See discussions, stats, and author profiles for this publication at: https://www.researchgate.

net/publication/311208336

Sustainability in the Air: The Modernization of International Air Navigation

Article  in  Public Works Management & Policy · November 2016

DOI: 10.1177/1087724X16679845

CITATIONS READS
3 1,511

2 authors:

Rebecca Lutte John R. Bartle

University of Nebraska at Omaha University of Nebraska at Omaha
22 PUBLICATIONS   45 CITATIONS    42 PUBLICATIONS   261 CITATIONS   

SEE PROFILE SEE PROFILE

Some of the authors of this publication are also working on these related projects:

Pilot shortage View project

NASA Aeronautics View project

All content following this page was uploaded by Rebecca Lutte on 06 March 2018.

The user has requested enhancement of the downloaded file.

679845
research-article2016
PWMXXX10.1177/1087724X16679845Public Works Management & PolicyLutte and Bartle

Article
Public Works Management & Policy
1–14
Sustainability in the Air: © The Author(s) 2016
Reprints and permissions:
The Modernization of sagepub.com/journalsPermissions.nav
DOI: 10.1177/1087724X16679845
International Air Navigation pwm.sagepub.com

Rebecca K. Lutte1 and John R. Bartle1

Abstract
In a recent article in this journal, Leuenberger, Bartle, and Chen called for
public administrators to take a new role, utilizing collaborative skills, to design
implementable solutions to promote sustainability in transportation. We examine
this call by exploring the case of an international aviation initiative. The International
Civil Aviation Organization (ICAO) Aviation System Block Upgrades (ASBU) policy
has been developed to provide a road map to modernize global air navigation. This
article explores the case of the ASBU as an example of meeting the call for the new
role for public administrators to implement sustainable practices. We find that this
policy improves international air transportation sustainability in several dimensions,
and that this approach is a model for implementing sustainable policies.

Keywords
transportation sustainability, air navigation modernization, ICAO ASBU, international
aviation, collaboration in public administration

Introduction
Achieving a sustainable air transport system has become a well-accepted goal. How to
achieve it is less clear. The challenge includes finding balance between the dimensions
of sustainability (environmental, economic, social, and financial) and the objectives of
transportation (enhanced mobility, accessibility, and safety). The two are often in con-
flict. Various solutions have been proposed to enhance sustainability in transportation
including technology, policy, operations, taxes, and subsidies or a combination of these.

1University of Nebraska Omaha, Omaha, NE, USA

Corresponding Author:
Rebecca K. Lutte, University of Nebraska Omaha, 6001 Dodge St., CB120, Omaha, NE 68182, USA.
Email: rlutte@unomaha.edu

Downloaded from pwm.sagepub.com by guest on November 30, 2016

2 Public Works Management & Policy

Regardless of the approach, public administration practitioners play a vital role in the
process. Leuenberger, Bartle, and Chen (2014) propose a framework to explore these
new roles. The authors claim, “with these transformed roles, transportation practitioners
can make great contributions to build a better future” (Leuenberger et al., 2014, p. 320).
This article explores that claim.
The International Civil Aviation Organization (ICAO), a specialized agency of the
United Nations (UN), sets policy and establishes standards to fulfill the following
vision, “to achieve the sustainable growth of the global aviation system” (ICAO, 2016,
para. 1). The research explores the ICAO Aviation System Block Upgrades (ASBU)
initiative. The ASBU plan is a road map for the modernization of global air navigation.
It is designed to keep infrastructure needs and improvements in pace with air transport
growth. We review the development of this initiative to determine whether the roles
described by Leuenberger et al. (2014), were exhibited in this effort to modernize air
navigation and whether the policy addressed the goals of sustainability. Evidence of
achieving this change in global air transport policy can provide an example for other
policies, moving us one step closer to achieving the balance between the functions of
air transport and sustainability.

Sustainability in Air Transport

Drawing from the UN Economic and Social Commission for Asia and the Pacific,
Bartle (2006) articulated four dimensions of sustainability in transportation:

•• Environmental: integration of environmental concerns into transportation,

•• Economic: cost-effective transportation that achieves the highest social return
on physical and natural capital,
•• Financial: generation of sufficient funds to cover capital and operating costs in
the long run, and
•• Social: improving standard of living, quality of life, and reducing poverty.

The different dimensions of sustainability will occasionally be in conflict. The

“sustainability movement is a search for balance” (Wachs, 2004, p. 29). The goal of
sustainability is not to achieve one dimension at the expense of others, rather to make
orderly progress on all dimensions. Bartle (2006) determined that although progress
has been made, aviation falls short of achieving a sustainable path of development.
Black (2010) defines a sustainable transport system as “one that provides transport
and mobility with renewable fuels while minimizing emissions detrimental to the local
and global environment and preventing needless fatalities, injuries, and congestion”
(p. 10). Three key attributes of a sustainable system include, “(1) it must be environ-
mentally sound; (2) it should be efficient and flexible; and (3) it must be safe and
secure” (Dempsey, 2000, p. 692).
Sustainability in air transport falls prey to the classic dilemma of balancing busi-
ness needs with sustainable development. The conflict is well summarized by Daley
(2010):

Downloaded from pwm.sagepub.com by guest on November 30, 2016

Lutte and Bartle 3

It is not surprising that debates about air transport and the environment are so contentious:
they relate to widespread attitudes about choice, freedom and individuality; they expose
and critique dominant patterns of consumption; and they call into question widely-held
notions of wellbeing and quality of life. (p. 212)

Air transport results in many benefits including freedom of movement, enhanced pro-
ductivity, trade, and tourism.
Air transport has a long record of nearly continuous growth (Budd, Griggs, &
Howarth, 2013; Daley, 2010). Air traffic growth has doubled every 15 years since
1970 (ICAO, 2013a). International air transport today accounts for the employment of
56.6 million people, a US$2.2 trillion contribution to the global gross domestic prod-
uct (GDP), and carries 2.9 billion passengers and US$5.3 trillion in cargo each year
(ICAO, 2013a).
The challenge lies in balancing growth with sustainable development. Airlines are
capitalizing on opportunities, thus fulfilling their fundamental business responsibili-
ties of economic growth and job creation. It is perceived by many that growth is at
odds with sustainable development. Whitelegg and Cambridge (2004) argue, “The
growth of aviation presents what is perhaps the severest challenge to all our basic
notions around sustainable development” (p. 25). Some have argued for limiting air
traffic growth but it is not a realistic option. Although raised as a potential solution in
the sustainability literature (Daley, 2010; Upham, Maughan, & Raper, 2012), no gov-
ernment has sought to reduce traffic (Upham et al., 2012). Janic (2004) argues that
constraining growth is not a viable option, as it requires sacrificing mobility and nega-
tively affects economies.
Airports are also significantly affected by increased demand. Forecasted growth
calls for an increase in airport capacity, no small task given the long lead time,
costs, political conflict, and logistical challenges related to expansion options.
Creating airport capacity to meet future demand has been cited as “the biggest chal-
lenge in the present decade for airports and airlines” (Upham et al., 2012, p. 218).
It is not a matter of whether airport expansion will occur but where. The very nature
of the hub and spoke system adds pressure for expansion at key hub airports.
Expansion creates additional environmental concerns including impact on surface
traffic, increased noise, disruption of habitats, ecological effects, and land contami-
nation just to name a few. To take responsibility for addressing these concerns,
airports are increasingly implementing efforts on both the airside and landside of
operations including the use of more efficient lighting, solar panels, more efficient
heating and cooling systems, wind turbines, and electrically powered vehicles
(Budd et al., 2013).
Both airports and air carriers are focusing on communication efforts. Corporate
environmental reporting is becoming more prevalent as a means to publicize efforts to
enhance sustainable development. In the last 10 years, airlines have increased the use
of corporate reporting as a tool to communicate plans and progress for environmental
responsibility (Upham et al., 2012). The practice is less prevalent among international
airports (Skouloudis, Evangelinos, & Moraitis, 2012).

Downloaded from pwm.sagepub.com by guest on November 30, 2016

4 Public Works Management & Policy

A key characteristic of air transport is its international scope. As Dempsey (2000)

writes, “Of all the modes of transport, aviation is uniquely global” (p. 643). Given the
far reach of the problem of sustainability, local solutions alone will not solve what is a
global issue. In an industry that is clearly connected across borders and relies increas-
ingly on international operations, there is a need for international coordination to
improve air transport sustainability. In the long term, sustainable aviation systems will
increase access to trade and tourism on a global scale. As noted by Badger (2013),
transportation “is more about connecting people to opportunity” (para. 5). However,
Black (2010) argues that some countries will sacrifice sustainable methods in trans-
portation to achieve greater mobility. This conflict is compounded when considering
the projected growth of international air transport.
Although progress toward sustainability is especially difficult in international air
transportation, some hopeful strategies have been suggested. Can solutions be devel-
oped that facilitate progress along the four dimensions of sustainability while protect-
ing the values of mobility and economic growth? As Dempsey (2000) notes,
“Sustainability does not require that all transportation come to a halt. It attempts to
promote a transportation system that is least offensive in terms of consuming the
earth’s resources and polluting the earth’s environment” (p. 658).

Proposed Solutions
Improvements in technology are often suggested as one possible strategy to improved
transportation sustainability. Solutions include a wide range of options including air-
craft design, engine design, use of alternative fuels, and enhanced air traffic manage-
ment procedures through the use of modern navigational aids (navaids). The
International Air Transport Association (IATA) places emphasis on technology as one
of four pillars of the strategy toward reducing greenhouse emissions. The others
include more efficient operations, improved use of infrastructure with emphasis on air
traffic management and airport procedures, and developing a single, global, market-
based measure to address greenhouse gas emissions (IATA, 2013). They argue that
these pillars are the foundation for a global approach to aviation sustainability (Rotger,
2012). More efficient and flexible flight paths, for example, through the use of tech-
nology such as performance-based navigation (PBN) reduces fuel burn and, therefore,
operating costs, emissions, congestion, delays, and travel time. Dempsey (2000) also
sees an important role for technology:

New navigation technologies, such as global positioning satellite systems, may allow more
efficient use of congested airspace, reducing fuel consumption and environmental
degradation. Improvements in operational procedures and optimization of flight paths to
reduce the noise footprints of aircraft on population centers will also reduce noise. (pp.
662-663)

Bartle (2006) also identifies two other strategies that have been suggested to
improve sustainability: reduced use and tax policies that cause externally imposed

Downloaded from pwm.sagepub.com by guest on November 30, 2016

Lutte and Bartle 5

costs (externalities) to be internalized by producers. Black (2010) writes that most

solutions are policy oriented, technology oriented, or a combination of the two. He
also criticizes the United States for its steadfast belief in technology as the “ultimate
solution to the problem” (Black, 2010, p. 186). He argues that Americans tend to
lean toward a technological solution whereas Europeans favor use of policy (Black
& Nijkamp, 2002). This is evident through European efforts to address emissions
through tax policies contrasted with the resistance to this approach in the United
States. The battle that played out between U.S. airlines and the European Union
(EU) over the EU Emissions Trading Scheme (ETS) serves as an example. The air-
line lobbying group Airlines for America (A4A) continuously worked to “stop the
clock” on the EU efforts to extend the application of the ETS to international avia-
tion. Highlighting U.S. airline efforts to improve fuel efficiency as a method to
reduce greenhouse emissions, A4A argued against “unwarranted EU ETS tax hikes
that drive up the cost of air travel” (A4A, 2014, para. 4). The battle resulted in
President Obama signing into law the EU ETS Prohibition Act of 2011, providing
authority for the Secretary of Transportation to prohibit U.S. aircraft operators from
complying with the EU ETS. In 2013, ICAO proceeded to take the lead on this issue
with a goal of developing a global market-based measure. As part of the overall
ICAO strategy to guide environmental aviation policy at a global level, in February
of 2016, the ICAO recommended the first binding limits for aircraft CO2 emissions,
expected to be adopted later this year (Ball, 2016).
Technology cannot solve the problems of sustainability single handedly, but setting
regulatory standards without actionable strategies to achieve them has also fallen
short. “ICAO has tried harmonization of regulatory standards regarding noise and
emissions. Intervention by local and regional groups has made this ineffective”
(National Academy of Sciences, 2003, p. 12). It is clear that there is no single strategy
to address sustainability issues. Leuenberger et al. (2014) would agree, “The potential
is for new transportation to be not just an economic or technical response, but a plan-
ning approach that considers impacts on multiple systems” (p. 2). Dempsey (2000)
also supports the idea that sustainability “contains three elements—technology, plan-
ning & policy, and ethics” (p. 692).

The Role of Public Administrators

In a recent article in Public Works Management & Policy, Leuenberger et al. (2014)
write, “while sustainability started as an ideology and has had a normative influence
on public administration, it can be a tool for improved decision-making” (p. 316).
Leuenberger et al. call for a new role for public administrators in the effort to achieve
sustainable transportation. This role includes four key tasks:

1. “strong leadership to move in the direction of sustainability,”

2. practitioners “need to develop actionable strategies by incorporating sustain-
ability into agency mission statements and strategic plans,”

Downloaded from pwm.sagepub.com by guest on November 30, 2016

6 Public Works Management & Policy

3. practitioners “should develop and use sustainable transportation performance

measures to guide project selection and investment, track and monitor progress
toward sustainability, and report performance to stakeholders,” and
4. “advancing transportation sustainability necessitates an effective collaboration
among stakeholders from a variety of disciplines and perspectives”
(Leuenberger et al., 2014, pp. 319-320).

The utility of this perspective is that it moves sustainability from a normative goal to
a planning tool. It defines the process of improving the sustainability of air transport
and gives us a better sense of how to move forward in developing policy in this area.
These four roles define tasks that can support the development of policies that can put
us on the path to more sustainable international air transport.
This article applies the Leuenberger et al.’s (2014) approach to the development of
the ICAO ASBU. This allows for an application of this approach to a specific case to
examine its robustness, and it provides a case study of how we can make progress
toward greater sustainability in international aviation. If this approach is feasible, it
can be applied to other cases in aviation.

The Case of the ASBU

In his 2012, 5-year action agenda report, UN Secretary General Ban Ki-moon (2012)
listed sustainable development in transportation as one of the key building blocks in the
plan. In that plan, the Secretary General urged governments to “take action on recom-
mendations for more sustainable transport systems that can address rising congestion
and pollution worldwide” (Ki-moon, 2012, p. 5). The ASBU, a framework for global air
navigation modernization developed by the ICAO, is a strategy that can move toward a
more sustainable transport system. The ASBU provides a case to explore the call by
Leuenberger et al. (2014) for the new role of public administrators.
At the ICAO 37th General Assembly, a concern over the ability of air navigation
systems to meet system demands resulted in a directive to develop a global plan for air
traffic management (ICAO, 2011b). The goal was to develop a plan that focuses on
global interoperability. International aviation needs to address capacity demands of the
projected doubling of global air transport by 2030 (ICAO, 2011b). As noted by the
ICAO Secretary General in 2011,

Over the next ten years, some $120 billion will be spent worldwide on upgrading the
global aviation system to enhance safety, efficiency and overall sustainability. We have to
ensure that it is done in a timely, coordinated and harmonized manner around the world.
(ICAO, 2011b, para. 3)

To achieve that goal, approximately 500 representatives from member states and the
global aviation industry convened at the Global Air Navigation Industry Symposium
(GANIS) in Montreal in 2011 to shape the plan for global air navigation (ICAO,
2011b). Collaborations with stakeholders were a high priority from the beginning as

Downloaded from pwm.sagepub.com by guest on November 30, 2016

Lutte and Bartle 7

Figure 1. Aviation System Block Upgrades.

noted by the Director of ICAO Air Navigation Bureau, “Success ultimately depends
on states, operators, air navigation service providers, manufacturers and airports work-
ing closely together to synchronize deployment of the future systems” (ICAO, 2011b,
para. 4). Input from the GANIS event was incorporated into the design of the ASBU
framework, which was presented at the 12th Air Navigation Conference in Montreal
in November of 2012. Following the 2012 conference, the final draft of the ASBU
improvement areas and timelines was prepared. The ICAO 38th Assembly endorsed
the plan, and the ASBU framework was incorporated into the Global Air Navigation
Plan (GANP; ICAO, 2013a).
The ASBU design provides a plan for the implementation of specific air transporta-
tion operational improvements. The operational improvements, referred to as mod-
ules, are grouped within series of blocks. The blocks represent a timeline for
implementation with blocks of modules available for implementation every 5 years,
starting with Block 0 in 2013 (see Figure 1). This initial block contains 18 modules
(ICAO, 2013c). Each ICAO member state will review the modules and determine
which modules to implement (or not) based on factors such as operational require-
ments and resources. The ICAO does not anticipate the need for each member state to
implement all modules. The goal is to provide a flexible plan to meet the specific
needs of each member state.
The modules are mapped to four key performance improvement areas (see Figure 1).
The first is greener airports. Initial modules in this area include advanced wake turbu-
lence separation and enhanced airport surface surveillance. Performance Improvement
Area 2 is globally interoperable systems and data through System Wide Information
Management (SWIM). Initial modules for Performance Improvement Area 2 include
coordinating ground-to-ground data communication. Performance Improvement Area
3 is optimum capacity and flexible flights through global collaborative air traffic

Downloaded from pwm.sagepub.com by guest on November 30, 2016

8 Public Works Management & Policy

management. The initial focus of Area 3 is implementation of PBN for improved

enroute trajectories. Performance Improvement Area 4 is efficient flight path through
trajectory-based operations. Two key modules in this area are constant descent opera-
tions (CDOs) and constant climb operations (CCOs). CDOs allow operators to replace
the step down, drop, and stop approaches to airports with an optimum, continuous
descent profile. The profile results in minimum engine thrust settings, resulting in
reduced fuel burn, reduced greenhouse emissions, and lower noise levels (ICAO,
2015a). Departures will also be better coordinated without interruption in the climb
with similar benefits and smoother transition from takeoff throughout climb and to the
final flight path. PBN is the cornerstone of the Block 0 modules. The goal of PBN is
to achieve greater accuracy and precision primarily through the transition from ground-
based to satellite-based navigation and the use of onboard aircraft navigation equip-
ment. It remains the “highest air navigation priority” (ICAO, 2015a, p. 8).
The implementation details for the modules are provided in the ICAO ASBU work-
ing document (ICAO, 2013c). The document provides implementation guidance for
air navigation service providers, aircraft operators, airport operators, and aviation
regulators (ICAO, 2013c). It includes information on training standards, procedures,
and regulatory requirements. Also included is the Intended Performance Operational
Improvement/Metric to determine success (ICAO, 2013c). The performance metric
addresses the modules benefits in areas such as (a) access and equity, (b) efficiency, (c)
environment, (d) safety, and (e) cost-benefit analysis (ICAO, 2013c).

Meeting the Call

The ICAO ASBU policy is an illustration of how administrators can meet the call for
the new role to achieve sustainable air transport. The strengths of the strategy lie in
leadership and the focus on collaboration, the first and fourth tasks outlined by
Leuenberger et al. (2014). The ICAO supported and led the ASBU initiative with sup-
port from the highest levels of ICAO, the Secretariat and the Assembly. Throughout the
process of development, the member states and key stakeholders had a seat at the table
for planning. Representatives from a wide variety of disciplines including civil aviation
authority personnel from member states, airline representatives, academics, air naviga-
tion service providers, and key groups such as IATA and the International Federation of
Air Line Pilots’ Association (IFALPA) attended the 12th Air Navigation Conference in
Montreal. An attending representative from Russia referred to the conference as an
“unprecedented global effort” to develop global air navigation solutions (Korsakov,
2012). The input received from the participants led to revisions of the plans and devel-
opment of the final draft, which was approved by the Assembly in 2013. Not only did
key stakeholders have the opportunity to collaborate on the ASBU design, the Assembly
voted on final approval of the policy change. As Dempsey (2000) notes, “Because pol-
lution is a global problem, traditional notions of national sovereignty must recede suf-
ficiently to allow a multilateral effort to achieve global remedies” (p. 693).
The ASBU, developed as actionable strategies and incorporated into the mission of
ICAO, meets the call for the second role for practitioners. The structure of the ASBU

Downloaded from pwm.sagepub.com by guest on November 30, 2016

Lutte and Bartle 9

framework is designed as blocks of actionable operations improvements to be imple-

mented over an established period of time. Each module has clearly defined imple-
mentation guidance in the ICAO ASBU working document (ICAO, 2013c). The
document includes information such as procedures, reference to regulatory informa-
tion, infrastructure needs, training and qualification requirements, and performance
metrics. The collaborators knew one aspect was key to success: having a policy that is
flexible enough for individual member states to implement the strategies of the plan
that apply to the member state. Not all states will have the same path of implementa-
tion. This allows for customization to meet the needs of the transportation system
based on such factors as resources, level of activity, and political support. The purpose
was to design the ASBU framework to accommodate variations in needs while enhanc-
ing interoperability (ICAO, 2014). The plan is also incorporated into one of the essen-
tial ICAO planning documents, the GANP (ICAO, 2013a). The GANP incorporates
the ICAO mission into actionable programs. The GANP is presented at the ICAO
Assembly and is voted on by the members prior to adoption.
Performance measures have been developed for each of the modules in the ASBU.
These measures are listed in the ASBU working document. Member states complete the
Air Navigation Report Form (ICAO, 2013b) and report the results to ICAO. As a result,
ICAO has the ability to document progress on implementation. The ICAO publishes the
Air Navigation Report (ICAO, 2015a), an annual report that communicates progress on
implementation of the goals laid out in the GANP, thus providing accountability and
transparency. In addition, a publically available ICAO “performance dashboard” online
tool provides a view of implementation targets for navigation objectives (ICAO,
2015b). The result, ICAO tracks and monitors progress and reports performance to the
public, meeting the third role for practitioners as described by Leuenberger et al. (2014).
The ASBU initiative directly addresses many key elements of aviation sustainabil-
ity as defined. The economic benefits include reducing fuel costs, increasing capacity,
and ultimately increasing cross border harmonization, which has the potential to open
up new markets. An increase in capacity and markets will also increase accessibility
and mobility for member states populations with the potential benefit of enhanced
access, trade, and tourism. The new route structures based on PBN and CDOs and
CCOs will result in less fuel burn and reduced noise, an environmental benefit.
According to ICAO, redesign of Canadian airspace and utilization of efficient flight
paths in the Windsor–Toronto–Montreal corridor has resulted in reducing cumulative
fight time by 10 hours daily and reducing greenhouse emissions by 15,000 tons annu-
ally (ICAO, 2015a). In Washington, D.C., airspace, satellite-based “highways in the
sky” and three parallel continuous decent profiles to the three major airports will result
in a predicted fuel burn savings of 2.5 million gallons annually with a reduction of
25,000 metric tons of carbon dioxide (ICAO, 2015a, p. 16). These improvements not
only benefit the airline industry because of the cost savings due to reduced fuel burn
but also provide an environmental benefit. As noted by one analyst, “in our industry,
emissions are closely linked to fuel, and fuel is life. In other words, we are the best
self-disciplining industry on the planet” (Stockton, 2015, para. 4). Therefore, this pol-
icy will advance both the economic and environmental dimensions of sustainability.

Downloaded from pwm.sagepub.com by guest on November 30, 2016

10 Public Works Management & Policy

Challenges to Implementation
The challenges to successfully moving toward a sustainable air transport system often-
times lie in the implementation of these actionable strategies developed by forward
thinking leaders. Although the leadership among key stakeholders, and in particular
ICAO, may have met the call for the new role of public administrators in developing
sustainable solutions, the problems may lie with the frontline personnel for implemen-
tation. A lack of qualified personnel in aviation is a global concern (ICAO, 2011a).
The existing demands for aviation personnel exceed capacity to train in some areas
around the world (Lutte, 2013). Additional concerns have been raised about the need
for training those responsible for safety oversight (Lutte, 2015).
Another challenge to successful implementation is related to technology. States
must address the equipment paradox: Who pays first for technology upgrades? For
example, PBN requires investment in infrastructure by the member states and invest-
ment in onboard equipment by the airlines. Who pays first? Will the first airline that
pays reap the most rewards or simply pay the highest amount for the newest technol-
ogy? As noted by an attendee of the Air Navigation Conference (Dow, 2012), the last
airline to equip gets the biggest benefit whereas the first gets the least. He went on to
note that the navigation service providers do not invest because the airlines do not
have the equipment on board and vice versa. Who goes first? This is a market failure
which causes an economic inefficiency. Addressing this inefficiency can make prog-
ress toward sustainability. The Airports Council International notes that encouraging
or incentivizing aircraft operators to upgrade necessary equipment is an important
issue for ICAO and may require further defining the benefits and exploring funding
options (Airport Management, 2012-2013). Economic theory justifies such an incen-
tive to address the market failure.
When it comes to achieving a sustainable plan for air navigation, regional issues
related to harmonization exist. The ASBU is implemented by individual member
states based on the states’ needs and resources, but the decisions made by an indi-
vidual member state affect the region. Such decisions trickle down to issues such as
mobility and accessibility. This is a manifestation of the “tragedy of the commons”
which creates a market failure (Hardin, 1968). This problem provides an efficiency
justification for either international regulations or subsidies to coordinate action. The
ICAO Assembly Resolution A37-11 appropriately calls on member states to com-
plete implementation of PBN “as a matter of urgency” and calls for full implementa-
tion by 2016 (ICAO, 2015a). Although 105 countries (out of 191 member states of
ICAO) have committed to PBN by publishing a PBN implementation plan (ICAO,
2015a), it is not fully deployed in all regions. ICAO is addressing the issue through
the Planning and Implementation Regional Groups (PIRGs) and Regional Aviation
Safety Groups (RASGs). The goals of these groups include measurement of imple-
mentation, accountability, and transparency to motivate aviation groups and stake-
holders within the region to implement programs and work cooperatively (ICAO,
2015a). This is an illustration of administrative action to enhance economic effi-
ciency and sustainability.

Downloaded from pwm.sagepub.com by guest on November 30, 2016

Lutte and Bartle 11

Conclusion
The development of the ASBU framework provides an example of public administra-
tors meeting the call to create solutions that will promote more sustainable transporta-
tion. It demonstrates that as difficult as it is to make progress toward sustainability that
it can be done, and that the call by Leuenberger et al. (2014) provides practical steps
for implementation. All four roles defined by Leuenberger et al. (2014), were mani-
fested in this case: This collaborative effort resulted in actionable strategies, including
performance measures, incorporated into the GANP. The leadership of ICAO has pro-
vided an example of collaboration on a global scale to develop a framework for air
navigation modernization that will not only meet the needs of individual member
states but will also assist in achieving global operational improvements. Two key fea-
tures of the policy take sustainability from being a somewhat vague normative goal to
an actionable plan: (a) the flexibility of the policy, so member nations can make prog-
ress in their own way, and (b) required filing and sharing of the Air Navigation Report
form and the public posting of the ICAO Performance Dashboard help hold member
nations accountable. With these features, the implementation of the policy is a required
task for managers, and so is much more likely to get done. This provides an example
of a specific change where sustainability is a helpful tool for planning and policy
implementation, as Leuenberger et al. outlined. There are likely other potential changes
in international aviation and in transportation more generally that could use this
approach to implement sustainable development policy. Further research will provide
more evidence on the applicability and robustness of this framework.
The case is also instructive for aviation policy, as it outlines an approach where
practice can be more sustainable with changes in operations and administration rather
than relying solely on improving technology or the rather impractical alternative of
reduced use. Although improving operations can be challenging, it can be much less
expensive than technological solutions. In the case of the ASBU, improved operations
represent a win for industry in their pursuit of corporate responsibility and a win for
the environment. The result is an important example of finding balance between these
two often opposed goals. The ASBU is a work in progress, and it will need to be care-
fully monitored for successful implementation and to see how well it meets the goals
of sustainability and compatibility with economic growth. It will likely be a “learning
by doing” process, which will rely on the flexibility built into the implementation of
the policy. As suggested by Leuenberger et al. (2014), strong leadership and effective
collaboration will also continue to be necessary for successful implementation.
Another solution justified by economic theory in this case is re-engineering the
process by use of incentives, regulations, and implementation of PBN. These solutions
can jointly improve both the efficiency and sustainability of the international air trans-
port system and so should be worth the cost and effort of implementation. Strategies
to achieve sustainable development goals that provide a flexible plan for implementa-
tion can result in a workable and adaptable solution that system users can implement.
In a field with as many challenges to sustainability as international air transport, this is
both urgent and essential.

Downloaded from pwm.sagepub.com by guest on November 30, 2016

12 Public Works Management & Policy

Moreover, it illustrates that the two goals of economic growth and sustainable
development need not be in opposition, but can be balanced together. This synthesis of
the two goals reframes the dilemma as an actionable challenge that can be addressed
by careful planning and determined implementation. Corporate social responsibility is
also better achieved not just as a concession to environmental demands, but as a more
cost-efficient way to do business in cooperation with government. Sustainability need
not inhibit the growth of international air travel. As this case indicates, appropriate
policies can achieve balanced growth in both the economic and environmental dimen-
sions of sustainability.

Declaration of Conflicting Interests

The author(s) declared no potential conflicts of interest with respect to the research, authorship,
and/or publication of this article.

Funding
The author(s) received no financial support for the research, authorship, and/or publication of
this article.

References
Airlines for America. (2014). A4A commends EU parliament’s vote to extend “stop the clock”
on illegal EU ETS scheme [Press release]. Retrieved from http://airlines.org/news/a4a-
commends-eu-parliaments-vote-to-extend-stop-the-clock-on-illegal-eu-ets-scheme/
Airport Management. (2012-2013). ACI Update. Journal of Aiport Management, 7, 106-108.
Badger, E. (2013, January 29). 5 ways the next U.S. Secretary of Transportation will be forced
to follow Ray LaHood’s lead. The Atlantic, CityLab. Retrieved from http://www.citylab.
com/commute/2013/01/5-ways-next-us-secretary-transportation-will-be-forced-follow-
ray-lahoods-lead/4524/
Ball-, L. (2016, February 10). ICAO CO2 emission standards closer to adoption. Air Cargo
World. Retrieved from http://aircargoworld.com/icao-co2-emission-standards-closer-to-
adoption/
Bartle, J. R. (2006). The sustainable development of U.S. air transportation: The promise and
challenge of institutional reform. Public Works Management & Policy, 10, 214-224.
Black, W. R. (2010). Sustainable transportation. New York, NY: Guilford Press.
Black, W. R., & Nijkamp, P. (2002). Closing thoughts and a look toward the future. In W. R.
Black & P. Nijkamp (Eds.), Introduction: Pathways to sustainable transport and basic
themes (pp. xi-xiii). Bloomington: Indiana University Press.
Budd, L., Griggs, S., & Howarth, D. (Eds.). (2013). Transport and sustainability: Sustainable
aviation futures. Bradford, UK: Emerald.
Daley, B. (2010). Air transport and the environment. Farnham, UK: Routledge.
Dempsey, P. S. (2000). Trade and transport policy in inclement skies: The conflict between sus-
tainable air transportation and neo-classical economics. Journal of Air Law and Commerce,
65, 639-693.
Dow, J. (2012, November). Remarks presented at 12th Air Navigation Conference, International
Civil Aviation Organization, Montreal, Quebec, Canada.
Hardin, G. (1968). The tragedy of the commons. Science, 162, 1243-1248.

Downloaded from pwm.sagepub.com by guest on November 30, 2016

Lutte and Bartle 13

International Air Transport Association. (2013). IATA technology roadmap (4th ed.). Montreal,
Quebec, Canada: Author.
International Civil Aviation Organization. (2011a). Global and regional 20 year forecasts
(ICAO Doc 9956). Montreal, Quebec, Canada: Author.
International Civil Aviation Organization. (2011b). ICAO and industry join forces to shape the
future air navigation system [Press release]. Retrieved from http://www.icao.int/Newsroom/
Pages/icao-and-industry-join-forces-to-shape-the-future-air-navigation-system.aspx
International Civil Aviation Organization. (2013a). Global air navigation plan (ICAO Doc
9750-AN-963). Montreal, Quebec, Canada: Author.
International Civil Aviation Organization. (2013b). Sample template air navigation report form.
Retrieved from http://www.icao.int/sustainability/Pages/ASBU-Framework.aspx
International Civil Aviation Organization. (2013c). Working document for the aviation system
block upgrades: The framework for global harmonization. Montreal, Quebec, Canada:
Author.
International Civil Aviation Organization. (2014). Air navigation report: 2014 edition.
Montreal, Quebec, Canada: Author.
International Civil Aviation Organization. (2015a). Air navigation report: 2015 edition.
Montreal, Quebec, Canada: Author.
International Civil Aviation Organization. (2015b). Regional performance dashboards.
Retrieved from http://www.icao.int/safety/Pages/Regional-Targets.aspx
International Civil Aviation Organization. (2016). ICAO vision and mission. Retrieved from
http://www.icao.int/about-icao/Pages/vision-and-mission.aspx
Janic, M. (2004). An application of the methodology for assessment of the sustainability of the
air transport system. Journal of Air Transportation, 9(2), 40-82.
Ki-moon, B. (2012). The Secretary-General’s five-year action agenda. Retrieved from http://
www.un.org/sg/priorities/index.shtml
Korsakov, A. (2012, November). ASBUs next steps. Speech presented at 12th Air Navigation
Conference, International Civil Aviation Organization, Montreal, Quebec, Canada.
Leuenberger, D. Z., Bartle, J., & Chen, C. (2014). Sustainability and transportation. Public
Works Management & Policy, 19, 316-321.
Lutte, R. (2013). New road for training: Committing to the provision and sustainability of avia-
tion training excellence in Africa. Safety Focus, 2, 24-25.
Lutte, R. (2015). ICAO aviation system block upgrades: A method for identifying training
needs. International Journal of Aviation, Aerospace, and Aeronautics, 2(4), Article 5.
National Academy of Sciences. (2003). For greener skies: Reducing environmental impacts of
aviation. Washington, DC: National Academies Press.
Rotger, T. (2012). Aviation industry roadmap to sustainability. In D. Knorzer & J. Szodruch
(Eds.), Innovation for sustainable aviation in a global environment (pp. 116-121). VA,
Fairfax: IOS Press.
Skouloudis, A., Evangelinos, K., & Moraitis, S. (2012). Accountability and stakeholder
engagement in the airport industry: An assessment of airports’ CSR reports. Journal of Air
Transport Management, 18, 16-20.
Stockton, N. (2015, November 23). It’s cheaper for airlines to cut emissions than you think.
WIRED. Retrieved from http://www.wired.com/2015/11/commercial-airlines-might-get-
all-the-emissions-efficiency-they-need-for-free/
Upham, P., Maughan, J., & Raper, D. (Eds.). (2012). Towards sustainable aviation. London,
England: Routledge.

Downloaded from pwm.sagepub.com by guest on November 30, 2016

 14 Public Works Management & Policy

Wachs, M. (2004). What are the challenges to creating sustainable transportation? How
can transportation systems become more sustainable? Proceedings from Integrating
Sustainability into the Transportation Process Conference, Baltimore, MD.
Whitelegg, J., & Cambridge, H. (2004). Aviation & sustainability. Stockholm, Sweden:
Stockholm Environment Institute.

Author Biographies
Rebecca K. Lutte is assistant professor at the University of Nebraska at Omaha Aviation
Institute. She is a commercial multi-engine pilot and CFII with a research focus in aviation
safety policy.
John R. Bartle is dean of the College of Public Affairs and Community Service at the University
of Nebraska at Omaha and professor of Public Administration. He is a Fellow of the National
Academy of Public Administration. He is the author or editor of three books: Management
Policies in Local Government Finance, Sustainable Development for Public Administration,
and Evolving Theories of Public Budgeting.

Downloaded from pwm.sagepub.com by guest on November 30, 2016

View publication stats