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ACRP AIRPORT COOPERATIVE RESEARCH PROGRAM REPORT 49 Sponsored by the Federal Aviation Administration Collaborative Airport Capital Planning Handbook

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ACRP OVERSIGHT COMMITTEE* TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* CHAIR OFFICERS James Wilding CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Metropolitan Washington Airports Authority (re- VICE CHAIR: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson tired) EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board VICE CHAIR MEMBERS Jeff Hamiel MinneapolisSt. Paul J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Metropolitan Airports Commission Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA MEMBERS William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles James Crites Eugene A. Conti, Jr., Secretary of Transportation, North Carolina DOT, Raleigh DallasFort Worth International Airport James M. Crites, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX Richard de Neufville Paula J. Hammond, Secretary, Washington State DOT, Olympia Massachusetts Institute of Technology Kevin C. Dolliole Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Unison Consulting Susan Martinovich, Director, Nevada DOT, Carson City John K. Duval Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington Austin Commercial, LP Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA Kitty Freidheim Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Freidheim Consulting Steve Grossman Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO Jacksonville Aviation Authority Beverly A. Scott, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Tom Jensen Atlanta, GA National Safe Skies Alliance David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA Catherine M. Lang Lawrence A. Selzer, President and CEO, The Conservation Fund, Arlington, VA Federal Aviation Administration Gina Marie Lindsey Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Los Angeles World Airports Lafayette, IN Carolyn Motz Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Hagerstown Regional Airport Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis Richard Tucker Kirk T. Steudle, Director, Michigan DOT, Lansing Huntsville International Airport Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI EX OFFICIO MEMBERS C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin Paula P. Hochstetler EX OFFICIO MEMBERS Airport Consultants Council Sabrina Johnson Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT U.S. Environmental Protection Agency J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT Richard Marchi Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA Airports Council International--North America Laura McKee Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT Air Transport Association of America John T. Gray, Senior Vice President, Policy and Economics, Association of American Railroads, Henry Ogrodzinski Washington, DC National Association of State Aviation Officials John C. Horsley, Executive Director, American Association of State Highway and Transportation Melissa Sabatine Officials, Washington, DC American Association of Airport Executives Robert E. Skinner, Jr. David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT Transportation Research Board Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC SECRETARY Tara O'Toole, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Christopher W. Jenks Washington, DC Transportation Research Board Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA *Membership as of October 2010. *Membership as of March 2011.

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AIRPORT COOPERATIVE RESEARCH PROGRAM ACRP REPORT 49 Collaborative Airport Capital Planning Handbook Laurie Cullen Andrea d'Amato Nancy LaFarge HNTB CORPORATION Boston, MA Hyun-A Park SPY POND PARTNERS Arlington, MA Subscriber Categories Aviation Research sponsored by the Federal Aviation Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org

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AIRPORT COOPERATIVE RESEARCH PROGRAM ACRP REPORT 49 Airports are vital national resources. They serve a key role in trans- Project 01-10 portation of people and goods and in regional, national, and inter- ISSN 1935-9802 national commerce. They are where the nation's aviation system ISBN 978-0-309-21323-3 connects with other modes of transportation and where federal respon- Library of Congress Control Number 2011929059 sibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most 2011 National Academy of Sciences. All rights reserved. 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 Coopera- COPYRIGHT INFORMATION tive Research Program (ACRP) serves as one of the principal means by Authors herein are responsible for the authenticity of their materials and for obtaining which the airport industry can develop innovative near-term solutions written permissions from publishers or persons who own the copyright to any previously to meet demands placed on it. published or copyrighted material used herein. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the sored by the Federal Aviation Administration (FAA). The ACRP carries understanding that none of the material will be used to imply TRB or FAA endorsement out applied research on problems that are shared by airport operating of a particular product, method, or practice. It is expected that those reproducing the agencies and are not being adequately addressed by existing federal material in this document for educational and not-for-profit uses will give appropriate research programs. It is modeled after the successful National Coopera- acknowledgment of the source of any reprinted or reproduced material. For other uses of tive Highway Research Program and Transit Cooperative Research Pro- the material, request permission from CRP. gram. The ACRP undertakes research and other technical activities in a variety of airport subject areas, including design, construction, mainte- nance, operations, safety, security, policy, planning, human resources, NOTICE and administration. The ACRP provides a forum where airport opera- tors can cooperatively address common operational problems. The project that is the subject of this report was a part of the Airport Cooperative Research Program, conducted by the Transportation Research Board with the approval of the The ACRP was authorized in December 2003 as part of the Vision Governing Board of the National Research Council. 100-Century of Aviation Reauthorization Act. The primary partici- pants in the ACRP are (1) an independent governing board, the ACRP The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. Oversight Committee (AOC), appointed by the Secretary of the U.S. The report was reviewed by the technical panel and accepted for publication according to Department of Transportation with representation from airport oper- procedures established and overseen by the Transportation Research Board and approved ating agencies, other stakeholders, and relevant industry organizations by the Governing Board of the National Research Council. such as the Airports Council International-North America (ACI-NA), The opinions and conclusions expressed or implied in this report are those of the the American Association of Airport Executives (AAAE), the National researchers who performed the research and are not necessarily those of the Transportation Association of State Aviation Officials (NASAO), and the Air Transport Research Board, the National Research Council, or the program sponsors. Association (ATA) as vital links to the airport community; (2) the TRB The Transportation Research Board of the National Academies, the National Research as program manager and secretariat for the governing board; and Council, and the sponsors of the Airport Cooperative Research Program do not endorse (3) the FAA as program sponsor. In October 2005, the FAA executed a products or manufacturers. Trade or manufacturers' names appear herein solely because contract with the National Academies formally initiating the program. they are considered essential to the object of the report. The 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 orga- nizations. Each of these participants has different interests and respon- sibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited periodically but may be submitted to the TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by iden- tifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel, appointed by the TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport pro- fessionals, the intended users of the research products. The panels pre- pare 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 Published reports of the selecting research agencies has been used by TRB in managing cooper- AIRPORT COOPERATIVE RESEARCH PROGRAM ative research programs since 1962. As in other TRB activities, ACRP are available from: project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the Transportation Research Board Business Office intended end-users of the research: airport operating agencies, service 500 Fifth Street, NW providers, and suppliers. The ACRP produces a series of research Washington, DC 20001 reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work- and can be ordered through the Internet at shops, training aids, field visits, and other activities to ensure that http://www.national-academies.org/trb/bookstore results are implemented by airport-industry practitioners. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide 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 activities 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.org

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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR ACRP REPORT 49 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Michael R. Salamone, ACRP Manager Marci A. Greenberger, Senior Program Officer Tiana Barnes, Senior Program Assistant Eileen P. Delaney, Director of Publications Scott E. Hitchcock, Editor ACRP PROJECT 01-10 PANEL Field of Administration Marsha Stone, Indianapolis International Airport, Indianapolis, IN (Chair) Kenneth Gregg, Houston Airport System, Houston, TX (formerly of Continental Airlines) Royce Holden, Asheville Regional Airport, Fletcher, NC Robin D. Pearsall, Pembroke Pines, FL Mike N. Williams, County of San Bernardino (CA), San Bernardino, CA Paul L. Friedman, FAA Liaison Luis Loarte, FAA Liaison Liying Gu, Airports Council InternationalNorth America Liaison Christine Gerencher, TRB Liaison

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FOREWORD By Marci A. Greenberger Staff Officer Transportation Research Board ACRP Report 49: Collaborative Airport Capital Planning Handbook provides guidance to those in the airport community who have responsibility for, and stake in, developing, financing, managing, and overseeing an airport capital plan and the individual projects included in it. The handbook provides clear guidance on who should perform each task in the collaborative planning process. It also defines and describes the different ways in which we communicate to ensure effective exchanges between internal and external stakeholders. Airport capital improvements are dynamic and involve many elements and people. These elements pertain to the phases in which particular activities occur, be it planning, develop- ment, construction, or close out (and ultimately into operation). The individuals involved come from various departments, including planning, engineering, finance, operations, and maintenance--all with different priorities and responsibilities, not to mention external stakeholders such as the airlines, contractors, and the FAA. Misunderstandings about roles and responsibilities in a collaborative airport planning process can have a domino effect on the accuracy and efficiency of sharing information with stakeholders on the status of a capital plan and its particular projects. HNTB Corporation was retained under ACRP Project 01-10 to identify best management practices in all phases of the development, implementation, and oversight of airport capital plans and offers a col- laborative business process to facilitate constructive communication between internal and external stakeholders. The result of their efforts is ACRP Report 49: Collaborative Airport Capital Planning Handbook, which illustrates a process for communication and collabora- tion that can be adapted by any type or size of airport and can be individualized based on the number of employees and their functions and responsibilities. The handbook includes real-world examples of what airports have done in the past and how they achieved success.

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AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under ACRP Project 01-10 by HNTB Corporation (HNTB) in Boston, Massachusetts. The HNTB team included Spy Pond Partners, located in Arlington, Massachusetts. Laurie K. Cullen, A.A.E., served as the Principal Investigator and Andrea d'Amato, AICP, was the Proj- ect Manager. The other authors of this report were Nancy LaFarge, HNTB, Task Leader for Information Technology, and Hyun-A Park, Spy Pond Partners, Performance and Asset Management Advisor. The work was done under the joint supervision of Laurie Cullen and Andrea d'Amato at HNTB. The research team acknowledges the following individuals from the agencies that participated in the detailed surveys for the time and effort they dedicated to providing information, documents, and details of their own capital planning experience so that others could benefit from their experience: Francis X. Anglin, Massachusetts Port Authority (Massport), Boston, Massachusetts Teri Arnold, Metropolitan Washington Airports Authority (MWAA), Washington, DC Katie J. Choe, Massachusetts Port Authority (Massport), Boston, Massachusetts Matt M. Davis, C.M., Hartsfield-Jackson Atlanta International Airport (ATL), Atlanta, Georgia Cathy Donato, Hartsfield-Jackson Atlanta International Airport (ATL), Atlanta, Georgia Jordan Feld, Tucson Airport Authority (TAA), Tucson, Arizona Joshua P. Francosky, A.A.E., Hartsfield-Jackson Atlanta International Airport (ATL), Atlanta, Georgia Mark Freeman, City of Columbus, Columbus, Ohio Bonnie Greenberg, Broward County Aviation Department (BCAD), Fort Lauderdale, Florida Lynn Hampton, CPA, Metropolitan Washington Airports Authority (MWAA), Washington, DC Doug Hardy, Parsons Management Consultants (PMC)/Metropolitan Washington Airports Authority (MWAA), Washington, DC Theodore S. Kitchens, A.A.E., Hartsfield-Jackson Atlanta International Airport (ATL), Atlanta, Georgia David Kuhn, New Jersey Department of Transportation, Trenton, New Jersey William C. Lebegern, P.E., Metropolitan Washington Airports Authority (MWAA), Washington, DC Glenn Miyashita, Dallas/Fort Worth International Airport (DFW), Dallas/Fort Worth Airport, Texas Tina L. Moore, Tucson Airport Authority (TAA), Tucson, Arizona Pat Morin, Washington State Department of Transportation, Olympia, Washington Jane L. Morris, A.A.E., City of Phoenix (PHX) Aviation Department, Phoenix, Arizona Angela R. Newland, P.E., A.A.E., Broward County Aviation Department (BCAD), Fort Lauderdale, Florida Rob Newman, City of Columbus, Ohio Greg McClarin, Metropolitan Government of Nashville and Davidson County, Nashville, Tennessee Cindy Nichol, San Francisco International Airport (SFO), San Francisco, California Chris Poinsatte, Dallas/Fort Worth International Airport (DFW), Dallas/Fort Worth Airport, Texas William Radinson, The Port Authority of New York and New Jersey (PANYNJ), New York, New York Bruce Robertson, San Francisco International Airport (SFO), San Francisco, California Grant Rodheaver, Washington State Department of Transportation, Olympia, Washington Elyse Rosenberg, Broward County Aviation Department (BCAD), Fort Lauderdale, Florida Judy M. Ross, A.A.E., City of Phoenix (PHX) Aviation Department, Phoenix, Arizona Mark J. Schultz, P.E., Parsons Management Consultants (PMC)/Metropolitan Washington Airports Authority (MWAA), Washington, DC William C. Spaeth, Ph.D., Metropolitan Washington Airports Authority (MWAA), Washington, DC Rebekah Stephens, Metropolitan Government of Nashville and Davidson County, Nashville, Tennessee

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The research team acknowledges the following individuals who participated in the Peer Review of the CACP process during the 81st Annual AAAE Conference and Exposition in Dallas, Texas, on May 18, 2010. The research team thanks the participants for the time they dedicated to reviewing the material and participating in the workshop so that others could benefit from their knowledge, understanding and expertise in airport capital planning. Michael Cheyne, A.A.E., PMP, Director of Planning, Hartsfield-Jackson Atlanta International Airport (ATL), Atlanta, Georgia Michael Clow, A.A.E., Capital Program Administrator, Tallahassee Regional Airport, Tallahassee, Florida Jennifer K. Eckman, A.A.E., Finance and Administration Manager, Rapid City Regional Airport (RAP), Rapid City, South Dakota Scott C. McMahon, A.A.E., Senior Director of Facility Planning, Morristown Municipal Airport (MMU), Morristown, New Jersey Skip Miller, A.A.E., Executive Director, Louisville International Airport (SDF), Louisville, Kentucky LaVonne Morris, C.M., Management Assistant, City of Phoenix (PHX) Aviation Department, Phoenix, Arizona William Radinson, Assistant Director, Capital Programs, Aviation Department, The Port Authority of New York and New Jersey (PANYNJ), New York, New York Elaine Roberts, A.A.E., President and CEO, Columbus Regional Airport Authority (CMH), Columbus, Ohio Betsy Taylor, Director of Finance, Massachusetts Port Authority (Massport), Boston, Massachusetts

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CONTENTS 1 Chapter 1 Introduction 1 Overview 4 What Is the CACP Process? 4 What Are the Benefits of a CACP Process? 5 What Is the Value of Collaborative Leadership? 5 Sustaining Collaboration Is the Challenge 5 How to Use the Handbook 7 Chapter 2 Collaboration and Communication 7 Why Collaborate? 8 Methods of Communication and Collaboration 12 Measuring Collaboration 12 Institutionalizing Collaboration 13 Indicators of Successful Collaboration 13 Additional Resources 14 Chapter 3 The CACP Process 14 Context of the CACP Process 17 The CACP Process 18 CACP Process Participants 22 Chapter 4 The Foundation: Leadership 24 The Foundation 25 Agency Policy 27 Organization 29 Resources 30 Management 31 Additional Resources 32 Chapter 5 The Nuts and Bolts: Development and Implementation 32 Development Phase 34 Step 1: ACP Policy 35 Step 2: Financial Planning and Management 37 Step 3: Capital Planning and Management 39 Step 4: Programming 42 Step 5: Airport Capital Plan 43 Implementation Phase 44 Step 1: Project Planning and Definition 48 Step 2: Design 50 Step 3: Construction 52 Step 4: Project Closeout and Evaluation 54 Step 5: Operation 56 Additional Resources

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57 Chapter 6 Checks and Balances: Oversight 57 Major Elements in Oversight 59 Performance Management 61 Evaluation 62 Meeting and Reporting 64 Motivation 65 Additional Resources 66 Chapter 7 Tools and Technology 66 Research Findings 66 Technology 72 Technology Decision Making 74 Key Elements to Successful Implementation of Enterprise Software 75 Additional Resources A-1 Appendix A Bibliography B-1 Appendix B Glossary of Terms, Abbreviations and Acronyms C-1 Appendix C Model Documents D-1 Appendix D Sample Forms