	Background

The NAS consists of a wide assortment of technologies operated by FAA,  other federal agencies, such as DOD, and industry participants such as  airlines. This report focuses on the mechanisms  used to transfer research and technology between partner agencies and  private industry and FAA, which can include the transfer of FAA and  partner agency research to the private sector to develop a technology, or  the transfer of research or technology developed by partner agencies or  the private sector to FAA. 1.) Some Mechanisms for Partner Agency Collaboration Are Effective, While Others Fail to Ensure Resources Are Being Leveraged

		FAA and NASA Use a Variety of Mechanisms to Coordinate Research and Transfer Technology; Some Are Consistent with Key Practices in Interagency Coordination

election, assignment, nd chedling of  ircrft to rnw to imltneously  optimize opertion crossltiple irport. Consistent with key practices that can help enhance and sustain  interagency collaboration, these teams identify common outcomes,  establish a joint strategy to achieve that outcome, and define each  agency’s role and responsibilities, allowing FAA and NASA to overcome  differences in agency missions, cultures, and established ways of doing  business. 2.) Mechanisms for Collaborating on Research and Technology Development Efforts with DOD and DHS Do Not Ensure That Resources Are Fully Leveraged

			FAA and DOD Mechanisms Have Yet to Fully Determine What Research, Technology, or Expertise DOD Has to Support NextGen Activities

DOD has not completed an inventory of its research and development  portfolio related to NextGen, impeding FAA’s ability to identify and  leverage potentially useful research, technology, or expertise from DOD. Limited collaboration between DHS and FAA could  result in conflicts in NextGen priorities and needs in the future. FAA and Partner Agencies Are Working to Address Research Gaps

FAA and partner agencies are working to address previously identified  research gaps, though coordination is an issue in some areas. A lack of coordination could result in a  duplication of research or an inefficient use of resources. Numerous Mechanisms Are Available to Collaborate with Industry and to Identify and Transfer Technology, but Some Lack Flexibility and Outcomes Can Be Unclear

		FAA’s Acquisition Management System Provides a Framework for Technology Identification, Development, and Transfer, but Can Lack Flexibility

Broadly speaking, FAA’s Acquisition Management System (AMS) provides  a framework for FAA to undertake research and development of concepts  and technologies, progress that technology to a point where FAA can  define the requirements to meet its needs, and then either identify existing  technology that meets those needs or request proposals from industry to  develop the technology. Within the AMS, FAA may use several  mechanisms at various stages to conduct outreach, collaborate with  private sector firms, and transfer technology. In particular,  FAA may use several types of research and development agreements  between itself and the private sector as mechanisms to facilitate  technology transfer. However, under some circumstances, stakeholders said that AMS can lack  flexibility for FAA to consider alternative technologies or new ideas for  certain technologies or sub-systems within an acquisition once the process  is underway. FAA also has an unsolicited proposal evaluation process that is designed  as a mechanism for private industry to offer unique ideas or approaches  outside FAA’s competitive procurement process; however, it has not  proven to be a significant source of new technology for FAA. We are  therefore not making recommendations in this report about this issue. For example, while FAA conducts market analysis, holds  numerous events with industry, enters into various collaborative  agreements, and has numerous mechanisms—such as the NextGen  Institute, demonstrations, and testing facilities—to collaborate with  industry and provide opportunities for technology transfer, it is not always  clear what comes out of these mechanisms, and some in industry have  indicated that, despite all of these collaborative activities, it is not always  evident what are the “entry points” to FAA for getting technologies or  ideas considered. Recommendation for Executive Action

To more fully leverage the potential of NextGen partner agencies’ research  and technology development efforts, we recommend that the Secretary of  Transportation direct the Administrator of the FAA to work with the  Secretaries of Defense and Homeland Security to develop mechanisms  that will further clarify NextGen interagency collaborative priorities and  enhance technology transfer between the agencies. The Department of Transportation  provided technical comments by e-mail, which we incorporated as  appropriate, but did not comment whether or not it agreed with our  recommendation. Because the mechanisms  DOD and DHS identified have not yet demonstrated these results, we  believe that fully implementing the recommendation is still important  beyond the existing mechanisms used by DOD and DHS.
Why GAO Did This Study

The Federal Aviation Administration (FAA) is developing and implementing a broad transformation of the national airspace system known as the Next Generation Air Transportation System (NextGen). NextGen is a complex undertaking that requires new technologies and supporting infrastructure and involves the activities of several agencies as well as private industry. This report provides information on the effectiveness of (1) FAA's and the federal partner agencies' mechanisms for collaborating and leveraging resources to develop and implement NextGen, and (2) FAA's mechanisms for working with and transferring technology to or from private industry. To do this, we assessed FAA and partner agency mechanisms against applicable agreements, the agencies' own guidance for these activities, as well as applicable key practices that GAO has reported can enhance federal collaborative efforts.

What GAO Found

Some mechanisms for FAA and partner agency collaboration are effective, though others fail to ensure research and technology from the partner agencies and industry are fully used by FAA. Some mechanisms used by FAA and the National Aeronautics and Space Administration (NASA) for coordinating research and transferring technology are consistent with several key practices in interagency coordination. For instance, FAA and NASA use research transition teams to coordinate research and transfer technologies from NASA to FAA. The design of these teams is consistent with several key practices GAO has identified in previous work that can enhance interagency coordination, such as identifying common outcomes, establishing a joint strategy to achieve that outcome, and defining each agency's role and responsibilities. This allows the agencies to overcome differences in mission, culture, and ways of doing business. However mechanisms for collaborating with other partner agencies do not always ensure that FAA effectively leverages agency resources. For example, the mechanisms used by FAA, DOD, and DHS have not yet resulted in a full determination of what research, technology, or expertise FAA can leverage to benefit NextGen. Further, collaboration between FAA, DOD, and DHS may be limited by differing priorities. Finally, FAA and the Joint Planning and Development Office--an interagency organization created to plan and coordinate research for NextGen--have not fully coordinated the partner agencies' research efforts, though they are working to address research gaps. A lack of coordination could result in a duplication of research or an inefficient use of resources. Numerous mechanisms are available to FAA to collaborate with industry to identify and transfer technology to advance NextGen, but some lack flexibility and outcomes can be unclear. Within its Acquisition Management System (AMS), FAA may use several mechanisms at various stages to conduct outreach, collaborate with private-sector firms, or transfer technology. In particular, FAA may use several types of research and development agreements between itself and the private sector as mechanisms to facilitate technology transfer. However, stakeholders said that the system can lack flexibility, in some circumstances, to consider alternative technologies or new ideas once the process is underway.

What GAO Recommends

GAO has made recommendations in the past to improve FAA's AMS system. FAA has begun to implement these recommendations. FAA is beginning to use a new, possibly more flexible, contracting vehicle--Systems Engineering 2020--to acquire the research, development, and systems engineering support to integrate NextGen concepts. FAA also reviews unsolicited proposals as a mechanism for private industry to offer unique ideas or approaches outside of the competitive procurement process. However, FAA's unsolicited proposal process is not a significant source of new technology for FAA. Other mechanisms such as outreach events with private industry and NextGen test facilities might enhance knowledge and result in technology transfer, but outcomes, such as specific benefits, from some of these mechanisms can be unclear. GAO recommends that FAA and the Departments of Defense (DOD) and Homeland Security (DHS) work together to develop mechanisms that will enhance collaboration and technology transfer between the agencies. GAO and others have outstanding recommendations related to interaction with industry that FAA has begun to address and GAO makes no further recommendations in this report. DOD and DHS concurred with the recommendation, while FAA did not comment on whether or not it agreed.