Guidebook for Managing Small Airports - Second Edition (2019)

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169 Icons are defined in Figure 1 of Section 1.1. Practicing asset management is important for an airport to realize the full value of existing assets and to develop future assets in the most economical manner. This section addresses the process and analysis that can be used to maximize the value of existing assets. This philosophy aligns with the broad FAA goal to preserve the investment in existing infrastructure. Further, this section addresses the various tools an airport can use to plan for and pursue development to meet the future needs of its users. 5.1 Maintaining Existing Assets Key Insights There are three primary types of maintenance at small airports: operational, reactive and preventive. After safety and security, the preservation of assets is the next highest priority in the FAA Airport Improvement Program funding priority system. A local airport sponsor is required to properly maintain airport pavement assets after the FAA invests grant funds; the pavement management program is a key part of this requirement. An important part of managing assets is knowing their expected useful life, which allows the airport to budget for maintenance and replacement costs. A sound preventive maintenance program is critical for extending the useful life of airport facilities and to keep the airport operating as safely and efficiently as possible. Not employing a preventive maintenance program will almost certainly result in the premature failure of infrastructure and additional life-cycle costs. While the FAA requires asset management programs for the civil infrastructure that it invests in, it is a best practice for airports of all sizes to implement a similar program for all of their other infrastructure. Key Definitions Operational maintenance: Activities performed to keep an airport operating due to weather or environmental conditions, such as snow and foreign object debris removal. Pavement management program: Also referred to as pavement maintenance management program or pavement management system. Procedures for collecting, analyzing, maintaining C H A P T E R 5 Asset Management—Maintaining Current Assets and Planning Development for the Future

170 Guidebook for Managing Small Airports and reporting pavement data to assist airport management in finding optimum strategies for maintaining pavements in a safe, serviceable condition over a given period of time for the least cost. Preventive maintenance: Actions performed to detect, preclude or mitigate the failure of the infrastructure system or its components, including routine scheduled activities, to keep a system performing at its best. Reactive maintenance: Fixing something after it breaks. Total cost of ownership: Includes the cost to procure and construct a physical asset and the long-term cost to operate and maintain the asset. Asset Management Asset management involves planning the maintenance of existing assets and planning for future development. This allows both maintenance and future devel- opment to be taken into account to maximize the life of the assets and plan invest- ments in the assets. It is important for airport management to be familiar with the airport’s infrastructure systems, their components, conditions and expected life spans before failure. Strong asset management supports fiscal sustainability by proactively addressing needs when they are generally more economical. The first priority for an airport should be to maintain its assets to provide maximum safety and utility for its users. As identified in ACRP Report 138: Preventive Maintenance at General Aviation Airports, Volume 1: Primer, preventive maintenance benefits include the following: • Maintaining safe operating conditions • Reducing energy use by operating efficiently • Increasing longevity of the system • Meeting legal and regulatory requirements • Controlling environmental impacts • Providing a good first impression as a “front door” for the community Establishing a Preventive Maintenance Program Use ACRP Report 138, Volume 2: Guidebook and ACRP Report 159: Pavement Maintenance Guidelines for General Aviation Airport Management to develop a program for preventive main- tenance of airport assets. As identified in ACRP Report 138, Volume 1, there are several steps to establish a preventive maintenance program. Before starting the process of implementing a preventive maintenance program, its goals—or guiding principles—should be identified. The next step is the inventory and assessment of the condition of the airport’s infrastructure assets and systems. This step allows a preventive maintenance program to be established for each asset and system. The preventive maintenance program should identify the maintenance needed for each type of asset and system and develop a maintenance schedule. The final step is to implement the program. As part of this program implementation, it may be necessary to prioritize the maintenance based on safety, operations, economics, contractual obligations, accessibility and the opportu- nity to extend facility useful life. This prioritization process should also consider obtaining the necessary resources, including funding, staffing, equipment tools and/or outside third-party contracts. Airfield electrical Airfield signs Airfield visual and navigational aids Runway and taxiway lights Apron lighting Electrical vault Airfield pavements Pavement condition Markings Safety areas Buildings Hangars Terminal/administration/office Maintenance and storage buildings Fuel farm Deicing facilities Landside infrastructure Roadways Landscaping Lighting Maintenance equipment and vehicles Tractors and mowers Fuel delivery vehicles Ops and admin vehicles Fencing Cameras Access control Fence Gates Drainage systems Obstructions AREAS TO BE MAINTAINED

Asset Management—Maintaining Current Assets and Planning Development for the Future 171 Multiple infrastructure systems at an airport must be maintained. Many of these infrastructure systems are the same ones that should be included on the airport inspection checklist. As part of program implementation, the infrastructure systems should be inspected on a regular basis to ensure the identified preventive maintenance is being accomplished and the condition of the system is as expected. Chapter 4 of ACRP Report 138, Volume 2 provides safety considerations, airport inspection checklists and an infrastructure checklist for the major categories of infra- structure at GA airports. Prioritizing Preventive Maintenance All small airports operate on a budget, which typically requires that preventive maintenance activities be prioritized. As identified in ACRP Report 138, Volume 1, a recommended prioritization is as follows: 1. Safety: Always a top priority. Regular inspection and maintenance should ensure the airport infrastructure is safe for pilots and other users. When its condition is changed, it must be reported via a Notice to Airmen (NOTAM). 2. Operations: Focus on the most critical asset first. Prioritize the runway or primary runway before lesser-used pavements. 3. Economics: Evaluate the cost that may be incurred if preventive maintenance is delayed. Will delaying the item in question result in other damage? 4. Contractual obligation: Is there a lease requirement that must be met, such as repairing a door for access to a hangar, or a federal or state grant obligation that must be met for continued grant funding? 5. Accessibility: The access to the airport must be maintained to be usable. This would include access roads and car parking areas. 6. Other: Other considerations might include a higher operational priority access for a significant tenant that is a frequent operator. Are there excess pavements, such as unused aprons, that could be abandoned so that available funds can be focused on higher priorities? Resources for Preventive Maintenance The most common resource for preventive maintenance, especially routine maintenance, is in-house staff. These staff members should be trained to become familiar with the airport infrastructure and its maintenance needs. They are also typically able to recognize when reactive maintenance is needed because of an immediate issue. In addition to using in-house staff, using department skilled staff of the sponsoring governmental agency to assist with some of the pre- ventive maintenance should also be explored. Because the sponsoring governmental agency is typically a larger organization, there may be skills available within its staff that are not available with the airport’s in-house staff. Some states also have funding programs that include operational and preventive maintenance activities, including pavement marking and maintenance. The state aeronautics agency should be contacted to determine what resources might be available in your state. Finally, for nonhub primary airports and nonprimary airports, routine runway, taxiway or apron pavement maintenance is eligible for Grant Assurance 11: Pavement Preventive Maintenance With respect to a project approved after January 1, 1995, for the replacement or reconstruction of pavement at the airport, [the airport sponsor] assures or certifies that it has implemented an effective airport pavement maintenance- management program and it assures that it will use such program for the useful life of any pavement constructed, reconstructed or repaired with federal financial assistance at the airport. It will provide such reports on pavement condition and pavement management programs as the Secretary determines may be useful. Maintaining lighting systems requires special consideration due to the system’s high voltage.

172 Guidebook for Managing Small Airports AIP grants, as identified on Table 3-2 of FAA Order 5100.38: Airport Improvement Program Handbook. Typical pavement maintenance is defined as including clearing, filling and/or sealing of longitudinal and traverse cracks, grading pavement edges, maintaining pavement drainage systems, patching pavement and remarking areas. Pavement maintenance is discussed in more detail in Section 5.2: Pavement Maintenance. Records of Preventive Maintenance Maintaining records of preventive maintenance activities helps budget for such activities and justifies the budget for future preventive maintenance activities. These preventive maintenance records also help demonstrate efforts to preserve assets when requesting AIP grants. Of particular importance are records of pavement maintenance activities to demonstrate compliance with FAA Grant Assurance 11: Pavement Preventive Maintenance, which requires that the airport implement an effective pavement maintenance management program. Asset Management The establishment and use of asset management tools take preventive maintenance programs a step further. Asset management programs or systems incorporate additional considerations of down-time risk and align the potential risk costs with enterprise goals when prioritizing preventive maintenance. Complex asset management systems are more commonly used by larger airports. ACRP Report 69: Asset and Infrastructure Management for Airports—Primer and Guidebook provides an overview of asset and infrastructure management and explores the benefits and costs of implementation. Also available with ACRP Report 69 is a Microsoft PowerPoint presentation on the benefits of an asset management program. A tool that may help small airports is the EPA’s core asset management questions. These five questions frame the 10-step approach (Figure 11) to developing an asset management plan. The ultimate goal of asset management is to lower total ownership costs by making better proactive decisions. O&M = operations and maintenance, CIP = capital improvement program, AM = asset management Source: ACRP Report 69: Asset and Infrastructure Management for Airports—Primer and Guidebook, 2012 1. What is the current state of my assets? 3. Which assets Develop Asset Registry Assess Performance, Failure Modes Determine Residual Life Optimize Capital Investment Optimize O&M Investment Determine Business Risk (“Criticality”) Determine Life Cycle & Replacement Costs Set Target Levels of Service (LOS) Build AM Plan Determine Funding Strategy are critical to sustained performance? 4. What are my best O&M and 5. What is my best long-term 2. What is my required level of service? funding strategy?CIP investment strategies? Figure 11. EPA’s core questions in a 10-step approach to developing asset management plans.

Asset Management—Maintaining Current Assets and Planning Development for the Future 173 5.2 Pavement Maintenance Key Insights Keeping water out of pavements is the key to maximizing their useful life. Maintaining pavements not only extends their useful life but reduces the total ownership cost of pavements due to the slower degradation of the asset. A pavement management program is a requirement for federally obligated airports (those that accept Airport Improvement Program grants) under Grant Assurance 11: Pavement Preventive Maintenance. Key Definitions Aircraft classification number: A number that expresses the relative effect of an aircraft at a given configuration on a pavement strut for a specified subgrade. Acceptable minimum level of service: Minimum acceptable pavement condition index rating for a category of pavement, such as a general aviation runway. Full-depth reclamation (FDR): The full thickness of the asphalt pavement and a predetermined portion of the base, subbase and subgrade is uniformly pulverized and blended to provide a homogenous material. Pavement condition index (PCI): A numerical rating of the pavement condition based on a visual observation of distresses. Pavement classification number: A number that expresses the load-carrying capacity of a pavement for unrestricted operations. Pavement management program: Also referred to as pavement maintenance management program or pavement management system. Procedures for collecting, analyzing, maintaining and reporting pave- ment data to assist airport management in finding optimum strategies for maintaining pavements in a safe, serviceable condition over a given period of time for the least cost. Pavement reconstruction: May be necessary in situations when there is no redeemable pavement life (rehabilitation is not a viable option), corrections are needed in the subgrade, there are changes to geometrics or there is an increase in traffic volume. Pavement rehabilitation: Techniques include overlays and full-depth reclamation. Pavement routine maintenance: Maintenance required to preserve the pavement to achieve the design life and that is planned and performed on a routine basis, such as yearly crack sealing and a regular inspection of the pavements. Pavement Management Program Any small airport that accepts an AIP grant from the FAA is required to implement an airport pavement maintenance or management program. Grant Assurance 11: Pavement Preventive Maintenance With respect to a project approved after January 1, 1995, for the replacement or reconstruction of pavement at the airport, [the airport sponsor] assures or certifies that it has implemented an effective airport pavement maintenance- management program and it assures that it will use such program for the useful life of any pavement constructed, reconstructed or repaired with federal financial assistance at the airport. It will provide such reports on pavement condition and pavement management programs as the Secretary determines may be useful.

174 Guidebook for Managing Small Airports Some states conduct pavement condition studies at the nonprimary airports in the state system and prepare a management plan as part of that study. Contact your state aeronautics agency to determine if there is such a program in your state. FAA Advisory Circular 150/5380-7: Airport Pavement Management Program provides guidance on pavement management. Preventive maintenance preserves the pavement at a higher overall condition over a longer period of time by applying maintenance and rehabilitation early in the pavement life, as shown in Figure 12. An effective pavement maintenance program addresses pavement needs while the pavements are still in good condition before serious damage occurs, thus extending their life. In addition, to be more economical throughout the pavement useful life, performing a series of periodic pavement preservation interventions is generally less disruptive to users than long closures for large reconstruction projects. There are several common types of pavement distress in asphalt and concrete pavements. Some of the most common types of distresses in asphalt pavements at small airports are longitudinal and traverse cracking, edge cracking, alligator or fatigue cracking, block cracking, raveling and weathering, patching, roughness and joint reflection (in asphalt overlay of concrete pavement). In concrete pavements, the most common types of distresses are longitudinal and traverse cracks, spalling, corner breaks, pop-outs, joint sealant damage, patching, settlement and shattered slabs. While some distresses may be due to loads, most are influenced by environmental factors, such as the presence of water and freeze–thaw cycles in areas of the country where temperatures drop below freezing. ACRP Report 159: Pavement Maintenance Guidelines for General Aviation Airport Management provides small airports a tool to help identify pavement distress and the appropriate pavement management or maintenance technique. This report also includes an airport pavement mainte- nance recommendation tool and field guide. The tool is interactive and allows an airport operator to evaluate potential maintenance options. The field guide is designed to be used with the tool for field identification. The field guide includes photographs to help identify the severity of distress. Appendix A of ACRP Report 159 also includes pictures and distress information on asphalt pavement, and Appendix B addresses concrete pavements. Based on the distress, it Source: FAA Advisory Circular 150/5380-7B, Airport Pavement Management Program, Figure 2, October 10, 2014. Figure 12. Pavement preservation concept.

Asset Management—Maintaining Current Assets and Planning Development for the Future 175 identifies acceptable and recommended maintenance activities. ACRP Synthesis 22: Common Airport Pavement Maintenance Practices provides a catalog of maintenance options. For nonhub primary airports and nonprimary airports, pavement maintenance is one type of airport maintenance activity that is eligible for AIP grants, as identified in Table 3-2 of FAA Order 5100.38. The FAA Airports Central Region has a web page on pavement maintenance that includes a sample pavement maintenance program. Pavement Inspections The airport operator should conduct routine pavement inspections to be familiar with the pavement’s condition and to be able to identify any changes. Pavement conditions should always be assessed as part of regular inspections to identify any significant changes. However, the best time to conduct detailed pavement inspections is when there is a little moisture. After precipitation and as pavements are drying, defects such as cracks dry out after the other pavement sections, making them easier to see and identify. This allows defects to be identified sooner, so they can be addressed sooner, thus minimizing any damage to the overall pavement. While surface distress is a critical indicator of pavement condition, there are other conditions that should be considered: • Surface friction • Roughness or ride quality • Foreign object debris • Structural integrity, especially if the pavement regularly experiences operations by larger aircraft Good record keeping is important. In addition to helping with future budgeting, records of pavement inspection and pavement maintenance help an airport demonstrate compliance with Grant Assurance 11. The recorder should include the following: • Inspection date • Location • Distress types found • Any maintenance performed or scheduled Pavement Condition Index PCI is a frequently used method to evaluate pavement conditions. The pavements are divided into subareas, and the distress types and quantities are evaluated to correlate to a PCI rating. A PCI rating of 100 is associated with a new pavement; the ratings decrease as the pavement ages and distresses occur. As part of a pavement management program, airports or state aeronautics agencies may establish minimum acceptable PCI ratings. These typically differ by pavement type, with runways having higher minimum threshold levels than taxiways or aprons. PCI ratings may also be used to help document the need for a rehabilitation project or used by agencies to prioritize an airport rehabilitation project throughout the state. Table 11 shows the PCI ratings for airport pavements, the conditions they represent and the recommended types of treatments. Pavement Strength Pavement strength, or the weight-bearing capacity of airport pavements, has historically been reported based on gross weight and main gear configuration, such as 12,500 pounds single wheel. The goal of pavement maintenance is to keep water out of the pavement to prolong its useful life.

176 Guidebook for Managing Small Airports To align with ICAO standards, the FAA is also using the aircraft classification number–pavement classification number (ACN-PCN) method, as detailed in FAA Advisory Circular 150/5335-5: Standardized Method of Reporting Airport Pavement Strength – PCN. This advisory circular was published in August 2014, and the FAA required that within 1 year of publication, all public-use paved runways at Part 139 airports be assigned gross weight and PCN data. The FAA recommends using the PCN methods outlined in the advisory circular for reporting the pavement strength of all paved runways, taxiways and aprons at all airports. Also, upon completion of projects funded through the AIP or revenue for a PFC project, the airport will update the Form 5010 elements associated with gross weight and PCN. PCI Description Applicable Pavement Preservation Treatments 86–100 Good – only minor distresses Routine maintenance only 71–85 Satisfactory – low and medium distresses Preventive maintenance 56–70 Fair – some distresses are severe Corrective maintenance and rehabilitation 41–55 Poor – severity of some distresses can cause operational problems Rehabilitation or reconstruction 26–40 Very poor – severe distresses cause operational restrictions Rehabilitation and reconstruction 11–25 Serious – many severe distresses cause operational restrictions Immediate repairs and reconstruction 1–10 Failed – pavement deterioration prevents safe aircraft operations Reconstruction Source: ACRP Synthesis 22: Common Airport Pavement Maintenance Practices, Table 1, 2011 Table 11. Pavement condition index for airport pavements.

Asset Management—Maintaining Current Assets and Planning Development for the Future 177 5.3 Airport Planning Key Insights Airport planning is needed to establish the long-term vision for an airport, or a system of airports, and to provide a strategy for achieving that vision. Airport planning can include a wide variety of studies. The most common for small airports are the airport master plan and airport layout plan. An airport may also be part of a state or regional system plan. A master plan or airport layout plan is a tool for the airport manager to guide development. The complexity of the master plan or airport layout plan should always match the airport’s needs. The preparation of a master plan or airport layout plan, with a narrative report for new develop- ment, is eligible for AIP grant funding. At a small airport, the operations by the critical aircraft, not the total operations, generally set the dimensional requirements for the airport. At a National Plan of Integrated Airport Systems airport, grant assurances require the airport layout plan to be kept up to date. Key Definitions Airports Geographic Information System (Airports GIS): The FAA’s system of collecting and compiling airport and aeronautical data. Airport layout plan (ALP): A set of drawings that provide a graphic representation of the sponsor’s long-term development plan for an airport, including property boundaries, exist- ing and proposed airport facilities and structures and the location of existing and proposed nonaeronautical areas. Airport master plan (AMP): An assembly of appropriate documents and drawings covering the development of a specific airport from a physical, economic, social and political jurisdictional perspective by assessing current and projected demands. The master plan typically has a time frame of 20 years, with short-, intermediate- and long-term goals within that time frame. The airport layout plan is a part of this plan. Airport sponsor: Typically a public agency or tax-supported organization that is authorized to own and operate an airport, obtain funds and property interests and be legally, financially and otherwise able to meet all applicable requirements of laws and regulations. Occasionally, it is a private entity. Airport system plan: Identification of the general location and characteristics of airports within that system, such as a state or region, to meet the air transportation goals of the system under study. Critical aircraft: The most demanding aircraft type or grouping of aircraft with similar char- acteristics that make regular use of the airport. “Regular use” is 500 annual operations, excluding touch-and-go operations. An operation is a takeoff or landing. Instrument flight rules (IFR): A set of regulations and procedures permitting qualified and current IFR pilots to penetrate clouds and low-visibility conditions. Aircraft must be equipped with radio and navigation instruments and operate under air traffic control flight plans and clearances. Flights are monitored and traffic is separated by air traffic control.

178 Guidebook for Managing Small Airports Grant Assurance 29: Airport Layout Plan a. [The airport sponsor] will keep up to date at all times an airport layout plan of the airport showing 1) boundaries of the airport and all proposed additions thereto, together with the boundaries of all offsite areas owned or controlled by the sponsor for airport purposes and proposed additions thereto; 2) the location and nature of all existing and proposed airport facilities and structures (such as runways, taxiways, aprons, terminal buildings, hangars and roads), including all proposed extensions and reductions of existing airport facilities; 3) the location of all existing and proposed nonaviation areas and of all existing improvements thereon; and 4) all proposed and existing access points used to taxi aircraft across the airport’s property boundary. Such airport layout plans, and each amend- ment, revision, or modification thereof, shall be subject to the approval of the Secretary which approval shall be evidenced by the signature of a duly authorized representative of the Secretary on the face of the airport layout plan. The sponsor will not make or permit any changes or alterations in the airport or any of its facilities which are not in conformity with the airport layout plan as approved by the Secretary and which might, in the opinion of the Secretary, adversely affect the safety, utility or efficiency of the airport. b. If a change or alteration in the airport or the facilities is made which the Secretary determines adversely affects the safety, utility, or efficiency of any federally owned, leased, or funded property on or off the airport and which is not in conformity with the airport layout plan as approved by the Secretary, the owner or operator will, if requested by the Secretary, (1) eliminate such adverse effect in a manner approved by the Secretary; or (2) bear all costs of relocating such property (or replacement thereof) to a site acceptable to the Secretary and all costs of restoring such property (or replacement thereof) to the level of safety, utility, efficiency, and cost of operation existing before the unapproved change in the airport or its facilities except in the case of a relocation or replacement of an existing airport facility due to a change in the Secretary’s design standards beyond the control of the airport sponsor. National Plan of Integrated Airport Systems (NPIAS): Public-use airports considered nec- essary to provide a safe, efficient and integrated system of airports to meet the needs of United States civil aviation, national defense and the U.S. Postal Service. Overview There are typically four stages to move an idea from a concept to an existing facility at an airport: planning, environmental review, project design and project construction. The first step in the process is planning. For an airport, it typically starts as a master plan. For small airports with less-complex operations, the master plan may take the form of an ALP and narrative report.

Asset Management—Maintaining Current Assets and Planning Development for the Future 179 While the AMP or ALP is the most common form of airport plan- ning, it is part of a continuum of planning for airports, as shown in Figure 13. The master plan may be preceded by or may include strategic and business plans. The AMP incorporates, and is commonly followed by, the preparation of environmental documentation for the pro- posed development. Sustainability should be considered in airport planning. When preparing the master plan, state system plans and any applicable long-range state transportation plans should be taken into account. Airport Master Plan The goal of an AMP or ALP is to establish the vision and provide guidelines for future airport development that will satisfy aviation demand in a financially feasible manner, while addressing the avia- tion, environmental and socioeconomic issues related to the airport. The master plan or ALP is a tool for the airport manager. The master plan can be used to justify the need for and provide a road map for future improvements. It also serves as a guide to the methodical development of aeronautical and nonaeronautical uses so the airport manager knows where new development can be located. This allows an airport manager to quickly respond when approached about development on the airport while protecting areas reserved for future airfield construction. Figure 13. Relationship of airport planning processes. When do you need to update your planning? (If the answer to one or more of these questions is “yes,” then an update is likely needed.) • Have the types of aircraft using the airport changed since the last plan? • Has the number of based aircraft or operations exceeded the last forecast? • Does the current plan include space for future hangar and business development? • Is a substantial amount of the pro- posed development on the last plan completed? • Does the airport own property that will not be needed for aviation development? • Is the plan more than 20 years old? • Has the airport acquired additional property?

180 Guidebook for Managing Small Airports Most important, the ALP is a tool to obtain an FAA airspace determination and a finding on the safety, utility and efficiency of the proposed development. FAA Standard Operating Proce- dures 9: FAA Aeronautical Study Coordination and Evaluation identifies the FAA process for all aeronautical or airspace studies. As identified in FAA Order 5100.38, Chapter 3, Section 5: Project on Airport Layout Plan, this determination is critical before a project can receive FAA grant funding, because a sponsor must demonstrate that an alteration or physical improvement to the airport will not adversely affect the safety, utility and efficiency of the airport. A sponsor can meet this requirement by obtaining an airspace determination and having the project depicted on an approved ALP. Once the ALP is approved by the FAA, it becomes a “plan on file.” All proposed developments submitted to the FAA for airspace review will be compared to the plan on file, including future development. This provides airspace protection for future runways. This airspace protection must also link to state or local zoning or land use controls to protect the airport from encroachment. The completed master plan or ALP must be shared with the community planning organization. This allows the airport’s plans to be integrated into community plans. The ALP can serve as a visual communication tool. During the planning for the airport, it is important to provide the opportunity for the community to participate in the development of the plan. A master plan or master plan update is eligible for AIP grant funding or reimbursement at an NPIAS airport. An ALP update with a narrative report is grant eligible as a stand-alone planning project, only when new development is being considered—not to keep an ALP current. The update of an ALP after the completion of a construction project should be included as part of the construction project’s professional services. On an AIP grant-eligible construction project, this ALP revision is also AIP grant eligible providing it is included in the initial scope of work. The FAA needs to approve the planning scope of work for planning projects funded with AIP grants. The FAA has established SOPs for ALPs and inventory maps: FAA Standard Operating Procedure 2: FAA Review and Approval of Airport Layout Plans (ALPs) and FAA Standard Operating Procedure 3: FAA Review of Exhibit “A” Airport Property Inventory Maps. When preparing the scope of work for a planning project, these SOPs should be consulted, along with FAA Advisory Circular 150/5070-6: Airport Master Plans. Some states also have an ALP checklist that typically mirrors the FAA Standard Operating Procedure 2 requirements. As identified in FAA Advisory Circular 150/5070-6, an AMP should meet the following objectives: • Document the issues the proposed development will address • Justify the proposed development through the technical, economic and environmental investigation of concepts and alternatives • Provide effective graphic presentation of the development of the airport and anticipated land uses in the vicinity of the airport • Establish a realistic schedule for the implementation of the development proposed in the plan, especially the short-term CIP • Propose an achievable financial plan to support the implementation scheduled • Provide sufficient project definitions and detail for subsequent environmental evaluation that may be required before the project is approved • Present a plan that adequately addresses the issues and satisfies local, state and federal regulations • Document policies and future aeronautical demand to support municipal or local decisions on spending, debt, land-use controls and other policies necessary to preserve the integrity of the airport and its surroundings To protect and promote the airport, the airport’s planning documents must be shared with the community and become part of the community’s plans.

Asset Management—Maintaining Current Assets and Planning Development for the Future 181 • Set the stage and establish the framework for a continuing planning process, such as monitoring key conditions and permit changes in the plan recommendations, as required The primary elements in a master plan are as follows: • Pre-planning the initial needs, selecting a consultant and developing a scope-of-work fee and contract • Public involvement to identify and document the key issues of stakeholders • Environmental considerations to enable a clear understanding of the environmental require- ments to move forward with each project in the recommended development program • Existing conditions to provide an inventory of pertinent data upon which to base the planning • Aviation forecasts for short-, medium- and long-term time frames • Facility requirements to assess the ability of the airport to support the forecast demand • Alternative development and evaluation to identify options to meet project facility requirements and alternatives for each major component of the airport • ALP that provides a set of drawings with a graphic representation of the long-term develop- ment plan • Facilities implementation plan to provide a summary of the recommended improvements and associated costs • Financial feasibility analysis to identify a plan for how the sponsor will finance the project recommended in the master plan An AMP must be tailored to the airport’s needs. At many small airports, an ALP update with narrative report may meet the needs, at a lower cost to prepare. An ALP update is an alternative to a full master plan when the fundamental assumptions of the previous master plan have not changed or when a single development is being examined. The narrative report accompanying the ALP update must address the following: • Basic aeronautical forecasts • Basis for proposed development • Rationale for an unusual design feature or requests for modifications to FAA design standards • Summary of the stages of airport development and layout of major items in each stage The ALP set of drawings will contain, at a minimum, the following: • Cover (title) sheet • Data sheet • ALP drawing (existing and future may be separate sheets, depending on the complexity of the proposed development) • Terminal area plan • Inner portion of approach surfaces drawings • Runway departure surface drawings (unless runways are excluded from instrument departures) • Airport airspace drawing (Part 77) • Airport land-use drawing • Airport property map/Exhibit “A” property map As an airport becomes more complex, multiple sheets are needed to address each of the ALP drawing categories. Also at more complex airports, additional sheets may be added to the ALP, such as access plans, utility plans and tower line-of-sight drawings. Some states also recommend that airports include farm plans or the limits for various types of crops as part of the airport land-use drawing. Chapter 3 in ACRP Report 113: Guidebook on General Aviation Facility Planning provides a more detailed summary on airport planning as it relates to GA airports. For a master plan Keep the ALP updated to meet grant assurances—and keep the grant funding flowing.

182 Guidebook for Managing Small Airports or ALP, the proposed development should meet the design standards in FAA Advisory Cir- cular 150/5300-13: Airport Design. Airports GIS To support the NextGen navigation system, the FAA has instituted requirements to gather GIS data as part of planning and construction projects that execute changes to facilities. Per the FAA’s Airports GIS Transition Policy for Non-Safety Critical Projects, the only airports exempt from preparing a planning project as an Airports GIS project are non-Part 139, nonprimary airports or nontowered, nonprimary airports. However, any survey or data gathering for a plan- ning project will need to meet the survey and data standards for Airports GIS in the following advisory circulars: • FAA Advisory Circular 150/5300-16: General Guidance and Specifications for Aeronautical Surveys: Establishment of Geodetic Control and Submission to the National Geodetic Survey • FAA Advisory Circular 150/5300-17: Standards for Using Remote Sensing Technologies in Airport Surveys • FAA Advisory Circular 150/5300-18: General Guidance and Specifications for Submission of Aeronautical Surveys to NGS: Field Data Collection and Geographic Information System (GIS) Standards. Even if not required, an airport may elect to prepare a planning project as an Airports GIS project to have the data available for other purposes, such as instrument approach development requests. Table 2-1 of FAA Advisory Circular 150/5300-18 provides a matrix of survey requirements to help an airport determine the survey data that is required. At airports with a limited budget to build a GIS, building the Airports GIS database over time through grant-eligible projects will be the most cost-effective manner to obtain this data. In addition to delivering the Airports GIS data to the FAA, it should also be delivered to the local community agency that manages GIS. In addition to sharing the airport’s GIS data with the community, you should request to have access to the community’s data. The Airports GIS program has specific accuracy requirements for submission. When using data other than that specifically gathered for the airport per the FAA advisory circulars, its accuracy must be checked. Even if community data cannot be submitted to the FAA, it can be useful to the local airport. You should also be familiar with other online mapping tools: community specific, such as property ownership records, and more global mapping or aerial photography information. Tracking and Forecasting Aviation Activity When updating a master plan or ALP for a small airport, you must determine whether operations or critical aircraft, or a combination of both, will drive the planning. This helps indicate the level of effort and focus that will be needed on aviation forecasts as part of the planning process. If an airport is capacity constrained, a more detailed operations forecast is needed. If the runway is not long enough or another facility is too small, good critical aircraft data and operations by these critical aircraft are needed. For commercial service and more complex small airports, a full forecast is generally needed to provide the driver for the proposed new facilities. For small airports without commercial service, the key forecasting items for planning purposes are based aircraft and operations, including peak-level activity operations. A forecast of instrument operations may also be prepared. ACRP Synthesis 2: Airport Aviation Activity Forecasting identi- fies different types of aviation activity forecasting methods.

Asset Management—Maintaining Current Assets and Planning Development for the Future 183 Based Aircraft The airport sponsor is generally the best source for based-aircraft information, because usually, the management of hangars that house the based aircraft is within the airport sponsor’s purview. Occasionally, an FBO or other private entity may own or manage the hangars, but usually the airport sponsor is still responsible for reporting the based aircraft to the FAA. The airport sponsor must keep the FAA’s National Based Aircraft Inventory Program updated. This is particularly important when conducting a planning process, because the FAA will compare the forecast to the based-aircraft records contained in the inventory program. NPIAS commercial service, reliever and GA airports can do their updates online at the FAA’s National Based Aircraft Inventory Program website. Non-NPIAS and primary airports should update their based-aircraft data via their airport inspectors. Operations At small airports, it is common for the critical aircraft—not total operations—to drive the facility requirements. When total operations is not the driving factor, then deriving the opera- tions forecast from FAA-published resources, including the Terminal Area Forecast (TAF) and national trends that are published in the FAA Aerospace Forecasts, may be an acceptable and more economical forecasting option. The TAF usually includes only a flat trend line future fore- cast for nontowered airports. Thus, applying projected growth trends from the FAA Aerospace Forecasts to the TAF historical records may be necessary to develop a more realistic forecast. If detailed operations counts are needed at nontowered airports, ACRP Report 129: Evaluating Methods for Counting Aircraft Operations at Nontowered Airports identifies the different methods and their advantages or disadvantages to assist you in selecting the most appropriate method for your facility. ACRP Report 129 built upon the findings of ACRP Synthesis 4: Counting Air- craft Operations at Nontowered Airports, which surveyed the small airport industry to identify frequently used methods. For small airports with an ATCT, the tower count can be used, which is also recorded by the FAA and can be accessed at the FAA’s Air Traffic Activity System (ATADS). If there are periods of time when the tower is closed, an estimate of the operations during this period should be added to the tower count. The operations during off-hours can be estimated by observing operations during the off-hours and using that to estimate a percentage of operations that occur during off-hours. Critical Aircraft The critical aircraft is the most demanding aircraft type or group of aircraft with similar characteristics that make regular use of the airport. As identified in FAA Advisory Circular 150/ 5000-77: Critical Aircraft and Regular Use Determination, “regular use” is defined as 500 annual operations, either a takeoff or a landing, excluding touch-and-go operations. The critical aircraft sets the dimensional requirements on an airport for items such as safety areas, OFAs and separation between runways, taxiways and fixed or movable objects. At nontowered airports, to help identify the critical aircraft, especially transient users, the FAA’s Traffic Flow Management System Counts (TFMSC) can be used. The FAA’s TFMSC data provides a record of IFR flights. Corporate aircraft, which are usually the majority of the critical aircraft operations at an airport, generally operate on an IFR flight plan. An IFR flight plan always includes the aircraft type. While the TFMSC data may not capture every operation by a critical aircraft at an airport, it captures the vast majority of the operations at no cost to the airport. The TFMSC records can be sorted by period of time as well as type of aircraft. There are also services from which you can purchase records of IFR operations. The use of IFR flight records allows the airport to identify local and transient operations.

184 Guidebook for Managing Small Airports If locally based aircraft or regular transient users are critical aircraft operators, you should reach out to them to gather their operational data. The most helpful data users can provide is the number or estimated number of annual operations, as well as the aircraft operating require- ments at your airport. Aircraft operating requirements will vary with temperature, elevation and the wet or dry condition of the runway. A sample user survey for aircraft operational data is included in ACRP WebResource 6. Additional types of user and benchmarking surveys are discussed in more detail in Section 5.13: Airport User Surveys, Benchmarking Studies and Peer Reviews. User data is essential when justifying the need for larger facilities. You should start gathering data when a change in operations is noticed. At a minimum, the aircraft tail number should be noted. Other useful information, if the aircraft operator is willing to share, is aircraft operational requirements, frequency of operations and purpose of operations. Photographs of the critical aircraft using the airport are also useful to share with funding agencies when pursuing funding for improvements. Be aware that some companies are reluctant to share information regarding their operations. When this occurs, recording the aircraft type and the frequency they use the airport may be the best data that can be captured and then supplemented by IFR record data. Identifying the Design Standards for Airport Facilities Airport design standards are identified by defining the airport reference code (ARC)— composed of the aircraft approach category and airplane design group—and taxiway design group (TDG). Table 12 defines the two components of ARC. In 2012, the FAA updated its design standards with the publication of FAA Advisory Circular 150/5300-13A. Taxiway design standards were one of the key changes in Advisory Circular 150/5300-13A that must be taken into account during planning. The FAA uses TDG, which is separate from ARC. The TDG is based on the wheel-span width and distance from nose to main gear. These new taxiway standards generally reduce taxiway width in straight sections but increase it at turning fillets. With more variation in taxiway width, airports may find the taxiway designed with the new standards to be more challenging to maintain, especially during snow removal operations. Runway Protection Zone Land use in a runway protection zone (RPZ) is another element that is a focus of the FAA and further specified in FAA Advisory Circular 150/5300-13, because it solidified the FAA’s guidance Aircraft Approach Category Category Approach Speed (knots) A <91 B 91–121 C 121–141 D 141–166 E >166 Airplane Design Group Design Group Wingspan (feet) Tail Height (feet) I <49 <20 II 49–78 20–<30 III 79–117 30–<45 IV 118–170 45–<60 V 171–213 60–<66 VI 214–262 66–<80 Source: FAA Advisory Circular 150/5300-13A, Change 1, February 26, 2014 Table 12. Airport reference code. Photographs of the critical aircraft using the airport are helpful to document the activity and support the need for the proposed requirements.

Asset Management—Maintaining Current Assets and Planning Development for the Future 185 on avoiding developed land uses where people gather within an RPZ. The FAA Interim Guidance on Land Uses Within a Runway Protection Zone lists the land uses that require coordination and approval from the FAA when it would enter the limits of the RPZ as a result of any of the following: • An airfield project (runway extension or shift) • A change in critical aircraft • A new or revised instrument approach procedure that increases the size of the RPZ • A local development proposal within the RPZ, including uses sum- marized in the text box The FAA recommends that an airport have a property interest in the RPZ; fee simple is preferred, but at a minimum, an avigation easement is required. Ownership of the RPZ allows an airport to control the land use; however, this is not always feasible, as proposed new airfield development may move or increase the size of the RPZ—in which case, coordination with the FAA is required and can be included as part of the planning for the improvement. ACRP Report 168: Runway Protection Zones (RPZs) Risk Assessment Tool Users’ Guide can help an airport sponsor assess the risk of an aircraft accident and the risk to people and property on the ground, based on the land use. This allows airport sponsors to assess alternatives and identify the highest priority for RPZ improvements to reduce the risk level. At many small airports, farmland is used to protect the airport from incompatible development. Agricultural leases can be an important revenue generator and can reduce the amount of land the airport needs to mow or otherwise maintain. When leasing land for farming, the airport operator must be aware of limits on farming operation on the airport from a height and wildlife attractant perspective. This can be captured in a farming plan that is prepared as a part of an ALP. New or Modified Land Uses in RPZ Requiring FAA Coordination • Buildings and structures • Recreational land use • Transportation facilities, including rails, public roads/highways and parking lots • Fuel storage facilities • Hazardous material storage • Wastewater treatment facilities • Above-ground utility infrastructure, including solar panels Source: FAA Interim Guidance on Land Uses within a Runway Protection Zone, September 27, 2012

186 Guidebook for Managing Small Airports 5.4 Airport Business Planning Key Insights There are multiple tools that can be used for the planning and operations of the airport to help maximize the revenue and value to the community. Because aviation is a fast-changing environment, airport management and its policy board must reset their mission and vision for the airport every 10 years or so. The FAA has identified strategic and business planning as an important function for airports to move toward financial self-sufficiency. Key Definitions Airport master plan (AMP): An assembly of appropriate documents and drawings covering the development of a specific airport from a physical, economic, social and political jurisdictional perspective by assessing current and projected demands. The master plan typically has a time frame of 20 years, with short-, intermediate- and long-term goals within that time frame. The airport layout plan is a part of this plan. Business plan: A written plan defining how the airport will operate on a day-to-day basis to achieve established goals and objectives. A business plan translates longer-term goals into action plans. A business plan focuses on the short term. Strategic plan: A written plan identifying the vision and long-term directional goals for an airport, typically having a time frame of 10 to 20 years. Airport Business Plans FAA Grant Assurance 24 requires the airport to be as financially self- sustaining as possible. One way to demonstrate compliance with this goal is to develop an airport business plan. A business plan also demonstrates to the community that the airport is being a good steward of its resources by establishing goals and developing plans that are consistent with the mission and vision of the airport and airport policy board. A strategic plan, business plan and AMP are the three primary planning tools. The content of these planning tools is interrelated and provides the road map, description and strategic focus for the airport going into the future. Strategic plans are more vision, mission and goals oriented, with a focus on staffing and setting policies. ACRP Report 20: Strategic Planning in the Airport Industry describes strategic planning, the process, its benefits and the development of mission, vision and values statements. ACRP Report 20 also includes case studies and has an associated workbook of tools to assist in implementing a strategic planning process. If an airport is undertaking a business plan and does not have a strate- gic plan, some of the strategic planning elements should be included in the business plan because they provide the framework for the business plan. Business plans can include the more strategic elements described Grant Assurance 24: Fee and Rental Structure [The airport sponsor] will maintain a fee and rental structure for the facilities and services at the airport which will make the airport as self-sustaining as possible under the circumstances existing at the particular airport, taking into account such factors as the volume of traffic and economy of collection. No part of the federal share of an airport development, airport planning or noise compatibility project for which a grant is made under Title 49 of the United States Code, the Airport and Airway Improvement Act of 1982, the Federal Airport Act or the Airport and Airway Development Act of 1970 shall be included in the rate basis in establishing fees, rates, and charges for users of that airport.

Asset Management—Maintaining Current Assets and Planning Development for the Future 187 above, but they are typically more focused on the inner workings of the airport as a business and usually focus on implementation goals that will render better safety and security, project delivery and customer service and improvements to operations, finances and the bottom line. Business plans should focus on best management practices, KPIs for all the above-mentioned segments and process improvement goals. A business plan typically has a short-term planning horizon, with initial actions being undertaken in the first year. The full implementation of all the elements may take up to about 5 years. As noted, the airport master plan is typically a 20-year planning document that identifies the capital development required to support the strategic and business plans for the airport. Business Plan Content As described in ACRP Report 77: Guidebook for Developing General Aviation Airport Business Plans, a business plan typically contains the following elements: • Mission statement: conveys the purpose of the airport • Vision statement: describes the aspirations for the airport • Values statement: describes the belief of the airport organization • Goals: identify the desired outcome that must be achieved to realize the mission and vision for the airport • Objectives: define significant steps toward achieving a goal • Action plans: identify who is going to do what, when, where, why and how to accomplish a specific objective • Budget: forecasts the potential financial performance of the airport with the implementation of the plan ACRP Report 77 includes a series of presentations and worksheets for developing and implementing an airport business plan. The Florida DOT Aviation and Spaceports Office prepared the Florida General Aviation Airport Business Plan Guidebook to assist Florida airports in business planning. Also available is a primer that it prepared to provide an overview of airport business plans. Funding for Business Plans Airport business plans are not covered specifically as “eligible” as noted in FAA Order 5100.38. However, some block grant states have provided funding for stand-alone business-planning activities. Business-planning activities can be funded under an enhanced financial plan as part of a traditional AMP. Also, sustainability master plans offer an opportunity to fund business- planning activity as a key portion of the economic sustainability pillar in these plans. These types of planning efforts generally are funded with the use of FAA entitlements but can be covered in a discretionary grant, if the nonbusiness plan work scope can compete well for a discretionary grant. Sustainability master plans can be good options for competing successfully for discretionary funding and including business/financial planning as an approved section. Other potential funding sources are state or local economic development funds, city or general funds, airport-retained earnings and state airport development grants. If the airport is located near a college or university that has its students involved in immersive learning, the preparation of a business plan for a small airport may be a task for which the airport can receive student assistance. If the airport has staff available to work on the business plan, ACRP Report 77 provides step-by-step guidance and business planning templates to use in the preparation of an airport business plan.

188 Guidebook for Managing Small Airports Use of the Business Plan An airport should use the business plan to formulate its action plan, implement the plan, check if the desired progress is being made and make changes, as needed. In addition to being a tool for the airport, the business plan is a good tool to manage the community’s expectations of the airport. By communicating the airport’s business plan goals with the airport stakeholders and local community, expectations of the airport from the various parties can be aligned. Because the airport business plan is a tool for reaching beyond the airport, when undertaking an airport business plan, it is important for the airport management to have buy-in from its policymaking board. Along with the goals, key performance indicators should be established to provide a way to measure progress. KPIs allow for implementation accountabilities. They can also be used to help the airport manage stakeholder and community expectations by providing concrete measures of progress. Community awareness of the airport’s managing of all of its resources in a sustainable manner can improve the local airport brand and relationships with all its stakeholders.

Asset Management—Maintaining Current Assets and Planning Development for the Future 189 5.5 NextGen Opportunities Key Insights For small airports, the greatest benefit of the Next Generation Air Transportation System is improved instrument approach access to airports, with minimal cost. The new, improved instrument approach access has come with some increased approach protection requirements. If a new, vertically guided approach is established, there is an additional approach surface the airport needs to protect that may be lower than the existing approach surfaces. In larger metropolitan areas, the Next Generation Air Transportation System is changing the standard arrival and departure routings to increase airspace efficiency. Some of these changes have created concerns in neighboring communities because of changes in flight paths and noise exposure. Key Definitions Approach procedure with vertical guidance (APV): An instrument approach procedure providing vertical and lateral electronic guidance. Area navigation (RNAV): A method of navigation that allows an aircraft to choose any course within a network of navigation beacons, rather than navigating directly to and from the beacons. It includes lateral navigation providing horizontal alignment guidance to the pilot and can include lateral navigation or vertical navigation providing horizontal and vertical guidance to a pilot. Automatic dependent surveillance—broadcast (ADS-B): A technological application for pilots and air traffic controllers that uses global positioning system satellites to determine aircraft location, ground speed and other data, and provides traffic and weather information directly to the cockpits of properly equipped aircraft. ADS-B out equipment allows the aircraft to transmit its position. ADS-B in and out allows the aircraft to transmit its position and receive weather data and flight information services. Global positioning system (GPS): A satellite-based navigation system operated by the Department of Defense, providing accurate latitude and longitude positions, times and speeds to civilian and military users. Instrument approach procedure (IAP): A series of predetermined maneuvers for the orderly transfer of an aircraft under instrument flight conditions from the beginning of the approach to a landing, or to a point from which a landing may be completed with visual references. Instrument landing system (ILS): A precision instrument approach system utilizing radio transmitters at the runway ends that provides precise descent and course guidance to the runway, permitting aircraft to land during periods of low ceilings or poor visibility. National Airspace System (NAS): The airspace, navigation facilities and airports of the United States along with their associated information, services, rules, regulations, policies, procedures, personnel and equipment. Next Generation Air Transportation System (NextGen): A federal program to transform the national airspace system from a ground-based system to a satellite-based system. Performance-based navigation (PBN): The broad range of technologies that rely on the performance and capabilities of the equipment on board the aircraft.

190 Guidebook for Managing Small Airports Precision instrument procedure: A standard instrument procedure for an aircraft to approach an airport, in which a vertical and horizontal guidance is provided to the pilot using an instrument landing system, military precision approach radar or global positioning system, with visibility of ¾ mile or less or a ceiling less than 250 feet. Required navigation performance (RNP): A type of performance-based navigation that allows an aircraft to fly a specific path between two three-dimensional defined points in space. U.S. terminal instrument procedures (TERPS): Procedures for instrument approach and departure of aircraft to and from civil and military airports. Vertical guidance surface (VGS): An imaginary 30:1 trapezoidal surface applicable to approaches with vertical guidance, extending from the runway threshold along the runway centerline to 10,000 feet from the runway end. Formerly referred to as glide path qualification surface (GQS). NextGen Instrument Approach Opportunities and Requirements The NextGen program, initiated by the FAA in 2003 and anticipated to continue through 2030, is being implemented to modernize the NAS. The goal is to use technology to make the NAS more efficient. The program is made up of a series of initiatives for all phases of flight. One of the most visible has been GPS-based navigation. NextGen uses the satellite-based GPS data for instrument approaches and other functions within the NAS. The intent of NextGen is to replace the ground-based system of very high frequency omnidirectional ranges (VORs), nondirectional beacons (NDBs), ILS and radar. These replacement systems include GPS-based approach procedures and ADS-B systems with associated improvements. While NextGen is replacing the ground-based system, a skeletal system of VORs will be maintained as a backup. Other portions of the ground-based system, such as the NDBs, are being decommissioned through attrition as parts to repair the systems are no longer available. ACRP Report 150: NextGen for Airports is a five-volume set that informs airport operators about NextGen programs and how the technologies will affect airports and their operations: • Volume 1: Understanding the Airport’s Role in Performance-Based Navigation: Resource Guide • Volume 2: Engaging Airport Stakeholders: Guidebook • Volume 3: Resources for Airports • Volume 4: Leveraging NextGen Spatial Data to Benefit Airports: Guidebook • Volume 5: Airport Planning and Development ACRP WebResource 5: Tools and Case Studies for NextGen for Airports provides engagement materials and a public information toolkit. As part of using NextGen to make the NAS more efficient, the FAA has a goal to increase efficiency in metroplexes, metropolitan areas with multiple airports and complex air traffic flows. Small airports located in or near a metroplex should stay aware of and participate in the process. Additional information is available on the FAA’s Metroplex web page. Automatic Dependent Surveillance—Broadcast A key element to the full implementation of the NextGen air traffic control modernization initiative is for aircraft to communicate their positions among themselves. This is being accom- plished by equipping aircraft with ADS-B transponders while also providing weather and flight information services.

Asset Management—Maintaining Current Assets and Planning Development for the Future 191 As part of the transition to NextGen as the primary navigation system, the FAA has established the requirement that all aircraft operating in controlled airspace be equipped with at least ADS-B out (equipment that transmits information about an aircraft’s altitude, airspeed and position from GPS-derived data), by January 1, 2020, per FAR §91.225. In recent years, there have been advances in ADS-B technology that are reducing the equipment cost for the GA community. While ADS-B out is required, aircraft should also be equipped for ADS-B in to take full advantage of the NextGen system. ADS-B in is the equipment that allows the aircraft to receive ADS-B information, including traffic information service—broadcast (TIS-B) and flight infor- mation service—broadcast (FIS-B). To obtain the full benefit from NextGen system improvements, aircraft owners also must equip their aircraft to benefit from the NextGen improvements. For pilots who intend to operate under IFR, there are specific certification requirements for the GPS equipment. Visual flight rules (VFR)-only pilots have many cost-effective options that increase positional aware- ness during flight. NextGen Benefits for Small Airports The greatest NextGen benefit to small airports has been the GPS-based instrument approach procedures that make improved approach capabilities available to small airports with a relatively minor investment. In many cases, these improvements have included vertical approach guidance capability that was previously only available with ILS precision instrument approach systems. Also, the NextGen PBN-based approaches have provided more flexibility in design that has allowed approaches to be designed and established, particularly in more congested airspace, where ground-based approaches were not feasible. To obtain the maximum benefit of the PBN approach, the airports must meet the runway design and threshold siting surfaces criteria associated with the desired approach minimums. Airports may also need to be more vigilant about protecting the airspace in the airport vicinity and potentially reduce the height of obstacles under their runway approaches. The condition of the airspace surrounding the airport is used to establish safe approach-decision heights and visibility minimums, and, conversely, these minimums are used to establish the airport design criteria requirements for future airport development. Airport Design Standards for Instrument Approaches Historically, approach types have been classified as visual, nonprecision and precision, with precision approaches (ILS) being the only approaches with vertical guidance. With NextGen implementation, vertical guidance is available to more types of approaches, even for small airports that were not designed and built to meet the design or obstruction standards for an ILS approach. Therefore, the FAA developed and established new design standards to enable small airports to establish vertically guided approaches. However, the NextGen vertically guided approaches may have higher ceiling and visibility minimums than an ILS approach to maintain an adequate margin of safety. Airport design standard requirements become more demanding at less than a 3⁄4-mile visibility; FAR Part 77 imaginary surface criteria change at 3⁄4-mile visibility. Therefore, it is becoming more common for smaller airports to have approaches with 7⁄8-mile visibility and a 250-foot ceiling. These are the lowest minimums available through PBN without the need to meet the precision approach requirements of FAR Part 77. To obtain the lowest possible minimums at your airport, it is essential to maintain clear approaches, as well as TERPS and airport design surfaces, as discussed in Section 4.10: Airport Obstruction Management.

192 Guidebook for Managing Small Airports In determining the type of instrument approach an airport can accommodate, or desires to accommodate, a number of factors are considered. Those standards include runway length, markings and lighting, clear approach slopes and parallel taxiway requirements as shown in Table 13. During the approach planning stages, the airport management or sponsor should con- sider the minimums desired and determine the applicable safety standards. Note that additional TERPS procedure design criteria will apply and may impact the actual minimums. Establishment of an Instrument Approach Establishment of a PBN-based instrument flight procedure (IFP) for your small airport will follow several critical steps. The first step is to include the pro- posed approach on the ALP. The airport must apply for the instrument approach on the FAA’s Instrument Flight Procedures Information Gateway. As a part of the instrument approach request, the airport sponsor must provide survey, airport and environmental data that supports that request. Survey data must include the most critical elements for IFP development, such as latitude, longitude and elevation information for the runway. The FAA requires the coordinates to be expressed in North American Datum of 1983 (NAD 83) or World Geodetic System 1984 (WGS 84) and the elevations in North American Vertical Datum of 1988 (NAVD 88). The accuracy for the latitude and longitude coordinates must be to the nearest one-hundredth (1/100) of a second, while run- way end elevations must be surveyed to the nearest whole foot. The request must also include the touchdown zone elevation for each end of the runway, which is the highest elevation along the first 3,000 feet from each runway end, and the airport elevation, with accuracy to the nearest whole foot. The IFP request should contain a survey report, stamped with the surveyor’s professional seal. Airports that are federally obligated must meet and maintain specific design standards contained in FAA Advisory Circular 150/5300-13; nonobligated airports Visibility Minimums ¾ Statute Mile ¾ to <1 Statute Mile ≥1 Statute Mile Straight in Circling Potential ceiling, actual dependent on obstacles <250 feet ≥250 feet ≥250 feet ≥350 feet Minimum clear approach slope (TERPS) 34:1 20:1 20:1 20:1 Vertical guidance possible* Yes Yes with clear 30:1 approach surface Yes with clear 30:1 approach surface Not applicable Minimum runway length 4,200 feet (paved) 3,200 feet 3,200 feet 3,200 feet Runway markings Precision Nonprecision Nonprecision Visual (basic) Runway edge lights HIRL/MIRL HIRL/MIRL MIRL/LIRL MIRL/LIRL for night minimums Parallel taxiway Required Required Recommended Recommended Approach lights Required Recommended Recommended Not required *Requires clear VGS HIRL = high intensity runway light, MIRL = medium intensity runway light Source: Adapted from FAA Advisory Circular 150/5300-13A, Change 1, Table 3-4, February 26, 2014 < Table 13. Standards for instrument approach procedures. INSTRUMENT APPROACH ESTABLISHMENT • Make sure instrument approach is shown on ALP • Make sure approach/departure surfaces are clear; take action as needed to clear them • Request instrument approach to desired runway(s) via FAA’s online system • Obtain airport and survey data to support instrument approach in “leaf on” conditions, as required by the FAA • Prepare environmental documentation, typically a categorical exclusion, for establishment of approach • Champion/monitor progress until the instrument approach is published

Asset Management—Maintaining Current Assets and Planning Development for the Future 193 are strongly recommended to utilize the advisory circular criteria as best design practices for safety, especially if pursuing an instrument approach. Additionally, as required by the National Environmental Policy Act (NEPA), all major federal actions, including establishment of an IFP, are subject to environmental review before an action is carried out. The airport sponsor will be required to collaborate with the appropriate FAA staff to complete an initial environmental review form that will be used in the environmental review process. This form can be found as a part of FAA Order JO 7400.2: Procedures for Handling Airspace Matters. Once the FAA has received all the information, the requested IFP is entered into the approach development process. This process can take up to 6 months to be published, which is dependent on the number of other instrument approaches being developed. If an instrument approach can be designed for the airport, the FAA will conduct a flight check of the procedure. The final step in the process is the publication of the approach procedure as a part of the regular procedure update and publication cycle (56-day update cycle).

194 Guidebook for Managing Small Airports 5.6 Land-Use Compatibility and Zoning Key Insights The industry definition of what constitutes an airport-compatible land use has been somewhat vague; therefore, it is important to recognize two key elements that constitute land-use compatibility near airports: • The impact of adjacent or proximate land uses and the densities or intensities of land use on airport safety and efficiency, as well as the public investment therein. • The impact of airport operations, present and planned, on the health, safety and welfare of the public on the ground. Airport land-use compatibility concerns generally affect the following areas: • Noise, vibration and air quality issues, because airport operations generally produce these impacts that are perceived as undesirable and offensive to inhabitants of certain land uses. • Aviation safety concerns that relate to the possibility of mass casualties in an incompatible land use as a result of an aviation mishap or as it relates to reduced margin of safety due to the location of structures within critical segments of airspace (tall structures), etc. The location of incompatible land uses within certain areas around airports also results in a potential reduction of airport efficiency, because the airport sponsor is required to account for and accommodate off-airport impacts to airport design standards or critical airspace surfaces. Key Definitions Airport influence area: An area adjacent to an airport that can affect or be affected by airports and aircraft operations that necessitate restrictions on those land uses. Community comprehensive plan: Generally, a formally adopted general or master plan for a community, which elaborates and codifies the community’s long-range goals in the areas of land use, transportation, utilities, environmental and other areas, driven by established goals, objectives and implementing policies. Day–night average sound level (DNL): The 24-hour average sound level, in decibels, for the period from midnight to midnight, obtained after the addition of 10 decibels to sound levels for the periods between 10 p.m. and 7 a.m. Deed restrictions: A legal mechanism to restrict the use of a property to certain conditions in perpetuity. Land-use density: As it relates to residential land uses, the number of dwelling units allowed to be developed in a given area within a land use specified in a community’s comprehensive plan. Land-use intensity: As it relates to uses other than residential, a measure of allowable square footage allowed to be developed in a given area within a land use specified in the comprehensive plan (or zoning document). Zoning ordinances: Ordinances that divide a community into zones or districts, according to the present and potential use of properties, for the purpose of controlling and directing the use and development of those properties.

Asset Management—Maintaining Current Assets and Planning Development for the Future 195 Defining and Promoting Airport-Compatible Land Use Incompatible land uses in the airport vicinity have the potential to affect the efficiency of airport operations and to diminish the margin of safety for the flying public and welfare of the public on the ground. In a comprehensive sense, incompatible land uses near airports are detrimental to the airport’s financial and social sustainability by potentially limiting the number and type of current or future operations, making the facility less attractive to potential tenants and influencing the community’s goodwill toward the airport. Airport land-use compatibility remains a challenging concept to define for airports in general but typically encompasses concerns with flight safety (tall structures, wildlife attractants, smoke or steam, glare), public safety (high concentrations of people, vulnerable population) or aircraft noise. The nature of incompatible use is broad and is highly dependent on the airport and its operations, the surrounding natural environment and the nature of the surrounding community. Per ACRP Report 27: Enhancing Airport Land-Use Compatibility, a three-volume resource, com- patible land uses near airports have been defined by the industry as those that neither expose the public to unacceptable levels of noise or hazards nor constrain the airport’s safe and efficient operations. There are legal issues associated with establishing airport-compatible land use as described in ACRP Legal Research Digest 5: Responsibility for Implementation and Enforcement of Airport Land-Use Zoning Restrictions and ACRP Legal Research Digest 14: Achieving Airport- Compatible Land Uses and Minimizing Hazardous Obstructions in Navigable Airspace. Land-use compatibility and its goals should be promoted through proactive planning and zoning techniques to avoid the need for corrective or mitigating measures in the future. While Section 4.10: Airport Obstruction Management addresses the safety concerns and airspace protection methods related to tall-structure impacts on air navigation, this section addresses additional techniques that may be used separately or in conjunction with airspace protection. Proactive planning and zoning techniques may include comprehensive planning, airport pro- tection zoning and permitting, deed restrictions, real estate disclosures, sector or area planning, transfer of development rights arrangements, and regional planning initiatives, depending on the type of community surrounding the small airport. Comprehensive Planning This approach uses adopted, long-term local government goals, objectives and policies to promote organized community growth and address matters of future land use, transporta- tion or transit, environment and amenity availability to protect the airport. The airport sponsor should work with the surrounding local governments to establish a comprehensive plan that directs incompatible uses away from the airport and promotes coordination among local gov- ernment and airport planning efforts toward mutual compatibility. Moreover, comprehensive plans may be used to establish airport overlays that direct local planning and zoning authorities to coordinate potential airport impacts with the airport sponsor. Airport Protection Zoning and Permitting As a stand-alone means of protecting the airport from encroachment by incompatible uses, this method will likely yield the most effective results. A local zoning ordinance (or a combina- tion of the ordinance with comprehensive policies or building codes) allows the airport sponsor to implement land-use controls that address matters of density or intensity of use, as well as heights of structures, vegetation and even construction equipment. An airport sponsor should seek to use any available state legislation to adopt, administer and enforce airport pro- tection zoning for the aviation facilities within his or her jurisdictional limits. An in-depth FAA-compatible land use around an airport is established by working closely with local governments and communi- cating the value of the airport to the communities.

196 Guidebook for Managing Small Airports discussion of this approach is included in Section 4.10: Airport Obstruction Management of this guidebook. Deed Restrictions Deed restrictions serve as a legal mechanism to restrict the use of a property to certain conditions in perpetuity. The legal document is attached to the property deed or title and can be an effective means of ensuring that land-use compatibility is achieved through restrictions on property use. Airport sponsors must be cognizant of the legal consequences of deed-restricted properties and understand that, generally, discovery of deed restrictions on a piece of property may occur late in the property sales transaction process. Under such circumstances, deed restrictions may be most effective in combination with other methods mentioned previously to protect the most critical areas around the airport. Real Estate Disclosures Real estate disclosures serve a similar purpose to a deed restriction, but unlike the deed restriction, the disclosures cover a broader area and typically are not tied to a specific parcel or piece of property. The purpose of the real estate disclosure is to inform the property buyer of the property’s proximity to the airport and any potential impacts of regular airport operations on the use and enjoyment of the property subject to purpose. ACRP Legal Research Digest 12: Fair Disclosure and Airport Impact Statements in Real Estate Transfers explores real property disclosure laws particularly relating to the disclosure of proximity to an airport. Similar to deed restrictions, the key shortcoming of real estate disclosures is the timing when such disclosures are introduced in the sales process. Sector or Area Planning Area plans may be developed as a segment of a community master plan or comprehensive plan to set forth overarching goals and a growth strategy for a large geographical area. Sector plans are most effective when they encompass the area owned or controlled by a single (or few) land owner(s), allowing for proactive land-use planning to occur. If the airport is surrounded by substantial tracts of undeveloped land with few landowners, this creates an opportunity to plan for the placement of airport-compatible land uses (light industrial, logistics, etc.) in the airport’s vicinity to support and be supported by airport functions. Transfer of Development Rights Arrangements The transfer of development rights can be used as either a proactive measure or a mitigation measure. The program allows local governments to set up “sending” and “receiving” areas within their jurisdictional boundaries, permitting land owners to sell or transfer their land development entitlements from a less desirable (e.g., less compatible) area to an area that is more suitable for dense development. The technique has been traditionally used to permanently protect natural resources (e.g., coastal areas or environmentally sensitive lands), while protecting the private property rights of the community’s land owners. Regional Planning Initiatives Regional planning initiatives are generally started by regional land-use or transportation planning organizations or through a collaborative effort between a number of collocated juris- dictions. The initiatives typically result in a regional growth strategy and growth management directives and objectives and maintain a high-level approach. As such, while regional planning initiatives usually will not contain actionable or enforceable policies regarding airport land-use compatibility, an evaluation of the airport’s economic impacts and supporting objectives,

Asset Management—Maintaining Current Assets and Planning Development for the Future 197 developed through a multijurisdictional collaborative process, gives the airport sponsor political leverage to implement airport protection zoning or land-use measures. More information about planning techniques for airport land-use compatibility is available as a part of ACRP Report 27. Mitigation Measures for Land-Use Incompatibility When proactive land-use compatibility measures are not available or have failed, the airport may need to use mitigation measures to minimize impacts on safety, operations and the sur- rounding community. Mitigation measures should be applied as items of last resort in the event that proactive measures have not been used during the community build-out process, have not been effective or are not financially feasible to implement. Mitigation measures may include the following: • Where permitted by regulations, mitigation of on-airport environmental impacts (e.g., wet- land impacts) on lands located outside of safety-critical zones • Acquisition of avigation easements for properties subject to frequent overflight by aircraft operating to and from the airport that limit density or intensity of use on the property or permitted structure or tree and foliage heights • Fee simple property purchases • Purchase of development rights, conducted in a manner similar to the transfer of development rights mechanisms, thus allowing property owners the full economic benefit of the property’s highest or best use under zoning • Noise mitigation or insulation measures aimed at curbing the impact of aircraft flight over properties on property owners’ indoor enjoyment Many of the proactive or reactive measures are eligible for grants by the FAA but are subject to limitations. Close coordination with the local FAA ADO is recommended when planning to implement any of the aforementioned measures. The FAA also has specific land-use guidance for a runway protection zone, as discussed in Section 5.3: Airport Planning. Planning and Establishing Airport Protection Land-Use and Zoning Regulations Airport protection zoning regulations remain one of the most effective means of guarding the airport from the encroachment by incompatible land uses, including impacts on airspace by tall structures. Clear, predictable and meaningful policies not only assist potential developers and land owners to understand the impact of their potential development on the airport (and vice versa) but also assist local government officials—who are often unfamiliar with aviation and airport operational requirements—with protecting the operations and development of the community’s economic engine. Because state and local regulations on land-use planning vary widely, only best practices on such regulations can be addressed in this section. ACRP Report 27, Volume 1, Appendix C, contains a model local zoning ordinance for land-use compatibility. FAA Advisory Circular 150/5190-4A: A Model Zoning Ordinance to Limit Height of Objects Around Airports, while dated, provides a model of a zoning ordinance to limit height following Part 77 height restrictions, with limited land-use restrictions. ACRP WebResource 6 contains an airspace zoning ordinance template similar to the one in FAA Advisory Circular 150/5190-4A. Frequently, a zoning ordinance to restrict height may be enacted as an overlay zone. Pennsylvania Department of Transportation provides model zoning ordinance language for an airport district overlay. The Transportation Research Synthesis by the Minnesota DOT, Airspace Protection and Land Use Zoning: A Nationwide Review of State Statutes, summarizes airspace zoning-related regulations by state and includes some sample airspace zoning ordinances.

198 Guidebook for Managing Small Airports Noise Compatibility The promotion of noise-compatible development can reduce a number of issues related to airport encroachment, community relations, social justice and sustainability. Protecting people on the ground from the effects of aircraft noise in a proactive manner can reduce the need for local governments to invest in noise insulation or property acquisition efforts. It also reduces the potential for negative community dynamics toward the airport. Because aircraft noise perception can vary from community to community, noise-compatibility planning needs to be established using regulations that are based on measurable and predictable standards. The FAA uses 65 DNL as the noise level above which noise-sensitive uses are not compatible. A list of noise-sensitive uses is part of FAR Part 150, which is the basis for a Part 150 noise-compatibility plan. It should be noted that as the aircraft fleet becomes quieter, many airports may find the 65 DNL contours are entirely contained within the airport limits. In such a case, if deemed necessary, more restrictive standards may need to be adopted by local governments to keep incompatible development from encroaching on the airport to protect the airport and the community from aircraft noise. Determining and Establishing the Limits of Airport Influence An airport influence area, incorporated into the airport zoning regulations, should cover the areas of the surrounding jurisdictions that are subject to airport impacts or that may affect the airport operations with incompatible development. Delineation of the area provides local property owners and developers with advance notice that their proposal may be subject to addi- tional regulations or scrutiny and may require additional steps during the permitting process for development. More important, it provides local government officials and decision makers with an idea of where airport impacts may occur and where federal or state aviation authorities may need to be involved. Establishing an effective airport influence area or airport protection zoning overlay, developed with the participation and buy-in of the local community, should focus on areas that are the most critical for airport operations or community welfare. Suggested areas to be included in an airport overlay are as follows: • Airport 65 DNL noise contours • Airport Part 77 obstruction surfaces • Airport Part 77 notification surfaces • Airport departure and one-engine inoperative surfaces Development of the overlay must balance community buy-in and interests, practicability of zoning regulation enforcement within the extent of the overlay and airport operational and development interests. Establishing Zoning Criteria Based on Best Practices Those jurisdictions located in proximity to airports, or within established airport influence areas, should be encouraged to reference best practices and industry guidance on developing zoning policies to establish practical standards for airport land-use compatibility. Such stan- dards, as defined by the types of use and maximum density or intensity of use, should direct uses with densities or intensities not compatible with existing or planned airport operations away from the airport safety-critical areas (e.g., RPZs) and encourage more compatible development. ACRP Report 27 contains practical and easy-to-understand guidance on evaluating land-use compatibility on the basis of use characteristics and permitted densities. The zoning policies should also address such items as impacts on RPZs due to emissions of light, glare or smoke; the location of wildlife attractants; and congregations of people under the airport’s approach and departure surfaces.

Asset Management—Maintaining Current Assets and Planning Development for the Future 199 Establishing Procedures and Mechanisms for Regulatory Implementation and Relief Lastly, airport protection zoning regulations should establish meaningful and predictable procedures for ordinance implementation. The procedures should consider private property rights in balance with the benefits of airport development and operations. The implementing entity should be prepared to address challenges of regulatory findings and regulatory relief. This may include the establishment of criteria for airport proximity disclosure, acquisition of property or avigation easements, injunctive relief or establishment of nonsuit covenants. Airport protection zoning ordinances should be developed by considering private property rights balanced with the benefits of airport development. Ordinance development that provides an opportunity for input by all potentially affected local stakeholders, stands the best chance of being adopted, administered and enforced by the affected local jurisdictions. Communicating About Airport Land-Use Compatibility Another key to promoting airport land-use compatibility is early, frequent and consistent education of elected officials and the community regarding aviation safety and airport standards, and the value and benefit of your airport to the community. These benefits include the airport’s role in the community as the following: • A connector to the airspace system • A community economic driver • A site for emergency response or recovery deployment • A community focal point Airport management and staff should proactively communicate the negative results to the community due to incompatible land use encroachment on the airport. These negative impacts may include the loss of local employers or businesses, having to repay federal grants because of grant assurance noncompliance and reduced current and future operational utility. ACRP WebResource 1: Aligning Community Expectations with Airport Roles contains helpful information regarding the proactive management of community expectations and public relations or engage- ment for airport managers.

200 Guidebook for Managing Small Airports 5.7 Exhibit “A” Property Map Key Insights An FAA grant requirement is that before an airport receives federal funds for a project, it must prove it has appropriate ownership of the property on which the project is to occur. An Exhibit “A” property map is only mandatory for federally obligated airports but may be useful to all airports. FAA Standard Operating Procedure 3 provides an outline of the requirements for an Exhibit “A” property map. Key Definitions Exhibit “A” property map: A drawing of the dedicated airport property, including detailed information about how the property was acquired, the funding source for the land and if the land was conveyed as federal surplus land or government property. Land release: The release of airport property not needed for present or future aeronautical purposes but subject to federal obligations from the terms of the agreement with the U.S. government. It is defined as the formal, written authorization discharging and relinquishing the FAA’s right to enforce an airport’s contractual obligations. Importance of the Exhibit “A” Property Map To meet Grant Assurance 4: Good Title, the airport sponsor has a federal obligation to submit an accurate Exhibit “A” property map when the airport applies for, and prior to execu- tion of, a federal grant. To meet these requirements, a current Exhibit “A” property map must be submitted with a grant application for land acquisition or new development to demon- strate that the airport sponsor owns or controls the land on which the development will be con- structed. For projects not involving land acquisition, a current Exhibit “A” property map that was previously submitted can be referenced in the grant application. The FAA defines an Exhibit “A” property map as • Containing a snapshot of the inventory of parcels that make up dedicated airport property, • Identifying how the land was acquired, • Identifying the funding source for the land, and • Indicating whether the land was conveyed as federal surplus land or government property. An airport sponsor is federally obligated to obtain FAA consent to remove any land described and shown on the Exhibit “A” property map through its formal land-release process. For a new airport or an airport receiving its first AIP grant, an Exhibit “A” property map depicting the land required to support the facilities needed to operate the airport must also be submitted. Exhibit “A” Property Map Content The purpose of an Exhibit “A” property map is to provide a visual depiction of airport pro- perties, which are owned fee simple or subject to easements, supported by property data tables. The Exhibit “A” property map must include the following: • The outside airport property boundary, including all fee-interest, leased and easement prop- erties, must be identified. All discrepancies between recorded and surveyed information should be noted, and base map data sources should be identified.

Asset Management—Maintaining Current Assets and Planning Development for the Future 201 • Each segment of the property boundary must be clearly described, using metes and bounds, township/range/section, lot and block, plat or any other appropriate property description. • All airport property parcels must be shown and uniquely designated, consistent with the previous Exhibit “A” property map (if applicable). Any new or future property acquisitions may use a new or updated designation system. • Any parcels that were once airport property must be shown. If the parcel was released, FAA approval data and the date of disposal must be shown. • Parcel information must include grantee (selling owner); type of interest acquired and acreage; type of conveyance instrument; public land record reference, such as book and page; and date of recording. This information is typically included in a tabular format. • For each property parcel, the way the property was acquired and when (e.g., FAA grant number and year, if acquired under a grant, PFC project number, surplus property transfer agreement information) must be shown, where applicable. • For easements, the type of easement, such as clearing, avigation, utility and right-of-way, and any applicable dates of expiration must be included. Easement information should indicate whether the airport owns the easement or has granted the easement, such as an easement granted to a utility company. • Proposed acquisition areas, with the purpose of acquisition (aeronautical, noise compatibility, future development) and current property owner, must be included. • Airport infrastructure and configuration, including RPZs, runways, runway safety areas, OFAs, taxiways, design surfaces and building restriction lines, must be included. • Date of Exhibit “A” property map, north arrow, map legend and scale must be included. The Exhibit “A” property map should be updated whenever there is a change to any airport property. The airport sponsor must also depict on the Exhibit “A” property map all land that has been acquired for noise-compatibility purposes. These properties must be shown on the Exhibit “A” property map to document the airport’s ownership of the land and be incorporated in an FAA-accepted noise inventory and reuse plan. At larger airports with noise land, a separate noise land inventory map can be prepared, and the Exhibit “A” property map may reference the noise land inventory map. The FAA’s Noise Land Management and Requirements for Disposal of Noise Land or Development Land Funded with AIP provides guidance to airport sponsors to help manage and purchase land as part of a noise-compatibility program. The goal of noise-compatibility programs is to acquire impacted noise-sensitive uses and transition the land to a compatible use. The noise inventory and reuse plan indicates the ultimate use of the land, either disposal for a compatible use or future airport development. The FAA must approve changes to the Exhibit “A” property map noise lands, including the necessary airspace or other restrictions on the use of disposed land. When noise land is disposed of, the proceeds must be “returned to the FAA,” although this frequently occurs through reinvestment in a noise program or airport development. FAA Standard Operating Procedure 3: FAA Review of Exhibit “A” Property Inventory Maps is a good guide to use when preparing or reviewing your airport’s Exhibit “A” property map and includes the Exhibit “A” property map review checklist used by the FAA ADO staff. Additional information on the Exhibit “A” property map and associated land acquisition requirements can be found in FAA Advisory Circular 150/5100-17: Land Acquisition and Relocation Assistance for Airport Improvement Program Assisted Projects. Grant Assurance 4: Good Title a. [The airport sponsor], a public agency or the federal government, holds good title, satisfactory to the Secretary, to the landing area of the airport or site thereof, or will give assurance satisfactory to the Secretary that good title will be acquired. b. For noise compatibility program projects to be carried out on the property of the sponsor, [the sponsor] holds good title satisfactory to the Secretary to that portion of the property upon which federal funds will be expended or will give assur- ance to the Secretary that good title will be obtained.

202 Guidebook for Managing Small Airports 5.8 Environmental Documentation Key Insights Airport improvements that are federally funded, or that change an airport layout plan that has been approved by the FAA, are considered federal actions and must be environmentally reviewed under the National Environmental Policy Act. The FAA Airports office may provide conditional, unconditional or mixed approval of a project included in an airport layout plan. Unconditional approval requires airspace and environmental approval. In addition to the National Environmental Policy Act, there are other federal, state and local environmental regulations applicable to airports. Key Definitions Categorical exclusion (CATEX): A category of actions that do not individually or cumulatively have a significant effect on the human environment and for which neither an environmental assessment nor an environmental impact statement is required. (Documentation in the form of a CATEX checklist still must be prepared by the airport or its sponsor.) Council on Environmental Quality (CEQ): A division of the Executive Office of the President that coordinates federal environmental efforts in the United States and works closely with agencies and other White House offices in the development of environmental and energy policies and initiatives. Environmental assessment (EA): An assessment of the environmental effects of a proposed action for which federal financial assistance is being requested or for which federal authorization is required. The EA serves as the basis for the FAA’s environmental impact statement or finding of no significant impact. Environmental impact statement (EIS): A document prepared under the requirements of the National Environmental Policy Act of 1969, Section 102(2)(c) representing a federal agency’s evaluation of the effect of a proposed action on the environment. (The FAA will serve as the sponsor of an EIS.) Extraordinary circumstances: When an action that is normally categorically excluded may cause significant adverse environmental impacts, including the consideration of special-purpose requirements. Finding of no significant impact (FONSI): An administrative determination by the FAA that a proposed action by the airport sponsor will have no significant impact on the environment. Metropolitan statistical area (MSA): A geographical area defined by the U.S. Office of Management and Budget for use by federal statistical agencies in collecting, tabulating and publishing federal statistics. National Environmental Policy Act (NEPA): A U.S. environmental law that established a U.S. national policy promoting the enhancement of the environment. NEPA requires each federal agency to disclose to the public a clear, accurate description of the potential environmental impacts that the proposed federal action and reasonable alternative to those actions would cause. Navigable waters: Interstate waters; interstate lakes, rivers and streams that are used by interstate travelers for recreational or other purposes; interstate lakes, rivers and streams

Asset Management—Maintaining Current Assets and Planning Development for the Future 203 from which fish or shellfish are taken and sold in interstate commerce; and the tributaries of such waters. Record of decision (ROD): A written decision of the FAA’s approval or disapproval of an action proposed in an environmental impact statement. The ROD explains what the airport sponsor proposes to do and why, identifies actions the FAA and other federal agencies must take, explains the alternatives analyzed and which one is environmentally preferred and identifies the required mitigation measures. Written re-evaluation: Documentation of the validity of a previously prepared environmental assessment or environmental impact statement. If substantial changes are found, a supplement to the previously prepared environmental assessment or environmental impact statement may be required. National Environmental Policy Act NEPA went into law January 1, 1970, requiring federal agencies to assess the environmental effects of their proposed actions prior to making decisions. This act requires that federal agencies establish a process to use a systematic, interdisciplinary approach. NEPA also established the CEQ to oversee NEPA implementation. CEQ issued guidance for how federal agencies were to implement these requirements. The FAA Airport Environmental Programs web page provides resources to assist airports in addressing NEPA requirements. FAA Order 1050.1: Environmental Impacts: Policies and Procedures translates the NEPA requirements to the FAA and lists the following environmental impact categories that must be considered: • Air quality • Biological/ecological resources (including fish, wildlife and plants) • Climate • Coastal resources • Department of Transportation Act 4(f) and 6(f) resources • Farmland • Hazardous material, solid waste and pollution prevention • Land use • National Historic Preservation Act resources, including historical, architectural, archaeological and cultural resources • Natural resources and energy supply • Noise and compatible land use • Socioeconomics, environmental justice and children’s environmental health and safety risks • Visual effects including light emissions • Water resources, including wetlands, floodplains, surface waters, groundwater and wild and scenic rivers FAA Order 5050.4: National Environmental Policy Act (NEPA) Implementing Instructions for Airport Actions is specific to the FAA Airports line of business that oversees AIP grants for airports. The FAA’s Environmental Desk Reference for Airport Actions summarizes the special-purpose laws and associated environmental impact categories to assist with NEPA implementation. State Environmental Regulations In addition to complying with NEPA, airports may also need to comply with any state envi- ronmental regulations, especially in California, where these regulations may be more restrictive

204 Guidebook for Managing Small Airports than NEPA. ACRP Legal Research Digest 22: The Role of the Airport Sponsor in Airport Planning and Environmental Reviews of Proposed Development Projects Under the National Environmental Policy Act (NEPA) and State Mini-NEPA Laws provides a summary of relevant federal and state environmental review statutes and the responsibility of various stakeholders. Environmental Analysis for Airport Projects The FAA recognizes that it is important for the environment to be considered through- out a project’s formulation. Therefore, the FAA guidance requires that the environment be considered in the planning process. This is done through the preparation of at least an environmental overview that evaluates the impact categories as they relate to the proposed development, as part of a master plan or ALP update. Considering the environment during planning allows environmental considerations to be taken into account when evaluating alternatives. The preparation of environmental documentation for a project is eligible for an AIP grant. The environmental documentation can be funded with an AIP grant or reimbursed with an AIP grant. The FAA groups environmental considerations into 19 categories, as identified in FAA Order 5050.4. Not all categories will apply to all airports or all projects, but each must be reviewed to determine whether it is applicable. If applicable, additional analysis is needed to determine if there would be a potential impact. As part of a planning study, the anticipated level of required environmental documentation can be identified. All projects receiving federal funding require an environmental review and appropriate documentation. Because FAA approval of an ALP is a federal action, projects that change an airport’s ALP, even if nonaeronautical, also require environmental documentation. Appendix 1 of FAA Order 5050.4 contains flowcharts to help airport sponsors identify the most appropriate level of environmental documentation based on the anticipated potential environmental impacts. Categorical Exclusion A CATEX is the shortest form of an environmental review. Airport projects, referred to as actions, usually eligible for a CATEX are found in Tables 6-1 and 6-2 of FAA Order 5050.4. These actions do not normally, individually or cumulatively, have a significant effect on the environment. However, some of these actions must be evaluated to determine if there are any extraordinary circumstances that would require a more detailed environmental review. As part of this evaluation, for a project disturbing new areas, the sponsor should solicit comments from appropriate environmental agencies, including U.S. Fish and Wildlife Service and state wildlife agencies (threatened and endangered species), U.S. Army Corps of Engineers (wetlands), U.S. Department of Agri- culture (farmland) and state historical and archaeological resources (cultural resources). These solicitation letters should include a description of the proj- ect, a location map and an exhibit of the project. As part of FAA Standard Operating Procedure 5: CATEX Determinations, the FAA developed a CATEX form to document a project’s eligibility for a CATEX. An airport sponsor may use a consultant to prepare a CATEX, or it may be prepared internally. Any impact in an environmental category can change a project’s environ- mental documentation process from a CATEX to an EA, but the most common PROJECTS TYPICALLY ELIGIBLE FOR A CATEX • Landing strip, taxiway, apron or loading ramp construction or repair work, including extension, strengthening, reconstruction, resurfacing, marking, grooving, fillets and jet blast facilities and new heliports on existing airports, except where such action will create environmental impacts off airport property • Installation or upgrade of airfield lighting systems, including runway-end identification lights, visual approach aids, beacons and electrical distribution systems • Installation of miscellaneous items, including segmented circles, wind or landing direction indicators/measuring devices or fencing • Construction or expansion of passenger- handling facilities • Construction, relocation or repair of entrance and service roadway • Grading or removal of obstructions on airport property and erosion-control actions with no off-airport impacts • Landscaping, generally, and landscaping or construction of physical barriers to diminish impact of airport blast and noise • Projects to carry out noise compatibility programs • Land acquisition and relocation associated with any of the above items • Federal release of airport land • Removal of a displaced threshold Source: FAA Order 5050.4B, April 28, 2006 The environmental documenta- tion for an AIP-funded project should be completed by the end of the federal fiscal year, prior to the anticipated year of the construction project.

Asset Management—Maintaining Current Assets and Planning Development for the Future 205 (extraordinary circumstances) are biological (endangered or threatened species), National Historic Preservation Act, DOT 4(f) or 6(f) areas, wetlands and coastal resources, where appli- cable. When preparing a CATEX, it is necessary to demonstrate that there are no environmental impacts. When a project is disturbing new areas, field studies may be necessary as part of CATEX to demonstrate no impacts. If there are impacts but they can be mitigated, it will be necessary to prepare an EA. Environmental Assessment The EA is intended to be a concise document that takes a hard look at the expected environ- mental effects of a proposed action. The following actions normally require an EA: • Categorically excluded actions involving extraordinary circumstances • Helicopter facilities or airport operations that increase noise over noise-sensitive areas within a DNL of 65 dB • Land for any project typically requiring an EA • A new airport serving general aviation • A new airport location serving commercial service not in an MSA • A new runway, major runway strengthening or extension • Projects involving prime and unique farmland, navigable waters or wetlands • Other circumstances that have a controversy because the proposed action involves a special- purpose environmental law Typically, an airport sponsor will use a consultant to prepare an EA. The consultant selection for the preparation of an EA must be per FAA requirements for the costs to be grant eligible. The FAA is generally the lead agency for airport projects. While not common, there can be a cooperating agency that will work with the FAA on the EA. Cooperating agencies are more common when preparing an environmental impact statement, which is discussed in the next section. For projects that are not included on the CATEX list but are not anticipated to have an adverse environmental impact, an EA short form may be completed and is usually available from the FAA region. This form can also serve as a screening tool for a project with potential environmental impacts. The FAA’s Eastern Region is one of the regions that has an EA short form available, a copy of which is included in ACRP WebResource 6. Environmental Impact Statement An EIS is typically prepared when an EA identifies a significant impact, or a significant impact is identified before an EA is started. For instance, an EIS is required for a new commer- cial service airport in an MSA or a new runway in an MSA. When preparing an EIS, while the airport sponsor funds the study—which is eligible for AIP grant funding—the FAA selects the consultant. An EIS is typically a longer, more detailed document than an EA. The process is also more involved and starts with a detailed scoping process that includes stakeholder, agency and public involvement. If a small airport needs to prepare an EIS, the airport sponsor works closely with the FAA ADO to properly scope and implement the process. Everyday Environmental Considerations ACRP Report 43: Guidebook of Practices for Improving Environmental Performance at Small Airports helps small airports identify applicable federal environmental-compliance require- ments, outlines practices that proactively enhance environmental stewardship and identifies

206 Guidebook for Managing Small Airports resources and tools. It assists airport managers in being cognizant not only of federal requirements for the management of environmental impacts but also of the best practices for the mitigation of such impacts. Noise Impacts Noise is one of the most recognizable effects of airport operations. The FAA models aircraft noise through the use of the Aviation Environmental Design Tool (AEDT). AEDT also models air quality emissions at airports, generally larger or busier small airports where noise becomes a significant source of concern with the community. The airport operator may employ measures to help mitigate noise, including but not limited to voluntary noise abatement procedures, voluntary noise curfews and limitations on the operations of auxiliary power units during night hours. Beyond such measures, noise mitigation measures, such as noise attenuation measures for structures, restrictions on noise-sensitive land uses, requirements for noise attenuation of new construction and fee simple acquisition of properties in noise-sensitive areas may be required. Typically, before implementing a noise mitigation measure, an airport operator will complete a noise study. The FAA has types of noise-related studies. The completion of these studies and implementation of the recommendation are means by which to reduce an airport’s noise footprint. FAR Part 150. The regulations contained in Part 150 govern and specify the methodology and criteria for the development of noise-exposure maps and implementation of noise-compatibility programs based on the findings of the airport-specific Part 150 studies on noise-compatibility planning. FAR Part 150 studies are voluntary. However, airports that complete an FAR Part 150 study are eligible for AIP noise grants to implement projects that reduce the airport’s noise exposure. FAA Advisory Circular 150/5020-1: Noise Control Planning for Airports provides guidance for noise control and compatibility planning and preparation of noise-exposure maps. The FAA web page Noise Compatibility Planning Toolkit provides some additional resources on noise and land-use compatibility. FAR Part 161. Airport operators may apply to the FAA for the approval of Stage 3 aircraft noise and access restrictions, which limit the type of aircraft, establish an official noise abate- ment approach and departure procedures or limit the hours of Stage 3 aircraft operations. Such restrictions are subject to FAA review, approval and restrictions. Stage 3 certification applies to civilian aircraft great than 75,000 pounds, which may not be that common at small airports. Air Quality Impacts Airports can have mobile and stationary emissions sources. Stationary sources include fuel tanks, generators, boilers, heaters, paint booths and deicing facilities. Mobile sources include aircraft, motor vehicles, ground support equipment and construction equipment. The FAA has started to implement a number of measures that seek to address airport carbon emissions (from airport operations). One of these measures is the FAA’s Voluntary Airport Low Emission Program (VALE) grants, which are available to commercial service airports in non- attainment or maintenance areas for National Ambient Air Quality Standards. Eligible project types include mobile and stationary equipment replacement that will reduce on-airport emissions. While VALE may not be applicable to most small airports, it is important to know it exists and what airports qualify. Another air quality-related initiative of the FAA is the development of a replacement fuel for 100LL avgas. Avgas is one of the few remaining leaded fuels used in the United States. However, most of the piston-powered aircraft fleet are certified to operate on avgas. Therefore, the replace- ment fuel will need FAA approval to serve as a certified replacement for avgas.

Asset Management—Maintaining Current Assets and Planning Development for the Future 207 ACRP Report 56: Handbook for Considering Practical Greenhouse Gas Emission Reduction Strategies for Airports presents information and tools of use to many airports. Some of the strategies identified can be employed at any airport, and some are related to commercial service operations. AirportGEAR, an interactive tool developed as a companion to ACRP Report 56, is available for download from the ACRP website. The CD-ROM that accompanies ACRP Report 56 includes fact sheets (Appendix A), upon which AirportGEAR is based, and a presenta- tion (Appendix C) on practical greenhouse gas emission reduction strategies. The two appendices are also available from ACRP WebResource 6. Water Quality Water quality, especially through the management of stormwater, is an important considera- tion in an airport’s operation. Even airports that receive little precipitation must have measures in place to minimize stormwater exposure to pollutants. ACRP Report 53: A Handbook for Addressing Water Resource Issues Affecting Airport Development Planning provides information on establishing a water resource management program and integrating it into project planning and implementation. ACRP WebResource 3: Airport Stormwater Management Library & Training Materials provides stormwater information resource and training for airports. Stormwater permitting regulates the impacts of construction and industrial activities on the stormwater runoff to benefit wetlands and aquatic ecosystems, protect the health of the public and improve the quality of receiving bodies of water. The permitting mechanism is intended to prevent stormwater runoff from washing harmful pollutants into local surface waters. ACRP Report 169: Clean Water Act Requirements for Airports summarizes Clean Water Act-related permits. Two of these stormwater management permitting processes may be applicable to your airport. National Pollutant Discharge Elimination System Airports that have industrial activities, which include deicing operations, with a point-source discharge to waters of the United States are required to obtain a National Pollutant Discharge Elimination System (NPDES) operating permit. There are two types of NPDES permits: operat- ing and construction. NPDES permits are issued by states with permitting authority or by EPA regions where the state does not have authority. The EPA’s NPDES website provides informa- tion to help airports determine the applicability of this permitting program. Within the list of operating permits, an airport may hold an individual or general permit. An individual permit is written specifically to a facility. A general permit is written to cover multiple discharges with similar operations and types of discharges. As a part of the NPDES permit, a stormwater pollution prevention plan (SWPPP) must be developed. The SWPPP identifies all potential sources of pollution anticipated to affect the quality of stormwater dis- charge and describes what practices will be used to reduce pollutants in the stormwater discharge and how compliance with permit requirements will be met and maintained. The EPA has a guide for developing an SWPPP. The Iowa Office of Aviation has a sample SWPPP in its online resource library. The tenants’ activities on an airport need to be incorporated into the NPDES permit and SWPPP. ACRP Legal Research Digest 25: Analysis of Federal Laws, Regulations, Case Law, and Survey of Existing Airport NPDES Permits Regarding Tenant-Operator Responsibilities Under NPDES and Stormwater Management BMPs Under Owner/Airport’s Operating Permits summarizes state and federal stormwater regulations and the authority for taking enforce- ment action against airport owners related to tenant noncompliance issues. It also provides guidance for airport operators in enforcing tenant compliance with stormwater permit requirements. To stay in compliance with NPDES regulations, airports should prohibit aircraft washing, unless an appropriately drained wash rack is provided.

208 Guidebook for Managing Small Airports NPDES construction permits are associated with ground-disturbing activities, such as construction projects. When airport construction will disturb more than the allowable area, an NPDES permit with the associated erosion-control plan is required. Even if a project is below the land-disturbing requirements for an NPDES permit, incorporating erosion-control measures is a best practice. For airports with agricultural spraying operations, pesticide and herbicide management by the operators is important for managing the potential exposure of stormwater to these chemicals. They can be addressed as part of the SWPPP development. The University of Minnesota, Center for Transportation Studies, Airport Technical Assistance Program has published Agricultural Aircraft Operations on Municipal Airports as a guidebook for airport operators. Another tool used by airports in managing stormwater quality is to control hazardous material storage, such as fuels and oils, through lease requirements that require the use of property con- tainers and limit the quantity that can be stored on-site. Spill Prevention, Control and Countermeasure As detailed in the EPA guide Spill Prevention, Control, and Countermeasure (SPCC) Regu- lation: A Facility Owner/Operator’s Guide to Oil Pollution Prevention, airports with above- ground oil-storage capacity of greater than 1,320 gallons or a buried oil-storage capacity greater than 42,000 gallons with a reasonable potential for discharge into or on navigable waters of the United States are required to prepare an SPCC plan. Airports fall into the category of non- transportation industries in this regulation, in that airport activities involve oil that is distributed from bulk-storage containers to vehicles operating solely within the confines of the facility, such as fuel sales. The SPCC regulations require planning measures that define how the facility will address the prevention of, preparedness for and response to oil discharges into the environ- ment. The airport sponsor is required to have an SPCC in place, regardless of whether the fuel is provided by the airport sponsor or a tenant FBO. The EPA has an Oil Spills Prevention and Preparedness Regulations website as well as the Spill Prevention, Control and Countermeasure (SPCC) Regulation guide with resource information. Obstruction Management Airport operators must stay aware of environmental requirements when conducting ongoing management of vegetation and disposition of vegetative material. This is especially important when clearing trees or vegetation in areas where endangered or threatened species may use the trees or other habitats. If there are periods of the year when the species are not present in the airport area, as identified by the U.S. Fish and Wildlife Service, then the obstruction removal should occur during these periods. Also, any disposal of material should occur in an environ- mentally sensitive manner. State or Local Regulations Other regulatory or local compliance may be required based on your local conditions, which may be a result of your airport’s location in a particularly sensitive area, such as a spring protection area or in proximity to federally recognized tribal lands with higher water quality standards. Some states also have their own regulations on stormwater and water quality that must also be followed. If installing above-ground fuel storage tanks, be sure to complete an SPCC plan.

Asset Management—Maintaining Current Assets and Planning Development for the Future 209 5.9 Sustainability in Everyday Operations Key Insights Environmental sustainability is the key element of the sustainability trifecta: fiscal, community or social and environmental sustainability. Airport sustainability actions seek to reduce environmental impacts, maintain the airport’s economic potential and promote the goals and actions that align with the goals and values of the communities surrounding the airport. Environmental sustainability serves to protect the nation’s natural resources, promote community goodwill and save the airport’s financial resources in the long run. It may also contribute to reducing the airport’s carbon footprint, potentially affecting the climate change dynamic, and reducing the airport’s greenhouse gas contributions. Additionally, the FAA has begun an initiative that allocates Airport Improvement Program fund- ing to the development of sustainable airport master plans and for certain airport sustainability planning initiatives. Key Definitions Commissioning (Cx) and retro-commissioning (RCx): A comprehensive and systematic testing process of new (or existing, in the case of RCx) building components and systems to verify their design, installation and functionality in accordance with the client’s specifications and operational demands. Envision: A rating system for sustainable civil infrastructure; can be used alone or with other rating systems, such as the Leadership in Energy and Environmental Design system. Leadership in Energy and Environmental Design (LEED®): A rating system created by the U.S. Green Building Council that recognizes best-in-class building strategies and practices for sustainable features. Nonattainment area: An area that does not meet one or more of the criteria pollutants of the National Ambient Air Quality Standards, as defined in the Clean Air Act of 1970. Voluntary Airport Low Emissions Program (VALE): FAA grants available to commercial service airports in nonattainment or maintenance areas for National Ambient Air Quality Standards for eligible project types, including mobile and stationary equipment that reduce on-airport emissions. Best Practices for General Sustainability Planning The United Nations World Commission on Environment and Development, convened in 1983, was one of the first governmental entities that attempted to define sustainable development as that which meets the needs of the present generation without compromising the ability of future generations to meet their needs. ACRP Synthesis 66: Lessons Learned from Airport Sustainability Plans identified the top drivers of sustainability initiatives for airports as follows: • Cost reductions • Funding availability • Management support

210 Guidebook for Managing Small Airports • Community relations • Environmental compliance Additionally, the airports surveyed for the synthesis listed community relations, environmental compliance and revenue generation opportunities as the key drivers, accurately reflecting the key pillars of sustainability—social, environmental and fiscal—as defined by the triple bottom line (TBL) model developed by John Elkington. ACI-NA broadened the definition of sustain- ability for airports to be a more holistic approach to managing an airport. This revised airport sustainability approach is referred to as EONS (economic vitality, operational efficiency, natural resource conservation and social responsibility) and adds the operational efficiency component. Sustainability initiatives adopted by smaller airports, even without a formal sustainability plan, include the following: • Lighting upgrades, including LED • Solar and geothermal energy systems • Recycling of municipal and construction waste • Planting trees and native plants (while maintaining a wildlife mitigation awareness) • Community and stakeholder outreach • Employee programs • Funding from nontraditional sources ACRP has completed multiple sustainability projects. The most current and relevant to small airports include the following: • The Sustainable Aviation Guidance Alliance (SAGA) website contains sustainability infor- mation and guidance for airports of all sizes. • ACRP Synthesis 69: Airport Sustainability Practices—Drivers and Outcomes for Small Commercial and General Aviation Airports includes case examples for small airports. • ACRP Synthesis 77: Airport Sustainability Practices compiled information about airport sustainability for inclusion in SAGA. • ACRP Report 80: Guidebook for Incorporating Sustainability into Traditional Airport Projects identifies opportunities to include sustainability in airport practices and has an evaluation tool. • ACRP Report 110: Evaluating Impacts of Sustainability Practices on Airport Operations and Maintenance provides a tool for airports to estimate the costs and savings of sustainability measures. This tool is most applicable to airports that wish to take their sustainability practices a step further and gather the data needed to use the tool. One of the key attributes of airport sustainability practices is their versatility and utility as ad-hoc initiatives. Airports can exercise flexibility in selecting, implementing and measuring the effects of various initiatives, such as energy reduction, building automation or use of energy- efficient lighting as part of a project’s implementation or as stand-alone initiatives. These ad-hoc initiatives offer an opportunity to engage in airport-sustainability practices that best align with your airport and its environment. One of the most frequently identified barriers to the implementation of sustainable initiatives is funding. Airport managers should seek innovative grant opportunities, which may be avail- able as a part of state and federal programs that promote environmental sustainability. Because certain sustainability initiatives have cost reduction elements, a potential to generate revenue or the potential to create employment opportunities, state and local economic development agen- cies may be another potential source of funding. Certain sustainability projects may also qualify for grants through initiatives aimed at developing rural or underdeveloped areas. Sustainability measures that reduce costs may also be easier to pursue from a financial perspective.

Asset Management—Maintaining Current Assets and Planning Development for the Future 211 For commercial service airports located in the nonattainment area, the FAA has VALE grants available. Community engagement can create additional opportunities to grow support for sustain- ability initiatives that improve the quality of the community or generate community goodwill for the airport. Airport managers should seek to engage with community stakeholders and estab- lish community goals for the airport. Moreover, community support and goodwill are key to promoting initiatives’ continued implementation and potential enhancement. To foster community support and engagement, airports should focus on easy-to-implement programs (“low-hanging fruit” opportunities), such as entry-level energy audits, asset manage- ment and energy-efficient designs. To translate these efforts into positive community support and a foundation for continued implementation and enhancement, the airports should track, document and communicate their successes to stakeholders. ACRP Synthesis 21: Airport Energy Efficiency and Cost Reduction focuses on energy efficiency improvements occurring at airports that are low cost with a short period for the return on investment. LED Considerations One of the areas of “low-hanging fruit” in sustainability for many airports is lighting efficiency. Technological advancements in lighting have benefitted numerous airports seeking to upgrade their incandescent lighting systems. Specifically, the use of the LED systems has become more frequent and commonplace. FAA Advisory Circular 150/5345-53: Airport Lighting Equipment Certification Program establishes the criteria for certifying and receiving FAA approval for the implementation of LED solutions. Airfield lighting manufacturers have developed and are improv- ing LED systems to meet these requirements. The availability of LED systems provides two key potential benefits for airport operators seeking to improve facility sustainability: • Improved longevity of LEDs: LEDs offer more than double the lifespan of comparable incandescent products. • Significantly lower electrical consumption of LEDs: LEDs have lower levels of electrical demand and are more efficient than incandescent counterparts, saving the airport money. Although some LED designs have been approved for airport use by the FAA, the organization is continuing to research and work toward approval of an additional array of lighting solutions for approach and runway lighting systems. As LED systems for airports evolve, the lighting industry is working to overcome some of the issues with light brightness and dimming. ACRP Synthesis 35: Issues with Use of Airfield LED Light Fixtures and ACRP Report 148: LED Airfield Lighting System Operation and Maintenance contain valuable information and considerations for LED implementation and maintenance on airports. Sustainable Design and Operations Sustainability and “green” measures can be incorporated into the design of airport facilities and projects during the development of project concepts and design stages. Generally, incorpo- rating sustainability measures in the original design will save financial resources in the long run. However, sustainable design is best carried out in a stakeholder-driven environment. It is critical that the process involves, at a minimum, the following: • Identification of critical stakeholders: Airport management, operations and maintenance staff, tenants and users, local government officials and staff, members of federal and state entities and community interests. • Establishment of sustainable-design goals and associated implementation strategies: Focus on the specific project planning, design and construction strategies that would meet project

212 Guidebook for Managing Small Airports requirements, while incorporating sustainable measures, such as resource-efficient designs or construction strategies that reduce waste or minimize environmental impacts. • Building consensus and balance around sustainable strategies and project design and con- struction requirements: Engage the stakeholders in a consensus-building process that ensures that the project requirements and goals—including the budget—are met, while promoting sustainable strategies that constitute the elements of the TBL and EONS models. • Measuring and communicating results and successes: Continued implementation of ongoing sustainable strategies, and the likelihood of sustainable-design approvals in the future, hinges on the success of previous projects. Always communicate the successes of sustainable projects, whether those successes resulted in savings or revenue generation or reduced impacts to the environment or the community. While LEED certifications are a recognized and frequently used credential for building projects, smaller airports should weigh the costs and benefits of documenting LEED compliance for certification purposes, as opposed to selecting the most cost-effective measures, to achieve the stakeholder and airport goals within the budget. Envision provides a similar certification tool for site or civil types of projects. The construction of new airport buildings is costly. Moreover, modern building systems such as heating and cooling, lighting automation, fire suppression and electrical are comprehensive and complex. Therefore, Cx or RCx, as well as energy audits and master planning practices, should be included as a part of project planning and implementation to ensure that the various building systems are operating to the airport’s desired specifications and at peak efficiency. The optimization of building systems through the Cx or RCx process starts well before the experts who provide those services investigate the building automation systems and does not end when the project report is issued. The process of finding and, more importantly, implementing energy- saving measures should be developed with buy-in from the building owner or operator in mind. Therefore, facility improvement measures (FIMs) identifying the issues, proposed resolutions and projected and actual savings (where available) should be tailored to each facility, based on stakeholder input. Energy audits and energy master planning can take the Cx or RCx FIMs to the next level by allowing the facility operators to plan future asset-improvement measures and associated savings. These types of audits offer a lower-cost solution to identify ways in which airport buildings and facilities may not be performing to specifications and where the airport’s energy consumers may be operating inefficiently and plan future FIMs for implementation. Because of the relatively low cost of energy audits, they can offer a substantial return on investment for airports with numerous buildings and heating-and-air-conditioning spaces. To enhance the findings of the aforementioned studies, additional measures should be con- sidered to adequately document, track and analyze the life cycles of the various capital assets on the airport. The intent of this process is not only to identify items that are potentially nearing the end of their useful lives but also to potentially pinpoint any trouble areas within the system design that result in premature asset failure. Using asset monitoring and management as a best practice for operations and maintenance can render long-term sustainable benefits by improv- ing the maintenance process from reactive to predictive. Airports may also benefit from engaging in water-efficiency planning, with a focus on evaluat- ing the measures that can be designed and implemented to extract the maximum benefit in water and energy cost savings. Extensive information on this topic can be located in ACRP Report 154: Water Efficiency Management Strategies for Airports. Airports can also consider green stormwater infrastructure, as addressed in ACRP Report 174: Green Stormwater Infrastructure, Volume 1: Primer and Volume 2: Guidebook.

Asset Management—Maintaining Current Assets and Planning Development for the Future 213 Implementing and Promoting Sustainability Programs As the impact that human actions have on our natural environment has become better understood, organizational sustainability programs have shifted from their status of a public- goodwill or social-consciousness measure to a programmatic approach designed to promote organizational competitiveness. Products and goods that promote sustainability continue to become more affordable and have started to compete in the same marketplace with more con- ventional products. While sustainable practices have gained faster traction in the private sector due to their utility as cost-savings measures, or even as a way to promote the company’s corporate image, public and governmental organizations have been slower to adopt such programs. In a great majority of organizational situations, implementing sustainability programs is almost exclusively a top-down measure. They require complete buy-in and commitment from the airport sponsor, leadership, airport management and, at times, the community. As such, promotion should involve the community as stakeholders of the airport’s vision. The greatest challenge to the implementation dynamic is the airport management’s buy-in on being the best airport the community wants it to be and not necessarily the best airport that management wants it to be. In some cases, such visions are harmonious, but in many situations, understanding community desires and limitations that arise from conflict with the community must be reconciled. The social sustainability aspect of the TBL and EONS models centers on this combination of airport and community visions. As previously mentioned, identifying stakeholders and gaining a clear understanding of their priorities in the process of sustainable design and operations is the first step of stakeholder buy-in and consensus building. This approach is no different for implementing sustainable programs when it involves management buy-in. Developing an approach to implementing sustainable programs within the airport organization begins with a focus on management’s priorities: • Is the airport attempting to improve the community image and generate goodwill? • Are there fiscal savings or implications? • Will this program improve the environmental situation locally or beyond, or result in a reduced long-range environmental regulatory burden? Each situation is unique and requires a keen understanding of the organizational and stake- holder priorities and dynamics. The ultimate goal is to evaluate those priorities and design a program that is focused on the desired long-term outcomes. Scalable measures are important to calibrate the approach and respond to changes in the airport’s leadership and community dynamic without losing progress. One state that is a leader in GA sustainability is Colorado, which developed the Colorado General Aviation Sustainability Program to provide guidance and resources to assist airports in developing their own sustainability programs. Florida also has published sustainability guidance, the Florida Airport Sustainability Guidebook, intended to provide a standardized methodology for developing and implementing a sustainability plan. The Chicago Department of Aviation was one of the first to address sustainability at airports with the development of its Sustainable Airport Manual. While tailored to a large airport, many of the concepts could also be scaled to smaller airports. The FAA’s airport sustainability web page includes links to completed sustain- ability master plans and airport sustainability plans. Some of the participating airports are small airports.

214 Guidebook for Managing Small Airports 5.10 Project Implementation Key Insights The implementation of an AIP-funded project starts several years before construction. Grant programming is usually carried out about 3 years in advance of a project. Proper grant administration requires good record keeping during the project and is important for timely payments and grant closeout. Key Definitions Airport Improvement Program (AIP): A program that provides financial grants to primarily public agencies for the planning and development of public-use airports that are included in the National Plan of Integrated Airport Systems. Airport layout plan (ALP): A set of drawings that provide a graphic representation of a long- term development plan for an airport, showing the boundaries and proposed additions to all areas owned or controlled by the sponsor for airport purposes, the location and nature of existing and proposed airport facilities and structures and the location of existing and proposed nonaeronautical areas and improvements. Construction safety and phasing plan (CSPP): A document that outlines procedures to maintain operational safety on an airport during construction projects. CSPP identifies how to minimize construction impacts on operations. Modification to standards (MOS): Any approved nonconformance to FAA standards to airport design, construction or equipment procurement. MOSs are issued by the FAA on a case- by-case basis after it is demonstrated that an acceptable level of safety, economy, durability and workmanship would still exist. Obstruction Evaluation/Airport Airspace Analysis (OE/AAA): A public website provided by the FAA to enable individuals and organizations engaged in sponsoring the construction or alteration of potential obstructions on and off airport property to easily notify the FAA of their intents and activities. This allows the FAA to evaluate the impacts of these activities on the airspace system. Substantially complete: When a project is sufficiently complete in accordance with the contract documents so that the owner can occupy or use the project for its intended purposes. AIP Project Flow The first step in the process to obtain an AIP grant for a development project is to have the development included on the airport’s approved ALP. Once the project is part of the ALP, it must be included on the airport capital improvement program (ACIP) request for AIP funding. While the ACIP may show the airport sponsor’s desired timing for the project, the actual timing may vary, based on a number of factors. Factors that impact the timing of the project are airspace approval, typically via the ALP; environmental approval via a CATEX, EA or EIS, as appropriate for the project; justification of need; priority of the project within the airport system, as determined by the FAA’s priority rating; and the availability of grant funding. Close coordination with your state block-grant The environmental documenta- tion for an AIP-funded project should be completed by the end of the federal fiscal year prior to the anticipated year of the project initiation.

Asset Management—Maintaining Current Assets and Planning Development for the Future 215 representative or FAA ADO program manager is important through the process of moving a project from concept to implementation. Depending on FAA’s priority rating for the project, it may take several years for a project to be programmed for funding or an airport to build up nonprimary entitlement funding sufficient to cover the project. Grant Application When a project is anticipated to receive AIP funding, the airport sponsor must submit a grant application. FAA Standard Operating Procedure 6: FAA Review and Approval of an Airport Improvement Program (AIP) Grant Application outlines the steps and required documents in the application packet. For nonprimary airports in a block grant state, the grant application is typically processed by the state, with lessor documentation required from the airport to the state aeronautics agency. FAA SOP 6 includes a flowchart of the AIP grant process, shown in Figure 14. There are some tasks in the AIP grant process over which the airport sponsor has control: the early coordination, pre-grant actions and submittal of a timely and complete grant application. The timing of the grant offer and agreement is driven by FAA and federal approvals. This includes the notification by the U.S. DOT’s Office of the Secretary to congressional officials from the Source: FAA SOP 6.0: FAA Review and Approval of an Airport Improvement Program (AIP) Grant Application, October 1, 2015 Figure 14. Flowchart of AIP grant process.

216 Guidebook for Managing Small Airports airport’s area to provide an opportunity for the elected officials to publicly announce the grant. The FAA Central Region’s Checklist for Typical AIP Development Projects shows the overall flow and timing of the various phases of an AIP-funded project. As identified in FAA SOP 6, the grant application package must contain the following: • Standard Form 424: Application for Federal Assistance (for all types of projects), executed by the appropriate sponsor representative • Form 5100-101: Application for Federal Assistance, with the appropriate parts completed based on the type of project, which includes project costs with no contingencies and a brief, narrative description of the work for development projects • Project sketch for development projects • Documentation for determination of reasonableness of costs as applicable to the project, such as bid tabulations, property appraisals and negotiated consultant agreements • Exhibit “A” property map, if not already on file with the FAA • Plans and specifications by reference for a development project AIP Development Project Implementation Process Design Phase The first step in the design process is to select the design consultant and execute a design contract. The consultant selection must meet the FAA requirements, as outlined in FAA Advi- sory Circular 150/5100-14: Architectural, Engineering and Planning Consultant Services for Airport Grant Projects, for the design cost to be AIP eligible. If the construction of the project is anticipated to immediately follow the design and bidding of the project, the professional services contract with the consultant may include both the design and construction phase services. The recommended steps for a project’s design and construction processes are described in FAA Advisory Circular 150/5370-12: Quality Management for Federally Funded Airport Construction Projects. ACRP Report 116: Guidebook for Successfully Assessing and Managing Risks for Airport Capital and Maintenance Projects provides a step-by-step process for evaluating and managing project risks throughout the various phases of a project. Pre-design Meeting. When starting the design process, you may find it helpful to hold a pre-design meeting, the purpose of which is as follows: • Introduce stakeholders, sponsors and the design team • Review the project scope of work and available budget • Establish the schedule for design and anticipated construction • Receive input upfront from staff or key tenants affected by the project with respect to possible issues or challenges to be addressed during the design phase Design Review Meetings. During the design process, meetings should be conducted with the design team, airport staff and key tenants affected by the project. The purpose of these meetings is to share the progress of the design and address any questions. Milestones that are commonly used for design review meetings are 30/60/90 percent or 50/90 percent completion for less-complex projects. Generally, the difference between 90 and 100 percent completion is the final acceptance review of the design documents by the airport sponsor, state aeronautics agency and/or FAA and incorporation of any comments into the design documents prior to the engineer-of-record affixing his or her seal and signature. The design documents will usually consist of a set of construction plan drawings and contract documents consisting of general, technical and special provisions and a bid-proposal package.

Asset Management—Maintaining Current Assets and Planning Development for the Future 217 Engineer’s Report. The engineer’s report will be produced during the design process. The engineer’s report typically describes the following: • The scope of the project • Any design alternatives considered and the rationale for those selected • Design details: pavement design, drainage design and electrical design to show compliance with FAA or state requirements • Any deviations to design standards • If federally funded, identification of any items not eligible for federal funding • Estimate of probable construction cost • Special considerations for local circumstances, such as available materials, equipment and contractors • Any provisions included in the project to meet environmental mitigation commitments The Illinois DOT’s Division of Aeronautics includes a good checklist for the content of an engineer’s report as part of its standard contract agreement. Project Specification. For a project funded with an AIP grant, airport sponsors are required to use the construction specifications, as defined in FAA Advisory Circular 150/5370-10: Standards for Specifying Construction of Airports. This advisory circular provides the requirements and the allowable options to align the specifications with local conditions or locally available materials. Some states have developed and received FAA approval for state specifications to use at non- primary airports. Any changes to the guidelines provided in FAA Advisory Circular 150/5370-10 require FAA-approved modifications to standards, which often involve a lengthy review process that must be accounted for in the project schedule. Buy American Preference. One key provision that must be included in AIP-funded projects is the Buy American Preference. This provision requires all steel and manufactured goods used in AIP projects to be produced in the United States. The FAA has the authority to waive the Buy American Preference under certain circumstances. ACRP Legal Research Digest 18: Buy America Requirement for Federally Funded Airports discusses the legislative history, applicable federal regulations and how it has been applied at airports. Airport Lighting Equipment Certification Program. To be eligible for federal grant assis- tance, airport sponsors must purchase equipment certified under the Airport Lighting Equip- ment Certification Program. FAA Advisory Circular 150/5345-53: Airport Lighting Equipment Certification Program describes how manufacturers can buy equipment qualified under the program. Construction Safety and Phasing Plan. During the design process, the consultant is required to develop a CSPP for AIP-funded projects. The CSPP identifies how to minimize construction impacts on airport operations. The CSPP will be submitted with the design plans to the FAA for review. FAA Standard Operating Procedure 1: FAA Evaluation of Sponsor’s Construction Safety and Phasing Plans Funded by the AIP or PFC Programs identifies the information required to be part of the CSPP. FAA Advisory Circular 150/5370-2: Operational Safety on Airports During Construction provides guidance for developing the CSSP. For Part 139 airports, meeting the requirements of FAA Advisory Circular 150/5370-2 is an acceptable method for complying with Part 139 requirements. During construction, Part 139 airports will likely need to increase the airport inspections, particularly special inspections, such as those tied to the reopening of construction areas for airport operations. DBE program. To ensure a level playing field for DBE firms to compete, 49 CFR Part 26 requires nondiscrimination in the administration of airport financial assistance programs.

218 Guidebook for Managing Small Airports Airport sponsors establish an overall DBE participation goal covering a 3-year fiscal period if anticipating awarding FAA-funded prime contracts with a cumulative total value that exceeds $250,000 during any one or more of the fiscal years within the 3-year goal period. Eligible DBE firms must be certified by a state-unified certification program agency. Airport sponsors must make a good-faith effort to meet the overall goal, which is accomplished by including a DBE participation goal in the project’s contract documents. At primary and commercial service airports, there is also an airport concession DBE program. Establishing wage rates. On federally funded projects of more than $2,000, the project must be constructed using Davis–Bacon wage rates. These wage rates are included as part of the speci- fications. The Davis–Bacon wage determinations are available from the Wage Determinations Online website. The wage determination should be obtained just before advertising the project for bidding, so that it shows the current wage rates. On state-funded projects, the airport sponsor should determine if there are any state wage rate requirements. FAA Plan Review. The FAA ADO or state block-grant agencies on behalf of the FAA are required to review design plans. Time for the FAA plan review must be included in the project schedule in advance of bidding the project. The plans should be submitted for review at least 60 days in advance of the planned bid date to avoid delays. The FAA has varying levels of plan review, as detailed in the August 2, 2016, memorandum for FAA Review of Construction Plans and Specifications for AIP-Funded Projects. Project description requirements for plan reviews are the same as project descriptions for the FAA National Priority System. The FAA has an AIP project plans and specification certification form to be submitted with the plans. Public Bid Process. After the design plans are reviewed by the FAA, the procurement of bids can occur. Airport sponsors should follow the requirements of their state or local govern- ment for the procurement of airport construction projects, which are usually considered public works projects. The public bid process starts with the advertisement of the project and concludes with a public opening of bids. An airport may hold a prebid meeting during the bidding process to explain the project’s scope and anticipated special circumstances or challenges for bidders to consider and to provide contractors with the opportunity to see the project site. A formal pro- cess is also used to allow contractors to submit questions and receive answers, usually through a written addendum issued by the airport sponsor. Construction Phase Preconstruction Meeting. Before the contractor starts work, a coordination meeting with the key contractor and subcontractor personnel; airport sponsor and staff; consultant, state and/ or FAA staff; airport users, tenants and stakeholders affected by the project; testing laboratory staff; and utility companies affected by the project, as applicable, should occur. Key topics to be addressed at a preconstruction meeting, as identified in FAA Advisory Circular 150/5370-12, Appendix D, include the following: • Primary points of contact: For the owner and the contractor, plus the contacts’ roles and responsibilities and whether the contractor is required to go through the airport sponsor for communications with airport users and tenants • Scope of work: Proposed work, schedule and phasing, and any standing or required meetings • Notice to proceed: Required approvals for construction to begin • Safety and compliance with CSPP: Review of CSPP and safety procedures to make sure all parties are aware of the project requirements for construction on the airport • Security and FAR Part 139 issues: As applicable, to meet airport and/or TSA requirements

Asset Management—Maintaining Current Assets and Planning Development for the Future 219 • NOTAM issuance and note to FAA Technical Operations: By airport, as applicable, and advance notice required • Contractor’s quality control plan: Required for some projects with quality control testing, such as paving projects; should be submitted before preconstruction meeting • Project documentation: – Retaining documents for audits: Keep good records throughout and after construction to document the basis of payments – Submittals: Required prior to work and reviewed based on project specifications – Request for information: Formal process to be followed for the contractor to submit questions on plans and specifications and the airport sponsor to provide a response – Record drawing: Requirement for the contractor to make a set of plans that include any changes made in the field and final quantities of material, so that they can be recorded as part of the project closeout • Compliance with regulatory requirements: Identification of requirements to meet and documentation related to regulatory requirements, such as Davis–Bacon wage rates, NPDES and other permits, DBE participation • Utility identification: Utility locations, including airport and FAA cables, before initiation of work Construction Coordination Meetings. Additional coordination meetings are recom- mended to be held throughout the project. Depending on the complexity of the project, standing coordination meetings may be held weekly or fortnightly. These meetings should provide updates on the job to date and a 1- to 3-week forecast to identify potential issues and proactive resolutions. Pretask meetings for significant tasks, such as a prepave meeting, are also recommended. The FAA requires AIP projects to have weekly construction progress reported on FAA Form 5370-1: Construction Progress and Inspection Report. Final Inspection. When the contractor substantially completes construction, an on-site final inspection will be conducted. This final inspection will include the contractor, airport sponsor and design or construction consultant. It may also include the state aeronautics agency, the FAA or both. The inspection will review the contractor’s work for conformance with the plans and contract documents. Any item that needs correction or adjustment will be put on a punch list for the contractor to complete. When completed, the punch-list items will be inspected by the airport sponsor and design or construction consultant, at a minimum. Once the punch-list items are accepted, the contractor can submit an invoice for final payment. Before processing the payment, the airport sponsor should be sure it receives all required documentation from the contractor, such as red-line, marked-up drawings for the as-built record drawings, summary of DBE participation and waiver of lien from the contractor. As the recipient of the AIP grant, the sponsor has the responsibility and obligation to conform to the FAA documentation require- ments and grant assurances. A contractor’s final payment and retainage are a sponsor’s best leverage to ensure the contractor will provide the necessary items. Construction Closeout. At the end of the project, there is a construction closeout to ensure the project is completed in reasonable conformance with the construction documents, and all project documentation is retained. A final construction record should be compiled by the construction consultant, which includes all project documentation in one place, often in a binder, CD or thumb drive, as preferred by the airport sponsor. FAA Standard Operating Procedure 10: Administrative Closeout of Airport Improvement Program Grants identifies the FAA process and required documentation to close a grant. For the FAA to close a grant, the grant should be physically complete, its administrative requirements met and its financial actions processed. As part of preparing the final construction record, any as-built changes to the ALP should be completed and submitted to the FAA.

220 Guidebook for Managing Small Airports Change Orders. If there is a change in the quantity of work during a project due to items such as unforeseen conditions, a written change order is used to authorize the contractor to proceed with the additional work. Any change orders are best coordinated in advance with the FAA ADO or state agency for state block grants. Per Section 5-35 of FAA Order 5100.38: Airport Improvement Program Handbook, all change orders, supplemental agreements and contract modifications must eventually be reviewed by the FAA ADO or state agency for a block grant state. If a sponsor proceeds with a contract change without prior approval from the FAA or state, it is at the sponsor’s risk. The FAA’s review process for construction change orders is outlined in FAA Standard Operating Procedure 7: Airport Improvement Program Construction Project Change Orders. AIP Grant Payments For small airports that are primary or nonprimary and not part of a block grant state, the air- port sponsor is responsible for making payment requests to draw funds from the grant. Many small airports may have their consultants assist in this process. FAA Airports’ AIP Grant Payment and Sponsor Financial Reporting Policy outlines the process and requirements for grant payment application, review and payment. Nonprimary airports in states participating in the FAA’s state block-grant program must coordinate with their state aeronautics agencies to identify their AIP grant payment process. As detailed in the AIP Grant Payment and Sponsor Financial Reporting Policy, the FAA uses the DOT Electronic Grants Payment System, Delphi eInvoicing, unless an airport sponsor demonstrates it is unable to use or access the internet to register and process payments through Delphi eInvoicing. To access Delphi eInvoicing, the airport sponsor’s authorized users must complete the eAuthentication process. Airport sponsors may authorize multiple users and may designate someone other than the airport sponsor to prepare and save payment requests on the airport sponsor’s behalf. However, an airport sponsor must review the work of a designee for accuracy before the sponsor submits the payment request. The frequency of grant payment requests will vary depending on the type of project. Monthly is typical for an active project. If there is no payment request, also known as a “grant draw down,” for more than 12 months, a grant is considered inactive and it can be a cause for the grant to be terminated. An airport sponsor must only request payment in the amount of allowable project costs that have been completed. This refers to costs for which the sponsor has been invoiced or has paid. All payment requests must include an invoice summary identifying the following: • Contractor (construction or professional service) name • Date and number of invoice • Billed amount • Breakout of AIP and non-AIP costs • Worksite name • Summary of services/material billed Airport sponsors identified under the FAA’s revised Airport Improvement Program (AIP) Grant Oversight Risk Model Policy may also be required to include the contractor pay request and sponsor certification letters and other supporting documentation. The FAA’s approval process for grant payment applications also varies based on a sponsor’s grant payment risk level, ranging from auto-approval up to 90 percent of the federal share to a manual approval with multiple FAA staff approvals, including an FAA Airports regional or district office manager. If the FAA payment request review results in a rejection of a payment application, the entire payment must be rejected. The rejection notice must include the reason for the rejection and the corrective action required. Once corrected, the airport sponsor must submit a new payment request in Delphi eInvoicing. If a consultant prepares a pay- ment application, it is still the airport sponsor’s responsibility to ensure all payment requests are accurate and meet the grant payment requirements.

Asset Management—Maintaining Current Assets and Planning Development for the Future 221 Payments will not be made for more than 90 percent of the federal share until the FAA deter- mines that a project is substantially complete. Once a project is determined to be substantially complete, an airport sponsor can receive up to 7.5 percent of the remaining 10 percent of the federal share. The final 2.5 percent is not approved until all required closeout documentation is received by the FAA. If a sponsor receives a grant amendment increasing the grant amount, the 90 percent is applied to the increased amount. The FAA may also hold a payment request if an airport sponsor is in noncompliance. If an improper payment is submitted in Delphi eInvoicing, an airport sponsor must immediately contact its FAA Airports regional or district office for it to be rejected. If the payment has already been processed, a credit memo or refund to the federal government by the airport sponsor is needed as detailed in the AIP Grant Payment and Sponsor Financial Reporting Policy. Once payments are approved in Delphi eInvoicing, they are paid though electronic funds transfer to the airport sponsor’s bank. Airport sponsors should receive their payments within 2 business days of approval. Grant Amendment As described in FAA Order 5100.38, Chapter 5, Section 7, AIP grants can be amended for airport development or land acquisition projects. Planning project AIP grants may not be amended. When there is uncertainty in a planning project, the project may be conducted in phases to allow for the availability of additional information to better determine the cost before obtaining a grant for a future phase. Generally, an AIP grant is amended for cost or project scope, not both. An airport sponsor is required to submit an amendment request in writing and document the amount and justification. For most types of projects, an amendment is limited to a 15 percent increase; again, planning projects are not eligible to be amended. Land acquisition at non- primary airports has a separate limit of the greater of 15 percent of the grant amount for land (federal share) or 25 percent of the total increase (project cost that is not federal share) in land costs, as detailed in FAA Order 5100.38, Table 5-28: Grant Amendment Limits for Increases. State block grants are not amended to increase the grant amount. Normally, a grant is amended at closeout to adjust the grant to reflect final costs, but the FAA can amend a grant more than once and at times other than closeout. Grant Closeout FAA Standard Operating Procedure 10: Administrative Closeout of Airport Improvement Program Grants establishes the procedures to close an AIP grant. For block grant state airports, the grant closeout process should be coordinated with the state aeronautics agency. FAA Stan- dard Operating Procedure 10 includes a sponsor grant closeout worksheet. While optional, this worksheet can help an airport sponsor complete all submittals required to close an AIP grant. The closeout submittals vary with the type of project. FAA Order 5100.38, Chapter 5, Section 8, details the grant closeout requirements, which fall into the following basic steps: • Physically complete all projects within the grant • Complete all grant administrative and financial requirements • Complete the closeout process steps Airports GIS Data If a construction project changes the airfield, in particular, safety-critical data such as runway length, width, taxiway alignment or navigational aids, a survey meeting the requirements of the FAA policy states that AIP grants should not be open more than 4 years.

222 Guidebook for Managing Small Airports FAA Airports GIS is required of the completed facilities. This survey data must be submitted to the FAA Airports GIS website. If a project such as a runway overlay does not change the runway end elevation by more than 1 foot, no update is required. FAA Forms 7460 and 7480 Proposed construction on or in the vicinity of an airport requires the filing of an FAA Form 7460-1: Notice of Proposed Construction or Alteration. This includes on-airport con- struction at any public-use airport listed in the FAA’s Chart Supplement. FAA Form 7460-1 is filed through the FAA’s OE/AAA website. This form should be filed at least 60 days in advance of the project. The status of a filing can be checked through OE/AAA. An airport can register to receive notice of OE/AAA filings based on the state or airport specified. The result of the FAA’s review of Form 7460-1 is a finding of no objection, conditional determination or objectionable. FAA Form 7480: Notice for Construction, Alteration and Deactivation of Airports is used to notify the FAA of any changes to the status or use of a civilian or civilian-owned, joint- use airport. This includes construction, alteration or activation of any runway or taxiway or deactivation of any runway or taxiway. Thus, if a project adds, removes or changes a runway or taxiway, a Form 7480 may also be required to be filed with the FAA. The requirement to file a Form 7460 does not automati- cally mean the development will be objectionable because the filing requirements are more stringent.

Asset Management—Maintaining Current Assets and Planning Development for the Future 223 5.11 Land Acquisition Process Key Insights Under certain circumstances, airports may need to acquire land to obtain sufficient property for a development project or to promote land-use compatibility, whether noise or safety related. Certain land acquisition projects are eligible for federal grants; however, federal real property acquisition and relocation regulations must be strictly adhered to. Prior to undertaking a land acquisition project, airport managers must be familiar with the federal and state regulations pertaining to property acquisition, relocation assistance and disposition of surplus properties that were subject to federal funding for property acquisition. The airport sponsor, following the acquisition of a fee-simple title to real property, is required to address liabilities and obligations as property owner, including property maintenance, the demolition or salvage of improvements, the sale of improvements and overall property management. Land purchase options are a viable, low-cost solution to avoid the escalation of acquisition costs in the early project planning and design phases. Land purchased through the FAR Part 150 noise-compatible land process will have its own associated federal requirements that will follow the property. Key Definitions Avigation easement: A type of acquisition of an interest in land or property that involves less than fee simple purchase. One form of avigation easement grants an airport the right to perform aircraft operations over the designated property, including operations that might cause noise, vibration and other effects. A stronger form of easement is a deed restriction that may include the right to perform aircraft operations on the property or the public acquisition of a landowner’s rights, restricting future development of the property for any use more intensive than that existing at the time of the transaction. This easement may also include prohibitions on the uses for which the property may be developed. The maximum heights of structures and other objects may also be specified. Fair market value (FMV): An estimate of the market value of a property, based on what a knowledgeable, willing and unpressured buyer would probably pay to a knowledgeable, willing and unpressured seller in the market. Fee simple ownership: Considered full property ownership in land wherein the owner has the exclusive right to use it, exclusively possess it, commit waste upon it, dispose of it by deed or will and take its fruits. Complying with Federal, State and Local Requirements While state and local jurisdiction requirements may vary, federal government requirements for land acquisition using federal funds are stringent, subject to 49 CFR Part 24, Uniform Relo- cation Assistance and Real Property Acquisition Act, also known as the Uniform Act or URA. The URA, passed by Congress in 1970, is a federal law that establishes minimum standards for federally funded programs and projects that require the acquisition of real property or displace persons from their homes, businesses or farms. Protections and assistance afforded by the URA apply to the acquisition, rehabilitation or demolition of real estate for all federal or federally

224 Guidebook for Managing Small Airports funded projects. The primary purpose of the act is to provide fair and equal treatment to all persons subject to real property acquisition and displacement as a result thereof. The FAA guidance for land acquisition is provided in FAA Advisory Circular 150/5100-17: Land Acquisition and Relocation Assistance for Airport Improvement Program Assisted Projects. Appendix Q: Land Projects of FAA Order 5100.38 also identifies the requirements for AIP-eligible land acquisition projects. FAA Order 5100.37: Land Acquisition and Relocation Assistance for Airport Projects details the FAA’s responsibilities to monitor airport sponsor compliance. The FAA provides additional guidance for land acquisition on its web page of Acquiring Land for Airports and Relocation Assistance. Because the requirements of the URA must be met for a land acquisition project to receive an AIP grant, airport sponsors should coordinate any projects involving land acquisition with their FAA ADO. The FAA Central Region has a checklist for typical AIP land acquisition projects. When state funding for property acquisition is involved, the process may be subject to the specific requirements of state law. Airport sponsors should work closely with their local planning or zoning authorities to determine the suitability of property subject to acquisition considerations from the standpoint of legal encumbrances, environmental concerns and land-use planning or zoning considerations that may be part of local or state law requirements. The release of obligated airport property for the purposes of sale also invokes federal require- ments related to surplus property disposition, which is discussed later in this chapter. Fee Simple, Ground Lease or Easement Acquisition Considerations During the planning stages of a project that involves property acquisition, the airport manager must determine the most suitable means of acquiring the property or property rights needed. The planning should balance the cost of property acquisition, availability of funds for the acquisition, disposition of the property owners toward acquisition of their property and project needs. For most development projects, fee simple property acquisition may be the only means of obtaining the necessary real property to execute the project. For purposes of mitigating obstructions or noise or meeting airport design criteria, fee simple acquisitions generally grant the airport a higher degree of certainty ensuring that the measures undertaken will be enforceable in perpetuity. The most substantial negatives to this approach are the cost of fee simple purchase, as well as the multitude of legal requirements associated with the acquisition. Per FAA Order 5100.37, if the fee simple purchase includes improvements that will be permanently vacated, the airport owner should implement procedures to remove them as early as practicable or otherwise keep under protective surveillance. Acquisition of an easement allows the airport sponsor a degree of control over certain aspects of the property or protection from liability when fee simple acquisition of the property is not possible, necessary or financially feasible. Easements can be acquired for hazard prevention or nuisance mitigation purposes and, unless otherwise specified, generally remain with the property, regardless of ownership changes. Most avigation easements prevent property uses that may serve as a wildlife attractant, permit vegetation to grow to heights that exceed critical airspace surfaces or would otherwise be incompatible with the current or planned use of the airport. Typically, language contained in the easement agreement would specifically preclude uses such as land- fills or transfer stations intended for the storage or processing of putrescible waste, stormwater retention ponds, creation or expansion of wetlands or planting of crops that would serve as bird attractants. While legally enforceable and less expensive than fee simple acquisitions, the costs of avigation easements are more challenging to estimate because of the more arbitrary nature of the pre- and

Asset Management—Maintaining Current Assets and Planning Development for the Future 225 post-easement property value appraisals. Additionally, avigation easements provide less control over the property than fee simple acquisitions. During the process of selecting the most appropriate approach to obtaining property for project implementation, utility easements are often overlooked. Airport management must work closely with local government contacts and coordinate the process with local utility companies to identify utility easements. If conflicts with project requirements are identified during the pro- cess of discovery, the cost to resolve such conflicts should be included as part of the associated development costs. The selection of the most appropriate approach to obtaining the property for project needs will depend on a broad range of variables. It should also include extensive consultation with the funding agencies on matters of eligibility and to preclude any potential regulatory complications or delays. Environmental Due Diligence Audits The Environmental Due Diligence Audit (EDDA) program is conducted in accordance with FAA Order 1050.19: Environmental Due Diligence Audits in the Conduct of FAA Real Property Transactions, which aims to minimize potential environmental liabilities as a result of real property transactions. The purpose of the environmental audit is to uncover any poten- tial environmental conditions or history of environmental hazards prior to the property being acquired with the use of federal funding. An EDDA is always recommended but is required under the following conditions: • Purchase or sale of FAA-encumbered property • Determination by the FAA technical reviewer of sufficient risk to warrant an EDDA • Suspected contamination on-site or in proximity • Any real property transactions involving FAA facilities An EDDA scope would largely depend on the basic knowledge of the subject property, its condition and its surroundings and determines the amount of professional effort required to conduct the audit. The process is conducted in phases. Phase I of the audit may be composed of activities such as site visits, the review of records and regulatory compliance, geologic and hydrologic surveys and the preparation or review of report information. Phase II includes limited site sampling to confirm the presence or absence of suspected contamination, identified in Phase I. Following the analysis of findings, results of the audit are used to guide the FAA’s decisions regarding property acquisition or disposition options.

226 Guidebook for Managing Small Airports 5.12 Land Release/Concurrent Use Key Insights When airport property is leased or sold for nonaeronautical use, FAA approval is required, regardless of how the land was acquired. An avigation easement will be required to be maintained over property sold by the airport. Key Definitions Airport property: Any property described as part of an airport in an agreement with the United States or defined by an airport layout plan or listed in an Exhibit “A” property map is considered to be obligated property for airport purposes. Concurrent use: The use of aeronautical land for a compatible nonaeronautical purpose, frequently revenue producing, while it serves the primary purpose for which it was acquired. Fair market value (FMV): An estimate of the market value of a property, based on what a knowledgeable, willing and unpressured buyer would probably pay to a knowledgeable, willing and unpressured seller in the market. Land release: The release of airport property not needed for present or future aeronautical purposes but subject to federal obligations from the terms of the agreement with the U.S. government. It is defined as the formal, written authorization discharging and relinquishing the FAA’s right to enforce an airport’s contractual obligations. Land Release of Airport Property Any property shown on the Exhibit “A” property map or ALP, or subject to grant agreement obligations with the U.S. government, is considered an obligated property (for aeronautical use) as described in FAA Order 5190.6: Airport Compliance Manual, Chapter 22. An airport sponsor may find that a previously acquired or obligated property may no longer be needed to support aeronautical operations or development at the airport. This can happen for a variety of reasons, such as a change in the character of flying operations at the airport, changes in aircraft design (lower noise) or even changes in airport design criteria. In that event, the airport sponsor may request a portion of obligated airport property to be released from federal obligations. Land releases fall into two general categories: the release from aeronautical use or the release and disposition of obligated property. In the first case, the airport retains ownership of the land but may use the land for nonaeronautical purposes. In the second case, the property is released for sale or transfer to another entity, and the airport neither owns the land nor has any responsibility to maintain it. Per FAA Order 5190.6, Chapter 22.5, if land is to remain in use for its primary aeronautical purpose but also be used for revenue-producing, compatible nonaeronautical purposes, FAA approval for concurrent use can be requested. All requests for a release of obligated property should commence with close coordination with the appropriate FAA ADO staff. All requests must be submitted in writing by an authorized representative of the airport sponsor. There is no specific format or form to request a release, but each request, at a minimum, should include the following: • The legal description of the property and any associated facilities • Description of how the property was acquired or obtained by the airport, with supporting documentation • Description of the present property conditions and that of any associated facilities

Asset Management—Maintaining Current Assets and Planning Development for the Future 227 • Description of all obligating agreements for the subject property • Description of the type of release or agreement modification requested • Reasons for release, modification or agreement amendment request • Anticipated airport use or disposition intent for the property or facilities • Justification, facts and circumstances for the request • Description of any applicable state or local regulations that may impact the property following the release (e.g., local comprehensive plan, state airspace protection regulations) If the property release request involves property disposition, the aforementioned request should be supplemented by the following: • Description of the property’s FMV • Expected proceeds and revenues from the property disposition • Comparative analysis of relative advantages of property disposition, as opposed to retention for the purposes of generating rental income • In the event that the property will not be sold upon release and used for other airport sponsor purposes, a description of how the airport account will be reimbursed for the FMV of the property • Substantiated description of any anticipated intangible benefits to the airport from the property release, supported by information indicating the merits of the intangible benefits, as opposed to receiving an FMV for the property The FAA web page on Airport Land Acquisition: Release of Airport Property lists information that must be a part of the release request. Note that when reviewing the request, the FAA will consider only the benefits of the release to the airport, not to the airport sponsor or community. Most of all, the FAA will consider the following: • Whether the requested release is reasonable and practical • The way in which the release will affect the aeronautical facilities needed by the airport • Whether the release benefits civil aviation in general • Whether the proposed property use will be compatible with the needs of civil aviation The airport sponsor should accompany the written request with documentation supporting the case for agreement modification or property release, including maps, photographs, airport planning documents and official appraisal reports. FAA Order 5190.6, Chapter 22, “Releases from Federal Obligations,” contains additional information regarding the release process. The local FAA ADO should always serve as the initial point of contact for any airport sponsors considering a property release. As part of the land-release process, the FAA is required to publish a notification of the release of aeronautical property in the Federal Register. The FAA action to release a sponsor from fed- eral obligations as part of the land release is normally categorically excluded for environmental review, though at times it may require an EA. At the conclusion of property disposition involving the release of property, all associated airport planning documents, such as the ALP and Exhibit “A” property map must be updated to reflect the changes to airport property and facilities. Additionally, even if the airport property was acquired with only local funds, once it is a part of the airport property listed on the FAA-approved ALP, a release by the FAA is required if the property will be used for a nonaeronautical purpose. Disposition of Federal Surplus Property In the final years of World War II, the U.S. government had to contend with the upkeep and maintenance of a wide range of properties that were acquired or built to support the war effort. If an airport acquires land with only local funds and does not intend to use it for an aero- nautical purpose, it should not be included on the ALP.

228 Guidebook for Managing Small Airports As a result, the Surplus Property Act of 1944 (later amended and codified as 49 U.S.C. §47151–153, the Surplus Property Act) was enacted by Congress. It establishes the standards and rules that provided for the disposition of surplus government property and infrastructure, including airports, to state and local subdivisions. The Surplus Property Act sets conditions that govern how the federal surplus property may be released by the recipient when it is no longer needed. The conveyance of that surplus real property is subject to terms, conditions and restrictions that were prescribed in the original legal conveyance instruments. Those conditions became the sponsor’s federal obligations under the act, requiring the recipient to use conveyed property for aviation purposes in perpetuity. In addition, conveyance of any revenue-producing property federally obligates the public agency recipient to use revenue generated by the property for the operation, maintenance and develop- ment of the airport. Chapter 3 of FAA Order 5190.6 addresses federal obligations from property conveyances. When the airport sponsor or management determines that a need or a desire exists to dispose of (sell) a portion of the airport property, subject to federal surplus requirements, each process should start with contacting the appropriate FAA ADO. The ADO will direct the airport sponsor/management to an FAA compliance specialist, who will establish the extent of obligations associated with the particular property and facilitate the review and coordina- tion of any required documentation. This action and process must be initiated in writing, via a request signed by an authorized representative of the airport sponsor, and is needed for any modifying action of the original airport agreement to accept federal surplus property. A release of federal surplus property needs to address the same items as any other airport property release request; in addition it should identify the nature of the existing agreement with the federal government. Concurrent Use of Airport Property As an alternative to a full land release of airport property, the airport sponsor or management may consider requesting FAA approval for concurrent property use for aeronautical lands that are not used or needed for aeronautical purposes. Concurrent-use approval requires the land to remain designated for aeronautical purposes, but the request needs only FAA approval and not a formal release. Following are additional conditions of such an approval: • The approved use has to be compatible with airport operations and safety. • The properties and facilities must continue serving aeronautical purposes. • Any rental fees received by the airport must be based on the FMV and retained as airport revenue. Similar to the land-release process, there is no specific format for the request, but it should contain (at a minimum) the following: • Request cover letter, describing the original intent of the property acquisition (e.g., noise, safety, capacity) and how the proposed concurrent use will not interfere with the original intent • Explanation of the benefits of the proposed concurrent use • Property plat of the proposed lease, including the boundary description • Summary appraisal of the fair market rent, including appraisal of corollary benefits to the airport as a result of the concurrent use • Copy of the final FAA airspace determination of no hazard (obstruction evaluation or nonrule) • NEPA compliance documentation • Draft copy of the lease agreement

Asset Management—Maintaining Current Assets and Planning Development for the Future 229 Since the concurrent-use approval would potentially permit the airport to utilize the property for revenue-producing purposes, while retaining ownership and interest, this option should be considered as the preferred option before the airport sponsor considers seeking a formal land release from the federal government. Additionally, concurrent-use requests may require less state and local government scrutiny if they do not require changes to the legal status of the property or its land-use or zoning designation. Interim Use of Hangars Approval for interim use of aeronautical facilities for nonaeronautical purposes can also be requested from the FAA. Per the FAA’s Hangar Use Policy, issued June 15, 2016, an airport sponsor can request interim use of a hangar for nonaeronautical purposes for a period of not more than 5 years when there is no aeronautical demand for the hangar. This request needs to include an inventory of aeronautical and nonaeronautical land/uses at the airport, the vacancy rate, an established process for accepting new requests for aeronautical uses and assurance that the facilities can be returned to aeronautical use when there is demand. An airport sponsor can lease the hangar for either a longer term—typically 3 to 5 years, with FAA approval—or, with an initial FAA approval, an airport sponsor may lease the hangars for nonaeronautical use on a month-to-month basis for 30-day consecutive periods without additional FAA approval. Any nonaeronautical rental requires that a fair market commercial rental rate be charged. Aero- nautical use must receive priority over nonaeronautical use even if the rental rate would be higher for nonaeronautical use. It is usually preferable for an airport to retain the ownership of property, when feasible, because it can provide a longer-term revenue stream.

230 Guidebook for Managing Small Airports 5.13 Airport User Surveys, Benchmarking Studies and Peer Reviews Key Insights While each airport is unique, benchmarking provides a means to evaluate how an airport compares to competitive or comparable facilities. Data from benchmarking studies can be used to document facility plans. Key Definitions Airport survey: The collection of data for the analysis of some aspects of the airport or airport operations. Benchmark study: The practice of comparing key metrics for the airport and airport operations to other similar or competitive airports. Airport Survey Airport surveys and benchmarking studies are the primary source of airport operators’ infor- mation on the characteristics and demands of airport users, their demographics and their present and anticipated usage dynamics. There are two general types of surveys: those that are specific to an airport and its operations (airport survey) and those that gather data on comparable or competing airports (benchmarking studies). Surveys specific to your airport may include user, tenant and employee surveys and surveys of the community and local businesses. Such surveys are useful in the process of airport plan- ning and forecasting and often are conducted as part of a planning process to identify facility requirements. Surveys can also be used to provide supporting data to justify the need for airport development. Because of a broad range of possible airport survey types, defining the full range of airport survey contents is beyond the scope of this document. However, all airport surveys should follow the same best practices and common processes for establishing the survey design, structure, sampling and data-collection techniques. All survey characteristics and practices should be identified and detailed during the survey plan- ning process. The planning process balances the resources available (time, funds available, etc.) with the survey’s level of detail and desired response rate. The survey planning process should determine the following: • Survey purpose • Survey method (e.g., intercept surveys, mail or electronic surveys, self-completed surveys, etc.) • Frequency and timing of survey administration • Survey population • Sampling strategy and plan • Survey location and associated logistics (e.g., security clearance for survey staff, etc.) • External survey stakeholders and groups that may benefit from survey results ACRP Report 26: Guidebook for Conducting Airport User Surveys contains a broad range of information and solutions for airport survey planning, design and analysis.

Asset Management—Maintaining Current Assets and Planning Development for the Future 231 Benchmarking Studies As opposed to airport surveys, benchmarking studies measure your airport’s metrics against the same metrics at other similar or competitive airports. A state system plan can also be used to benchmark existing facilities against recommended facilities. Such studies are useful to identify your facility’s strengths or shortcomings and potential needed changes. One of the most common uses of benchmarking studies is to establish market competitive prices by comparing your airport and its services against competing airports for items such as hangar rental rates or fuel flowage fees. These benchmarking studies may also be useful to identify attractive features at your airport to help market it to potential users and establish market pricing for various revenue sources, such as hangar rentals and fuel flowage fees. Airports should examine the results of the studies to identify best practices that are in place at competing airports. The best practices portion of the study’s findings can be implemented at your facility, with a follow-up benchmarking study carried out to determine the impact of those changes. Typically, a benchmarking study seeks to provide objective data regarding the facility capacity and utilization, financial performance and user or tenant satisfaction. The study may examine a variety of metrics, such as the following: • Total based aircraft • Annual operations • Total passengers, as applicable • Cargo capacity and performance, as applicable • Revenue received from aeronautical and nonaeronautical tenants • Tenant retention • Capital and operating expenses • Number of employees and payroll • Hangars available and rental rates • Volume of fuel sold • Fuel flowage fee • Number of individuals on a hangar or T-hangar waiting list Some of the data needed for a benchmarking study may be available on the competitive air- port’s website, which can be a good place to start your discovery process. Because some compet- ing airports may not be willing to share data beyond that available on the web page, you may need to reference or contact additional data sources. State aeronautics agencies, state or local economic development organizations or the local FAA ADO may be able to address gaps in data. A comparable airport that is not in direct competition with your facility may be more willing to share metrics and could become part of the airport manager network. Sharing the study results could be an incentive to have another airport join the study process. Sometimes state or national associations have conducted studies that could provide baseline information. An internet search on your study topics could identify existing study data. When conducting a benchmarking study, you must ensure an “apples-to-apples” comparison is being made. The hardest part of benchmarking may be fully understanding the underlying dynamics of each airport being reviewed and how that would affect their information. Peer Review According to the results of the airport manager survey conducted for this guidebook update, nearly 39 percent of the respondents indicated their reliance (fully or in part) on the experience, mentorship and informational resources provided by other airport managers or peer organizations

232 Guidebook for Managing Small Airports at the state or regional level. Peer-to-peer experience sharing continues to be the most substantive means of real-world training and development for airport managers of various skill levels. This illustrates the significance a peer review has on the continuing growth and development of an airport. A peer review allows airport operators to seek guidance and advice from peers who have experienced similar circumstances or operate within similar constraints. This is typically accomplished with comparable, but not competitive, airports. A peer review can provide a more formal approach to a collaborative project and program improvement and may comprise the following: • Conference-style exchanges: A gathering of a large group of airport-manager peers for a 1- to 2-day event to discuss pressing issues in the industry. • Focused reviews: A meeting of a smaller group of peers, hosted by an organization or agency, to provide input on the host’s specific project, program or initiative. It may also be a smaller group of airports working cooperatively on similar issues, such as funding. • Performance audits: A team of peers performs an on-site evaluation of the host agency’s practices in a particular area, such as maintenance practices, airport rescue and firefighting or snow removal. • Peer advisory teams: A small team of peer experts provides candid input on the host agency’s project throughout the life of the project. • Site visits: A small team from one agency visits another agency to see operations in practice, or a team of community stakeholders embarks on a tour of multiple airports to gather more extensive information. • Focused technical assistance: One or more peers respond to an agency’s request for technical assistance, training or operations assistance by email, phone or in person. • Online forums: An individual requests informal feedback from a community of peers via an electronic mailing list, an online survey or a social media website. As is the case with the airport surveys of any type, adequate planning and preparation to conduct the peer review can substantially improve the quality of the process and its results. ACRP Synthesis 46: Conducting Airport Peer Reviews focuses on combining the results of the study’s literature review and airport manager interviews to form the following best practices for the airport’s peer review process: • Determine the goals for the peer review before doing anything else. What are you trying to learn? How will you use the information you receive? If you know your goals, then you can develop an agenda and participant list that will help you best meet those goals. • Consider the purpose of your peer review when determining how influential it will be. If you want to incorporate a new direction or idea, the peer review must take place while there is still an opportunity to make changes based on the input received. If the goal is validation or documenting lessons learned for future projects, it may make sense to hold the event later in the process. • Similarly, consider the peer review goals when selecting participants. If a decision or recom- mendation is desired, it may be challenging for a large group of people to reach a consensus. In addition, it is important to recognize the varying perspectives offered by potential attendees. It may be important to invite participants based solely on their experiences with similar projects, or it may be valuable to limit participation to representatives from airports that are similarly sized and structured. • Effectively communicate the roles and responsibilities of all peer review participants. This includes individuals who are initiating and hosting the review, serving as peer experts or assisting with planning or facilitation. • Help participants prepare for the exchange by sending background information, peer review objectives and questions in advance.

Asset Management—Maintaining Current Assets and Planning Development for the Future 233 • Consider your available budget when selecting a peer review format, but don’t let potential costs deter you. There is value to any amount of peer input. • Consider using a designated facilitator to help the peer review run smoothly and ensure that all participants have an opportunity to share their experiences with the host agency. Select a facilitator who is skilled in leading group discussions that involve competing ideas; in addition, a facilitator with subject area expertise may be better able to keep the discussions on topic. • Document the peer review discussions, findings and action items in order to support the host agency’s next steps. Any reporting must be timely: completed at the event or immediately following the event. While the summary of the aforementioned best practices can be used as a starting point to your peer review process, the synthesis contains substantial reference resources to help you extract the most benefits out of your future peer reviews.

234 Guidebook for Managing Small Airports 5.14 IT Systems Key Insights Information technology infrastructure at airports is a complex aggregation of physical and software resources that ensure delivery and sharing of information among internal (airport staff) and external (passengers, fixed-base operators, flying public) stakeholders. Because airports constitute an element of critical safety and security infrastructure, security of information technology resources is paramount. Key definitions Baggage sort system: Baggage tag readers and baggage conveyer switching or sorting equip- ment used to read baggage tags and divert bags to their intended destinations. Cyberattack: A deliberate attempt to violate the security of a digital system. A successful attack is one that achieves its goal, typically causing harm to information, systems or infrastructure or disrupting operations that rely on these resources. Cybersecurity: Means and methods that protect data and systems from unauthorized access, inappropriate modification or unintentional loss. Flight information display system (FIDS): A networked system at an airport used to display real-time flight arrival and departure information. Information technology (IT): Study or use of a system (especially computers and tele- communications) for storing, retrieving and sending information. Local area network: A computer network covering a smaller physical space, such as an airport terminal, without the need for long-distance cabling. IT System Design and Implementation Best Practices The delivery of IT resources remains a substantial challenge to managers of airports of all sizes, mainly because of the rapidly evolving nature of IT delivery systems’ various facets and the highly technical nature of IT systems in general. According to the findings of the research that formed ACRP Report 59: Information Technology Systems at Airports—A Primer, communica- tion issues related to a lack of common understanding of IT demands and common process and decision-making approaches to evaluate IT measures create fundamental challenges to effective IT implementation. For airport operators, managers and sponsors, who are accustomed to dealing with facility infrastructure elements with long service lives, IT systems—which have a substantially shorter lifespan—necessitate a different understanding and approach to evaluating need and implementing a solution. IT systems consist of utility infrastructure (such as cable and fiber-optic transmission lines), networking infrastructure that includes wired and wireless networking hardware (modems, switches, servers, etc.) and the system applications layer. IT systems provide efficiencies and data solutions to all airport management functions, including planning, development, finance and operations. Therefore, planning for IT system design and maintenance should be part of the standard airport strategic planning process, rather than a reaction to a short-term immediate need. Because of the inherent complexity of IT system design and terminology, planning IT solutions must be a stakeholder-driven process, inclusive of the airport’s decision makers as well

Asset Management—Maintaining Current Assets and Planning Development for the Future 235 as the stakeholders set to benefit from the IT solution. For example, the development of the airport’s GIS mapping solution should include the users’ feedback and needs while balancing the realistic goals of decision makers, such as funding availability. ACRP research projects have developed several useful resources on airport IT system design, alternative methods of IT delivery for small airports and airport cybersecurity. Several ACRP documents contain best practices that should be used to guide decisions about IT system structure, application solutions and planning investments in IT infrastructure. • ACRP Report 59: Information Technology Systems at Airports—A Primer • ACRP Report 128: Alternative IT Delivery Methods and Best Practices for Small Airports • ACRP Report 140: Guidebook on Best Practices for Airport Cybersecurity Scalability of IT Systems The intrinsic, scalable nature of IT solutions gives them the capabil- ity to handle increasingly higher or different workloads and be upgraded or enlarged to accommodate the workload. That scalability of IT sys- tems translates well to the airport industry, based on the level of facility demands and operational complexity. It is one of the key considerations during the definition of the IT system’s concept of operations, because it allows the airport decision makers or management to invest in IT infra- structure with the confidence that any future demands or obsolescence can be mitigated through upgrades. According to ACRP Report 128, each IT solution’s scalability can be evaluated considering these parameters: • Not scalable: No improvement or upgrade is available or possible. • Dynamically scale on demand: Features/capabilities are only added when needed. • Upgrade: System or hardware needs to be upgraded to a recently released version. • Replace: System or hardware needs to be replaced with a new or dif- ferent system or hardware with more applicable or relevant features. These parameters are applicable to solutions that cover the entire range of IT, from basic network development to complex application layers. For more detail on the scalability of IT systems to small airport environments, reference ACRP Report 128. IT System Applications and Their Layers System applications fall under the general categories of airport specialty systems, airport safety and security systems, facility management (building automation systems), and enterprise and office productivity solutions. Additionally, applications may be integrated with a larger-scale application solution of the airport sponsor (county or municipality), such as a GIS platform that is customized with airport-specific data and information. BEST PRACTICES FOR IT PROJECT IMPLEMENTATION Definition of needs and requirements: What shortfalls or needs is this IT solution intended to address? What will this solution improve? Definition of concept of operations and system or solution composition: Who will use the system? How will it be secured, physically and in cyberspace? What physical and application components will it require for implementation? Analysis of system benefits and implementation and maintenance costs: How do IT solution benefits, tangible and intangible, promote the organizational goals, plans or vision? How do the solution’s benefits compare to the costs of system procurement, implementation and maintenance? Procurement and funding: What is the cost of initial procurement and deployment? How will the purchase of system components be funded? How will the maintenance, user support and upgrades be funded? Solution deployment and administration: Who will be responsible for the deployment and installation of physical components or applications? Who will be responsible for administering the system and its application and security features? User feedback and system maintenance: How will the system performance and benefits be benchmarked and evaluated? Who will be responsible for user assistance, routine maintenance and the correction of system faults or breaches? Planning for upgrades or component replacement: What is the system life cycle, and how frequently will the components need to be upgraded, patched or replaced?

236 Guidebook for Managing Small Airports In determining the most appropriate application solutions for a specific airport need, the following methods of application implementation may be utilized: • Off-the-shelf procurement: Purchase of software that is ready-made and available for purchase by the general public. • Application development: Development of applications, or parts thereof, that are custom-made for the airport (whether with internal resources such as the airport sponsor’s IT staff, or external resources, such as a software development company). • Subscription service: Purchase of a time-limited use of applications, software suites, or parts thereof, which are maintained up to date by the developer on an ongoing basis. Use of soft- ware may become limited, or software may become inaccessible in the event of subscription expiration. • Collaborative application sharing: Use of software, or parts thereof, that is in use by the airport’s sponsor or affiliated organization, such as GIS layers or applications, HR software, accounting software and resources. • Open-source acquisition: Acquisition of software distributed without a fee or obtainable at cost. In evaluating the fit of the various methods of software implementation, airport managers should assess all benefits and risks associated with the various approaches. Appendix C in ACRP Report 128 contains a detailed description and discussion of the various methods of application implementation and the risks and benefits of each solution. Outside Expertise Because IT systems are a rapidly changing field, it may be beneficial for the airport operator to contract for outside expertise through the use of consultants. When obtaining outside services, you should follow the appropriate procurement process based on the funding source and asso- ciated regulations. You may also be able to use expertise within the airport sponsor’s governing organization (city, county, etc.) for assistance.

Asset Management—Maintaining Current Assets and Planning Development for the Future 237 5.15 ATCT Establishment Key Insights Operations at many nontowered airports can range from large corporate jets to small, single- engine aircraft, helicopters and flight training. At busy small airports, an airport traffic control tower can help separate these operations and provide an added layer of safety beyond the “see and be seen” and position reporting in effect at nontowered airports. Many of the control towers at small airports are part of the FAA’s contract tower program. Services available to pilots at airports with contract towers may vary from that of full-service, FAA-staffed control towers. Some contract towers may have basic instrumentation, such as a radar feed, but many are operated on visual flight rules. Occasionally, a temporary tower may be established at a small airport to support a special event, such as the Super Bowl. Operators of smaller aircraft may prefer to operate at nontowered airports, while some corporate operators prefer or may be required by internal policy or insurance to use a controlled airport. Key Definitions Airport traffic control tower (ATCT): A raised facility on the airfield from which controllers visually, and by radar where available, monitor air traffic and use two-way radios on a designated frequency to direct traffic. Benefit–cost ratio: A calculation, determined by the FAA, of the cost of the service provided compared to the benefit of that service. Contract tower: An airport traffic control tower facility for which the FAA will pay the cost (some or all) of nonfederal employees and, in some instances, provide some of the operating equipment installed in the tower. Instrument flight rules (IFR): A set of regulations and procedures permitting qualified and current IFR pilots to penetrate clouds and low-visibility conditions. Aircraft must be equipped with radio and navigation instruments and operate under air traffic control flight plans and clearances. Flights are monitored and traffic is separated by air traffic control. Visual flight rules (VFR): A defined set of FAA regulations covering the operation of air- craft primarily by visual reference to the horizon (for aircraft control) and see-and-avoid pro- cedures (for traffic separation). VFR weather minimums for controlled airspace require at least a 1,000-foot ceiling and 3 miles of visibility, except for “special VFR” clearances to operate “clear of clouds.” Need for an Airport Traffic Control Tower As traffic increases at a small airport, an airport manager may be asked how the airport can obtain an ATCT. The installation of an ATCT, or the cost-sharing of one through the FAA contract tower (FCT) program, is determined through a benefit–cost analysis. This analysis is used to document the justification for the establishment of an ATCT. The volume of operations is the primary factor, although the mix of traffic and location relative to busy commercial passenger hub airports are site-specific factors that can be evaluated when considering the establishment of an ATCT.

238 Guidebook for Managing Small Airports The AAAE U.S. Contract Tower Association can provide invaluable assis- tance during these processes. FAA Order JO 7210.78: FAA Contract Tower (FCT) New Start and Replacement Tower provides additional guidance on the FCT establishment process. Aircraft Operations Data Traffic counts are a key element needed to justify the establishment of an ATCT. The amount of air traffic at an airport will determine if an airport is eligible to obtain federal assistance for staffing the tower. Accurate counts are essential. The traffic counts should be taken in half-hour intervals for the period the tower is anticipated to be operational. Traffic counts can be obtained in a variety of ways, including using airport staff or hiring an individual to collect the data. Acoustic devices, cameras or highway traffic counters can be used to count traffic. When selecting a counting method, accuracy and reliability must be considered. Using an individual with aircraft knowledge or video recordings will give the highest level of accuracy. Acoustic devices and highway traffic counters will probably not give the data required, and highway traffic counters can be very unreliable, because they require the aircraft to roll across the counter. ACRP Report 129: Evaluating Methods for Counting Aircraft Operations at Nontowered Airports provides additional information on the advantages and disadvantages of the various traffic counting methods. Aircraft Mix While not considered in the benefit–cost analysis, the mix of aircraft can offset a deficiency in the total traffic count for site-specific considerations. For example, a high level of corporate jet traffic mixing with numerous propeller aircraft, such as a flight school, can be used to help justify the need for an ATCT. When obtaining the traffic counts, the type of aircraft should be noted in the documentation. Aircraft type does not need to be specific to the model but should include engine information such as single-engine piston, single-engine turbine, twin-engine piston, twin-engine turbine and jet. Accident/Incident/Incursion Records Past accidents or incidents at an airport may also help demonstrate the need for an ATCT. These records may provide additional justification by documenting the need for an increased level of safety. Items that should be addressed in these records are factors such as topography, weather, runway configuration and mix of aircraft that could be addressed with an ATCT. Benefit–Cost Ratio The data on airport operations, as described in the previous section, is used to calculate the benefit–cost ratio for an ATCT. The value of the benefits of a VFR tower and costs of a VFR tower over a 15-year time frame are compared. A location is eligible for a control tower when the benefits exceed the costs by a ratio of 1.0 or greater. An airport with a ratio lower than 1.0 may be eligible for the federal contract tower cost-sharing program on a prorated basis. Site-specific activity forecasts are used to estimate benefits from prevented collisions between aircraft, prevented accidents and reduced flying time. Costs are estimated for annual operating costs, including staffing, maintenance, equipment, supplies and leased services as well as the investment for ESTABLISHMENT CRITERIA FOR FAA ATCT According to FAR Part 170.13, the following criteria, along with general facility establishment standards, must be met before an airport can qualify for a control tower: 1. The airport, whether publicly or privately owned, must be open to and available for use by the public as defined in the Airport and Airway Improvement Act of 1982; 2. The airport must be part of the National Plan of Integrated Airport Systems; 3. The airport owners or authorities must have entered into appropriate assurances and covenants to guarantee that the airport will continue in operation for a period that is long enough to permit the amortization of the control tower investment; 4. The FAA must be furnished with appropriate land without cost for construction of the control tower; and 5. The airport must meet the benefit–cost ratio criteria specified herein,utilizing three consecutive FAA annual counts and projections of future traffic during the expected life of the tower facility. (An FAA annual count is a fiscal-year or a calendar- year activity summary. Where actual traffic counts are unavailable or not recorded, adequately documented FAA estimates of the scheduled and nonscheduled activity may be used.)

Asset Management—Maintaining Current Assets and Planning Development for the Future 239 facilities, equipment and operational startup for new towers. When pursuing a viable request for an ATCT, you must have state and local political support. Funding the Facility Being eligible for a tower is just the first step. The next step is funding the facility. Construction and maintenance of the tower, as well as the provision of all the equipment required to operate the facility (radios, weather equipment, radar, etc.), will be at the sponsor’s responsibility to procure. An airport sponsor can apply for grants for building and equipping the facility. Grants are the most cost-efficient method of financing the ATCT facility and equipment; however, the sponsor may consider loans or budget allocations. A sponsor can also pursue support from local users, particularly if there is a local (usually business) user that desires the establishment of the ATCT. In most cases, when the justification has been established, the FAA will only pay for the per- sonnel for the tower. Funding the personnel costs could be at 100 percent or on a cost-share basis for facilities with a benefit–cost ratio below the required level. At a cost-share tower, the airport sponsor must fund the remaining balance through local resources. At some small airports, active corporate users that benefit from the ATCT have been willing to contribute toward its operation. Selecting a Controller Provider for ATCTs in the Contract Tower Program When airports have been selected for inclusion into the contract tower program, the FAA will select and contract with the service provider. The FAA issues requests for proposals on a periodic basis for the provision of these ATC services. These selections are usually made on a regional basis. For a control tower being established without federal funding, controllers may be hired by the sponsor individually or through a contract with a provider. Controllers must be FAA licensed, pass physical requirements and be certified in the facility. Expanding Tower Operation Times As air traffic expands at the airport, it may be desirable to expand the operational hours of the ATCT to provide an added level of safety. In these cases, it is advantageous to hire the existing tower personnel to conduct the traffic counts for the desired extended hours. Although the ATCT personnel cannot control aircraft movements during these times, they have a high degree of knowledge and access to information, such as monitoring the common air traffic control frequency and observing radar information, if the tower is so equipped. The data collected for the purpose of expanding tower hours should include the aircraft type and tail number (N number on U.S. registered aircraft), whether the flight is IFR or VFR and the date and time of the operation. The data collection should be conducted over 3 consecutive months. Once the data has been accumulated, the next step would be to petition the FAA for increased operational hours.