Next Generation Air Transportation System
Challenges with Partner Agency and FAA Coordination Continue, and Efforts to Integrate Near-, Mid-, and Long-term Activities Are Ongoing Gao ID: GAO-10-649T April 21, 2010To prepare for future air traffic growth, the Federal Aviation Administration (FAA), including its Joint Planning and Development Office (JPDO) and Air Traffic Organization, is planning and implementing the Next Generation Air Transportation System (NextGen) in partnership with other federal agencies, such as the Departments of Commerce, Defense, and Homeland Security, and the aviation industry. NextGen will transform the current radar-based air traffic control system into a satellite-based system. As FAA begins implementing near-and midterm NextGen capabilities, a key challenge will be the extent to which FAA is able to integrate near and midterm improvements (those between 2012 and 2018) with long-term plans (beyond 2018). Furthermore, coordination among federal partner agencies and among various lines of business within FAA is important to ensure that NextGen implementation efforts are aligned. GAO's testimony focuses on (1) current mechanisms for and challenges to coordination among FAA and its partner agencies in implementing NextGen, (2) challenges and ongoing efforts to improve coordination across offices within FAA, and (3) issues related to integrating near- and midterm implementation plans with long-term NextGen plans. This statement is based on past and ongoing GAO work, and interviews GAO conducted with senior agency officials at FAA, JPDO and its partner agencies, and selected industry stakeholders.
Several mechanisms to facilitate coordination on NextGen activities among partner agencies and across FAA exist, but challenges to this coordination remain. One interagency coordination mechanism is the Senior Policy Committee, which is the high-level coordinating body across all of the partner agencies. In addition, JPDO is tasked with facilitating day-to-day interagency coordination, and has several mechanisms, including working groups and research transition teams, to accomplish this. GAO has previously reported that a lack of stable leadership and ambiguity surrounding JPDO's organizational position and ongoing role have contributed to the uneven performance of its coordination mechanisms. Recent changes in both the leadership and organizational position of JPDO could improve coordination across partner agencies. Stakeholders and partner agencies identified several other challenges to improving interagency coordination and collaboration, including (1) limited funding and staffing to dedicate to NextGen activities, (2) competing mission priorities, and (3) undefined near-term roles and responsibilities of some partner agencies. FAA also faces challenges coordinating the implementation of NextGen across multiple FAA offices. GAO has previously reported that shifting from an organization focused on system acquisition to one focused on integration and coordination will be an ongoing challenge for FAA. Recent organizational changes that solidify the FAA Deputy Administrator as the key executive in charge of NextGen may help address these challenges. Moreover, FAA has made progress in improving coordination of efforts within FAA, by coordinating some office functions and moving toward a portfolio approach for implementation. However, as all these changes have recently occurred, it is too early to measure their success. Integration of midterm implementation plans with the long-term plans and vision for NextGen is currently an ongoing effort within FAA. FAA officials and several stakeholders described FAA's near- and midterm efforts--such as implementing satellite-based surveillance of aircraft--as necessary stepping-stones to the long-term plans and vision of NextGen--such as aircraft operators receiving satellite surveillance information in the cockpit and using it to self-separate from surrounding aircraft. Early success in implementing NextGen capabilities will help build confidence among aircraft operators that FAA can and will provide the operational improvements necessary for operators to realize benefits from their equipment investments. However, some stakeholders expressed concern that near- and midterm implementation efforts are not integrated well enough with the long-term vision. Stakeholders identified key policy decisions that will affect the vision of the NextGen system over the long term and in turn determine whether programs, technologies, and capabilities implemented today will be the stepping-stones to future, more advanced capabilities. Key decisions include such issues as the installation of aircraft equipment, expediting environmental reviews, and the extent to which additional airport capacity will be needed.
GAO-10-649T, Next Generation Air Transportation System: Challenges with Partner Agency and FAA Coordination Continue, and Efforts to Integrate Near-, Mid-, and Long-term Activities Are Ongoing
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Testimony:
Before the Subcommittee on Aviation, Committee on Transportation and
Infrastructure, House of Representatives:
United States Government Accountability Office:
GAO:
For Release on Delivery:
Expected at 2:00 p.m. EDT:
Wednesday, April 21, 2010:
Next Generation Air Transportation System:
Challenges with Partner Agency and FAA Coordination Continue, and
Efforts to Integrate Near-, Mid-, and Long-term Activities Are Ongoing:
Statement of Gerald L. Dillingham, Ph.D.
Director, Physical Infrastructure Issues:
GAO-10-649T:
GAO Highlights:
Highlights of GAO-10-649T, a testimony before the Subcommittee on
Aviation, Committee on Transportation and Infrastructure, House of
Representatives.
Why GAO Did This Study:
To prepare for future air traffic growth, the Federal Aviation
Administration (FAA), including its Joint Planning and Development
Office (JPDO) and Air Traffic Organization, is planning and
implementing the Next Generation Air Transportation System (NextGen)
in partnership with other federal agencies, such as the Departments of
Commerce, Defense, and Homeland Security, and the aviation industry.
NextGen will transform the current radar-based air traffic control
system into a satellite-based system. As FAA begins implementing near-
and midterm NextGen capabilities, a key challenge will be the extent
to which FAA is able to integrate near and midterm improvements (those
between 2012 and 2018) with long-term plans (beyond 2018).
Furthermore, coordination among federal partner agencies and among
various lines of business within FAA is important to ensure that
NextGen implementation efforts are aligned.
GAO‘s testimony focuses on (1) current mechanisms for and challenges
to coordination among FAA and its partner agencies in implementing
NextGen, (2) challenges and ongoing efforts to improve coordination
across offices within FAA, and (3) issues related to integrating near-
and midterm implementation plans with long-term NextGen plans. This
statement is based on past and ongoing GAO work, and interviews GAO
conducted with senior agency officials at FAA, JPDO and its partner
agencies, and selected industry stakeholders.
What GAO Found:
Several mechanisms to facilitate coordination on NextGen activities
among partner agencies and across FAA exist, but challenges to this
coordination remain. One interagency coordination mechanism is the
Senior Policy Committee, which is the high-level coordinating body
across all of the partner agencies. In addition, JPDO is tasked with
facilitating day-to-day interagency coordination, and has several
mechanisms, including working groups and research transition teams, to
accomplish this. GAO has previously reported that a lack of stable
leadership and ambiguity surrounding JPDO‘s organizational position
and ongoing role have contributed to the uneven performance of its
coordination mechanisms. Recent changes in both the leadership and
organizational position of JPDO could improve coordination across
partner agencies. Stakeholders and partner agencies identified several
other challenges to improving interagency coordination and
collaboration, including (1) limited funding and staffing to dedicate
to NextGen activities, (2) competing mission priorities, and (3)
undefined near-term roles and responsibilities of some partner
agencies.
FAA also faces challenges coordinating the implementation of NextGen
across multiple FAA offices. GAO has previously reported that shifting
from an organization focused on system acquisition to one focused on
integration and coordination will be an ongoing challenge for FAA.
Recent organizational changes that solidify the FAA Deputy
Administrator as the key executive in charge of NextGen may help
address these challenges. Moreover, FAA has made progress in improving
coordination of efforts within FAA, by coordinating some office
functions and moving toward a portfolio approach for implementation.
However, as all these changes have recently occurred, it is too early
to measure their success.
Integration of midterm implementation plans with the long-term plans
and vision for NextGen is currently an ongoing effort within FAA. FAA
officials and several stakeholders described FAA‘s near- and midterm
efforts”such as implementing satellite-based surveillance of aircraft”
as necessary stepping-stones to the long-term plans and vision of
NextGen”such as aircraft operators receiving satellite surveillance
information in the cockpit and using it to self-separate from
surrounding aircraft. Early success in implementing NextGen
capabilities will help build confidence among aircraft operators that
FAA can and will provide the operational improvements necessary for
operators to realize benefits from their equipment investments.
However, some stakeholders expressed concern that near- and midterm
implementation efforts are not integrated well enough with the long-
term vision. Stakeholders identified key policy decisions that will
affect the vision of the NextGen system over the long term and in turn
determine whether programs, technologies, and capabilities implemented
today will be the stepping-stones to future, more advanced
capabilities. Key decisions include such issues as the installation of
aircraft equipment, expediting environmental reviews, and the extent
to which additional airport capacity will be needed.
View [hyperlink, http://www.gao.gov/products/GAO-10-649T] or key
components. For more information, contact Gerald 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 today on
interagency coordination and the integration of current implementation
activities and long-term planning efforts to transform the current air
traffic control system to the Next Generation Air Transportation
System (NextGen).[Footnote 1] NextGen is an enormously complex
undertaking that requires new integrated systems, procedures, aircraft
performance capabilities, and supporting infrastructure to create an
air transportation system that uses satellite-based surveillance and
navigation and network-centric operations. NextGen is intended to
improve the efficiency and capacity of the air transportation system
so that it can accommodate anticipated future growth. By 2025, air
traffic is projected to increase up to three times the current level.
Today's U.S. air transportation system will not be able to meet these
air traffic demands, and improvements to the national airspace system
are needed to mitigate the potential increase in flight delays that
are likely to occur as air traffic grows and the potential decrease in
economic productivity resulting from more delay and congestion in the
system.
The Federal Aviation Administration (FAA) is the lead implementer for
NextGen. Recently, FAA has emphasized improvements that can be
implemented in the near and midterm, which FAA defines as between 2010
and 2018. Recognizing the importance of near-and midterm solutions,
FAA requested that RTCA Inc.[Footnote 2] create a NextGen Midterm
Implementation Task Force (the Task Force), composed of industry
stakeholders, to reach consensus within the aviation community on the
operational improvements that can be implemented between 2009 and
2018. The Task Force provided recommendations to FAA in September
2009, and FAA provided responses to all of the Task Force
recommendations in its 2010 NextGen Implementation Plan, and is
continuing to work with industry through RTCA on addressing the
recommendations as implementation continues.[Footnote 3] The FAA's Air
Traffic Organization (ATO) is responsible for implementing near-and
midterm NextGen improvements identified in the 2010 NextGen
Implementation Plan in conjunction with other FAA lines of business.
The Joint Planning and Development Office (JPDO) within FAA is
responsible for long-term planning and coordination with federal
partner agencies.[Footnote 4] According to the Task Force and other
stakeholders, as FAA begins implementing near-and midterm
capabilities, a key challenge will be integrating those improvements
with long-term plans and ensuring that work is under way now to
realize capabilities envisioned in the future. Furthermore,
coordination among federal partner agencies, as well as coordination
among the various offices within FAA with responsibility for NextGen
and among industry stakeholders, is important to ensure that
implementation efforts within FAA are aligned and that the research
and development and other NextGen activities carried out by partners
and stakeholders are aligned with FAA's near-, mid-, and long-term
plans.
My testimony this afternoon addresses (1) current mechanisms for and
challenges to coordination among FAA and its partner agencies in
implementing NextGen over the near, mid-, and long terms; (2)
challenges and ongoing efforts to improve coordination among offices
within FAA; and (3) issues related to integrating near-and midterm
implementation plans with long-term NextGen plans. My statement is
based on our prior NextGen-related reports and testimonies, which are
listed at the end of this statement. My statement is also based on
ongoing work that includes our analysis of documents provided by FAA,
JPDO, and its partner agencies, including key implementation documents
such as the NextGen Implementation Plan and JPDO's Integrated Work
Plan; interviews we conducted with senior agency officials at FAA,
JPDO, and partner agencies; and interviews with industry stakeholders,
including officials of the National Air Traffic Controller
Association, RTCA, MITRE Corporation,[Footnote 5] the Aerospace
Industries Association, and Boeing. We provided a draft of this
statement to FAA and RTCA for comment and received technical comments
from both organizations, which we incorporated as appropriate. We
conducted our work in accordance with generally accepted government
auditing standards. Additional information on the scope and
methodology of our previous NextGen-related reports and testimonies is
available in each product.
FAA Has Established Several Mechanisms to Facilitate Coordination on
NextGen Activities among Partner Agencies, but Several Challenges
Exist:
Several Mechanisms Are in Place to Facilitate Coordination:
Several mechanisms to facilitate coordination among FAA and partner
agencies - including interagency committees, advisory boards, and
working groups - are in place. First, the Senior Policy Committee, as
the interagency governing body for NextGen, is meant to facilitate
coordination and planning on NextGen across federal agencies. Chaired
by the Secretary of Transportation, the Senior Policy Committee
includes senior representatives from the NextGen partner agencies.
Among its key activities, this committee works to provide policy
guidance, resolve major policy issues, and identify and align resource
needs. FAA and other partner agency officials indicated that the
Senior Policy Committee has met infrequently. The Senior Policy
Committee held their first full committee meeting under the new
Administration in September 2009. According to the JPDO Director, JPDO
is working closely with the Senior Policy Committee to establish a
process for the committee to operate more effectively by providing it
with the ability to review interagency dependencies such as FAA's
reliance on NASA research, develop a NextGen road map, and establish a
set of high-level milestones--which it currently does not have--as
well as conduct oversight of NextGen progress.
In addition to the Senior Policy Committee, several other interagency
coordination mechanisms are in place to facilitate coordination among
FAA and partner agencies, many of which are within JPDO. These include
the JPDO Board and the JPDO Division Directors Group, each of which is
composed of representatives from other federal agencies and FAA. The
JPDO Board functions as an adjunct to the Senior Policy Committee and
includes representatives from each of the partner agencies.
Representatives on the JPDO Board work on actionable outcomes related
to NextGen. The Division Directors are responsible for the planning
and managing of NextGen. JPDO also has organized nine working groups
composed of representatives from federal agencies and industry
stakeholders to specialize in developing NextGen's key capabilities,
along with recommendations and action plans to be integrated into
NextGen planning. Continued industry participation in JPDO Working
Groups--which is provided pro-bono--is a challenge given the current
business climate and companies' participation in numerous aviation
forums.
FAA and NASA also participate on four JPDO research transition teams
that have been established to ensure that research and development
needed for NextGen implementation is identified, conducted, and
effectively transitioned to the implementing agency. In previous work,
we discussed the formation of these teams, but as they had just been
established, noted that their potential effectiveness was
unclear.[Footnote 6] In that work we also identified key challenges in
coordinating research, including gaps in funding for needed research
and prioritization of research needs. According to the former Director
of JPDO and NASA officials, the teams have been useful vehicles for
identifying research needs and potential gaps; however, some teams are
further along in terms of their involvement among the agencies and
their deliverables than others. Although other agencies do not
currently participate on these research transition teams, NASA agency
officials reported that the structure could provide a model for future
coordination across agencies.
Other arenas where interagency coordination can take place also exist.
For example, the NextGen Management Board, which will be chaired by
FAA's newly appointed Deputy Administrator and has representatives
from all key FAA lines of business, addresses interagency
collaboration on key issues such as maintaining the integrity of
information shared through NextGen systems. A liaison from DOD sits on
the NextGen Management Board.
Several Challenges Impede Cross-Agency Coordination:
Our past work identified several leadership and organizational
challenges in ensuring coordination across partner agencies.[Footnote
7] First, we have reported that while JPDO has been in place for
several years, the office has experienced a high leadership turnover
rate.[Footnote 8] In 2010, a new JPDO Director was appointed, the
office's fourth Director in its 7 years of existence. The lack of
stable leadership has made it a challenge for JPDO to move forward on
many goals and objectives. Second, in March of 2009, we reported that
changes to JPDO's organizational position placing it within ATO could
be an impediment to partner agency coordination, as it created
ambiguity about JPDO's role and it lowered JPDO's status in the eyes
of stakeholders.[Footnote 9] Moreover, the creation of a staff to
support the Senior Policy Committee resulting from a November 2008
Executive Order caused further confusion regarding roles and
responsibilities relative to federal partner agencies.[Footnote 10]
Third, with the ATO focused on implementing capabilities through the
midterm, JPDO's role was shifted to a focus on the long term beyond
2018. According to stakeholders and partner agency officials we
interviewed for this work, given JPDO's long-term focus, it has
largely not been involved in ATO's current near-and midterm
activities, despite being placed organizationally within ATO. As a
result, participation by the partner agencies in those activities is
also limited. Agency officials stated that it is important for JPDO to
be involved in near-and midterm activities as well as long-term
planning to ensure that effective interagency coordination on NextGen
is in place.
Recent changes in the leadership and organizational position of JPDO
are likely to change the nature of the relationship among JPDO, FAA,
and its partner agencies and hold promise for increased coordination.
JPDO has been elevated from its previous position within ATO and is
now situated within FAA and outside of ATO, as illustrated in figure 1.
Figure 1: NextGen Management and Governance Structure:
[Refer to PDF for image: organization structure]
Top level: Secretary of Transportation;
Second level, reporting to Secretary of Transportation:
* FAA Administrator;
* Senior Policy Committee (Secretary of Transportation, chairman);
- JPDO Board;
* NextGen liaison to Secretary of Transportation and JPDO Director;
- Joint Planning and Development Office (JPDO).
All have relationships with the following partner agencies:
* Department of Commerce (National Oceanic and Atmospheric
Administration);
* Department of Defense;
* Department of Homeland Security;
* National Aeronautics and Space Administration;
* White House Office of Science and Technology Policy.
Third level, reporting to FAA Administrator:
* FAA Deputy Administrator;
relationship with:
NextGen liaison to Secretary of Transportation and JPDO Director.
Fourth level, reporting to FAA Deputy Administrator:
* NextGen Management Board.
Reporting to NextGen Management Board:
ATO offices with NextGen responsibilities:
Chief Operating Officer, Air Traffic Organization:
* Financial Services;
* NextGen and Operations Planning:
- NextGen Integration and Implementation;
* Strategy and Performance;
* Operations:
- En Route and Oceanic;
- Safety;
- System Operations;
- Terminal;
- Technical Operations.
Reporting to NextGen Management Board:
Other lines of business with NextGen responsibilities:
* Airports;
* Aviation Safety;
* Financial Services/Chief Financial Officer;
* Information Services/Chief Information Officer;
* International;
* Policy, Planning, and Environment;
* Regions and Center Operations.
Sources: FAA and JPDO.
[End of figure]
The JPDO Director now reports directly to the Deputy FAA
Administrator--who serves as the head of the NextGen Management Board--
as well as serving as the Senior Advisor to the Secretary of
Transportation. JPDO is also more closely aligned and is in a position
to have a more active role with the Senior Policy Committee. This new
structure removes the reporting relationship between JPDO and the
Chief Operating Officer of ATO, and gives JPDO more visibility within
the organization and with federal partners and other stakeholders.
With these organizational moves, JPDO is expected to become a better
conduit for monitoring cross-agency budgets and facilitating cross-
agency collaborations and long-term research planning. Moreover, many
of the key mechanisms for agency coordination, such as research
transition teams, are within JPDO, and are likely to be affected by
the move. According to the new Director of JPDO, a key step in
improving the coordination with partner agencies will be to determine
what value they see in the work produced by JPDO. As these changes
have just recently occurred, it remains to be seen if the changes will
result in better coordination across the partner agencies.
In addition to these leadership and structural issues, stakeholders
and representatives of the partner agencies identified other broad
challenges that affect the extent to which some partner agencies have
coordinated with others. These challenges include (1) limited funding
and staffing to dedicate to NextGen activities, (2) competing mission
priorities, and (3) undefined near-term roles and responsibilities of
some partner agencies.
* Limited funding and staffing to dedicate to NextGen activities.
Industry stakeholders and agency officials we spoke to stated that
some partner agencies' ability to coordinate with other agencies was
affected by the levels of funding and staff that could be dedicated to
NextGen activities. Officials at some partner agencies we spoke with
stated that partner agencies allocated little or no budgetary funding
specifically for NextGen activities and because of competing
priorities for funds, they were limited in the resources they could
dedicate to NextGen planning and coordination efforts. With respect to
future investments, according to JPDO and DOT data, in fiscal year
2011, among NextGen partner agencies, three--FAA, NASA, and the
Department of Commerce's NOAA--requested some funding for NextGen
activities. DOD and DHS did not request funding in their budgets
specifically for NextGen activities. OSTP is working with the Office
of Management and Budget to improve agency alignment and
identification of NextGen-related budgets.
* Differences in agency mission. Differences among agencies' mission
priorities, particularly DHS's and DOD's, also pose a challenge to
coordination efforts. DHS's diverse set of mission priorities, ranging
from aviation security to border protection, affects its level of
involvement in NextGen activities. For example, events such as the
2009 Christmas Day terrorism attempt can shift DHS priorities quickly
and move the agency away from focusing on issues such as NextGen,
which are not as critical at that particular time. Agency officials
also stated that although different departments within DHS are
involved in related NextGen activities, such as security issues, the
fact that NextGen implementation is not a formalized mission in DHS
can affect DHS's level of participation in NextGen activities.
Industry stakeholders told us that there are potential consequences if
DHS is not involved in long-term NextGen planning, including
potentially marginalizing DHS's NextGen areas, such as aviation
security. Industry stakeholders reported that FAA could more
effectively engage partner agencies in long-term planning by aligning
implementation activities to agency mission priorities and by
obtaining agency buy-in for actions required to transform the national
airspace system.
* Undefined near-term roles and responsibilities of partner agencies.
Some stakeholders and agency officials told us that FAA could do more
to clearly define each partner agency's role in key planning documents
that guide NextGen implementation efforts, particularly in the near
term. Our work has shown that coordinating agencies should work
together to define and agree on their respective roles and
responsibilities, including how the coordination effort will be led.
[Footnote 11] We reported in 2008 that a key intended purpose of these
planning documents, according to JPDO officials, is to provide the
means for coordinating among the partner agencies and to identify each
agency's role in implementing NextGen capabilities, but that
stakeholders said that the planning documents did not provide guidance
for their organizational decision making.[Footnote 12] Some
stakeholders and agency officials we spoke to more recently told us
that the NextGen Implementation Plan, which identifies near-and
midterm implementation efforts, still does not specify how partner
agencies will be involved or what outcomes are required from them.
Another industry stakeholder explained that if partner agencies do not
see their roles reflected in key planning documents, projects which
depend on inter-agency coordination will not be fully integrated
across all partner agencies. One area in particular where coordination
is important is related to how FAA, DOD, and DHS information networks
will share information in the future to allow for a shared awareness
of the national airspace. Information sharing across agencies is
necessary for such things as advanced capabilities related to
optimizing the use of certain airspace by the diverse set of users
under the auspices of these agencies (e.g. military aircraft,
commercial aircraft, general aviation, unmanned aerial vehicles,
etc.). Protocols and requirements for inter-agency information sharing
have yet to be determined. Limited agency participation in near-term
coordination efforts, including establishing protocols on information
sharing across agencies, could hamper coordination over the long term.
Both the House and Senate FAA reauthorization bills include provisions
for improving coordination among partner agencies that could address,
in part, some of the challenges identified by industry stakeholders
and agency officials.[Footnote 13] Some of the related provisions in
the bills call for, among other things, revised memorandums of
understanding with partner agencies that describe the respective
responsibilities of each agency, including budgetary commitments.
It Is Too Early to Determine Whether FAA Steps to Improve Coordination
for NextGen among FAA Offices Will Be Effective:
Stakeholders we spoke to cited challenges with coordinating the
implementation of NextGen capabilities across FAA lines of business.
With multiple FAA lines of business responsible for various NextGen
activities, including offices within ATO and outside ATO, coordination
and integration is vital since delays in actions required from several
offices could prevent or delay full realization of NextGen benefits.
Shifting from an organization and culture focused on system
acquisition to one focused on integration and coordination will be an
ongoing challenge for FAA.[Footnote 14]
Recent organizational changes may help address these issues, but it is
too early to measure the success of these efforts. As previously
discussed and as shown in figure 1, changes that move JPDO out of the
ATO and create a direct reporting relationship to the FAA Deputy
Administrator solidify the FAA Deputy Administrator as the key
executive in charge of NextGen. The FAA Deputy Administrator has
authority over the different lines of business that must work together
to implement NextGen and, as chairman of the NextGen Management Board,
has the authority to force timely resolution of emerging NextGen
implementation issues. Both the House and Senate reauthorization bills
include provisions to designate a single official in charge of
NextGen. The House bill proposes designating the Director of JPDO as
the Associate Administrator for the Next Generation Air Transportation
System,[Footnote 15] while the Senate bill proposes creating a Chief
NextGen Officer who would oversee all NextGen programs and JPDO.
[Footnote 16] Because the Deputy Administrator position has not yet
been confirmed, it is too early to tell how effective these
organizational relationships will be in addressing concerns from
industry and the Congress regarding who is in charge of NextGen and
whether that official has sufficient authority and accountability to
ensure effective implementation.[Footnote 17]
Other efforts in FAA to coordinate offices and manage NextGen through
a portfolio approach are also under way, and it is also too early to
tell how effective these efforts will be. According to FAA, the Office
of Aviation Safety has already made several changes to improve
coordination of NextGen-related projects in response to a Task Force
recommendation to identify and solve the operational approval and
certification issues that may impede adoption and acceleration of
NextGen capabilities. For example, one of the most recent changes
included creating new Flight Standards Service offices in each region
focused on NextGen.[Footnote 18] In addition, the Aircraft
Certification Service[Footnote 19] created a new team of experts from
different offices to coordinate NextGen approvals.[Footnote 20] FAA
has also organized NextGen into various portfolios of capabilities
called solution sets--each focusing on a series of related operational
improvements that together will bring about the midterm system. One
example of a solution set is "Flexible Terminal and Airports", which
includes within it operational improvements such as mitigating wake
turbulence for departures and improving runway safety situational
awareness for controllers. Within each of these solutions sets exist
numerous capital acquisitions and programs, projects, and processes to
be implemented by offices across FAA. For example, in the Flexible
Terminal and Airports solution set described above, the operational
improvements require acquisition and deployment of ground
infrastructure, the development of new flight procedures and new
protocols for controllers, and numerous other activities. FAA has
designated a position of solution set coordinator for each solution
set to coordinate and manage the implementation across the agency.
However, some solution set coordinator positions have yet to be
filled, and it is not yet clear whether coordinators will have
sufficient authority over activities across FAA, or that suitable
oversight mechanisms exist in order to ensure timely implementation of
all activities necessary for an operational improvement. As a result,
these issues could slow the implementation of NextGen.
Integration of Near-and Midterm Implementation Plans with Long-term
Plans Is Ongoing:
FAA officials and several stakeholders we interviewed described FAA's
near-and midterm efforts as necessary stepping-stones to the long-term
plans and vision for NextGen. Early success in implementing key
NextGen capabilities desired by aircraft operators will help build
confidence among operators that FAA can and will provide the
operational improvements necessary for operators to realize benefits
from their equipment investments.
From a planning perspective, integration of near-and midterm
implementation plans with the long-term plans and vision for NextGen
is currently an ongoing effort within the FAA. As previously
mentioned, near-and midterm implementation is guided by the 2010
NextGen Implementation Plan, which feeds into FAA's Enterprise
Architecture for the national airspace system.[Footnote 21] Supporting
the NextGen Implementation plan are two more detailed plans - Segment
A, which defines detailed activities through 2015, to be completed
later this quarter, which will then be followed by Segment B, which
defines NextGen through 2018. These plans will identify in great
detail the specific actions that must take place in order to implement
the identified capabilities. The long-term vision and initial planning
for NextGen took place within JPDO and resulted in the overall Concept
of Operations, the NextGen Enterprise Architecture, and an
accompanying Integrated Work Plan (IWP).[Footnote 22] The IWP sought
to identify all of the envisioned NextGen capabilities through the
long term and also lays out the enabling activities believed necessary
to achieve those capabilities (e.g., necessary research and
development, policy development, and so forth). Currently, according
to a senior FAA official, the operational improvements identified in
the 2010 NextGen Implementation Plan and FAA's Enterprise Architecture
have been aligned with the operational improvements identified in the
NextGen Enterprise Architecture and the IWP. However, the enabling
activities necessary to achieve those capabilities have yet to be
fully aligned. Various ATO offices and JPDO are currently developing
agreements that will set forth how the offices will work together to
fully align all of the enabling activities across the various planning
documents. The effort to align the rest of the enabling activities is
expected to be completed in late fiscal year 2010, according to a
senior FAA official.
Some stakeholders expressed concern that near-and midterm programs and
capabilities are not connected well enough to the long-term vision and
identified several key policy decisions that will affect the vision of
the NextGen system and thus will determine whether programs,
technologies, and capabilities implemented today will be the stepping-
stones to future, more advanced capabilities. Three of these decisions
that will have a major impact on the direction of near-and midterm
implementation efforts as well as the long-term vision involve issues
such as the scope and timing of installing necessary equipment on
aircraft, expediting environmental reviews, and the extent to which
additional airport capacity will be needed[Footnote 23].:
* Equipping aircraft. FAA has yet to develop a strategy for the
timing, cost, and scope of equipping the nation's aircraft fleet. In
particular, FAA must focus on delivering near-term operational
benefits by completing activities, such as procedure development,
airspace redesign, performance standard development, and separation
standard reduction, that lay the foundation for NextGen. Doing so will
help provide incentives for users, especially commercial airlines, to
invest in equipment for their aircraft. Two key decisions that must be
considered are whether all aircraft need to be equipped at all
locations and when equipping with various technologies should occur.
FAA must align aircraft equipping rules and incentives in a way that
minimizes the costs and maximizes the overall benefits of NextGen. We
have previously reported that, in some cases, the federal government
may deem financial or other incentives desirable to speed the
deployment of new equipment and that appropriate incentives will
depend on the technology and the potential for an adequate and timely
return on public and private investment.[Footnote 24]
* Environmental approach. FAA has yet to make decisions regarding how
environmental reviews can be expedited and what strategies might be
needed to meet national environmental targets. We previously reported
that differing levels of review must be completed depending on the
extent FAA deems its actions to have significant environmental impact,
and that the more extensive the analysis required, the longer the
process can take, which can thus affect implementation of NextGen
capabilities.[Footnote 25] A key question in this regard is how to
appropriately and expeditiously review actions that may increase noise
in some areas but also reduce emissions and reduce noise levels
overall. Further, a balance will need to be struck between needs for
increased capacity, which means more aircraft will be flying and
releasing emissions, and potential environmental targets in the
future. A key issue here is that although NextGen will increase the
efficiency per flight (fuel burn, distance traveled, and emissions),
because there are expected to be more total flights, greenhouse gas
emissions in total may rise.
* Airport capacity. A national policy regarding airport capacity in
key metropolitan areas will need to be determined. Even with current
planned airport expansion, FAA expects capacity shortfalls in many of
the nation's busiest airports.[Footnote 26] NextGen alone is not
likely to sufficiently expand the safety and capacity of the national
airspace system. Decisions regarding using existing capacity more
efficiently include certifying and approving standards for the use of
closely spaced parallel runways--which will be a major driver of the
amount of land needed to expand airport capacity and will determine
capacity in some metropolitan areas--and developing policies that
address situations when demand exceeds capacity at airports or in
specific airspace (e.g., pricing, administrative rules, service
priorities, and so forth). Furthermore, planning infrastructure
projects to increase capacity, such as building additional runways,
can take as long as a decade or more,[Footnote 27] and will require
substantial planning and safety and cost analyses.[Footnote 28]
JPDO and MITRE are currently conducting modeling work to examine
benefits, costs, and risks associated with alternative assumptions
regarding various future scenarios. This work will provide important
information to stakeholders and decision makers regarding the
validation of the benefits of NextGen capabilities, as well as the
extent to which further capacity in the system may be required, and is
still in the preliminary stages.
Mr. Chairman, this concludes my statement. I would be pleased to
answer any questions that you or members of the subcommittee may have
at this time.
GAO Contacts and Staff Acknowledgments:
For further information on this testimony, please contact Gerald L.
Dillingham, Ph.D., at (202) 512-2834 or dillinghamg@gao.gov.
Individuals making key contributions to this testimony include Andrew
Von Ah (Assistant Director), Kieran McCarthy, Richard Scott, Maria
Mercado, Kevin Egan, Dominic Nadarski, Delwen Jones, Amy Abramowitz,
and Bert Japikse.
[End of section]
Related GAO Products:
Next Generation Air Transportation System: FAA Faces Challenges in
Responding to Task Force Recommendations. [hyperlink,
http://www.gao.gov/products/GAO-10-188T]. Washington, D.C.: October
28, 2009.
Responses to Questions for the Record: March 18, 2009, Hearing on ATC
Modernization: Near-Term Achievable Goals. [hyperlink,
http://www.gao.gov/products/GAO-09-718R]. Washington, D.C.: May 20,
2009.
Next Generation Air Transportation System: Status of Transformation
and Issues Associated with Midterm Implementation of Capabilities.
[hyperlink, http://www.gao.gov/products/GAO-09-479T]. Washington D.C.:
March 18, 2009.
Responses to Questions for the Record: February 11, 2009, Hearing on
the FAA Reauthorization Act of 2009. [hyperlink,
http://www.gao.gov/products/GAO-09-467R]. Washington, D.C.: March 10,
2009.
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 Key Issues
Associated with the Transition to NextGen. [hyperlink,
http://www.gao.gov/products/GAO-08-1154T]. Washington, D.C.: September
11, 2008.
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 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.
Results Oriented Government: Practices That Can Help Enhance and
Sustain Collaboration among Federal Agencies. [hyperlink,
http://www.gao.gov/products/GAO-06-15]. Washington, D.C.: October 21,
2005.
[End of section]
Footnotes:
[1] This work is part of a review and monitoring effort that we are
undertaking for the House Transportation and Infrastructure Committee;
House Science and Technology Committee; and Senate Commerce, Science,
and Transportation Committee. The work includes a number of planned
reviews related to the ongoing implementation of NextGen.
[2] RTCA Inc. is a private, not-for-profit corporation that develops
consensus-based recommendations on communications, navigation,
surveillance, and air traffic management system issues.
[3] Our previous work has highlighted several challenges that FAA
faces in responding to Task Force recommendations. See GAO, Next
Generation Air Transportation System: FAA Faces Challenges in
Responding to Task Force Recommendations, [hyperlink,
http://www.gao.gov/products/GAO-10-188T] (Washington, D.C.: Oct. 28,
2009).
[4] NextGen was designed as an interagency effort in order to leverage
various agencies' expertise and funding to advance NextGen while
avoiding duplication. In addition to FAA, federal partner agencies
include the Departments of Commerce (particularly its National Oceanic
and Atmospheric Administration [NOAA]), Defense (DOD), Homeland
Security (DHS), and Transportation (DOT); the National Aeronautics and
Space Administration (NASA); and the White House Office of Science and
Technology Policy (OSTP).
[5] MITRE is a not-for-profit organization chartered to work in the
public interest. MITRE manages four Federally Funded Research and
Development Centers, including one for FAA. MITRE has its own
independent research and development program that explores new
technologies and new uses of technologies to solve problems in the
near term and in the future.
[6] GAO, 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. Sept. 11,
2008).
[7] See [hyperlink, http://www.gao.gov/products/GAO-08-1078]; 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); and Next Generation Air Transportation System: Status of
Transformation and Issues Associated with Midterm Implementation of
Capabilities, [hyperlink, http://www.gao.gov/products/GAO-09-479T]
(Washington D.C.: Mar. 18, 2009).
[8] GAO, 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.: Mar. 29,
2007).
[9] [hyperlink, http://www.gao.gov/products/GAO-09-479T].
[10] Transformation of the National Air Transportation System, Exec.
Order No. 13479 (2008).
[11] GAO, Results Oriented Government: Practices That Can Help Enhance
and Sustain Collaboration among Federal Agencies, [hyperlink,
http://www.gao.gov/products/GAO-06-15] (Washington, D.C.: Oct. 21,
2005)
[12] [hyperlink, http://www.gao.gov/products/GAO-08-1078].
[13] H.R. 915, 111th Cong. § 202 (a)(3) and S. 1451, 111th Cong. § 309.
[14] See GAO-10-188T for more discussion of challenges related to
culture change within FAA.
[15] H.R. 915, 111th Cong. § 202.
[16] S. 1451, 111th Cong. § 302.
[17] See [hyperlink, http://www.gao.gov/products/GAO-08-1078] and
[hyperlink, http://www.gao.gov/products/GAO-08-1154T] for a discussion
of industry concerns.
[18] The Flight Standards Service office establishes standards for
certification and oversight of airmen, air operators, air agencies,
and designees.
[19] The Aircraft Certification Service office is responsible for,
among other things, administering safety standards governing the
design and production of civil aeronautical products.
[20] Because these changes have just occurred, it is not yet clear
whether they will be sufficient to address the problems cited by the
Task Force.
[21] Enterprise architecture provides the structure to relate
organizational mission, vision, and goals to business processes and
the technical infrastructure required to execute them.
[22] The Concept of Operations describes how the NextGen system is
envisioned to operate over the long term (defined as 2025 and beyond)
and identifies key research and policy issues. The Enterprise
Architecture is a technical description of the NexGen 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 for all partner agencies
necessary to achieve NextGen over the long term.
[23] Other major policy decisions were also identified by stakeholders
and include issues such as future facility realignment plans, the
level of automation that will be required and the degree of self-
separation necessary in the future, and developing an information-
sharing architecture across partner agencies.
[24] See [hyperlink, http://www.gao.gov/products/GAO-10-188T] for more
discussion on providing financial and other incentives.
[25] See [hyperlink, http://www.gao.gov/products/GAO-10-188T] for more
discussion of FAA efforts to expedite environmental reviews.
[26] [hyperlink, http://www.gao.gov/products/GAO-08-1154T].
[27] For example, planning and construction of a Boston Logan runway
took over 30 years.
[28] [hyperlink, http://www.gao.gov/products/GAO-09-479T].
[End of section]
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