National Academies Press: OpenBook
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 3: Research Report. Washington, DC: The National Academies Press. doi: 10.17226/25124.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 3: Research Report. Washington, DC: The National Academies Press. doi: 10.17226/25124.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 3: Research Report. Washington, DC: The National Academies Press. doi: 10.17226/25124.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 3: Research Report. Washington, DC: The National Academies Press. doi: 10.17226/25124.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 3: Research Report. Washington, DC: The National Academies Press. doi: 10.17226/25124.
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The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

ACRP Project 03-38 (FY 2015) Understanding FAA Grant Assurance Obligations Task 8 Research Report Contents i Contents Chapter 1, Introduction .................................................................................................................................... 1 Chapter 2, Research Results—FAA and State Block Grant Staff ................................................................. 2 Section 2.1 The Research/Interview Process ................................................................................................... 2 2.1.1 Interviews Conducted ...................................................................................................................... 2 2.1.2 Subjects Discussed ........................................................................................................................... 3 Section 2.2 Summary of Interview Results ..................................................................................................... 3 2.2.1 Frequency of Grant Assurance Questions ....................................................................................... 3 2.2.2 Level of Understanding of Grant Assurances .................................................................................. 4 2.2.3 Grant Assurances That Arise Most Often ........................................................................................ 4 2.2.4 Most Helpful Resources and References ......................................................................................... 5 2.2.5 Experience with Part 13 and Part 16 Investigations ........................................................................ 5 2.2.6 Recommendations on Guidebook Structure and Content ................................................................ 6 Chapter 3, Stakeholder Outreach ........................................................................................................................ 8 Section 3.1, The Research Process .................................................................................................................. 8 3.1.1 Airport Focus Groups....................................................................................................................... 8 3.1.2 Airport Webinar ............................................................................................................................. 10 3.1.3 Airport User Focus Group ............................................................................................................. 11 3.1.4 AAAE Member Survey .................................................................................................................. 11 Section 3.2, Discussion of Research Results, Focus Groups and Webinar ................................................... 12 3.2.1 Grant Assurances That Are Currently the Focus of Participants .................................................. 13 3.2.2 Grant Assurances That Are Well Understood or “Working Well” ............................................... 15 3.2.3 Grant Assurances That Are Hard to Understand or Causing “Pain Points” .................................. 17 3.2.4 Grant Assurance Issues with Current Aviation/Airport Trends .................................................... 18 3.2.5 Most Helpful Resources and References ....................................................................................... 19 3.2.6 Content and Format of Guidebook ................................................................................................ 19 3.2.7 Examples of Airports Doing a Good Job ..................................................................................... 21 3.2.8 Ranking of Grant Assurance Requirements/Issues for Special Emphasis .................................... 21 Section 3.3, Discussion of Research Results, AAAE Finance and Administration Committee Survey ...... 24 3.3.1 Frequency of Discussion of Grant Assurances with Stakeholders ................................................ 25 3.3.2 Most Frequently Discussed Grant Assurances .............................................................................. 27 3.3.3 Grant Assurance Requirements/Issues That Are Hardest to Understand ...................................... 28

ACRP Project 03-38 (FY 2015) Understanding FAA Grant Assurance Obligations Task 8 Research Report Contents ii 3.3.4 Resources Used to Understand Grant Assurances ......................................................................... 29 3.3.5 Experience with FAA Investigations ............................................................................................. 29 3.3.6 Format of the Guidebook ............................................................................................................... 30 3.3.7 Content of Summary Pages for Each Assurance ........................................................................... 30 3.3.8 Most Important Grant Assurance Requirements/Issues for Special Emphasis in Guidebook ...... 31 3.3.9 Conclusions .................................................................................................................................... 32 Chapter 4, Review of FAA Documents and Other Resources ....................................................................... 33 Section 4.1 Review of Individual Determinations, Agency Opinion Documents and Court Decisions ...... 33 Section 4.2, Review of FAA Resource Documents ...................................................................................... 34 Section 4.3, Review of Other ACRP Publications ........................................................................................ 35 Section 4.4, Review of Other Publications .................................................................................................... 36 Chapter 5, Recommendations for Further Research ...................................................................................... 37 Figures Figure R-1, Frequency of Grant Assurance Discussion with Air Carriers .................................................... 25 Figure R-2, Frequency of Discussion of Grant Assurances with Other Commercial Aeronautical Tenants ........................................................................................... 26 Figure R-3, Frequency of Discussion of Grant Assurances .......................................................................... 26 with Non-Commercial Aeronautical Tenants Figure R-4, Frequency of Discussion of Grant Assurances with Governing Bodies, Local Officials, etc. ................................................................................................................ 27 Figure R-5, Most Useful Format for Guidebook ........................................................................................... 30

ACRP Project 03-38 (FY 2015) Understanding FAA Grant Assurance Obligations Task 8 Research Report Contents iii Tables Table R1, Summary of NAC Participants ....................................................................................................... 9 Table R-2, Summary of ACI-NA Legal Steering Group Participants ............................................................ 9 Table R-3, Summary of ACI-NA Finance Committee Participants.............................................................. 10 Table R 4, Summary of Individual NATA Member Focus Group Participants ........................................... 11 Table 5, Summary of AAAE Survey Participants ......................................................................................... 12 Table R-6, Summary of Airport Focus Group of Grant Assurance Rankings ................................................ 22 Table R-7, ACI-NA Small Airport Webinar Ranking of Grant Assurance Requirements ........................... 23 Table R-8, Most Frequently Discussed Grant Assurances ............................................................................ 28 Table R-9, Hard to Understand Grant Assurance Requirements/Issues ....................................................... 29 Table R-10, Summary of Important Items to Include in Grant Assurance "Cover Pages" ........................... 31 Table R-11, Most Important Grant Assurance Requirements/Issues for Special Emphasis in the Guidebook ................................................................................................................................................... 32

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TRB's Airport Cooperative Research Program (ACRP) Web-Only Document 44: Understanding FAA Grant Assurance Obligations Volume 3: Research Report summarizes the research efforts and results of research conducted to develop a guidebook on Understanding FAA Grant Assurance Requirements. The results of this research include the Guidebook itself (Volume 1), Technical Appendices (Volume 2), which provides supplemental information on the requirements, and a PowerPoint presentation that can be adapted to the needs of individual users and their circumstances.

Accompanying this volume, ACRP has released:

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