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6Following the FAAâs issuance of an ROA for a noise compatibility program or Record of Decision (ROD) for an environmental impact statement (EIS), there is generally a period of time before the implementation of the approved SIP begins. During this time, management structures are determined, details of the program are fleshed out, and funding is sought and obtained. Program development is the bridge between the ROA or ROD and the actual imple- mentation of the approved SIP. 2.1 Qualification and Formulation An NCP, prepared in compliance with 14 CFR Part 150 (Part 150), contains measures the airport operator proposes to implement in order to reduce noncompatible land uses and pre- vent the introduction of new noncompatible land uses within the area covered by the airport operatorâs NEMs. Compatibility of land use is attained when flight operations from the airport do not interfere with existing or planned use of adjacent property. In most cases, interference on adjacent land is due to aircraft noise and vibration exposure in noise-sensitive areas.1 Whether noise interferes with a particular land use depends on the level of noise exposure and the types of activities involved. Residential neighborhoods; educational, health, and religious structures and sites; outdoor recreational sites; and cultural and historic sites may be noise-sensitive areas.2 Land use mitigation measures designed to reduce existing noncompatible land uses are referred to as remedial measures. The most commonly used remedial measures are land acquisition and relocation of occupants, sound insulation, easement acquisition, and purchase assurance/sales assurance/transaction assistance. The ROA contains the FAAâs approval or disapproval of each recommended measure in the NCP. An EIS, prepared in compliance with the National Environmental Policy Act of 1969, as amended (NEPA), requires the FAA to consider the environmental effects of proposed federal actions at public-use airports as well as their reasonable alternatives.3 These environmental effects include noise and compatible land use. The potential effects are evaluated and mitigated in a manner similar to Part 150 studies. The ROD summarizes all environmental impacts the EIS discusses and the mitigation measures required. The airport sponsor is generally respon- sible for carrying out most mitigation measures, including implementation of a sound insula- tion program. C H A P T E R 2 Program Development 1 U.S. DOT, FAA, Order 5190.6B, FAA Airport Compliance Manual, September 30, 2009, Â§20.2(e), pp. 20â25. 2 Ibid. Appendix Z, pp. 323â324. 3 U.S. DOT, FAA, FAA Order 5050.4B, National Environmental Policy Act (NEPA) Implementing Instructions for Airport Projects, April 2006, Chapter 1.
Program Development 7 For aviation noise analysis, the FAA has determined that the cumulative noise energy exposure of individuals to noise resulting from aviation activities must be established in terms of DNL, the FAAâs primary metric. The FAA recognizes the community noise equivalent level (CNEL) as an alternative metric for California.4 2.1.1 Project Eligibility for Funding Assistance Under the Airport Improvement Program The AIP is a federal grant-in-aid program that represents a major source of funding for airport development and planning. Established with the passage of the Airport and Airway Improvement Act of 1982, the Office of the Law Revision Counsel re-codified the AIP in 1994 as Chapter 471 of Title 49 of the United States Code.5 The AIP has been amended several times to address annual authorizations and other program changes. AIP funds originate from the Airport and Airway Trust Fund, which draws support from user fees, fuel taxes, and other similar revenue sources.6 To be eligible for funding assistance under the AIP, noise mitigation projects must be: 1. Approved by the FAA in a Part 150 Noise Compatibility Program ROA,7 2. Included as a commitment by the FAA in an environmental ROD for an airport capacity enhancement project, even if the airport has not met the requirements of 14 CFR Part 150,8 or 3. Qualified under Title 49 USC, Section 47504, Subsection (c)(2)(D) to soundproof a building in the noise impact area surrounding the airport that is used primarily for educational or medical purposes and that the Secretary of Transportation decides is adversely affected by airport noise.9 In most situations, a noise-sensitive land use is considered adversely affected if it is exposed to an annualized cumulative aircraft noise level of DNL 65 dB or higher. Once the eligibility for funding assistance of the sound insulation program is determined, additional eligibility conditions exist for the individual structures that are potentially eligible for inclusion. The interior noise level of the structure must be determined to be greater than DNL 45 dB with the windows closed.10 Sponsors interested in funding implementation of noise mitigation projects through the AIP should refer to the FAAâs website (http://www.faa.gov/airports/aip/) for specific instructions. This website contains a wealth of information regarding the AIP. Under the âGuidance and Policyâ section of this website there is a link to the AIP Handbook (FAA Order 5100.38C) as well as to PGLs. There is also a section that contains regional supplemental guidance. In addi- tion, there are links to all the AIP-related forms, including the application for federal assistance and quarterly performance report. 2.1.2 Project Eligibility for Funding Assistance Under the Passenger Facility Charge Program Funding eligibility under the PFC program differs from AIP eligibility. As with the AIP, to be eligible for PFC funding, a noise mitigation project must be a noise-sensitive use located in an area 4 U.S. DOT, FAA, FAA Order 1050.1E, Change 1, Policies and Procedures for Considering Environmental Impacts, March 20, 2006, Appendix A Â§14.1a, p. A-60. 5 U.S. DOT, FAA, Central Region Airports Division, AIP Sponsor Guide, October 1, 2010, Â§100, pp. 100â101. 6 U.S. DOT, FAA, Central Region Airports Division, AIP Sponsor Guide, October 1, 2010, Â§100, pp. 100â101. 7 Title 49 USC Â§47504 (c)(1). 8 Title 49 USC Â§47504 (c)(2)(E). 9 Title 49 USC Â§47504 (c)(2)(D). 10 U.S. DOT, FAA, Program Guidance Letter 12-09, August 17, 2012, Attachment 1, Â§812 (b)(1), p. 1-1.
8 Guidelines for Airport Sound Insulation Programs adversely affected by noise, and the proposed mitigation must be eligible for approval as a noise compatibility measure under Part 150 if it were so submitted. However, PFC-funded projects do not have to be submitted to the FAA in a Part 150 study and do not have to receive Part 150 approval. This means that an airport does not have to have a 14 CFR Part 150 ROA in order to conduct sound insulation projects using PFC funds.11 Where a project is not in an approved Part 150 study, the FAA requires a sponsor to provide documentation demonstrating that the project will accomplish a noise mitigation purpose that would be eligible for approval under Part 150. The eligibility of the proposed noise project must be supported by noise contours that could be prepared in conjunction with a Part 150 study, environmental document, or other suitable planning analysis.12 Sponsors interested in funding implementation of noise mitigation projects through PFCs should refer to the most current version of FAA Order 5500.1, Passenger Facility Charge, for specific instructions. It is available on the FAAâs website (http://www.faa.gov/airports/resources/ publications/orders/media/PFC_55001.pdf). 2.1.3 Project Sponsorship Requirements The FAA typically refers to recipients of AIP grants as âsponsors.â A sponsorâs eligibility to receive funds under the AIP program varies per the type of airport and the type of project activity.13 Sponsors must be legally, financially, and otherwise able to carry out the assurances and obligations contained in the project application and grant agreement.14 Eligible sponsors include units of local government having jurisdiction over the project loca- tion, airport sponsors, and special-purpose units of local government (e.g., school and hospital districts).15 The different types of sponsors eligible to receive funds are described in the following. A. Public Agencies Owning Airports Public agencies owning public-use airports are eligible to receive grants for sound insulation. A public agency means a state, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, the government of the Northern Mariana Islands, or Guam, or any agency of them, a municipality or other political subdivision, a tax-supported organization, or an Indian tribe or pueblo.16 B. Certain Public Agencies Not Owning Airports Public agencies not owning public-use airports are eligible to receive grants for sound insula- tion where such projects are for educational or medical buildings within the noise impact area of a public airport or are included within the airportâs Part 150 program as approved by the FAA.17 C. Certain Private Airport Owners/Operators Private airport owner/operators are eligible to receive grants for sound insulation. A private airport owner/operator may be an individual, partnership, corporation, or so on that owns a public-use airport used or intended to be used for public purposes, that is a reliever airport or an airport that has at least 2,500 passenger boardings each year, and that receives scheduled pas- senger aircraft service.18 11 U.S. DOT, FAA, PGL 12-09, August 17, 2012, Â§10, p. 3. 12 U.S. DOT, FAA, FAA Order 5100.38C, Airport Improvement Program Handbook, June 28, 2005, Â§706 (c), p. 125. 13 U.S. DOT, FAA, FAA Order 5100.38C, Airport Improvement Program Handbook, June 28, 2005, Â§200 (a), p. 21. 14 U.S. DOT, FAA, FAA Order 5100.38C, Airport Improvement Program Handbook, June 28, 2005, Â§201 (a), p. 21. 15 See note 10. Attachment 1, Â§812 (b)(3), p. 1-3. 16 See note 12. Â§206, p. 23. 17 See note 12. Â§207 (b)(3), p. 23. 18 See note 12. Â§208, pp. 23â24.
Program Development 9 D. Co-Sponsors Any two or more units of local government may co-sponsor a noise compatibility project, provided that such units of local government jointly or severally are eligible sponsors. An airport sponsor may be a co-sponsor on such a project. The FAA encourages co-sponsorship, particu- larly where it would contribute to more effective compatible land use commitments on the part of the unit of local government having jurisdiction over land use.19 2.1.4 Items to Consider Prior to Program Start-Up A. Types and Number of Structures Potentially eligible structures include buildings used for the following purposes: residential, edu- cational, medical, religious, and other noncompatible uses identified in the sponsorâs NCP and approved by the FAA as a project in the NCP. In addition, sound insulation treatments may be provided to buildings near an airport without an approved NCP if the buildings are used for edu- cational or medical purposes and they are demonstrated to be adversely affected by airport noise.20 Unless extenuating circumstances dictate, sound insulation should normally not be considered for noise-sensitive structures (e.g., residences, schools, hospitals, places of worship) within a yearly DNL 75 dB or greater noise contour since these uses are never compatible in these noise contours.21 Identifying the type and number of structures that are potentially eligible for participation is a critical task that should be addressed at the earliest opportunity. This task may have been addressed during the Part 150 noise compatibility study (Part 150 study)22 or the environmen- tal impact study,23 among others. The definition of the type of land use and determination of potential eligibility are critical components of moving forward with sound insulation programs. For example, the definition of a âsingle-family homeâ varies across the country. Programs have had difficulty when the definition was not explicit in the NCP description of eligible residences. A duplex or townhouse is defined in many real estate transactions as a single-family attached home, while in other cases it is defined as part of a multifamily residential structure. When the NCP has simply recommended sound insulation for âsingle-family homesâ without defining what is to be considered as one, the FAA has been known to consider these to be multifamily structures and deem them ineligible until an updated NCP is produced that adds additional structure types to the program. Date of Construction. In order to be potentially eligible for participation, structures must have been built on or before October 1, 1998. Exceptions include situations where the sponsor can demonstrate to the FAA that: 1. No published noise contours existed at that time,24 2. The structure was outside the published noise contours that existed at the time of its construction,25 or 3. The structure constitutes minor development on a vacant lot within an existing residential neighborhood.26 19 See note 12. Â§803, p. 132. 20 See note 7. Â§47504 (c)(2)(D). 21 See note 10. Attachment 1, Â§812 (c)(3), Table 3, p. 1-9. 22 U.S. DOT, FAA, 14 CFR Part 150, Amendment 150-4, Airport Noise Compatibility Planning; Final Rule, September 24, 2004, Â§A150.101. 23 See note 4. Â§14.4i, p. A-63. 24 See note 10. Attachment 1, Â§812 (c)(1), Table 1, p. 1-4. 25 Federal Register, FR Volume 63, Number 64, p. 16414. 26 Federal Register, FR Volume 63, Number 64, p. 16414.
10 Guidelines for Airport Sound Insulation Programs GIS Mapping and Property Inventory. Geographic information system (GIS) technology provides a means for managing and using data that have been spatially referenced. Generally, the spatial referencing system used in GIS technology is modeled on the earthâs surface. GIS technology can be useful for assessing the relationship between aircraft-generated noise levels and land uses, noise-sensitive receptors, and demographics in the airport environs. It is a useful tool for developing base mapping and delineating program boundaries, current land use, juris- dictions, population, housing, noise-sensitive sites, historic buildings/sites, and airport-related easements. With a properly configured GIS database, the results of the analysis will be consistent and repeatable. There are many commercial GIS software packages with various levels of com- plexity available. As such, sponsors can create and manage GIS mapping with in-house staff or outsource to a GIS consultant. There are a variety of sources for GIS data. Sources for the land use and noise-sensitive recep- tor data include organizations such as the local planning department of municipalities, regional planning councils, and statewide GIS data clearinghouses. It is important to obtain data with the highest resolution and accuracy available in order to identify noise-sensitive receptors such as residential neighborhoods; educational, health, religious, cultural, and historic structures and sites; and outdoor recreational sites. Generally, this means using data at the local municipality level. These data are usually more up to date and detailed than data from regional- or state-level sources. Parcel-level data may be available from the local property appraiserâs office in which the land use code is included. Parcel-level data represent very high-resolution data and are often updated at least once a year. Population and household information can be estimated at the parcel level, provided that the local municipalities maintain current estimates of people per household and a housing unit count for multifamily parcels. The analytical results of the GIS can be presented both graphically and in tabular form. The most prominent and well-known presentation format for GIS data is as a map graphic, as shown in Figure 2.1. Using this method, the results of GIS analysis can be used to develop the base map of the program area, phases, completed houses, and so on. This method allows results to be visu- alized along with base map features (roads, rivers, lakes, etc.) as location references. Alternately, the results of the GIS analysis can be presented in tables (population, number of houses, etc.). This presentation allows for a more detailed evaluation of the results. The two methods may be combined to provide both map and table presentations of the results. Since programs are potentially using data gathered and maintained by others, it is a best prac- tices recommendation to drive, street by street, through the area within the contour and conduct a windshield survey to confirm the data. This is especially important if the Part 150 structure data were generated from aerial photography or other technology that is not as accurate as a municipal GIS database. Residential Facilities. All residential land uses and related structures in areas where DNL values are 65 dB or greater are generally considered noncompatible.27 Residential facilities poten- tially eligible for sound insulation generally include single-family and multifamily residences.28 Sponsors must consult with their FAA point of contact regarding the potential eligibility of other types of residential structures, such as rooming and boarding houses, fraternity and sorority houses, residence halls and dormitories, retirement homes, orphanages, convents, monasteries, rectories, hotels and motels, convalescent and nursing homes, nursesâ residences, sleeping quarters of fire stations, correctional institutions, other types of membership lodging, group quarters, reli- gious quarters, and transient lodging. The sponsorâs point of contact within the FAA organization 27 See note 22. Â§A150.101. 28 See note 10. Attachment 1, Â§812 (c)(3), Table 3, p. 1-9.
Program Development 11 is typically the FAA program manager or environmental specialist at an ADO or regional office. Contact information is available at http://www.faa.gov/about/office_org/headquarters_offices/ arp/regional_offices/. In addition to residential use, the construction of residential properties may affect eligibility. Standard wood-frame and masonry veneer construction methods are all normal to sound insu- lation programs. Industry terms for methods beyond traditional construction can be confusing and require differentiation. Houses that are partially or wholly constructed offsite have two major classifications: manufactured homes or modular homes. Manufactured homes (formerly known as mobile homes or trailers) are defined by and constructed according to a code admin- istered by the U.S. Department of Housing and Urban Development (HUD). The HUD code, unlike conventional building codes, requires manufactured homes to be constructed on a per- manent chassis.29 Sound insulation is not a viable option for manufactured homes since their design and construction do not lend themselves to effective noise reduction 30 and since they are, by design, mobile dwellings, enabling them to be relocated outside of the noise contour area. The walls of a manufactured home would require extensive rebuilding to provide the minimum sound attenuation expected of walls in traditionally constructed homes. Graphic courtesy of Florida Keys Marathon Airport and URS Corporation. (Note: color coding can be seen on the PDF available at www.TRB.org.) Figure 2.1. Example of noise contours superimposed over GIS land use base map. 29 âHUD-Manufactured Housing and Standards: General Program Information,â United States Department of Housing and Urban Development, accessed November, 2011, http://portal.hud.gov/hudportal/HUD?src=/program_offices/housing/ ramh/mhs/faq. 30 See note 10. Attachment 1, Â§812 (c)(3), Table 3, p. 1-10.
12 Guidelines for Airport Sound Insulation Programs Modular homes in the United States are constructed according to the International Building Code (IBC), International Residential Code (IRC), or the code that has been adopted by the local jurisdiction for site-built homes, even though many of the components are manufactured in a factory. All modular homes are designed to permanently sit on a perimeter foundation or basement. Some modular homes include brick or stone exteriors, granite counters, and steeply pitched roofs. Other types of systems-built houses include panelized wall systems, log homes, structural insulated panels, and insulating concrete forms.31 Sound insulation can be a viable option for modular and other types of systems-built homes. Detailed assessment of the structure by design and acoustical professionals will determine the feasibility of providing sound insula- tion treatments. Nonresidential Facilities. Buildings in the noise impact area surrounding the airport that are used primarily for educational or medical purposes, and that the Secretary of Transportation decides are adversely affected by airport noise, are qualified under Title 49 USC, Section 47504, Subsection (c)(2)(D).32 Places of worship are also potentially eligible.33 Types of potentially eligible medical facilities generally include hospitals and nursing homes. Sponsors must consult with their FAA point of contact regarding the potential eligibility of other types of medical facilities such as clinics, outpatient surgery centers, rehabilitation centers, and convalescent homes. Types of potentially eligible educational facilities generally include primary schools, sec- ondary schools, junior colleges, colleges, and universities. Sponsors must consult with their FAA point of contact regarding the potential eligibility of other types of educational facilities such as day care centers, nursery schools, and professional, vocational, trade, business, barber, beauty, art, music, dancing, driving, and other special training schools. Eligible projects only include noise insulation of the parts of a school that are used for educational instruction. For schools, sound insulation is limited to classrooms and libraries. Facilities within the structure used for incidental instruction such as gymnasiums, cafeterias, and hallways are not eligible.34 Sponsors should consult with their FAA point of contact regarding the potential eligibility of other facilities within the structure for which sound insulation may be justified because of the interference of aircraft noise on speech (e.g., auditoriums, performance spaces). Types of potentially eligible places of worship generally include churches, synagogues, mosques, temples, kingdom halls, meetinghouses, and chapels. Sponsors must consult with their FAA point of contact regarding which facilities within the structure are eligible (e.g., main worship space, rooms used for religious education, rooms used for child care). Certain other nonresidential facilities may be eligible for sound insulation. These non- residential facilities must be identified as noncompatible, be recommended for sound insulation by the airport sponsor in its NCP, and be approved by the FAA. Such proposals should be evalu- ated carefully, and the determination to noise insulate these structures will be made by the FAA on a case-by-case basis. Sponsors should consult with their FAA point of contact regarding the potential eligibility of other types of nonresidential facilities such as auditoriums, concert halls, libraries, and museums. Some programs have had to define policies around the issue of ownership for public-use buildings. Because storefront (or leased commercial property) places of worship, schools, and day care facilities are transitory noise-sensitive uses, they normally are not eligible for sound 31 See note 29. 32 See note 10. Attachment 1, Â§812 (b)(1)(C), p. 1-2. 33 See note 10. Attachment 1, Â§812 (b)(1), p. 1-1. 34 See note 10. Attachment 1, Â§812 (c)(3), Table 3, p. 1-9.
Program Development 13 insulation. âStorefrontâ refers to a store or a similar commercial structure not typically used for religious, educational, or child care activities that is used for those purposes on a leasehold basis. Noncommercial ownership of institutional properties comes in various forms. Some proper- ties are owned in the name of the institution as governed by a board, some are held by a single person such as a pastor or bishop, and some may be owned by a national entity that sponsors the institution. Airport sponsors need to be prepared to accommodate these issues when properties are invited to participate in SIPs. Communication on issues that affect participation, contracts, and signing of legal documents will be more complex than when working with homeowners. Obtaining institutional bylaws, signatory authorizations, legal titles, and other verifications will be needed to ensure that the program is dealing with the appropriately authorized representative who can render decisions. B. Avigation Easements Sponsors are encouraged to obtain a noise easement in return for the sound insulation pro- vided by the project, but it is not an AIP requirement.35 Easements are a legal agreement between a grantor (the owner of the property over which the easement right is granted) and a grantee (the holder of the easement rights, usually the airport owner or sponsor).36 A grant under the AIP may not include a requirement that a property owner provide an ease- ment (or other property interest) to the airport sponsor in exchange for sound insulation. FAA policy, however, encourages sponsors to work out such voluntary arrangements locally, exclu- sive of FAA grant stipulations. However, if the sponsorâs approved Part 150 NCP states that an easement will be obtained from the property owner in exchange for sound insulation, then all participating property owners would be required to convey an easement because the approved mitigation offer includes the easement. This is an issue airports are advised to consider thor- oughly within the context of their communities. In purchase assurance programs, a sponsor may acquire residential property, install sound insulation, and offer the property for resale with an avigation easement. Also, purchase of an easement may be proposed where sound insulation is not feasible for the particular structure. One example is a structure that needs significant code upgrades in order to qualify for the federally funded sound insulation package, and the homeowners are unable to bring the structure up to code. Another example is a structure that does not qualify for sound insulation because its interior noise level is already below DNL 45 dB. Reasons It Is Recommended. The FAA encourages that an avigation easement accompany sound insulation to provide notice that the airport has mitigated the noise impact by sound attenuation improvements made to the property. Conveyed easement rights run with the land and apply to any subsequent owners of the encumbered property.37 An easement not only addresses existing incompatible land use concerns, it helps establish the propertyâs compatibility should the property be sold in the future. An avigation easement ensures that potential buyers are provided with an appropriate disclosure statement that describes air- port noise exposure on the property.38 During the settlement process for transfer of property 35 See note 10. Attachment 1, Â§812 (b)(4), p. 1-3. 36 âAvigation Easements,â Wisconsin Department of Transportation, Wisconsin Bureau of Aeronautics, January 2011, http:// www.dot.wisconsin.gov/library/publications/topic/air/avigation-easements.pdf. 37 U.S. DOT, FAA, AC 150/5100-17, Change 6, Land Acquisition and Relocation Assistance for Airport Improvement Pro- gram (AIP) Assisted Projects, November 7, 2005, Â§2-15 (b), p. 23. 38 See note 12. Â§811 (b), p. 139.
14 Guidelines for Airport Sound Insulation Programs ownership, subsequent owners of property with a noise easement should be provided actual notice of the noise impact resulting from airport and aircraft operations. An easement conveys a defined property interest for a specific purpose. The primary purpose of a noise easement is to establish the property as a compatible land use under the airportâs noise compatibility program or project mitigation and help protect the airport against litigation seek- ing relief from or compensation for airport and aircraft noise.39 However, it may also limit the ownerâs use of the easement-encumbered property (height restrictions, lighting, etc.) as well as permit right of flight over the encumbered property. An avigation easement that conveys to the airport the right of overflight and associated noise makes the encumbered property compatible with airport operations. Typical Language. An avigation easement is a property right acquired from a landowner for the use of airspace above a specified height. Avigation easements grant the right of flight, including the right to cause noise and dust inherent in aircraft flight; the right to restrict or prohibit lights, electromagnetic signals, and bird attractants; the right to unobstructed airspace; and the right of entry upon the land to exercise those rights.40 The typical language provided in the following text illustrates the concepts of what avigation easements should cover. Sponsors should consult with their legal counsel to determine the exact language appropriate for their circumstances and jurisdictions. Avigation easement typical language: GRANTORS do hereby grant, bargain, sell, and convey unto the GRANTEE a perpetual avigation easement and right-of-way for the free and unobstructed flight and passage of aircraft (âaircraftâ being defined for the purpose of this instrument as any contrivance now known or hereafter invented, used, or designed for navigation of, or flight in or through, the air) by whomsoever owned or operated, in and through the airspace above, over, and across the surface of the hereinafter described real property, together with the right to cause in said airspace such noise, vibration, odors, vapors, particulates, smoke, dust, or other effects as may be inherent in the operation of aircraft for navigation of or flight or passage in and through said airspace, and for the use of said airspace by aircraft for approaching, landing upon, taking off from, maneuvering about, or operating on the airport. This release is limited to such claims that may arise out of the normal operation of aircraft, and shall not be operative for claims by GRANTORS or those claiming under GRANTORS for any physical or personal injury caused by aircraft crashing into or otherwise coming into direct physical contact with the property or persons located thereon. Additional provisions regarding lighting may include language such as: GRANTORS shall not hereafter use, cause or permit to be used, or suffer use of the property in such a manner as to create electrical, electronic, or other interference with radio, radar, microwave, or other similar means of communications between the airport and aircraft, or to make it difficult for the opera- tors of aircraft to distinguish between airport and regularly installed air navigation lights and visual aids and other lights, or so as to result in glare in the eyes of operators of aircraft, or to impair visibility in the vicinity of said airport, or to otherwise endanger the approaching, landing upon, taking off from, maneuvering about, or operating of aircraft on, above, and about said airport. Additional provisions regarding height restrictions may include language such as: GRANTORS shall not plant or construct, cause or permit to be planted, grow or construct, or suf- fer to remain upon the property over which said avigation servitude is situated any bush, shrub, tree, post, fence, building structure, or other obstruction of any kind or nature whatsoever that now extends or that may at any time in the future extend in the airspace above the property to an elevation as pre- scribed in 49 CFR Part 77, Objects Affecting Navigable Airspace, Subpart C, Obstruction Standards, Sub paragraph 77.25, Civil Airport Imaginary Surfaces, as currently in effect and as the same may from time to time be amended, modified, or replaced. In the event that the GRANTORS permit or suffer to 39 See note 12. Â§811 (c), p. 139 and (e), p. 140. 40 See note 36.
Program Development 15 remain upon the aforesaid property over which said avigation servitude is situated any obstruction as defined above, the GRANTEE shall have the right, as its sole option after giving the 5 days prior notice to the GRANTORS, to remove any such obstruction or to mark and light any such obstruction, and to use any and all means necessary to effectuate said right. The GRANTORS hereby grant to the GRANTEE a perpetual servitude for ingress to and egress from the property for the purpose of inspecting and/ or measuring to determine the existence of any such obstruction and for the purpose of exercising its above-stated right to remove any such obstruction or to mark and light any such obstruction. There are many sample avigation easements available. Several samples can be found in Appendix B. Verifying Property Ownership and Title Status. A title report should be prepared by a quali- fied title agency. The scope of work should include searching records, identifying the apparent current property owner, and setting forth requirements to clear discovered title defects prior to execution of sound insulation program participation documents. The title report may be based on a limited search of the records rather than a complete examination of title. The title package should include the title report, map, or plat showing the property; a tax sheet showing the tax status, site address, and mailing address for owner; name and address of all mortgage lien holders; and copies of documents that may require action to clear. Sponsors should consult with their legal counsel to determine the extent of title investigation appropriate for their circumstances and jurisdictions. Obtaining Consent from Lien holder(s). Based upon the information obtained from the title report, it may be necessary to contact any mortgage company or other lien holder to obtain their written consent to subordinate their lien to the avigation easement. Since the process of obtaining consent from lien holders can be a lengthy and sometimes impossible task, sponsors should consult with their legal counsel to determine the benefits of obtaining consent from lien holders versus the risks of proceeding without obtaining consent from lien holders. An example of typical language for mortgage lien holders is: We, the holders of outstanding mortgage(s) on the above property, agree and consent to the granting of this avigation easement and right of flight, and agree and consent that our mortgage shall be subject to and subordinate to the avigation easement and right of flight, and the recording of this avigation easement and right of flight shall have preference and precedence and shall be superior and prior in lien to said mortgage irrespective of the date of the making or recording of said instrument. We, the holders of outstanding mortgage(s) on the above property, further agree that in the event of the foreclosure of said mortgage, or other sale of said property described in said mortgage under judicial or non-judicial proceedings, the same shall be sold subject to said avigation easement. Recording the Avigation Easement. Once fully executed consent documents have been received from all lien holders and the avigation easement has been fully executed by the prop- erty owners and the program sponsor, these documents should be recorded with the clerk of the court in the jurisdiction where the property is located. Once the document has been properly recorded, it will show up in a title search of the property. For homeowner comfort, many pro- grams do not finalize the easement filing until a predefined milestone has been reached in the construction process. Community Concerns. Most property owners are not as familiar with avigation easements as with utility easements, conservation easements, and right-of-way easements. As a result, property owners often express apprehension when presented with the avigation easement. They are often reluctant to sign the avigation easement, fearing they are surrendering their rights or yielding to the airportâs sovereignty. Some common concerns include future airport expansion plans, the potential increase in the number of aircraft operations, and use of bigger or louder airplanes. A common misconception is that the avigation easement eliminates any
16 Guidelines for Airport Sound Insulation Programs recourse if an object falls from an aircraft or an aircraft crashes and injures someone or causes property damage. See Chapter 3 for discussion of managing communication with property owners to deal with such concerns. 2.1.5 Noise Level Requirements With the issuance of PGL 12-09, the FAA has placed emphasis on the two-step requirement for qualifying structures for AIP-funded sound insulation of being in the DNL 65 dB contour and experiencing a minimum of 45-dB interior noise based on an average of all of the habitable rooms.41 If the program sponsor is intending to seek AIP funding reimbursement for all treated properties in its noise contour, communication of the possibility that properties may not be eli- gible if they do not meet both criteria is an important qualifier for the community to understand. From PGL 12-09: Early communication with all residents that are in the DNL 65 dB contour is important. The sponsor must explain the two-step requirements to residents that are currently in the DNL 65 dB contour. Further, it is important for the residents to understand that if noise contours change, a neighborhood that was previously identified as potentially noise impacted may no longer be impacted. The sponsor must also explain how the program will be phased. The sponsor must let residents know that final deter- minations of which residences will be noise insulated will only be made after sampling and testing has been completed. Clearly explaining the noise insulation program process to residents will help prevent unrealistic expectations of residents who may later be found to be outside of the noise impact areas or whose homes already provide sufficient sound insulation.42 Programs will need to determine what their response is going to be for properties that will not be eligible for AIP funding. A. Noise Contour Noise compatibility projects usually are located in areas where aircraft noise exposure is sig- nificant, as measured by a DNL of 65 dB or greater. This is the level of cumulative aircraft noise exposure below which residential and most other land uses are considered compatible under federal land use compatibility guidelines in 14 CFR Part 150, Appendix A, Table 1. However, a different standard may be used for 14 CFR Part 150 purposes if the standard has previously been formally adopted by the local jurisdiction that has land use planning authority and is adopted by the airport sponsor. Where a lower local noise standard is adopted outside of the 14 CFR Part 150 process, 49 USC 47141 requires that the land use compatibility plan be developed cooperatively by the airport sponsor and the local jurisdiction. The NEM must depict the locally adopted standard rather than the guidelines contained in 14 CFR Part 150, Appendix A, Table 1. The NEM and NCP must identify the area as noncompatible and recommend mitigation mea- sures, and the measures proposed for mitigation in that area must meet Part 150 approval criteria.43 B. Interior Noise Level The purpose of sound insulation is to reduce the impact of airport noise on occupants inside a building. This is accomplished by achieving a noise level reduction (NLR) of exterior to interior noise. The NLR is the difference between the noise measured outside the structure and inside each major and habitable room of the structure.44 41 See note 10. Attachment 1, Â§812 (c)(1), Table 1, p. 1-3. 42 See note 11. Â§7, pp. 2â3. 43 U.S. DOT, FAA, PGL 05-04, June 3, 2005, Â§05-4.1. 44 U.S. DOT, FAA, Report No. DOT/FAA/PP-92-5, Guidelines for the Sound Insulation of Residences Exposed to Aircraft Operations, October 1992, Â§3.3.1, p. 3-13.
Program Development 17 The exterior levels are taken from mapped DNL contours that show DNL in 5-dB increments. In determining the required noise reduction, the higher end of the noise zone range is always used.45 The PGL does not directly refer to this methodology except by association with the 1992 guidelines. Program sponsors and consultants should seek advice from their local ADO to confirm noise contour increments to use in calculating interior exposure. The target noise level for an interior habitable space is DNL 45 dB. Since it takes an improve- ment of at least 5 dB in NLR to be perceptible to the average person, any sound insulation project should be designed to improve the interior noise environment by at least that amount.46 The typical residential building exterior envelope already provides approximately 20-dB noise reduction with windows and doors closed, assuming mechanical ventilation and closed windows year round.47 Therefore, many residences within the DNL 65 dB contour may already have acceptable interior noise levels and not be eligible for sound insulation if the average of the interior noise levels in habitable rooms is less than 45 dB. At lower DNL noise contour levels, the dwelling may already provide this interior DNL 45 dB goal. Per PGL 12-09, if existing construction or the location of the structure within the noise contour results in an average of interior noise levels of less than DNL 45 dB in all habitable rooms, then the structure is not eligible for sound insulation, even though it may be located within the DNL 65 dB noise contour.48 To be eligible for AIP-funded sound insulation, the interior noise level prior to sound attenuating modifications must be greater than 45 dB, and the sound insulation project must provide at least a 5-dB benefit as well as reducing interior noise levels to no greater than DNL 45 dB. Questions have been asked regarding the averaging method, since interior noise levels in a majority of rooms could be greater than DNL 45 dB but a very low interior noise level in one or more of the other rooms could result in an overall average below DNL 45 dB for the structure, thereby making it ineligible for treatment. Program sponsors and consultants should seek advice from their local ADO if this condition exists in their program. Neighborhood Equity. What happens when a residence is in the DNL 65 dB contour but is not experiencing interior noise levels of DNL 45 dB or greater? The success of a noise compatibility program in a neighborhood relies on the support of the community. This community support may be lost if there is a sense that some residences are being denied sound insulation. When a few residences that do not meet the interior noise level require- ments are scattered among residences that do meet the interior noise level criteria, there will be confusion among the homeowners as to why one home is being insulated and another is not.49 To ensure community support, it may be reasonable to include provisions for neighborhood equity in a sound insulation project. In these cases, the sponsor develops two sets of sound insu- lation packages. The standard sound insulation package will be prepared for residences that meet the interior noise criteria. A second package (also known as a neighborhood equity package) will be prepared consisting of other improvements such as caulking, weather stripping, installation of storm doors, or ventilation packages for residences that are not experiencing interior noise levels of DNL 45 dB or greater.50 45 U.S. DOT, FAA, Report No. DOT/FAA/PP-92-5, Guidelines for the Sound Insulation of Residences Exposed to Aircraft Operations, October 1992, Â§3.4.1, p. 3-18. 46 See note 10. Attachment 1, Â§812 (c)(1), Table 1, p. 1-5. 47 See note 22. Â§A150.101, Table 1, Note (1). 48 See note 10. Attachment 1, Â§812 (c)(1), Table 1, p. 1-4. 49 See note 10. Attachment 1, Â§812 (d), Table 4, p. 1-11. 50 See note 10. Attachment 1, Â§812 (d), Table 4, p. 1-11.
18 Guidelines for Airport Sound Insulation Programs The number of houses proposed to receive neighborhood equity packages must be less than 10% of the total number of houses included in a particular phase of the sound insulation pro- gram. Regardless of the percentage, no more than 20 residences in a particular phase can be pro- posed for neighborhood equity packages. If there are more than 10% or 20 residences proposed for neighborhood equity packages within a particular phase, the costs of this work must not be funded with AIP, PFC, or airport revenues. In extremely rare cases, the FAA at the APP-1 level may determine that the program will benefit by providing neighborhood equity packages to more than the 10% or 20-residence limit.51 If a sponsor proposes the use of secondary packages for neighborhood equity, the sponsor must provide a list to its FAA point of contact that outlines the number of residences that are proposed for sound insulation in the particular phase, identifying the residences that meet the interior noise level criteria and those that do not. The sponsorâs report must also provide detailed information about the proposed neighborhood equity package, including cost of the secondary package compared to the cost of a standard sound insulation package.52 The FAA must approve the sponsorâs neighborhood equity package prior to its implementation. Use of the standard sound insulation package (the one that is designed for residences expe- riencing interior noise levels of DNL 45 dB or greater) as the neighborhood equity package is not allowed.53 2.1.6 Best Practice Recommendations: Qualification and Formulation 1. Accurately and specifically identify the type and number of potentially eligible struc- tures prior to launching an SIP. Drive, street by street, through the area within the contour and conduct a windshield survey to confirm the data. 2. Consult with the programâs FAA point of contact (typically the FAA program man- ager or environmental specialist at an ADO or regional office) to verify the specific types of residential and nonresidential structures that are eligible for participation in the SIP. 3. Be prepared to accommodate unique ownership structures for institutional prop- erties invited to participate in SIPs. Issues that affect participation, contracts, and signing of legal documents will be more complex than when working with home- owners. Obtaining institutional bylaws, signatory authorizations, legal titles, and other verifications will be needed to ensure that the program is dealing with the appropriately authorized representative who can render decisions. 4. Consider establishing a program policy requiring property owners to provide an avigation easement (or other property interest) in return for sound insulation, even though the FAA does not require it. 5. Consult with legal counsel to determine the avigation easement language that is appropriate for the programâs particular circumstances and jurisdiction(s). 51 See note 10. Attachment 1, Â§812 (d), Table 4, p. 1-12. 52 See note 10. Attachment 1, Â§812 (d), Table 4, p. 1-12. 53 See note 10. Attachment 1, Â§812 (d), Table 4, p. 1-12.
Program Development 19 2.2 Program Boundaries Traditionally, potential eligibility for participation in an FAA-funded sound insulation pro- gram has been based on a noise-sensitive structureâs location within the DNL 65 dB or greater noise contour or within the FAA-approved program boundary. The decision regarding the extent to which a program boundary can be extended beyond the DNL 65 dB contour for block round- ing is an important one that is best resolved during the Part 150 process. This will maximize the opportunity for public input. The program boundary may be expanded beyond the DNL 65 dB contour to include a reasonable additional number of otherwise ineligible parcels contiguous to the project area if necessary to achieve equity in the neighborhood.54 No definitive guidance is available to absolutely define a program boundary in every case. Rather, it is expected that pro- fessional judgment will be used to ensure that the number of additional houses is reasonable, not excessive. It should be based on identifiable geographic or neighborhood boundaries that are determined on a case-by-case basis for each programâs circumstances. An example is pro- vided in Figure 2.2, which shows the boundary being extended to include entire blocks where the noise contour touches at least one residence on the block, and to the residences across the street from those blocks (so that residences facing each other are included, and the boundary is at the rear property line). 2.2.1 Neighborhood Boundary Justification To ensure equity among homes in the neighborhood affected by the noise mitigation pro- gram, the program boundary may be expanded beyond the DNL 65 dB contour line to a logical neighborhood boundary such as the end of a block of houses that may be divided by the contour line, to a highway fronting the neighborhood, or to a stream, open space, or other natural fea- ture defining the immediate pre-project neighborhood limits. Neighborhood or street boundary lines may also help determine what is reasonable, in addition to numbers of properties.55 Where necessary and feasible, the program may include a reasonable number of such houses located outside the eligible contour line but identified as part of the neighborhood being soundproofed. The FAA ADO or regional office must concur with the proposed boundaries. 6. Consult with legal counsel to determine the extent of title investigation appropri- ate prior to execution of SIP participation documents, such as the participation agreement and avigation easement. 7. Consult with legal counsel to determine the benefits of obtaining consent from lien holders versus the risks of proceeding without obtaining consent from lien holders, with regard to execution of avigation easements. 8. Consult with the programâs FAA point of contact to verify the eligibility of structures and specific rooms or facilities within those structures. 9. Consult with the programâs FAA point of contact to obtain approval for proposed neighborhood equity packages and the residences that will be eligible to receive the neighborhood equity package versus the standard noise insulation package. 54 See note 12. Â§810 (b), p. 137. 55 See note 12. Â§810 (b), p. 137.
20 Guidelines for Airport Sound Insulation Programs If the sponsor chooses not to use block rounding, it should inform its FAA point of contact of the method being used to determine the edges of the program. From PGL 12-09: In determining the reasonable end point for noise insulation projects, the ADO must ensure that the end point is a logical breakpoint (e.g., neighborhood boundary, significant arterial surface street, high- way, river, other physical or natural barrier or feature) or whether the end point extends unreasonably beyond a natural break. In these cases, the sponsor must provide the ADO the proposed end point information. The spon- sor must provide the ADO with a list of the specific residences (by address) that will be included in the program. These residences must be noted as âIncluded due to block rounding.â The ADO must review and either approve or disapprove including the residences in the noise insula- tion program. Note: The airport sponsor may elect not to employ the âblock roundingâ concept. In such a case it is recommended that the ADO notify APP-1 of the sponsorâs decision not to block round. Once a residence is approved for block rounding, its interior noise levels will determine whether the residence qualifies for noise insulation or whether the residence is considered under the neighborhood equity provisions. 56 2.2.2 Part 150 Updates and Changing Contours ASNA and Part 150 require airport operators to update their NEMs whenever there is a change in DNL of 1.5 dB or greater over noise-sensitive land uses.57 This requirement to update NEMs applies to decreases58 as well as increases.59 If aircraft operations experience significant reduc- tions or the fleet mix changes to substantially quieter aircraft, NEM updates may be needed to reflect size reductions of the airportâs noise contours. This, in turn, can have ramifications for the NCP and the funding eligibility of previously approved NCP measures. FAA funding decisions are based on accurate noise exposure maps. Graphic courtesy of Key West International Airport and URS Corporation. Figure 2.2. Example of block rounding to establish program boundary. 56 U.S. DOT, FAA, PGL 12-09 Attachment 1, Â§812 (d), Table 4, p. 1-11. 57 Title 49 USC Â§47503 (b). 58 See note 22. Â§150.21 (d)(2). 59 See note 22. Â§150.21 (d)(1).
Program Development 21 Absent information to the contrary, NEMs on file with the FAA for less than 5 years may be presumed to be current, and project eligibility may be determined using either the existing or forecast conditions. However, if there is information indicating that the NEMs on file with the FAA do not reflect recent significant changes that have occurred at the airport that would affect the noise contours, the sponsor must submit updated NEMs. Likewise, for NEMs older than 5 years, the sponsor must submit updated NEMs unless it can certify that the existing or forecast-year NEMs on file reflect current conditions at the airport.60 A revision of an airportâs NCP may be required at the time NEMs are updated. Part 150 states that NCPs should include a provision for revising the program if made necessary by revision of the NEMs.61 Consequently, if the NEMs are revised and the new maps reveal that land uses previ- ously designated noncompatible are now compatible or vice versa, then NCP elements based on the previous NEMs may no longer be applicable or new elements may be needed. In this case, previously approved NCP measures that are affected by changes in the noise contour need to be updated in order to remain eligible for funding. The FAA will consider whether ongoing mitiga- tion measures that are near completion will remain eligible for purposes of neighborhood equity. 2.2.3 Best Practice Recommendations: Program Boundaries 1. If possible, identify the program boundary during the Part 150 noise compatibility study in order to maximize the opportunity for public input and secure the FAAâs concurrence. 2. Consult with the programâs FAA point of contact to verify the eligibility of structures with regard to (a) the applicability of block rounding, and (b) what constitutes âa reasonable additional number of otherwise ineligible parcels contiguous to the proj- ect areaâ as they apply to the SIP. 3. Consult with the programâs FAA point of contact regarding the timing for updating NEMs and necessity of updating the NCP. 4. Inform the community that contours are subject to change, eligibility is not guar- anteed, and houses within current contours may not be eligible for treatment if the contours shrink or change shape. 2.3 Phasing Phasing refers to prioritizing structures for participation in a sound insulation program as well as predetermining the number of structures that will participate at a given time. Prioritiza- tion can be based on a number of factors, such as level of noise exposure, geographic location, anticipated funding level, scheduled airport construction, and desired program pace. Keep in mind that it is much more efficient to modify structures that are grouped together geographi- cally. Figure 2.3 illustrates a phasing plan based on geographic proximity. 2.3.1 Prioritizing Participants Identifying the priority for participation is a critical task that should be addressed at the earliest opportunity. Ideally, this task would have been addressed during the Part 150 process in 60 U.S. DOT, FAA, PGL 05-04, June 3, 2005, Â§05-4.3. 61 See note 22. Â§150.23 (e)(9).
22 Guidelines for Airport Sound Insulation Programs order to maximize the opportunity for public input. The FAA encourages mitigation of struc- tures based on highest noise level exposure, which provides a defensible logic for justifying to the community the sequence and schedule for treating types and groups of eligible structures. Even within the concept of prioritizing according to noise exposure, there are further param- eters that may be appropriate. Programs with numerous properties with the same exposure need to decide which of schools, single-family homes, multifamily housing, and so forth are treated first. Best practices suggest that criteria for further refining prioritization may need to be applied. Programs around the country have used factors such as: â¢ Treating schools before homes, â¢ Treating homes before churches, Graphic courtesy of Laredo International Airport and URS Corporation. Figure 2.3. Example of phasing plan based on level of noise exposure and geographic location.
Program Development 23 â¢ Treating single-family homes before multifamily homes, â¢ Treating owner-occupied homes before tenant-occupied homes, â¢ Length of ownership (i.e., long-standing owners before newer owners) and â¢ Hardship situations (e.g., medical, financial). 2.3.2 Conducting a Pilot Phase Some programs conduct a pilot phase, which generally involves fewer structures but often attempts to include a representative sample of the various construction types found throughout the program area. The pilot phase is, in effect, a complete version of the sound insulation pro- gram from start to finish, but on a much smaller scale. This enables sponsors to develop and test their policies and procedures before applying them to the rest of the program. Additionally, data from the pilot phase can be used to develop realistic cost estimates for the rest of the program. Sponsors should note that the pilot phase will most likely be more costly (on a per-unit basis) than the long-range implementation program for a variety of reasons, including that quantity discounts will be available for obtaining doors, windows, and so forth in a larger program. The number of structures chosen for the pilot phase varies depending on several factors, including budgetary constraints and the variety of structure styles in the program area.62 A manageable pilot phase might include 20 to 25 homes and one public building, while following phases could each include 50 or more homes and several public buildings. 62 See note 44. Â§4.1, p. 4-1. 2.3.3 Best Practice Recommendations: Phasing 1. Consult with the programâs FAA point of contact regarding criteria that may be applied to sequence participation in the SIP. 2. Consult with the programâs FAA point of contact regarding the need to conduct a pilot phase for the SIP. 2.4 Pre-Implementation Tasks During the transition period following the FAAâs issuance of the ROA for the Part 150 NCP or the ROD for an EIS and the time the actual implementation of the program can begin, there are several issues the sponsor must address and decisions it must make. These are described in the following. 2.4.1 Select Management Strategy A wide variety of management strategies exist to implement an airport sound insulation pro- gram. The sponsorâs desired level of day-to-day involvement, control, and responsibility will determine which strategy will best meet its needs. Administration of a sound insulation program generally requires the following expertise: â¢ Program management. â¢ Data, GIS, and document management. â¢ Property owner liaison and community outreach services. â¢ Contracts, real estate, and contract legal counsel.
24 Guidelines for Airport Sound Insulation Programs â¢ Architectural design. â¢ Mechanical heating, ventilation, and air conditioning engineering. â¢ Electrical engineering. â¢ Structural engineering. â¢ Hazardous materials testing and remediation. â¢ Acoustical engineering. â¢ Construction management. Three general management strategies are described in the following, with varying levels of involvement by the sponsoring agency. Greater detail is given to construction contracting and management strategies in Chapter 10. A. Sponsor Direct Management While managing the SIP with in-house resources provides the most direct control for the sponsor, it also requires the most sponsor involvement in terms of staff and infrastructure (e.g., office space, equipment, supplies). Personnel requirements may be significantly different than represented by existing staff. This is not unusual since the required functions of an SIP are typi- cally different from those the sponsoring agency normally handles.63 It will most likely involve hiring new staff or transferring them from other departments or programs. If the sponsoring agency is a government organization, it is unlikely that it will want to take on the architectural and engineering (A/E) design responsibilities along with the associated liability that comes with stamping plans and specifications. Stamping can only be performed by an appropriately licensed design professional. Therefore, these functions will probably be outsourced to professional consultants and coordinated by the in-house program staff. These professional consultants could be selected independently, based on their specific individual qual- ifications, or, more commonly, could be organized as a design team, led by a registered design professional (i.e., architect or engineer). A design professional makes three representations when stamping program design and con- struction documents. First, a design professionalâs stamp confirms that the document was per- sonally prepared by, or prepared under the direct supervision of, a specific individual, and that that individual has accepted responsibility for the information contained in the stamped docu- ment. Second, a design professionalâs stamp affirms that that individual possesses the training, experience, and skills necessary to perform the scope of work encompassed in the document. By stamping a document, the design professional affirmatively represents that the scope of work is within his or her scope of competence. Finally, a design professionalâs stamp represents that the document conforms to the standards and requirements of the laws and regulations governing the practice of the applicable design profession. At a minimum, this means that the document satisfies professional standards necessary to protect the publicâs safety, health, and welfare. The sponsor may choose to outsource other responsibilities in addition to the A/E tasks. For example, it could select an independent construction manager to provide construction admin- istration, oversight, and on-site inspection services, based on its specific qualifications. With or without additional construction personnel, the professional architects and engineers of the design team will retain functions during construction for inspections, submittal review, and determining if the work meets the standard set by the construction documents. The most efficient in-house option is implemented by establishing a dedicated program office where the staff assigned to the program are co-located. However, in some cases, it may 63 See note 44. Â§4.1, pp. 4-1 and 4-3.
Program Development 25 be necessary to use staff from across multiple departments and projects, and it may not be feasible to co-locate them in a dedicated program office. This may introduce inefficiencies and complications in coordinating the effort. For small programs or programs with limited or sporadic funding, however, this may be justified and workable. If this option is chosen, it will be important to carefully outline the respective areas of responsibility of each team member and to develop efficient day-to-day lines of communication. B. Project Manager Strategy With this management strategy, the sponsoring agency retains a project management (PM) entity to provide services for all aspects of the program except actual construction. While the PM entity contracts with and manages all of the design and service firms needed to deliver the scope of work, the sponsor retains the responsibility to contract construction. This strategy affords maximum flexibility in staffing and better responses to changing program direction and pace. This is because the PM entity is typically able to expand and contract project personnel easier than the sponsor. In addition, this strategy insulates the sponsoring agency from responsibility for many of the house-specific decisions that continually must be made. On the other hand, this option removes most of the day-to-day control from the sponsoring agency, which then acts primarily in an oversight capacity.64 With sponsor direct management or with the project manager strategy, designâbidâbuild is a suitable project delivery method in which the sponsor contracts with separate entities for the design and construction of a project. The sponsor retains a consultant team to design and pro- duce bid documents (plans and specifications) that various general contractors will bid on and use to construct the project. One of the benefits of this option is that the sponsorâs consultant is an expert resource who will interface with the contractor to ensure that product and installation quality expectations are met. C. Turnkey Strategy The turnkey strategy places all elements necessary for delivery of a sound insulation program under a single entity, typically referred to as the program manager. The turnkey strategy differs from the project manager strategy in that under the turnkey strategy the program manager selects the construction delivery approach and either is the general contractor or contracts directly with the general contractor(s). Chapter 10 describes the various construction delivery approaches. Under the turnkey strategy, a sponsor has a single entity with accountability, namely the program manager. The turnkey strategy is an effective tool for integrating the many facets of sound insula- tion under a single umbrella, providing a level of continuity for all elements of delivery, including construction, across a multiyear program. D. Choosing a Strategy Many factors go into selecting the appropriate management strategy and project delivery method for a sound insulation program. Public sponsors have specific regulations on the types of contracts they are able to employ for professional services or for construction. Hybrids of these strategies and new forms of project delivery methods such as integrated project delivery are being tested in private projects. Many of these strategies are not yet suited to publicly funded projects. When deciding on a management and delivery method, in addition to contracting regulations, program sponsors need to determine how much direct supervision of the program they want and what resources they have to commit to the undertaking. 64 See note 44. Â§4.1, pp. 4-1 and 4-3.
26 Guidelines for Airport Sound Insulation Programs 2.4.2 Develop Program Policies There are several important subjects that the sponsor, in conjunction with the program man- agement team, should address in order to establish program policies. These include: â¢ How and where should the program boundaries be established? â¢ What should be the criteria for prioritizing participation? â¢ Should hardship situations be given consideration? â¢ If hardship situations are to be considered, what are the criteria for hardships and who will make the decision whether hardship petitions are accepted? â¢ If the property owner wants to defer participation, at what point and under what circum- stances will the owner be able to re-enter the program? â¢ Are properties owned by employees of the sponsor or consultant team eligible for participation? â¢ How will major nonconforming building code items or pre-existing deficiencies be addressed? â¢ How will mixed-use properties be handled (properties with both commercial and residen- tial uses)? â¢ How will property owner requests for exceptions to recommended treatments be handled? â¢ How will property owner complaints about design or construction be addressed? 2.4.3 Program Documents A. Property Owner Notice of Noise Program Implementation Property owners within the FAA-approved program boundary should be notified of their potential for inclusion in the program via certified mail with a return receipt requested. The notification package should contain the following information: â¢ A letter introducing the program, explaining the notification process, outlining the require- ments for eligibility and participation, and providing contact information in case the property owner has questions. â¢ A program application. â¢ A copy of the property owner participation agreement. â¢ A copy of the avigation easement. â¢ A pre-addressed envelope for return of the completed application. B. Property Owner Program Application The purpose of this document is to determine the property ownerâs initial interest in the program and to gather and verify contact information about the property owner. It is typically a simple one-page document. C. Property Owner Participation Agreement If the NCP includes an FAA-approved measure for sound insulation of privately owned prop- erty, Grant Assurance #5 (Grant Assurances, Airport Sponsors, Section C, #5 â Preserving Rights and Powers) requires the sponsor to enter into an agreement with private property owners.65 This special condition requires that specific provisions be included in the agreement between the airport operator and the private property owner. These provisions protect the federal investment and the interests of the FAA as well as the airport operator.66 The wording of this agreement can 65 âGrant Assurances, Airport Sponsors,â FAA, April 2012, http://www.faa.gov/airports/aip/grant_assurances/media/airport_ sponsor_assurances_2012.pdf, Â§5 (c), p. 5. 66 See note 12. Â§807 (a), p. 136.
Program Development 27 be found in Appendix 7 of FAA Order 5100.38C, Airport Improvement Program Handbook.67 In addition, the property owner participation agreement should clearly describe the eligibility requirements, with regard to the existing interior noise level of the structure, to qualify for par- ticipation in the sound insulation program. D. Avigation Easement Avigation easements are discussed in Section 2.1.4(B). E. Property Owner Pre- and Post-Modification Questionnaires Once a homeowner is confirmed to participate in the program, the information collected via the pre- and post-modification questionnaires is used to evaluate the property ownerâs level of satisfaction with the sound insulation program in general and with the modifications. These questionnaires help identify potential issues with the program that can be corrected in future phases. The property owner questionnaires ask the property owner(s) a variety of questions, such as: â¢ How many years have you lived at this address? â¢ How many people currently live at this address? â¢ How much difficulty does aircraft noise cause you, inside your home, in terms of the following noise-sensitive activities? (conversation, falling asleep, being awakened from sleep, concentra- tion, childrenâs sleeping, listening to TV or the radio, talking on the telephone, relaxation) â¢ Are you annoyed by any community noise sources other than aircraft noise? â¢ For each primary room in your home, how would you rate the aircraft noise intrusion? â¢ Have you ever considered moving because of aircraft noise? â¢ During the past 5 years, have you ever complained to the airport or other officials or individuals about aircraft noise? â¢ How would you rate the thermal insulation of your home? â¢ Do you think the modification of your home for sound insulation is a good idea? How would you rate the performance of the consultant team? (for post-modification questionnaire) â¢ How would you rate the performance of the contractor? (for post-modification questionnaire) 2.4.4 Program Identity Many airport sound insulation programs establish a unique identity by naming their program or establishing program websites that provide detailed information about their programs. They may also develop a program logo, which is used on all correspondence and collateral materials. Examples of programs that have developed unique identities are: â¢ San Diego International Airportâs Quieter Home Program, â¢ San Jose International Airportâs Acoustical Treatment Program, â¢ Phoenix Sky Harbor International Airportâs Community Noise Reduction Program, â¢ RenoâTahoe International Airportâs Residential Sound Insulation Program, â¢ Key West International Airportâs Noise Insulation Program, â¢ Alexandria International Airportâs Neighborhood Noise Mitigation Program, â¢ BaltimoreâWashington International Airportâs Homeowner Assistance Program, â¢ San Antonio International Airportâs Residential Acoustical Treatment Program, â¢ SeattleâTacoma International Airportâs Noise Remedy Program, and â¢ MinneapolisâSt. Paul International Airportâs Home Mitigation Program. 67 See note 12. Appendix 7, Â§(K), p. 2.
28 Guidelines for Airport Sound Insulation Programs 2.5 Policies and Procedures Manual The sponsor or consultant team should consider developing step-by-step procedures for implementing the sound insulation program. These procedures can be documented in a poli- cies and procedures manual (PPM). The manual should clearly identify parcels where sound insulation will be offered. The sound insulation program should be described in an easy-to-follow manner that provides a path for timely implementation. It is helpful for the PPM to provide forms and documents that will be needed in the actual implementation phase of the program. While approval of the manual is not required, it may be beneficial to provide a copy to the FAA point of contact for review before it is finalized. A sample table of contents for the manual is provided in Section 2.5.2. 2.5.1 The Need for Written Policies There are five basic reasons that necessitate writing policies and procedures:68 â¢ Operational needs. Policies and procedures ensure that fundamental organizational pro- cesses are properly guided by management, that they are performed in a consistent way that meets the organizationâs needs, and that important related information and data are captured and communicated. â¢ Risk management. Established policies and procedures are a control needed to manage risk. Procedures define how reasonable measures are built into processes to prevent undesired events, and they describe how the organization will manage and recover from such events should they occur. Similarly, procedures mitigate internal risk, such as when key personnel leave the organization. That risk is diminished to a degree if key organizational knowl- edge is documented in a procedure, as opposed to important information being stored 2.4.5 Best Practice Recommendations: Pre-Implementation 1. Carefully evaluate and select a management strategy and project delivery method for implementation of the SIP. 2. Consult with legal counsel to carefully consider program policies that are appro- priate and applicable to the unique circumstances of the SIP. 3. Consult with legal counsel to develop program documents that are appropriate and applicable to the unique circumstances of the SIP. 4. Consider establishing a unique identity for the SIP by naming the program and developing a program logo or masthead. 5. Consider developing a program website that provides detailed information about the program. 68 âHow Policies and Procedures Can Help Your Organization,â Chris Anderson, originally published in 2007 by Bizmanualz, Inc., http://www.bizmanualz.com/information/2007/11/05/policies-and-procedures-can-help-your-organization.html.
Program Development 29 in a personâs head, on a personâs computer, or simply jotted down in his or her notebook or journal. â¢ Continuous improvement. Continuous improvement is one of the most important, yet fre- quently overlooked, reasons for developing an internal control system of policies and proce- dures. Clear policies describe operational goals and direction and best practices. Procedures can improve processes by building important internal communication practices. â¢ Compliance. Complying with laws and regulations should be the most basic function of an organization. Airport sound insulation programs must comply with state and local regula- tions (e.g., building codes, contractor licensing) as well as federal laws and regulations. Other compliance issues may deal with quality standards such as ISO 9001, ISO 22000, or UL. Well- defined and documented processes, along with records that demonstrate process capability, can demonstrate an effective internal control system compliant with regulations and standards. â¢ Fairness. The community members in and around the program will want to know that they are receiving the same opportunities as their neighbors. With different types of housing, homeowners can look at treatments received by others and think they are not getting the same thing. When participants have access to a policy manual detailing how the design process identifies what treatments a property will receive, participants will be able to see that they are being treated under a consistent rule set. The only reason a sponsor or consultant team might choose not to develop a PPM is to avoid limiting its flexibility with regard to making decisions on a case-by-case basis as situations arise. Political and community concerns should be taken into consideration when making the decision not to have a program manual. 2.5.2 Sample Table of Contents The following is an example of a typical table of contents for a PPM: 1. Introduction 1.1 Statement of Policy 1.2 Statement of Purpose 1.3 Program Goals 2. Program Management 2.1 Summary of Administrative and Implementation Roles and Responsibilities 2.1.1 Federal Aviation Administration 2.1.2 State Department of Transportation, Division of Aeronautics 2.1.3 Local Government Jurisdictions 2.1.4 Sponsoring Agency 2.1.5 Airport 2.1.6 Program Management Team 2.2 Management Team Staffing and Responsibilities 2.2.1 Program Manager 2.2.2 Property Owner Agent 2.2.3 Legal Consultant 2.2.4 Architect 2.2.5 Mechanical/Ventilation Engineer 2.2.6 Hazardous Materials Consultant 2.2.7 Sustainability Consultant 2.2.8 Electrical Engineer 2.2.9 Structural Engineer 2.2.10 Acoustical Engineer 2.2.11 Construction Manager
30 Guidelines for Airport Sound Insulation Programs 2.3 Summary of Program Process and Typical Timeline 2.3.1 Preliminary Tasks 2.3.2 Property Owner Participation Process 2.3.3 Design Process 2.3.4 Bid Process 2.3.5 Product Procurement 2.3.6 Construction Process 2.3.7 Closeout Process 2.3.8 Typical Timeline 2.4 Program Funding 2.5 Project Office 3. Program Criteria 3.1 Areas of Eligibility 3.2 FAA Requirements 3.3 Potentially Eligible Structures 3.4 Treatment of Historic Structures 3.5 Priority for Participation 3.6 Phasing Plan 4. Preliminary Tasks 4.1 Legal Document Development 4.2 Development of Property Owner Orientation Handbook 4.3 Identification of Sponsoring Agencyâs Bidding Requirements for Construction Contracts 4.4 Identification of Local Building Code Requirements 4.5 Identification of Sponsoring Agencyâs Contractor Payment Process 5. Property Owner Participation Process 5.1 Notification of Potential Eligibility 5.2 Property Owner Orientation Session 5.3 Design Survey Meeting 5.4 Property Owner Premodification Questionnaire 5.5 Pre-Construction Testing 5.5.1 Noise Testing 5.5.2 Environmental Testing 5.5.3 Ventilation Testing 5.6 Design Review Meeting 5.7 Property Owner Option for Termination or Deferral 5.8 Limited Title Search 5.9 Signing of Legal Documents 5.10 Construction Phase 5.11 Post-Construction Testing 5.11.1 Noise Testing 5.11.2 Ventilation Testing 5.12 Property Owner Post-Modification Questionnaire 6. Design Process 6.1 Pilot Phase 6.1.1 Establishment of Program Standard Treatments and Protocols 6.1.2 Program Standard Products and Specifications 6.1.3 Program Standard Documentation for Agreements and Bid Documents 6.2 Assessment of Existing Conditions 6.3 Program Sponsor Review Process 6.4 Homeowner Review Process 6.5 Construction Document Development 6.6 Cost Estimating
Program Development 31 7. Bid Process 7.1 Bid Package Development 7.2 Bid Advertisement 7.3 Pre-Bid Meeting and Site Tours 7.4 Bid Opening 7.5 Bid Review and Contract Award Recommendation 7.6 Contract Award and Notice to Proceed 8. Product Procurement Process 8.1 Final Measurement Visit 8.2 Review and Approval of Product Submittals and Shop Drawings 8.3 Product Delivery and Inspection 9. Construction Process 9.1 Pre-Construction Meeting 9.2 Notification of Property Owners of Scheduled Construction Dates 9.3 Pre-Construction 48-Hour Walk Through 9.4 Construction Meetings/Visits 9.5 Review and Processing of Requests for Information/Change Orders 9.6 Review and Processing of Contractor Payment Applications 9.7 Daily Inspections 9.8 Substantial Completion Inspections 9.9 Development of Punch List 9.10 Final Inspection 9.11 Delivery of Property Owner Warranty Package 9.12 Property Owner Warranty Requests 10. Closeout Process 10.1 Obtain As-Built Record Drawings from Contractor 10.2 Compile Before-and-After Photos of Each Structure 10.3 Assist Sponsor in Completing FAA Closeout Documentation 10.3.1 Sponsor Certification for Final Acceptance 10.3.2 Final Project Cost Summary 10.3.3 Final Outlay Report 10.3.4 Final Construction Report 10.3.5 Summary of Disadvantaged Business Enterprise (DBE) Use 10.3.6 Standard Form (SF) 425 Financial Report 10.3.7 Acoustical Evaluation and Report 11. Appendices A. Avigation Easement B. Program Application C. Property Ownerâs Pre- and Post-Modification Questionnaires D. Property Owner Participation Agreement 2.5.3 Best Practice Recommendations: Policies and Procedures Manual 1. Consult with legal counsel to ensure that program policies and procedures are in compliance with applicable laws and regulations. 2. Prepare a written PPM for the SIP, and revise it as needed as the program evolves.
32 Guidelines for Airport Sound Insulation Programs 2.6 Program Organization Depending on the management structure selected from Section 2.4.1, some of the following sections may not apply. 2.6.1 Team Selection FAA AC 150/5100-14D, Architectural, Engineering, and Planning Consultant Services for Air- port Grant Projects, provides guidance for airport sponsors in the selection and employment of architectural and engineering consultants under FAA airport grant programs. Firms competing for engineering, architectural, and other professional services must be selected on their qualifica- tions subject to the negotiation of a fair and reasonable price.69 The guidelines contained in this AC are recommended by the FAA to comply with 49 CFR 18.36 when selecting consultants for airport projects funded under federal grant programs. This AC does not apply to airport projects that are fully funded with PFC funds.70 Rules for procure- ment under PFC funds are based on policies set by the state, local jurisdiction, or sponsor- ing agency. For example, Florida Statute 287.055 (Consultantâs Competitive Negotiations Act) requires state government agencies, municipalities or political subdivisions, school boards, and school districts to select a consulting firm based on qualifications rather than on a lowest-bid basis. Sponsors should consult with their legal counsel to verify applicable procurement rules that apply to the selection of consultants in this situation. 2.6.2 Team Composition Following are typical consultant team project management positions and their appropriate responsibilities: â¢ Program manager. â¢ Property owner agent. â¢ Legal consultant. â¢ Architect. â¢ Mechanical/ventilation engineer. â¢ Hazardous materials consultant. â¢ Sustainability consultant. â¢ Electrical engineer. â¢ Structural engineer. â¢ Acoustical engineer. â¢ Construction manager. A. The Management Team Program Manager â¢ Act as client liaison. â¢ Ensure contract compliance. â¢ Perform overall program management. â¢ Manage consultant team. â¢ Perform data and document management. â¢ Perform GIS mapping and phase documentation. â¢ Assist in development of program schedule and tasks. 69 See note 12. Â§908, p. 152. 70 U.S. DOT, FAA, AC 150/5100-14D, Architectural, Engineering, and Planning Consultant Services for Airport Grant Projects, September 30, 2005, Preamble, p. 1.
Program Development 33 â¢ Assist in development of the program budget. â¢ Assist in the identification and prioritization of program participants. â¢ Prepare bid package documents. â¢ Review legal documents. â¢ Attend public meetings. â¢ Conduct weekly consultant team meetings. â¢ Oversee design and construction of product display area. â¢ Develop visual presentation of products and construction process for property owner information. â¢ Oversee bid process. â¢ Submit monthly status reports to client. â¢ Assist with preparation of grant closeout report for FAA. Property Owner Agent â¢ Assist in the coordination of program activities. â¢ Assist in the setup of the display area. â¢ Coordinate activities with eligible participants. â¢ Perform notification and daily communication with eligible participants. â¢ Attend public meetings. â¢ Distribute property owner handbooks. â¢ Assist in property owner orientation session. â¢ Coordinate pre-existing inspection with the design team. â¢ Coordinate pre-existing reports and legal releases. â¢ Attend the design visit. â¢ Attend design review meeting. â¢ Present legal documents to property owners. â¢ Coordinate pre-bid open house session. â¢ Communicate with construction management staff. â¢ Handle all correspondence and questions from property owners. â¢ Coordinate property owner schedules with team members. â¢ Maintain parcel file and database information. â¢ Assist in processing contractor payments. â¢ Assist with project closeout. â¢ Attend weekly consultant team meetings. Legal Consultant â¢ Prepare legal documents. â¢ Conduct title certifications. â¢ Record avigation easement. â¢ Review legal issues. B. The Design Team Architect â¢ Conduct pre-existing deficiency inspection at each eligible property. â¢ Prepare pre-existing report and legal release. â¢ Inspect property ownerâs severe deficiency corrections, if required. â¢ Conduct design survey at each eligible property. â¢ Develop technical construction and bid documents. â¢ Prepare designs in an electronic format. â¢ Prepare final scope of work documents. â¢ Conduct design review meeting with property owners.
34 Guidelines for Airport Sound Insulation Programs â¢ Provide alternative solutions/options to property owners regarding aesthetics/function. â¢ Provide construction cost estimate for bids. â¢ Prepare addenda to bids and specifications. â¢ Attend bid opening. â¢ Review bids and prepare award recommendation. â¢ Review design revisions. â¢ Attend weekly consultant team meetings. â¢ Assist in contractor training. Mechanical/Ventilation Engineer â¢ Conduct design survey to observe and define pre-existing ventilation and mechanical equip- ment capacities. â¢ Inspect property for severe deficiency corrections, if required. â¢ Prepare ventilation, insulation, and mechanical design recommendations. â¢ Design the addition of heating, cooling, and ductwork. â¢ Provide mechanical schedules and details for bid specifications. â¢ Act as resource for answering inquiries and inspecting installation of mechanical work, if necessary. â¢ Coordinate activities with architect, design technicians, and construction manager. â¢ Modify ventilation design based on architect/property owner/contractor feedback. â¢ Inspect contractor installation quality. â¢ Conduct pre-construction and post-construction ventilation tests in each property. Hazardous Materials Consultant â¢ Review project scope for extent of hazardous materials based on design intent and create a testing and sampling protocol. â¢ In each eligible property, locate, sample, and test all materials thought to contain possible haz- ardous materials in areas that might be disturbed during construction. Quantify all materials tested as positive for hazardous materials. â¢ Provide documentation identifying all hazardous materials, nature of the material, detailed location descriptions, and quantities of material to be removed as a part of the abatement process. â¢ Attend design coordination meetings to assist in coordinating the project construction phas- ing with hazardous material abatement requirements. â¢ Provide an estimate for the market value of the abatement work to be completed based on the quantity and locations of materials identified. â¢ Develop abatement specifications and documents detailing abatement procedures and requirements. â¢ Provide oversight of abatement work performed at the site while abatement is occurring to ensure compliance with all guidelines and requirements. â¢ Provide air quality monitoring during the abatement process, including the establishment of baseline air quality levels prior to the start of the abatement process in any given area. â¢ Provide clearance testing at the completion of construction in each area. â¢ Provide a comprehensive hazardous materials assessment of the project after completion of the construction process and provide all final documentation required by governing authorities. Sustainability Consultant â¢ Coordinate local utility and government rebate/incentive programs. â¢ Conduct energy audits of structures to be sound insulated. â¢ Ensure that SIP meets or exceeds local, national, and international energy codes and rating standards. â¢ Create policies and procedures for products and installations that meet Energy Star perfor- mance criteria.
Program Development 35 â¢ Be a LEED (Leadership in Energy and Environmental Design) Accredited Professional to ensure LEED certification of projects. â¢ Identify additional opportunities/strategies for sustainability practices/products. Electrical Engineer â¢ Determine the requirement of an electrical panel upgrade. â¢ Design electrical wiring for fans and mechanical installations. â¢ Provide electrical schedules and details for bid specifications. â¢ Be a resource for answering inquiries and inspecting installation of electrical work, if necessary. â¢ Coordinate activities with architectural manager, design technicians, and construction manager. â¢ Inspect property owner severe deficiency corrections, if required. Structural Engineer â¢ Determine the extent of a structural condition and the effect of the structural condition to the dwelling for participation. â¢ Determine and document construction suspensions. â¢ Inspect property owner severe deficiency corrections, if required. Acoustical Engineer â¢ Ensure acoustical compliance via pre- and post-construction acoustical testing. â¢ Assist in participant prioritization. â¢ Assist in the preparation of program policy and procedures manual. â¢ Provide acoustical design goals and consult with architect during design process. â¢ Review and comment on design documents: unit drawings, specifications, and details. â¢ Review and prepare recommendations on property owner exception requests. â¢ Assist with materials inspection, and review and comment on change order requests and requests for information (RFIs). â¢ Participate in new product review. â¢ Assist in coordinating airport noise monitoring data with SIP needs. â¢ Prepare final report on acoustical performance of treatments for submission to the FAA. C. The Construction Team Note: The tasks designated for the construction manager are often provided by the members of the design team, depending on sponsor preference. Construction Manager â¢ Act as liaison with architect. â¢ Oversee letting of construction bid documents. â¢ Assist with construction cost estimates for bids. â¢ Attend bid opening. â¢ Perform pre- and post-bid consultation with contractor. â¢ Review contractor bids. â¢ Issue notice to proceed to general contractor. â¢ Assist in contractor training. â¢ Make photographic documentation of each home prior to, during, and after construction. â¢ Perform daily site visits to each eligible property or property under construction. â¢ Complete and submit weekly/monthly status reports. â¢ Review contract request for change orders. â¢ Approve and process field change orders. â¢ Review and approve general contractor pay requests. â¢ Perform inspection punch list prior to final inspection. â¢ Attend weekly consultant team meetings. â¢ Ensure contractor disadvantaged business enterprise (DBE) and payroll compliance.
36 Guidelines for Airport Sound Insulation Programs â¢ Perform punch list walk-through inspection for quality and completion of work. â¢ Perform final inspection. â¢ Prepare necessary project reporting and closeout paperwork. 2.6.3 Roles and Responsibilities Matrix The roles and responsibilities matrix (also known as the RACI matrix) is a responsibility assignment matrix system that brings structure and clarity to assigning the roles people play within a team. It is a simple grid system used to clarify individualsâ responsibilities and ensure that everything the team needs to do is addressed. Using the RACI system, list every task, mile- stone, and decision, then clarify who is responsible, who is accountable, and where appropriate, who needs to be consulted or informed.71 There are a number of variations to the meaning of RACI participation types. Very often the role that is accountable (A) for a task or deliverable may also be responsible (R) for completing it. There is an alternative coding, less widely published, which modifies the application of the R and A codes of the original scheme. The overall methodology remains the same, but this alternative avoids potential confusion of the terms âaccountableâ and âresponsible.â72 The outcome of the RACI process is a two-dimensional matrix, with functions or tasks on one axis and participants or roles on the other, as shown in Figure 2.4.73 In this sample matrix, RACI stands for: Responsible: Those responsible for the performance of the task. There is typically one role with a participation type of âresponsible,â although others can be delegated to assist in the work required. Assists: Those who assist in completion of the task. Consulted: Those whose opinions are sought and with whom there is two-way communication. Informed: Those who are kept up to date on progress and with whom there is one-way communication. For parties or entities that should not be involved with a task or responsibility, that square should be left blank. 2.6.4 Best Practice Recommendations: Program Organization 1. If the SIP is using AIP funding, make sure that the program complies with FAA AC 150/5100-14D in the selection and employment of architectural, engineering, and planning consultants. 2. If the SIP is not using AIP funding, make sure that the program complies with any state, local, or sponsoring agency requirements in the selection and employment of architectural, engineering, and planning consultants. 3. Regardless of the management structure selected to implement the SIP, prepare a roles and responsibilities matrix that clearly identifies all functions and tasks and the responsible parties. 71 What Is the RACI/ARCI Matrix in Project Management? Swapnil Gyani, The Project Management Hut, October 15, 2008, http://www.pmhut.com/what-is-the-raciarci-matrix-in-project-management. 72 Responsibility Assignment Matrix, Wikipedia, accessed November 15, 2011, http://en.wikipedia.org/wiki/Responsibility_ assignment_matrix. 73 Guidelines for Creating a RACI-ARCI Matrix, Swapnil Gyani, The Project Management Hut, October 15, 2008, http:// www.pmhut.com/guidelines-for-creating-an-raci-arci-matrix.
Program Development 37 Figure 2.4. Example of SIP roles and responsibilities matrix.