STATEMENT OF

DORENDA BAKER,
DIRECTOR OF THE AIRCRAFT CERTIFICATION SERVICE
AND JOHN S. DUNCAN,
DIRECTOR OF THE FLIGHT STANDARDS SERVICE,
FEDERAL AVIATION ADMINISTRATION,

BEFORE THE

HOUSE COMMITTEE ON TRANSPORTATION AND INFRASTRUCTURE,
SUBCOMMITTTEE ON AVIATION, ON

THE REVIEW OF FAA’S CERTIFICATION PROCESS: ENSURING AN EFFICIENT, EFFECTIVE, AND SAFE PROCESS,

OCTOBER 30, 2013.

Chairman LoBiondo, Congressman Larsen, Members of the Subcommittee:

Thank you for the opportunity to appear before you today to discuss the Federal Aviation Administration’s (FAA) certification processes.  I am Dorenda Baker, the Director of the Aircraft Certification Service (AIR), and with me today is John Duncan, the Director of the Flight Standards Service (AFS).  This is our first time formally appearing before this subcommittee and we look forward to informing you of the ongoing work for which our organizations are responsible.  We share the view of this subcommittee that, in order to support the safest, largest, most complex aviation system in the world, FAA must continue to strive to make our processes as efficient and effective as possible, while also maintaining high standards of safety.

FAA Aircraft Certification Processes

First, I would like to recognize that we expect the Small Airplane Revitalization Act of 2013 to be passed by Congress quite shortly.  This legislation is intended to support the manufacturers of, primarily, general aviation airplanes and components by requiring FAA to reorganize and streamline our regulations to improve the certification process applicable to small airplanes.  We believe that transforming part 23 into requirements that are based on airplane complexity and performance will provide for streamlined approval of safety advancements, which will improve safety and reduce the regulatory cost burden for both the FAA and industry.  This approach is expected to advance the safety of general aviation by spurring innovation and adoption of technical advancements.  AIR agrees completely that this undertaking is worthwhile.  Last month, the FAA formally approved the rulemaking project to revise part 23 (the certification regulations applying to small airplanes), giving it the priority and necessary resources.  We believe this project is essential to supporting the vitality of the general aviation community, which is an important foundation for all aviation-related operations and products in our industry.  This is a priority of my organization and I am personally committed to seeing that the rework of part 23 is successful.

FAA certifies aircraft, aircraft engines, propellers and articles.  We set standards to which an applicant must conform.  Some version of our certification processes have been in place for over 50 years, but our regulations and policies have evolved in order to adapt to an ever-changing industry that uses global partnerships to develop new, more efficient and safer aviation products and technologies. 

The FAA uses a risk based approach to improving aviation safety by focusing resources and efforts on those areas that have the highest risk.  AIR continues to develop procedures and tools under this philosophy.  The applicant is required to develop the plans and specifications and perform the inspections and tests necessary to establish that the design of an aircraft or article complies with the regulations.  The FAA is responsible for determining that the applicant has shown that the design meets the required standards.  Using our risk based approach, we focus our resources on areas of highest risk while leveraging our delegation system to focus on other areas.

FAA encourages applicants that want to apply for a type certificate to work with the FAA well in advance of presenting a formal application in order to both familiarize the applicant with the applicable certification requirements and familiarize FAA with the proposed design.  Once the certification basis is established for the proposed design, the FAA and the applicant develop and agree to a certification plan.   In order to receive a type certificate, the applicant must show that the product is compliant with existing standards and any special conditions for novel or unusual design features. This is accomplished through detailed airplane-level analysis, lab tests, and flight tests, all of which are subject to FAA oversight.  If the FAA finds that a proposed new type of aircraft, engine or propeller (product) complies with safety standards, it issues a type certificate. 

AIR monitors the production and continued operational safety of all the products it certifies for the life of those products.  In that respect, we are responsible for an ever expanding range of products.  Effectively managing the safe oversight of the largest fleet of aircraft in the world, while continuing to support the innovation of new products and technologies is a challenge, but one that we recognize is vital to the economic growth of our country.

Flight Standards Certification Processes

Once the aircraft is certified and introduced into service, it is the responsibility of AFS to set the standards for the people and organizations who operate and maintain them.  AFS sets standards for pilots, mechanics, airlines, repair stations and training schools. 

Airmen certification standards are set at differing levels of privilege.  For pilots, they range from student pilot, for those with the least experience, to airline transport pilot, for the most accomplished pilots in the system.  In addition to pilot certificates, other airmen certificates include anyone who can impact operational safety in the system, from instructors and mechanics, to parachute riggers and flight attendants.

Individuals who hold FAA certificates must demonstrate proficiency for the type of certificate that they are applying for and hold.  This is usually done through some type of training with a certified instructor, some number of hours logged doing the activity authorized by the certificate, and passing a practical test that includes both an oral and demonstration of proficiency component. 

For operators, such as part 121 air carriers, the FAA uses a comprehensive certification process to determine whether an applicant is able to conduct business in a manner that complies with all applicable regulations and safety standards and allows the entity to manage the hazard-related risks in its operating systems and environment.  The FAA’s initial certification process assures that the operator’s processes, programs, systems, and intended methods of compliance are thoroughly reviewed, evaluated, and tested.  The certification process provides the traveling public confidence that the air carrier’s infrastructure, including its programs, methods and systems, results in continued compliance and provides it with the ability to manage hazard related risks in the specific operating systems and environment.  The certificate holder must provide service at a high degree of safety in the public interest.

As is the case with aircraft certification, AFS must monitor the continued operational safety of its certificate holders.  As in other areas of the agency, this monitoring is based on risk identified by information FAA is continually obtaining through its oversight activities.  Any action that has the potential for impacting a certificate holder, such as a merger or bankruptcy, triggers additional scrutiny to ensure compliance with FAA standards. 

FAA Modernization and Reform Act of 2012

In February of 2012, Congress passed the FAA Modernization and Reform Act of 2012.  The law contained two provisions that required the FAA to work with industry representatives to review and reform the aircraft certification process and standardize the FAA’s regulatory interpretations (sections 312 and 313 respectively).  Both sections required FAA to issue reports to Congress on the recommendations reached as a result of these Congressional directives.  On August 13, 2012, FAA delivered the report pursuant to section 312.  On July 19, 2013, FAA delivered its initial report on section 313.  Both AIR and AFS are working internally and with industry on implementation of the recommendations contained in these reports.

Section 312

In response to section 312, the FAA and industry representatives met to develop consensus recommendations to review and reform the aircraft certification process, with the goal of reducing the time and cost of certification without compromising FAA safety standards.  The group developed six recommendations.  The recommendations were mapped to 14 FAA initiatives.  The process is extremely transparent.  FAA meets regularly with industry representatives to update them on the status of the initiatives and posts the status on the FAA website every six months. 

The recommendations encourage FAA to more thoroughly utilize its delegation authority in several areas to better utilize FAA resources.  Some of the changes required to implement the recommendations are long term in nature or require coordination with other agencies.  Consequently, while initial steps have been taken to initiate implementation of the recommendations, such as the establishment of an Aviation Rulemaking Committee (ARC), or a pilot program, full implementation, in most cases, will take several years.  In addition, in order to determine if the agency actions are achieving the goals of the initiatives, metrics must be developed and agreed to.  We are currently working with industry on those metrics. 

Since the original release of the Implementation Plan on January 7, 2013, the FAA has made progress on all of the initiatives.  To give you an idea of some of the foundational steps we have taken toward implementation of the recommendations, last August the FAA entered into a two year pilot program to expand delegation of noise findings to an organizational designation office (ODA).  This will give the industry more flexibility in its planning of certification activities. This is an endeavor FAA has been working on for several years and required the assistance of FAA’s Office of Environment and Energy and the agreement of the Environmental Protection Agency.  We are hopeful the information generated by the pilot program will support the expansion of delegation in this area.

In addition, the FAA established an Aviation Rulemaking Committee (ARC) to update part 21 Certification Procedures for Products and Parts.  The kickoff meeting was held last November with a goal of updating the regulations to reflect a systems safety approach to product certification processes and oversight of the design organizations.

Another area of importance to industry that was addressed in the report on section 312 is FAA’s system for sequencing its certification projects.  FAA put its system into place in 2005 and, while industry understood the need to prioritize work within the agency, it was critical of the inability to predict when a project would be initiated under this system.  The FAA requested comments from the public on the original process in October of 2012.  The public comments were assessed and a revised process was published for public comment in April 2013.  Those comments have now been reviewed and a revised process has been developed to address industry concerns.  FAA expects to begin to transition to the new process in 2014.

Finally, as part of FAA’s ODA Action Plan, FAA published an order that included a number of enhancements requested by industry to increase the efficiency of ODA certification processes and improve the utilization of ODA authority.  The order provides for better communication between FAA and ODA holders, as well as more flexibility for the ODA.  Greater flexibility translates into the ODA having more control over its projects timelines.  The effectiveness of the changes made in the order will be evaluated with industry in the first quarter of calendar year 2014.

Section 313

In response to section 313, the FAA reviewed and accepted the Consistency of Regulatory Interpretation Aviation Rulemaking (CRI ARC) recommendations.  The recommendations were reviewed by multiple FAA policy divisions, and we developed a preliminary implementation plan that was included in the FAA Report to Congress on the Consistency of Regulatory Interpretation.  The FAA has since developed and begun executing a detailed implementation plan to address the root causes identified by the ARC, including the need for clear regulatory requirements, standardized regulatory application training, and a change in the enforcement-based culture.

The Director of the FAA Flight Standards Service and the Director of the FAA Aircraft Certification Service participated actively with the industry stakeholders in developing six recommendations to improve upon issues of consistency in regulatory interpretation by offices within each service organization, as well as between Flight Standards and Aircraft Certification.  We worked to address these concerns strategically through careful and systemic long-term improvements that will have lasting impact, as well as meaningful metrics that can be tracked internally and by industry.  We noted that multiple recommendations are being addressed by current initiatives to change cultural norms within, and improve training for, the Flight Standards and Aircraft Certification workforce.  The FAA also wanted to ensure that implementation of the recommendations is consistent with the safety management system framework used to assess and mitigate risk without compromising safety.

It became clear that long-term planning and culture change would be essential to affect the improvements sought by industry. In order to address the recommendations as soon as practical, the detailed implementation plan identifies near-, mid-, and long-term priorities related to each recommendation.

The near-term strategy addresses the foundational concepts in the recommendations that allow the FAA to use existing processes.  For example, we were able to address and close the recommendation asking the FAA to improve its rulemaking procedures and guidance to ensure each proposed and final rule preamble contain a comprehensive explanation of the purpose, technical requirements, and intent of the rule. The Office of Rulemaking was able to address this recommendation by reviewing existing training requirements for rulemaking team members, as well as making improvements to existing processes. 

The primary area of importance identified by industry was a standardized methodology whereby all FAA guidance documents, including legal interpretations and Chief Counsel opinions, are linked to a specific regulation.  The FAA is currently reviewing existing IT systems to determine how best to achieve this goal.  As one of its near-term strategies for implementation, we are reviewing existing guidance documents used by FAA personnel that are not catalogued in one of the electronic databases.  By the end of the year, we expect to identify all such documents and establish a protocol to determine if such documents are still applicable, in which case they will be integrated into one of our existing electronic systems.  In the alternative, we will issue guidance to all personnel that any such documents not otherwise integrated into one of the electronic systems are cancelled.  This process will address a significant concern on the part of industry involving ad hoc usage of guidance documents issued to address a specific and narrow set of circumstances. 

Since the FAA concurs that a change in culture is the primary component of successful implementation of the recommendations, we have begun the process of reviewing and improving FAA workforce training.  We started our evaluation with training for FAA personnel responsible for promulgating guidance material to ensure that all guidance is clearly linked to the underlying regulation and a standardized methodology is used to develop guidance documents.  We will then review current FAA workforce training for personnel responsible for regulatory application.

The FAA met with industry representatives to review the implementation plan.  We expect to complete the near-term priorities by the end of this year.  The FAA agrees with industry stakeholders that a more standardized methodology for regulatory application at the national, regional, and field levels of Flight Standards and Aircraft Certification is necessary.  We expect to continue a dialogue with industry stakeholders and evaluate the implementation plan on an ongoing basis as we work toward implementation of the feasible long-term priorities by 2015.

Conclusion

As the reports we have submitted and this testimony indicates, the FAA is underway in addressing the concerns identified as a result of the provisions in the FAA Modernization and Reform Act of 2012.  Our efforts are transparent and are being done with the support of industry.  The reports have clarified a path forward for the FAA to meet the ongoing and future demand of a dynamic industry that is crucial to the economic interests of all Americans.  We are cognizant of the importance of our efforts and we look forward to working with industry and this subcommittee as we strive to achieve the goals that have been set for us.

Mr. Chairman, this concludes my statement.  Mr. Duncan and I will be happy to answer any questions you have at this time.

STATEMENT OF

JOHN ALLEN,
DIRECTOR OF FLIGHT STANDARDS SERVICE,
FEDERAL AVIATION ADMINISTRATION,

BEFORE THE

HOUSE COMMITTEE ON OVERSIGHT AND GOVERNMENT REFORM,
SUBCOMMITTEE ON GOVERNMENT OPERATIONS, ON 

THE INCLUSION OF BIOMETRIC IDENTIFIERS ON GOVERNMENT ID CARDS,

June 19, 2013.

Chairman Mica, Congressman Connolly, Members of the Subcommittee: 

Thank you for the opportunity to appear before you today on the issue of incorporating biometric data into pilot certificates.  I know this issue has been of significant interest to Chairman Mica.  The FAA previously appeared before the House Committee on Transportation and Infrastructure on this issue under Chairman Mica’s leadership in 2011. 

The FAA has responsibility for issuance of 23 different types of airman certificates.  In addition to pilot certificates, these include certificates for mechanics, dispatchers, parachute riggers, and air traffic controllers.  The agency also issues certificates to flight attendants.  There are approximately 837,000 active pilot certificate holders.

Historically, the primary function of a pilot certificate was simply to document that its holder meets the aeronautical knowledge and experience standards established for both the certificate level and any associated ratings. 

Even before the September 11 terrorist attacks, the FAA was responding to law enforcement interest in enhancing the security of airman certificates.  Pursuant to the Drug Enforcement Administration (DEA) Act of 1988, for example, the agency began the process of phasing out paper certificates and replacing them with plastic.  Since April 2010, all pilots have been required to have the new plastic certificates.  Holders of the remaining airman certificate types – that is, navigators, mechanics, dispatchers, etc. – were required to have a security-enhanced plastic certificate by March 31, 2013.  As of March 31, all airman certificate holders, including pilots, have plastic certificates that incorporate tamper- and counterfeit-resistant features. These include micro printing, a hologram, and a UV-sensitive layer.

As you know, the Intelligence Reform and Terrorism Prevention Act (IRTPA) that the Congress passed in 2004 requires additional security measures for pilot certificates.  Specifically, the IRTPA directed the FAA to develop tamper-resistant pilot certificates that include a photograph of the pilot and are capable of accommodating a digital photograph, a biometric identifier, or any other unique identifier the FAA Administrator considers necessary. 

The FAA had already met some of these requirements when it began issuing tamper- and counterfeit-resistant certificates in 2003.  To address the remaining requirements, the FAA was required to initiate a rulemaking.  Before I discuss the rulemaking effort, let me note that the FAA chose to use a digital photo as the method of complying with IRTPA. However, we are working closely with the Transportation Security Administration (TSA) on measures that will provide additional security enhancements not only to pilot certificates, but also to other types of airman certificates. 

The FAA has also taken other steps to meet law enforcement concerns. Since 2002, the FAA has required pilots to carry a valid Government issued photo ID as well as a pilot certificate in order to exercise the privileges associated with the certificate.  This allows an FAA inspector or a fixed-base operator that rents airplanes to confirm both the individual’s identity and his or her pilot credentials.

In response to IRPTA, the FAA initiated a rulemaking to require digital photographs to appear on pilot certificates.  While the agency was reviewing the hundreds of comments received on the Notice of Proposed Rulemaking (NPRM) the FAA Modernization and Reform Act of 2012 became law.  Section 321 of that Act requires that pilot certificates not only contain photographs, but also be smart cards that can accommodate iris and fingerprint biometric identifiers and are compliant with FIPS-201 or Personal Identity Verification-Interoperability Standards (PIV-I) for processing through security checkpoints into airport sterile areas.  The FAA’s NPRM did not contemplate those additional features.

Because the requirements of Section 321 were not within the scope of the previous NPRM, the agency was required to initiate another rulemaking in order to comply with congressional directives.  The rulemaking process requires the FAA to propose requirements for an applicant to obtain and use an improved pilot certificate, analyze the costs and benefits of those requirements, consider public comments to the proposal, and issue final requirements.  In accordance with this process, the FAA is developing a notice of proposed rulemaking to issue smart card pilot certificates that can accommodate a photograph and other biometric data. 

The cost of this transition has not yet been determined, but analysis of the costs and benefits of various alternatives to meet the statutory mandate is underway.

To justify imposing a new cost on pilots, we must carefully consider the benefits of improved pilot certificates.  If pilot certificates with embedded biometrics are intended to permit airport access or increase security, we must coordinate with the Department of Homeland Security (DHS) and the TSA, which develop standards for airport access and security. 

There are also implications for multiple government agencies. The National Institute of Standards and Technology (NIST) is in the process of a rulemaking that will establish standards to enable the use of iris biometric data, but has not yet established this standard.  That impacts the FAA, since the agency seeks to avoid duplicating, interfering with, or superseding efforts by other federal agencies with respect to standards or implementation. To address and coordinate these issues, and to evaluate quantifiable benefits regarding how this technology might advance each agency’s mission, the FAA is participating in an interagency working group that includes DHS through the TSA, as well as NIST.  In addition to avoiding duplication or conflicting standards that would impose an undue burden on pilots, the working group seeks to learn from best practices in other agencies. One such example is the DHS Global Online Enrollment System (GOES) for managing the U.S. government’s trusted traveler programs.

It is therefore essential to identify and quantify the benefits of biometric enhancements as we move forward.

Understanding how to maximize the use of biometric data to ensure the security of the pilot community, to enhance overall aviation security in a way that does not create duplication or impose an undue burden, and to craft a rule that can meet the statutory mandates, while accommodating rapidly evolving technologies.  It will also require a government working group (through FAA’s Aviation Rulemaking Committee process) to coordinate with airlines, industry trade associations, and organizations representing individual pilots. 

We are working hard to accomplish the goals outlined by Congress.  In consultation with other agencies, the FAA is in the final stages of preparing a report to Congress. We believe this report will assist Congress in assessing the future use and inclusion of biometric data in pilot certificates. We look forward to working with you, and in collaboration with other agencies, as our efforts progress. 

This concludes my prepared remarks.  I will be happy to take questions at this time.

STATEMENT OF

JAMES H. WILLIAMS,
UNMANNED AIRCRAFT SYSTEMS OFFICE MANAGER,
FEDERAL AVIATION ADMINISTRATION,

BEFORE THE

HOUSE COMMITTEE ON SCIENCE,

UNMANNED AIRCRAFT SYSTEMS (UAS) RESARCH AND DEVELOPMENT,

JANUARY 21, 2015.

Chairman Smith, Ranking Member Johnson, Members of the Committee:

Thank you for the opportunity to appear before you today to discuss unmanned aircraft systems (UAS).  The Federal Aviation Administration (FAA) has successfully integrated new technology into the National Airspace System (NAS) for more than 50 years, while maintaining the safest aviation system in the world.  Research and development, conducted in coordination with our government and industry partners, is critical to the safe, efficient, and timely integration of UAS technology into the NAS. 

The UAS Roadmap and Comprehensive Plan

Two key documents outline the path forward for UAS integration.  The Integration of Civil UAS in the NAS Roadmap outlines the tasks and considerations necessary to integrate UAS into the NAS.  The five-year Roadmap, updated annually, provides stakeholders with proposed agency actions to assist with their planning and development. The Roadmap also identifies research needs and priorities to enable UAS integration. The UAS Comprehensive Plan was prepared by the Joint Planning and Development Office (JPDO), in coordination with JPDO Board participants from the Departments of Defense (DOD), Commerce (DOC), Homeland Security (DHS), the National Aeronautics and Space Administration (NASA) and the FAA.  The Comprehensive Plan details work that has been accomplished, along with future efforts needed to achieve safe integration of UAS into the NAS.[1]  It sets overarching, interagency goals, objectives, and approaches to achieving integration.  

Interagency partnerships with DOD, DOC, DHS, and NASA have allowed us to leverage our collective assets and conduct research and development that benefits all users of the NAS as we integrate UAS.  Through these partnerships and close collaboration, we are overcoming some of the largest barriers to UAS integration and ensuring the continued safety of the NAS.

Leveraging Interagency Partnerships

The FAA is actively collaborating with other government agencies and the UAS industry to leverage the assets of all stakeholders as we advance UAS integration and research.  The FAA has collaborated with NASA on studies advancing air traffic control (ATC) interoperability with the future UAS use of detect and avoid systems in controlled airspace.  We continue to collaborate with members of industry on flight tests to validate RTCA[2] standards for detect and avoid systems.  And NASA, the FAA, and industry partners have successfully demonstrated a proof-of-concept airborne sense-and-avoid (SAA) system, marking a major milestone in the development of an Airborne Collision Avoidance System for Unmanned Aircraft (ACAS Xu). 

The FAA, DOD, and NASA are collectively developing the technical standard that RTCA will evaluate and recommend as the appropriate minimum operational performance standards for UAS detect and avoid systems for UAS to remain clear of other aircraft.  Without the Research, Engineering, and Development (RE&D) contributions of the DOD and NASA, the standard for detect and avoid would have been delayed.  We anticipate that the RTCA’s recommended standards would satisfy the “see and avoid” regulatory requirements set forth in 14 C.F.R. Part 91. 

Another key standard under development in RTCA is a minimum operational performance standard for command and control radios.  These radios provide the link between the pilot and the aircraft and must be reliable and secure.  NASA and our industry partners are playing a key role in development of this standard by designing and building prototype radios for validation.  The FAA plans to use the NASA software and hardware to test the ability of those radios to function on smaller UAS with size, weight, and power limitations. Interagency partnerships are fundamentally important as we continue to develop safety standards for unmanned aircraft.

The FAA is also actively supporting the research and development efforts undertaken by other government entities.  One example of this type of cooperation is the FAA participation in the DoD Joint Test and Evaluation effort for Unmanned Aircraft Systems Airspace Integration (UAS-AI), sponsored by North American Aerospace Defense Command (NORAD), U.S. Northern Command, and the Army.  The purpose of the test is to standardize and evaluate procedures to effectively conduct manned and UAS operations in the airport environment.  The FAA has provided operational subject matter expertise since the inception of this project in 2012.  The FAA provided engineers, en route controllers, and high fidelity laboratory assets to support DOD’s human-in-the-loop simulations in advance of three live UAS flight tests.  The FAA has attended all three flight tests.  The FAA is also supporting this effort by evaluating the associated DOD Airspace Integration Joint Test results for potential applicability at civil airports and terminal facilities. 

The FAA William J. Hughes Technical Center

Since 1958, the FAA William J. Hughes Technical Center has served as the core facility for modernizing the air traffic management system, and for advancing programs to enhance aviation safety, efficiency, and capacity.  The Technical Center is the nation’s premier air transportation system laboratory.  The Technical Center’s highly technical and diverse workforce conducts research and development, test and evaluation, verification and validation, sustainment, and ultimately, de-commissioning of the FAA’s full spectrum of aviation systems.  They develop scientific solutions to current and future air transportation safety, efficiency, and capacity challenges.  Technical Center engineers, scientists, mathematicians, and technical experts utilize a robust, one-of-a-kind, world-class laboratory environment to identify integrated system solutions for the modernization and sustainment of the NAS and for integrating new operational capabilities and technologies, including UAS. 

The Technical Center has a specialized UAS simulation laboratory for conducting integrated simulations to research and develop UAS integration procedures and standards.  The UAS lab has a variety of test assets including the ability to link FAA Air Traffic Control systems with high Fidelity Unmanned Aircraft Simulators provided by our industry partners through cooperative research and development agreements.  Important UAS research is currently underway in the area of sense and avoid multi-sensor data fusion strategies.  This research focuses on the performance of sensors used to detect and avoid both cooperative and non-cooperative aircraft.  The Technical Center is also evaluating specific UAS contingency operations and the associated impact to safety and efficiency of the NAS.  Through that research, we consider contingencies that may arise in UAS operations, such as loss of the communication link between the pilot and aircraft, loss of pilot control of the aircraft (flyaway), and emergency flight termination procedures.  The results of this research support the development of Air Traffic Control (ATC) requirements for providing services under contingency operations, as well as standard operational procedures for air traffic controllers.  The Technical Center also conducted a real-time Human-In-The-Loop (HITL) simulation to examine the implications of a UAS pilot’s inability to visually comply with applicable airspace regulations and ATC instructions.  The simulation evaluated the impact that limitations of UAS would have on the safety and efficiency of the NAS to inform FAA policy and decision making regarding how to best integrate UAS into the NAS. 

The Technical Center also provides strategic direction to the agency’s RE&D portfolio and ensures that it is integrated, well planned, budgeted and executed.  Successful Technical Center efforts have an impact across the country and indeed, around the world. 

Much of the work performed at the Technical Center is in partnership with private industry, academic institutions, other agencies such as NASA and the DOD, and international organizations.  The DHS and military entities also have space at the Technical Center.  These other entities help to create a synergistic aviation-centered site that is without rival anywhere in the world.

NextGen is Enabling the Safe and Efficient Integration of UAS Into the NAS

The safe integration of UAS into the NAS will be facilitated by new technologies being deployed as part of the Next Generation Air Transportation System (NextGen). NAS Voice System (NVS),  Data Communications (Data Comm) and System Wide Information Management (SWIM) will provide more information, flexibility, situational awareness and a greater ability to communicate. These features are necessary to enable safe and efficient integration of UAS into the NAS. 

NVS will allow ground-based UAS pilots to communicate directly with the air traffic controllers – a key requirement in integration – over the ground-to-ground communications network.  Safe integration will lead us from today’s need for accommodation of UAS through individual approvals to a time when unmanned aircraft can “file and fly” in the NextGen environment.  It will improve the efficiency and reliability of exchanges between the UAS flight crew and air traffic control.  NVS networking capabilities enable greater flexibility in developing and using airspace/traffic assignments in all airspace.  Additionally, a “party line” requirement integral to NVS adds to the overall situational awareness of UAS flight crews by allowing multiple participants to communicate.

Data Comm applications enable controllers to send digital instructions and clearances to pilots, and to exchange more complex four-dimensional (comprising latitude, longitude, altitude and time) trajectory data, including position, navigation and timing information. For UAS operators that elect to equip their ground control station, air traffic control messages and instructions will be exchanged via Data Comm to the pilot in control.

Network-enabled access to more timely and improved information throughout the NAS serves as a major enabler for future operations, including UAS.  All information about a given flight (e.g., capabilities, constraints, preferences) is contained within the flight object and made available to system stakeholders and air traffic management service providers based on information needs and security protocol.

Data sharing is a key NextGen component – getting the right information to the right people at the right time. This is especially important when it comes to weather information. Common Support Services–Weather (CSS-Wx) will provide the FAA and NAS users with same-time access to a unified aviation weather picture via the SWIM network. This will enable collaborative and dynamic decision making among all users of the NAS, including UAS operators, and give them the flexibility to proactively plan and execute aviation operations ahead of weather impacts.  These weather services are especially critical to UAS operations since the pilot typically will be exclusively dependent on ground-based weather products to avoid hazardous weather conditions encountered by the aircraft.

Technological developments achieved through NextGen will continue to facilitate the integration of UAS into the NAS.  NextGen capabilities are continually being developed, tested, and deployed at the FAA Technical Center. We also work closely with the Mitre Center for Advanced Aviation System Development (CAASD), the FAA’s Federally Funded Research and Development Center (FFRDC), to leverage all available technology for UAS integration. 

UAS Test Sites.

The six UAS test sites, announced by the FAA on December 30, 2013, also play a key role in our integration of UAS technology into the NAS.  In selecting the sites, the FAA followed Congressional direction to consider geographic and climatic diversity and to consult with DOD and NASA.  The FAA selected the University of Alaska Fairbanks, the State of Nevada, New York’s Griffiss International Airport, the North Dakota Department of Commerce, Texas A&M University Corpus Christi, and Virginia Polytechnic Institute and State University (Virginia Tech) to serve as UAS test sites. 

The FAA will utilize data from the test sites to help answer key questions and provide critical information about how UAS will interface with the air traffic control system.  The information provided by the test sites will help the FAA to develop regulations and operational procedures for future civil commercial use of UAS in the NAS.  Data from the test sites will also help identify elements of the certification and navigation requirements we will need to establish for unmanned aircraft.

UAS operational pre- and post-flight data is currently being collected from all test sites.  The test sites are providing data about the types and sizes of aircraft, number of operations, number of flight hours, notable operating parameters (for example, whether the flight was within or beyond visual line of sight), and any incidents and accidents.   Each site has also established its own research agenda.  I would like to highlight just a few of the activities underway at each test site.  

• The North Dakota Department of Commerce test site has conducted more than 84 flights, with research concentrated on wildlife census and precision agriculture studies.
• The University of Alaska Fairbanks test site encompasses 3,369 cubic miles of airspace in Alaska and Oregon.  It is expanding flight operations into Kansas with the recent approval of Kansas State University as a new team member.  The research conducted at this test site includes forward-looking infrared technology to support surveying large land mammals and using UAS to meet operational firefighting needs and provide tactical police support.
• The State of Nevada’s research will concentrate on UAS standards and operations, as well as operator standards and certification requirements.  The Nevada Test Site was recently approved to issue Experimental Airworthiness Certificates on behalf of the FAA to enable better support to the UAS manufacturers.
• Griffiss International Airport has conducted 31 flights using three different vehicles.  In cooperation with Lockheed Martin, Griffiss International Airport test site has conducted optional piloted (i.e., aircraft that can be flown from the ground or conventionally) aircraft research to test the utility of using of a rotorcraft both with and without an onboard pilot for firefighting. 
• Texas A&M Corpus Christi created a fully operational UAS command center with advanced toolsets and is pursuing solutions that will incorporate air traffic control data to augment operational safety mitigation strategies.  Research activities include precision agriculture and coastal monitoring.
• The Virginia Polytechnic Institute and State University (Virginia Tech) test site includes Virginia, Maryland, and New Jersey.  Research in these three states will include agricultural spray equipment testing, developing training and operational procedures for aeronautical surveys of agriculture, and the development of aeronautical procedures for integration of UAS flights in a towered airspace.   

We continue to work closely with the test sites to identify the data most useful to the FAA.  A significant portion of test site data analysis is being performed at the Technical Center.  A Data Lead from the Technical Center, regional representatives, and research engineers, are also visiting each UAS test site to evaluate how data is captured and maintained, ensure the integrity of data transferred to the FAA, and determine whether additional data collection would facilitate meeting the FAA’s research objectives.  We continue to work with the test sites to obtain the most valuable information possible to help the FAA integrate UAS into the NAS.

Center of Excellence

Under the Consolidated Appropriations Act of 2014, Congress directed the FAA to establish a UAS Center of Excellence (COE).  The goal of this endeavor is to create a cost-sharing relationship between academia, industry, and government that will focus on research areas of primary interest to the FAA and the UAS community.   We intend to forge a union of public sector, private sector, and academic institutions to create a world-class consortium that will identify solutions for existing and anticipated UAS-related issues.  The COE will perform short- and long-term basic and applied research through a variety of analyses, development, and prototyping activities.  To that end, the FAA solicited proposals from accredited institutions of higher education with their partners and affiliates.  The FAA intends to enter into cooperative agreements with core university members, and will award matching grants for public benefit. Initially, grants will be awarded to university members to establish the COE, define the research agenda, and begin UAS research, education, training and related activities.  We are currently in the process of reviewing proposals and look forward to establishing the COE. 

The FAA has identified the following eleven initial research areas of current interest:

1. Air Traffic Control Interoperability
2. Airport Ground Operations
3. Control and Communication
4. Detect and Avoid (DAA)
5. Human Factors
6. Low Altitude Operations Safety
7. Noise Reduction
8. Spectrum Management
9. Unmanned Aircraft (UA) Crew Training and Certification, Including Pilots
10. Unmanned Aircraft Systems Traffic Management, and
11. UAS Wake Separation Standards for UAS Integration into the NAS. 

While our research needs may evolve over time, we look forward to the research and advancements that will emerge through the COE.

The FAA has long had successful partnerships with the nation’s academic research community, working with U.S. colleges and universities to foster research by COE faculty and students, industry, and other affiliates.  These research efforts have provided the agency and the industry a high return on investments and have contributed significantly to the advancement of aviation science and technology over the past two decades.  We look forward to continuing these partnerships with respect to UAS research as we establish the COE.

Conclusion

The FAA is committed to safely integrating UAS into the NAS.  The FAA has made steady progress toward that goal and will continue to do so through partnerships with industry and other government agencies.  Collaboration is critical to achieving safe integration and we look forward to continued collaboration with our federal, state, and industry partners. 

The United States has the safest aviation system in the world, and our goal is to integrate this new and important technology while still maintaining safety as our highest priority.  We are committed to ensuring that America continues to lead the world in the development and implementation of innovative aviation technology.  We look forward to continuing to work together with Congress as we continue to integrate UAS into the NAS. 

This concludes my statement.  I will be happy to answer your questions at this time. 

STATEMENT OF

MICHAEL WHITAKER,
DEPUTY ADMINISTRATOR OF THE
FEDERAL AVIATION ADMINISTRATION,

BEFORE THE

HOUSE COMMITTEE ON TRANSPORTATION AND INFRASTRUCTURE,
SUBCOMMITTEE ON AVIATION ON

ENSURING AVIATION SAFETY IN THE ERA OF UNMANNED AIRCRAFT SYSTEMS,

OCTOBER 7, 2015.

Chairman LoBiondo, Congressman Larsen, Members of the Subcommittee:

I am pleased to appear before you today to discuss a subject that continues to be the topic of a lot of conversation; Unmanned Aircraft Systems or UAS.  Wherever we look, in everything from popular culture to store shelves, UAS seem to be everywhere.  It might appear to some people that UAS suddenly appeared in our skies and are now everywhere, from the White House lawn to the U.S. Open Tennis tournament, sometimes flying too close to commercial aircraft or interfering with firefighting efforts.    Many different departments and agencies within the federal government have responsibilities associated with UAS.  Among other things, the Federal Aviation Administration’s (FAA) responsibility includes the safe and efficient integration of UAS into the National Airspace System (NAS).  In 2012, Congress passed the FAA Modernization and Reform Act of 2012 (2012 Act), which, in part, charged the FAA with safely integrating UAS into the NAS by September 30, 2015.   

FAA has recognized the significance of this technology and has adapted organizationally to provide this emerging technology with a commensurate level of attention.  Recently, FAA selected two executives to oversee our UAS integration efforts.  Accompanying me today are Marke “Hoot” Gibson and Earl Lawrence.  Hoot is the Senior Advisor on UAS integration, reporting directly to me.  He will establish a focus on external outreach and education and interagency initiatives.  Earl is the Director of the UAS Integration Office within the FAA’s Safety organization.  He will lead the FAA’s efforts to safely and effectively integrate UAS into the NAS.  Their addition to the FAA team acknowledges the expanded demand of UAS issues both inside and outside the FAA.

There is no doubt that UAS can be of great value to this country.  In accordance with the appropriate authorizations, UAS are being used today to examine infrastructure, survey agriculture, provide  emergency response support, examine damage caused by time or disaster, and go places that would otherwise be dangerous for people or other vehicles.  Entrepreneurs around the world are exploring innovative ways to incorporate the potential of UAS into their corporate activities.  There are a number of public and commercial operations being conducted today, including the ones mentioned above, that contribute to public safety and enhance the ability of corporations to achieve important goals.  FAA does not underestimate the importance of integrating the range of UAS technology into the NAS, but there are significant safety challenges that must be mitigated for this to occur. 

For example, we have witnessed a huge influx of casual users, people who fly UAS for entertainment or recreation.  This has become the crux of a growing problem.  UAS introduces, not just a new class of aircraft, but a new class of pilot.  The vast majority of these operators do not have the basic aviation training or experience required for pilots of traditional aircraft.  They have no knowledge that they may be flying in controlled airspace.  Some may have no recognition that their actions could have serious consequences.  They are simply having fun with a toy.

The primary goal of the FAA is to integrate this new class of aircraft and their operators safely and efficiently into the NAS, regardless of whether the operations are recreational or commercial in nature.  Because this new branch of aviation is changing at the pace of human imagination, the FAA believes a flexible framework is imperative.  The UAS industry is developing many new exciting technologies and the FAA must provide a regulatory framework for UAS to operate safely.  Our goal is to provide the basic rules for operators, not identify specific technological solutions that could quickly become outdated. The FAA is creating a safe operational environment for innovators to demonstrate their technologies.  We are doing this through the establishment of basic operational regulations, the issuance of exemptions and experimental certificates, and through our continued research and collaboration at our UAS test sites, Center for Excellence, and Pathfinder programs. 

Our efforts also include long-term planning, including the ongoing development and finalization of the regulation of small unmanned aircraft.  We are conducting collaborative research and development with interagency partners and the UAS industry.  We have established test sites and airspace for these activities.  The FAA and our government partners have always realized that the best way to succeed is through partnership, whether it be with industry or other governments.  Finding consensus leads to cooperation and willing participation.

Consistent with our approach to other regulations, we are establishing a risk-based approach to the regulations in this area, laying a strong foundation for safe integration.  The concept is balance.  We must develop a broadly scoped approach to rulemaking to identify and mitigate safety risks without stifling innovation and industry performance.  However, a key factor in the success of any regulation is the willingness of the operators to follow them.

Integrating UAS means integrating operators into the aviation culture and mindset.  It means creating a general awareness that these devices are not toys and the consequences of misuse can be serious.  We believe the most effective way to accomplish this task is through education.  We want to work through partnerships with model aircraft organizations, manufacturers, and interagency partners, as well through traditional and social media outreach, to ensure that these new operators know when and where they may safely fly.

To this end, with the help of our stakeholders, we developed the “Know Before You Fly” and “No Drone Zone” programs. “Know Before You Fly” offers common sense advice, such as don’t fly near airports, don’t fly in adverse weather, don’t fly under the influence of alcohol or drugs, and don’t fly over people or sensitive infrastructure like power plants.

Our “No Drone Zone” program began with the Super Bowl earlier this year and is tailored to specific events and places, such as the heavily restricted airspace around Washington, D.C.  The No Drone Zone video posted on You-Tube prior to the Super Bowl this year received over 59,000 hits.  Most importantly, we received no reports of unauthorized activity in the restricted airspace around the stadium.

We want people to enjoy their hobby, but we want to make sure they fly safely.  Education, such as the programs noted above, has been our preferred method for successfully integrating UAS operators.  We can never let an educational opportunity slip by.  We need to be creative and collaborative in our approach to reaching the public.  I will share with you two examples of this approach.  Several UAS manufacturers have started to voluntarily include the “Know Before You Fly” safety literature with their product packaging.  We are also trying to reach a broader audience by working with the San Francisco 49ers NFL football team to use their scoreboard to make public service announcements during their games.  We hope to expand this type of outreach in the coming months. 

In order to make it easier for the operator to know when and where it is appropriate to operate a UAS, in particular a model aircraft, we helped develop the B4UFLY mobile app.  This is a simple, intuitive user interface that lets the UAS operator know if there are any prohibitions in place for where they are flying or where they want to fly.  There is a color-coded status indicator with text that provides the operator with situational awareness.  Beta-testing of this app is ongoing and the FAA will make adjustments where necessary based on user feedback.  The industry is clearly looking to FAA for leadership in educating the public about the safety parameters for model aircraft operations.  Our vision for this app is that the FAA would continue to support the basic technology, while other companies could augment it with their navigational maps.

As discussed, the FAA believes that partnerships and education are the keys to the success of safe UAS integration.  But to be clear, if the unauthorized operation is intentional or is intended to cause harm, strong and swift enforcement action, including criminal enforcement, will be taken.

When UAS delayed fire-fighting activities in the drought-stricken western states, local law enforcement and forest service personnel were on the front lines dealing with the situation.  We are working with law enforcement agencies to educate them about our rules and to emphasize that, in addition to the FAA’s rules, there are existing state and local laws in areas of reckless endangerment, trespass, and privacy that could apply.  Just because this is a new technology or different than what law enforcement has seen in these areas before does not mean that these laws would not be equally applicable to such acts involving use of UAS.  We want to work with law enforcement because if they encounter unauthorized UAS operations, they can help us to gather evidence and find witnesses that will help with our investigations and enforcement action.  For some, education will never be sufficient.  As with any other activity, we will always have to contend with those who wish to cause mischief or refuse to consider the potential harm their activities might pose to others.

Informing and educating UAS operators is just one piece of integrating these vehicles safely into the NAS.  The 2012 Act provided the Secretary with the authority to issue exemptions that allow for commercial UAS activity in low risk, controlled environments (section 333 exemptions).  After gaining experience with various types of operators, the Department recently expedited its approach for section 333 exemptions.   We are now able to issue summary grants when we find that we’ve already granted a similar exemption.  Summary grants are more efficient because they do not require applicants to repeat analysis that has already been performed.  This streamlined approach now allows the Department to issue between 40 and 50 section 333 exemptions a week.  These exemptions are effectively acting as a bridge until the small UAS rule comes out to more broadly authorize the operation of UAS under 55 pounds if the operations take place under a set of parameters to maintain safety, including operating at speeds below 100 mph and below 500 feet in altitude.

Additionally, as part of our efforts to streamline the integration of this technology, the FAA has further expedited safe UAS integration and facilitated commercial use by issuing a blanket Certificate of Waiver or Authorization (COA) for flights at or below 200 feet when it issues a section 333 exemption.  The blanket COA can be used for UAS operations that involve aircraft that weigh less than 55 pounds, operate during daytime Visual Flight Rules (VFR) conditions, operate within visual line of sight (VLOS) of the pilots, and stay at the prescribed distances away from airports or heliports. 

From the outset, we have worked closely and successfully with government partners and industry stakeholders to achieve milestones put forward by the 2012 Act.  In coordination with other governmental agencies and industry, we developed two long-term planning documents, the Comprehensive Plan and a five-year Roadmap. We have worked with members of the UAS Executive Committee (ExCom), comprised of representatives of various government agencies and departments with responsibilities in this area, to leverage our collective assets and conduct research and development on UAS integration while ensuring the continued safety of the NAS.  The FAA collaborated with the National Aeronautics and Space Administration (NASA) on studies advancing air traffic control interoperability with future use by UAS of detect-and-avoid (DAA) systems in controlled airspace.  We continue to collaborate with the industry on flight tests to validate RTCA[1] standards for DAA systems as well as command and control radios.  RTCA began work on the standards at the request of the FAA in 2013 and they are scheduled for completion in 2016.  These standards will help resolve two of the difficult challenges facing the industry for integration of UAS into the NAS.  NASA, the FAA, and industry partners have successfully demonstrated a proof-of-concept airborne DAA system and prototype radios for use as command and control systems for UAS. 

We are already looking beyond the small UAS rulemaking at what comes next in terms of the types of operations expected, and what technologies we may need to certify to ensure safety.  The FAA has consulted with the UAS ARC to determine the next areas of focus so we can enable those UAS operations with the highest net societal benefits.  These recommendations are being assessed and will result in additional focus areas that will become the centerpiece for FAA’s strategic plans for UAS integration.

As the aerospace industry and aviation system grow more complex, we must ensure that our resources are directed to those areas which pose the greatest risk to safe aviation operations.  We will need to expand collaborative, data-driven processes with the UAS industry to improve safety and streamline process in areas such as certification.  We must meet challenges and take advantage of opportunities.

The safe integration of UAS into the NAS will be facilitated by new technologies being deployed as part of the Next Generation Air Transportation System (NextGen).  NAS Voice System (NVS), Data Communications (Data Comm), and System Wide Information Management (SWIM) will provide more information, flexibility, situational awareness, and a greater ability to communicate with NAS users.

To enhance safe application of new and emerging technologies, earlier this year, FAA established the Pathfinder Program, which was referenced above.  In the Pathfinder Program we work with three companies to obtain important information on the next steps beyond operational parameters included in the  small UAS notice of proposed rulemaking.  For visual line of sight operations, FAA is working with CNN on how UAS might be used for news gathering in populated areas.  We are also working with the UAS manufacturer Precision Hawk to explore beyond visual line of sight operations in rural areas.  Precision Hawk will be working to explore how flying beyond the pilot’s direct vision might be used to allow for greater UAS use for crop monitoring in precision agricultural operations.  BNSF Railway will explore command and control challenges of using UAS to inspect rail system infrastructure.  Developing the safe use of this important technology can only benefit how UAS can be used in the future. 

Aviation technology is constantly evolving.  This is certainly not the first time we, as an agency, have been required to integrate new aviation technology into the NAS.  Different aircraft technologies, including jet engines, were required to be accepted operationally and we handled them as they developed.  Today, in addition to UAS, we are working to integrate commercial space technology into the NAS.  Clearly, there will be other technologies that we will be required to integrate moving forward.

I am proud of the team we have brought together and of the approach we are taking to ensure that our airspace continues to be the safest in the world, even as we work to accommodate new technologies that have the potential for changing the way we live our lives.  This is an exciting time to be part of the FAA.  I am happy to have had the opportunity to speak with you this morning and I will be glad to answer any questions you have.

STATEMENT OF

MICHAEL WHITAKER,
DEPUTY ADMINISTATOR,
FEDERAL AVIATION ADMINISTRATION,

BEFORE THE

HOUSE OVERSIGHT AND GOVERNMENT REFORM COMMITTEE, ON

DRONES: THE NEXT GENERATION OF COMMERCE?  

JUNE 17, 2015.

Chairman Chaffetz, Congressman Cummings, Members of the Committee:

Thank you for the opportunity to appear before you today to discuss the status of the safe integration of Unmanned Aircraft Systems (UAS) into the National Airspace System (NAS). 

The Federal Aviation Administration (FAA) is safely and steadily integrating UAS into the largest, most complex aviation system in the world.  At the same time, UAS technologies continue to advance at a rapid pace.  We are working diligently to develop a regulatory framework that will allow for innovation while ensuring the safety of other users of the airspace and people and property on the ground.  

The FAA Modernization and Reform Act of 2012 (2012 Act) established the framework for the integration of UAS into the NAS and tasked the FAA with the safe integration of civil UAS into the system by October 2015.  We followed through with Congress’ intent in the 2012 Act and completed milestones forming the foundation for future integration.  This includes long-term planning for the future of integration, including a small UAS Notice of Proposed Rulemaking (NPRM), collaborative research and development with interagency partners and with industry, and the establishment of test sites and airspace for UAS research and development and testing.

Consistent with the authority in section 333 of the 2012 Act, the Department and FAA are issuing exemptions that allow for commercial activity in low-risk, controlled environments.  The initial exemption process took longer than we liked.  After gaining experience with various types of operators, the FAA recently expedited its approach for section 333 exemptions.   We are now able to issue summary grants when we find that we’ve already granted a similar exemption.  Summary grants are more efficient because they do not require applicants to repeat analysis that has already been performed.  This streamlined approach now allows the FAA to issue between 40 and 50 section 333 exemptions a week.

As part of this new approach, the FAA grants a blanket Certificate of Waiver or Authorization (COA) for flights at or below 200 feet when it issues the section 333 exemption.  This applies to aircraft that weigh less than 55 pounds, operate during daytime Visual Flight Rules (VFR) conditions, operate within visual line of sight (VLOS) of the pilots, and stay certain distances away from airports or heliports.  Operators wishing to operate above 200 feet would need to request a separate COA. 

From the outset, we have worked closely and successfully with government partners and industry stakeholders to achieve milestones put forward by the 2012 Act.  In coordination with other governmental agencies and industry, we developed two long-term planning documents, the Comprehensive Plan and a five-year Roadmap. We have worked with members of the UAS Executive Committee (ExCom) to leverage our collective assets and conduct research and development on UAS integration while ensuring the continued safety of the NAS.  The FAA collaborated with the National Aeronautics and Space Administration (NASA) on studies advancing air traffic control interoperability with future use by UAS of detect-and-avoid (DAA) systems in controlled airspace.  We continue to collaborate with the industry on flight tests to validate RTCA[1] standards for DAA systems as well as command and control radios.  RTCA began work on the standards at the request of the FAA in 2013 and they are scheduled for completion in 2016.  These standards will help resolve two of the difficult challenges facing the industry for integration of UAS into the NAS.  NASA, the FAA, and industry partners have successfully demonstrated a proof-of-concept airborne DAA system and prototype radios for use as command and control systems for UAS. 

In November 2012, the FAA released its Arctic Implementation Plan to establish permanent operational areas and corridor routes in the Arctic for the operation of small UAS as required by the 2012 Act.  In July 2013, a restricted category type certificate was issued to Insitu’s ScanEagle X200 and to AeroVironment’s PUMA so that each UAS could conduct Arctic flights for commercial purposes.  In September 2013, ConocoPhillips began using Insitu’s ScanEagle for its marine mammal and ice surveys.  In June 2014, BP began using AeroVironment’s Puma AE to survey its pipelines, roads, and equipment at Prudhoe Bay, Alaska.  Safety and operational data from these flights will be used to develop UAS operations and performance standards.  The FAA has also issued 176 special airworthiness certificates in the experimental category for civil UAS, 34 of which are currently active.  Special airworthiness certificates are issued for research and development, crew training, and market surveys.

In December 2013, the FAA selected six test sites for non-federal entities to test UAS technology and operations. All of the UAS test sites, which were selected based on geographic and climatic diversity, were operational by September 2014.  They will help us gather operational data to foster further integration.  Flights of unmanned aircraft have already been conducted, including flights for research on agricultural and wildlife monitoring and on law enforcement and emergency services support.

  Test sites are providing data about the types and sizes of aircraft, number of operations, number of flight hours, notable operating parameters (for example, whether the flight was within or beyond visual line of sight), and any incidents and accidents.  Each site has also established its own research agenda.  A significant portion of test site data analysis is being performed at the FAA William J. Hughes Technical Center.  Qualified FAA personnel are visiting each UAS test site to evaluate how data is captured and maintained, ensure the integrity of data transferred to the FAA, and determine whether additional data collection would help the FAA meet its research objectives.  The FAA also invited public comment in the proposed small UAS rule (discussed in more detail below) on how the agency can improve or further leverage its test site program to encourage innovation and safe UAS integration; those comments are now being reviewed.

In the interim, to further advance use of the test sites, in 2014, the FAA implemented a Designated Airworthiness Representatives program that permits test site designees to issue experimental certificates for unmanned aircraft for research and development, crew training, and market surveys.  Test site designees must complete FAA training, available online or in person, to be authorized to work within this new program.  This new delegation authority will improve access to the test sites by UAS manufacturers, as well as help decrease the workload on the FAA to process UAS experimental certificates.

In April 2008, even before the 2012 Act, the FAA chartered the small UAS Aviation Rulemaking Committee (ARC).  It included members from a wide spectrum across the aviation community, to provide recommendations on how small UAS could be safely integrated into the NAS.  In April 2009, the committee provided recommendations and the FAA began working on a rulemaking that encompassed the widest possible range of small UAS operations.  The approach utilized a regulatory structure similar to the one used for manned aircraft: small UAS operations that pose a low risk to people, property, and other aircraft would be subject to less stringent regulation, while those posing a greater risk would be subject to more stringent regulation to mitigate the greater risk.  Developing this broadly-scoped approach to the rulemaking effort required time to strike the right balance between mitigating safety risks, while also allowing for changing technology and innovation.

On February 15, 2015, the Department and the FAA issued the Small UAS NPRM that would allow small UAS to operate for commercial and other non-recreational purposes without first obtaining an airworthiness certificate, a section 333 exemption or a COA.  The proposed rule would allow unmanned aircraft weighing up to 55 pounds to operate if the operations take place under a set of parameters to maintain safety including operating at speeds below 100 mph and below 500 feet in altitude.  It would allow operations during daylight hours and would require the operator to be able to see the unmanned aircraft at all times.  Rather than requiring a private pilot certificate, operators would obtain an unmanned aircraft operator’s certificate from the FAA by passing a written proficiency test.  Before each flight, operators would conduct a preflight inspection, just as pilots do with manned aircraft today.  The proposal does not permit flight over persons not directly involved in the operation unless they are under a covered structure,, or operating under the proposed microUAS option.  Also, without permission from air traffic control, unmanned flights would be restricted from operating in certain busy airspace or in airspace otherwise restricted to most or all aviation users.  The proposal would offer a flexible framework for the safe use of small unmanned aircraft, while accommodating future innovation in the industry.  The FAA intends to establish a risk-based approach to this rule and to lay a strong foundation that will facilitate safe integration. 

The public comment period on the proposed small UAS rule closed on April 24, 2015.  Issuing a small UAS final rule is one of the FAA’s and the Department of Transportation’s highest priorities.  As proposed, the United States would have one of the most flexible UAS regulatory frameworks in the world.

In addition to the efforts described above, the Administrator recently announced the Pathfinder Program to study UAS operations in circumstances beyond those currently being approved.  The FAA is partnering with three leading U.S. companies that have committed extensive resources to perform research that will help us determine if and how we can safely expand unmanned aircraft operations..  BNSF Railroad will explore the challenges of using these vehicles to inspect rail infrastructure beyond VLOS in isolated areas.  CNN will examine how VLOS operations might be used for newsgathering in urban areas.  Precision Hawk, a UAS manufacturer, will survey crops in rural areas using UAS flying outside of the pilot’s direct vision.  All of this information will help us determine how UAS are ultimately integrated into the NAS.

The FAA also continues to use all available information from its partners as well as its own research and development to identify challenges, validate advanced mitigation strategies, and explore opportunities to proceed in integrating UAS into the NAS.

On May 8, consistent with the direction in the agency’s FY 2014 appropriation, the FAA announced Mississippi State University as the agency’s new Center of Excellence (COE) for UAS.  The COE will focus on research, education, and training in areas critical to safe and successful integration of UAS into the NAS. In addition to Mississippi State, team members include 12 other universities across the country.   This will serve as another resource for identifying solutions for existing and anticipated UAS-related issues.  We intend to forge a union of public sector, private sector, and academic institutions to create a world-class consortium.

 UAS have become increasingly available and affordable to the average consumer, many of whom are not trained aviators.  Manned aircraft operators have reported close calls with UAS flying in the airspace. The FAA is taking a proactive approach to educate the public on the safe and responsible use of UAS.  The FAA provided model aircraft enthusiasts guidance on the “do’s and don’ts” of safe model aircraft operations.  Last year, we partnered with members of industry and the modeling community to initiate the “Know Before You Fly” outreach campaign that provides UAS operators with the information they need to fly safely and responsibly.  The FAA’s No Drone Zone initiative, designed to raise public awareness of the FAA Notice to Airmen prohibiting unauthorized aircraft -- including UAS -- from flying over or near NFL regular- and post-season football games is a success.  The No Drone Zone video posted on YouTube prior to the 2015 Super Bowl has received over 57,000 hits. Most important, we received no reports of unauthorized activity in the restricted airspace around the University of Phoenix Stadium during the game.

Recognizing that local law enforcement is often in the best position to respond quickly, the FAA issued guidance for these first responders to deter, detect, investigate, and report unauthorized or unsafe UAS operations.  While our first preference is to educate UAS operators about statutory and regulatory compliance, we will use administrative and legal enforcement action to gain compliance when appropriate.

We are already looking beyond the small UAS rulemaking at what comes next in terms of the types of operations expected, and what technologies we may need to certify.  The FAA has consulted with the UAS ARC to determine the next areas of focus so we can enable those UAS operations with the highest net societal benefits.  These recommendations are being assessed and will result in additional focus areas that will become the centerpiece for FAA’s strategic plans for UAS integration.

As the aerospace industry and aviation system grow more complex, we must ensure that our resources are directed to the areas with the highest safety risk.  We will need to expand collaborative, data-driven processes with the UAS industry to improve safety and streamline process in areas such as certification.  We must meet challenges and take advantage of opportunities.

To reach these objectives, a new advisory circular is being developed to inform the UAS industry how to use a risk based decision-making process to establish certification criteria.  This advisory circular is essential for enabling the certification of larger UAS for operation in the NAS.

The safe integration of UAS into the NAS will be facilitated by new technologies being deployed as part of the Next Generation Air Transportation System (NextGen).  NAS Voice System (NVS), Data Communications (Data Comm), and System Wide Information Management (SWIM) will provide more information, flexibility, situational awareness and a greater ability to communicate with NAS users.

The United States has the safest aviation system in the world.  Our goal is to integrate this new and important technology while maintaining safety as our highest priority.  We are committed to ensuring that the United States continues to lead the world in the development and implementation of aviation technology for safety.  We look forward to continuing to work with Congress as we integrate UAS into the NAS. 

This concludes my statement.  I will be happy to answer your questions.

STATEMENT OF

MICHAEL HUERTA,
ADMINISTRATOR OF THE
FEDERAL AVIATION ADMINISTRATION,

BEFORE THE

SENATE COMMITTEE ON APPROPRIATIONS,
SUBCOMMITTEEE ON TRANSPORTATION, HOUSING AND URBAN DEVELOPMENT,
AND RELATED AGENCIES

ON

STEPS BEING TAKEN TO INTEGRATE UNMANNED AIRCRAFT SYSTEMS
INTO THE NATIONAL AIRSPACE SYSTEM,

OCTOBER 28, 2015.

Chairman Collins, Senator Reed, Members of the Subcommittee:

I am pleased to appear before you today to discuss a subject that continues to be the topic of a lot of conversation; Unmanned Aircraft Systems or UAS.  Wherever we look, in everything from popular culture to store shelves, UAS seem to be everywhere.  It might appear to some people that UAS suddenly appeared in our skies and are now everywhere, from the White House lawn to the U.S. Open Tennis tournament, sometimes flying too close to commercial aircraft or interfering with firefighting efforts.    Many different departments and agencies within the federal government have responsibilities associated with UAS.  Among other things, the Federal Aviation Administration’s (FAA) responsibility includes the safe and efficient integration of UAS into the National Airspace System (NAS).  In 2012, Congress passed the FAA Modernization and Reform Act of 2012 (2012 Act), which, in part, charged the FAA with safely integrating UAS into the NAS by September 30, 2015.

FAA has recognized the significance of this technology and has adapted organizationally to provide this emerging technology with a commensurate level of attention.  Recently, FAA selected two executives, Marke “Hoot” Gibson and Earl Lawrence, to oversee our UAS integration efforts.  Hoot is the Senior Advisor on UAS integration, reporting directly to the Deputy Administrator.  He will establish a focus on external outreach and education and interagency initiatives.  Earl is the Director of the UAS Integration Office within the FAA’s Safety organization.  He will lead the FAA’s efforts to safely and effectively integrate UAS into the NAS.  Their addition to the FAA team acknowledges the expanded demand of UAS issues both inside and outside the FAA.

At the outset, I would like to discuss the announcement Secretary Foxx and I made last week regarding the creation of a task force to develop recommendations for a registration process for UAS.  The task force will be composed of 25 - 30 diverse representatives from the UAS and manned aviation industries, the federal government and other stakeholders.  The group will advise the Department on which aircraft should be exempt from registration and will also explore options for a streamlined system that would make registration less burdensome for commercial UAS operators.

Registering unmanned aircraft, along with any other measures that the task force may consider, will help build a culture of accountability and responsibility, especially with new users who have no experience operating in the U.S. aviation system.  It will help protect public safety in the air and on the ground.  This culture of accountability and responsibility will in turn help create space for the creativity, innovation and exploration that will drive this industry forward in the years and decades ahead.

There is no doubt that UAS can be of great value to this country.  In accordance with the appropriate authorizations, UAS are being used today to examine infrastructure, survey agriculture, provide  emergency response support, examine damage caused by time or disaster, and go places that would otherwise be dangerous for people or other vehicles.  Entrepreneurs around the world are exploring innovative ways to incorporate the potential of UAS into their corporate activities.  A number of public and commercial operations are being conducted today, including the ones mentioned above, that contribute to public safety and enhance the ability of corporations to achieve important goals.  FAA does not underestimate the importance of integrating the range of UAS technology into the NAS, but there are significant safety challenges that must be mitigated for this to occur. 

For example, we have witnessed a huge influx of casual users, people who fly UAS for entertainment or recreation.  This has become the crux of a growing problem.  UAS introduces, not just a new class of aircraft, but a new class of pilot.  The vast majority of these operators do not have the basic aviation training or experience required for pilots of traditional aircraft.  They have no knowledge that they may be flying in controlled airspace.  Some may have no recognition that their actions could have serious consequences.  They are simply having fun with a toy.

The primary goal of the FAA is to integrate this new class of aircraft and their operators safely and efficiently into the NAS, regardless of whether the operations are recreational or commercial in nature.  Because this new branch of aviation is changing at the pace of human imagination, the FAA believes a flexible framework is imperative.  The UAS industry is developing many new exciting technologies and the FAA must provide a regulatory framework for UAS to operate safely.  Our goal is to provide the basic rules for operators, not identify specific technological solutions that could quickly become outdated. The FAA is creating a safe operational environment for innovators to demonstrate their technologies.  We are doing this through the establishment of basic operational regulations, the issuance of exemptions and experimental certificates, andour continued research and collaboration at our UAS test sites, Center for Excellence, and Pathfinder programs. 

We recognize that the technology associated with unmanned aircraft is continuing to evolve.  This is also true for the many technologies that could further enhance the safety and capabilities of these aircraft.  Earlier this month, we announced a research agreement with CACI International to evaluate technology that identifies unmanned aircraft near airports.  This expansion of the Pathfinder programs is in response to the disturbing reports of UAS by pilots in the airport environment.  Working with our government and industry partners, we will assess this capability in an operational environment without compromising safety. 

Our efforts also include long-term planning, including the ongoing development and finalization of the regulation of small unmanned aircraft.  We are conducting collaborative research and development with interagency partners and the UAS industry.  We have established test sites and airspace for these activities.  The FAA and our government partners have always realized that the best way to succeed is through partnership, whether it be with industry or other governments.  Finding consensus leads to cooperation and willing participation.

Consistent with our approach to other regulations, we are establishing a risk-based approach to the regulations in this area, laying a strong foundation for safe integration.  The concept is balance.  We must develop a broadly scoped approach to rulemaking to identify and mitigate safety risks without stifling innovation and industry performance.  However, a key factor in the success of regulations is the willingness of the operators to follow them.

Integrating UAS means integrating operators into the aviation culture and mindset.  It means creating a general awareness that these devices are not toys and the consequences of misuse can be serious.  We believe the most effective way to accomplish this task is through education.  We want to work through partnerships with model aircraft organizations, manufacturers, and interagency partners, as well through traditional and social media outreach, to ensure that these new operators know when and where they may safely fly.

To this end, with the help of our stakeholders, we developed the “Know Before You Fly” and “No Drone Zone” programs. “Know Before You Fly” offers common sense advice, such as don’t fly near airports, don’t fly in adverse weather, don’t fly under the influence of alcohol or drugs, and don’t fly over people or sensitive infrastructure like power plants.

Our “No Drone Zone” program began with the Super Bowl earlier this year and is tailored to specific events and places, such as the heavily restricted airspace around Washington, D.C.  The No Drone Zone video posted on You-Tube prior to the Super Bowl this year received over 59,000 hits.  Most importantly, we received no reports of unauthorized activity in the restricted airspace around the stadium.

We want people to enjoy their hobby, but we want to make sure they fly safely.  Education, such as the programs noted above, has been our preferred method for successfully integrating UAS operators.  We can never let an educational opportunity slip by.  We need to be creative and collaborative in our approach to reaching the public.  I will share with you two examples of this approach.  Several UAS manufacturers have started to voluntarily include the “Know Before You Fly” safety literature with their product packaging.  We are also trying to reach a broader audience by working with the San Francisco 49ers NFL football team to use their scoreboard to make public service announcements during their games.  We hope to expand this type of outreach in the coming months. 

In order to make it easier for the operator to know when and where it is appropriate to operate a UAS, in particular a model aircraft, we helped develop the B4UFLY mobile app.  This is a simple, intuitive user interface that lets UAS operators know if there are any prohibitions in place for where they are flying or where they want to fly.  There is a color-coded status indicator with text that provides the operator with situational awareness.  Beta-testing of this app is ongoing and the FAA will make adjustments where necessary based on user feedback.  The industry is clearly looking to FAA for leadership in educating the public about the safety parameters for model aircraft operations.  Our vision for this app is that the FAA would continue to support the basic technology, while other companies could augment it with their navigational maps.

As discussed, the FAA believes that partnerships and education are the keys to the success of safe UAS integration.  But to be clear, if the unauthorized operation is intentional or is intended to cause harm, strong and swift enforcement action, including criminal enforcement, will be taken.

When UAS delayed fire-fighting activities in the drought-stricken western states, local law enforcement and forest service personnel were on the front lines dealing with the situation.  We are working with law enforcement agencies to educate them about our rules and to emphasize that, in addition to the FAA’s rules, there are existing state and local laws in areas of reckless endangerment, trespass, and privacy that could apply.  Just because this is a new technology or different than what law enforcement has seen in these areas before does not mean that these laws would not be equally applicable to such acts involving use of UAS.  We want to work with law enforcement because if they encounter unauthorized UAS operations, they can help us to gather evidence and find witnesses that will help with our investigations and enforcement action.  For some, education will never be sufficient.  As with any other activity, we will always have to contend with those who wish to cause mischief or refuse to consider the potential harm their activities might pose to others.

Informing and educating UAS operators is just one piece of integrating these vehicles safely into the NAS.  The 2012 Act provided the Secretary with the authority to issue exemptions that allow for commercial UAS activity in low risk, controlled environments (section 333 exemptions).  After gaining experience with various types of operators, the Department recently expedited its approach for section 333 exemptions.   We are now able to issue summary grants when we find that we’ve already granted a similar exemption.  Summary grants are more efficient because they do not require applicants to repeat analysis that has already been performed.  This streamlined approach now allows the Department to issue between 40 and 50 section 333 exemptions a week.  These exemptions are effectively acting as a bridge until the small UAS final rule is issued, which we are working to complete by next spring.

Additionally, as part of our efforts to streamline the integration of this technology, the FAA has further expedited safe UAS integration and facilitated commercial use by issuing a blanket Certificate of Waiver or Authorization (COA) for flights at or below 200 feet when it issues a section 333 exemption.  The blanket COA can be used for UAS operations that involve aircraft that weigh less than 55 pounds, operate during daytime Visual Flight Rules (VFR) conditions, operate within visual line of sight (VLOS) of the pilots, and stay at the prescribed distances away from airports or heliports. 

From the outset, we have worked closely and successfully with government partners and industry stakeholders to achieve milestones put forward by the 2012 Act.  In coordination with other governmental agencies and industry, we developed two long-term planning documents, the Comprehensive Plan and a five-year Roadmap. We have worked with members of the UAS Executive Committee (ExCom), comprised of representatives of various government agencies and departments with responsibilities in this area, to leverage our collective assets and conduct research and development on UAS integration while ensuring the continued safety of the NAS.  The FAA collaborated with the National Aeronautics and Space Administration (NASA) on studies advancing air traffic control interoperability with future use by UAS of detect-and-avoid (DAA) systems in controlled airspace.  We continue to collaborate with the industry on flight tests to validate RTCA[1] standards for DAA systems as well as command and control radios.  RTCA began work on the standards at the request of the FAA in 2013 and they are scheduled for completion in 2016.  These standards will help resolve two of the difficult challenges facing the industry for integration of UAS into the NAS.  NASA, the FAA, and industry partners have successfully demonstrated a proof-of-concept airborne DAA system and prototype radios for use as command and control systems for UAS. 

We are already looking beyond the small UAS rulemaking at what comes next in terms of the types of operations expected, and what technologies we may need to certify to ensure safety.  The FAA has consulted with the UAS ARC to determine the next areas of focus so we can enable those UAS operations with the highest net societal benefits.  These recommendations are being assessed and will result in additional focus areas that will become the centerpiece for FAA’s strategic plans for UAS integration.

As the aerospace industry and aviation system grow more complex, we must ensure that our resources are directed to those areas which pose the greatest risk to safe aviation operations.  We will need to expand collaborative, data-driven processes with the UAS industry to improve safety and streamline process in areas such as certification.  We must meet challenges and take advantage of opportunities.

The safe integration of UAS into the NAS will be facilitated by new technologies being deployed as part of the Next Generation Air Transportation System (NextGen).  NAS Voice System (NVS), Data Communications (Data Comm), and System Wide Information Management (SWIM) will provide more information, flexibility, situational awareness, and a greater ability to communicate with NAS users.

To enhance safe application of new and emerging technologies, earlier this year, FAA established the Pathfinder Program, which was referenced above.  In the Pathfinder Program we work with three companies to obtain important information on the next steps beyond operational parameters included in the small UAS NPRM.  For visual line of sight operations, FAA is working with CNN on how UAS might be used for news gathering in populated areas.  We are also working with the UAS manufacturer Precision Hawk to explore beyond visual line of sight operations in rural areas.  Precision Hawk will be working to explore how flying beyond the pilot’s direct vision might be used to allow for greater UAS use for crop monitoring in precision agricultural operations.  BNSF Railway will explore command and control challenges of using UAS to inspect rail system infrastructure.  Developing the safe use of this important technology can only benefit how UAS can be used in the future. 

Aviation technology is constantly evolving.  This is certainly not the first time we, as an agency, have been required to integrate new aviation technology into the NAS.  Different aircraft technologies, including jet engines, were required to be accepted operationally and we handled them as they developed.  Today, in addition to UAS, we are working to integrate commercial space technology into the NAS.  Clearly, there will be other technologies that we will be required to integrate moving forward.

I am proud of the team we have brought together and of the approach we are taking to ensure that our airspace continues to be the safest in the world, even as we work to accommodate new technologies that have the potential for changing the way we live our lives.  This is an exciting time to be part of the FAA.  I am happy to have had the opportunity to speak with you this morning and I will be glad to answer any questions you have.

STATEMENT OF

MICHAEL P. HUERTA,
ADMINISTRATOR,
FEDERAL AVIATION ADMINISTRATION

BEFORE THE

COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION,

ON

FEDERAL AVIATION ADMINISTRATION REAUTHORIZATION,

APRIL 14, 2015.

Chairman Thune, Senator Nelson, Members of the Committee:

Thank you for inviting me to speak with you today on the reauthorization of the Federal Aviation Administration’s (FAA) programs.  

It seems it was not that long ago that the FAA was celebrating the passage of the FAA Modernization and Reform Act of 2012 (the Act).  As you know from recent hearings, the FAA continues to work to meet the directives of the Act.  We have completed over three-quarters of the more than 200 reauthorization requirements that Congress directed us to undertake in the Act.  We are proud of what we have achieved and know we still have more work to do.

Aviation was born in America – and has thrived in this country since Wilbur and Orville took their first flight over 100 years ago.  We are truly unique in having the world’s most vibrant and diverse aviation community - commercial carriers, regional carriers, business aviation and recreational flyers, not to mention new users like operators of unmanned aircraft systems (UAS) and commercial space vehicles.   U.S. aircraft and avionics manufacturers produce some our nation’s most valuable exports.  

Our leadership, however, is being challenged globally by the evolution of the industry and the growth of foreign competitors.  Domestically, the FAA faces several particular challenges moving forward:  investing and implementing long-term modernization and recapitalization projects, and quickly adapting to the growth and development of the global aviation industry.  In recent years, funding uncertainties resulting from sequestration, government shutdowns, and short term reauthorization extensions, have hurt the FAA’s ability to efficiently perform our mission, and have impeded our ability to commit to long-term investments.  This means that we need stable, long term funding to effectively operate our air traffic control system, invest in NextGen and efficiently recapitalize our aging facilities.  This would best be achieved with the passage of a long term reauthorization bill that establishes stable long term funding to provide the certainty necessary to plan and implement long term projects.  In times of constrained budgets, we need to prioritize our responsibilities to focus our resources on ensuring the safety and efficiency of the existing aviation system as well as delivering new technology and capabilities, and respond nimbly to evolving challenges such as new external cyber security threats.  Additionally, the agency needs greater flexibility to transfer funding between accounts to meet those challenges.  We cannot risk being left behind as the aerospace industry becomes more complex, diverse, and globalized.  

At the FAA, we have begun laying the foundation for the aviation system of the future and ensuring that the United States continues to play a fundamental role in shaping the global aviation system.  To achieve this, I am focused on several strategic areas: (1) making aviation safer and smarter through risk-based decision making; (2) delivering benefits to the traveling public and industry through technology and infrastructure improvements; (3) fostering a workforce with the skills and innovation necessary to deliver the future system; and (4) reinvigorating our influence around the world through our Global Leadership Initiative. 

To maintain our global leadership – and continue to reap the economic benefits of this industry – I believe we must use the upcoming reauthorization as an opportunity to provide the FAA with the tools necessary to meet the future needs of our industry stakeholders and the traveling public.  Global leadership in aviation is an area that is of mutual concern to all of our stakeholders, this Committee and the Administration.  

Air travel is an invaluable asset to the U.S economy and the FAA shares a responsibility for ensuring that asset is available to the flying public. A long term reauthorization can also lay the groundwork for ensuring consumer protection and fostering competition in the national airspace. Access to small and rural communities can be improved by increasing efficiencies in existing programs, and air travel can be made more accessible to those with disabilities. Because the flying public relies on services the FAA provides every day, because aviation is a tremendous asset to our economy, and because of our global leadership role, we must take steps to ensure the FAA is well-positioned to meet the challenges the aviation industry faces.  A lot is at stake here, so getting things right is vital.

To succeed, we will need to unite the interests of industry and the flying public around our priorities and I welcome the opportunity to continue this dialogue on how best to move forward.  With a unified view on the right tools and initiatives, this upcoming reauthorization will give the FAA a tremendous opportunity to make a difference for the traveling public and the economy, while addressing the challenges that the changing industry presents.  

Making Aviation Safer and Smarter through Risk Based Decision Making

The aerospace industry is growing more complex, and is not the same industry we regulated in decades past, or even a few years ago.  Several factors in particular are increasing the complexity of the industry and introducing different types of safety risk into the system.  These factors include new aerospace designs and technologies (e.g., UAS), changes in the FAA’s surveillance and oversight model (e.g., designee management programs), and different business models for the design and manufacture of aircraft and products (e.g., more global supply chains).  In order to leverage FAA’s limited resources, we must ensure that they are directed at areas with the highest safety risk.  Because commercial aviation accidents are becoming rare occurrences, the FAA needs to build on these safety successes and identify and mitigate precursors to accidents to better manage aviation safety and ensure we continue to have the safest aviation system in the world.

Reauthorization can help us succeed with this initiative by establishing and fostering risk-based safety approaches to aviation oversight; expanding collaborative, data-driven safety processes with industry to improve safety; and accelerating risk-based certification mechanisms in order to achieve more streamlined processes in areas such as certification.  I know you have heard from industry that this is important from their perspective in order to improve their competiveness in a global market.

Delivering benefits through technology and infrastructure in the National Airspace System (NAS)

This initiative lays the foundation for the NAS of the future by achieving prioritized NextGen benefits, integrating new user entrants, and delivering more efficient streamlined services.  The nation’s air traffic system is based on infrastructure that was largely built 50 years ago and is out of balance with our stakeholders’ changing needs and is increasingly costly to maintain.  Over the past 10 years, the agency has seen dramatic technological change, fuel price fluctuations, congestion concentrated in fewer hubs and an increasing backlog of much needed infrastructure, maintenance and modernization.   

Building the NAS of the future and accommodating new services will require difficult decisions.  FAA needs the flexibility to modify its service levels to match changing industry air traffic demands.  This is essential in order to reduce costs and become more efficient in the long run. The network of FAA facilities, infrastructure, and technology is aging and sprawling and needs to be addressed. Over the next four years, it will be important to find a path so the NAS can undergo a transformation to a more efficient system with increased safety and user benefits.  This means expanding collaborative efforts with industry stakeholders to implement NextGen.  We need to continue to ensure that industry makes timely and necessary equipage investments to maximize the widespread deployment of NextGen.    The NAS strategy sets a framework for prioritizing investment decisions and delivering measurable benefits.  We can’t afford a “business as usual” approach, especially if we want to maintain U.S. global influence.  We need reauthorization to allow the FAA to better align our resources with the needs of the NAS by providing the FAA greater flexibility to modify our service levels to support changing industry demand, and by establishing a collaborative, transparent, and binding process to modernize FAA’s facilities and equipment and match our footprint to the demand for air travel.

NextGen is already redefining the NAS and delivering benefits to system users, such as reduced fuel costs, reduced delays, and reduced environmental impacts.  Reauthorization can enable the FAA to enhance delivery of widespread benefits by expanding collaboration with industry to continue NextGen implementation.  This includes collaborative efforts to ensure that industry makes timely and necessary equipage investments, working with industry to clarify and enhance milestones with hard deadlines for all NextGen projects and define measurable user benefits and deadlines for the delivery of those benefits.  

Reauthorization should establish flexibilities, such as exemptions from existing law, needed to enable the safe and efficient integration of new users, including UAS and commercial space transportation vehicles, into the NAS, encouraging these innovative technologies.  Last month, we issued a notice of proposed rulemaking that represents a big step forward in outlining the framework that will govern the use of small unmanned aircraft weighing less than 55 pounds.  The proposed small UAS rule offers a very flexible framework that provides for the safe use of small unmanned aircraft, while also accommodating future innovation in the industry.  We are doing everything we can to safely integrate these aircraft while ensuring that the United States remains the leader in aviation safety and technology. Reauthorization should support the development of tools and regulations to safely and efficiently integrate new users, including UAS and commercial space vehicles, into the NAS.

Finally, the nation’s airport infrastructure must also be maintained.  We propose to increase the Passenger Facility Charge to $8 to allow for needed investments in commercial service airports.  Restructuring funding for the Airport Improvement Program (AIP) to better respond to the needs of smaller airports is also critical to ensuring that all users of the system have the infrastructure in place to meet their future needs.

Empowering and innovating with the Workforce of the Future

As our strategic initiatives suggest, FAA is embarking on a major transformation that can only be accomplished if it has a workforce that is prepared with the skills and mindsets to drive the needed change.  Reauthorization can support long term workforce planning and implement policies that will foster the strong, skilled, accountable workforce necessary to implement NextGen. Strong leadership is required from all levels of the agency to communicate the vision, implement the priority initiatives, and ensure that transformational impact will be sustained.  The movements toward risk-based decision making, transforming the NAS through streamlined services, acceleration of NextGen benefits, and integrating new users to the system require new technical and functional skills, and a cultural shift in how the agency works. 

To stay accountable to the public, the FAA will also refine its publicly available agency performance scorecard to clearly and publically acknowledge major changes to program’s milestones, deadlines, costs, savings, or benefits. Monthly reporting on the agency’s website on the performance of the agency and aviation industry in meeting these goals will help ensure that the FAA remains transparent and accountable to its mission.

We are in the midst of a retirement wave, which presents both challenges and opportunities.   It is important to set the foundation to empower and to innovate with tomorrow’s FAA employees.  The FAA needs to harness the collective strength of the agency’s employees.  The FAA’s workforce is the ultimate driver of our success, which means that the agency must attract and develop the best and brightest talent, with the appropriate leadership and technical skills to undertake a necessary transformation.  

Enhancing Global Leadership

To enhance our global leadership position, we need to show the world how to achieve the next level of safety, deliver the technological capabilities to modernize air traffic management, and integrate new users seamlessly into the NAS.  While aviation was invented in America, there is no guarantee that the United States will continue to shape the second century of flight.   As other nations have seen their aviation systems grow dramatically they have become significantly more influential on the international stage and this presents safety, efficiency, and competitive challenges for both the FAA and U.S. businesses   The FAA needs to be at the table to shape and harmonize international standards to effectively address these issues.  This means we need to increase collaboration with industry and leverage our international relationships. The FAA also needs to strengthen the U.S. presence and role at the International Civil Aviation Organization (ICAO) and other international forums.

The United States benefits from global leadership with increases in safety, efficiency, environmental sustainability, exports, and leverage to achieve broader international objectives.  FAA programs promote seamless connectivity across borders for air navigation and product exchanges.  Worldwide acceptance of U.S. policies and regulatory approaches removes barriers for the U.S. aerospace industry.  The global leadership initiative ensures that the FAA maintains its external engagement and internal structure to continue improving the safety and efficiency of global aviation.  To help us succeed, we need reauthorization to provide the budget stability over a long term that will prevent disruptions to our services and participation in the global aviation community, and demonstrate our commitment to aviation.

Conclusion

I have outlined our aspirations, our challenges, and some guiding principles and ideas for how reauthorization could help advance safety improvements, make the national airspace system more efficient, improve service for air travelers and other stakeholders, and enhance America’s leadership in aviation.  

What I have outlined today is a bold aspiration for the FAA, and will span far beyond the next four years.  However, we are also committed to seeing measurable and steadfast progress that will achieve tangible benefits to users of the system by 2019.  The rapidly changing industry, the technological opportunities, the uncertain fiscal environment, an evolving workforce, and the global backdrop comprise a compelling case for transformational change, and that is what the FAA expects to achieve.

I like to believe we share a common vision for the FAA and its role in the future of aviation, domestically and globally.  I hope that this mutual goal will enable us to work closely in the coming months to agree upon the changes necessary for the FAA to achieve the initiatives I have outlined today.

Mr. Chairman, Ranking Member, I am eager to work with you and the committee as we strive to achieve the appropriate path for the future of aviation and the economic engine it represents.