Next Generation Air Transportation System
Issues Associated with Midterm Implementation of Capabilities and Full System Transformation Gao ID: GAO-09-481T March 25, 2009To prepare for forecasted air traffic growth, the Federal Aviation Administration (FAA), including its Joint Planning and Development Office (JPDO) and Air Traffic Organization (ATO), is planning for and implementing the Next Generation Air Transportation System (NextGen) in partnership with other federal agencies and the aviation industry. NextGen will transform the current radar-based air traffic control system into a more automated aircraft-centered, satellite-based system. GAO's previous work has identified issues related to the usefulness of NextGen planning documents, FAA's organizational structure to manage the transition to NextGen, and FAA's workforce to oversee and implement NextGen. Recently, the focus of NextGen planning and implementation has shifted to capabilities that can be achieved in the midterm, defined as 2012 through 2018. GAO's testimony focuses on (1) JPDO's and ATO's progress in planning NextGen and changes in the NextGen management structure; (2) ongoing efforts to implement midterm capabilities to address capacity constraints, and issues related to these efforts; and (3) key human capital issues, research and development needs, and facilities maintenance and reconfiguration challenges going forward. GAO's testimony updates prior GAO work with FAA data and interviews with agency and union officials and industry stakeholders, including airline, aircraft, and avionics manufacturer representatives.
JPDO and ATO have made progress in planning for and developing NextGen. JPDO has continued to update its basic planning documents, and in January 2009, ATO released the current version of its NextGen Implementation Plan, which focuses on the midterm implementation of capabilities. Recent versions of NextGen planning documents have partially addressed some of GAO's previously reported concerns about their usefulness, but industry participants continue to express frustration that the documents lack any specific timelines or commitments. Recent changes in the management structure for NextGen, though designed to address industry stakeholders' and others' concerns about fragmentation of authority and lack of accountability, have not fully addressed these issues and have raised further questions about parties' roles and responsibilities. To help address current congestion and delays, industry stakeholders have frequently suggested that FAA shift its focus from planning for NextGen to maximizing what can be done with existing, proven capabilities and existing infrastructure. In January of this year, FAA created a NextGen Midterm Implementation Task Force, which responds to this suggestion and is to report its recommendations to FAA in August 2009. The task force plans to identify and prioritize capabilities that can be implemented in the midterm and potentially be deployed regionally to address key bottlenecks. Essential to the mid- and long-term success of these efforts is persuading the airlines to make costly investments in NextGen equipment--a step they are reluctant to take without clearly demonstrated benefits. Incentives that could encourage such investments include operational preferences--such as preferred airspace, routings, or runway access--and equipment investment tax credits. FAA will also have to validate, certify, and issue rules for these capabilities. Going forward, FAA faces challenges in resolving human capital issues, addressing needed research and development, reconfiguring and maintaining existing facilities, and enhancing capacity. Human capital issues include involving stakeholders, such as controllers and technicians, in NextGen efforts and acquiring the systems engineering, contract management, leadership, and other skills needed for NextGen. FAA plans to fill 378 NextGen positions in fiscal years 2009 and 2010. Additionally, for NextGen, research and development efforts to address the environmental impact of aviation, human factors, and weather will be critical. Air traffic facilities will also have to be reconfigured to support NextGen, and existing facilities require maintenance to ensure safety and reliability. FAA is currently reviewing its facility needs.Finally, even with the efficiencies anticipated from implementing NextGen, FAA has determined that it will need additional airport and runway capacity. Efforts to enhance capacity will require substantial advance planning and cost and safety analyses.
GAO-09-481T, Next Generation Air Transportation System: Issues Associated with Midterm Implementation of Capabilities and Full System Transformation
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Testimony:
Before the Subcommittee on Aviation Operations, Safety, and Security,
Committee on Commerce, Science, and Transportation, U.S. Senate:
United States Government Accountability Office:
GAO:
For Release on Delivery:
Expected at 9:45 a.m. EDT:
Wednesday, March 25, 2009:
Next Generation Air Transportation System:
Issues Associated with Midterm Implementation of Capabilities and Full
System Transformation:
Statement of Gerald L. Dillingham, Ph.D.
Director, Physical Infrastructure Issues:
GAO-09-481T:
GAO Highlights:
Highlights of GAO-09-481T, a testimony before the Subcommittee on
Aviation Operations, Safety, and Security, Committee on Commerce,
Science, and Transportation, U.S. Senate.
Why GAO Did This Study:
To prepare for forecasted air traffic growth, the Federal Aviation
Administration (FAA), including its Joint Planning and Development
Office (JPDO) and Air Traffic Organization (ATO), is planning for and
implementing the Next Generation Air Transportation System (NextGen) in
partnership with other federal agencies and the aviation industry.
NextGen will transform the current radar-based air traffic control
system into a more automated aircraft-centered, satellite-based system.
GAO‘s previous work has identified issues related to the usefulness of
NextGen planning documents, FAA‘s organizational structure to manage
the transition to NextGen, and FAA‘s workforce to oversee and implement
NextGen. Recently, the focus of NextGen planning and implementation has
shifted to capabilities that can be achieved in the midterm, defined as
2012 through 2018.
GAO‘s testimony focuses on (1) JPDO‘s and ATO‘s progress in planning
NextGen and changes in the NextGen management structure; (2) ongoing
efforts to implement midterm capabilities to address capacity
constraints, and issues related to these efforts; and (3) key human
capital issues, research and development needs, and facilities
maintenance and reconfiguration challenges going forward. GAO‘s
testimony updates prior GAO work with FAA data and interviews with
agency and union officials and industry stakeholders, including
airline, aircraft, and avionics manufacturer representatives.
What GAO Found:
JPDO and ATO have made progress in planning for and developing NextGen.
JPDO has continued to update its basic planning documents, and in
January 2009, ATO released the current version of its NextGen
Implementation Plan, which focuses on the midterm implementation of
capabilities. Recent versions of NextGen planning documents have
partially addressed some of GAO‘s previously reported concerns about
their usefulness, but industry participants continue to express
frustration that the documents lack any specific timelines or
commitments. Recent changes in the management structure for NextGen,
though designed to address industry stakeholders‘ and others‘ concerns
about fragmentation of authority and lack of accountability, have not
fully addressed these issues and have raised further questions about
parties‘ roles and responsibilities.
To help address current congestion and delays, industry stakeholders
have frequently suggested that FAA shift its focus from planning for
NextGen to maximizing what can be done with existing, proven
capabilities and existing infrastructure. In January of this year, FAA
created a NextGen Midterm Implementation Task Force, which responds to
this suggestion and is to report its recommendations to FAA in August
2009. The task force plans to identify and prioritize capabilities that
can be implemented in the midterm and potentially be deployed
regionally to address key bottlenecks. Essential to the mid- and long-
term success of these efforts is persuading the airlines to make costly
investments in NextGen equipment”a step they are reluctant to take
without clearly demonstrated benefits. Incentives that could encourage
such investments include operational preferences”such as preferred
airspace, routings, or runway access”and equipment investment tax
credits. FAA will also have to validate, certify, and issue rules for
these capabilities.
Going forward, FAA faces challenges in resolving human capital issues,
addressing needed research and development, reconfiguring and
maintaining existing facilities, and enhancing capacity. Human capital
issues include involving stakeholders, such as controllers and
technicians, in NextGen efforts and acquiring the systems engineering,
contract management, leadership, and other skills needed for NextGen.
FAA plans to fill 378 NextGen positions in fiscal years 2009 and 2010.
Additionally, for NextGen, research and development efforts to address
the environmental impact of aviation, human factors, and weather will
be critical. Air traffic facilities will also have to be reconfigured
to support NextGen, and existing facilities require maintenance to
ensure safety and reliability. FAA is currently reviewing its facility
needs. Finally, even with the efficiencies anticipated from
implementing NextGen, FAA has determined that it will need additional
airport and runway capacity. Efforts to enhance capacity will require
substantial advance planning and cost and safety analyses.
To view the full product, click on [hyperlink,
http://www.gao.gov/products/GAO-09-481T]. For more information, contact
Gerald L. Dillingham at (202) 512-2834 or dillinghamg@gao.gov.
[End of section]
Mr. Chairman and Members of the Subcommittee:
I appreciate the opportunity to testify before you this morning on
efforts to transform the nation's current air traffic control (ATC)
system to the Next Generation Air Transportation System (NextGen).
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 to about 80,000 flights every 24 hours. Today's U.S. air
transportation system will not be able to meet these air traffic
demands. In fact, as we all know, today's system is straining to meet
current demands. For example, in 2008, almost one in four flights
either arrived late or was canceled, and the average flight delay
increased despite a 6 percent decline in the total number of
operations. The transformation to NextGen, together with other ongoing
ATC modernization efforts, promises to enhance the capacity and
efficiency of our air transportation system while maintaining safety
and minimizing the environmental impact of air transportation.
In Vision 100,[Footnote 1] enacted in 2003, Congress directed the
Secretary of Transportation to establish the Joint Planning and
Development Office (JPDO) to plan and coordinate the transition to
NextGen in collaboration with other federal agencies[Footnote 2] and
the aviation industry. NextGen will transform the current radar-based
ATC system into a more automated, aircraft-centered, satellite-based
system, and will shift the operating paradigm from air traffic control
to air traffic management. NextGen encompasses five major
transformational programs--Automatic Dependent Surveillance Broadcast
(ADS-B), System-Wide Information Management (SWIM), NextGen Data
Communications (DataComm), NextGen Network Enabled Weather (NNEW), and
National Airspace Voice Switch (NVS).[Footnote 3] JPDO--located
organizationally within the Federal Aviation Administration (FAA)--is
responsible for NextGen planning and coordination. FAA's Air Traffic
Organization (ATO), headed by its Chief Operating Officer (COO), is
responsible for implementing the transition to NextGen. At the same
time, FAA is planning and implementing other capabilities that have not
been designated specifically as NextGen efforts but are also expected
to enhance the capacity and efficiency of the air transportation
system. FAA plans to implement these capabilities in the midterm,
defined as 2012 through 2018, and eventually to integrate them with
NextGen transformational programs.
My testimony this morning addresses (1) JPDO's and ATO's progress in
planning NextGen and changes in the NextGen management structure; (2)
ongoing efforts to implement midterm capabilities to address capacity
constraints and delays, and issues related to these efforts; and (3)
key human capital issues, research and development needs, and
facilities maintenance and reconfiguration challenges going forward. My
statement is based on recent related GAO reports and testimonies,
updated with more recent FAA data, and our discussions with selected
senior FAA officials; officials of the National Air Traffic Controller
Association (NATCA) and the Professional Aviation Safety Specialists
(PASS) unions; and aviation industry stakeholders, including the Air
Transport Association, which represents U.S. airlines, and aircraft and
avionics industry representatives. This work was conducted in
accordance with generally accepted government auditing standards. Those
standards require that we plan and perform the work 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.
JPDO and ATO Have Issued Key NextGen Plans, but ATO Restructuring and
Recent Executive Order Have Not Fully Resolved NextGen Management
Issues:
JPDO and ATO have issued key NextGen plans and have reorganized the
management structure for NextGen. We have previously reported on
stakeholders' concerns about the fragmented management structure for
NextGen and resulting lack of clear accountability for NextGen's
implementation. While recent FAA efforts have made progress on this
front, they have yet to fully resolve stakeholders' concerns. Resolving
this issue will be critical to advancing both the implementation of
capabilities in the midterm and the full transformation to NextGen in
the long term.
Planning Effort Has Shifted to Focus on Implementation, but Continues
to Lack Specific Timelines and Commitments:
Since 2003, JPDO and ATO have made progress in planning for and
implementing NextGen. In accordance with Vision 100, JPDO created a
multi-agency research and development plan for the transition to
NextGen. This plan consists of three basic documents--a Concept of
Operations, an Enterprise Architecture, and an Integrated Work Plan.
[Footnote 4] Collectively, these three documents form a basis for
interagency and industry planning and coordination. JPDO views these
plans as iterative and intends to issue further versions as NextGen
technologies are developed and implemented. As NextGen progressed from
the planning to the implementation phase, ATO produced its NextGen
Implementation Plan, which addresses the more detailed level of
planning and activities necessary to achieve NextGen capabilities.
According to ATO, it and JPDO have worked to align and ensure linkages
between these planning documents. The current version of the NextGen
Implementation Plan, released in January 2009, focuses on the midterm
(2012 though 2018) implementation of NextGen capabilities.
In a previous testimony,[Footnote 5] we raised some concerns about the
usefulness of the NextGen planning documents, and we still have some
concerns. For example, we reported that the planning documents lacked
the type of specific information that industry stakeholders need for
their own planning purposes, such as a catalog of critical needs,
clearly defined and prioritized intermediate objectives, and a
structured plan for achieving tangible results. Recent versions of
NextGen planning documents have partially addressed some of these
concerns, but industry stakeholders continue to express frustration
that the planning documents lack any specific timelines or commitments.
A senior FAA official has acknowledged that FAA will face ongoing
challenges in attempting to communicate effectively with industry and
other stakeholders to ensure that they fully understand the content and
objectives of the initiative and remain engaged and committed to its
planning and implementation.
NextGen Organizational Structure Has Undergone Changes, but Roles and
Responsibilities Continue to Be Unclear:
Initially, JPDO was established as a separate and independent office
within FAA reporting directly to both the COO of ATO and the FAA
Administrator (see figure 1).
Figure 1: FAA Organization, November 2007:
Figure 1: FAA Organization, November 2007:
[Refer to PDF for image: organization chart]
Administrator:
Joint Planning and Development Office (JPDO)[A]:
Chief Operating Officer, Air Traffic Organization(ATO)[A]:
* Vice President for Acquisition and Business Services:
* Vice President for Communications Services:
* Vice President for En Route and Oceanic Services[A]:
* Vice President for Finance Services:
* Vice President for Operations Planning Services[A]:
* Vice President for System Operations Services[A]:
* Vice President for Safety Services:
* Vice President for Terminal Services[A]:
* Vice President for Technical Operations Services[A].
Deputy Administrator:
* Assistant Administrator for Civil Rights:
* Chief Counsel:
* Associate Administrator for Commercial Space Transportation:
* Associate Administrator for Airports[A]:
* 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 International Aviation:
* Assistant Administrator for Financial Services:
* Assistant Administrator for Government and Industry Affairs:
* Associate Administrator for Aviation Safety[A]:
* Assistant Administrator for Communications:
* Assistant Administrator for Security & Hazardous Materials:
[A] Offices with responsibilities for key NextGen-related activities.
Source: FAA.
[End of figure]
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 ATO's COO (see figure 2). The reorganization
eliminated JPDO's dual reporting status, and the JPDO Director now
reports directly to the newly created Senior Vice President for NextGen
and Operations Planning. The reorganization also led to JPDO's
placement lower in FAA's organizational structure--it is now a fourth-
level organization.
Figure 2: Current FAA and ATO Organization:
[Refer to PDF for image: organization chart]
Administrator:
Chief Operating Officer, Air Traffic Organization(ATO)[A]:
* Senior Vice President Strategy and Performance:
* Senior Vice President Finance:
* Senior Vice President Operations[A]:
- Vice President Technical Training:
- Vice President Service Center:
- Vice President Terminal[A]:
- Vice President Technical Operations[A]:
- Vice President En Route and Oceanic[A]:
- Vice President System Operations[A]:
* Senior Vice President NextGen and Operations Planning:
- System Engineering and Safety[A]:
- Modeling and Simulation[A]:
- Research and Technology Development[A]:
- WJHTC Test and Evaluation[A]:
- Administration[A]:
- Financial Operations[A]:
- NextGen Integration and Implementation[A]:
- Aviation Weather[A]:
- Joint Planning and Development[A]:
Deputy Administrator:
* Assistant Administrator for Civil Rights:
* Chief Counsel:
* Associate Administrator for Commercial Space Transportation:
* Associate Administrator for Airports[A]:
* 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 International Aviation:
* Assistant Administrator for Financial Services:
* Assistant Administrator for Government and Industry Affairs:
* Associate Administrator for Aviation Safety[A]:
* Assistant Administrator for Communications:
* Assistant Administrator for Security & Hazardous Materials:
[A] Offices with responsibilities for key NextGen-related activities.
Source: FAA.
[End of figure]
According to ATO's COO, a purpose of the reorganization was to respond
to industry stakeholders' concerns about the fragmentation of authority
and lack of accountability for NextGen, which might delay its
implementation. In particular, stakeholders have expressed frustration
that a program as large and important as NextGen does not follow the
industry practice of having one person with the authority to make key
decisions. In the COO's view, the reorganization creates one "team"
with one person in charge to plan, implement, and oversee NextGen.
According to FAA, the Senior Vice President for NextGen and Operations
Planning is responsible for integrating and implementing all elements
of NextGen. However, this individual does not have budget authority
over several key NextGen projects, according to a recent testimony from
the Department of Transportation's (DOT) Inspector General.[Footnote 6]
In November 2008, the President issued Executive Order 13479,[Footnote
7] which took the positive step of treating NextGen as an important
national initiative, but potentially added another level of complexity
and uncertainty to the management structure for NextGen. The order
directed the Secretary to create a staff to support the Senior Policy
Committee, an advisory body chaired by the Secretary of Transportation
whose members are the heads of the federal partner agencies and whose
purpose is to provide policy guidance for NextGen planning. Previously,
JPDO coordinated the agenda of the Senior Policy Committee, but now,
according to FAA, the new support staff will coordinate the committee's
agenda, although JPDO will continue to be involved in the development
of issues and topics for the committee. Furthermore, notwithstanding
JPDO's statutory responsibility for coordinating with the federal
partner agencies, the director of the support staff will serve as the
senior DOT liaison between the Secretary and the federal partner
agencies. It remains unclear how these changes will affect JPDO's role
relative to the Senior Policy Committee or to other federal partner
agencies. The executive order also directed the Secretary to establish
a committee to advise the Secretary on the implementation of NextGen.
According to FAA's interpretation of the executive order, the new
advisory committee will be an external (nongovernmental) committee
whose role will be to provide an external stakeholder perspective. The
role of this committee could potentially duplicate the roles of other
advisory bodies associated with the NextGen initiative. FAA has said
that it and JPDO are working with DOT to clarify roles and
responsibilities in executing the executive order.
It is difficult to tell how well the reorganization and the
implementation of the executive order will address stakeholders'
concerns about the fragmentation of authority for NextGen. For example,
although the reorganization places JPDO and the office responsible for
NextGen integration and implementation under the leadership of the same
Senior Vice President, other activities critical to NextGen's
implementation lie outside this official's jurisdiction. Several types
of aviation operations are under the leadership of the Senior Vice
President for Operations, and responsibilities for airport and aviation
safety activities fall outside ATO altogether and are headed by FAA
Associate Administrators. According to FAA, the NextGen Management
Board, which is composed of Associate Administrators, the COO, Senior
Vice Presidents, and the Director of the JPDO, ensures agencywide
support for NextGen. However with no direct line of authority between
the Senior Vice President for NextGen and Operations Planning and these
other operations and activities, accountability for NextGen outcomes is
unclear, creating the potential for delays in implementation. It is
also unclear how the reorganization and the implementation of the
executive order will affect the overall role created for JPDO by Vision
100. For example, according to one industry stakeholder, their ability
to understand and be involved in the NextGen-related efforts of federal
partner agencies has been hampered by JPDO's placement under ATO's
management.
Several stakeholders have suggested that an office above the Senior
Vice President for NextGen and Operations Planning and these other
units--an office that would report directly to the FAA Administrator or
the Secretary of Transportation--is needed to ensure accountability for
NextGen results. In contrast, another stakeholder suggested that
further reorganization may not be needed, but FAA's existing leadership
could play a greater role in clarifying the responsibilities of the
various offices involved in planning and implementing NextGen and in
clearly assigning accountability for NextGen outcomes.
Industry Stakeholders Seek More Rapid Midterm Implementation of
Existing Capabilities, but Progress Depends Both on Airlines'
Investments and on FAA's Validation, Certification, and Rulemaking:
To help address current congestion and delays, many stakeholders have
suggested that FAA focus on maximizing what can be done with existing,
proven capabilities and existing infrastructure. We have previously
characterized this approach as "NowGen." For example, industry
stakeholders highlighted "off-the-shelf" technologies, including
Traffic Management Advisor (TMA), Traffic Flow Management (TFM), and
User Request Evaluation Tool (URET), as well as performance-based
navigation[Footnote 8] and tailored arrival procedures. Such
technologies and procedures are being implemented in airports now and,
according to these stakeholders, could be implemented more widely and
used more effectively to address capacity constraints. For example,
TMA--a decision-support tool that helps controllers manage air traffic
flows more efficiently--has been used at some airports to increase
capacity. However, according to one stakeholder, some airports equipped
with TMA are not using it to its fullest extent to increase capacity.
Industry stakeholders also maintain that using existing performance-
based navigation procedures during low-visibility conditions--when the
required distances separating aircraft are normally increased for
safety reasons--would enable greater use of closely spaced parallel
runways, thereby increasing capacity.
In part to help accelerate the implementation of existing capabilities
in the midterm--including technologies that are part of NextGen's five
transformational programs, such as ADS-B--FAA has created a NextGen
Midterm Implementation Task Force through RTCA.[Footnote 9] According
to the NextGen Implementation Plan, the task force will focus on
maximizing the benefits of midterm NextGen operational capabilities and
addressing business and investment-related issues associated with
implementing these capabilities. A member of the task force indicated
that it will be identifying a handful of capabilities that can be
implemented in the midterm and prioritizing them according to their
relative net benefits. Furthermore, the task force will be examining
the potential for deploying capabilities regionally to address key
bottlenecks in the national air transportation system before deploying
them nationally. Current plans call for the task force to provide final
conclusions and recommendations to FAA in August 2009.
Midterm Implementation Depends on Airlines' Acquisition of Required
Avionics:
Implementing these capabilities in the midterm, as well as over the
long term, depends not only on FAA, but also on aircraft operators, who
must acquire the necessary equipment. For example, aircraft must be
equipped with appropriate technology to use ADS-B. Some airlines have
purchased some of the necessary technology, but over all, airlines are
waiting for FAA to specify requirements and address funding concerns.
In addition, industry stakeholders have expressed concerns about the
progress made by FAA in adequately explaining and demonstrating the
benefits of equipping aircraft with advanced avionics equipment, which
comes at a significant cost to the aviation industry. For example, one
industry stakeholder told us that, without an explicit FAA commitment
to reduce separation standards--a key benefit of deploying aircraft
with ADS-B equipment--the industry has little incentive to voluntarily
purchase the equipment. One objective of the new NextGen Midterm
Implementation Task Force is to help operators identify the benefits of
acquiring NextGen-compatible equipment sooner rather than later.
A range of potential requirements and incentives could encourage
aircraft operators to purchase equipment. These could include mandated
deadlines or operational preferences--such as preferred airspace,
routings, or runway access. Industry stakeholders have expressed
concerns that the array of operational benefits available to early
equippers has yet to be identified and defined, and have also
questioned the extent to which such preferences would result in
tangible benefits. Another proposed option would combine mandated
deadlines and operational preferences with equipment investment tax
credits that would financially support equipment implementation for a
limited initial set of aircraft operators. The credits would provide a
competitive advantage for early equippers. Airlines that continue to
delay equipage will become more and more disadvantaged, thus providing
an incentive for these airlines to equip.
Midterm Implementation Also Depends on FAA's Validation, Certification,
and Rulemaking Efforts:
Before midterm NextGen implementation can occur, FAA must validate and
certify[Footnote 10] technologies and issue rules for the use of
procedures. FAA has made some progress in this area, including
developing specifications for performance-based navigation procedures
at selected airports, but much remains to be done. We and others have
previously expressed concerns about the time and human resources
required for these efforts and have identified them as a significant
risk to the timely and cost effective implementation of
NextGen.[Footnote 11] In recent interviews, stakeholders have expressed
similar concerns about the midterm implementation of existing or off-
the-shelf technologies and capabilities. For example, an avionics
manufacturer, an aircraft manufacturer, and an airline association we
interviewed all cited the time it takes to develop rules for new
procedures and the problems that result from deploying equipment before
rules are finalized. Any activities needed to implement new policies
and procedures, such as the expanded use of performance-based
navigation procedures; to demonstrate new capabilities, such as the use
of closely spaced parallel runways; to set parameters for the
certification of new systems, such as ADS-B; and to develop new
technologies will take time and be a priority in the mid-and long-term
planning for NextGen. Just as important, the time required to complete
such activities will have to be balanced against the need to ensure the
reliability and safety of procedures and systems before they are used
in the national airspace system.
Addressing Ongoing Human Capital, Research and Development, and
Facility and Capacity Challenges Will Be Critical for NextGen's
Implementation Going Forward:
A number of other challenges affect FAA's ability to move forward with
NextGen's implementation. These challenges include resolving ongoing
human capital challenges, addressing research and development needs,
reconfiguring and maintaining existing facilities, and enhancing the
physical capacity of airports.
Resolving Key Human Capital Challenges, Including Involving Internal
Stakeholders and Acquiring Expertise, Will Be Critical to NextGen's
Success:
Involving internal stakeholders, such as current air traffic
controllers and technicians, in planning for and deploying new
technologies will be important to NextGen's success. In our view, input
from current air traffic controllers with recent experience controlling
aircraft, who will be responsible for managing traffic in the NextGen
environment, and from current technicians, who will maintain NextGen
equipment, is important when considering human factors and safety
issues. Furthermore, our work on past ATC modernization projects has
shown that a lack of stakeholder or expert involvement early and
throughout a project can lead to cost increases and delays.[Footnote
12]
We have previously reported that active air traffic controllers were
not involved in the NextGen planning effort.[Footnote 13] In following
up on this issue, we found that some progress has been made. According
to FAA, it has used active controllers as subject matter experts in
NextGen development; representatives of both the controllers' and the
technicians' unions have seats on the NextGen Management Board; and the
controllers' union is participating in the NextGen Midterm
Implementation Task Force. Controller union officials have likewise
reported participating in several NextGen planning and decision-making
groups, including the Institute Management Council,[Footnote 14] and
acknowledge that active controllers serve as subject matter experts for
NextGen working groups. However, these union officials have expressed
concern that the union is not involved in selecting the subject matter
experts. According to the technicians' union, it does not generally
participate in NextGen efforts, although it has a liaison working on
ADS-B and is seeking to participate in the NextGen Midterm
Implementation Task Force.
Acquiring expertise in areas such as systems engineering and contract
management is another human capital challenge FAA faces going forward.
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 the strengths and weaknesses of its technical expertise and
contract management expertise in light of the skills required to
define, implement, and integrate the numerous complex programs inherent
in the transition to NextGen.[Footnote 15] In response to our prior
recommendation, ATO contracted with the National Academy of Public
Administration (NAPA) to (1) determine the mix of skills needed by the
nonoperational (acquisition) workforce to implement NextGen and (2)
identify the strategies for acquiring the necessary workforce
competencies.
In September 2008, NAPA completed its study and reported to FAA. The
study found that ATO will need to develop or strengthen skills in the
areas of software development, systems engineering, research and
development, strategic planning, financial budget analysis, and
contract administration, among others. However, the study identified
leadership as the single most important element of success for large-
scale systems integration efforts like NextGen and highlighted
leadership as a NextGen implementation challenge. The study, therefore,
recommended that FAA tailor its leadership development program to focus
on the specific leadership skills needed for managing this large,
complex, evolving program, to include communication, collaboration,
change management, and accountability and measurement. Strategies
presented to ATO for consideration in acquiring the skills needed for
the NextGen transition include aggressively marketing the NextGen
vision, enhancing internal research and development skills, and working
collaboratively with FAA headquarters to develop a more integrated
approach to NextGen workforce planning.
According to an FAA official, FAA plans to fill a total of 378 NextGen
positions in fiscal years 2009 and 2010. NextGen staffing needs can be
difficult to address, a senior FAA official said, because historically
NextGen skills have been in short supply and competitively priced in
the marketplace. However, the current economic conditions could make
hiring for these positions less difficult than it otherwise might be.
If not adequately addressed, this situation could contribute to delays
in integrating new technologies and transforming the national airspace
system.
Addressing Ongoing Research and Development Needs Is Key to Keeping the
Vision of NextGen on Track:
As NextGen moves forward, applied research will be needed to integrate
its five transformational technologies, as well as the legacy
facilities and systems that will also be part of NextGen, to ensure
that all the components work safely and reliably together. According to
FAA, the funding requested in its Capital Improvement Program for 2009
through 2013 reflects the research and development and capital
investments deemed necessary to deliver NextGen capabilities in the
midterm. The funding requested for FAA NextGen research and development
has significantly increased, from a total of $83 million in fiscal year
2009 to about twice that amount in each of the next 4 fiscal years.
[Footnote 16] FAA believes that this level of FAA funding for NextGen
research and development will complement investments made by federal
partner agencies--particularly the National Aeronautics and Space
Administration (NASA)--and will adequately support NextGen's
implementation. In addition, the American Recovery and Reinvestment Act
has increased NASA's budget for aeronautics research by $150 million,
although it does not indicate whether this additional funding will be
focused on NextGen-specific research.[Footnote 17]
NASA's aeronautics research has long supported FAA's air traffic
modernization efforts. To help ensure that NASA's aeronautics research
is effectively transferred to FAA, the two agencies have developed a
strategy that initially establishes four research transition teams,
which are aligned with JPDO's planning framework. This strategy also
outlines the two agencies' responsibilities for the research--FAA will
develop user requirements, and NASA will conduct the fundamental
research in each of the four areas and then transfer projects back to
FAA for further development. According to FAA, its collaboration with
NASA on the research transition teams has better focused NASA's
investments on FAA's requirements. Research transition teams have not,
however, been established between FAA and the other partner agencies.
Prioritizing the research and development needed for NextGen is also
important to avoid gaps and delays. The most recent version of JPDO's
Integrated Work Plan identifies the sequence of research that must be
completed before specific NextGen capabilities can completed. This
research, however, cannot be fully prioritized without identifying the
benefits that can be expected from the different capabilities and
technologies. According to JPDO officials, they are developing a matrix
that will identify benefits and costs and build a business case for all
the components of NextGen over the next year that will help in
prioritizing research and development.
Going forward, further research and development is needed in a number
of areas to implement NextGen, according to FAA, stakeholders, and our
analysis. For example:
* Environmental Impact Research: According to a JPDO analysis, the
environmental impact of aviation will be the primary constraint on the
capacity and flexibility of the national airspace system unless this
impact is managed and mitigated. In proposed legislation reauthorizing
FAA, $111 million for fiscal years 2009 through 2011 may be used for a
new FAA research and development program to help reduce aviation noise
and emissions. 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. Aeronautics industry representatives and experts we
consulted said that the program's funding levels may not be sufficient
to attain the goals specified in the proposal. According to these
experts, the proposed funding levels would allow for the further
development of one or possibly two projects. FAA recognizes the
implications of the proposed funding structure for CLEEN and
characterizes the program as a "pilot."
* 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. Compared with the current ATC
system, NextGen will rely to a greater extent on automation, and the
roles and responsibilities of pilots and air traffic controllers will
change. For example, both pilots and controllers will depend more on
automated communications and less on voice communications. Such changes
in roles and responsibilities raise significant human factors issues
for the safety and efficiency of the national airspace system. Until
fiscal year 2005, NASA was a primary source of federal aviation-related
human factors research, but NASA then began reducing its human factors
research staff, reassigning some staff to other programs and reducing
the contractor and academic technical support for human factors
research. According to NASA, human factors research continues to be a
critical component of its aeronautics research program, although its
work is now focused at the foundational (earlier-stage) level. FAA
plans to invest $180.4 million in human factors research from fiscal
year 2009 through fiscal year 2013. It remains to be seen whether or to
what extent FAA's research and development, which is typically more
applied than NASA's, will offset NASA's reductions in human factors
research.
* Weather Related Research: Improved weather information is essential
to realize key NextGen capabilities that depend on accurate weather
information for decision-making. According to FAA, 70 percent of delays
are attributable to weather every year. NextGen Network Enabled Weather
(NNEW) is one of the five NextGen transformational programs for which
current research and development efforts are needed, even though their
full benefits may not be realized until after the midterm. NNEW is
intended to provide weather support services for decision-making in the
NextGen environment. More specifically, NNEW is FAA's contribution to
the 4-dimensional weather cube[Footnote 18]--a technology that will
provide weather observations and analyses, including forecasts of
expected weather conditions, for all users of the national airspace
system. FAA is developing the requirements for this program, and the
Department of Commerce, through its National Oceanic and Atmospheric
Administration, will lead the development of the 4-dimensional weather
cube, using the Department of Commerce's resources and those of the
partner agencies. FAA expects to finish defining the requirements for
NNEW in March 2009. After validating the requirements, FAA will solicit
reviews from the relevant stakeholders on the extent to which their
requirements are aligned with those of the other agencies. This is a
collaborative effort whose success will depend on contributions from
all parties. Delays in aligning agency requirements, as well as the
lack of meteorological knowledge, could lead to delays in implementing
NextGen systems.
Beyond these research efforts, FAA has continued to move forward in
planning and conducting demonstrations of some key NextGen
technologies. For example, a recently announced demonstration with US
Airways and Aviation Communications and Surveillance Systems at the
Philadelphia International Airport will test ADS-B technology that
allows an aircraft with the necessary avionics to transmit its own
position as well as to receive information from other similarly
equipped aircraft. FAA is providing $6 million to purchase the
necessary avionics equipment for the aircraft involved in the
demonstration. FAA has also initiated projects to demonstrate the
benefits of integrating NextGen capabilities. For example, in December
2008, FAA signed a memorandum of agreement with NetJets--an Ohio-based
air service provider with a fleet of 600 aircraft. In this
demonstration, FAA will test a number of NextGen technologies and
procedures including ADS-B. The company will provide real-time data,
allowing FAA to validate performance requirements. This demonstration
will help FAA identify the costs and benefits associated with NextGen
implementation.
Reconfiguring and Maintaining the Existing ATC System and Increasing
Physical Capacity Are Also Key Challenges:
To fully realize NextGen's capabilities, a new configuration of ATC
facilities will be required. FAA has not developed a comprehensive
reconfiguration plan, but says that preliminary efforts are underway to
plan concepts for future FAA facilities. Going forward, it will also be
critical for FAA to ensure the safety and efficiency of its existing
ATC system, since it will be the core of the national airspace system
for a number of years and some of its components will become part of
NextGen. FAA faces an immediate task to maintain and repair existing
facilities so that the current ATC system continues to operate safely
and reliably. FAA has estimated a one-time cost of $268 million to
repair 400 existing terminal facilities. Once FAA develops and
implements a facility reconfiguration plan, the costs of facility
repairs and maintenance may be reduced. The American Recovery and
Reinvestment Act of 2009 provides $200 million to be made available
within the next 2 years for improvements in power systems, air route
traffic control centers, air traffic control towers, terminal radar
approach control facilities, and navigation and landing equipment and
indicates that projects that can be completed in 2 years should be
given priority.[Footnote 19] The availability of these funds increases
the importance of FAA's developing facility consolidation and
reconfiguration plans to ensure that the funds are spent efficiently
and effectively. FAA has acknowledged the need to keep long-term plans
in mind so that it does not invest unnecessarily in facilities that
will not be used for NextGen.
Finally, 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 physical capacity by
2025. Planning infrastructure projects to increase capacity, such as
building additional runways, can be a lengthy process, and will require
substantial advance planning and safety and cost analyses. Furthermore,
without substantial reductions in emissions and noise around the
nation's airports and continuing efforts at all levels of government,
including increased research and development activities, achieving the
goal of safely expanding the capacity and efficiency of the national
airspace system to meet 21st century needs may not be attainable.
Thank you, Mr. Chairman. I would be pleased to answer any questions
that you or Members of the Subcommittee may have at this time.
GAO Contact and Staff Acknowledgments:
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 Andrew Von Ah (Assistant
Director), Bess Eisenstadt, Bert Japikse, Kieran McCarthy, and Richard
Scott.
[End of section]
Appendix I: Related GAO Products:
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.
Responses to Questions for the Record; Hearing on the Future of Air
Traffic Control Modernization. [hyperlink,
http://www.gao.gov/products/GAO-07-928R]. Washington, D.C.: May 30,
2007.
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.
Next Generation Air Transportation System: Progress and Challenges
Associated with the Transformation of the National Airspace System.
[hyperlink, http://www.gao.gov/products/GAO-07-25]. Washington, D.C.:
November 13, 2006.
[End of section]
Footnotes:
[1] Vision 100--Century of Aviation Reauthorization Act, Pub. L. No.
108-176, 117 Stat. 2490 (2003).
[2] NextGen was designed as an interagency effort in order to leverage
various agencies' expertise and funding to advance NextGen while
avoiding duplication. The federal partner agencies are the Departments
of Commerce (particularly its National Oceanic and Atmospheric
Administration), Defense, Homeland Security, and Transportation; the
Federal Aviation Administration; the National Aeronautics and Space
Administration; and the White House Office of Science and Technology
Policy.
[3] ADS-B is a satellite navigation system that is designed, along with
other navigation technologies, to enable more precise control of
aircraft during en route flight, approach, and descent. SWIM is an
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. DataComm provides a
digital communications link for two-way exchanges between controllers
and flight crews for ATC clearances, instructions, advisories, flight
crew requests, and reports. NNEW will serve as the core of the NextGen
weather support services and provide a common weather picture across
the national airspace system. NVS will replace existing switches and
provide the foundation for all air/ground and ground/ground voice
communications in the future ATC environment.
[4] 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.
[5] GAO, Next Generation Air Transportation System: Status of Key
Issues Associated with the Transition to NextGen, [hyperlink,
http://www.gao.gov/products/GAO-08-1154T (Washington, D.C. Sept. 11, 2008).
[6] Federal Aviation Administration: Actions Needed to Achieve Mid-Term
NextGen Goals. Statement by Calvin L. Scovel III, Inspector General,
U.S. Department of Transportation before the Subcommittee on Aviation,
Committee on Transportation and Infrastructure, U.S. House of
Representatives, U.S. Congress (Washington D.C, March 18, 2009).
[7] Transformation of the National Air Transportation System, Exec.
Order No. 13479 (2008).
[8] Performance-based navigation, which includes Area Navigation (RNAV)
and Required Navigation Performance (RNP), is a framework for defining
navigation performance requirements ("navigation specifications") that
can be applied to an air traffic route, an instrument procedure, or a
defined airspace. Performance-based navigation provides a basis for the
design and implementation of automated flight paths.
[9] RTCA, Inc. is a private, not-for-profit corporation that develops
consensus-based recommendations on communications, navigation,
surveillance, and air traffic management (CNS/ATM) system issues. RTCA
functions as a Federal Advisory Committee. FAA uses its recommendations
as a basis for policy, program, and regulatory decisions.
[10] Validation is the process through which a technology is shown to
operate in a real-life environment with a desired level of confidence.
Certification is a form of FAA approval for the use of a technology,
such as aircraft equipment, in the national airspace system.
[11] After studying the lead time required to prototype, validate, and
certify new technologies, we concluded that neither JPDO nor FAA had
sufficient resources to complete these types of tasks, and could not
develop them internally without causing significant delays to NextGen-
related capabilities. See GAO, Response to Questions for the Record;
Hearing on the Future of Air Traffic Control Modernization, GAO-07-928R
(Washington, D.C.: May 30, 2007). We discuss the human capital element
of this challenge in greater detail later in this testimony.
[12] See GAO, Air Traffic Control: FAA Needs to Ensure Better
Coordination When Approving Air Traffic Control Systems, [hyperlink,
http://www.gao.gov/products/GAO-05-11] (Washington, D.C.: Nov. 17,
2004) and [hyperlink, http://www.gao.gov/products/GAO-08-1154T].
[13] See [hyperlink, http://www.gao.gov/products/GAO-08-1154T].
[14] The Institute Management Council, consisting of 16 senior leaders
from the aviation community, oversees the policy, recommendations, and
products of the NextGen Institute--which was established by FAA and the
National Center for Advanced Technologies to provide JPDO with access
to private-sector expertise, tools, and facilities for application to
NextGen activities and tasks.
[15] NextGeneration Air Transportation System: Progress and Challenges
Associated with the Transformation of the Next Generation Air
Transportation System, GAO-07-25 (Washington, D.C.: Nov. 13, 2006).
[16] FAA has requested $161 million in fiscal year 2010, $164 million
in fiscal year 2011, $165 million in fiscal year 2012, and $167 million
in fiscal year 2013 for NextGen research. FAA has also requested
additional funding for other research
[17] Pub. L. No. 111-5, title II, 123 Stat. 115 (2009).
[18] The 4-dimensional weather cube describes the atmosphere in three
dimensions (latitude, longitude, and altitude) and adds the dimension
of time.
[19] Pub. L. No. 111-5, title XII, 123 Stat. 115, 205 (2009).
[End of section]
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