Order 2013-6-14

Served: June 24, 2013

UNITED STATES OF AMERICA

DEPARTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

WASHINGTON, D.C.

Issued by the Department of Transportation

on the 24th day of June, 2013

In the Matter of Grant Applications

SMALL COMMUNITY AIR SERVICE

DEVELOPMENT PROGRAM

under 49 U.S.C. § 41743 et seq.

 Docket DOT-OST-2013-0120

 

ORDER SOLICITING

SMALL COMMUNITY GRANT PROPOSALS

By this order, the Department invites proposals from communities and/or consortia of 

communities interested in obtaining a federal grant under the Small Community Air Service 

Development Program (“Small Community Program” or “SCASDP”) to address air service and 

airfare issues in their communities. Applications of no more than 20 pages each (one-sided 

only, excluding the completed SF424, Summary Information schedule, and any letters from 

the community or an air carrier showing support for the application), including all 

required information, must be submitted to www.grants.gov no later than 5:00 PM EDT on 

Friday, July 26, 2013.

This order is organized into the following sections:

I. Background

II. Selection Criteria and Guidance on Application of Selection Criteria

III. Evaluation and Selection Process

IV. How to Apply

V. Air Service Development Zone

VI. Grant Administration

VII. Questions and Clarifications

Appendix A – Additional Information on Applying Through www.grants.gov

Appendix B – Summary Information

Appendix C – Application Checklist

Appendix D – Confidential Commercial Information
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I. BACKGROUND

The Small Community Program was established by the Wendell H. Ford Aviation Investment 

and Reform Act for the 21st Century (P.L. 106-181) and reauthorized by the Vision 100-Century 

of Aviation Reauthorization Act (P.L. 108-176). The program is designed to provide financial 

assistance to small communities in order to help them enhance their air service. The Department 

provides this assistance in the form of monetary grants that are disbursed on a reimbursable 

basis. Authorization for this program is codified at 49 U.S.C. § 41743.

The Small Community Program is authorized to receive appropriations under 49 U.S.C. 

§ 41743(e)(2), as amended. Appropriations are provided for this program for award selection in 

FY 2013 pursuant to the FAA Modernization and Reform Act of 2012 (P.L. 112-95). The 

Department has up to $11.5 million available for FY 2013 grant awards to carry out this 

program. There is no limit on the amount of individual awards, and the amounts awarded will 

vary depending upon the features and merits of the selected proposals. In past years, the 

Department’s individual grant sizes have ranged from $20,000 to nearly $1.6 million.

A. Eligible Applicants

Eligible applicants are small communities that meet the following statutory criteria under

49 U.S.C. § 41743:

1. As of calendar year 1997, the airport serving the community was not larger than a 

small hub airport, and it has insufficient air carrier service or unreasonably high air 

fares; and

2. The airport serving the community presents characteristics, such as geographic 

diversity or unique circumstances that demonstrate the need for, and feasibility of, 

grant assistance from the Small Community Program.

No more than four communities or consortia of communities, or a combination thereof, from the 

same state may be selected to participate in the program in any fiscal year. No more than 40 

communities or consortia of communities, or a combination thereof, may be selected to 

participate in the program in each year for which the funds are appropriated.

Communities without existing air service: Communities that do not currently have 

commercial air service are eligible for SCASDP funds, but air service providers must have met 

or be able to meet in a reasonable period, all Department requirements for air service 

certification, including safety and economic authorities.

Essential Air Service communities: Small communities that meet the basic SCASDP criteria 

and currently receive subsidized air service under the Essential Air Service (“EAS”) program are 

eligible to apply for SCASDP funds. However, grant awards to EAS-subsidized communities 

are limited to marketing or promotion projects that support existing or newly subsidized EAS. 

Grant funds will not be authorized for EAS-subsidized communities to support any new

competing air service. Furthermore, no funds will be authorized to support additional flights by 
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EAS carriers or changes to those carriers’ existing schedules. These restrictions are necessary to 

avoid conflicts with the mandate of the EAS program.

Consortium applications: Both individual communities and consortia of communities are 

eligible for SCASDP funds. An application from a consortium of communities must be one that 

seeks to facilitate the efforts of the communities working together toward one joint grant project, 

with one joint objective, including the establishment of one entity to ensure that the joint 

objective is accomplished.

Multiple Applications: Communities may file only one application for a grant, either 

individually or as part of a consortium.

B. Eligible Projects

The Department is authorized to award grants under 49 U.S.C. § 41743 to communities that seek 

to provide assistance to:

• an air carrier to subsidize service to and from an underserved airport for a period not to 

exceed 3 years;

• an underserved airport to obtain service to and from the underserved airport; and/or

• an underserved airport to implement such other measures as the Secretary, in 

consultation with such airport, considers appropriate to improve air service both in terms 

of the cost of such service to consumers and the availability of such service, including 

improving air service through marketing and promotion of air service and enhanced 

utilization of airport facilities.

Applicants should also keep in mind the following statutory restrictions on eligible projects:

• An applicant may not receive an additional grant to support the same project from a 

previous grant (see Same Project Limitation, below); and

• An applicant may not receive an additional grant, prior to the completion of its previous 

grant (see Concurrent Grant Limitation, below).

Same Project Limitation: A community may not receive an additional grant to support the 

same project for which it received a previous grant (Same Project Limitation). In assessing 

whether a previous grantee’s current application represents a new project, the Department will 

compare the goals and objectives of the previous grant, including the key components of the 

means by which those goals and objectives were to be achieved, to the current application. For 

example, if a community received an earlier grant to support a revenue guarantee for service to a 

particular destination or direction, a new application by that community for another revenue 

guarantee for service to the same destination or in the same direction is ineligible, even if the 

revenue guarantee were structured differently or the type of carrier were different. However, a 

new application by such a previous grantee for service to a new destination or direction using a 

revenue guarantee, or for general marketing of the airport and the various services it offers, is 

eligible. We recognize that not all revenue guarantees, marketing agreements, studies, etc. are of 

the same nature, and that if a subsequent application incorporates different goals or significantly 
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different components, it may be sufficiently different to constitute a new project under 49 U.S.C. 

§ 41743(c).

Concurrent Grant Limitation: A community or consortium may have only one SCASDP grant 

at any time. If a community or consortium applies for a subsequent SCASDP grant when its 

current grant has not yet expired, that community/consortium must notify the Department of its 

intent to terminate the current SCASDP grant prior to entering into the new grant. In addition, 

for consortium member applicants, permission must be granted from both the grant sponsor and 

the Department to withdraw from the current SCASDP grant before that consortium member will 

be deemed eligible to receive a subsequent SCASDP grant.

Airport Capital Improvements Ineligible: Airport capital improvement projects, including, 

but not limited to, runway expansions and enhancements, the construction of additional aircraft 

gates, and other airport terminal expansions and reconfigurations are ineligible for funding under 

the Small Community Program. Airports seeking funding for airport capital improvement 

projects may want to consult with their local FAA Regional Office to discuss potential eligibility 

for grants under the Airport Improvement Program.

II. SELECTION CRITERIA AND GUIDANCE ON APPLICATION OF SELECTION 

CRITERIA

SCASDP grants will be awarded based on the selection criteria as outlined below. There are two 

categories of selection criteria: Priority Selection Criteria and Secondary Selection Criteria. 

Applications that meet one or more of the Priority Selection Criteria will be viewed more 

favorably than those that do not meet any Priority Selection Criteria.

A. Priority Selection Criteria

The law directs the Department to give priority consideration to those communities or consortia 

where the following criteria are met:

1. Air fares are higher than the national average air fares for all communities – DOT will 

compare the local community’s air fares to the national average air fares for all similar 

markets. Communities with market air fares significantly higher than the national 

average air fares in similar markets will receive priority consideration. DOT calculates 

these fares using data from the Bureau of Transportation Statistics (BTS) Airline Origin

and Destination Survey data. DOT evaluates all fares in all relevant markets that serve a 

SCASDP community and compares the SCASDP community fares to all fares in similar 

markets across the country. Each SCASDP applicant’s air fares are computed as a 

percentage above or below the national averages. SCASDP community relevant markets 

are markets that average more than one passenger per day each way. The report 

compares a community’s air fares to the average for all other similar markets in the 

country that have similar density (passenger volume) and similar distance characteristics 

(market groupings). All calculations are based on 12-month ended periods to control for 

seasonal variation of fares. 
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2. The community or consortium will provide a portion of the cost of the activity from local 

sources other than airport revenue sources – DOT will consider whether a community or 

consortium proposes local funding for the proposed project. Applications providing 

proportionately higher levels of cash contributions from sources other than airport 

revenues will be viewed more favorably. Applications that provide multiple levels of 

contributions (state, local, airport, cash and in-kind contributions) will also be viewed 

more favorably. See Additional Guidance – Cost Sharing and Local Contributions, 

in Subsection C below, for more information on the application of this selection criterion.

3. The community or consortium has established or will establish a public-private 

partnership to facilitate air carrier service to the public – DOT will consider a community 

or consortium’s commitment to facilitate air carrier service in the form of a public-private 

partnership. Applications that describe in detail how the partnership will actively

participate in the implementation of the proposed project will be viewed more favorably.

4. The assistance will provide material benefits to a broad segment of the traveling public, 

including businesses, educational institutions, and other enterprises, whose access to the 

national air transportation system is limited – DOT will consider whether the proposed 

project would provide, to a broad segment of the community’s traveling public, important 

benefits relevant to the community. Examples include service that would offer new or 

additional access to a connecting hub airport, service that would provide convenient 

travel times for both business and leisure travelers that would help obviate the need to 

drive long distances, and service that would offer lower fares.

5. The assistance will be used in a timely manner – DOT will consider whether a proposed 

project provides a well-defined plan and reasonable timetable for use of the grant funds. 

In DOT’s experience, a reasonable timetable for use of grant funds includes a year to 

complete studies, two years for marketing and promotion of the airport, community, 

carrier, or destination, and three years for projects that target a revenue guarantee, 

subsidy, or other financial incentives. Applicants should describe how their projects can 

be accomplished within a reasonable time period.

6. Multiple communities cooperate to submit a regional or multistate application to 

consolidate air service into one regional airport – DOT will consider whether a proposed 

project involves a consortium effort to consolidate air service into one regional airport. 

This statutory priority criterion was added pursuant to Section 429 of the FAA 

Modernization and Reform Act of 2012 (P.L. 112-95).

B. Secondary Selection Criteria

1. Innovation – DOT will consider whether an application proposes new and creative 

solutions to the transportation issues facing the community, including:

• the extent to which the applicant’s proposed solution(s) to solving the problem(s) 

is new or innovative, including whether the proposed project utilizes or 

encourages intermodal or regional solutions to connect passengers to the 

community’s air service (i.e., cost-effective inter/intra city passenger bus service, 
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marketing of intermodal surface transportation options also available to air 

travelers, or projects that have a positive impact on travel and tourism); and

• whether the proposed project, if successfully implemented, could serve as a 

working model for other communities.

2. Participation – DOT will consider whether an application has broad community 

participation, including:

• whether the proposed project has broad community support; and

• the community’s demonstrated commitment to and participation in the proposed 

project.

3. Location – DOT will consider the location and characteristics of a community:

• the geographic location of each applicant, including the community’s proximity to 

larger centers of air service and low-fare service alternatives;

• the population and business activity, as well as the relative size of each 

community; and

• whether the community’s proximity to an existing or prior grant recipient could 

adversely affect either its proposal or the project undertaken by the other 

recipient.

4. Other Factors – DOT will also consider:

• whether the proposed project clearly addresses the applicant’s stated problems;

• the community’s existing level of air service and whether that service has been 

increasing or decreasing;

• whether the applicant has a plan to provide any necessary continued financial 

support for the proposed project after the requested grant award expires;

• the grant amount requested compared with total funds available for all 

communities;

• the proposed federal grant amount requested compared with the local share 

offered;

• any letters of intent from airline planning departments or intermodal surface 

transportation providers on behalf of applications that are specifically intended to 

enlist new or expanded air service or surface transportation service in support of 

the air service in the community;

• whether the applicant has plans to continue with the proposed project if it is not 

self-sustaining after the grant award expires; and 

• equitable and geographic distribution of available funds.

C. Additional Guidance

Market Analysis: Applicants requesting funds for a revenue guarantee/subsidy/financial 

incentive are encouraged to conduct and reference in their applications an in-depth analysis of 

their target markets. Target markets can be destination specific (e.g., service to LAX), a 

geographic region (e.g., northwest mountain region) or directional (e.g., hub in the southeastern 

United States).
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Complementary Marketing Commitment: Applicants requesting funds for a revenue 

guarantee/subsidy/financial incentive are encouraged to designate in their applications a portion 

of the project funds (federal, local or in-kind) for the development and implementation of a 

marketing plan in support of the service sought.

Subsidies for a carrier to compete against an incumbent: The Department is reluctant to 

subsidize one carrier but not others in a competitive market. For this reason, communities that 

propose to use the grant funds for service in a city-pair market that is already served by another 

air carrier must explain in detail why the existing service is insufficient or unsatisfactory, or 

provide other compelling information to support such proposals.

Cost Sharing and Local Contributions: Applications must clearly identify the level of federal 

funding sought for the proposed project. Applications must also identify the community’s cash 

contributions to the proposed project, in-kind contributions from the airport, and in-kind 

contributions from the community. Non-federal funds will be applied proportionately to the 

entire scope of the project. Communities cannot use non-federal funds to selectively fund certain 

components of a project (see Section VI-Grant Administration-Payments for more information). 

Cash contributions from airport revenues must be identified separately from cash contributions 

from other community sources, and cash contributions from the state and/or local government 

should be separately identified and described.

Types of contributions. Contributions should represent a new financial commitment or new

financial resources devoted to attracting new or improved service, or addressing specific 

high-fare or other service issues, such as improving patronage of existing service at the 

airport. For communities that propose to contribute to the grant project, that contribution can 

be in the following forms:

Cash from non-airport revenues. A cash contribution can include funds from the state, 

the county or local government, and/or from local businesses, or other private 

organizations in the community. Contributions that are comprised of intangible non-cash 

items, such as the value of donated advertising, are considered in-kind contributions (see 

further discussion below). 

Cash from airport revenues. This includes contributions from funds generated by airport 

operations. Airport revenues may not be used for revenue guarantees to airlines, per 49 

U.S.C. §§ 47107 and 47133. Applications that include local contributions based on 

airport revenues do not receive priority consideration for selection.

In-kind contributions from the airport. This can include such items as waivers of landing 

fees, terminal rents, fuel fees, and/or vehicle parking fees.

In-kind contributions from the community. This can include such items as donated 

advertising from media outlets, catering services for inaugural events, or in-kind trading, 
8

such as advertising in exchange for free air travel. Travel banks and travel

commitments/pledges are considered to be in-kind contributions.

1

Cash vs. in-kind contributions. Communities that include local contributions made in cash 

will be viewed more favorably.

III. EVALUATION AND SELECTION PROCESS

The Department will first review each application to determine whether it has satisfied the 

following eligibility requirements:

1. The applicant is an eligible applicant;

2. The application is for an eligible project (including compliance with the Same Project 

Limitation); and

3. The application is complete (including submission of a completed SF424 and all of the 

information listed in Contents of Application, in Section IV below).

To the extent that the Department determines that an application does not satisfy these eligibility 

requirements, the Department will deem that application ineligible and not consider it further.

The Department will then review all eligible applications based on the selection criteria outlined 

above in Section II. Applications that meet one or more of the Priority Selection Criteria will be 

viewed more favorably than those that do not meet any Priority Selection Criteria.

Grant awards will be made as promptly as possible so that selected communities can complete 

the grant agreement process and implement their plans. Given the competitive nature of the 

grant process, the Department will not meet with applicants regarding their applications. All 

non-confidential portions of each application, all correspondence and ex-parte communications, 

and all orders will be posted in the above-captioned docket on www.regulations.gov.

The Department will announce its grant selections in a Selection Order that will be posted in the 

above-captioned docket, served on all applicants and all parties served with this Solicitation 

Order, and posted on the Department’s SCASDP website at http://www.dot.gov/policy/aviationpolicy/small-community-rural-air-service/SCASDP.

IV. HOW TO APPLY

Required Steps:

• Determine eligibility;

• Register with www.grants.gov (see Registration with www.grants.gov, below);

 

1 A travel bank involves the actual deposit of funds from participating parties (e.g., businesses, individuals) into a 

designated bank account for purchasing air travel on the selected airline, with defined procedures for the subsequent 

use or withdrawal of those funds under an agreement with the airline. Often, however, what communities refer to as 

a travel bank actually involves travel pledges from businesses in the community without any collection of funds or 

formal procedures for use of the funds. As with other types of in-kind contributions, the Department views travel 

banks and pledges included in grant applications as an indicator of local community support.
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• Submit an Application for Federal Domestic Assistance (SF424);

• Submit a completed “Summary Information” schedule. This is your application cover 

sheet (see Appendix B);

• Submit a detailed application of up to 20 pages (one-sided only, excluding the 

completed SF424, Summary Information schedule, and any letters from the 

community or an air carrier showing support for the application) that meets all 

required criteria (see Appendix C); 

• Attach any letters from the community or an air carrier showing support for the 

application to the proposal, which should be addressed to Brooke Chapman, Associate 

Director, Small Community Air Service Development Program; and

• Provide separate submission of confidential material, if requested. (see Appendix D)

An application will not be complete and will be deemed ineligible for a grant award until and 

unless all required materials, including SF424, have been submitted through www.grants.gov by 

5:00 PM EDT on July 26, 2013.

Registration with www.grants.gov: Communities must be registered with www.grants.gov in 

order to submit an application for funds available under this program. For consortium 

applications, only the Legal Sponsor must be registered with www.grants.gov in order to submit 

its application for funds available under this program. See Appendix A for additional 

information on applying through www.grants.gov.

Contents of Application: There is no set format that must be used for applications. Each 

application should, to the maximum extent possible, address the selection criteria set forth in 

Section II, above, including a clear description of the air service needs/deficiencies and present 

plans/strategies that directly address those needs/deficiencies. At a minimum, however, each 

application must include the following information:

• A description of the community’s air service needs or deficiencies, including information 

about: (1) major origin/destination markets that are not now served or are not served 

adequately; (2) fare levels that the community deems relevant to consideration of its 

application, including market analyses or studies demonstrating an understanding of local 

air service needs; and (3) any air service development efforts over the past three years 

and the results of those efforts (including marketing and promotional efforts).

• A strategic plan for meeting those needs under the Small Community Program, including 

the community’s specific project goal(s) and detailed plan for attaining such goal(s). 

Applicants are advised to obtain firm assurances from air carriers proposing to offer new 

air services if a grant is awarded. Plans should:

o for applications involving new or improved service, explain how the service will 

become self-sufficient.

o fully and clearly outline the goals and objectives of the project. When an application 

is selected, these goals and objectives will be incorporated into the grant agreement, 

along with the strategic plan, and define the grant agreement’s project scope. Once a 

grant agreement is signed, the agreement cannot be amended in a way that would 

alter the project scope.
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• A detailed description of the funding necessary for implementation of the proposed

project (including federal and non-federal contributions).

• An explanation of how the proposed project differs from any previous projects for which 

the community received SCASDP funds (see Same Project Limitation, above).

• Designation of a legal sponsor responsible for administering the proposed project. The legal 

sponsor of the proposed project must be a government entity, such as a state, county, or 

municipality. The legal sponsor must be legally, financially, and otherwise able to 

administer the grant, including having the authority to assume and carry out the 

certifications, representations, warranties, assurances, covenants and other obligations 

required under the grant agreement with the Department and to ensure compliance by the 

grant recipient with the grant agreement and grant assurances. If the applicant is a publicprivate partnership, a public government member of the organization must be identified as

the community’s sponsor to receive project cost reimbursements. A community may 

designate only one government entity as the legal sponsor, even if it is applying as a 

consortium that consists of two or more local government entities. Private organizations may 

not be designated as the legal sponsor of a grant under the Small Community Program. The 

community has the responsibility to ensure that the legal sponsor and grant recipient of any 

funding has the legal authority under state and local laws to carry out all aspects of the grant, 

and the Department may require an opinion of the legal sponsor’s attorney as to its legal 

authority to act as a sponsor and to carry out its responsibilities under the grant agreement.

V. AIR SERVICE DEVELOPMENT ZONE DESIGNATION

The statute authorizing the Small Community Program also provides that the Department will 

designate one of the grant recipients in the program as an Air Service Development Zone 

(ASDZ). A current grant recipient – with its grant award period extending into FY2013 –

remains active as the ASDZ designee. As a result, the Department is not currently soliciting 

applications for selection as an ASDZ designee.
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VI. GRANT ADMINISTRATION

Grant Agreements: Communities awarded grants are required to execute a grant agreement 

with the Department before they begin to expend funds under the grant award. Applicants 

should not assume they have received a grant, nor should they obligate or expend local funds 

prior to receiving and fully executing a grant agreement with the Department. Expenditures 

made prior to the execution of a grant agreement, including costs associated with preparation of 

the grant application, will not be reimbursed. Moreover, there are numerous assurances that 

grant recipients must sign and honor when federal funds are awarded. All communities 

receiving a grant will be required to accept and meet the obligations created by these assurances 

when they execute their grant agreements. Copies of assurances are available online at 

http://www.dot.gov/policy/aviation-policy/small-community-rural-air-service/SCASDP, (click 

on “SCASDP Grant Assurances”).

Payments: The Small Community Program is a reimbursable program; therefore, communities 

are required to make expenditures for project implementation under the program prior to seeking 

reimbursement from the Department. Project implementation costs are reimbursable from grant 

funds only for services or property delivered during the grant term. Reimbursement rates are 

calculated as a percentage of the total federal funds requested divided by the federal funds plus 

the local cash contribution (which is not refundable). The percentage is determined by: 

(SCASDP Grant Amount) ÷ (SCASDP Grant Amount + Local Cash Contribution + State Cash

Contribution, if applicable). Payments/ expenditures in forms other than cash (e.g., in-kind) are 

not reimbursable. For example, if a community requests $500,000 in federal funding and 

provides $100,000 in local contributions, the reimbursement rate would be 83.33 percent: 

((500,000) / (500,000 + 100,000)) = 83.33.

Grantee Reports: Each grantee must submit quarterly reports on the progress made during the 

previous quarter in implementing its grant project. In addition, each community will be required 

to submit a final report on its project to the Department, and 10 percent of the grant funds will 

not be reimbursed to the community until such a final report is received. Additional information 

on award administration for selected communities will be provided in the grant agreement.

VII: QUESTIONS AND CLARIFICATIONS

For further information concerning this Order, please contact Brooke Chapman at 

Brooke.Chapman@dot.gov or (202) 366-0577. A TDD is available for individuals who are deaf 

or hard of hearing at (202) 366-3993. The Department may post answers to questions and other 

important clarifications in the above-captioned docket on www.regulations.gov and on the 

program website at 

http://www.dot.gov/policy/aviation-policy/small-community-rural-air-service/SCASDP.
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This order is issued under authority delegated in 49 CFR § 1.25a(b).

ACCORDINGLY,

1. Applications for funding under the Small Community Air Service Development Program 

should be submitted via www.grants.gov as an attachment to the SF424 by July 26, 2013; and

2. This Order will be published in the Federal Register, posted on www.grants.gov and 

www.regulations.gov, and served on the Conference of Mayors, the National League of Cities, 

the National Governors Association, the National Association of State Aviation Officials, 

County Executives of America, the American Association of Airport Executives, and the 

Airports Council International-North America.

By:

Susan L. Kurland

 Assistant Secretary for

 Aviation and International Affairs

(SEAL)

An electronic version of this document is available

online at www.regulations.gov.
APPENDIX A

Page 1

ADDITIONAL INFORMATION ON APPLYING THROUGH WWW.GRANTS.GOV

Applications must be submitted electronically through www.grants.gov/Apply. To apply for 

funding through www.grants.gov, applicants must be properly registered. The Grants.gov/Apply 

feature includes a simple, unified application process that makes it possible for applicants to 

apply for grants online. There are five “Get Registered” steps for an organization to complete at 

Grants.gov. Complete instructions on how to register and apply can be found at 

http://www.grants.gov/applicants/organization_registration.jsp. If applicants experience 

difficulties at any point during registration or application process, please call the 

www.grants.gov Customer Support Hotline at 1-800-518-4726, Monday–Friday from 7:00 AM

to 9:00 PM EDT. Registering with www.grants.gov is a one-time process; however, processing 

delays may occur and it can take up to several weeks for first-time registrants to receive 

confirmation and a user password. It is highly recommended that applicants start the registration 

process as early as possible to prevent delays that may preclude submitting an application by the 

deadlines specified. Applications will not be accepted after July 26, 2013; delayed registration is 

not an acceptable reason for extensions.

In order to apply for SCASDP funding through www.grants.gov/Apply, all applicants are 

required to complete the following:

1. DUNS Requirement. The Office of Management and Budget requires that all 

businesses and nonprofit applicants for federal funds include a Dun and Bradstreet Data 

Universal Numbering System (DUNS) number in their applications for a new award or 

renewal of an existing award. A DUNS number is a unique nine-digit sequence 

recognized as the universal standard for identifying and keeping track of entities 

receiving federal funds. The identifier is used for tracking purposes and to validate 

address and point of contact information for federal assistance applicants, recipients, and 

sub-recipients. The DUNS number will be used throughout the grant life cycle. The 

DUNS number must be included in the data entry field labeled “Organizational DUNS” 

on the SF-424 form. Instructions for obtaining DUNS number can be found at the 

following website: http://www.grants.gov/applicants/org_step1.jsp.

2. System for Award Management. In addition to having a DUNS number, applicants 

applying electronically through Grants.gov must register with the federal System for 

Award Management (SAM). Step-by-step instructions for registering with SAM can be 

found here: http://www.grants.gov/applicants/org_step2.jsp. All applicants must register 

with SAM in order to apply online. Failure to register with the SAM will result in your 

application being rejected by Grants.gov during the submissions process. 

3. Username and Password. Acquire an Authorized Organization Representative (AOR) 

and a www.grants.gov username and password. Complete your AOR profile on 

www.grants.gov and create your username and password. You will need to use your 

organization’s DUNS Number to complete this step. For more information about 

creating a profile on Grants.gov visit: http://www.grants.gov/applicants/org_step3.jsp. 
APPENDIX A

Page 2

4. After creating a profile on Grants.gov, the E-Biz Point of Contact (E-Biz POC) – a 

representative from your organization who is the contact listed for SAM – will receive an 

email to grant the AOR permission to submit applications on behalf of their organization. 

The E-Biz POC will then log in to Grants.gov and approve an applicant as the AOR, 

thereby giving him or her permission to submit applications. To learn more about AOR 

Authorization visit: http://www.grants.gov/applicants/org_step5.jsp. To track an AOR 

status visit: http://www.grants.gov/applicants/org_step6.jsp.

a. Applicants are, therefore, encouraged to register early. The registration process 

can take up to four weeks to be completed. Thus, registration should be done in 

sufficient time to ensure it does not impact your ability to meet required 

submission deadlines. You will be able to submit your application online any time 

after you have approved as an AOR.

5. Electronic Signature. Applications submitted through Grants.gov constitute a 

submission as electronically signed applications. The registration and account creation 

with Grants.gov with E-Biz POC approval establishes an Authorized Organization 

Representative (AOR). When you submit the application through Grants.gov, the name 

of your AOR on file will be inserted into the signature line of the application. Applicants 

must register the individual who is able to make legally binding commitments for the 

applicant organization as the Authorized Organization Representative (AOR);

6. Search for the Funding Opportunity on www.grants.gov. Please use the following 

identifying information when searching for the SCASDP funding opportunity on 

www.grants.gov. The Catalog of Federal Domestic Assistance (CFDA) number for this 

solicitation is 20.930, titled Payments for Small Community Air Service Development.

7. Submit an application addressing all of the requirements outlined in this funding 

availability announcement. Within 24–48 hours after submitting your electronic 

application, you should receive an email validation message from www.grants.gov. The 

validation message will tell you whether the application has been received and validated 

or rejected, with an explanation. You are urged to submit your application at least 72 

hours prior to the due date of the application to allow time to receive the validation 

message and to correct any problems that may have caused a rejection notification.

8. Timely Receipt Requirements and Proof of Timely Submission. Proof of timely 

submission is automatically recorded by Grants.gov. An electronic timestamp is 

generated within the system when the application is successfully received by Grants.gov. 

The applicant will receive an acknowledgement of receipt and a tracking number from 

Grants.gov with successful transmission of the application. Applicants should print this 

receipt and save it, as a proof of timely submission.

9. Grants.gov allows applicants to download the application package, instructions and forms 

that are incorporated in the instructions, and work offline. In addition to forms that are 

part of the application instructions, there will be a series of electronic forms that are 

provided utilizing Adobe Reader. 
APPENDIX A

Page 3

a. Adobe Reader. Adobe Reader is available for free to download from on the 

Download Software page: http://www.grants.gov/help/download_software.jsp. 

Adobe Reader allows applicants to read the electronic files in a form format so 

that they will look like any other Standard form. The Adobe Reader forms have 

content sensitive help. This engages the content sensitive help for each field you 

will need to complete on the form. The Adobe Reader forms can be downloaded 

and saved on your hard drive, network drive(s), or CDs. 

b. NOTE: For the Adobe Reader, Grants.gov is compatible with versions 8.1.1 and 

later versions. Always refer to the Download Software page for compatible 

versions. Please do not use lower versions of the Adobe Reader.

c. Mandatory Fields in Adobe Forms. In the Adobe Reader forms, you will note 

fields that will appear with a background color on the data fields to be completed. 

These fields are mandatory fields and they must be completed to successfully 

submit your application. 

NOTE: When uploading attachments please use generally accepted formats such as .pdf, .doc, 

and .xls. While you may imbed picture files such as .jpg, .gif, .bmp, in your files, please do not 

save and submit the attachment in these formats. Additionally, the following formats will not be 

accepted: .com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, .sys, and .zip.

Experiencing Unforeseen www.grants.gov Technical Issues

If you experience unforeseen www.grants.gov technical issues beyond your control that prevent 

you from submitting your application by 5 p.m. EDT on July 26, 2013, you must contact us at 

Nina.Tatyanina@dot.gov or (202) 366-9959 within 24 hours following the deadline and request 

approval to submit your application after the deadline has passed. At that time, DOT staff will

require you to provide your DUNS number and your www.grants.gov Help Desk tracking

number(s). After DOT staff review all of the information submitted and contact the

www.grants.gov Help Desk to validate the technical issues you reported, DOT staff will contact 

you to either approve or deny your request to submit a late application through www.grants.gov. 

If the technical issues you reported cannot be validated, your application will be rejected as 

untimely. To ensure a fair competition for limited discretionary funds, the following conditions

are not valid reasons to permit late submissions: (1) Failure to complete the registration process 

before the deadline date; (2) failure to follow www.grants.gov instructions on how to register and 

apply as posted on its Web site; (3) failure to follow all of the instructions in the funding 

availability notice; and (4) technical issues experienced with the applicant’s computer or 

information technology (IT) environment.
APPENDIX B

Page 1

APPLICATION UNDER 

SMALL COMMUNITY AIR SERVICE DEVELOPMENT PROGRAM

DOCKET DOT-OST-2013-0120

SUMMARY INFORMATION

All applicants must submit this Summary Information schedule, as the application 

coversheet, a completed standard form SF424 and the full application proposal on 

www.grants.gov.

For your preparation convenience, this Summary Information schedule is located at 

http://www.dot.gov/policy/aviation-policy/small-community-rural-air-service/SCASDP

A. PROVIDE THE LEGAL SPONSOR AND ITS DUN AND BRADSTREET (D&B) DATA UNIVERSAL 

NUMBERING SYSTEM (DUNS) NUMBER, INCLUDING +4, EMPLOYEE IDENTIFICATION NUMBER 

(EIN) OR TAX ID.

Legal Sponsor Name: 

DUNS Number:

EIN/Tax ID:

B. LIST THE NAME OF THE COMMUNITY OR CONSORTIUM OF COMMUNITIES APPLYING:

1.____________________________________________________

2.____________________________________________________

3.____________________________________________________

4.____________________________________________________

C. PROVIDE THE FULL AIRPORT NAME AND 3-LETTER IATA AIRPORT CODE FOR THE 

APPLICANT(S) AIRPORT(S) (ONLY PROVIDE CODES FOR THE AIRPORT(S) THAT ARE ACTUALLY 

SEEKING SERVICE).

1. 2.

3. 4.
APPENDIX B

Page 2

D. LIST THE 2-DIGIT CONGRESSIONAL DISTRICT CODE APPLICABLE TO THE SPONSORING 

ORGANIZATION, AND IF A CONSORTIUM, TO EACH PARTICIPATING COMMUNITY.

1. 2.

3. 4.

E. APPLICANT INFORMATION: (CHECK ALL THAT APPLY)

Not a Consortium Interstate Consortium Intrastate Consortium

Community now receives subsidized Essential Air Service

Community (or Consortium member) previously received a Small Community Air 

Service Development Program Grant

If previous recipient: Year of grant(s): 

F. PUBLIC/PRIVATE PARTNERSHIPS: (LIST ORGANIZATION NAMES)

PUBLIC PRIVATE

1. 1.

2. 2.

3. 3.

4. 4.

5. 5.

G. PROJECT PROPOSAL: (CHECK ALL THAT APPLY)

Marketing Upgrade Aircraft New Route

Travel Bank Service Restoration Subsidy

Surface Transportation Regional Service Revenue Guarantee

Launch New Carrier Start-up Cost Offset First Service

Study Secure Additional Service Other (explain below)

H. EXISTING LANDING AIDS AT LOCAL AIRPORT:

Full ILS Outer/Middle Marker Published Instrument Approach

Localizer Other (specify)
APPENDIX B

Page 3

I. PROJECT COST: DO NOT ENTER TEXT IN SHADED AREA

LINE DESCRIPTION SUB TOTAL TOTAL AMOUNT

1 Federal amount requested

2 State cash financial contribution

Local cash financial contribution

3a Airport cash funds

3b Non-airport cash funds

3 Total local cash funds (3a + 3b)

4 TOTAL CASH FUNDING (1+2+3)

In-Kind contribution

5a Airport In-Kind contribution**

5b Other In-Kind contribution**

5 TOTAL IN-KIND CONTRIBUTION 

(5a + 5b)

6 TOTAL PROJECT COST (4+5)

J. IN-KIND CONTRIBUTIONS**

For funds in lines 5a (Airport In-Kind contribution) and 5b (Other In-Kind contribution), please 

describe the source(s) of fund(s) and the value ($) of each.
APPENDIX B

Page 4

K. IS THIS 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 (date) _____________.

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.

L. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT? (IF “YES”, PROVIDE 

EXPLANATION)

No Yes (explain) 

______________________________________________________________________________

______________________________________________________________________________
APPENDIX C

APPLICATION CHECKLIST

INCLUDED? ITEM

For Immediate Action

Determine Eligibility

New Grants.gov users must register with www.grants.gov.

Existing Grants.gov users must verify existing www.grants.gov account has not expired

and the Authorized Organization Representative (AOR) is current.

For Submission by 5:00 PM EDT on July 26, 2013

Communities with active SCASDP grants: notify DOT/X50 of intent to terminate 

existing grant in order to be eligible for selection in FY2013.

Complete Application for Federal Domestic Assistance (SF424) via www.grants.gov

Summary Information schedule complete and used as cover sheet (see Appendix B)

Application of up to 20 one-sided pages (excluding any letters from the 

community or an air carrier showing support for the application), to include:

• A description of the community’s air service needs or deficiencies.

• A strategic plan for meeting those needs under the Small Community Program.

• A detailed description of the funding necessary for implementation of the 

community's project.

• An explanation of how the proposed project differs from any previous projects 

for which the community received SCASDP funds (if applicable).

• Designation of a legal sponsor responsible for administering the program.

• A motion for confidential treatment (if applicable).
APPENDIX D

Confidential Commercial Information

Applicants will be able to provide certain confidential business information relevant to their 

proposals on a confidential basis. Under the Department’s Freedom of Information Act 

regulations (49 C.F.R. § 7.17), such information is limited to commercial or financial 

information that, if disclosed, would either likely cause substantial harm to the competitive 

position of a business or enterprise or make it more difficult for the Federal Government to 

obtain similar information in the future.

Applicants seeking confidential treatment of a portion of their applications must segregate the 

confidential material in a sealed envelope marked “Confidential Submission of X (the applicant) 

in Docket DOT-OST-2013-0120,” and include with that material a request in the form of a 

motion seeking confidential treatment of the material under 14 C.F.R. § 302.12 (“Rule 12”) of 

the Department’s regulations. The applicant should submit an original and two copies of its 

motion and an original and two copies of the confidential material in the sealed envelope. 

The confidential material should not be included with the original of the applicant’s proposal that 

is submitted via www.grants.gov. The applicant’s original submission, however, should indicate 

clearly where the confidential material would have been inserted. If an applicant invokes Rule 

12, the confidential portion of its filing will be treated as confidential pending a final 

determination. All confidential material must be received by July 26, 2013, and delivered to the 

Office of Aviation Analysis, 8th Floor, Room W86-307, 1200 New Jersey Ave. SE, Washington, 

DC 20590.

A template for the confidential motion can be found at http://www.dot.gov/policy/aviationpolicy/small-community-rural-air-service/SCASDP.