United States General Accounting Office

GAO Report to the Honorable

Adam Smith, House of Representatives

December 1998 AIRPORT

IMPROVEMENT

PROGRAM

FAA Complying With

Requirement for Local

Involvement in Noise

Mitigation Projects

GAO/RCED-99-41

GAO United States

General Accounting Office

Washington, D.C. 20548

Resources, Community, and

Economic Development Division

B-280708 

December 28, 1998

The Honorable Adam Smith

House of Representatives

Dear Mr. Smith:

Airports are responsible for controlling the impacts of aircraft noise by

mitigating its effects in the immediate vicinity. Through the Airport

Improvement Program (AIP), the Federal Aviation Administration (FAA)

provides grants for such mitigation efforts. As a condition of receiving AIP

grants, airport owners sign a series of assurances that the funds will be

spent according to pertinent laws, regulations, or administrative policies.

Under FAA policy, one of these grant assurances calls for an airport owner

to obtain from each city, county, municipality, or other agency that has

control or authority over property affected by the grant a written

declaration stating that the project is reasonably consistent with local

plans and has local support. Complying with this policy has been an issue

at the Seattle-Tacoma International Airport, where some local groups

opposed to the airport’s expansion have criticized the airport’s noise

mitigation program and have pointed out that FAA did not require the

airport to obtain written declarations that the project was consistent with

local plans and had local support.

Concerned about the level of consultation that occurs between affected

communities and the airport, you asked us to determine whether FAA must

enforce this grant assurance as a condition of providing noise mitigation

grants to the Seattle-Tacoma International Airport, which is operated by

the Port of Seattle.

Results in Brief While FAA has a policy calling for an airport owner that requests noise

mitigation grants to obtain written declarations that the project is

consistent with local plans and has local support from communities

affected by airport noise, neither federal law nor FAA regulations require

such written declarations. The federal statutes do contain a broad

requirement that FAA must satisfy itself that a noise mitigation project is

consistent with local plans. However, they make no mention of obtaining

from cities, counties, or municipalities in which a noise mitigation project

is located written declarations stating that the project is reasonably

consistent with local plans and has local support. FAA officials said that in

the case of Seattle-Tacoma International Airport, they met the statutory

Page 1 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
B-280708 

requirements by reviewing steps the airport completed prior to applying

for grants for noise mitigation projects—primarily, the development of a

noise compatibility program, a process that involves public participation.

FAA officials said their review of the Seattle-Tacoma International Airport’s

noise compatibility planning efforts satisfied them that the noise

mitigation projects were consistent with local plans and had local support.

Background Airport owners use several sources of funds to finance noise mitigation

projects. Many airports rely, at least in part, on funds from the federal

Airport Improvement Program (AIP). Noise mitigation grants are part of

AIP’s role in helping to pay for airport planning and development projects

that enhance capacity, safety, and security and that mitigate noise at

airports included in FAA’s National Plan of Integrated Airport Systems.1 FAA

allocates most AIP funds on the basis of a legislated entitlement formula

and has set-aside categories earmarked for specific types of airports or

projects. The set-aside that supports noise mitigation projects is one of

two established by the Congress.

As part of its statutory responsibilities, FAA established regulatory

requirements in 1985 to guide airport owners in the development of “noise

compatibility programs.” Noise compatibility programs should identify

residences and public buildings near the airport that are affected by

airport noise and should propose noise reduction efforts or other steps to

reduce this incompatibility.2

 To minimize the effects of airport noise,

airport owners may acquire property, install insulation, or make other

modifications in residences and public buildings, depending on the

severity of the noise impact.3

Seattle-Tacoma International Airport developed its first plan to deal with

noise mitigation issues in the 1970s. The plan, called the Sea-Tac

Communities Plan, proposed several solutions to mitigate noise, including

acquiring properties or installing noise insulation in residences and public

buildings. In 1985, the airport submitted a noise compatibility program

based, in part, on the airport’s previous plans and specified mitigation

1

This 10-year planning document is intended to identify airports and projects critical to the national

system. It includes approximately 3,300 airports. An airport must be included in the plan to be eligible

for AIP funding.

2

The regulatory requirements for noise compatibility plans are contained in 14 C.F.R. part 150 (known

as the “Part 150 program”).

3

Noise mitigation grants may also be made to an agency of local government in the area around the

airport if the Secretary of Transportation decides the agency is able to carry out the project. See 49

U.S.C. section 47504.

Page 2 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
B-280708 

projects such as the acquisition of properties and the installation of

various types of noise insulation, depending on the level of noise impact.

Participation in these projects was voluntary; approximately 9,000

single-family residences and 1,374 mobile homes were eligible for either

acquisition or insulation. The airport updated the noise compatibility

program in 1993, providing residential noise insulation paid for entirely by

the airport and adding some pilot projects for insulating multifamily

residential and public buildings. The noise compatibility program is

currently being updated in conjunction with the development of a new

runway.

Since 1975, Seattle-Tacoma International Airport has expended about

$260 million acquiring 1,431 homes and parcels of land and insulating 6,840

homes. Airport officials estimate that within the next 4 years,

approximately 200 additional homeowners will apply for insulation at a

cost of approximately $5 million to mitigate the effects of noise generated

by air traffic using the airport’s third runway (which is due to be

completed in 2001).

Seattle-Tacoma International Airport has used several sources of funding

to finance its $260 million in noise mitigation projects, including AIP grants,

passenger facility charges (PFC),4

 the airport’s own development fund,5 and

airport bonds. The AIP funds were by far the largest contributor to noise

mitigation projects, as shown in figure 1.

4

49 U.S.C. section 40117.

5

Airport development funds are funds accumulated from airport revenue for airport operating

expenses, including small capital projects.

Page 3 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
B-280708 

Figure 1: Sources of Funds for Noise

Mitigation Projects for Seattle-Tacoma

International Airport, 1975-98

$162

$36 $36

$25

Airport development 

funds

Airport Improvement 

Program

Airport bonds

Passenger facility

charges

Dollars in millions

Note: PFCs were only available to airport owners after 1991.

Seattle-Tacoma International Airport’s noise mitigation program update is

one of many provisions of a controversial plan to expand the airport’s

capacity by adding a third runway. Local communities and citizen groups

are opposed to this expansion and have expressed concerns about the new

runway and the noise mitigation program. Several of these communities

have joined together to pursue legal actions against the airport’s new

runway development (footnote 7 includes additional information).

Page 4 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
B-280708 

Statutory and

Regulatory

Requirements Do Not

Necessitate That

Airports Obtain

Written Declarations

FAA has broad discretion when determining how to comply with statutory

requirements about community involvement in the development of noise

mitigation plans. Federal statutes say that FAA need only be satisfied that

an airport’s proposed noise mitigation project is consistent with the local

plans of affected agencies when determining whether to issue an AIP grant.

While FAA has a policy calling for airport owners to obtain written

declarations of consistency with local plans and local support from

affected communities, neither federal law nor FAA regulations require such

written declarations.

The legislative history shows that the Congress intended that the Secretary

of Transportation be given wide latitude in enforcing the provision in the

statutes. There is no evidence in the legislative history that indicates FAA

has to obtain written declarations from local agencies. In some other

instances, the Congress did specify that FAA had to obtain written

assurances from the grant applicant.6

 For example, FAA must receive a

written assurance that an airport will be available for public use under

reasonable conditions and without unjust discrimination. However, noise

mitigation plans were not included in these requirements.

FAA officials said they meet the statutory requirement that airports’

proposed noise mitigation projects are consistent with local plans during

the process used to develop any airport’s noise compatibility plan—a

process that must be completed before an airport receives AIP grants for

noise mitigation projects. All airport noise compatibility plans must

contain an examination of noise issues and a series of maps that depict

noise levels and areas affected by noise. Airports’ noise compatibility

plans may identify residences and public buildings most affected by

aircraft noise and contain proposals to mitigate the effects of the noise. As

part of the process, airports are required to provide opportunities for

public participation. FAA officials said that the public participation

component of the process provides affected agencies with the opportunity

to state whether the program is consistent with local plans and has the

local support of their communities.

This approach appears to be consistent throughout FAA. We contacted FAA

officials in each of FAA’s nine regions to determine whether any region

enforced the grant assurance directing airports to obtain written

declarations of consistency with local plans and local support. In all cases,

the FAA officials said that they did not require airport owners to obtain

written declarations but instead assured themselves through other ways

6

49 U.S.C. section 47107.

Page 5 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
B-280708 

that the project was consistent with local plans and had local support.

Specifically, they indicated that public participation during the

development of noise compatibility plans was adequate demonstration

that a project was consistent with local plans and had local support.

In the case of Seattle-Tacoma International Airport, FAA approved the

noise compatibility program in 1985 and again in 1994. FAA officials said

that they were satisfied that the airport’s proposed noise mitigation

projects were consistent with local agencies’ plans and did not require the

airport to obtain written declarations of support. FAA officials from the

Northwest Mountain Region Airports Division indicated that the airport

satisfied itself that the projects were consistent with local plans and had

local support by making significant efforts to involve citizens and officials

from the affected cities in the development of the airport’s plans.7 FAA

officials said that it was their belief that the airport went beyond what was

required in its attempts to involve the community in the development of

various noise compatibility plans. The airport’s efforts to develop the 1993

plan included steps such as the following:

• forming a technical review committee comprising local area citizens and

Port of Seattle staff (this committee was convened several times

throughout the development of the noise compatibility plan for

consultative purposes);

• holding several public meetings to allow other concerned citizens the

opportunity to participate;

• responding to written concerns received from individuals and various

groups; and

• providing draft copies of the final program to the mayors or elected

representatives of all affected jurisdictions and soliciting comments from

these elected officials.

Conclusions Federal statutes require FAA to satisfy itself that a noise mitigation project

is consistent with local plans and has local support. It is within FAA’s

discretion to decide whether written declarations of consistency with local

plans and local support must be obtained or whether consistency can be

shown in other ways. The fact that FAA does not require these written

declarations raises questions about why the requirement continues to be

part of its grant instructions and procedures for noise mitigation projects.

7

FAA’s decision on this issue was upheld by the U.S. Court of Appeals for the Ninth Circuit. The court

held that “the administrative record indicates that every effort was made to ensure consistency with

planning efforts of local communities.” City of Normandy Park et al. v. Federal Aviation

Administration, No. 97-70953, 1998 U.S. App. Lexis 30463 (9th Cir. Nov. 24, 1998).

Page 6 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
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Recommendation To avert expectations of additional consultation between an airport owner

and the communities affected by airport noise, we recommend that the

Secretary of Transportation direct the Administrator, Federal Aviation

Administration, to determine whether the agency should require written

declarations that a project is consistent with local plans and has local

support from affected communities as called for by its current grant

requirements. If the agency chooses not to require written declarations, we

recommend that this requirement be removed from the grant assurances.

Agency Comments We provided copies of a draft of this report to FAA for review and

comment. We discussed the report with FAA officials, including the

Manager, Airports Financial Assistance Division, and the Manager,

Program Guidance Branch. FAA generally agreed with the report’s findings,

conclusions, and recommendation. With regard to the recommendation,

FAA said it has initiated actions to revise the grant assurance calling for

airport owners to obtain written declarations that a project is consistent

with local plans and has local support from affected agencies. FAA also

provided some technical comments, which we incorporated into the

report as appropriate.

Scope and

Methodology

To determine whether FAA must enforce the grant assurance directing

airport owners to obtain written declarations of support, we reviewed

pertinent statutes, regulations, and FAA policies and procedures for

administering the Airport Improvement Program and noise compatibility

programs. We interviewed and collected documents from FAA headquarters

officials from the Office of Airport Planning and Programming and agency

officials from all nine regional airport divisions. We also interviewed

officials from the Seattle-Tacoma International Airport responsible for

administering the noise compatibility program and reviewed pertinent

documents and financial records. In addition, we interviewed officials and

obtained documents from the following affected jurisdictions: King

County; the cities of Burien, Des Monies, Federal Way, Kent, Normandy

Park, SeaTac, and Tukwila; and the Highline School District.

We also interviewed a private citizen from the Southwest King County

Group (a citizens committee concerned about airport noise) and a

representative from a Washington State legislator’s office. We examined

numerous documents pertaining to Seattle-Tacoma’s noise compatibility

program, including three Part 150 studies/updates; correspondence

between the airport, affected jurisdictions, community members, and FAA;

Page 7 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
B-280708 

and grant awards and program audits and evaluations from independent

auditors and the Washington State Auditor.

We performed our review from August through December 1998 in

accordance with generally accepted government auditing standards. All

dollar amounts in this report are nominal amounts.

As agreed with your office, unless you publicly announce its contents

earlier, we plan no further distribution of this report until 14 days after the

date of this letter. At that time, we will send copies to the Secretary of

Transportation; the Administrator, FAA; the Director, Office of

Management and Budget; and other interested parties. We will also make

copies available to others on request.

Major contributors to this report included Dana Greenberg, David Hooper,

David Robinson, and Randy Williamson. If you have questions regarding

this report, please contact my office at (202) 512-2834.

Sincerely yours,

John H. Anderson, Jr.

Director, Transportation Issues

(348121) Page 8 GAO/RCED-99-41 Requirements for Noise Mitigation Projects
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