HomeMy WebLinkAbout02/17/2015 14 Small Community Air Service Development Program Grant Award from the United States Department of TransportationBUSINESS OF THE CITY COUNCIL
YAKIMA, WASHINGTON
AGENDA STATEMENT
Item No. 14.
For Meeting of: February 17, 2015
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ITEM TITLE:
Resolution authorizing a Small Community Air Service
Development Program grant award from the US Department
of Transportation for funds to assist the City with a marketing
campaign and an associated air traffic study for the purpose
of increasing public demand for air services to and from the
Yakima Air Terminal
SUBMITTED BY: Sean Hawkins, Economic Development Manager 575-6274
SUMMARY EXPLANATION:
This Small Community Air Service Development Program grant award from the United States
Department of Transportation provides the City of Yakima $290,000 to be used for promoting air
service to and from the Yakima Air Terminal. The City will match the $290,000 over two years
with local funds giving us a total of $580,000 for promotional efforts with Alaska Airlines.
Resolution: X
Other (Specify):
Contract: X
Start Date: 02/23/2105
Item Budgeted: Yes
Funding Source/Fiscal
Impact:
Strategic Priority:
Insurance Required? No
Mail to:
Phone:
APPROVED FOR
SUBMITTAL:
Ordinance:
Contract Term: 2 years
End Date: 02/23/2017
Amount:
Economic Development
City Manager
RECOMMENDATION:
The Council has endorsed the application for Small Community Air Service Development Grant
funds at both the Council level and Council Economic Development Committee level.
ATTACHMENTS:
Description
Grant Award Resolution
SCADP Grant Agreement
Upload Date
2/9/2015
2/9/2015
Type
Cover Memo
Cover Memo
RESOLUTION NO. R -2015-
A RESOLUTION authorizing a Small Community Air Service Development Program grant
award from the United States Department of Transportation for funds to
assist the City with a marketing campaign and an associated air traffic study
for the purpose of increasing public demand for air services to and from the
Yakima Air Terminal.
WHEREAS, the City -owned Yakima Air Terminal (YAT) is currently served by three
Alaska Air flights from Yakima to SeaTac and back each day; and
WHEREAS, the City would benefit greatly from additional flights from Yakima to SeaTac
each day, as well as from potentially adding flights from Yakima to other airport hubs in the
Northwest; and
WHEREAS, the City and surrounding area served by the YAT has seen a decline in
flight frequency for air service to and from SeaTac in recent years with studies indicating that
seventy two percent of local passengers are leaving the area and seeking air service form other
airports; and
WHEREAS, more frequent flights from Yakima to SeaTac, and perhaps to other air
terminals in the Northwest as well, would provide travel options to the local population that are
critical to the economy of our community; and
WHEREAS, to attempt to address and reverse this trend the City successfully applied for
a Small Community Air Service Development Program grant in July, 2014 and has been
awarded $290,000 by the United States Department of Transportation for the purpose of
increasing public demand for air services to and from the YAT; and
WHEREAS, The City Council finds it to be in the best interest of the local population to
accept the grant funds available to the City in the amount of $290,000.00 from the U.S.
Department of Transportation, with a local match requirement of $290,000.00 from the City, to
be applied to air traffic analysis and marketing strategies directed toward increased flights and
higher utilization of air travel to and from the City; Now, Therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF YAKIMA:
The City Manager of the City of Yakima is hereby authorized and directed to execute the
attached and incorporated Grant Award Agreement Between the U.S. Department of
Transportation And The City of Yakima, Acting For The Community of Yakima, Washington,
Under The Small Community Air Service Development Program, attached hereto and
incorporated herein by this reference.
ADOPTED BY THE CITY COUNCIL this 17th day of February, 2015.
ATTEST: Micah Cawley, Mayor
Sonya Claar-Tee
GRANT AWARD AND AGREEMENT BETWEEN THE
U.S. DEPARTMENT OF TRANSPORTATION
AND THE CITY OF YAKIMA, ACTING FOR THE COMMUNITY
OF YAKIMA, WASHINGTON, UNDER THE SMALL COMMUNITY
AIR SERVICE DEVELOPMENT PROGRAM
(CFDA 20.930/FAIN NO. 2014-0113-0050)
WHEREAS, the City of Yakima (hereinafter referred to as the Sponsor), on behalf of the
community of Yakima, Washington, has applied for a Grant under the Small Community
Air Service Development Program; now THEREFORE, the U.S. Department of
Transportation (DOT), acting for the UNITED STATES, presents this Grant Award and
Agreement (Grant Agreement) to the Sponsor for a grant of up to $290,000 to assist in
the Sponsor's efforts to address the air service needs of the community. This Grant
Agreement shall be effective on the date of last signature by the Parties. Unless
otherwise defined in this Grant Agreement, capitalized terms shall have the meanings
assigned to such terms in Section E hereof.
THIS GRANT AWARD AND AGREEMENT IS MADE ON AND SUBJECT TO
THE FOLLOWING TERMS AND CONDITIONS:
A. GENERAL CONDITIONS
1. The maximum obligation of the United States payable under this Grant
Agreement shall be $290,000.
2. Payment of the United States' share of the Total Project Cash Costs will be
made pursuant to and in accordance with the provisions of such regulations
and procedures as DOT may prescribe, including, without limitation, 2 CFR
Parts 200 and 1201. Final determination of the United States' share may be
based upon a final review of the Total Project Cash Costs and settlement will
be made for adjustments to the United States' share of costs.
3. The Sponsor shall carry out and complete the Grant Project without undue
delays and in accordance with the terms hereof and pursuant to any
regulations and procedures as DOT may prescribe.
4. This Grant Agreement constitutes an obligation of federal funding. The grant
awarded hereunder shall expire and the United States shall not be obligated to
pay any part of the costs of the Grant Project unless the Sponsor signs this
Grant Agreement on or before February 23, 2015, or such subsequent date as
may be prescribed in writing by DOT. If the Sponsor makes any substantive
changes to this Grant Agreement, such changes shall constitute amendments
to this Grant Agreement and further action on the part of DOT is required in
order for DOT to accept such amendments to the initial grant award
obligation. If not signed and returned to DOT without modification by the
Recipient on or before February 23, 2015, DOT may unilaterally terminate
this Grant Agreement.
5. The Sponsor shall take all steps, including litigation, if necessary, to recover
Federal funds when DOT determines, after consultation with the Sponsor, that
such funds have been spent fraudulently, wastefully, or in violation of Federal
laws, or misused in any manner in any project upon which Federal funds have
been expended. For the purposes of this Grant Agreement, the term "Federal
funds" means funds however used or disbursed by the Sponsor that were
originally paid pursuant to this Grant Agreement.
6. The Sponsor shall retain all documents relevant to this Grant Agreement and
the Grant Project for a period of three (3) years after completion of all projects
undertaken pursuant to the Grant Agreement and receipt of final
reimbursement from the U.S. Treasury, whichever is later. It shall furnish
DOT, upon request, all documents and records pertaining to the determination
of the amount of the Federal share or to any settlement, litigation, negotiation,
or other efforts taken to recover such funds. All settlements or other final
positions of the Sponsor, in court or otherwise, involving the recovery of such
Federal share shall be approved in advance by DOT.
7. The United States shall not be responsible or liable for damage to property or
injury to persons that may arise from, or be incident to, compliance with this
Grant Agreement.
8. The Sponsor shall ensure compliance with Federal regulations requiring
conduct of a Federally -approved audit of any expenditure of funds of
$750,000 or more in a year in Federal awards.
9. The provisions of 2 CFR 200.317-200.326 (Procurement Standards), as
implemented and modified by 2 CFR Part 1201, shall apply to the extent that
the Sponsor procures property and services in carrying out the Grant Project.
B. SPECIAL CONDITIONS
1. Subject to the terms set forth in this Grant Agreement, DOT reserves the right
to terminate the Grant Agreement, and DOT's obligations hereunder, on
ninety (90) days' prior written notice, unless otherwise agreed between the
Sponsor and DOT, if any of the following occurs:
a. The Sponsor fails to provide the local contribution as provided in its
Grant Application, or alternatives approved by DOT;
b. The Sponsor fails to provide the In -Kind Contributions as provided
in its Grant Application, or alternative In -Kind Contributions
approved in writing by DOT;
c. The Sponsor does not meet the conditions and obligations specified
under this Grant Agreement; or
d. DOT determines that termination is in the public interest.
2. Either Party may seek to amend or modify this Grant Agreement on thirty (30)
days' prior written notice to the other Party. The Grant Agreement will be
amended or modified only on mutual written agreement by both parties.
3. At any time, on thirty (30) days' prior written notice, the Sponsor may request
termination of this Grant Agreement.
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4. Subject to the terms set forth in this Grant Agreement, and unless otherwise
agreed between the Sponsor and DOT, this Grant Agreement will expire on
January 12, 2018.
C. PROPOSAL SPECIFIC CONDITIONS
1. Sponsor: The City of Yakima, designated by the community of Yakima,
Washington, as the legal Sponsor under the Small Community Air Service
Development Program, is a government entity that shall administer the Grant
according to the terms and conditions set forth in this Grant Agreement.
Sponsor Contact:
Sean Hawkins
Economic Development Manager
The City of Yakima/Yakima Air Terminal
129 N. Second Street
Yakima, WA 98901
Phone: 509- 575-6274
Email: sean.hawkins@yakimawa.gov
DUNS Number: 078212651
TIN Number: 91-6001293
2. Scope of the Grant Project
• Revenue guarantee, start-up cost offsets, and associated marketing costs to
recruit, initiate, and support new nonstop air service between Yakima Air
Terminal -McAllister Field and Portland International Airport (PDX); and
• Marketing campaign and associated traffic study to increase demand for
the existing Alaska Airlines service to Seattle -Tacoma International
Airport (SEA).
3. Funding
a. Total Project Cash Costs: $580,000 In -Kind Contribution: $500,000
Federal Share: $290,000
Local Share: $290,000
b. Payment by DOT shall not exceed $290,000 for the Grant Project's Total
Project Cash Costs, which are costs arising from the Grant Project
described in Section 2 above.
c. The community will provide the In -Kind Contributions as described in its
Grant Application, or alternative In -Kind Contributions approved by DOT,
toward implementation of the Grant Project.
d. The Sponsor shall pay the costs associated with the Grant Project prior to
seeking reimbursement from DOT. If the Sponsor is seeking private
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contributions to complete the Local Share, the Sponsor is responsible for
ensuring that the full Local Share is provided.
e. To seek reimbursement from DOT, the Sponsor shall submit documentary
evidence of all expenditures associated with the Grant Project set forth in
Section C.3.b above, and included in the Total Project Cash Costs set forth
in Section C.3.a above (those to be covered by the local and/or state
contribution, as well as those covered by the Federal contribution) on a
monthly basis. DOT will reimburse the Sponsor on a monthly basis for
50.0 percent of all valid expenditures submitted (the specific Federal
share of Total Project Cash Costs is set forth in Sections C.3.a and C.3.b
above), subject to Section C.3.c and Sections C.3.f and C.3.g below. All
reimbursement requests to DOT shall include sufficient documentation to
justify reimbursement of the Sponsor, including invoices and proof of
payment of the invoice.
f. Payment of the final ten percent (10%) of the Federal funding for the
Grant Project will be made after receipt by DOT of the final report set
forth in Section C.4 below.
g. No reimbursement by DOT will be made until the Sponsor has provided
DOT with a copy of the revenue guarantee/subsidy/financial incentive
agreement, including the cost and revenue bases for the compensation
required.
h. At the sole option of DOT, funding may terminate twelve (12) months
after the Execution of this Grant Agreement if the Sponsor is unable to
execute an agreement with an Air Carrier to provide the new air service
described above, unless otherwise agreed between the Sponsor and DOT.
i. At the sole option of DOT, funding may terminate within six (6) months
after execution of an agreement with an Air Carrier to provide the new air
service described above if the marketing program to support the service
has not been developed and implemented, unless otherwise agreed
between the Sponsor and the DOT.
�. At the sole option of DOT, funding under this Grant Agreement may
terminate if no air service by an Air Carrier has commenced within twelve
(12) months after the Execution of this Grant Agreement, unless otherwise
agreed between the Sponsor and DOT.
k. If during the term of a revenue guarantee agreement, subsidy agreement,
or other financial incentive agreement with the Community, the Air
Carrier stops providing the agreed-upon service, DOT will only provide
reimbursement to the Grant Recipient for the actual service provided by
the Air Carrier under the relevant agreement.
The Sponsor shall ensure that the funds provided by DOT are not
misappropriated or misdirected to any other account, need, project, line-
item, or the like.
m. All requests for reimbursement must be made by the Grant Recipient
within sixty (60) calendar days after the date of expiration (see Section
B.4) of this Grant Agreement.
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n. All expenses for this Grant Project must be incurred by the date of
expiration of this Grant Agreement (see Section B.4), unless otherwise
agreed between the Sponsor and DOT.
o. Should this Grant Agreement be terminated prior to the expiration date
provided herein (see Section B.4), DOT reserves the right to require that
the Sponsor return to DOT any of the funds reimbursed for expenses
subsequently deemed ineligible.
4. Reports
a. Grant Project reports, including progress on milestones as set forth in
paragraph b below, shall be reported to DOT on a quarterly basis, with
reports due to DOT as follows: January 15 for the First Quarter, April 15
for the Second Quarter, July 15 for the Third Quarter, and October 15 for
the Fourth Quarter. The first Grant Project report is due on April 15,
2015.
b. Project reports shall include the following: (i) brief narrative detailing the
status of the Grant Project and the progress being made towards the scope
of the Grant Project described in Section C.2; (ii) status report on the
hiring of any consultants in conjunction with implementation of the Grant
Project; (iii) status report on progress toward completion of the In -Kind
Contributions committed to implementation of the Grant Project,
including documentation evidencing that In -Kind Contributions were
made; (iv) status report on all marketing or promotional activities
undertaken; (v) status report on contract negotiations with Air Carriers,
including any revenue guarantee/subsidy/financial incentive agreements;
and (vi) status report on contract negotiations with other third parties in
conjunction with the implementation of the Grant Project.
c. Final report (in a format to be provided by DOT) of the Sponsor's
assessment of the Grant Project shall be made to DOT within three (3)
months after expiration of this Grant Agreement (see Section B.4) or
conclusion of the Grant Project, whichever occurs earlier.
5. Sponsor Obligations
a. Within three (3) months following the date of Execution of the Grant
Agreement, the Sponsor shall submit to DOT a detailed marketing plan as
set forth in the Grant Application, including the types of media to be used,
projected expenditures for each marketing component, and timeline for
release of the marketing/advertising material with respect to promotion of
the existing Alaska Airlines service to SEA.
b. Within six (6) months following the date of execution of an agreement
with an Air Carrier for new service at the community to PDX, the Sponsor
shall submit to DOT a detailed marketing plan as set forth in the Grant
Application, including the types of media to be used, projected
expenditures for each marketing component, and timeline for release of
the marketing/advertising material.
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c. The Sponsor shall, within fifteen (15) calendar days after their execution,
provide DOT with a copy of all agreements executed between the
Community and any consultants, Air Carriers, or other parties with respect
to the Grant Project. The Sponsor shall, within fifteen (15) calendar days
after execution, also provide DOT with notice of any amendment to, or
termination of such agreements. The Sponsor shall ensure 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, and any amendments or modifications
executed, pursuant to Section B.
d. The Sponsor shall provide evidence on a quarterly basis as set forth in
Section C.4 above, to demonstrate the progress that it has made toward
securing the Third -Party In -Kind Contributions per Section C.3.a above
and as described in its Grant Application, or alternative Third -Party In -
Kind contributions approved by DOT.
e. The Sponsor shall ensure 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.
D. ASSURANCES
The Sponsor shall execute the attached assurances and certifications (Assurances)
in conjunction with its signing of this Grant Agreement and shall ensure
compliance by the Grant Recipient with these Assurances and any amendments or
modifications thereto. The Assurances are integral parts to this Grant Agreement
and are deemed to be incorporated by reference into this Grant Agreement.
E. DEFINITIONS
Air Carrier: A United States -certificated air carrier undertaking to provide air
transportation, including, without limitation, scheduled and unscheduled air
carriers, regional air carriers, commuter air carriers, and air taxi operators.
Assurances: This term shall have the meaning ascribed to it in Section D of this
Grant Agreement.
Community: All parties identified in the Grant Application as participating in the
Grant Project, including the Sponsor.
DOT: United States Department of Transportation.
Execution of Grant Agreement: Signing of this Grant Agreement by DOT and
the Sponsor.
Federal Share: Federal funds authorized for use by the Grant Recipient in
implementing the Grant Project.
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Grant Agreement: This written agreement between DOT and the Sponsor
describing the scope of the Grant Project and setting forth the terms and
conditions of the Community's participation in the Small Community Air Service
Development Program, and incorporating by reference (a) all attachments and
exhibits to this Grant Agreement, including the Assurances, in their entireties; (b)
the Grant Application, except to the extent inconsistent with the terms of this
written agreement; and (c) DOT Order 2014-6-17 in its entirety.
Grant Application: The complete document submitted in FY 2014 to DOT by
the Community in Docket DOT -OST -2014-0113, including any information
submitted in the docket as confidential material.
Grant Project: The scope of the project set forth in Section C.2 of this Grant
Agreement.
Grant Recipient: Community receiving the SCASDP grant, including the
Sponsor.
In-Kind/Third-Party In -Kind Contribution: Property or services that benefit
the Grant Project and that are contributed by non -Federal third parties without
charge to the Grant Recipient or a cost -type contractor under the Grant
Agreement.
Local Share: Public, community, state, or private funds described in the Grant
Application for use in implementing the Grant Project, excluding any In -Kind
Contributions (including Third -Party In -Kind Contributions).
Party: DOT and/or the Sponsor, as the context indicates.
Proposal: A proposed project described by the Community in its Grant
Application.
Quarter or Quarterly: Calendar quarter. Reports or other information required
for submission on a quarterly basis are due no later than fifteen (15) calendar days
after the close of the calendar quarter.
Small Community Air Service Development Program (SCASDP): A grant-in-
aid financial assistance program originally established under the Wendell H. Ford
Aviation Investment and Reform Act for the 21st Century (AIR -21), Pub. L. No.
106-181, as amended by Vision 100—The Century in Aviation Reauthorization
Act, Pub. L. No. 108-176, and the FAA Modernization and Reform Act of 2012,
Pub. L. No. 112-95, and codified in Title 49 U.S.C. § 41743.
Sponsor Obligations: Responsibilities of the Sponsor under this Grant
Agreement and those documents incorporated by reference into the Grant
Agreement as set forth above (see definition of Grant Agreement).
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Sponsor: A government entity and legal sponsor of the Grant Recipient that
agrees pursuant to this Grant Agreement to administer and oversee
implementation of this Grant Agreement and the fulfillment of the Grant Project.
Total Project Cash Costs: Sum of the Federal and local cash shares contributed
toward completion of the Grant Project, excluding any In -Kind Contributions
(including Third -Party In -Kind Contributions). Total Project Cash Costs are
described in Sections C.3.a and C.3.b of this Grant Agreement.
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GRANT AWARD AND AGREEMENT
This Grant Award and Agreement is made in accordance with Title 49 U.S.C. § 41743
and is subject to the terms and conditions of this Grant Agreement and the Assurances
attached hereto and incorporated herein.
Executed this
(SEAL)
day of 20.
United States Department of Transportation
Brooke Chapman
Associate Director
Small Community Air Service Development
Program
ACCEPTANCE
The undersigned Sponsor agrees to accomplish each element of the Grant Project in
compliance with the terms and conditions of this Grant Agreement and the Assurances
attached hereto and incorporated herein.
Executed this
(SEAL)
day of , 20.
By:
The City of Yakima
Yakima, Washington
Signature of Sponsor's Designated Official Representative
Printed Name
Title
Attest:
Title:
9
CERTIFICATE OF SPONSOR'S ATTORNEY
I, , acting as Attorney for the Sponsor do hereby certify:
That in my opinion the Sponsor is a government entity empowered to enter into the
foregoing Grant Agreement under the laws of the State (or Commonwealth) of
. Further, I have examined the foregoing Grant Agreement, and the
actions taken by said Sponsor relating thereto, and find that the acceptance thereof by
said Sponsor and Sponsor's official representative has been duly authorized and that the
execution thereof is in all respects due and proper and in accordance with the laws of the
said State (or Commonwealth) and Title 49 of the U.S. Code. In addition, for grants
involving projects to be carried out on property not owned by the Sponsor or where
Sponsor may make payments to others, there are no legal impediments that will prevent
full performance by the Sponsor. Further, it is my opinion that the said Grant Agreement,
including the Assurances, constitutes a legal and binding obligation of the Sponsor in
accordance with the terms thereof.
Signature of Sponsor's Attorney Date
Printed or Typed Name Telephone
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ATTACHMENT B
GRANT ASSURANCES
TITLE VI ASSURANCE
(Implementing Title VI of the Civil Rights Act of 1964, as amended)
ASSURANCE CONCERNING NONDISCRIMINATION 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. Parts 21, 25, 27, 37 and 38
The United States Department of Transportation (USDOT)
Standard Title VI/Non-Discrimination Assurances
DOT Order No. 1050.2A
By signing and submitting the Grant Application and by entering into the Grant Agreement
under the Small Community Air Service Development Program (SCASDP), 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 Transportation (DOT), the Grantee
is subject to and will comply with the following:
Statutory/Regulatory Authorities
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252),
(prohibits discrimination on the basis of race, color, national origin);
• 49 C.F.R. Part 21 (entitled Non-discrimination In Federally -Assisted Programs Of The
Department Of Transportation Effectuation Of Title VI Of The Civil Rights Act Of
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 cites hereinafter are referred to as the "Acts" and
"Regulations," respectively.
General Assurances
In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy,
memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any
measures necessary to ensure that:
"No person in the United States shall, on the grounds of race, color, or national
origin, be excluded from participation in, be denied the benefits of or be otherwise
subjected to discrimination under any program or activity, " for which the
Recipient receives Federal financial assistance from DOT.
The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, 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 requirements to include all programs and
activities of the Recipient, so long as any portion of the program is Federally assisted.
Specific Assurances
More specifically, and without limiting the above general Assurance, the Recipient agrees with
and gives the following Assurances with respect to its Federally assisted SCASDP Discretionary
Grant program:
1. The Recipient agrees that each "activity," "facility," or "program," as defined in §§ 21.23
(b) and 21.23 (e) of 49 C.F.R. § 21 will be (with regard to an "activity") facilitated, or
will be (with regard to a "facility") operated, or will be (with regard to a "program")
conducted in compliance with all requirements imposed by, or pursuant to the Acts and
the Regulations.
2. The Recipient will insert the following notification in all solicitations for bids, Requests
For Proposals for work, or material subject to the Acts and the Regulations made in
connection with the SCASDP Discretionary Grant and, in adapted form, in all proposals
for negotiated agreements regardless of funding source:
"The Grantee, in accordance with the provisions of Title VI of the Civil Rights
Act of 1964 (78 Stat. 252, 42 U.S.C. 0 2000d to 2000d-4) and the Regulations,
hereby notifies all bidders that it will affirmatively ensure that any contract
entered into pursuant to this advertisement, disadvantaged business enterprises
will be afforded full and fair opportunity to submit bids in response to this
invitation and will not be discriminated against on the grounds of race, color, or
national origin in consideration for an award."
3. The Recipient will insert the clauses of Appendix A and E of this Assurance in every
contract or agreement subject to the Acts and the Regulations.
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4. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant
running with the land, in any deed from the United States effecting or recording a transfer
of real property, structures, use, or improvements thereon or interest therein to a
Recipient.
5. That where the Recipient receives Federal financial assistance to construct a facility, or
part of a facility, the Assurance will extend to the entire facility and facilities operated in
connection therewith.
6. That where the Recipient receives Federal financial assistance in the form, or for the
acquisition of real property or an interest in real property, the Assurance will extend to
rights to space on, over, or under such property.
7. That the Recipient will include the clauses set forth in Appendix C and Appendix D of
this Assurance, as a covenant running with the land, in any future deeds, leases, licenses,
permits, or similar instruments entered into by the Recipient with other parties:
a. for the subsequent transfer of real property acquired or improved under the
applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property
acquired or improved under the applicable activity, project, or program.
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 form of, personal property, or real property, or interest therein, or
structures or improvements thereon, in which case the Assurance obligates the Recipient,
or any transferee for the longer of the following periods:
a. the period during which the property is used for a purpose for which the Federal
financial assistance is extended, or for another purpose involving the provision of
similar services or benefits; or
b. the period during which the Recipient retains ownership or possession of the
property.
9. The Recipient will provide for such methods of administration for the program as are
found by the Secretary of Transportation or the official to whom he/she delegates specific
authority to give reasonable guarantee that it, other recipients, sub -recipients, sub -
grantees, contractors, subcontractors, consultants, transferees, successors in interest, and
other participants of Federal financial assistance under such program will comply with all
requirements imposed or pursuant to the Acts, the Regulations, and this Assurance.
10. The Recipient agrees that the United States has a right to seek judicial enforcement with
regard to any matter arising under the Acts, the Regulations, and this Assurance.
By signing this ASSURANCE, the Grantee also agrees to comply (and require any sub -
recipients, sub -grantees, contractors, successors, transferees, and/or assignees to comply) with all
3
applicable provisions governing DOT's access to records, accounts, documents, information,
facilities, and staff. You also recognize that you must comply with any program or compliance
reviews, and/or complaint investigations conducted by DOT. You must keep records, reports,
and submit the material for review upon request to DOT, or its designee in a timely, complete,
and accurate way. Additionally, you must comply with all other reporting, data collection, and
evaluation requirements, as prescribed by law or detailed in program guidance.
The Grantee gives this ASSURANCE in consideration of and for obtaining any Federal grants,
loans, contracts, agreements, property, and/or discounts, or other Federal -aid and Federal
financial assistance extended after the date hereof to the recipients by the U.S. Department of
Transportation under the SCASDP Discretionary Grants Program. This ASSURANCE is
binding on the Grantee, other recipients, sub -recipients, sub -grantees, contractors, subcontractors
and their subcontractors, transferees, successors in interest, and any other participants in the
SCASDP Discretionary Grants Program.
APPENDIX A
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the "contractor") agrees as follows:
1. Compliance with Regulations: The contractor (hereinafter includes consultants) will
comply with the Acts and the Regulations relative to Non-discrimination in Federally -
assisted programs of the U.S. Department of Transportation, as they may be amended
from time to time, which are herein incorporated by reference 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 race, color, or national origin in the
selection and retention of subcontractors, including procurements of materials and leases of
equipment. The contractor will not participate directly or indirectly in the discrimination
prohibited by the Acts and the Regulations, including employment practices when the
contract covers any activity, project, or program set forth in Appendix B of 49 CFR Part
21.
3. Solicitations for Subcontracts, Including Procurements of Materials and Equipment:
In all solicitations, either by competitive bidding, or negotiation made by the contractor for
work to be performed under a subcontract, including procurements 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 reports
required by the Acts, the Regulations, and directives issued pursuant thereto and will
permit access to its books, records, accounts, other sources of information, and its facilities
as may be determined by the Recipient or DOT to be pertinent to ascertain compliance
with such Acts, Regulations, and instructions. Where any information required of a
4
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 to obtain the information.
5. Sanctions for Noncompliance: In the event of a contractor's noncompliance with the
Non-discrimination provisions of this contract, the Recipient 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 directives issued pursuant
thereto. The contractor will take action with respect to any subcontract or procurement 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 to enter into any litigation to protect the interests of
the Recipient. In addition, the contractor may request the United States to enter into the
litigation to protect the interests of the United States.
APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property,
structures, 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 constructed
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, Part
21, Non-discrimination in Federally -assisted programs of the U.S Department of Transportation
pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat.
252; 42 U.S.C. § 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 described in Exhibit A attached hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE 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 effect for the period during which the real property or
5
structures 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, does hereby
covenant and agree as a covenant running with the land for itself, its successors and assigns, that
(1) no person will on the grounds of race, color, or national origin, be excluded from participation
in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility
located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the
Grantee will use 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, Part 21, 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 determined that such a clause is
necessary in order to make clear the purpose of Title VI.)
APPENDIX C
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
running with the land"] that:
1. In the event facilities are constructed, maintained, or otherwise operated on the
property described in this (deed, license, lease, permit, etc.) for a purpose for which a
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 participation in, denied the benefits of, or be otherwise subjected to
discrimination in the use of said facilities.
6
B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non-
discrimination covenants, Grantee will have the right to terminate the (lease, license, permit,
etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same
as if the (lease, license, permit, etc.) had never been made or issued.*
C. With respect to a deed, in the event of breach of any of the above Non-discrimination
covenants, the Grantee will have 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 become
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 included in deeds, licenses, permits, or similar
instruments/agreements entered into by Grantee pursuant to the provisions of Assurance 7(b):
A. The (grantee, licensee, 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
running with the land") that (1) no person on the ground of race, color, or national origin,
will be excluded from participation in, denied the benefits of, or be otherwise subjected to
discrimination in the use of said facilities, (2) that in the construction of any improvements
on, over, or under such land, and the furnishing of services thereon, no person on the ground
of race, color, or national origin, will be excluded from participation in, denied the benefits
of, or otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee,
permittee, 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 the event of breach of any of the above
Non-discrimination covenants, Grantee will have the right to terminate the (license, permit,
etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thereon,
and hold the same as if said (license, permit, 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.*
7
(*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 E
During the performance of this contract, the contractor, for itself, its assignees, and successors in
interest (hereinafter referred to as the "contractor") agrees to comply with the following non-
discrimination statutes and authorities; including but not limited to:
Pertinent Non -Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252),
(prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
(42 U.S.C. § 4601), (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. § 324 et seq.), (prohibits discrimination on
the basis of sex);
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended,
(prohibits discrimination on the basis of disability); and 49 CFR Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), (prohibits
discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 USC § 471, Section 47123), as
amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage
and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act
of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of
the terms "programs or activities" to include all of the programs or activities of the
Federal -aid recipients, sub -recipients and contractors, whether such programs or activities
are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination on
the basis of disability in the operation of public entities, public and private transportation
systems, places of public accommodation, and certain testing entities (42 U.S.C. §§
12131 —12189) as implemented by Department of Transportation regulations at 49
C.F.R. Parts 37 and 38;
• The Federal Aviation Administration's Non-discrimination statute (49 U.S.C. § 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 activities with disproportionately high and adverse human health or
environmental effects on minority and low-income populations;
• Executive Order 13166, Improving Access to Services for Persons with Limited English
Proficiency, and resulting agency guidance, national origin discrimination includes
discrimination because of limited English proficiency (LEP). To ensure compliance with
8
Title VI, you must take reasonable steps to ensure that LEP persons have meaningful
access to your programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from
discriminating because of sex in education programs or activities (20 U.S.C. 1681 et seq).
Signature Date
Title
Grant Recipient
9
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
OFFICE OF THE SECRETARY
OFFICE OF AVIATION ANALYSIS
CERTIFICATION REGARDING INFLUENCING ACTIVITIES
Certification for Contracts, Grants, Loans,
and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan,
or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form -LLL, "Disclosure Form to Report Influencing Activities," in
accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included 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 required certification shall be subject to a civil penalty of not less than $10,000 and
not more than $100,000 for each such failure.
Signature Date
Title
Grant Recipient
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
OFFICE OF THE SECRETARY
OFFICE OF AVIATION ANALYSIS
CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS
IN THE PERFORMANCE OF SMALL COMMUNITY AIR SERVICE PURSUANT TO GRANT AWARD UNDER
THE SMALL COMMUNITY AIR SERVICE DEVELOPMENT PROGRAM
A. The grant recipient certifies that it will, or will continue, to provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or
use of a controlled substance is prohibited in the grant recipient's workplace, and specifying the actions that will be taken
against employees for violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to inform employees about --
(1) The dangers of drug abuse in the workplace;
(2) The grant recipient's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee assistance programs; and
(4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of work supported by the grant award
be given a copy of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment supported by
the grant award, the employee will --
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar 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 Office of Aviation Analysis. Notice shall include the order number of the grant award;
(f) Taking one of the following actions, within 30 days of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted --
(1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with
the requirements of the Rehabilitation Act of 1973, as amended, or
(2) Requiring such employee to participate 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 faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a),
(b), (c), (d), (e) and (f).
B. The grant recipient may, but is not required to, insert in the space provided below the site for the performance of work
done in connection with the specific grant.
Places of Performance (street address, city, county, state, zip code). For the provision of air service pursuant to the grant
award, workplaces include outstations, maintenance sites, headquarters office locations, training sites and any other worksites
where work is performed that is supported by the grant award.
Check [ ] if there are workplaces on file that are not identified here.
Grant Recipient Signature Date
OFFICE OF THE SECRETARY OF TRANSPORTATION
CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS -- PRIMARY COVERED TRANSACTIONS
2 C.F.R. Part 1200, 2 C.F.R. Part 180
Instructions for Certification
1. By entering in the SCASDP Grant Agreement and signing below, the Sponsor is providing the
assurance and certification set out below.
2. The inability of a person to provide the certification required below will not necessarily result
in denial of participation in this covered transaction. The Sponsor shall submit an explanation of
why it cannot 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. However, failure of the Sponsor to furnish a certification or an explanation shall
disqualify such person from participation in this transaction.
3. The certification in this clause is a material representation of fact upon which reliance was
placed when the department or agency determined to enter into this transaction. If it is later
determined 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 immediate written notice to the department or agency to which this
proposal is submitted if at any time the Sponsor learns that its certification was erroneous when
submitted or has become erroneous by reason of changed circumstances.
5. The terms 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 meanings set out in the Definitions and Coverage sections of the
rules implementing Executive 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 agrees that it shall not knowingly enter into any lower tier covered transaction
with a person who is proposed for debarment, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction pursuant to 2 CFR Parts 180
or 1200 or 48 CFR Part 9, Subpart 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 "Certification Regarding
Debarment, 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 tier
covered transactions.
8. A participant in a covered transaction may rely upon a certification of a prospective participant
in a lower tier covered transaction that it is not proposed for debarment, debarred, suspended,
ineligible, or voluntarily excluded from the covered transaction pursuant to 2 CFR Parts 180 or
1200 or 48 CFR Part 9, Subpart 9.4, unless it knows that the certification is erroneous. A
participant may decide the method and frequency by which it determines the eligibility of its
principals. Each participant may, but is not required to, check the List of Parties Excluded from
Federal Procurement and Non -procurement Programs.
9. Nothing contained in the foregoing shall be construed to require establishment of a 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 covered transaction with a person who is
proposed for debarment, suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction pursuant to 2 CFR Parts 180 or 1200 or 48 CFR Part 9, Subpart
9.4, in addition to other remedies available to the Federal Government, the department or agency
may terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other Responsibility Matters --
Primary Covered Transactions
(1) The Sponsor certifies to the best of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded by any Federal department 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 statutes
or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this Grant Agreement had one or more public
transactions (Federal, State or local) terminated for cause or default.
(2) Where the Sponsor is unable to certify to any of the statements in this certification, such
Sponsor shall attach an explanation to this proposal.
Name Affiliation
Title Date
OFFICE OF THE SECRETARY OF TRANSPORTATION
CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION -- LOWER TIER COVERED
TRANSACTIONS
Instructions for Certification
1. By entering into the SCASDP Grant Agreement and signing below, the Sponsor is
providing the assurance and certification set out below.
2. The certification required by a prospective lower tier participant is a material
representation of fact upon which reliance is placed when a transaction is entered into. If
it is later determined that the prospective lower tier participant knowingly rendered an
erroneous certification, in addition to other remedies available to the Federal Government
the department or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the
person to which the certification is submitted if at any time the prospective lower tier
participant learns that its certification was erroneous when submitted or had become
erroneous by reason of changed circumstances.
4. The terms 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 rules 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 entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment, debarred, suspended, declared
ineligible, or voluntarily excluded from participation in this covered transaction pursuant
to 2 CFR Parts 180 or 1200 or 48 CFR Part 9, Subpart 9.4, unless authorized by the
department or agency with which this transaction originated.
6. The prospective lower tier participant shall further agree that it will include this clause
titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion -- Lower Tier Covered Transaction," without modification, in all lower tier
covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a 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 CFR Parts 180 or 1200 or 48 CFR Part 9, Subpart 9.4,
unless it knows that the certification is erroneous. A participant may decide the method
and frequency by which it determines the eligibility of its principals. Each participant
may, but is not required to, check the List of Parties Excluded from Federal Procurement
and Non -procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a
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.
9. Except for transactions authorized under paragraph 5 of these instructions, if a
participant in a covered transaction knowingly enters into a lower tier covered transaction
with a person who is proposed for debarment, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in the covered transaction pursuant to 2 CFR
Parts 180 or 1200 or 48 CFR Part 9, Subpart 9.4, in addition to other remedies available
to the Federal Government, the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility an Voluntary
Exclusion -- Lower Tier Covered Transactions
By entering into the SCASDP Grant Agreement and signing below, the Sponsor is
providing the assurance set forth in paragraphs (1) and (2) below.
(1) The Sponsor shall ensure that any prospective lower tier participant certifies that
neither it nor its principals is presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in the Grant Project by any
Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the
statements in the certification, the Sponsor shall ensure that such lower tier prospective
participant attaches an explanation to the certification.
Name
Title
Affiliation
Date