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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices. Washington, DC: The National Academies Press. doi: 10.17226/25125.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices. Washington, DC: The National Academies Press. doi: 10.17226/25125.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices. Washington, DC: The National Academies Press. doi: 10.17226/25125.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices. Washington, DC: The National Academies Press. doi: 10.17226/25125.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices. Washington, DC: The National Academies Press. doi: 10.17226/25125.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices. Washington, DC: The National Academies Press. doi: 10.17226/25125.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices. Washington, DC: The National Academies Press. doi: 10.17226/25125.
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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) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Contents i Contents Introduction ................................................................................................................................................... 1 APPENDIX A, DATA FROM ADMINISTRATIVE DETERMINATIONS, OPINIONS AND MEMORANDA, AND JUDICIAL DECISIONS..................................................................................... A-1 Section A.1 Summary of Data from the Review of Administrative Determinations ................................ A-1 Section A.2 FAA and DOT Opinion Letters and Memoranda .................................................................. A-6 Section A.3 Judicial Decisions (LRD 13) ............................................................................................... A-10 APPENDIX B, AIP SPONSOR ASSURANCES ..................................................................................... B-1 APPENDIX C, GRANT ASSURANCE RESOURCES AND REFERENCES ....................................... C-1 Section C-1 Generally Applicable Grant Assurances ............................................................................... C-1 C-1.1 Grant Assurance 1, General Federal Requirements .................................................................. C-1 C-1.2 Grant Assurance 4, Good Title ................................................................................................. C-2 C-1.3 Grant Assurance 5, Preserving Rights and Powers .................................................................. C-2 C-1.4 Grant Assurance 11, Pavement Preventive Maintenance ......................................................... C-3 C-1.5 Grant Assurance 19, Operation and Maintenance .................................................................... C-3 C-1.6 Grant Assurance 20, Hazard Removal and Mitigation ............................................................. C-4 C-1.7 Grant Assurance 21, Compatible Land Use ............................................................................. C-4 C-1.8 Grant Assurance 22, Economic Non-Discrimination ............................................................... C-5 C-1.9 Grant Assurance 23, Exclusive Rights ..................................................................................... C-9 C-1.10 Grant Assurance 24, Fee and Rental Structure ....................................................................... C-9 C-1.11 Grant Assurance 25, Airport Revenues ................................................................................ C-10 C-1.12 Grant Assurance 26, Reports and Inspections, clauses a. and d. .......................................... C-11 C-1.13 Grant Assurance 27, Use by Government Aircraft ............................................................... C-11 C-1.14 Grant Assurance 28, Land for Federal Facilities .................................................................. C-11 C-1.15 Grant Assurance 29, Airport Layout Plan ............................................................................ C-11 C-1.16 Grant Assurance 30, Civil Rights ......................................................................................... C-12 C-1.17 Grant Assurance 31, Disposal of Land ................................................................................. C-12 C-1.18 Grant Assurance 36, Access by Intercity Busses.................................................................... C-13

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Contents ii C-1.19 Grant Assurance 37, Disadvantaged Business Enterprises (ACDBE Program) ................... C-13 C-1.20 Grant Assurance 38, Hangar Construction ........................................................................... C-13 C-1.20 Grant Assurance 39, Competitive Access ............................................................................ C-13 Section C-2 Project Specific Grant Assurances ...................................................................................... C-13 C-2.1 Grant Assurance 1, General Federal Requirements ................................................................ C-13 C-2.2 Grant Assurance 2, Responsibility and Authority of Sponsor ................................................ C-14 C-2.3 Grant Assurance 3, Sponsor Fund Availability ...................................................................... C-14 C-2.4 Grant Assurance 6, Consistency with Local Plans ................................................................. C-14 C-2.5 Grant Assurance 7 Consideration of Local Interest ................................................................ C-14 C-2.6 Grant Assurance 8, Consultation with Users .......................................................................... C-14 C-2.7 Grant Assurance 9, Public Hearings ....................................................................................... C-14 C-2.8 Grant Assurance 10, Metropolitan Planning Organizations ................................................... C-15 C-2.9 Grant Assurance 12, Terminal Development Prerequisites .................................................... C-15 C-2.10 Grant Assurance 13, Accounting System, Audit and Record Keeping Requirements ......... C-15 C-2.11 Grant Assurance 14, Minimum Wage Rates ........................................................................ C-15 C-2.12 Grant Assurance 15, Veteran’s Preference ........................................................................... C-15 C-2.13 Grant Assurance 16, Conformity to Plans and Specifications .............................................. C-16 C-2.14 Grant Assurance 17, Construction Inspection and Approval ............................................... C-16 C-2.15 Grant Assurance 18, Planning Projects ................................................................................ C-16 C-2.16 Grant Assurance 26, Reports and Inspections (Project Specific) ......................................... C-16 C-2.17 Grant Assurance 32, Engineering and Design Services ....................................................... C-16 C-2.18 Grant Assurance 33, Foreign Market Restrictions ............................................................... C-16 C-2.19 Grant Assurance 34, Policies, Standards and Specifications ................................................ C-17 C-2.20 Grant Assurance. 35 Relocation and Real Property Acquisition .......................................... C-17 C-2.21 Grant Assurance 37, Disadvantaged Business Enterprise (DBE Program) .......................... C-17 APPENDIX D, AIRPORTS DESIGNATED BY THE FAA AS “GRANDFATHERED” UNDER GRANT ASSURANCE 25, AIRPORT REVENUES .............................................................................. D-1 APPENDIX E, EXPANDED LIST OF QUESTIONS AND ANSWERS RELATING TO GRANT ASSURANCE COMPLIANCE ................................................................................................................ E-1 Section E-1 Introduction ........................................................................................................................... E-1 Section E-2 General .................................................................................................................................. E-2 Section E-3 Grant Assurance 1, General Federal Requirements .............................................................. E-3

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Contents iii E-3.1 General ...................................................................................................................................... E-3 E-3.2 Grant Assurance 1, 49 CFR Part 23, Participation by Disadvantage Business Enterprises in Airport Concessions; Grant Assurance 37 (as Applied to Airport Concession Disadvantaged Business Enterprises (ACDBEs)) ...................................................................................................................... E-3 Section E-4 Grant Assurance 2, Legal Authority...................................................................................... E-4 Section E-5 Grant Assurance 5, Preserving Rights and Powers ............................................................... E-4 E-5.1 General ...................................................................................................................................... E-4 E-5.2 Through-The-Fence (TTF) Operations (Grant Assurance 5.g) (Q & As Include Residential and Commercial TTF) ............................................................................................................................... E-6 E-6 Grant Assurance 6, Consistency With Local Plans ............................................................................ E-7 E-7 Grant Assurance 7, Consideration of Local Interest .......................................................................... E-8 E-8 Grant Assurance 8, Consultation with Users ..................................................................................... E-8 E-9 Grant Assurance 16, Conformity to Plans and Specifications ........................................................... E-9 E-10 Assurance 19, Operation and Maintenance ...................................................................................... E-9 E-11 Grant Assurance 20, Hazard Removal and Mitigation ................................................................... E-11 E-12 Grant Assurance 21, Compatible Land Use ................................................................................... E-12 E-13 Grant Assurance 22, Economic Nondiscrimination ....................................................................... E-13 E-13.1 Leasing and Lease Terms (Grant Assurance 22.a) ............................................................... E-13 E-13.2 Access and Use of Airport (Grant Assurance 22.a) .............................................................. E-19 E-13.3 Requirement for Commercial Operators to Offer Services on Reasonable Terms (Grant Assurance 22.b) ................................................................................................................................ E-21 E-13.4 Fees and Charges (Grant Assurance 22.c, 22.e.). (Specific Questions Arising Under the DOT/FAA Rates and Charges Policy are Addressed Under Grant Assurance 24, Fee and Rental Structure) .......................................................................................................................................... E-22 E-13.5 The Right to Self-Service and Self-Fuel (Grant Assurance 22.d, 22.f) ................................ E-26 E-13.6 Minimum Standards, Rules and Regulations (Grant Assurance 22.h) ................................. E-30 E-13.7 Prohibition or Limitations on Use for Safety and Efficiency (Grant Assurance 22.i) .......... E-35 E-14 Grant Assurance 23, Exclusive Rights ........................................................................................... E-36 E-15 Grant Assurance 24, Fee and Rental Structure ............................................................................... E-42 E-16 Grant Assurance 25, Airport Revenues .......................................................................................... E-46 E-17 Grant Assurance 26, Reports and Inspections ................................................................................ E-50 E-18 Grant Assurance 27, Use by Government Aircraft ........................................................................ E-50 E-19 Grant Assurance 29, Airport Layout Plan ...................................................................................... E-51 E-20 Grant Assurance, 30 Civil Rights ................................................................................................... E-52 E-21 Grant Assurance 31, Disposal of Land ........................................................................................... E-53

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Contents iv E-22 Grant Assurance 34, FAA Standards and Specifications ............................................................... E-53 E-23 Grant Assurance 35 Relocation Assistance .................................................................................... E-54 E-24 Grant Assurance 37 Disadvantaged Business Enterprise ............................................................... E-54 E-25 Grant Assurance 38 Hangar Construction ...................................................................................... E-55 E-26 Assurance 39 Competitive Access ................................................................................................. E-56 E-27 Administrative Process (49 CFR Part 13 and Part 16, 49 USC §47129) ....................................... E-56 E-28 Federal Preemption ........................................................................................................................ E-63 APPENDIX F, SYNOPSIS OF RESOURCES AND REFERENCES ..................................................... F-1 Section F-1 Introduction ........................................................................................................................... F-1 Section F-2 Synopses of FAA Resource Documents ................................................................................ F-1 F-2.1 Airport Compliance Manual, Order 5190.6B ........................................................................... F-1 F-2.2 Other National Guidance Documents ....................................................................................... F-2 F-2.3 Regional Compliance Guidance ............................................................................................. F-19 Section F-3, Synopses of ACRP Publications ........................................................................................ F-21 Section F-4, Synopses of Other Publications .......................................................................................... F-34 Section F-5 Order 5190.6B Table of Contents ....................................................................................... F-39 Figures Figure A-1, Distribution of Cases With and Without Violations .............................................................. A-2 Figure A-2, Distribution of Specific Grant Assurance Requirements in Complaints/Investigations ....... A-3 Figure A-3, Distribution of Findings of Violations of Specific Grant Assurance Requirements ............. A-4 Figure A-4, Distribution of Determinations in Opinion Letters and Memoranda .................................... A-7 Figure A-5, Distribution of Specific Grant Assurance Requirements Considered in Opinions ................ A-7 Figure A-6, Distribution of Findings of Violations of Specific Grant Assurances in Opinions ............... A-8 Figure A-7, Distribution of Uncertain/Mixed Opinions Regarding Specific Grant Assurances ............... A-9 Figure A-8, Distribution of Judicial Decisions Related to Grant Assurances ......................................... A-11 Figure A-9, Distribution of Specific Grant Assurance Requirements Considered in Decisions ............ A-12 Figure A-10, Distribution of Findings of Violations of Specific Grant Assurances in Decisions .......... A-13

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Contents v Tables Table A-1, Tally of Issues and Violations in Administrative Decisions ................................................... A-5  Table A-2, Tally of Issues and Violations in Opinions and Memoranda ................................................ A-10  Table A-3, Tally of Issues and Violations in Judicial Decisions Related to Grant Assurances .............. A-14  Table F-1, Summary of National FAA Grant Assurance Compliance Guidance ..................................... F-3  Table F-2, Synopsis of FAA Regional Guidance on Grant Assurance Requirements ............................ F-20  Table F-3, Synopses of ACRP Publications with Information About Grant Assurance Requirements.. F-22  Table F-4, Summary of Other Publications Reviewed ........................................................................... F-35 

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TRB's Airport Cooperative Research Program (ACRP) Web-Only Document 44: Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices provides supplemental information for individuals desiring more in-depth understanding of the requirements. This volume contains six appendices providing supplemental information on the Grant Assurance requirements as well as resources and references.

Accompanying this volume, ACRP has released:

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