Detailed Information on the
FAA Air Traffic Organization - Technical Operations Assessment

Complete baseline of annual performance measures and use data to set ambitious targets for those measures.

Conduct a comprehensive study or cost benefit analysis to evaluate program efficiencies.

Conduct a broader evaluation of the program's operations - including staff, operational structure, and overall performance.

Measure: Technical Operations Category C or D Runway Incursions

Explanation:A Runway Incursion is defined as: Any occurrence at an aerodrome involving the incorrect presence of an aircraft, vehicle or person on the protected area of a surface designated for the landing and take take-off of aircraft. ATO-Technical Operations tracks Category C or D Runway Incursions which are applicable to the program (Vehicle/Pedestrian Deviations) since they include the following: Category C - An incident characterized by ample time and/or distance to avoid a collision and Category D - Incident that meets the definition of runway incursion such as incorrect presence of a vehicle/person/aircraft on the protected area of a surface designated for the landing and take-off of aircraft but with no immediate safety consequences. ATO-Technical Operations is collecting baseline data for this measure, and at the end of FY2008 will have two fiscal years of actual data. Technical Operations is in the process of using this baseline information to establish targets for out-years. A new ATO Strategic Plan (2009 - 2013) has been published and new goals and objectives have been developed. Outcomes and outputs are under development. The current targets for the out-years are to be determined (TBD) until analysis is completed and targets created from this baseline data.

Measure: Average daily airport capacity for the 35 Operational Evolution Partnership airports

Explanation:The average daily airport capacity is a measure of the annual capacity level for the 35 Operational Evolution Partnership (OEP) airports. Each airport facility determines the number of arrivals and departures it can handle for each hour of each day, depending on conditions including weather. The data is the sum of the daily hourly-called arrival and departure rates at the 35 OEP airports per month, divided by the number of days in the month. The annual capacity level for the 35 OEP airports is the weighted sum of the monthly capacity levels. The measure tracks the average capacity for both arrival and departure traffic. This measure provides meaningful insight over time as to how capacity is growing at the selected airports. Increasing airport capacity enables increased access to busy metropolitan airports and aviation services. The performance data represents overall ATO performance, including ATO-Technical Operations. ATO-Technical Operations supports the long-term outcome of reduced congestion by increasing the average daily airport capacity for the 35 Operational Evolution Partnership airports. ATO-Technical Operations supports this measure by implementing the performance-based navigation roadmap through the continued development and implementation of more efficient flight procedures.

Measure: Adjusted operational availability of critical equipment at the 35 Operational Evolution Partnership airports

Explanation:This measure monitors the adjusted operational availability of critical operational equipment at the 35 Operational Evolution Partnership (OEP) airports. The measure is the percent of time specific equipment is available to deliver service and is a key metric for ATO-Technical Operations. Adjusted Operational Availability is the ratio of maximum facility/service hours minus all equipment outage time to maximum facility/service hours expressed as a percent. The measure does not include outages that are a result of improvements. Improvements are defined as "an interruption for relocation, replacement, modification (including military), special projects and construction at or near the facility location. " This measure is ambitious and cannot obtain a 100% Adjusted Operational Availability rate because of the requirements to perform formal facility inspections, periodic maintenance and corrective maintenance on the operational equipment located at the 35 OEP airports.

Measure: Percent of major system acquisitions on schedule

Explanation:This measure monitors ATO's effectiveness in ensuring that major system acquisitions are on schedule. The measure is determined by tracking the actual schedule performance against the planned schedule performance. While FAA reports results for the agency as a whole, we are highlighting Technical Operations' contributions in this section and listing the agency performance in the table below. In FY 2007, Technical Operations was responsible for 14 of the 37 system acquisitions, and 25 of the 67 acquisition milestones. Of the 37 system acquisitions, Technical Operations manages seven major capital programs. Six of these programs currently perform earned value management and three of the programs are ANSI-748 compliant. Technical Operations had 24 milestones on schedule, leading to an FY 2007 result of 96% on schedule. For FY 2008, Technical Operations was responsible for 28 of the 51 system acquisitions, and 41 of the 98 acquisition milestones. Of the 51 system acquisitions, Technical Operations manages eight major capital programs. Five of these programs currently perform earned value management. Technical Operations had 38 milestones on schedule, leading to an FY 2008 result of 92.7% on schedule

Measure: Unit cost for providing ATO-Technical Operations services

Explanation:This measure monitors the unit cost for providing Technical Operations services. Unit Cost is comprised of total Labor Obligations for the Technical Operations' Service Unit divided by the total Hours of Operational Availability (or hours of equipment uptime). Labor Obligations include both personnel compensation and benefits for the direct appropriations. ATO-Technical Operations is collecting baseline data for this measure, and at the end of FY2008 will have three fiscal years of actual data. Therefore, FY2006 and FY2007 actual data is baseline information. Technical Operations is in the process of using this baseline information to establish targets for out-years. The current targets for the out-years are based only on forecasted data. A new ATO Strategic Plan (2009 - 2013) has been published and new goals and objectives have been developed. Outcomes and outputs are under development.

Measure: ATO-Technical Operations staffing ratio

Explanation:The Direct: Indirect Staffing Ratio is comprised of Technical Operations' operational field employees, which include Aviation System Standards, the National Operational Control Center, Technical Services, and the District Offices. Direct employees include both operational employees (architects, engineers, technicians, and mechanics) and their first-level supervisors. Indirect employees are Engineering Services employees (civil, electronics, and general engineers, and transportation specialists), computer specialists, management and program analysts, etc. Aviation System Standards also includes cartographers and navigational information specialists. The metric compares those with hands-on responsibilities against management and administrative support. Staffing Ratio and definitions for ATO-Technical Operations changed in FY2008 to better align to the new organizational structure; the FY2006 and FY2007 actuals are based upon the previous organizational structure and thus preceded the new definition. ATO-Technical Operations is collecting baseline data for this measure, and at the end of FY2008 will have three fiscal years of actual data. Therefore, FY2006 and FY2007 actual data is baseline information. Technical Operations is in the process of using this baseline information to establish targets for out-years. The current targets for the out-years are based only on forecasted data. A new ATO Strategic Plan (2009 - 2013) has been published and new goals and objectives have been developed. Outcomes and outputs are under development.

Measure: U.S. commercial air carrier fatalities per 100 million persons on board

Explanation:Beginning in FY2008, the FAA introduced a new performance metric for commercial air carrier safety??Fatalities per 100 Million Persons on Board. This new metric is more relevant to the flying public, as it better measures the individual risk. All fatalities, including passengers, crewmembers, ramp workers, and ground fatalities, are considered equally. The measure is calculated as the number of fatalities (including ramp accidents and other fatalities as a result of the accident) divided by number of passengers and crew on board flights. The agency aims to cut this risk in half by 2025. ATO-Technical operations supports this measure by developing and publishing Required Navigation Performance (RNP) procedures and improving service at Commercial Aviation Safety Team (CAST) locations (airports). Before FY 2008, the commercial fatality rate was a rolling three-year average of the accident rate. The three-year average was calculated by dividing the number of accidents for the previous 36 months by the number of departures.

Measure: Rate of general aviation fatal accidents per 100,000 flight hours

Explanation:This measure tracks general aviation and non-scheduled Part 135 fatal accidents. FAA's goal is to reduce general aviation fatal accidents over the next ten years to no more than one accident per 100,000 flight hours. All civil (non-military) general aviation aircraft operations that are not commercial aviation are included. FAA and the general aviation community developed General Aviation Fatal Accidents measure as an overall measure of the impact of improved safety. In FY 2009, this measure was converted from the number of fatal accidents to a rate. This new performance measure tracks changes in the fatal accident rate for a fixed volume of flight hours. The performance target baseline covers the period from 5/1/05 through 4/30/08. This 3-year period captures the safest years ever recorded for General Aviation so consequently, the baseline and targets are ambitious.

Measure: ATO-Technical Operations Percent of total number of modifications installed on time

Explanation:This measure monitors the number of modifications installed on time as a percentage of the number of modifications issued. It is calculated by dividing the number of modifications completed within 180 days by the total number of modifications issued. This measure is reviewed monthly against a target of 95 percent. ATO-Technical Operations is collecting baseline data for this measure, and at the end of FY2008 will have two fiscal years of actual data. Therefore, FY2007 actual data is baseline information. Technical Operations is in the process of using this baseline information to establish targets for out-years. The current targets for the out-years are flat lined until analysis is completed and targets created from this baseline data. A new ATO Strategic Plan (2009 - 2013) has been published and new goals and objectives have been developed. Outcomes and outputs are under development.

Measure: ATO-Technical Operations Percent of preventative maintenance activities completed on time

Explanation:This measure monitors the percentage of preventative maintenance activities completed on time. It is calculated by dividing the total number of preventative maintenance activities completed on time by the total number of preventative maintenance activities logged, multiplied by 100. This measure is reviewed monthly against a target of 97 percent. Preventative maintenance activities differ from modifications because preventative maintenance is scheduled on a recurring basis (annually, quarterly, monthly and/or daily) and modifications are scheduled on an "as needed" basis. ATO-Technical Operations is collecting baseline data for this measure, and at the end of FY2008 will have two fiscal years of actual data. Therefore, FY2007 actual data is baseline information. Technical Operations is in the process of using this baseline information to establish targets for out-years. The current targets for the out-years are flatlined until analysis is completed and targets created from this baseline data. A new ATO Strategic Plan (2009 - 2013) has been published and new goals and objectives have been developed. Outcomes and outputs are under development.

Measure: Annual Service Volume (ASV)

Explanation:Annual Service Volume measures FAA's ability to increase airport capacity at the 35 OEP (Operational Evolution Partnership) airports by delivering airport infrastructure improvements including new runways, runway extensions, and airfield reconfigurations. Capacity in Annual Service Volume terms equates to the ability to accommodate additional airport operations, and the Flight Plan goal is to increase Annual Service Volume at the 35 OEP airports by 1 percent each year. This measure is actually calculated as a five-year moving average, with FY1999's Annual Service Volume as the base. It is calculated in this way to smooth out peaks and valleys associated with yearly variability in new runway openings. For example, FY2006's annual increase was 3.27 percent, based on the opening of four major OEP airport runways. However, in FY2008 there will be no annual increase in annual service volume since no runway projects are scheduled for completion. By using a five year moving average, FAA is able to assess long term increases in Annual Service Volume. This target is reviewed on a yearly basis as part of the FAA Flight Plan update process and while the target of a one percentage increase has remained the same, the number of runways and/or taxiways has increased. ATO-Technical Operation's role in Annual Service Volume is the removal, relocation, replacement, installation, flight evaluation, maintenance and certification of air traffic control equipment associated with the runway/taxiway projects. Overall, FAA has commissioned 13 new runways at OEP airports since 2000, providing the total potential of 1.6 million additional operations. Note: Target language "inc. for OEP apts" = increase in service volume for the 35 Operational Evolution Partnership (OEP) airports

Measure: Flight Delay Rate from Equipment Outages

Explanation:The Flight Delay Rate measure is intended to track the number of delayed flights of 15 minutes or more as a result of air traffic control equipment outages. An increase in the Flight Delay Rate could indicate problems with specific equipment performance, maintenance activity schedules, or other operational indicators. The measure is calculated by dividing the total number of flight delays (15 minutes or more) by the total number of aircraft operations (year to date). The result is divided by 100,000 to derive a rate per 100,000 aircraft operations. The measure only includes delays that occurred as a result of equipment outages. Delays due to weather, air traffic control, etc. are not included in this measure. A new ATO Strategic Plan (2009 - 2013) has been published and new goals and objectives have been developed. Outcomes and outputs are under development. Targets for FY 2011 - 2013 will be established once this process is complete. (Note: FAA's Air Traffic Organization refers to this measure as the "NAS Equipment Delay Rate")

Is the program purpose clear?

Explanation: The Federal Aviation Administration (FAA) is responsible for regulating air commerce and fulfilling the requirements of national defense; controlling the use of the navigable airspace ensuring safety and efficiency; promoting, encouraging, and developing civil aeronautics; and consolidating research and development with respect to air navigation facilities. The Air Traffic Organization (ATO) is FAA's largest line of business and is responsible for operating the national airspace system. The ATO's mission is to provide the safest, most efficient aerospace system in the world. The ATO has four operational service units, including ATO-Technical Operations. ATO-Technical Operations is responsible for maintaining and modernizing equipment needed in the national airspace system to deliver air traffic services. It fields, repairs, and maintains a huge network of complex equipment that is often exclusive to aviation, including radars, instrument landing systems, radio beacons, runway lighting, and computer systems.

Evidence: Title 49 USC, Subtitle VII, Part A, Section 40103 "Sovereignty and use of airspace"; Vision 100 - Century of Aviation Reauthorization Act (P.L. 108-176); Executive Order 13180; Executive Order 13264; FAA Order 6000.15E, General maintenance Handbook for NAS Facilities; FAA Order 1100.2C, Organization - FAA Headquarters; FAA Administrator's Factbook (January 2008), FAA Notice N 1100.315, Air Traffic Organization

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

Explanation: The FAA's responsibility is to operate and regulate the air traffic system to ensure the safe and efficient flow of air traffic. ATO-Technical Operations has sole responsibility for maintaining and modernizing the equipment of the national airspace system. ATO-Technical Operations responsibilities include equipment maintenance and restoration, system certification, hardware and software modifications, system design and development, acquisition, installation, facility maintenance, instrument flight procedures management, aeronautical charts publication, flight inspection, engineering and assignment of aeronautical frequency spectrum, safety integration, and information and physical security management. The work of ATO-Technical Operations enables the FAA to deliver air traffic services to the flying public.

Evidence: Title 49 USC, Subtitle VII, Part A, Section 40103 "Sovereignty and use of airspace"; Vision 100 - Century of Aviation Reauthorization Act (P.L. 108-176); Executive Order 13180; Executive Order 13264; FAA Order 6000.15E, General Maintenance Handbook for NAS Facilities; FAA Order 1100.2C, Organization - FAA Headquarters; FAA Administrator's Factbook (January 2008)

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

Explanation: There is no overlap between the FAA's management of the national airspace system equipment and any other entity. FAA Order 6000.15E clearly designates ATO-Technical Operations as the only entity within the FAA that has responsibility for the maintenance of the equipment of the national airspace system. ATO-Technical Operations coordinates its activities with the other ATO operating units (Terminal Services, En Route and Oceanic Services, and System Operations Services). ATO-Terminal provides air traffic control service in and around the airport, ATO-En Route and Oceanic provides air traffic control service between domestic and international airports, and ATO-System Operations coordinates the overall efficiency of the national airspace system. There are no other Federal or state agencies which maintain the FAA's equipment. Under current law, ATO-Technical Operations is responsible for maintaining assets used "in aid of air navigation, including: a landing area; a light; apparatus or equipment for distributing weather information, signaling, radio-directional finding, or radio or other electromagnetic communication; and another structure or mechanism for guiding or controlling flight in the air or the landing and takeoff of aircraft." Airports are responsible for maintaining assets which are not related to "air navigation" such as runway markers. ATO-Technical Operations performs cost benefit analyses to assess whether particular functions and programs performed by ATO-Technical Operations are suitable for contracting out. When appropriate, ATO-Technical Operations uses private, non-governmental entities to provide support services for some of FAA's equipment. Some examples include the FAA Telecommunications Infrastructure (FTI) and Alaska weather cameras.

Evidence: Title 49 USC, Subtitle 7, Part A, Section 40103 "Sovereignty and use of airspace"; Vision 100 - Century of Aviation Reauthorization Act (P.L. 108-176); FAA Order 6000.15E, General Maintenance Handbook for NAS Facilities; Executive Orders 13180 and 13264, FAA Notice 1100.315_Air Traffic Organization

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

Explanation: The design and structure of the FAA and ATO clearly allocates primary responsibility for operation of air traffic services within the national airspace system to four operational service units, based on physical segments of the national airspace system (e.g. En Route and Terminal environments) and supporting operations (e.g. Technical and System Operations). ATO-Technical Operations works in concert with the other operational units within the ATO to provide safe and efficient air traffic control services. The design of ATO-Technical Operations is based upon direct support of the other three operational service units and is free of major flaws that limit the program's efficiency and effectiveness. ATO, with the assistance of Technical Operations, is continuing to implement performance management through the FAA Flight Plan and the ATO Strategic Management Process to increase the safety, efficiency, and capacity of the air traffic control system, for example, by adopting advanced communication systems, more precise navigation applications, developing unit costs, and institutionalizing the Safety Management System.

Evidence: ATO 2005 Annual Performance Report; ATO 2006 Annual Performance Report; ATO 2007 Annual Performance Report (Available after 06/08); FY2006 FAA Performance & Accountability Report; FY2007 FAA Performance & Accountability Report; NextGen Financing Reform Act of 2007; JO 1000.37, Air Traffic Organization Safety Management System, FAA Notice 1100.315_Air Traffic Organization, Joint Resource Council (JRC).pdf, JRC_Guidance, Meeting the Challenge_The Story of the ATO.pdf

Is the program design effectively targeted so that resources will address the program's purpose directly and will reach intended beneficiaries?

Explanation: ATO-Technical Operations directly supports the FAA's operational functions, which in turn supports the flying public. ATO-Technical Operations services are delivered directly to the three other ATO service units which interact with the consumers of aviation services. No intermediaries are involved in the delivery of support to the air traffic control service organizations. Program resources are being used directly and effectively to meet the program's purpose. ATO-Technical Operations has achieved its performance goal for hours of operational availability at the 35 Operational Evolution Partnership airports in the national airspace system. The 35 priority airports are the largest, capacity-constrained airports in the U.S. This is evidence that the program is reaching the intended beneficiaries. There are instances when FAA assumes responsibility for equipment that an airport, not FAA, purchased. This activity is consistent with Section 44502(e) of Title 49 which states that the FAA must assume responsibility "for an instrument landing system (and associated approach lighting equipment and runway visual range equipment) that conforms to performance specifications of the Administrator if a Government airport aid program, airport development aid program, or airport improvement project grant was used to assist in purchasing the system. The Administrator shall accept the system and operate and maintain it under criteria of the Administrator."

Evidence: Title 49 USC, Subtitle VII, Part A; Technical Operations Concept of Operations; FAA FY2007 Performance and Accountability Report.

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: ATO-Technical Operations has four long-term outcome measures, tied to specific programs and projects, which support accomplishment of long-term Department of Transportation (DOT) and FAA goals. These measures all have five-year targets and are contained within FAA's strategic plan, the Flight Plan. Two of the measures, Commercial Air Carrier Fatal Accident Rate and General Aviation Fatal Accident Rate, assess FAA and ATO-Technical Operation's goal to improve aviation safety. The other two measures, Annual Service Volume and Average Daily Airport Capacity, evaluate whether ATO-Technical Operations and FAA are achieving the goal of improved airspace capacity.

Evidence: Flight Plan 2008-2012; Guidance for Developing Business Plans FY2009-FY2010; 2007 FAA Strategic Planning Process - Business Plan Responsibility Alignment Matrix; ATO Strategy Map; Quarterly FAA Flight Plan Performance Reports; 2007 Portfolio of Goals.

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

Explanation: ATO-Technical Operations' long-term measures have baselines and ambitious targets that promote continued improvement. Baselines were established using historical performance and specific and quantified targets have been set to increase performance to sufficient levels to meet the expected demand for services in the future.

Evidence: Flight Plan 2008-2012; 2007 FAA Strategic Planning Process - Business Plan Responsibility Alignment Matrix; FY2007 FAA Performance & Accountability Report; FY2007 Portfolio of Goals; FAA FY2009 Performance Budget Exhibit IV; FY2009 CJ - Org. Excellence, Section 4F, pages 4, 6, 8; FY2009 CJ - Reduced Congestion, Section 4B, pages 7 - 10, 14 - 20; FY2009 CJ - Safety, Section 4A, pages 14, 20, 29, 31; FY2009 CJ - Global Connectivity, Section 4C page 7; FY2009 CJ - Environmental Stewardship, Section 4D, pages 15 and 16.

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

Explanation: ATO-Technical Operations has discrete, quantifiable, annual performance measures. The annual performance measures support long-term objectives in the FAA Flight Plan such as "Increase capacity to meet projected demand and reduce congestion". FAA monitors its progress at monthly Flight Plan meetings with the FAA Administrator. The ATO-Technical Operations business plan contains annual performance measures and identifies the specific subset of activities to be undertaken in a given year. ATO-Technical Operations' business plan shows the linkage of the Flight Plan performance measures, the Technical Operations Program's activities and activity targets, and the associated funding to be used to accomplish each activity. Performance measures have been established within the program to measure safety, capacity, and efficiency. One capacity measure is tracked against a specific set of priority airports: Adjusted Operational Availability at the 35 Operational Evolution Partnership Airports. The equipment delay rate and operational availability of equipment are also annual capacity measures. Runway incursions is an annual safety measure. ATO-Technical Operations also tracks two efficiency measures: unit cost, which monitors the unit cost for providing Technical Operations services and direct/indirect staffing ratios, which monitors the staffing ratio at each District Office. ATO-Technical Operations has several other measures that evaluate organizational excellence such as percent of major acquisitions on schedule and percent of modifications and preventative maintenance completed on time.

Evidence: Flight Plan 2008-2012, FY2007 ATO Business Plan, FY2007 ATO-Technical Operations Business Plan, Quarterly FAA Flight Plan Performance Reports, 2007 Portfolio of Goals; ATO Strategy Map; SMP Finance Metrics (2007 Results); HOA and Staffing Ratio Data_OMB-PART_AJW_ 20080402.xls.

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

Explanation: Some, but not all of, ATO-Technical Operations annual performance measures have baselines and ambitious targets. The program is gathering two years of performance data to establish baselines and will then use these baselines to develop specific, quantified targets through 2010 for many of its annual measures, including measures for unit cost, overhead, equipment delay rate, and runway incursions. These baselines will use performance data from FY06 - FY08. Annual targets for these measures will then be refined once baselines are complete. Some annual measures, such as percent of major system acquisitions on schedule, have established baselines, but do not have ambitious targets.

Evidence: Flight Plan 2008-2012; FY2007 ATO Business Plan; FY2007 ATO-Technical Operations Business Plan; ATO Strategy Map; 2007 Portfolio of Goals; FAA PAR for 2005, pgs. 13-15 - Overall Performance at a Glance, pg. 30 - Safety, pgs. 36-37 - Capacity, pgs. 41- 42 - International Leadership, pgs. 45-46 - Organizational Excellence; 2006, pgs. 17-19 - Overall Performance at a Glance, pgs. 49-50 - Safety, pgs. 57-58 - Capacity, pg. 66 - International Leadership, pgs. 70-71 - Organizational Excellence; & 2007, pgs. 21-22 - Overall Performance at a Glance, pg. 53 - Safety, pgs. 61-62 - Capacity, pgs. 70-71 - International Leadership, pgs. 74-75 - Organizational Excellence

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

Explanation: ATO-Technical Operations partners include the other operational service units in the ATO (Terminal, En Route, and System Operations), other governmental agencies (e.g. DOD), and contractors. Partners in the other ATO service units and elsewhere in the FAA commit to ATO-Technical Operations annual and long-term program goals through the FAA business planning process. The business planning process ensures that all the necessary organizations are engaged in the planning and execution process and measure and report on their performance as it relates to accomplishing the Flight Plan initiative. Other governmental agencies commit to and work toward ATO-Technical Operations goals through Memorandums of Understanding (MOUs). Contracts include provisions to ensure appropriate controls, such as the use of earned value management reporting, award fees or specific deliverables: cost, quality, and schedule parameters that commit contractors to ATO-Technical Operations' goals.

Evidence: ATO Service Unit Business Plans (ATO-En Route, ATO-System Operations, ATO-Terminal, ATO-Planning, ATO-Finance, ATO-Safety, ATO-Communication, ATO-Acquisition); FY2007 FAA Strategic Planning Process - Business Plan Responsibility Alignment Matrix; Guidance for Developing Business Plans FY2009-FY2010, p.5; FAA Acquisition Management System (AMS).

Are independent 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: External, high quality, evaluations and reviews of the FAA and ATO-Technical Operations occur on a frequent basis by entities including the Government Accountability Office (GAO), the Department of Transportation Inspector General (DOT IG), and the International Civil Aviation Organization (ICAO). Examples of GAO and IG evaluations include reviews of the program's capital acquisitions including the FAA Telecommunications Infrastructure program (FTI), the Wide Area Augmentation System (WAAS), the Next Generation Air-to-Ground Communications (NEXCOM) program, and the System Wide Information Management (SWIM) program. These evaluations have covered the scope of large capital acquisitions that are the responsibility of the ATO-Technical Operations program. FAA's progress modernizing air traffic control and infrastructure has been on the GAO high risk list since 1995. GAO has conducted annual assessments of FAA's progress in addressing air traffic control modernization program weaknesses. The scope of these assessments covers how the Technical Operations program conducts capital planning and acquisitions. The DOT IG has also conducted reviews of the physical security at FAA facilities. The Technical Operations program should plan to have a broader evaluation conducted of its operations - including staff, operational structure, and overall performance. Internal, high quality, evaluations are also conducted on a regular basis to evaluate program effectiveness and ensure program improvements. For example, the ATO Safety (ATO-S) conducts non-scheduled and scheduled audits of Technical Operations services to determine compliance with Safety Management System (SMS) requirements. The FAA Air Traffic Safety Oversight Service (AOV), a unit within FAA's safety regulatory body also conducts audits of Technical Operations services to determine compliance with SMS. The Technical Operations SMS Internal Safety Assurance Program (ISAP) also plans and performs annual internal evaluations of the safety of the program's services and effectiveness of SMS performance. These internal evaluations review the safety aspects of the Technical Operations program, i.e. whether the program is meeting all air traffic safety requirements in maintaining equipment, including radars, instrument landing systems, radio beacons, runway lighting, and computer systems, needed in the national airspace to deliver air traffic services. For example, a SMS ISAP audit was recently conducted on the Air Traffic Control Facilities Office. The outcome of this audit identified opportunities for improvement in mission-critical areas such as the safety risk management planning process, hazard identification process, description of the system process and the risk analysis process.

Evidence: DOT IG Reports (e.g., AV-2008-049, AIR TRAFFIC CONTROL MODERNIZATION); GAO-07-310 (High Risk Series, An Update); FY2007 Performance & Accountability Report; FAA ATO SSIA Safety Risk Management Audit Program - Annual Schedule & Findings; Technical Operations Annual Independent Evaluation Audit Schedule; FAA Order 6000.15E (General Maintenance Handbook for NAS Facilities), Technical Operations Services SMS ISAP Order JO 1000.38, FAA Order 1100.161 (Air Traffic Safety Oversight), FAA Order JO 1000.37 (Air Traffic Organization Safety Management System); Technical Operations Safety Management System Board - Monthly Meeting Minutes & Action Items; Hazard Tracking System Monitoring Activity Reports - Monthly; Technical Operations Concept of Operations.

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 general, the ATO-Technical Operations' budget request ($2,749 million in FY09) ties requested funds and the associated programs to desired performance levels in support of FAA Flight Plan (strategic) goals. The program should also include a comprehensive cross-walk showing the Technical Operation's and other ATO service unit's share of annual budget request. Budget requests show how requested resources (direct and indirect) are tied to accomplishment of annual and long-term goals. For example, ATO-Technical Operations requested $1.06 million to develop Area Navigation (RNAV) routes, Standard Instrument Departures (SIDs) and Standard Terminal Approach Routes (STARs) to support the average daily airport capacity goal. ATO-Technical Operations requested $ 1.233 billion to enhance national airspace system performance by performing activities such as monitor, control, maintain and restore airport facilities; modification installation; preventative maintenance; and certifications to support the system availability goal (99.7 percent for 35 OEP and 99.0 percent for remaining airports). Since FY2004, FAA has submitted a performance budget alongside the regular budget materials to Congress. This budget ties dollar requests to the DOT strategic goals, making explicit the specific funding needs of each FAA line of business in order to achieve its annual performance targets.

Evidence: Capital Investment Plan Narrative Examples (Exhibit 300s for NEXCOM, SWIM, VSCS, and WAAS); FAA FY2009 Performance Budget Exhibit IV-1; FY2009 CJ - Org. Excellence; FY2009 CJ - Reduced Congestion; FY2009 CJ - Safety.

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

Explanation: Historical planning deficiencies have been addressed through implementation of the FAA business planning process. ATO-Technical Operations participates annually in the business planning process and is benefiting from the improvements that have been made since FY2003. In February 2003, the FAA Administrator undertook a strategic planning effort to outline FAA goals, priorities, and major initiatives. The creation of FY2004 business plans was the first agency-wide effort to standardize the business planning process, which linked each organization directly to the Flight Plan goals and objectives. The business planning process has been enhanced over time. Now, ATO-Technical Operations updates its Business Plan to include estimated costs for 100 percent of ATO-Technical Operations' budget and activities in its plan.

Evidence: Guidance for Developing Business Plans FY2009-FY2010; National Operations Control Center Daily Summary Briefing; Daily Operational Performance Review Summary Sheets; Central Service Area (CSA) Briefing; CSA Morning Ops Outage Report; Dallas/Fort Worth (DFW) TRACON Morning Outage Report; Monthly Flight Plan Performance Scorecard & Meeting Minutes; AFTechNet Report - Late LPM 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: Technical Operations regularly collects quality performance information, such as data on adjusted operational availability, equipment delay rate, and capital acquisitions, through FAA reporting mechanisms on a daily, monthly, and annual basis from internal and external data sources. Information is collected from Technical Operations programs as well as key program partners such as DOD and contractors. Technical Operations conducts internal reviews of performance on a monthly basis. Technical Operations is establishing efficiency measures and performance data on staffing ratios and unit costs. Technical Operations uses the National Airspace Data Interchange Network (NADIN) program to collect performance data on the equipment in the national airspace system on a 24-hour basis. With this data, Technical Operations monitors system performance; this pro-active approach allows field system operators to identify, troubleshoot and resolve issues in order to avoid system failure, resulting in flight delays. NADIN also incorporates the performance of program partners when assessing progress on activities. The program also uses current and historical performance data from NADIN.

Evidence: Monthly Flight Plan Performance Scorecard & Meeting Minutes; ATO SMP Finance Metrics (FY2007 Results); National Operational Control Center Daily Summary Briefing; Guidance for Developing Business Plans FY2009-FY2010; 2007 Portfolio of Goals; Central Service Area (CSA) Briefing; CSA Morning Ops Outage Report; Dallas/Fort Worth TRACON Morning Outage Report; WAAS/GPS Performance Analysis Network report

Are Federal managers and program partners (including grantees, sub-grantees, contractors, cost-sharing partners, and other government partners) held accountable for cost, schedule and performance results?

Explanation: 90 percent of Technical Operations employees are part of FAA's pay-for-performance system, including our executives. Employee pay is adjusted each year based on the agency's success in meeting the Flight Plan corporate performance targets. All employee performance plans are linked directly back to those targets. For employees under the performance-based plan, their pay raise is based on an organizational success increase (OSI). A full incentive OSI payout requires FAA to meet at least 90 percent, or 26 out of 29, of the Flight Plan performance targets. For FY2007, FAA achieved 24 out of 30 goals and a 3.08 percent OSI for eligible employees was approved. FAA's executive employees, which include senior staff and many managers, are also part of FAA's pay-for-performance system. Executives develop individual performance plans that link the both the individual's performance as well as the agency's performance to pay. Annual base salary increases are awarded based on individual performance. Annually, executives include from four to seven strategic agency objectives in their performance plans. Executives are solely accountable for some objectives and share responsibility for others. At the end of the year, outcomes for each objective are measured. Executives receive payment for each objective that was fully successful. " Program managers are identified for Program Management Institute certification if they are responsible for capital programs with a lifecycle cost of more than $20 million. All of the managers responsible for the major programs are trained and currently monitor and track cost, schedule, and technical performance. Technical Operations manages seven major capital programs. Six of these programs currently perform earned value management and three of the programs are ANSI-748 compliant. Managers are held accountable for achieving key program results such as cost, schedule, and performance. Through the Flight Plan initiatives and the ATO Strategic Management Process (SMP), managers are responsible for operational and acquisition performance measures such as operational availability, flight delays caused by unscheduled equipment delays, and on-time delivery of new systems. Through monthly reviews of the Flight Plan and SMP, managers are required to provide written and verbal explanations regarding the status of each individual measure. ATO-Technical Operations managers use a variety of performance-based contracts to hold program partners such as contractors accountable for cost, schedule, and performance results that contribute to the achievement of program goals. For example, ATO-Technical Operations is using Firm Fixed Price contracts to procure 23,500 air/ground radios. Recently, FAA detected latent defects in a small proportion of radios delivered and not yet fielded. The contractor is required to repair the latent defect at no cost to the FAA. ATO-Technical Operations also uses Firm Fixed Price contracts that include incentive and penalty clauses to manage construction contracts for unstaffed facilities. Another type of performance-based contract used by ATO-Technical Operations is Cost-Plus-Award-Fee. For example, ATO-Technical Operations tasked a contractor to manage an unstaffed facility assessment. In order to receive the full award fee, the contractor must complete 15 facility assessments per week. If the contractor does not achieve the schedule and performance goals outlined in the task order, the costs to the government are reduced.

Evidence: Performance Management System Guidance & Documentation; ATO Senior Executive Service Short-Term Incentives; Organizational Success Increase documentation; FAA Core Compensation; MBO Composite Report; FAA Procurement Toolbox; FAA Award Fee Contracting; AMS - Section 3.8.2 - Service Contracting; Acquisition Management Policy - Contracting; Acquisition Management Policy - In-Service Decision; Acquisition Management Policy TOC; evidence from NISC office for Award Fee provisions/awards under NISC contract, Administrator's Overview, Focus FAA - Sturgell Announces OSI, Payband Changes, Federal Aviation Act of 1996_PL 104-264, EVM guide, GAO-08-42 Air Traffic Control_ FAA Reports Progress in System Acquisitions, but Changes in Performance Measurement Could Improve Usefulness of Information

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

Explanation: ATO-Technical Operations obligates program funds consistently and has a limited amount of unobligated funds remaining at the end of each fiscal year. In FY 2007, the program obligated 71.3% of its FY 2007 capital funds, 89.3% of its FY 2006 capital funds and 99.7% of its FY 2005 capital funds (capital funds are available for three years). The program obligated 99.9% of its operations funds in FY 2007. On a quarterly basis, FAA Finance prepares Obligations Reports. FAA also prepares the Program, Project Activity Report, a plan which specifies how all appropriations will be obligated during the fiscal year. Once the appropriated funds are apportioned, ATO makes allotments to the ATO service units. ATO-Technical Operations receives allotted funds based on its Financial Plan, including Directorate and Object Class information that is reflected in the agency internal financial reporting tools. Beginning in FY 2008, FAA's accounting system DELPHI was enhanced with a new capability enabling the FAA to control allotted funds by ATO Directorate and Object Class, and to put an automated stop to pending obligations that would exceed the allotted amounts. Financial staff monitor and control expenditures. Funds Status Reports are available to all staff on a daily basis and are monitored regularly. Program funds can be monitored from initial commitment, to award, and through authorized expenditures paid. Financial Scorecards are prepared on a monthly basis and examine cumulative commitments and obligations for the fiscal year, and reconcile that information to the accounting system. Quarterly Status Reviews are held to assess execution against program plans and budgets. ATO-Technical Operations has a funds certification process that reports actual expenditures, compares them against the intended use, and takes timely and appropriate action to correct single audit findings when funds are not spent as intended. The process validates that the funds are being spent for the intended purpose before the obligations are authorized. Also, the program uses a Corporate Work Plan to ensure that program partners, such as contractors, are using schedules that are consistent with the program project plans.

Evidence: ATO-F Guidance to Service Units on ATO-Finance Website; Monthly Financial Scorecard; ATO-Technical Operations Quarterly Status Review; ATO-Technical Operations Reporting (TOR) reports; ATO SMP Finance Metrics (FY2007 Results); Corporate Work Plan (CWP) Flowchart; ABA Guidance on Investments exceeding $10M; ATO Guidance on Investments exceeding $1M; Congressional Quarterly Reports; Program Project Activity Report; Budget Execution Tool (BET) Training PowerPoint, pgs. 1, 3-4

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

Explanation: ATO-Technical Operations is currently gathering two years of performance data from its efficiency measures to establish baselines and will then use these baselines to develop ambitious targets. In addition, approximately 85% of Technical Operations positions are not classified as inherently governmental by the 2007 FAIR Inventory. ATO Technical Operations has not completed any comprehensive studies or cost benefit analyses to determine if the organization is achieving efficiencies. In 2004, the Federal Labor Relations Authority determined that the Technical Operations organization is required to maintain a minimum number of employees until a new labor agreement is reached with the Professional Airway Systems Specialist union. This legal decision limits ATO-Technical Operation's ability to achieve cost efficiencies in its workforce. ATO monitors cost and schedule of critical acquisition programs each month. Technical Operations also measures its efficiency in ensuring that national airspace system equipment is useable for its customers through its Hours of Operational Availability measure. ATO also measures efficiency through Labor Obligations per Activity. Technical Operations also focuses on cost effectiveness by decommissioning navigation aids which are no longer needed and thereby reduces FAA's long term maintenance costs. In FY 2007, there were 326 procedures eliminated, 328 navigation aids discontinued, and 58 decommissioned. ATO-Technical Operations National Aeronautical Charting Group, representing 3% of the program's total staff, is also pursuing the first FAA High-Performing Organization designation in an effort to achieve long-term substantial and sustainable efficiency gains, remain competitive in a changing industry despite resource constraints, and further reduce reliance on public funding through the implementation of cost and performance efficiencies. Technical Operations is beginning to implement Reliability Centered Maintenance (RCM) Process for Air Traffic Control Equipment to measure efficiency and performance. RCM is a data-driven, analytical process used to determine the most value-added maintenance requirements that are needed to keep equipment functioning properly. RCM processes are used by Federal and private organizations because they reduce unnecessary maintenance.

Evidence: ATO-Technical Operations Quad Charts (ILS and SWIM); ATO SMP Finance Metrics (FY2007 Results); GAO-07-310 GAO, High Risk 2007 Update, Meeting the Challenge_The Story of the ATO.pdf

Does the program collaborate and coordinate effectively with related programs?

Explanation: The ATO-Technical Operations program collaborates and coordinates with several other Federal agencies, including, the Departments of Defense (DOD), the Department of Homeland Security (DHS), the Federal Communications Commission (FCC), and the National Telecommunications and Information Administration (NTIA). ATO-Technical Operations collaboration leads to the joint acquisition and operation of communication, navigation, and surveillance systems with DOD/DHS and ensures routine information sharing regarding the national airspace system. Specific examples of ATO-Technical Operations Program collaboration include: joint DOD/FAA acquisition of terminal voice switches for both civilian and military air traffic control; the joint DOD/FAA acquisition of radars; sustainment of the 120 DOD/DHS long range radars; National Security Special Events; Space Shuttle launches; and the acquisition, installation, and maintenance of ultra-high-frequency radios that allow air traffic control to communicate with DOD and DHS aircraft. This collaboration is documented in Memorandums of Understanding between the participating agencies. ATO-Technical Operations coordinates with other member agencies of the Joint Planning and Development Office (JPDO) for the development and enhancement of the Next Generation Air Transportation System. Results of that coordination include plans for data communications capabilities and system wide information management (SWIM). ATO-Technical Operations SWIM efforts will ensure interoperability and enhanced data sharing between FAA subsystems, other federal agencies, and airspace user flight operations centers. ATO-Technical Operations also works with the NextGen office to establish mutually agreed upon financial, schedule and technical performance baselines for all NextGen related programs. ATO-Technical Operations coordinates the use of frequency spectrum allocations with other Federal agencies, such as the FCC and NTIA, as well as international groups, such as the International Civil Aviation Organization (ICAO), International Telecommunication Union (ITU), NAVCanada, Industry Canada, and SENEAM in Mexico. Future planning of worldwide frequency spectrum is coordinated with ICAO and ITU, as well as various international working groups and subcommittees, which develop technical documents and provide lobbying for new frequency allocations under the World Radio Conferences. ATO-Technical Operations also collaborates and coordinates with programs within the FAA. ATO-Technical Operations must continuously coordinate with ATO-Terminal, ATO-En Route, and ATO-Systems Operations to ensure the safe, effective, and efficient operation of air traffic. One example of ATO-Technical Operations collaboration with ATO-En Route Services is the acquisition and implementation of the Long Range Radar Service Life Extension Program (SLEP).

Evidence: MOU's with DOD; Guidance for Developing Business Plans FY2009-FY2010; FY2007 ATO Business Plan; FY2007 FAA Strategic Planning Process - Business Plan Responsibility Alignment Matrix; Long Range Radar Resource Planning Data; NTIA - Manual of Regulations and Procedures for Federal Radio Frequency Management; FCC - Title 47 of the Code of Federal Regulations, part 87, Section 3.4, Agreement Between the United States of America and Canada Concerning the Coordination and use of Radio Frequencies Above 30 Megacycles Per Second, Section 3.9, United States-Mexico Sharing and Coordination Agreements, Protocols, and Arrangements); NAT 120, MOA for Radar and Communication (copy of agreement provided to DOD OMB Examiner, Edna Curtin), NextGen Briefing 2-28-08, NextGen PLA Template, Communication Roadmap Version 2.0, Navigation Roadmap Version 2.0, 080229 Navigation Services Business Plan ver3.1.doc

Does the program use strong financial management practices?

Explanation: The FAA received an unqualified opinion on its FY2007 financial statements, with a material weakness related to the timely processing of transactions and accounting of Property, Plant, and Equipment, in its Construction in Progress (CIP) account. The Technical Operations program has considerable responsibility for the CIP account. In FY 2006, the FAA initially received a qualified opinion on its financial statements related to the accuracy of the CIP account. This opinion was later revised to an unqualified opinion for FY2006, after FAA restated its financial statements related to the CIP. FAA received a revised, unqualified opinion for that year, with one material weakness for capitalization of property. To address the weaknesses in the accuracy of the CIP account, FAA has restructured roles and responsibilities and reallocated resources to make additional improvements to its capitalization process. This organizational change enables more accountability and transparency in the capitalization process and helps maintain a current and accurate CIP balance. Performance metrics have been implemented to measure Progress on Capitalization. Additionally, these metrics are being designated as Short Term Incentive (STI) goals and are linked to executive bonuses within ATO-Technical Operations and the FAA. ATO-Technical Operations capital programs include the majority share of the volume of assets capitalized on an annual basis. The program has taken a number of actions to respond to the material weakness received in FY2007, as well as improving capitalization processes and procedures with the aim of achieving a clean audit opinion during FY2008. The ATO-Technical Operations Comptroller approves all fund certifiers. ATO-Technical Operations is subject to monthly scorecard and quarterly status reviews by ATO-Finance. ATO-Technical Operations uses improved processes for financial management through adoption of best business practices, contemporary financial management techniques, and economic controls, including better up-front planning and the use of earned value management for major capital acquisitions. ATO-Technical Operations is implementing seven best practices for the management of capital acquisitions (risk management, requirements management, contract management, quality assurance, program management, measurement and analysis, and verification and validation) as part of the agency's action plan to address program weaknesses identified by GAO. ATO-Technical Operations documents its annual spending plan that corresponds to the resource needs of the program in the ATO's Budget Execution Tool. Financial staff monitor and control expenditures by Directorate. Funds Status Reports are available to all staff on a daily basis via ATO-Technical Operations Reporting and are monitored regularly. The Corporate Work Plan process is the ATO's method to implement approved projects and to standardize processes in support of Capital Investment Plan. It is used to manage project related activities from program development to asset capitalization. This toolset is used to meet budget and deadline commitments by managing schedules, resources and costs across all capital projects and programs.

Evidence: ATO-F Guidance to Service Units on ATO-Finance Website; ATO-Technical Operations Quad Charts (ILS and SWIM); ATO SMP Finance Metrics (FY2007 Results); Plan to get off of GAO High-Risk List; Report on Consolidated Financial Statements for FY 2007 and FY 2006; 2008 Capitalization Plan, pgs. 5, 8-10, 13, 15, 19-20, 23, 30; FAA FY2006 Performance and Accountability Report; FAA FY2007 Performance and Accountability Report; Capitalization Scorecard; GAO 07-310, GAO High Risk 2007 Update; FAA FY2007 Performance and Accountability Report, Key Business Process: Procure to Pay - Accounts Payable (AFM Document), CWP_Town Hall_Presentation_Slide 6, Monthly Scorecard_Sept_ATO-W FY07 F&E Act5_Final.xls

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

Explanation: ATO-Technical Operations has taken steps to address any management deficiencies noted from various sources. The FAA received a revised unqualified opinion for FY2006 and an unqualified opinion for FY2007 on its financial statements. The program has taken a number of actions to respond to the material weakness received in FY2007, as well as improving capitalization processes and procedures to support a clean audit opinion during FY2008. Since 1995, GAO identified the FAA as having high-risk information technology initiatives. Technical Operations is implementing seven best practices (risk management, requirements management, contract management, quality assurance, program management, measurement and analysis, and verification and validation) as part of the agency's action plan to address weaknesses identified by GAO. Technical Operations has developed a scheduling system for all system installation efforts. The scheduling system improves human capital management by improving the organization's ability to ensure that the right people are at the right place at the right time. The ATO has also initiated a study by the National Academy of Public Administration to assess necessary core competencies that will be required to implement NEXTGEN technology. Potential safety problems such as Runway Incursions are addressed by creating a Lessons Learned event document and tracking actions related to individual errors. A determination of impact, summary of the event, a review of the employees' actions, lessons from the event, and corrective actions are all captured. The Lessons Learned is then available to any ATO-Technical Operations employee or manager via TechNet.

Evidence: GAO-07-310, GAO High Risk 2007 Update, pg 36; 7 Best Practices - Acquisition Management Practices; GAO-01-443T, Performance and Accountability, Challenges Facing the Department of Transportation; Plan to get off of GAO High-Risk List; Report on Consolidated Financial Statements for FY 2007 and FY 2006; 2008 Capitalization Plan, pgs. 5, 8-10, 13, 15, 19-20, 23, 30, Focus FAA - AOA Highlights - OSI and the Pay Bands, http://technet.faa.gov/, Lessons Learned Event

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

Explanation: ATO-Technical Operations has achieved most of its long-term goals. The agency met its target for the reduction in the number of general aviation accidents. While the Agency did not meet its target for the commercial fatal accident rate for FY 2006 or FY2007, during the last 10 years the overall trend has shown improvement. Capacity is increasing as other long-term goals were met for FY2007, including average daily capacity for the 35 OEP airports and Annual Service Volume.

Evidence: Flight Plan 2008-2012; FY2006 FAA Performance and Accountability Report; FY2007 FAA Performance and Accountability Report

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

Explanation: ATO-Technical Operations achieved some of their annual performance measures. However the program cannot demonstrate improved performance on all of its measures since the program is still establishing baselines and ambitious targets for some annual measures. ATO-Technical Operations achieved its annual targets for an important organizational and agency goal to maintain the operational availability of its equipment. ATO-Technical Operations also exceeded their target for performing maintenance and installing system modifications on time.

Evidence: FAA Flight Plan 2007 - 2011; FAA FY2007 Performance and Accountability Report

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

Explanation: The Technical Operations program does not yet have baselines and ambitious targets for its efficiency measures. The program is gathering two years of performance data from its efficiency measures to establish baselines and will then use these baselines to develop ambitious targets. The program also has not conducted any comprehensive studies or cost benefit analyses to determine if the organization is achieving efficiencies. In 2004, the program reorganized as part of an effort to improve efficiency by restructuring the broader Air Traffic Organization. In an effort to eliminate layers of management, Technical Operations reorganized from System Management Offices to District Offices. Previously there were 7 layers of management and now there are only four layers of management from the field technician to the Vice President for Technical Operations. In addition, Technical Operations has been involved in the work to centralize the managerial, administrative, and business support functions within the ATO service areas. In FY2006, ATO began its efforts to consolidate the administrative and staff support functions from 27 units in nine regional offices to three units in three regional offices. The net result for the entire ATO is a decrease of 266 full time support positions, which will save more than $360 million over the next 10 years and provide better, more consistent service to customers through streamlined processes.

Evidence: FAA FY2007 Performance and Accountability Report; ATO SMP Financial Metrics (2007 Results), pgs. 9, 13, 17, 18, 22; HOA and Staffing Ratio Data_OMB-PART_AJW_ 20080402.xls

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

Explanation: In the U.S., the FAA is a unique agency created to regulate and operate the National Airspace System. There are other international air traffic control organizations such as NAVCanada in Canada and NATS in the United Kingdom, but there are no evaluations that compare the technical support services provided by ATO-Technical Operations between these organizations. Informal assessments have highlighted the opportunity for international comparisons to be made. Global benchmarking efforts by the Civil Air Navigation Service Organization (CANSO) are underway; however, to date these efforts have not incorporated measures applicable to the services provided by ATO-Technical Operations.

Evidence: PRR_2006 - An Assessment of Air Traffic Management in Europe during the Calendar Year 2006.pdf

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

Explanation: Evaluations indicate that the program has made improvements in the management of capital acquisitions, however several challenges remain. Further, there have not been evaluations of the broader program's operations - including staff, operational structure, and overall performance. Evaluations of safety compliance indicate that the program generally meets its safety requirements. Most of the major capital acquisitions within the Tech Ops program have experienced increased cost and schedule against the original baseline. In January 2007, GAO stated, "The Federal Aviation Administration (FAA) has made significant progress in addressing air traffic control modernization program weaknesses since it was designated as high risk in 1995. For example, FAA has established a framework for improving its system management capabilities and addressed weakness on selected air traffic control systems; implemented key components of a cost accounting system and established a cost estimating methodology; and made progress in establishing an organizational culture that supports sound acquisitions. ??.However, FAA-improved system management capabilities have yet to be institutionalized, the cost estimating methodology has not yet been fully implemented, and major systems will be coming on line in the next few years. Moreover, FAA still faces many human capital challenges, including obtaining the technical and contract management expertise needed to define, implement, and integrate numerous complex programs and systems." A December 2007 GAO report and an April 2008 OIG report found that the NEXCOM program reduced the scope of the program and increased the schedule by 6 years; the FTI program experienced a 55% increase in its budget (from $206M to $318M); and the WAAS program exceeded its original budget estimate by $2.3 billion primarily because the original estimate included only acquisition costs, and not total life cycle costs. In a 2006 DOT OIG audit of the adequacy of physical security at FAA facilities, the OIG concluded that the FAA has continued to improve its security measures since the 9/11 attacks and has taken steps to strengthen its physical security environment. Nevertheless, physical security weaknesses at FAA facilities were identified and the OIG made recommendations for improvement that the FAA is actively pursuing.

Evidence: GAO-07-310 (High Risk Series, An Update); GAO letter to get off high risk list; DOT IG Report: "FAA's FY 2008 Budget Request: Key Issues Facing the Agency"; GAO Reports (e.g., GAO-06-738T, ATC, Status of the Current Modernization Program and Planning for the Next Generation System; GAO-06-378, FAA Case Study Shows How Agency Performance, Budgeting, and Financial Information Could Enhance Oversight; GAO-05-485T, NAS_Progress and Ongoing Challenges for the ATO); DOT IG Reports (e.g., AV-2008-049, Air Traffic Control Modernization; CC-2007-054, FAA's FY 2008 Budget Request, Key Issues Facing the Agency)