Choosing an action in the change process often means allocating resources to carrying it out.
Resources often take the form of funds, but can also include human capital, time, and other forms. For airlines and operators carrying out a transition often means that funds must be allocated to buy aircraft equipment, avionics, as well as to cover the installation costs and out of service costs for aircraft. In addition, pilot training may need to be developed and carried out. For developers of a solution funds for the development, testing, and refinement needs to be allocated. In addition, funds for certification and approval processes that occur during the implementation process are also needed. Airports and port authorities may also need to allocate funds to expansion of infrastructure or implementation of ground based technologies.
As mentioned in previous sections, authority figures often have to make decisions about the allocation of resources and in doing so chose between addressing different problems that the system is facing. In the case of the air transportation system, the FAA often makes decisions
In many large transitions, the FAA must allocate funding for system modernization. However, such funding comes from a finite budget that must be split between system operations, sustaining the existing infrastructure, and system modernization. The FAA also administers funding in the Airport Improvement Program, but these are earmarked for airport projects only. Figure 6-13 shows the breakdown of a $14,310 million budget in 2006 and a $14,537 million budget in 2007 [169]. It can be seen from the figure that over 50% of the budget is used for operating the system, about 18% is used for facilities and equipment wich can include new technologies. Finally, only about 1% of the budget is reserved for research that may lead to transitions in the system.
Figure 6-13: FAA Budget Breakdown [169]
In addition to there being limited funds for system transition, the FAA is not necessarily free to spend these funds as they like. Rather the FAA budget is viewed aa having political importance because it allocates resources between different problems and between different system stakeholders. The FAA budget also includes earmarks for specific projects. These earmarks amount to about $312 million a year [170]. Because FAA resources allocation decisions guide which transitions will be implemented, stakeholders lobby and attempt to influence how FAA resources are spent. This dynamic of the FAA acting as a leader with authority was discussed in Section 6.2.1.
In the case studies conducted for this work, all implemented change involved or required the allocation of resources. Some pending cases such as ADS-B have had commitment in the form of resources allocation form some stakeholders, but not from others. Because transition requires resources, stakeholders must decide if a system change is worth the investment, or put another way if benefits outweigh the costs. Because the amount of resources is finite, any stakeholder contemplating a change need to allocate those resources between competing problems and between problems and continuing their existing activities. As a result, addressing a particular problem competes with the cost of existing system obligations and with the investment in addressing other problems or opportunities. This competition for resources is shown in Figure 6-14.
Figure 6-14: Different Problems Compete for Resources
In addition to specific problems competing for resources, drivers of transition may also compete, especially if they are in conflict. For example, it would be impossible or very difficult to enact a capacity change that reduced the safety of the system. Addressing capacity and environmental issues can also be at odds since allowing for more flights also results in increased emissions. However, while in some cases drivers and problems compete in others they may complement each other. For example TDWR increased both the safety and capacity
helped in making the business case for this technology. Such interactions between different drivers and problems add a layer of complexity in the change process. Stakeholder objectives need to be resolved not only for each particular potential system transition, but also among all the different problems that are vying for attention and resources.
6.4 Implications
In order to overcome stakeholder barriers to system transition the distribution of costs and benefits between stakeholders must be understood. Understanding this distribution will make it clear which stakeholders are likely to support a proposed change and which are likely to oppose it. In addition, understanding what aspects of a change can help better deliver benefits to stakeholders is important. Structuring changes to maximize the benefits to stakeholders will encourage their participation in transition.
If a transition requires trust and coordination between stakeholders, measures should be taken to ensure that trust exists. The FAA can also use incentives and mitigation measures to encourage stakeholder participation.
Finally, it must be recognized that a decision by an authority figure, such as the use of a mandate, if often necessary to bring about change. In particular, in cases where no possibility exists for all stakeholders to receive a benefit, legislative and mandate power may be needed to bring about system change.
Chapter 7
Solution Development Process
In order for stakeholders to select an action during the change process, capability options from which solutions can be chosen must either exist or the selected action during the change process has to be to develop them. The model constructed so far and shown below in Figure 7-1 presumes the existence of capability options but does not capture their development. As a
result, a solution development process is missing from this framework and must be added to the representation of transition processes. This addition is shown in Figure 7-2. The input to the solution development process is selected actions in the form of a decision to engage in solution development. The outputs of the process are capability options which feed into the awareness building process and provide potential solutions to identified problems.
7.1 Research and Development
While solution development is represented as a separate process in the transition model it is part the broader category of research and development, which plays an important role throughout each of the transition processes. During the awareness building process research and development are used to develop understanding of problem dynamics including root cause and potential impacts of the problem. In addition, research and development, as well as
Figure 7-1: Feedback Model Framework
expert opinions, can be used during this process to build credibility for a specific problem definition. During the change process, research and development can be used to engage stakeholders together to plan a response to a problem. In addition, an action to study a problem or develop capability options can be used politically in response to pressure when no adequate solution exist or when a stakeholder group is attempting to delay action while still creating the appearance of response. The role of research in the awareness building and change process are incorporated into the discussion of those process in Chapter 5 and Chapter 6. During the implementation process, research and development are used to refine a selected solution and to prove that it meeds requirements necessary for approval. This process will be discussed further in Chapter 8.
This remainder of this chapter discusses the process of solution development in more detail and its role in bringing about system change. Information on the types of solutions and actions typically employed to address safety, security, capacity, and environmental drivers for change is provided. The importance of solution availability and viability is also discussed.
Figure 7-2: Transition Model Including Solution Development