activities, and integrating
equipment. However, as mentioned previously, 19 of 21 stakeholders who
discussed the issue said that the planning documents did not provide
guidance for their organizational decision making. For example, some of
the stakeholders noted that neither the JPDO planning documents nor
FAA's NextGen Implementation Plan provide information on the
requirements or specifications needed to develop and manufacture
NextGen equipment or anticipate the changes resulting from the
implementation of NextGen. As a result, some stakeholders believe that
FAA should develop an interim architecture (a technical road map) that
provides sufficient detail about what can be accomplished by 2015. This
interim document would help bridge the gap between current systems and
plans for the future and would help stakeholders plan for the
investments that they will need to make in NextGen systems. According
to FAA, it has updated its enterprise architecture for the national
airspace system and plans to do so annually. According to the agency,
the current version of the enterprise architecture reflects NextGen and
is being revised to reflect the fiscal year 2009 budget submission and
the budget planning time frame of fiscal years 2010 through 2013.
However, FAA noted that the level of detail that some stakeholders
asked for, such as specifications to develop and manufacture NextGen
equipment, will not be available for projects that are still in the
concept development and investment analysis phase.
In addition, the Senate Appropriations Committee has expressed concern
that the JPDO planning documents lack details on how the various
NextGen initiatives will reduce delays and congestion between now and
2025. It would have FAA and JPDO include in future budget
justifications and NextGen planning documents a full explanation and
quantitative estimate of how much each new capability will reduce
congestion, increase capacity, and decrease delays; an explanation of
how the data was modeled and compiled; and a time frame for when these
capacity improvements and delay reduction measures will start to
relieve congestion.
Stakeholders Have Had Concerns over FAA's Overall Management Structure
for NextGen and the Organizational Placement of JPDO:
Many stakeholders had concerns about the adequacy of FAA's management
structure for NextGen prior to the May 2008 reorganization of ATO, but
that reorganization did not address all of their concerns. All 10
stakeholders who discussed the issue viewed FAA's 2007 management
structure as not adequate for the transition to NextGen. In addition,
13 of 15 stakeholders who discussed the issue felt that FAA did not
have the leadership in place for the transition to NextGen. Prior to
May 2008, the executive responsible for developing and overseeing the
OEP--FAA's implementation plan for NextGen--was one of nine FAA vice
presidents who report to the COO of FAA's ATO, who, in turn, reports
directly to the FAA Administrator. Other ATO vice presidents are
responsible for NextGen-related activities in their designated areas,
such as en route, oceanic, and terminal services. In addition, the FAA
executives responsible for airports and aviation safety issues--areas
that also encompass NextGen-related activities--are associate
administrators who report through the Deputy FAA Administrator to the
FAA Administrator. Thus, while some of the activities for which the
other vice presidents and associate administrators are responsible are
significant to NextGen's implementation, there was no direct line of
authority between the Vice President for Operations Planning Services
and these activities. Figure 2 shows FAA's management structure as of
November 2007.
Figure 2: FAA Organization, November 2007:
[See PDF for image]
This figure is an illustration of the FAA Organization, as follows:
Administrator:
* Joint Planning and Development Office (JPDO);
* Chief Operating Officer, Air Traffic Organization (ATO);
- Vice President for Acquisition and Business Services;
- Vice President for Communications Services;
- Vice President for En Route and Oceanic Services (office with
responsibilities for NextGen-related activities);
- Vice President for Financial Services;
- Vice President for Operations Planning Services (office with
responsibilities for NextGen-related activities);
- Vice President for System Operations Services (office with
responsibilities for NextGen-related activities);
- Vice President for Safety Services;
- Vice President for Terminal Services (office with responsibilities
for NextGen-related activities);
- Vice President for Technical Operations Services (office with
responsibilities for NextGen-related activities).
Administrator:
* Deputy Administrator;
- Assistant Administrator for Civil Rights;
- Chief Counsel;
- Assistant Administrator for Government and Industry Affairs;
- Assistant Administrator for Communications;
- Associate Administrator for Commercial Space Travel;
- Associate Administrator for Airports (office with responsibilities
for NextGen-related activities);
- Associate Administrator for Aviation Safety (office with
responsibilities for NextGen-related activities);
- Assistant Administrator for Aviation Policy, Planning and
Environment;
- Assistant Administrator for Regions and Center Operations;
- Assistant Administrator for Information Services;
- Assistant Administrator for Human Resource Management;
- Assistant Administrator for Security and Hazardous Materials;
- Assistant Administrator for International Aviation;
- Assistant Administrator for Financial Services.
Source: FAA.
[End of figure]
To address the inadequacy they saw in the management structure for
NextGen, some stakeholders we spoke with called for the establishment
of a NextGen management position or program office that would report
directly to the FAA Administrator to ensure accountability for NextGen
results. Some of these stakeholders expressed frustration that a
program as large and important as NextGen does not follow the industry
practice of having one person designated with the authority to make key
decisions. They pointed out that although FAA's COO is nominally in
charge of FAA's NextGen efforts, the COO must also manage the agency's
day-to-day air traffic operations and may therefore be unable to devote
enough time and attention to managing NextGen. In addition, these
stakeholders noted that many of NextGen's capabilities span FAA
operational units whose heads are at the same organizational level as
the Vice President for Operations and Planning Services or are outside
ATO all together. Thus, they believed that a position or office above
the Vice President for Operations and Planning Services and the other
operational units is needed. In prior work, we have found that programs
can be implemented most efficiently when managers are empowered to make
critical decisions and are held accountable for results.[Footnote 16]
In addition, over the last several years questions have been raised by
members of Congress and stakeholders about the appropriateness of
JPDO's placement within FAA and its dual reporting to both the FAA
Administrator and the COO of ATO. We have reported that JPDO's dual
reporting status hinders its ability to interact on equal footing with
ATO and other federal agencies.[Footnote 17] On one hand, JPDO must
counter the perception that it is a proxy for ATO and, as such, cannot
act as an "honest broker." On the other hand, JPDO must continue to
work with ATO and the other federal agencies in a partnership in which
ATO is the lead implementer of NextGen. Therefore, we reported that it
is important for JPDO to have some independence from ATO and suggested
that one change that could begin to address this issue would be to have
the JPDO Director report directly to the FAA Administrator. Such a
change may also lessen what some stakeholders perceive as unnecessary
bureaucracy and red tape associated with decision making and other JPDO
and NextGen activities.
In May 2008, FAA announced a reorganization of its NextGen management
structure and named a Senior Vice President for NextGen and Operations
Planning who reports to the COO. According to ATO's COO, a purpose for
the reorganization was to respond to industry stakeholders concerns
about the fragmentation of authority over NextGen within FAA by
creating one "team" that included NextGen implementation, planning, and
oversight with one identified person in charge. According to FAA, the
Senior Vice President for NextGen and Operations Planning is
responsible for integrating and implementing all elements of NextGen,
most of which are executed by other FAA offices within and outside of
ATO. The NextGen Senior Vice President also has authority over the
allocation of the entire $5.4 billion NextGen budget requested for
fiscal years 2009 through 2013, no matter where that budget is spent
within FAA. However, it is too early to tell if this reorganization
sufficiently addresses concerns raised by stakeholders about the
fragmented management structure for NextGen since other executives
continue to have responsibility for parts of NextGen mentioned earlier
in this report, and the division of responsibility for NextGen efforts
among the senior vice presidents and associate administrators is not
clear. A senior FAA executive noted that internal ATO executives are
knowledgeable and supportive of the reorganization, but that the agency
could better communicate the changes to stakeholders outside of FAA. A
focused outreach to industry stakeholders would help to get their buy-
in and support of FAA's efforts.
In addition, as part of this reorganization, JPDO is now housed within
the new NextGen and Operations Planning Office and reports through the
Senior Vice President for Next and Operations Planning only to ATO's
COO. Now that JPDO is no longer a separate, independent office within
FAA and no longer reports directly to the FAA Administrator, its
organizational position within FAA has declined. This placement of JPDO
also does not address a concern expressed by eight industry
stakeholders who told us that the previous authority structure between
FAA and JPDO--with JPDO reporting directly to both the COO and the
Administrator--was not adequate for the transition to NextGen.
Moreover, proposed legislation reauthorizing FAA would elevate the
Director of JPDO to the Associate Administrator for the Next Generation
Air Transportation System, appointed by and reporting directly to the
FAA Administrator.[Footnote 18] We believe the proposed legislation
comes closer to addressing concerns raised by stakeholders than ATO's
action. In addition, the proposed legislation would address
observations we have made about JPDO's organizational placement within
FAA. (Fig. 3 shows ATO after the May 2008 reorganization.)
Figure 3: ATO Organization, July 2008:
[See PDF for image]
This figure is an illustration of the ATO Organization, as follows:
Administrator (office with responsibilities for NextGen-related
activities):
Chief Operating Officer, Air Traffic Organization (office with
responsibilities for NextGen-related activities);
* Senior Vice President, Finance;
* Senior Vice President, Strategy and Performance;
* Vice President, Safety;
* Vice President, Acquisitions and Business;
* Senior Vice President, Operations (office with responsibilities for
NextGen-related activities);
- Vice President, Technical Training;
- Vice President, Service Center;
- Vice President, Terminal (office with responsibilities for NextGen-
related activities);
- Vice President, Technical Operations (office with responsibilities
for NextGen-related activities);
- Vice President, En Route and Oceanic (office with responsibilities
for NextGen-related activities);
- Vice President, System Operations (office with responsibilities for
NextGen-related activities);
* Senior Vice President, NextGen and Operations Planning (office with
responsibilities for NextGen-related activities);
- System Engineering and Safety (office with responsibilities for
NextGen-related activities);
- Modeling and Simulations (office with responsibilities for NextGen-
related activities);
- Research and Technology Development (office with responsibilities for
NextGen-related activities);
- WJHTC Test and Evaluation (office with responsibilities for NextGen-
related activities);
- Administration (office with responsibilities for NextGen-related
activities);
- Financial Operations (office with responsibilities for NextGen-
related activities);
- OEP Integration and Implementation (office with responsibilities for
NextGen-related activities);
- Aviation Weather (office with responsibilities for NextGen-related
activities);
- Joint Planning and Development (office with responsibilities for
NextGen-related activities).
Source: FAA.
[End of figure]
According to FAA's NextGen Implementation Plan, under this new
structure, JPDO will focus on long-term planning and cross-agency
cooperation. Other offices within the NextGen and Operations Planning
Office will carry out other aspects of implementing and planning for
NextGen. It is too early to tell how the reorganization will affect
JPDO's overall role or its ability to coordinate and act as an honest
broker among the federal partners. According to a senior ATO official,
the placement of JPDO with the NextGen and Operations Planning Office
was discussed with the NextGen partner federal agencies prior to the
announcement of the reorganization, and no objections to the move were
expressed.
FAA's Ability to Implement and Obtain Expected Benefits from NextGen
Will Be Affected by Research and Development, Human Capital, and
Infrastructure Challenges:
A number of areas are central to FAA's ability to implement NextGen and
thus realize the safety and efficiency gains that are expected for the
nation's air transportation system. Applied research and development
are important for implementation because they will help to reduce risk
by better defining and demonstrating new capabilities, setting
parameters for the certification of new systems, and informing
decisions about the later transfer of systems to industry for
deployment into the national airspace system. However, it is uncertain
which entities will fund and conduct the research and development
needed for NextGen. The research and development of some new
technologies and procedures have reached the point in which they can be
demonstrated in the national airspace. FAA has only recently initiated
a project to deploy available NextGen technologies simultaneously in
Florida to better demonstrate their capabilities and
interrelationships. In addition, a human capital challenge to FAA's
implementation of NextGen will be having personnel with the appropriate
knowledge, skills, and training. Furthermore, to fully realize NextGen
capabilities, a new configuration of ATC facilities and enhanced runway
capacity will be required.
Research and Development Funding Uncertainties and Research Gaps Exist:
In the past, NASA performed a significant portion of aeronautics
research and development. However, NASA's aeronautics research budget
has been declining since the mid-1990s. As shown in figure 4, NASA's
aeronautics research budget declined from about $959 million in 2004 to
$511 million in 2008. While NASA still plans to focus some of its
research on NextGen needs, the agency has moved toward a focus on
fundamental research and away from developmental work and demonstration
projects. As a result, in some cases, NASA's research focuses on
developing technologies to a lower--and therefore less readily adopted-
-maturity level than in the past. According to NASA officials, about
$280 million of its proposed $447 million aeronautics research budget
proposed for fiscal year 2009 would contribute to NextGen efforts. Ten
industry stakeholders told us that the "research gap" left by NASA's
declining aeronautics research budget needs to be addressed.
Figure 4: NASA's Aeronautics Research Budget for Fiscal Years 2003
through 2008 and Proposed Budget through Fiscal Year 2013, in Constant
2008 Dollars:
[See PDF for image]
This figure is a line graph depicting the following data:
Fiscal year: 2003;
Budget: $986 million;
Fiscal year: 2004;
Budget: $959 million;
Fiscal year: 2005;
Budget: $906 million;
Fiscal year: 2006;
Budget: $884 million;
Fiscal year: 2007;
Budget: $594 million;
Fiscal year: 2008;
Budget: $512 million;
Fiscal year: 2009;
Budget: $447 million;
Fiscal year: 2010;
Budget: $448 million;
Fiscal year: 2011;
Budget: $452 million;
Fiscal year: 2012;
Budget: $457 million;
Fiscal year: 2013;
Budget: $468 million.
Source: GAO analysis.
[End of figure]
FAA has also determined that research gaps now exist as a result of
both the administration's cuts to NASA's aeronautics research funding
and the expanded requirements of NextGen. Budget requests for FAA have
increased to help provide the needed research and development funding
for NextGen. According to FAA, the agency will spend an estimated $740
million on NextGen-related research and development during fiscal years
2009 through 2013. The administration's proposed budget for fiscal year
2009 requests $56.5 million for FAA research and development to support
the integration and implementation of NextGen programs, a substantial
increase over the $24.3 million authorized for fiscal year 2008. The
actual and projected increases in FAA's overall research and
development funding (see fig. 5) reflect the expected increases in
NextGen research funding.
Figure 5: FAA's Overall Research and Development Funding for Fiscal
Years 2006 through 2008 and Proposed Funding through Fiscal Year 2013,
in Constant 2008 Dollars:
[See PDF for image]
This figure is a line graph depicting the following data:
Fiscal year: 2006;
Funding: $137 million;
Fiscal year: 2007;
Funding: $237 million;
Fiscal year: 2008;
Funding: $271 million;
Fiscal year: 2009;
Funding: $337 million;
Fiscal year: 2010;
Funding: $419 million;
Fiscal year:3152 million;
Fiscal year: 2012;
Funding: $431 million;
Fiscal year: 2013;
Funding: $436 million.
Source: GAO analysis.
[End of figure]
One critical area in which a research and development gap has been
identified is the environmental impact of aviation. According to a JPDO
analysis, environmental impacts will be the primary constraint on the
capacity and flexibility of the national airspace system unless these
impacts are managed and mitigated. In proposed legislation
reauthorizing FAA, $111 million for fiscal years 2009 through 2011 may
be used for a new FAA program to help close the research and
development gap and reduce aviation noise and emissions.[Footnote 19]
This program--the Continuous Lower Energy, Emissions, and Noise (CLEEN)
initiative--would facilitate over the next 10 years the development,
maturation, and certification of improved airframe technologies. The
CLEEN program, in which NASA would participate as an adviser, is
intended to address the gap between NASA's fundamental research in
noise reduction and the need for near-term demonstrations of
technology. The program would establish a research consortium of
government, industry, and academic participants that would allow for
the maturation of these technologies via demonstration projects.
[Footnote 20]
Our work indicates that a research gap also exists in the area of human
factors research. Human factors research explores what is known about
people and their abilities, characteristics, and limitations in the
design of the equipment they use, the environments in which they
function, and the jobs they perform. Seven of eight stakeholders that
discussed the issue expressed concern that NextGen plans do not
adequately address human factors research. For example, a central
assumption of the NextGen system is an increased reliance on
automation, which dramatically changes the roles and responsibilities
of both air traffic controllers and pilots. These changes in roles and
responsibilities raise significant human factors issues for the safety
and efficiency of the national airspace system. According to an FAA
official, verbal communication is an example of a human factors area
that requires further research and development. Currently, air traffic
controllers primarily rely on verbal communication to direct aircraft.
Because NextGen will rely more on data link and other automated
communications, controllers will require training in both understanding
and operating in an automated communications environment. The research
to support such training has not been conducted, according to FAA.
[Footnote 21] FAA plans to invest $180.4 million in human factors
research from fiscal year 2009 to fiscal year 2013. Furthermore, NASA
recently adjusted the size of its human factors research staff starting
in fiscal year 2005, reassigning some staff to other programs and
reducing the contractor and academic technical support for human
factors research. However, according to NASA, human factors research
continues to be a critical component of its aeronautics research
program, with activity focused at the foundational level. It remains to
be seen if FAA's planned research and development in this area will
offset NASA's reductions, since FAA's research is typically at a more
applied level.
To help bridge the gap between NASA's research and FAA's need to
develop and implement new technology, the two agencies have developed a
strategy to identify, conduct, and transfer to FAA the research and
development needed for NextGen. The strategy initially establishes four
"research transition teams"[Footnote 22] that align with JPDO's
planning framework and outlines how the two agencies will jointly
develop research requirements--FAA will provide user requirements, and
NASA will conduct the research and provide an understanding of the
engineering rationale for design decisions. In addition, the strategy
calls for defining metrics for evaluating the research. According to
JPDO, as of August 2008, the four teams had been established and held
initial meetings. While these developments are positive steps, it is
too early to tell if they will be effective in addressing NextGen's
overall research needs. Unless NextGen's developmental research needs
are met in a timely manner, the implementation of NextGen is also
likely to be delayed, jeopardizing NextGen's goals of increased safety,
efficiency, and capacity of the system.
FAA and NASA have worked to identify the research and development that
is needed for NextGen, including research on aviation's impact on the
environment and human factors research, and have prioritized their
individual research portfolios. However, JPDO has not yet determined
what NextGen research and development needs to be done first and at
what cost to demonstrate and integrate NextGen technologies into the
national airspace system. JPDO's prioritization of research needs is an
essential step in identifying the resources required to undertake
needed research and development. One stakeholder suggested a risk-based
approach to prioritization. Prioritization of research is critical to
avoid spending limited funds on lower-priority efforts or conducting
work out of sequence. As mentioned previously in this report, the next
version of the Integrated Work Plan, scheduled to be released in
September 2008, will be able to identify the sequencing of research
that must be completed before specific NextGen capabilities can be
implemented. This should provide a useful tool in prioritizing and
tracking NextGen research.
Regional Demonstrations Could Accelerate Integration and Adoption of
NextGen Technologies:
Some stakeholders are concerned that although new technologies and
procedures are being researched and developed, they are not being
implemented as quickly as needed to reach the goal of having NextGen in
place by 2025. Thirteen industry stakeholders told us that technologies
are available now that should be used immediately. Among the NextGen
technologies and procedures that are already available, FAA has
implemented a few individually, such as Continuous Descent Arrival
(CDA)[Footnote 23] procedures in use in Los Angeles and Louisville and
Automatic Dependent Surveillance-Broadcast (ADS-B)[Footnote 24] in
Alaska. In addition, FAA is working with a few airlines, such as United
Parcel Service (UPS), which is installing ADS-B on all of its Boeing
757 and 767 aircraft. The equipment will record and transmit each
aircraft's speed, heading, altitude, and global positioning system
coordinates to all other aircraft similarly equipped, allowing each to
map the traffic around it. With fleetwide equipage of ADS-B, carriers
such as UPS may be able to increase landing rates enough to justify the
equipage costs, according to an aviation research organization. (Fig. 6
shows examples of ADS-B in use.) In past work, we have reported that
available NextGen technologies and procedures have not yet been
deployed simultaneously to demonstrate that they can be operated safely
as an integrated suite of technologies and procedures in the national
airspace system.[Footnote 25]
Figure 6: Example of Use of ADS-B:
[See PDF for image]
This figure is an illustration of Use of ADS-B, as follows:
Incoming aircraft:
* ADS-B permits each aircraft to support the controller in maintaining
3 mile separation for other aircraft;
* With ADS-B, air traffic control's role is more productive, since the
controller in monitoring traffic rather than directing traffic;
* An aircraft without ADS-B will have to be directed by air traffic
controllers on the ground to maintain separation from other aircraft;
* Once aircraft has landed, ADS-B will help to avoid collision with
other aircraft.
Source: GAO.
[End of figure]
Eleven of 12 stakeholders who discussed the issue suggested that FAA
consider a gradual rollout of NextGen technologies and procedures in a
designated area. For example, ADS-B technologies; CDA, Area Navigation
(RNAV) and Required Navigation Performance (RNP) procedures;[Footnote
26] and high-density airport operations could be deployed in a defined
location, possibly in sequence over time, to test their combined use
and demonstrate the safety and efficiency of an integrated suite of
NextGen advancements. Such a graduated rollout is sometimes referred to
as "NextGen lite."
Along these lines, in June 2008, FAA signed a memorandum of agreement
with the state of Florida and DayJet--a carrier that provides air taxi
[Footnote 27] service--to establish a government and industry
partnership for demonstrating NextGen technologies prior to national
implementation. For the Florida demonstration, FAA, together with
aviation equipment manufacturers and municipalities, will use the
NextGen capabilities of ADS-B, RNAV, and RNP for an on-demand air taxi
fleet's operations. As other NextGen capabilities, such as System-Wide
Information Management (SWIM),[Footnote 28] are deployed and if the air
taxi fleet's operations move to other airports and regions, the
demonstration is expected to be expanded to include those new
capabilities and other airports and regions. In addition, in June 2008,
FAA signed an agreement with Embry-Riddle Aeronautical University to
Support future research and demonstrations that are expected to lead to
proof of concept and early implementation of NextGen capabilities,
according to FAA. According to the airlines and other stakeholders we
interviewed, a demonstration of the integration of NextGen capabilities
and of efficiencies resulting from their use would give airlines an
incentive to equip their aircraft with NextGen technologies. They could
then lower their costs by reducing their fuel consumption and decrease
the impact of their operations on the environment. Our research
indicate that such regional or targeted demonstrations could accelerate
the delivery of NextGen benefits while helping to ensure safe
operations within the current system. By establishing benefits early in
a program's development, demonstrations can increase stakeholders'
confidence in the overall NextGen initiative and provide incentives for
the aviation community to equip aircraft with compatible technology.
NextGen Will Require New Skills and Abilities of FAA Personnel:
FAA will need technical skills such as systems engineers and contract
management expertise to implement NextGen. Because of the scope and
complexity of the NextGen effort, the agency may not currently have the
in-house expertise to manage the transition to NextGen without
assistance. In November 2006, we recommended that FAA examine its
strengths and weaknesses with regard to the technical expertise and
contract management expertise that will be required to define,
implement, and integrate the numerous complex programs inherent in the
transition to NextGen.[Footnote 29] In response to our prior
recommendation, FAA contracted with NAPA to determine the mix of
skills, including technical and contract management skills, and
strategies to obtain necessary expertise for NextGen. In December 2007,
NAPA provided FAA with its report on the types of skills that will be
needed by FAA.[Footnote 30] NAPA has undertaken a second part of the
study to identify skill gaps between FAA's current staff and the staff
that would be required to implement NextGen. NAPA officials told us
that they expect to publish the findings of the second part of the
study in September 2008. We believe that this is a reasonable approach
that should help FAA begin to address this issue, recognizing that once
the right skill set is identified, it may take considerable time to
select, hire, and integrate what FAA estimates could be 150 to 200 more
staff. This situation has the potential to contribute to delays in
integrating new technologies and transforming the national airspace
system.
In addition, the implementation of NextGen will involve training
personnel across FAA as new systems are brought online. NextGen entails
an increased reliance on automation and changing roles for both air
traffic controllers and pilots. In such an automated environment, some
of the responsibilities of controllers will shift from air traffic
control to air traffic management,[Footnote 31] and pilots will take on
a greater share of the responsibility for maintaining safe separation
between aircraft and other tasks currently performed by controllers.
FAA's air traffic controllers and repair technicians will have to be
trained to operate and maintain both the old and new systems as new
technologies are gradually brought online. While 15 stakeholders told
us that it was too early to begin training for new systems that are not
close to deployment, 4 stakeholders who represent groups that would be
using the new systems or teaching those users said that now was the
time to begin developing the training to prepare FAA personnel and
others for the changing operating procedures that will occur under
NextGen. For example, one stakeholder noted that the educational
community needs to be engaged now so that it can be prepared to teach
future air traffic controllers and pilots. Another stakeholder believed
that during the transition to NextGen, FAA would need training
capabilities at each ATC facility for air traffic controllers who may
be using both NextGen systems and legacy systems. While FAA believes
that it is too early to begin such training, according to the agency,
it began a strategic job analysis in fiscal year 2008 to determine how
the controller's job will change as a result of NextGen. In fiscal year
2009, the agency plans to conduct a strategic training analysis to
identify training for controllers that will be needed to address those
job changes.
Facilities and Airport Limitations Present Challenges to Realizing the
Full Potential of NextGen:
To fully realize all of NextGen's capabilities, a new configuration of
ATC facilities and enhanced runway capacity will be required. According
to a senior ATO official, the agency plans to report on the cost
implications of reconfiguring its facilities in 2009. However, FAA has
not developed a comprehensive plan to reconfigure its facilities. Until
the cost analysis is completed and the reconfiguration plan has been
developed, the configurations needed for NextGen cannot be implemented
and potential savings that could help offset the cost of NextGen will
not be realized. Some FAA officials have said that planned facility
maintenance and construction based on the current ATC system are
significant cost drivers that could, without reconfiguration,
significantly increase the cost of NextGen.
In the meantime, FAA faces an immediate task to maintain and repair
existing facilities so that the current ATC system continues to operate
safely and reliably. The agency is currently responsible for
maintaining over 400 terminal facilities. While FAA has not assessed
the physical condition of all of these facilities, the agency rated the
average condition of 89 of them as "fair," with some rated "good" and
others "very poor." Based on its assessment of these 89 facilities, FAA
estimated that a onetime cost of repair to all of its terminal
facilities would range from $250 million to $350 million. Two FAA
employee unions (NATCA and PASS) contend that these facilities are
deteriorating because of lack of maintenance and that working
conditions are unsafe because of leaking roofs, deteriorating walls and
ceilings, and obsolete air-conditioning systems. According to FAA
officials, while some of these facilities can accommodate the new
technologies and systems of NextGen, many of them are not consistent
with the configurations that will be needed under NextGen. Once FAA
develops a facility reconfiguration plan that identifies facilities for
consolidation, the costs of repairing and maintaining its facilities
may be reduced. In the meantime, FAA will have to manage its budgetary
resources so that it can maintain legacy systems and legacy
infrastructure while configuring the national airspace system to
accommodate NextGen technologies and operations.
With regard to airport infrastructure, a transition to NextGen will
also depend on the ability of airports to handle greater capacity. One
way that FAA is endeavoring to increase airport runway capacity is its
High-Density Terminal and Airport Operations initiative, which the
agency has just begun to implement. Under this initiative, aircraft
arriving and departing from different directions would be assigned to
multiple runways and safely merged into continuous flows despite bad
weather and low visibility. To guarantee safe separation between
aircraft, these airports would need enhanced navigation capabilities
and controllers with access to increased automation. Under this
initiative, aircraft would also move more efficiently on the ground,
using procedures that are under development to reduce spacing and
separation requirements and improve the flow of air traffic into and
out of busy metropolitan airspace. Although the implementation of this
initiative is in the early stages, FAA has identified the research and
development needed to move it forward. FAA has also identified runway
safety technologies for accelerated implementation.
The increases in capacity expected from the High-Density Terminal and
Airport Operations initiative are not likely to be sufficient to handle
the expected increases in traffic. As a result, new or expanded runways
will likely be needed. FAA has developed a rolling 10-year plan for
capacity improvements at the nation's 35 busiest airports, and some
airports are building new runways. Moreover, FAA simulated the expected
capacity enhancement of these currently planned runway improvements and
the additional capacity gained through the implementation of some
NextGen initiatives[Footnote 32] and found that by 2025, 14 airports
will still need additional capacity. In addition, building new runways
at some of these airports will present considerable obstacles. The 14
airports are as follows:
* Fort Lauderdale-Hollywood International:
* Hartsfield-Jackson Atlanta International:
* John F. Kennedy International:
* John Wayne-Orange County:
* LaGuardia:
* Long Beach-Daugherty Field:
* McCarran International:
* Metropolitan Oakland International:
* Midway:
* Newark Liberty International:
* Philadelphia International:
* Phoenix Sky Harbor International:
* San Diego International:
* San Francisco International:
In part, as a result of the continuing need for runway development,
some of the planning for NextGen includes reducing the environmental
impact of aviation because of local community concerns about aviation
emissions and noise. Thirteen industry stakeholders view community
opposition to the environmental impacts of aviation as a key issue
affecting the success of NextGen. Furthermore, state and local
governments play a large role in providing needed support for expanding
airport capacity for the national air transportation system. Without
significant reductions in emissions and noise around the nation's
airports and continuing efforts at all levels of government, efforts to
expand airport capacity could be stalled and the implementation of
NextGen delayed.
Agency Comments:
We provided a draft of this report to DOT and NASA for their review and
comments. Both agencies provided technical clarifications, which we
incorporated into this report as appropriate.
We are sending copies of this report to the Secretaries of
Transportation, Defense, Commerce, and Homeland Security and the
Administrators of NASA and FAA. We will also make copies available to
others upon request. In addition, the report will be available at no
charge on the GAO Web site at [hyperlink, http://www.gao.gov].
If you or your staff have any questions about this report, please
contact me at (202) 512-2834 or dillinghamg@gao.gov. Contact points for
our Offices of Congressional Relations and Public Affairs may be found
on the last page of this report. GAO staff who made major contributions
to this report are listed in appendix V.
Signed by:
Gerald L. Dillingham, Ph.D.
Director, Physical Infrastructure Issues:
List of Requesters:
The Honorable Bart Gordon:
Chairman:
The Honorable Ralph Hall:
Ranking Member:
Committee on Science and Technology:
House of Representatives:
The Honorable John Mica:
Ranking Republican Member:
Committee on Transportation and Infrastructure:
House of Representatives:
The Honorable John D. Rockefeller, IV:
Chairman:
The Honorable Kay Bailey Hutchison:
Ranking Member:
Subcommittee on Aviation Operations, Safety, and Security:
Committee on Commerce, Science, and Transportation:
United States Senate:
The Honorable Jerry F. Costello:
Chairman:
The Honorable Thomas Petri:
Ranking Republican Member:
Subcommittee on Aviation:
Committee on Transportation and Infrastructure:
House of Representatives:
[End of section]
Appendix I: Scope and Methodology:
In this report, we assessed the Federal Aviation Administration's (FAA)
ability to acquire and integrate new air traffic control (ATC) systems
and transition to the next generation air transportation system
(NextGen). Specifically, we established the following research
questions: (1) What are the status and outcome of FAA's ATC systems
acquisition activities? (2) What is the status of the key NextGen
planning and transition issues? (3) What key challenges does FAA face
in implementing NextGen?
To determine the status and outcome of FAA's ATC systems acquisition
activities, we updated acquisition baseline information on cost and
schedule and we summarized our recent work on acquisition performance.
[Footnote 33] To determine FAA's Air Traffic Organization's (ATO)
progress in acquisitions management, we analyzed the trends for budget
and schedule outcomes between the original baselines and current budget
and schedule baselines for the acquisitions that ATO selected for
performance reporting and monitoring from fiscal years 2004 through
2008. We also drew upon past work in which we undertook detailed
reviews of the status of ATC acquisition programs, and obtained updated
information as necessary from FAA by reviewing documents and
interviewing agency officials. Through discussions with ATO officials,
we determined that these data were sufficiently reliable for the
purposes of our report.
To determine the status of the key NextGen planning and transition
issues and key challenges facing FAA in implementing NextGen, we
interviewed senior ATO and Joint Planning and Development Office (JPDO)
officials. We also reviewed relevant literature and JPDO publications,
including JPDO's Concept of Operations, Enterprise Architecture, and
Integrated Work Plan, and previous GAO reports on NextGen. In addition,
we obtained the views of key nonfederal aviation stakeholders involved
with NextGen and JPDO on the progress of, and challenges to achieving
and planning for, the transition to NextGen. We identified those key
stakeholders who, by virtue of their positions, possessed special
knowledge that they were willing to share with us through formal
interviews. We selected a sample of 24 key stakeholders from various
categories of the community of aviation stakeholders. Within the
categories (e.g., manufacturers, operators, airports, air traffic
controllers, pilots, and academia) we balanced the selection of
stakeholders to capture the views of the different stakeholder
categories. The key stakeholders were representatives from the
following organizations:
* Aerospace Industries Association of America:
* American Association of Airport Executives:
* Airports Council International - North America:
* Airbus:
* Air Line Pilots Association:
* Aircraft Owners and Pilots Association:
* Air Transport Association:
* Air Traffic Control Association:
* Boeing Company:
* Cargo Airline Association:
* Embry-Riddle Aeronautical University:
* Flight Safety Foundation:
* General Aviation Manufacturers Association:
* Honeywell:
* ITT Corporation:
* Lockheed-Martin:
* National Association of State Aviation Officials:
* National Air Traffic Controllers Association:
* National Business Aviation Association:
* Professional Aviation Safety Specialists:
* Regional Airline Association:
* Raytheon:
* Rockwell-Collins:
* RTCA (formerly known as the Radio Technical Corporation of America):
We conducted the stakeholder interviews using open-ended questions
arranged by topics with standard probe notes to help ensure consistent
results. The topics included stakeholder participation in NextGen, JPDO
activities, the transition to NextGen, training, environmental issues,
and research and development. With the permission of stakeholders, we
recorded the interviews and had them professionally transcribed. The
information contained in the transcripts was analyzed and coded into
response categories for each topic. A reviewer checked the resulting
categories and coded responses and, when interpretations differed,
agreement was reached between the initial coder and the reviewer. The
result of this content analysis is found in appendix II.
We then obtained further information related to the stakeholder
responses by conducting interviews with representatives of relevant
NextGen partner agencies--JPDO, FAA, and the National Aeronautics and
Space Administration (NASA). We also obtained and reviewed relevant
documentation from these agencies, including research and development
budget documents from FAA and NASA. We did not obtain further
information from the other federal partners--the Departments of
Commerce, Defense, and Homeland Security and the White House Office of
Science and Technology Policy--because the stakeholders did not
articulate issues related to those agencies. We also interviewed
representatives from the National Academy of Public Administration to
obtain information on their work related to FAA's skill needs for
NextGen. In addition, we summarized information on NextGen
environmental issues from our recent report and testimony.[Footnote 34]
We conducted our performance audit from July 2007 to September 2008 in
accordance with generally accepted government auditing standards. Those
standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for our
findings and conclusions based on our audit objectives. We believe that
the evidence obtained provides a reasonable basis for our findings and
conclusions based on our audit objectives.
[End of section]
Appendix II: Stakeholder Responses to Semistructured GAO Interview
Questions:
Interview topics and answer categories:
Stakeholder participation: Opportunity to participate;
Number of stakeholders responding: Yes: 21;
Number of stakeholders responding: No: 1;
Number of stakeholders responding: Indecisive or no response: 2.
Stakeholder participation: Participation involved input to decision
making;
Number of stakeholders responding: Yes: 2;
Number of stakeholders responding: No: 13;
Number of stakeholders responding: Indecisive or no response: 9.
Stakeholder participation: Satisfaction with the amount of
participation;
Number of stakeholders responding: Yes: 7;
Number of stakeholders responding: No: 14;
Number of stakeholders responding: Indecisive or no response: 3.
Views on NextGen: Presents a vision of high-level goals;
Number of stakeholders responding: Yes: 15;
Number of stakeholders responding: No: 2;
Number of stakeholders responding: Indecisive or no response: 7.
Views on NextGen: Presents a programmatic path to high-level goals;
Number of stakeholders responding: Yes: 0;
Number of stakeholders responding: No: 23;
Number of stakeholders responding: Indecisive or no response: 1.
Views on NextGen: Agreement that NextGen will reduce congestion;
Number of stakeholders responding: Yes: 10;
Number of stakeholders responding: No: 5;
Number of stakeholders responding: Indecisive or no response: 9.
Views on NextGen: Congressional actions are needed for the transition
to NextGen;
Number of stakeholders responding: Yes: 18;
Number of stakeholders responding: No: 1;
Number of stakeholders responding: Indecisive or no response: 5.
JPDO planning documents: Have been reviewed by the individual or
organization;
Number of stakeholders responding: Yes: 22;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 2.
JPDO planning documents: Useful for organizational or individual
decision making;
Number of stakeholders responding: Yes: 2;
Number of stakeholders responding: No: 19;
Number of stakeholders responding: Indecisive or no response: 3.
JPDO planning documents: Understood by policymakers;
Number of stakeholders responding: Yes: 1;
Number of stakeholders responding: No: 8;
Number of stakeholders responding: Indecisive or no response: 15.
JPDO achievements: Provided a vision of a high-level end state;
Number of stakeholders responding: Yes: 13;
Number of stakeholders responding: No: 6;
Number of stakeholders responding: Indecisive or no response: 5.
JPDO achievements: Developed planning documents for NextGen;
Number of stakeholders responding: Yes: 16;
Number of stakeholders responding: No: 2;
Number of stakeholders responding: Indecisive or no response: 6.
JPDO achievements: Coordinated multiagency efforts;
Number of stakeholders responding: Yes: 5;
Number of stakeholders responding: No: 3;
Number of stakeholders responding: Indecisive or no response: 16.
Avionics equipage: Advantages of incentives mentioned;
Number of stakeholders responding: Yes: 17;
Number of stakeholders responding: No: 1;
Number of stakeholders responding: Indecisive or no response: 7.
Avionics equipage: Advantages of mandates mentioned;
Number of stakeholders responding: Yes: 12;
Number of stakeholders responding: No: 5;
Number of stakeholders responding: Indecisive or no response: 7.
Avionics equipage: Organization has made plans or investments to
accommodate need for avionics equipage;
Number of stakeholders responding: Yes: 8;
Number of stakeholders responding: No: 7;
Number of stakeholders responding: Indecisive or no response: 9.
Training: Is an issue to be considered at some point, but it is too
soon to take definite steps to address;
Number of stakeholders responding: Yes: 15;
Number of stakeholders responding: No: 1;
Number of stakeholders responding: Indecisive or no response: 7.
Training: Is an issue that can be addressed immediately;
Number of stakeholders responding: Yes: 4;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 21.
Environmental issues: Noise is a key issue affecting the success of
NextGen;
Number of stakeholders responding: Yes: 16;
Number of stakeholders responding: No: 1;
Number of stakeholders responding: Indecisive or no response: 7.
Environmental issues: Emissions are a key issue affecting the success
of NextGen;
Number of stakeholders responding: Yes: 17;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 7.
Environmental issues: Water pollution is a key issue affecting the
success of NextGen;
Number of stakeholders responding: Yes: 3;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 21.
Environmental issues: Construction of buildings and runways are key
issues affecting the success of NextGen;
Number of stakeholders responding: Yes: 13;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 11.
Environmental issues: Community opposition to the environmental impact
of aviation is a key issue affecting the success of NextGen;
Number of stakeholders responding: Yes: 13;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 11.
Transition to NextGen: FAA has adequate expertise available for the
transition;
Number of stakeholders responding: Yes: 4;
Number of stakeholders responding: No: 10;
Number of stakeholders responding: Indecisive or no response: 10.
Transition to NextGen: FAA needs a "lead systems integrator" for the
transition;
Number of stakeholders responding: Yes: 3;
Number of stakeholders responding: No: 3;
Number of stakeholders responding: Indecisive or no response: 18.
Transition to NextGen: JPDO has the expertise available to help in the
transition;
Number of stakeholders responding: Yes: 5;
Number of stakeholders responding: No: 8;
Number of stakeholders responding: Indecisive or no response: 11.
Governance structure for NextGen: Current Operational Evolution
Partnership (OEP) organization adequate for the transition;
Number of stakeholders responding: Yes: 0;
Number of stakeholders responding: No: 10;
Number of stakeholders responding: Indecisive or no response: 14.
Governance structure for NextGen: JPDO's authority is adequate for its
planning and coordination function;
Number of stakeholders responding: Yes: 3;
Number of stakeholders responding: No: 8;
Number of stakeholders responding: Indecisive or no response: 13.
Governance structure for NextGen: FAA currently has the leadership in
place for the transition to NextGen;
Number of stakeholders responding: Yes: 3;
Number of stakeholders responding: No: 13;
Number of stakeholders responding: Indecisive or no response: 8.
Governance structure for NextGen: FAA, JPDO, and OEP have the
leadership team needed for the transition to NextGen;
Number of stakeholders responding: Yes: 0;
Number of stakeholders responding: No: 8;
Number of stakeholders responding: Indecisive or no response: 16.
Governance structure for NextGen: The authority structure between FAA
and JPDO is adequate for the transition to NextGen;
Number of stakeholders responding: Yes: 0;
Number of stakeholders responding: No: 8;
Number of stakeholders responding: Indecisive or no response: 16.
Research and development: The "research gap" needs to be addressed;
Number of stakeholders responding: Yes: 10;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 14.
Research and development: Current plans and implementing operations do
not adequately address human factors;
Number of stakeholders responding: Yes: 7;
Number of stakeholders responding: No: 1;
Number of stakeholders responding: Indecisive or no response: 16.
Research and development: Technologies are available that should be
used immediately;
Number of stakeholders responding: Yes: 13;
Number of stakeholders responding: No: 0;
Number of stakeholders responding: Indecisive or no response: 11.
Research and development: Demonstrations, including regional
implementation of technology, are needed;
Number of stakeholders responding: Yes: 11;
Number of stakeholders responding: No: 1;
Number of stakeholders responding: Indecisive or no response: 12.
Source: GAO.
[End of table]
[End of section]
Appendix III: ATC Acquisition Performance:
Dollars in millions:
Program: Free Flight Phase 2 Traffic Management Advisor - Single
Center;
Baseline status as of February 2004: Cost: $135.5;
Baseline status as of February 2004: Schedule duration in months: 55;
Estimate at completion as of June 2008: Cost: $135.5;
Estimate at completion as of June 2008: Schedule duration in months:
64;
Variances: Cost variance: $0.0 (0.0%);
Variances: Schedule variance in months: (9) (16.4%) behind schedule.
Program: Airport Surface Detection Equipment - Model X;
Baseline status as of February 2004: Cost: $424.3;
Baseline status as of February 2004: Schedule duration in months: 108;
Estimate at completion as of June 2008: Cost: $550.1;
Estimate at completion as of June 2008: Schedule duration in months:
118;
Variances: Cost variance: ($44.9) (8.9%) over budget;
Variances: Schedule variance in months: (10) (2.4%) behind schedule.
Program: Airport Surface Detection Equipment - Model X Upgrade Sites
with Multilateration;
Baseline status as of February 2004: Cost: $80.9;
Baseline status as of February 2004: Schedule duration in months: 79;
Estimate at completion as of June 2008: Cost: [Empty];
Estimate at completion as of June 2008: Schedule duration in months:
[Empty];
Variances: Cost variance: [Empty];
Variances: Schedule variance in months: [Empty].
Program: Air Traffic Control Beacon Interrogator Replacement;
Baseline status as of February 2004: Cost: $282.9;
Baseline status as of February 2004: Schedule duration in months: 90;
Estimate at completion as of June 2008: Cost: $255.1;
Estimate at completion as of June 2008: Schedule duration in months:
142;
Variances: Cost variance: $27.8 (9.8%);
Variances: Schedule variance in months: (52) (57.8%) behind schedule.
Program: En Route Automation Modernization;
Baseline status as of February 2004: Cost: $2,154.6;
Baseline status as of February 2004: Schedule duration in months: 90;
Estimate at completion as of June 2008: Cost: $2,154.6;
Estimate at completion as of June 2008: Schedule duration in months:
90;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: FAA Telecommunications Infrastructure;
Baseline status as of February 2004: Cost: $310.2;
Baseline status as of February 2004: Schedule duration in months: 102;
Estimate at completion as of June 2008: Cost: $318.8;
Estimate at completion as of June 2008: Schedule duration in months:
114;
Variances: Cost variance: ($8.6) (2.8%) over budget;
Variances: Schedule variance in months: (12) (11.8%) behind schedule.
Program: Next Generation Air-to-Ground Communication System Segment 1a;
Baseline status as of February 2004: Cost: $318.4;
Baseline status as of February 2004: Schedule duration in months: 124;
Estimate at completion as of June 2008: Cost: $324.7;
Estimate at completion as of June 2008: Schedule duration in months:
160;
Variances: Cost variance: ($6.3) (2.0%) over budget;
Variances: Schedule variance in months: (36) (29.0%) behind schedule.
Program: Standard Terminal Automation Replacement System;
Baseline status as of February 2004: Cost: $2,769.5;
Baseline status as of February 2004: Schedule duration in months: 135;
Estimate at completion as of June 2008: Cost: $2,719.2;
Estimate at completion as of June 2008: Schedule duration in months:
135;
Variances: Cost variance: $50.3 (1.8%);
Variances: Schedule variance in months: 0; (0.0%).
Program: Wide Area Augmentation System;
Baseline status as of February 2004: Cost: $3,339.6;
Baseline status as of February 2004: Schedule duration in months: 55;
Estimate at completion as of June 2008: Cost: $3,339.6;
Estimate at completion as of June 2008: Schedule duration in months:
55;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Airport Surveillance Radar - Model 11;
Baseline status as of February 2004: Cost: $916.2;
Baseline status as of February 2004: Schedule duration in months: 172;
Estimate at completion as of June 2008: Cost: $696.5;
Estimate at completion as of June 2008: Schedule duration in months:
157;
Variances: Cost variance: $219.7 (24.0%);
Variances: Schedule variance in months: 15 (8.7%).
Program: Aviation Surface Weather Observation Network;
Baseline status as of February 2004: Cost: $403.8;
Baseline status as of February 2004: Schedule duration in months: 218;
Estimate at completion as of June 2008: Cost: $384.3;
Estimate at completion as of June 2008: Schedule duration in months:
254;
Variances: Cost variance: $19.5 (4.8%);
Variances: Schedule variance in months: (36) (16.5%) behind schedule.
Program: Integrated Terminal Weather System;
Baseline status as of February 2004: Cost: $286.1;
Baseline status as of February 2004: Schedule duration in months: 147;
Estimate at completion as of June 2008: Cost: $286.1;
Estimate at completion as of June 2008: Schedule duration in months:
147;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: FSAS Operational and Supportability Implementation System;
Baseline status as of February 2004: Cost: $249.4;
Baseline status as of February 2004: Schedule duration in months: 101;
Estimate at completion as of June 2008: Cost: $169.0;
Estimate at completion as of June 2008: Schedule duration in months:
91;
Variances: Cost variance: $80.4 (32.2%);
Variances: Schedule variance in months: 10 (9.9%).
Program: National Airspace System Infrastructure Management System-
Phase 2;
Baseline status as of February 2004: Cost: $90.2;
Baseline status as of February 2004: Schedule duration in months: 76;
Estimate at completion as of June 2008: Cost: $90.2;
Estimate at completion as of June 2008: Schedule duration in months:
90;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: (14) (18.4%) behind schedule.
Program: ASR-9/Mode S SLEP Phase 1A External Modifications;
Baseline status as of February 2004: Cost: $14.3;
Baseline status as of February 2004: Schedule duration in months: 52;
Estimate at completion as of June 2008: Cost: $15.5;
Estimate at completion as of June 2008: Schedule duration in months:
38;
Variances: Cost variance: ($1.2) (8.4%) over budget;
Variances: Schedule variance in months: 14 (26.9%).
Program: ASR-9/Mode S SLEP Phase 1B Transmitter Modifications;
Baseline status as of February 2004: Cost: $57.9;
Baseline status as of February 2004: Schedule duration in months: 65;
Estimate at completion as of June 2008: Cost: $57.9;
Estimate at completion as of June 2008: Schedule duration in months:
65;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Instrument Flight Procedures Automation;
Baseline status as of February 2004: Cost: $50.8;
Baseline status as of February 2004: Schedule duration in months: 60;
Estimate at completion as of June 2008: Cost: $50.8;
Estimate at completion as of June 2008: Schedule duration in months:
60;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Terminal Automation Modernization Replacement;
Baseline status as of February 2004: Cost: $139.5;
Baseline status as of February 2004: Schedule duration in months: 29;
Estimate at completion as of June 2008: Cost: $139.5;
Estimate at completion as of June 2008: Schedule duration in months:
29;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Voice Switch and Control System Tech Refresh Phase 2;
Baseline status as of February 2004: Cost: $83.8;
Baseline status as of February 2004: Schedule duration in months: 70;
Estimate at completion as of June 2008: Cost: $83.8;
Estimate at completion as of June 2008: Schedule duration in months:
70;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Automatic Dependent Surveillance Broadcast Segments 1 & 2;
Baseline status as of February 2004: Cost: $1,678.2;
Baseline status as of February 2004: Schedule duration in months: 85;
Estimate at completion as of June 2008: Cost: $1,678.2;
Estimate at completion as of June 2008: Schedule duration in months:
85;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Traffic Flow Management-Infrastructure;
Baseline status as of February 2004: Cost: $398.1;
Baseline status as of February 2004: Schedule duration in months: 56;
Estimate at completion as of June 2008: Cost: $398.1;
Estimate at completion as of June 2008: Schedule duration in months:
56;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: System-Wide Information Management;
Baseline status as of February 2004: Cost: $96.6;
Baseline status as of February 2004: Schedule duration in months: 39;
Estimate at completion as of June 2008: Cost: $96.6;
Estimate at completion as of June 2008: Schedule duration in months:
39;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Terminal Doppler Weather Radar SLEP;
Baseline status as of February 2004: Cost: $55.4;
Baseline status as of February 2004: Schedule duration in months: 77;
Estimate at completion as of June 2008: Cost: $55.4;
Estimate at completion as of June 2008: Schedule duration in months:
77;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Ultra High Frequency Replacement;
Baseline status as of February 2004: Cost: $85.1;
Baseline status as of February 2004: Schedule duration in months: 94;
Estimate at completion as of June 2008: Cost: $85.1;
Estimate at completion as of June 2008: Schedule duration in months:
130;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: (36) (38.3%) behind schedule.
Program: En Route Control Center System Modernization;
Baseline status as of February 2004: Cost: $201.9;
Baseline status as of February 2004: Schedule duration in months: 69;
Estimate at completion as of June 2008: Cost: $167.9;
Estimate at completion as of June 2008: Schedule duration in months:
45;
Variances: Cost variance: $34.0 (16.8%);
Variances: Schedule variance in months: 24 (34.8%).
Program: Voice Recorder Replacement Program Next Generation;
Baseline status as of February 2004: Cost: $48.1;
Baseline status as of February 2004: Schedule duration in months: 80;
Estimate at completion as of June 2008: Cost: $48.1;
Estimate at completion as of June 2008: Schedule duration in months:
80;
Variances: Cost variance: 0.0 (0.0%);
Variances: Schedule variance in months: 0 (0.0%).
Program: Total;
Baseline status as of February 2004: Cost: $14,671.3;
Baseline status as of February 2004: Schedule duration in months:
2,328;
Estimate at completion as of June 2008: Cost: $14,300.6;
Estimate at completion as of June 2008: Schedule duration in months:
2,391;
Variances: Cost variance: $370.7 (2.5%);
Variances: Schedule variance in months: (63) (2.7%) behind schedule.
Source: FAA.
[End of table]
[End of section]
Appendix IV Baseline History for Programs Selected for Acquisition
Performance Measurement:
Dollars in millions:
Program: Standard Terminal Automation Replacement System;
Original schedule and budget: Start date: Feb-96;
Original schedule and budget: Completion date: Oct-05;
Original schedule and budget: Budget: $940.2;
First rebaseline: New APB[A] date: Oct-99;
First rebaseline: Revised completion date: Sep-08;
First rebaseline: Revised budget: $1,402.6;
Second rebaseline: New APB[A] date: May-04;
Second rebaseline: Revised completion date: Dec-07;
Second rebaseline: Revised budget: $2,769.5.
Program: Next Generation Air-to-Ground Communication System;
Original schedule and budget: Start date: Sep-98;
Original schedule and budget: Completion date: Sep-08;
Original schedule and budget: Budget: $407.6;
First rebaseline: New APB[A] date: May-00;
First rebaseline: Revised completion date: Sep-10;
First rebaseline: Revised budget: $318.4;
Second rebaseline: New APB[A] date: Dec-05;
Second rebaseline: Revised completion date: Sep-13;
Second rebaseline: Revised budget: $324.7.
Program: Operational and Supportability Implementation System;
Original schedule and budget: Start date: Dec-96;
Original schedule and budget: Completion date: Aug-01;
Original schedule and budget: Budget: 174.7;
First rebaseline: New APB[A] date: Mar-00;
First rebaseline: Revised completion date: May-05;
First rebaseline: Revised budget: $249.5;
Second rebaseline: New APB[A] date: Feb-05;
Second rebaseline: Revised completion date: Jul-04;
Second rebaseline: Revised budget: $169.0.
Program: Integrated Terminal Weather System;
Original schedule and budget: Start date: Jun-97;
Original schedule and budget: Completion date: Jul-03;
Original schedule and budget: Budget: 276.1;
First rebaseline: New APB[A] date: Aug-01;
First rebaseline: Revised completion date: Oct-03;
First rebaseline: Revised budget: $282.3;
Second rebaseline: New APB[A] date: Jun-04;
Second rebaseline: Revised completion date: Apr-09;
Second rebaseline: Revised budget: $286.1.
Program: Wide Area Augmentation System;
Original schedule and budget: Start date: Jan-98;
Original schedule and budget: Completion date: Aug-99;
Original schedule and budget: Budget: 1,006.6;
First rebaseline: New APB[A] date: Dec-99;
First rebaseline: Revised completion date: Dec-06;
First rebaseline: Revised budget: $2,978.0;
Second rebaseline: New APB[A] date: May-04;
Second rebaseline: Revised completion date: Dec-08;
Second rebaseline: Revised budget: $3,339.7.
Program: FAA Telecommunications Infrastructure;
Original schedule and budget: Start date: Jul-99;
Original schedule and budget: Completion date: Dec-08;
Original schedule and budget: Budget: 205.7;
First rebaseline: New APB[A] date: Dec-04;
First rebaseline: Revised completion date: Dec-07;
First rebaseline: Revised budget: $310.2;
Second rebaseline: New APB[A] date: Aug-06;
Second rebaseline: Revised completion date: Dec-08;
Second rebaseline: Revised budget: $318.8.
Program: Aviation Surface Weather Observation Network;
Original schedule and budget: Start date: Oct-99;
Original schedule and budget: Completion date: Apr-02;
Original schedule and budget: Budget: 350.9;
First rebaseline: New APB[A] date: Aug-01;
First rebaseline: Revised completion date: Sep-09;
First rebaseline: Revised budget: $403.8;
Second rebaseline: New APB[A] date: Jun-06;
Second rebaseline: Revised completion date: Sep-12;
Second rebaseline: Revised budget: $384.3.
Program: National Airspace System Infrastructure Management System-
Phase 2;
Original schedule and budget: Start date: May-00;
Original schedule and budget: Completion date: Sep-05;
Original schedule and budget: Budget: 172.9;
First rebaseline: New APB[A] date: Mar-06;
First rebaseline: Revised completion date: Sep-06;
First rebaseline: Revised budget: $90.2;
Second rebaseline: New APB[A] date: Mar-07;
Second rebaseline: Revised completion date: Nov-07;
Second rebaseline: Revised budget: $90.2.
Program: Air Traffic Control Beacon Interrogator Replacement;
Original schedule and budget: Start date: Aug-97;
Original schedule and budget: Completion date: Sep-04;
Original schedule and budget: Budget: 282.9;
First rebaseline: New APB[A] date: Jan-02;
First rebaseline: Revised completion date: Jan-06;
First rebaseline: Revised budget: $282.9;
Second rebaseline: New APB[A] date: May-08;
Second rebaseline: Revised completion date: May-10;
Second rebaseline: Revised budget: $255.1.
Program: Weather and Radar Processor;
Original schedule and budget: Start date: Dec-96;
Original schedule and budget: Completion date: Feb-00;
Original schedule and budget: Budget: 126.4;
First rebaseline: New APB[A] date: Oct-99;
First rebaseline: Revised completion date: Feb-01;
First rebaseline: Revised budget: $143.6;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Radio Control Equipment;
Original schedule and budget: Start date: Oct-98;
Original schedule and budget: Completion date: Dec-01;
Original schedule and budget: Budget: 260.4;
First rebaseline: New APB[A] date: N/A;
First rebaseline: Revised completion date: Sep-03;
First rebaseline: Revised budget: $260.4;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Airport Surveillance Radar - Model 11;
Original schedule and budget: Start date: Nov-97;
Original schedule and budget: Completion date: Sep-05;
Original schedule and budget: Budget: 743.3;
First rebaseline: New APB[A] date: Sep-05;
First rebaseline: Revised completion date: Sep-09;
First rebaseline: Revised budget: $696.5;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Local Area Augmentation System;
Original schedule and budget: Start date: Jan-98;
Original schedule and budget: Completion date: Dec-06;
Original schedule and budget: Budget: 536.1;
First rebaseline: New APB[A] date: Dec-99;
First rebaseline: Revised completion date: Oct-11;
First rebaseline: Revised budget: $696.0;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: HOST/Oceanic Computer System Replacement;
Original schedule and budget: Start date: Mar-98;
Original schedule and budget: Completion date: Sep-08;
Original schedule and budget: Budget: 424.1;
First rebaseline: New APB[A] date: May-03;
First rebaseline: Revised completion date: Jun-04;
First rebaseline: Revised budget: $368.5;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Airport Movement Area Safety System;
Original schedule and budget: Start date: Oct-98;
Original schedule and budget: Completion date: Aug-00;
Original schedule and budget: Budget: 74.1;
First rebaseline: New APB[A] date: Mar-00;
First rebaseline: Revised completion date: Sep-02;
First rebaseline: Revised budget: $151.7;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Low-Level Wind Shear Alert System;
Original schedule and budget: Start date: Oct-98;
Original schedule and budget: Completion date: Oct-01;
Original schedule and budget: Budget: 43.5;
First rebaseline: New APB[A] date: May-01;
First rebaseline: Revised completion date: Jun-04;
First rebaseline: Revised budget: $52.6;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Airport Surface Detection Equipment - Model X (ASDE-X);
Original schedule and budget: Start date: Sep-01;
Original schedule and budget: Completion date: Jan-07;
Original schedule and budget: Budget: 505.2[B];
First rebaseline: New APB[A] date: Sep-05;
First rebaseline: Revised completion date: May-11;
First rebaseline: Revised budget: $550.1;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Ultra High Frequency Replacement;
Original schedule and budget: Start date: Nov-02;
Original schedule and budget: Completion date: Sep-10;
Original schedule and budget: Budget: 85.1;
First rebaseline: New APB[A] date: Dec-05;
First rebaseline: Revised completion date: Sep-13;
First rebaseline: Revised budget: $85.1;
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Controller-Pilot Data Link Communications;
Original schedule and budget: Start date: Mar-99;
Original schedule and budget: Completion date: Dec-05;
Original schedule and budget: Budget: 166.7;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Backup Emergency Communications;
Original schedule and budget: Start date: Mar-00;
Original schedule and budget: Completion date: Apr-04;
Original schedule and budget: Budget: 54.1;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Advanced Technologies and Oceanic Procedures;
Original schedule and budget: Start date: May-01;
Original schedule and budget: Completion date: Mar-06;
Original schedule and budget: Budget: 548.2;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Precision Runway Monitor;
Original schedule and budget: Start date: Dec-01;
Original schedule and budget: Completion date: Dec-05;
Original schedule and budget: Budget: 145.8;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: En Route Communication Gateway;
Original schedule and budget: Start date: Mar-02;
Original schedule and budget: Completion date: Dec-05;
Original schedule and budget: Budget: 315.1;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: User Request Evaluation Tool;
Original schedule and budget: Start date: Jun-02;
Original schedule and budget: Completion date: Sep-06;
Original schedule and budget: Budget: 285.3;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Traffic Management Advisor;
Original schedule and budget: Start date: Jun-02;
Original schedule and budget: Completion date: Sep-07;
Original schedule and budget: Budget: 135.5;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: En Route Automation Modernization;
Original schedule and budget: Start date: Jun-03;
Original schedule and budget: Completion date: Dec-10;
Original schedule and budget: Budget: 2,154.6;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: En Route System Modernization;
Original schedule and budget: Start date: Aug-03;
Original schedule and budget: Completion date: May-09;
Original schedule and budget: Budget: 201.9;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Traffic Flow Management-Infrastructure;
Original schedule and budget: Start date: Aug-05;
Original schedule and budget: Completion date: Apr-10;
Original schedule and budget: Budget: 398.1;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Voice Recorder Replacement Program Next Generation;
Original schedule and budget: Start date: Apr-07;
Original schedule and budget: Completion date: May-13;
Original schedule and budget: Budget: 48.1;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Weather Systems Processor Tech Refresh;
Original schedule and budget: Start date: Mar-06;
Original schedule and budget: Completion date: Feb-09;
Original schedule and budget: Budget: 6.1;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Program: Voice Switching and Control System Tech Refresh Phase 2;
Original schedule and budget: Start date: Aug-06;
Original schedule and budget: Completion date: Jun-12;
Original schedule and budget: Budget: 83.8;
First rebaseline: New APB[A] date: [Empty];
First rebaseline: Revised completion date: [Empty];
First rebaseline: [Empty];
Second rebaseline: New APB[A] date: [Empty];
Second rebaseline: Revised completion date: [Empty];
Second rebaseline: Revised budget: [Empty].
Source: GAO analysis of FAA data.
Note: The Integrated Terminal Weather System program was rebaselined in
2007 with a new APB date of November 2007, a new program completion
date of April 2009, and a budget of $286.1 million.
[A] APB: acquisition program baseline.
[B] Includes $80.9 million for the ASDE-3X baseline approved in June
2002, which added ASDE-X capabilities to seven ASDE-3 sites. The ASDE-
X and ASDE-3X acquisitions were combined in the September 2005
rebaselining.
[End of table]
[End of section]
Appendix V: GAO Contact and Staff Acknowledgments:
GAO Contact:
Gerald L. Dillingham, Ph.D., (202) 512-2834 or dillinghamg@gao.gov:
Acknowledgments:
In addition to the contact named above, individuals making key
contributions to this report include Teresa Spisak (Assistant
Director), Kevin Egan, Elizabeth Eisenstadt, Brandon Haller, Bert
Japikse, Edmond Menoche, Faye Morrison, Colleen Phillips, Taylor
Reeves, and Richard Scott.
[End of section]
Footnotes:
[1] GAO, Air Traffic Control: FAA's Acquisition Management Has
Improved, but Policies and Oversight Need Strengthening to Help Ensure
Results, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-05-23]
(Washington, D.C.: Nov. 12, 2004); National Airspace System: FAA Has
Made Progress but Continues to Face Challenges in Acquiring Major Air
Traffic Control Systems, [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO-05-331] (Washington, D.C.: June 10, 2005); National
Airspace System: Transformation Will Require Cultural Change, Balanced
Funding Priorities, and Use of All Available Management Tools,
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-06-154] (Washington,
D.C.: Oct.14, 2005); and Air Traffic Control: FAA Reports Progress in
System Acquisitions, but Changes in Performance Measurement Could
Improve Usefulness of Information, [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO-08-42] (Washington, D.C.: Dec. 18, 2007).
[2] [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-05-331].
[3] Department of Transportation, Office of Inspector General, Air
Traffic Control Modernization: FAA Faces Challenges in Managing Ongoing
Projects, Sustaining Existing Facilities, and Introducing New
Capabilities (Washington, D.C.: Apr. 14, 2008), and Status of FAA's
Major Acquisitions: Cost Growth and Schedule Delays Continue To Stall
Air Traffic Modernization (Washington, D.C.: May 26, 2005).
[4] Vision 100--Century of Aviation Reauthorization Act, Pub. L. No.
108-176, § 709. The office began operating in early 2004.
[5] Airport Surveillance Radar Model 11 was originally estimated to
cost $916.2 million to acquire 112 systems; the estimated cost at
completion was reduced to $696.5 million to acquire 66 systems.
Similarly, FSAS Operations and Supportability System was originally
estimated to cost $249.4 million for installations at 61 sites; the
estimated cost at completion was reduced to $169.0 million for
installations at 16 sites.
[6] Our recent work raised questions about the reliability of some ERAM
contractor data. We recommended that the ERAM program office determine
the root causes of the anomalies we found in the contactor's data and
develop a corrective action plan to resolve the problem. GAO, Air
Traffic Control: FAA Uses Earned Value Techniques to Help Manage
Information Technology Acquisitions, but Needs to Clarify Policy and
Strengthen Oversight, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-
08-756] (Washington, D.C.: July 18, 2008).
[7] Earned value management compares the actual work performed at
certain stages of a job to its actual costs--rather than comparing
budgeted and actual costs, the traditional management approach to
assessing progress. By measuring the value of the work that has been
completed at certain stages in a job, earned value management can alert
program managers, contractors, and administrators to potential cost
growth and schedule delays and to problems that need correcting before
they worsen.
[8] [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-756].
[9] [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-42]. For
additional reports on rebaselining, see GAO, Information Technology:
Agencies Need to Establish Comprehensive Policies to Address Changes to
Projects' Cost, Schedule, and Performance Goals, [hyperlink,
http://www.gao.gov/cgi-bin/getrpt?GAO-08-925] (Washington, D.C.: July
31, 2008), and GAO-08-756.
[10] [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-42].
[11] This figure includes costs to other federal agencies that will
acquire or help develop NextGen systems, such as the Transportation
Security Administration within the Department of Homeland Security.
[12] The Concept of Operations describes how the NextGen system is
envisioned to operate in 2025 and beyond and identifies key research
and policy issues. The Enterprise Architecture is a technical
description of the NextGen system, akin to blueprints for a building;
it is meant to provide a common tool for planning and understanding the
complex, interrelated systems that will make up NextGen. JPDO's
Integrated Work Plan is akin to a project plan and is meant to describe
the capabilities needed to transition to NextGen from the current
system and provide the research, policy, regulation, and acquisition
timelines necessary to achieve NextGen by 2025.
[13] We interviewed 24 industry stakeholders, but not all individuals
responded to all questions.
[14] The nine working groups are Airport, Security, Air Navigation
Services, Aircraft, Net-centric Operations, Safety, Environment,
Weather, and Global Harmonization.
[15] The working groups replaced integrated product teams (IPT) in
early 2007. The working groups had the same participants as the IPTs,
but each working group was led jointly by government and industry. JPDO
expected the working groups to be more efficient and output-or product-
focused than the IPTs.
[16] See GAO, Best Practices: Better Support of Weapon System Program
Managers Needed to Improve Outcomes, [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO-06-110] (Washington, D.C.: Nov. 30, 2005). In this study
of private sector best practices that could be applied to federal
programs, we found that program managers at highly successful companies
were empowered to decide whether programs were ready to move forward
and to resolve problems and implement solutions. In addition, program
managers were held accountable for their choices.
[17] GAO, Responses to Questions for the Record; Hearing on JPDO and
the Next Generation Air Transportation System: Status and Issues,
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-07-918R] (Washington,
D.C.: May 29, 2007).
[18] H.R. 2881, § 202.
[19] H.R. 2881, § 505.
[20] GAO, Aviation and the Environment: FAA's and NASA's Research and
Development Plans for Noise Reduction Are Aligned but the Prospects of
Achieving Noise Reduction Goals Are Uncertain, [hyperlink,
http://www.gao.gov/cgi-bin/getrpt?GAO-08-384] (Washington, D.C.: Feb.
15, 2008).
[21] FAA agreed with this statement, but noted that significant
research on the use of data link and other automated communications has
been conducted by FAA and others for the en route environment.
[22] The four teams are organized along the framework for near-, mid-,
and long-term research goals established in JPDO's Integrated Work
Plan. The teams are Separation Management, Trajectory Management, Flow
Contingency Management, and Capacity Management.
[23] CDA allows aircraft to remain at cruise altitudes longer as they
approach destination airports, use lower power levels, and thereby
lower emissions and noise during landings.
[24] ADS-B is a satellite aircraft navigation system that is designed,
along with other navigation technologies, to enable more precise
control of aircraft during en route flight, approach, and descent.
[25] GAO, Aviation and the Environment: NextGen and Research and
Development Are Keys to Reducing Emissions and Their Impact on Health
and Climate, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-706T]
(Washington, D.C.: May 6, 2008).
[26] RNAV equipment can compute an airplane's position, actual track,
and ground speed, and then provide meaningful information on the route
of flight selected by the pilot. RNP will permit the airplane to
descend on a precise route that will allow it to avoid populated areas,
reduce its consumption of fuel, and lower its emissions of carbon
dioxide and nitrogen oxides.
[27] Air taxis are small aircraft that can be hired to provide per-
seat, point-to-point air transportation service, either on demand or on
scheduled flights.
[28] SWIM is information management architecture for the national
airspace system, acting as its "World Wide Web." SWIM will manage
surveillance, weather, and flight data, as well as aeronautical and
system status information, and will provide the information securely to
users.
[29] GAO, Next Generation Air Transportation System: Progress and
Challenges Associated with the Transformation of the National Airspace
System, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-07-25]
(Washington, D.C.: Nov. 13, 2006).
[30] National Academy of Public Administration, Workforce Needs
Analysis for the Next Generation Air Transportation System (NEXTGEN):
Preliminary Findings and Observations (Washington, D.C.: December
2007).
[31] With current air traffic control, controllers handle individual
planes through various phases of flight. Under air traffic management,
controllers would likely oversee a greater number of planes but with
less direct communication with each pilot. Controllers would monitor
air traffic as a whole and intervene when necessary to avoid problems.
[32] The NextGen concepts that were included in the simulation included
revised separation standards, independent operations on closely spaced
parallel runways, reduced in-trail wake vortex separation requirements,
and the use of equivalent visual techniques.
[33] GAO, Air Traffic Control: FAA Reports Progress in System
Acquisitions, but Changes in Performance Measurement Could Improve
Usefulness of Information, [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO-08-42] (Washington, D.C.: Dec. 18, 2007).
[34] GAO, Aviation and the Environment: FAA's and NASA's Research and
Development Plans for Noise Reduction Are Aligned but the Prospects of
Achieving Noise Reduction Goals Are Uncertain, [hyperlink,
http://www.gao.gov/cgi-bin/getrpt?GAO-08-384] (Washington, D.C.: Feb.
15, 2008), and Aviation and the Environment: NextGen and Research and
Development Are Keys to Reducing Emissions and Their Impact on Health
and Climate, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-706T]
(Washington, D.C.: May 6, 2008).
[End of section]
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