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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Executive Summary for the Guidebook on Understanding FAA Grant Assurance Obligations. Washington, DC: The National Academies Press. doi: 10.17226/25123.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Executive Summary for the Guidebook on Understanding FAA Grant Assurance Obligations. Washington, DC: The National Academies Press. doi: 10.17226/25123.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Executive Summary for the Guidebook on Understanding FAA Grant Assurance Obligations. Washington, DC: The National Academies Press. doi: 10.17226/25123.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Executive Summary for the Guidebook on Understanding FAA Grant Assurance Obligations. Washington, DC: The National Academies Press. doi: 10.17226/25123.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Executive Summary for the Guidebook on Understanding FAA Grant Assurance Obligations. Washington, DC: The National Academies Press. doi: 10.17226/25123.
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A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP RESEARCH REPORT 184 2018 Research sponsored by the Federal Aviation Administration Subscriber Categories Administration and Management • Aviation • Policy Executive Summary for the Guidebook on Understanding FAA Grant Assurance Obligations Barry Molar Unison ConsUlting, inC. Chicago, IL

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in trans- portation of people and goods and in regional, national, and interna- tional commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal responsibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Cooperative Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near-term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- sored by the Federal Aviation Administration (FAA). ACRP carries out applied research on problems that are shared by airport operating agen- cies and not being adequately addressed by existing federal research programs. ACRP is modeled after the successful National Cooperative Highway Research Program (NCHRP) and Transit Cooperative Research Program (TCRP). ACRP undertakes research and other technical activi- ties in various airport subject areas, including design, construction, legal, maintenance, operations, safety, policy, planning, human resources, and administration. ACRP provides a forum where airport operators can cooperatively address common operational problems. ACRP was authorized in December 2003 as part of the Vision 100— Century of Aviation Reauthorization Act. The primary participants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport operating agencies, other stakeholders, and relevant industry organizations such as the Airports Council International-North America (ACI-NA), the American Associa- tion of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consultants Council (ACC) as vital links to the airport community; (2) TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academy of Sciences formally initiating the program. ACRP benefits from the cooperation and participation of airport professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research organi- zations. Each of these participants has different interests and responsibili- ties, and each is an integral part of this cooperative research effort. Research problem statements for ACRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by identifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel appointed by TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport professionals, the intended users of the research products. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing coop- erative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended users of the research: airport operating agencies, service pro- viders, and academic institutions. ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties; industry associations may arrange for workshops, training aids, field visits, webinars, and other activities to ensure that results are implemented by airport industry practitioners. ACRP RESEARCH REPORT 184 Project 03-38 ISSN 2572-3731 (Print) ISSN 2572-374X (Online) ISBN 978-0-309-44686-0 Library of Congress Control Number 2018937214 © 2018 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Airport Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published research reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR ACRP RESEARCH REPORT 184 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Michael R. Salamone, Manager, Airport Cooperative Research Program Lawrence D. Goldstein, Senior Program Officer Anthony Avery, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Ann E. Petty, Senior Editor ACRP PROJECT 03-38 PANEL Field of Policy and Planning Stephanie A. Ward, Mead & Hunt, Inc., Lansing, MI (Chair) Carol Aldrich, Michigan DOT, Lansing, MI Tim Conway, Montana DOT, Helena, MT Sheri Ernico, Leigh Fisher, Belmont, CA Richard Lanman, Auburn-Lewiston Airport (KLEW), Auburn, ME Thomas P. Thatcher, L. R. Kimball, Stockton, NJ Kathleen A. Yodice, Law Offices of Yodice Associates, Potomac, MD Deandra Brooks, FAA Liaison Sharon Glasgow, FAA Liaison Tom Devine, Industry Liaison Christine Gerencher, TRB Liaison AUTHOR ACKNOWLEDGMENTS The participation of the following organizations in the research for this project through focus groups, webinars, interviews, surveys, and technical review of draft materials is gratefully acknowledged: Federal Aviation Administration • Airport Compliance Division • Airports Financial Assistance Division • Eastern Region Airports Division • Northwest Mountain Region Airports Division • Southern Region Airports Division • Western Pacific Region Airports Division • Atlanta Airport District Office • Harrisburg Airport District Office • Los Angeles Airport District Office

State Block Grant Programs • Michigan Department of Transportation, Office of Aeronautics • Pennsylvania Department of Transportation, Bureau of Aviation • Texas Department of Transportation, Aviation Division • Wisconsin Department of Transportation, Bureau of Aeronautics Airports, Airport Associations, and Airport Advisors • AAAE Finance and Administration Committee • AAAE National Airport Conference • ACI-NA Finance Committee • ACI-NA Legal Steering Committee • ACI-NA Small Airport Committee • Baltimore/Washington International Thurgood Marshall Airport • Brunswick Golden Isles Airport/McKinnon St. Simons Island Airport • Castle Airport • Charlottesville Albemarle Airport • Cincinnati/Northern Kentucky International Airport • Coastal Carolina Regional Airport • Columbus (Georgia) Airport • Columbus (Ohio) Regional Airport Authority • Dallas/Fort Worth International Airport Authority • Denver International Airport • Des Moines International Airport • Detroit Metropolitan Wayne County Airport • Eastern Iowa Airport • Eugene Airport • General Mitchell International Airport • Kalamazoo/Battle Creek International Airport • Kansas City International Airport/Charles B. Wheeler Downtown Airport • Lincoln Airport Authority • Los Angeles World Airports • Metropolitan Nashville Airport Authority • Metropolitan Washington Airports Authority • Myrtle Beach International Airport/Conway-Henry County Airport • Pensacola International Airport • Philadelphia International Airport • Pittsfield Municipal Airport • Port of Oakland • Port of Portland • Portsmouth International Airport • Reno–Tahoe Airport Authority • Rock Springs–Sweetwater County Airport • Santa Barbara Airport • San Francisco International Airport • Sarasota Bradenton International Airport • Spokane International Airport • Tampa International Airport • Tucson International Airport/Ryan Airfield • Wichita Eisenhower National Airport • HNTB • Leiner Aviation, LLC • Spiegel and McDiarmid, LLC • Weir & Partners

Airport Users, Tenants, User Associations, and User Advisors • Aircraft Owners and Pilots Association • National Air Transportation Association • National Business Aircraft Association • Aerolease/Aeroplex Group • AIRSURE • Charlie Bravo Aviation • Francis Aviations • Jet Aviation • Landmark Aviation • McClellan Jet Services • Napa Jet Center • Priester Aviation • Signature Flight Support • Sonoma Jet Center • Universal Weather • Aviation Management Consulting Group • Conklin & de Decker Associates • Zuckert, Scoutt Rasenberger

By Lawrence D.Goldstein Staff Officer Transportation Research Board More than 3,000 airports in the United States have, at one time or another, received an Airport Improvement Program (AIP) grant from FAA for airport planning or development; many of these airports receive grants on a yearly basis. Each AIP grant currently issued by FAA comes with 39 numbered grant assurances, which outline the requirements for project implementation and management. To support this program, a series of products has been published to help airport managers, planners, and operators understand and meet AIP requirements. ACRP Research Report 184 is the executive summary of the Guidebook on Understanding FAA Grant Assurance Obligations (published as ACRP Web-Only Document 44, Volume 1) and explains each of the 39 grant assurances. This summary includes a matrix that outlines major aspects of the program such as duration and applicability, and it provides a list of related assurances. The matrix is included in ACRP Web-Only Document 44, Volume 1, where it includes links to specific sections of the Guidebook that discuss each grant assurance in more detail. The detailed discussions, which include lists of required practices, prohibited practices, permitted practices, and exceptions, are available in additional volumes of ACRP Web-Only Document 44. FAA’s Airport Improvement Program (AIP) provides grants to public agencies and, in some cases, to private owners and entities for the planning and development of public- use airports that are included in the National Plan of Integrated Airport Systems. Eligible projects include improvements that enhance airport safety, capacity, and security, as well as projects that diminish environmental problems and concerns. In general, airport sponsors can use AIP funds on most airfield capital improvements or repairs and, in some specific situations, for terminals, hangars, and non-aviation development. Professional services that are necessary for eligible projects—such as planning, surveying, and design —are also eli- gible. Aviation demand at the airport must justify the projects, which must also meet federal environmental and procurement requirements. It is critical that airport sponsors that accept an AIP grant also accept the conditions and obligations associated with these grants. These conditions and obligations are known as “grant assurance obligations” (https://www.faa.gov/airports/aip/grant_assurances/). Grant assurance obligations include specific requirements to operate and maintain the airport in a safe and serviceable condition, to provide access on reasonable terms and charge reasonable fees, to not grant exclusive rights, to mitigate hazards to airspace, and to use airport revenue properly. Given the competitiveness of the AIP and the complexity of the implementation requirements, airport leaders and other stakeholders have often had difficulty understand- ing the breadth and depth of the associated grant assurance obligations. F O R E W O R D

To meet this demand for detailed explanations of grant assurances, ACRP Web-Only Document 44: Understanding FAA Grant Assurance Obligations reviews recommended prac- tices and common questions and, where available, presents examples of airport actions considered in violation or compliance with the grant assurance requirements. Its technical appendices include lists of resource and reference materials for each grant assurance and an extended list of examples of actions considered to violate or comply with the grant assur- ances in a question and answer format. Volume 1 of ACRP Web-Only Document 44 is the actual Guidebook, which includes this executive summary. Volume 1 describes all requirements and the applicability of each of the requirements as well as the consequences of noncompliance. Volume 2 contains the techni- cal appendices, supplemental information for airport staff and others to enhance under- standing of each of the grant assurances. Volume 3 is the research report, discussing the research efforts involved in preparation of the Guidebook. Volume 4 is a model Microsoft® PowerPoint presentation for sharing content with airport managers, planners, and opera- tors. Interested parties can tailor this presentation to meet the specific needs of airport staff for briefing materials. Staff can use these materials for training new airport employees, as well as to prepare briefing materials for airport governing bodies, local officials, and other stakeholders. Airport managers can also use the materials to confirm that airport actions and policies comply with federal requirements. Failure to understand and carry out the requirements of these grant assurances can have serious consequences for an airport. A violation that is not corrected through voluntary action can lead to a loss of funding for an individual project, the loss of eligibility to receive future grants, or even civil enforcement action. It is, therefore, important for airport man- agement and staff, the officials of an airport’s governing body, and other local officials whose actions could affect an airport’s compliance status to have at least a basic understanding of the grant assurance requirements. This Guidebook and supporting materials are designed to help airport managers and operators make sure that they remain in full compliance of all aspects of the AIP. ACRP Web-Only Document 44 is available on the TRB website (www. trb.org) by searching for “ACRP Web-Only Document 44.”

1 Section 1 What Is the Guidebook About? 2 Section 2 Why Was the Guidebook Written? 3 Section 3 Who Should Understand and Use the Guidebook? 3 3.1 Airport Management and Staff 3 3.2 Airport Users and Tenants 3 3.3 Airport Governing Bodies 4 3.4 Local Communities Neighboring the Airport 4 3.5 Other Stakeholders 5 Section 4 How Was the Guidebook Developed? 5 4.1 The Research Process 6 4.2 Research Results: Stakeholder Outreach 6 4.3 Understanding Grant Assurance Requirements: Scope of the Problem 10 Section 5 How Is the Guidebook Organized? 12 Section 6 How Are the Grant Assurances Summarized? 25 Section 7 Consequences of Noncompliance C O N T E N T S

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TRB's Airport Cooperative Research Program (ACRP) Research Report 184: Executive Summary for the Guidebook on Understanding FAA Grant Assurance Obligations is the executive summary of the Guidebook on Understanding FAA Grant Assurance Obligations (published as ACRP Web-Only Document 44, Volume 1) and explains each of the 39 grant assurances. This summary includes a matrix that outlines major aspects of the program such as duration and applicability, and it provides a list of related assurances. The matrix is included in ACRP Web-Only Document 44, Volume 1, where it includes links to specific sections of the Guidebook that discuss each grant assurance in more detail. The detailed discussions, which include lists of required practices, prohibited practices, permitted practices, and exceptions, are available in additional volumes of ACRP Web-Only Document 44:

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