	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. 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. The current version of the NextGen Implementation Plan,  released in January 2009, focuses on the midterm (2012 though 2018)  implementation of NextGen capabilities. 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. 1). 2.). The reorganization also led to JPDO’s placement  lower in FAA’s organizational structure—it is now a fourth-level  organization. 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. FAA has said that it and JPDO are working with DOT to clarify  roles and responsibilities in executing the executive order. 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. 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. Current plans call  for the task force to provide final conclusions and recommendations to  FAA in August 2009. 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. 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. 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. 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. According to an FAA official, FAA plans to fill a total of 378 NextGen  positions in fiscal years 2009 and 2010. Going forward, further research and development is needed in a number  of areas to implement NextGen, according to FAA, stakeholders, and our  analysis. 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. 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. Joint Planning and Development Office: Progress and Key Issues in  Planning the Transition to the Next Generation Air Transportation  System. Federal Aviation Administration: Key Issues in Ensuring the Efficient  Development and Safe Operation of the Next Generation Air  Transportation System.
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.