NOAA AIRCRAFT

Aging Fleet and 

Future Challenges 

Underscore the Need 

for a Capital Asset 

Plan

Report to Congressional Committees

July 2014

GAO-14-566

United States Government Accountability Office
United States Government Accountability Office

Highlights of GAO-14-566, a report to 

congressional committees

July 2014

NOAA AIRCRAFT

Aging Fleet and Future Challenges Underscore the 

Need for a Capital Asset Plan

Why GAO Did This Study

NOAA’s aircraft play a critical role in 

collecting scientific data to help NOAA 

advance understanding of changes in 

the environment and manage ocean 

and coastal resources. NOAA uses its 

aircraft for a wide range of scientific 

missions. In fiscal year 2013, NOAA’s 

aircraft flew hundreds of flights and 

logged about 3,900 flight hours. NOAA 

officials predict that expanding mission 

needs will lead to increased demand 

for aircraft services. To address such

challenges, NOAA has been working to 

improve its capital asset planning and 

management for aircraft. 

A House committee report on the 

Consolidated and Further Continuing 

Appropriations Act, 2013, mandated 

GAO to examine various issues 

regarding NOAA’s aircraft. This report 

examines (1) the status of NOAA’s 

efforts to improve its aircraft planning 

and management and the extent to 

which these efforts reflect leading 

practices and (2) challenges NOAA 

faces in improving its aircraft asset 

planning and management. GAO 

analyzed aircraft cost and flight hour 

data from fiscal year 2004 through

fiscal year 2013, reviewed agency 

planning and management documents, 

and interviewed agency officials. GAO 

reviewed capital asset planning 

guidance from OMB to identify leading 

practices. 

What GAO Recommends

GAO recommends that the NOAA 

Administrator ensure that the agency 

links and integrates its multiple 

planning efforts as it finalizes a 

comprehensive capital asset plan for 

aircraft. NOAA concurred with the 

recommendation.

What GAO Found

The National Oceanic and Atmospheric Administration (NOAA) within the 

Department of Commerce has 34 efforts aimed at improving its aircraft asset 

planning and management, some of which are ongoing, while others are under 

way or planned; however, because these efforts are not yet fully implemented, it 

is too early to determine whether they will reflect the leading practices in capital 

asset management that have been identified by the Office of Management and 

Budget (OMB). Among NOAA’s initiatives are efforts to enhance its process for 

scheduling aircraft use among NOAA offices and to develop new aircraft 

performance metrics. NOAA’s efforts also include the development of multiple 

long-term plans that together are intended to constitute a capital asset plan for 

aircraft. OMB leading practices encourage agencies to have capital asset 

plans—which help provide agencies with information and analysis to make longterm decisions about acquiring and managing capital assets—as a part of their 

strategic planning efforts, but NOAA currently does not have such a plan for its 

aircraft. NOAA expects to complete its various improvement efforts related to 

aircraft asset planning and management by fiscal year 2017.

Examples of NOAA Aircraft

NOAA faces challenges in improving its aircraft asset planning and management. 

NOAA’s complex approach to creating a capital asset plan for aircraft may 

present challenges because it will comprise multiple stand-alone plans, and 

critical planning information and analysis on different types of assets will be 

spread across different documents. NOAA is in the early stages of some of these 

planning efforts and has not yet determined how, or whether, it will link and 

integrate the plans with one another to ensure that they will serve as a 

comprehensive plan. NOAA has faced challenges in finalizing a capital planning 

effort in the past. In 2009, NOAA leadership suspended a planning effort 

intended to address the agency’s future aircraft needs in order to incorporate 

additional aircraft-related information, according to NOAA officials; the agency 

subsequently began its current planning effort 4 years later, in 2013. The 

importance of a capital asset plan is underscored by the significant decisions 

NOAA faces regarding its aircraft fleet, particularly its two operating P-3 Orion 

aircraft that are in high demand for hurricane work (see fig.). For example, given 

that the P-3 Orion aircraft are nearly 40 years old, NOAA faces decisions on 

whether to invest in additional costly service life extensions or replace the 

aircraft. Linking and integrating its multiple planning efforts could help NOAA 

demonstrate that it has a capital asset plan consistent with OMB guidance. 

Without a capital asset plan in place, NOAA risks making decisions that will not 

allow the agency to effectively address future challenges.

View GAO-14-566. For more information, 

contact Anne-Marie Fennell at (202) 512-3841 

or FennellA@gao.gov.
Page i GAO-14-566 NOAA Aircraft

Letter 1

Background 4

NOAA Has Numerous Efforts to Improve Aircraft Asset Planning 

and Management, but It Is Too Early to Determine Whether 

They Reflect Leading Practices 9

NOAA Faces Challenges in Improving Its Aircraft Asset Planning 

and Modernizing Its Fleet 13

Conclusions 16

Recommendation for Executive Action 17

Agency Comments and Our Evaluation 17

Appendix I Objectives, Scope, and Methodology 18

Appendix II Key Principles in Capital Asset Planning 20

Appendix III Comments from the Department of Commerce 22

Appendix IV GAO Contact and Staff Acknowledgments 24

Tables

Table 1: National Oceanic and Atmospheric Administration’s Line 

Offices and Aircraft Uses 4

Table 2: Examples of Office of Management and Budget Leading 

Practices in Asset Management 9

Table 3: Five Key Capital Asset Planning Principles 20

Figures

Figure 1: National Oceanic and Atmospheric Administration’s 

Office of Marine and Aviation Operations-Managed 

Aircraft Fleet 6

Figure 2: National Oceanic and Atmospheric Administration’s 

Office of Marine and Aviation Operations-Managed 

Contents
Page ii GAO-14-566 NOAA Aircraft

Aircraft Fleet Flight Hours and Associated Costs, Fiscal 

Years 2004-2013 7

Figure 3: National Oceanic and Atmospheric Administration’s 

Office of Marine and Aviation Operations Aircraft Asset 

Planning and Management Improvement Efforts 12

Abbreviations

NOAA National Oceanic and Atmospheric Administration

OMAO Office of Marine and Aviation Operations

OMB Office of Management and Budget

This is a work of the U.S. government and is not subject to copyright protection in the 

United States. The published product may be reproduced and distributed in its entirety 

without further permission from GAO. However, because this work may contain 

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Page 1 GAO-14-566 NOAA Aircraft

441 G St. N.W.

Washington, DC 20548

July 9, 2014

The Honorable Barbara Mikulski

Chairwoman

The Honorable Richard C. Shelby

Ranking Member

Subcommittee on Commerce, Justice, Science, and Related Agencies

Committee on Appropriations

United States Senate

The Honorable Frank Wolf

Chairman

The Honorable Chaka Fattah

Ranking Member

Subcommittee on Commerce, Justice, Science, and Related Agencies

Committee on Appropriations

House of Representatives

For the National Oceanic and Atmospheric Administration (NOAA) within 

the Department of Commerce, aircraft play a critical role in collecting 

scientific data for advancing understanding of changes in the Earth’s 

environment, collecting data necessary for weather and water forecasts, 

and conserving and managing ocean and coastal resources. In fiscal year 

2013, NOAA’s nine planes—which range in size from small twin-engine 

aircraft to large four-engine P-3 Orion aircraft—flew hundreds of flights in 

support of missions and logged about 3,900 flight hours. NOAA’s Office of 

Marine and Aviation Operations (OMAO) provides aircraft services to 

NOAA’s line offices through the management, maintenance, and 

operation of these NOAA-owned aircraft.1 Scientists within NOAA’s line 

offices rely on OMAO-operated aircraft to collect a wide range of data 

such as hurricane wind speeds, marine mammal population counts, and 

air pollution measurements. In addition, OMAO coordinates the chartering 

of commercial aircraft for approximately half of NOAA’s line office mission 

needs because NOAA-owned and operated aircraft are unable to meet all 

of these needs, according to NOAA officials. NOAA predicts that 

 1

NOAA’s six line offices are the National Environmental Satellite, Data, and Information 

Service; National Marine Fisheries Service; National Ocean Service; National Weather 

Service; the Office of Oceanic and Atmospheric Research; and Program Planning and 

Integration. 
Page 2 GAO-14-566 NOAA Aircraft

expansion of line office mission needs will lead to increased demand for 

aircraft services in the future.

To address these needs, OMAO developed a strategic plan in 2012,2

outlining a new approach for improving its capital asset planning for 

aircraft and the efficiency and effectiveness of its aircraft asset 

management. The importance of effective asset planning and 

management has been highlighted in the Office of Management and 

Budget’s (OMB) Circular A-11 and its supplemental Capital Programming 

Guide,3 which has been emphasized in our prior work. For example, as 

we previously found, the crux of the capital decision-making process is 

capital asset planning.4 The ultimate product of capital asset planning is a 

comprehensive capital asset plan. These plans can provide critical 

information about evolving agency needs, analysis of performance gaps 

between capacity and needs, and analysis of the cost-effectiveness and 

performance implication of various alternative strategies for meeting 

those needs. This information helps agencies determine the best strategy 

for meeting their needs, for example by acquiring new aircraft, upgrading 

existing aircraft, increasing their reliance on nonagency assets, or other 

strategies. Our previous work has stressed the importance of developing 

a capital asset plan to help ensure that assets are managed to achieve 

performance goals and objectives with minimal risk, lowest life-cycle 

costs, and the greatest benefits to the agency’s business.5 In addition, 

OMB discusses the importance of effective asset management through 

such leading practices as collecting information on asset utilization and 

the extent to which assets contribute to strategic agency goals.

 2

Office of Marine and Aviation Operations, 2012-2016 OMAO Strategic Plan (Mar. 23, 

2012).

3

OMB, Preparation, Submission, and Execution of the Budget, Circular A-11 (revised 

2013) and OMB, Capital Programming Guide Supplement to Circular A-11: Planning, 

Budgeting, and Acquisition of Capital Assets (revised 2013). Capital programming 

consists of four phases: (1) planning, (2) budgeting, (3) acquiring, and (4) managing 

assets. This report focuses on the planning and management phases of capital 

programming. 

4

GAO, Budget Issues: Agency Implementation of Capital Planning Principles Is Mixed, 

GAO-04-138 (Washington, D.C.: Jan. 16, 2004).

5

GAO, Federal Capital: Three Entities’ Implementation of Capital Planning Principles Is 

Mixed, GAO-07-274 (Washington, D.C.: Feb. 23, 2007).
Page 3 GAO-14-566 NOAA Aircraft

The House Appropriations Committee report for a Department of 

Commerce fiscal year 2013 appropriations bill mandated us to examine 

various issues associated with NOAA’s aircraft.6 This report examines 

(1) the status of NOAA’s efforts to improve its aircraft planning and 

management and the extent to which these efforts reflect leading 

practices and (2) challenges NOAA faces in improving its aircraft asset 

planning and management.

To examine the status of NOAA’s efforts to improve its aircraft asset 

planning and management, we identified and reviewed agency project 

and strategy documents stemming from OMAO’s 2012 strategic plan and 

interviewed agency officials responsible for aircraft management, 

operations, and maintenance. We focused on efforts specific to aircraft 

assets and excluded efforts related to other aspects of NOAA’s 

operations, such as those related to its ship fleet. To determine the extent 

to which NOAA’s efforts reflect applicable guidance and leading practices, 

we reviewed OMB guidance to identify leading practices that are 

important for effective asset management. These leading practices are 

primarily found in OMB’s Circular A-11 and the supplemental Capital 

Programming Guide. In addition, we reviewed OMB’s Circular A-76, 

which provides guidance to federal agencies regarding the use of 

services provided by the private sector to meet agency needs, and 

Circular A-126, which provides guidance on the management and use of 

government aircraft.7 To obtain additional insight into leading practices, 

we also reviewed our reports that discuss the application of these leading 

practices by various agencies.8 To identify challenges NOAA faces in 

improving its aircraft asset planning and management, we reviewed 

agency documents and interviewed agency officials, including users of 

aircraft as well as officials responsible for aircraft asset planning and 

management. Appendix I provides additional information on our 

objectives, scope, and methodology.

 6

H. R. Rep. No. 112-463, at 28-9 (2012); see also 159 Cong. Rec. S1287 (daily ed. Mar. 

11, 2013) (explanatory statement with regard to H.R. 933, which became the Consolidated 

and Further Continuing Appropriations Act of 2013, Pub. L. No. 113-6, and which 

incorporated the House Report by reference).

7

OMB, Performance of Commercial Activities, Circular A-76 (revised 2003) and OMB, 

Improving the Management and Use of Government Aircraft, Circular A-126 (revised 

1992).

8

See for example GAO, U.S. Postal Service: Actions Needed to Strengthen the Capital 

Investment Process, GAO-14-155 (Washington, D.C.: Jan. 7, 2014) and GAO-07-274.
Page 4 GAO-14-566 NOAA Aircraft

We conducted this performance audit from July 2013 to July 2014 in 

accordance with generally accepted government auditing standards. 

Those standards require that we plan and perform the audit to obtain 

sufficient, appropriate evidence to provide a reasonable basis for our 

findings and conclusions based on our audit objectives. We believe that 

the evidence obtained provides a reasonable basis for our findings and 

conclusions based on our audit objectives.

Since NOAA was established in 1970, the agency has operated aircraft to 

aid in the collection of earth observation data to understand and predict 

changes in climate, weather, oceans, and coasts; collect data necessary 

for weather and water forecasts; and help conserve and manage coastal 

and marine ecosystems and resources. To help NOAA’s line offices 

accomplish this mission, OMAO—an administrative office organized 

under NOAA’s Deputy Undersecretary for Operations—is charged with 

maintaining and operating NOAA’s aircraft as a service to the line offices. 

The responsibilities of the line offices are widely varied, and their aircraft 

needs are similarly varied. For example, the National Weather Service 

relies on NOAA aircraft to determine the water content of snow and 

collect data to support its forecast and warning responsibilities. In 

contrast, the National Marine Fisheries Service uses NOAA aircraft to 

count marine mammals and track the location of whale pods. Table 1 

provides information on NOAA’s line offices and how each uses NOAA 

aircraft to accomplish its work.

Table 1: National Oceanic and Atmospheric Administration’s Line Offices and Aircraft Uses 

Line office Line office mission

Example of how line office

uses the National Oceanic and

Atmospheric Administration’s aircraft

National Environmental Satellite, 

Data, and Information Service 

Provide timely access to global environmental 

data from satellites and other sources to 

promote, protect, and enhance the nation’s 

economy, security, environment, and quality 

of life.

Gather information on surface wind speed and 

direction to help calibrate satellite data instruments.

National Marine Fisheries 

Service 

Promote stewardship of living marine 

resources through science-based 

conservation and management and the 

promotion of healthy ecosystems.

Conduct marine mammal surveys and population 

counts.

National Ocean Service Provide science-based solutions through 

collaborative partnerships to address evolving 

economic, environmental, and social 

pressures on the nation’s oceans and coasts.

Conduct gravity studies, coastal and habitat 

mapping, and emergency response surveys.

Background
Page 5 GAO-14-566 NOAA Aircraft

Line office Line office mission

Example of how line office

uses the National Oceanic and

Atmospheric Administration’s aircraft

National Weather Service Provide weather, water, and climate data, 

forecasts, and warnings for the protection of 

life and property and enhancement of the 

national economy.

Conduct hurricane reconnaissance when needed, 

hurricane research in coordination with the Office of 

Oceanic and Atmospheric Research, winter storm 

research, snowpack water content, and soil 

moisture measurements.

Office of Oceanic and 

Atmospheric Research

a

Provide the research foundation for 

understanding the complex systems that 

support the planet.

Conduct weather, climate, and air quality 

atmospheric research, ocean salinity, current, and 

wave profiling, sea spray and temperature profiling, 

and arctic flux research. 

Source: GAO analysis of National Oceanic and Atmospheric Administration documents. I GAO-14-566

Note: A sixth line office, Program Planning and Integration, does not perform NOAA mission work, but 

it instead coordinates agency administrative functions among the line offices, such as budget 

formulation and strategic planning.

a

Hurricane reconnaissance involves flying directly into the center of a hurricane to determine the 

location of the eye of a storm and measure wind speed in real time. Although hurricane 

reconnaissance is largely performed by the Air Force’s 53rd Weather Reconnaissance Squadron, 

NOAA’s heavy aircraft are also capable of conducting hurricane reconnaissance when needed. 

Reconnaissance data are used to improve existing hurricane track and intensity forecasts. In 

contrast, hurricane research focuses on gathering the data required to improve methods and 

measurements, as well as to improve accurate forecasting and prediction models for future use. 

These models are used to make decisions related to storm preparation, such as whether or not to 

evacuate an area.

To meet the diverse needs of the line offices, OMAO procures, manages, 

operates, and maintains a fleet of aircraft capable of functioning in 

demanding environments such as over open ocean, mountains, coastal 

wetlands, arctic pack ice, and in and around hurricanes and other severe 

weather systems. NOAA-owned aircraft are unique in that they have been 

altered to accommodate a wide range of specialized scientific data 

collection instruments, some of which are specifically designed for use in 

NOAA aircraft. For example, NOAA’s Gulfstream IV-SP and P-3 Orion 

planes can carry a tail Doppler radar, which is used to gather information 

about winds and precipitation within tropical storms and cyclones. These 

planes are the only government-owned aircraft used for hurricane 

research to improve the forecasting of a hurricane’s track and intensity. 

NOAA’s P-3 Orion aircraft also facilitate testing of new scientific 

instrumentation and data collection strategies. NOAA operates heavy 

aircraft capable of flying in tropical cyclones; light aircraft that conduct 

shoreline change assessments, oil spill investigations, snow surveys for 

spring flood forecasts, and other missions; and unmanned aircraft 

systems. For fiscal years 2009 to 2013, OMAO’s costs associated with 

operating and maintaining heavy aircraft accounted for, on average, 85 

percent of its total aircraft costs. Figure 1 shows NOAA’s aircraft fleet.
Page 6 GAO-14-566 NOAA Aircraft

Figure 1: National Oceanic and Atmospheric Administration’s Office of Marine and Aviation Operations-Managed Aircraft 

Fleet

Notes: The National Oceanic and Atmospheric Administration (NOAA) is in the process of disposing 

of one P-3 Orion aircraft and has recently disposed of two Rockwell Shrike Commander aircraft. 

Because these aircraft are not in operation, they are not shown in this figure.
Page 7 GAO-14-566 NOAA Aircraft

NOAA also has six PUMA and 1 MANTA that are both unmanned aircraft systems being evaluated by 

the Office of Oceanic and Atmospheric Research for transition into routine operations.

NOAA’s aircraft fly approximately 3,800 to 5,200 flight hours per year. 

The majority of these hours are funded by OMAO’s budget. However, line 

offices may also request flight time on NOAA-owned planes that is paid 

for with line office funds. For example, the National Marine Fisheries 

Service is funding 210 flight hours to conduct Steller sea lion and harbor 

seal surveys for June to September 2014. NOAA’s planes conduct 

missions for other agencies on a reimbursable basis, as well. Figure 2 

shows NOAA’s aircraft flight hours and associated costs for fiscal years 

2004 to 2013.

Figure 2: National Oceanic and Atmospheric Administration’s Office of Marine and 

Aviation Operations-Managed Aircraft Fleet Flight Hours and Associated Costs, 

Fiscal Years 2004-2013

Note: Total costs include Office of Marine and Aviation Operations funds, reimbursable funds, and 

line office funds that include all agency transfers for aircraft support, purchase of scientific equipment, 

catastrophic maintenance, and other support.

As noted, NOAA’s aircraft fleet capacity is limited, and line office needs 

exceed capacity. When NOAA line office scientists are unable to obtain 
Page 8 GAO-14-566 NOAA Aircraft

time on NOAA-owned aircraft, they must wait until NOAA aircraft become 

available, rely on chartered aircraft, contract for data, or forgo the use of 

aircraft. NOAA’s ability to meet line office needs for aircraft is further 

affected by the requirements placed on NOAA’s aircraft by the National 

Hurricane Operations Plan, which details interdepartmental agreements 

and responsibilities related to tropical cyclone forecasting.9 Although most 

hurricane reconnaissance is conducted by Air Force aircraft, NOAA is 

required to make its P-3 Orion aircraft available if the Air Force is unable 

to meet the reconnaissance needs posed by severe weather events. One 

of NOAA’s two operating P-3 Orion planes must be configured and 

available to conduct reconnaissance each hurricane season from June 1 

to November 30, and the other P-3 Orion must be available from July 15 

to September 30. During these months, the P-3 Orion planes are 

generally not available for other uses. NOAA officials also told us that 

they expect the line offices’ missions will expand in the future, thereby 

increasing their need for aircraft services. For example, one National 

Weather Service official told us that agency has recently been tasked with 

additional responsibilities related to measuring soil moisture for 

agricultural purposes, which will require additional aircraft time to carry 

out. The OMAO strategic plan likewise notes that the agency faces 

challenges in providing services to meet a growing demand for scientific 

data.

To help agencies address capacity limitations such as these, OMB 

guidance suggests agencies should engage in effective capital asset 

planning and management to ensure that their assets are acquired, 

operated, and maintained at the right size, cost, and condition to support 

agency missions and objectives. Regarding capital asset planning, both 

OMB guidance and our past work stress the importance of linking capital 

asset investments to an organization’s overall mission and long-term 

strategic goals. The guidance also emphasizes evaluating a full range of 

alternatives to bridge any identified performance gap, informed by agency 

asset inventories that contain condition information. Further, the guidance 

calls for a comprehensive decision-making framework to review, rank, 

 9

Office of the Federal Coordinator for Meteorological Services and Supporting Research, 

National Hurricane Operations Plan (May 2013). The plan provides the basis for 

implementing agreements reached at the Interdepartmental Hurricane Conference, which 

is sponsored annually by the Office of the Federal Coordinator for Meteorological Services 

and Supporting Research. The goal of the conference is to bring together federal agencies 

to achieve agreement on items of mutual concern related to tropical cyclone forecasting 

and warning services for the Atlantic and Pacific Oceans.
Page 9 GAO-14-566 NOAA Aircraft

and select from among competing project proposals. The ultimate product 

of the planning phase is a comprehensive capital asset plan, which 

defines the long-term capital decisions that resulted from the agency’s 

capital planning process. Both OMB guidance and our past work highlight 

the importance of developing a capital asset plan. Appendix II provides 

additional information on the key principles in capital asset planning. 

Regarding capital asset management, OMB guidance encourages 

agencies to adopt leading practices such as monitoring of asset 

inventory, operations, and performance. Table 2 shows examples of OMB 

leading practices in capital asset management.

Table 2: Examples of Office of Management and Budget Leading Practices in Asset 

Management

Asset

management practices Information required 

Monitor inventory Cost and condition of assets

Monitor operations Operations and maintenance data and strategies

Monitor performance Operating costs, utilization measures, mission 

dependency measures, customer satisfaction 

measures, and measures of contributions to 

strategic and financial goals

Source: GAO analysis of Office of Management and Budget guidance. I GAO-14-566

NOAA has 34 efforts aimed at improving its aircraft asset planning and 

management, according to agency officials, some of which are ongoing 

while others are under way or planned; however, because most of these 

efforts are not yet fully implemented, it is too early to determine whether 

they will reflect OMB leading practices in capital asset programming. 

Many of the efforts are designed to obtain additional or enhanced 

information about the use or condition of NOAA’s aircraft assets, 

according to agency officials. For example, NOAA has completed an 

effort to automate and integrate its various software applications for 

tracking aircraft use, maintenance, and repair. In addition, according to 

agency officials, many of NOAA’s efforts are intended to contribute to the 

development of a capital asset plan for its aircraft—a plan that NOAA 

does not currently have.

Generally, NOAA’s efforts fall into the following categories:

• Assets: NOAA has eight efforts related to upgrading, using, or 

disposing of certain aircraft assets. For example, in 2013, NOAA 

NOAA Has Numerous 

Efforts to Improve 

Aircraft Asset 

Planning and 

Management, but It Is 

Too Early to 

Determine Whether 

They Reflect Leading 

Practices
Page 10 GAO-14-566 NOAA Aircraft

completed an extensive multi-year process to identify and validate 

NOAA line offices’ information needs. NOAA also updated its annual 

process for scheduling and allocating aircraft flight hours to better 

prioritize aircraft use in meeting these needs. NOAA is in the process 

of disposing of a non-operational P-3 Orion aircraft. Other efforts 

include a project to replace the wings of its two remaining operational 

P-3 Orion aircraft and upgrade the camera systems on its PUMA 

unmanned aircraft system.

• Collaboration: NOAA has five efforts related to improving collaboration 

with other federal agencies. For example, NOAA has an effort to 

improve collaboration regarding the use of unmanned aerial systems 

and an effort to evaluate opportunities for placing NOAA personnel 

with other federal agencies, such as the National Science Foundation 

and the Office of Naval Research, to learn about their operations and 

gain expertise that could be transferred to NOAA.

• Measures: NOAA has three efforts that are intended to improve the 

quantity or accuracy of performance measures regarding aircraft. For 

example, NOAA has an effort under way to improve the accuracy and 

comprehensiveness of the information it gathers and analyzes to 

measure aircraft performance. Currently, NOAA uses the number of 

hours flown by its aircraft on missions as its aircraft performance 

measure, but the agency is working to potentially expand its 

measures to include the information on the amount and quality of 

scientific data collected during those hours.

• Plans: NOAA has eight efforts involving the creation of long-term 

plans that together are intended to serve as a comprehensive capital 

asset plan. For example, NOAA is developing a broad “airborne 

composition plan” that is being designed to analyze information on 

future aircraft needs and guide the future composition of NOAA’s fleet. 

According to NOAA officials, this plan will rely on the recently 

completed effort that identified the information needs of NOAA’s line 

offices. The plan is also expected to assess whether these needs can 

be met with existing assets or whether other options should be 

considered, such as acquiring additional aircraft or other assets, 

relying on aircraft operated by other federal agencies, chartering 

commercial aircraft, or other options. In a related effort, NOAA is also 

working to develop an analysis of options for repairing or replacing its 

heavy aircraft in the future. NOAA also intends to develop a plan 

related to unmanned aircraft systems, as well as workforce plans that 

will cover aircraft administration, management, and operations 

personnel.
Page 11 GAO-14-566 NOAA Aircraft

• Policies and data: NOAA has 10 efforts related to updating existing 

policies and conducting data analysis. For example, NOAA has an 

effort to revise its safety management policies and is working to 

analyze the organizational structure of OMAO to identify opportunities 

for improving its ability to deliver aircraft services.

Regarding the status of these 34 NOAA efforts aimed at improving aircraft 

asset planning and management, 5 efforts have been completed, 23 

efforts are ongoing, and 6 efforts are scheduled to begin within the next 3 

years. NOAA expects to complete all 34 efforts by fiscal year 2017. 

Figure 3 shows the status of NOAA’s 34 efforts aimed at improving 

aircraft capital asset planning and management.
Page 12 GAO-14-566 NOAA Aircraft

Figure 3: National Oceanic and Atmospheric Administration’s Office of Marine and 

Aviation Operations Aircraft Asset Planning and Management Improvement Efforts

a

NOAA Corps is one of the seven U.S. federal uniformed services, along with the Army, Marine 

Corps, Navy, Air Force, Coast Guard, and the Public Health Service Commissioned Corps. The 

NOAA Corps consists of 321 commissioned officers with specialized training in engineering, earth 
Page 13 GAO-14-566 NOAA Aircraft

sciences, oceanography, meteorology, fisheries science, and other related disciplines. In addition to 

flying NOAA aircraft, NOAA Corps officers operate NOAA ships, manage research projects, conduct 

diving operations, and serve in staff positions throughout NOAA.

Given the preliminary or planned status of many of NOAA’s efforts, we 

cannot determine the extent to which these efforts, once completed, will 

reflect leading practices. For example, NOAA’s effort to create a capital 

asset plan through the development of several separate planning efforts 

may give the agency the information and analysis it needs to identify 

potential gaps between capacity and needs and evaluate the costeffectiveness and performance implications of various alternative 

strategies, two areas discussed in OMB guidance. However, until all of 

the component plans have been completed, NOAA’s plans cannot be 

evaluated against OMB leading practices. Similarly, OMB leading 

practices in capital asset management discuss the importance of 

continuous monitoring of agency operations and assets to ensure that 

assets are used efficiently and effectively in support of its mission. 

NOAA’s efforts to improve its aircraft performance measures may provide 

the agency with additional information with which to monitor its assets, 

but these efforts have not been fully implemented—and thus cannot be 

evaluated against leading practices as of the time of this report.

In its efforts to improve aircraft asset planning and management, NOAA 

faces challenges related to the development of a comprehensive and 

integrated capital asset plan, and decisions regarding the modernization 

of its fleet. Without a comprehensive and integrated capital asset plan, 

NOAA risks not having sufficient analysis or justification to make sound 

critical decisions.

• NOAA’s approach to capital asset planning presents challenges. As 

noted, NOAA does not currently have a capital asset plan for aircraft 

even though leading practices OMB has identified encourage 

agencies to have capital asset plans as a part of their strategic 

planning efforts.10 Leading practices for capital decision making note 

the importance of a long-term capital plan as the central document an 

agency uses for its capital decision making; as such, it should be 

comprehensive in nature and include information on all planned 

 10Capital Programming Guide Supplement to Circular A-11.

NOAA Faces 

Challenges in 

Improving Its Aircraft 

Asset Planning and 

Modernizing Its Fleet
Page 14 GAO-14-566 NOAA Aircraft

assets.11 As noted, NOAA is working to develop a capital asset plan 

through an approach under which it is creating multiple stand-alone 

plans that together are intended to serve as the agency’s capital asset 

plan for aircraft. Under this approach, each individual planning effort 

has a different schedule and scope of assets. For example, NOAA is 

separately working to develop (1) an airborne composition plan that 

covers its entire fleet, which it expects to complete in 2014; (2) an 

analysis of alternatives for its heavy aircraft, expected by 2016; and 

(3) a plan to guide the use of unmanned aircraft systems, expected by 

fiscal year 2017. In addition, some of these planning efforts are being 

led by OMAO, while others (such as the unmanned aircraft systems 

plan) are agency-wide efforts, according to NOAA officials. These 

differences in schedule, scope, and responsibilities add to the overall 

complexity of NOAA’s approach to capital asset planning for aircraft. 

In addition, critical planning information and analysis on different types 

of assets will be spread across different documents, which may add to 

NOAA’s challenge of ensuring that information is sufficiently linked 

and integrated to serve as a single comprehensive plan. NOAA is in 

the early stages of some of these planning efforts and has not yet 

determined how, or whether, it will link and integrate the plans with 

one another. Without such integration, it will be difficult for NOAA to 

use these plans for defining long-term decisions about assets 

because important information will be located within different plans 

and plans may contain varying levels of detail. NOAA faced 

challenges in finalizing a planning effort in the past; in 2009, OMAO 

developed a draft “aircraft recapitalization plan” intended to address 

the agency’s future aircraft needs. However, NOAA leadership did not 

approve the recapitalization plan and suspended this planning effort in 

order to incorporate additional information NOAA had received, 

according to NOAA officials. The agency began its current planning 

effort 4 years later, in 2013.

• NOAA faces critical decisions regarding the composition of its aircraft 

fleet. NOAA faces challenges in determining how to optimize the 

 11Leading practices we have identified for capital decision making are described in GAO, 

Executive Guide: Leading Practices in Capital Decision-Making, GAO/AIMD-99-32 

(Washington, D.C.: Dec. 1998). To identify leading practices, we conducted literature 

searches of professional journals, academic articles, and financial reports and interviewed 

experts in the field of capital planning and decision making. Additional information about 

these leading practices can be found in our reports that discuss the application of these 

practices by various agencies, including GAO-04-138 and GAO-07-274.
Page 15 GAO-14-566 NOAA Aircraft

composition of its fleet to obtain the right mix of heavy, light, and 

unmanned aircraft systems for meeting mission needs. For example, 

NOAA’s two operational P-3 Orion planes are in high demand for 

hurricane work. At nearly 40 years of age, these aircraft are also the 

oldest planes in the fleet. According to NOAA officials, the useful life 

expectancy for the P-3 Orion aircraft will be another 15 years once rewinging is completed in fiscal year 2017 as planned. However, even 

with the re-winging, NOAA officials noted that the ongoing operation 

and maintenance costs of these aircraft may increase. The 

manufacturer will not be constructing new P-3 aircraft in the future. 

Because large capital assets such as aircraft may take many years to 

acquire, NOAA faces decisions about whether to invest in additional 

costly service life extensions or replace the two operational P-3 

Orions and another aging plane in its fleet, one of its de Havilland 

Twin Otter aircraft.12 NOAA also faces decisions about the use of 

unmanned aircraft systems. Demand for these systems is expected to 

increase for use in scientific research. According to NOAA officials, 

unmanned aircraft systems may be an alternative to existing aircraft in 

some situations, but their cost-effectiveness is not yet proven, and 

there are uncertainties regarding the situations in which they may be 

used.13 NOAA has faced similar decision points in the past without the 

benefit of a capital asset plan to aid decision making. For example, 

NOAA purchased a third P-3 Orion aircraft for approximately $9 

million to meet additional agency needs that NOAA officials said could 

not be met with its two existing P-3 Orion planes. Subsequently, 

NOAA learned that both of its existing P-3 Orion planes needed new 

wings sooner than previously expected, and that the newly purchased 

plane could not become operational without new wings. However, 

NOAA had not anticipated or planned for these additional expenses 

and determined that the investment in re-winging the newly acquired 

P-3 Orion plane was not feasible, according to NOAA officials; as a 

 12To assist with these decisions, as noted, NOAA is planning to conduct an analysis of 

alternatives to determine how best to meet its heavy aircraft needs. 

13According to NOAA officials, NOAA must generally obtain authorization to use 

unmanned aircraft systems from the Federal Aviation Administration, which authorizes 

their use for specific time frames (generally 12 to 24 months), locations, and operations. 

NOAA may need to seek multiple authorizations to operate one unmanned system.
Page 16 GAO-14-566 NOAA Aircraft

result, the plane was never put to use and NOAA is currently 

attempting to dispose of it.14

Collectively, the expected increase in NOAA line offices’ needs for 

aircraft, the aging of NOAA’s aircraft fleet, and the need to address 

coming changes in technology underscore the importance of NOAA 

completing a comprehensive, integrated capital asset plan that reflects 

leading practices. Linking and integrating its multiple planning efforts 

could help NOAA demonstrate that it has a capital asset plan consistent 

with these leading practices. Without such a plan, NOAA risks making 

decisions that will make it difficult for the agency to effectively address 

future challenges.

Recognizing the critical importance of aircraft to help accomplish its 

mission, NOAA has developed an ambitious approach to improving the 

efficiency and effectiveness of its aircraft management through 34 

improvement efforts that it expects to complete by fiscal year 2017. A key 

component of these efforts is the development of several separate longterm plans that together are intended to represent NOAA’s aircraft capital 

asset plan—a critical tool for equipping agencies with information and 

analysis to make long-term decisions. Developing a comprehensive plan 

is especially important in light of the decisions NOAA will face in the 

future regarding the composition of its aircraft fleet and how best to 

incorporate new technologies. The potential usefulness of such a plan 

can be seen in NOAA’s decision—made without a capital asset plan—to 

purchase a third P-3 for $9 million. That plane was never put into 

operation and is currently being disposed of. NOAA’s complex approach 

to developing a capital asset plan presents challenges. Each plan 

requires the approval of NOAA leadership, which was difficult to obtain as 

part of a prior planning effort. Further, it is important that the individual 

plans collectively reflect OMB leading practices to be most useful to the 

agency, and that the plans each contain sufficient clarity and detail, as 

well as being linked and integrated with one another. Without taking these 

steps, NOAA may find itself with a capital asset plan of limited 

comprehensiveness and usefulness, and may consequently struggle to 

address its future needs.

 14NOAA was provided $44.5 million for repairs and upgrades in the Disaster Relief 

Appropriations Act of 2013 following Hurricane Sandy, and it is using this funding to rewing the two P-3 Orion aircraft in operation. Pub. L No. 113-2, 127 Stat. 4.

Conclusions
Page 17 GAO-14-566 NOAA Aircraft

To ensure that NOAA has sufficient information and analysis to guide 

long-term decisions regarding its aircraft, we recommend that the 

Secretary of Commerce direct the NOAA Administrator to ensure that the 

agency links and integrates its multiple planning efforts as it finalizes a 

capital asset plan for aircraft.

We provided the Department of Commerce with a draft of this report for 

its review and comment. In its written comments, reprinted in appendix III, 

NOAA, responding on behalf of the Department of Commerce, concurred 

with our recommendation and provided a technical comment that we 

incorporated.

We are sending copies of this report to the Secretary of Commerce, the 

NOAA Administrator, the appropriate congressional committees, and 

other interested parties. In addition, the report is available at no charge on 

the GAO website at http://www.gao.gov.

If you or your staff members have any questions about this report, please 

contact me at (202) 512-3841 or fennella@gao.gov. Contact points for 

our Offices of Congressional Relations and Public Affairs may be found 

on the last page of this report. Key contributors to this report are listed in 

appendix IV.

Anne-Marie Fennell

Director, Natural Resources and Environment

Recommendation for 

Executive Action

Agency Comments 

and Our Evaluation
Appendix I: Objectives, Scope, and 

Methodology

Page 18 GAO-14-566 NOAA Aircraft

This report examines (1) the status of the National Oceanic and 

Atmospheric Administration’s (NOAA) efforts to improve its aircraft asset 

planning and management and the extent to which these efforts reflect 

leading practices and (2) the challenges NOAA faces in improving its 

aircraft asset planning and management.

To examine the status of NOAA’s efforts to improve its aircraft asset 

planning and management, we identified and reviewed relevant agency 

project and strategy documents detailing their improvement efforts, 

encompassing all projects and activities undertaken in support of the 

agency’s strategic planning objectives laid out in the Office of Marine and 

Aviation Operations (OMAO) 2012 strategic plan. We reviewed these 

documents to identify efforts specific to aircraft asset management and 

excluded efforts related to other aspects of NOAA’s operations, such as 

efforts related to its ship fleet. We identified efforts that were completed, 

ongoing, or planned as of fiscal year 2013, when we initiated our work. 

Altogether, we identified 34 efforts related to aircraft asset planning 

management. For each improvement effort, we reviewed associated 

goals, methods, estimated schedules, and progress made to date. Based 

on the descriptions of the efforts found in NOAA documents we reviewed, 

and in consultation with NOAA officials, we grouped these into one of five 

categories related to: (1) assets—upgrading, using, or disposing of 

certain aircraft assets; (2) collaboration—improving collaboration with 

other federal agencies; (3) measures—improving the quantity or accuracy 

of performance measures; (4) plans—creating long-term plans; or (5) 

policies and data—updating existing policies and conducting data 

analysis. To determine the extent to which NOAA’s efforts reflect 

applicable guidance and leading practices, we reviewed Office of 

Management and Budget (OMB) guidance to identify leading practices 

that are important for effective asset planning and management. These 

leading practices are primarily found in OMB’s Circular A-11 and the 

supplemental Capital Programming Guide.1 In addition, we reviewed 

OMB’s Circular A-76, which provides guidance to federal agencies 

regarding the use of services provided by the private sector to meet 

agency needs, and Circular A-126, regarding the use of government 

 1

OMB, Preparation, Submission, and Execution of the Budget, Circular A-11 (revised 

2013) and OMB, Capital Programming Guide Supplement to Circular A-11: Planning, 

Budgeting, and Acquisition of Capital Assets (revised 2013).

Appendix I: Objectives, Scope, and 

Methodology
Appendix I: Objectives, Scope, and 

Methodology

Page 19 GAO-14-566 NOAA Aircraft

aircraft.2 To obtain additional insight into leading practices, we also 

reviewed previous GAO reports that discuss the application of these 

leading practices by various agencies.3 We then analyzed NOAA’s 

improvement efforts and compared them to leading practices.

To identify the challenges NOAA faces in improving its aircraft asset 

planning and management, we reviewed relevant agency documents, 

including the NOAA strategic plan,4 the OMAO strategic plan,5 and 

documents related to NOAA’s improvement efforts, and we interviewed 

NOAA and OMAO officials responsible for implementing these efforts. We 

also interviewed officials in NOAA’s six line offices: the National 

Environmental Satellite, Data, and Information Service; the National 

Marine Fisheries Service; the National Ocean Service; the National 

Weather Service; the Office of Oceanic and Atmospheric Research; and 

Program Planning and Integration. In these interviews, we discussed 

NOAA’s long-term strategic planning and management for aircraft, 

NOAA’s previous efforts to issue an aircraft capital asset plan, and 

NOAA’s work to complete and implement the 34 aircraft planning and 

management efforts, among other things. From these discussions, we 

identified two key challenges related to NOAA’s approach to capital asset 

planning and the critical decisions NOAA faces regarding the composition 

of its aircraft fleet.

We conducted this performance audit from July 2013 to July 2014 in 

accordance with generally accepted government auditing standards. 

Those standards require that we plan and perform the audit to obtain 

sufficient, appropriate evidence to provide a reasonable basis for our 

findings and conclusions based on our audit objectives. We believe that 

the evidence obtained provides a reasonable basis for our findings and 

conclusions based on our audit objectives.

 2

OMB, Performance of Commercial Activities, Circular A-76 (revised 2003) and OMB, 

Improving the Management and Use of Government Aircraft, Circular A-126 (revised 

1992).

3

See, for example, GAO-14-155, GAO-07-274, and GAO-04-138.

4

NOAA, NOAA’s Next-Generation Strategic Plan (Dec. 2010).

5

OMAO, 2012-2016 OMAO Strategic Plan (Mar. 23, 2012).
Appendix II: Key Principles in Capital Asset 

Planning

Page 20 GAO-14-566 NOAA Aircraft

While there are four phases in capital programming—planning, budgeting, 

acquiring, and managing—we previously noted that planning is the most 

important phase in the capital decision-making process.1 Because the 

results of the planning phase are used throughout the remaining phases, 

not following key principles during this phase may have repercussions on 

agency operations if poor capital investment decisions are made. Table 3 

further elaborates on the five key capital asset planning principles 

highlighted in Office of Management and Budget guidance and our 

previous work.

Table 3: Five Key Capital Asset Planning Principles

Planning principle Description

Strategic linkage Capital planning is an integral part of an agency’s strategic planning process. It provides a longrange plan for the capital asset portfolio in order to meet the goals and objectives in the agency’s 

strategic and annual performance plans. Agency strategic and annual performance plans should 

identify capital assets and define how they will help the agency achieve its goals and objectives. 

Leading organizations also view strategic planning as the vehicle that guides decision making for all 

spending.

Needs assessment and gap 

identification 

A comprehensive needs assessment identifies the resources needed to fulfill both immediate 

requirements and anticipated future needs based on the results-oriented goals and objectives that 

flow from the organization’s mission. A comprehensive assessment of needs considers the capability 

of existing resources and makes use of an accurate and up-to-date inventory of capital assets and 

facilities, as well as current information on asset condition. Using this information, an organization 

can properly determine any performance gap between current and needed capabilities.

Alternatives evaluation Agencies should determine how best to bridge performance gaps by identifying and evaluating 

alternative approaches, including nonphysical capital options such as human capital. Before 

choosing to purchase or construct a capital asset or facility, leading organizations carefully consider 

a wide range of alternatives such as contracting out, privatizing the activity, leasing, and whether 

existing assets can be used.

Review and approval 

framework with established 

criteria for selecting capital 

investments

Agencies should establish a formal process for senior management review and approval of proposed 

capital assets. The cost of a proposed asset, the level of risk involved in acquiring the asset, and its 

importance to achieving the agency mission should be considered when defining criteria for 

executive review. Leading organizations have processes that determine the level of review and 

analysis based on the size, complexity, and cost of a proposed investment or its organization-wide 

impact. As a part of this framework, proposed capital investments should be compared to one 

another to create a portfolio of major assets ranked in priority order.

 1

GAO-04-138

Appendix II: Key Principles in Capital Asset 

Planning
Appendix II: Key Principles in Capital Asset 

Planning

Page 21 GAO-14-566 NOAA Aircraft

Planning principle Description

Long-term capital 

investment plan

The long-term capital plan should be the final and principal product resulting from the agency’s 

capital planning process. The capital plan, covering 5 years or more, should be the result of an 

executive review process that has determined the proper mix of existing assets and new investments 

needed to fulfill the agency’s mission, goals, and objectives, and should reflect decision makers’

priorities for the future. Leading organizations update long-term capital plans either annually or 

biennially. Agencies are encouraged to include certain elements in their capital plans, including a 

statement of the agency mission, strategic goals, and objectives; a description of the agency’s 

planning process; baseline assessments and identification of performance gaps; and a risk 

management plan.

Source: GAO analysis of Office of Management and Budget guidance and GAO-07-274 and GAO-04-138. I GAO-14-566
Appendix III: Comments from the Department 

of Commerce

Page 22 GAO-14-566 NOAA Aircraft

Appendix III: Comments from the 

Department of Commerce
Appendix III: Comments from the Department 

of Commerce

Page 23 GAO-14-566 NOAA Aircraft
Appendix IV: GAO Contact and Staff 

Acknowledgments

Page 24 GAO-14-566 NOAA Aircraft

Anne-Marie Fennell, (202) 512-3841 or fennella@gao.gov

In addition to the individual named above, Steve Gaty (Assistant 

Director), Cheryl Arvidson, Casey L. Brown, Antoinette Capaccio, Nicole 

Dery, and Richard P. Johnson made key contributions to this report. 

Important contributions were also made by Mark Braza, Carol Henn, 

Armetha Liles, Melissa Swearingen, and Kiki Theodoropoulos.

Appendix IV: GAO Contact and Staff 

Acknowledgments

GAO Contact

Staff 

Acknowledgments

(361513)
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