[House Report 105-61]
[From the U.S. Government Publishing Office]



105th Congress                                                   Report
                        HOUSE OF REPRESENTATIVES

 1st Session                                                     105-61
_______________________________________________________________________


 
  FAA RESEARCH, ENGINEERING, AND DEVELOPMENT AUTHORIZATION ACT OF 1997

_______________________________________________________________________


 April 21, 1997.--Committed to the Committee of the Whole House on the 
              State of the Union and ordered to be printed

                                _______
                                

    Mr. Sensenbrenner, from the Committee on Science, submitted the 
                               following

                              R E P O R T

                             together with

                            ADDITIONAL VIEWS

                        [To accompany H.R. 1271]

      [Including cost estimate of the Congressional Budget Office]

    The Committee on Science, to whom was referred the bill 
(H.R. 1271) to authorize the Federal Aviation Administration's 
research, engineering, and development programs for Fiscal 
Years 1998 through 2000, and for other purposes, having 
considered the same, report favorably thereon with an amendment 
and recommend that the bill as amended do pass.

                                CONTENTS

                                                                   Page
   I. Amendment.......................................................2
  II. Purpose of the Bill.............................................4
 III. Background and Need for Legislation.............................4
  IV. Summary of Hearings.............................................5
   V. Committee Actions...............................................6
  VI. Summary of Major Provisions of the Bill.........................6
 VII. Section-By-Section Analysis and Committee Views.................7
VIII. Committee Cost Estimate........................................12
  IX. Congressional Budget Office Cost Estimate......................13
   X. Compliance with Public Law 104-4...............................14
  XI. Committee Oversight Findings and Recommendations...............15
 XII. Oversight Findings and Recommendations by the Committee on 
      Government Reform and Oversight................................15
XIII. Constitutional Authority Statement.............................15
 XIV. Federal Advisory Committee Statement...........................15
  XV. Congressional Accountability Act...............................15
 XVI. Changes in Existing Law Made by the Bill, as Reported..........15
XVII. Committee Recommendations......................................18
XVIII.Additional Views...............................................19


                              I. Amendment

  The amendment is as follows:
  Strike out all after the enacting clause and insert in lieu 
thereof the following:

SECTION 1. SHORT TITLE.

  This Act may be cited as the ``FAA Research, Engineering, and 
Development Authorization Act of 1997''.

SEC. 2. AUTHORIZATION OF APPROPRIATIONS.

  Section 48102(a) of title 49, United States Code, is amended--
          (1) by striking ``and'' at the end of paragraph (2)(J);
          (2) by striking the period at the end of paragraph (3)(J) and 
        inserting in lieu thereof a semicolon; and
          (3) by adding at the end the following:
          ``(4) for fiscal year 1998, $217,406,000, including--
                  ``(A) $75,550,000 for system development and 
                infrastructure projects and activities;
                  ``(B) $19,614,000 for capacity and air traffic 
                management technology projects and activities;
                  ``(C) $15,132,000 for communications, navigation, and 
                surveillance projects and activities;
                  ``(D) $9,982,000 for weather projects and activities;
                  ``(E) $5,458,000 for airport technology projects and 
                activities;
                  ``(F) $26,625,000 for aircraft safety technology 
                projects and activities;
                  ``(G) $49,895,000 for system security technology 
                projects and activities;
                  ``(H) $10,737,000 for human factors and aviation 
                medicine projects and activities;
                  ``(I) $3,291,000 for environment and energy projects 
                and activities; and
                  ``(J) $1,122,000 for innovative/cooperative research 
                projects and activities;
          ``(5) for fiscal year 1999, $224,000,000; and
          ``(6) for fiscal year 2000, $231,000,000.''.

SEC. 3. BUDGET DESIGNATION FOR RESEARCH AND DEVELOPMENT ACTIVITIES.

  Section 48102 of title 49, United States Code, is amended by adding 
at the end the following new subsection:
  ``(g) Designation of Activities.--(1) The amounts appropriated under 
subsection (a) are for the support of all research and development 
activities carried out by the Federal Aviation Administration that fall 
within the categories of basic research, applied research, and 
development, including the design and development of prototypes, in 
accordance with the classifications of the Office of Management and 
Budget Circular A-11 (Budget Formulation/Submission Process).
  ``(2) The President's annual budget request for the Federal Aviation 
Administration shall include all research and development activities 
within a single budget category. All of the activities carried out by 
the Administration within the categories of basic research, applied 
research, and development, as classified by the Office of Management 
and Budget Circular A-11, shall be placed in this single budget 
category.''.

SEC. 4. NATIONAL AVIATION RESEARCH PLAN.

  Section 44501(c)(2)(B) of title 49, United States Code, is amended--
          (1) by striking ``and'' at the end of clause (iii);
          (2) by striking the period at the end of clause (iv) and 
        inserting in lieu thereof ``; and''; and
          (3) by adding at the end the following new clause:
          ``(v) highlight the research and development technology 
        transfer activities that promote technology sharing among 
        government, industry, and academia through the Stevenson-Wydler 
        Technology Innovation Act of 1980.''.

SEC. 5. RESEARCH GRANTS PROGRAM INVOLVING UNDERGRADUATE STUDENTS.

  (a) Program.--Section 48102 of title 49, United States Code, is 
amended by adding at the end the following new subsection:
  ``(h) Research Grants Program Involving Undergraduate Students.--
          ``(1) Establishment.--The Administrator of the Federal 
        Aviation Administration shall establish a program for awarding 
        grants to researchers at primarily undergraduate institutions 
        who involve undergraduate students in their research on 
        subjects of relevance to the Federal Aviation Administration. 
        Grants may be awarded under this subsection for--
                  ``(A) research projects to be carried out at 
                primarily undergraduate institutions; or
                  ``(B) research projects that combine research at 
                primarily undergraduate institutions with other 
                research supported by the Federal Aviation 
                Administration.
          ``(2) Notice of criteria.--Within 6 months after the date of 
        the enactment of the FAA Research, Engineering, and Development 
        Authorization Act of 1997, the Administrator of the Federal 
        Aviation Administration shall establish and publish in the 
        Federal Register criteria for the submittal of proposals for a 
        grant under this subsection, and for the awarding of such 
        grants.
          ``(3) Principal criteria.--The principal criteria for the 
        awarding of grants under this subsection shall be--
                  ``(A) the relevance of the proposed research to 
                technical research needs identified by the Federal 
                Aviation Administration;
                  ``(B) the scientific and technical merit of the 
                proposed research; and
                  ``(C) the potential for participation by 
                undergraduate students in the proposed research.
          ``(4) Competitive, merit-based evaluation.--Grants shall be 
        awarded under this subsection on the basis of evaluation of 
        proposals through a competitive, merit-based process.''.
  (b) Authorization of Appropriations.--Section 48102(a) of title 49, 
United States Code, as amended by this Act, is further amended--
          (1) by inserting ``, of which $500,000 shall be for carrying 
        out the grant program established under subsection (h)'' after 
        ``projects and activities'' in paragraph (4)(J);
          (2) by inserting ``, of which $500,000 shall be for carrying 
        out the grant program established under subsection (h)'' after 
        ``$224,000,000'' in paragraph (5); and
          (3) by inserting ``, of which $500,000 shall be for carrying 
        out the grant program established under subsection (h)'' after 
        ``$231,000,000'' in paragraph (6).

SEC. 6. LIMITATIONS.

  (a) Prohibition of Lobbying Activities.--None of the funds authorized 
by the amendments made by this Act shall be available for any activity 
whose purpose is to influence legislation pending before the Congress, 
except that this subsection shall not prevent officers or employees of 
the United States or of its departments or agencies from communicating 
to Members of Congress on the request of any Member or to Congress, 
through the proper channels, requests for legislation or appropriations 
which they deem necessary for the efficient conduct of the public 
business.
  (b) Limitation on Appropriations.-- No sums are authorized to be 
appropriated to the Administrator of the Federal Aviation 
Administration for fiscal years 1998, 1999, and 2000 for the Federal 
Aviation Administration Research, Engineering, and Development account, 
unless such sums are specifically authorized to be appropriated by the 
amendments made by this Act.
  (c) Eligibility for Awards.--
          (1) In general.--The Administrator of the Federal Aviation 
        Administration shall exclude from consideration for grant 
        agreements made by that Administration after fiscal year 1997 
        any person who received funds, other than those described in 
        paragraph (2), appropriated for a fiscal year after fiscal year 
        1997, under a grant agreement from any Federal funding source 
        for a project that was not subjected to a competitive, merit-
        based award process. Any exclusion from consideration pursuant 
        to this subsection shall be effective for a period of 5 years 
        after the person receives such Federal funds.
          (2) Exception.--Paragraph (1) shall not apply to the receipt 
        of Federal funds by a person due to the membership of that 
        person in a class specified by law for which assistance is 
        awarded to members of the class according to a formula provided 
        by law.
          (3) Definition.--For purposes of this subsection, the term 
        ``grant agreement'' means a legal instrument whose principal 
        purpose is to transfer a thing of value to the recipient to 
        carry out a public purpose of support or stimulation authorized 
        by a law of the United States, and does not include the 
        acquisition (by purchase, lease, or barter) of property or 
        services for the direct benefit or use of the United States 
        Government. Such term does not include a cooperative agreement 
        (as such term is used in section 6305 of title 31, United 
        States Code) or a cooperative research and development 
        agreement (as such term is defined in section 12(d)(1) of the 
        Stevenson-Wydler Technology Innovation Act of 1980 (15 U.S.C. 
        3710a(d)(1))).

SEC. 7. NOTICE.

  (a) Notice of Reprogramming.--If any funds authorized by the 
amendments made by this Act are subject to a reprogramming action that 
requires notice to be provided to the Appropriations Committees of the 
House of Representatives and the Senate, notice of such action shall 
concurrently be provided to the Committees on Science and 
Transportation and Infrastructure of the House of Representatives and 
the Committee on Commerce, Science, and Transportation of the Senate.
  (b) Notice of Reorganization.--The Administrator of the Federal 
Aviation Administration shall provide notice to the Committees on 
Science, Transportation and Infrastructure, and Appropriations of the 
House of Representatives, and the Committees on Commerce, Science, and 
Transportation and Appropriations of the Senate, not later than 15 days 
before any major reorganization of any program, project, or activity of 
the Federal Aviation Administration for which funds are authorized by 
this Act.

SEC. 8. SENSE OF CONGRESS ON THE YEAR 2000 PROBLEM.

  With the year 2000 fast approaching, it is the sense of Congress that 
the Federal Aviation Administration should--
          (1) give high priority to correcting all 2-digit date-related 
        problems in its computer systems to ensure that those systems 
        continue to operate effectively in the year 2000 and beyond;
          (2) assess immediately the extent of the risk to the 
        operations of the Federal Aviation Administration posed by the 
        problems referred to in paragraph (1), and plan and budget for 
        achieving Year 2000 compliance for all of its mission-critical 
        systems; and
          (3) develop contingency plans for those systems that the 
        Federal Aviation Administration is unable to correct in time.

SEC. 9. BUY AMERICAN.

  (a) Compliance With Buy American Act.--No funds appropriated pursuant 
to the amendments made by this Act may be expended by an entity unless 
the entity agrees that in expending the assistance the entity will 
comply with sections 2 through 4 of the Act of March 3, 1933 (41 U.S.C. 
10a-10c, popularly known as the ``Buy American Act'').
  (b) Sense of Congress.--In the case of any equipment or products that 
may be authorized to be purchased with financial assistance provided 
under the amendments made by this Act, it is the sense of Congress that 
entities receiving such assistance should, in expending the assistance, 
purchase only American-made equipment and products.
  (c) Notice to Recipients of Assistance.--In providing financial 
assistance under the amendments made by this Act, the Administrator of 
the Federal Aviation Administration shall provide to each recipient of 
the assistance a notice describing the statement made in subsection (a) 
by the Congress.

                        II. Purpose of the Bill

    The purpose of the bill is to authorize the Federal 
Aviation Administration (FAA) to conduct research, engineering, 
and development activities for Fiscal Years (FY) 1998, 1999, 
and 2000. The activities improve the national airspace system 
by increasing its safety, security, capacity, and productivity 
to meet the expected air traffic demands of the future.

                III. Background and Need for Legislation

    The FAA was created in 1958 to develop air commerce and 
promote safety in the air. As part of the Airport Development 
and Airway Trust fund established by Congress in 1982, it was 
decided that a comprehensive research and development program 
was necessary at FAA to maintain a safe, efficient air traffic 
system. In order to fund both of these research and development 
programs and improve airport and airways capital improvements, 
a series of user fees and taxes were established.
    The 100th Congress, seeking to strengthen the FAA research 
and development programs, enacted the 1988 Aviation Safety 
Research Act (P.L. 100-591). This bill created the FAA 
Research, Engineering and Development Advisory Board. The 
terrorist bombing of Pan Am Flight 103 demonstrated the need 
for new technology to detect explosives; and Congress 
subsequently passed the Aviation Safety Improvement Act of 1990 
which required FAA to support activities to accelerate the 
research and development of new technologies to protect against 
terrorism.
    The FY 1997 authorization for research, engineering, and 
development was enacted as part of the FAA Reauthorization Act 
(P.L. 104-264). Additional funding for Aviation System Security 
Technology was enacted through the Omnibus Consolidated 
Appropriations Act, 1997 (P.L. 104-208). The current 
authorization for FAA research, engineering, and development 
expires at the end of Fiscal Year 1997.

                        IV. Summary of Hearings

    On March 13, 1997, the Subcommittee on Technology held a 
hearing to review the President's FAA Research, Engineering, 
and Development (RE&D) budget request for FY 1998 and beyond. 
The President's FY 1998 Budget request for FAA RE&D is $200 
million, $8.4 million less than the FY 1997 enacted level. 
According to the budget request, the funding is needed to 
conduct research, engineering, and development programs that 
improve the national air traffic control system by increasing 
its safety, security, capacity, and productivity to meet the 
expected air traffic demands of the future. The panel consisted 
of two witnesses: Dr. George L. Donohue, Associate 
Administrator for Research and Acquisitions, Federal Aviation 
Administration and Mr. Ralph Eschenbach, Chair-FAA RE&D 
Advisory Committee.
    Dr. George L. Donohue testified that the FAA, as directed 
by the 1996 Reauthorization Act, has made sure that the RE&D 
Advisory Committee is more involved in assessing FAA 
priorities. For FY 1999 programs, the FAA plans to increase the 
Advisory Committee's role by using six standing subcommittees, 
and regularly scheduled meetings of those subcommittees with 
FAA staff. He stated that the new acquisition management 
system, which took effect April 1, 1996, provides a simplified 
and more flexible way to meet the FAA's acquisition needs. The 
White House Commission on Aviation Safety and Security (also 
known as the Gore Commission) recently issued its final report 
which included several recommendations that will involve the 
RE&D programs. He testified that the FAA is now working to 
develop pertinent cost and resource information, as well as 
schedules and priorities, to determine how to best achieve the 
needed results.
    Mr. Ralph Eschenbach stated that the NAS modernization must 
be sped up. However, with the current architectural plan and 
the current level of funding it will be difficult to reach the 
year 2005 goal as established by the Gore Commission. He also 
emphasized that prototypes are vital to rapid implementation. 
One of the critical components necessary for injecting new 
technology into a market is the ability to prototype and test 
those components. As an example, he cited the FLIGHT 2000 
demonstration program in Alaska and Hawaii which affects just 1 
percent of the airplanes in NAS (National Airspace System), but 
provides much needed answers to implementation and operation 
questions.
    Chairwoman Morella raised the question of FAA's computer 
and information systems security, pointing out that the General 
Accounting Office had recently issued a report critical of many 
federal agencies' efforts in this area. Dr. Donohue stated that 
he is concerned with the current level of information security, 
especially as the FAA moves from the older ``closed'' 
information systems to the more modern systems that have an 
``open'' architecture that are susceptible to penetration. Mr. 
Eschenbach stated that he shared Dr. Donohue's concerns. 
Chairwoman Morella raised concerns over reductions to the 
weather programs. Mr. Eschenbach stated that the Advisory 
Committee has recommended that the FAA place a higher priority 
on weather research. Dr. Donohue explained that he was 
concerned about reductions to the program, but explained that 
it was a time sequencing problem since some of the new 
technologies that have emerged in recent years are still in the 
acquisition and installation stage.
    Mrs. Rivers expressed concern over the request in the area 
of the aircraft noise reduction. Dr. Donohue acknowledged that 
there has been a decrease from what was spent for noise 
abatement a few years ago. He further noted that the FAA has 
been forced by budget constraints to rely to an unprecedented 
degree on cooperation with other federal agencies to support 
noise abatement activities.

                          V. Committee Actions

    On April 16, 1997, the full committee marked up the 
legislation (H.R. 1271) which was introduced by the 
Subcommittee Chair, Mrs. Connie Morella. The legislation was 
adopted, as amended (by voice vote) and ordered reported to the 
full House for consideration (by voice vote). Amendments to the 
legislation were offered in the following order:
    1. Manager's En Bloc Amendment offered by Mrs. Morella and 
Mr. Gordon to, among other things, strike Section 6, make 
certain technical and clarifying corrections, and define that 
grants awarded under the Act will be subject to merit based 
review (with the exception of CRADAs). The amendment was 
adopted by voice vote.
    2. Amendment requiring the FAA to comply with the Buy 
American Act (41 U.S.C. 10a-10c) by purchasing only American-
made equipment and products with the funds appropriated 
pursuant to this Act offered by Mr. Hastings for Mr. Traficant. 
The amendment was adopted by voice vote.

              VI. Summary of Major Provisions of the Bill

    The legislation authorizes Federal Aviation Administration 
Research, Engineering, and Development activities for Fiscal 
Years 1998, 1999, and 2000.
    H.R. 1271 includes a provision requiring future FAA budgets 
to include in a single budget category all research and 
development activities that would be classified as basic 
research, applied research, or development under the guidelines 
established by OMB Circular A-11.
    H.R. 1271 includes a provision requiring the FAA to include 
R&D technology transfer activities in the National Aviation 
Research Plan.
    H.R. 1271 includes a provision establishing a new research 
grant program to support research at primarily undergraduate 
institutions.

 VII. Section-by-Section Analysis (by Title and Section) and Committee 
                                 Views

Section 1. Short Title

    Cites this title as the ``FAA Research, Engineering, and 
Development Authorization Act of 1997.''

Section 2. Authorization of Appropriations

    Authorizes appropriations for FY 1998 of $217,406,000 for 
Federal Aviation Administration RE&D activities as follows:

          (A) Authorizes $75,550,000 for system development and 
        infrastructure projects and activities;
          (B) Authorizes $19,614,000 for capacity and air 
        traffic management technology projects and activities;
          (C) Authorizes $15,132,000 for communications, 
        navigation, and surveillance projects and activities;
          (D) Authorizes $9,982,000 for weather projects and 
        activities;
          (E) Authorizes $5,458,000 for airport technology 
        projects and activities;
          (F) Authorizes $26,625,000 for aircraft safety 
        technology projects and activities;
          (G) Authorizes $49,895,000 for system security 
        technology projects and activities;
          (H) Authorizes $10,737,000 for human factors and 
        aviation medicine projects and activities;
          (I) Authorizes $3,291,000 for environment and energy 
        projects and activities;
          (J) Authorizes $1,122,000 for innovative/cooperative 
        research projects and activities.

    Authorizes lump-sum totals of $224,000,000 for FY 1999 and 
$231,000,000 for FY 2000 to carry out RE&D projects and 
activities.
            Committee View
    The Committee suggests the following authorization level 
for FY 1998:

                  FEDERAL AVIATION ADMINISTRATION RESEARCH, ENGINEERING, AND DEVELOPMENT (RE&D)                 
                                            [In millions of dollars]                                            
----------------------------------------------------------------------------------------------------------------
                                                                                                     FY 1998    
                                                            FY 1997  enacted  FY 1998  request    authorization 
----------------------------------------------------------------------------------------------------------------
Sys Dev/Infrastructure....................................           72.831-           75.550-            75.550
Capacity/ATM Technology-..................................           19.614-            9.108-          19.614 -
Comm/Nav/Surveillance.....................................            10.770            15.132            15.132
Weather...................................................            10.927             3.982             9.982
Airport Technology........................................             2.804             5.458            5.458-
Air Safety Technology.....................................            24.130            26.625            26.625
System Security -.........................................            50.905            49.895            49.895
Human Factors/Aviation Medicine...........................            12.573            10.737            10.737
Environment/Energy........................................             3.600             2.891             3.291
Innovative/Cooperative Research...........................              .258              .622             1.122
                                                           -----------------------------------------------------
      Total FAA RE&D......................................           208.412           200.000           217.406
----------------------------------------------------------------------------------------------------------------

            Committee View
    The legislation fully authorizes the Administration's FY 
1998 budget request and includes an increase of $17,406,000 
over the FY 97 enacted level for the FAA RE&D program. 
Increases are targeted specifically to four of the ten RE&D 
accounts as follows:
    1. Capacity and Air Traffic Management (an increase of 
$10,506,000 over the request)--The increase is to enhance 
computer and information system security. With $11 billion 
targeted to be spent by the FAA between FY 1998 and FY 2003 on 
air traffic control system modernization, the Committee 
believes it is critical that the FAA research information 
security risks and develop solutions to safeguard sensitive 
data from unauthorized disclosure.
    2. Weather (an increase of $6,000,000 over the request)--
Weather is the single largest contributor to delays and a major 
factor in aircraft accidents and incidents. The increase 
reflects recommendations by the FAA RE&D Advisory Committee and 
the National Academy of Sciences that the FAA consider weather 
research projects and activities a higher priority. The 
increase represents Committee concerns that despite the 
recommendations from ``outside'' experts, the FAA budget 
request for weather research represents a reduction of 64% from 
the FY1997 enacted level.
    3. Environment and Energy (an increase of $400,000 over the 
request)--The Committee shares the goal the FAA has established 
of reducing the impact of aircraft noise 80% by the year 2000. 
However, the Committee is concerned that the budget request 
includes a reduction of almost 20% for environment and energy 
projects and activities. The Committee supports using the 
increase for aircraft noise reduction and control.
    4. Innovative/Cooperative Research (an increase of $500,000 
over the request)--The Committee is concerned that current FAA 
university research agreements under-utilize the research 
capabilities available at primarily undergraduate institutions. 
The increase is for the FAA to establish a program for awarding 
grants to support research projects to be carried out at 
primarily undergraduate institutions on subjects of relevance 
to the FAA.
    The Committee recognizes the critical role the RE&D program 
plays in researching and developing the new technologies 
necessary for the FAA to perform its mission and authorizes a 
3% increase for FY 1999 and an additional 3.1% increase for FY 
2000.

Section 3. Budget Designation for Research and Development Activities

    Requires that future FAA budgets include in a single budget 
category all research and development activities that would be 
classified as basic research, applied research, or 
developmental under the guidelines established by the Office of 
Management and Budget Circular A-11.
            Committee View
    FAA's R&D activities are funded from two major budget 
categories: the Research, Engineering, and Development (RE&D) 
account; and ``Engineering, Development, Test, and Evaluation'' 
of the Facilities and Equipment (F&E) account. Projects funded 
under ``Engineering, Development, Test & Evaluation'' of the 
F&E account can be classified as research and development as 
defined by the Office of Management and Budget (OMB). OMB 
Circular A-11, Budget Formation/Submission Processes, which 
provides guidelines to the federal agencies used in reporting 
data on R&D budgets, specifies that R&D budgets should be 
divided into the categories of basic research, applied 
research, and development, where development is defined as 
``systematic use of the knowledge gained from research for the 
production of useful materials, devices, systems, or methods, 
including the design and development of prototypes and 
processes.''
    The Committee believes that maintaining separate R&D 
accounts makes it considerably more difficult for Congress to 
track overall FAA R&D investment and to assess the priorities 
among areas of R&D. The current arrangement is confusing and 
lacks consistency, particularly since FAA does not include R&D 
activities supported in Activity 1 of the F&E Account in the 
National Aviation Research Plan. The Committee expects future 
budget submissions from the FAA to include in a single account, 
which may include whatever internal subdivisions the agency 
determines to be appropriate, all activities that would be 
classified as R&D under the guidelines of OMB Circular A-11.

Section 4. National Aviation Research Plan

    Revises the requirements for the National Aviation Research 
Plan by requiring the plan to document the FAA's research and 
development technology transfer activities.
            Committee View
    The Committee has a strong history of support for 
technology transfer activities that improve United States 
competitiveness by speeding commercialization of inventions 
developed through collaborative agreements between the 
government and industry. Pursuant to the Committee's interest 
in this area, the legislation requires the FAA to include in 
the National Aviation Research Plan a more detailed accounting 
of the agency's R&D technology transfer activities.

Section 5. Undergraduate Research Grants Program

    Establishes a program for awarding grants to support 
research at primarily undergraduate institutions through a 
competitive, merit-based process.
            Committee View
    The Committee intends that the research grants program 
support research projects relevant to FAA's technology needs 
and assist in developing the human resource base needed by the 
FAA to carry out its mission. Each grant must be awarded on the 
basis of the scientific and technical merit of the proposal 
made to the program, the potential of the project to involve 
undergraduate students, and the research credentials of the 
principal investigator of the project. The process for 
selecting awards must be competitive in the sense that 
proposals to the program are broadly solicited and, based on 
the funding available in a given year, proposals judged to have 
a relatively higher merit are funded in preference to proposals 
of lower merit. The term ``competitive'' does not refer to the 
rule of competition applicable to the federal contract awards 
process.

Section 6. Limitations

(a) Prohibition of Lobbying Activities

    Prohibits the use of funds authorized by this Act for any 
activity whose purpose is to influence legislation pending 
before the Congress. This section does not prevent employees of 
the departments and agencies from communicating with Members of 
Congress to conduct public business.
            Committee View
    The Committee is committed to ensuring that awards for 
research and education are used solely for those purposes. 
Funds should not be used for any purpose, other than that 
specified in the award. The Committee, however, does not 
exclude appropriate communications between the Executive Branch 
and the Congress.

Limitation on Appropriations

    Disallows authorization of funds which are not specifically 
authorized to be appropriated by this Act for FY 1998, or by an 
Act of Congress in succeeding fiscal years.
            Committee View
    This section emphasizes the Committee's position that the 
only funds authorized to be appropriated for the Federal 
Aviation Administration's research, engineering, and 
development programs are made available through this Act. It is 
the Committee's position that authorizations designating 
specific sums are required for appropriations of such sums to 
be authorized.

(c) Eligibility for Awards

    Requires the head of each federal agency for which funds 
are authorized under this Act to exclude, for a period of 5 
years, any person who received funds for a project not subject 
to competitive, merit-based review process after FY 1997. This 
section is not applicable to the long-standing Cooperative 
Research and Development Agreement program nor awards to 
persons who are members of a class specified by law for which 
assistance is awarded according to formula provided by law.
            Committee View
    The Committee has a long-standing position that awards 
should be based on a competitive merit-based process. Merit 
review allows taxpayers' dollars to be spent in the most cost-
effective manner.

Section 7. Notice

    If any funds of this Act, or amendments made by this Act, 
are subject to reprogramming which requires notice to be given 
to the Appropriations Committees of the House of 
Representatives and the Senate, notice of such action shall be 
concurrently provided to the Committees on Science and 
Transportation and Infrastructure of the House of 
Representatives and the Committee on Commerce, Science, and 
Transportation of the Senate.
    If any program, project, or activity of the Federal 
Aviation Administration is preparing to undergo any major 
reorganization, the Administrator of the Federal Aviation 
Administration shall notify the Committees on Science, 
Transportation and Infrastructure, and Appropriations of the 
House of Representatives, and the Committees on Appropriations 
and Commerce, Science, and Transportation of the Senate of such 
preparation.
            Committee View
    The Committee believes that such notice must be given if it 
is to carry out its oversight responsibilities under the Rules 
of the House.

Section 8. Sense of the Congress on the Year 2000 Problem

    It is the sense of Congress that the Federal Aviation 
Administration should give high priority to correcting the year 
2000 problem in all of its computer systems to ensure effective 
operation in the year 2000 and beyond. The Federal Aviation 
Administration needs to assess immediately the risk of the 
problem upon their systems and develop a plan and a budget to 
correct the problem for its mission-critical programs. The 
Federal Aviation Administration also needs to begin 
consideration of contingency plans, in the event that certain 
systems are unable to be corrected in time.
            Committee View
    Despite knowing of the problem for years, the Federal 
Government has yet to adequately create strategies to address 
the year 2000 problem. The Committee believes Congress should 
continue to take a leadership role in raising awareness about 
the issue with both government and the private sector.
    The potential impact on federal programs if the year 2000 
problem is not corrected in an effective and timely manner is 
substantial and potentially serious. If federal computers are 
not prepared to handle the change of date on January 1, 2000, 
there is a risk to all government systems and the programs they 
support. It is imperative that such corrective action be taken 
to avert disruption to critical Federal Government programs.

                     VIII. Committee Cost Estimate

    Clause 7(a) of rule XIII of the Rules of the House of 
Representatives requires each committee report accompanying 
each bill or joint resolution of a public character to contain: 
(1) an estimate, made by such Committee, of the costs which 
would be incurred in carrying out such bill or joint resolution 
in the fiscal year in which it is reported, and in each of the 
5 fiscal years following such fiscal year (or for the 
authorized duration of any program authorized by such bill or 
joint resolution, if less than 5 years); (2) a comparison of 
the estimate of costs described in subparagraph (1) of this 
paragraph made by such Committee with an estimate of such costs 
made by any government agency and submitted to such Committee; 
and (3) when practicable, a comparison of the total estimated 
funding level for the relevant program (or programs) with the 
appropriate levels under current law. However, clause 7(d) of 
that rule provides that this requirement does not apply when a 
cost estimate and comparison prepared by the Director of the 
Congressional Budget Office under section 403 of the 
Congressional Budget Act of 1974 has been timely submitted 
prior to the filing of the report and included in the report 
pursuant to clause 2(l)(3)(C) of rule XI. A cost estimate and 
comparison prepared by the Director of the Congressional Budget 
Office under section 403 of the Congressional Budget Act of 
1974 has been timely submitted prior to the filing of this 
report and included in Section IX of this report pursuant to 
clause 2(l)(3)(C) of rule XI.
    Clause 2(l)(3)(B) of rule XI of the Rules of the House of 
Representatives requires each committee report that accompanies 
a measure providing new budget authority (other than continuing 
appropriations), new spending authority, or new credit 
authority, or changes in revenues or tax expenditures to 
contain a cost estimate, as required by section 308(a)(1) of 
the Congressional Budget Act of 1974 and, when practicable with 
respect to estimates of new budget authority, a comparison of 
the total estimated funding level for the relevant program (or 
programs) to the appropriate levels under current law. H.R. 
1271 does not contain any new budget authority, credit 
authority, or changes in revenues or tax expenditures. Assuming 
that the sums authorized under the bill are appropriated, H.R. 
1271 does authorize additional discretionary spending, as 
described in the Congressional Budget Office report on the 
bill, which is contained in Section IX of this report.

             IX. Congressional Budget Office Cost Estimate

                                     U.S. Congress,
                               Congressional Budget Office,
                                    Washington, DC, April 18, 1997.

Hon. F. James Sensenbrenner, Jr.,
Chairman, Committee on Science,
House of Representatives, Washington, DC.
    Dear Mr. Chairman: The Congressional Budget Office has 
prepared the enclosed cost estimate for H.R. 1271, the FAA 
Research, Engineering, and Development Authorization Act of 
1997.
    If you wish further details on this estimate, we will be 
pleased to provide them. The CBO staff contacts are Clare 
Doherty (for federal costs) and Karen McVey (for the state and 
local impact).
            Sincerely,
                                         June E. O'Neill, Director.
    Enclosure.

H.R.  1271--FAA Research, Engineering, and Development Authorization 
        Act of 1997

                                SUMMARY

    H.R. 1271 would authorize appropriations for the Federal 
Aviation Administration's (FAA's) research, engineering, and 
development program for fiscal years 1998 through 2000. The 
bill would authorize appropriations of $217.4 million in 1998, 
$224.0 million in 1999, and $231.0 million in 2000. In 
addition, the bill would revise the research, engineering, and 
development program to include a research grants program for 
researchers and students at undergraduate institutions.
    Enacting H.R. 1271 would not affect direct spending or 
receipts. Therefore, pay-as-you-go procedures would not apply 
to the bill. H.R. 1271 contains no intergovernmental or 
private-sector mandates as defined in the Unfunded Mandates 
Reform Act of 1995 (UMRA); it includes an authorization of 
grant funding for colleges and universities, some of which are 
public entities.

                ESTIMATED COST TO THE FEDERAL GOVERNMENT

    Assuming appropriation of the authorized amounts, enacting 
H.R. 1271 would result in new discretionary spending totaling 
$672 million over the 1998-2002 period. The estimated budgetary 
impact is shown in the table on the following page. For 
purposes of this estimate, CBO assumes that appropriations will 
be provided by the start of each fiscal year and that outlays 
will occur at historical spending rates for this FAA program.
    In addition to reauthorizing the research, engineering, and 
development program, H.R. 1271 would establish  research grants 
program for researchers and students at undergraduate 
institutions. This bill would authorize $500,000 each year for 
the grant program from the amounts made available to the 
research, engineering, and development program.

                                            [In millions of dollars]                                            
----------------------------------------------------------------------------------------------------------------
                                                                                   Fiscal year--                
                                                                 -----------------------------------------------
                                                                   1997    1998    1999    2000    2001    2002 
----------------------------------------------------------------------------------------------------------------
                                        SPENDING SUBJECT TO APPROPRIATION                                       
                                                                                                                
Spending for FAA research, engineering, and development under                                                   
 current law:                                                                                                   
    Budget authority \1\........................................     187       0       0       0       0       0
    Estimated outlays...........................................     230     111      47      13       0       0
Proposed changes:                                                                                               
    Authorization level.........................................       0     217     224     231       0       0
    Estimated outlays...........................................       0     130     200     227      92      23
Spending for FAA research, engineering, and development under                                                   
 H.R. 1271:                                                                                                     
    Authorization level \1\.....................................     187     217     224     231       0       0
    Estimated outlays...........................................     230     241     247     240      92      23
----------------------------------------------------------------------------------------------------------------
\1\ The 1997 level is the amount appropriated for that year.                                                    

    The costs of this legislation fall within budget function 
400 (transportation).
    Pay-as-you-go considerations: None.

        ESTIMATED IMPACT ON STATE, LOCAL, AND TRIBAL GOVERNMENTS

    H.R. 1271 contains no intergovernmental mandates as defined 
in UMRA and would not impose any costs on state, local, or 
tribal governments. A portion of the funds authorized in the 
bill would be available as research grants to colleges and 
universities, some of which are public institutions. In 1996, 
FAA granted $30 million, or approximately 15 percent of the 
program's $185 million budget, to colleges and universities. 
The bill would also set aside an additional $500,000 per year 
for a new aviation research grant program targeting primarily 
undergraduate institutions.
    Two provisions in the bill would affect eligibility for FAA 
research, engineering, and development grants. The first would 
require compliance with the ``Buy American Act.'' The second 
would exclude grantees from consideration for awards if they 
had received funds under any other federal grant program that 
was not subject to a competitive, merit-based award process. 
The latter provision could change the allocation of funds among 
grant recipients, including public colleges and universities. 
However, CBO cannot predict how the share of funding awarded to 
public colleges and universities would change because of this 
provision.

                 ESTIMATED IMPACT ON THE PRIVATE SECTOR

    This bill would impose no new private-sector mandates as 
defined in UMRA.
    Estimate prepared by: Federal Costs: Clare Doherty; Impact 
on State, Local, and Tribal Governments: Karen McVey.
    Estimate approved by: Robert A. Sunshine, Deputy Assistant 
Director for Budget Analysis.

                  X. Compliance With Public Law 104-4

    H.R. 1271 contains no unfunded mandates.

          XI. Committee Oversight Findings and Recommendations

    Clause 2(l)(3)(A) of rule XI of the Rules of the House of 
Representatives requires each committee report to include 
oversight findings and recommendations required pursuant to 
clause 2(b)(1) of rule X. The Committee has no oversight 
findings.

    XII. Oversight Findings and Recommendations by the Committee on 
                    Government Reform and Oversight

    Clause 2(l)(3)(D) of rule XI of the Rules of the House of 
Representatives requires each committee report to contain a 
summary of the oversight findings and recommendations made by 
the House Government Reform and Oversight Committee pursuant to 
clause 4(c)(2) of rule X, whenever such findings and 
recommendations have been submitted to the Committee in a 
timely fashion. The Committee on Science has received no such 
findings or recommendations from the Committee on Government 
Reform and Oversight.

                XIII. Constitutional Authority Statement

    Clause 2(l)(4) of rule XI of the Rules of the House of 
Representatives requires each report of a Committee on a bill 
or joint resolution of a public character to include a 
statement citing the specific powers granted to the Congress in 
the Constitution to enact the law proposed by the bill or joint 
resolution. Article I, section 8 of the Constitution of the 
United States grants Congress the authority to enact H.R. 1271.

               XIV. Federal Advisory Committee Statement

    H.R. 1271 does not establish or authorize the establishment 
of a new advisory committee.

                  XV. Congressional Accountability Act

    The Committee finds that H.R. 1271 does not relate to the 
terms and conditions of employment or access to public services 
or accommodations within the meaning of section 102(b)(3) of 
the Congressional Accountability Act (Public Law 104-1).

       XVI. Changes in Existing Law Made by the Bill, as Reported

  In compliance with clause 3 of rule XIII of the Rules of the 
House of Representatives, changes in existing law made by the 
bill, as reported, are shown as follows (existing law proposed 
to be omitted is enclosed in black brackets, new matter is 
printed in italic, existing law in which no change is proposed 
is shown in roman):

                      TITLE 49, UNITED STATES CODE

          * * * * * * *

                    SUBTITLE VII--AVIATION PROGRAMS

                    PART A--AIR COMMERCE AND SAFETY

          * * * * * * *

                          SUBPART III--SAFETY

          * * * * * * *

            CHAPTER 445--FACILITIES, PERSONNEL, AND RESEARCH

          * * * * * * *

Sec. 44501. Plans and policy

  (a) * * *
          * * * * * * *
  (c) National Aviation Research Plan.--(1) * * *
  (2)(A) * * *
  (B) The plan shall--
          (i) * * *
          * * * * * * *
          (iii) identify the allocation of resources among 
        long-term research, near-term research, and development 
        activities; [and]
          (iv) highlight the research and development 
        activities that address specific recommendations of the 
        research advisory committee established under section 
        44508 of this title, and document the recommendations 
        of the committee that are not accepted, specifying the 
        reasons for nonacceptance[.]; and
          (v) highlight the research and development technology 
        transfer activities that promote technology sharing 
        among government, industry, and academia through the 
        Stevenson-Wydler Technology Innovation Act of 1980.
          * * * * * * *

                           PART C--FINANCING

       CHAPTER 481--AIRPORT AND AIRWAY TRUST FUND AUTHORIZATIONS

          * * * * * * *

Sec. 48102. Research and development

  (a) Authorization of Appropriations.--Not more than the 
following amounts may be appropriated to the Secretary of 
Transportation out of the Airport and Airway Trust Fund 
established under section 9502 of the Internal Revenue Code of 
1986 (26 U.S.C. 9502) to carry out sections 44504, 44505, 
44507, 44509, and 44511-44513 of this title:
          (1) * * *
          (2) for fiscal year 1996--
                  (A) $8,056,000 for management and analysis 
                projects and activities;
          * * * * * * *
                  (J) $5,459,000 for innovative/cooperative 
                research projects and activities; [and]
          (3) for fiscal year 1997--
                  (A) $13,660,000 for system development and 
                infrastructure projects and activities;
          * * * * * * *
                  (J) $2,000,000 for innovative/cooperative 
                research projects and activities[.];
          (4) for fiscal year 1998, $217,406,000, including--
                  (A) $75,550,000 for system development and 
                infrastructure projects and activities;
                  (B) $19,614,000 for capacity and air traffic 
                management technology projects and activities;
                  (C) $15,132,000 for communications, 
                navigation, and surveillance projects and 
                activities;
                  (D) $9,982,000 for weather projects and 
                activities;
                  (E) $5,458,000 for airport technology 
                projects and activities;
                  (F) $26,625,000 for aircraft safety 
                technology projects and activities;
                  (G) $49,895,000 for system security 
                technology projects and activities;
                  (H) $10,737,000 for human factors and 
                aviation medicine projects and activities;
                  (I) $3,291,000 for environment and energy 
                projects and activities; and
                  (J) $1,122,000 for innovative/cooperative 
                research projects and activities, of which 
                $500,000 shall be for carrying out the grant 
                program established under subsection (h);
          (5) for fiscal year 1999, $224,000,000, of which 
        $500,000 shall be for carrying out the grant program 
        established under subsection (h); and
          (6) for fiscal year 2000, $231,000,000, of which 
        $500,000 shall be for carrying out the grant program 
        established under subsection (h).
          * * * * * * *
  (g) Designation of Activities.--(1) The amounts appropriated 
under subsection (a) are for the support of all research and 
development activities carried out by the Federal Aviation 
Administration that fall within the categories of basic 
research, applied research, and development, including the 
design and development of prototypes, in accordance with the 
classifications of the Office of Management and Budget Circular 
A-11 (Budget Formulation/Submission Process).
  (2) The President's annual budget request for the Federal 
Aviation Administration shall include all research and 
development activities within a single budget category. All of 
the activities carried out by the Administration within the 
categories of basic research, applied research, and 
development, as classified by the Office of Management and 
Budget Circular A-11, shall be placed in this single budget 
category.
  (h) Research Grants Program Involving Undergraduate 
Students.--
          (1) Establishment.--The Administrator of the Federal 
        Aviation Administration shall establish a program for 
        awarding grants to researchers at primarily 
        undergraduate institutions who involve undergraduate 
        students in their research on subjects of relevance to 
        the Federal Aviation Administration. Grants may be 
        awarded under this subsection for--
                  (A) research projects to be carried out at 
                primarily undergraduate institutions; or
                  (B) research projects that combine research 
                at primarily undergraduate institutions with 
                other research supported by the Federal 
                Aviation Administration.
          (2) Notice of criteria.--Within 6 months after the 
        date of the enactment of the FAA Research, Engineering, 
        and Development Authorization Act of 1997, the 
        Administrator of the Federal Aviation Administration 
        shall establish and publish in the Federal Register 
        criteria for the submittal of proposals for a grant 
        under this subsection, and for the awarding of such 
        grants.
          (3) Principal criteria.--The principal criteria for 
        the awarding of grants under this subsection shall be--
                  (A) the relevance of the proposed research to 
                technical research needs identified by the 
                Federal Aviation Administration;
                  (B) the scientific and technical merit of the 
                proposed research; and
                  (C) the potential for participation by 
                undergraduate students in the proposed 
                research.
          (4) Competitive, merit-based evaluation.--Grants 
        shall be awarded under this subsection on the basis of 
        evaluation of proposals through a competitive, merit-
        based process.

                    XVII. Committee Recommendations

    On April 16, 1997, a quorum being present, the Committee 
favorably reported the FAA Research, Engineering, and 
Development Authorization Act of 1997, by a voice vote, and 
recommends its enactment.
                        XVIII. ADDITIONAL VIEWS

    While I support the merits and intent of H.R. 1271, the 
Federal Aviation Administration Research, Engineering, and 
Development Act, I cannot support the funding levels requested 
by this bill.
    Air safety is crucial. With millions of air passengers 
traveling during any given day, the FAA and all facets of air 
travel must have access to the most advanced technology in 
order to ensure safety in the skies.
    However, during this time of financial uncertainty, I 
cannot support the proposed budgetary increase, regardless of 
how insignificant it might seem. Research and development 
thrives in the private sector, where competition fuels 
ingenuity, drives technology, improves efficiency, and 
stimulates the economy. Acknowledging this, I do not believe 
the FAA's research and development truly needs an 8% increase 
over the next two years. Instead, the FAA should continue to 
support research and development endeavors with the more than 
$208 million appropriated for FY 97, which is $8 million more 
than the President requested.

                                                     Tom A. Coburn.