National Airspace System
FAA Reauthorization Issues are Critical to System Transformation and Operations Gao ID: GAO-09-377T February 11, 2009As requested, this statement discusses issues for the reauthorization of the Federal Aviation Administration (FAA). The aviation industry is in a period of economic turmoil and faces an uncertain future. At the same time, FAA is undertaking one of its most ambitious efforts ever to transform the nation's air traffic control system. The reauthorization of FAA provides an opportunity for Congress and FAA to focus on several key issues to improve the national airspace system. This statement is based on recent and ongoing work and on discussions with selected senior FAA officials and representatives of the aviation industry. This work was conducted in accordance with generally accepted government auditing standards. Those standards require that GAO plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for findings and conclusions based on the audit objectives. GAO believes that the evidence obtained provides a reasonable basis for the findings and conclusions based on the audit objectives.
This statement discusses six issues that are important in reauthorizing FAA programs. Many of these issues are deeply intertwined, and addressing one can affect the others. Balancing all of these issues will be a challenge, but is essential to FAA's ability to transform and operate the national airspace system safely and efficiently. (1) Ensuring the safe and efficient transformation to the Next Generation Air Transportation System (NextGen): FAA will need to accelerate the implementation of new and existing technologies, consider incentives for airlines to acquire those technologies, reconfigure facilities and enhance runways to take full advantage of NextGen's benefits, and sustain the current system while transitioning to the new one. (2) Strengthening oversight of aviation safety: Incomplete and inaccurate safety data jeopardize FAA's implementation of a new safety management approach. In addition, improvement of runway and ramp safety oversight is a key issue. For example, last year there were 25 incidents when collisions between aircraft on runways were narrowly avoided. (3) Reducing congestion and providing access to the national airspace system: FAA has taken steps to enhance capacity and reduce delays, such as redesigning airspace and placing caps on operations, but progress and improvements have been limited. Even as some areas experience more congestion, however, other areas of the country have seen service decline. This may increase demand for the Department of Transportation's subsidy program to provide a minimal level of scheduled air service for certain small communities. (4) Addressing aviation's impact on the environment: FAA, airports, and other stakeholders have worked to reduce noise, emissions, and other pollutants. Further efforts will be needed, particularly when trying to expand airport capacity. (5) Ensuring a sufficient, trained workforce: FAA faces a retiring air traffic controller workforce, the need for additional technical expertise to implement NextGen, and the need to improve relations with its labor unions. (6) Ensuring timely reauthorization of FAA programs: Short-term funding extensions and continuing resolutions could delay key capital projects. Timely reauthorization is critical to sustaining FAA's current programs and advancing NextGen. FAA reviewed a draft of this statement and provided technical corrections, which GAO incorporated as appropriate.
GAO-09-377T, National Airspace System: FAA Reauthorization Issues are Critical to System Transformation and Operations
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United States Government Accountability Office:
GAO:
Testimony:
Before the Subcommittee on Aviation, Committee on Transportation and
Infrastructure, House of Representatives:
For Release on Delivery:
Expected at 2:00 p.m. EST:
Wednesday, February 11, 2009:
National Airspace System:
FAA Reauthorization Issues are Critical to System Transformation
and Operations:
Statement of Gerald L. Dillingham, Ph.D.
Director, Physical Infrastructure Issues:
GAO-09-377T:
GAO Highlights:
Highlights of GAO-09-377T, a testimony before the Subcommittee on
Aviation, Committee on Transportation and Infrastructure, House of
Representatives.
Why GAO Did This Study:
As requested, this statement discusses issues for the reauthorization
of the Federal Aviation Administration (FAA). The aviation industry is
in a period of economic turmoil and faces an uncertain future. At the
same time, FAA is undertaking one of its most ambitious efforts ever to
transform the nation‘s air traffic control system. The reauthorization
of FAA provides an opportunity for Congress and FAA to focus on several
key issues to improve the national airspace system.
This statement is based on recent and ongoing work and on discussions
with selected senior FAA officials and representatives of the aviation
industry. This work was conducted in accordance with generally accepted
government auditing standards. Those standards require that GAO plan
and perform the audit to obtain sufficient, appropriate evidence to
provide a reasonable basis for findings and conclusions based on the
audit objectives. GAO believes that the evidence obtained provides a
reasonable basis for the findings and conclusions based on the audit
objectives. A list of related GAO products is included at the end of
this statement.
What GAO Found:
This statement discusses six issues that are important in reauthorizing
FAA programs. Many of these issues are deeply intertwined, and
addressing one can affect the others. Balancing all of these issues
will be a challenge, but is essential to FAA‘s ability to transform and
operate the national airspace system safely and efficiently.
Ensuring the safe and efficient transformation to the Next Generation
Air Transportation System (NextGen). FAA will need to accelerate the
implementation of new and existing technologies, consider incentives
for airlines to acquire those technologies, reconfigure facilities and
enhance runways to take full advantage of NextGen‘s benefits, and
sustain the current system while transitioning to the new one.
Strengthening oversight of aviation safety. Incomplete and inaccurate
safety data jeopardize FAA‘s implementation of a new safety management
approach. In addition, improvement of runway and ramp safety oversight
is a key issue. For example, last year there were 25 incidents when
collisions between aircraft on runways were narrowly avoided.
Reducing congestion and providing access to the national airspace
system. FAA has taken steps to enhance capacity and reduce delays, such
as redesigning airspace and placing caps on operations, but progress
and improvements have been limited. Even as some areas experience more
congestion, however, other areas of the country have seen service
decline. This may increase demand for the Department of
Transportation‘s subsidy program to provide a minimal level of
scheduled air service for certain small communities.
Addressing aviation‘s impact on the environment. FAA, airports, and
other stakeholders have worked to reduce noise, emissions, and other
pollutants. Further efforts will be needed, particularly when trying to
expand airport capacity.
Ensuring a sufficient, trained workforce. FAA faces a retiring air
traffic controller workforce, the need for additional technical
expertise to implement NextGen, and the need to improve relations with
its labor unions.
Ensuring timely reauthorization of FAA programs. Short-term funding
extensions and continuing resolutions could delay key capital projects.
Timely reauthorization is critical to sustaining FAA‘s current programs
and advancing NextGen.
FAA reviewed a draft of this statement and provided technical
corrections, which GAO incorporated as appropriate.
What GAO Recommends:
GAO has made prior recommendations to address some of these issues. FAA
has begun to address GAO‘s recommendations, although some have not yet
been fully implemented.
To view the full product, including the scope and methodology, click on
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-09-377T]. For more
information, contact Gerald L. Dillingham, Ph.D., at (202) 512-2834 or
dillinghamg@gao.gov.
[End of section]
NextGen: Ensuring The Safe And Efficient Transformation To Nextgen:
What Is the Issue?
The Federal Aviation Administration (FAA) is the agency largely
responsible for developing and implementing the policies and systems
necessary for the transformation of the nation's current radar-based
air traffic control (ATC) system into a more automated, aircraft-
centered, satellite-based Next Generation Air Transportation System
(NextGen) by 2025. This issue has several dimensions including the
following:
Accelerating the implementation of available NextGen capabilities:
According to some industry stakeholders, many of the technical
capabilities fundamental to NextGen already exist but are not being
implemented fast enough to have NextGen in place by 2025. FAA has
entered into agreements with private sector firms to conduct NextGen
technology demonstration projects; is working with industry and the
local community on their plans to build an aviation research and
technology park where FAA can work with industry on the research and
development, integration, and testing of NextGen technologies; and
established a NextGen mid-term task force to forge a consensus on
operational improvements and planned benefits for 2013 through 2018. In
addition, FAA recently responded to stakeholder concerns about the
fragmentation of management responsibility for NextGen activities by
reorganizing the FAA office that has primary responsibility for
implementing NextGen.
Encouraging airlines to acquire NextGen equipment:
Implementing NextGen depends not only on FAA, but also on aircraft
operators, who must acquire the necessary equipment. For example,
aircraft must be equipped with FAA-compatible technology to use
Automatic Dependent Surveillance-Broadcast (ADS-B), a key satellite-
based component of NextGen. The Air Transport Association expects the
U.S. airline industry to pay more than $20 billion for NextGen
equipment over the next 2 decades. Some airlines have purchased some of
the necessary technology, but overall, airlines are waiting for FAA to
specify requirements and address funding concerns. One objective of the
new mid-term task force is to help operators identify the benefits of
acquiring the equipment sooner rather than later.
Reconfiguring facilities and enhancing runways:
NextGen will require a new configuration of ATC facilities and
increased runway capacity. FAA has not developed a comprehensive
reconfiguration plan, but intends to report on the cost implications of
reconfiguration this year. Additionally, FAA has determined that even
after planned improvements have been completed at 35 of the busiest
airports, 14 airports--including some of the 35 busiest--will still
need enhanced capacity by 2025. FAA has begun implementing the High-
Density Terminal and Airport Operations initiative, which is intended
to increase the capacity of existing runways at busy airports through
changes in the requirements for aircraft separation and spacing, among
other things.
Sustaining the current ATC system and maintaining facilities:
During the transition to NextGen, FAA must continue to maintain
existing systems. More and longer unscheduled outages of existing ATC
equipment and ancillary support systems indicate more frequent system
failures. FAA says that it considers user impact and resource
efficiency when planning and responding to equipment outages. In
addition, FAA estimated a one-time cost to repair existing terminal
facilities ranging from $250 million to $350 million.
What Is the Way Forward?
Align responsibilities to accelerate NextGen:
* After the recent reorganization of the FAA office responsible for
implementing NextGen, many NextGen capabilities continue to span
operational units both within and outside that office. The division of
responsibility for NextGen efforts among them is not clear. Monitoring
the effects of the reorganization would inform decisionmakers about the
progress of NextGen.
* FAA has taken important steps, such as forming partnerships with
industry, to accelerate the availability of NextGen capabilities. As we
have stated in other reports, these types of partnerships are
beneficial in accomplishing program objectives in a timely manner.
Incentivize purchase of new equipment:
* FAA will need to work with the stakeholders to explore a range of
potential options available to provide incentives to aircraft operators
to purchase equipment and to suppliers to develop that equipment. These
options could include some combination of mandated deadlines,
operational credits, or equipment investment credits that financially
support equipment implementation for a limited initial set of aircraft
operators.
Plan for future needs:
* The House reauthorization bill, H.R. 915, 111th Cong. (2009),
provides a step forward in directing FAA to establish a working group
to develop criteria and make recommendations for the realignment of
services and facilities--considering safety, potential cost savings,
and other criteria, in concert with stakeholders, including employee
groups--to assist in the NextGen transition. Until FAA establishes this
working group and they develop recommendations, the configurations
needed for NextGen cannot be implemented and potential savings that
could help offset the cost of NextGen will not be realized.
* Our research has shown that the full implementation of NextGen should
be considered necessary, but not necessarily sufficient, to fully
eliminate current and future delays and congestion. Planning
infrastructure projects to increase capacity, such as building
additional runways, can be a lengthy process, and would require
significant advance planning.
Allocate resources to legacy systems:
* It will be critical for FAA to ensure the safety and efficiency of
the legacy ATC systems, since they will be the core of the national
airspace system for a number of years and, in some cases, will become
part of NextGen. These circumstances will require the agency to
continue to identify the necessary resources to implement a robust
preventive and regular maintenance strategy and to support the skilled
personnel that will be required to implement the strategy.
[End of section]
Safety: Strengthening Oversight Of Aviation Safety:
What Is the Issue?
The U.S. commercial aviation industry is among the safest in the world.
However, when passenger airlines have accidents or serious incidents,
regardless of their rarity, the consequences can be tragic, as a single
accident can result in hundreds of deaths. In order to maintain the
industry's current level of safety, it is important that FAA's
oversight and monitoring provide early warnings of potential safety
risks. Key aspects of strengthening FAA's oversight of aviation safety
include (1) enhancing FAA's access to aviation safety data as it moves
to a safety management system approach, (2) improving runway and ramp
safety, and (3) improving safety in several industry sectors--air
ambulances, air cargo, and general aviation.
Enhancing access to aviation safety data:
FAA's ability to monitor and manage risk is limited by incomplete and
inaccurate safety data. Such information is particularly important for
FAA as it moves away from an oversight approach that focuses on labor-
intensive safety inspections to a data-driven, risk-based safety
management system approach. FAA receives important data through its
partnership programs with industry, such as the Aviation Safety Action
Program (ASAP), through which pilots and others voluntarily report
safety-related incidents. These programs help identify and correct
safety issues before they result in an accident. However, some major
carriers have recently discontinued ASAP programs because of
disagreements between the pilot union and management over what can be
reported and what actions management can take against reporting pilots.
Additionally, concerns have been raised that a legal decision in 2008
allowing ASAP reports to be disclosed to litigants in a court of law
under certain circumstances may result in fewer reports. FAA is in the
early stages of planning and developing the Aviation Safety Information
Analysis and Sharing (ASIAS) initiative, the goal of which is to
provide access to large volumes of federal and industry data, including
ASAP. However, the agency has not established time frames or a roadmap
for achieving its goal for ASIAS.
Improving runway and ramp safety:
In fiscal year 2008, 25 serious runway incursions--when collisions
between aircraft on runways were narrowly avoided--occurred, 9 of which
involved commercial aircraft. In addition, since 2001, there have been
at least 18 runway overruns--when an aircraft goes beyond the end of a
runway--that resulted in 26 fatalities. FAA has taken recent actions to
improve runway safety, including (1) conducting safety reviews at
airports; (2) establishing the FAA-industry Runway Safety Council to
analyze the root causes of serious incursions and recommend runway
safety improvements; (3) testing a voluntary safety reporting program
for air traffic controllers; and (4) issuing its National Runway Safety
Plan in December 2008.
At least 29 fatal ramp accidents have occurred since 2001. However,
efforts to improve airport ramp safety are hindered by a lack of
complete accident data and standards for ground handling. FAA has
generally taken an indirect role in overseeing ramp safety, and there
are no federal or industrywide standards for ramp operations. Varied
standards for ramp operations could lead to confusion about operating
procedures and safety rules among ground handling companies that
provide service to several airlines and increase the likelihood of
accidents.
Promoting safety in other industry sectors:
From 2002 through 2008 at least 74 air ambulance accidents occurred--
the highest number since the 1980s--with at least 84 fatalities.
Because FAA does not collect data on the number of air ambulance
flights or flight hours, it is not known whether the increased number
of accidents reflects an increased accident rate or growth in the
industry. In response to recent air ambulance accidents, FAA has
encouraged risk management training for air ambulance flight crews and
has promoted the use of technology (e.g., night vision goggles and
helicopter terrain awareness and warning systems).
Since 2002, 42 fatal air cargo accidents have occurred--all involving
smaller air cargo carriers. For the most part, FAA safety efforts are
the same for both passenger and cargo operators. Such efforts have
likely enhanced cargo safety. For example, FAA's Capstone program,
which began in 1999, focuses on reducing aviation accidents in Alaska,
where the terrain and weather pose particular challenges to pilots,
through the use of better technology on the aircraft. The number of
cargo accidents in Alaska dropped from 20 in 1997 to 4 in 2008. In
addition, the air cargo industry is advocating the use of safety
management systems to improve safety.
A lack of national data on operations involving air ambulances, air
cargo, and general aviation hinders FAA's ability to evaluate accident
trends and manage risks in these sectors. For example, an average of
324 fatal general aviation accidents has occurred annually since 2000.
Similar to data on air ambulance operators, FAA does not collect actual
flight data for general aviation operators, which prevents a meaningful
evaluation of accident trends.
What Is the Way Forward?
Work with carriers to improve data access:
* We agree with recommendations by the National Transportation Safety
Board (NTSB) and others that FAA strongly encourage and assist air
carriers in implementing ASAP. In addition, we are currently assessing
FAA's use of data in safety oversight for the Chairman of this
Subcommittee and others. We expect to issue a report and
recommendations to FAA later this year.
Implement national runway safety plan and continue data collection:
* FAA needs to continue to implement recommendations that we made in
November 2007 to enhance runway and ramp safety, including implementing
its recently issued national runway safety plan and continuing to
develop plans to collect and analyze data on runway overruns and
excursions and ramp accidents. Such data would help FAA to understand
the nature and scope of runway and ramp safety events and identify
corrective actions.
Collect national safety data and establish an appropriate regulatory
approach for some industry sectors:
* FAA lacks information to monitor the rate of accidents and determine
the effectiveness of its oversight. FAA needs to continue to develop a
process to collect such data for air ambulances, as we previously
recommended.
* NTSB has recommended that FAA establish an appropriate regulatory
approach for air ambulance operators, whose pilots operate under
different standards depending on whether they are carrying patients.
The standards differ significantly in two key areas--(1) weather and
visibility minimums and (2) rest requirements for pilot and crew.
* We plan to issue a report to this Subcommittee on air cargo safety
later this year that discusses what FAA and industry could do to
further improve cargo safety.
[End of section]
Mobility: Reducing Congestion And Providing Access To The National
Airspace System:
What Is the Issue?
Flight delays and cancellations at congested airports continue to
plague the U.S. aviation system. Other airports are facing the loss of
scheduled air service because of the airline industry's current
contraction. Key factors hindering FAA's ability to provide efficient
mobility through the national airspace system include (1) continued
congestion at some large airports and (2) changes in the aviation
industry that could affect service to small communities.
Addressing continued congestion:
According to the Department of Transportation (DOT), almost one in four
flights either arrived late or was canceled in 2008, and the average
flight delay increased despite a 6 percent decline in the total number
of operations through December 2008. Delays are particularly a problem
at a few airports, such as those in the New York area, where less than
70 percent of flights arrive on time. Because the entire airspace
system is highly interdependent, delays at one airport may lead to
delays rippling across the system and throughout the day. Delays and
cancellations are caused by a variety of factors, among them airline
and aircraft problems, weather, security, and congestion in the
national airspace system.
DOT and FAA initiated or completed a number of actions in 2008 intended
to enhance system capacity, meet the demand for air travel, and reduce
delays. For example:
* In the New York area, FAA implemented a number of operational and
procedural initiatives to reduce congestion, including placing or
maintaining caps on the number of hourly operations.
* Airspace redesign improvements have begun at airports in the New York
area, Chicago, Houston, and other regions. These redesigns are complex
and time-consuming, in part because of the environmental review process
that is typically required.
* As a demand management tactic, DOT issued a policy statement amending
the Airport Rates and Charges policy of 1996. One of the policy
amendments allows operators of congested airports greater discretion in
setting their landing fees.
* New runway projects in Chicago, Washington-Dulles, and Seattle were
completed.
* As part of NextGen, FAA is working to provide aircraft with onboard,
real-time weather information and to integrate weather information into
decision support tools to help avoid weather-related delays.
Providing service to small communities:
Continuing to provide mobility options and access to air service is
becoming more difficult in the face of changes in the structure and
economics of the aviation industry. The Essential Air Service (EAS) is
a DOT subsidy program enacted to guarantee that certain small
communities that otherwise would not receive air service will maintain
a minimal level of scheduled air service.
* Airline consolidation and other factors have reduced the number of
air carriers able and willing to participate in EAS. Today, 10 carriers
are active in the EAS program--compared with 14 in 1998--and 4 of these
serve more than three-quarters of the routes.
* Also, because air service operating costs are rising--including fuel,
labor, and regulatory costs--the EAS carriers face increased
competition for passengers with low-cost carriers at larger airports.
In 2008, some communities in the EAS program temporarily lost service
when three airlines ceased operating.
The EAS program has not been extensively revised since it was developed
30 years ago, despite changes in the structure and economics of the
aviation industry.
What Is the Way Forward?
Reduce congestion through long-term investment or other actions:
* The growing air traffic congestion and delay problems faced in this
country are the result of many factors, including airline practices,
inadequate investment in airport and air traffic control
infrastructure, and how the use of aviation infrastructure is priced.
DOT and FAA should be commended for taking steps last year to reduce
delays and cancellations, but as we predicted last summer, many of
these initiatives were unlikely to substantially reduce congestion.
Long-term investments in airport infrastructure and air traffic
control, or other actions by Congress, DOT, or FAA could address the
fundamental imbalance between underlying demand for, and supply of,
airspace capacity.
Consider changes to EAS:
* The possible increase in the number of communities requiring
subsidies to retain service and the associated costs raise concerns
about the amount of funding that will be needed to continue to provide
service in an environment of federal deficits. As a result, it is an
appropriate time to conduct a comprehensive review of the EAS program
to determine how it might be improved as well to consider additional
options for providing federal assistance that may more efficiently
facilitate small communities' connections to the transportation
network, such as rail or bus.
[End of section]
Environment: Addressing Aviation's Impact On The Environment:
What Is the Issue?
Conducting airport capacity expansion projects requires compliance with
laws, rules, and regulations intended to address environmental, public
health, and noise concerns. Failure to meet these requirements can
delay capacity expansion projects. Airports implementing expansion
projects--such as new runways--must be prepared to address concerns
about noise, emissions, and water quality.
Reducing effects of noise on communities:
Community opposition to aviation-related noise, particularly from jet
aircraft during takeoffs and landings, could constrain airport
operations and the future growth of the national airspace system.
Perceptions of aviation noise vary from one individual to another, and,
as a result, even comparatively low levels of noise exposure can create
opposition to airport expansion in communities surrounding airports.
More stringent standards for aircraft noise levels--imposed through the
Airport Noise and Capacity Act of 1990 and enabled by technological
advancements--led to the retirement or modification of older, noisier
jet aircraft. As a result, many fewer people are exposed to significant
noise levels as defined by FAA. The agency assisted airlines in meeting
the act's requirements to phase out or retrofit the noisiest aircraft,
arguably one of the biggest accomplishments in reducing aviation noise.
Local government decisions that allow communities to expand near
airports may, however, erode some of the gains from these reductions in
noise. FAA has issued guidance that discourages incompatible land uses,
such as residences, schools, and hospitals, in areas with significant
aviation noise. Communities, however, face strong development
pressures, and research suggests that federal land-use guidelines have
had mixed results in deterring residential development in these areas.
Controlling emissions:
Although aviation-related activities produce a small portion of total
U.S. air pollution, these pollutants are expected to increase with
forecasted growth in the aviation sector. Aircraft are the primary
source of aviation emissions, but airport service and passenger
vehicles also produce emissions. Together, aircraft operations in the
vicinity of the airport and other airport sources emit nitrogen oxides
and volatile organic compounds, which lead to the formation of ground-
level ozone (that is, smog), and other substances that contribute to
local air pollution, as well as carbon dioxide and other greenhouse
gases that rise into the atmosphere and contribute to climate change.
FAA's Voluntary Airport Low Emissions Program allows the use of federal
funding for airport equipment that reduces emissions, such as the
purchase of electric ground support equipment. Airports in areas that
do not meet air quality standards set by the Environmental Protection
Agency under the Clean Air Act may need to mitigate emissions in order
to gain approval for development projects. In addition, as communities
gain more awareness of the health and environmental effects of aviation
emissions, opposition to airport expansion projects, which has thus far
focused mainly on aviation noise, could broaden to include emissions.
Maintaining water quality:
Airports can potentially affect water quality through activities such
as deicing, as well as aircraft and vehicle fueling and maintenance.
Chemicals from such activities may contaminate groundwater and surface
water supplies if allowed to flow from airport facilities to storm
drains or waterways. Airports involved in runway expansion projects,
particularly those located near wetlands and other bodies of water, may
need to take expensive measures to contain or treat runoff. Fuel spills
are another concern: leaks, improper connections, and improperly
monitored storage tanks can lead to fuel spills, which may contaminate
soil or groundwater if not contained or diverted to an established
treatment system.
Addressing interrelated environmental issues:
FAA has taken similar approaches in addressing a number of these
issues, particularly when those issues are interrelated. FAA is
addressing environmental concerns through grant programs, research and
development efforts, and technical assistance.
* FAA has contributed to a number of federal research and development
efforts that have increased the understanding of aviation's
environmental effects, improved available options for addressing those
effects, and achieved significant reductions in aircraft noise and
emissions over the last 30 years.
* FAA provides funding and technical assistance for many airport
environmental activities. As a result, airports have instituted
residential sound insulation programs, implemented policies to reduce
emissions, and constructed stormwater retention basins, among other
things.
* FAA and airports have begun implementing elements of NextGen that
will use new technology to guide more efficient flight paths, reducing
aircraft noise and emissions.
What Is the Way Forward?
Contribute to further advances:
* FAA's plans to provide funding to accelerate the maturation and
implementation of aviation development ideas could contribute to
environmental improvements.
* FAA's plans for continued investment in research and development
could help balance trade-offs among environmental issues, such as
increased emissions from quieter aircraft engines.
* FAA's plans to foster the development of alternative fuels and to
assess the health and welfare risks of aviation noise and emissions
could address environmental concerns.
* Implementing NextGen in a timely manner could allow for full
realization of capabilities to reduce emissions and improve fuel-
efficient aircraft routing to achieve operational improvements in the
near term, while awaiting results from longer-term research and
development efforts.
We expect to issue reports to this Subcommittee later this year on
efforts to reduce aviation's contribution to greenhouse gas emissions
and on airports' efforts to address environmental concerns.
[End of section]
Human Capital: Ensuring A Sufficient, Trained Workforce:
What Is the Issue?
As it deals with the other reauthorization issues identified in this
statement, FAA also faces workforce issues. To ensure that it has a
sufficient number of personnel trained to handle the tasks associated
with managing the national airspace system safely and efficiently, FAA
will have to (1) hire and train thousands of new air traffic
controllers while ensuring that aircraft continue to fly safely, 24
hours a day, 7 days a week; (2) ensure that its workforce has the right
mix of technical skills to implement NextGen; and (3) work to improve
relations with its labor unions.
Replacing the retiring controller workforce:
FAA projects that about 72 percent of its controller workforce will
become eligible for retirement by 2016, and between 2008 and 2017 it
will lose approximately 15,000 controllers through retirement and other
reasons. To replace them, FAA has already begun hiring new controllers
and plans to hire almost 17,000 additional controllers by fiscal year
2017.
FAA is on track with its hiring and has instituted training
improvements to reduce the amount of time controllers remain in trainee
status. However, the pace of hiring and training has changed some of
FAA's training procedures. More often than in the past, FAA sends
developmental controllers directly to busy facilities to begin their
on-the-job training. In the past, developmental controllers would
normally go to less-busy facilities for their first assignment, where
they would gain experience before moving up to a busier facility. FAA
must also carefully manage the flow of developmental controllers to
each facility so that their numbers do not overwhelm the facility's
capacity to train them. Furthermore, with fewer fully certified
controllers and greater on-the-job training demands, controllers may
work more overtime hours. Overtime can lead to fatigue, and many
controllers routinely work overtime, raising safety concerns.
Figure: FAA's Projected Air Traffic Controller Losses and Hiring,
Fiscal Years 2008-2017:
[Refer to PDF for image]
This figure is a multiple vertical bar graph depicting the following
data:
FAA's Projected Air Traffic Controller Losses and Hiring, Fiscal Years
2008-2017:
Fiscal year: 2008;
Planned hires: 1,877;
Estimated losses: 1,621.
Fiscal year: 2009;
Planned hires: 1,914;
Estimated losses: 1,608.
Fiscal year: 2010;
Planned hires: 1,871;
Estimated losses: 1,599.
Fiscal year: 2011;
Planned hires: 1,840;
Estimated losses: 1,648.
Fiscal year: 2012;
Planned hires: 1,764;
Estimated losses: 1,665.
Fiscal year: 2013;
Planned hires: 1,733;
Estimated losses: 1,624.
Fiscal year: 2014;
Planned hires: 1,616;
Estimated losses: 1,562.
Fiscal year: 2015;
Planned hires: 1,498;
Estimated losses: 1,460.
Fiscal year: 2016;
Planned hires: 1,458;
Estimated losses: 1,394.
Fiscal year: 2017;
Planned hires: 1,409;
Estimated losses: 1.302.
Source: FAA.
[End of figure]
Ensuring technical expertise for implementing NextGen:
To manage the implementation of NextGen, FAA will need staff with
technical skills, such as systems engineering and contract management
expertise. 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. FAA contracted with the
National Academy of Public Administration (NAPA) to determine the mix
of positions--such as contract specialists, program managers,
engineers, scientists, researchers, and financial specialists--and
strategies that would provide the necessary expertise for NextGen. FAA
estimates that it will need to hire about 350 additional staff over the
next 2 years to obtain the needed skills.
Improving labor-management relations:
FAA is involved in extended contract disputes with two of its largest
labor unions. The air traffic controllers are operating under a
contract that resulted from an impasse, while bargaining units from the
safety inspectors' union are operating under an old contract because no
agreement was reached on a new one more than 5 years ago. According to
senior union representatives, these situations contribute to low
morale. As a result, the strained relationship between FAA management
and the unions could slow the implementation of NextGen.
What Is the Way Forward?
Hire and integrate:
* As FAA continues to hire additional controllers, it needs to
integrate new staff in a timely fashion so as not to delay the
integration of new technologies and the transformation of the national
airspace system. We are comparing FAA's human capital structures and
processes with those of leading organizations and expect to issue a
report to this Subcommittee later this year.
Provide training:
* FAA has to provide technical training for all of its controllers on
the new equipment necessary for NextGen while maintaining skills on
existing equipment.
* FAA will need to be vigilant to ensure that sending developmental
controllers directly to busy facilities neither impairs safety nor
results in increased failures that might not have occurred if they had
been sent to less-busy facilities.
Work with unions:
* While some progress has been made in working with labor unions, it
should remain a priority for the involved parties to follow through and
reach agreement.
[End of section]
Timely Reauthorization: Ensuring Timely Reauthorization Of FAA
Programs:
What Is the Issue?
FAA's authorizing legislation expired at the end of fiscal year 2007,
and for the past 17 months, the agency has been operating under a
series of funding extensions and continuing resolutions. In addition,
the excise taxes that fund the Airport and Airway Trust Fund (Trust
Fund) also expired at the end of fiscal year 2007 but were extended as
a part of 2008 continuing resolutions. Several key issues directly
affect future funding and FAA's ability to move forward with plans to
address the needs of the national airspace system.
* Dealing with the effects of temporary funding measures: The short-
term funding extensions and continuing resolutions could lead to delays
in key capital projects.
- According to FAA, the agency requires funding to support NextGen
near-term decision points and associated pre-implementation
activities, which will initiate new acquisitions programs for the
midterm (2013 through 2018). Delays in NextGen funding could delay
these critical activities and push the achievement of operational
capabilities and operational improvements for the national airspace
system beyond the midterm, according to FAA.
- Delays in reauthorizing FAA programs have also hampered the planning
and development of needed airport infrastructure projects funded
through the Airport Improvement Program (AIP), according to FAA. Under
short-term extensions of AIP or partial-year continuing resolutions, an
airport's entitlement funding is prorated. Because of the uncertainty
associated with future AIP funding levels, airport sponsors are less
willing to commit partial-year entitlements to projects, instead
electing to defer projects to subsequent years. According to FAA,
approximately $209 million of fiscal year 2009 airport entitlements
remained unused as of the end of January. Delays could lead to
increases in construction costs.
* Declining revenues in the Trust Fund: Trust Fund revenues have been
less than previously forecasted, and forecasts of future revenues have
declined. For the short run, Congress faces the likelihood of lower-
than-expected excise tax revenues, mainly resulting from the downturn
in the economy, and the impact of this shortfall on the availability of
Trust Fund revenues to fund FAA programs this year and next. In the
longer run, revenues may be lower than projected several years ago,
meaning that there may be less money available for capital projects
than had been previously anticipated without a larger contribution to
FAA's overall funding from the general fund. The House reauthorization
bill attempts to address the concern that the Trust Fund balance might
no longer be large enough to ensure that sufficient Trust Fund revenues
are available to FAA even when actual revenues fall short of forecasted
revenues. It proposes to base expenditures from the Trust Fund on 95
percent, rather than 100 percent, of estimated Trust Fund revenues.
This would reduce the likelihood of running the Trust Fund balance to
zero, an event that would create implications for Congress in funding
FAA programs.
* Lack of a permanent administrator: The agency is facing a critical
point in its transformation of the national airspace system, with many
crucial decision points in the next 2 fiscal years. A permanent
administrator could help guide FAA through these times.
Key programs discussed in this testimony, such as for NextGen and
safety, are adversely affected by breaks in funding. The House
reauthorization bill proposes actions to address many of the issues
raised in this statement. To its credit, FAA has also undertaken a
number of initiatives to address the issues in the meantime. However,
timely reauthorization--that takes into account the issues addressed
here--is critical to ensuring the continuity of FAA's current programs
and the agency's continuing progress toward NextGen.
[End of section]
Appendix:
Contributors:
For further information on this testimony, please contact Dr. Gerald L.
Dillingham at (202) 512-2834 or dillinghamg@gao.gov. Individuals making
key contributions to this testimony include Teresa Spisak (Assistant
Director), Paul Aussendorf, Lauren Calhoun, Jay Cherlow, Cathy Colwell,
Jessica Evans, Cathy Kim, Bonnie Leer, Jessica Lucas-Judy, Ed Menoche,
Richard Scott, and Pam Vines.
Selected GAO Products:
Federal Aviation Administration: Challenges Facing the Agency in Fiscal
Year 2009 and Beyond. [hyperlink,
http://www.gao.gov/products/GAO-08-460T]. Washington, D.C.: February 7,
2008.
Federal Aviation Administration: Challenges Facing the Agency in Fiscal
Year 2008 and Beyond. [hyperlink,
http://www.gao.gov/products/GAO-07-490T]. Washington, D.C.: February
14, 2007.
NextGen:
Next Generation Air Transportation System: Status of Systems
Acquisition and the Transition to the Next Generation Air
Transportation System. [hyperlink,
http://www.gao.gov/products/GAO-08-1078]. Washington, D.C.: September
11, 2008.
Next Generation Air Transportation System: Status of the Transition to
the Future Air Traffic Control System. [hyperlink,
http://www.gao.gov/products/GAO-07-784T]. Washington, D.C.:
May 9, 2007.
Joint Planning and Development Office: Progress and Key Issues in
Planning the Transition to the Next Generation Air Transportation
System. [hyperlink, http://www.gao.gov/products/GAO-07-693T].
Washington, D.C.: March 29, 2007.
Federal Aviation Administration: Key Issues in Ensuring the Efficient
Development and Safe Operation of the Next Generation Air
Transportation System. [hyperlink,
http://www.gao.gov/products/GAO-07-636T]. Washington, D.C.: March 22,
2007.
Safety:
Aviation Safety: FAA Has Increased Efforts to Address Runway
Incursions. [hyperlink, http://www.gao.gov/products/GAO-08-1169T].
Washington, D.C.: September 25, 2008.
Runway Safety: Progress on Reducing Runway Incursions Impeded by
Leadership, Technology, and Other Challenges. [hyperlink,
http://www.gao.gov/products/GAO-08-481T]. Washington,
D.C.: February 13, 2008.
Aviation Runway and Ramp Safety: Sustained Efforts to Address
Leadership, Technology, and Other Challenges Needed to Reduce Accidents
and Incidents. [hyperlink, http://www.gao.gov/products/GAO-08-29].
Washington, D.C.: November 20, 2007.
Aviation Safety: Improved Data Collection Needed for Effective
Oversight of Air Ambulance Industry. [hyperlink,
http://www.gao.gov/products/GAO-07-353]. Washington, D.C.:
February 21, 2007.
Mobility:
Commercial Aviation: Impact of Airline Crew Scheduling on Delays and
Cancellations of Commercial Flights. [hyperlink,
http://www.gao.gov/products/GAO-08-1041R]. Washington, D.C.:
September 17, 2008.
FAA Airspace Redesign: An Analysis of the New York/New Jersey/
Philadelphia Project. [hyperlink,
http://www.gao.gov/products/GAO-08-786]. Washington, D.C.: Washington,
D.C.:
July 31, 2008.
National Airspace System: DOT and FAA Actions Will Likely Have a
Limited Effect on Reducing Delays during Summer 2008 Travel Season.
[hyperlink, http://www.gao.gov/products/GAO-08-934T]. Washington, D.C.:
July 15, 2008.
Commercial Aviation: Programs and Options for Providing Air Service to
Small Communities. [hyperlink,
http://www.gao.gov/products/GAO-07-793T]. Washington, D.C.: April 25,
2007.
Commercial Aviation: Programs and Options for the Federal Approach to
Providing and Improving Air Service to Small Communities. [hyperlink,
http://www.gao.gov/products/GAO-06-398T]. Washington, D.C.: September
14, 2006.
Environment:
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/products/GAO-08-706T]. Washington, D.C.:
May 6, 2008.
Aviation and the Environment: Impact of Aviation Noise on Communities
Presents Challenges for Airport Operations and Future Growth of the
National Airspace System. [hyperlink,
http://www.gao.gov/products/GAO-08-216T]. Washington, D.C.: October 24,
2007.
Human Capital:
Federal Aviation Administration: Efforts to Hire, Staff, and Train Air
Traffic Controllers Are Generally on Track, but Challenges Remain.
[hyperlink, http://www.gao.gov/products/GAO-08-908T]. Washington, D.C.:
June 11, 2008.
Reauthorization:
Aviation Finance: Observations on the Current FAA Funding Structure's
Support for Aviation Activities, Issues Affecting Future Costs, and
Proposed Funding Changes. [hyperlink,
http://www.gao.gov/products/GAO-07-1163T]. Washington, D.C.: August 1,
2007.
Federal Aviation Administration: Observations on Selected Changes to
FAA's Funding and Budget Structure in the Administration's
Reauthorization Proposal. [hyperlink,
http://www.gao.gov/products/GAO-07-625T]. Washington, D.C.: March 21,
2007.
[End of section]
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