Understanding FAA Grant Assurance Obligations Volume 2: Technical Appendices (2018)

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ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-1 A P P E N D I X F , S Y N O P S I S O F R E S O U R C E S A N D R E F E R E N C E S Section F-1 Introduction This Appendix provides synopses of resource and reference documents included in Appendix C that were reviewed during the research process. Only documents currently available on the Internet are summarized. Section F-2 summarizes the FAA’s guidance documents. Section F-3 summarizes other ACRP publications that discuss Grant Assurance requirements. Section F-4 summarizes documents from other sources that discuss Grant Assurance requirements. Section F-5 is a reproduction of the Table of Contents for FAA Order 5190.6B, Airport Compliance Manual (September 30, 2009). Section F-2 Synopses of FAA Resource Documents This section summarizes the FAA and U.S.DOT resource documents currently available on the Internet that address Grant Assurance requirements. Most documents are national guidance documents. However, some regional guidance documents are also summarized. The summaries include links to web pages on which the documents can be found. The FAA documents were obtained from the FAA’s Office of Airports homepage – https://www.faa.gov/airports/. The link to the U.S.DOT document was obtained by searching the U.S.DOT homepage – www.transportation.gov. If a specific link is broken, please refer to the applicable homepage. The documents may also be found using a standard Internet search engine, such as Google. The primary guidance document relied on by the FAA’s staff and airport users is the FAA Airport Compliance Manual, Order 5190.6B. As such, it is addressed separately in this section. Synopses of other national guidance documents follow, and the section concludes with synopses of regional guidance. F-2.1 Airport Compliance Manual, Order 5190.6B Order 5190.6B (http://www.faa.gov/airports/resources/publications/orders/compliance_5190_6/) provides comprehensive guidance on the FAA’s policies regarding compliance with Grant Assurances and other federal obligations. The Order consists of 23 chapters and 22 appendices. A copy of the Table of Contents is included as Section F-5. The Table of Contents provides a useful summary of the subjects addressed by the Order. Among other things, Order 5190.6B describes the scope and authority of the FAA’s compliance monitoring activities and summarizes the FAA’ Airport Compliance Program. In Chapter 2, the Order includes a summary of the Sponsor’s obligations (through Grant Assurances or other obligating documents) that are most frequently encountered in compliance cases. The source of federal obligations other than Grant Assurances are conveyances for airport purposes of real or personal property from the federal government to airport Sponsors. The obligations typically incorporated in these conveyances include the following:

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-2  Requirement to operate and maintain the airport for public use;  Prohibition on exclusive rights;  Requirement to use revenue generated by the property (usually real property) for airport purposes;  Requirement to make the airport available for all aeronautical uses on reasonable terms without unjust discrimination; and  Requirement to prevent, to the extent practicable, the establishment of obstructions in the approaches to the airport. These obligations are comparable to specific Grant Assurance obligations, but are subject to different enforcement mechanisms. In addition, most airport Sponsors that have accepted property from the federal government have also accepted AIP grants. Many of the Grant Assurances require Sponsors to take specific actions before applying for an AIP grant or during the implementation of a grant-funded project. These requirements are not specifically addressed in Order 5190.6B. Instead, they are addressed in other orders or guidance documents, such as the AIP Handbook, Order 5100.38D or the National Environmental Policy Act (NEPA) Implementing Instructions for Airport Actions, Order 5050.4B (April 28, 2006). The previous version of the AIP Handbook, Order 5100.38C contains additional information on the Grant Assurances applicable to planning and implementation of a grant-funded project in some cases. F-2.2 Other National Guidance Documents Table F-1 provides synopses of 32 national guidance documents, as follows:  Eleven Advisory Circulars (ACs)  Three Compliance Guidance Letters (CGLs)  Four FAA Orders  One U.S.DOT Order  Sixteen policy statements, desk references or other types of documents. CGLs issued prior to publication of Order 5190.6B were incorporated in that document. They are identified as such in the table.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-3 Table F-1, Summary of National FAA Grant Assurance Compliance Guidance Document Title, Number Summary AC150/5100-16A, Airport Improvement Program Grant Assurance 1 General Federal Requirements (10/04/1988); http://www.airweb.faa.gov/Regulatory _and_Guidance_Library/rgAdvisoryCi rcular.nsf/1ab39b4ed563b08985256a3 5006d56af/58ff1089ac4c691086256c7 20077b006/$FILE/150-5100-16a.pdf (Cancelled Publication) Summarizes each of the federal requirements included in Grant Assurance 1 at publication. Describes types of projects (planning, development land acquisition), and type of Sponsors (e.g. airport Sponsors, planning agency Sponsors) to which individual requirements apply or do not apply. Discusses the duration of applicability of Grant Assurances. Summarizes the relevant provisions of the statue, regulation, Executive Order or similar. Briefly describes an airport Sponsor’s obligations under each. This AC is included as a reference because, in some cases, it provides more information on particular federal requirements than does other current guidance. In the event of a conflict between this AC and any later published AC, Order or other guidance document, the later published document takes precedence. AC 150/5100-17, up to and including Chg. 6 and Errata, Land Acquisition and Relocation Assistance for Airport Improvement Program Assisted Projects (11-07-2005); http://www.faa.gov/documentLibrary/ media/advisory_circular/150-5100- 17/150_5100_17_chg6.pdf Provides guidance for airports to develop procedures for complying with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) for land acquisition under an AIP grant. Entities that displace persons or acquire property under a federal grant are required to follow federal guidelines for equitable treatment of property owners and tenants. Outlines steps to be taken for the acquisition, including appraisals, just compensation, negotiations, condemnation, relocation assistance, moving and related expenses (both residential and other), replacement housing, treatment of tenants and post-acquisition management of property.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-4 AC 150/5100-19D, Guide for Airport Financial Reports Filed by Sponsors (06-23-2011); http://www.faa.gov/documentLibrary/ media/Advisory_Circular/150_5100_1 9d.pdf Provides instructions for completing Airport Financial Reports, FAA Form 126 and FAA Form 127, which must be submitted annually by all commercial service airports (airports with scheduled services that had at least 2,500 passenger boardings (enplanements)). Provides a statutory basis for reporting requirements. Implements changes to FAA Form 127. Incorporates by reference various statutory provisions, regulations, policy and procedures documents and Grant Assurances relating to airports’ financial reporting. Provides information on accessing and using the Airport Financial Reporting website, including help-desk contact information. AC 150/5100-14E, Architectural, Engineering, and Planning Consultant Services for Airport Grant Projects (09-25-2015); http://www.faa.gov/documentlibrary/m edia/advisory_circular/150-5100-14e- consolidated.pdf Provides guidance to airport Sponsors for acquisition of consultant services and compliance with requirements for the qualification-based selection process commonly referred to as the Brooks Act. It addresses such subjects as independent fee estimates, selection procedures and policies, contract and solicitation clauses and types of permissible fee arrangements.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-5 AC No: 150/5100-20, Guidance on the Extraction of Oil and Gas at Federally Obligated Airports, (03-23- 2016); https://www.faa.gov/documentLibrary /media/Advisory_Circular/150-5100- 20.pdf Specifies requirements for at-airport oil or gas extraction and for extraction from under the airport from off-airport sites (off-airport extraction), including, but not limited to those listed below:  Airport layout plan (ALP) review (Grant Assurance 29), and hence NEPA (for on-airport extraction only); Grant Assurance 25, Airport Revenues; Grant Assurance 5, Preserving Rights and Powers; Grant Assurance 19, Operations and Maintenance and Grant Assurance 20, Hazard Removal and Mitigation.  Grant Assurance 4 (Good Title) and Grant Assurance 21 (Compatible Land Use) (off-airport extraction only).  Use of explosives on the airport is prohibited.  On-airport extraction is limited to areas that are not critical for airport use.  Subordination to the Grant Assurances and other federal obligations and requirements.  Royalties, extraction fees, lease payments and so on must be based on fair market value (FMV). Specifies procedures for obtaining an FAA review of proposed arrangements. Provides recommended lease terms. AC 150/5370-12B, Quality Management for Federally Funded Airport Construction Projects (09-15- 2015); http://www.faa.gov/documentLibrary/ media/Advisory_Circular/150-5370- 12B.pdf Replaced AC 150/5370-6D, Construction Progress and Inspection Report-Airport Improvement Program. Provides relative responsibilities for airports, engineers and the FAA for ensuring acceptable construction to protect the federal financial interests. Provides requirements for Construction Management Plans (CMP) and construction safety requirements. AC 150/5190-4A, A Model Zoning Ordinance to Limit the Height of Objects Around Airport (12-14-1987); https://www.faa.gov/regulations_poli cies/advisory_circulars/index.cfm/go/ document.information/documentID/2 2826 Explains the responsibility of Sponsors and jurisdictions surrounding an airport for preventing or mitigating hazards and obstructions. Provides model zoning ordinances for various types of airports, including airports with instrument procedures. This AC assists Airport Sponsors in complying with Grant Assurance 20, Hazard Removal and Mitigation and Grant Assurance 21, Compatible Land Use. This AC is scheduled to be updated in FY 2017.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-6 AC 150/5190-6, Exclusive Rights (01- 24-2007); http://www.faa.gov/documentLibrary/ media/Advisory_Circular/150_5190_6. pdf Provides basic information concerning the prohibition of exclusive rights. Discusses statutory basis for the prohibition. Provides examples of prohibited exclusive rights and exceptions. Exceptions include the following:  Denial of access based on safety or efficiency, provided that the FAA is the final authority to determine what, in fact, compromises safety.  Regulation of aircraft owner/operator self-servicing and self-fueling in the interests of safety and efficiency.  Exercise of airports’ proprietary right to provide commercial aeronautical services on an exclusive basis. Discusses statutory provisions defining when the presence of a single FBO cannot be treated as an exclusive rights violation. Includes definitions of aeronautical activity and of exclusive right. References Order 5190.1A as related reading material.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-7 AC-150/5190-7, Minimum Standards for Commercial Aeronautical Activities (08-28-2006); http://www.faa.gov/documentLibrary/ media/advisory_circular/150-5190- 7/150_5190_7.pdf Provides basic information on the FAA’s recommendations for commercial minimum standards and related policies. Notes that although minimum standards are optional, they are highly recommended by the FAA. Discusses the reasons the FAA recommends the adoption of reasonable minimum standards Lists five considerations for applying minimum standards to meet the Grant Assurance obligation to provide access on reasonable terms, without unjust discrimination, as follows: 1. Apply standards to all providers of aeronautical services, from full service FBOs to single service providers; 2. Impose conditions that ensure the safe and efficient operation of the airport in accordance with the FAA’s rules, regulations and guidance; 3. Ensure standards are reasonable, not unjustly discriminatory, attainable, uniformly applied and reasonably protect the investment of providers of aeronautical services to meet minimum standards from competition not making a similar investment; 4. Ensure standards are relevant to the activity to which they apply; and 5. Ensure standards provide the opportunity for newcomers who meet the minimum standards to offer their aeronautical services within the market demand for such services. Encourages Sponsors to publish minimum standards separately rather than incorporate them into leases, and to update the minimum standards periodically. Discusses the need to tailor minimum standards to each type and class of service and, in particular, not imposing all of the minimum standards applicable to a full service FBO on SASOs. Provides sample questions that would be applicable in developing minimum standards for specific commercial aeronautical activities.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-8 AC 150/5360-14, Access to Airports by Individuals with Disabilities (06-30- 1999); http://www.faa.gov/documentLibrary/ media/advisory_circular/150-5360- 14/150_5360_14.PDF Assists airports in complying with laws and regulations regarding individuals with disabilities, including  The Americans With Disabilities Act of 1990 (ADA)  The Air Carrier Access Act of 1986 (ACAA)  The Rehabilitation Act of 1973 Architectural Barriers Act of 1968 (Barriers Act) Includes an overview of each of the listed legislations. Provides a technical discussion of the provisions of each of the laws applicable to airports. Discusses the reasonable accommodation requirement of the ADA. Specifies that airport Sponsors’ obligations under Title II of the ADA include ensuring that lessees and licensees comply with Title III. Discusses requirements for providing ground transportation by entities whose business is providing ground transportation services and entities that provide ground transportation as an ancillary service, including vehicle requirements. Discusses the requirement to provide an accessible path of travel when making terminal alterations. DRAFT AC 150/5050-4A, Community Involvement in Airport Planning (10/07/2016); https://www.faa.gov/documentLibrary/ media/Advisory_Circular/draft-150- 5050-4A.pdf The draft is referenced because the existing AC was published in 1975. It is anticipated that a final version of the updated AC will be published before or shortly after the publication of the Guidebook. Topics addressed include the following:  The need for community involvement;  The FAA’s role in community involvement;  AIP and PFC funding of community involvement; and  Planning, implementing and evaluating the effectiveness of community involvement. This draft AC will assist Sponsors in complying with Grant Assurance 6, Consistency with Local Plans; Grant Assurance 7, Consideration of Local Interests; Grant Assurance 9, Public Hearings; and other requirements with a public input component, such as NEPA environmental reviews and master planning in support of ALP updates (Grant Assurance 29).

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-9 CGL 2012-01, FAA Implementation of Public Law 112-95 Section 813, Use of Mineral Revenue at Certain Airports (05-16-2012); http://www.faa.gov/airports/airport_co mpliance/mineral_revenue/media/cgl2 012-01Sec813MineralRevenue.pdf Provides procedures and documentation required from general aviation airport Sponsors and the FAA to grant exemptions from Grant Assurance 25, Airport Revenues, to permit the use of airport revenue derived from mineral extraction activities for defined non-airport purposes, specifically federal, state or local transportation infrastructure projects carried out by the Sponsor within the Sponsor’s jurisdiction. Exemption is only available for revenue in excess of that needed to provide for operations, maintenance and capital investments identified in a five-year capital improvement program (CIP) CGL 2013-01, FAA Review of Existing and Proposed Residential Through- the-Fence Access Agreements (06-13- 2013); https://www.faa.gov/airports/airport_c ompliance/residential_through_the_fen ce/media/cgl2013-1RTTF.pdf Provides guidance to the FAA’s staff in terms of implementing section 136 of the FAA Modernization and Reform Act, PL 112-95, which permits general aviation airports to enter into residential through-the-fence (residential TTF) access agreements if conditions and requirements specified in section 136 are met. The FAA considers the provision to prohibit new residential TTF arrangements at commercial service airports. Discusses changes to Grant Assurance 5, Preserving Rights and Powers and Grant Assurance 29, Airport Layout Plan, adopted by the FAA to meet the requirements of section 136. Discusses procedures for submission and review of residential TTF access agreements or access plans (including access plans for existing residential TTF access at commercial service airports). Discusses events that would trigger a requirement to resubmit an access agreement or to update an access plan. Discusses requirements for airport layout plan (ALP) approval of new residential TTF access points. Discusses prohibitions on commercial activities and commercial aircraft fueling at residential TTF properties. NOTE: This document is a companion to the FAA’s Policy Statement on Residential TTF access included in this table.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-10 CGL 2014-01, Procedures for Accepting and Investigating 14 CFR Part 13 Informal Complaints Alleging Violations of Grant Assurance Obligations and Surplus Property Deed Restrictions (July 1, 2014); http://www.faa.gov/airports/airpo rt_compliance/complaints/media/ CGL-2014-01-investigating- part13-complaints.pdf Provides instruction to the FAA’s personnel for accepting and processing informal complaints (Reports of Violation) under 14 CFR §13.1. Topics addressed include:  Scope of issues and the FAA’s authority;  Procedures for accepting informal complaints and conducting investigations;  Conduct of mediation by the FAA’s personnel;  Form and content for written disposition of informal complaints; and  Authority and processes for considering proposals to revoke, deny or withhold AIP grants based on the results of a Part 13 investigation. Order 1400.11, Non-Discrimination in Federally Assisted Programs at the Federal Aviation Administration (FAA) (08-27-13); https://www.faa.gov/documentlibrar y/media/order/faa_1400_11.pdf Implements non-discrimination provisions of Title VI of the Civil Rights for federally assisted programs administered by the FAA. Specifies prohibited discriminatory practices. Specifies the responsibilities of various FAA offices and of Sponsors (as recipients) in implementing Title VI. Specifies the requirements for Title VI monitoring of AIP-funded airport projects. Specifies the requirements for Title VI monitoring of Sponsors. Describes procedures for investigating complaints. Describes enforcement procedures. Order 5100.38D, Airport Improvement Program Handbook (09-30-2014); http://www.faa.gov/airports/aip/aip_ handbook/media/AIP-Handbook- Order-5100-38D.pdf Replaces Order 5100.38C, described below. Provides guidance for the implementation of laws, regulations and the FAA’s policies to comply with requirements under the AIP program, including public hearings, consistency with local plans, coordination with users and similar requirements. Although intended for the FAA’s employees, the order provides information to airports and consultants indirectly by stating the FAA’s policy and requirements to ensure compliance with laws and regulations involving the AIP program.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-11 Order 5100.38C, Airport Improvement Program Handbook (06-28-2005); http://www.faa.gov/airports/airport_ development/omp/funding/PFC_06- 19-C--00- ORD_ADMIN_REC/MEDIA/DOC- 053.pdf (Canceled Publication) Purpose and function are the same as Order 5100.38D. Order 5100.38C is included as a reference because, in some cases, it may explain the requirements included in subtitle VII more extensively than does Order 5100.38D. If there is a conflict between the two versions of the order, the latter (5100.38D) takes precedence. Order 5190.1A, Exclusive Rights at Airports (10-10-1985); http://www.faa.gov/documentLibrar y/media/Order/5190.1A.pdf Discusses prohibitions on the granting of exclusive rights at airports. Defines aeronautical activity and exclusive rights. Implements statutory provisions specifying that the presence of a single FBO cannot be treated as an exclusive rights violation if it is unreasonably costly, burdensome or impractical for more than one FBO to provide the services, and if allowing more than one FBO to provide the services requires a reduction in space leased under an existing agreement between one FBO and the airport Sponsor (emphasis added). Guidance generally tracks later guidance documents on the subject of exclusive rights. Order 5190.6B, Airport Compliance Manual (09-30-2009); http://www.faa.gov/airports/resource s/publications/orders/compliance_51 90_6/ Provides comprehensive guidance on the FAA’s Airport Compliance Program, Grant Assurance requirements, investigation and enforcement procedures and penalties. The Table of Contents for the Order is reproduced in Section F-5 of this Appendix.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-12 DOT Order 1050.2A, DOT Standard Title VI Assurances and Non- Discrimination Provisions; https://www.faa.gov/about/office_or g/headquarters_offices/acr/com_civ_ support/non_disc_pr/media/dot_orde r_1050_2a_standard_dot_title_vi_as surances.pdf Provides required language for general assurances implementing Title VI of the Civil Rights Act to be used by all modal administrations of DOT, including the FAA. Provides required language implementing Title VI to be included in all bid solicitations, requests for proposals (RFP) and contracts receiving federal funds administered by DOT modal administrations, including AIP grants. Air Carrier Incentive Program Guidebook: A Reference for Airport Sponsors (September 2010); http://www.faa.gov/airports/airport_ compliance/media/air-carrier- incentive-2010.pdf In a question and answer format, it provides guidance on permitted and prohibited practices and types of incentive programs for air service. Explains the role of Grant Assurance 22, Economic Non-discrimination, and Grant Assurance 23, Exclusive Rights, in defining permitted and prohibited practices. Explains the differences in the types of incentive programs that can be offered for two years and those that can be offered for only one year. Reiterates that payment of a cash subsidy or guarantee to a carrier is a prohibited use of airport revenue. Policy and Procedures Concerning the Use of Airport Revenue: Petition of Clark County Department of Aviation to Use a Weight-Based Air Service Incentive Program, 77 FR 21146 (April 9, 2012); https://www.gpo.gov/fdsys/pkg/FR- 2012-04-09/pdf/2012-8399.pdf Document grant in part a petition by the Clark County Department of Aviation’s petition, by redefining “new air service” to include both increasing of frequencies in an existing market and upgauging (increase aircraft size) on an existing route. To qualify for an incentive, the upguaging may not result in a decrease in frequencies in the market, and my not be offered on a continuing basis. In other words, once the initial incentive period for upguaging in a specific market expires, the Sponsor may not offer additional incentives for another round of upguaging.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-13 Interim Guidance on Land Uses Within a Runway Protection Zone (09-27-2012); https://www.faa.gov/airports/plannin g_capacity/media/interimlanduserpz guidance.pdf Provides Interim Guidance on addressing the introduction of new non-compatible land uses in runway protection zones (RPZ). Defines the types of incompatible uses and circumstances subject to the coordination requirements of the Interim Guidance (the focus is on land uses creating hazards to persons or property on the ground). Requires the FAA’s staff to work with Sponsors to develop an alternative analysis to (1) avoid the incompatible use; (2) minimize the impact of the incompatible use; and (3) mitigate the hazards of the incompatible use. Establishes documentation requirements for alternative analysis. Specifies that the Interim Guidance only applies to new or modified land uses.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-14 Airport Improvement Program: Policy Regarding Access to Airports from Residential Property, 78 FR 42419 (07-16-2013); https://www.gpo.gov/fdsys/pkg/FR- 2013-07-16/pdf/2013-16917.pdf Discusses each of the statutory requirements for general aviation airport residential TTF access agreements. Confirms the prohibition of new residential TTF access agreements at commercial service airports and the requirement for access plans that specifically address safety at commercial service airports with existing residential TTF access agreements. Clarifies that the prohibition on commercial activity on residential TTF property only applies to commercial aeronautical activity. Clarifies that the prohibition of aircraft fueling on residential TTF property only applies to commercial fueling activity. Specifies that a general aviation airport Sponsor proposing a new residential TTF access agreement must demonstrate compliance with section 136 prior to designating an access point. Sponsors executing access agreements before the FAA has completed its review do so at their own risk. Specifies that Sponsors with existing TTF agreements that permit residential and commercial aeronautical use of the TTF property must execute separate agreements for residential and commercial access, meeting the requirements applicable to each. Includes a separate policy statement on existing residential TTF agreements at commercial service airports. Residential Through the Fence Access Toolkit Airports (undated) https://www.faa.gov/airports/airport_c ompliance/residential_through_the_fen ce/ Web page includes the policy statement discussed immediately above and the contemporaneous Compliance Guidance Letter, (CGL 2013-1), discussed above. Web page also includes links to the governing statutory provision, prior federal register notices and various sample documents, including a sample special condition for approval of ALPs showing residential TTF access points.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-15 ARP Standard Operating Procedure No. 2.00, Standard Procedure for FAA Review and Approval of Airport Layout Plans (ALPs) (10-01-2013); https://www.faa.gov/airports/resources /sops/media/arp-sop-200-alp- review.pdf Establishes standard policies and procedures for the FAA’s review of ALPs and ALP updates. Lists regulations, orders, ACs and other guidance documents relevant to ALP reviews. Lists the roles and responsibilities of Sponsors, state aviation agencies and various FAA offices. Includes an ALP review checklist and sample approval documents. This document may help Sponsors to comply with Grant Assurance 29. ARP SOP No. 3.00, Standard Operating Procedure for FAA Review of Exhibit A Inventory Maps (10-01- 2013); https://www.faa.gov/airports/resources /sops/media/arp-sop-300-exhibit-a- review.pdf Establishes uniform procedures for the FAA’s staff review and acceptance of Exhibit A Property Maps. Defines the role of various stakeholders in the Exhibit A review process. Specifies when new or modified Exhibit As must be submitted. Summarizes applicable law and FAA guidance. Summarizes review processes. Provides a standard Exhibit A review checklist. Specifies that land acquired for noise compatibility must be shown on Exhibit A, but permits the maintenance of a separate noise land inventory map for some airports. Requires the FAA’s staff to maintain Exhibit A files for each airport. Required Contract Provisions for Airport Improvement Program and for Obligated Sponsors (01-29-2016); http://www.faa.gov/airports/aip/procur ement/federal_contract_provisions/ Discusses clauses or provisions required to be included in bid documents, solicitations or contracts to comply with various federal requirements, including many incorporated into Grant Assurance 1, General Federal Requirements. Identifies clauses or provisions that must be included in all contracts, as well as those limited to contracts implementing AIP funded projects. Identifies the source of the requirement and applicability for each clause or provision. Provides recommended or required language to comply with federal requirements.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-16 Unmanned Aircraft Systems for Airports (February 2016) http://www.faa.gov/airports/special_pr ograms/uas_airports/#qn9 In a Q & A format, provides information to airport operators about unmanned aircraft system (UAS) operations on or near airports. Specifies the airport Sponsor’s obligation to accommodate UAS operations holding proper authority. States that UASs using the airport should pay fees comparable to those paid by other transient or based operators. Petition of Aircraft Owners and Pilots Association (AOPA) to Amend FAA Policy Concerning Flying Club Operations at Federally Funded Airports, 81 FR 13719 (March 15, 2016); https://www.gpo.gov/fdsys/pkg/FR- 2016-03-15/pdf/2016-05833.pdf Amends Order 5190.6B to permit flying club members providing flight instruction or aircraft maintenance to be compensated by either direct payment or waiver of membership dues or flight time fees, but not both, and clarifies that flying clubs may not hold out or advertise as FBOs, SASOs, flight schools or aircraft maintenance facilities unless they meet the Sponsor’s minimum standards for these services. Policy on Evaluating Disputed Changes of Sponsorship at Federally Obligated Airports, 81 FR 36144 (June 6, 2016); https://www.gpo.gov/fdsys/pkg/FR- 2016-06-06/pdf/2016-13177.pdf States the FAA’s preference for changes in sponsorship to be consensual. Specifies that, in the event of a disputed change in sponsorship, the FAA will not consider an application to change sponsorship or an application for a new Part 139 Airport Operator’s Certificate until the dispute is resolved, either by a binding agreement or by a non-reviewable judicial determination. Specifies that FAA will independently review the proposed new Sponsor’s qualifications and authority to comply fully with all existing Grant Assurance obligations of the old Sponsor. Specifies that the new Sponsor should reimburse the old Sponsor for unrecovered investment to the extent permitted by the FAA’s Airport Revenue Policy.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-17 Policy on Non-Aeronautical Use of Airport Hangars, 81 FR 38906 (June 15, 2016); https://www.gpo.gov/fdsys/pkg/FR- 2016-06-15/pdf/2016-14133.pdf Clarifies FAA policy on storage of nonaeronautical items in airport hangars designated for aeronautical use. References Grant Assurance 19, Operation and Maintenance and Grant Assurance 22, Economic Nondiscrimination as the relevant Grant Assurance. Defines noncommercial construction of recreational aircraft as an aeronautical use Permits incidental storage of nonaeronautical items, so long as this storage does not interfere with aeronautical use of the hangar. Allows for nonaeronautical storage in vacant hangars when there is no aeronautical demand, with FAA approval. Clarifies that the policy does not create a federal right to use hangars for nonaeronautical storage, and that sponsors may adopt more restrictive policies. Airport Owners and Airport Users Rights and Responsibilities (undated); http://www.faa.gov/airports/airport_co mpliance/media/airportSponsorAndUs erRightsBrochure.pdf Summary of the purpose and authority of Order 5190.6B, and the FAA’s Airport Compliance Program. Discussion of Grant Assurance 5, Preserving Rights and Powers, including recommendations for strong subordination clauses. References to requirements for the disposal of land or a change in land use under Grant Assurance 5. Discussion of Grant Assurance 22, Economic Non-discrimination, including the following:  Grant Assurance 22.a – requirement for access  Grant Assurance 22.h – Sponsor’s right to adopt reasonable rules, regulations and minimum standards  Grant Assurance 22.i – right of the Sponsor to restrict access for safety or efficiency, with FAA approval  Grant Assurance 22.f – self-service of aircraft Discussion of Grant Assurance 23 –Exclusive Rights, including exceptions Discussion of Grant Assurance 24 – Fee and Rental Structure Discussion of Grant Assurance 25 – Airport Revenues

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-18 Airport Owners and Airport Users Rights and Responsibilities (undated); http://www.faa.gov/airports/airport_co mpliance/media/airportSponsorAndUs erRightsBrochure.pdf (con’t) Discussion of complaint resolutions, including both informal complaints under 14 CFR §13.1 and formal complaints under 14 CFR Part 16. Airshows-Ground Operations Plans (undated); https://www.faa.gov/airports/airport_s afety/airshows/ Provides guidance for the development and review of airshow ground operations plans at airports certificated under 14 CFR Part 139. Guidance does not address Grant Assurance requirements, requirements per se, but focuses on Part 139 compliance in connection with airshows. Includes links to additional reference documents for planning and implementing airshows. Mineral Rights Revenue Exemption Toolkit https://www.faa.gov/airports/airport_c ompliance/mineral_revenue/ This FAA web page provides additional guidance concerning the mineral rights revenue exemption available to general aviation airports under Grant Assurance 25, Airport Revenue. In addition to CGL 2012-1 listed above, the web page includes links to policy guidance documents and forms that can be used by Sponsors and by the FAA’s staff in the application and approval processes. Policy and Procedures Concerning the Use of Airport Revenue; Proceeds From Taxes on Aviation Fuel, 79 FR 66282 (November 7, 2014); https://www.gpo.gov/fdsys/pkg/FR- 2014-11-07/pdf/2014-26408.pdf Amends the FAA revenue use policy implementing Grant Assurance 25 to clarify the requirements for taxes on aviation fuel (including the proceeds of general sales taxes collected on the sale of aviation fuel) imposed by the state or local governments other than the Sponsor. For aviation fuel taxes not imposed by the Sponsor, the Sponsor’s obligations are limited to informing the taxing entity about the restrictions on the uses of aviation fuel taxes and taking action reasonably within the Sponsor’s power to tailor the taxes to conform to the restrictions. The FAA will not bring direct enforcement action against a Sponsor resulting from the use of aviation fuel taxes imposed by other entities that do not conform to the restrictions, but may bring enforcement action against the entity imposing the taxes. However, Sponsors continue to be responsible for compliance with Grant Assurance 25 for aviation fuel taxes that they impose.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-19 F-2.3 Regional Compliance Guidance During the research conducted to produce the Guidebook, the FAA’s staff provided examples of regional Grant Assurance compliance guidance documents. All but one of the guidance documents were attached to e-mails; they cannot be readily accessed via the Internet. Therefore, Table F-2 below is limited to the single regional guidance document that is currently available on the Internet. This document was obtained through the FAA’s Central Region Airports Division homepage at https://www.faa.gov/airports/central/. If the link included in the table is broken, the document might be located by searching that homepage, or by using a general Internet search engine, such as Google.com.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-20 Table F-2, Synopsis of the FAA’s Regional Guidance on Grant Assurance Requirements Region Title Summary ACE Airport Sponsor’s Guide, http://www.faa.gov/airports/central/aip/spo nsor_guide/media/0100.pdf The primary focus is on AIP funding and project development and implementation. Includes a brief discussion of Grant Assurances

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-21 Section F-3, Synopses of ACRP Publications This section discusses the ACRP publications, in addition to LRD 21 and LRD 13, discussed in Appendix E, that include information concerning Grant Assurance requirements. A total of 17 publications were identified, consisting of the following:  Nine ACRP research reports;  Seven ACRP legal research digests (LRDs); and  One ACRP synthesis report. Many of the publications did not deal exclusively with Grant Assurance requirements. Instead, the Grant Assurance requirements were addressed as part of a broader discussion of the issues covered in the publications. Table F-3 describes the discussion of Grant Assurance requirements in each of these ACRP publications. The URLs for each document were obtained through the ACRP Publications web page, http://www.trb.org/Publications/PubsACRPPublications.aspx. If a particular link is broken, the document might be located by searching that web page or using a general Internet search engine, such as Google.com.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-22 Table F-3, Synopses of ACRP Publications with Information about Grant Assurance Requirements Pub. No. Title Comments ACRP 16 (2009) Guidebook for Managing Small Airports; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_ 016.pdf Brief descriptions of some regulations included in Grant Assurance 1, General Federal Requirements. Reference to Policy and Procedures on Use of Airport Revenue, but no discussion. Brief description of the Uniform Relocation Act requirements (with omissions) included in Grant Assurance 1 and Grant Assurance 35, Relocation and Real Property Acquisition. Discussion of minimum standards and the FAA’s requirements for the same. Discussion of airport rules and regulations and the FAA’s requirements for the same. Discussion of the prohibition on Exclusive Rights (Grant Assurance 23). Discussion of requirements for rates and charges limited to the FAA’s recommendation to include escalation clauses in leases longer than five years (from Order 5190.6B). Brief discussion of Grant Assurance 21, Compatible Land Use. Brief discussion of Notice to Airmen (NOTAM) procedures required by Grant Assurance 19.a.3 (Operation and Maintenance). Includes NOTAM AC number. Brief reference to Pavement Preventive Maintenance requirement (Grant Assurance 11). Discussion of the FAA’s design standards and primary design AC required to be followed by Grant Assurance 34, Policies, Standards and Specifications. Discussion of strategies to ensure Compatible Land Use (Grant Assurance

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-23 ACRP 16 (2009) (con’t) Guidebook for Managing Small Airports; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_ 016.pdf (con’t) 21), but no specific reference to the assurance. Discussion of consultant selection requirements (Grant Assurance 32, Design and Engineering Services). Discussion of construction management and project oversights (Grant Assurance 17, Construction Inspection and Approval). Mention of Grant Assurance 14, Minimum Wage Rates and Grant Assurance 30, Civil Rights. Discussion of environmental compliance requirements (various statutes, regulations and Executive Orders included in Grant Assurance 1, General Federal Requirements). Discussion of requirements for protecting airspace and approaches (Grant Assurance 20, Hazard Removal and Mitigation; Grant Assurance 21, Compatible Land Use).

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-24 ACRP 27 (2010) Enhancing Airport Land Use Compatibility; http://www.trb.org/main/blurbs/163344.aspx (Vol. 1) http://www.trb.org/main/blurbs/163345.aspx (Vol. 2) This report is issued in three volumes. Volume 1 provides guidance designed to help to protect airports from incompatible land uses that impair current and future airport and aircraft operations and safety. It identifies compatibility issues for noise and safety and discusses the FAA’s requirements, including Part 150 (noise) and Part 77 (obstructions and hazards). Volume 2 includes 15 case studies that targeted a wide range of airports and land use issues. The case study sites include large commercial service, military and general aviation airports, and are geographically diverse. Volume 2 also provides states and local governments with examples and a common basis for establishing zoning that protects the public interest and investment in airports. Volume 3 contains three separate components: (1) aircraft accident data; (2) a framework for an economic assessment of airport costs; and (3) an annotated bibliography. Links to each of these components can be accessed through either of the URLs listed for Volume 1 or Volume 2. This report helps airport Sponsors to comply with Grant Assurance 20, Hazard Removal and Mitigation and Grant Assurance 21, Compatible Land Use. ACRP 38 (2010) Understanding Airspace, Objects and Their Effects on Airports; http://www.trb.org/Publications/Blurbs/164477.asp x This report provides a comprehensive description of the regulations, standards, evaluation criteria, and processes designed to protect the airspace surrounding airports. Part 77 requirements are discussed, as well as the roles and responsibilities of the local government with the permitting authority, the airport Sponsor and the proponent of a construction project. Chapter 4 includes recommendations and best practices for airport management, local and regional planning agencies and municipal authorities and building developers. This report will help Sponsors to meet their obligations under Grant

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-25 ACRP 38 (2010) (con’t) Assurance 20, Hazard Removal and Mitigation and Grant Assurance 21, Compatible Land Use. ACRP 47 (2011) Guidebook for Developing and Leasing Airport Property, http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_ 047.pdf References to Order 5190.6B. Reference to benefits of minimum standards to maintain compliance with Grant Assurances. Comparison of two distinct rate-setting models, compensatory and residual. Recommendation for the treatment of impact fees for development.in a lease. Discussion of 49 CFR Part 21, included in Grant Assurance 1, General Federal Requirements. Discussion of potential compliance issues under Grant Assurance 22, Economic Non-discrimination and Grant Assurance 23, Exclusive Rights, arising from non-compete clauses in leases. Discussion of potential compliance issues under Grant Assurance 24, Fee and Rental Structure, arising from right-of-first-refusal clauses that specify lease rates when the right is exercised. Discussion of multiple Grant Assurances affecting development projects and leases on airports, including the following:  Grant Assurance 5, Preserving Rights and Powers;  Grant Assurance 6, Consistency with Local Plans;  Grant Assurance 7, Consideration of Local Interest;  Grant Assurance 8, Consultation with Users;  Grant Assurance 20, Hazard Removal and Mitigation;  Grant Assurance 21, Compatible Land Use;  Grant Assurance 22, Economic Non-discrimination;

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-26 ACRP 47 (2011) (con’t)  Grant Assurance 23, Exclusive Rights;  Grant Assurance 24, Fee and Rental Structure;  Grant Assurance 29, Airport Layout Plan;  Grant Assurance 31, Disposal of Land;  Grant Assurance 38, Hangar Construction; and  Grant Assurance 39, Competitive Access. The discussion of Grant Assurances 6, 7 and 8 fails to specify that these assurances only apply to projects funded using AIP grants. Discussion of other potential Grant Assurance compliance issues that could arise through airport leasing or development, including the following:  TTF Operations (multiple assurances);  Minimum Standards (multiple assurances); and  Airport rules and regulations (multiple assurances). Discussion of the FAA’s role in airport planning and development. Discussion of methods for determining fair market value. Discussion of an airport’s obligation to maximize revenue under Grant Assurance 24. The discussion lists certain intangible benefits of job creation or enhancement of tax revenue the FAA does not recognize as relevant considerations under Grant Assurance 24. Best practice recommendations for leasing practices and policies generally consistent with Grant Assurance requirements. ACRP 58 (2011) Airport Industry Familiarization and Training for Part-Time Airport Policy Makers; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_ 058.pdf Brief discussion Grant Assurance 25, Airport Revenues. Brief discussion of Grant Assurance 22, Economic Nondiscrimination. Brief discussion of special events (multiple Grant Assurances). Brief discussion of federal requirements for rules and minimum standards, as well as recommended subjects for minimum standards (multiple Grant

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-27 Assurances). ACRP 66 (2012) Considering and Evaluating Airport Privatization; http://www.trb.org/main/blurbs/167156.aspx The report covers a range of potential privatization options and highlights case studies conducted at a variety of airports, both within the United States and internationally In sections 4.3, 5.3 and 6.3, the report discusses specific Grant Assurance requirements likely to arise under various models for privatization of AIP- obligated airports, as follows:  Grant Assurance 5, Preserving Rights and Powers (in particular as applied to the sale or lease of airports or full airport management contracts)  Grant Assurance 22, Economic Non-discrimination  Grant Assurance 23, Exclusive Rights  Grant Assurance 24, Fee and Rental Structure  Grant Assurance 25, Airport Revenues. ACRP 90 (2013) Impact of Regulatory Compliance Costs on Small Airports; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_ 090.pdf The focus is on the cost impacts of regulatory and compliance requirements. Regulatory and compliance requirements are listed but are not described. Limited discussion of individual Grant Assurances. ACRP 114 (2014) Guidebook for Through the Fence Operations; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_rpt_ 114.pdf Chapters 2 and 3 and section 5.4 discuss requirements and airport Sponsor rights regarding TTF operations in general. Section 2.2 addresses the specific requirements for residential TTF access. Chapter 6 includes a discussion on the structuring of TTF access policies, rents and charges and TTF agreements to comply with applicable Grant Assurances.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-28 ACRP 138 (2015) Preventive Maintenance at General Aviation Airports; http://www.trb.org/Publications/Blurbs/172852.asp x (Volume 1) http://www.trb.org/Main/Blurbs/172853.aspx (Volume 2) This report was issued in two volumes. Volume 1 is a primer that discusses the role general aviation airports play in the community and in the national aviation system. The primer also reviews the various infrastructure assets at airports and outlines the value of planning and prioritizing preventive maintenance in the budgeting process and the impact on operations if a Sponsor fails to conduct preventive maintenance. In addition, it identifies basic principles for establishing and implementing a preventive maintenance program. Volume 2 is a primer providing guidance on conducting preventive maintenance for typical airport physical infrastructure assets. The Guidebook also contains a CD-ROM that includes checklists that airport staff can customize for their use, as well as a PowerPoint presentation concerning the importance of budgeting for preventive maintenance that can be shown to governing boards or communities. This report will help Sponsors to meet their obligations under Grant Assurance 11, Preventive Pavement Maintenance and Grant Assurance 19, Operation and Maintenance. ACRP-156 (2016) Guidebook for Managing Compliance with Federal Regulations: An Integrated Approach; http://www.trb.org/Publications/Blurbs/174389.asp x Chapter 2 describes the benefits of an integrated Compliance Management System (CMS) and outlines best practices for the development and implementation of a CMS. Chapters 3 and 4 provide instructions for the use of a Regulatory Compliance Management Tool (RCM Tool) that accompanies the Guidebook. The RCM Tool is a Microsoft Excel spreadsheet that can be downloaded from the same URL as the Guidebook itself. The RCM Tool includes a list, with brief descriptions, of federal regulations applicable to the aviation/airside infrastructure, facilities and activities of commercial service and general aviation, federally obligated airports. The list is not limited to the regulations specified in Grant Assurance 1 General Federal Regulations. It includes 345 separate entries for regulations issued by a total of 17 federal agencies, as well as 14

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-29 entries for statutes. ACRP 169 (2017) Clean Water Act Requirements for Airports; http://www.trb.org/Publications/Blurbs/175472.asp x Describes the environmental regulations and permitting programs to which airports may be subject in their management of storm water and other types of water resources. Covers governing federal programs, storm water discharges associated with industrial activities, construction activities and municipal separate storm sewer systems, the processing of water or wastewater treatment discharges, industrial wastewater pretreatment discharges and other relevant permit programs. Includes a discussion of the definition of “Waters of the United States” (WATUS), which is the basis for federal jurisdiction. The report will help Sponsors to meet their obligations related to water resources under the requirements in Grant Assurance 1, General Federal Requirements. ACRP LRD 1 (JAN 2008) Compilation of Airport Law Resources; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 001.pdf Lists federal statutes and regulations governing airports, with general Internet links to publication sources. Lists case law reporters and case compilations for judicial and administrative decisions, with Internet links to the extent available. Lists FAA and DOT compilations with Internet links. Lists secondary sources, such as Corpus Juris Secundum, legal periodicals, non-legal periodicals, with Internet links to the extent available. Internet links to government and public agencies with relevant publications. Lists state transportation agency websites. Includes an Index of Airport Law Topics and Federal Resources. Topics include access restrictions, environmental reviews, airport finance and Grant Assurances. Resources include legal periodical articles and other legal publications,

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-30 federal agency reports, advisory circulars, policy statements, regulations and other policy documents and federal court decisions. ACRP LRD 2 (MAY 2008) Theory and Law of Airport Revenue Diversion; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 002.pdf Overview of airport finance, including federal and state grants and passenger facility charges (PFCs). Overview of federal legislation governing airports. Discussion of specific statutory provisions governing the use of airport revenues, including additional refinements and restrictions adopted by Congress in the 1990s. Discussion of airports subject to Grant Assurance 25, Airport Revenues. Discussion of the definition of airport revenue. Discussion of permitted uses of airport revenue. Discussion of prohibited uses of airport revenue. The discussions include references to relevant provisions of the 1999 Policy and Procedures Concerning the Use of Airport Revenue and individual opinion letters and memoranda addressing specific situations. Detailed discussion of selected significant controversies between Sponsors and the FAA over the use of airport revenue. A discussion of Grant Assurance 24, Fee and Rental Structure, is also included. ACRP LRD 5 (MAR 2009) Responsibility for Implementation and Enforcement of Airport Land-Use Zoning Restrictions; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 005.pdf Discusses federal, state and local authority over land use near airports, including federal preemption. Discusses the FAA’s Airport Noise Compatibility Planning Toolkit, http://www.faa.gov/about/office_org/headquarters_offices/aep/planning_t oolkit/. Lists statutes, regulations, advisory circulars and other guidance documents relating to compatible land use, with brief descriptions of each. Brief discussion of 14 CFR Par 77, Safe, Efficient Use, and Preservation of Navigable Airspace, and the imaginary surfaces identified in the regulation.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-31 Brief discussion of 14 CFR Part 150, Airport Noise Compatibility Planning (included in Grant Assurance 1, General Federal Requirements). ACRP LRD 8 (DEC 2009) The Right to Self-Fuel; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 008.pdf Discusses the self-service assurances (22.d and 22.f) in the context of Grant Assurance 23, Exclusive Rights, Grant Assurance 5, Preserving Rights and Powers, and the Sponsor’s right to adopt reasonable regulations and minimum standards (Grant Assurance 22.i). References specific discussions of self-service rights and limitations contained in Advisory Circulars (ACs) on exclusive rights (AC 150/5190- 6) and minimum standards (AC 150/5190-7). References then-current FAA policy to treat the unreasonable denial of self-service rights (as well as other violations of Grant Assurance 22) as a constructive prohibited Exclusive Right under Grant Assurance 23. Provides texts of the relevant Grant Assurances. Includes a copy of AC 150/5190-6. Index and abstracts of the FAA’s determinations interpreting the self- service right. Many of the determinations address other elements of Grant Assurance 22 and other Grant Assurances. Abstracts appear to be derived from LRD 4, Compilation of FAA Airport Legal Determinations and Opinion Letters Through December 31, 2007 (2008), which was superseded by LRD 21, Compilation of FAA Airport Legal Determinations and Opinion Letters Through December 31, 2012 (2013). ACRP LRD 10 (SEP 2010) Analysis of Federal Laws, Regulations, and Case Law Regarding Airport Proprietary Rights; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 010.pdf Brief discussion of Grant Assurance 5, Preserving Rights and Powers, and the “proprietary rights exception” under Grant Assurance 23, Exclusive Rights. Brief discussion of the limitations imposed on Proprietary Rights by Grant Assurance 22.a, requiring reasonable access for aeronautical use, and Grant Assurance 24, Fee and Rental Structure. Discussion of selected court and FAA decisions finding exercises of proprietary rights to limit access within the airport’s Proprietary Rights and finding limits beyond the scope of the Proprietary Rights.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-32 ACRP LRD 10 (SEP 2010) (con’t) Analysis of Federal Laws, Regulations, and Case Law Regarding Airport Proprietary Rights; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 010.pdf (con’t) Discussion of cases interpreting the requirement to charge reasonable and not unjustly discriminatory rates and charges, Grant Assurance 22.e, 22.a. List of judicial decisions interpreting the airports’ Proprietary Rights and the limitations on these rights. ACRP LRD 11 (FEB 2011) Survey of Minimum Standards: Commercial Aeronautical Activities at Airports; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 011.pdf Discusses federal requirements applicable to airports’ minimum standards. Includes examples of Part 16 determinations and judicial decisions addressing minimum standards’ compliance with Grant Assurances. Includes examples of Part 16 determinations and judicial decisions finding Sponsor enforcement practices in compliance or in violation of Grant Assurance requirements. Includes a listing of FAA and airport industry guidance documents on the subject of minimum standards. Appendices include survey results and interview summaries discussing various issues surrounding minimum standards, including the frequency of complaints to the FAA about minimum standards and a compendium of comparative minimum standards. ACRP LRD 23 (FEB 2015) A Guide for Compliance With Grant Assurance Obligations to Provide Reasonable Access to an AIP-Funded Public-Use General Aviation Airport; http://onlinepubs.trb.org/onlinepubs/acrp/acrp_lrd_ 023.pdf List of cases finding violations of Assurances 22, Economic Non- discrimination and Grant Assurance 23, Exclusive Rights. List of cases for safety exceptions. Description of roles and process for Part 13, 16. Appendix B, Practical Guide to Lease and Use of Airport Property. ACRP Synthesis Airport Revenue Diversification; Partial listing of Grant Assurances. Discussion of the FAA’s role in funding airports’ capital projects.

ACRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-33 (SYN) 19 (2010) http://onlinepubs.trb.org/onlinepubs/acrp/ acrp_syn_019.pdf Brief discussion of restrictions on the use of airport revenue and the use of airport land. Brief discussion of FAA airports’ financial reporting requirements (Grant Assurance 26, Reports and Inspections).

CRP Project 03-38 (FY 2015) Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-34 Section F-4, Synopses of Other Publications This section discusses other publications reviewed during the research for the Guidebook that discuss Grant Assurance requirements. A total of six publications are addressed, consisting of the following:  Three Guidebooks published by aviation industry associations (two by the Aircraft Owners and Pilots Association (AOPA) and one jointly by the National Air Transportation Association (NATA) and the American Association of Airport Executives (AAAE));  One report issued by the Government Accountability Office (GAO); and  Two Guidebooks published by state aviation agencies (Minnesota and Wisconsin). None of the publications dealt exclusively with Grant Assurance requirements, but they were addressed as part of a broader discussion of the issues covered in the publications. Table F-4 describes the subjects discussed in each of the publications reviewed. The state aviation agency documents and AOPA documents were obtained from the respective organizations’ home pages, as follows:  AOPA https://www.aopa.org/  Minnesota Aeronautics Division: http://www.dot.state.mn.us/aero  Wisconsin Aeronautics Bureau: http://wisconsindot.gov/Pages/doing- bus/aeronautics/resources/default.aspx. If one of the links included in Table F-4 is broken, the document may be obtained by visiting the organizations’ home pages or by using a general Internet search engine, such as Google.com. The NATA/AAAE document was obtained from a third-party website; the original link is no longer available. Neither the NATA website nor the AAAE website has links to the document, but each has contact information, which may be used to request a copy. The home page for NATA is http://nata.aero/. The home page for AAAE is www.aaae.org.

ACRP Project 03-38 (FY 2015 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-35 Table F-4, Summary of Other Publications Reviewed Organization Title Comments Airport Owners and Pilots Association (AOPA) (undated) AOPA’s Guide to Airport Compliance; https://www.aopa.org/- /media/Files/AOPA/Home/News/All- News/2012/June/Airport-land-swap-talks-to- include-GA/120112asn-faa-airport- compliance.pdf Brief description of the source of federal requirements such as the AIP grants, Surplus Property Act transfers of land and other statutory land transfers. List of references to determine whether a particular airport is subject to federal requirements. Lists titles of Grant Assurances. Summary of the FAA’s Airport Compliance Program. Summary of compliance topics discussed in FAA Order 5190.6B. Summary of the FAA’s informal investigations under 14 CFR Part 13 and the FAA’s role in alternative dispute resolution. Summary of the FAA’s formal investigations under 14 CFR Part 16. Grant Assurance text at the time of publication. Listing of the FAA’s airport offices and state aviation offices. AOPA (undated) AOPA’s Guide to Airport Noise and Compatible Land-Use; https://www.aopa.org/- /media/Files/AOPA/Home/Supporting-General- Aviation/Get-Involved/Airport-Support- Network/AOPA-Resources-for-You/120112asn- airport-noise-compatible-land-use.pdf Discussion of noise measurements, including LDN and CNEL metrics. Discussion of strategies to enhance noise compatibility through voluntary actions on the part of pilots, flight instructors, FBOs and airport managers. List of the FAA’s regulations, advisory circulars and other material related to noise compatibility. Discussion of residential encroachment and the use of zoning to prevent incompatible land use. Brief discussion of Grant Assurance 20, Hazard Removal and Mitigation and Grant Assurance 21, Compatible Land Use requirements applicable

ACRP Project 03-38 (FY 2015 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-36 AOPA (undated) (con’t) AOPA’s Guide to Airport Noise and Compatible Land-Use (con’t); https://www.aopa.org/- /media/Files/AOPA/Home/Supporting-General- Aviation/Get-Involved/Airport-Support- Network/AOPA-Resources-for-You/120112asn- airport-noise-compatible-land-use.pdf to airports’ involvement in zoning actions. Discussion of zoning processes. Example of the Florida airport zoning statute. Brief discussion of housing and building codes, land and air rights acquisition, Part 150 Noise Compatibility programs and real estate disclosures. List of reference materials. NATA & AAAE (OCT 1996) Airport Sponsor’s Guide to Preparing Minimum Standards for Airport Aeronautical Service Providers and Airport Rules and Regulations. (Use the associations’ websites to obtain contact information to request copies of this document The home page for NATA is http://nata.aero/. The home page for AAAE www.aaae.org.) Discusses the two Grant Assurances related to establishment of minimum standards and airport rules and regulations, Grant Assurance 22.a and Grant Assurance 22.h. Discusses the purposes and benefits of minimum standards. Discusses the roles of the FAA and airport tenants in reviewing minimum standards. Recommends having minimum standards in place as a basis for lease negotiations. Discusses the exercise of airport Proprietary Rights, including the right to sell fuel. Discusses the role of the FBO as an agent manager of airports. Discusses Grant Assurance 23, Exclusive Rights. Lists potential subjects for airport regulations. Discusses the right to self-service and self-fuel aircraft and an airport’s right to regulate these activities. States that a Sponsor is not required to recognize a fueling co-op as a self-service activity. Discusses the status of flying clubs and the applicability of minimum standards and rules and regulations. Briefly discusses the FAA’s role in addressing complaints, emphasizing that termination of grant funding is a last resort. Discusses the importance of the fair and consistent application of

ACRP Project 03-38 (FY 2015 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-37 minimum standards. Appendix A provides a Sample Minimum Standards document. Government Accountability Office (GAO) (DEC 1998) FAA Complying With Requirement for Local Involvement in Noise Mitigation Project, GAO RCED 99-41; http://www.gao.gov/products/RCED-99-41 Report prepared to address a Congressional inquiry regarding whether a specific large-hub airport and the FAA were complying with the requirement for local involvement in a noise mitigation project. Describes the Grant Assurance Requirement for written acknowledgment from each locality affected by a project. Describes the FAA’s policy of relying on other means to ensure consistency. Concludes that FAA and the large-hub airport in question satisfied the requirement for local involvement. Minnesota Department of Transportation, Office of Aeronautics (SEP 2006) Airport Land Use Compatibility Manual; http://www.dot.state.mn.us/aero/planning/docum ents/airportlandusecompatabilitymanual/airportla ndusecompatabilitymanual.pdf Brief discussion of the FAA’s role in funding land acquisition and the purchase of easements to ensure airports’ land use compatibility. Brief discussion of Grant Assurances relating to compatible land use. Discussion of 14 CFR part 77, Objects Affecting Navigable Airspace (related to Grant Assurance 20, Hazard Removal and Mitigation and Grant Assurance 21, Compatible Land Use). Includes tables discussing the compatibility of various land uses based on the FAA’s requirements and Minnesota’s requirements. Includes a table of strategies to prevent incompatible land uses and a table of strategies to correct incompatible land uses. Brief summaries of ACs providing guidance on compatible land use issues.

ACRP Project 03-38 (FY 2015 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-38 Wisconsin Bureau of Aeronautics (06/01/2011) Wisconsin Airport Land Use Guidebook; http://wisconsindot.gov/Documents/doing- bus/aeronautics/resources/arptlusguibk.pdf Discussion of a safety basis for airports’ land use compatibility planning, including a discussion of accident statistics. Discussion of the FAA’s requirements, including 14 CFR Part 77 and AC 150/5300-13, Airport Design Standards, with an URL. Extensive discussion of Part 77 Imaginary Surfaces. Discussion of airport noise compatibility, including the following:  Commonly used noise metrics;  Commonly recognized effects of airport noise, such as sleep interference or speech interference; and  The FAA’s noise compatibility standards in 14 CFR Part 150. Discussion of types of safety-related compatibility issues, such as building height, glare, or wildlife attractants, with an URL for AC 150/5200-33B, Wildlife Attractants on or Near Airports. Listing of the FAA’s guidance documents on the subject of sanitary landfills as incompatible land uses. Discussion of compatibility issues created by the location of residential land uses near airports. Brief discussion of Grant Assurances relating to compatible land use with URLs for the FAA’s guidance material. Discussion of Wisconsin statutes and regulations relating to airport- compatible land use. Discussion of the respective roles of the FAA, Wisconsin, regional planning agencies, local governments and airport operators in airports’ land use compatibility planning. Discussion of strategies to ensure compatible land use. Appendix A includes the model FAA airport zoning ordinance, AC150/5190-4A, A Model Zoning Ordinance to Limit Height of Objects Around Airports.

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-39 Section F-5 Order 5190.6B Table of Contents Table of Contents Order 5190.6B Part 1: Background Chapter 1 - Scope and Authority 1.1. Purpose ............................................................................................................................................. 1-1 1.2. Audience .......................................................................................................................................... 1-1 1.3. Where Can I Find this Order? .......................................................................................................... 1-1 1.4. Cancellation of Order 5190.6A ........................................................................................................ 1-1 1.5. Introduction ...................................................................................................................................... 1-1 1.6. Scope ................................................................................................................................................ 1-1 1.7. Background ...................................................................................................................................... 1-2 1.8. Compliance Program Background ................................................................................................... 1-5 1.9. Sources of Airport Sponsor Federal Obligations ............................................................................. 1-5 1.10. FAA Authority to Administer the Compliance Program ............................................................... 1-6 1.11. through 1-14. Reserved .................................................................................................................. 1-7 Chapter 2 - Compliance Program 2.1. Introduction ...................................................................................................................................... 2-1 2.2. Background ...................................................................................................................................... 2-1 2.3. Determining if an Airport is Federally Obligated ............................................................................ 2-1 2.4. Objectives of the Compliance Program ........................................................................................... 2-2 2.5. Program Elements ............................................................................................................................ 2-3 2.6. Priorities and Emphasis .................................................................................................................... 2-5 2.7. Responsibilities ................................................................................................................................ 2-5 2.8. Analyzing Compliance Status .......................................................................................................... 2-6 2.9 Compliance Determinations .............................................................................................................. 2-7 2.10. Airport Noncompliance List (ANL) .............................................................................................. 2-7 2.11. Through 2.15. Reserved ................................................................................................................. 2-9

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-40 Part II: Types of Federal Agreements Chapter 3 - Federal Obligations from Property Conveyances 3.1. Introduction ...................................................................................................................................... 3-1 3.2. Background ...................................................................................................................................... 3-2 3.3. The War Assets Administration (WAA) .......................................................................................... 3-2 3.4. Nonairport Property ......................................................................................................................... 3-3 3.5. The Use of Property for Revenue Production .................................................................................. 3-4 3.6. Highest and Best Use and Suitability for Airport Use ..................................................................... 3-4 3.7. Types of Conveyance Instruments for Surplus Property ................................................................. 3-5 3.8. Sponsor Federal Obligations for Surplus Property .......................................................................... 3-6 3.9. Duration of Surplus Property Federal Obligations ........................................................................... 3-7 3.10. Airport Sponsor Compliance ......................................................................................................... 3-7 3.11. Non-surplus Federal Land Conveyances ....................................................................................... 3-8 3.12. Non-surplus Land Conveyance Federal Obligations ..................................................................... 3-8 3.13. Bureau of Land Management ......................................................................................................... 3-9 3.14. Federal Obligations Imposed by Other Government Agencies ..................................................... 3-9 3.15. Duration of Non-surplus Federal Obligations ................................................................................ 3-9 3.16. Reversion Provisions ................................................................................................................... 3-10 3.17. Airport Sponsor Compliance ....................................................................................................... 3-10 3.18. The AP-4 Land Agreements ........................................................................................................ 3-11 3.19. Base Conversion and Surplus Property ........................................................................................ 3-11 3.20. Joint Civilian/Military Use (Joint Use) Airports .......................................................................... 3-12 3.21. Environmental Issues Related to Land Conveyances .................................................................. 3-13 3.22. Through 3.25.Reserved ................................................................................................................ 3-14 Chapter 4 - Federal Grant Obligations and Responsibilities 4.1. Introduction ...................................................................................................................................... 4-1 4.2. Sponsor Federal Obligations Under Various Grant Agreements ..................................................... 4-1 4.3. The Duration of Federal Grant Obligations ..................................................................................... 4-2 4.4. The Useful Life of Grant Funded Projects ....................................................................................... 4-3 4.5. Airport Sponsor Compliance ........................................................................................................... 4-3 4.6. Federal Obligations under the Basic Grant Assurance Requirements ............................................. 4-3

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-41 4.7. Through 4.10. Reserved .................................................................................................................. 4-8 Part III: Complaint Resolution Chapter 5 - Complaint Resolution 5.1. Introduction ...................................................................................................................................... 5-1 5.2. Background ...................................................................................................................................... 5-1 5.3. Complaints Handled by Other FAA Offices or Other Federal Agencies ......................................... 5-1 5.4. Informal Complaints under §13.1 .................................................................................................... 5-2 5.5. Process for Resolving Informal Complaints .................................................................................... 5-3 5.6. Receiving the Complaint .................................................................................................................. 5-3 5.7. Coordinating Resolution of the Part 13.1 Informal Complaint ........................................................ 5-4 5.8. Evaluate the Complaint .................................................................................................................... 5-4 5.9. Attempt to Resolve the Allegation ................................................................................................... 5-6 5.10. Dispute Resolution for Part 13.1 Complaints ................................................................................ 5-7 5.11. Determinations on Part 13.1 Complaints and Notification to the Parties ...................................... 5-7 5.12. Dismissing a Part 13.1 Complaint .................................................................................................. 5-8 5.13. Notice of Apparent Noncompliance .............................................................................................. 5-8 5.14. Follow up and Enforcement Actions ............................................................................................. 5-8 5.15. Documentation of FAA’s Regional Airports Division Determination .......................................... 5-9 5.16. Formal Complaint: 14 CFR Part 16 ............................................................................................... 5-9 5.17. Through 5.20. Reserved ............................................................................................................... 5-10 Part IV: Airports and Aeronautical Users Chapter 6 - Rights and Powers and Good Title 6.1. Introduction ...................................................................................................................................... 6-1 6.2. Airport Governance Structures ........................................................................................................ 6-1 6.3. Controlling Grant Assurances .......................................................................................................... 6-1 6.4. Interrelationship of Issues ................................................................................................................ 6-2 6.5. Assignment of Federal Obligations .................................................................................................. 6-2 6.6. Rights and Powers ............................................................................................................................ 6-2 6.7. Transfer to Another Eligible Recipient ............................................................................................ 6-4 6.8. Transfer to the United States Government ....................................................................................... 6-5 6.9. Delegation of Federal Obligations ................................................................................................... 6-5 6.10. Subordination of Title .................................................................................................................... 6-6 6.11. New Sponsor Document Review ................................................................................................... 6-7

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-42 6.12. Title and Property Interest.............................................................................................................. 6-8 6.13. Airport Management Agreements ................................................................................................ 6-10 6.14. Airport Privatization Pilot Program ............................................................................................. 6-11 6.15. Privatization Outside of the Airport Privatization Pilot Program ................................................ 6-11 6.16. Through 6.20. Reserved ............................................................................................................... 6-12 Chapter 7 - Airport Operations 7.1. Introduction ...................................................................................................................................... 7-1 7.2. Scope of Airport Maintenance Federal Obligations ......................................................................... 7-1 7.3. Grant Assurance 19, Operation and Maintenance ........................................................................... 7-2 7.4. Maintenance Procedures .................................................................................................................. 7-2 7.5. Criteria for Satisfactory Compliance with Grant Assurance 19, Operation and Maintenance .............................................................................................................................. 7-3 7.6. Airport Pavement Maintenance Requirement .................................................................................. 7-3 7.7. Major Pavement Repairs .................................................................................................................. 7-6 7.8. Requirement to Operate the Airport ................................................................................................. 7-6 7.9. Local Rules and Procedures ............................................................................................................. 7-7 7.10. Operations in Inclement Weather .................................................................................................. 7-8 7.11. Availability of Federally Acquired Airport Equipment ................................................................. 7-8 7.12. Part-time Operation of Airport Lighting ........................................................................................ 7-8 7.13. Hazards and Mitigation .................................................................................................................. 7-9 7.14. Use of Airports by Federal Government Aircraft ........................................................................ 7-14 7.15. Negotiation Regarding Charges ................................................................................................... 7-15 7.16. Land for Federal Facilities ........................................................................................................... 7-16 7.17. Federal Government Use during a National Emergency or War ................................................. 7-16 7.18. Airport Layout Plan (ALP) .......................................................................................................... 7-17 7.19. Exhibit "A" and Airport Property Map ........................................................................................ 7-18 7.20. Access by Intercity Buses ............................................................................................................ 7-19 7.21. Temporary Closing of an Airport ................................................................................................. 7-19 7.22. Transportation Security Administration (TSA) Security Requirements ...................................... 7-21 7.23. Through 7.26. Reserved ............................................................................................................... 7-22 Chapter 8 - Exclusive Rights 8.1. Introduction 8-1 8.2 Definition of an Exclusive Right ...................................................................................................... 8-1 8.3. Legislative and Statutory History ................................................................................................... 8-1 8.4. Development of the Exclusive Rights Prohibition into FAA Policy ............................................... 8-3

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-43 8.5. Aeronautical Operations of the Sponsor .......................................................................................... 8-5 8.6. Airports Having a Single Aeronautical Service Provider ................................................................ 8-6 8.7. Denying Requests by Qualified Providers ....................................................................................... 8-6 8.8. Exclusive Rights Violations ............................................................................................................. 8-8 8.9 Exceptions to the General Rule ....................................................................................................... 8-10 8.10. UNICOM ..................................................................................................................................... 8-12 8.11. Implementation of Policy ............................................................................................................. 8-13 8.12. Military and Special Purpose Airports ......................................................................................... 8-13 8.13. Through 8.18. Reserved ............................................................................................................... 8-14 Chapter 9 - Unjust Discrimination between Aeronautical Users 9.1. Introduction ...................................................................................................................................... 9-1 9.2. Rental Fees and Charges: General ................................................................................................... 9-2 9.3. Types of Charges for Use of Airport Facilities ................................................................................ 9-4 9.4. Airport Tenant and Concessionaire Charges to Airport Users ......................................................... 9-4 9.5. Terms and Conditions Applied to Tenants Offering Aeronautical Services .................................... 9-5 9.6. Fixed-Base Operations and Other Aeronautical Services ................................................................ 9-6 9.7. Availability of Leased Space ........................................................................................................... 9-8 9.8. Air Carrier Airport Access ............................................................................................................. 9-10 9.9. Civil Rights .................................................................................................................................... 9-10 9.10. FAA Policy on Granting Preferential Treatment Based on Residency ........................................ 9-10 9.11. Through 9.14. Reserved ............................................................................................................... 9-11 Chapter 10 - Reasonable Commercial Minimum Standards 10.1. Introduction .................................................................................................................................. 10-1 10.2. FAA Recognition of Minimum Standards ................................................................................... 10-1 10.3. Use of Minimum Standards to Protect an Exclusive Right .......................................................... 10-2 10.4. Benefits of Minimum Standards .................................................................................................. 10-2 10.5. Developing and Applying Minimum Standards .......................................................................... 10-2 10.6. Flying Clubs ................................................................................................................................. 10-4 10.7. Through 10.10. Reserved ............................................................................................................. 10-5 Chapter 11 - Self-Service 11.1. General ......................................................................................................................................... 11-1 11.2. Restrictions on Self-servicing Aircraft ........................................................................................ 11-1 11.3. Permitted Activities ..................................................................................................................... 11-2 11.4. Contracting to a Third Party ......................................................................................................... 11-3 11.5. Restricted Service Activities ........................................................................................................ 11-3

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-44 11.6. Reasonable Rules and Regulations .............................................................................................. 11-3 11.7 Restrictions Based on Safety and Location ................................................................................... 11-4 11.8. Activities Not Classified as Self-service ...................................................................................... 11-5 11.9. Sponsor Self-service Prerogatives ............................................................................................... 11-5 11.10. Fractional Aircraft Ownership Programs ................................................................................... 11-5 11.11. Through 11.14. Reserved ........................................................................................................... 11-6 Chapter 12 - Review of Aeronautical Lease Agreements 12.1. Introduction 12-1 12.2. Background .................................................................................................................................. 12-1 12.3. Review of Agreements ................................................................................................................. 12-2 12.4. FAA Opinion on Review ............................................................................................................. 12-3 12.5. Agreements Covering Aeronautical Services to the Public ......................................................... 12-4 12.6. Agreements Involving the Entire Airport .................................................................................... 12-5 12.7. Agreements Granting "Through-the-Fence" Access .................................................................... 12-6 12.8. Through 12.12. Reserved ........................................................................................................... 12-11 Chapter 13 - Airport Noise and Access Restrictions 13.1. Introduction and Responsibilities ................................................................................................. 13-1 13.2. Background .................................................................................................................................. 13-1 13.3. Overview of the Noise-related Responsibilities of the Federal Government ............................... 13-3 13.4 Code of Federal Regulations (CFR) Part 36, Noise Standards for Aircraft Type and Airworthiness Certification ........................................................................................................... 13-3 13.5 The Aircraft Noise Compatibility Planning Program ................................................................... 13-5 13.6. Compliance Review ..................................................................................................................... 13-7 13.7. Mandatory Headquarters Review ................................................................................................. 13-7 13.8. Balanced Approach to Noise Mitigation ...................................................................................... 13-8 13.9. Cumulative Noise Metric ........................................................................................................... 13-10 13.10. General Noise Assessment ....................................................................................................... 13-10 13.11. Residential Development ......................................................................................................... 13-11 13.12. Impact on Other Airports and Communities ............................................................................ 13-12 13.13. The Concept of Unjust Discrimination .................................................................................... 13-12 13.14. Part 161 Restrictions Impacting Stage 2 or Stage 3 Aircraft ................................................... 13-13 13.15. Undue Burden on Interstate Commerce ................................................................................... 13-15 13.16. Use of Complaint Data ............................................................................................................. 13-15 13.17. Use of Advisory Circular (AC) 36-3 ........................................................................................ 13-16 13.18. Integrated Noise Modeling ....................................................................................................... 13-18

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-45 13.19. Future Noise Policy .................................................................................................................. 13-19 13.20. Through 13.25 Reserved .......................................................................................................... 13-19 Chapter 14 - Restrictions Based on Safety and Efficiency Procedures and Organization 14.1. Introduction ................................................................................................................................. 14-1 14.2. Applicable Law ............................................................................................................................ 14-1 14.3. Restricting Aeronautical Activities .............................................................................................. 14-2 14.4. Minimum Standards and Airport Regulations ............................................................................. 14-2 14.5. Agency Determinations on Safety and Efficiency ....................................................................... 14-4 14.6. Methodology ................................................................................................................................ 14-5 14.7. Reasonable Accommodation ........................................................................................................ 14-5 14.8. Restrictions on Touch-and-Go Operations................................................................................... 14-7 14.9. Sport-Pilot Regulations ................................................................................................................ 14-7 14.10. Coordination .............................................................................................................................. 14-7 14.11. Through 14.15. Reserved ........................................................................................................... 14-8 Part V: Financial Responsibilities Chapter 15 - Permitted and Prohibited Uses of Airport Revenue 15.1. Introduction .................................................................................................................................. 15-1 15.2. Legislative History ....................................................................................................................... 15-1 15.3. Privatization ................................................................................................................................. 15-2 15.4. Grant Assurance ........................................................................................................................... 15-2 15.5. FAA Policy .................................................................................................................................. 15-3 15.6. Airport Revenue Defined ............................................................................................................. 15-3 15.7. Applicability of Airport Revenue Requirements ......................................................................... 15-3 15.8. Federal Financial Assistance ........................................................................................................ 15-4 15.9. Permitted Uses of Airport Revenue ............................................................................................. 15-4 15.10. Grandfathering from Prohibitions on Use of Airport Revenue .................................................. 15-7 15.11. Allocation of Indirect Costs ....................................................................................................... 15-8 15.12. Standard for Documentation ...................................................................................................... 15-8 15.13. Prohibited Uses of Airport Revenue .......................................................................................... 15-9 15.14. Through 15.19. Reserved ......................................................................................................... 15-11 Chapter 16 - Resolution of Unlawful Revenue Diversion 16.1. Background .................................................................................................................................. 16-1 16.2. FAA Authorization ...................................................................................................................... 16-1 16.3. Section 47133 and Grant Assurance 25, Airport Revenues ......................................................... 16-3

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-46 16.4. Agency Policy .............................................................................................................................. 16-3 16.5. Responsibility .............................................................................................................................. 16-4 16.6. Detection of Airport Revenue Diversion ..................................................................................... 16-4 16.7. Investigation of a Complaint of Unlawful Revenue Diversion .................................................... 16-5 16.8. Investigation Without a Formal Complaint.................................................................................. 16-6 16.9. Administrative Sanctions ............................................................................................................. 16-6 16.10. Civil Penalties and Interest ........................................................................................................ 16-7 16.11. Compliance with Reporting and Audit Requirements ............................................................... 16-8 16.12. Statute of Limitations on Enforcement ...................................................................................... 16-8 16.13. Through 16.17. Reserved ........................................................................................................... 16-8 Chapter 17 - Self-sustainability 17.1. Introduction .................................................................................................................................. 17-1 17.2. Legislative History ....................................................................................................................... 17-1 17.3. Applicability ................................................................................................................................ 17-2 17.4. Related FAA Policies ................................................................................................................... 17-2 17.5. Self-sustaining Principle .............................................................................................................. 17-2 17.6. Airport Circumstances ................................................................................................................. 17-2 17.7. Long-term Approach .................................................................................................................... 17-3 17.8. New Agreements .......................................................................................................................... 17-3 17.9. Revenue Surpluses ....................................................................................................................... 17-3 17.10. Rates Charged for Aeronautical Use .......................................................................................... 17-3 17.11. Nonaeronautical Rates ............................................................................................................... 17-4 17.12. Fair Market Value ...................................................................................................................... 17-4 17.13. Exceptions to the Self-sustaining Rule: General ........................................................................ 17-4 17.14. Property for Community Purposes ............................................................................................. 17-4 17.15. Exception for Community Use .................................................................................................. 17-5 17.16. Exception for Not-for-Profit Aviation Organizations ................................................................ 17-6 17.17. Exception for Transit Projects .................................................................................................... 17-6 17.18. Exception for Private Transit Systems ....................................................................................... 17-6 17.19. Exception for Military Aeronautical Units ................................................................................ 17-7 17.20. Through 17.24. Reserved ........................................................................................................... 17-7 Chapter 18 - Airport Rates and Charges 18.1. Responsibilities ........................................................................................................................... 18-1 18.2. Policy Regarding Airport Rates and Charges .............................................................................. 18-1 18.3. Aeronautical Use and Users ......................................................................................................... 18-2

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-47 18.4. Definitions.................................................................................................................................... 18-3 18.5. Principles...................................................................................................................................... 18-3 18.6. Local Negotiation and Resolution ................................................................................................ 18-3 18.7. Formal Complaints ....................................................................................................................... 18-4 18.8. Fair and Reasonable ..................................................................................................................... 18-5 18.9. Permitted Airfield Costs............................................................................................................... 18-6 18.10. Environmental Costs .................................................................................................................. 18-7 18.11. Noise .......................................................................................................................................... 18-7 18.12. Insurance .................................................................................................................................... 18-7 18.13. Causation .................................................................................................................................... 18-7 18.14. Facilities under Construction ..................................................................................................... 18-7 18.15. Costs of Another Airport ........................................................................................................... 18-7 18.16. Airport System ........... …………………………………………………………………………18-8 18.17. Closed Airports .......................................................................................................................... 18-8 18.18. Maintenance of Closed Airports ................................................................................................ 18-8 18.19. Project Costs .............................................................................................................................. 18-9 18.20. Passenger Facility Charge (PFC) Projects ................................................................................. 18-9 18.21. Prohibition on Unjust Discrimination ........................................................................................ 18-9 18.22. Self-Sustaining Rate Structure ................................................................................................. 18-10 18.23. Through 18.28. Reserved ......................................................................................................... 18-10 Chapter 19 - Airport Financial Reports 19.1. Introduction .................................................................................................................................. 19-1 19.2. Legislative History ....................................................................................................................... 19-1 19.3. Grant Assurance 26, Reports and Inspections ............................................................................. 19-1 19.4. Applicability ................................................................................................................................ 19-2 19.5. Annual Financial Reports............................................................................................................. 19-2 19.6. Procedures for Evaluating the Airport Owners/Sponsors Financial Reporting Program ............. 19-3 19.7. Single Audit Reports .................................................................................................................... 19-3 19.8. Through 19.11 Reserved .............................................................................................................. 19-4 Part VI: Land Use Chapter 20 - Compatible Land Use and Airspace Protection 20.1. Background .................................................................................................................................. 20-1 20.2. Zoning and Land Use Planning .................................................................................................... 20-2 20.3. Residential Use of Land on or Near Airport Property ................................................................. 20-5

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-48 20.4. Residential Airparks Adjacent to Federally Obligated Airports .................................................. 20-6 20.5. Residential Development on Federally Obligated Airports ......................................................... 20-8 20.6. Through 20.10. Reserved ........................................................................................................... 20-11 Chapter 21 - Land Use Compliance Inspection 21.1. Introduction .................................................................................................................................. 21-1 21.2. Background .................................................................................................................................. 21-1 21.3. Elements of the Land Use Inspection .......................................................................................... 21-1 21.4. Responsibilities ............................................................................................................................ 21-1 21.5. Authority ...................................................................................................................................... 21-1 21.6. Land Use Inspection Guidance .................................................................................................... 21-2 21.7. Sample Correspondence ............................................................................................................. 21-12 21.8. Through 21.12. Reserved ........................................................................................................... 21-12 Part VII: Releases and Property Reversions Chapter 22 - Releases from Federal Obligations 22.1. Introduction .................................................................................................................................. 22-1 22.2. Definition ..................................................................................................................................... 22-1 22.3. Duration and Authority ................................................................................................................ 22-2 22.4. FAA Consideration of Releases ................................................................................................... 22-2 22.5. Request for Concurrent use of Aeronautical Property for Other Uses ......................................... 22-3 22.6. Release for Interim Use of Aeronautical Property for Other Uses .............................................. 22-5 22.7. Release of Federal Maintenance Obligation ................................................................................ 22-5 22.8. Industrial Use Changes ................................................................................................................ 22-6 22.9. Release of National Emergency Use Provision (NEUP) ............................................................. 22-6 22.10. Release from Federal Obligation to Furnish Space or Land without Charge ............................ 22-7 22.11. Release of Reverter Clause ........................................................................................................ 22-7 22.12. Exclusive Rights Federal Obligations cannot be Released without Release and Disposal of the Parcel or Closure of Airport .............................................................................. 22-8 22.13. Federal Obligations Imposed with the Airport Layout Plan and Exhibit "A" ............................ 22-8 22.14. Procedures for Operational Releases or Requests for Change in Use ........................................ 22-8 22.15. Release of Federal Obligations in Regard to Personal Property, Structures, and Facilities .............................................................................................................................. 22-8 22.16. All Disposals of Real Airport Property .................................................................................... 22-10 22.17. Release of Federal Obligations in Regard to Real Property Acquired as Federal Surplus Property .......................................................................................................... 22-11 22.18. Release of Federal Obligations in Regard to Real Property Acquired with

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-49 Federal Grant Assistance ......................................................................................................... 22-14 22.19. Effect of Not Receiving or Receiving a Grant after December 30, 1987 ................................ 22-15 22.20. Release of Entire Airport ......................................................................................................... 22-16 22.21. Procedures for the Application, Consideration and Resolution of Release Requests .............. 22-17 22.22. General Documentation Procedures ......................................................................................... 22-17 22.23. Airport Sponsor Request for Release ....................................................................................... 22-17 22.24. Content of Written Requests for Release ................................................................................. 22-17 22.25. Content of Request for Written Release for Disposal .............................................................. 22-18 22.26. Exhibits to the Written Request for Release ............................................................................ 22-19 22.27. FAA Evaluation of Sponsor Requests ..................................................................................... 22-20 22.28. FAA Determination on Sponsor Requests ............................................................................... 22-20 22.29. FAA Completion of Action on Sponsor Requests ................................................................... 22-21 22.30. FAA Denial of Release or Modification .................................................................................. 22-21 22.31. Procedures for Public Notice for a Change in Use of Aeronautical Property .......................... 22-22 22.32. FAA Consent by Letter of Intent to Release - Basis for Use ................................................... 22-23 22.33. The Environmental Implications of Releases .......................................................................... 22-23 22.34. Through 22.37. Reserved ......................................................................................................... 22-24 Chapter 23 - Reversions of Airport Property 23.1. Introduction .................................................................................................................................. 23-1 23.2. General ......................................................................................................................................... 23-1 23.3. Right of Reverter .......................................................................................................................... 23-1 23.4. Authority to Exercise Reverter .................................................................................................... 23-1 23.5. Instruments of Conveyance .......................................................................................................... 23-2 23.6. Reconveyances ............................................................................................................................. 23-3 23.7. Involuntary Reversion .................................................................................................................. 23-3 23.8. Reversioner Federal Agency ........................................................................................................ 23-3 23.9. Determination of Default ............................................................................................................. 23-3 23.10. Notice of Intent to Exercise the Right of Reverter ..................................................................... 23-4 23.11. Voluntary Reconveyance to Correct a Default .......................................................................... 23-4 23.12. Voluntary Reconveyance Documentation.................................................................................. 23-5 23.13. Notice of Reverter of Property and Revestment of Title and Property Interest in the U.S. .................................................................................................................... 23-5 23.14. Recording Notice of Reversion of Property and Revestment of Title in the United States ................................................................................................................... 23-6 23.15. Certificate of Inspection and Possession .................................................................................... 23-6 23.16. Possession, Posting or Marking of Property .............................................................................. 23-6

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-50 23.17. Reversion Case Studies .............................................................................................................. 23-6 23.18. Through 23.21.Reserved ............................................................................................................ 23-7

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-51 Appendices Appendix A - Airport Sponsors Assurances ................................................................................................. 1 Appendix B – Reserved .............................................................................................................................. 17 Appendix C - Advisory Circulars on Exclusive Rights and Minimum Standards for Commercial Aeronautical Activities ........................................................................................................... 19 Appendix D - Policy Regarding Airport Rates and Charges ...................................................................... 47 Appendix E - Policies and Procedures Concerning the Use of Airport Revenue ....................................... 61 Appendix E-1 - Factors Affecting the Award of Airport Improvement Program (AIP) Discretionary Grants ................................................................................................................................ 85 Appendix F - 14 CFR Parts 13 and 16 ........................................................................................................ 87 Appendix F-1 - Part 16 Decisions (Case Files) ......................................................................................... 103 Appendix F-2 – Reserved ......................................................................................................................... 104 Appendix F-3 - Sample Part 16 Corrective Action Acceptance ............................................................... 105 Appendix G - Formal Compliance Inspection .......................................................................................... 109 Appendix G-1 - Sample Airport Noncomplaince (sic) List (ANL) .......................................................... 131 Appendix H - Sample Audit Information ................................................................................................. 133 Appendix I - SPA Reg. 16 ........................................................................................................................ 135 Appendix J - DoD Base Realignment and Closure (BRAC) .................................................................... 139 Appendix J-1 - Airport Joint Use Agreement for Military Use of Civilian Airfields ............................... 143 Appendix K - Part 155—Release of Airport Property from Surplus Property Disposal Restrictions .......................................................................................................... 163 Appendix L – Reserved ............................................................................................................................ 169 Appendix M – Reserved ........................................................................................................................... 171 Appendix N – Reserved ............................................................................................................................ 173 Appendix O - Sample of Minimum Standards for Commercial Aeronautical Activities ......................... 175 Appendix P - Sample of Airport Rules and Regulations ......................................................................... 203 Appendix Q – Reserved ............................................................................................................................ 221 Appendix R - Airport Layout Plan (ALP) ................................................................................................ 223 Appendix S –FAA Weight-Based Restrictions at Airports ....................................................................... 251 Appendix T - Sample FAA Letter on Replacement Airports ................................................................... 255 Appendix U - Sample Joint-Use Agreement ............................................................................................. 259 Appendix V - Sample Deed of Conveyance ............................................................................................. 263 Appendix W – Reserved ........................................................................................................................... 277 Appendix X - 14 CFR Part 161 ................................................................................................................. 279 Appendix Y – Reserved ............................................................................................................................ 311

ACRP Project 03-38 Task 8 Final Technical Appendices Understanding FAA Grant Assurance Obligations Appendix F, Synopsis of Resources and References F-52 Appendix Z - Definitions and Acronyms .................................................................................................. 313 References Index