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ACRP Web-Only Document 44: Understanding FAA Grant Assurance Obligations Volume 3: Research Report Barry Molar Unison Consulting, Inc. Chicago, IL James Borsari RS&H Jacksonville, FL Rose Agnew Aviation Innovation St. Paul, MN Firelli Pitters Unison Consulting, Inc. Chicago, IL Contractor's Final Report for ACRP Project 03-38 Submitted November 2017 ACKNOWLEDGMENT This work was sponsored by the Federal Aviation Administration (FAA). It was conducted through the Airport Cooperative Research Program (ACRP), which is administered by the Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine. 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. DISCLAIMER The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research. They are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The information contained in this document was taken directly from the submission of the author(s). This material has not been edited by TRB.
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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 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
ACRP Project 03-38 (FY 2015) Understanding FAA Grant Assurance Obligations Task 8 Research Report Contents i Contents Chapter 1, Introduction .................................................................................................................................... 1 Chapter 2, Research ResultsâFAA and State Block Grant Staff ................................................................. 2 Section 2.1 The Research/Interview Process ................................................................................................... 2 2.1.1 Interviews Conducted ...................................................................................................................... 2 2.1.2 Subjects Discussed ........................................................................................................................... 3 Section 2.2 Summary of Interview Results ..................................................................................................... 3 2.2.1 Frequency of Grant Assurance Questions ....................................................................................... 3 2.2.2 Level of Understanding of Grant Assurances .................................................................................. 4 2.2.3 Grant Assurances That Arise Most Often ........................................................................................ 4 2.2.4 Most Helpful Resources and References ......................................................................................... 5 2.2.5 Experience with Part 13 and Part 16 Investigations ........................................................................ 5 2.2.6 Recommendations on Guidebook Structure and Content ................................................................ 6 Chapter 3, Stakeholder Outreach ........................................................................................................................ 8 Section 3.1, The Research Process .................................................................................................................. 8 3.1.1 Airport Focus Groups....................................................................................................................... 8 3.1.2 Airport Webinar ............................................................................................................................. 10 3.1.3 Airport User Focus Group ............................................................................................................. 11 3.1.4 AAAE Member Survey .................................................................................................................. 11 Section 3.2, Discussion of Research Results, Focus Groups and Webinar ................................................... 12 3.2.1 Grant Assurances That Are Currently the Focus of Participants .................................................. 13 3.2.2 Grant Assurances That Are Well Understood or âWorking Wellâ ............................................... 15 3.2.3 Grant Assurances That Are Hard to Understand or Causing âPain Pointsâ .................................. 17 3.2.4 Grant Assurance Issues with Current Aviation/Airport Trends .................................................... 18 3.2.5 Most Helpful Resources and References ....................................................................................... 19 3.2.6 Content and Format of Guidebook ................................................................................................ 19 3.2.7 Examples of Airports Doing a Good Job ..................................................................................... 21 3.2.8 Ranking of Grant Assurance Requirements/Issues for Special Emphasis .................................... 21 Section 3.3, Discussion of Research Results, AAAE Finance and Administration Committee Survey ...... 24 3.3.1 Frequency of Discussion of Grant Assurances with Stakeholders ................................................ 25 3.3.2 Most Frequently Discussed Grant Assurances .............................................................................. 27 3.3.3 Grant Assurance Requirements/Issues That Are Hardest to Understand ...................................... 28
ACRP Project 03-38 (FY 2015) Understanding FAA Grant Assurance Obligations Task 8 Research Report Contents ii 3.3.4 Resources Used to Understand Grant Assurances ......................................................................... 29 3.3.5 Experience with FAA Investigations ............................................................................................. 29 3.3.6 Format of the Guidebook ............................................................................................................... 30 3.3.7 Content of Summary Pages for Each Assurance ........................................................................... 30 3.3.8 Most Important Grant Assurance Requirements/Issues for Special Emphasis in Guidebook ...... 31 3.3.9 Conclusions .................................................................................................................................... 32 Chapter 4, Review of FAA Documents and Other Resources ....................................................................... 33 Section 4.1 Review of Individual Determinations, Agency Opinion Documents and Court Decisions ...... 33 Section 4.2, Review of FAA Resource Documents ...................................................................................... 34 Section 4.3, Review of Other ACRP Publications ........................................................................................ 35 Section 4.4, Review of Other Publications .................................................................................................... 36 Chapter 5, Recommendations for Further Research ...................................................................................... 37 Figures Figure R-1, Frequency of Grant Assurance Discussion with Air Carriers .................................................... 25 Figure R-2, Frequency of Discussion of Grant Assurances with Other Commercial Aeronautical Tenants ........................................................................................... 26 Figure R-3, Frequency of Discussion of Grant Assurances .......................................................................... 26 with Non-Commercial Aeronautical Tenants Figure R-4, Frequency of Discussion of Grant Assurances with Governing Bodies, Local Officials, etc. ................................................................................................................ 27 Figure R-5, Most Useful Format for Guidebook ........................................................................................... 30
ACRP Project 03-38 (FY 2015) Understanding FAA Grant Assurance Obligations Task 8 Research Report Contents iii Tables Table R1, Summary of NAC Participants ....................................................................................................... 9 Table R-2, Summary of ACI-NA Legal Steering Group Participants ............................................................ 9 Table R-3, Summary of ACI-NA Finance Committee Participants.............................................................. 10 Table R 4, Summary of Individual NATA Member Focus Group Participants ........................................... 11 Table 5, Summary of AAAE Survey Participants ......................................................................................... 12 Table R-6, Summary of Airport Focus Group of Grant Assurance Rankings ................................................ 22 Table R-7, ACI-NA Small Airport Webinar Ranking of Grant Assurance Requirements ........................... 23 Table R-8, Most Frequently Discussed Grant Assurances ............................................................................ 28 Table R-9, Hard to Understand Grant Assurance Requirements/Issues ....................................................... 29 Table R-10, Summary of Important Items to Include in Grant Assurance "Cover Pages" ........................... 31 Table R-11, Most Important Grant Assurance Requirements/Issues for Special Emphasis in the Guidebook ................................................................................................................................................... 32
