Detailed Information on the
FAA Air Traffic Services Assessment

Continue to resolve the concerns that have been raised by the Department of Transportation Inspector General and the General Accounting Office.

Work to meet long-term goals on a consistent basis.

Continue to improve performance and contain costs.

Develop efficiency measures and targets.

Measure: Number of Operational Errors. (When air traffic controllers allow planes to come too close together in the air.) Please note: The target for FY 2006 and beyond has been changed to a rate per million activities.

Explanation:Measure the most severe operational errors. Starting in FY 2008, the targets and results reflect new criteria for A&B operational errors.

Measure: Number of highest risk runway incursions (potential collisions on the ground). Please note: The target for FY 2006 and beyond has been changed to a rate per million operations.

Explanation:Measures high risk runway incursions

Measure: Achieve a NAS on-time arrival rate of 88.76 percent at the 35 OEP airports by FY 2011 and maintain through FY 2012.

Explanation:Increase On-Time Performance at the 35 OEP airports (32 large hubs in 2002, 2003)

Measure: Airport Arrival Efficiency Rate. Please note: The measure has been replaced in FY2005. New measure is Average Daily Airport Capacity (35 OEP)-Achieve an average daily airport capacity of 104,338 arrivals and departures per day by 2009 at the 35 OEP airports. (See new measure below)

Explanation:Increase the ratio of flight arrivals to the lesser of flight demand or airport capacity at 35 OEP airports

Measure: Airport Daily Arrival Capacity (in thousands of landings). Please note: The measure has been replaced in FY2005. New measure is Average Daily Airport Capacity (35 OEP)-Achieve an average daily airport capacity of 104,338 arrivals and departures per day by 2009 at the 35 OEP airports. (See new measure below)

Explanation:Increase the daily arrival capacity at the 35 OEP airports (32 large hub airports in 2002, Honolulu excluded in 2003)

Measure: Achieve an average daily airport capacity for the 35 OEP airports of 104,338 arrivals and departures per day by FY 2011 and maintain through FY 2012.

Explanation:To measure both arrival and departure capacity.

Measure: Cost per controlled flight (New measure, added February 2008)

Explanation:Controlled flights are those flights for which a flight plan has been filed and an aircraft is operating under Instrument Flight Rules.

Measure: ATO overhead rate (New measure, added February 2008)

Explanation:This measure tracks ATO overhead obligations, to include Service Area, Service Unit and HQ Overhead, as a percent of total ATO labor obligations.

Is the program purpose clear?

Explanation: The FAA's Air Traffic Service provides guidance and control to aviation, ensuring the safe operation of the nation's aviation system.

Evidence: Title 49 USC, Subtitle 7, Part A, Section 40103 "Sovereignty and use of airspace".

Does the program address a specific and existing problem, interest, or need?

Explanation: FAA's regulation and control of national airspace provides safe access and efficient use of that airspace to the flying public.

Evidence: 44,117 flights handled by ATC in 2002. 19,572 airports in 2002. As of 2002, controller work force of 17,501 employees, and 2,864 employees at Flight Service Stations. Administrator's Fact Book - March 2003. 12,000 employees maintain 41,000 pieces of equipment at over 6,000 facilities. Airway Facilities FY 2002 Performance Plan.

Is the program designed so that it is not redundant or duplicative of any Federal, state, local or private effort?

Explanation: The FAA manages most of the commercial aircraft flown in the national airspace. Air traffic services are not provided by any other Federal, state or private entity.

Evidence: 44,117 flights handled by ATC in 2002. 19,572 airports in 2002. As of 2002 controller work force of 17,501 employees, and 2,864 employees at Flight Service Stations. Administrator's Fact Book - March 2003

Is the program design free of major flaws that would limit the program's effectiveness or efficiency?

Explanation: The FAA provides air traffic services using the most appropriate design at this time - direct communications between pilots and air traffic controllers. Some of the communication is by voice and some is automated.

Evidence: There is no evidence that another approach would be more efficient/effective.

Is the program effectively targeted, so program resources reach intended beneficiaries and/or otherwise address the program's purpose directly?

Explanation: ATS is designed to provide air traffic control services directly to airline pilots and airports through constant communication with pilots and daily conference calls with beneficiaries.

Evidence:  

Does the program have a limited number of specific long-term performance measures that focus on outcomes and meaningfully reflect the purpose of the program?

Explanation: The FAA and Air Traffic Services (ATS) new strategic plan has goals through 2008.

Evidence: FAA Flight Plan 2004 - 2008, www2.faa.gov/apo/strategicplan/

Does the program have ambitious targets and timeframes for its long-term measures?

Explanation: The FAA and Air Traffic Services (ATS) new strategic plan has goals through 2008.

Evidence: FAA Flight Plan 2004 - 2008, www2.faa.gov/apo/strategicplan/

Does the program have a limited number of specific annual performance measures that demonstrate progress toward achieving the program's long-term measures?

Explanation: Air Traffic Services (ATS) have a limited number of annual goals that directly link to DOT's long-term goals. These goals are quantifiable. New strategic plan includes long term goal through 2008. ATS does not have efficiency measures.

Evidence: DOT FY 2004 Performance Plan. Airway Facilities FY 2003 Performance Plan and Airway Facilities Performance Report FY 2002, FAA Flight Plan 2004 - 2008 (www2.faa.gov/apo/strategicplan/)

Does the program have baselines and ambitious targets and timeframes for its annual measures?

Explanation: The annual goals contain baseline data.

Evidence: DOT FY 2004 Performance Plan. Airway Facilities FY 2003 Performance Plan and Airway Facilities Performance Report FY 2002, FAA Flight Plan 2004 - 2008 (www2.faa.gov/apo/strategicplan/)

Do all partners (including grantees, sub-grantees, contractors, cost-sharing partners, etc.) commit to and work toward the annual and/or long-term goals of the program?

Explanation: Management at headquarters work with airlines, airports and the staff in the centers and regions to achieve the goals of the FAA. FAA works closely with airports and airlines to ensure that the system is working efficiently - daily conference calls are one approach. Air traffic managers are able to remove a controller from a workstation for performance reasons and send them to retraining.

Evidence: Air Traffic Management has daily conference calls with airlines, centers and regions to review activities of the previous day and plan the current day with recognition of performance goals. Air Traffic Management staff assert that managers can send controllers to retraining although DOT IG report, "Operational Errors and Runway Incursions: Progress Made but the number of incidents is still high and presents serious safety risks - April 2003, states that FAA does not require air traffic controllers to receive training after incidents.

Are independent and quality evaluations of sufficient scope and quality conducted on a regular basis or as needed to support program improvements and evaluate effectiveness and relevance to the problem, interest, or need?

Explanation: GAO and the DOT IG have conducted many evaluations of Air Traffic Services (ATS) - operational errors and runway incursions, labor distribution reporting, and workers compensation. As a result of these evaluations, ATS has undertaken an aggressive program in the Southern Region to understand the workers compensation problem and how they can bring some of these individuals back into the work force. FAA is in the process of reviewing the many MOU's with labor unions. Final outcomes of the IG and GAO recommendations cannot be determined at this time.

Evidence: DOT IG Operational Errors and Runway Incursions - April 2003. DOT IG - Workers' Compensation Traumatic Injury Claims - January 17, 2003. GAO Air Traffic Control - Impact of Revised Personnel Relocation Policies Is Uncertain - October 2002. DOT IG Top Management Challenges - January 17, 2003. DOT IG Air Traffic Services - Planned Labor Distribution Reporting - October 2001. GAO reports: Air Traffic Control - FAA Needs To Better Prepare for Wave of Controller Attrition. www.gao.gov. FAA Order - Air Traffic Quality Assurance 7210.56C lists the FAA's authority in the area of retraining, DOT IG - FAA' s Management of and Control over Memorandums of Understanding (www.oig.dot.gov/show_pdf.php?id=1165)

Are Budget requests explicitly tied to accomplishment of the annual and long-term performance goals, and are the resource needs presented in a complete and transparent manner in the program's budget?

Explanation: In 2004 and 2005, FAA attempted to submit a budget that linked performance to budget request. Unfortunately the document needs more work.

Evidence: FY 2004 President Budget and FY 2004 FAA congressional justification.

Has the program taken meaningful steps to correct its strategic planning deficiencies?

Explanation: FAA has had a strategic planning process since 1997. Over time they have revised their goals to better measure their performance. For example, the on-time, capacity and efficiency measures have been fine tuned so that they provide linkages to the overall DOT goals. They have also used the data and results to initiate new programs e.g. Spring/Summer plan to address delays. While FAA is cognizant of its strategic planning limitations, the ATS organization is working to improve their performance in this area. FAA is currently developing a new strategic plan to guide the organization under the new Administrator. The Operational Evolution Plan - FAA's long term strategy on capacity.

Evidence: Operational Evolution Plan www1.faa.gov/programs/oep/INDEX.htm Cite new strategic plan. Airway Facilities FY 2002 Performance Report

Does the agency regularly collect timely and credible performance information, including information from key program partners, and use it to manage the program and improve performance?

Explanation: ATS collects daily information on runway incursions and operational errors at centers and towers. Headquarter staff make sure that regional officials are aware of problems. Daily telcons with representatives evaluate recent actitivities. Monthly meetings with senior ATS management discuss problem areas and discuss solutions. The ASP database contains many of their metrics. Airway Facilities (AF) has a Operational Results Team which reviews planning and resources while monitoring progress on performance goals. This team meets monthly to discuss AF activities.

Evidence: The ASP database contains useful information but ATS is not using the information from the metrics to manage. Airway Facilities Operational Results Team Charter. Aviation Safety Statistical Handbook - February 2003. Monthly FLASH reports.

Are Federal managers and program partners (grantees, subgrantees, contractors, cost-sharing partners, etc.) held accountable for cost, schedule and performance results?

Explanation: ATS executives at headquarters, regions and centers receive compensation based on Short Term Incentive (STI) contracts. They are held accountable for performance results and schedules but not cost. These annual agreements include performance measures on runway incursions, operational errors and airport efficiency. Program partners such as contractors, grantees, and airports are not held accountable for cost and performance. The employees of these managers - air traffic controllers are not held accountable for performance and cost.

Evidence: STI contracts. FAA Strategic Plan Supplement for FY 2002 with information on STI's (www.api.faa.gov/sp02_sup/02sp-sup-web/Implemt.htm) Contract Tower operations are conducted at a fixed price, should costs increase, the contract operator is not reimbursed.

Are all funds (Federal and partners') obligated in a timely manner and spent for the intended purpose?

Explanation: ATS monitors obligations on a bi-weekly basis. Funds are obligated in a timely basis and for the intended purpose. 80% of ATS funds are for salaries and expenses.

Evidence: The Associate Administrator for ATS meets with service directors and budget staff each month too review spending against financial plans. These reviews ensure that shortfalls are managed. Airway Facilities Operational Results Team also monitors spending closely.

Does the program have procedures (e.g., competitive sourcing/cost comparisons, IT improvements, approporaite incentives) to measure and achieve efficiencies and cost effectiveness in program execution?

Explanation: Program does not have efficiency measures or targets. Lacks cost effectiveness in program execution. FAA is currently undertaking an A-76 of the Flight Service Station program which is part of ATS. Review is scheduled to be completed in FY 2004. Airway Facilities is in process of reviewing cost data on long-term radar sites and is sharing cost data with regions.

Evidence: FAA memo's on long-range radar cost issues - May 1, 2003. Link to FAA's competitive sourcing web site (www1.faa.gov/aba/html_budget/html_cs/index.html) Link to FAA's cost accounting (www1.faa.gov/aba/html_infotech/cas/index.html)

Does the program collaborate and coordinate effectively with related programs?

Explanation: FAA's Air Traffic Services organization is the only provider of air traffic control to commercial aviation in the US.

Evidence:  

Does the program use strong financial management practices?

Explanation: FAA has one material internal control weakness reported by KPMG and one material weakness reported under the FFMIA process but they do not relate to ATS. Financial management systems do not meet statuatory requirement - expect to convert to Delphi in Q1 2004. ATS is also not fully utlizing cost accounting system but it hopes within the next few years to make better use of the data.

Evidence: Link to FAA's financial web site with links to audit reports (www2.faa.gov/aba/html_finst.html)

Has the program taken meaningful steps to address its management deficiencies?

Explanation: The ATS organization is aware of its management challenges and has taken steps to improve its management challenges. The Configuration Management Group (ACM) evaluates FAA Research and Acquisitions (ARA) and ATS to determine what can be done to improve the programs. ACM uses IG and GAO input in planning its program evaluations. FAA is also working to implement two of the IG's top management challenges (1) runway incursions and Ops errors, and (2) reversing spiraling operating costs. FAA is working to improve their performance and hold down costs. FAA' s work on the Operational Evolution Plan (OEP) is another example of its efforts to improve management issues. The OEP is FAA's ten-year plan to improve in 4 areas: airport arrival and departure rates, en route congestion, airport weather conditions, and en route severe weather.

Evidence: Link to ACM reports. www2.faa.gov/acm/acm10/reports.htm Link to Operational Evolution Plan Executive Summary www1.faa.gov/programs/oep/Executive%20Summary/nas_oep_Jan_28.pdf

Has the program demonstrated adequate progress in achieving its long-term outcome performance goals?

Explanation: In the last three years, FAA has met its top-level commercial aviation fatal accident rate goal - contributed strongly to by this program - but has had mixed success in meeting runway incursion, and operational error safety goals; and on-time flight arrival, airport throughput, and airport capacity mobility goals. In 2002, FAA met its runway incursion, flights arriving on-time, airport throughput efficiency, and airport capacity goals, but it did not meet its operational errors goal. Prior to 2002, FAA met only one of these goals. FAA is currently working to develop long-term goals (5 - 10 years).

Evidence: US DOT performance plan FY 2004

Does the program (including program partners) achieve its annual performance goals?

Explanation: Over the last few years, FAA has had problems meetings its goals. 2002 is the first year that FAA met two of four goals listed in this PART. FAA met its runway incursion and flights arriving on-time goal but missed its operational errors goal in 2002. As a result of 9/11, traffic was down so it is hard to say how this decline affected FAA's ability to meet its goals.

Evidence: US DOT performance plan FY 2004

Does the program demonstrate improved efficiencies or cost effectiveness in achieving program performance goals each year?

Explanation: Program received a no in question 3.4. ATS continues to experience challenges in the area of efficiencies/cost effectiveness. In addition, ATS does not have an efficiency measure.

Evidence: April 9, 2003 Testimony DOT IG "Cost Control Issues for the Federal Aviation Administration's Operations and Modernization Accounts" www.oig.dot.gov/item_details.php?item=1069

Does the performance of this program compare favorably to other programs, including government, private, etc., that have similar purpose and goals?

Explanation: FAA compares favorably to Eurocontrol - air traffic manager and architect of air traffic management systems throughout Europe (41 states). Report concluded that FAA en-route centers are more cost effective than Eurocontrol.

Evidence: Performance Review Commission - Performance Review Report PRC 6. May 2003.( www.eurocontrol.int). FAA report: The World's Safest Aviation System: Comparing Fatal Hull Loss Accident Rates Among Countries and Regions.

Do independent and quality evaluations of this program indicate that the program is effective and achieving results?

Explanation: Both the DOT Inspector General and the General Accounting Office have reviewed many ATS activities - workers compensation, air traffic controller pay issues, payroll, and safety concerns. Reports are generally critical of ATS' inability to contain costs and suggest that performance can be improved.

Evidence: DOT IG "Top Management Challenges - DOT" January 17, 2003; DOT IG Operational Errors and Runway Incursions" April 3, 2003 (www.oig.dot.gov/show_pdf.php?id=1064) "Workers Compensation Traumatic Injury Claims" January 17, 2003. (www.oig.dot.gov/show_pdf.php?id=970)