HomeMy WebLinkAboutResolution - 2016-R0328 - FAA Grant Agreement - Funding Design Services Terminal Building And ARFF Project - 09_22_2016 (2)Resolution No. 2016-RO328
Item No. 6.12
September 22, 2016
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock's execution for and on behalf of the City
of Lubbock of a Federal Aviation Administration Grant Agreement by and between the
City of Lubbock and the Federal Aviation Administration for funding design services for
the Terminal Building and ARFF facility projects, and all related documents, is hereby
ratified in full, in the amount of two million three hundred fourteen thousand nine hundred
seventy one and no/100 dollars ($2,314,971).
Passed by the City Council on September 22 - 2016.
DANIEL M. POP , MAYOR
ATTEST:
Rebe ca Garza, City Secretar
APPROVED AS TO CONTENT:
1, D ceir or of Aviation
• t:r �� rid► �r
Res.Airport-FAA ARFF facility projects
9.6.16
a
U.S. Department Airports Division P V ` SO R C `F FFUA5U1µ650
of Transportation Southwest Region 10101 Hillwood Pkwy
Federal Aviation Texas Airports District Office Fort Worth, TX 76177
Administration
0
The Honorable Daniel M. Pope
City of Lubbock
P.O. Box 200
Lubbock, TX 79457
Dear Mayor Pope:
We are enclosing the original and one copy of the Grant Offer for Airport Improvement Program (AIP)
Project No. 3-48-0138-041-2016 at Lubbock Preston Smith International in Lubbock, Texas. This letter
outlines expectations for success. Please read the conditions and assurances carefully.
To properly enter into this agreement, you must do the following:
a. The governing body must provide authority to execute the grant to the individual signing the
grant; i.e. the sponsor's authorized representative.
b. The sponsor's authorized representative must execute the grant, followed by the attorney's
certification, no later than September 12, 2016, in order for the grant to be valid. The date of the
attorney's signature must be on or after the date of the sponsor's authorized representative's
signature.
c. You may not make any modification to the text, terms or conditions of the grant offer.
d. After you properly execute the grant agreement:
• Return the executed Grant Agreement marked "Original" to our office via US mail or
commercial courier.
• Retain the copy marked "Sponsor" for your records.
e. Because time is now critical for entering the executed grant into the FAA system, we request you
send a copy of the signed agreement to our office by email (pdf document) prior to sending the
hardcopy document through U.S. mail or commercial courier.
Subject to the requirements in 2 CFR §200.305, each payment request for reimbursement under this
grant must be made electronically via the Delphi eInvoicing System. Please see the attached Grant
Agreement for more information regarding the use of this System.
Please note Grant Condition No. 4 requires you to complete the project without undue delay. We will be
paying close attention to your progress to ensure proper stewardship of these Federal funds. You are
eewected to submit payment requests for reimbursement of allowable incurred project expenses in
accordance with project progress. Should you fail to make draws on a regular basis, your grant may
be placed in "inactive" status which will impact future grant offers.
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Until the grant is completed and closed, you are responsible for submitting formal reports as follows:
A signed/dated SF-270 (non -construction projects) or SF-271 or equivalent (construction
projects) and SF-425 annually, due 90 days after the end of each federal fiscal year in which this
grant is open (due December 31 of each year this grant is open); and
Performance Reports are due within 30 days of the end of a reporting period as follows:
1. Non -construction project: Due annually at end of the Federal fiscal year.
2. Construction project: Submit FAA form 5370-1, Construction Progress and Inspection
Report at the end of each fiscal quarter.
As a condition of receiving Federal assistance under this award, you must comply with audit
requirements as established under 2 CFR part 200. Subpart F requires non -Federal entities that expend
$750,000 or more in Federal awards to conduct a single or program specific audit for that year. Note
that this includes Federal expenditures made under other Federal -assistance programs. Please take
appropriate and necessary action to assure your organization will comply with applicable audit
requirements and standards.
Once the project is completed and all costs are determined, we ask that you close the project without
delay and submit the final closeout report documentation as required by your Region/Airports District
Office.
Steven Cooks, (817) 222-5608, is the assigned program manager for this grant and is readily available to
assist you and your designated representative with the requirements stated herein. We sincerely value
your cooperation in these efforts and look forward to working with you to complete this important
project.
Sincerely
Ben Guttery
Manager
Texas Airport
District Office
3-48-0138-041-2016
SPONSOFi Copy
01
U.S. Department
of Transportation
Federal Aviation
Administration
GRANT AGREEMENT
PART I — OFFER
Date of Offer
September 6, 2016
Airport/Planning Area
Lubbock Preston Smith International
AIP Grant Number
3-48-0138-041-2016
DUNS Number
058213893
TO: City of Lubbock
(herein called the "Sponsor")
FROM: The United States of America (acting through the Federal Aviation Administration, herein called the
"FAA'))
WHEREAS, the Sponsor has submitted to the FAA a Project Application dated , for a grant of Federal funds
for a project at or associated with the Lubbock Preston Smith International Airport, which is included as
part of this Grant Agreement; and
WHEREAS, the FAA has approved a project for the Lubbock Preston Smith International Airport (herein
called the "Project") consisting of the following:
Modify Terminal Building (Design & Bidding); Construct Aircraft Rescue & Fire Fighting Building (Design &
Bidding)
which is more fully described in the Project Application.
NOW THEREFORE, According to the applicable provisions of the former Federal Aviation Act of 1958, as
amended and recodified, 49 U.S.C. 40101, et seq., and the former Airport and Airway Improvement Act of
1982 (AAIA), as amended and recodified, 49 U.S.C. 47101, et seq., (herein the AAIA grant statute is
referred to as "the Act"), the representations contained in the Project Application, and in consideration of
(a) the Sponsor's adoption and ratification of the Grant Assurances dated March 2014, and the Sponsor's
acceptance of this Offer, and (b) the benefits to accrue to the United States and the public from the
accomplishment of the Project and compliance with the Grant Assurances and conditions as herein
provided,
THE FEDERAL AVIATION ADMINISTRATION, FOR AND ON BEHALF OF THE UNITED STATES, HEREBY
OFFERS AND AGREES to pay ninety (90) percent of the allowable costs incurred accomplishing the Project
as the United States share of the Project.
This Offer is made on and SUBJECT TO THE FOLLOWING TERMS AND CONDITIONS:
3-48-0138-041-2016
CONDITIONS
1. Maximum Obligation. The maximum obligation of the United States payable under this Offer is
$2,314,971.
The following amounts represent a breakdown of the maximum obligation for the purpose of establishing
allowable amounts for any future grant amendment, which may increase the foregoing maximum
obligation of the United States under the provisions of 49 U.S.C. § 47108(b):
$2,314,971 for airport development or noise program implementation
2. Period of Performance. The period of performance begins on the date the Sponsor formally accepts this
agreement. Unless explicitly stated otherwise in an amendment from the FAA, the end date of the project
period of performance is 4 years (1,460 calendar days) from the date of formal grant acceptance by the
Sponsor.
The Sponsor may only charge allowable costs for obligations incurred prior to the end date of the period of
performance (2 CFR § 200.309). Unless the FAA authorizes a written extension, the sponsor must submit
all project closeout documentation and liquidate (pay off) all obligations incurred under this award no
later than 90 calendar days after the end date of the period of performance (2 CFR § 200.343).
The period of performance end date does not relieve or reduce Sponsor obligations and assurances that
extend beyond the closeout of a grant agreement.
3. Ineligible or Unallowable Costs. The Sponsor must not include any costs in the project that the FAA has
determined to be ineligible or unallowable.
4. Indirect Costs — Sponsor. Sponsor may charge indirect costs under this award by applying the indirect cost
rate identified in the project application and as accepted by the FAA to allowable costs for Sponsor direct
salaries and wages.
5. Determining the Final Federal Share of Costs. The United States' share of allowable project costs will be
made in accordance with the regulations, policies and procedures of the Secretary. Final determination of
the United States' share will be based upon the final audit of the total amount of allowable project costs
and settlement will be made for any upward or downward adjustments to the Federal share of costs.
6. Completing the Proiect Without Delay and in Conformance with Requirements. The Sponsor must carry
out and complete the project without undue delays and in accordance with this agreement, and the
regulations, policies and procedures of the Secretary. The Sponsor also agrees to comply with the
assurances which are part of this agreement.
7. Amendments or Withdrawals before Grant Acceptance. The FAA reserves the right to amend or withdraw
this offer at any time prior to its acceptance by the Sponsor.
8. Offer Expiration Date. This offer will expire and the United States will not be obligated to pay any part of
the costs of the project unless this offer has been accepted by the Sponsor on or before September 12,
2016, or such subsequent date as may be prescribed in writing by the FAA.
9. Improper Use of Federal Funds. The Sponsor must take all steps, including litigation if necessary, to
recover Federal funds spent fraudulently, wastefully, or in violation of Federal antitrust statutes, or
misused in any other manner in any project upon which Federal funds have been expended. For the
purposes of this grant agreement, the term "Federal funds" means funds however used or dispersed by
the Sponsor that were originally paid pursuant to this or any other Federal grant agreement. The Sponsor
must obtain the approval of the Secretary as to any determination of the amount of the Federal share of
such funds. The Sponsor must return the recovered Federal share, including funds recovered by
settlement, order, or judgment, to the Secretary. The Sponsor must furnish to the Secretary, upon
3-48-0138-041-2016
request, all documents and records pertaining to the determination of the amount of the Federal share or
to any settlement, litigation, negotiation, or other efforts taken to recover such funds. All settlements or
other final positions of the Sponsor, in court or otherwise, involving the recovery of such Federal share
require advance approval by the Secretary.
10. United States Not Liable for Damage or Injury. The United States is not responsible or liable for damage
to property or injury to persons which may arise from, or be incident to, compliance with this grant
agreement.
11. System for Award Management (SAM) Registration And Universal Identifier.
A. Requirement for System for Award Management (SAM): Unless the Sponsor is exempted from this
requirement under 2 CFR 25.110, the Sponsor must maintain the currency of its information in the
SAM until the Sponsor submits the final financial report required under this grant, or receives the final
payment, whichever is later. This requires that the Sponsor review and update the information at least
annually after the initial registration and more frequently if required by changes in information or
another award term. Additional information about registration procedures may be found at the SAM
website (currently at http://www.sam.gov).
B. Requirement for Data Universal Numbering System (DUNS) Numbers
1. The Sponsor must notify potential subrecipient that it cannot receive a contract unless it has
provided its DUNS number to the Sponsor. A subrecipient means a consultant, contractor, or
other entity that enters into an agreement with the Sponsor to provide services or other work to
further this project, and is accountable to the Sponsor for the use of the Federal funds provided by
the agreement, which may be provided through any legal agreement, including a contract.
2. The Sponsor may not make an award to a subrecipient unless the subrecipient has provided its
DUNS number to the Sponsor.
Data Universal Numbering System: DUNS number means the nine -digit number established and
assigned by Dun and Bradstreet, Inc. (D & B) to uniquely identify business entities. A DUNS number
may be obtained from D & B by telephone (currently 866-705-5771) or on the web (currently at
http://fedgov.dnb.com/webform).
12. Electronic Grant Payment(s). Unless otherwise directed by the FAA, the Sponsor must make each payment
request under this agreement electronically via the Delphi elnvoicing System for Department of
Transportation (DOT) Financial Assistance Awardees.
13. Informal Letter Amendment of AIP Projects. If, during the life of the project, the FAA determines that the
maximum grant obligation of the United States exceeds the expected needs of the Sponsor by $25,000 or
five percent (5%), whichever is greater, the FAA can issue a letter amendment to the Sponsor unilaterally
reducing the maximum obligation.
The FAA can also issue a letter to the Sponsor increasing the maximum obligation if there is an overrun in
the total actual eligible and allowable project costs to cover the amount of the overrun provided it will not
exceed the statutory limitations for grant amendments. The FAA's authority to increase the maximum
obligation does not apply to the "planning" component of condition No. 1.
The FAA can also issue an informal letter amendment that modifies the grant description to correct
administrative errors or to delete work items if the FAA finds it advantageous and in the best interests of
the United States.
An informal letter amendment has the same force and effect as a formal grant amendment.
14. Air and Water Quality. The Sponsor is required to comply with all applicable air and water quality
standards for all projects in this grant. If the Sponsor fails to comply with this requirement, the FAA may
3-48-0138-041-2016
suspend, cancel, or terminate this grant.
15. Financial Reporting and Payment Requirements. The Sponsor will comply with all federal financial
reporting requirements and payment requirements, including submittal of timely and accurate reports.
16. Buy American. Unless otherwise approved in advance by the FAA, the Sponsor will not acquire or permit
any contractor or subcontractor to acquire any steel or manufactured products produced outside the
United States to be used for any project for which funds are provided under this grant. The Sponsor will
include a provision implementing Buy American in every contract.
17. Maximum Obligation Increase For Primary Airports. In accordance with 49 U.S.C. § 47108(b), as
amended, the maximum obligation of the United States, as stated in Condition No. 1 of this Grant Offer:
A. May not be increased for a planning project;
B. May be increased by not more than 15 percent for development projects;
C. May be increased by not more than 15 percent for land project.
18. Suspension or Debarment. When entering into a "covered transaction" as defined by 2 CFR § 180.200,
the Sponsor must:
A. Verify the non-federal entity is eligible to participate in this Federal program by:
1. Checking the excluded parties list system (EPLS) as maintained within the System for Award
Management (SAM) to determine if non-federal entity is excluded or disqualified; or
2. Collecting a certification statement from the non-federal entity attesting they are not excluded or
disqualified from participating; or
3. Adding a clause or condition to covered transactions attesting individual or firm are not excluded
or disqualified from participating.
B. Require prime contractors to comply with 2 CFR § 180.330 when entering into lower -tier transactions
(e.g. Sub -contracts).
C. Immediately disclose to the FAA whenever the Sponsor: (1) learns they have entered into a covered
transaction with an ineligible entity or (2) suspends or debars a contractor, person, or entity.
19. Ban on Texting While Driving.
A. In accordance with Executive Order 13513, Federal Leadership on Reducing Text Messaging While
Driving, October 1, 2009, and DOT Order 3902.10, Text Messaging While Driving, December 30, 2009,
the Sponsor is encouraged to:
1. Adopt and enforce workplace safety policies to decrease crashes caused by distracted drivers
including policies to ban text messaging while driving when performing any work for, or on behalf
of, the Federal government, including work relating to a grant or subgrant.
2. Conduct workplace safety initiatives in a manner commensurate with the size of the business, such
as:
a. Establishment of new rules and programs or re-evaluation of existing programs to
prohibit text messaging while driving; and
b. Education, awareness, and other outreach to employees about the safety risks associated
with texting while driving.
The Sponsor must insert the substance of this clause on banning texting while driving in all subgrants,
contracts and subcontracts.
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3-48-0138-041-2016
20. Trafficking in Persons.
A. Prohibitions: The prohibitions against trafficking in persons (Prohibitions) apply to any entity other
than a State, local government, Indian tribe, or foreign public entity. This includes private Sponsors,
public Sponsor employees, subrecipients of private or public Sponsors (private entity). Prohibitions
include:
1. Engaging in severe forms of trafficking in persons during the period of time that the agreement is
in effect;
2. Procuring a commercial sex act during the period of time that the agreement is in effect; or
3. Using forced labor in the performance of the agreement, including subcontracts or subagreements
under the agreement.
B. In addition to all other remedies for noncompliance that are available to the FAA, Section 106(g) of the
Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), allows the FAA to
unilaterally terminate this agreement, without penalty, if a private entity —
1. Is determined to have violated the Prohibitions; or
Has an employee who the FAA determines has violated the Prohibitions through conduct that is
either:
a. Associated with performance under this agreement; or
b. Imputed to the Sponsor or subrecipient using 2 CFR part 180, "OMB Guidelines to
Agencies on Government wide Debarment and Suspension (Non procurement)," as
implemented by the FAA at 2 CFR part 1200.
21. AIP Funded Work Included in a PFC Application:
Within 90 days of acceptance of this award, Sponsor must submit to the Federal Aviation Administration
an amendment to any approved Passenger Facility Charge (PFC) application that contains an approved PFC
project also covered under this grant award. The airport sponsor may not make any expenditure under
this award until project work addressed under this award is removed from an approved PFC application by
amendment.
22. Exhibit "A" Property Map. The Exhibit "A" Property Map dated 08/01/2007, is incorporated herein by
reference or is submitted with the project application and made part of this grant agreement.
23. DBE Plan. The Sponsor understands and agrees that the FAA will not make nor be obligated to make any
payments on this grant until the Sponsor has received approval of its DBE Plan from the FAA Office of Civil
Rights.
24. Proiect which Contain Paving Work in Excess of $500,000. The Sponsor agrees to:
A. Furnish a construction management program to the FAA prior to the start of construction which
details the measures and procedures to be used to comply with the quality control provisions of the
construction contract, including, but not limited to, all quality control provisions and tests required by
the Federal specifications. The program must include as a minimum:
1. The name of the person representing the Sponsor who has overall responsibility for contract
administration for the project and the authority to take necessary actions to comply with the
contract.
2. Names of testing laboratories and consulting engineer firms with quality control responsibilities on
the project, together with a description of the services to be provided.
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3-48-0138-041-2016
3. Procedures for determining that the testing laboratories meet the requirements of the American
Society of Testing and Materials standards on laboratory evaluation referenced in the contract
specifications (D 3666, C 1077).
4. Qualifications of engineering supervision and construction inspection personnel.
5. A listing of all tests required by the contract specifications, including the type and frequency of
tests to be taken, the method of sampling, the applicable test standard, and the acceptance
criteria or tolerances permitted for each type of test.
6. Procedures for ensuring that the tests are taken in accordance with the program, that they are
documented daily, and that the proper corrective actions, where necessary, are undertaken.
B. Submit at completion of the project, a final test and quality assurance report documenting the
summary results of all tests performed; highlighting those tests that indicated failure or that did not
meet the applicable test standard. The report must include the pay reductions applied and the
reasons for accepting any out -of -tolerance material. Submit interim test and quality assurance reports
when requested by the FAA.
C. Failure to provide a complete report as described in paragraph b, or failure to perform such tests, will,
absent any compelling justification; result in a reduction in Federal participation for costs incurred in
connection with construction of the applicable pavement. Such reduction will be at the discretion of
the FAA and will be based on the type or types of required tests not performed or not documented
and will be commensurate with the proportion of applicable pavement with respect to the total
pavement constructed under the grant agreement.
D. The FAA, at its discretion, reserves the right to conduct independent tests and to reduce grant
payments accordingly if such independent tests determine that sponsor test results are inaccurate.
25. Plans and Specifications Prior to Bidding. The Sponsor agrees that it will submit plans and specifications
for FAA review and approval prior to advertising for bids.
26. Plans and Specifications Approval Based Upon Certification. The FAA and the Sponsor agree that the FAA
approval of the Sponsor's Plans and Specification is based primarily upon the Sponsor's certification to
carry out the project in accordance with policies, standards, and specifications approved by the FAA. The
Sponsor understands that:
A. The Sponsor's certification does not relieve the Sponsor of the requirement to obtain prior FAA
approval for modifications to any AIP standards or to notify the FAA of any limitations to competition
within the project;
B. The FAA's acceptance of a Sponsor's certification does not limit the FAA from reviewing appropriate
project documentation for the purpose of validating the certification statements;
C. If the FAA determines that the Sponsor has not complied with their certification statements, the FAA
will review the associated project costs to determine whether such costs are allowable under AIP.
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3-48-0138-041-2016
27. Design Grant. This grant agreement is being issued in order to complete the design of the project. The
Sponsor understands and agrees that within 2 years after the design is completed that the Sponsor will
accept, subject to the availability of the amount of federal funding identified in the Airport Capital
Improvement Plan (ACIP), a grant to complete the construction of the project in order to provide a useful
and useable unit of work. The Sponsor also understands that if the FAA has provided federal funding to
complete the design for the project, and the Sponsor has not completed the design within four (4) years
from the execution of this grant agreement, the FAA may suspend or terminate grants related to the
design. Sponsor's acceptance of this Offer and ratification and adoption of the Project Application
incorporated herein shall be evidenced by execution of this instrument by the Sponsor,,. as hereinafter
provided, and this Offer and Acceptance shall comprise a Grant Agreement, as provided by the Act
constituting the contractual obligations and rights of the United States and the Sponsor with respect to
the accomplishment of the Proiect and compliance with the assurances and conditions as provided
herein. Such Grant Agreement shall become effective upon the Sponsor's acceptance of this Offer.
UNITED STATES OF AMERICA
FEDERAL AVIATIO DMINISTRATION
Be --
Manager, Texas Airports
District Office
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3-48-0138-041-2016
PART 11 - ACCEPTANCE
The Sponsor does hereby ratify and adopt all assurances, statements, representations, warranties,
covenants, and agreements contained in the Project Application and incorporated materials referred to in
the foregoing Offer, and does hereby accept this Offer and by such acceptance agrees to comply with all of
the terms and conditions in this Offer and in the Project Application.
I declare under penalty of perjury that the foregoing is true and correct.'
Executed this cf%�- day of 0
City of Lubbock
( me of Sponsor)
(Signature of Sp sor , Authorized Official)
By: t>"") fq 111.
(Typed Name of Sponsor Authorized Official)
Title: -,) (- U�DTIOZ- ri
Title of Sponsor's Authorized Offi al
�t CERTIFICATE OF SPONSOR'S ATTORNEY
I,f ,acting as Attorney for the Sponsor do hereby certify:
That in my opinion the Sponsor is empowered to enter into the foregoing Grant Agreement under the laws
of the State of . Further, I have examined the foregoing Grant Agreement and the
actions taken by sal Sponsor and Sponsor's official representative has been duly authorized and that the
execution thereof is in all respects due and proper and in accordance with the laws of the said State and
the Act. In addition, for grants involving projects to be carried out on property not owned by the Sponsor,
there are no legal impediments that will prevent full performance by the Sponsor. Further, it is my opinion
that the said Grant Agreement constitutes a legal and binding obligation of the Sponsor in accordance with
the terms thereof.
Dated at (location) this _ day of Zb/
�j-4
411
s
. .MA
' Knowingly and willfully providing false information to the Federal government is a violation of 18 U.S.C.
Section 1001(False Statements) and could subject you to fines, imprisonment, or both.
8
ASSURANCES
AIRPORT SPONSORS
A. General.
a. These assurances shall be complied within the performance of grant agreements for airport
development, airport planning, and noise compatibility program grants for airport sponsors.
b. These assurances are required to be submitted as part of the project application by sponsors
requesting funds under the provisions of Title 49, U.S.C., subtitle VII, as amended. As used
herein, the term "public agency sponsor" means a public agency with control of a public -use
airport; the term "private sponsor" means a private owner of a public -use airport; and the term
"sponsor" includes both public agency sponsors and private sponsors.
c. Upon acceptance of this grant offer by the sponsor, these assurances are incorporated in and
become part of this grant agreement.
B. Duration and Applicability.
1. Airport development or Noise Compatibility Program Projects Undertaken by a Public Agency
Sponsor.
The terms, conditions and assurances of this grant agreement shall remain in full force and effect
throughout the useful life of the facilities developed or equipment acquired for an airport
development or noise compatibility program project, or throughout the useful life of the project
items installed within a facility under a noise compatibility program project, but in any event not
to exceed twenty (20) years from the date of acceptance of a grant offer of Federal funds for the
project. However, there shall be no limit on the duration of the assurances regarding Exclusive
Rights and Airport Revenue so long as the airport is used as an airport. There shall be no limit on
the duration of the terms, conditions, and assurances with respect to real property acquired with
federal funds. Furthermore, the duration of the Civil Rights assurance shall be specified in the
assurances.
2. Airport Development or Noise Compatibility Projects Undertaken by a Private Sponsor.
The preceding paragraph 1 also applies to a private sponsor except that the useful life of project
items installed within a facility or the useful life of the facilities developed or equipment acquired
under an airport development or noise compatibility program project shall be no less than ten (10)
years from the date of acceptance of Federal aid for the project.
3. Airport Planning Undertaken by a Sponsor.
Unless otherwise specified in this grant agreement, only Assurances 1, 2, 3, 5, 6, 13, 18, 25, 30, 32,
33, and 34 in Section C apply to planning projects. The terms, conditions, and assurances of this
grant agreement shall remain in full force and effect during the life of the project; there shall be
no limit on the duration of the assurances regarding Exclusive Rights and Airport Revenue so long
as the airport is used as an airport.
C. Sponsor Certification.
The sponsor hereby assures and certifies, with respect to this grant that:
1. General Federal Requirements.
It will comply with all applicable Federal laws, regulations, executive orders, policies, guidelines,
and requirements as they relate to the application, acceptance and use of Federal funds for this
project including but not limited to the following:
9
March, 2014
FEDERAL LEGISLATION
a. Title 49, U.S.C., subtitle VII, as amended.
b. Davis -Bacon Act - 40 U.S.C. 276(a), et seq.'
C. Federal Fair Labor Standards Act - 29 U.S.C. 201, et seq.
d. Hatch Act — 5 U.S.C. 1501, et seg.z
e. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 Title 42
U.S.C. 4601, et se .12
f. National Historic Preservation Act of 1966 - Section 106 -16 U.S.C. 470(f).1
g. Archeological and Historic Preservation Act of 1974 -16 U.S.C. 469 through 469c.1
h. Native Americans Grave Repatriation Act - 25 U.S.C. Section 3001, et sea.
L Clean Air Act, P.L. 90-148, as amended.
j. Coastal Zone Management Act, P.L. 93-205, as amended.
k. Flood Disaster Protection Act of 1973 - Section 102(a) - 42 U.S.C. 4012a.1
I. Title 49, U.S.C., Section 303, (formerly known as Section 4(f))
m. Rehabilitation Act of 1973 - 29 U.S.C. 794.
n. Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252) (prohibits
discrimination on the basis of race, color, national origin);
o. Americans with Disabilities Act of 1990, as amended, (42 U.S.C. § 12101 et seq.), prohibits
discrimination on the basis of disability).
p. Age Discrimination Act of 1975 - 42 U.S.C. 6101, et seq.
q. American Indian Religious Freedom Act, P.L. 95-341, as amended.
r. Architectural Barriers Act of 1968 -42 U.S.C. 4151, et seq.'
S. Power plant and Industrial Fuel Use Act of 1978 - Section 403- 2 U.S.C. 8373.1
t. Contract Work Hours and Safety Standards Act - 40 U.S.C. 327, et seq.'
u. Copeland Anti -kickback Act - 18 U.S.C. 874.1
V. National Environmental Policy Act of 1969 - 42 U.S.C. 4321, et seg.'
w. Wild and Scenic Rivers Act, P.L. 90-542, as amended.
X. Single Audit Act of 1984 - 31 U.S.C. 7501, et se .z
y. Drug -Free Workplace Act of 1988 - 41 U.S.C. 702 through 706.
Z. The Federal Funding Accountability and Transparency Act of 2006, as amended (Pub. L. 109-
282, as amended by section 6202 of Pub. L. 110-252).
EXECUTIVE ORDERS
a. Executive Order 11246 - Equal Employment Opportunity'
b. Executive Order 11990 - Protection of Wetlands
c. Executive Order 11998 — Flood Plain Management
10
March, 2014
d. Executive Order 12372 - Intergovernmental Review of Federal Programs
e. Executive Order 12699 - Seismic Safety of Federal and Federally Assisted New Building
Construction'
f. Executive Order 12898 - Environmental Justice
FEDERAL REGULATIONS
a. 2 CFR Part 180 - OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement).
b. 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards. [OMB Circular A-87 Cost Principles Applicable to Grants and
Contracts with State and Local Governments, and OMB Circular A-133 - Audits of States, Local
Governments, and Non -Profit Organizations].a,s,6
c. 2 CFR Part 1200 — Nonprocurement Suspension and Debarment
d. 14 CFR Part 13 - Investigative and Enforcement Procedures14 CFR Part 16 - Rules of Practice
For Federally Assisted Airport Enforcement Proceedings.
e. 14 CFR Part 150 - Airport noise compatibility planning.
f. 28 CFR Part 35- Discrimination on the Basis of Disability in State and Local Government
Services.
g. 28 CFR § 50.3 - U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil
Rights Act of 1964.
h. 29 CFR Part 1 - Procedures for predetermination of wage rates.'
i. 29 CFR Part 3 - Contractors and subcontractors on public building or public work financed in
whole or part by loans or grants from the United States.'
j. 29 CFR Part 5 - Labor standards provisions applicable to contracts covering federally financed
and assisted construction (also labor standards provisions applicable to non -construction
contracts subject to the Contract Work Hours and Safety Standards Act).'
k. 41 CFR Part 60 - Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor (Federal and federally assisted contracting requirements).'
I. 49 CFR Part 18 - Uniform administrative requirements for grants and cooperative agreements
to state and local governments.3
m. 49 CFR Part 20 - New restrictions on lobbying.
n. 49 CFR Part 21— Nondiscrimination in federally -assisted programs of the Department of
Transportation - effectuation of Title VI of the Civil Rights Act of 1964.
o. 49 CFR Part 23 - Participation by Disadvantage Business Enterprise in Airport Concessions.
p. 49 CFR Part 24 — Uniform Relocation Assistance and Real Property Acquisition for Federal and
Federally Assisted Programs.12
q. 49 CFR Part 26 — Participation by Disadvantaged Business Enterprises in Department of
Transportation Programs.
r. 49 CFR Part 27 — Nondiscrimination on the Basis of Handicap in Programs and Activities
Receiving or Benefiting from Federal Financial Assistance.'
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s. 49 CFR Part 28 — Enforcement of Nondiscrimination on the Basis of Handicap in Programs or
Activities conducted by the Department of Transportation.
t. 49 CFR Part 30 - Denial of public works contracts to suppliers of goods and services of
countries that deny procurement market access to U.S. contractors.
u. 49 CFR Part 32 — Governmentwide Requirements for Drug -Free Workplace (Financial
Assistance)
v. 49 CFR Part 37—Transportation Services for Individuals with Disabilities (ADA).
w. 49 CFR Part 41- Seismic safety of Federal and federally assisted or regulated new building
construction.
SPECIFIC ASSURANCES
Specific assurances required to be included in grant agreements by any of the above laws, regulations
or circulars are incorporated by reference in this grant agreement.
FOOTNOTES TO ASSURANCE C.1.
1 These laws do not apply to airport planning sponsors.
z These laws do not apply to private sponsors.
3 49 CFR Part 18 and 2 CFR Part 200 contain requirements for State and Local Governments
receiving Federal assistance. Any requirement levied upon State and Local Governments by this
regulation and circular shall also be applicable to private sponsors receiving Federal assistance
under Title 49, United States Code.
4 On December 26, 2013 at 78 FR 78590, the Office of Management and Budget (OMB) issued the
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards in 2 CFR Part 200. 2 CFR Part 200 replaces and combines the former Uniform
Administrative Requirements for Grants (OMB Circular A-102 and Circular A-110 or 2 CFR Part 215
or Circular) as well as the Cost Principles (Circulars A-21 or 2 CFR part 220; Circular A-87 or 2 CFR
part 225; and A-122, 2 CFR part 230). Additionally it replaces Circular A-133 guidance on the Single
Annual Audit. In accordance with 2 CFR section 200.110, the standards set forth in Part 200 which
affect administration of Federal awards issued by Federal agencies become effective once
implemented by Federal agencies or when any future amendment to this Part becomes final.
Federal agencies, including the Department of Transportation, must implement the policies and
procedures applicable to Federal awards by promulgating a regulation to be effective by
December 26, 2014 unless different provisions are required by statute or approved by OMB.
Cost principles established in 2 CFR part 200 subpart E must be used as guidelines for determining
the eligibility of specific types of expenses.
Audit requirements established in 2 CFR part 200 subpart F are the guidelines for audits.
2. Responsibility and Authority of the Sponsor.
a. Public Agency Sponsor:
It has legal authority to apply for this grant, and to finance and carry out the proposed project;
that a resolution, motion or similar action has been duly adopted or passed as an official act of
the applicant's governing body authorizing the filing of the application, including all
understandings and assurances contained therein, and directing and authorizing the person
identified as the official representative of the applicant to act in connection with the
application and to provide such additional information as may be required.
b. Private Sponsor:
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It has legal authority to apply for this grant and to finance and carry out the proposed project
and comply with all terms, conditions, and assurances of this grant agreement. It shall
designate an official representative and shall in writing direct and authorize that person to file
this application, including all understandings and assurances contained therein; to act in
connection with this application; and to provide such additional information as may be
required.
3. Sponsor Fund Availability.
It has sufficient funds available for that portion of the project costs which are not to be paid by the
United States. It has sufficient funds available to assure operation and maintenance of items
funded under this grant agreement which it will own or control.
4. Good Title.
a. It, a public agency or the Federal government, holds good title, satisfactory to the Secretary, to
the landing area of the airport or site thereof, or will give assurance satisfactory to the
Secretary that good title will be acquired.
b. For noise compatibility program projects to be carried out on the property of the sponsor, it
holds good title satisfactory to the Secretary to that portion of the property upon which
Federal funds will be expended or will give assurance to the Secretary that good title will be
obtained.
5. Preserving Rights and Powers.
a. It will not take or permit any action which would operate to deprive it of any of the rights and
powers necessary to perform any or all of the terms, conditions, and assurances in this grant
agreement without the written approval of the Secretary, and will act promptly to acquire,
extinguish or modify any outstanding rights or claims of right of others which would interfere
with such performance by the sponsor. This shall be done in a manner acceptable to the
Secretary.
b. It will not sell, lease, encumber, or otherwise transfer or dispose of any part of its title or other
interests in the property shown on Exhibit A to this application or, for a noise compatibility
program project, that portion of the property upon which Federal funds have been expended,
for the duration of the terms, conditions, and assurances in this grant agreement without
approval by the Secretary. If the transferee is found by the Secretary to be eligible under Title
49, United States Code, to assume the obligations of this grant agreement and to have the
power, authority, and financial resources to carry out all such obligations, the sponsor shall
insert in the contract or document transferring or disposing of the sponsor's interest, and
make binding upon the transferee all of the terms, conditions, and assurances contained in
this grant agreement.
c. For all noise compatibility program projects which are to be carried out by another unit of
local government or are on property owned by a unit of local government other than the
sponsor, it will enter into an agreement with that government. Except as otherwise specified
by the Secretary, that agreement shall obligate that government to the same terms,
conditions, and assurances that would be applicable to it if it applied directly to the FAA for a
grant to undertake the noise compatibility program project. That agreement and changes
thereto must be satisfactory to the Secretary. It will take steps to enforce this agreement
against the local government if there is substantial non-compliance with the terms of the
agreement.
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For noise compatibility program projects to be carried out on privately owned property, it will
enter into an agreement with the owner of that property which includes provisions specified
by the Secretary. It will take steps to enforce this agreement against the property owner
whenever there is substantial non-compliance with the terms of the agreement.
If the sponsor is a private sponsor, it will take steps satisfactory to the Secretary to ensure that
the airport will continue to function as a public -use airport in accordance with these
assurances for the duration of these assurances.
If an arrangement is made for management and operation of the airport by any agency or
person other than the sponsor or an employee of the sponsor, the sponsor will reserve
sufficient rights and authority to insure that the airport will be operated and maintained in
accordance Title 49, United States Code, the regulations and the terms, conditions and
assurances in this grant agreement and shall insure that such arrangement also requires
compliance therewith.
g. Sponsors of commercial service airports will not permit or enter into any arrangement that
results in permission for the owner or tenant of a property used as a residence, or zoned for
residential use, to taxi an aircraft between that property and any location on airport. Sponsors
of general aviation airports entering into any arrangement that results in permission for the
owner of residential real property adjacent to or near the airport must comply with the
requirements of Sec. 136 of Public Law 112-95 and the sponsor assurances.
6. Consistency with Local Plans.
The project is reasonably consistent with plans (existing at the time of submission of this
application) of public agencies that are authorized by the State in which the project is located to
plan for the development of the area surrounding the airport.
7. Consideration of Local Interest.
It has given fair consideration to the interest of communities in or near where the project may be
located.
8. Consultation with Users.
In making a decision to undertake any airport development project under Title 49, United States
Code, it has undertaken reasonable consultations with affected parties using the airport at which
project is proposed.
9. Public Hearings.
In projects involving the location of an airport, an airport runway, or a major runway extension, it
has afforded the opportunity for public hearings for the purpose of considering the economic,
social, and environmental effects of the airport or runway location and its consistency with goals
and objectives of such planning as has been carried out by the community and it shall, when
requested by the Secretary, submit a copy of the transcript of such hearings to the Secretary.
Further, for such projects, it has on its management board either voting representation from the
communities where the project is located or has advised the communities that they have the right
to petition the Secretary concerning a proposed project.
10. Metropolitan Planning Organization.
In projects involving the location of an airport, an airport runway, or a major runway extension at
a medium or large hub airport, the sponsor has made available to and has provided upon request
to the metropolitan planning organization in the area in which the airport is located, if any, a copy
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of the proposed amendment to the airport layout plan to depict the project and a copy of any
airport master plan in which the project is described or depicted.
11. Pavement Preventive Maintenance.
With respect to a project approved after January 1, 1995, for the replacement or reconstruction of
pavement at the airport, it assures or certifies that it has implemented an effective airport
pavement maintenance -management program and it assures that it will use such program for the
useful life of any pavement constructed, reconstructed or repaired with Federal financial
assistance at the airport. It will provide such reports on pavement condition and pavement
management programs as the Secretary determines may be useful.
12. Terminal Development Prerequisites.
For projects which include terminal development at a public use airport, as defined in Title 49, it
has, on the date of submittal of the project grant application, all the safety equipment required for
certification of such airport under section 44706 of Title 49, United States Code, and all the
security equipment required by rule or regulation, and has provided for access to the passenger
enplaning and deplaning area of such airport to passengers enplaning and deplaning from aircraft
other than air carrier aircraft.
13. Accounting System, Audit, and Record Keeping Requirements.
It shall keep all project accounts and records which fully disclose the amount and disposition
by the recipient of the proceeds of this grant, the total cost of the project in connection with
which this grant is given or used, and the amount or nature of that portion of the cost of the
project supplied by other sources, and such other financial records pertinent to the project.
The accounts and records shall be kept in accordance with an accounting system that will
facilitate an effective audit in accordance with the Single Audit Act of 1984.
It shall make available to the Secretary and the Comptroller General of the United States, or
any of their duly authorized representatives, for the purpose of audit and examination, any
books, documents, papers, and records of the recipient that are pertinent to this grant. The
Secretary may require that an appropriate audit be conducted by a recipient. In any case in
which an independent audit is made of the accounts of a sponsor relating to the disposition of
the proceeds of a grant or relating to the project in connection with which this grant was given
or used, it shall file a certified copy of such audit with the Comptroller General of the United
States not later than six (6) months following the close of the fiscal year for which the audit
was made.
14. Minimum Wage Rates.
It shall include, in all contracts in excess of $2,000 for work on any projects funded under this
grant agreement which involve labor, provisions establishing minimum rates of wages, to be
predetermined by the Secretary of Labor, in accordance with the Davis -Bacon Act, as amended (40
U.S.C. 276a-276a-5), which contractors shall pay to skilled and unskilled labor, and such minimum
rates shall be stated in the invitation for bids and shall be included in proposals or bids for the
work.
15. Veteran's Preference.
It shall include in all contracts for work on any project funded under this grant agreement which
involve labor, such provisions as are necessary to insure that, in the employment of labor (except
in executive, administrative, and supervisory positions), preference shall be given to Vietnam era
veterans, Persian Gulf veterans, Afghanistan -Iraq war veterans, disabled veterans, and small
business concerns owned and controlled by disabled veterans as defined in Section 47112 of Title
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49, United States Code. However, this preference shall apply only where the individuals are
available and qualified to perform the work to which the employment relates.
16. Conformity to Plans and Specifications.
It will execute the project subject to plans, specifications, and schedules approved by the
Secretary. Such plans, specifications, and schedules shall be submitted to the Secretary prior to
commencement of site preparation, construction, or other performance under this grant
agreement, and, upon approval of the Secretary, shall be incorporated into this grant agreement.
Any modification to the approved plans, specifications, and schedules shall also be subject to
approval of the Secretary, and incorporated into this grant agreement.
17. Construction Inspection and Approval.
It will provide and maintain competent technical supervision at the construction site throughout
the project to assure that the work conforms to the plans, specifications, and schedules approved
by the Secretary for the project. It shall subject the construction work on any project contained in
an approved project application to inspection and approval by the Secretary and such work shall
be in accordance with regulations and procedures prescribed by the Secretary. Such regulations
and procedures shall require such cost and progress reporting by the sponsor or sponsors of such
project as the Secretary shall deem necessary.
18. Planning Projects.
In carrying out planning projects:
a. It will execute the project in accordance with the approved program narrative contained in the
project application or with the modifications similarly approved.
It will furnish the Secretary with such periodic reports as required pertaining to the planning
project and planning work activities.
It will include in all published material prepared in connection with the planning project a
notice that the material was prepared under a grant provided by the United States.
It will make such material available for examination by the public, and agrees that no material
prepared with funds under this project shall be subject to copyright in the United States or
any other country.
It will give the Secretary unrestricted authority to publish, disclose, distribute, and otherwise
use any of the material prepared in connection with this grant.
It will grant the Secretary the right to disapprove the sponsor's employment of specific
consultants and their subcontractors to do all or any part of this project as well as the right to
disapprove the proposed scope and cost of professional services.
It will grant the Secretary the right to disapprove the use of the sponsor's employees to do all
or any part of the project.
h. It understands and agrees that the Secretary's approval of this project grant or the Secretary's
approval of any planning material developed as part of this grant does not constitute or imply
any assurance or commitment on the part of the Secretary to approve any pending or future
application for a Federal airport grant.
19. Operation and Maintenance.
The airport and all facilities which are necessary to serve the aeronautical users of the airport,
other than facilities owned or controlled by the United States, shall be operated at all times in
a safe and serviceable condition and in accordance with the minimum standards as may be
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required or prescribed by applicable Federal, state and local agencies for maintenance and
operation. It will not cause or permit any activity or action thereon which would interfere with
its use for airport purposes. It will suitably operate and maintain the airport and all facilities
thereon or connected therewith, with due regard to climatic and flood conditions. Any
proposal to temporarily close the airport for non -aeronautical purposes must first be
approved by the Secretary. In furtherance of this assurance, the sponsor will have in effect
arrangements for-
a) Operating the airport's aeronautical facilities whenever required;
2) Promptly marking and lighting hazards resulting from airport conditions, including
temporary conditions; and
3) Promptly notifying airmen of any condition affecting aeronautical use of the airport.
Nothing contained herein shall be construed to require that the airport be operated for
aeronautical use during temporary periods when snow, flood or other climatic conditions
interfere with such operation and maintenance. Further, nothing herein shall be
construed as requiring the maintenance, repair, restoration, or replacement of any
structure or facility which is substantially damaged or destroyed due to an act of God or
other condition or circumstance beyond the control of the sponsor.
It will suitably operate and maintain noise compatibility program items that it owns or controls
upon which Federal funds have been expended.
20. Hazard Removal and Mitigation.
It will take appropriate action to assure that such terminal airspace as is required to protect
instrument and visual operations to the airport (including established minimum flight altitudes)
will be adequately cleared and protected by removing, lowering, relocating, marking, or lighting or
otherwise mitigating existing airport hazards and by preventing the establishment or creation of
future airport hazards.
21. Compatible land Use.
It will take appropriate action, to the extent reasonable, including the adoption of zoning laws, to
restrict the use of land adjacent to or in the immediate vicinity of the airport to activities and
purposes compatible with normal airport operations, including landing and takeoff of aircraft. In
addition, if the project is for noise compatibility program implementation, it will not cause or
permit any change in land use, within its jurisdiction, that will reduce its compatibility, with
respect to the airport, of the noise compatibility program measures upon which Federal funds
have been expended.
22. Economic Nondiscrimination.
It will make the airport available as an airport for public use on reasonable terms and without
unjust discrimination to all types, kinds and classes of aeronautical activities, including
commercial aeronautical activities offering services to the public at the airport.
In any agreement, contract, lease, or other arrangement under which a right or privilege at
the airport is granted to any person, firm, or corporation to conduct or to engage in any
aeronautical activity for furnishing services to the public at the airport, the sponsor will insert
and enforce provisions requiring the contractor to-
t) furnish said services on a reasonable, and not unjustly discriminatory, basis to all users
thereof, and
2) charge reasonable, and not unjustly discriminatory, prices for each unit or service,
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provided that the contractor may be allowed to make reasonable and nondiscriminatory
discounts, rebates, or other similar types of price reductions to volume purchasers.
a.) Each fixed -based operator at the airport shall be subject to the same rates, fees,
rentals, and other charges as are uniformly applicable to all other fixed -based
operators making the same or similar uses of such airport and utilizing the same or
similar facilities.
b.) Each air carrier using such airport shall have the right to service itself or to use any
fixed -based operator that is authorized or permitted by the airport to serve any air
carrier at such airport.
c.) Each air carrier using such airport (whether as a tenant, non -tenant, or subtenant of
another air carrier tenant) shall be subject to such nondiscriminatory and
substantially comparable rules, regulations, conditions, rates, fees, rentals, and other
charges with respect to facilities directly and substantially related to providing air
transportation as are applicable to all such air carriers which make similar use of such
airport and utilize similar facilities, subject to reasonable classifications such as
tenants or non -tenants and signatory carriers and non -signatory carriers.
Classification or status as tenant or signatory shall not be unreasonably withheld by
any airport provided an air carrier assumes obligations substantially similar to those
already imposed on air carriers in such classification or status.
d.) It will not exercise or grant any right or privilege which operates to prevent any
person, firm, or corporation operating aircraft on the airport from performing any
services on its own aircraft with its own employees [including, but not limited to
maintenance, repair, and fueling] that it may choose to perform.
e.) In the event the sponsor itself exercises any of the rights and privileges referred to in
this assurance, the services involved will be provided on the same conditions as
would apply to the furnishing of such services by commercial aeronautical service
providers authorized by the sponsor under these provisions.
f.) The sponsor may establish such reasonable, and not unjustly discriminatory,
conditions to be met by all users of the airport as may be necessary for the safe and
efficient operation of the airport.
g.) The sponsor may prohibit or limit any given type, kind or class of aeronautical use of
the airport if such action is necessary for the safe operation of the airport or
necessary to serve the civil aviation needs of the public.
23. Exclusive Rights.
It will permit no exclusive right for the use of the airport by any person providing, or intending to
provide, aeronautical services to the public. For purposes of this paragraph, the providing of the
services at an airport by a single fixed -based operator shall not be construed as an exclusive right if
both of the following apply:
a. It would be unreasonably costly, burdensome, or impractical for more than one fixed -based
operator to provide such services, and
If allowing more than one fixed -based operator to provide such services would require the
reduction of space leased pursuant to an existing agreement between such single fixed -based
operator and such airport. It further agrees that it will not, either directly or indirectly, grant
or permit any person, firm, or corporation, the exclusive right at the airport to conduct any
aeronautical activities, including, but not limited to charter flights, pilot training, aircraft
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rental and sightseeing, aerial photography, crop dusting, aerial advertising and surveying, air
carrier operations, aircraft sales and services, sale of aviation petroleum products whether or
not conducted in conjunction with other aeronautical activity, repair and maintenance of
aircraft, sale of aircraft parts, and any other activities which because of their direct
relationship to the operation of aircraft can be regarded as an aeronautical activity, and that
it will terminate any exclusive right to conduct an aeronautical activity now existing at such
an airport before the grant of any assistance under Title 49, United States Code.
24. Fee and Rental Structure.
It will maintain a fee and rental structure for the facilities and services at the airport which will
make the airport as self-sustaining as possible under the circumstances existing at the particular
airport, taking into account such factors as the volume of traffic and economy of collection. No
part of the Federal share of an airport development, airport planning or noise compatibility project
for which a grant is made under Title 49, United States Code, the Airport and Airway Improvement
Act of 1982, the Federal Airport Act or the Airport and Airway Development Act of 1970 shall be
included in the rate basis in establishing fees, rates, and charges for users of that airport.
25. Airport Revenues.
All revenues generated by the airport and any local taxes on aviation fuel established after
December 30, 1987, will be expended by it for the capital or operating costs of the airport; the
local airport system; or other local facilities which are owned or operated by the owner or
operator of the airport and which are directly and substantially related to the actual air
transportation of passengers or property; or for noise mitigation purposes on or off the
airport. The following exceptions apply to this paragraph:
1) If covenants or assurances in debt obligations issued before September 3, 1982, by the
owner or operator of the airport, or provisions enacted before September 3, 1982, in
governing statutes controlling the owner or operator's financing, provide for the use of the
revenues from any of the airport owner or operator's facilities, including the airport, to
support not only the airport but also the airport owner or operator's general debt
obligations or other facilities, then this limitation on the use of all revenues generated by
the airport (and, in the case of a public airport, local taxes on aviation fuel) shall not apply.
2) If the Secretary approves the sale of a privately owned airport to a public sponsor and
provides funding for any portion of the public sponsor's acquisition of land, this limitation
on the use of all revenues generated by the sale shall not apply to certain proceeds from
the sale. This is conditioned on repayment to the Secretary by the private owner of an
amount equal to the remaining unamortized portion (amortized over a 20-year period) of
any airport improvement grant made to the private owner for any purpose other than
land acquisition on or after October 1, 1996, plus an amount equal to the federal share of
the current fair market value of any land acquired with an airport improvement grant
made to that airport on or after October 1, 1996.
3) Certain revenue derived from or generated by mineral extraction, production, lease, or
other means at a general aviation airport (as defined at Section 47102 of title 49 United
States Code), if the FAA determines the airport sponsor meets the requirements set forth
in Sec. 813 of Public Law 112-95.
a.) As part of the annual audit required under the Single Audit Act of 1984, the sponsor will
direct that the audit will review, and the resulting audit report will provide an opinion
concerning, the use of airport revenue and taxes in paragraph (a), and indicating
whether funds paid or transferred to the owner or operator are paid or transferred in a
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manner consistent with Title 49, United States Code and any other applicable provision
of law, including any regulation promulgated by the Secretary or Administrator.
b.) Any civil penalties or other sanctions will be imposed for violation of this assurance in
accordance with the provisions of Section 47107 of Title 49, United States Code.
26. Reports and Inspections.
It will:
submit to the Secretary such annual or special financial and operations reports as the
Secretary may reasonably request and make such reports available to the public; make
available to the public at reasonable times and places a report of the airport budget in a
format prescribed by the Secretary;
b. for airport development projects, make the airport and all airport records and documents
affecting the airport, including deeds, leases, operation and use agreements, regulations and
other instruments, available for inspection by any duly authorized agent of the Secretary
upon reasonable request;
c. for noise compatibility program projects, make records and documents relating to the project
and continued compliance with the terms, conditions, and assurances of this grant
agreement including deeds, leases, agreements, regulations, and other instruments, available
for inspection by any duly authorized agent of the Secretary upon reasonable request; and
in a format and time prescribed by the Secretary, provide to the Secretary and make available
to the public following each of its fiscal years, an annual report listing in detail:
1) all amounts paid by the airport to any other unit of government and the purposes for
which each such payment was made; and
2) all services and property provided by the airport to other units of government and the
amount of compensation received for provision of each such service and property.
27. Use by Government Aircraft.
It will make available all of the facilities of the airport developed with Federal financial assistance
and all those usable for landing and takeoff of aircraft to the United States for use by Government
aircraft in common with other aircraft at all times without charge, except, if the use by
Government aircraft is substantial, charge may be made for a reasonable share, proportional to
such use, for the cost of operating and maintaining the facilities used. Unless otherwise
determined by the Secretary, or otherwise agreed to by the sponsor and the using agency,
substantial use of an airport by Government aircraft will be considered to exist when operations of
such aircraft are in excess of those which, in the opinion of the Secretary, would unduly interfere
with use of the landing areas by other authorized aircraft, or during any calendar month that —
a. by gross weights of such aircraft) is in excess of five million pounds Five (5) or more
Government aircraft are regularly based at the airport or on land adjacent thereto; or
The total number of movements (counting each landing as a movement) of Government
aircraft is 300 or more, or the gross accumulative weight of Government aircraft using the
airport (the total movement of Government aircraft multiplied.
28. Land for Federal Facilities.
It will furnish without cost to the Federal Government for use in connection with any air traffic
control or air navigation activities, or weather -reporting and communication activities related to
air traffic control, any areas of land or water, or estate therein, or rights in buildings of the sponsor
as the Secretary considers necessary or desirable for construction, operation, and maintenance at
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Federal expense of space or facilities for such purposes. Such areas or any portion thereof will be
made available as provided herein within four months after receipt of a written request from the
Secretary.
29. Airport Layout Plan.
a. It will keep up to date at all times an airport layout plan of the airport showing:
1) boundaries of the airport and all proposed additions thereto, together with the
boundaries of all offsite areas owned or controlled by the sponsor for airport purposes
and proposed additions thereto;
2) the location and nature of all existing and proposed airport facilities and structures (such
as runways, taxiways, aprons, terminal buildings, hangars and roads), including all
proposed extensions and reductions of existing airport facilities;
3) the location of all existing and proposed nonaviation areas and of all existing
improvements thereon; and
4) all proposed and existing access points used to taxi aircraft across the airport's property
boundary. Such airport layout plans and each amendment, revision, or modification
thereof, shall be subject to the approval of the Secretary which approval shall be
evidenced by the signature of a duly authorized representative of the Secretary on the
face of the airport layout plan. The sponsor will not make or permit any changes or
alterations in the airport or any of its facilities which are not in conformity with the airport
layout plan as approved by the Secretary and which might, in the opinion of the Secretary,
adversely affect the safety, utility or efficiency of the airport.
a.) If a change or alteration in the airport or the facilities is made which the Secretary
determines adversely affects the safety, utility, or efficiency of any federally owned,
leased, or funded property on or off the airport and which is not in conformity with the
airport layout plan as approved by the Secretary, the owner or operator will, if
requested, by the Secretary (1) eliminate such adverse effect in a manner approved by
the Secretary; or (2) bear all costs of relocating such property (or replacement thereof)
to a site acceptable to the Secretary and all costs of restoring such property (or
replacement thereof) to the level of safety, utility, efficiency, and cost of operation
existing before the unapproved change in the airport or its facilities except in the case
of a relocation or replacement of an existing airport facility due to a change in the
Secretary's design standards beyond the control of the airport sponsor.
30. Civil Rights.
It will promptly take any measures necessary to ensure that no person in the United States shall,
on the grounds of race, creed, color, national origin, sex, age, or disability be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination in any
activity conducted with, or benefiting from, funds received from this grant.
Using the definitions of activity, facility and program as found and defined in §§ 21.23 (b) and
21.23 (e) of 49 CFR § 21, the sponsor will facilitate all programs, operate all facilities, or
conduct all programs in compliance with all non-discrimination requirements imposed by, or
pursuant to these assurances.
b. Applicability
1) Programs and Activities. If the sponsor has received a grant (or other federal assistance)
for any of the sponsor's program or activities, these requirements extend to all of the
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March, 2014
sponsor's programs and activities.
2) Facilities. Where it receives a grant or other federal financial assistance to construct,
expand, renovate, remodel, alter or acquire a facility, or part of a facility, the assurance
extends to the entire facility and facilities operated in connection therewith.
3) Real Property. Where the sponsor receives a grant or other Federal financial assistance in
the form of, or for the acquisition of real property or an interest in real property, the
assurance will extend to rights to space on, over, or under such property.
c. Duration.
The sponsor agrees that it is obligated to this assurance for the period during which Federal
financial assistance is extended to the program, except where the Federal financial assistance
is to provide, or is in the form of, personal property, or real property, or interest therein, or
structures or improvements thereon, in which case the assurance obligates the sponsor, or
any transferee for the longer of the following periods:
1) So long as the airport is used as an airport, or for another purpose involving the provision
of similar services or benefits; or
2) So long as the sponsor retains ownership or possession of the property.
d. Required Solicitation Language. It will include the following notification in all solicitations for
bids, Requests For Proposals for work, or material under this grant agreement and in all
proposals for agreements, including airport concessions, regardless of funding source:
"The (Name of Sponsor), in accordance with the provisions of Title VI of the Civil Rights Act of
1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all
bidders that it will affirmatively ensure that any contract entered into pursuant to this
advertisement, disadvantaged business enterprises and airport concession disadvantaged
business enterprises will be afforded full and fair opportunity to submit bids in response to
this invitation and will not be discriminated against on the grounds of race, color, or national
origin in consideration for an award."
e. Required Contract Provisions.
1) It will insert the non-discrimination contract clauses requiring compliance with the acts
and regulations relative to non-discrimination in Federally -assisted programs of the DOT,
and incorporating the acts and regulations into the contracts by reference in every
contract or agreement subject to the non-discrimination in Federally -assisted programs of
the DOT acts and regulations.
2) It will include a list of the pertinent non-discrimination authorities in every contract that is
subject to the non-discrimination acts and regulations.
3) It will insert non-discrimination contract clauses as a covenant running with the land, in
any deed from the United States effecting or recording a transfer of real property,
structures, use, or improvements thereon or interest therein to a sponsor.
4) It will insert non-discrimination contract clauses prohibiting discrimination on the basis of
race, color, national origin, creed, sex, age, or handicap as a covenant running with the
land, in any future deeds, leases, license, permits, or similar instruments entered into by
the sponsor with other parties:
a.) For the subsequent transfer of real property acquired or improved under the applicable
activity, project, or program; and
22
March, 2014
b.) For the construction or use of, or access to, space on, over, or under real property
acquired or improved under the applicable activity, project, or program.
f. It will provide for such methods of administration for the program as are found by the
Secretary to give reasonable guarantee that it, other recipients, sub -recipients, sub -grantees,
contractors, subcontractors, consultants, transferees, successors in interest, and other
participants of Federal financial assistance under such program will comply with all
requirements imposed or pursuant to the acts, the regulations, and this assurance.
g. It agrees that the United States has a right to seek judicial enforcement with regard to any
matter arising under the acts, the regulations, and this assurance.
31. Disposal of Land.
a. For land purchased under a grant for airport noise compatibility purposes, including land
serving as a noise buffer, it will dispose of the land, when the land is no longer needed for such
purposes, at fair market value, at the earliest practicable time. That portion of the proceeds of
such disposition which is proportionate to the United States' share of acquisition of such land
will be, at the discretion of the Secretary, (1) reinvested in another project at the airport, or (2)
transferred to another eligible airport as prescribed by the Secretary. The Secretary shall give
preference to the following, in descending order, (1) reinvestment in an approved noise
compatibility project, (2) reinvestment in an approved project that is eligible for grant funding
under Section 47117(e) of title 49 United States Code, (3) reinvestment in an approved airport
development project that is eligible for grant funding under Sections 47114, 47115, or 47117
of title 49 United States Code, (4) transferred to an eligible sponsor of another public airport
to be reinvested in an approved noise compatibility project at that airport, and (5) paid to the
Secretary for deposit in the Airport and Airway Trust Fund. If land acquired under a grant for
noise compatibility purposes is leased at fair market value and consistent with noise buffering
purposes, the lease will not be considered a disposal of the land. Revenues derived from such
a lease may be used for an approved airport development project that would otherwise be
eligible for grant funding or any permitted use of airport revenue.
For land purchased under a grant for airport development purposes (other than noise
compatibility), it will, when the land is no longer needed for airport purposes, dispose of such
land at fair market value or make available to the Secretary an amount equal to the United
States' proportionate share of the fair market value of the land. That portion of the proceeds
of such disposition which is proportionate to the United States' share of the cost of acquisition
of such land will, (1) upon application to the Secretary, be reinvested or transferred to another
eligible airport as prescribed by the Secretary. The Secretary shall give preference to the
following, in descending order: (1) reinvestment in an approved noise compatibility project, (2)
reinvestment in an approved project that is eligible for grant funding under Section 47117(e)
of title 49 United States Code, (3) reinvestment in an approved airport development project
that is eligible for grant funding under Sections 47114, 47115, or 47117 of title 49 United
States Code, (4) transferred to an eligible sponsor of another public airport to be reinvested in
an approved noise compatibility project at that airport, and (5) paid to the Secretary for
deposit in the Airport and Airway Trust Fund.
Land shall be considered to be needed for airport purposes under this assurance if (1) it may
be needed for aeronautical purposes (including runway protection zones) or serve as noise
buffer land, and (2) the revenue from interim uses of such land contributes to the financial
self-sufficiency of the airport. Further, land purchased with a grant received by an airport
operator or owner before December 31, 1987, will be considered to be needed for airport
purposes if the Secretary or Federal agency making such grant before December 31, 1987, was
23
March, 2014
notified by the operator or owner of the uses of such land, did not object to such use, and the
land continues to be used for that purpose, such use having commenced no later than
December 15, 1989.
d. Disposition of such land under (a) (b) or (c) will be subject to the retention or reservation of
any interest or right therein necessary to ensure that such land will only be used for purposes
which are compatible with noise levels associated with operation of the airport.
32. Engineering and Design Services.
It will award each contract, or sub -contract for program management, construction management,
planning studies, feasibility studies, architectural services, preliminary engineering, design,
engineering, surveying, mapping or related services with respect to the project in the same
manner as a contract for architectural and engineering services is negotiated under Title IX of the
Federal Property and Administrative Services Act of 1949 or an equivalent qualifications -based
requirement prescribed for or by the sponsor of the airport.
33. Foreign Market Restrictions.
It will not allow funds provided under this grant to be used to fund any project which uses any
product or service of a foreign country during the period in which such foreign country is listed by
the United States Trade Representative as denying fair and equitable market opportunities for
products and suppliers of the United States in procurement and construction.
34. Policies, Standards, and Specifications.
It will carry out the project in accordance with policies, standards, and specifications approved by
the Secretary including, but not limited to, the advisory circulars listed in the Current FAA Advisory
Circulars for AIP projects, dated December 31, 2015 and included in this grant, and in accordance
with applicable state policies, standards, and specifications approved by the Secretary.
35. Relocation and Real Property Acquisition.
It will be guided in acquiring real property, to the greatest extent practicable under State law,
by the land acquisition policies in Subpart B of 49 CFR Part 24 and will pay or reimburse
property owners for necessary expenses as specified in Subpart B.
It will provide a relocation assistance program offering the services described in Subpart C and
fair and reasonable relocation payments and assistance to displaced persons as required in
Subpart D and E of 49 CFR Part 24.
c. It will make available within a reasonable period of time prior to displacement, comparable
replacement dwellings to displaced persons in accordance with Subpart E of 49 CFR Part 24.
36. Access By Intercity Buses.
The airport owner or operator will permit, to the maximum extent practicable, intercity buses or
other modes of transportation to have access to the airport; however, it has no obligation to fund
special facilities for intercity buses or for other modes of transportation.
37. Disadvantaged Business Enterprises.
The sponsor shall not discriminate on the basis of race, color, national origin or sex in the award
and performance of any DOT -assisted contract covered by 49 CFR Part 26, or in the award and
performance of any concession activity contract covered by 49 CFR Part 23. In addition, the
sponsor shall not discriminate on the basis of race, color, national origin or sex in the
administration of its DBE and ACDBE programs or the requirements of 49 CFR Parts 23 and 26. The
sponsor shall take all necessary and reasonable steps under 49 CFR Parts 23 and 26 to ensure
24
March, 2014
nondiscrimination in the award and administration of DOT -assisted contracts, and/or concession
contracts. The sponsor's DBE and ACDBE programs, as required by 49 CFR Parts 26 and 23, and as
approved by DOT, are incorporated by reference in this agreement. Implementation of these
programs is a legal obligation and failure to carry out its terms shall be treated as a violation of this
agreement. Upon notification to the sponsor of its failure to carry out its approved program, the
Department may impose sanctions as provided for under Parts 26 and 23 and may, in appropriate
cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil
Remedies Act of 1936 (31 U.S.C. 3801).
38. Hangar Construction.
If the airport owner or operator and a person who owns an aircraft agree that a hangar is to be
constructed at the airport for the aircraft at the aircraft owner's expense, the airport owner or
operator will grant to the aircraft owner for the hangar a long term lease that is subject to such
terms and conditions on the hangar as the airport owner or operator may impose.
39. Competitive Access.
a. If the airport owner or operator of a medium or large hub airport (as defined in section 47102
of title 49, U.S.C.) has been unable to accommodate one or more requests by an air carrier for
access to gates or other facilities at that airport in order to allow the air carrier to provide
service to the airport or to expand service at the airport, the airport owner or operator shall
transmit a report to the Secretary that-
1) Describes the requests;
2) Provides an explanation as to why the requests could not be accommodated; and
3) Provides a time frame within which, if any, the airport will be able to accommodate the
requests.
b. Such report shall be due on either February 1 or August 1 of each year if the airport has been
unable to accommodate the request(s) in the six month period prior to the applicable due
date.
25
March, 2014
FAA
s ` x Airports
�NIST0-
Current FAA Advisory Circulars Required for Use in AIP Funded
and PFC Approved Projects
Updated: 12/31/2015
View the most current versions of these ACs and any associated changes at:
http://www.faa.gov/airports/resources/advisorycircuIars
NUMBER
TITLE
70/7460-11-
Obstruction Marking and Lighting
150/5020-1
Noise Control and Compatibility Planning for Airports
150/5070-6B
Changes 1- 2
Airport Master Plans
150/5070-7
Change 1
The Airport System Planning Process
150/5100-13B
Development of State Standards for Nonprimary Airports
150/5200-28E
Notices to Airmen (NOTAMS) for Airport Operators
150/5200-30C
Change 1
Airport Winter Safety And Operations
150/5200-31C
Changes 1-2
Airport Emergency Plan
150/5210-51)
Painting, Marking, and Lighting of Vehicles Used on an Airport
150/5210-71)
Aircraft Rescue and Fire Fighting Communications
150/5210-13C
Airport Water Rescue Plans and Equipment
150/5210-14B
Aircraft Rescue Fire Fighting Equipment, Tools and Clothing
150/5210-15A
Aircraft Rescue and Firefighting Station Building Design
150/5210-18A
Systems for Interactive Training of Airport Personnel
26
FAA Advisory Circulars Required for Use AIP Funded and PFC Approved Projects Updated 12/31/2015
NUMBER
TITLE
150/5210-19A
Driver's Enhanced Vision System (DEVS) Ground Vehicle Operations on Airports
150/5220-10E
Guide Specification for Aircraft Rescue and Fire Fighting (ARFF) Vehicles
150/5220-16D
Automated Weather Observing Systems (AWOS) for Non -Federal Applications
150/5220-17B
Aircraft Rescue and Fire Fighting (ARFF) Training Facilities
150/5220-18A
Buildings for Storage and Maintenance of Airport Snow and Ice Control
Equipment and Materials
150/5220-20A
Airport Snow and Ice Control Equipment
150/5220-21C
Aircraft Boarding Equipment
150/5220-22B
Engineered Materials Arresting Systems (EMAS) for Aircraft Overruns
150/5220-23
Frangible Connections
150/5220-24
Foreign Object Debris Detection Equipment
150/5220-25
Airport Avian Radar Systems
150/5220-26
Change 1
Airport Ground Vehicle Automatic Dependent Surveillance - Broadcast (ADS-B)
Out Squitter Equipment
150/5300-713
FAA Policy on Facility Relocations Occasioned by Airport Improvements of
Changes
150/5300-13A
Change 1
Airport Design
150/5300-14C
Design of Aircraft Deicing Facilities
150/5300-16A
General Guidance and Specifications for Aeronautical Surveys: Establishment of
Geodetic Control and Submission to the National Geodetic Survey
150/5300-17C
Standards for Using Remote Sensing Technologies in Airport Surveys
150/5300-18C
Survey and Data Standards for Submission of Aeronautical Data Using Airports
GIS
150/5300-18B
Change 1
General Guidance and Specifications for Submission of Aeronautical Surveys to
NGS: Field Data Collection and Geographic Information System (GIS) Standards
150/5320-51)
Airport Drainage Design
150/5320-6E
Airport Pavement Design and Evaluation
27
FAA Advisory Circulars Required for Use AIP Funded and PFC Approved Projects Updated 12/31/2015
NUMBER
TITLE
150/5320-12C
Changes 1-8
Measurement, Construction, and Maintenance of Skid Resistant Airport
Pavement Surfaces
150/5320-15A
Management of Airport Industrial Waste
150/5235-48
Runway Length Requirements for Airport Design
150/5335-5C
Standardized Method of Reporting Airport Pavement Strength - PCN
150/5340-11-
Standards for Airport Markings
150/5340-5D
Segmented Circle Airport Marker System
150/5340-18F
Standards for Airport Sign Systems
150/5340-26C
Maintenance of Airport Visual Aid Facilities
150/5340-30H
Design and Installation Details for Airport Visual Aids
150/5345-3G
Specification for L-821, Panels for the Control of Airport Lighting
150/5345-513
Circuit Selector Switch
150/5345-7F
Specification for L-824 Underground Electrical Cable for Airport Lighting Circuits
150/5345-10H
Specification for Constant Current Regulators and Regulator Monitors
150/5345-12F
Specification for Airport and Heliport Beacons
150/5345-13B
Specification for L-841 Auxiliary Relay Cabinet Assembly for Pilot Control of
Airport Lighting Circuits
150/5345-26D
FAA Specification For L-823 Plug and Receptacle, Cable Connectors
150/5345-27E
Specification for Wind Cone Assemblies
150/5345-28G
Precision Approach Path Indicator (PAPI) Systems
150/5345-39D
Specification for L-853, Runway and Taxiway Retro reflective Markers
150/5345-42H
Specification for Airport Light Bases, Transformer Housings, Junction Boxes, and
Accessories
150/5345-43G
Specification for Obstruction Lighting Equipment
150/5345-44K
Specification for Runway and Taxiway Signs
150/5345-45C
Low -Impact Resistant (LIR) Structures
28
FAA Advisory Circulars Required for Use AIP Funded and PFC Approved Projects Updated 12/31/2015
NUMBER
TITLE
150/5345-46D
Specification for Runway and Taxiway Light Fixtures
150/5345-47C
Specification for Series to Series Isolation Transformers for Airport Lighting
Systems
150/5345-49C
Specification L-854, Radio Control Equipment
150/5345-50B
Specification for Portable Runway and Taxiway Lights
150/5345-51B
Specification for Discharge -Type Flashing Light Equipment
150/5345-52A
Generic Visual Glideslope Indicators (GVGI)
150/5345-53D
Airport Lighting Equipment Certification Program
150/5345-54B
Specification for L-884, Power and Control Unit for Land and Hold Short Lighting
Systems
150/5345-55A
Specification for L-893, Lighted Visual Aid to Indicate Temporary Runway
Closure
150/5345-56B
Specification for L-890 Airport Lighting Control and Monitoring System (ALCMS)
150/5360-12F
Airport Signing and Graphics
150/5360-13
Change 1
Planning and Design Guidelines for Airport Terminal Facilities
150/5360-14
Access to Airports By Individuals With Disabilities
150/5370-2F
Operational Safety on Airports During Construction
150/5370-10G
Standards for Specifying Construction of Airports
150/5370-11B
Use of Nondestructive Testing in the Evaluation of Airport Pavements
150/5370-13A
Off -Peak Construction of Airport Pavements Using Hot -Mix Asphalt
150/5370-15B
Airside Applications for Artificial Turf
150/5370-16
Rapid Construction of Rigid (Portland Cement Concrete) Airfield Pavements
150/5370-17
Airside Use of Heated Pavement Systems
150/5380-6C
Guidelines and Procedures for Maintenance of Airport Pavements
150/5380-9
Guidelines and Procedures for Measuring Airfield Pavement Roughness
150/5390-2C
Heliport Design
29
FAA Advisory Circulars Required for Use AIP Funded and PFC Approved Projects Updated 12/31/2015
NUMBER TITLE
150/5395-1A Seaplane Bases
30
FAA Advisory Circulars Required for Use AIP Funded and PFC Approved Projects Updated 12/31/2015
THE FOLLOWING ADDITIONAL APPLY TO AIP PROJECTS ONLY
Updated:12/31/2015
NUMBER
TITLE
150/5100-14E,
Change 1
Architectural, Engineering, and Planning Consultant Services for Airport Grant
Projects
150/5100-17
Changes 1- 6
Land Acquisition and Relocation Assistance for Airport Improvement Program
Assisted Projects
150/5300-15A
Use of Value Engineering for Engineering Design of Airports Grant Projects
150/5320-17A
Airfield Pavement Surface Evaluation and Rating (PASER) Manuals
150/5370-12B
Quality Management for Federally Funded Airport Construction Projects
150/5380-6C
Guidelines and Procedures for Maintenance of Airport Pavements
150/5380-78
Airport Pavement Management Program
150/5380-9
Guidelines and Procedures for Measuring Airfield Pavement Roughness
31
12/31/2015
OMB Number. 4040-0004
Expiration Date: 08/31/2016
Application for Federal Assistance SF-424
* 1. Type of Submission
* 2. Type of Application * If Revision, select appropriate letter(s):
Preapplication
r New
- Select One -
I Application
g3 Continuation
* Other (Specify)
0 Changed/Corrected Application
03 Revision
* 3. Date Received: 4. Application Identifier:
5a. Federal Entity Identifier:
* 5b. Federal Award Identifier:
State Use Only:
6. Date Received by State:
7. State Application Identifier:
8. APPLICANT INFORMATION:
* a. Legal Name: City of Lubbock
* b. Employer/Taxpayer Identification Number (EINITIN):
*c. Organizational DUNS:
75-6000590
05-821-3893
d. Address:
* Street1: 5401 N MLK BLVD Unit 389
Street 2:
* City: Lubbock
County:
* State: TX
Province:
Country:
*Zip/ Postal Code: 79403
e. Organizational Unit:
Department Name:
DivisionName:
Department of Aviation
Lubbock Preston Smith International Airport
f. Name and contact information of person to be contacted on matters involving this application:
Prefix: Ms. First
Name: Kelly
Middle Name: L
* Last Name: Campbell
Suffix:
Title: Executive Director of Aviation
Organizational Affiliation:
City of Lubbock, Lubbock Preston Smith International Airport
* Telephone Number: (806) 775-3131
Fax Number: (806) 775-3133
Email: kcampbell@mylubbock.us
OMB Number. 4040-0004
Ex6ration Date: 08131/2016
Application for Federal Assistance SF-424
*9. Type of Applicant 1: Select Applicant Type:
C. City or Township Government
Type of Applicant 2: Select Applicant Type:
- Select One -
Type of Applicant 3: Select Applicant Type:
- Select One -
* Other (specify):
* 10. Name of Federal Agency:
Federal Aviation Administation
11. Catalog of Federal Domestic Assistance Number:
20.106
CFDA Title:
Airport Improvement Program
*12. Funding Opportunity Number:
Title:
13. Competition Identification Number:
Title:
14. Areas Affected by Project (Cities, ounties, States, etc.):
City of Lubbock, Lubbock County, Texas
* 15. Descriptive Title of Applicant's Project:
Terminal Building Modifications, Design & Bidding Phase
New ARFF Facility, Design & Bidding Phase
Attach supporting documents as specified in agency instructions.
OMB Number: 4040-0004
Expiration Date: 08/31/2016
Application for Federal Assistance SF-424
16. Congressional Districts Of:
*a. Applicant: 19 *b. Program/Project: 19
Attach an additional list of Program/Project Congressional Districts if needed.
17. Proposed Project:
*a. Start Date: 09/01/2016 *b. End Date: 09/30/2017
18. Estimated Funding (a):
*a. Federal 2,314,971.00
*b. Applicant
*c. State
*d. Local 257219
*e. Other
*f. Program Income
*g. TOTAL 2,572,190.00
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
a. This application was made available to the State under the Executive Order 12372 Process for review on
b. Program is subject to E.O. 12372 but has not been selected by the State for review.
® c. Program is not covered by E.O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation on next page.)
13 Yes ® No
21. *By signing this application, I certify (1) to the statements contained in the list of certifications" and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply
with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me
to criminal, civil, or administrative penalties. (U.S. Code, Title 18, Section 1001)
❑+ **I AGREE
*' The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or
agency specific instructions.
Authorized Representative:
Prefix: Ms. *First Name: Kelly
Middle Name: L
*Last Name: Campbell
Suffix:
*Title: Executive Director of Aviation
*Telephone Number: (806) 775-3131
Fax Number: (806) 775-3133
* Email: kampbell@mylubbock.us
*Signature of Authorized Representative:
'Date Signed: 08/11/2016
C
OMB Number: 4040-0004
p lication for Federal Assistance SF-424
Applicant Federal Debt Delinquency Explanation
The following field should contain an explanation if the Applicant organization is delinquent on any Federal Debt. Maximum
number of characters that can be entered is 4,000. Try and avoid extra spaces and carriage returns to maximize the availability of
space.
U.S. Department of Transportation
Federal Aviation Administration
OMB CONTROL NUMBER: 2120-0569
EXPIRATION DATE: 413012017
Application for Federal Assistance (Development and Equipment Projects)
PART II — PROJECT APPROVAL INFORMATION
Part II - SECTION A
The term "Sponsor" refers to the applicant name provided in box 8 of the associated SF-424 form.
Item 1.
Does Sponsor maintain an active registration in the System for Award Management ❑X Yes
❑ No
(www.SAM.gov)?
Item 2.
Can Sponsor commence the work identified in the application in the fiscal year the Yes
❑ No ❑ N/A
grant is made or within six months after the grant is made, whichever is later?
Item 3.
Are there any foreseeable events that would delay completion of the project? If yes, ❑ Yes
Z No ❑ N/A
provide attachment to this form that lists the events.
Item 4.
Will the project(s) covered by this request have impacts or effects on the
environment that require mitigating measures? If yes, attach a summary listing of ❑ Yes
❑X No ❑ N/A
mitigating measures to this application and identify the name and date of the
environmental document(s).
Item 5.
Is the project covered by this request included in an approved Passenger Facility
❑ Yes
❑X No ❑ N/A
Charge (PFC) application or other Federal assistance program? If yes, please
identify other funding sources by checking all applicable boxes.
❑ The project is included in an approved PFC application.
If included in an approved PFC application,
does the application only address AIP matching share? ❑ Yes ❑ No
❑ The project is included in another Federal Assistance program. Its CFDA number is below.
Item 6.
Will the requested Federal assistance include Sponsor indirect costs as described in ❑ Yes
0 No ❑ N/A
2 CFR Appendix VII to Part 200, States and Local Government and Indian Tribe
Indirect Cost Proposals?
If the request for Federal assistance includes a claim for allowable indirect costs, select the applicable
indirect cost rate
the Sponsor proposes to apply:
❑ De Minimis rate of 10% as permitted by 2 CFR § 200.414.
❑ Negotiated Rate equal to % as approved by (the Cognizant Agency)
on (Date) (2 CFR part 200, appendix VII).
Note: Refer to the instructions for limitations of application associated with claiming Sponsor indirect costs.
FAA Form 5100-100 (3/16) SUPERSEDES PREVIOUS EDITION Page 1 of 7
OMB CONTROL NUMBER: 2120-0569
OMB EXPIRATION DATE: 4/30/2017
PART II - SECTION B
Certification Regarding Lobbying
The declarations made on this page are under the signature of the authorized representative as identified in box 21 of
form SF-424, to which this form is attached. The term "Sponsor' refers to the applicant name provided in box 8 of the
associated SF-424 form.
The Authorized Representative certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the Sponsor, to any person
for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, the Authorized Representative shall complete and submit Standard
Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
(3) The Authorized Representative shall require that the language of this certification be included in the award
documents for all sub -awards at all tiers (including subcontracts, subgrants, and contracts under grants, loans,
and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
FAA Form 5100-100 (3116) SUPERSEDES PREVIOUS EDITION Page 2 of 7
OMB CONTROL NUMBER: 2120-0569
OMB EXPIRATION DATE: 4/30/2017
PART II — SECTION C
The Sponsor hereby represents and certifies as follows:
1. Compatible Land Use — The Sponsor has taken the following actions to assure compatible usage of land adjacent
to or in the vicinity of the airport:
2. Defaults — The Sponsor is not in default on any obligation to the United States or any agency of the United States
Government relative to the development, operation, or maintenance of any airport, except as stated herewith:
3. Possible Disabilities — There are no facts or circumstances (including the existence of effective or proposed leases,
use agreements or other legal instruments affecting use of the Airport or the existence of pending litigation or other
legal proceedings) which in reasonable probability might make it impossible for the Sponsor to carry out and complete
the Project or carry out the provisions of the Grant Assurances, either by limiting its legal or financial ability or
otherwise, except as follows:
4. Consistency with Local Plans — The project is reasonably consistent with plans existing at the time of submission
of this application) of public agencies that are authorized by the State in which the project is located to plan for the
development of the area surrounding the airport.
5. Consideration of Local Interest — It has given fair consideration to the interest of communities in or near where the
project may be located.
6. Consultation with Users — In making a decision to undertake an airport development project under Title 49, United
States Code, it has consulted with airport users that will potentially be affected by the project (§ 47105(a)(2)).
7. Public Hearings — In projects involving the location of an airport, an airport runway or a major runway extension, it
has afforded the opportunity for public hearings for the purpose of considering the economic, social, and environmental
effects of the airport or runway location and its consistency with goals and objectives of such planning as has been
carried out by the community and it shall, when requested by the Secretary, submit a copy of the transcript of such
hearings to the Secretary. Further, for such projects, it has on its management board either voting representation from
the communities where the project is located or has advised the communities that they have the right to petition the
Secretary concerning a proposed project.
8. Air and Water Quality Standards — In projects involving airport location, a major runway extension, or runway
location it will provide for the Governor of the state in which the project is located to certify in writing to the Secretary
that the project will be located, designed, constructed, and operated so as to comply with applicable and air and water
quality standards. In any case where such standards have not been approved and where applicable air and water
quality standards have been promulgated by the Administrator of the Environmental Protection Agency, certification
shall be obtained from such Administrator. Notice of certification or refusal to certify shall be provided within sixty days
after the project application has been received by the Secretary.
FAA Form 5100-100 (3/16) SUPERSEDES PREVIOUS EDITION Page 3 of 7
OMB CONTROL NUMBER: 2120-0569
OMB EXPIRATION DATE: 4/30/2017
PART II — SECTION C (Continued)
9. Exclusive Rights — There is no grant of an exclusive right for the conduct of any aeronautical activity at any airport
owned or controlled by the Sponsor except as follows:
10. Land — (a) The sponsor holds the following property interest in the following areas of land, which are to be developed
or used as part of or in connection with the Airport subject to the following exceptions, encumbrances, and adverse
interests, all of which areas are identified on the aforementioned property map designated as Exhibit "A". [1]
The Sponsor further certifies that the above is based on a title examination by a qualified attorney or title company and
that such attorney or title company has determined that the Sponsor holds the above property interests.
(b) The Sponsor will acquire within a reasonable time, but in any event prior to the start of any construction work
under the Project, the following property interest in the following areas of land on which such construction work is to be
performed, all of which areas are identified on the aforementioned property map designated as Exhibit "A". [1 ]
(c) The Sponsor will acquire within a reasonable time, and if feasible prior to the completion of all construction
work under the Project, the following property interest in the following areas of land which are to be developed or used
as part of or in connection with the Airport as it will be upon completion of the Project, all of which areas are identified on
the aforementioned property map designated as Exhibit "A". [1]
I State the character of property interest in each area and list and identify for each all exceptions, encumbrances, and adverse
interests of every kind and nature, including liens, easements, leases, etc. The separate areas of land need only be identified here by
the area numbers shown on the property map.
FAA Form 5100-100 (3/16) SUPERSEDES PREVIOUS EDITION Page 4 of 7
OMB CONTROL NUMBER: 2120-0569
OMB EXPIRATION DATE: 4/30/2017
PART III - BUDGET INFORMATION - CONSTRUCTION
SECTION A — GENERAL
1. Federal Domestic Assistance Catalog Number: 20.106
2. Functional or Other Breakout:
SECTION B — CALCULATION OF FEDERAL GRANT
Cost Classification
Latest Approved
Amount
(Use only for
revisions)
Adjustment
+ or (-) Amount
(Use only for
revisions
Total
Amount
Required
1. Administration expense
$ 10,000
2. Preliminary expense
3. Land, structures, right-of-way
4. Architectural engineering basic fees
2,246,965
5. Other Architectural engineering fees
315,225
6. Project inspection fees
7. Land development
8. Relocation Expenses
9. Relocation payments to Individuals and Businesses
10. Demolition and removal
11. Construction and project improvement
12. Equipment
13. Miscellaneous
14. Subtotal (Lines 1 through 13)
$ 2,572,190
15. Estimated Income (if applicable)
16. Net Project Amount (Line 14 minus 15)
17. Less: Ineligible Exclusions (Section C, line 23 g.)
18. Subtotal (Lines 16 through 17)
$ 2,572,190
19. Federal Share requested of Line 18
2,314,971
20. Grantee share
21. Other shares
257,219
22. TOTAL PROJECT (Lines 19, 20 & 21)
$ 2,572,190
FAA Form 5100-100 (3/16) SUPERSEDES PREVIOUS EDITION Page 5 of 7
OMB CONTROL NUMBER: 2120-0569
OMB EXPIRATION DATE: 4/30/2017
SECTION C — EXCLUSIONS
23. Classification (Description of non -participating work)
Amount Ineligible for
Participation
a.
b.
C.
d.
e.
f.
g. Total
SECTION D — PROPOSED METHOD OF FINANCING NON-FEDERAL SHARE
24. Grantee Share — Fund Categories
Amount
a. Securities
b. Mortgages
c. Appropriations (by Applicant)
d. Bonds
e. Tax Levies
f. Non -Cash
g. Other (Explain): PFC (pending application) & Airport Revenue
257,219
h. TOTAL - Grantee share
25. Other Shares
Amount
a. State
b. Other
c. TOTAL - Other Shares
26. TOTAL NON-FEDERAL FINANCING
$ 257,219
SECTION E — REMARKS
(Attach sheets if additional space is required)
FAA Form 5100-100 (3/16) SUPERSEDES PREVIOUS EDITION Page 6 of 7
OMB CONTROL NUMBER: 2120-0569
OMB EXPIRATION DATE: 4/30/2017
PART IV — PROGRAM NARRATIVE
(Suggested Format)
PROJECT: Terminal Building Modifications; New ARFF Facility Design & Bidding Phase
AIRPORT: Lubbock Preston Smith International Airport
1. Objective:
Terminal Building Modifications (TBI): The primary objective is to address areas of concern including security
inspection space, checked baggage screening, transition from secure circulation to non -secure circulation, the
exterior sloping areas, the building envelope system, mechanical, and handicap accessibility issues.
ARFF Facility: The primary objective is to ensure compliance with FAR 139 ARFF Vehicle Response times and
provide appropriate facilities for the long-term future.
2. Benefits Anticipated:
TBI: Improvements in service level as a result of improved passenger flow, safety, and accessibility. Reduced
maintenance activities are anticipated from improvements to infrastructure efficiencies realized from new HVAC and
windows.
ARFF: The relocation of the facility will provide emergency personnel with an improved location and subsequent
appropriate response times to the primary runway.
3. Approach: (See approved Scope of Work in Final Application)
FY 2016-Terminal Building & ARFF Design
FY 2017-Terminal Building Modifications Construction
FY 2018-Terminal Building Modifications Construction
FY 2019-Terminal Building Modifications Construction
FY 2020-TNew ARFF Facility Construction
4. Geographic Location:
5. If Applicable, Provide Additional Information:
6. Sponsor's Representative: (include address & telephone number)
Kelly L. Campbell, AAE
Executive Director of Aviation,Lubbock Preston Smith International Airport
5401 N. MLK BLVD Unit 389 Lubbock, TX 79403
FAA Form 5100-100 (3/16) SUPERSEDES PREVIOUS EDITION Page 7 of 7