Aviation Safety: Improved Planning Could Help FAA Address Challenges Related to Winter Weather Operations
Published: 2010-07-29T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: Ice formation on aircraft can disrupt the smooth flow of air over the wings and prevent the aircraft from taking off or decrease the pilot's ability to maintain control of the aircraft. Takeoff and landing operations can also be risky in winter weather. Despite persistent efforts by the Federal Aviation Administration (FAA) and others to mitigate icing risks, icing remains a serious concern. GAO reviewed (1) the extent to which commercial airplanes have experienced accidents and incidents related to icing, (2) FAA's inspection and enforcement activities related to icing, (3) the efforts of FAA and others to improve safety in winter weather, and (4) the challenges that continue to affect aviation safety in winter weather. GAO analyzed data obtained from FAA, the National Transportation Safety Board (NTSB), the National Aeronautics and Space Administration (NASA), and others. Further, GAO obtained information from FAA and NTSB officials and representatives of key aviation industry stakeholders.
section_title: What GAO Found
paragraphs: According to NTSB's aviation accident database, from 1998 to 2009 large commercial airplanes were involved in six nonfatal accidents related to icing (including in-flight and runway). However, FAA and others recognize that incidents are potential precursors to accidents. Although large commercial airplanes have experienced few icing-related accidents in the last decade, the several hundred icing-related incidents involving these airplanes contained in FAA and NASA databases suggest that they face ongoing risks from icing. Based on multiple inspections, FAA assesses each large carrier's ground deicing program to ensure that it meets relevant safety regulations. For fiscal years 2005 to 2009, FAA largely met its own requirements for inspecting carriers' ground deicing programs. When a carrier violates a safety regulation, FAA can take enforcement action against the carrier. For fiscal years 2005 to 2009, FAA initiated enforcement actions against large commercial carriers in 274 cases for violations of icing-related regulations. FAA and other aviation stakeholders have undertaken many efforts to improve safety in icing conditions. For example, in 1997, FAA issued a multiyear plan for improving the safety of aircraft operating in icing conditions and has since made progress on the objectives specified in its plan by issuing regulations, airworthiness directives, and voluntary guidance. However, FAA has not formally updated its 1997 in-flight icing plan, meaning the stakeholders do not have a consolidated and readily accessible source of information on the key in-flight icing actions FAA has under way or planned. NTSB has issued numerous recommendations as a result of its aviation accident investigations, and NASA has contributed to research related to icing. In addition, the private sector has deployed various FAA-required technologies on aircraft, such as wing deicers, and operated ground deicing and runway clearing programs at airports. GAO's interviews with government and industry stakeholders identified challenges related to winter weather operations that, if addressed, could improve safety. Among others, these challenges include improving the timeliness of FAA's winter weather rulemaking efforts, ensuring the availability of resources for icing-related research, and developing a more integrated approach to effectively manage winter operations. With respect to an integrated approach, FAA said it needs to begin focusing on winter operations holistically because there are many vital elements to safe operations in winter weather, such as airport surface conditions, aircraft ground deicing, aircraft in-flight icing and icing certification, and air traffic handling of aircraft in icing conditions. A plan that addresses both in-flight and ground icing issues, as well as the challenges stakeholders identified for this report, would help FAA measure its ongoing and planned efforts against its goals for improving safety. Furthermore, a comprehensive plan could help identify gaps or other areas for improvement and assist FAA in developing an integrated approach to winter operations.
section_title: What GAO Recommends
paragraphs: To help facilitate FAA's efforts to address challenges to improving safety in winter weather conditions, GAO recommends that FAA develop a plan focused on winter operations holistically that includes detailed goals and milestones. In response, the Department of Transportation agreed to consider GAO's recommendation and provided technical comments, which were incorporated as appropriate.

section_title: Letter
paragraphs: Icing can be a significant hazard for aviation operations of all types,  Icing can be a significant hazard for aviation operations of all types,  including commercial flights. As shown in figure 1, when there is ice on  including commercial flights. (1) the extent to which large commercial airplanes have experienced  accidents and incidents related to icing and contaminated runways, (2)  FAA’s inspection and enforcement activities related to icing, (3) the efforts  of FAA and other aviation stakeholders to improve safety in icing and  winter weather operating conditions, and (4) the challenges that continue  to affect aviation safety in icing and winter weather operating conditions.
To review the extent to which large commercial airplanes have  experienced accidents and incidents related to icing and contaminated  runways, we analyzed data obtained from FAA, the National  Transportation Safety Board (NTSB), and the National Aeronautics and  Space Administration (NASA). To review FAA’s inspection and  enforcement activities related to icing we obtained FAA’s inspection and  enforcement policies and analyzed data from FAA’s inspection and  enforcement databases. For example, we obtained data from FAA’s Air  Transportation Oversight System to assess the timeliness of FAA’s  inspections of large commercial carriers’ ground deicing programs. To  review FAA’s efforts to improve safety in icing and winter weather  operating conditions and the challenges that remain, we obtained  information from FAA, NTSB, NASA, the National Oceanic and  Atmospheric Administration (NOAA), and the National Center for  Atmospheric Research (NCAR). In addition, we interviewed  representatives from the Flight Safety Foundation, an academic expert,  and a diverse group of aviation industry stakeholders and associations.  We provided a draft of this report to the Department of Transportation  (which contains FAA), the Department of Commerce (which contains  NOAA), NTSB, NASA, and the National Science Foundation (which  contains NCAR) for their review and incorporated their comments as  appropriate.
We performed this work from August 2009 to July 2010 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. Further, we assessed the reliability of the data used in  this report and determined that the data were sufficiently reliable for our  purposes. To assess the reliability of the inspection and enforcement data  that we received from FAA, we performed electronic testing of the data  elements that we used, obtained and reviewed documentation about the  data and the systems that produced them, and interviewed knowledgeable  FAA officials. To assess the reliability of the accident data we received  from NTSB and the incident data we received from FAA and NASA, we  obtained and reviewed documentation about the data and the systems that  produced them. Appendix I contains a more detailed discussion of our  objectives, scope, and methodology, including a complete list of industry  stakeholders we interviewed.
subsections: section_title: Background
paragraphs: Deicing operations include removing ice from aircraft, applying chemicals  to prevent initial icing or further icing (anti-icing), and removing (and  preventing) ice from airfield pavement (runways, taxiways, aprons, and  ramps). Prior to departure, the removal of ice, snow, slush, or frost from  an aircraft’s critical surfaces can be accomplished by mechanical means,  using heat, using a heated fluid, using forced air, or a combination thereof.  When frost, snow, or ice adheres to an aircraft surface, the surface must  be heated or sprayed with pressurized fluid to remove the contaminant.  Anti-icing on the ground is accomplished by applying a freezing point  depressant to a surface either following deicing or in anticipation of  subsequent winter precipitation; it is intended to protect the critical  surfaces from ice adherence for a limited period of time. The fluid is  capable of absorbing freezing or frozen precipitation until the fluid  freezing point coincides with the ambient temperature. Once this fluid  freezing point has been reached, the fluid can no longer protect the  aircraft from ground icing conditions. During in-flight operations, an anti- icing system is expected to keep ice from forming in all but severe icing  conditions and is accomplished with the use of engine bleed air, electro- thermal heaters, or fluid freezing point depressants. Table 1 describes the  tools and processes used for ground deicing and anti-icing procedures on  aircraft; table 2 describes systems found on aircraft for in-flight ice  protection.
FAA issues regulations, airworthiness directives, and other guidance and  monitors industry compliance as part of its mission to ensure safe, orderly,  and efficient air travel in the national airspace system. FAA regulations  contain a number of parts, and different parts apply to aircraft based on  their size and type and the activities they are used for. In this report we  use the term “large commercial airplanes” to refer to those airplanes  operating under part 121 of title 14 of the United States Code of Federal  Regulations. Among other things, part 121 applies to air carrier operations  involving turbojet airplanes or any airplane with a seating capacity of more  than nine passenger seats or a maximum payload capacity of more than  7,500 pounds. We use the term “small commercial airplanes” to refer to  those airplanes operating under part 135 of title 14. Among other things,  part 135 covers certain commuter and on-demand operations on airplanes,  other than turbojet powered airplanes, with nine passenger seats or less,  and a payload capacity of 7,500 pounds or less. Some commuter and most  air tour operators and medical services (when a patient is on board) fall  under the purview of part 135. By “noncommercial airplanes,” we mean  airplanes that are privately operated under part 91 of title 14. These types  of operations are often referred to as “general aviation” and include,  among other things, flights for recreation and training and certain business  flights. Although noncommercial flights usually involve small aircraft, the  definition we are using depends on the nature of the operation, not the  size of the aircraft.
In developing regulations, FAA follows the rulemaking process used by all  federal agencies, which is established in the Administrative Procedure Act  (APA). This act establishes procedures and broadly applicable federal  requirements for informal rulemaking, also known as notice and comment  rulemaking. This process is designed to provide the opportunity for public  participation in rulemakings by submission of written comments and to  ensure that all aspects of any regulatory change are fully analyzed before  the change goes into effect. Starting early in a rulemaking, FAA may seek  input from its Aviation Rulemaking Advisory Committee (ARAC), and  during the course of a rulemaking it may conduct research related to the  rulemaking. In addition, the APA generally requires agencies to publish a  notice of proposed rulemaking in the Federal Register. During the public  comment period that follows the publication of the proposed rule,  interested parties may submit written comments, which FAA examines  and may consider when making any changes before publishing the final  rule. The final rule is then incorporated into the United States Code of  Federal Regulations, but it may not take effect immediately. For example,  FAA may phase in requirements over time or it may give industry time— sometimes several years—to implement changes.
FAA can also issue airworthiness directives. An airworthiness directive is  a legally enforceable rule that may apply to an aircraft or its parts, such as  engines and propellers. FAA issues an airworthiness directive when it  determines that (1) an unsafe condition exists in the product and (2) the  condition is likely to exist or develop in other products of the same type  design.
NTSB investigates and reports on civil aviation accidents, which it defines  as occurrences whereby a person suffers death or serious injury, or in  which the aircraft receives substantial damage. FAA and NTSB also  investigate aviation incidents, which NTSB defines as occurrences other  than an accident associated with the operation of an aircraft that affects or  could affect the safety of operations. FAA maintains an incident database  generated by its investigations. NASA also administers a voluntary  reporting system on aviation incidents, called the Aviation Safety  Reporting System (ASRS). It contains voluntary reports, which are later  de-identified, from pilots, controllers, maintenance technicians, and other  operating personnel about human behavior that resulted in unsafe  occurrences or hazardous situations. NASA seeks to avoid double  counting of incidents by ensuring that multiple reports for a single incident  are grouped together under that incident. Because ASRS reporting is  voluntary, it is unlikely to cover the universe of safety events. It is also  possible that ASRS incident data may overlap with FAA incident data  because a single incident may be entered into FAA’s incident database by  an FAA inspector and reported to ASRS by a pilot or bystander. However,  the extent to which overlap occurs is unknown.
When airlines and airports conduct deicing operations on aircraft and  airfield pavement, the large amounts of chemicals used for deicing  operations may drain off airport facilities to nearby rivers, lakes, streams,  and bays and can have major impacts on water quality. In August 2009, the  Environmental Protection Agency (EPA) issued a proposed rule on the use  of deicing fluids at airports. According to EPA, the proposed rule would  require 218 airports to collect spent deicing fluid and treat the associated  wastewater, and 6 major airports would likely need to install centralized  deicing pads to comply with the rule. Additionally, some airports would be  required to reduce the amount of ammonia discharged from urea-based  airfield pavement deicers or use more environmentally friendly airfield  deicers that do not contain urea. EPA plans to issue a final rule in  December 2010.
section_title: Although Large Commercial Airplanes Have Experienced Few Icing-Related Accidents Since 1998, the Many Reported Icing Incidents Suggest That Icing Is an Ongoing Risk to Aviation Safety
paragraphs: According to NTSB’s aviation accident database, from 1998 to 2009 one  large commercial airplane was involved in a nonfatal accident after  encountering icing conditions during flight and five large commercial  airplanes were involved in nonfatal accidents related to snow or ice on  runways. Although there have been few accidents, FAA and others  recognize that incidents are potential precursors to accidents. Data on  hundreds of incidents that occurred during this period reveal that icing,  contaminated runways, and other winter weather conditions pose  substantial risk to aviation safety. FAA’s database of incidents includes  120 incidents related to icing, contaminated runways, taxiways, or ramps,  or other winter weather conditions involving large commercial airplanes  that occurred from 1998 through 2007. These data covered a broad set of  events, such as the collision of two airplanes at an ice-covered gate, and an  airplane that hit the right main gear against the runway and scraped the  left wing down the runway for about 63 feet while attempting to land with  ice accumulation on the airplane. During this same time period, NASA’s  ASRS received over 600 icing and winter weather-related incident reports  involving large commercial airplanes. These incidents reveal a variety of  safety issues such as runways contaminated by snow or ice, ground  deicing problems, and in-flight icing encounters. These incidents thus also  suggest that risks from icing and other winter weather operating  conditions may be greater than indicated by NTSB’s accident database and  by FAA’s incident database. FAA officials point out that there is no defined  reporting threshold for ASRS reports and because they are developed from  personal narrative, they can be subjective. However, these officials agree  that the ASRS events must be thoroughly reviewed and evaluated for  content to determine the relevancy to icing and the extent and severity of  the safety issue. The contents of the ASRS data system also demonstrate  the importance of aggregating data from all available sources to  understand a safety concern. See table 3 for the number of icing and  winter weather-related incident reports from ASRS for large commercial  airplanes.
While our review focused on large commercial airplanes, small  commercial airplanes and noncommercial airplanes experienced more  icing-related accidents and fatalities than did large commercial airplanes  from 1998 to 2007, as shown in table 4. They did so largely because,  compared to large commercial airplanes, small commercial airplanes and  noncommercial airplanes (1) may be performance-limited and therefore  operate for longer periods at lower altitudes that more frequently have  icing conditions, (2) have a higher icing collection efficiency due to their  smaller scale, (3) are more greatly impacted by ice as a result of their  smaller scale, (4) tend to have deicing equipment (e.g., pneumatic deicing  boots) rather than fully evaporative anti-icing equipment, and (5) may not  be approved for flight in known icing conditions. If an airplane is not  approved for flight in icing conditions, it may either not have an ice  protection system installed, or it may have an ice protection system that is  not certified.
section_title: FAA Largely Met Its Own Inspection Requirements Related to Icing
paragraphs: As part of its Air Transportation Oversight System (ATOS), FAA assesses  large carriers’ ground deicing programs to ensure that they meet relevant  safety regulations. FAA requires itself to assess the design of each  carrier’s program twice every 5 years, with one of the assessments focused  on ground crews and the other on flight crews. FAA also requires itself to  assess the performance of each carrier’s program twice each year, again  with one assessment focused on ground crews and the other on flight  crews. Design assessments ensure that an air carrier’s operating systems  comply with regulations and safety standards. Performance assessments  confirm that an air carrier’s operating systems produce intended results,  including mitigation or control of hazards and associated risks. FAA bases  each assessment of a carrier’s performance on multiple inspections, which  are typically conducted at several of the various locations where the  carrier operates. FAA considers assessments to be on-time if they are  completed within 30 days of the end of the quarter in which they are  scheduled for completion. From December 2007, when it first completed  these assessments, through fiscal year 2009, FAA completed 103 of 108  design assessments on time (95 percent) and 303 of 315 required  performance assessments on time (96 percent).
While this review focused on FAA’s inspections related to ground deicing,  the Department of Transportation Inspector General (IG) in March 2010  issued an initial report based on its broader ongoing review of FAA’s  inspections under ATOS. The IG reported that FAA does not have an  effective process for ensuring the timely completion of inspections. In  particular, the IG found that FAA does not assign inspectors to all  scheduled inspections, does not nationally track these unassigned  inspections, and that these inspections could therefore “remain  uncompleted for months or even years, and any associated risks within air  carrier programs would remain unknown.” The IG plans to issue a  subsequent report with recommendations to FAA later this year.
For each design or performance inspection, an FAA inspector answers a  series of questions about whether the carrier is in compliance with FAA’s  safety requirements. For inspections of large commercial carriers’ ground  deicing programs focused on ground crews in fiscal years 2005 through  2009, FAA inspectors indicated that carriers were meeting the requirement  in 16,867 out of 20,513 cases (82 percent), were not meeting the  requirement in 3,569 cases (17 percent), and that the question was not  applicable in 77 cases (0.4 percent). For inspections of large commercial  carriers’ ground deicing programs focused on flight crews in fiscal years  2005 through 2009, FAA inspectors indicated that carriers were meeting  the requirement in 13,734 out of 16,266 cases (84 percent), were not  meeting the requirement in 2,122 cases (13 percent), and that the question  was not applicable in 410 cases (3 percent).
For each design and performance assessment, FAA scores the carrier on a  six-part scale ranging from “no issues observed—no action required” to  “persistent, systemic safety and/or regulatory issues observed—system  reconfiguration by air carrier required.” Of the 423 assessments following  inspections of ground deicing programs that FAA completed from  December 2007 through the end of fiscal year 2009, 290 (69 percent) did  not require any corrective action by the carrier, while 133 (31 percent)  required some form of corrective action. Table 5 presents additional  information on the results of these assessments.
Carriers generally did better on the performance assessments than the  design assessments. Carriers also generally did better on the assessments  related to flight crews than on those related to ground crews. Figure 2  presents additional details on the assessment results of FAA’s ground  deicing inspections.
Because not all large commercial carriers were covered by ATOS until  April 2008, FAA also inspected some large commercial carriers’ ground  deicing programs under the agency’s National Work Program Guidelines  (NPG). FAA’s policy was to conduct these inspections of each carrier once  a year. In fiscal years 2005 and 2006, FAA completed 327 out of 345  required inspections (95 percent) of large commercial carriers’ ground  deicing programs under NPG. An FAA official told us that resource  constraints prevented the agency from being able to complete all the  required inspections, and that some were not completed under NPG  because the carriers were transitioned to ATOS. In fiscal years 2007 and  2008, FAA conducted far fewer of these inspections as the agency  completed its transitioning of large commercial carriers from NPG to  ATOS. Under NPG, FAA also plans additional inspections of some carriers  on an “as resources allow” basis, and conducts other additional  inspections that were not planned. In fiscal years 2005 through 2009, FAA  completed 3,757 out of 3,946 planned inspections (95 percent) of large  commercial carriers’ ground deicing programs under NPG, and it  completed an additional 1,704 inspections that were not planned.
When FAA determines that a carrier has violated a safety regulation  (through inspections or other means such as accident investigations or  public complaints), the agency can take enforcement action against the  carrier, which may include imposing monetary fines or temporarily or  permanently shutting down the carrier’s operations. In fiscal years 2005  through 2009, FAA initiated enforcement actions against large commercial  carriers in 274 cases following one or more violations of icing-related  regulations. FAA had closed 254 of these actions by March 2010; of these,  226 were administrative actions, such as letters to carriers specifying  required corrective actions; 22 were monetary fines, with a median amount  of $20,000 and ranging from $675 to $175,000; 3 were closed with no action  taken; 2 were suspensions of operating certificates, 1 for 60 days and the  other for 90 days; and 1 was a revocation of an operating certificate.
FAA also inspects commercial carriers that operate small airplanes (small  commercial carriers) to check whether they are complying with FAA’s  safety regulations. For inspections that cover areas that FAA deems  critical to safety, including ground deicing programs, FAA requires that  each carrier be inspected once every 12 months. For less critical areas,  FAA establishes inspection annual plans for each carrier that includes  what the agency believes are the most important areas for that carrier. In  fiscal years 2005 through 2009, FAA completed 942 of 1,026 required  inspections (92 percent) of small commercial carriers’ ground deicing  programs. In addition, over the same time period, FAA completed 2,029  out of 2,099 planned inspections (97 percent) of small commercial carriers’  ground deicing programs under NPG, and it completed an additional 431  inspections that were not planned.
In fiscal years 2005 through 2009, FAA initiated enforcement actions  against small commercial carriers in 274 cases following one or more  violations of icing-related regulations. FAA had closed 209 of these actions  by March 2010; of these, 112 were administrative actions, such as letters to  carriers specifying required corrective actions; 29 were monetary fines,  with a median amount of $5,800 and ranging from $1,000 to $186,150; 28  were closed with no action taken; 28 were suspensions of operating  certificates, with a median duration of 60 days and ranging from 7 to 270  days; and 12 were revocations of operating certificates.
In fiscal years 2005 through 2009, FAA completed 256 inspections covering  icing-related requirements of private operators, 2 of which were required,  125 of which were planned, and 129 of which were not planned. During  this time period, FAA did not take any enforcement actions against private  operators related to violations of icing-related regulations.
section_title: FAA and Other Aviation Stakeholders Have Undertaken a Variety of Efforts Aimed at Improving Safety in Icing and Winter Weather Conditions
paragraphs: FAA and others have undertaken many efforts to improve safety in icing  and winter weather conditions. In addition to conducting inspection and  enforcement activities as we previously described, FAA’s efforts include  issuing a multiyear plan in 1997 related to in-flight icing and providing  funding for icing-related purposes. Other government entities that have  taken steps to increase aviation safety in icing conditions include NTSB,  which has issued numerous recommendations as a result of its aviation  accident investigations, and NASA, which has contributed to research  related to icing. In addition, the private sector has deployed various FAA- required technologies on aircraft, such as wing deicers and ice detectors,  and operated ground deicing and runway clearing programs at airports.
subsections: section_title: FAA Has Taken Actions to Implement Objectives of a Safety Plan Issued in 1997, but Information about Recent Initiatives to Promote Safety in Icing Conditions Has Not Been Readily Accessible
paragraphs: Following the 1994 fatal crash of American Eagle Flight 4184 in Roselawn,  Indiana, FAA issued a multiyear plan in 1997 for improving the safety of  aircraft flying in icing conditions. FAA distributed the plan to a broad  range of aviation stakeholders, including airlines, airports, and pilot  organizations, asking for their support in implementing the plan. It also  posted the plan on its public Web site, and it created an icing steering  committee to monitor the progress of the planned activities. The steering  committee is composed of FAA icing specialists who work together to  resolve aircraft icing issues.
Over the last decade, FAA made progress on the implementation of the  objectives specified in its multiyear plan by issuing or amending  regulations, airworthiness directives, and voluntary guidance to provide  icing-related safety oversight. For example:  In August 2007, FAA issued a final rule for new airworthiness standards to  establish comprehensive requirements for the performance and handling  characteristics of transport category airplanes in icing conditions.
In January 2009, FAA also issued a proposed rule that would amend the  regulations for crewmember and dispatcher training programs, requiring  many new training elements and procedures for air carriers including  some relevant to icing training.
In August 2009, FAA issued a final rule requiring a means to ensure timely  activation of the ice protection system on transport category airplanes.
In November 2009, FAA issued a proposed rule that would require the  timely activation of ice protection equipment on commercial aircraft  during icing conditions and weather conditions conducive to airframe  icing.
In June 2010, FAA issued a proposed rule to amend its standards for  certain transport category airplanes and certain aircraft engines to address  supercooled large droplet icing, ice crystal, and mixed phase icing  conditions, which are outside the range of icing conditions covered by the  current standards; FAA plans to issue the final rule by January 2012.
Since 1997, FAA has issued over 100 airworthiness directives to address  icing safety issues involving more than 50 specific types of aircraft,  including directives that require revising the FAA-Approved Airplane  Flight Manual limitations to provide the flight crew with recognition cues  and procedures for exiting severe icing conditions or inserting a copy of  the airworthiness directive in the manual.
FAA has sponsored research and provided subsequent guidance material  incorporating information on critical ice accretions that it believes has  resulted in a significant increase in the level of safety of new airplanes.
While FAA points to its actions to implement its 1997 plan as having  contributed to a decline in icing-related accidents, the agency also  acknowledges that additional steps were and still are needed to further  reduce the risks that icing continues to pose to aviation safety. Since it  issued the plan, FAA’s icing steering committee has identified many  additional actions to reduce risks from icing, such as researching and  developing approaches to mitigate the risk of turboengine power loss from  ice crystal ingestion. At our request, FAA provided us with a lengthy  compilation of the tasks it is undertaking with respect to icing; however,  its Inflight Aircraft Icing Plan has not been publicly updated since the  initial release in 1997. FAA told us it has reported the status of key tasks in  the icing plan to aviation stakeholders via different methods, such as  during FAA Icing Conferences in 1999 and 2003; yet because FAA has not  formally updated the plan, stakeholders do not have a consolidated and  readily accessible source of information on the key in-flight icing actions  FAA has under way or planned. Furthermore, because the plan only  addresses initiatives related to in-flight icing, FAA is missing an  opportunity to take a more holistic and coordinated approach to the  broader range of issues related to winter weather, including ground icing  and deicing and contaminated runways.
While FAA’s Inflight Aircraft Icing Plan does not cover ground icing, FAA  officials said the agency has maintained a ground icing program whereby  FAA provides guidance on ground winter operations on a yearly basis and  conducts research on endurance times for deicing and anti-icing fluids.  FAA said it also investigates new issues that may arise as a result of  special industry concerns or changes in FAA policy. Regulations and  guidance developed as a result of the ground icing program include a rule  that no longer permits frost to be polished smooth on critical surfaces  prior to takeoff and requires pilots to ensure that the wings of their aircraft  are free of all frost prior to takeoff.
FAA has also provided funding for a variety of icing-related purposes. For  example, FAA has supported NASA research related to severe icing  conditions and NCAR research related to weather and aircraft icing.  Furthermore, FAA has provided almost $200 million to airports through  the Airport Improvement Program (AIP) to construct deicing facilities and  to acquire aircraft deicing equipment from 1999 to 2009. (See app. II for a  detailed listing of AIP icing-related funding by state, city, and year for 1999  to 2009.) Since runway safety is a key concern for aviation safety and  especially critical during winter weather operations, FAA has also  provided about $200 million per year in AIP funding for the creation of  runway safety areas since 2000. According to the Flight Safety  Foundation, from 1995 through 2008, 30 percent of global aviation  accidents were runway-related and “ineffective braking/runway  contamination” is the fourth largest causal factor in runway excursions  that occur during landing. In fiscal year 2000, FAA’s Office of Airport  Safety and Standards initiated a program to accelerate improvements in  runway safety areas at commercial service airports that did not meet FAA  design standards. According to FAA officials, of the 619 runways that FAA  determined needed improvement, 465 (74 percent) have been completed  and 154 (26 percent) remain to be completed by 2015. The estimated cost  to complete the remaining projects is about $835 million. In some cases  where (1) land is not available, (2) it would be very expensive for the  airport sponsors to buy land off the end of the runway, or (3) it is  otherwise not possible to have the 1,000 foot safety area, FAA has  approved the use of an Engineered Materials Arresting System (EMAS).   FAA supports EMAS installations through AIP funding, and currently,  EMAS installations have been completed for 44 runways at 30 airports in  the United States, with seven more installations scheduled for 2010. To  date there have been six successful EMAS captures of overrunning  aircraft.
section_title: Other Stakeholders Support and Augment FAA Efforts to Increase Safety in Icing and Winter Weather Conditions
paragraphs: Government and industry stakeholders, external to FAA, also contribute to  the effort to increase aviation safety in icing and winter weather  conditions. For example, as a result of its civil aviation accident  investigations, NTSB issues safety recommendations to FAA and others,  some of which it deems most critical and places on a list of “Most Wanted”  recommendations. Since 1996, NTSB has issued 82 recommendations to  FAA aimed at reducing risks from in-flight structural icing, engine and  aircraft component icing, runway condition and contamination, ground  icing, and winter weather operations. NTSB’s icing-related  recommendations to FAA have called for FAA to, among other things,  strengthen its requirements for certifying aircraft for flying in icing  conditions, sponsor the development of weather forecasts that define  locations with icing conditions, and enhance its training requirements for  pilots. NTSB has closed 41 of these recommendations (50 percent) as  having been implemented by FAA, and has classified another 22 (27  percent) as FAA having made acceptable progress. This combined 77  percent acceptance rate is similar to the rate for all of NTSB’s aviation  recommendations. A complete listing of and additional information on  NTSB’s icing-related recommendations made since 1996 can be viewed at  GAO-10-679SP.
For more than 30 years, NASA has conducted and sponsored fundamental  and applied research related to icing. The research addresses icing causes,  effects, and mitigations. For instance, NASA has conducted extensive  research to characterize and simulate supercooled large droplet icing  conditions to inform a pending FAA rule related to the topic. NASA  participated in research activities, partially funded by FAA, that developed  additional knowledge and strategies which allowed forecasters to more  precisely locate supercooled large droplet icing conditions. Furthermore,  NASA has an icing program, focused generally on research related to the  effects of in-flight icing on airframes and engines for many types of flight  vehicles. NASA has developed icing simulation capabilities that allow  researchers, manufacturers, and certification authorities to better  understand the growth and effects of ice on aircraft surfaces. NASA also  produced a set of training materials for pilots operating in winter weather  conditions.
NOAA, the National Weather Service, and NCAR have efforts directed and  funded by FAA related to predicting the location and severity of icing  occurrences. The National Weather Service operates icing prediction  systems and NCAR conducts research to determine more efficient  methods to complete this task. In response to FAA’s 1997 Inflight Aircraft  Icing Plan, FAA sponsored NCAR’s development of two in-flight icing  weather products to improve icing diagnoses and forecasting. They are the  (1) Current Icing Product (CIP), which combines satellite, radar, surface,  lighting, and pilot report observations with model output to create a  detailed three-dimensional diagnosis of the potential for the existence of  icing, and (2) Forecast Icing Potential (FIP), which calculates the  likelihood of icing and supercooled large droplet conditions. FIP allows  meteorologists and airline dispatchers to advise pilots about icing hazards  up to 12 hours in advance. The CIP and FIP are now fully operational and  are available at NOAA’s aviation weather Web site, as are maps showing  advisories of severe and moderate icing conditions, pilot reports, and  freezing-level graphics. FAA has also supported the development and use  of operationally available sensors. Observational datasets from those  sensors are used in the CIP algorithm.
In commenting on a draft of this report, the National Science Foundation  said that members from the Aircraft Icing Research Alliance (AIRA)  conduct a significant amount of icing-related research in a collaborative  manner. According to the AIRA Web site, its members include NASA;  Environment Canada; Transport Canada; National Research Council,  Canada; FAA; NOAA; National Defence, Canada; and Defence Science and  Technology Laboratory, United Kingdom. AIRA’s mission is to coordinate  among the parties the conduct of collaborative aircraft icing research  activities that improve the safety of aircraft operations in icing conditions.
The private sector has also contributed to efforts to prevent accidents and  incidents related to icing and winter weather conditions, as required by  FAA. For example, as shown in figure 3, aircraft manufacturers have  deployed various technologies such as wing deicers, anti-icing systems,  and heated wings. In addition, airports operate ground deicing and runway  clearing programs that help ensure clean wings (see fig. 4) and runways.
section_title: Continued Attention to Regulation, Training, and Coordination Issues Could Further Mitigate the Risks of Winter Weather Operations
paragraphs: While FAA and others are undertaking efforts to mitigate the risks of  aircraft icing and winter weather operations, through our interviews and  discussions with government and industry stakeholders, we have  identified challenges related to these risks that, if addressed by ongoing or  planned efforts, could improve aviation safety. These challenges include  (1) improving the timeliness of FAA’s winter weather rulemaking efforts;  (2) ensuring the availability of adequate resources for icing-related  research and development (R&D); (3) ensuring that pilot training is  thorough, relevant, and realistic; (4) ensuring the collection and  distribution of timely and accurate weather information; (5) addressing  the environmental impacts of deicing fluids; and (6) developing a more  integrated approach to effectively manage winter operations.
Improving the timeliness of FAA’s winter weather rulemaking efforts.  FAA’s rulemaking, like that of other federal agencies, is a complicated,  multistep process that can take many years. One purpose of the  rulemaking process is to ensure that all aspects of any regulatory change  are fully analyzed before the change goes into effect. To begin a  rulemaking, FAA may seek input from ARAC, and it may conduct  research and development to enhance existing technologies or to  introduce new technologies. NTSB, the Air Transport Association, and  other stakeholders have recognized that such research and development  can be time-consuming. In addition, FAA generally is required to develop  and publish each rule in the Federal Register—first as a proposed rule and  then as a final rule. During the public comment period that follows the  publication of the proposed rule, interested parties may submit written  comments, which FAA examines and may consider when making any  changes before publishing the final rule. The final rule is then incorporated  into the United States Code of Federal Regulations, but it may not take  effect immediately. For example, FAA may phase in requirements over  time or it may give industry time—sometimes several years—to implement  changes. Figure 5 provides an overview of the federal rulemaking process  as it applies to FAA.
NTSB, FAA, and we have previously expressed concerns about the  efficiency and timeliness of FAA’s rulemaking efforts. In 2001, we reported  that a major reform effort begun by FAA in 1998 did not solve long- standing problems with its rulemaking process, as indicated both by the  lack of improvement in the time required to complete the rulemaking  process and by the agency’s inability to consistently meet the time frames  imposed by statute or its own guidance. External pressures—such as  highly-publicized accidents, recommendations by NTSB, and  congressional mandates—as well as internal pressures, such as changes in  management’s emphasis, continued to add to and shift the agency’s  priorities. For some rules, difficult policy issues continued to remain  unresolved late in the process. Our 2001 report contained 10  recommendations designed to improve the efficiency of FAA’s rulemaking  through, among other things, (1) more timely and effective participation in  decision making and prioritization; (2) more effective use of information  management systems to monitor and improve the process; and (3) the  implementation of human capital strategies to measure, evaluate, and  provide performance incentives for participants in the process. FAA has  implemented 8 of our 10 recommendations.
NTSB’s February 2010 update on the status of its Most Wanted  recommendations related to icing characterized FAA’s related rulemaking  efforts as “unacceptably slow.” In December 2009, at FAA’s International  Runway Safety Summit, NTSB’s Chairman commented, “How do safety  improvements end up taking 10 years to deliver? They get delayed one day  at a time . . . and every one of those days may be the day when a  preventable accident occurs as the result of something we were ‘just about  ready to fix.’” In particular, NTSB has expressed concern about the pace of  FAA’s rulemaking project to amend its standards for transport category  airplanes to address supercooled large droplets, which is outside the range  of icing conditions covered by the current standards. FAA began this  rulemaking effort in 1997 in response to a recommendation made by NTSB  the prior year, and the agency currently expects to issue its proposed rule  in July 2010 and the final rule by January 2012. However, until the notice  of proposed rulemaking is published and the close of the comment period  is known, it will be unclear as to when the final rule will be issued. The  Department of Transportation, in its monthly report on the department’s  significant rulemakings, has classified this rulemaking effort as “behind  schedule” since March 2010. Much of the time on this rulemaking effort  has been devoted to research and analysis aimed at quantifying the  atmospheric conditions that lead to supercooled large droplet icing, as  well as developing tools that would allow industry to comply with the  forthcoming rule.
In 2009, FAA completed an internal review of its rulemaking process and  concluded that several of the concerns from 1998 that led to the agency’s  major reform effort remain, including:  inadequate early involvement of key stakeholders; inadequate early resolution of issues; inadequate selection and training of personnel involved in rulemaking; and inefficient quality guidance.
According to FAA’s manager for aircraft and airport rules, the agency is  taking steps to implement recommendations made by the internal review,  such as revising the rulemaking project record form and enhancing  training for staff involved in rulemaking. In addition, in October 2009, FAA  tasked ARAC with reviewing its processes and making recommendations  for improvement within a year. According to an FAA rulemaking manager,  ARAC is finalizing its recommendations and writing its report, which FAA  expects to receive in December 2010. We believe these efforts have the  potential to improve the efficiency of FAA’s rulemaking process. Progress  in rulemaking will be critical for FAA because, as we have reported in our  recent reviews of the transition to the Next Generation Air Transportation  System (NextGen), many of the proposals for safely enhancing the  efficiency and capacity of the national airspace system will depend on  timely development of rules and procedures.
Ensuring the availability of adequate resources for icing-related R&D.  NASA is a key source of R&D related to icing. The agency performs  fundamental research related to icing in-house and sponsors such research  at universities and other organizations. According to NASA officials,  possible areas for increased support for R&D that could be helpful include  pilot training, supercooled large droplet simulation (both experimental  and computational), engine icing, and the effects of icing on future aircraft  wing designs. However, the amount of NASA resources (including  combined amounts from NASA’s budget and from FAA for aircraft icing  R&D at NASA facilities) and staffing for icing research have declined  significantly since fiscal year 2005, as shown in figure 6. According to  NASA officials, there were several contributing factors to the decline in  available resources, including the fiscal constraints on the overall federal  budget, a shift in the administration’s priorities for NASA, as well as a  restructuring within NASA’s aeronautical programs to reflect the available  resources and priorities. Because the outcomes of R&D are often a  required precursor to the development of rules and standards, as well as  technological innovation, a decline in R&D resources can delay actions  that would promote safe operation in icing conditions. For example, FAA’s  chief scientist for icing told us the decline in NASA’s icing research budget  has adversely affected NASA’s research to understand how icing affects  various makes and models of aircraft in real time—research that would  ultimately help pilots determine how to respond to specific icing  encounters. He said that without NASA’s research efforts, it would be  uncertain who would conduct this and other potentially important icing  research. In commenting on a draft of this report, the National Science  Foundation agreed that this is a major concern and noted that icing-related  research conducted by NASA has been extremely valuable.
Ensuring that pilot training is thorough, relevant, and realistic. Another  icing-related challenge to aviation safety is pilot training. Aviation experts  told us that pilots are likely to encounter icing conditions beyond their  aircraft’s capabilities at least once in their career. Currently, icing must be  covered in a commercial pilot’s initial training and, while recurrent  training may not always emphasize icing, it is covered on a rotational  basis. Different weather conditions affect aircraft performance in a variety  of ways, making it critical that pilots receive training relevant to the  conditions they are likely to encounter. For example, it is important that  regional airline operators provide region-specific training to their pilots as  regional airline consolidations may cause pilots to fly a geographically  wider variety of routes with more variation in weather conditions. Further,  in February 2010, the Executive Air Safety Chairman of the Airline Pilots  Association International testified on the importance of pilots knowing the  effects icing has on the controllability of the specific airplane they are  flying. He stressed that, currently, the pilot community has inconsistent  information and guidance when having to decide how to react after  encountering in-flight icing conditions or whether to take off or proceed  into reported freezing rain or drizzle. Furthermore, in commenting on a  draft of this report, NASA said the current FAA written tests for pilot  certification have little relevance to the competence required in icing and  winter weather operations. For example, NASA said one issue is that the  pilot-applicant can pass the test without answering weather-related  questions correctly, but that even correct answers provide very little  operational information compared with what a pilot needs to know when  faced with icing. NASA said it has participated in developing materials to  help fill this information gap and while the materials have been adopted by  a number of users, they have not been endorsed by FAA. NASA believes  that these or other expanded materials should be utilized and included as  part of the formal pilot training requirement.
Regarding pilot training, in January 2010, the FAA Administrator said, “The  flying public needs to have confidence that no matter what size airplane  they board, the pilots have the right qualifications, are trained for the  mission, are fit for duty. . . . We know we need to reexamine pilot  qualifications to make sure commercial pilots who carry passengers have  the appropriate operational experience—they need to be trained for the  mission they are flying.” FAA has begun to take steps to address  shortcomings in pilot training. For example, in January 2009, FAA issued a  notice of proposed rulemaking to establish new training requirements,  such as requiring the use of flight simulators for training flight  crewmembers and requiring training on special hazards such as loss of  control and controlled flight into terrain. However, as of June 2010, FAA  did not have a target date for issuing a final rule. In June 2009, FAA took  the additional step of issuing an action plan to improve airline safety and  pilot training. The plan called for specially focused inspections of carriers’  flight crew training and qualifications programs. In February 2010, the IG  reported that these inspections were generally completed on time, but  inspectors lacked guidance from FAA headquarters and surveillance  questions were inadequate. As a result, the IG reported that the  consistency and quality of the inspections may not have been  comprehensive enough to detect flaws in the carriers’ training and  qualifications programs.
Ensuring the collection and distribution of timely and accurate weather  information. Improving the quality of weather information could reduce  the safety risks associated with winter weather operations. Pilots and  operators use weather forecasts to decide whether it is safe to start a flight  or, once aloft, whether it is preferable to continue on to the destination or  divert to an alternate airport. Weather experts explained that weather  forecasters are still far from being able to precisely predict icing  conditions in the atmosphere and the impact of such conditions on  individual aircraft. For this reason, FAA said icing forecasters generally  provide overly cautious forecasts that cover a broad area. While this  serves to warn pilots that icing could occur, representatives of the Air Line  Pilots Association said that too many false alarms result in pilots ignoring  subsequent forecasts of icing. These representatives also said that pilots  do not know when they are entering severe conditions, as they are only  given generalized statements about icing conditions.
Providing pilots with accurate weather information has been a long- standing concern: FAA’s 1997 Inflight Aircraft Icing Plan recommended  improving the quality and dissemination of icing weather information to  dispatchers and flight crews. Since 1997, FAA, in conjunction with NOAA  and NCAR, has developed improved icing forecasting products. As  previously mentioned, these icing forecasting products are now fully  operational, yet FAA and others told us that further improvements to  weather forecasts are still needed. Currently, NextGen weather  researchers are focused on creating technology and procedures that  enable forecasters to provide pilots with more precise and accurate  predictions of icing conditions, which they believe will address the  problem of pilots ignoring traditionally unreliable icing forecasts and  better communicate the existence of dangerous weather conditions to  pilots.
Addressing the environmental impacts of deicing fluids. While critical to  safe, efficient winter operations, continuing to keep aircraft and airport  pavement free of ice and snow while complying with EPA’s proposed rule  on the use of deicing fluids could be challenging for affected airports.  These programs involve treating aircraft and airport pavement with  millions of pounds of deicing and anti-icing compounds annually. These  compounds contain chemicals that can harm the environment. Some  airports can control deicing pollution by capturing the fluids used to deice  aircraft using technologies such as AIP-funded deicing pads, where  aircraft are sprayed with deicing fluids before takeoff and the fluids are  captured and treated; drainage collection systems; or vacuum-equipped  vehicles. Third-party contractors, rather than individual air carriers, are  increasingly performing deicing operations at commercial airports. FAA  does not currently have a process to directly oversee these third-party  contractors but indicates that it has one under development.
In its official comments on EPA’s proposed rule, an association of airports  expressed several concerns, including that (1) complying with the  proposed rule would require additional vehicles around terminals,  taxiways, and runways to recover deicing fluid, potentially slowing or  halting operations and posing a safety hazard; (2) the proposed rule offers  no alternative means of compliance to airports which do not have enough  space to construct deicing pads; and (3) EPA’s estimate of the costs of  complying with the proposed rule did not include several necessary  expenditures, including certain infrastructure and maintenance costs and  the cost of consultants or other staff needed to help comply with the rule.  According to EPA, the agency worked closely with FAA in developing the  proposed rule, which FAA determined would have no impact on the safety  of operations. Several state environmental agencies supported the need  for this type of rule, but some of the agencies believed that the proposal  could be improved by, for example, including stricter requirements for the  treatment of deicing fluid or by giving airports more time to comply with  new requirements.
Developing a more integrated approach to effectively manage winter  operations. FAA indicated that developing an integrated approach to  effectively manage winter operations is among its top challenges related to  aviation icing. FAA said that, in conjunction with the aviation industry, it  needs to begin focusing on winter operations holistically because there are  many vital elements to safe operations in winter weather conditions,  including airport surface conditions, aircraft ground deicing, aircraft in- flight icing and icing certification, dissemination of airport condition  information, air traffic handling of aircraft in icing conditions, and air  traffic arrival and departure sequencing. An academic expert on icing  agreed with this view when he told us an integrated approach is critical  because there are so many different players involved. Other industry  stakeholders we contacted cited specific examples that demonstrated a  lack of an integrated approach to winter operations. For example,  representatives from a pilots’ association told us air traffic control  procedures at large airports cause aircraft to spend more time than  necessary in icing conditions, which is a safety hazard for small aircraft.  Representatives from the National Air Transportation Association told us  consistent language does not exist across all stakeholders, with subjective  terminology used to report runway conditions and in-flight icing  encounters that could be interpreted in various ways by pilots. FAA  stressed that it is important for FAA and the aviation industry to focus on  how components of the aviation system interact and affect one another  during winter operations and not view the components in isolation.
section_title: Conclusions
paragraphs: FAA and other aviation stakeholders have taken many steps to improve  aviation safety in icing and winter weather conditions. These steps have  likely contributed to the fact that large commercial airplanes have  experienced few icing-related accidents since 1998. Nevertheless, the  many reported icing incidents suggest that icing is an ongoing risk to  aviation safety, including the safety of large commercial airplanes. Further,  aviation stakeholders have identified challenges that if addressed, could  improve safety. Among others, these challenges include improving the  timeliness of FAA’s winter weather rulemaking efforts, ensuring the  availability of adequate resources for icing-related R&D, and developing a  more integrated approach to effectively manage winter operations.  Although FAA and other stakeholders are continuing their efforts to  reduce safety risks associated with icing and winter weather operating  conditions, these efforts could benefit from more formal and holistic  planning. FAA has not formally updated its 1997 Inflight Aircraft Icing  Plan, meaning the stakeholders do not have a consolidated and readily  accessible source of information on the key in-flight icing actions FAA has  under way or planned. Furthermore, the scope of the 1997 plan did not  include icing issues occurring on the ground, yet contaminated runways  resulting from icing and winter weather pose hazards to planes during  takeoff and landing, and removing ice or preventing ice from forming on  aircraft occurs not only during flight, but also on the ground prior to  takeoff. A plan that addresses both in-flight and ground icing issues, as  well as the challenges stakeholders identified for this report, would help  FAA measure its ongoing and planned efforts against its goals for  improving safety. Furthermore, a comprehensive plan could help identify  gaps or other areas for improvement and assist FAA in developing an  integrated approach to winter operations. Although stakeholders  identified multiple challenges for this report, we believe several of them  could be addressed in the plan.
section_title: Recommendation for Executive Action
paragraphs: To help facilitate FAA’s and other stakeholders’ efforts to address  challenges to improving safety in icing and winter weather conditions, we  recommend that the Secretary of Transportation direct the Administrator,  FAA, to develop a comprehensive plan, in consultation with public and  private stakeholders, to guide these efforts. The plan should focus on  winter operations holistically, be clearly communicated to all affected  parties, and include detailed goals, milestones, and time frames that can be  used to gauge performance and progress, identify gaps, and determine  areas for improvement. FAA should also periodically report to affected  parties on its progress in implementing the plan, as well as any updates to  the plan.
section_title: Agency Comments
paragraphs: We provided a draft of this report to the Department of Transportation  (which contains FAA), the Department of Commerce (which contains  NOAA), NTSB, NASA, and the National Science Foundation (which  contains NCAR) for their review and comment. In response, the  Department of Transportation agreed to consider our recommendation  and provided technical comments which we incorporated as appropriate.  The Department of Commerce and NTSB also provided technical  comments which we incorporated as appropriate.
In commenting on a draft of this report, NASA emphasized the importance  of updated and timely aircraft certification requirements and the need for  research to develop computer models and simulations to provide the  understanding needed to support new certification requirements. With  respect to our recommendation, NASA said that while FAA’s development  of a comprehensive plan for winter operations is a good first step, NASA  suggested that greater emphasis be placed on FAA’s implementation  activities once the plan is in place. NASA also provided technical  comments which we incorporated as appropriate.
In its comments, the National Science Foundation (NSF) said our report  adequately addresses the state of aircraft operations during winter. Of the  challenges we identified, NSF said developing a more integrated approach  to effectively manage winter operations is the most critical and will result  in the most improvements to aviation safety and icing. NSF said that a  number of universities, under funding from NSF, conduct research into the  physics of icing and also had provided in situ measurements (using a  storm penetration aircraft) of icing and other conditions associated with  large convective storms. NSF indicated that our discussion of CIP and FIP  as fully operational products illustrates that advances are being made, but  that constant updates are needed as a result of additional research.
We are sending copies of this report to interested congressional  committees, the Secretary of Transportation, the Secretary of Commerce,  the Chairman of NTSB, the Administrator of NASA, and the Acting  Director of the NSF. In addition, the report will be available at no charge  on the GAO Web site at http://www.gao.gov.
If you have any questions concerning this report, please contact me at  (202) 512-2834 or dillinghamg@gao.gov. Contact points for our Offices of  Congressional Relations and Public Affairs may be found on the last page  of this report. GAO staff who made major contributions to this report are  listed in appendix III.
Gerald L. Dillingham, P Director, Physical Infrastructure Issues  h.D.
section_title: Appendix I: Objectives, Scope, and Methodology
paragraphs: We reviewed (1) the extent to which large commercial airplanes have  experienced accidents and incidents related to icing and contaminated  runways, (2) the Federal Aviation Administration’s (FAA) inspection and  enforcement activities related to icing, (3) the efforts of FAA and other  aviation stakeholders to improve safety in icing and winter weather  operating conditions, and (4) the challenges that continue to affect  aviation safety in icing and winter weather operating conditions.
To review the extent to which large commercial airplanes have  experienced accidents and incidents related to icing and contaminated  runways, we analyzed data obtained from FAA, the National  Transportation Safety Board (NTSB), and the National Aeronautics and  Space Administration (NASA). More specifically, NTSB provided us both  raw and summary data from its aviation accident database on accidents  involving large commercial carriers, small commercial carriers, or private  operators in which any of the following were cited as a cause of the  accident, a contributing factor, or a finding: icing of the airframe and  associated equipment and structures, engines and engine intakes, fuel  lines, or carburetors; contamination of airport surfaces by snow or ice;  and snow removal. We analyzed this data to identify and remove several  duplicate accident records. FAA and NASA provided us data from their  aviation incident databases on incidents related to the same types of  factors as the accidents we analyzed. We tabulated the incident data to  determine the numbers of incidents by type of factor and by type of  operator.
To review FAA’s inspection and enforcement activities related to icing we  obtained FAA’s inspection and enforcement policies and analyzed data  from FAA’s inspection and enforcement databases. More specifically, to  assess the timeliness of FAA’s inspection-based assessments of large  commercial carriers ground deicing programs under the Air  Transportation Oversight System (ATOS), we obtained and analyzed data  from the system to determine how many assessments were completed  within FAA’s required time frames. To determine the extent to which  FAA’s inspections found that large commercial carriers were in  compliance with FAA’s safety requirements, we analyzed inspection data  from ATOS on inspectors’ responses to compliance-related questions. We  also analyzed data from ATOS on the results of inspectors’ overall  assessments of each large commercial carrier’s compliance with ground  deicing regulations. To determine the extent to which FAA had completed  all required and planned inspections of large and small commercial  carriers’ ground deicing programs that were covered by the National Work  Program Guidelines (NPG), we obtained and analyzed data from FAA’s  Program Tracking and Reporting Subsystem (PTRS) on the numbers of  required and planned inspections that FAA completed, as well as those  that it terminated or cancelled. To determine the enforcement actions that  FAA initiated against carriers that violated icing-related regulations, we  obtained and analyzed data on these actions from FAA’s Enforcement  Information System, including whether the actions were administrative,  fines, or suspensions or revocations of carriers’ operating certificates. For  the cases that are closed, we analyzed data to determine the minimum,  median, and maximum dollar amounts of fines and durations of  suspensions.
To determine the efforts FAA and other stakeholders have undertaken to  improve safety in icing and winter weather operating conditions and the  challenges that remain, we interviewed government officials from FAA,  NTSB, NASA, the National Oceanic and Atmospheric Administration  (NOAA), and the National Center for Atmospheric Research (NCAR), as  well as the Flight Safety Foundation and an academic expert from the  University of Illinois. We also contacted a variety of industry  representatives, as shown in table 6.
We also reviewed key documents on the efforts undertaken by these  entities, including FAA’s 1997 Inflight Aircraft Icing Plan and a status  update on the plan and FAA’s other winter-weather initiatives that FAA  developed at our request; FAA’s 2009 report on its review of its rulemaking  process; FAA’s Answering the Call to Action on Airline Safety and Pilot  Training; and the Environmental Protection Agency’s proposed rule on  the use of deicing fluids and related effluents, as well as public comments  on the proposed rule submitted to the docket by Airports Council  International of North America and several state environmental agencies.  We also obtained and reviewed data related to several key stakeholder  efforts, such as data on Airport Improvement Program (AIP) funding FAA  has provided to airports to construct deicing facilities and to acquire  aircraft deicing equipment; data from NTSB’s recommendation database  on the status of its recommendations related to aviation icing and winter  weather; and data on NASA funding and staffing for icing research.
We conducted this review from August 2009 to July 2010 in accordance  with generally accepted government auditing standards. Those standards  require that we plan and perform the audit to obtain sufficient and  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. To assess the reliability of the inspection  and enforcement data that we received from FAA, we performed  electronic testing of the data elements that we used, obtained and  reviewed documentation about the data and the systems that produced  them, and interviewed knowledgeable FAA officials. To assess the  reliability of the accident data we received from NTSB and the incident  data we received from FAA and NASA, we obtained and reviewed  documentation about the data and the systems that produced them.
section_title: Appendix II: FAA’s Funding to the Airport Improvement Program for 1999 to 2009, by State and City
paragraphs: Appendix II: FAA’s Funding to the Airport  Improvement Program for 1999 to 2009, by  State and City Ark.
Colo.
Conn.
Ill.
Ind.
Kans.
Ky.
Md.
Mich.
Minn.
Mo.
Mont.
N.C.
N.J.
N.M.
N.Y.
Okla.
Ore.
Penn.
Tenn.
Tx.
Va.
Wash.
Wis.
W.Va.
Wyo.
section_title: Appendix III: GAO Contact and Staff Acknowledgments
subsections: section_title: Staff Acknowledgments
paragraphs: In addition to the contact above, other key contributors to this report were  Sally Moino, Assistant Director; Laurel Ball; Richard Brown; Shareea  Butler; Colin Fallon; David Goldstein; Brandon Haller; David Hooper; and  Joshua Ormond.