HomeMy WebLinkAboutResolution - 2014-R0263 - Grant Agreement - FAA - Improve LBB Runway - 08/14/2014Resolution No. 2014-RO263
Item No. 6.5
August 14, 2014
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock is hereby authorized and directed to
execute for and on behalf of the City of Lubbock a Federal Aviation Administration Grant
Agreement by and between the City of Lubbock and Federal Aviation Administration to
Improve LBB Runway 17R/35L, and all related documents, in an amount up to and not
exceeding thirty-five million six hundred sixty-nine thousand seven hundred fifty-five
and 67'100 dollars ($35,669,755.67).
Passed by the City Council on the 14th day of August --"2014.
,1000/
GEW,'RC%ERTSON, MAYOR
ATTEST:
Rebe ca Garza, City Secretary
APPROVED AS TO CONTENT:
11
/4DAlk'rrn� 1�J 5ic�
Kelly Chfnpbell °
, Director of Aviation
SII/I/t��F. i.
Attorney
Res.Airport-FAA RSA Improvement
July 14, 2014
U.S. Department
of Transportation
Federal Aviation
Administration
Airports Division
Southwest Region
Texas
C ? t), U 20K
The Honorable Glen Robertson X% to
Mayor, City of Lubbock
P.O. Box 200CPU
.r
Lubbock, TX 79457
Dear Mayor Robertson:
ORIGINAL
FAA ASW -650
2601 Meacham Blvd.
Fort Worth, TX 76137
We are enclosing two originals of the Gr-a-HIMMer for Airport Improvement Program (AIP) Project No.
3-48-0138-039-2014 at Lubbock -Preston Smith Int'l 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:
• The governing body must pass a resolution and execute the grant, along with your attorney's
certification, by September 30, 2014, in order for the grant to be valid.
• We ask that you return the Grant Offer marked "Original" to us by overnight mail, one copy
marked "Original", and maintain the other copy marked "Original" for your records.
Subject to the requirements in 49 CFR 18.2 1, 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
required to submit a payment request for reimbursement for allowable incurred proiect expenses
every 30 days. Should you fail to make draws on a regular basis, your grant may be placed in
"inactive" status which will impact future grant offers.
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
• Quarterly Progress Reports due every quarter.
Once the project(s) is completed and all costs are determined. we ask that you close the project without
delay and submit, as a minimum, the following:
• Sponsor Certification for Project Final Acceptance; and
• Summary of all change orders and summary of all testing; and
• Final SF -270 or SF -271 (or equivalent) and SF -425.
2
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,
Edward N. Agnew
Manager, Texas Airports
Development Office
a
WORIGINAL
U.S. Department
of Transportation
Federal Aviation
Administration
GRANT AGREEMENT
PART I — OFFER
Date of Offer
September 26, 2014
Airport/Planning Area
Lubbock -Preston Smith Int'I
AIP Grant Number
3-48-0138-039-2014
DUNS Number
05-821-3893
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 June 27, 2014, for a grant of
Federal funds for a project at or associated with the Lubbock -Preston Smith Int'I, which is included as part of
this Grant Agreement; and
WHEREAS, the FAA has approved a project for the Lubbock -Preston Smith Int'I (herein called the "Project")
consisting of the following:
Rehabilitate/Reconstruct Runway 17R/35L, Phase 1 of construction
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 April 3, 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 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:
11 3-48-01 38-039-201 4
CONDITIONS
1. Maximum Obligation. The maximum obligation of the United States payable under this Offer is
$21,599,729.00
For the purposes of any future grant amendments which may increase the foregoing maximum obligation
of the United States under the provisions of 49 U.S.C. § 47108(b), the following amounts are being
specified for this purpose:
$21,599,729.00 for airport development
2. Ineligible or Unallowable Costs. The Sponsor must not include any costs in the project that the FAA has
determined to be ineligible or unallowable.
3. 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.
4. 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.
S. 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.
6. 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 30,
2014, or such subsequent date as may be prescribed in writing by the FAA.
7. 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, orjudgment, to the Secretary. The Sponsor must furnish to the Secretary, upon
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.
8. United States Not liable for Damage or Iniury. The United States is not be responsible or liable for
damage to property or injury to persons which may arise from, or be incident to, compliance with this
grant agreement.
9. System for Award Management (SAM) Registration And Universal Identifier.
A. Requirement for System for Award Management (SAM): Unless the Sponsor is exempted from
2Page 3-48-0138-039-2014
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).
Requirement for Data Universal Numbering System (DUNS) Numbers
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.
3. 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 866-492-0280) or the
Internet (currently at http://fedgov.dnb.com/webform).
10. 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.
11. 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 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. If the FAA determines
that a change in the grant description is advantageous and in the best interests of the United States, the
FAA can issue a letter to the Sponsor amending the grant description.
By issuing an Informal Letter Amendment, the FAA has changed the grant amount or grant description to
the amount or description in the letter.
12. 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
suspend, cancel, or terminate this grant.
13. 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.
14. 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.
15. 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;
31 3-48-0138-039-2014
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.
16. Audits for Public Sponsors. The Sponsor must provide for a Single Audit in accordance with 2 CFR Part
200. The Sponsor must submit the Single Audit reporting package to the Federal Audit Clearinghouse on
the Federal Audit Clearinghouse's Internet Data Entry System at http://harvester.census.gov/facweb/.
The Sponsor must also provide one copy of the completed 2 CFR Part 200 audit to the Airports District
Office.
17. Suspension or Debarment. The Sponsor must inform the FAA when the Sponsor suspends or debars a
contractor, person, or entity.
18. Ban on Textins When 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.
B. The Sponsor must insert the substance of this clause on banning texting when driving in all
subgrants, contracts and subcontracts
19. Traffickine in Persons.
A. Prohibitions: The prohibitions against trafficking in persons (Prohibitions) that 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) are:
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 (NPA), as amended (22 U.S.C.
7104(8)), allows the FAA to unilaterally terminate this agreement, without penalty, if a
private entity –
1. Is determined to have violated the Prohibitions; or
2. Has an employee who the FAA determines has violated the Prohibitions through
conduct that is either—
a. Associated with performance under this agreement; or
41 3-48-0138-039-2014
b. Imputed to the Sponsor or subrecipient using 2 CFR part 180, "OMB Guidelines to
Agencies on Governmentwide Debarment and Suspension (Nonprocurement)," as
implemented by the FAA at 49 CFR Part 29.
20. Exhibit A Incorporated by Reference. The Exhibit "A" updated 8/1/2007, filed with AIP Project 3-48-0138-
039-2014, is incorporated herein by reference.
The 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 Project
and compliance with the assurances and conditions as provided herein. Such Grant Agreement shall become
effective upon the Sponsor's acceptance of this Offer.
SPECIAL CONDITIONS
21. AIRPORT LAYOUT PLAN: The Sponsor understands and agrees to update the Airport Layout Plan
to reflect the construction to standards satisfactory to the FAA and submit it in final form to the FAA. It
is further mutually agreed that the reasonable cost of developing said Airport Layout Plan Map is an
allowable cost within the scope of this project.
22. 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.
23. ENVIRONMENTAL: The environmental approval for this project was issued on June 14, 2012.
24. PAVEMENT MAINTENANCE MANAGEMENT PROGRAM: The Sponsor agrees that it will implement an
effective airport pavement maintenance management program as required by Grant Assurance Pavement
Preventive Management. The Sponsor agrees that it will use the program for the useful life of any
pavement constructed, reconstructed, or repaired with federal financial assistance at the airport. The
Sponsor further agrees that the program will
1. follow FAA Advisory Circular 150/5380-6, "Guidelines and Procedures for Maintenance of Airport
Pavements," for specific guidelines and procedures for maintaining airport pavements, establishing an
effective maintenance program, specific types of distress and its probable cause, inspection guidelines,
and recommended methods of repair;
2. detail the procedures to be followed to assure that proper pavement maintenance, both preventive
and repair, is performed;
3. include a Pavement Inventory, Inspection Schedule, Record Keeping, Information Retrieval, and
Reference, meeting the following requirements:
a. Pavement Inventory. The following must be depicted in an appropriate form and level of detail:
51 3-48-0138-039-2014
1) location of all runways, taxiways, and aprons;
2) dimensions;
3) type of pavement, and;
4) year of construction or most recent major rehabilitation.
b. Inspection Schedule.
1) Detailed Inspection. A detailed inspection must be performed at least once a year. If a history of
recorded pavement deterioration is available, i.e., Pavement Condition Index (PCI) survey as set
forth in the Advisory Circular 150/5380-6, the frequency of inspections may be extended to three
years.
2) Drive -By Inspection. A drive-by inspection must be performed a minimum of once per month to
detect unexpected changes in the pavement condition. For drive-by inspections, the date of
inspection and any maintenance performed must be recorded.
4. Record Keeping. Complete information on the findings of all detailed inspections and on the
maintenance performed must be recorded and kept on file for a minimum of five years. The type of
distress, location, and remedial action, scheduled or performed, must be documented. The minimum
information is:
a. inspection date;
b. location;
c. distress types; and
d. maintenance scheduled or performed.
Information Retrieval System. The Sponsor must be able to retrieve the information and records produced by
the pavement survey to provide a report to the FAA as may be required.
25. PROJECTS WHICH CONTAIN PAVING WORK IN EXCESS OF $250.000: 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.
(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.
61 3-48-0138-039-2014
b. Submit at completion of the project, a final test and quality control report documenting the results of all
tests performed, highlighting those tests that failed 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. An interim test and quality control report must be submitted, if 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.
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.
UNITED STATES OF AMERICA
FEDERAL AVIATION ADMINISTRATION
Edward N. Agnew
Manager, Texas Airports
Development Office
71 3-48-0138-039-2014
�A
PARTII-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 th fore oing is true andco rect.'
Executed this day of jo C
Lubbock Preston Smith International Airport
By: Glen C. Robertson
Designated Official Representative)
(Typed Name of Sponsor's Designated Official Representative)
Title: Mayor
(Title of Sponsor)
CERTIFICATE OF SPONSOR'S ATTORNEY
I,i %rAwa4t �, 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 -Re-4-4 S . Further, I have examined the foregoing Grant Agreement and the
actions taken by said 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.
t. -• at .1._s this day • By
ri
.. • • •
' 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.
81 3-48-0138-039-2014
ASSURANCES
Airport Sponsors
A. General.
1. These assurances shall be complied with in the performance of grant agreements
for airport development, airport planning, and noise compatibility program grants
for airport sponsors.
2. 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.
3. 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, 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.
C. Sponsor Certification. The sponsor hereby assures and certifies, with respect to this
grant that:
Airport Sponsor Assurances (4/2012) 1 of 17
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:
Federal Legislation
a. Title 49, U.S.C., subtitle VII, as amended.
b. Davis -Bacon Act - 40 U.S.C. 276(a), et sea.'
C. Federal Fair Labor Standards Act - 29 U.S.C. 201, et sea.
d. Hatch Act — 5 U.S.C. 1501, gt see
e. Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970 Title 42 U.S.C. 4601, et sea.
f. National Historic Preservation Act of 1966 - Section 106 - 16 U.S.C.
470(f).'
g. Archeological and Historic Preservation Act of 1974 - 16 U.S.C. 469
through 469c.'
h. Native Americans Grave Repatriation Act - 25 U.S.C. Section 3001, et
sec ..
i. 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. Title 49, U.S.C., Section 303, (formerly known as Section 4(f))
M. Rehabilitation Act of 1973 - 29 U.S.C. 794.
n. Civil Rights Act of 1964 - Title VI - 42 U.S.C. 2000d through d-4.
o. Age Discrimination Act of 1975 - 42 U.S.C. 6101, et sea.
P. American Indian Religious Freedom Act, P.L. 95-341, as amended.
q. Architectural Barriers Act of 1968 -42 U.S.C. 4151, et sea.'
r. Power plant and Industrial Fuel Use Act of 1978 - Section 403- 2 U.S.C.
8373.'
S. Contract Work Hours and Safety Standards Act - 40 U.S.C. 327, et sea.'
t. Copeland Anti kickback Act - 18 U.S.C. 874.1
U. National Environmental Policy Act of 1969 - 42 U.S.C. 4321, et sea.'
V. Wild and Scenic Rivers Act, P.L. 90-542, as amended.
W. Single Audit Act of 1984 - 31 U.S.C. 7501, et sea.z
X. Drug -Free Workplace Act of 1988 - 41 U.S.C. 702 through 706.
Executive Orders
Executive Order 11246 - Equal Employment Opportunity'
Executive Order 11990 - Protection of Wetlands
Executive Order 11998 — Flood Plain Management
Executive Order 12372 - Intergovernmental Review of Federal Programs
Executive Order 12699 - Seismic Safety of Federal and Federally Assisted New
Building Construction'
Executive Order 12898 - Environmental Justice
Airport Sponsor Assurances (4/2012) 2 of 17
Federal Regulations
a. 14 CFR Part 13 - Investigative and Enforcement Procedures.
b. 14 CFR Part 16 - Rules of Practice For Federally Assisted Airport
Enforcement Proceedings.
C. 14 CFR Part 150 - Airport noise compatibility planning.
d. 29 CFR Part 1 - Procedures for predetermination of wage rates.'
e. 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.'
f. 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).'
g. 41 CFR Part 60 - Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor (Federal and federally
assisted contracting requirements).'
h. 49 CFR Part 18 - Uniform administrative requirements for grants and
cooperative agreements to state and local governments.3
i. 49 CFR Part 20 - New restrictions on lobbying.
j. 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.
k. 49 CFR Part 23 - Participation by Disadvantage Business Enterprise in
Airport Concessions.
1. 49 CFR Part 24 - Uniform relocation assistance and real roperty
acquisition for Federal and federally assisted programs.'
M. 49 CFR Part 26 — Participation By Disadvantaged Business Enterprises in
Department of Transportation Programs.
n. 49 CFR Part 27 - Nondiscrimination on the basis of handicap in programs
and activities receiving or benefiting from Federal financial assistance.'
o. 49 CFR Part 29 — Government wide debarment and suspension
(nonprocurement) and government wide requirements for drug-free
workplace (grants).
P. 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.
q. 49 CFR Part 41 - Seismic safety of Federal and federally assisted or
regulated new building construction.'
Office of Management and Budget Circulars
a. A-87 - Cost Principles Applicable to Grants and Contracts with State and
Local Governments.
b. A-133 - Audits of States, Local Governments, and Non -Profit
Organizations
' These laws do not apply to airport planning sponsors.
Airport Sponsor Assurances (4/2012) 3 of 17
These laws do not apply to private sponsors.
49 CFR Part 18 and OMB Circular A-87 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.
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.
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: 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
Airport Sponsor Assurances (4/2012) 4 of 17
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.
d. 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.
e. 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.
f. 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
Airport Sponsor Assurances (4/2012) 5 of 17
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. 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 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.
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
Airport Sponsor Assurances (4/2012) 6 of 17
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.
a. 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.
b. 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 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
Airport Sponsor Assurances (4/2012) 7 of 17
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.
b. It will furnish the Secretary with such periodic reports as required
pertaining to the planning project and planning work activities.
C. 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.
d. 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.
e. It will give the Secretary unrestricted authority to publish, disclose,
distribute, and otherwise use any of the material prepared in connection
with this grant.
f. 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.
g. 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.
a. 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
Airport Sponsor Assurances (4/2012) 8 of 17
and in accordance with the minimum standards as may be 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-
t) 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.
b. 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.
a. 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.
b. 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
Airport Sponsor Assurances (4/2012) 9 of 17
furnishing services to the public at the airport, the sponsor will insert and
enforce provisions requiring the contractor to-
e) 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, provided that the contractor may be allowed to
make reasonable and nondiscriminatory discounts, rebates, or other
similar types of price reductions to volume purchasers.
C. 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.
d. 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.
e. 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.
f. 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.
g. 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.
h. 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.
i. 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.
Airport Sponsor Assurances (4/2012) 10 of 17
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
b. 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 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.
a. 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 Sponsor Assurances (4/2012) 11 of 17
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.
b. 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 manner consistent with
Title 49, United States Code and any other applicable provision of law,
including any regulation promulgated by the Secretary or Administrator.
C. 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:
a. 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,
Airport Sponsor Assurances (4/2012) 12 of 17
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
d. 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. Five (5) or more Government aircraft are regularly based at the airport or
on land adjacent thereto; or
b. 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 by gross weights of such aircraft) is in excess of five
million pounds.
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 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
Airport Sponsor Assurances (4/2012) 13 of 17
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.
b. 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 comply with such rules as are promulgated to assure that no
person shall, on the grounds of race, creed, color, national origin, sex, age, or
handicap be excluded from participating in any activity conducted with or
benefiting from funds received from this grant. This assurance obligates the
sponsor for the period during which Federal financial assistance is extended to the
program, except where 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: (a) the period during which the
property is used for a purpose for which Federal financial assistance is extended,
or for another purpose involving the provision of similar services or benefits, or
(b) the period during which the sponsor retains ownership or possession of the
property.
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
Airport Sponsor Assurances (4/2012) 14 of 17
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.
b. 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.
C. 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 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.
Airport Sponsor Assurances (4/2012) 15 of 17
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 (the latest approved version as of this
grant offer) 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. (1) 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. (2) 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. (3) 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 recipient shall not discriminate on the
basis of race, color, national origin or sex in the award and performance of any
DOT -assisted contract or in the administration of its DBE program or the
requirements of 49 CFR Part 26. The Recipient shall take all necessary and
reasonable steps under 49 CFR Part 26 to ensure non discrimination in the award
and administration of DOT -assisted contracts. The recipient's DBE program, as
required by 49 CFR Part 26, and as approved by DOT, is incorporated by
reference in this agreement. Implementation of this program is a legal obligation
Airport Sponsor Assurances (4/2012) 16 of 17
and failure to carry out its terms shall be treated as a violation of this agreement.
Upon notification to the recipient of its failure to carry out its approved program,
the Department may impose sanctions as provided for under Part 26 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 1986 (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 I or August I 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.
Airport Sponsor Assurances (4/2012) 17 of 17
l AV�q�
'o FAA
s
Airports
yo 0
�NISTtIp�C
Current FAA Advisory Circulars Required for Use in AIP
Funded and PFC Approved Projects
Updated: 3/20/2014
View the most current versions of these ACs and any associated changes at:
hftp://www.faa.gov/airports/resources/advisory circulars
NUMBER
TITLE
70/7460-1 K
Obstruction Marking and Lighting
150/5020-1
Noise Control and Compatibility Planning for Airports
150/5070-613
Change1
Airport Master Plans
150/5070-7
The Airport System Planning Process
150/5100-13B
Development of State Standards for Nonprimary Airports
150/5200-28D
Notices to Airmen (NOTAMS) for Airport Operators
150/5200-30C
Change1
Airport Winter Safety And Operations
150/5200-31 C
Change 2
Airport Emergency Plan
150/5210-5D
Painting, Marking, and Lighting of Vehicles Used on an Airport
150/5210-7D
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
FAA Advisory Circulars Required for Use in Updated 3/20/2014 Page 1 of 5
AIP Funded and PFC Approved Projects ARP
NUMBER
TITLE
150/5320-12C
Measurement, Construction, and Maintenance of Skid Resistant Airport
Pavement Surfaces
150/5320-15A
Management of Airport Industrial Waste
150/5235-413
Runway Length Requirements for Airport Design
150/5335-5C
Standardized Method of Reporting Airport Pavement Strength — PCN
(Draft approved for use)
150/5340-1 L
Standards for Airport Markings
150/5340-5D
Segmented Circle Airport Marker System
150/5340-18F
Standards for Airport Sign Systems
150/5340-30G
Design and Installation Details for Airport Visual Aids
150/5345-3G
Specification for L-821, Panels for the Control of Airport Lighting
150/5345-56
Circuit Selector Switch
150/5345-7F
Specification for L-824 Underground Electrical Cable for Airport Lighting
Circuits
150/5345-10G
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
150/5345-42G
Specification for Airport Light Bases, Transformer Housings, Junction Boxes,
and Accessories
150/5345-43G
Specification for Obstruction Lighting Equipment
150/5345-44J
Specification for Runway and Taxiway Signs
150/5345-45C
Low -Impact Resistant (LIR) Structures
FAA Advisory Circulars Required for Use in Updated 3/20/2014 Page 3 of 5
AIP Funded and PFC Approved Projects ARP
NUMBER TITLE
150/5395-1A Seaplane Bases
111>i:l=1Y01glcolAI`[rl_1QQk 119111I_lW_la] a1107_11aa:W111X0&KO111 WA
Updated: 3/7/2014
NUMBER
TITLE
150/5100-14D
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
150/5300-913
Predesign, Prebid, and Preconstruction Conferences for Airport Grant Projects
150/5300-15A
Use of Value Engineering for Engineering Design of Airports Grant Projects
150/5320-17
Airfield Pavement Surface Evaluation and Rating (PASER) Manuals
150/5370-6D
Construction Progress and Inspection Report — Airport Grant Program
150/5370-12A
Quality Control of Construction for Airport Grant Projects
150/5380-7A
Airport Pavement Management Program
FAA Advisory Circulars Required for Use in Updated 3/20/2014 Page 5 of 5
AIP Funded and PFC Approved Projects ARP
OMB Number: 4040-0
Exuiration Date: 03/31/2
Application for Federal Assistance SF -424
* 1. Type of Submission
* 2. Type of Application ' If Revision, select appropriate letter(s):
❑ Preapplication
❑✓ New
✓❑ Application
❑ Continuation * Other (Specify)
❑ Changed/Corrected Application
❑ 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 (EIN/TIN):
*c. Organizational DUNS:
75-6000590
05-821-3893
d. Address:
* Street1: 5401 N MLK BLVD Unit 389
Street 2:
* City: Lubbock
County: Lubbock
* State: TX
Province:
Country: *Zip/ Postal Code: 79403-9710
e. Organizational Unit:
DepartmentName: 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. FirstName: Kelly
Middle Name:
* 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: kcam bell m lubbock.us
OMB Number: 4040-C
FYnirntinn r)atP• n3/31/9
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 Administration
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, Counties, States, etc.):
City of Lubbock, Lubbock County, Texas
* 15. Descriptive Title of Applicant's Project:
Phase I Runway 17R/35L Improvements
Attach supporting documents as specified in agency instructions.
OMB Number: 4040-1
Expiration Date. 03/31/,
Application for Federal Assistance SF -424
16. Congressional Districts Of:
* a. Applicant District 19 * b. Program/Project: District 19
Attach an additional list of Program/Project Congressional Districts if needed.
17. Proposed Project.
*a. Start Date: 8/14 * b. End Date; 9/16
18. Estimated Funding ($):
*a. Federal $35,669,755.67
*b. Applicant
*c. State
*d. Local
*e. Other $3,963,306.18
*f. Program Income
*g. TOTAL $39,633,061.85
*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.)
❑ Yes ❑✓ No
1. *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 col
with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subjt:
me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001).
F✓ **I AGREE
* The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement
agency specific instructions.
Authorized Representative:
Prefix: Mrs. *First Name Kelly
Middle Name:
i
*Last Name: Campbell
Suffix:
*Title: Executive Director of Aviation
*Telephone Number: 806-775-3131 Fax Number: 806-775-3133
*Email: kcam bell m lubbock.us
*Signature of Authorized Representative: Date Signed: a
OMB Number: 4040 -
Application 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 availabili
space.
N/A
INSTRUCTIONS FOR THE SF -424
Public reporting burden for this collection of information is estimated to average 60 minutes per response, including time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the
burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budge
Paperwork Reduction Project (0348-0043), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED
BY THE SPONSORING AGENCY.
This is a standard form (including the continuation sheet) required for use as a cover sheet for submission of preapplications and applications and
related information under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the Federal
agency (agency). Required items are identified with an asterisk on the form and are specified in the instructions below. In addition to the instructions
provided below, applicants must consult agency instructions to determine specific requirements.
Item
Entry:
Item
Entry:
1.
Type of Submission: (Required): Select one type of submission in
10.
Name Of Federal Agency: (Required) Enter the name of the
accordance with agency instructions.
Federal agency from which assistance is being requested with
• Preapplication
this application.
• Application
• Changed/Corrected Application — If requested by the agency, check
11.
Catalog Of Federal Domestic Assistance Number/Title:
if this submission is to change or correct a previously submitted
Enter the Catalog of Federal Domestic Assistance number and
application. Unless requested by the agency, applicants may not
title of the program under which assistance is requested, as
use this to submit changes after the closing date.
found in the program announcement, if applicable.
2.
Type of Application: (Required) Select one type of application in
12.
Funding Opportunity Number/Title: Enter the
accordance with agency instructions.
Funding Opportunity Number and title of the opportunity under
• New — An application that is being submitted to an agency for the
which assistance is requested, as found in the program
first time.
announcement.
• Continuation - An extension for an additional funding/budget period
for a project with a projected completion date. This can include
renewals.
• Revision - Any change in the Federal Government's financial
13.
Competition Identification Number/Title: Enter the
Competition Identification Number and title of the competition
under which assistance is requested, if applicable.
obligation or contingent liability from an existing obligation. If a
revision, enter the appropriate letter(s). More than one may be
selected. If "Other" is selected, please specify in text box provided.
14.
Areas Affected By Project: List the areas or entities using
A. Increase Award B. Decrease Award
the categories (e.g., cities, counties, states, etc.) specified in
C. Increase Duration D. Decrease Duration
agency instructions. Use the continuation sheet to enter
E. Other (specify)
additional areas, if needed.
3.
Date Received: Leave this field blank. This date will be assigned by the
Federal agency.
15.
Descriptive Title of Applicant's Project: (Required) Enter a
brief descriptive title of the project. If appropriate, attach a
map showing project location (e.g., construction or real
property projects). For preapplications, attach a summary
4.
Applicant Identifier: Enter the entity identifier assigned by the Federal
agency, if any, or applicant's control number, if applicable.
description of the project.
5a
Federal Entity Identifier: Enter the number assigned to your
16.
Congressional Districts Of: (Required) 16a. Enter the
organization by the Federal Agency, if any.
applicant's Congressional District, and 16b. Enter all District(s)
affected by the program or project. Enter in the format: 2
5b.
Federal Award Identifier: For new applications leave blank. For a
continuation or revision to an existing award, enter the previously
assigned Federal award identifier number. If a changed/corrected
application, enter the Federal Identifier in accordance with agency
characters State Abbreviation — 3 characters District Number,
e.g., CA -005 for California 5w district, CA -012 for California 12'h
district, NC -103 for North Carolina's 103rd district.
instructions.
• If all congressional districts in a state are affected, enter
"all" for the district number, e.g., MD -all for all
6.
Date Received by State: Leave this field blank. This date will be
assigned by the State, if applicable.
congressional districts in Maryland.
If nationwide, i.e. all districts within all states are affected,
7.
State Application Identifier: Leave this field blank. This identifier will
be assigned by the State, if applicable.
enter US -all.
• If the program/project is outside the US, enter 00-000.
8.
Applicant Information: Enter the following in accordance with agency
instructions:
a. Legal Name: (Required): Enter the legal name of applicant that will
undertake the assistance activity. This is the name that the organization
has registered with the Central Contractor Registry. Information on
17.
Proposed Project Start and End Dates: (Required) Enter the
proposed start date and end date of the project.
registering with CCR may be obtained by visiting the Grants. ov website.
b. Employer/Taxpayer Number (EIN/TIN): (Required): Enter the
Employer or Taxpayer Identification Number (EIN or TIN) as assigned by
18.
Estimated Funding: (Required) Enter the amount requested
the Internal Revenue Service. If your organization is not in the US, enter
44-4444444.
or to be contributed during the first funding/budget period by
each contributor. Value of in-kind contributions should be
c. Organizational DUNS: (Required) Enter the organization's DUNS or
included on appropriate lines, as applicable. If the action will
DUNS+4 number received from Dun and Bradstreet. Information on
obtaining a DUNS number may be obtained by visiting the Grants.gov
result in a dollar change to an existing award, indicate only the
amount of the change. For decreases, enclose the amounts in
website.
parentheses.
d. Address: Enter the complete address as follows: Street address (Line
1 required), City (Required), County, State (Required, if country is US),
Province, Country (Required), Zip/Postal Code (Required, if country is
US).
19.
Is Application Subject to Review by State Under Executive
Order 12372 Process? Applicants should contact the State
Single Point of Contact (SPDC) for Federal Executive Order
12372 to determine whether the application is subject to the
e. Organizational Unit: Enter the name of the primary organizational
unit (and department or division, if applicable) that will undertake the
Part I - AIP Grant Master Certification
• Sponsor Certification for Selection of Consultants
• Sponsor Certification for Project Plans and Specifications
• Sponsor Certification Equipment/Construction Contracts
Sponsor's Name: City of Lubbock
Airport: Lubbock Preston Smith International Airport
Project Number: 3-48-0138-039-2014
Project Description: Phase I Runway 17R/35L Rehabilitation
Section 47105 (formerly 509(d)) of the Airport and Airway Improvement Act of 1982, as amended
(herein called the Act), authorizes the Secretary to require certification from sponsors that they will
comply with statutory and administrative requirements. The following list of certified items includes
major requirements for this aspect of project implementation. However, the list is not comprehensive,
nor does it relieve sponsors from fully complying with all applicable statutory and administrative
standards. Every certified item must be marked. Each certified item with a "no" response must be fully
explained in an attachment to this certification. If the item is not applicable to this project, mark the
item "N/A."
I certify that, for the project identified herein, the responses to the following items are correct as marked,
and that the attachments, if any, are correct and complete.
Signed:.".-.,-- Dated:
S onsor's Authorized Representative
Kelly Campbell, Executive Director of Aviation
Typed Name and Title of Sponsor's Representative
This certification shall be submitted to the appropriate FAA Airport Development Office after bids have
been secured and prior to entering into the contract.
This master development certification is a reformatted version of Sponsor Certifications included within
Attachments 1 through 3 of AIP Guidance Letter 91-1.
Part I - Master Development Certification 9:98
SPONSOR CERTIFICATION FOR SELECTION OF CONSULTANTS
General procurement standards for consultant services within Federal grant programs are
described in 49 CFR 18.36. Sponsors may use other qualifications -based procedures provided
they are equivalent to specific standards in 49 CFR 18 and Advisory Circular 150/5100-14C.
1. Advertisements were placed to ensure fair and open competition from a wide area of interest.
Yes X No N/A
2. For contracts over $25,000, consultants were selected using competitive procedures based on
qualifications, experience, and disadvantaged business enterprise requirements with the fee determined
through negotiation.
Yes X No N/A
3. An independent cost analysis was performed, and a record of negotiations has been prepared
reflecting the considerations involved in the establishment of fees.
Yes X No N/A
4. If engineering or other services are to be performed by sponsor force account personnel, prior
approval was obtained from FAA.
Yes No N/A X
5. The consultant services contracts clearly establish the scope of work and delineate the division of
responsibilities between all parties engaged in carrying out elements of the project.
Yes X No N/A
6. Costs associated with work ineligible for AIP funding are clearly identified and separated from
eligible items.
Yes No N/A X
7. All mandatory contract provisions for grant -assisted contracts have been included in all consultant
services contracts.
Yes X No N/A
Part I - Master Development Certification Q 9S
8. If the contract is awarded without competition, pre -award review and approval was obtained from
FAA.
Yes No N/A X
9. Cost -plus -percentage -of -cost methods of contracting prohibited under Federal standards were not
used.
Yes X No N/A
10. If the services being procured cover more than the single grant project referenced in this
certification, the scope of work was specifically described in the advertisement, and future work will not
be initiated beyond five years.
Yes X No N/A
SPONSOR CERTIFICATION FOR PROJECT PLANS AND SPECIFICATIONS
General AIP standards are described in Advisory Circulars 150/5100-6, 150/5100-15, and
150/5100-16. A list of current advisory circulars with specific standards for design or construction
of airports and procurement or installation of airport equipment and facilities is referenced in
Grant Assurance 34.
1. The plans and specifications were developed in accordance with all applicable Federal standards and
requirements, and no deviation from or modification to standards set forth in the advisory circulars was
necessary other than those previously approved by FAA.
Yes X No N/A
2. Specifications for the procurement of equipment are not proprietary or written so as to restrict
competition. At least two manufacturers can meet the specification.
Yes No N/A X
3. The development included in the plans is depicted on an airport layout plan approved by FAA.
Yes X No N/A
4. Development which is ineligible for AIP funding has been identified in the plans and specifications.
Yes No N/A X
Part I - Master Development Certification 9/98
5. Process control and acceptance tests required for the project by standards contained in Advisory
Circular 150/5370-10 are included in the project specifications.
Yes X No N/A
6. If a value engineering clause is incorporated into the contract, concurrence was obtained from FAA.
Yes No N/A X
7. The plans and specifications incorporate applicable requirements and recommendations set forth in
the Federally -approved environmental finding.
Yes X No N/A
8. For construction activities within or near aircraft operational areas, the requirements contained in
Advisory Circular 150/5370-2 have been discussed with FAA and incorporated into the specifications.
A safety/phasing plan has been prepared, and FAA concurrence has been obtained, if required.
Yes X No N/A
9. The project will be physically completed without Federal participation in costs due to errors or
omissions in the plans and specifications which were foreseeable at the time of project design.
Yes X No N/A
SPONSOR CERTIFICATION FOR EQUIPMENT/CONSTRUCTION CONTRACTS
Standards for advertising and awarding equipment and construction contracts within Federal grant
programs are described in 49 CFR 18.36. Sponsors may use their procurement procedures reflecting
State and local laws or regulations provided procurements conform to specific standards in 49 CFR 18
and Advisory Circulars 150/5100-6, 150/5100-15, and 150/5100-16.
1. A code or standard of conduct is in effect governing the performance of the sponsor's officers,
employees, or agents in soliciting and awarding procurement contracts.
Yes X No N/A
2. Qualified personnel are engaged to perform contract administration, engineering supervision, and
construction inspection and testing.
Yes X No N/A
3. The procurement was publicly advertised using the competitive sealed bid method of procurement.
Yes X No N/A
Part I - Master Development Certification 9/98
4. The request for bids clearly and accurately describes all administrative and other requirements of the
equipment and/or services to be provided.
Yes X No N/A
5. Concurrence was obtained from FAA prior to contract award under any of the following
circumstances:
a. Only one qualified person/firm submits a responsive bid;
b. The contract is to be awarded to other than the lowest responsive and responsible bidder;
c. Life cycle costing is a factor in selecting the lowest responsive bidder, and
d. Proposed contract prices are more than 10 percent over the sponsor's cost estimate.
Yes No N/A X
6. All contracts exceeding $100,000, require a bid guarantee of 5 percent, a performance bond of 100
percent, and a payment bond of 100 percent.
Yes X No N/A
7. Contracts exceeding $100,000 contain provisions or conditions specifying administrative,
contractual, and legal remedies, including contract termination, for those instances in which contractors
violate or breach contract terms. They also contain provisions requiring compliance with applicable
standards and requirements issued under Section 306 of the Clean Air Act (42 USC 1857 (h)),
Section 509 of the Clean Water Act (33 USC 1368), Executive Order 11738, and environmental
protection regulations (40 CFR Part 15).
Yes X No N/A
8. All construction contracts involving labor contain provisions ensuring that in the employment of
labor honorably discharged Vietnam era veterans and disabled veterans will be given preference.
Yes X No N/A
9. All construction contracts exceeding $2,000 contain provisions requiring compliance with the
Davis -Bacon Act and bid solicitations contain a copy of the current Federal wage rate determination.
Provisions requiring compliance with Sections 103 and 107 of the Contract Work Hours and Safety
Standards Act (40 USC 327-330) and the Copeland "Anti -Kick Back" Act are included.
Yes X No N/A
10. All construction contracts exceeding $10,000 contain appropriate clauses from 41 CFR Part 60 for
compliance with Equal Employment Opportunity Executive Order 11246.
Yes X No N/A
Part I - Master Development Certification 9/98
11. All contracts and subcontracts contain clauses required from Title VI Civil Rights Assurances and
49 CFR 23 for Disadvantaged Business Enterprises.
Yes X No N/A
12. Appropriate checks have been made to assure that contracts or subcontracts are not awarded to
those individuals or firms suspended, debarred, or voluntarily excluded from doing business with any
DOT element and appearing on the DOT Unified List.
Yes X No N/A
Part I - Master Development Certification 9/98
DEPARTMENT OF TRANSPORTATION - FEDERAL AVIATION ADMINISTRATION
OMB NO 212M569
0/2007
PART II
PROJECT
APPROVAL INFORMATION
Item 1.
Name of Governing Body
Does this assistance request require State,
Priority
local, regional, or other priority rating?
❑Yes ®No
Item 2.
Name of Agency or Board
Does this assistance request require State, local
(Attach Documentation)
advisory, educational or health clearances?
❑Yes ®No
Item 3.
(Attach Comments)
Does this assistance request require clearinghouse
review in accordance with OMB Circular A-95?
❑Yes ®No
Item 4.
Name of Approving Agency
Does this assistance request require State,
local, regional, or other planning approval?
Date
DYes F& No
Item 5.
Check One: State ❑
Is the proposed project covered by an approved
Local
Regional ❑
comprehensive plan?
®Yes ❑No
Location of pla&bbock International Airport
Item 6.
Name of Federal Installation
Will the assistance requested serve a
Federal Population benefiting from Project
Federal installation?
❑Yes ®No
Item 7.
Name of Federal Installation
Will the assistance requested be on Federal land
Location of Federal Land
or installation?
Percent of Project
❑Yes ®No
Item 8.
See instructions for additional information to be
Will the assistance requested have an impact
provided.
or effect on the environment?
❑Yes ®No
Item 9.
Number of:
Will the assistance requested cause the displacement
Individuals
of individuals, families, businesses, or farms?
Families
Businesses
❑Yes ®No
Farms
Item 10.
See instructions for additional information to be provided.
Is there other related Federal assistance on this
project previous, pending, or anticipated?
❑Yes ®No
FAA Form 5100-101 6-73;i SUPERSEDES FAA FORM 59 10-1 and 59 20-1
Page 2
INSTRUCTIONS
PART II
Negative answers will not require an explanation unless the Federal agency requests more information at a later date. Provide
supplementary data for all "Yes" answers in the space provided in accordance with the following instructions.
Item 1. — Provide the name of the governing body
establishing the priority system and the priority rating
assigned to this project.
Item 2. — Provide the name of the agency or board which
issued the clearance and attach the documentation of status
or approval.
Item 3. — Attach the clearinghouse comments for the
application in accordance with the instructions contained in
Office of Management and Budget Circular No. A-95. If
comments were submitted previously with a preapplication,
do not submit them again but any additional comments
received from the clearinghouse should be submitted with
this application.
Item 4. — Furnish the name of the approving agency and the
approval date.
Item 5. — Show whether the approved comprehensive plan is
State, local or regional, or if none of these, explain the scope
of the plan. Give the location where the approved plan is
available for examination and state whether this project is in
conformance with the plan.
Item 6. — Show the Federal population residing or working on
the federal installation that will benefit from this project.
Item 7. — Show the percentage of the project work that will be
conducted on federally -owned or leased land. Give the
name of the Federal installation and its location.
Item 8. — Briefly describe the possible beneficial and/or
harmful impact on the environment because of the proposed
project. If an adverse environmental impact is anticipated,
explain what action will be taken to minimize the impact.
Federal agencies will provide separate instructions if
additional data is needed.
Item 9. — State the number of individuals, families,
businesses, or farms this project will displace. Federal
agencies will provide separate instructions if additional data
is needed.
Item 10. — Show the Federal Domestic Assistance Catalog
number, the program name, the type of assistance, the
status, and amount of each project where there is related
previous, pending, or anticipated assistance. Use additional
sheets, if needed.
Paperwork Reduction Act Statement: The information collected on this form allows sponsors of public use airports or public agencies to
apply for one or more projects in a form prescribed by the Secretary of Transportation.
Title 49, United States Code (U.S.C.), Section 47105, identifies the information required to apply for this program. The forms prescribed to
meet this requirement are developed to provide a comprehensive format that allows sponsors to provide the data needed to evaluate the
request for funds. The burden for each response is estimated to be 28 hours. Approved applications benefit the sponsor by providing
Federal funding to protect the Federal interest in safety, efficiency, and utility of the Nation's airport system. No assurance of confidentiality
can be given since these become public records. If you wish to make any comments concerning the accuracy of this burden estimate or
any suggestions for reducing this burden, send to Federal Aviation Administration, ARP -10, 800 Independence AVE, SW, Washington, DC
20591. Please note that an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number, which is 2120-0569 for this collection. Comments concerning the accuracy of this
burden and suggestions for reducing the burden should be directed to the FAA at: 800 Independence Ave SW, Washington, DC 20591, Attn:
Information Collection Clearance Officer, ABA -20.
DEPARTMENT OF TRANSPORTATION - FEDERAL AVIATION ADMINISTRATION OMB NO 2120-0559
PART III - BUDGET INFORMATION
SECTION A - BUDGET SUMMARY
Grant Program,
Function
or Activity
(a)
Federal
Catalog No.
(b)
Estimated Unobligated Funds
New or Revised Budget
Federal
(c)
Non -Federal
(d)
Federal
(e)
Non -Federal
(f)
Total
(g)
1AIP
20.106
$
$
$35,669,755.67
$
$35,669,755.67
2PFC
3,963,306.18
3,963,306.18
3.
4.
5. TOTALS
$
$
$35,669,755.67
$3,963,306.18
$39,633,061.85
SECTION B - BUDGET CATEGORIES
Object Class
6. Categories
Grant Program, Function or Activity
Total
(1)
(2)
(3)
(4)
(5)
a. Personnel
$
$
$
$
$
b. Fringe Benefits
c.Travel
d.Equipment
e. Supplies
f. Contractual
3,096,756.00
344,084.00
3,440,840.00
9. Construction
32,563,999.67
3,618,222.18
36,182,221.85
h. Other
9,000.00
1,000.00
10,000.00
I. Total Direct Charges
j. Indirect Charges
k. TOTALS
$
$
$
$
$
7. Program Income
$
$
$35,669,755.67
$3,963,306.18
$39,633,061.85
FAA Form 5100-101 (6-73) SUPERSEDES FAA FORM 5910-1 AND 5920.1 Page 3
INSTRUCTIONS
PART III
GENERAL INSTRUCTIONS
This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget,
adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be
separately shown for different functions or activities within the program. For some programs, grantor agencies may require
budgets to be separately shown by function or activity. For other programs, grantor agencies may not require a breakdown by
function or activity. Sections A, B, C, and D should include budget estimates for the whole project except when applying for
assistance which requires Federal authorization in annual or other funding period increments. In the latter case, Sections A,
B, C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for
Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class
categories shown in Lines a -k of Section B.
SECTION A. BUDGET SUMMARY
Lines 1-4, Columns (a) and (b).
For applications pertaining to a single Federal grant pro -gram
(Federal Domestic Assistance Catalog number) and not
requiring a functional or activity breakdown, enter on
Line 1 under Column (a) the catalog program title and the
catalog number in Column (b).
For applications pertaining to a single program requiring
budget amounts by multiple functions of activities, enter the
name of each activity or function on each line in Column (a),
and enter the catalog number in Column (b). For
applications pertaining to multiple programs where none of
the programs requires a breakdown by function or activity,
enter the catalog program title on each line in Column (a)
and the respective catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity,
prepare a separate sheet for each program requiring the
breakdown. Additional sheets should be used when one
form does not provide adequate space for all breakdown of
data required. However, when more than one sheet is used,
the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g).
For new applications, leave Columns (c) and (d) blank. For
each line entry in Columns (a) and (b), enter in Columns (e),
(f), and (g) the appropriate amounts of funds needed to
support the project for the first funding period (usually a
year).
For continuing grant program applications, submit these
forms before the end of each funding period as required by
the grantor agency. Enter in Columns (c) and (d) the
estimated amounts of funds that will remain unobligated at
the end of the grant funding period only if the Federal grantor
agency instructions provide for this. Otherwise, leave these
columns blank. Enter in columns (e) and (f) the amounts of
funds needed for the upcoming period. The amount(s) in
Column (g) should be the sum of amounts in Columns (e)
and (f).
For supplemental grants and changes to existing grants, do
not use Columns (c) and (d). Enter in Column (e) the amount
of the increase or decrease of Federal funds and enter in
Column (f) the amount of the increase or decrease of non -
Federal funds. In Column (g) enter the new total budgeted
amount (Federal and non -Federal) which includes the total
previous authorized budgeted amounts plus of minus, as
appropriate, the amounts shown in Columns (e) and (f). The
amount(s) in Column (g) should not equal the sum of
amounts in Columns (e) and (f).
Line 5 - Show the totals for all columns used.
SECTION B. BUDGET CATEGORIES
In the column headings (1) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4,
Column (a), Section A. When additional sheets were prepared for Section A, provide similar column headings on each sheet.
For each program, function, or activity, fill in the total requirements for funds (both Federal and non -Federal) by object class
categories.
Lines 6 a -h - Show the estimated amount for each direct
cost budget (object class) category for each column with
program, function, or activity heading.
Line 6i - Show the totals of Lines 6a to 6h in each column.
Line 6j - Show the amount of indirect cost. Refer to Office of
Management and Budget Circular No. A-87.
Line 6k - Enter the total amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total
amount in column (5), Line 6k, should be the same as the
total amount shown in Section A, Column (g), Line 5.
For supplemental grants and changes to grants, the total
amount of the increase or decrease as shown in
Columns (1) - (4), Line 6k should be the same as the sum of
the amounts in Section A, Column (e) and (f) on Line 5.
When additional sheets were prepared, the last two
sentences apply only to the first page with summary totals.
Line 7 - Enter the estimated amount of income, if any,
expected to be generated from this project. Do not add or
subtract this amount from the total project amount. Show
under the program narrative statement the nature and source
of income. The estimated amount of program income may
be considered by the Federal grantor agency in determining
the total amount of the grant.
DEPARTMENT OF TRANSPORTATION - FEDERAL AVIATION ADMINISTRATION
OMB NO. 2120-0569
SECTION C - NON-FEDERAL RESOURCES
(a) GRANT PROGRAM
(b) APPLICANT
(c) STATE
(d) OTHER
SOURCES
(e) TOTALS
8.
$
$
$ 3,963,306.18
$ 3,963,306.18
9.
10.
11.
12. TOTALS
3,963,306.18
3,963,306.18
SECTION D - FORECASTED CASH NEEDS
Total for 1st Year
1s' Quarter
2nd Quarter
3`d Quarter
4th Quarter
13. Federal
$17,834,877.84
$4,458,719.46
$4,458,719.46
$4,458,719.46
$4,458,719.46
14. Non -Federal
1,981,653.09
495,413.27
495,413.27
495,413.27
495,413.28
15. TOTAL
$19,816,530.93
$4,954,132.73
$4,954,132.73
$4,954,132.73
$4,954,132.74
SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
(a) GRANT PROGRAM
FUTURE FUNDING PERIODS (YEARS)
(b) FIRST
(c) SECOND
(d) THIRD
(e) FOURTH
16.
$
$
$
$
17.
18.
19.
20. TOTALS
$
$
$
$
SECTION F - OTHER BUDGET INFORMATION
(ATTACH ADDITIONAL SHEETS IF NECESSARY)
21. Direct Charges:
22. Indirect Charges:
23. Remarks:
PART IV - PROGRAM NARRATIVE (ArracHPER msrRucrioN)
FAA Form 5100-101 (6-73) SUPERSEDES FAA FORM 5910-1 AND 5920-1 Page 4
INSTRUCTIONS
PART III (CONTINUED)
SECTION C. SOURCE OF NON-FEDERAL RESOURCES
Line 8-11 - Enter amounts of non -Federal resources that will Column (c) - Enter the State contribution if the applicant is
be used on the grant. If in-kind contributions are included, not a State or State agency. Applicants that are a State or
provide a brief explanation on a separate sheet. (See State agencies should leave this column blank.
Attachment F, Office of Management and Budget Circular Column (d) - Enter the amount of cash and inn -kind
No. A-102.) contributions to be made from all other sources.
Column (a) - Enter the program titles identical to Column Column (e) - Enter the totals of Columns (b), (c), and (d).
(a), Section A, A breakdown by function or activity is not Line 12 - Enter the total for each of Columns (b) -(e). The
necessary. amount in Column (e) should be equal to the amount on
Column (b) - Enter the amount of cash and in-kind Line 5, Column (f), Section A.
contributions to be made by the applicant as shown in
Section A. (See also Attachment F, Office of Management
and Budget Circular No. A-102).
Section D. Forecasted Cash Needs
Line 13 - Enter the amount of cash needed by quarter from Line 14 - Enter the amount of cash from all other sources
the grantor agency during the first year. needed by quarter during the first year.
Line 15 - Enter the totals of amounts on Lines 13 and 14.
SECTION E. BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
Lines 16 -19 - Enter in Column (a) the same grant program If more than four lines are needed to list the program titles,
titles shown in Column (a), Section A. A breakdown by submit additional schedules, as needed.
function or activity is not necessary. For new applications Line 20 - Enter the total for each of the Columns (b) - (e).
and continuing grant applications, enter in the proper When additional schedules are prepared for this Section,
columns amounts of Federal funds which will be needed to annotate accordingly and show the overall totals on this line.
complete the program or project over the succeeding funding
periods (usually in years). This Section need not be
completed for amendments, changes, or supplements to
funds for the current year of existing grants.
SECTION F - OTHER BUDGET INFORMATION.
Line 21 - Use this space to explain amounts for individual Line 22 - Enter the type of indirect rate (provisional,
direct object cost categories that may appear to be out of the predetermined, final or fixed) that will be in effect during the
ordinary or to explain the details as required by the Federal funding period, the estimated amount of the base to which
grantor agency. the rate is applied, and the total indirect expense.
Line 23 - Provide any other explanations required herein or
any other comments deemed necessary.
PART IV
PROGRAM NARRATIVE
(Suggested Format)
DEPARTMENT OF TRANSPORTATION - FEDERAL AVIATION ADMINISTRATION
PROJECT:
AIRPORT:
1. Objective:
2. Benefits Anticipated:
3. Approach: (See approved Scope of Work in final Application)
4. Geographic Location:
5. If Applicable, Provide Additional Information:
6: Sponsor's Representative: (incl. address & teL no.)
OMB NO 2120-0569
FAA Form 5100-101 (6-73) SUPERSEDES FAA FORM 5910-1 AND 5920-1 PAGE 6
INSTRUCTIONS
PART IV
PROGRAM NARRATIVE
Prepare the program narrative statement in accordance with the following instructions for all new grant programs. Requests
for continuation or refunding and changes on an approved project should respond to item 5b only. Requests for supplemental
assistance should respond to question 5c only.
1. OBJECTIVES AND NEED FOR THIS ASSISTANCE.
Pinpoint any relevant physical, economic, social, financial,
institutional, or other problems requiring a solution.
Demonstrate the need for assistance and state the principal and
subordinate objectives of the project. Supporting documentation
or other testimonies from concerned interests other than the
applicant may be used. Any relevant data based on planning
studies should be included or footnoted.
2. RESULTS OR BENEFITS EXPECTED.
Identify results and benefits to be derived. For example,
include a description of who will occupy the facility and show
how the facility will be used. For land acquisition or
development projects, explain how the project will benefit the
public.
APPROACH
C.
Outline a plan of action pertaining to the scope and
detail of how the proposed work will be accomplished for
each grant program. Cite factors which might accelerate
or decelerate the work and your reason for taking this
approach as opposed to others. Describe any unusual
features of the project such as design or technological
innovations, reductions in cost or time, or extraordinary
social and community involvements.
Provide each grant program monthly or quarterly
quantitative projections of the accomplishments to be
achieved, if possible. When accomplishments cannot be
quantified, list the activities in chronological order to
show the schedule of accomplishments and their target
dates.
Identify the kinds of data to be collected and maintained,
and discuss the criteria to be used to evaluate the
results and success of the project. Explain the
methodology that will be used to determine if the needs
identified and discussed are being met and if the results
and benefits identified in Item 2 are being achieved.
d. List each organization, cooperator, consultant, or other
key individuals who will work on the project along with a
short description of the nature of their effort or
contribution.
4. GEOGRAPHIC LOCATION.
Give a precise location of the project and area to be served
by the proposed project. Maps or other graphic aids may be
attached.
5. IF APPLICABLE, PROVIDE THE FOLLOWING
INFORMATION:
a. Describe the relationship between this project and other
work planned, anticipated, or underway under the
Federal Assistance listed under Part II, Section A,
Item 10.
b. Explain the reason for all requests for supplemental
assistance and justify the need for additional funding.
c. Discuss accomplishments to date and list in
chronological order a schedule of accomplishments,
progress, or milestones anticipated with the new funding
request. If there have been significant changes in the
project objectives, location, approach or time delays,
explain and justify. For other requests for changes or
amendments, explain the reason for the change(s). If
the scope or objectives have changed or an extension of
time is necessary, explain the circumstances and justify.
If the total budget has been exceeded or if individual
budget items have changed more than the prescribed
limits contained in Attachment K, Office of Management
and Budget Circular No. A-102, explain and justify the
change and its effect on the project.
AIRPORT
1. SPONSOR INFORMATION
Mayor (or Authorized Representative)
Mr. Glen Robertson
Term Expiration
Or e e� en ctive
a a S e
LOCAL
PRIORITY
NUMBER
Physical Street Address (no PO Box)
1625 13`h Street
City
Lubbock
State
TX
Zip
1 79401
Phone
806-775-2010
1 Fax
E-mail
grobertson a mail.ci.lubbock.t
2. LOCAL CONTACT INFORMATION
3. CONSULTANT INFORMATION
Name
Ms. Kelly L. Campbell, AAE
Title/Position
Interim Director of Aviation
Company/Firm Name
Parkhill, Smith and Cooper, Inc.
Phone Number
806-775-3131
Fax
806-775-3133
Point of Contact
Mark D. Haberer, PE
E-mail
mhaberer@team-psc.com
Alternate Phone
806-775-3126
E-mail
kcampbell@mail.ci.lubbock.tx.us
Phone
806-473-2200
Fax
806-473-3500
Mailing Address
5401 N. MLK Blvd Unit 389
Mailing Address
4222 85`h Street
City
Lubbock
State I
TX
Zip
79403
City
Lubbock
State
TX
Zip
79423
14. OVERALL DEVELOPMENT OBJECTIVE (ODO)
State the Overall Development Objective (ODO). An ODO is described in FAA Order 5100.39A.
The Overall Development Objective is for the rehabilitation of concrete Runway 17R/35L to maintain structural integrity of the
pavement and minimize foreign object debris. Rehabilitation of concrete runway will include rubber removal and joint sealant
replacement in the center 50 feet and full depth replacement of outer 50 feet on each side. These projects are identified in the current
Airport Master Plan and appear on the ALP.
NOTE: For a development project to be considered eligible for federal funding, the development must be shown on an approved
Airport Layout Plan (ALP) or Airport Layout Drawing (ALD) and have a favorable environmental determination.
4a. ODO COMPONENT WORK ITEMS
List all work items associated with the ODO Estimated Cost
Administrative Expense (Independent Fee Analysis, Bid Costs, Etc) $10,000
Rehabilitate Runway 17R/35L Preliminary Engineering Report (Existing FY 2011 grant) $492,500
Rehabilitate Runway 17R/35L Design Only (Existing FY 2012 grant) $2,206,150
Rehabilitate Runway 17R/35L Phase I, Construction Administration (FY 2014 grant) $1,774,800
Rehabilitate Runway 17R/35L Phase I, Construction Services (FY 2014 grant) $22,753,848
Rehabilitate Runway 17R/35L Phase II, Construction Administration (FY 2015 grant) $1,143,804
Rehabilitate Runway 17R/35L Phase II, Construction Services (FY 2014 grant) $13,166,253
ODO Estimated Total Cost $41,547,355
4b. ODO DRAWING/SKETCH
Attach an 8'/2'x11" or 11 "x17" sketch depicting the limits of each proposed development project/phase in
relation to the airport. Shading, hatching or color -coding a reduced Airport Layout Plan (ALP) is ideal. For
projects involving land acquisition, attach a copy of the airport's property map (Exhibit A) identifying the
parcel(s) and/or easement(s) to be acquired.
4c. ODO JUSTIFICATION
Attach FAA Form 5100-100 PART IV — PROGRAM NARRATIVE (or an equivalent) describing the need, method of
accomplishment and benefit expected.
5. IMPACTS
Describe impacts to navigational aids, approach procedures, environmental concerns, utilities etc. associated with ODO execution.
Since the project will involve rehabilitation within the existing limits of pavement, there is no impact to the environment, utilities or
navigational aids anticipated. If a pavement overlay is feasible for the rehabilitation, the threshold elevation and TCH may need to be
updated and a validating flight inspection may be necessary. It is anticipated that a Categorical Exclusion will be all that is required for
this project
6. COST ESTIMATE
See Attached
Form Dated 11-04-05
Completed By: Date:
(Print Name)
FOR FAA USE
Date Received: Date Loaded: Program Manager's Initials:
PART IV
PROGRAM NARRATIVE
(Suggested Format)
DEPARTMENT OF TRANSPORTATION - FEDERAL AVIATION ADMINISTRATION OMB NO 2120-0569
PROJECT: Rehabilitation of Runway 17R/35L
AIRPORT: Lubbock Preston Smith International Airport (LBB)
1. Objective:
The Airport Master Plan contains a long-term list of rehabilitation and improvement projects necessary to maintain airport
facilities and to meet the requirements of the FAA. The primary objective is to rehabilitate concrete pavement which is
exhibiting signs of fatigue. Runway 17R/35L is the primary runway at LBB. It is vital to airport operations and must be
maintained to avoid disruption to air service. Based on the preliminary engineering report, only the outer 50 ft of each side
of the runway will be reconstructed. The middle 50 ft keel section was reconstructed in 1997 and is in good condition and
has considerable useful life remaining.
2. Benefits Anticipated:
This project will yield a pavement surface with a minimum 20 -year life given projected airport operations. Foreign object
debris and other maintenance -related disruptions will also be reduced.
3. Approach: (See approved Scope of Work in final Application)
FY 2014 — Rehabilitation of Runway 17R/35L-Phase I
FY 2015 — Rehabilitation of Runway 17R/35L-Phase II
4. Geographic Location:
The locations of the projects are shown on the attached development plan graphics.
5. If Applicable, Provide Additional Information:
}} 4
_ - ljlja IILIP
Side by side view of keel and outboard sections Example of typical distresses in runway
See next sheet
Form Dated 11-04-05
D -Cracking, typical on outboard sections of runway Example of typical distresses in runway
6: Sponsor's Representative: (incl. address & tel. no.)
Ms. Kelly L. Campbell, AAE
Interim Director of Aviation
Lubbock Preston Smith International Airport
5401 N. MLK Blvd unit 389
Lubbock, TX 79403
FAA Form 5100-100 (6-73) SUPERSEDES FAA FORM 5100-10 PAGES 1 THRU 7 PAGE 6
Form Dated 11-04-05
U.S. DEPARTMENT OF TRANSPORTATION - FEDERAL AVIATION ADMINISTRATION
nMR Nn. RD-Rn1RA
PART III - BUDGET INFORMATION - CONSTRUCTION
SECTION A - GENERAL
1. Federal Domestic Assistance Catalog No ...............
2. Functional or Other Breakout ..................................
SECTION B -CALCULATION OF FEDERAL GRANT
Cost Classification
Use only for revisions
Total
Amount
Required
Latest Approved
Amount
Adjustment
+ or (-)
1. Administration expense
$
$
$ 10,000
2. Preliminary expense
492,500
3. Land, structures, right-of-way
4. Architectural engineering basic fees
2,206,150
5. Other Architectural engineering fees
907,079
6. Project inspection fees
2,011,525
7. Land development
8. Relocation Expenses
9. Relocation payments to Individuals and Businesses
10. Demolition and removal
11. Construction and project improvement
35,920,101
12. Equipment
13. Miscellaneous
14. Total (Lines 1 through 13)
41,547,355
15. Estimated Income (if applicable)
16. Net Project Amount (Line 14 minus 15)
41,547,355
17. Less: Ineligible Exclusions
18. Add: Contingencies
19. Total Project Amt. (Excluding Rehabilitation Grants)
41,547,355
20. Federal Share requested of Line 19
37,392,620
21. Add Rehabilitation Grants Requested (100 Percent)
22. Total Federal grant requested (lines 20 & 21)
37,392,620
23. Grantee share
4,154,735
24. Other shares
25. Total Project (Lines 22, 23 & 24)
$
$
$ 41,547,355
FAA Form b1UU-1UU (6-73) 5UPER5EDE5 FAA FORM 51100 -1 -PAGES 1 THRU 7 Page 4
Form Dated 11-04-05
INSTRUCTIONS
PART IV
PROGRAM NARRATIVE
Prepare the program narrative statement in accordance with the following instructions for all new grant programs. Requests for
supplemental assistance should be responsive to Item 5b only. Requests for continuation or refunding or other changes of an
approved project should be responsive to Item 5c only.
1. OBJECTIVES AND NEED FOR THIS ASSISTANCE.
Pinpoint any relevant physical, economic, social, financial, institutional, or other problems requiring a solution.
Demonstrate the need for assistance and state the principal and subordinate objectives of the project. Supporting documentation or other
testimonies from concerned interests other than the applicant may be used. Any relevant data based on planning studies should be
included or footnoted.
2. RESULTS OR BENEFITS EXPECTED.
Identify results and benefits to be derived. For example, include a description of who will occupy the facility and show how the facility
will be used. For land acquisition or development projects, explain how the project will benefit the public.
3. APPROACH
a. Outline a plan of action pertaining to the scope and detail of how the proposed work will be accomplished for each grant program
Cite factors that might accelerate or decelerate the work, and your reason for taking this approach as opposed to others. Describe any
unusual features of the project such as design or technological innovations, reductions in cost or time, or extraordinary social and
community involvements.
b. Provide each grant program monthly or quarterly quantitative projections of the accomplishments to be achieved, if possible. When
accomplishments cannot be quantified, list the activities in chronological order to show the schedule of accomplishments and their
target dates.
c. Identify the kinds of data to be collected and maintained, and discuss the criteria to be used to evaluate the results and success of
the project. Explain the methodology that will be used to determine if the needs identified and discussed are being met and if the
results and benefits identified in Item 2 are being achieved.
d. List each organization, cooperator, consultant, or other key individuals who will work on the project along with a short description of
the nature of their effort or contribution.
4. GEOGRAPHIC LOCATION.
Give a precise location of the project and area to be served by the proposed project. Maps or other graphic aids may be attached.
5. IF APPLICABLE, PROVIDE THE FOLLOWING INFORMATION:
a. Describe the relationship between this project and other work planned, anticipated, or underway under the Federal Assistance listed
under Part II, Section A, Item 10.
b. Explain the reason for all requests for supplemental assistance and justify the need for additional funding.
c. Discuss accomplishments to date and list in chronological order a schedule of accomplishments, progress, or milestones
anticipated with the new funding re -quest. If there have been significant changes in the project objectives, location, approach or time
delays, explain and justify. For other requests for changes or amendments, explain the reason for the change(s). If the scope or
objectives have changed or an extension of time is necessary, explain the circumstances and justify. If the total budget has been
exceeded or if individual budget items have changed more than the prescribed limits contained in Attachment K, Office of Management
and Budget Circular No. A-102, explain and justify the change and its effect on the project.
Form Dated 11-04-05
INSTRUCTIONS
PART III
SECTION A. GENERAL
1. Show the Federal Domestic Assistance Catalog Number However, show the total amounts for all programs in Section B
from which the assistance is requested. When more than one of the basic application form.
program or Catalog Number is involved and the amount cannot
be distributed to the Federal grant program or catalog number 2. Show the functional or other categorical breakouts, if
on an over-all percentage basis, prepare a separate set of Part required by the Federal grantor agency. Prepare a separate
III forms for each program or Catalog Number. set of Part III forms for each category.
SECTION B. CALCULATION OF FEDERAL GRANT
When applying for a new grant, use the Total Amount Column only. When requesting revisions of previously awarded amounts, use all
columns.
Line 1 - Enter amounts needed for administration expenses
including such items as travel, legal fees, rental of vehicles and
any other expense items expected to be incurred to administer
the grant. Include the amount of interest expense when
authorized by program legislation and also show this amount
under Section E Remarks.
Line 2 - Enter amounts pertaining to the work of locating and
designing, making surveys and maps, sinking test holes, and all
other work required prior to actual construction.
Line 3 - Enter amounts directly associated with the acquisition
of land, existing structures, and related right-of-way.
Line 4 - Enter basic fees for architectural engineering services.
Line 5 - Enter amounts for other architectural engineering
services, such as surreys, tests, and borings.
Line 6 - Enter fees for inspection and audit of construction and
related programs.
Line 7 - Enter amounts associated with the development of
land where the primary purpose of the grant is land
improvement. Site work normally associated with major
construction should be excluded from this category and shown
on line 11.
Line 8 - Enter the dollar amounts needed to provide relocation
advisory assistance, and the net amounts for replacement (last
resort) housing. Do not include relocation administration
expenses on this Line; include them on Line 1.
Line 9 - Enter the estimated amount of relocation payments to
be made to displaced persons, business concerns, and non-
profit organizations for moving expenses and replacement
housing.
Line 10 - Enter the gross salaries and wages of employees of
the grantee who will be directly engaged in performing
demolition or removal of structures from developed land. This
line should show also the cost of demolition or removal of
improvements on developed land under a third party contract.
Reduce the costs on this line by the amount of expected
proceeds from the sale of salvage, if so instructed by the
Federal grantor agency. Otherwise, show the proceeds on
Line 15.
Line 11 - Enter amounts for the actual construction of, addition
to, or restoration of a facility. Also, include in this category the
amounts of project improvements such as sewers, streets,
landscaping, and lighting.
Line 12 - Enter amounts for equipment both fixed and movable
exclusive of equipment used in construction. For example,
include amounts for permanently attached lab -oratory tables,
built-in audio visual systems, movable desks, chairs, and
laboratory equipment.
Line 13 - Enter amounts for items not specifically mentioned
above.
Line 14 - Enter the sum of Lines 1-13.
Line 15 - Enter the estimated amount of program income that
will be earned during the grant period and applied to the
program.
Line 16 - Enter the difference between the amount on Line 14
and the estimated income shown on Line 15.
Line 17 - Enter the amounts for those items which are a part of
the project but not subject to Federal participation (See Section
C, Line 26g, Column (1)).
Line 18 - Enter the estimated amount for contingencies.
Compute this amount as follows. Subtract from the net project
amount shown on Line 16 the ineligible project exclusions
shown on Line 17 and the amount which is excluded from the
contingency provisions shown in Section C, Line 26g, Column
(2). Multiply the computed amount by the percentage factor
allowed by the grantor agency in accordance with the Federal
program guidance. For those grants which provide for a fixed
dollar allowance in lieu of a percentage allowance, enter the
dollar amount of this allowance.
Line 19 - Show the total amount of Lines 16, 17, and 18. (This
is the amount to which the matching share ratio pre -scribed in
program legislation is applied.)
Line 20 - Show the amount of Federal funds requested
exclusive of funds for rehabilitation purposes.
Line 21 - Enter the estimated amounts needed for
rehabilitation expense if rehabilitation grants to individuals are
made for which grantees are reimbursed 100 percent by the
Federal grantor agency in accordance with program legislation.
If the grantee shares in part of this expense, show the total
amount on Line 13 instead of on Line 21 and explain in Section
E.
Line 22 - Show the total amount of the Federal grant re-
quested.
Line 23 - Show the amount from Section D, Line 27h.
Line 24 - Show the amount from Section D, Line 28c.
Line 25 - Self-explanatory.
Form Dated 11-04-05
TERMS AND DEFINITIONS
OVERALL DEVELOPMENT OBJECTIVE (ODO): The developmental goal. Capture what is actually
being pursued. More runway length? A full parallel taxiway? Removing obstructions? Has a
change in aircraft operating at the airport necessitated a need to bringing the runway environment
up to new standards?
An ODO may require completion of more than one component work item in order to satisfy the
ODO. And some work items may be dependent upon completion of another work item. Physical
and/or time constraints may require phasing an ODO over multiple years. Funding constraints may
require phasing and an individual work item over more than one year.
PROJECT: A "Project" can mean several different things depending upon the context. An ODO as well
as a component work item can be referred to as a "Project". A project is a clearly definable task.
Hence, an ODO or one of its component work items can be identified as projects, but if an ODO or
a work item is phased over more than one year, we refer to the piece of the work item or ODO as a
phase.
COMPONENT WORK ITEM: A subpart of an ODO. A component work item associated with an ODO
may also be a phase of an ODO. Several component work items being completed concurrently
may actually make up a phase of an ODO. And on the other side of the spectrum, a component
work item and ODO can be one in the same.
PHASE: A phase refers to how an ODO is being funded. When a component work item associated with
an ODO is phased, the phase of the component work item becomes a phase of the ODO. An ODO
with only one work item or multiple work items being completed concurrently, has only one phase.
Form Dated 11-04-05