Homeland Security: Agency Resources Address Violations of Restricted Airspace, but Management Improvements Are Needed

GAO-05-928T Published: Jul 21, 2005. Publicly Released: Jul 21, 2005.

Highlights

Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. GAO was asked to review (1) the threat assessment for U.S. aviation, (2) violations of restricted airspace since September 11, 2001, (3) agencies' individual or coordinated steps to secure U.S. aviation, and (4) interagency policies and procedures to manage the response to restricted airspace violations. GAO will issue a classified report responding to this request later this year. To keep this testimony unclassified, GAO focused on the latter three questions.

Recommendations

Recommendations for Executive Action

Agency Affected	Recommendation	Status
Transportation Security Administration	The Secretary of Homeland Security should direct the Assistant Secretary of TSA to establish milestones with specific actions needed to complete risk assessments applicable to the commercial aviation sector.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Homeland Security	The Secretaries of Defense, Homeland Security, and Transportation should work together to determine the extent to which one agency should be in charge of leading the interagency process of responding to violations of restricted airspace as they occur.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Defense	The Secretaries of Defense, Homeland Security, and Transportation should work together to determine the extent to which one agency should be in charge of leading the interagency process of responding to violations of restricted airspace as they occur.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Transportation	The Secretaries of Defense, Homeland Security, and Transportation should work together to determine the extent to which one agency should be in charge of leading the interagency process of responding to violations of restricted airspace as they occur.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Homeland Security	The Secretaries of Defense, Homeland Security, and Transportation should work together to determine the degree to which interagency policies, procedures, and other guidance on the Domestic Events Network are needed to evaluate its effectiveness and identify potential improvements.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Defense	The Secretaries of Defense, Homeland Security, and Transportation should work together to determine the degree to which interagency policies, procedures, and other guidance on the Domestic Events Network are needed to evaluate its effectiveness and identify potential improvements.	Closed – Implemented FAA has completed a Domestic Events Network guide and has distributed the guide to all pertinent agencies. The guide includes participation requirements for agencies such as compatible communication equipment, secure access to conferences, and providing point of contact information. The guide also includes protocols such as caller and receiver self-identification and highlights key threat identification information that must be reported over the teleconference. According to FAA officials, FAA has also included major airlines as participants so that carriers can provide real-time situational awareness as they are received from their flight crews.
Department of Transportation	The Secretaries of Defense, Homeland Security, and Transportation should work together to determine the degree to which interagency policies, procedures, and other guidance on the Domestic Events Network are needed to evaluate its effectiveness and identify potential improvements.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Homeland Security	The Secretaries of Defense, Homeland Security, and Transportation should work together to develop a concept of operations plan or other relevant document to guide the interagency process of responding to violations in all U.S. airspace.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Defense	The Secretaries of Defense, Homeland Security, and Transportation should work together to develop a concept of operations plan or other relevant document to guide the interagency process of responding to violations in all U.S. airspace.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Transportation	The Secretaries of Defense, Homeland Security, and Transportation should work together to develop a concept of operations plan or other relevant document to guide the interagency process of responding to violations in all U.S. airspace.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Homeland Security	The Secretaries of Defense, Homeland Security, and Transportation should work together to establish information sharing requirements and protocols.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Defense	The Secretaries of Defense, Homeland Security, and Transportation should work together to establish information sharing requirements and protocols.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Transportation	The Secretaries of Defense, Homeland Security, and Transportation should work together to establish information sharing requirements and protocols.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Homeland Security	The Secretaries of Defense, Homeland Security, and Transportation should work together to establish common definitions.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Defense	The Secretaries of Defense, Homeland Security, and Transportation should work together to establish common definitions.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Transportation	The Secretaries of Defense, Homeland Security, and Transportation should work together to establish common definitions.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because (1) pilots may divert from their flight plan to avoid bad weather, (2) the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions, or (3) pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter... View More
Department of Defense	The Secretaries of Defense and Transportation should work together to determine the extent to which key elements of the Federal Aviation Administration's (FAA) pilot deviations database could be shared with the North American Aerospace Defense Command.	Closed – Implemented In February 2006, FAA began to distribute to DOD and other key airspace security stakeholders a monthly spreadsheet of all pilot deviations and enforcement activities. The distributed information also includes data on repeat offenders and operators and access to aircraft and airman registration information.
Department of Transportation	The Secretaries of Defense and Transportation should work together to determine the extent to which key elements of the Federal Aviation Administration's (FAA) pilot deviations database could be shared with the North American Aerospace Defense Command.	Closed – Implemented In February 2006, FAA informed us that it is providing to DOD and other air security stakeholders a monthly spreadsheet of all pilot deviations and enforcement activities. Other information that FAA is distributing includes data on repeat offenders and operators and access to aircraft and airmen registration information.
Department of Transportation	The Secretary of Transportation should direct the Administrator of FAA to obtain necessary security clearances for appropriate FAA personnel to ensure that they are not excluded from airspace violations conferences that require such clearances.	Closed – Implemented Securing and defending U.S. airspace is an interagency mission that depends on close interagency coordination and information sharing. The Federal Aviation Administration (FAA) reported about 3,400 violations of restricted airspace from September 12, 2001, to December 31, 2004, most of which were committed by general aviation pilots. Violations can occur because pilots may divert from their flight plan to avoid bad weather; the Administration may establish newly restricted airspace with little warning, and pilots in the air may be unaware of the new restrictions; or pilots do not check for notices of restrictions, as required. Also, terrorists may deliberately enter restricted airspace... View More
Department of Transportation	The Secretary of Transportation should direct the Administrator of FAA to ensure that FAA shares sufficient data from its airspace violation database (also known as its pilot deviations database) with FAA's office of the Strategic Operations Security Manager to meet the needs of that office.	Closed – Implemented In May 2006, FAA informed us that the office of the Strategic Operations Security Manager has access to the information needed to include pilot deviations data and enforcement activities.

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Aircraft pilotsTransportation securityAviationAviation securityBaggage screeningChecked baggage screeningCounterterrorismHomeland securityInteragency relationsPolicy evaluationRisk assessmentSecurity policiesSecurity policy violationsSecurity threatsTerroristsFlight restrictionsPolicies and procedures