GRANT AGREEMENT BETWEEN THE

U.S. DEPARTMENT OF TRANSPORTATION

AND VICTORIA COUNTY,.IN ASSOCIATION WITH THE

COMMUNITY OF VICTORIA, TEXAS, UNDER THE ALTERNATE

ESSENTIAL AIR SERVICE PROGRAM

WHEREAS, the Victoria County (hercinafter referred to as the Grantee), in association

with the Essential Air Service (EAS) cligible community of Victoria, Texas, has

submitted an application for participation in the Allemate Essential Air Service (AEAS)

Program and the U.S. Department of Transportation (DOT) has establishcd almual air

service levels and total costs. THEREFORE, DOT, acting for the UNITED STATES,

preSents this Grant Award and Agreement to the Grantee for $4,576,304 for Altemate

Essential Air Service at the community for a two-year term, of which amount shall be

payablc in the amount of$2,288,152 per year, subjcct to the availability of funds. Unless

otherwise defined in this Grant Agreement, capitalized terms shall have thc meanings

assigned to such terms in Section D hereof.

THIS GRANT AWARD AND AGREEMENT IS MADE ON AND SUBJECT TO

THE FOLLOWING TERMS AND CONDITIONS:

A. GENERAL CONDITIONS

I. The eligibility of Victoria, Texas, under the AEAS Program, shall be

contingent upon its continuing to meet all of the eligibility criteria for

inclusion in the EAS Program as dcfined by 49 U.S.C.gg 4 J 73 I-42 and other

statutory requirements.

2. The Grantee, in association with the community of Victoria, Texas, will forgo

participation in the traditional EAS Program for a two-year period, begilUling

November I, 2014, through October 3 I, 2016, cxcept as otherwise prescribed

in section B.3.f.

3. The Grantee will contract with a Part 380 indirect air carrier to provide

scheduled charter air transportation to Austin-Bergstrom Intcmational Airport

(AUS), with continuing service to DallaslFort Worth Intemational Airport

(DFW). Initial frequencies are planned for 9 round trips per week from

Victoria (VCT) to AUS, with 6 of those round trips operating one-stop to

DFW (VCT-AUS-DFW).The maximum obligation of the United States

reimbursable under this Grant Agreement shall be $4,576,304, of which

amount shall be payable in the amount of$2,288,152 per year, subject to the

availability of funds.

4. Payment by the United States for AEAS will be made pursuant to and in

accordance with the provisions of such regulations and procedures as DOT

may prescribe.

5. The Grantee, including any third parties, shall provide AEAS without undue

delays and in accordance witlf the terms hereof and pursuant to any

regulations and procedures as DOT may prcscribe.
6. This Grant Award constitutes an obligation of Federal funding, in the amount

of$2,288, 152 per year, subjcct to Ihe availability of funding. This Granl

Award shall expirc and the Unitcd Slates shall not be obligated to reimburse

any part of thc costs of the project unless the Grantee signs this Grant

Agreement on or before November 1, 2014, or such subsequent date as may

be prescribed in wriling by DOT. If the Grantee makes any substantive

changes to Ihis Grant Agreement, such changes shall constitute proposed

amendments to this Granl Award and Agreemcnt arid f11l1heraction on the

part of DOT is required in order for D'OT to accept such proposed

amendments to the initial Grant Award obligation.

7. Thc Grantec shall take all steps, including litigation, if necessary, to recover

Fcderal funds when DOT detcrmines, aftcr consultation with the Grantee, thaI

such funds have been spclit.fraudulently, wastefully, or .in violation of Federal

laws, or misused in any manner in any project upon which Federal funds have

beeil expended. For the purposes of this Grant Agreement, the term "Federal

funds" means funds however used or disbursed by the Grantee that were

originally paid pursuant to this Grant Agreement.

8. The Grantec shall retain all documellls relevant to the Grant Award and

Agreement for a period of seven years after air servicc undertaken pursuant to

the Grant Agreement and receipt of final reimbursement from the U.S.

Treasury, whichcver is later. II shall furnish bOT, upon request, all

documents and records pertaining to the determination of the amount of the

Federal funds or to any seulement, litigation, negotiation, or other elTorts

laken to recover such funds. All settlements or other final positions of the .

Grantec, in court or otherwise, involving the recovery of such Federal funds

shall be approved in advance by DOT.

9. The United Slates shall not be responsible or liable for damage 10 property or

injury to persons that may arisc from, or be incident to; compliance with this

Grant Agreement.

10. The Grantee shaHensure complianee with Federal regulations requiring

conduct of a Federally-approved audit of any expenditure of funds of

$500,000 or more in a year in Federal awards.

II. The provisions of 49 eFR Pal1 18, including Section 18.36 (DOT's

procurement standards for grants), will apply to the extent that the Grantee

proeures property and services in carrying out AEAS.

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B. APPLICATION OF SPECIFIC CONDITIONS

l. Grantcc: Victoria County, as thc Grantcc under the AEAS Program, shall

administer Ihe Grant according to thc condilions set forth in this Grant

Agreement.

Grantee Contact:

Honorable Judgc Donald R. Pozzi

.County Judge

Victoria County

101 N. Bridge

Suite 102

Victoria, Texas 77901

Phone: (361) 575-4558

Email: dp07.Zi@vctx.org

2. Purposc: For the Grantee to contract with a Part 380 indirect air carrier to

provide scheduled public charter air transportation from the Community to

Austin-Bcrgstrom Intcrnational Airport (AUS), or alternate large or medium

hub airport designated by the community. The Grant Award will comprise

reimbursement of costs incurred per complcted flight segment for a period of

four years, as set forth in Section B.3, below.

3. Alternate Essential Air Service

a. Service will be provided using 19-seat BAE Jetstream 31, or equivalent

twin-engine aircraft conducting regularly scheduled public charter flights.

b. Equivalent service with substitute aircraft in the event of mechanical

problems or other unforeseen circumstances is acceptable.

c. Subsidy is to be calculated at $2,284 per completed flight.

d. In thc event of early termination cifthe contract with the indirect air carrier

by the Grantee, the Grantce shall ilnmediatcly notify DOT whethcr it

intends to continue to maintain its link to the national air transportation

system through AEAS by finding a new indirect air carrier to provide the

service describcd herein for the remainder of this Grant Agreement's twoyear tcrm or to re.enter the traditional EAS program. The Grantec and the

indirect air carrier will agrce to a "hold-in" period while thc Grantee or

DOT secures replacement air service. depending on the Grantee's

preference to continue the AEAS or revert to basic EAS.

e. Subjcct to the terms set forth in this Grant Agreement, DOT reservcs the

right to terminate the Grant Agrccment, and DOT's obligations hereunder,

on 30 days' prior written notice, unless othclWise agreed between the

Grantee and DOT, if the Grantee does not meet the conditions and

obligations specified under this Grant Agreement. and/or DOT determines

that tennination is in the public interest.

3
f. Either parly may seek to amend or modify this Grant Agreement on

30 days' prior written notiee to the other party. The Grant Agrccmcnt will

bc amcnded or modificd only on mutual written agrecment by both parties.

g. At any timc, on 30 days' prior written notice, DOT may terminatc this

Grant Agreement.

h. Upon lermination or expiration of this Grant Agreement, DOT will retain

any remaining unliquidated funds.

4. Reimbursement

a. Allowable Maximum: All payments by DOT to thc Grantee for AEAS at

the community will be made on a reimbursable basis and shall not exceed

$2,288,152 per year.

b. Start-Up Costs:

i. First-year payments by DOT to the Grantec shall include a

maximum reimbUl'semenl of $150,000 in start-up costs inculTed for

starting the service. Examples of start-up cosls that may be

reimbursed include by are not limited to per-service marketing,

station start-up costs, and personncltraining.

ii. In its agreements with the' carrier, the Grantee will cnsure that if

the carrier terminates service during the first year of service under

this Agreement, thc carrier shall owe the Grantee a pro-rata portion

of the $150,000 start-up costs based on the yearly maximum

number of936 flights complctcd (6x/week VC'I:-AUS-DFW x 2

directions x 52 weeks = 624 departures + 3x1week VCT-AUS x 2

directions x 52 weeks = 312 departures).

c. Completed FIight Segments: Such payments shall be based on invoices

submitted by the grantec documenting completcd flights and previously

agreed upon subsidy-pcr-flight calculations, ($2,284 per completed flight).

d. Requirements:

i. To reccive reimbursements for completed flight segments, the

Grantee must first submit to DOT documentary evidence of

expcnditures. DOT will review the documenlary evidcnce of

expenditures provided by the Grantee and will promptly proccss

appropriate reimbursements to the Grantee.

e. DOT will not reimburse the Grantee for any expenses incurred before the

execution of this Grant Agreemcnt.

f. DOT will not reimburse the Grantee for any expenses incurred after the

expiration or termination of this Grant Agreement.

g. The Grantee shall ensure that reimbursements providcd by DOT are not

misappropriated or misdirected to any other account, need, projcct, lineitem, or the like.

h. All requests for reimbursements shall bc made by the Grantee within 60

calendar days of the rclevant expenditlll'cs.

5. Reports: Thc Grantee shall provide quarterly reports of its expenditures to

DOT. The reports shall include the following information (by month): (i)

4
number of flights scheduled; (ii) number of flights completed; (iii) number of

revenue passengers carried (enplanements and deplanements); (iv) total

revenue; Quarterly reports are due no later than 15 calendar days after the close

of each quartcr (e.g. January 15, April .15,July t 5, and October 15).

6. Grantee Obligations

a. The Grantee shall, within 15 calendar days after their execution, provide

DOT with a copy of all agreements exccuted between the Grantee and any

air carriers, or other parties related to the Grantee's AEAS. The Grantee

shall, within 15 calendar days after execution, also provide DOT with

notice of any amendment to, or tellnination of such agreements. The

Grantee shall cnsure that all agreements entered into with third parties

regarding this grant are consistent with this Grant Agreement and the

documents incorporated by reference into the Grant Agreement.

b. The Grantec shall ensurc that the obligations set forth in this Grant

Agreement are met. Failure to do so may result in termination of the

Grant Agreement by DOT.

C. ASSURANCES

The Grantee shall execute the attached assurances and certifications (Assurances)

in conjunction with its signing of this Grant Agrcement and shall ensure its

compliance with these Assurances and any amendments or modifications thereto.

D. DEFINITIONS

Agreement: Any written contract or obligation between the Grantee and/or all

parties identified in the application for AEAS.

Application or AEAS Application: The complete document submitted by the

Grantee to DOT in Dockets OST-1996-1711 and 2005-20454, including any

amendments.

Indirect air carrier: A DOT approved public charter operator authorized to sell

air travel directly to the public, that will contract a DOT certified direct air carrier

that can'ies an FAA-issued Air Carrier Certificate for the provision of aircraft and

associated flight services necessary to provide air passenger scrvice under this

agreement.

Community: All parties identified in the GratH Application as participating in

AEAS, including the designated Grantee.

DOT: United States Department ofTransportalion.

Execution of Graut Agrccment: Signing of the written Grant Agrecment by

DOT and Grantee.

5
Grant Agreement: The written agreement between DOT and the Grantee for

Alternate EAS, incorporating by reference, except to the extent otherwise

inconsistent with the terms of the wrillen agreement, the original application filed

on April 10,2014, in Dockets 00T-OST-1996-1711 and 00T-OST-.2005-20454,

including any amendments.

Grant Recipient/Grantee: Community receiving Alternate EAS, including the

Grantee.

Passenger Seat Flown: The number of seats on the aircraft flown under this

AEAS Grant Agreement regardless of whether there is a passenger in the seat.

Party: DOT and/or the Grantee, as the context indicates,

The Alternate Essential Air Service (AEAS) Program: One of Community and

Regional Choice Programs originally established under Vision 100-The Century

in Aviation Reauthorization Act, P.L. 108-176, and codified in 49 U.S.C. 41745.

Grantee Obligatiolls: Material responsibilities ofthe Grantee under this Grant

Agreement and those documents incorporated by reference into the Grant

Agreement as set forth above (Definition of Grant Agreement).

Grantee: The designated representative to administer and oversee

implementation of the Grant Agreement and fulfillment of the authorized

Alternate EAS.

6
L

GRANT AWARD

This Grant Award and Agreement is made in accordance with 49 U.S.C. SS 41731 and

41745 and is subject to the terms and conditions and the Assurances attached hereto and

incorporated herein.

Executed this 2.1;/1.) day of October, 2014.

(SEAL) B:ru'OO~:27~HOO

Susan L. Kurland

Assistant Secretary

for Aviation and International Affairs

ACCEPTANCE

The undersigned Grantee agrees to accomplish Alternate Essential Air Service in

compliance with the terms and conditions of this Grant Agreement and the Assurances

attached hereto and incorporated herein.

Executed this :27+" day of I2c/-p bel< ,2014.

Victoria County

Victoria, Texas

Atte~< tki::

Title: Cmot'( C Le ~ K.

B

Signature ofGrnntcc's Dc g (cd Official RepreseilulIi\'c

!Jt,n<>.L.d R. fo "2 '"2./'

Printed Name

c."' ..•...,t¥ Jl}..c/ r e

Title

7
GRANT ASSURANCES

TITLE VI ASSURANCE

(Implementing Title VI of the Civil Rights Act of 1964, as amcnded)

ASSURANCE CONCEUNING NONDISCUIMINATION IN FEDERALLY-ASSISTED

PROGRAMS AND ACTIVITIES RECEIVING OR BENEFITING FROM FEDERAL

FINANCIAL ASSISTANCE

(Implementing the Rehabilitation Act of 1973, as amended, and the Americans With Disabilities

Act, as amended)

49 C.F.R ..Parts2I, 25, 27, 37 and 38

The United States Department of Tl'llnsportation (uSDOT)

Standard Title VI/Non-Discrimination Assul'anccs

DOT Order No. 10S0.2A

By signing and submitting the Grant Application and by entering into the Grant Agreement

under the Alternate Essential Air Service Program (AEAS), the Grantee (also herein referred to

as the "Recipient"), HEREBY AGREES THAT, as a condition to receiving any Federal

financial assistance from the U.S. Department of Trans porIation (DOT), the Grantee is subject to

and will comply with the following:

StatutorylRegulatory Authorities

• Title VI of the Civil Rights Act of 1964 (42 U.S.C. S 2000d ~tseq., 78 Stat. 252),

(prohibits discrimination on the basis of race, color, national origin);

• 49 C.F.R. Part 21 (entitled Non-discrimination In Federally-Assisted Programs a/The

Department a/Transportation-Effectuation O/Title VIa/The Civil Rights Act 0/

1964);

• 28 C.F.R. Section 50.3 (U,S. Department of Justice Guidelines for Enforcement of Title

VI of the Civil Rights Act of 1964);

The preceding statutory and regulatory ciles hereinatler are referred to as the "Acts" and

"Regulations," respectively.
General Assurances

In accor4ance with the Acts, the Regulations, and other pcrtinent dircctivcs, circulars, policy,

memoranda, andlor guidance, thc Recipient hereby gives assurancc that it will promptly take any

measurcs necessary to ensurc that:

"No person in the United States shall, on the grollnds o/race. color, 01'national

origin, be excilldedji'omparticipation in. be denied the benefits of. 01'be otherwise

sllbjected to discrimination lindeI' any program 01'activity. "/01' which the

Recipient receives Federal financial a.I'sistanceji'om DOT.

The Civil Rights Restoration Act of 1987 clarified the original intent ofCongrcss, with respect to

Title VI and other Non-discrimination requirements (The Age Discrimination Act of 1975, and

Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional-wide scope

and coverage of these non-discrimination statutes and requiremcnts to include all programs and

activitics of thc Recipient. so .long as any portion of the program is Federally assisted.

Specific Assurances

More specifically, and without limiting the above general Assurance. the Recipicnt agrees with

and gives thc following Assurances with respcct to its Fcderally assisted AEAS Program:

I. The Recipient agrees that each "activity," "facility," or "program," as defined in SS 21.23

(b) and 21.23 (e) of 49 C.F.R. S 21 will be (with regard to an "nctivity") facilitated, or

will be (with rcgard to a "facility") opcrated, or will be (with regard to a "program")

conducied in compliancc with all rcquiremcnts imposed by, or pursuant to the Acts and

the Regulations. .

2. The Recipicnt will insert the following notification in all solicitations for bids. Requests

For Proposals for work, or material subject 10 the Acts and the Regulations made in

connection with the AEAS Program and, in adapted fonn, in all proposals for negotiated

agreements regardless of funding source:

"'l'lw Grantee, in accordance with the provisions o/Title Vi o/the CiVil Rights

Act 0/1964 (78 Stat. 252. 42 U.s.c. H2000d to 2000d-4) and the Reglliations,

hereby notifies all bidders that it will affirmatively enslire that any contract

entered into p"rs"antto this ad"ertisement, disac/l'antaged bllsiness enterprises

will be afforded/1I11 and/air opportunity to sllbmit bids in response to this

invitation and will not be discriminated against on the grollnds o/race, color, 01'

national origin in considert/tion/ol' an award."

3. The Recipicnt \vill insert the clauses of Appendix A and E of this Assurancc in every

contract or agreement subject to the Acts and the Rcgulations.

4. The Recipient will insert the clauses of Appendix B of this Assurancc, as a covenant

running wilh the land, in any deed from the United States effecting or recording a transfer
ofrcal properly, slructures, use, or improvements thereon or interest therein to a

Recipient.

5. That whcre thc Recipient reccivcs Fcderalfinancial assistance to construct a facility, or

part ofa facility, the Assurance will ex lend to the entirc facility and facilities operated in

conncction therewith.

6. ThaI where the Recipient receives Federal financial assistance in the fornI, or for the

acquisition of real propcrty or an interest in real property, the Assurance will extend to

rights to space on, over, or under such properly.

7. TImt the Recipient will include the clauses sct forth in Appendix C and Appendix D of

this Assurance, as a covenant running with the land, in any future deeds, leases, liccnscs,

permits, or similar instnJll1ents entered into by the Recipicnt with other pal1ies:

a. for the subsequent transfer of real properly acquired or improved under the

applicable activity, project, or program; and .

b. for the construction or use of, or access to, space on, ovcr, or under real property

acquircd or improved under the applicable activity, project, or program.

8. That this Assurance obligates the Recipient for the period during which Federal financial

assistance is extended to the program, except where the Federal financial assistance is to

provide, or is in the fonn of, personal property, or real property, or interest therein, or

structures or improvements thereon, in which case the Assurance obligales the Recipient,

or any transferee for the longer of the following periods:

a. the period during which the propel1y is used for a purpose for which the federal

.financial assistance is cxtcndcd, or for another purpose involving the provision of

similar services or benefits; or

b. the period during which thc Recipient retains ownership or possession of the

property.

9. The Recipient will provide for such methods of administration for the program as arc

found by thc Secretary of Transportation or thc official to whom helshe delegates specific

authority to give reasonable guarantee that it, other rccipients, sub-recipients, subgrantecs, contractors, subcontractors, consultants, transferces, successors in interest, and

othcr participants of Fcdera! financial assistance under such program will comply with all

requiremcnts imposed or pursuanl to thc Acts, the Regulations, and this Assurance.

10. The Rccipient agrees that the United Slates has a right to seek judicial enforcement with

regard to any maller arising undcr the Acts, the Regulations, and this Assurance.

By signing this ASSURANCE, the Grantee also agrees to comply (and require any subrecipients, sub-grantecs, contractors, successors, transferccs, and/or assignccs to comply) with all

applicablc provisions governing DOT's access to rccords, accounts, documents, infommtion,

facilities,. and staff. You also recognize thaI you must comply with any program or compliancc
reviews, and/or complaint investigations conducted by DOT. You must keep rccords, reports,

and submit the matcrial for review upon request to DOT, or its designec in a timely, complete,

and accurate way. Additionally, you must comply with all other reporting, data collection, and

evaluation requircmcnts, as prescribed by law or detailed in program guidance.

Thc Grantee gives this ASSURANCE in consideration of and for obtaining any Federal grants,

loans, contracts, agrcements, property, and/or discounts, or other Federal-aid and Fedcral

financial assistanec extended after thc date hereof to the recipients by the U.S. Department of

Transportation under the AEAS program. This ASSURANCE is binding on the Grantee, other

recipients, sub-rccipients, sub-grantees, contractors, subcontractors and their subcontractors,

transferees, successors in interest, and any other pa'1icipants in the AEAS Program.

APPENDIX A

During the performance of this contract, the contractor, for itself, its assignees, and successors in

intcrest (hcreinaftcr refcrrcd to as the "contractor") agrccs as follows:

I. Compliance with Rcgulations: The contractor (hereinafter includes consultants) will

comply with the Acts and the Regulations relative to Non-discrimination in Federallyassistcd programs of the U.S. Department of Transportation, as they may be amcnded

from time to time, which are herein incorporated by rcference and made a part of this

contract.

2. Non-discrimination: The contractor, with regard to the work performed by it during the

contract, will not discriminate on the grounds of racc, color, or national origin in thc

selection and retention of subcontractors, including procurements of materials and leases of

cquipment. The contractor will not participate directly or indircctly in the discrimination

prohibited by the Acts and the Regulations, including employmcnt practices whcn the

contract eovcrs any activity, projcct, or program sct forth in Appcndix D of 49 C.F.R. Part

21.

3. Solicitations for Subcontracts, Including Procurcmcnts of Materials and Equipment:

In all solicitations, cithcr by compctitive bidding, or ncgotiation made by the contractor for

work to bc performcd undcr a subcontract, including procurcmcnts of materials, or leases

of equipment, each potential subcontractor or supplier will be notified by the contractor of

the contractor's obligations under this contract and the Acts and the Regulations relative to

Non-discrimination on the grounds of race, color, or national origin.

4. Information and Reports: The contractor will provide all information and repOl1s

required by the Acts, the Regulalions, and directives issued pursuant thereto and will

permit access to its books, rccords, accounts, other sources of information and its facililics

liSmay be determined by the Rccipient or DOT to be pertincnt to ascertain compliance

with such Acts, Regulations, and instl1lctions. Where lIny information required of a

contractor is in the exclusive possession of another who fails or refuses to furnish the

information, the contractor will so certify to the Recipient or DOT, as appropriate, and will

set forth what efforts it has made (0 obtain the information.
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the

Non-discrimination provisions of this contract, the Rccipient will impose such contract

sanctions as it or DOT may determine to be appropriate, including, but not limited to:

a. withholding payments to the contractor under the contract until the contractor

complies; and/or

b. cancelling, terminating, or suspending a contract, .in whOle or in part.

6. Incorporation of Provisions: The contractor will include the provisions of paragraphs

one through six in every subcontract, including procurements of materials and leases of

equipment, unless exempt by the Acts, the Regulations and dircctives issued pursuant

thercto. The contractor will take action with respect to any subcontract orprocurement as

the Recipient or DOT may direct as a means of enforcing such provisions including

sanctions for noncompliance. Provided, that if the contractor becomes involved in, or is

threatened with litigation by a subcontractor, or supplier because of such direction, the

contractor may request the Recipient (0 enter into any litigation to protect the interests of

the Reeipienl. In addition, the contractor may request the United States to enter into the

litigation to protect the interests of the United States.

APPENDIXB

CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY

The following clauses will be included in deeds effecting or recording the transfer of real property,

stmctures, or improvements thereon, or granting interest therein from the United States pursuant to

the provisions of Assurance 4:

NOW, THEREFORE, the U.S. Department of Transportation as authorized by law and upon the

cOndition that the Grantee will accept title to the lands and maintain the project constmeted

thereon in accordance with and in compliance with all requirements imposed by Title 49, Code of

Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, PaI1

21, Non-discrimination in Federally-assisted programs of the U.S Department ofTransp0l1ation

pertaining to and effectuating the provisions ofTitlc VI of the Civil. Rights Act of 1964 (78 Stal.

252; 42 U,S,C. !i 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the

Grantee all the right, title and interest of the U.S. Department of Transportation in and to said

lands dcscribed in Exhibit A attached hereto and made a part hereof.

(HABENDUM CLAUSE)

TO HA VE AND TO HOLD said lands and interests therein unto Grantee and its successors

forever, subject, however, to the covenants, conditions, restrictions and reservations herein

contained as follows, which will remain in eITect for the period during which the real property or

stmctures are used for a purpose for which Federal financial assistance is extended or for another

purpose involving the provision of similar services or benefits and will be binding on the Grantee,

its successors and assigns.
The Grantee. in consideration of the conveyance of said lands and interests in lands, docs hereby

covenant and agree as a covenant running with the land for itself, its successors and assigns, that

(I) no person will on the grounds of race, color, or national origin, be excluded from participation

in, be denied the benefits of. or be othenvise subjected to discrimination with regard to any facility

located wholly or in pal1 on. over, or under such lands hereby conveyed [.] [and]' (2) that the

Grantee will usc the lands and interests in lands and interests in lands so conveyed, in compliance

with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S.

Department of Transportation. Subtitle A. Office of the Secretary, Part21, Non-discrimination in

Federally-assisted programs of the U.S. Department of Transportation, Effectuation of Title VI of

the Civil Rights Act of 1964, and as said Regulations and Acts may be amended(, and (3) that in

the event of breach of any of the above-mentioned non-discrimination conditions, the Department

will have a right to enter or re-enter said lands and facilities on said land, and that above described

land and facilities will thereon revert to and vest in and become the absolute property of the U.S.

Department of Transportation and its assigns as such interest existed prior to this instruction].'

('Reverter clause and related language to be used only when it is detemlined that such a clause is

necessary in order to make clear the purpose of Title VI.)

APPENDIXC

CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED

UNDER THE ACTIVITY, FACILITY, OR PROGRAM

The following clauses will be included in deeds, licenses. leases, permits, or similar instruments

entered into by the Grantee pursuant to the provisions of Assurance 7(a):

A. The (grantee, lessee. permittee, etc. as appropriate) for himself/herself, his/her heirs.

personal representatives. successors in interest, and assigns, as a part of the consideration

hereof, does hereby covenant and agree [in the case of deeds and leases add "as a covenant

numing with the land"] that:

I. In the event facilities are constructed, maintained, or othenvise operated on the

property described in this (deed, license, lease, permit. etc.) for a purpose for which n

U.S. Department of Transportation activity, facility, or program is extended or for

another purpose involving the provision of similar services or benefits, the (grantee,

licensee, lessee, permittee. etc.) will maintain and operate such facilities and services

in compliance with all requirements imposed by the Acts and Regulations (as may be

amended) such that no person on the grounds of race, color, or national origin, will be

excluded from pnt1icipation in, denied the benefits of, or be othenvise subjected to

discrimination in the use of said facilities.

B. With respect to licenses. leases, permits, etc., in the event of breach of any of the above Nondiscrimination covenantS, Grantee will have the right to terminate the (lease, license, permi!,

etc.) and to enter, re-enter. and repossess said lands and facilities thereon, and hold the same

as if the (lease, license, pemlit. etc.) had never been made or issued. 0
C. With respect to a deed, in the event of breach of any of the above Non-discrimination

covenants, the Grantee will havc the right to enter or re-enter the lands and facilities thereon,

and the above described lands and facilities will there upon revert to and vest in and becolile

the absolute property of the Grantee and its assigns.-

(-Reverter clause and related language to be used only when it is determined that such a clause is

necessary to make clear the purpose of Title VI.)

APPENDIX D

CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED

UNDER THE ACTIVITY, FACILITY OR PROGRAM

The following clauses will be includcd in deeds, licenses, pennits, or similar

instmments/agreements entered into by Grantce pursuant to the provisions of Assurance 7(b):

A. The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, hislher heirs,

personal representatives, successors in interest, and assigns, as a part of the consideration

hereof, does hereby covenant and agree (in the case of deeds and leases add, "as a covenant

mIming with the land") that (l) no person on the ground ofrace, color, or national origin,

will be excluded from participation in, denied the benefits of, or be otherwise subjected to

discrimination in the usc of said facilities, (2) that in the eonstmction of any improvements

Oll, over, or under such land, and the furnishing of services thereon, no person on the ground

of race, color, or national origin, will be cxcluded from participation in, denied the benefits

of, or otherwise be subjected to discrimination, (3) that the (grantee, licensec, lessee,

pennittee, etc.) will use the premises in compliance with all other requirements imposed by

or pursuant to the Acts and Regulations, as amended, set forth in this Assurance.

B. With respect to (licenses, leases, permits, etc.), in thc event of breach of any of the above

Non-discrimination covenants, Grantee will have the right to terminate the (license, pennit,

etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thcreon,

and hold the same as if said (license, pennit, etc., as appropriate) had never been made or

issued.-

C. With respect to deeds, in the event of breach of any of the above Non-discrimination

covenants, Grantee will there upon revert to and vest in and become the absolute property of

Grantee and its assigns.-

(-Reve'1er clause and related language to be used only when it is detennined that such a clause is

necessary to make clear the purpose of Title VI.)
APPENDIXE

During the perfonnancc of this contract, the contractor, for itself, its assignecs, and successors in

interest (hereinafter referred to as the "contractor") agrees to comply with the following nondiscrimination statutes and authorities; including but not limited to:

Pel'tincnt Non-Discrimination Authoritics:

• . Title VI of the Civil Rights Act of .1964 (42 U.S.C. 9 2000d el seq., 78 Stat. 252),

(prohibits discrimination on the basis of racc, color, national origin); and 49 C.F.R. Pmi

21.

o Thc Unifonll Relocation Assistance and Rcal Property Acquisition Policies Act of 1970,

(42 U.S.C. 9 460 I), (prohibits unfair treatment of persons displaced or whose property

has been acquired because of Federal or Federal-aid programs and projects);

• Federal-Aid Highway Act of 1973, (23 U.S.C. 9 324 el seq.), (prohibits discrimination on

the basis of sex);

• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. 9 794 el seq.), as amended,

(prohibits discrimination on the basis of disability); and 49 C.F.R. Part 27;

• The Age Discrimination Act of 1975, as amended, (42 U.S.C. 9 6101 el seq.), (prohibits

discrimination on the basis of age);

• AirpOli and Airway Improvement Act of 1982, (49 U.S.C. 9 47/, Section 47/23), as

amendcd, (prohibits discrimination based on race, crecd, color, national origin, or sex,

and is in addition to Titlc VI of thc Civil Rights Act of 1964);

• The Civil Rights Restoration Act of 1987, (PL 100-259), (Droadened thc scope, coverage

and applicability of Tille VI of the Civil Rights Act of 1964, Thc Agc Discrimination Act

of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding thc definition of

the terms "programs or activities" to include all of the programs or activities of the

Fedcral-aid recipients, sub-recipients and contractors, whether such programs or activities

arc Fcdcrally funded or not);

• Titles II and III ofthc Americans with Disabilitics Act, which prohibit discrimination on

the basis of disability in thc opcration of public entities, public and private transportation

systems, places of public accommodation, and celiaintesting entities (42 U.S.C. gg

12131 - 12189) as implemented by Department of Transportation regulations at 49

C.F.R. Palis 37 and 38;

• The Federal Aviation Administration's Non-discrimination statute (49 U.S.c. 9 47123)

(prohibits discrimination on the basis of race, color, national origin, and sex);

• Executive Order 12898, as amended by Executive Order 12948, Federal Actions to

Address Environmental Justice in Minority Populations and Low-Income Populations,

which ensures discrimination against minority populations by discouraging programs,

policies, and activitics with dispropoliionately high and adverse human health or

cnvirorunental effects on minority and low-income populations;

• Executive Order /3 I66, Improving Access to Services for Persons with Limited English

Proficiency, and resulting agency guidance, national origin discrimination includes

discrimination becausc oflimited English proficiency (LEP). To ensure compliance with

Title VI, you must take reasonable sleps to ensurc that LEP pcrsons have meaningful

access to your programs (70 Fed. Reg. at 74087 to 74100);
• Titlc IX ofthc Education Amendments of 1972, as amended, which prohibits you from

discriminating because of sex in education programs or activities (20 U.S.C. g 1681 el

seq).

~~tfR, 17,;

Signature } Date

LO-27-lY

COl.ll)i'{ IV\&1~

Title

hDtlgL.(, 1-10"2-,.1, CdtUl1-'t ci=' r,I;.c.ja(C/9.

Grant Recipient
UNITED STATES OF AMERiCA

DEPARTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

OFFICE OF AVIATION ANALYSIS

CERTIFICATION IlEGARDING INFLUENCING ACTIVITIES

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and belief, that:

(l) No Federal appropriated funds have been paid or will be paid, by or on behalf of the

undersigned, to any person for inOuencing or attempting to influence an officer or employee of any

agency, a Member of Congress, an officer or employec of Congress, or an employee of a Member

of Congress in connection with the awarding of any Federal contract, the making of any Federal

grant, the making of any Federal loan, the entering into of any cooperative agreement, and the

extension, continuation, rencwal, amendment, or modification of any Federal contract, grant, loan,

or cooperative agreement.

(2) If any funds other than Federal appropriatcd funds have been paid or will be paid to any person

for inOuencing or attempting to influence an officer or employec of any agency, a Member of

Congress, an officer or employee of Congress, or an employee ofa Member of Congress in

connection with this Federal contract, grant, loan, or cooperative agreement, the undersigncd shall

completc and submit Standard Fonn-LLL, "Disclosure Form to Report Influencing Activities," in

accordance with its .instructions.

(3) Thc undersigned shall require that thc language of this certification be includcd in the award

documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under

grants, loans and cooperative agreements) and that all subrecipients shall certify and disclose

accordingly.

This certification is a material representation of fact upon which reliance was placed when this

transaction was made or entered into. Submission of this certification is a prerequisite for making

or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who

fails to file the rcquired certification shall be subject to a civil penally of not less than $10,000 and

nol more than $100,000 for each such failure.

c..oc..Lniy

Title

si2~1~.Od#('

,r",J.'j'e

Date

IO-2..7-/Y

~OO> L"\ r<.(1.-')"'2- ?- r

Grant Recipient '
UNITED STATES OF AMERICA

DEPAUTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

OFFICE OF AVIATION ANALYSIS

CERTIFICATION REGARDING DRUG-I'REE WORKPLACE REQUIREMENTS

IN THE PERI'ORMANCE OF ALTERNATE ESSENTIAL AIR SERVICE PROGRAM PURSUANT TO GRANT

AWARD UNDER THE ALTERNATE ESSENTIAL Am SERVICE PROGRAM

A. The grant recipient certifies that it will, or will continue, to provide a drug-free workplace by:

(a) Publishing a stalemenl notifying employees thatlhe unlawful manufacture, dislribution, dispensing, possession or

usc of a com rolled subslance is prohibited in the grant recipient's workplace, and specifYing the aclions that will be taken

against employees for violation of such prohibition;

(b) Establishing 3n ongoing drug-free awareness program to inform employees about--

(I) The dangers of drug abuse in Ihe workplace;

(2) The grant recipient's policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee assistanceprograms; and

(4) The penalties Ihat may be imposed upon employees for drug abuse violations oeeurring in the workplace;

(c) Making it a requirement that each employee to be engaged in the perfonnnnce ofwark supported by the grant award

be given a copy of the slatemeut required by paragraph (a);

(d) NotifYing Ihe employee in the slatement required by paragraph (a) that, as a condition of employment supported by

the grant award; the employee will ••

(I) Abide by the terms of Ihe slatement; and

(2) Notify the employer in writing of his Of her conviction for a violation of a criminal drug sttltute OCCUlTing in the

workplace no later than five calendar days after such conviction;

(e) Notifying Ihe agency in wriling, within ten ealendar days after receiving notice under paragraph (d)(2) from an

employee or otherwise receiving actual notice of conviction. Employers of convicted employees must provide notice,

including position title, to the Omce of Aviation Analysis. Notiee shall include Ihe order number of the grant award;

(I) Taking one of the following actions, wilhin 30 days of receiving notice under paragraph (d)(2), with rcspeet to any

employee who is so convicted--

(I) Taking appropriate personnel action against stich an employee. up to and including tennination. consistent wHh

Ihe requirements of the Rehabilitation Act of 1973, as amended, or

(2) Requiring such employee to parlicipate satisfactorily in a drug abuse assistance or rehabilitation program

approved for such purposes by a Federal. State or local health, law enforcement, or other appropriate agency;

(g) Making a good failh cfi1J11to continue to maiutain a drug-free workploce Ihrough implementatiou of paragraphs (a),

(b), (c), (d), (c) and (I).

B. The grant recipient may, but is not required to, insert in the space provided below the site for the performance of work

dOllc in connection with the specific grant.

Places of Performance (street addressl city, county, stalc, zip code). For the provision of air sen'icc pursuant to thc grant

award, workplaces include outstations, maintenance sites, headquarters ofllce locations, training sites and any other worksiles

where work is performed that is supported by the grant award.

Check ( ] if there arc workplaces on me that are not identified here.

16-':).7-1L/

Dale
OFFICE OFTHE SECRETARY OFTRANSPORTATJON

CERTIFICA nON REGARDING DEBARMENT, SUSPENSION, AND OTHER

RESPONSIBILITY MATfERS .• PIUMARY COVERED TRANSACTIONS

2 C.F.R. Pnrt 1200, 2 C.F.R. Part 180

Instl'llctions for Ccrtification

I. By entering in the AEAS Grant Agreemcnt and signing below, the Sponsor is providing the

assurance and ecrtification set out bclow.

2. The inability of a person to provide the certification requircd below will not necessarily result

in denial Ofp8l1icipation in this covered transaction. The Sponsor shall submit an explanation of

why .itcannot provide the certification set out below. The certification or explanation will be

considered in connection with the department or agency's determination whether to enter into

this transaction. Howcver, failure of the Sponsor to furnish a ce'1ification or an cxplanation shall

disqualify such person from participation in this transaction.

3. The certification in this clause is a matcrial representation of fact upon which rcliancc was

placed when thc departmcnt or agency detemlined to enter into this transaction. Ifit is later

detemlined that the Sponsor knowingly rendered an erroneous certification, in addition to other

remedies available to the Federal Government, the department or agency may terminate this

transaction for cause or default.

4. The Sponsor shall provide immediatc written noticc to the departmcnt or agcncy to which this

proposal is submitted if at any time the Sponsor learns that its certification was erroneous when

submitted or has become clToneous by reason of changed circumstances.

5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered tr8l1saetion,

particip8l1t, person, primary covercd transaction, principal, proposal, and voluntarily cxcluded, as

used in this clause, have the me8l1ings set out in the Definitions and Coverage sections of the

mlcs implementing Exccutive Order 12549. You may contact the department or agency to which

this proposal is being submitted for assistance in obtaining a copy of those regulations.

6. The Sponsor agrecs that it shall not knowingly enter into any lower tier covered transaction

with a person who is proposed for debarmcnt, dcbarred, suspended, declared ineligiblc, or

voluntarily excluded from participation in this covered transaction pursuant to 2 C.F.R. ParIs J 80

or 1200 or 48 C.P.R. Part 9, Subpat1 9.4, unless authorized by the department or agency entering

into this transaction.

7. The Sponsor further agrees that it will include the clause titled "Ccrtifieation Regarding

Debamlent, Suspension, Ineligibility and Voluntary Exclusion .• Lower Tier Covered

Transaction," available from the department or agency entering into this covered transaction,

without modification, in all lower tier covered transactions and in all solicitations for lower tiel'

covered transactions.

8. A pat1icipant in a covered transaction may rely upon a certification of a prospective participant

in a lower tier covcred transaction that it is not proposed for debarment, debarred, suspended,

ineligible, or voluntarily excluded from the covered transaction pursuant to 2 C.P.R. Parts 180 or

1200 or 48 C.F.R. Part 9, Subp8l1 9.4, unless it knows that the certification is crroneous. A

pat1icipant may decide the method and frequency by which it dctemlines the eligibility of its
principals. Each participant may, but is not requircd to, check the List of Parties Excluded from

Federal Procuremcnt and Non-procurement Programs. . .

9. Nothing contained in the foregoing shall be construed to require establishment ofa system of

records in order to render in good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that which is normally possessed by a

prudent person in the ordinary course of business dealings.

10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in

a covered transaction knowingly enters into a lower tier covercd transaction with a person who is

proposed for debarment, suspended, debarred, ineligible, or voluntarily excluded from

participation in this transaction pursuant to 2 C.F.R. Parts 180 or 1200 or 48 C.F.R. Part 9,

Subpart 9.4, ill addition to other remedies available to the Federal Government, the department

or agcllcy may terminate this transaction for cause or default.

Certification Regarding Debarmcnt, Suspcnsion, and Othcr RCSpOilsibility Mattcrs __

Primary Covcl'cd Transactions

(I) The Sponsor cel1ifics to the best of its knowlcdge and belief, that it and .its principals:

(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or

voluntarily excluded by any Federal dep8l1ment or agency;

(b) Have not within a three-year period preceding this Grant Agreement been convicted of or had

a civil judgment rendered against them for commission of fraud or a criminal offense in

connection with obtaining, attempting to obtain, or performing a public (Federal, State or local)

transaction or contract under a public transaction; violation of Federal or State antitrust slalules

or commission of embezzlement, theft, forgery, bribery, falsification or des!lUction of records,

making false stalements, or receiving stolen Jlroperty;

(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmenial

entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph

(I)(b) oflhis certification; and

(d) Have not within a three-year period preceding this Grant Agreemenl had one or more public

transactioitS (Federal, State or local). tenninated for cause or default.

(2) Where the Sponsor is unable to certify to any of the statements in this cel'lification, stich

Sponsor shall attach an explanation to this proposal.

9f1(jJlttf rJ.'1'/ C,"ot, bF I&dKR,'"

Name Affiliation

c 0 l.:\ rd- '{

Title Date

1f)/)7-/'I
OFFICE OF THE SECRETARY OF TRANSPORTATION

CERTIFICATION REGARDING DEBARMENT, SUSPENSION,

INELIGIBILITY AND VOLUNTARY EXCLUSION -- LOWER TIER COVERED

TRANSACTIONS

Insh'uctions fOI' Ce,.tification

I. By entcring into thc AEAS Grant Agrcemcnt and signing below, the Sponsor is

providing thc assurance and certification set out below.

2. The certification required by a prospective lowcr tier participant is a material

rcprescntation of fact upon which reliance is placed when a transaction is entered into. If

it is later detcrmined that the prospective lower tier participant knowingly rendered an

erroneous certification, in add ilion to other remedies available to the Federal Govenmlent

the department or agency with which this transaction originated may pursue available

remedies, including suspension and/or debannent.

3. The prospective lower tier participant shall provide immediate written notice to the

person to which the certification is submilled if at any time the prospective lower tier

patiicipantlearns that its ccrtification was erroneous when submilled or had become

erroneous by rca son of changed circumstances.

4. The tenns covered transaction, debarred, suspended, ineligible, lower tier covered

transaction, participant, person, primary covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause, have the meaning set out in the Definitions

and Coverage sections of rulcs implementing Executive Order 12549. You may contact

the person to which this proposal is submitted for assistance in obtaining a copy of those

regulations.

5. The prospective lower tier participant shall agree that, should the proposed covered

transaction be cntered into, it shall not knowingly enter into any lower ticr covered

transaction wilh a person who is proposed for debamlent, debarred, suspended, declared

ineligible, or voluntarily excluded from participation in this covered transaction pursuant

to 2 C.F.R. PRlis 180 or J 200 Or 48 C.F.R. Pari 9, Subpart 9.4, unless authorized by the

depatiment or agcncy with which this transaction originated.

6. The prospective lower tier patiicipant shall further agree that it will include this c1ausc

titled "Certification Regarding Debanncnt, Suspension, Ineligibility atld Voluntary

Exclusion -- Lowcr Tier Covered Transaction," without modification, in all lower tier

covcred transactions and in all solicitations for lower tier covercd transactions.

7. A participant in a covered transaction may rely upon a certification ofa prospective

participant in a lower tier covered transaction that it is not proposed for debarment,

debarred, suspended, declared ineligible, or voluntarily excluded from participation in the

covered transaction pursuant to 2 C.F.R. Parts 180 or 1200 or 48 C.F.R. Pari 9, Subpart

9.4, unlcss it knows that the certification is erroneous. A participant may decide the

method and frequency by which it detennines the eligibility of ils principals. Each

participant may, bul is not required 10, check the List of Parties Excluded from Fedcral

Procurcment and Non-procurement Programs.
8. Nothing contained in the foregoing shall be eonsltued to reqnire establishment of a

system of records in order to render in good faith the eertifiealion reqnired by this clause.

The knowledge and information of a parlieipant is not required to exceed that which is

normally possessed by a prudent person in the ordinary course of business dealings.

9. Except fortransaetions authorized under paragrallh 5 of these instructions, if a

participant in a covered transaction knowingly enters into a lower tier coyered transaelion

with a person who is proposed for debarment, debarred, suspended, declared ineligiblc, or

voluntarily excludcd from parlicipation in the covered transaction pursuant to 2 C.F.R.

Parts 180 or 1200 or 48 C.F.R. Pm1 9, Subpru1 9.4, in addition to othcr remedies availablc

to the Federal Government, the department or agency wilh which this transaction

originated may pursue available rcmedies, including suspension andlor debarment.

Certification Regarding Dcbarmcnt, Suspension, Incligibility an Voluntary

Exclusion 0- Lower' TicI' Covcred Tmnsactions

By entering into the AEAS Grant Agreement and signing below, the Sponsor is providing

the assurance set forth in paragraphs (1) and (2) below.

(J) The Sponsor shall ensure thaI any prospective lower tier participant certifies that

neither it nor its principals is presently debarred, 'suspended, proposed fordebarnlent,

declared ineligible, or voluntarily excluded from participation in the Granl Project by any

Federal deparlment or agency. .

(2) Where the prospcctivc lower tier participant is unable to certify to any of the

statements in the certification, the Sponsor shall ensure Ihat such lower tier prospective

particip t attaches an explanation to the cer1ifieation.

COl{ n+'t TL\.d. 1C

Title

t 0 ~ '2 7- /l{

Date