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HomeMy WebLinkAbout15 - JWA Settlement Agreement Amendment Noise Monitoring Station CITY OF 1 . � NEWPORT BEACH -- City Council Staff Report September 8, 2015 Agenda Item No. 15 TO: HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL FROM: Dave Kiff, City Manager— (949) 644-3002, dkiff @newportbeachca.gov PREPARED BY: Dave Kiff, City Manager PHONE: 949-644-3002 TITLE: JWA Settlement Agreement Amendment: Noise Monitoring Station ABSTRACT: John Wayne Airport (JWA) has a detailed noise monitoring system whose data is used in part to assure that planes comply with the Orange County commercial and general aviation noise ordinances. Noise limits — typically shown in Single Event Noise Equivalent Levels (or SENEL) — are also set forth in the airport's Phase 2 Access Plan and the current Settlement Agreement between the City, the County, Stop Polluting our Newport (SPON) and the Airport Working Group (AWG). As technology improves, the sensitivity of the monitors improves, too. The County has recently replaced the 20-year old monitors with new monitors. The new monitors have read the same noise slightly differently — higher - than the old monitors. As a result, the noise standards in the Settlement Agreement and Phase 2 Access Plan must be changed in order to allow the Settlement Agreement to continue to comply with the federal Airport Noise and Capacity Act (ANCA). RECOMMENDATION: a) Find that the execution of the Tenth Supplemental Stipulation to the JWA Settlement Agreement is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c) (3) of the CEQA Guidelines; b) Find that that the Tenth Supplemental Stipulation to the JWA Settlement Agreement complies with City Council Policy A-17; and c) Authorize the City Attorney to execute the Tenth Supplemental Stipulation to the JWA Settlement Agreement on behalf of the City. FUNDING REQUIREMENTS: No Fiscal Impact. 15-1 DISCUSSION: The Settlement Agreement. Operations at JWA must comply with a Settlement Agreement first entered into in 1985 between the County of Orange, the City, Stop Polluting our Newport (SPON) and the Airport Working Group (AWG). The Agreement, most recently amended in 2014, sets forth caps on the amount of passengers that can arrive or depart from JWA in any one calendar year, limits the amount of average daily departures of generally the loudest commercial flights, and requires compliance with a noise-based curfew as well as noise thresholds both on the arrival and departure patterns. These thresholds are written into the Settlement Agreement and are the subject of this agenda item. To reiterate, the curfew is noise-based — if a plane could depart at a sound level below even the nighttime (10:00 p.m. to 7:00 a.m. M-Sat and 8:00 a.m. on Sundays) noise thresholds, it could indeed depart. The noise monitoring stations. The ten (10) Noise Monitoring Stations are an integral part of the Settlement Agreement. They are placed around JWA — three on the arrival corridors and seven on the departure corridors. The Stations are set up in a triangle pattern, generally, where a plane flies through the center of the triangle and the Stations monitor noise directly below the flight and to its sides. See Attachment A for a map of the Stations. The Settlement Agreement requires flights to stay at or below specific "Single Event Noise Equivalent Levels" (SENEL) for each station. Each station has a specific upper limit to noise. The limits are lower as planes get higher in the air and farther from JWA. As a slight aside, please know that there is no "required takeoff procedure" for JWA. This is a common misnomer, sometimes even repeated by pilots to their passengers at takeoff. What's required is that the flights not exceed the SENEL limit at each station. If a flight is quiet enough to take off without a fast power-up and then a level-off, it can apply continuous power to its takeoff. Generally, lighter flights — and sometimes more advanced aircraft — can stay below the Stations' SENEL limits while staying at continuous power. A lighter flight might be one traveling with fewer passengers, luggage and/or fuel (such as a short flight to the Bay Area or Las Vegas). Why Replace? The noise monitoring equipment is nearing 20 years old and needs to be replaced given the age of the technology and because some of the replacement components are no longer made nor serviced. Additionally, the company which manufactured the current equipment no longer exists. Please see Attachment B for a photo of the equipment at the NMS near the Newport Beach Golf Course. It is critically important at this point to remind readers of the federal Airport Noise and Capacity Act (ANCA). ANCA was passed by Congress in the 1990s, and it's said that "what happened at John Wayne Airport in 1985" populated the testimony there, as Congress determined that localities' interest to restrict either the noise or capacity of a commercial airport was bad for US commerce and travel. Because of ANCA, it is now very challenging to adopt a local regulation — or revise an existing regulation — that could further restrict air traffic via limits on capacity or noise. The 1985 JWA Settlement Agreement and amendments have not been in violation of ANCA, and are considered grandfathered in. Today, because of quieter planes (for example, a newer Boeing 737 — the most common plane used at JWA — is significantly quieter than the MD80s that once flew out of JWA), the flights from JWA generally (with exceptions) stay several decibels below the limits of the noise monitoring stations. For example: In the first quarter of 2015, the SENEL for a Class A Southwest flight was: . 91.8 dB at NMS 1, while the limit is at 101.8 dB . 89.7 dB at NMS 3, while the limit is 100.7 dB In the first quarter of 2015, the SENEL for a Class A American Airlines flight was: . 8.4 dB at NMS 1, while the limit is at 101.8 dB . 96.9 dB at NMS 3, while the limit is 100.7 dB For detailed noise information by quarter, see the County's website at http://www.ocair.com/rel?ortspublications/AccessNoise/ 15-2 ANCA, the Noise Monitoring equipment, Council Policy A-17 and the Settlement Agreement. The County issued an RFP for installation of new, updated monitoring equipment. They also hired a firm to analyze the data during a three-month, four site "side-by-side" testing period, where new microphones were set up very close to (generally 2' away) existing mics. The two sets of mics measured the same flights, at the same times, on the same days, two feet away from each other, for three months. The firm concluded that the sensitivity of the new system read each flight at between 0.3 and 0.9 dB higher than the old system (note: generally, the human ear is challenged to detect a difference in dB of less than 3.0 dB). The City also hired a third-party firm to analyze the same data. Our firm agreed with the County firm's analysis and the as-read difference. To comply with ANCA — where further restrictions on noise are specifically prohibited (without a Part 161 study) — our legal advisors tell us (and those of the County and from AWG and SPON) that we cannot keep the "old" thresholds measured with the older equipment now that the new equipment's data exists. As such, the Settlement Agreement (as well as the JWA Phase 2 Access Plan) must be changed to reflect the more sensitive microphone system's data. Doing so maintains parity with the existing limits — something ANCA requires. The Class A flight changes recommended are generally increases of between 0.4 dB (NMS #3) and 0.7 dB (NMS #1-2, #4-7). For General Aviation, the increases in daytime limits would be 0.7dB at NMS 1-2, 0.4 dB at NMS 3, and no changes to the remaining NMS network. There are also changes to the Class E limits. Council Policy A-17 also guides the City's actions regarding airports. As Council Policy A-17 reminds us: "The strategies, actions and decisions of the City Council and community groups concerned about airport impacts must consider and respect the complex statutory and decisional law related to aircraft operations and airport regulations. The failure of the City Council or community groups to accurately inform Newport Beach residents about the legal framework could lead to unreasonable expectations and ill-advised decisions and/or strategies." Policy A-17 also expresses that: "The JWA Settlement Agreement is the primary vehicle by which the City exercises control over airport impacts. ... The City Council shall pursue further amendments to adhere to the following fundamental principles with respect to the JWA Settlement Agreement and any modification or amendment under consideration: a. The City Council shall not consider or approve any agreement (including any amendment of the 2002 and 2014 Amendments) that would or could result in any modification to the County's airport curfew ordinances. b. The City Council shall not consider or approve any agreement (including any amendment of the 2002 and 2014 Amendments) that would or could lead to the construction of a second air carrier runway. C. The City Council should consider modifications to the Settlement Agreement only upon a determination, based on appropriate environmental documentation, that the modifications will not materially alter the quality of life, and are in the best long term interests, of Newport Beach residents most impacted by JWA. d. As a condition to any amendment of the 2002 and 2014 Amendments or successor agreements, the City Council should obtain a favorable FAA determination that the proposed amendment or agreement is exempt from FAA review and approval on the basis that there is no adverse impact on airport capacity or airport safety and complies with other relevant federal laws and regulations. 4. JWA Facilities & Operations. JWA has a single air carrier runway with air carrier, air cargo and general aviation facilities sharing approximately 500 acres. The City Council shall take any action necessary to ensure that no additional air carrier runway is constructed. The City Council shall also take any action necessary to prevent any modification of the existing noise curfew that, generally speaking, 15-3 prohibits certain departures from 10:00 p.m. to 7:00 a.m. (8:00 a.m. Sunday morning). The City should also support any plan or proposal that maintains, and oppose any plan or project that proposes any significant change to, the existing level of general aviation operations, the current level of general aviation support facilities or the General Aviation Noise Ordinance. Finally, the City shall take all steps necessary to preserve or enhance the existing remote monitoring system (RMS) and public disclosure of RMS readings and information. The City, through the Aviation Committee, will also continuously evaluate means and methods by which JWA impacts can be minimized including the analysis of changes in airport procedures and aviation related technological advancements to determine if feasible alternatives exist. In the event the City identifies feasible alternatives that could reduce adverse airport impacts the City shall take all reasonable actions necessary to implement the alternative(s)." As noted, we believe that the technological updates to the Noise Monitoring Stations, while they result in a numeric change to the dB levels for the Stations (and therefore relate to the curfew but do not change its hours) are required under ANCA. This is part of the "all steps necessary' to protect the NMS system and to protect the Settlement Agreement itself Does this mean we can expect more noise as a result of this change? No. The flights' noise is unchanged. Further, in almost all cases, the NMS thresholds are not close to being met, regardless of the mic system. If anything, flights are getting slightly quieter over time as air carriers move to more fuel- efficient engines. The recommended actions, if approved, would authorize the execution of the Tenth Supplemental Stipulation (Attachment D) to the JWA Settlement Agreement to authorize these changes to the noise monitoring equipment and station limits, as well as making CEQA findings. The County Board of Supervisors, the AWG, and SPON will also have to approve the changes. SPON and AWG have done so, and the Board is set to do so this month. During the Study Session of September 8, 2015, staff from our third-party firm as well as from the County will be present to explain the changes and process, as well as to answer any questions the Council may have. NOTE: Attachment E, Appendix A to the 10th Amended Stipulation (Phase 2 Access Plan changes) is a very large document and is not included in the paper version of the staff report. A paper copy is available for viewing at the City Clerks Office. It can also be accessed from the City's website: www.newportbeachca.gov/Aviation Committee/Special Reports/Appendix A to the 10th Amended Stipulation. ENVIRONMENTAL REVIEW: The proposed project is not subject to CEQA since there is no possibility that theproject or activity to be carried out may have a significant effect on theenvironment. The proposed changes to maximum noise levels reflect minortechnical equipment differences between the current and new noise monitoringsystems. The use of the new equipment has no potential to cause anysignificant effect on the environment. NOTICING: The City's Aviation Committee meeting of August 6, 2015 was focused on this matter as well as another FAA action relating to NextGen and departure paths. The Committee heard a presentation by the County's consultant and asked questions about it (the consultant's presentation is Attachment C). This item was noticed according to the Brown Act. 15-4 ATTACHMENTS: Description Attachment A- Map of Noise Monitoring Stations Attachment B - Photo of Newport Beach Golf Course NMS w/old and new equipment Attachment C - Presentation made by the County to the NB Citizens Aviation Committee on August 6, 2015 Attachment D -Tenth Amended Stipulation Attachment E -Appendix A to the 10th Amended Stipulation (Phase 2 Access Plan Changes) 15-5 JOHN WAYNE AIRPORT ' Noise Monitoring Stations (NMS) N Location Map P lam 1-11001111111 0 1-2 IM Em Mow Tang PAN 58 u !, �. n Syr 1► .�� 'fit j S ol I ATTACHMENT C Side - By - Side Test Results John Wayne Airport August 2015 . . . ® Newrortraencx "I Nr ANCA 1990 Exhibit 7: Noise Monitoring Locations Aviation Planning at Me Leading Edge 15-9 JOHN WAYNE AIRPORT Noise Monitoring Stations (NMS) Location Map Is • SANTA ANA I � _ JONN WAYNE AIRVORT, COSTA MESA • '�.. E//�_.ORANGE COf/NI'Y , ©.� • 0 ,. IRVINE 5 © NENPONT 6EACN N e t • . • r. Exhibit 1: Noise Monitoring Locations %L3 Aviation Planning of Me Leading EGge 15-10 K . L An 1 Exhibit of Microphone Setup Sec. 2-1-30.4. Commercial airline operations. (a) No person may engage in commercial airline operations at John Wayne Airport if such aircraft generate a SENEL level at any of the following respective noise monitoring stations ("NMS"), averaged over each noise compliance period, which is greater than the following SENEL values for Class A aircraft when operating as a Class A operation and for Class E aircraft when operating as a Class E operation: Class A Class E NMS IS 101.8 dB 93.5 dB NMS 2S 101.1 dB 93.0 dB NMS 3S 100.7 dB 89.7 dB NMS 4S 94.1 dB 86.0 dB NMS 5S 94.6 dB 86.6 dB NMS 6S 96.1 dB 86.6 dB NMS 7S 93.0 dB 86.0 dB 2AVO 6MIJ Aviation P/arming a![he LeaG/ng ECge 15-12 Sec. 2-1-30.5. General aviation operations. (a) No person shall operate any general aviation aircraft at John Wayne Airport if it generates a SENEL level, as measured at John Wayne Airport NMS IS, NMS 2S, or NMS 3S, on takeoff or landing, which is greater than the following SENEL values: 1 NMS IS 101 .8 dB NMS 2S 101 . 1 dB NMS 3S 100.7 dB 4 viaden Planning at Me Leading Edge 15-13 (b) Curfew. (1 ) No person shall operate any general aviation aircraft at night at John Wayne Airport if it generates a SENEL level at any of the following respective noise monitoring stations, either on takeoff or landing, which is greater than the following SENEL values: NMS IS 86.8 dB NMS 2S 86.9 dB NMS 3S 86.0 dB NMS 4S 86.0 dB NMS SS 86.0 dB NMS 6S 86.0 dB NMS 7S 86.0 dB NMS 8N 86.0 dB NMS 9N 86.0 dB NMS ION 86.0 dB %L3 Aviation Planning of Me Leading EGge 15-14 3 Month Test At 4 Sites for Class A operations. ■ the typical margin available ranges from 3 dB to 12 dB_ Table 1 : The Margin Available Shown in dBA for Class E Noise Levels Aircraft is 'ti 35 45 5S (is 75 CR19 3 i 9 1 1 b. 3 6.2 CR17 5 ; 57 6C a 6.4 5737 700 1 ? 7.9 1 u 1.8 7 2 3.7 Source. Quarterly Report April 1 through June 30, 2014 Aviation Planning a![he Leading EEge 15-15 • • • fir- x teO pro i�� Cli rd•o,d Hypw-cardw Om"kocd"l Aviation Planning at the Leading Edge 15-16 Exhibit 2: Pistonphone and Coupler Used to Calibrate Hydrophone (top: calibrator and coupler. bottom: coupler disassembled) %fimlj Aviation Planning of Me Leading EGge 15-17 Table 2: Comparison of SENEL Values From Old and New Systems t,osting btNtL N"StNEL Site Aircraft Arrraft Class (energy averge) (energy averge) Count Change' 15 A306 A. `i62 968 42 9. 15 A308 A 97.9 98.6 16 0.7 15 A319 A 94.0 945 773 0.4 15 A320 A 93.6 94.0 504 04 15 A321 A 97.3 97.9 128 0.6 15 8734 A 97.0 97.5 10 0. 15 6737 A 6 E 92.1 925 4916 0.5 15 0738 A 97.7 982 1989 0. 15 8752 A 954 958 317 04 1S CRJ7 E 87.5 88.1 402 0. 15 CRJ9 E 903 90.7 242 0.3 75 A306 A 95.5 962 45 0. 2S A30B A 97.2 97.9 16 0. 25 A319 A 912 93.7 761 0. 2S A320 A 92.7 932 Q 2S A321 A 964 97.0 128 0. 5 8734 A 95.3 95.9 11) 0. 25 5737 A 8 E 91.2 91.7 5032 0 25 8738 A 962 967 2021 0. 2S 5752 A 94.5 95.0 317 0. CRR E 87.2 87.6 411 0 25 CRJ9 - 887 89.2 244 0.6 35 A306 - 93.9 94.1 42 9.3 5 A30B 952 95.6 16 0. 35 A319 A 92.7 93.1 769 0.3 3S A320 A 9T.4 917 519 0. 35 A321 A 953 95.6 125 0. 35 8734 A 96.8 972 it 0. 5 8737 A 8 E 908 91.1 5184 0.3 35 8736 A 96.3 96.6 2036 0. 35 8752 A 938 94.1 319 0. 3S CRJ7 E 86.4 87.0 428 0. 35 CRJ9 885 89.0 243 04 8N 4308 A 96.6 97.4 8 0 BN A319 4 91.6 923 379 0.7 BN A320 A 913 92.1 335 0. BN A321 A 925 93.3 53 0.6 BN 57M A 955 962 5 0. 8N 8737 A 6 E 926 931 '?641 0.7 BN 8738 A 93.6 94.3 1077 0.7 814 8752 A 942 95.0 170 0.8 BN CRJ7 E 88.5 88.8 227 0. BN CRJS E 38.8 893 115 0. A positive change means new SENEL measurement is louder than the existing measurement .x Largest ai0erence for Class A aircraft for sites 15.2S.and 35 .y Largest di0erence for Class E aircraft for sires 1S.2S.and 35 Aviation Planning at the LeaGing ECge 15-18 General Aviation Aircraft Note that the general aviation recommended changes were based on an analysis similar to the air carrier analysis described earlier. The results showed that for the general aviation aircraft the differences for the new monitors were 0.3; 017 0.3; and 0.4 for sites 1S, 2S, 3S, and 8N respectively. These numbers are very similar to the air carrier numbers. There may be some bias in the general aviation results as only a small fraction of general aviation operations trigger a noise event at the monitors. Thus the measurements reflect the results only for the Aviation P/arming at the Leading Edge 15-19 " Calibration Considerations " Microphone Considerations Electronic System Considerations Aviation Planning at the Leading Edge 15-20 It is important to remember that these increases do not represent an increase in the noise levels that will occur in the community. Rather. these increases in the noise limits are necessary to account for new microphones that are more sensitive than the old microphones. As discussed in detail above, these modifications are therefore necessary to maintain parity with the existing noise compliance limits at the Airport. Table 3: Recommended Adjustments, in dB. To The Phase 2 Access Plan SENEL Noise Limits Increase New Increase New Site in Class A Class A in Class E Class E Limit Limit Limit Limit is 0 7 102.5 0.6 94.1 2S 0.7 101.8 0.5 93.5 3S 0.4 101 .1 0.6 90.3 4S 07 94.8 0.6 86.6 5S 0.7 95.3 0.6 872 6S 0.7 96.8 0.6 87.2 7S 0.7 93.7 0.6 86.6 Mbff 15-21 Aviation P/arming a![he Leading Edge i Table 4: Recommended Adjustments, in dB, to the General Aviation Noise Ordinance Increase New Increase New Site in Daytime in Curfew Curfew Daytime Hours Hours Limit Limit Limit Limit is 1 0.7 102.5 0.7 87.5 2S 0.7 101 .8 0.7 87.6 3S 0.4 101 . 1 0.7 86.7 4S NA NA 0.7 86.7 5S NA NA 0.7 86.7 6S NA NA 0.7 86.7 7S NA NA 0.7 86.7 8N NA NA 0.9 86.9 9N NA NA 0.9 86.9 10N NA NA 0.9 86.9 rp %LAB Aviation Planning at the Leading Edge 15-22 Table 5: Summary of Estimations of Measurement Uncertainty om Av.r.9. om Sul 11e..A....9. n...8.4 A....1. aR.A Senn 0.. wn<v I, RWL 0.. .ur...l.irey DiB..n<e xd 0.. HFimbw*r 101 A306 93.9 IA as 96A 1.6 0.6 62 as 0.1 101 A30B 97.7 1.2 0.6 %A 1.3 0.6 16 0.7 02 am 101 A319 93.5 27 0.2 919 2.7 02 773 04 02 OAZ IN A320 93.2 22 0.2 936 2.3 02 501 OA OS Mw 101 A321 95.6 53 0.9 %2 5.3 0.9 128 06 02 0 1111 8731 %.9 as OA 974 0.6 05 10 as 61 Q 101 8737 91.1 31 0.1 91.6 30 01 4916 0.5 03 O01 101 8736 96.8 17 0.2 973 3.7 02 1918 as 03 Cal IN 8752 9L9 3D 0.3 952 3.1 G. 317 0.4 03 0 101 CM 86.8 2A 0.2 9]A 23 a 402 (17 03 101 CA19 1 699 L 0.3 902 L3 a 262 OA 03 0 102 A3% 94.0 52 1.5 94.7 5.1 15 46 117 0.3 0. 102 A306 97.0 12 0.6 97.7 L3 0.7 IS all 02 WN 102 A319 92.6 310 0.2 93.1 L9 OZ 761 0.5 0.4 OM 102 A32A 92.0 33 0.3 923 3.4 03 526 as 0.4 Mod 102 A311 94.2 6A 1.1 %9 60 LI 128 07 03 am 102 8734 95.3 as 0.2 959 as 0.2 10 as 0.1 102 8737 90.3 3A 0.1 %A 32 0.1 5032 as OA 0.01 102 8736 95.1 43 0.2 0.7 42 0.2 2021 as 03 102 8752 93.6 33 0.4 913 3A 0.4 317 as 0.3 Uld 102 CM 86.3 27 0.3 971 ZA 0.2 411 all 0.7 02 (A19 89.1 L] 0.3 88.7 LS 0.3 2" 0.6 03 aw 103 A306 93.6 16 0.5 93A L] 0.5 42 03 02 0 103 AM 95.1 Ol OA 953 09 OS 16 03 03 Q 103 A319 923 LO 0.1 92.6 2.1 0.1 70 03 03 0 103 k120 912 15 0.1 91A 16 0.1 519 0.2 OA Mowl 103 A321 94.1 19 0.7 %A 4.0 0.7 125 0.3 03 103 8734 %A 0.7 0.4 971 as as 11 04 03 0.1 103 8737 89.6 27 0.1 %.0 2.9 0.1 51" 112 03 OM 03 8738 95.6 3A 0.1 95.111 3.1 0.1 2036 0.2 03 am 103 8752 93.4 20 0.2 937 2.1 02 319 QI 03 0 103 CBJ7 86.1 L7 0.2 %2 16 0.2 428 0.6 03 0 03 CAA 00 20 03 883 20 03 243 as 03 1% A3% 932 5.6 22 94.6 5.8 23 26 Ol 03 0. 108 A3015 %A 13 0.9 872 L3 LO 8 0.8 0.1 am 108 A319 913 LO 0.1 922 1.0 0.1 379 07 02 0.02 108 A320 %l 51 0.3 911 11 0.3 335 0.7 0.5 am 108 A321 92.4 Li 0.3 93.1 1.1 0.3 53 0.8 0.1 OA 108 Vu 95.4 03 0.5 962 0.6 0.6 5 0.9 02 0. 108 Bi 3l 92.4 LS 0.1 93A 1-4 0.1 2641 0.7 0.4 002 108 873s "A U 0.1 9A.1 u 0.1 1017 0.7 03 ON 108 a?52 93.9 1-7 0.3 91.7 2.7 03 170 OB 03 ODA 108 CAP 0.1 L] 0.2 Us 15 0.2 227 as 07 al 108 r 02 all 0.2 03 0.9 0.2 115 05 03 Aviation P/arming a![he LeaG/ng ECge 15-23 Aviation Planning at[he Leading Edge 15-24 ATTACHMENT D 1 Leon J. Page, County Counsel (Bar No. 208587) Paul M. Albarian, Deputy County Counsel (Bar No. 232833) 2 palbariankocair.com County of Orange 3 P.O. Box 1379 Santa Ana, CA 92702-1379 4 Telephone: (949) 252-5280 Facsimile: (949) 252-5044 5 Attorneys for County of Orange 6 (See next page for additional counsel) 7 UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA 8 COUNTY OF ORANGE, ) Case No. CV 85-1542 TJH (MCx) 9 Plaintiffs, ) V. ) TENTH SUPPLEMENTAL 10 AIR CALIFORNIA, et al. ) STIPULATION BY THE COUNTY OF Respondents. ) ORANGE, CALIFORNIA, THE CITY 11 ) OF NEWPORT BEACH, STOP CITY OF NEWPORT BEACH, ) POLLUTING OUR NEWPORT, AND 12 Counterclaimant, ) THE AIRPORT WORKING GROUP V ) OF ORANGE COUNTY, INC., 13 COUNTY OF ORANGE; ORANGE ) AMENDING THE TERMS AND COUNTY BOARD OF SUPERVISORS, ) CONDITIONS OF THE PREVIOUS 14 and DOES 1 through 1,000, Inclusive, ) ST,I:PULATIONS OF THOSE PARTIES AND REQUESTING A 15 Counterdefendants. ) MODIFICATION OF AN EXECUTORY JUDGMENT OF THE 16 ) COURT 17 ) AND 18 ) [PROPOSED] ORDER AND RELATED COUNTERCLAIMS. ) 19 ) 20 21 STrPuLAT1oNAND[PRoposED] ORDER CASE No. CV85-1542 TJH(MCx) 15-25 I Lori D. Ballance (Bar No. 133469) lballance(r�gdandb.com 2 Gatzke Dillon & Ballance LLP 2762 Gateway Road 3 Carlsbad, California 92009 Telephone: (760) 431-9501 4 Facsimile: (760) 431-9512 5 Attorneys for County of Orange 6 Aaron C. Harp (Bar No. 190665) aharp(a,newportbeachca.gov 7 City Attorney 100 Civic Center Drive 8 Newport Beach, California 92660 Telephone: (949) 644-3131 9 Facsimile: (949) 644-3139 Attorneys for City of Newport Beach 10 Barbara Lichman (Bar No. 13 8469) 11 blichmangbuchalter.com Buchalter Nemer 12 18400 Von Karman Avenue, Suite 800 Irvine, California 92612 13 Telephone: (949) 224-6292 Facsimile: (949) 720-0182 14 Attorneys for Airport Working Group of Orange County, Inc. (AWG) 15 Steven M. Taber (Bar No. 250205) 16 staber(ataberlaw.com Taber Law Group PC 17 P.O. Box 60036 Irvine, California 92602 18 Telephone: (949) 735-8217 Facsimile: (714) 707-4282 19 Attorneys for Stop Polluting Our Newport (SPON) 20 21 STipmTIONAND[PROPOSED] ORDER CASE No. CV 85-1542 TJH(MCx) 15-26 I The County of Orange, California ("the County"), which is the certificated proprietor of 2 John Wayne Airport, Orange County (SNA) ("MA"), the City of Newport Beach, 3 California ("the City"), Stop Polluting Our Newport ("SPON"), and the Airport 4 Working Group of Orange County, Inc. ("AWG"), by their respective counsel, enter 5 into the following stipulation: 6 RECITALS 7 1. On December 15, 1985, this United States District Court entered a final 8 judgment ("the confirming judgment") in this action as between the County, the City, 9 SPON, and AWG (collectively, "the settling parties") based upon a stipulation executed 10 by their respective counsel and submitted to the Court in November 1985 ("the 1985 11 Stipulation'). 12 2. In addition to the settling parties, the Federal Aviation Administration 13 ("FAA"), and various other parties, including various certificated commercial airlines, 14 were also parties to this action. By a series of stipulations and a confirming order of 15 this Court entered in 1986, the remaining claims and issues in the action were 16 dismissed, without prejudice. 17 3. The 1985 Stipulation and the confirming judgment (which incorporated 18 the terms of the 1985 Stipulation) contain certain provisions that are executory and 19 binding upon, among others, the County, from the date of the Court's entry of the 20 confirming judgment through the original term of the settlement stipulation that 21 required it to remain in effect through December 31, 2005. 1 STipnAmNAND[PROPOSED] ORDER CASE NO. CV 85-1542 T H(MCx) 15-27 1 4. The term of the original settlement stipulation has been extended by the 2 settlement parties and modified by Court Order and Judgment. The term of the current 3 settlement stipulation requires the stipulation to remain in effect through December 31, 4 2030. 5 5. In 1997, a new noise monitoring system was installed at JWA to replace 6 the noise monitoring system that was originally installed at JWA in 1979. Based on the 7 results of a side-by-side comparison of noise levels as recorded by the new system and 8 the system installed at JWA in 1979 and recommendations from the County's noise 9 consultant, amendments were made to the 1985 Settlement Agreement in 1999 10 regarding permitted noise levels for regularly scheduled commercial operations. 11 Corresponding amendments were also made to the maximum permitted noise levels in 12 the Phase 2 Access Plan and the County's General Aviation Noise Ordinances 13 ("GANO"). The objective of the modifications to the maximum permitted noise levels 14 was to maintain parity with the existing noise compliance limits and to preserve 15 operational capacity at JWA as agreed to by the settling parties in the 1985 Stipulation, 16 as amended. 17 ADJUSTMENTS TO MAXIMUM PERMITTED NOISE LEVELS 18 6. In early 2015, a new noise monitoring system was installed at JWA to 19 replace the current noise monitoring system that was originally installed at JWA in 20 1997. A side-by-side comparison of the noise levels recorded by the new system and 21 the current system was conducted commencing March 1 through May 31, 2015. Based 2 STipnAmNAND[PRoposED] ORDER CASE No. CV 85-1542 1'.)H(MCx) 15-28 I on the results and the data collected through May 31, 2015, and recommendations from 2 the County's noise consultant, the parties wish to once again make appropriate 3 technical adjustments to the maximum pennitted noise levels as presently defined in the 4 amended Phase 2 Access Plan, effective October 1, 2015. The objective of these 5 modifications is to maintain parity with the existing noise compliance limits, to 6 preserve operational capacity of JWA as agreed to by the settling parties in the 1985 7 Stipulation (as amended) and to maintain the County's grandfathered status of its noise 8 and access restrictions under the Airport Noise and Capacity Act of 1990, commonly 9 known as ANCA. The proposed technical adjustments do not result in an increase in 10 actual noise levels at JWA beyond that contemplated by the parties at the time of 11 execution of the 1985 Stipulation and any amendments to the 1985 Stipulation. 12 7. Based upon an analysis of the side-by-side noise data, the maximum 13 permitted noise levels would have to be modified for Class A and Class E Aircraft at 14 noise monitoring stations ("NMS") 1S, 2S, 3S, 4S, 5S, 6S, and 7S. The existing 15 sections of the Phase 2 Access Plan which regulate noise levels for scheduled 16 commercial operations are Sections 2.11 (Class A Aircraft) and 2.12 (Class E Aircraft). 17 Those sections of the Phase 2 Access Plan are set forth in Appendix A to this 18 Stipulation, which is incorporated by this reference and made an express part of this 19 document. 20 8. The parties have agreed to allow the County to amend the relevant sections 21 of the Phase 2 Access Plan (those sections quoted above) to modify the maximum 3 STipnAmNAND[PRoposED] ORDER CASE No. CV 85-1542 1'.)H(MCx) 15-29 I permitted noise levels for regularly scheduled commercial airline operations at JWA as 2 follows, effective October 1, 2015: 3 Class A Aircraft 4 To maintain parity with the existing noise compliance limits and to preserve 5 existing operational capacity and ANCA grandfathered status at JWA, the maximum 6 permitted noise levels, as measured at the Departure Monitoring Stations, must be 7 modified from 101.8 to 102.5 dB SENEL at NMS 1S, from 101.1 to 101.8 dB SENEL 8 at NMS 2S, from 100.7 to 10 1.1 dB SENEL at NMS 3S, from 94.1 to 94.8 dB SENEL 9 at NMS 4S, from 94.6 to 95.3 SENEL at NMS 5S, from 96.1 to 96.8 dB SENEL at 10 NMS 6S, and from 93.0 to 93.7 dB SENEL at NMS 7S. 11 Class E Aircraft 12 In order to maintain parity with the existing noise compliance limits and to 13 preserve existing operational capacity and ANCA grandfathered status at JWA, the 14 maximum permitted noise levels must be modified from 93.5 to 94.1 dB SENEL at 15 NMS IS, from 93.0 to 93.5 dB SENEL at NMS 2S, from 89.7 to 90.3 dB SENEL at 16 NMS 3S, from 86.0 to 86.6 dB SENEL at NMS 4S, from 86.6 to 87.2 dB SENEL at 17 NMS 5S, from 86.6 to 87.2 at NMS 6S and from 86.0 to 86.6 at NMS 7S. 18 19 20 21 4 STIPULATtoNAND[PROPOSED] ORDER CASE NO. CV 85-1542 T H(MCx) 15-30 I IN LIGHT OF THESE CIRCUMSTANCES AND RECITALS, THE PARTIES TO THIS STIPULATION AGREE AS FOLLOWS: 2 AGREEMENT 3 Subject to the approval of the Court: 4 10. The noise level limitations and aircraft noise class definitions of the 1985 5 Stipulation, the confirming judgment, and the Phase 2 Access Plan, as modified by 6 subsequent amendments, shall be further modified as set forth in "Appendix A" to this 7 stipulation which is incorporated by this reference and made an express part of this 8 document, effective October 11 2015. 9 11. This agreement is subject to the following limitations: (a) provisions of the 10 1985 Stipulation and the confirming judgment, as amended, other than those provisions 11 directly related to the permitted noise levels for regularly scheduled commercial airline 12 operations at 7WA shall continue to remain in effect and enforceable by the stipulating 13 parties; and (b) nothing in this stipulation obligates any of the settling parties to enter 14 into or agree to any further stipulations modifying the 1985 Stipulation, or the 15 confirming judgment. 16 17 18 19 20 21 5 STipnAmNAND[PROPOSED] ORDER CASE NO. CV 85-1542 T H(MCx) 15-31 1 Attorneys for Plaintiff and Counterdefendants, the County of Orange and the Orange County Board of 2 Supervisors 3 Leon J. Page 4 County Counsel, County of Orange 5 Dated: By: 6 Paul M. Albarian Deputy County Counsel 7 Lori D. Ballance 8 Danielle K. Morone 9 Dated.: By: 10 Lori D. Ballance Attorneys for Defendant, Counterclaimant and 11 Crossdefendant, the City of Newport Beach 12 Aaron C. Harp 13 City Attorney of Newport Beach 14 Dated: By: 15 Aaron C. Harp 16 Attorneys for Defendant, Counterclaimant and 17 Crossdefendant, Stop Polluting Our Newport (SPON) 18 Dated: Steven M. Taber 19 20 By: Steven M. Taber 21 6 STIPUL mNAND[PROPOSED] ORDER CASE No. CV 85-1542 T H(MCx) 15-32 1 Attorneys for Defendant, Counterclaimant and Crossdefendant, Airport Working Group (AWG) 2 Dated: Barbara E. Lichman 3 4 By: Barbara E. Licbman 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 7 STIPUL mNAND[PROPOSED] ORDER CASE No. CV 85-1542 1'.)H(MCx) 15-33 I ORDER 2 By the stipulation of parties, IT IS SO ORDERED. 3 Dated: By: 4 The Honorable Terry J. Hatter, Jr. United States District Judge 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 8 SnpmmoNAND[Pwposm] ORDER CAsE No. CV 85-1542 TJH(MCx) 15-34 I CERTIFICATE OF SERVICE 2 The undersigned, counsel for COUNTY OF ORANGE, hereby certifies that a true and 3 correct copy of the attached document was made available for viewing and 4 downloading through the CM-ECF (Electronic Case Filing) system to all counsel of 5 record who are registered to receive a Notice of Electronic Filing for this case. 6 Executed on September 2015 7 Lori D. Ballance 8 9 10 11 12 13 14 15 16 17 18 19 20 21 9 STIPULATIONAND[PROPOSED] ORDER CASE No. CF 85-1542 T H(MCx) 15-35 ATTACHMENT E APPENDIX A PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (October 1, 1990 — December 31, 2030) JOHN WAYNE AIRPORT AMENDEDTHROUGH '111c421OCTOBER1,2015 PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION OCTOBER 1, 1990- DECEMBER 31, 2030) ALS]I101ktkvll •d►1WR1N01:71Y (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) TABLE OF CONTENTS (PLAN TEXT) TABLE OF CONTENTS Page(s) SECTION 1 GENERAL PROVISIONS............................................................................... 1-1 1.1 AUTHORITY.......................................................................................................... 1-1 1.2 SHORT TITLE........................................................................................................ 1-2 1.3 CONSIDERATION OF PUBLIC UTILITIES CODE §§21690.5 - 21690.9 ...................... 1-2 1.4 TERM.................................................................................................................... 1-4 1.5 GENERAL LIMITATIONS AND QUALIFICATIONS..................................................... 1-4 1.6 RELATIONSHIP TO OPERATING AGREEMENTS AND LEASES ................................... 1-5 1.7 AMENDMENTS, TERMINATION OR SUSPENSION..................................................... 1-5 1.8 ACCEPTANCE OF THE TERMS OF THIS PLAN.......................................................... 1-6 1.9 ACCEPTANCE OF AMENDMENTS TO THIS PLAN ..................................................... 1-6 1.10 INCONSISTENCY OR CONFLICT.............................................................................. 1-6 1.11 PARTIAL INVALIDITY............................................................................................ 1-7 1.12 NO WAIVER OR CREATION OF IMPLIED POLICY OF ENFORCEMENT ....................... 1-7 1.13 NON -EXCLUSIVITY OF SANCTIONS, PENALTIES, AND REMEDIES ........................... 1-7 1.14 COMPUTATION OF TIME........................................................................................ 1-7 1.15 FORMAT AND REFERENCES................................................................................... 1-8 SECTION 2 DEFINITIONS................................................................................................... 2-1 2.1 ADD.................................................................................................................... 2-1 2.2 AFFILIATE............................................................................................................. 2-2 JOHN WAYNE AIRPORT (As Amended Through "ty 24 , 2015) PHASE 2 ACCESS PLAN Page i TABLE OF CONTENTS (Continued) Page(s) 2.3 AIRPORT COMMISSION......................................................................................... 2-3 2.4 AIRPORT DIRECTOR............................................................................................. 2-3 2.5 ALLOCATED SEAT CAPACITY............................................................................... 2-3 2.6 ASSOCIATED OPERATING GROUP......................................................................... 2-3 2.7 AUTHORIZED DEPARTURE.................................................................................... 2-4 2.8 BOARD OF SUPERVISORS...................................................................................... 2-4 2.9 CLASS A ADD - CLASS A DEPARTURE............................................................... 2-4 2.10 CLASS E ADD - CLASS E DEPARTURE................................................................ 2-5 2.11 CLASS A AIRCRAFT.............................................................................................. 2-5 2.12 CLASS E AIRCRAFT.............................................................................................. 2-6 2.13 COMMERCIAL AIR CARRIER................................................................................. 2-8 2.14 COMMERCIAL CARGO.......................................................................................... 2-8 2.15 COMMERCIAL CARGO CARRIER........................................................................... 2-8 2.16 COMMERCIAL CARGO CARRIER GROUND OPERATIONS POSITIONS ...................... 2-8 2.17 COMMERCIAL PASSENGER................................................................................. 2-4 2.18 COMMUTER AIR CARRIER................................................................................ 2-90 2.19 COMMUTER CARGO CARRIER............................................................................ 2-10 2.20 COUNTY............................................................................................................. 2-10 2.21 CRITERION MONITORING STATIONS............................................................... 2-4-00 2.22 dB SENEL......................................................................................................... 2-11 2.23 GROUND SERVICE EQUIPMENT........................................................................... 2-11 (As Amended Through JAy 24 ctober 1, 2015) JOHN WAYNE AIRPORT Page ii PHASE 2 ACCESS PLAN TABLE OF CONTENTS (Continued) Page(s) 2.24 GROUND SERVICE EQUIPMENT STORAGE AREAS ................................................ 2-11 2.25 JWA...............................................................................................................2-440 2.26 MAP LIMITATION............................................................................................... 2-12 2.27 MAXIMUM PERMITTED GROSS TAKEOFF WEIGHT .............................................. 2-13 2.28 MAXIMUM PERMITTED GROUND OPERATIONS WEIGHT ................................. 2-4414 2.29 NOISE COMPLIANCE PERIOD........................................................................... 2-4414 2.30 NOISE MONITORING STATIONS....................................................................... 2-4-311 2.31 PASSENGER CAPACITY....................................................................................... 2-14 2.32 PASSENGER SEAT............................................................................................... 2-14 2.33 PERMITTED CARGO OPERATIONS HOURS............................................................ 2-14 2.34 PERMITTED COMMERCIAL OPERATIONS HOURS ................................................. 2-15 2.35 PLAN YEAR........................................................................................................ 2-16 2.36 QUALIFIED AIR CARRIER.................................................................................... 2-17 2.37 QUALIFIED COMMUTER CARRIER....................................................................... 2-17 2.38 REGULAR ADDS................................................................................................ 2-17 2.39 REGULARLY SCHEDULED AIR SERVICE.............................................................. 2-17 2.40 REGULARLY SCHEDULED COMMERCIAL USER ............................................... 2-4-70 2.41 REGULATED ADDS.............................................................................................2-18 2.42 REGULATED ADD LIMITATION........................................................................... 2-18 2.43 RON...................................................................................................................2-19 JOHN WAYNE AIRPORT (As Amended Through "October , 2015) PHASE 2 ACCESS PLAN Page iii TABLE OF CONTENTS (Continued) Page(s) 2.44 SCHEDULED DEPARTURE TIME...................................................................... 2-4-90 2.45 SEAT BLOCK...................................................................................................... 2-20 2.46 SEAT CAPACITY ................................................................................................. 2-20 2.47 SUPPLEMENTAL ALLOCATION PERIOD............................................................... 2-20 SECTION 3 REGULAR ALLOCATIONS .......................................................................... 3-1 3.1 "REGULAR" COMMERCIAL AIR CARRIER ADD ALLOCATIONS ............................ 3-3 3.1.1 CLASS A ADDS........................................................................ 3-3 3.1.2 CLASS E ADDS AND PERMANENT REGULAR CLASS E ADDS... 3-4 3.1.3 VOLUNTARY REDUCTION OF ADD ALLOCATION ...................... 3-6 3.1.4 AIR CARRIER ADD SET ASIDE FOR COMMERCIAL OPERATIONS TO INTERNATIONAL DESTINATIONS ...................... 3-6 3.2 USE OF ALLOCATED ADDS.................................................................................. 3-7 3.3 AIR CARRIER SEAT CAPACITY ALLOCATIONS...................................................... 3-7 3.3.1 ANNUAL SEAT CAPACITY ALLOCATIONS .................................. 3-7 3.3.2 REQUIREMENT OF ANNUAL SEAT CAPACITY RATIFICATION...... 3-9 3.3.3 UTILIZATION OF SEAT CAPACITY ALLOCATIONS ..................... 3-10 3.3.4 NO SEAT CAPACITY CARRYFORWARDS .................................. 3-11 3.3.5 VOLUNTARY REDUCTION OF SEAT CAPACITY ALLOCATION ... 3-11 3.3.6 ALLOCATIONS OF ADDS AND SEAT CAPACITY TO NEW ENTRANT AIRLINES IN SUPPORT OF THE FORMATION OF ASSOCIATED OPERATING GROUPS .......................................... 3-12 3.4 CLASS E DEPARTURES ....................................................................................... 3-13 3.4.1 PERMANENT CLASS E OPERATIONS BY AIR CARRIERS............ 3-13 3.4.2 CLASS E OPERATIONS BY AIR CARRIERS ................................ 3-14 3.4.3 REQUEST FOR CLASS E OPERATIONS APPROVAL ..................... 3-15 3.4.4 REQUEST FOR COMMUTER AFFILIATE CLASS E OPERATIONS........................................................................... 3-15 3.5 COMMUTER CARRIER PASSENGER CAPACITY ALLOCATIONS ............................. 3-16 3.5.1 PASSENGER CAPACITY SET ASIDE FOR COMMUTER AIRLINES.................................................................................. 3-17 (As Amended Through dA31 ctober 1, 2015) JOHN WAYNE AIRPORT Page iv PHASE 2 ACCESS PLAN TABLE OF CONTENTS (Continued) Page(s) 3.10 ASSOCIATED OPERATING GROUP COMPLIANCE WITH OTHER ALLOCATION PROVISIONS OF THE PLAN............................................................. 3.5.2 COMMUTER PASSENGER CAPACITY ALLOCATION 3-33 3.10.2 ALLOCATIONS OF SUPPLEMENTAL OPERATING CAPACITY ........ 3-35 PROCEDURES............................................................................. 3-18 3.5.3 COMMUTER CARRIER ALLOCATION PRIORITIES ........................ 3-19 3.5.4 VOLUNTARY REDUCTION OF PASSENGER CAPACITY ALLOCATION............................................................................. 3-20 3.5.5 ALLOCATION OF PASSENGER CAPACITY TO AFFILIATED COMMUTER CARRIERS OR COMMUTER CARRIER MEMBERS OF AN ASSOCIATED OPERATING GROUP .................................... 3-21 3.6 ALLOCATION OF CLASS E ADDS TO COMMUTER AND COMMERCIAL CARGO CARRIERS ............................................................................................... 3-21 3.6.1 COUNTY POLICY CONSIDERATIONS ........................................... 3-21 3.6.2 COMMERCIAL CARGO OPERATIONS .......................................... 3-23 3.6.3 LIMITATIONS AND CONDITIONS ON COMMERCIAL CARGO OPERATIONS................................................................. 3-25 3.7 WAITING LIST PROCEDURES............................................................................... 3-27 3.7.1 COMMERCIAL AIR CARRIERS .................................................... 3-27 3.7.2 COMMUTER AIR CARRIERS....................................................... 3-27 3.8 OPERATIONS REPORTING REQUIREMENTS.......................................................... 3-27 3.8.1 CARRIER OPERATIONS PROJECTION FORMS .............................. 3-27 3.8.2 OPERATIONS PROJECTION FORM AMENDMENTS ....................... 3-28 3.8.3 DAILY OPERATIONS REPORTS ................................................... 3-29 3.8.4 CORRECTIVE ACTION REPORTS ................................................. 3-29 3.9 OPERATIONS BY ASSOCIATED OPERATING GROUPS ............................................ 3-30 3.9.1 FORMATION OF ASSOCIATED OPERATING GROUPS .................... 3-31 3.9.2 AIR CARRIER OPERATIONS UNDER ASSOCIATED OPERATING GROUPS - REGULAR ADDS AND ASSOCIATED SECTION 3.3.2 SEAT CAPACITY ................................................. 3-33 3.9.3 LIMITATIONS ON TOTAL OPERATING CAPACITY AVAILABLE FOR USE BY ANY ASSOCIATED OPERATING GROUP................................................................... 3-32 3.10 ASSOCIATED OPERATING GROUP COMPLIANCE WITH OTHER ALLOCATION PROVISIONS OF THE PLAN............................................................. 3-33 3.10.1 RON ALLOCATIONS.................................................................. 3-33 3.10.2 ALLOCATIONS OF SUPPLEMENTAL OPERATING CAPACITY ........ 3-35 3.10.3 REALLOCATIONS OF REGULAR ADDS ....................................... 3-35 JOHN WAYNE AIRPORT (As Amended Through "ty 24 , 2015) PHASE 2 ACCESS PLAN Page v TABLE OF CONTENTS (Continued) Page(s) 3.10.4 EFFECT OF FORMATION OF ASSOCIATED OPERATING GROUP ON WITHDRAWAL PRIORITIES UNDER SECTION 6 OF THE PLAN........................................................... 3-36 SECTION 4 SUPPLEMENTAL ALLOCATIONS............................................................. 4-1 4.1 COUNTY POLICY AND DISCRETION....................................................................... 4-1 4.2 SUPPLEMENTAL ALLOCATIONS OF CLASS A AND CLASS E DEPARTURES ............. 4-1 4.2.1 AIRPORT DIRECTOR RECOMMENDATIONS ............................... 4-1 4.2.2 SUPPLEMENTAL DEPARTURE ALLOCATION REQUESTS ............ 4-2 4.2.3 SUPPLEMENTAL DEPARTURE ALLOCATION PRIORITIES ........... 4-2 4.2.4 SUPPLEMENTAL DEPARTURE SEAT CAPACITY LIMITATIONS.... 4-3 4.3 SUPPLEMENTAL SEAT CAPACITY ALLOCATIONS TO AIR CARRIERS ...................... 4-3 4.3.1 AIRPORT DIRECTOR RECOMMENDATIONS ............................... 4-3 4.3.2 SUPPLEMENTAL SEAT CAPACITY ALLOCATION REQUESTS ...... 4-4 4.3.3 SUPPLEMENTAL SEAT CAPACITY ALLOCATION PRIORITIES ..... 4-4 4.4 SUPPLEMENTAL PASSENGER CAPACITY ALLOCATIONS TO COMMUTER CARRIERS............................................................................................................. 4-4 4.4.1 AIRPORT DIRECTOR RECOMMENDATIONS ............................... 4-5 4.4.2 SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION REQUESTS................................................................................ 4-5 4.4.3 SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION PRIORITIES............................................................................... 4-5 4.5 CONDITIONS ON SUPPLEMENTAL ALLOCATIONS .................................................. 4-6 4.5.1 BOARD OF SUPERVISORS CONDITIONS ..................................... 4-6 4.5.2 AIRPORT DIRECTOR CONDITIONS ............................................ 4-6 4.5.3 AIR CARRIER LIMITS............................................................... 4-6 4.5.4 COMMUTER CARRIER LIMITS ................................................... 4-6 4.5.5 NO CAPACITY CARRYFORWARDS ............................................ 4-7 4.5.6 CLASS E DEPARTURES TO COMMUTER CARRIER AFFILIATES.. 4-7 4.6 REPORTING OBLIGATIONS AS A CONDITION TO ANY SUPPLEMENTAL ALLOCATION........................................................................................................ 4-7 4.7 COMPLIANCE WITH MAP LIMITATION AND REGULATED ADD LIMITATION......... 4-8 (As Amended Through dA31 October 1, 2015) JOHN WAYNE AIRPORT Page vi PHASE 2 ACCESS PLAN TABLE OF CONTENTS (Continued) Page(s) SECTION 5 RON ALLOCATIONS...................................................................................... 5-1 5.1 AIR CARRIER RON LIMITATIONS.......................................................................... 5-1 5.1.1 LIMIT ON NUMBER OF RON AIRCRAFT ...................................... 5-1 5.1.2 RON ALLOCATION REQUIRED ................................................... 5-1 5.1.3 PROHIBITION AGAINST EXCESS RON AIRCRAFT ....................... 5-1 5.1.4 USE OF SPECIFIC RON POSITION REQUIRED .............................. 5-2 5.1.5 USE OF AIR CARRIER APRON MANDATORY ............................... 5-2 5.2 AIR CARRIER RON ALLOCATION REQUESTS........................................................ 5-2 5.2.1 TIMELY RON REQUEST FORM REQUIRED .................................. 5-2 5.2.2 AMENDED RON REQUEST FORM ............................................... 5-2 5.3 RON ALLOCATION PROCEDURES......................................................................... 5-3 5.4 "TIE -BREAKING" RON ALLOCATION PROCEDURES .............................................. 5-5 5.5 AIR CARRIER RON WAITING LIST........................................................................ 5-5 5.6 COMMUTER CARRIER RON LIMITATIONS............................................................. 5-6 5.6.1 LIMIT ON NUMBER OF RON AIRCRAFT ...................................... 5-6 5.6.2 RON ALLOCATION REQUIRED ................................................... 5-6 5.6.3 PROHIBITION AGAINST EXCESS RON AIRCRAFT ....................... 5-7 5.6.4 USE OF SPECIFIC RON POSITION REQUIRED .............................. 5-7 5.6.5 USE OF AIR CARRIER APRON MANDATORY ............................... 5-7 5.7 COMMUTER CARRIER RON ALLOCATION REQUESTS ........................................... 5-7 5.8 COMMUTER CARRIER RON ALLOCATION PROCEDURES ....................................... 5-8 5.9 COMMUTER CARRIER RON WAITING LIST........................................................... 5-8 5.10 NOTIFICATION TO CARRIERS................................................................................. 5-8 5.11 VOLUNTARY ABANDONMENT OF RON ALLOCATION ........................................... 5-8 5.12 SUPPLEMENTAL COMMUTER CARRIER RON POSITIONS ....................................... 5-9 5.12.1 WRITTEN AUTHORIZATION REQUIRED ....................................... 5-9 5.12.2 COMMUTER CARRIER SUPPLEMENTAL RON POSITION REQUESTS.................................................................................. 5-9 JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page vii TABLE OF CONTENTS (Continued) Page(s) 5.12.3 AIRPORT DIRECTOR AUTHORIZATION ..................................... 5-10 5.12.4 USE OF AUTHORIZED RON POSITION MANDATORY ................ 5-10 5.12.5 PROHIBITION AGAINST LARGE AIRCRAFT RON...................... 5-10 SECTION 6 CAPACITY WITHDRAWALS....................................................................... 6-1 6.1 GENERAL WITHDRAWAL AUTHORITY 6-1 6.2 WITHDRAWAL PROCEDURES................................................................................ 6-1 6.2.1 MONITORING OF REGULATED DEPARTURES AND PASSENGERS............................................................................. 6-1 6.2.2 RECOMMENDATIONS FOR CAPACITY WITHDRAWAL ................. 6-2 6.2.3 WITHDRAWAL PRIORITIES AND POLICIES .................................. 6-2 6.3 AIR CARRIER CAPACITY WITHDRAWALS............................................................. 6-3 6.3.1 SEAT BLOCKS........................................................................... 6-4 6.3.2 SUPPLEMENTAL DEPARTURES ................................................... 6-4 6.3.3 REGULATED ADDS................................................................... 6-5 6.4 COMMUTER CARRIER CAPACITY WITHDRAWAL 6-5 6.5 NOTICE TO AFFECTED COMMERCIAL OPERATORS ................................................ 6-6 6.6 COMMERCIAL OPERATOR ADJUSTMENT PLAN ..................................................... 6-6 SECTION 7 DISQUALIFICATION AND REALLOCATIONS ....................................... 7-1 7.1 DISQUALIFICATION OF REGULARLY SCHEDULED COMMERCIAL USER(S)............. 7-1 7.1.1 BREACH OF AGREEMENT........................................................... 7-1 7.1.2 VIOLATION OF RULE, REGULATION OR ORDINANCE .................. 7-1 7.1.3 LOSS OF OPERATIONAL CAPACITY ............................................ 7-1 7.1.4 CESSATION OF OPERATIONS...................................................... 7-2 7.2 DISQUALIFIED OPERATORS.................................................................................. 7-2 7.2.1 TERMINATION OF OPERATIONS CAPACITY ALLOCATIONS ......... 7-2 7.2.2 NOTICE TO DISQUALIFIED OPERATOR ....................................... 7-2 7.2.3 DUTY TO TERMINATE OPERATIONS ........................................... 7-3 7.3 REALLOCATION OF DISQUALIFIED CARRIER'S OPERATING PRIVILEGES ............... 7-3 7.3.1 REAFFIRMATION OF REALLOCATION AUTHORITY ...................... 7-3 (As Amended Through dA31 ctober 1, 2015) JOHN WAYNE AIRPORT Page viii PHASE 2 ACCESS PLAN TABLE OF CONTENTS (Continued) Page(s) 7.3.2 REALLOCATION PRIORITIES - POTENTIAL NEW ENTRANT JOHN WAYNE AIRPORT (As Amended Through "ty 24 , 2015) PHASE 2 ACCESS PLAN Page ix CARRIER.................................................................................... 7-4 7.3.3 REALLOCATION PRIORITIES - INCUMBENT OPERATORS ............. 7-5 7.3.4 DETERMINATION OF AIR CARRIER "REALLOCATION ORDER".... 7-6 7.3.5 AIRPORT DIRECTOR RECOMMENDATIONS .................................. 7-8 7.4 EFFECT OF REALLOCATION ON CAPACITY WITHDRAWAL PRIORITIES ................... 7-8 7.4.1 COMMUTER CARRIERS............................................................... 7-8 7.4.2 AIR CARRIERS........................................................................... 7-9 7.4.3 PRESUMED AIR CARRIER WITHDRAWAL PRIORITY ADJUSTMENTS........................................................................... 7-9 SECTION 8 PENALTIES AND PROHIBITIONS.............................................................. 8-1 8.1 GENERAL PROHIBITIONS ....................................................................................... 8-1 8.1.1 REGULARLY SCHEDULED AIR SERVICE ..................................... 8-1 8.1.2 COMMERCIAL AIR CARRIERS - ADDS REQUIRED ..................... 8-1 8.1.3 COMMUTER CARRIERS- PASSENGER CAPACITY ALLOCATION REQUIRED............................................................ 8-2 8.1.4 NO SIMULTANEOUS OPERATIONS IN TWO OR MORE USER CATEGORIES............................................................................... 8-2 8.1.5 REPORTING REQUIREMENTS AS A CONDITION OF OPERATION.... 8-2 8.1.6 NO ASSISTANCE IN VIOLATION OF THE PLAN ............................. 8-2 8.1.7 USE OF AIR TERMINAL FOR PASSENGERS OR BAGGAGE REQUIRED.................................................................................. 8-3 8.2 AFFILIATE OPERATIONS - PROHIBITION................................................................ 8-3 8.2.1 OPERATIONS BY AFFILIATED CARRIERS - PERMITTED EXCEPTION................................................................................ 8-4 8.2.2 DESIGNATION OF AUTHORIZED AFFILIATED OPERATORS ATJWA..................................................................................... 8-4 8.2.3 FORMATION OF AFFILIATE RELATIONSHIP DURING APLAN YEAR............................................................................ 8-4 8.2.4 NOTICE OF FORMATION OF AFFILIATE RELATIONSHIP ................ 8-5 8.3 SPECIFIC OPERATIONS PROHIBITIONS................................................................... 8-5 8.3.1 EXCESS REGULATED OPERATIONS ............................................. 8-6 8.3.2 OPERATIONS RESULTING IN EXCESS USE OF SEAT CAPACITY.... 8-6 8.3.3 OPERATIONS RESULTING IN EXCESS USE OF PASSENGER JOHN WAYNE AIRPORT (As Amended Through "ty 24 , 2015) PHASE 2 ACCESS PLAN Page ix TABLE OF CONTENTS (Continued) CAPACITY ALLOCATIONS..................................................... 8.3.4 OPERATIONS WITH UNQUALIFIED AIRCRAFT ........................ 8.3.5 MAXIMUM CALENDAR QUARTER PRORATA OPERATIONS LEVELS................................................................................ 8.3.6 MINIMUM MONTHLY, QUARTERLY AND PLAN YEAR OPERATIONS LEVELS - AIR CARRIERS ................................. 8.3.7 MINIMUM MONTHLY, QUARTERLY AND PLAN YEAR OPERATIONS LEVELS - COMMUTER CARRIERS .................... 8.3.8 REQUEST FOR MODIFICATION OF MINIMUM/MAXIMUM USE PERCENTAGES...................................................................... 8.3.9 MINIMUM UTILIZATION OF RON ALLOCATION AND SCHEDULED DEPARTURE TIMES ........................................... 8.4 PROHIBITIONS AGAINST EXCESS NOISE......................................................... 8.4.1 AIR CARRIERS..................................................................... 8.4.2 COMMUTER CARRIERS........................................................ 8.5 OTHER PROHIBITIONS AND REQUIREMENTS ......................................... 8.5.1 AIRCRAFT WEIGHTS .................................................. 8.5.2 PERMITTED COMMERCIAL AND CARGO OPERATIONS HOURS...................................................................... 8.5.3 SCHEDULED DEPARTURE TIMES ................................ 8.5.4 USE OF LOADING BRIDGES MANDATORY .................. 8.5.5 UNEXECUTED OR INCOMPLETE FORMS ...................... 8.6 PENALTIES - REPORTING REQUIREMENTS .......................................... 8.6.1 MANDATORY REPORTS ........................................... 8.6.2 DISCRETIONARY REPORTS ...................................... 8.6.3 UNEXECUTED OR INCOMPLETE FORMS - EFFECT OF NON-COMPLIANCE .................................................. 8.7 PENALTIES - UNDER -UTILIZATION OF OPERATIONS CAPACITY ........... 8.7.1 UNDER -UTILIZATION OF RON ALLOCATIONS AND VIOLATION OF SCHEDULED DEPARTURE TIMES ....... 8.7.2 UNDER -UTILIZATION OF AUTHORIZED DEPARTURES OR SEAT CAPACITY .................................................. 8.7.3 UNDER -UTILIZATION OF PASSENGER CAPACITY ALLOCATIONS.......................................................... 8.8 PENALTIES - EXCESS UTILIZATION OF OPERATIONS CAPACITY ..................... 8.8.1 COMMERCIAL AIR CARRIERS .............................................. Page(s) ..... 8-6 ..... 8-7 ..... 8-7 8-8 ..... 8-9 ..... 8-9 ... 8-10 8-11 8-11 8-11 8-11 8-11 ... 8-12 ... 8-13 ... 8-14 ... 8-14 ... 8-14 ... 8-14 ... 8-16 ... 8-16 ... 8-17 ... 8-17 ... 8-18 ... 8-19 ... 8-20 ... 8-20 (As Amended Through JAy 24M tuber 1, 2015) JOHN WAYNE AIRPORT Page x PHASE 2 ACCESS PLAN TABLE OF CONTENTS (Continued) Page(s) 8.8.2 COMMUTER CARRIERS............................................................. 8-20 8.9 PENALTIES- NOISE LEVEL VIOLATIONS............................................................. 8-21 8.9.1 DISQUALIFICATION OF AIRCRAFT TYPE ................................... 8-21 8.9.2 EFFECT OF DISQUALIFICATION ON CONTINUED .1WA SERVICE................................................................................... 8-21 8.9.3 REQUALIFICATION OF DISQUALIFIED AIRCRAFT ....................... 8-21 8.9.4 OPERATIONS OUTSIDE OF THE PERMITTED COMMERCIAL OPERATIONS HOURS................................................................ 8-22 8.9.5 MONETARY PENALTIES............................................................ 8-23 8.9.6 OPERATIONS OUTSIDE OF THE PERMITTED CARGO OPERATIONS HOURS................................................................ 8-23 8.10 PENALTIES -OTHER VIOLATIONS....................................................................... 8-24 8.10.1 RON PROHIBITIONS................................................................. 8-24 8.10.2 CONDUCTING CLASS E OPERATIONS WITHOUT PRIOR APPROVAL............................................................................... 8-25 8.10.3 OPERATIONS WITH UNQUALIFIED AIRCRAFT ............................ 8-25 8.10.4 VIOLATION OF ALLOCATION CONDITIONS ................................ 8-26 8.10.5 FAILURE TO FILE ADJUSTMENT PLAN ...................................... 8-26 8.10.6 FAILURE TO FILE NOTICE OF AFFILIATION ............................... 8-26 8.10.7 FAILURE TO TERMINATE.......................................................... 8-27 8.10.8 FAILURE TO FILE REVISED DEPARTURE PROCEDURES ............. 8-27 8.10.9 OTHER VIOLATIONS................................................................. 8-27 8.11 NOTICE TO PENALIZED OPERATORS.................................................................... 8-27 8.12 CUMULATIVE SANCTIONS OR PENALTIES............................................................ 8-27 8.13 PAYMENT OF MONETARY PENALTIES................................................................. 8-28 8.14 ENFORCEMENT AND SANCTIONS IN RESPECT OF OPERATIONS BY MEMBERS OF AN AUTHORIZED ASSOCIATED OPERATING GROUP ....................... 8-28 SECTION 9 REVIEW OF SANCTIONS.............................................................................. 9-1 9.1 APPEAL OF PENALTY OR SANCTION...................................................................... 9-1 9.2 COUNTY POLICY................................................................................................... 9-1 JOHN WAYNE AIRPORT (As Amended Through "ty 24 , 2015) PHASE 2 ACCESS PLAN Page xi TABLE OF CONTENTS (Continued) Page(s) 9.3 REQUEST FOR REVIEW......................................................................................... 9-1 9.3.1 INFORMAL REQUEST FOR REVIEW ............................................. 9-1 9.3.2 FORMAL REQUEST FOR REVIEW ................................................ 9-2 9.4 PROHIBITION AGAINST UNMERITORIOUS OR SHAM REQUESTS FOR REVIEW ........ 9-2 9.5 REQUIRED CONTENTS OF REQUEST FOR REVIEW .................................................. 9-3 9.5.1 STATEMENT OF DISPUTED ISSUES .............................................. 9-3 9.5.2 DOCUMENTARY EVIDENCE....................................................... 9-3 9.5.3 PERSONAL TESTIMONY- AFFIDAVITS ....................................... 9-3 9.5.4 STATEMENT OF RELIEF REQUESTED .......................................... 9-3 9.5.5 CITATIONS TO LEGAL AUTHORITIES .......................................... 9-4 9.6 AIRPORT DIRECTOR REVIEW AND ACTION........................................................... 9-4 9.6.1 INITIAL REVIEW AND PRELIMINARY DETERMINATIONS ............. 9-4 9.6.2 NOTICE OF PRELIMINARY DETERMINATION OF "BAD FAITH" FILING....................................................................................... 9-5 9.6.3 NOTICE OF "INTERESTED PARTIES" ........................................... 9-5 9.6.4 REFERRAL TO AIRPORT COMMISSION ........................................ 9-5 9.7 RESPONSES TO REQUEST FOR REVIEW................................................................. 9-6 9.7.1 RESPONSE BY "INTERESTED PARTIES" ...................................... 9-6 9.7.2 AIRPORT DIRECTOR'S RESPONSE .............................................. 9-6 9.7.3 WRITTEN REPLY....................................................................... 9-7 9.7.4 "WITNESS REQUESTS".............................................................. 9-7 9.8 AIRPORT COMMISSION CONSIDERATION OF PENALTIES OR SANCTIONS ............... 9-7 9.9 AIRPORT COMMISSION DETERMINATION.............................................................. 9-7 9.10 AIRPORT COMMISSION PROCEEDINGS.................................................................. 9-8 9.10.1 PROCEDURAL ACTIONS............................................................. 9-8 9.10.2 DISPUTED ISSUES OF FACT- AUTHORITY TO APPOINT MASTER.................................................................................... 9-9 9.10.3 COSTS OF SPECIAL PROCEEDINGS ............................................. 9-9 9.11 AIRPORT COMMISSION FINDINGS AND RESOLUTION OF APPEAL ........................ 9-10 9.12 NOTICE TO PARTIES OF RESOLUTION OF PROCEEDINGS ...................................... 9-10 (As Amended Through dA31 October 1, 2015) JOHN WAYNE AIRPORT Page xii PHASE 2 ACCESS PLAN TABLE OF CONTENTS (Continued) Page(s) 9.13 NOTICE TO BOARD OF SUPERVISORS OF RESOLUTION OF PROCEEDINGS ............. 9-10 9.14 REQUESTS FOR EXTENSIONS OF TIME................................................................. 9-11 9.15 EFFECT OF PENDENCY OF APPEAL PROCEEDINGS ON ENFORCEMENT OF PENALTY OR SANCTION...................................................................................... 9-11 9.15.1 No "AUTOMATIC STAY".......................................................... 9-11 9.15.2 REQUEST FOR STAY OF PENALTY OR SANCTION ...................... 9-12 9.16 AIRPORT COMMISSION AUTHORITY TO ADOPT RULES OF PROCEDURE ............... 9-12 9.17 AIRPORT COMMISSION DETERMINATION OF "BAD FAITH" AND SANCTIONS......................................................................................................... 9-13 9.17.1 DETERMINATION...................................................................... 9-13 9.17.2 SANCTIONS FOR "BAD FAITH" PROCEEDINGS .......................... 9-13 9.18 SANCTIONS FOR EXPARTE COMMUNICATIONS.................................................... 9-13 9.19 REIMBURSEMENT OF MONETARY PENALTY........................................................ 9-14 9.20 RIGHT TO REPRESENTATION BY COUNSEL.......................................................... 9-14 SECTION 10 AIRCRAFT QUALIFICATION TESTS ..................................................... 10-1 10.1 PROHIBITION AGAINST UNAUTHORIZED AIRCRAFT TESTING .............................. 10-1 10.2 AIRCRAFT QUALIFICATION AND CERTIFICATION REQUIREMENT ......................... 10-1 10.3 AIRCRAFT QUALIFICATION AND CERTIFICATION PROCEDURES ........................... 10-1 10.3.1 INFORMATION REQUIREMENTS ................................................ 10-1 10.3.2 FLIGHT TEST PROCEDURE........................................................ 10-3 10.3.3 SUBSEQUENT MODIFICATION OF DEPARTURE PROCEDURES........................................................................... 10-3 10.4 NOTIFICATION OF RESULTS OF NOISE TEST AND CERTIFICATION ........................ 10-3 10.5 POST -QUALIFICATION COMPLIANCE................................................................... 10-4 JOHN WAYNE AIRPORT (As Amended Through "ty 24 , 2015) PHASE 2 ACCESS PLAN Page xiii TABLE OF CONTENTS (Continued) Page(s) SECTION 11 ADMINISTRATIVE PROVISIONS............................................................ 11-1 11.1 AIRPORT DIRECTOR - 1NFORMATION REQUESTS ................................................ 11-1 11.2 NOTICES............................................................................................................. 11-1 11.2.1 CARRIER DESIGNATION OF PERSONS TO RECEIVE NOTICE...... 11-1 11.2.2 DELIVERY OF COUNTY NOTICES ............................................. 11-1 11.2.3 EFFECTIVE DATE OF NOTICES DELIVERED BY THE COUNTY.... 11-1 11.2.4 EFFECTIVE DATE OF CARRIER NOTICES OR FILINGS ................ 11-2 11.3 MODIFICATION OF FORMS OR REPORTING PROCEDURES .................................... 11-2 11.3.1 AUTHORITY............................................................................. 11-2 11.3.2 REQUIRING DATA IN ELECTRONIC FORM ................................ 11-2 11.3.3 NOTICE TO CARRIERS.............................................................. 11-2 11.3.4 USE OF NEW OR MODIFIED FORMS REQUIRED ........................ 11-3 11.4 LABOR STRIKES................................................................................................. 11-3 (As Amended Through dA31 October 1, 2015) JOHN WAYNE AIRPORT Page xiv PHASE 2 ACCESS PLAN ALS]I101ktkvll •d►1WR1N01:71Y (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) PLAN TEXT JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990— DECEMBER 31, 2030) SECTION I GENERAL PROVISIONS 1.1 AUTHORITY This document is the PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (the "PHASE 2 ACCESS PLAN" or "PLAN") for John Wayne Airport, Orange County (SNA) ("John Wayne Airport' or `JWA"). This PLAN is adopted by the County of Orange, California ("County"), in its capacity as the proprietor and certificated operator of John Wayne Airport, and under the authority of federal law, and laws of the State of California, which designate the County as the proper local entity to balance the needs of the Orange County community for adequate commercial air transportation facilities, and the desire of the local community for environmentally responsible air transportation operations at John Wayne Airport. This PLAN further implements mitigation measures identified and adopted under the CALIFORNIA ENVIRONMENTAL QUALITY ACT (CALIFORNIA PUBLIC RESOURCES CODE §§21001, et Seq.) in connection with the County's consideration and approval of the JOHN WAYNE AIRPORT MASTER PLAN (1985) and related actions ("the 1985 MASTER PLAN"), including certification of ORANGE COUNTY FIR 508/EIS in 1985 (BOARD OF SUPERVISORS RESOLUTION No. 85-255 [February 26, 1985] and BOARD OF SUPERVISORS RESOLUTION No. 85-1290 [November 4, 1985]), and mitigation measures for the 1985 MASTER PLAN and related projects considered and approved in connection with the review and approval JOHN WAYNE AIRPORT (As Amended Through July 21 October 1, 2015) PHASE 2 ACCESS PLAN Page 1-1 SECTION 1 - GENERAL PROVISIONS by the Federal Aviation Administration of FIR 508/EIS under the NATIONAL ENVIRONMENTAL POLICY ACT (42 USC §§4321, et seq), and related federal regulations. This PLAN also implements projects considered and approved by the County as amendments to the 1985 Settlement Agreement entered into by and between the County and the Orange County Board of Supervisors (`Board"), the City of Newport Beach, Stop Polluting Our Newport, and the Airport Working Group of Orange County, Inc., (the "Settlement Amendment"), including: (i) certification of Environmental Impact Report 582 (EIR 582"), and approval of the Settlement Amendment on June 25, 2002 (Board of Supervisors Resolution No. 02-185 [June 25, 2002] and Board of Supervisors Resolution No. 02-186 [June 25, 2002]), and approval of modifications to the Settlement Amendment and Acceptance of Addendum 582-1 on December 10, 2002 (Board of Supervisors Resolution No. 02-381 [December 10, 2002]); and (ii) certification of Environmental Impact Report 617 ("EIR 617"), and approval of the Settlement Amendment on September 30, 2014 (Board of Supervisors Resolution No. 14-084 [September 30, 2014] and Board of Supervisors Resolution No. 14-088 [September 30, 2014]). HISTORICAL NOTE June 2003 Amendments. This section has been revised consistent with the Orange County Board of Supervisors actions on June 25, 2002, certifying EIR 582 and approving the Settlement Amendment; actions on December 10, 2002, accepting Addendum 582-1 and approving certain modifications to the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN and allocating new operating capacity to Commercial Air Carriers at the Airport. July 2015 Amendments. This section has been revised consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment. 1.2 SHORT TITLE In all communications regardingthis PLAN, it may be referred to as the "PHASE 2 ACCESS PLAN." 1.3 CONSIDERATION OF PUBLIC UTILITIES CODE §§21690.5 - 21690.9 The County has adopted this PLAN in recognition of its proprietary and governmental obligations under the STATE AERONAUTICS ACT (CALIFORNIA PUBLIC UTILITIES CODE §§21001, et seq.). In addition, and in connection with its consideration, formulation, adoption, and implementation of this PLAN, the County (through the Board of Supervisors) has considered those (As Amended Through 2015) JOHN WAYNE AIRPORT Page 1-2 PHASE 2 ACCESS PLAN SECTION 1 - GENERAL PROVISIONS factors set forth in CALIFORNIA PUBLIC UTILITIES CODE §21690.9, and the Board of Supervisors has made the following findings in connection with its consideration of those statutory provisions: (a) The provisions of this PLAN are the result of apublic process extending over aperiod of more than one (1) year, during which the County staff circulated to the public two extensive staff reports defining and discussing the issues relevant to the formulation of this PLAN. During this time, all interested parties had extensive opportunities to comment on the issues in writing, and to present their views orally to the Orange County Airport Commission and the Orange County Board of Supervisors. All such information has been considered by the County in the formulation of this PLAN. (b) In addition, the provisions of this PLAN further reflect the experience of the County in the management and operation of JWA — and the public controversies resulting from operation of the airport — for a period of approximately thirty-five (35) years; including extensive experience in many forums with the views and interests of the federal government, commercial aviation operators, general aviation operators and suppliers, the Orange County business community, local public entities, and the residents of areas in the general vicinity of the Airport. This experience too has been considered by the County in the formulation of this PLAN. (c) This PLAN is adopted in support of the policies of the State of California as reflected and declared in CALIFORNIA PUBLIC UTILITIES CODE §§21690.5(a) -(e), and is particularly made in recognition of the importance of the tourist and recreation industry to the economic health and well-being of the Orange County community. Orange County is a major tourist and resort destination center, and a significant portion of the economy of Orange County depends upon tourism and resort activities. The ability of the County to maximize the passenger service levels at JWA, within defined environmental constraints, is indispensable to the continued growth and economic vitality of the tourism and resort segment of the Orange County economy. (d) To the extent that this PLAN (and related agreements of the County of which this PLAN is a part) creates "exclusive or limited agreements with ... a limited number of operators" (CALIFORNIA PUBLIC UTILITIES 'ODE §21690.8), the County has determined that the provisions of this PLAN are necessary and supportive of each of the factors identified in CALIFORNIA PUBLIC UTILITIES CODE §§21690.9(a) -(g). (e) This recitation of County consideration of the matters and issues referred to in paragraphs (c) and (d) is not intended as a statement that such statutory provisions are the only ones considered by the County and the Board of Supervisors in connection with the formulation of this PLAN. Rather, this PLAN reflects consideration by the County of all of its state and federal obligations and responsibilities as the proprietor of JWA. JOHN WAYNE AIRPORT (As Amended Through , 2015) PHASE 2 ACCESS PLAN Page 1-3 SECTION 1 - GENERAL PROVISIONS HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments revised the second full paragraph of this section to add the word "in" before "CALIFORNIA PUBLIC UTILITIES CODE [ETC.]." June 2003 Amendments. Subparagraph (b) of this section was revised to replace twenty-two (22) years with thirty-five (35) years. 1.4 TERM The provisions of this PLAN other than the allocation provisions shall be deemed to be effective on August 15, 1990. The allocation provisions of this PLAN shall become effective beginning on October 1, 1990. This PLAN shall terminate on December 31, 2030. Any privileges or licenses granted to any person in connection with, or as a result of the implementation of this PLAN, may be revoked, suspended, or terminated at anytime at the sole discretion of the County, and, in any case, shall terminate completely, finally and without further action of the County not later than December 31, 2030. HISTORICAL NOTE June 2003 Amendments. This section has been amended to revise the term of the PLAN from December 31, 2005, to December 31, 2015, for reasons discussed in the HISTORICAL NOTE to Section 1.1. July 2015 Amendments. This section has been amended to revise the term of the PLAN from December 31, 2015, to December 31, 2030, consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment. 1.5 GENERAL LIMITATIONS AND QUALIFICATIONS All allocations of ADDS, Authorized Departures, Seat Capacity, Passenger Capacity Allocations, RON positions, or other operating privileges of any type made under this PLAN to Commercial Air Carriers and Commuter Air Carriers, are privileges revocable by the County at will, do not constitute "property interests" of persons affected by this PLAN in any form, and are not transferable, directly, indirectly, or by operation of law. All such privileges constitute limitations on operations intended to implement legislative policies, and public policy goals and objectives of the County in the safe, efficient and environmentally responsible management and operation ofJWA. To the extent, if at all, any such privileges contain some indicia of "property," they are the sole and exclusive "property" of the County, held in the public trust, and managed by the County in the public interest. (As Amended Through 2015) JOHN WAYNE AIRPORT Page 1-4 PHASE 2 ACCESS PLAN SECTION 1 - GENERAL PROVISIONS All privileges granted under this PLAN are terminable without notice and without "cause" in the sole and exclusive discretion of the County. The Airport Director is specifically authorized to take such actions as he may deem necessary in revoking, in whole or in part, any operating privileges set forth in, or authorized by, this PLAN, if he determines those actions to be necessary for John Wayne Airport to operate within the MAP Limitation or Regulated ADD Limitation during the term of this PLAN. 1.6 RELATIONSHIP TO OPERATING AGREEMENTS AND LEASES By this and other regulations and ordinances of the County, no Regularly Scheduled Commercial User may conduct operations at JWA unless it has first received approval by official action of the Board of Supervisors of an operating agreement or lease agreement further defining that person's obligations to the County in respect of its operations at JWA. The provisions of this PLAN, including the provisions defining remedies of the County in the event of a breach of this PLAN by any person, are a part of, and expressly referenced by, each such operating and lease agreement. The obligations of any Regularly Scheduled Commercial User serving JWA under this PLAN are in addition to any and all obligations that person has to the County under its operating, lease, or other agreement(s) with the County relating to operations at, or the use of, JWA; and the remedies, sanctions, and enforcement rights available to the County under this PLAN are in addition (and without prejudice) to any and all remedies, sanctions, and enforcement rights available to the County under any such agreement(s). 1.7 AMENDMENTS, TERMINATION OR SUSPENSION This PLAN may be amended, terminated or suspended only by official and duly noticed action of the Board of Supervisors. The Board of Supervisors may, in the sole and exclusive exercise of its full legislative discretion, amend, terminate, or suspend this PLAN at any time. By adoption of this PLAN, the Board of Supervisors announces that it is the intent of the Board to amend, terminate, or suspend this PLAN when and as necessary (in the sole and exclusive exercise of the Board's legislative discretion) to effect or maintain the regulatory, environmental, and service level goals, policies, and objectives of the County in its management and operation ofJWA. HISTORICAL NOTE December 1990 Amendments. The second sentence of this section was amended in December 1990 for purposes of internal consistency, adding the words "and exclusive" and substituting "its" for "their" in reference to the Board of Supervisors. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 1-5 SECTION 1 - GENERAL PROVISIONS 1.8 ACCEPTANCE OF THE TERMS OF THIS PLAN Each person conducting Regularly Scheduled Air Service at JWA does so voluntarily and without coercion. Any person accepting and operating allocations of ADDS, Authorized Departures, Seat Capacity, or Commuter Passenger Capacity under this PLAN (regular or supplemental), and conducting operations at JWA from and after October 1, 1990, will be deemed conclusively to have accepted all terms and provisions of this PLAN as limitations and conditions on his operations at JWA during the term of this PLAN. 1.9 ACCEPTANCE OF AMENDMENTS TO THIS PLAN In the event the Orange County Board of Supervisors elects at any time to amend this PLAN, any person who commences, or thereafter continues to conduct Regularly Scheduled Air Service at JWA for thirty (30) days after the date on which the Board of Supervisors approves the amendment(s), shall be deemed conclusively to have: (i) accepted all terms and provisions of the amendment(s) to the PLAN as limitations and conditions on his operations at JWA during the remaining term of this PLAN; and (ii) accepted all of the terms and provisions of the amendment(s) to the PLAN as additional terms, limitations and obligations under each such person's airport related operating, lease, or other written agreement(s) with the County, as consideration for continued permission by the County allowing such person to continue to engage in commercial operations at JWA. HISTORICAL NOTE June 2003 Amendments. Certain grammatical changes were made to this section. 1.10 INCONSISTENCY OR CONFLICT To the extent any provision of this PLAN is inconsistent or in conflict with any written agreements between the County and any Regularly Scheduled Commercial User or other person operating at JWA, or inconsistent or in conflict with any ordinances, regulations, or expressed public policies of equal dignity, the terms of this PLAN shall have precedence and shall be deemed to be controlling. No provision of this PLAN, however, is intended to supersede or modify the provisions of ORANGE COUNTY CODIFIED ORDINANCES §§2-1-30.2-2-1-30.14. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments deleted the word "that" between the words "the" and "extent" of the first line of this section and eliminated a redundant reference to the cited County Ordinance sections. (As Amended Through JtAy-U 0etober 1, 2015) JOHN WAYNE AIRPORT Page 1-6 PHASE 2 ACCESS PLAN SECTION 1 - GENERAL PROVISIONS 1.11 PARTIAL INVALIDITY In the event any court of competent jurisdiction determines that any portion or provision of this PLAN is invalid, illegal, or unenforceable, or temporarily enjoins enforcement or application of any portion or provision of this PLAN, all other provisions of this PLAN shall remain enforceable and in effect unless and until revoked, suspended, or modified by the Board of Supervisors; and all obligations of any person under any provision of this PLAN not affected by any such court ruling or order shall remain in full force and effect. 1.12 NO WAIVER OR CREATION OF IMPLIED POLICY OF ENFORCEMENT Neither a (i) failure of the County to take any act or action in strict enforcement of this PLAN, inadvertent or otherwise, nor (ii) an affirmative waiver of enforcement of this PLAN by the County in a specific instance after consideration of any special requests or circumstances, shall be deemed to constitute the establishment of any express or implied policy of the County in the enforcement or non -enforcement of this PLAN, and shall not be relied on by any person in making any determination, or taking any action, in violation of any provision of this PLAN. 1.13 NON -EXCLUSIVITY OF SANCTIONS, PENALTIES, AND REMEDIES The sanctions, penalties and remedies of this PLAN are non-exclusive, and are in addition (and without prejudice) to any and all other remedies, at law or at equity, civil or criminal, by contract or otherwise, which may be available to the County with respect to the conduct or actions of any person using JWA. 1.14 COMPUTATION OF TIME Whenever this PLAN requires or permits the filing or service of any document or request not later than a specified day, and whenever that day falls on a Saturday, Sunday, or a legal holiday, the last day for filing or serving the document or request shall be the first working day after the date on which it was otherwise required to be served or filed. HISTORICAL NOTE December 1990 Amendments. The words "or request' were added by the December 1990 amendments to make clear that this section applied to terms of the PLAN which allow "requests" to be made, regardless of whether a "document' is required to be filed or served. The other amendments to this section authorized in December 1990 were strictly grammatical. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 1-7 SECTION 1 - GENERAL PROVISIONS 1.15 FORMAT AND REFERENCES PLAN: For purposes of convenience, certain formatting and reference conventions are used in this (i) All terms which appear in italics type are "defined" terms which, for purposes of this PLAN, have the meanings assigned in Section 2. (ii) Unless otherwise expressly stated, all references to "Section(s) " are references to the provisions of this PLAN. (iii) References to "APPENDIX {x}" are references to the sequentially lettered (or sequentially lettered and numbered) appendices attached to, and a part of, this PLAN. The use of "BOLD SMALL CAPITAL LETTERS" to title a form before (or without) an "APPENDIX {x}" designation refers to the titles of forms whose use is required for purposes of certain mandatory and discretionary filings with the County and the Airport Director. (iv) This PLAN occasionally uses a gender based pronoun in the masculine form. All such references are for purposes of convenience and clarity only, and shall be understood to be either the masculine, feminine, or neutral pronoun, as appropriate to the actual persons or entities referenced. (v) All references in this PLAN to "persons" are references to all natural persons, estates, trustees, partnerships, joint ventures, corporations, public entities, and any and all other legally cognizable entities. (vi) All references in this PLAN to hours of the day are references to "local time" in Santa Ana, California. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made certain grammatical changes to subsection (vi) of this section. (As Amended Through 2015) JOHN WAYNE AIRPORT Page 1-8 PHASE 2 ACCESS PLAN SECTION 2 DEFINITIONS 2.1 ADD ADD means "average daily departure," which is computed for purposes of this PLAN on an annual basis, from April 1 of each year to March 31 of the following year for the period from April 1, 1991 to December 31, 2011 and from January 1 to December 31 of each year for the period from January 1, 2012 through the remaining term of the PLAN (December 31, 2030). One ADD authorizes any person requiring ADDS for its operations at JWA to operate 365 (or 366 in any "leap year") Authorized Departures during each Plan Year, subject to the definitions, provisions, conditions, and limitations of this PLAN, and any adjustments which may result from the implementation or enforcement of the PLAN. For those periods of the PLAN which are less than one (1) full year, i.e., October 1, 1990, to March 31, 1991, and April 1, 2011, to December 31, 2011, ADD means one hundred eighty-two (182) and two hundred seventy-five (275) Authorized Departures, respectively. Operations by persons regulated under the terms of this PLAN which require an allocation of ADDS include all Class A and permanent Class E Commercial Air Carrier departures, except for operations which do not carry public passengers, and which also meet one (1) of the following criteria: (i) a departure without revenue passengers on board which is necessary to reposition an aircraft to resume normal service after unscheduled maintenance at JWA; (ii) a departure without revenue passengers on board which is necessary to reposition an aircraft for unscheduled maintenance; (iii) a departure without revenue passengers on board which is necessary to reposition an aircraft from JWA to another airport in connection with a formal published schedule change; or (iv) a departure conducted pursuant to a noise qualification test which has been approved by the Airport Director under Section 10. Except as expressly provided in this PLAN, all Commercial Air Carrier Class A and permanent Class E departures at JWA are regulated departures and require an ADD allocation including, without limitation, `regularly scheduled," "charter," "maintenance," and "ferry" flights. HISTORICAL NOTE July 1999 Amendments. This section was revised to clarify that a departure without revenue passengers on board which is necessary to reposition an aircraft for unscheduled maintenance does not require an allocation of ADDS. June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA Aircraft definition/distinction, to add reference to permanent Class EADDs, and to revise the current term of the PLAN from December 31, 2005, to December 31, 2015. These revisions are JOHN WAYNE AIRPORT (As Amended Through July 21 October 1, 2015) PHASE 2 ACCESS PLAN Page 2-1 SECTION 2 - DEFINITIONS consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. September 2010 Amendments. This section was revised to define Plan Yearas the period from January 1 to December 31 of each year consistent with the Orange County Board of Supervisors' action on September 28, 2010, approving amendments to the AccesS PLAN. These amendments are consistent with the 1985 Settlement Agreement and subsequent amendments which provide the following: "Plan Year' means each period during the Project Period, from April 1 of one year, to March 31 of the following year; except that the County shall have the discretion, beginning January 1, 2003, to redefine "Plan Year' as the calendar year (January 1 to December 31) or other equivalent time period. July 2015 Amendments. This section has been amended to revise the term of the PLAN from December 31, 2015, to December 31, 2030, consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment. 2.2 AFFILIATE Affiliate means a Commercial Air Carrier or Commuter Air Carrier which has an affiliate relationship with some other person(s) within the parameters of this section. An Affiliate Relationship, Affiliated Carriers, orAffiliate(d) Group means: (a) Any two (2) or more airlines where one airline holds aten percent (10%) or greater equity interest in the second airline; (b) Any two (2) or more airlines where a third person holds or controls a ten percent (10%) or greater equity interest in each such airline; or (c) Any two or more airlines which, by agreement, written or oral: (i) share a common or substantially similar designator code in the OFFICIAL AIRLINE GUIDE ("OAG") or any domestic airline reservations database; (ii) conduct domestic United States operations under business names or business practices which imply to the public the existence of a business relationship between the airlines; or (iii) conduct domestic United States operations with aircraft painted in a substantially similar manner which implies to the public an operational relationship between the airlines. (As Amended Through July !October 1, 2015) JOHN WAYNE AIRPORT Page 2-2 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS For purposes of this section, "airline" means any Air Carrier, Commuter Carrier, or any other person certificated by the Federal Aviation Administration ("FAA") to conduct commercial air operations in the domestic United States for purposes of carrying passengers, freight, or cargo. 2.3 AIRPORT COMMISSION Airport Commission means the Orange County Airport Commission, and its members, as appointed by the Board of Supervisors. 2.4 AIRPORT DIRECTOR Airport Director means the Director of John Wayne Airport, Orange County, as appointed by the Board of Supervisors. HISTORICAL NOTE July 1999 Amendments. This section was revised to substitute the term Managerwith the term Director. 2.5 ALLOCATED SEAT CAPACITY Allocated Seat Capacity means the total number of annual Passenger Seats allocated to a Qualified Air Carrier under Section 3.3.2, and any supplemental allocations to the Air Carrier made under Section 4.3. Allocated Seat Capacity is computed by reference to the number of presumed Passenger -Seats aboard each aircraft operated by anAir Carrier at JWA during anyPlan Year, including both arriving aircraft and departing aircraft, except for operations expressly exempted from the definition of ADD under Section 2.1. HISTORICAL NOTE June 2003 Amendments. This section was revised to clarify that the computation of the number of Passenger Seats aboard each aircraft operated by an Air Carrierat JWA is based upon a "presumed" Seat Capacity of the aircraft rather than an "actual" Seat Capacity of the aircraft. 2.6 ASSOCIATED OPERATING GROUP Associated Operating Group means any two (2) or more Air Carriers or two (2) or more Commuter Carriers which: (i) are Affiliated Carriers or members of an Affiliated Group within the meaning of Section 2.2; or (ii) any two (2) or more Air Carriers or Commuter Carriers which have declared for any Plan Year the formation of an Associated Operating Group under the procedures specified in Section 3.9. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 2-3 SECTION 2 - DEFINITIONS HISTORICAL NOTE October 1994 Amendments. On October 4, 1994, the Orange County Board of Supervisors approved a series of amendments to the "affiliate policy" provisions of the ACCESS PLAN. These amendments included adding a new definition for "Associated Operating Group." 2.7 AUTHORIZED DEPARTURE Authorized Departure means a single departure authorized by an allocation of. (i) aRegularADD allocated under Sections 3.1.1, 3.1.2, or 7.3; (ii) a Class E departure authorized by (and within the limitations of) Section 3.4 or Section 3.6; or (iii) by an allocation of supplemental Authorized Departures under Section 4.2. HISTORICAL NOTE December 1990 Amendments. The word "Section" was inserted in front of the reference to "3.6" by the December 1990 amendments. 2.8 BOARD OF SUPERVISORS Board or Board of Supervisors means the elected (or duly appointed) members of the Board of Supervisors of the County of Orange, California 2.9 CLASS A ADD - CLASS A DEPARTURE Class AADD means an ADD which has been allocated for use by aircraft qualified under Section 10, and which continue to operate during each Noise Compliance Period, as Class A Aircraft. Class A Departure means a single departure allocated for use by aircraft qualified under Section 10 as a Class A Aircraft. Nothing in this PLAN is intended to preclude any person from using an allocated Class A ADD or Class A Departure with aircraft which meet the noise limits for Class EAircraft. HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA Aircraft definition/distinction consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. Former Section 2.10, the definition of Class AA ADD -Class AA Departure, was deleted consistent with the Orange County Board of (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-4 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS Supervisors' approved amendments to the 1985 Settlement Agreement, which include defining all regulated passenger flights as Class A flights and eliminating the Class AA Aircraft definition/distinction. 2.10 CLASS E ADD- CLASS E DEPARTURE Class EADD means an ADD which has been allocated for use by aircraft qualified under Section 10, and which continue to operate during each Noise Compliance Period, as Class EAircraft. Class E Departure means a single departure allocated for use by aircraft qualified under Section 10 as a Class E Aircraft. 2.11 CLASS A AIRCRAFT Class A Aircraft means aircraft which: (i) operate at gross takeoff weights at JWA not greater than the Maximum Permitted Gross Takeoff Weight for the individual aircraft main landing gear configuration, as set forth in Section 2.27; and which (ii) generate actual energy averaged SENEL levels, averaged during each Noise Compliance Period, as measured at the Criterion Monitoring Stations, which are not greater than the values: CLASS A AIRCRAFT ENERGY AVERAGED SENEL LEVELS NOISE MONITORING STATION ENERGY AVERAGED DECIBELS NMS1S: �494.$ dB SENEL NMS2S: lllllllllllllllllll4 0 4.4 dB SENEL NMS3S: W100.-7 dB SENEL NMS4S: W.894b dB SENEL NMS5S: 95.39" dB SENEL NMS6S: 96.896:1 dB SENEL NMS7S: b.793.. 9 dB SENEL In determining whether an aircraft is a Class A Aircraft, its noise performance at the Criterion Monitoring Stations shall be determined at each individual monitoring station, and the aircraft must meet each of the noise monitoring station criteria, without "trade-offs," in order to qualify as a Class A Aircraft. HISTORICAL NOTES December 1990 Amendments. The references to specific noise monitoring stations was changed by the December 1990 amendments to conform to a Board approved redesignation of the JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 2-5 SECTION 2 - DEFINITIONS noise monitoring stations. No changes to the monitoring stations or their location was involved in this amendment. Rather, the monitoring stations were renumbered to a more logical sequence in light of monitoring station additions to the noise monitoring system which occurred during the 1970s. July 1993 Amendments. Effective July 1, 1993, the Orange County Board of Supervisors approved amendments to the Energy Averaged Decibels consistent with findings made by the Board in connection with its certification and approval of EIR 546 and consistent with an agreement reached between the County of Orange, California, the City of Newport Beach, California, Stop Polluting Our Newport, and the Airport Working Group of Orange County, Inc., ("the settlement parties") modifying the SENEL limitations in order to preserve the operational capacity at JWA and still take into account the Federal Aviation Administration's concerns on the issue of noise abatement departure profiles. April 1999 Amendments. On April 13, 1999, the Orange County Board of Supervisors approved amendments to the Energy Averaged Decibels, effective July 1, 1999, consistent with an agreement reached between the settlement parties regarding technical adjustments required to be made to the noise limits at JWA in order to maintain parity between the current noise monitoring system and the new replacement noise monitoring system. In addition, the monitoring stations were renumbered to a more logical sequence in light of monitoring station changes to the noise monitoring system which occurred during the 1990s. June 2003 Amendments. Former Section 2.13 was deleted consistent with the Orange County Board of Supervisors' approved amendments to the 1985 Settlement Agreement, which include defining all regulated passenger flights as Class A ADDS and eliminating the Class AA/Class A Aircraft definition/distinction. September 2015 Amendments. On September 22, 2015, the Orange County Board of Supervisors approved amendments to the Energy Average Decibels, effective October 1, 2015, consistent with an agreement reached between the settlement parties regarding technical adjustments required to be made to the noise limits at JWA, as measured by the new replacement noise monitoring system, in order to maintain parity between the current noise monitoring system and the new replacement noise monitoring system. 2.12 CLASS E AIRCRAFT Class EAi rcraft means aircraft which: (i) operate at gross takeoff weights at JWA not greater than the Maximum Permitted Gross Takeoff Weight for the individual aircraft main landing gear configuration, as set forth in Section 2.27; and which (ii) generate actual energy averaged SENEL levels, (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-6 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS averaged during each Noise Compliance Period, as measured at the Noise Monitoring Stations, which are not greater than the values: CLASS E AIRCRAFT ENERGY AVERAGED SENEL LEVELS NOISE MONITORING STATION ENERGY AVERAGED DECIBELS NMS1S: MS934. dB SENEL NMS2S: MS9-3-.O dB SENEL NMS3S: M§89-.7 dB SENEL NMS4S: M§86:A dB SENEL NMS5S: M§8" dB SENEL NMS6S: -8" dB SENEL NMS7S: M§8&0 dB SENEL In determining whether an aircraft is a Class E Aircraft, its noise performance at the Noise Monitoring Stations shall be determined at each individual noise monitoring station, and the aircraft must meet each of the noise monitoring station criteria, without "trade-offs," in order to qualify as a Class EAircraft. HISTORICAL NOTES December 1990 Amendments. The designations of the noise monitoring stations were changed by the December 1990 amendments for reasons discussed in the historical note to Section 2.11. July 1993 Amendments. Effective July 1, 1993, the Orange County Board of Supervisors approved amendments to the Energy Averaged Decibels consistent with findings made by the Board in connection with its certification and approval of EIR 546 and consistent with an agreement reached between the County of Orange, California, the City of Newport Beach, California, Stop Polluting Our Newport, and the Airport Working Group of Orange County, Inc., ("the settlement parties") modifying the SENEL limitations in order to preserve the operational capacity at JWA and still take into account the Federal Aviation Administration's concerns on the issue of noise abatement departure profiles. April 1999 Amendments. On April 13, 1999, the Orange County Board of Supervisors approved amendments to the Energy Averaged Decibels, effective July 1, 1999, consistent with an agreement reached between the settlement parties regarding technical adjustments required in order to maintain parity between the current noise monitoring system and the new replacement noise monitoring JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 2-7 SECTION 2 - DEFINITIONS system. In addition, the monitoring stations were renumbered to a more logical sequence in light of monitoring station changes to the noise monitoring system which occurred during the 1990s. January 2004 Amendments. This section has been revised to consistently refer to monitoring stations as "Noise Monitoring Stations." September 2015 Amendments. On September 22, 2015, the Orange County Board of Supervisors approved amendments to the Energy Average Decibels, effective October 1, 2015, consistent with an agreement reached between the settlement parties regarding technical adjustments required to be made to the noise limits at JWA, as measured by the new replacement noise monitoring system, in order to maintain parity between the current noise monitoring iistem and the new replacement noise monitoring system. 2.13 COMMERCIAL AIR CARRIER Commercial Air Carrier or Air Carrier means any person other than a Commuter -Air Carrier or Commuter Cargo Carrier who operates Regularly Scheduled Air Service into and out of JWA for the purpose of carrying passengers, freight, cargo, or for any other commercial purpose. For purposes of this PLAN, Commercial Air Carrier includes all Commercial Cargo Carriers. 2.14 COMMERCIAL CARGO Commercial Cargo means any cargo, freight, packages, or other similar items carried to or from JWA by any Air Carrier or Commuter Carrier. 2.15 COMMERCIAL CARGO CARRIER Commercial Cargo Carrier means any entity which is an Air Carrier, but which conducts its operations at JWA solely for the purpose of carrying Commercial Cargo with aircraft regularly configured with zero (0) Passenger Seats available to the general public, and which does not offer passenger service to the public in connection with its operations at JWA. 2.16 COMMERCIAL CARGO CARRIER GROUND OPERATIONS POSITIONS Commercial Cargo Carrier Ground Operations Positions shall mean those aircraft parking positions and cargo load/unload areas as assigned by the Airport Director. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-8 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors' certification and approval of EIR No. 552. This definition was added consistent with these amendments. 2.17 COMMERCIAL PASSENGER Commercial Passenger(s) means any person enplaning or deplaning any aircraft at JWA operated by any Commercial Air Carrier or Commuter Air Carrier for the purpose of traveling to or from JWA, regardless of the "revenue" or "non -revenue" status of any such person aboard the aircraft, or the amount or method of consideration paid by such person, if any, for the passenger's travel aboard the aircraft, except those persons exempted from this definition by the express terms of this section. For purposes of this PLAN, the term Commercial Passenger(s) is intended to exclude only the following categories of persons: (i) Assigned crew members of the aircraft; (ii) Persons aboard the aircraft who are employees of the operator of the aircraft (but not employees of any other commercial airline, whether or not that operator is authorized to operate at JWA), and who are traveling aboard the aircraft as a result of, or in connection with, their employee status; (iii) Employees of the Federal Aviation Administration who are aboard the aircraft in their employment capacity; (iv) Any person aboard an aircraft which is engaged in a noise qualification test authorized under Section 10; and (v) Any person aboard the aircraft whose scheduled flight on that aircraft is not beginning or terminating at JWA, and who, at the time of his arrival at JWA, holds a connecting ticket or boarding pass for a flight which is scheduled to depart JWA within three (3) hours. The County recognizes that other definitions of "passenger" may sometimes be used in the air transportation industry, by individual airlines for their own record keeping purposes, or by federal regulatory agencies for purposes of enforcing or implementing their regulations. For purposes of the implementation and enforcement of this PLAN, and for purposes of any reporting requirements imposed by (or under the authority of) this PLAN, the definition of this section shall be controlling. JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 2-9 SECTION 2 - DEFINITIONS HISTORICAL NOTE July 1999 Amendments. Subparagraph (ii) was revised to replace the word "some" with the word "any" to make clear that this section applies to "any" other commercial airline, not just "some" other commercial airlines. 2.18 COMMUTER AIR CARRIER Commuter Air Carrier or Commuter Carrier means any entity which: (i) operates Regularly Scheduled Air Service into and out of JWA for the purpose of carrying passengers, freight, cargo, or for any other commercial purpose; (ii) with Class EAircraft regularly configured with not more than seventy (70) passenger seats; and (iii) operating at gross takeoff weights of not more than ninety thousand (90,000) pounds. For purposes of this PLAN, Commuter Air Carrier includes all Commuter Cargo Carriers. HISTORICAL NOTE December 2002 Amendments. The definition of a Commuter Air Carrier was revised to include Class E Aircraft regularly configured with not more than fifty (50) passenger seats. June 2003 Amendments. The definition of Commuter Air Carrier was revised to include Class EAircraft regularly configured with not more than seventy (70) passenger seats, instead of fifty (50) passenger seats, and operating at a gross takeoff weight of not more than ninety thousand (90,000) pounds, instead of sixty thousand (60,000) pounds, consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement. 2.19 COMMUTER CARGO CARRIER Commuter Cargo Carrier means any entity which is a Commuter Air Carrier, but which conducts its operations at JWA solely for the purpose of carrying Commercial Cargo with aircraft regularly configured with zero (0) Passenger Seats available to the general public, and which does not offer passenger service to the public in connection with its operations at JWA. 2.20 COUNTY County means the County of Orange, California, acting by and through its Board of Supervisors, and persons designated by the Board to implement and enforce this PLAN. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-10 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS 2.21 CRITERION MONITORING STATIONS Criterion Monitoring Stations means JWA noise monitoring stations NMS1S, NMS2S, and NMS3S. (See APPENDIX 1.) HISTORICAL NOTE December 1990 Amendments. The designations of the noise monitoring stations were changed by the December 1990 amendments for reasons discussed in the HISTORICAL NOTE to Section 2.12. June 2003 Amendments. The map of the Noise Monitoring Stations is now found in APPENDIX I instead of in APPENDIX G. 2.22 dB SENEL dB SENEL or SENEL means decibels as measured and described by the Single Event Noise Exposure Level methodology, as that noise descriptor is defined in the CALIFORNIA NOISE STANDARDS (CALIFORNIA CODE OF REGULATIONS, tit. 21, §§5001, et Seq.) on August 1, 1990. 2.23 GROUND SERVICE EQUIPMENT Ground Service Equipment (GSE) shall mean any auxiliary power unit, mobile stairs, aircraft support equipment, machinery, spare parts, or other equipment used by any Qualified Air Carrier in support of its operations, or stored, at JWA. HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors' certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This definition was added consistent with these amendments. 2.24 GROUND SERVICE EQUIPMENT STORAGE AREAS Ground Storage Equipment StorageArea(s) shall mean those areas at JWA which are designated from time to time by the Airport Director for joint or individual use by Qualified Air Carriers, Qualified Commercial Cargo Carriers, and Qualified Commuter Carriers to store Ground Service Equipment used by such Qualified Carriers to support their operations at JWA. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 2-11 SECTION 2 - DEFINITIONS HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors' certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This definition was added consistent with these amendments. 2.25 JWA JWA means John Wayne Airport, Orange County (SNA). 2.26 MAP LIMITATION MAP Limitation means: (i) the determination of the Board of Supervisors on June 25, 2002, certifying FIR 582 and approving the Settlement Amendment and the related determination of the Board on December 10, 2002, accepting Addendum FIR 582-1, and approving modifications to the Settlement Amendment, that Regularly Scheduled Commercial Users operating at JWA shall not serve more than 10.3 million annual passengers ("MAP") in any Plan Year beginning on January 1, 2003, through December 31, 2010, and 10.8 MAP, beginning on January 1, 2011, through December 31, 2015; and (ii) the determination of the Board of Supervisors on September 30, 2014, certifying FIR 617 and approving the Settlement Amendment, that Regularly Scheduled Commercial Users operating at JWA shall not serve more than 10.8 MAP in any Plan Year through December 31, 2020, shall not serve more than 11.8 MAP in any Plan Year beginning on January 1, 2021, through December 31, 2025, and shall not serve more than 12.2 or 12.5 MAP in any Plan Year, beginning on January 1, 2026 through December 31, 2030. The trigger for an automatic capacity increase to 12.5 MAP beginning on January 1, 2026 requires that all Regularly Scheduled Commercial Users operating atJWA be within five (5) percent of 11.8 MAP (i.e., 11.21 MAP) in any one calendar year during the January 1, 2021 through December 31, 2025 timeframe. If the operational levels are not equal to or greater than 11.21 MAP during that timeframe, then the MAP limitation shall only increase to 12.2 MAP beginning on January 1, 2026. For purposes of this section, definition, and limitation, "passengers" means "Commercial Passengers," as defined in Section 2.19. HISTORICAL NOTE June 2003 Amendments. This section was revised to reflect the modified MAP limitation at JWA from the original 8.4 MAP in any Plan Year to the new 10.3 MAP in any Plan Year beginning January (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-12 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS 1, 2003, through December 31, 2010, and 10.8 MAP in any Plan Year beginning January 1, 2011, through December 31, 2015. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment, and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. July 2015 Amendments. This section has been amended to reflect the modified MAP limitations at JWA from 10.8 MAP to 11.8 MAP, beginning on January 1, 2021 through December 31, 2025, and from 11.8 MAP to 12.2 or 12.5 MAP, beginning on January 1, 2026 through December 31, 2030, consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment. 2.27 MAXIMUM PERMITTED GROSS TAKEOFF WEIGHT Maximum Permitted Gross Takeoff Weight means, for: AIRCRAFT MAIN LANDING GEAR TYPE POUNDS GROSS WEIGHT Dual Gear: 200,000 pounds Dual Tandem Gear: 300,000 pounds HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments deleted the reference in this section to "single gear" aircraft because Airport staff discovered that there are no such aircraft with gross weights in excess of the rated pavement strengths at the Airport, and the reference was therefore removed as unnecessary. July 1999 Amendments. The Maximum Permitted Gross Takeoff Weight for dual tandem gear was revised from two hundred thirty-four thousand (234,000) pounds to three hundred thousand (300,000) pounds to accurately reflect existing pavement strength at JWA as of July 1, 1999. September 2010 Amendments. The Maximum Permitted Gross Takeoff Weight for dual gear was revised from one hundred forty thousand (140,000) pounds to two hundred thousand (200,000) pounds to accurately reflect existing pavement strength at JWA as of September 2010. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 2-13 SECTION 2 - DEFINITIONS 2.28 MAXIMUM PERMITTED GROUND OPERATIONS WEIGHT Maximum Permitted Ground Operations Weight means those maximum gross weights for aircraft operating or parking on various segments of the runways, taxiways, aprons, and other paved airfield surfaces at JWA, as described, and with the various main landing gear types referred to, in APPENDIX E (PAVEMENT DESIGN STRENGTH DIAGRAM). 2.29 NOISE COMPLIANCE PERIOD Noise Compliance Period means each calendar quarter during the period of this PLAN. 2.30 NOISE MONITORING STATIONS Noise Monitoring Stations means JWA Noise Monitoring Stations NMS1S, NMS2S, NMS3S, NMS5S, NMS4S, NMS6S, and NMS7S. (See APPENDIX L) HISTORICAL NOTE December 1990 Amendments. The designations of the Noise Monitoring Stations were changed by the December 1990 amendments for reasons discussed in the HISTORICAL NOTE to Section 2.12. June 2003 Amendments. The map of the Noise Monitoring Stations is now provided in APPENDIX I instead of APPENDIX G. January 2004 Amendments. This section has been revised to consistently refer to monitoring stations as "Noise Monitoring Stations." 2.31 PASSENGER CAPACITY Passenger Capacity, Passenger Capacity Allocation, and Commuter Passenger Capacity mean an allocation to a Qualified Commuter Carrier of the legal approvals necessary to operate at JWA and to serve a specific maximum number of Commercial Passengers during a specific Plan Year, or a specified portion of aPlan Year. 2.32 PASSENGER SEAT Passenger Seat(s) means any seat(s) aboard any aircraft other than a seat dedicated solely and exclusively to the use of the aircraft crew. 2.33 PERMITTED CARGO OPERATIONS HOURS The Permitted Cargo Operations Hours are defined to mean: (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-14 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS (i) No aircraft arrivals (as measured at any Noise Monitoring Station for arrivals) at JWA prior to 1600 hours, local time, and except for specific instances where circumstances occur which are substantially beyond the control of the Commercial Cargo Carrier, and which prevent the Carrier from complying; (ii) The aircraft will be ready for departure, and the pilot will have requested immediate clearance for takeoff from the FAA tower not later than 1930 hours, local time; (iii) The actual departure (as measured at any JWA Noise Monitoring Station) will occur not later than 1945 hours, local time; (iv) GSE staging on the ramp will not commence prior to 1545 hours, local time; and (v) All GSE will be off the operating area of the ramp, and returned to its GSE storage area (or removed from the Airport) not later than 1945 hours, local time. HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors' certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This definition was added consistent with these amendments. December 2005 Amendments. The December 2005 amendments made clarifying changes to this section of the PLAN to delete the phrase "wheels up" and to add the phrase "as measured at any JWA Noise Monitoring Station" in order to provide JWA staff a method to more accurately measure the departure time of the aircraft. July 2015 Amendments. The July 2015 amendments made clarifying changes to section 2.33(1) to add the phrase "as measured at any JWA Noise Monitoring Station for arrivals" in order to accurately reflect the method used by JWA staff to measure the arrival time of the aircraft. There are no regulatory noise limits during daytime hours at 8N, 9N, or 1 ON; rather, these monitoring stations are used to measure the time of arriving flights at JWA. 2.34 PERMITTED COMMERCIAL OPERATIONS HOURS Permitted Commercial Operations Hours means: (i) for departures on Monday through Saturday, 0700 to 2200 hours, as measured at any JWA Noise Monitoring Station; (ii) for departures on Sundays, JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 2-15 SECTION 2 - DEFINITIONS 0800 to 2200 hours, as measured at any JWA Noise Monitoring Station; (iii) for arrivals on Monday through Saturday, 0700 to 2300 hours, as measured at any JWA Noise Monitoring Station; and (iv) for arrivals on Sundays, 0800 to 2300 hours, as measured at any JWA Noise Monitoring Station. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made clarifying changes to this section by adding the phrase "as measured at any JWA Noise Monitoring Station" in each of the section subparts. Some carriers had questioned whether the operation periods defined by this section were meant to be measured at the time of aircraft "push -back" from the gate, at the time of "wheels -up" during the departure procedure, or at some other time. Defining the time restrictions by reference to the time as measured at the Noise Monitoring Stations is consistent with the purposes of the restrictions defined in this section, and it is the most liberal possible interpretation for the aircraft operators, since either "push -back" or "wheels -up" will occur on every departure before the noise event is recorded at the Noise Monitoring Stations. 2.35 PLAN YEAR For the period from 1990 to 2011, Plan Year means the period from April 1 of each year to March 31 of the following year, except that: (i) the first Plan Year of this PLAN shall be the period from October 1, 1990, to March 31, 1991; (ii) the Plan Year for the 2011 calendar year of this PLAN shall be the period from April 1, 2011, to December 31, 2011; and (iii) all references to allocations of operating privileges in this PLAN which are related to Plan Year allocations are to be understood to have been adjusted accordingly for the 1990-91 and 2011 Plan Years. For the period from January 1, 2012 through the remaining term of the PLAN (December 31, 2030), Plan Year means the period from January 1 to December 31 of each year. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to this section. June 2003 Amendments. This section has been amended to revise the term of the PLAN from December 31, 2005, to December 31, 2015, for reasons discussed in the HISTORICAL NOTE for Section 1.1. September 2010 Amendments. This section was revised to define Plan Yearas the period from January 1 to December 31 of each year consistent with the Orange County Board of Supervisors' action on September 28, 2010, approving amendments to the ACCESS PLAN. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-16 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS These amendments are consistent with the 1985 Settlement Agreement and subsequent amendments which provide the following: "Plan Year' means each period during the Project Period, from April 1 of one year, to March 31 of the following year; except that the County shall have the discretion, beginning January 1, 2003, to redefine "Plan Year' as the calendar year (January 1 to December 31) or other equivalent time period. July 2015 Amendments. This section has been amended to revise the term of the PLAN from December 31, 2015, to December 31, 2030, consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment. 2.36 QUALIFIED AIR CARRIER Qualified Air Carrier means any Commercial Air Carrier or Commercial Cargo Carrier authorized by express action of the Board of Supervisors to operate Regularly Scheduled Air Service at JWA under, and subject to, the terms of this PLAN, and who is not in default or in violation of any provision of this PLAN, or any of the operator's written agreements with the County which relate to operations at JWA. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to this section. 2.37 QUALIFIED COMMUTER CARRIER Qualified Commuter Carrier means any Commuter Air Carrier or Commuter Cargo Carrier authorized by express action of the Board of Supervisors to operate Regularly Scheduled Air Service at JWA under, and subject to, the terms of this PLAN, and who is not in default or in violation of any provision of this PLAN, or any of the operator's written agreements with the County which relate to operations at JWA. 2.38 REGULARADDs Regular ADDS means: (i) those ADDS identified and allocated pursuant to Sections 3. 1.1 and 3.1.2; (ii) ADDS reallocated under Section 7; and (iii) any ADDS allocated by the Board of Supervisors under the provisions of Section 3.6. 2.39 REGULARLY SCHEDULED AIR SERVICE Regularly Scheduled Air Service means all operations conducted by a Regularly Scheduled Commercial User atJWA. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 2-17 SECTION 2 - DEFINITIONS 2.40 REGULARLY SCHEDULED COMMERCIAL USER Regularly Scheduled Commercial User means any person conducting aircraft operations at JWA for the purpose of carrying passengers, freight, or cargo where such operations: (i) are operated in support of, advertised, or otherwise made available to members of the public by any means for commercial air transportation purposes, and members of the public may travel or ship Commercial Cargo on the flights; (ii) the flights are scheduled to occur, or are represented as occurring (or available) at specified times and days; and (iii) the person conducts, or proposes to operate, departures at JWA at afrequency greater than two (2) times per week during any consecutive three (3) week period. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to this section by adding "transportation" to the fourth line of this section and adding the word "are" between "or" and "represented" in the fifth line of the section. 2.41 REGULATED ADDS Regulated ADDS means Class A and permanent Class EADDs. Supplemental Class A or Class EAuthorized Departures are also "Regulated" within the meaning of this section. HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights, to eliminate the Class AA Aircraft definition/distinction, and to add reference to permanent Class E ADDS. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment, and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. 2.42 REGULATED ADD LIMITATION RegulatedADD Limitation means: (i) the determination of the Board of Supervisors on June 25, 2002, certifying EIR 582 under the CALIFORNIA ENVIRONMENTAL QUALITY ACT (CAL. PUBLIC RESOURCES CODE §§21001, et seq.) and approving the Settlement Amendment and the related determination of the Board on December 10, 2002, accepting Addendum EIR 582-1, and approving modifications to the Settlement Amendment, that Regularly Scheduled Commercial Users operating at JWA as Commercial Carriers shall not operate a total of more than eighty-five (85) Class A ADDS and that Regularly Scheduled Commercial users operating at JWA as Commercial Cargo Carriers shall not (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-18 PHASE 2 ACCESS PLAN SECTION 2 - DEFINITIONS operate a total of more than four (4) Class A ADD cargo flights, for a total of eighty-nine (89) Class A ADDS in any Plan Year ("Regular ... "supplemental," or otherwise); and (ii) the determination of the Board of Supervisors on September 30, 2014, certifying EIR 617, and approving modifications to the Settlement Amendment, that Regularly Scheduled Commercial Users operating at JWA as Commercial Carriers shall not operate a total of more than ninety-five (95) Class A ADDS, beginning on January 1, 2021, through December 31, 2030, for a total of ninety-nine (99) Class A ADDS in any Plan Year ("Regular, " "supplemental," or otherwise). In addition to these Regulated Class AADDs, the Airport Director may, in accordance with, and subject to, all other conditions, limitations or requirements of this PLAN applicable to Commercial Air Carriers, allocate a maximum of fourteen (14) permanent Class E ADDS consistent with the allocation provisions provided in Section 3.4 of this PLAN. HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights, to eliminate the Class AA Aircraft definition/distinction, to revise the number of authorized passenger Class A ADDS from thirty-nine (39) Class A ADDS to eighty-five (85) Class A ADDS, to provide for up to four (4) authorized cargo Class A ADDS, and to provide for up to twelve (12) permanent Class E ADDS. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment, and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. July 2015 Amendments. This section has been amended to revise the number of authorized passenger Class A ADDS beginning on January 1, 2021, through December 31, 2030, consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment and amended to revise the number of authorized permanent passenger Class E ADDS beginning on January 1, 2016, consistent with the Orange County Board of Supervisors actions on July 21, 2015. 2.43 RON RON means any aircraft operated by a Qualified Air Carrier or Qualified Commuter Carrier which "remains overnight" at JWA. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 2-19 SECTION 2 - DEFINITIONS 2.44 SCHEDULED DEPARTURE TIME Scheduled Departure Time means the time at which a commercial aircraft is scheduled by its operator to depart from the passenger terminal gate. If the operator is a Commuter Carrier which has been authorized by the Airport Director to conduct operations from a fixed Based Operator under Section 8.1.7(b), Scheduled Departure Time means the time when the aircraft is scheduled to depart the Fixed Base Operator ("FBO") location for departure operations. In light of current passenger airline practices, it is presumed, for purposes of this PLAN, that the Scheduled Departure Time is the departure time published by the operator in the OFFICIAL AIRLINE GUIDE and computer reservations databases. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments added the second sentence of this section. This addition was necessary to correct an oversight in preexisting County policy. The "settlement agreement" between the County and the City of Newport Beach (and other relevant County documents and policies) require that, generally, all commercial passenger activity at JWA occur in and through the Thomas F. Riley terminal. The one exception to this limitation is that commercial operations by "commuter" airlines may occur at and through an FBO location. Although no "commuter" airlines were conducting FBO-based operations at the time of the amendments, this amendment covers such a contingency if FBO-based operations are authorized in the future. 2.45 SEAT BLOCK Seat Block means thirteen thousand (13,000) aircraft Passenger Seats. 2.46 SEAT CAPACITY When used with respect to an aircraft, Seat Capacity means the actual number of Passenger Seats on an aircraft, regardless of whether any of the seats have been restricted or "blocked" in connection with operations at JWA. When used with respect to operational capacity allocations, Seat Capacity means Allocated Seat Capacity. 2.47 SUPPLEMENTAL ALLOCATION PERIOD Supplemental Allocation Period means the periods from: (i) January 1 to March 31; (ii) April 1 to June 30; (iii) July 1 to September 30; and (iv) October 1 to December 31 of eachPlan Year. By special action, the Board of Supervisors may declare additional or special Supplemental Allocation Periods. El (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 2-20 PHASE 2 ACCESS PLAN SECTION 3 REGULAR ALLOCATIONS In accordance with action approved by the Board of Supervisors on November 14, 1989, the County conducted a preliminary allocation of Regular ADDS and Seat Capacity for Commercial Air Carriers on November 20, 1989. This preliminary allocation was made subject to later ratification by the Board. By adoption and approval of this PLAN, the Board of Supervisors ratified that allocation. In accordance with actions approved by the Board of Supervisors on June 25, 2002, and December 10, 2002, the County conducted a preliminary allocation of the new Regular ADDS and Seat Capacity for Commercial Air Carriers, authorized by Board -approved amendments to the 1985 Settlement Agreement, on May 28, 2003. By adoption and approval of amendments to the PLAN, the Board of Supervisors ratifies that allocation. In accordance with actions approved by the Board of Supervisors on September 30, 2014, the County reallocated Regular ADDS and Seat Capacity and allocated new permanent Class E ADDS for Commercial Air Carriers, authorized by Board approved amendments to the 1985 Settlement Agreement, on July 21, 2015. By adoption and approval of amendments to the PLAN, the Board of Supervisors ratifies that reallocation, effective January 1, 2016. The protocol under which the 1989 and 2003 allocations were conducted, and tabular summaries of the allocation and related lottery results, are reflected in various appendices to this PLAN: APPENDIX A (1989 PHASE 2 ALLOCATION PROTOCOL AND REGULAR ADD ALLOCATION SUMMARY) APPENDIX B (INCUMBENT AIR CARRIER REALLOCATION PRIORITY LIST) APPENDIX C (REGULAR ADD WITHDRAWAL ORDER) JOHN WAYNE AIRPORT PHASE 2 ACCESS PLAN This appendix contains a copy of the 1989 allocation protocol and a summary of the results of the 1989 Regular ADD allocation process. This appendix prioritizes the incumbent Qualified Air Carriers for possible reallocations of Class AADDs. This appendix reflects the results of the 2015 lottery process for determining the withdrawal priority of Class A and permanent Class E ADDS (See, Section 6.3.3). (As Amended Through "October 1, 2015) Page 3-1 SECTION 3 - REGULAR ALLOCATIONS APPENDIX D (SEAT BLOCK WITHDRAWAL ORDER) APPENDIX E (PAVEMENT DESIGN STRENGTH DIAGRAM) APPENDIX F (FORMS APPENDICES - FORMS F-1 THROUGH F-22) APPENDIX G (2003 PHASE 2 ALLOCATION PROTOCOL) APPENDIX H (MAY 28, 2003, ALLOCATION PROCESS AND SUMMARY) APPENDIX I (NOISE MONITORING STATIONS) Each of these appendices is an element of this PLAN. This appendix reflects the results of the 2015 lottery process for determining the withdrawal priority of designated Seat Blocks of allocated Seat Capacity (See, Section 6.3.1). This appendix contains a diagram reflecting the pavement strengths at John Wayne Airport. This appendix contains the forms required by the PHASE 2 ACCESS PLAN. This appendix contains a copy of the 2003 allocation protocol. This appendix contains a copy of the allocation process followed on May 28, 2003, and a summary of the results of the May 28, 2003, Regular ADD allocation process. This appendix contains a map reflecting the locations of the John Wayne Airport Noise Monitoring Stations (NMS). HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to the last sentence of this section. June 2003 Amendments. This section was revised to reflect actions by the Orange County Board of Supervisors on June 3, 2003, and June 24, 2003, approving implementing amendments to the ACCESS PLAN and authorizing the allocation of new capacity at the Airport. July 2015 Amendments. This section has been amended consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment and on July 21, 2015, authorizing the reallocation of existing capacity and the allocation of additional permanent Class E ADDS at the Airport. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-2 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS 3.1 "REGULAR" COMMERCIAL AIR CARRIER ADD ALLOCATIONS 3.1.1 CLAss A ADDS Subject to all other provisions of this PLAN, and subject to all other County rules, regulations, and written agreements between the County and the Air Carriers listed below, the following Air Carriers are authorized to operate the specified number of Class A ADDS during the term as specified: "REGULAR" COMMERCIAL AIR CARRIER ADD ALLOCATIONS CLASS A ADDS Through AIR CARRIERS December 31, 2020 Alaska Air Group 10 American Airlines 13 Delta Air Lines 8 Frontier Airlines, Inc. 3 Southwest Airlines 11 United Airlines 17 US Airways 5 WestJet 1 Reserved for [New Entrant] 3 County Control 14 TOTAL REGULAR CLASS A ADDS 85 Subject to all other provisions of this PLAN, and subject to all other County rules, regulations, and written agreements between the County and the Air Carriers listed below, the following Commercial Cargo Carriers are authorized to operate the specified number of Class A ADDs Authorized Departures during the period from January 1, 2016 through December 31, 2020. UPS FedEx Express *Reserved for [Other Cargo] The Settlement Agreement Amendment provides the Passenger Commercial Carriers with the opportunity to use up to two (2) of the ClassA ADD cargo flights on a supplemental basis if there is no demand for these cargo flights by Cargo Air Carriers. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-3 SECTION 3 - REGULAR ALLOCATIONS HISTORICAL NOTE November 1994 Amendments. In November 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors' certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This section was revised consistent with these amendments. April 1996 Amendments. This table has been revised to reflect changes made in Regular Class A allocations subsequent to January 1, 1990, effective April 1, 1996, for the remainder of the term of this PLAN. This table does not reflect the two (2) Class A ADDS that have been allocated on the Plan Year basis only effective April 1, 1997, through March 31, 2000. June 2003 Amendments. This table has been revised to reflect changes made in Regular Class A allocations subsequent to April 1, 1996, effective July 1, 2003, for the period specified. This table reflects the two (2) Class A ADDS that have been redistributed based upon two (2) Air Carriers trading out one (1) Class A ADD for two (2) permanent Class E ADDS. These two (2) Class A ADDS have been redistributed to Southwest Airlines and Northwest Airlines, one (1) each, effective July 1, 2003, through December 31, 2005. In addition, former Section 3.1.2 was deleted consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement, including defining all regulated passenger flights as Class A flights and eliminating the Class AA Aircraft definition/distinction. November 2008 Amendments. This table has been revised to reflect changes made in Regular Class A ADD allocations subsequent to December 31, 2005, effective April 1, 2009, for the term as specified. July 2015 Amendments. This table has been revised to reflect the number of authorized Class A ADDS beginning on January 1, 2016, through December 31, 2020, consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment and on July 21, 2015 authorizing the reallocation of existing capacity at JWA. 3.1.2 CLASS E ADDS AND PERMANENT REGULAR CLASS E ADDS Except as provided below, except for possible allocations to Commuter Cargo Carriers or Commercial Cargo Carriers under Section 3.6, and except for the possible future exercise of County discretion to the contrary (e.g., Section 7.3.3(c)), there is no allocations of `Regular" Class E ADDS (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-4 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS under this PLAN. The ability of any Commercial Air Carrier to operate Authorized Departures with Class EAircraft in Regularly Scheduled Air Service at JWA is defined by the terms of Section 3.4 and Section 4. Subject to all other provisions of this PLAN, and subject to all other County rules, regulations, and written agreements between the County and the Air Carriers listed below, the following Air Carriers are authorized to operate the specified number of permanent Class EADDs during the term of this PLAN. REGULAR PERMANENT CLASS E ADDS ALLOCATIONS CLASS E ADDS AIR CARRIERS through Dec. 31, 2020 Southwest Airlines 12 County 2 TOTAL REGULAR PERMANENT CLASS E ADDS 14 HISTORICAL NOTE June 2003 Amendments. This section was revised to reflect a decision by the Orange County Board of Supervisors to allocate a limited number of Regular Class EADDs on a permanent basis through the term of this PLAN. November 2008 Amendments. This table has been revised to reflect changes made in Regular Permanent Class EADD allocations subsequent to December 31, 2005. July 2015 Amendments. This table has been revised to reflect the number of permanent Class E ADDS allocated to the Air Carriers beginning on January 1, 2016, through December 31, 2020, consistent with the Orange County Board of Supervisors actions on September 30, 2014, certifying EIR 617 and approving the Settlement Amendment and on July 21, 2015, authorizing the reallocation of capacity at JWA, including the reallocation of permanent Class E ADDS, and the allocation of two (2) additional permanent Class EADDs. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-5 SECTION 3 - REGULAR ALLOCATIONS 3.1.3 VOLUNTARY REDUCTION OF ADD ALLOCATION By an executed VOLUNTARY REDUCTION OFADD ALLOCATION FORM (AIR CARRIER) (APPENDIx F-5) delivered to the Airport Director, a Qualified Air Carrier may voluntarily and temporarily reduce its allocation of Regular ADDS of any class, or some prorata portion of its Regular ADDS, for reallocation by the County (at the County's sole and exclusive discretion) under the provisions of Section 4 or Section 7. For purposes of determining compliance with the minimum use requirements of Section 8.3.6, the VOLUNTARY REDUCTION OF ADD ALLOCATION FORM (AIR CARRIER) must: (i) be given for a calendar quarter other than the last quarter of any Plan Year, (ii) be delivered to the Airport Director not later than forty-five (45) days prior to the date for which the reduction in operations is to be effective; (iii) specify the number and class of Regular ADDS (or portions of ADDS) being returned for reallocation; and (iv) specify the exact period of time for which the Air Carrier will not be utilizing the Regular ADDS. For purposes of determining compliance with the requirements of Section 8.3.6, the maximum cumulative period of time for which anotice permitted by this section may be given during the term of this PLAN is twenty-four (24) months. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments added the word "determining" on the first line of the last paragraph of this section. July 2015 Amendments. The July 2015 amendments deleted the word "temporary" and modified when the Voluntary Reduction of ADD Allocation Form must be delivered to the Airport Director. Specifically, the Form must be delivered not later than forty-five (45) days prior to the date for which the reduction in operations is to be effective. This section previously required the Form to be delivered not later than forty-five (45) days prior to the first day of the calendar quarter for which the reduction in operations is to be effective. 3.1.4 AIR CARRIER ADD SET ASIDE FOR COMMERCIAL OPERATIONS TO INTERNATIONAL DESTINATIONS During the term of the PLAN, the Airport Director shall reserve a capacity of three (3) Regular Class A ADDS of the total Regular ADD capacity for priority distribution to Qualified Commercial Carriers providing non-stop service to international destinations ("International Capacity"). To the extent that an International Capacity of less than three (3) ADDS is allocated to Qualified Commercial Carriers during any Plan Year, or if, for any period of time, previously allocated International Capacity is returned to the County, the Airport Director may consider the (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-6 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS unused capacity for purposes of formulating any recommendations he may make for supplemental allocations under Section 4. HISTORICAL NOTE November 2011 Amendments. This section was added to the ACCESS PLAN to reflect a decision by the Orange County Board of Supervisors on November 8, 2011 to encourage and promote non-stop service from JWA to international destinations. 3.2 USE OF ALLOCATED ADDS All ADDS and Authorized Departures of any class, including Class E operations conducted under the authority of Section 3.4 or Section 4, may be used (subject to all other relevant provisions of this PLAN, and all other County ordinances, rules, regulations, and policies) at the discretion of the Qualified Air Carrier, except that unused Authorized Departures, or unused portions ofADDs, allocated for use during one (1) Plan Year, may not be carried forward for use in any later Plan Year(s). 3.3 AIR CARRIER SEAT CAPACITY ALLOCATIONS The County separately allocates Seat Capacity to the Qualified Air Carriers serving JWA in order to serve two regulatory purposes of the County: (i) to provide the maximum feasible flexibility to the Qualified Air Carriers in selecting the mix of aircraft types used by them in their service at JWA; and (ii) to provide a pre -determined and fair mechanism by which Air Carrier capacity reductions can be effected if the County determines that reductions are necessary to ensure adherence to the MAP Limitation. 3.3.1 ANNUAL SEAT CAPACITY ALLOCATIONS Subject to Section 3.3.2, all other relevant provisions of this PLAN, and subject to all other County rules, regulations, and written agreements between the County and the Air Carriers listed below, the Allocated Seat Capacity for each Qualified Air Carrier for each Plan Year is the number of Passenger Seats set forth below: JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-7 SECTION 3 - REGULAR ALLOCATIONS ANNUAL AIR CARRIER SEAT CAPACITY ALLOCATIONS ALLOCATED PASSENGER SEATS* through AIR CARRIERS December 31, 2020 Alaska Air Group 1,387,000 American Airlines 1,803,100 Delta Air Lines 1,109,600 Frontier Airlines 416,100 Southwest Airlines 3,190,100 United Airlines 2,357,900 US Airways 693,500 WestJet 138,700 Reserved for [New Entrant] 416,100 Seats associated with ADDS not allocated 2,219,200 TOTAL ALLOCATED SEAT CAPACITY 13,731,300 * 190 Presumed Seats x 365 Days x 2 (Arrival and Departure) x Number of ADDS. HISTORICAL NOTE July 1999 Amendments. This table was revised consistent with the allocations for the 1999-00 Plan Year (April 1, 1999, through March 31, 2000). June 2003 Amendments. This table has been revised to reflect changes made in Air Carrier Seat Capacity allocations subsequent to January 1, 1990, effective July 1, 2003, for the term as specified. November 2008 Amendments. This table has been revised to reflect changes made in Air Carrier Seat Capacity allocations subsequent to December 31, 2005, effective April 1, 2009, for the term as specified. July 2015 Amendments. This table has been revised to reflect changes made in Air Carrier Seat Capacity allocations effective January 1, 2016, through December 31, 2020 as well as to modify the presumptive seat capacity from 195 seats per departure to 190 seats per departure for RegularADDs. This modification reflects the seat capacity necessary to accommodate the projected fleet mix at JWA. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-8 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS 3.3.2 REQUIREMENT OF ANNUAL SEAT CAPACITY RATIFICATION Although each Air Carrier receiving a Seat Capacity allocation under Section 3.3.1 is presumed to have permission to use that Allocated Seat Capacity during each Plan Year, the policies, goals, and regulatory objectives of the County in its management and operation of JWA require that the County take reasonable steps to encourage the maximum passenger service level atJWA during any Plan Year, within the MAP Limitation. It is not in the interests of the County or the air traveling public if Qualified Air Carriers leave significant percentages of their Section 3.3.1 Seat Capacity unused during any Plan Year. In addition, the County has not made the tentative Seat Capacity allocations for the purpose of facilitating or encouraging anti-competitive conduct where Qualified Air Carriers might deny their competitors access to operations capacity which they do not intend to use themselves. Therefore, the allocations of Section 3.3.1 are, in each Plan Year, tentative only, and subject to full compliance with this section by all Qualified Air Carriers. (a) Not later than one hundred fifty (150) days prior to the beginning of each Plan Year, each Qualified Air Carrier shall file with the Airport Director an executed ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) (APPENDix F-4) which describes the Air Carrier's actual anticipated Seat Capacity usage for the Plan Year, including any Section 3.3.1 Seat Capacity, and any supplemental Seat Capacity allocations which the carrier anticipates requesting during the Plan Year. (b) The Airport Director shall review all timely ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORMS (AIR CARRIER) received by him and shall, as soon as practicable, but before the commencement of the Plan Year for which the requests have been submitted, give notice to each Qualified Air Carrier submitting a request of its actual Plan Year Seat Capacity allocation, including any supplemental Seat Capacity allocations to individual carriers which, at the time the AirportDirector gives his notice, have been authorized for allocation by the Board of Supervisors. (c) Each Qualified Air Carrier is presumed to be allocated an amount of Seat Capacity for each Plan Year equal to the amount of Seat Capacity specified for the carrier in Section 3.3.1. If. (i) a Qualified Air Carrier's ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) requests an allocation of Seat Capacity equal to or less than that Carrier's tentative Section 3.3.1 allocation; and if (ii) the level and type of projected Plan Year operations reflected on the ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) appears reasonably consistent with the Qualified Air Carrier's fleet mix and historical operations pattern, the Airport Director shall approve the Seat Capacity request, up to the amount of the Qualified Air Carrier's designated Section 3.3.1 Seat Capacity. If the Airport Director determines that the requested Seat Capacity is significantly in excess of what the requesting Air JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 3-9 SECTION 3 - REGULAR ALLOCATIONS Carrier can reasonably be expected to use during the Plan Year, he shall allocate to the Air Carrier the amount of Seat Capacity which the carrier reasonably can be expected to require in support of its intended Plan Year operations at JWA. (d) If the Airport Director determines, after a review of the ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORMS (AIR CARRIER), that the request of any Qualified Air Carrier is in excess of what it reasonably may be expected to use during the Plan Year (but including, and taking into consideration, requests made under Section 3.4.2), he shall give notice of his preliminary decision to the requesting Air Carrier within twenty (20) days after his receipt of that Air Carrier's ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) (and prior to making the allocation under paragraph (c)), or as soon thereafter as practicable. The Airport Director's notice shall state the basis for his conclusions. The requesting Air Carrier may respond in writing to the Airport Director within ten (10) days after the effective date of the Airport Director's notice (see, Section 11.2.3), providing whatever additional information or arguments to the Airport Director which the carrier believes further explains the basis and reasonableness of its request. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments deleted the word "have" between "which" and "at" in subsection (b) of this section. July 2015 Amendments. The July 2015 amendments modified the time period (from not later than seventy-five (75) days to not later than one hundred fifty (150) days prior to the beginning of each Plan Year) within which each Qualified Air Carrier must file with the Airport Director an executed Annual Seat Capacity Allocation Request Form (Air Carrier) (Appendix F-4) in order to better accommodate the Plan Yearallocation process. 3.3.3 UTILIZATION OF SEAT CAPACITY ALLOCATIONS Except for supplemental Seat Capacity allocated under Section 4.2.4 or 4.3, no Qualified Air Carrier may conduct operations at JWA during any Plan Year with aircraft with Seat Capacities which, cumulatively, exceed the actual annual Seat Capacity allocation made to the Air Carrier under Section 3.3.2(c). The Qualified Air Carrier's operations may consist of the number of Class A and permanent Class E Departures which does not exceed the allocations made to the Air Carrier under Section 3. 1, and any additional Class EDepartures available to the Air Carrier under Section 3.4. Any Qualified Air Carrier who intends to operate Class E Aircraft at JWA shall comply fully with the reporting obligations of Section 3.4 before initiating any Class E operations. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-10 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS HISTORICAL NOTE June 2003 Amendments. This section was revised to reflect the Orange County Board of Supervisors' approved amendments to the 1985 Settlement Agreement, which include defining all regulated passenger flights as Class A ADDS, eliminating the Class AA/Class A ADD definition/distinction, and allocating a limited number of Regular Class E ADDS on a permanent basis through the term of this PLAN. 3.3.4 NO SEAT CAPACITY CARRYFORWARDS Allocated Seat Capacity may be used only in the Plan Year for which it was allocated; and all Plan Year Allocated Seat Capacity expires completely, and without further action of the County, at the close of business on the last day of the Plan Year. Any Allocated Seat Capacity unused during any Plan Year may not be carried forward for use in any succeeding Plan Year. 3.3.5 VOLUNTARY REDUCTION OF SEAT CAPACITY ALLOCATION A Qualified Air Carrier may voluntarily and temporarily reduce its Section 3.3.2 allocation of Seat Capacity for any Plan Year for reallocation by the County (at the County's sole and exclusive discretion) under the provisions of Section 4 or Section 7 by submitting to the Airport Director an executed VOLUNTARY REDUCTION OF SEAT CAPACITY ALLOCATION FORM (AIR CARRIER) (APPENDix F-6). For purposes of determining compliance with the minimum use requirements of Section 8.3.6, the VOLUNTARY REDUCTION OF SEAT CAPACITY ALLOCATION FORM (AIR CARRIER) must: (i) be given for a calendar quarter other than the last quarter of any Plan Year, (ii) be delivered to the Airport Director not later than forty-five (45) days prior to the date for which the reduction in Seat Capacity is to be effective; (iii) specify the precise number of Passenger Seats being "returned" for possible reallocation; and (iv) specify the exact period of time for which the Air Carrier will not be using the Seat Capacity. For purposes of compliance with the requirements of Section 8.3.6, a notice may not be given under this section for more than two (2) consecutive Plan Years. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments deleted a limitation on the total period of time during the 15 -year term of the PLAN for which a notice may be given under this section to thirty-six (36) months, and substituted the phrase in the last sentence of this section, "a notice may not be given under this section for more than two (2) consecutive Plan Years." This liberalized the limitation, but ensured that the section would not be JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-11 SECTION 3 - REGULAR ALLOCATIONS used for anti-competitive or other purposes inconsistent with the operational goals and policies of the County. June 2003 Amendments. Subsection (i) has been revised to replace the term "given" with the term "effective" in order to accurately reflect the intended meaning of this section. July 2015 Amendments. The July 2015 amendments made this Section consistent with the Section 3.1.3 Voluntary Reduction of ADD allocation requirements for purposes of determining compliance with the minimum use requirements of Section 8.3.6. 3.3.6 ALLOCATIONS OF ADDS AND SEAT CAPACITY TO NEW ENTRANT AIRLINES IN SUPPORT OF THE FORMATION OF ASSOCIATED OPERATING GROUPS (a) Any Qualified Air Carrier, or an Associated Operating Group of Qualified Air Carriers ("incumbent operator(s)") which wishes to conduct business at JWA in association with an Air Carrier which is not then a Qualified Air Carrier ("proposed new entrant"), may submit a written request to the Airport Director requesting that the County accept a return from the requesting incumbent operator(s), and reallocate to the proposed new entrant, a Regular ADD and associated Seat Capacity allocation from incumbent operator(s) Regular ADD (and associated Section 3.3.2 Seat Capacity) allocation. Upon receipt of such a request, the Airport Director shall promptly make a recommendation to the Board of Supervisors regarding the requested reallocation. (b) No proposed new entrant Air Carrier may receive a reallocation of Regular ADDS under the authority of this section unless and until it meets the requirements of Sections 1.6 and 8.1 of this PLAN, and has otherwise completed all other established County requirements necessary for the carrier to become a Qualified Air Carrier at JWA. (c) The provisions of this section are an accommodation by the County in its administration of the PHASE 2 ACCESS PLAN intended to facilitate, where fair and reasonable, the operating flexibility of Qualified Air Carriers serving JWA. Nothing in this section shall be construed or interpreted in any manner inconsistent with Section 1.5 of this PLAN, or in any manner which is inconsistent with comparable covenants of any person in any written agreement with the County. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-12 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS HISTORICAL NOTE October 1994 Amendments. On October4, 1994, the Orange County Board of Supervisors approved a series of amendments to the affiliate policy provisions of the ACCESS PLAN. These amendments included a number of regulations which apply to the formation of, allocations to, and general operation of Associated Operating Groups. 3.4 CLASS E DEPARTURES 3.4.1 PERMANENT CLASS E OPERATIONS BY AIR CARRIERS In addition to Class A ADDS allocated under Section 3.1.1, any Qualified Air Carrier may request authority from the Airport Director to operate permanent Class EADDs with aircraft which have been qualified, and which operate as Class E Aircraft, subject to the following conditions and limitations: (a) The Air Carrier may use only aircraft which have been certified by the Airport Director as Class EAircraft under Section 10; (b) TheAir Carrier must be in full compliance with all reporting requirements of this PLAN, including (but not limited to) the reporting requirements of Section 3.4.2, Section 8.2.4, and Section 10.3.3; (c) Any Air Carrier requesting an allocation of permanent Class E ADDS must trade -out one (1) Regular Class A ADD for an allocation of two (2) permanent Class EADDs; (d) There are up to fourteen (14) permanent Class EADDs that may be allocated by the Airport Director, at his discretion, in accordance with, and subject to, all other conditions, limitations, or requirements of this PLAN. Once fourteen (14) permanent Class EADDs have been allocated, the County will maintain awaiting list forAir Carriers wishing to exercise any trade -out opportunities available for permanent Class E ADDS. The waiting list shall be maintained in the order in which the Air Carriers gave written notice to the Airport Director of their desire to obtain permanent Class E ADDS; and (e) In the event any Class A ADD is traded in for two (2) permanent Class E ADDS, the County reserves the right, in its sole and exclusive discretion: (i) to retain the Regular Class AADD capacity under direct County control for any reason; (ii) to reallocate the Regular Class A ADD capacity, based upon the then -existing reallocation priority list, as reflected in APPENDix B of the ACCESS PLAN; (iii) to JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 3-13 SECTION 3 - REGULAR ALLOCATIONS authorize negotiations for the entry of a new entrant Air Carrier into service at JWA; or (iv) to implement any combination of those actions. If a "new entrant" carrier is authorized to commence Regularly Scheduled Ai,- Service irService at JWA at any time, its operational capacity allocation shall be subject to the priorities and limitations as specified in Section 7.3.2 of the ACCESS PLAN. HISTORICAL NOTES June 2003 Amendments. This section was added to provide the allocation procedures for permanent Class E ADDS, consistent with the Orange County Board of Supervisors' decision to allocate a limited number of Class EADDs on a permanent basis. July 2015 Amendments. This section was revised to increase the number of permanent Class E ADDS that can be allocated from twelve (12) to fourteen (14) consistent with the Orange County Board of Supervisors' decision to allocate an additional two (2) Class E ADDS on a permanent basis. 3.4.2 CLASS E OPERATIONS BY AIR CARRIERS In addition to the Class A and permanent Class E ADDS allocated under Section 3.1.1, Section 3.1.2, and Section 3.4.1, any Qualified Air Carrier may request authority from the Airport Director to conduct Authorized Departures with aircraft which have been qualified, and which operate as, Class EAircraft, subject to the following conditions and limitations: (a) The Air Carrier may use only aircraft which have been certified by the Airport Director as Class EAircraft under Section 10; (b) TheAir Carrier must be in full compliance with all reporting requirements of this PLAN, including (but not limited to) the reporting requirements of Section 3.4.2, Section 8.2.4, and Section 10.3.3; and (c) All operations conducted by the Air Carrier at JWA during any Plan Year, including its Class A, permanent Class E, and other Class E operations, may not exceed (and the Air Carrier's JWA operations plan (as reflected in the Carrier's CARRIER OPERATIONS PROJECTION FORM (APPENDIx F-1)) may not create a significant risk of exceeding) the sum of: (i) its total annual Allocated Seat Capacity; and (ii) any supplemental Seat Capacity expressly allocated to it for use during that Plan Year. (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page 3-14 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS HISTORICAL NOTE June 2003 Amendments. This section was revised to reflect a decision by the Orange County Board of Supervisors to define all regulated passenger flights as Class A ADDS, thereby, eliminating the Class AA/Class A ADD definition/distinction, and providing the Airport Director with the ability to allocate a limited number of Regular Class EADDs on a permanent basis through the term of the ACCESS PLAN. 3.4.3 REQUEST FOR CLASS E OPERATIONS APPROVAL No Air Carrier may conduct Class E Departures at JWA, other than permanent Class E Departures, unless it has first submitted to the Airport Director a CLASS E OPERATIONS REQUEST FORM (AIR CARRIER) (APPENDix F-3) and the Airport Director has given his written approval of those operations. The request must be delivered to the Airport Director not less than thirty (30) days prior to the day on which the Air Carrier intends to commence Class E Departures. The Airport Director may impose such conditions or limitations in granting any Class E Departure request which he believes necessary to insure compliance with the terms, provisions, and limitations of this PLAN. HISTORICAL NOTE June 2003 Amendments. This section was revised to reflect a decision by the Orange County Board of Supervisors to eliminate the Airport Director's inability to approve any request for Class E Departures for a period greater than one (1) Plan Year, and to provide the Airport Director with the ability to allocate a limited number of Regular Class EADDs on a permanent basis through the term of the ACCESS PLAN. 3.4.4 REQUEST FOR COMMUTER AFFILIATE CLASS E OPERATIONS Any Qualified Air Carrier may make a request under Section 3.4.3 on behalf of a Qualified Commuter Carrier which is an Affiliate of the requesting Air Carrier to conduct Class E operations at JWA with Class E Aircraft regularly configured with more than seventy (70) Passenger Seats, or operating at Maximum Permitted Gross Takeoff Weights greater than ninety thousand (90,000) pounds, within the limitations of the Seat Capacity allocated to the Air Carrier under Section 3.3.3. The Airport Director may grant the request subject to the following conditions and limitations: (a) The provisions and limitations of Section 3.4.2 and Section 3.4.3 are applicable to the request, except that the requesting Air Carrier need not have qualified a Class E Aircraft if the Commuter Carrier Affiliate has qualified a Class E Aircraft with more than seventy (70) Passenger Seats or operating at Maximum JOHN WAYNE AIRPORT (As Amended Throughdobe , 2015) PHASE 2 ACCESS PLAN Page 3-15 SECTION 3 - REGULAR ALLOCATIONS Permitted Gross Takeoff Weights greater than ninety thousand (90,000) pounds, under Section 10 prior to the time the request is submitted; (b) The requesting Air Carrier shall remain responsible for, and insure, that the Commuter Carrier Affiliate remains in full compliance with this PLAN, and all conditions and limitations which the County may impose on Commuter Carrier Affiliate's Class EDepartures. A violation of this PLAN with respect to any such operations, or a violation of any conditions imposed by the Airport Director in approving Class E Departures by the Commuter Carrier Affiliate, shall also be deemed to be a violation by the requesting Air Carrier, and (c) The passengers carried by the Commuter Carrier Affiliate in Class E Aircraft operating under the authority of this section shall not be a charge against the Passenger Capacity allocation made to the Commuter Carrier under Section 3.5, but the Passenger Seats on the aircraft used in the operations shall be a charge against the Allocated Seat Capacity (Section 3.3.3(c)) of the requesting Air Carrier. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to subsections (a) and (c) of this section. July 1999 Amendments. In connection with the July 1999 revisions, the term "and" was replaced with the term "or" in order to accurately reflect the intended meaning of this section. June 2003 Amendments. The definition of Commuter Air Carrier was revised to include Class EAircraft regularly configured with not more than seventy (70) passenger seats, instead of fifty (50) passenger seats, and operating at a gross takeoff weight of not more than ninety thousand (90,000) pounds, instead of sixty thousand (60,000) pounds, consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement. 3.5 COMMUTER CARRIER PASSENGER CAPACITY ALLOCATIONS There is no pre -allocated operational capacity for Qualified Commuter Carriers under this PLAN. It has been the experience of the County that Commuter Air Carrier operations at JWA frequently involve operation patterns, requirements, schedules, and equipment substantially different from Air Carriers, and that the needs of the commuter operators, and the regulatory objectives of the County, are best served if the County's regulations for JWA, at least in certain respects, recognize these differences and accommodate them to the extent reasonably possible. It has also been the experience of the County (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-16 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS in the operation of JWA that continued, long-term operations by commuter operators are often more uncertain than continued, long-term operations by Air Carriers. In order to best respond to the needs and uncertainties of commuter operations at JWA under this PLAN, Qualified Commuter Carriers receive specific Passenger Capacity Allocations as the basis for their operations at JWA. Such allocations are made each year, and are effective only for the Plan Year for which the allocations were made. No Passenger Capacity Allocations to Commuter Air Carriers may be carried forward beyond the Plan Year for which the allocations were made. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to this section. 3.5.1 PASSENGER CAPACITY SET ASIDE FOR COMMUTER AIRLINES In each Plan Year the Airport Director shall reserve a capacity of four hundred thousand (400,000) annual passengers of the totalMAP Limitation for priority distribution to Qualified Commuter Carriers ("Commuter Passenger Capacity"). To the extent that a Commuter Passenger Capacity of less than four hundred thousand (400,000) annual passengers is allocated to Qualified Commuter Carriers during any Plan Year, or if, for any period of time, previously allocated Commuter Passenger Capacity is returned to the County, the Airport Director may consider the unused capacity for purposes of formulating any recommendations he may make for supplemental allocations under Section 4. HISTORICAL NOTE June 2003 Amendments. This section was revised to reflect a decision by the Orange County Board of Supervisors to modify the passenger capacity set aside for commuter airlines from four hundred thousand (400,000) to five hundred thousand (500,000) in order to accommodate the potential impact of the modifications to the definition of a Commuter AirCarrierand to anticipate the further evolution of commuter airline operations patterns and code -sharing arrangements. July 2015 Amendments. This section was revised to modify the passenger set aside for Commuter Air Carriers from five hundred thousand (500,000) to four hundred thousand (400,000) in order to reflect the continuing evolution of Commuter Air Carrier operations patterns and code -sharing arrangements. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-17 SECTION 3 - REGULAR ALLOCATIONS 3.5.2 COMMUTER PASSENGER CAPACITY ALLOCATION PROCEDURES All Passenger Capacity Allocations shall be made only under the following procedures: (a) Not later than one hundred fifty (150) days prior to the beginning of each Plan Year, each Qualified Commuter Carrier shall submit an executed PASSENGER CAPACITY ALLOCATION REQUEST FORM (COMMUTER CARRIER) (APPENDIX F-7) ("PCAR") to the Airport Director. The requesting Commuter Carrier shall provide sufficient operational information to allow the Airport Director to make an evaluation of the reasonableness of each Commuter Carrier's request for a Passenger Capacity Allocation. (b) Any Commuter Carrier which, prior to the date specified in paragraph (a) of this section, has been placed on the commuter waiting list in accordance with the procedures of Section 3.7.2, may also submit a request for aPassenger Capacity Allocation under this section. If such a request is made, the Airport Director shall promptly notify the Board of Supervisors, and make his recommendation to the Board on whether it is feasible to permit operations by any waiting list Commuter Carriers in the Plan Year for which the request is made. No Passenger Capacity Allocation shall be made to any requesting waiting list Commuter Carrier unless the Board of Supervisors has first authorized the Airport Director to commence the processes necessary for such a Commuter Carrier to become a Qualified Commuter Carrier. (c) If the Airport Director determines, after a review of the PCAR, that any requesting CommuterAir Carrier's request is in excess of what it reasonably may be expected to use during the Plan Year, he shall so notify the requesting carrier within twenty (20) days after his receipt of the PCAR, or as soon thereafter as practicable, stating the basis for his conclusions. The requesting Commuter Air Carrier may respond in writing to the Airport Director within ten (10) days after the Airport Director's notice, providing such additional information or arguments to the Airport Director as the carrier may believe further explains the basis and reasonableness of its request. (d) Sixty (60) days prior to the beginning of each Plan Year, or as soon thereafter as practicable, the Airport Director shall make a Passenger Capacity Allocation to each Qualified Commuter Carrier. The Airport Director's decision regarding the amount of each such allocation shall be final, and he may impose conditions on the allocation(s) as he deems necessary or desirable to implement the goals and policies of this PLAN, and all County rules, regulations, and publicly stated policies of the Board of Supervisors regarding the use and regulation of JWA. These conditions may include, but are not limited to, making an initial allocation (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-18 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS to one or more Commuter Air Carriers which is, in whole or in part, for a period less than one (1) Plan Year. HISTORICAL NOTE: July 2015 Amendments. The July 2015 amendments modified the time period (from not later than one hundred twenty (120) days to not later than one hundred fifty (150) days prior to the beginning of each Plan Year) within which each Qualified Commuter Carrier must file with the Airport Director an executed Passenger Capacity Allocation Request Form (Commuter Carrier) (Appendix F-7) in order to better accommodate the Plan Yearallocation process. 3.5.3 COMMUTER CARRIER ALLOCATION PRIORITIES Subject to the full discretion of the County and the Airport Director under this PLAN, Passenger Capacity Allocations will normally be made as follows: (a) If, for any Plan Year, the total Passenger Capacity Allocation requests from all Qualified Commuter Carriers do not exceed four hundred thousand (400,000) annual passengers, then, subject to the discretion of the Airport Director under Section 3.5.2, each Qualified Commuter Carrier shall receive its requested allocation. (b) If, for any Plan Year, the total Passenger Capacity Allocation requests exceed four hundred thousand (400,000) annual passengers, then, subject to the discretion of the Airport Director under Section 3.5.2, those Qualified Commuter Carriers requesting less than their prorata share of the Commuter Passenger Capacity shall receive their requested allocations, and the remaining Commuter Passenger Capacity shall be divided equally among the other requesting Qualified Commuter Carriers. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to subsection (a) of this section and added the word "requesting" before "Qualified Commuter Carriers" in the last sentence of subsection (b) of this section. June 2003 Amendments. This section was revised to reflect a decision by the Orange County Board of Supervisors to modify the passenger capacity set aside for commuter airlines from four hundred thousand (400,000) to five hundred thousand (500,000) in order to accommodate the potential impact of the modifications to JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-19 SECTION 3 - REGULAR ALLOCATIONS the definition of a Commuter AirCarrierand to anticipate the further evolution of commuter airline operations patterns and code -sharing arrangements. July 2015 Amendments. This section was revised to modify the passenger set aside for Commuter Air Carriers from five hundred thousand (500,000) to four hundred thousand (400,000) in order to reflect the continuing evolution of Commuter Air Carrier operations patterns and code -sharing arrangements. 3.5.4 VOLUNTARY REDUCTION OF PASSENGER CAPACITY ALLOCATION By delivery of a VOLUNTARY REDUCTION OF PASSENGER CAPACITY ALLOCATION FORM (COMMUTER CARRIER) (APPENDIx F -g) (PCAR Form) to the Airport Director, a Commuter Air Carrier may voluntarily reduce its Passenger Capacity Allocation for any Plan Year, and the County, in its sole and exclusive discretion, may reallocate the "returned" capacity under Section 4 or Section 7. For purposes of determining compliance with the minimum use requirements of Section 8.3.7, the VOLUNTARY REDUCTION OF PASSENGER CAPACITY ALLOCATION FORM (COMMUTER CARRIER) must: (i) be given for a calendar quarter other than the last quarter of any Plan Year, (ii) be delivered to the Airport Director not later than forty-five (45) days prior to the date for which the reduction in capacity is to be effective; (iii) specify the amount of Passenger Capacity being "returned" for reallocation; and (iv) specify the exact period of time for which the Commuter Air Carrier will not be using the Passenger Capacity Allocation. In addition, and for purposes of determining compliance with the requirements of Section 8.3.7: (i) the number of authorized passengers relinquished under this section may not exceed thirty percent (30%) of the sum of the total Passenger Capacity Allocation made to the Commuter Carrier under this Section 3.5, and any supplemental Passenger Capacity Allocations requested and made to the Commuter Carrier under Section 4.4; and (ii) no Commuter Carrier may utilize the provisions of this section more than a maximum cumulative period of time of twenty-four (24) months during the term of this PLAN. HISTORICAL NOTE July 2015 Amendments. This section was revised to provide consistency between the Air Carrier and Commuter Carrier voluntary reduction of allocation requirements and the maximum cumulative period of time the Carriers may utilize the voluntary reduction provisions. In addition, this section was revised to require the PCAR Form to be delivered to the Airport Director not later than forty-five (45) days prior to the date for which the reduction in operations is to be effective rather than forty-five (45) days prior to the first day of the calendar quarter for which the reduction in operations is to be effective. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-20 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS 3.5.5 ALLOCATION OF PASSENGER CAPACITY TO AFFILIATED COMMUTER CARRIERS OR COMMUTER CARRIER MEMBERS OF AN ASSOCIATED OPERATING GROUP (a) For purposes of any allocations made under this Section 3.5.5, any two (2) or more Affiliated Commuter Carriers, and any two (2) or more Commuter Carriers which are members of an Associated Operating Group, shall be treated as a single Commuter Carrier, and they shall submit a combined PCAR for any requested allocation of Passenger Capacity. (b) Authorized Commuter Carriers submitting a combined PCAR under subparagraph (a) of this section may make an express election on the PCAR of the respective percentage of Passenger Capacity to be allocated to each of them under the single capacity allocation required by subparagraph (a) of this section. If no such election is made, the Passenger Capacity Allocation shall be divided equally among each Affiliate Commuter Carrier or Commuter Carrier member of an Associated Operating Group. (c) Any failure to comply with the requirements of this section, or any action by a Commuter Carrier inconsistent with the purposes and requirements of this section in respect of the request for, or operation of, a Passenger Capacity Allocation, shall be sufficient cause for the Airport Director or the County to modify or terminate the Passenger Capaci tyAllocation to any Commuter Carrier violating this subsection, or operating in any manner inconsistent with the allocation process required by this subsection. HISTORICAL NOTE October 1994 Amendments. On October4, 1994, the Orange County Board of Supervisors approved a series of amendments to the affiliate policy provisions of the ACCESS PLAN. These amendments included a number of regulations which apply to the formation of, allocations to, and general operation of Associated Operating Groups. 3.6 ALLOCATION OF CLASS E ADDS TO COMMUTER AND COMMERCIAL CARGO CARRIERS 3.6.1 COUNTY POLICY CONSIDERATIONS (a) John Wayne Airport operates within an extremely confined geographical space of approximately five hundred four (504) acres, with less than four hundred (400) JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 3-21 SECTION 3 - REGULAR ALLOCATIONS acres available for airfield operations. There is no significant undeveloped area of the airfield suitable for normal Commercial Cargo operations. Virtually all existing land and structural space has long been designated for commercial passenger and general aviation uses, and normal Commercial Cargo operations cannot be accommodated at JWA without a significant displacement of preexisting aeronautical uses. At the time of adoption of the JOHN WAYNE AIRPORT MASTER PLAN (1985), there was no expressed demand for Commercial Cargo facilities at JWA, and the 1985 MASTER PLAN did not, therefore, designate or contemplate construction of significant Commercial Cargo facilities, or significant Commercial Cargo operations. (b) Principally because of present and anticipated future congestion on the Southern California freeway system, certain Commercial Cargo Carriers have continued to indicate a desire to conduct regular cargo operations at most — if not all — Southern California air carrier airports — including JWA. This desire to increase the number of airports from which they conduct regular operations is related primarily to the "next day" package delivery services offered by some cargo airlines. (c) The Commercial Cargo Carriers expressing a desire to conduct Regularly Scheduled Air Service atJWA have indicated to the County their desire to operate their aircraft on "long-haul' route segments which, as a practical matter, would require the allocation of at least two hundred seventy-five (275) Class A Authorized Departures to each cargo carrier. The possible diversion of Class A ADDS from passenger service to cargo service raises significant issues with respect to anticipated airport revenues and potential environmental impacts. By providing for an allocation of Regulated Class A Authorized Departures to Commercial Cargo operators as evaluated in County FIR 582, and as approved by the Orange County Board of Supervisors on June 25, 2002, and December 10, 2002, the County has addressed the existing demand for all cargo service at JWA. (d) The impacts of Commercial Cargo Carriers with Air Carrier Aircraft at JWA has been addressed generally in County FIR 552 and County FIR 582. Future applications by Commercial Cargo Carriers for allocations of operational capacity beyond the level of service authorized by the County after consideration of FIR 582 and after approval of amendments to the 1985 Settlement Agreement would impose significant impacts and constraints on airport facilities and other airport users, and any future application for such service would have to be evaluated for environmental and operational impacts based upon circumstances which exist at the time any such application is made. (e) Within the extremely limited operational and physical capability of JWA to support regular operations by Commercial Cargo Carriers or Commuter Cargo (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-22 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS Carriers, and within the framework of this PLAN and previously declared County policy regarding the development and use of facilities and operational capacity at JWA, the County will continue to cooperate with potential cargo operators willing to comply with the County's policy and regulatory goals for JWA in an attempt to meet a reasonable level of legitimate demand for cargo service at JWA to the extent that that objective can be realized without significantly impacting other airport users, and without jeopardizing the County's financial, regulatory, and policy commitments and objectives. (f) The provisions of this PLAN allow the County to address Commercial Cargo issues without delaying the implementation and commencement of Phase 2 operations (e.g., Section 6.3.3). HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors' certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This section was revised consistent with these amendments. June 2003 Amendments. This section was revised consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement, including defining all regulated passenger flights as Class A flights, eliminating the Class AA/Class A Aircraft definition/distinction, and authorizing the allocation of up to four (4) permanent Class A ADDS for Commercial Cargo Carriers. 3.6.2 COMMERCIAL CARGO OPERATIONS (a) Any Commercial Cargo Air Carrier or Commuter Cargo Carrier who wishes to operate Regularly Scheduled Air Service at JWA solely for the purpose of carrying cargo or freight, and who will not carry Commercial Passengers on any flight operations to or from JWA, may request an allocation of a Regular Cargo Class A or Class E ADD for its operations. (b) Pursuant to amendments to this PLAN authorized by the Board of Supervisors in 1994 after Board certification of County EIR 552, and amendments to this PLAN authorized by the Board in 2002, after Board certification of EIR 582 and acceptance of Addendum 582-1, and as provided in Section 3.6.3, the Airport JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 3-23 SECTION 3 - REGULAR ALLOCATIONS Director may, in accordance with, and subject to, all other conditions, limitations or requirements of this PLAN applicable to Commercial Cargo operations, allocate a maximum of four (4) Regulated Class A Authorized Departures to Commercial Cargo Air Carriers during any Plan Year. (c) In the event the County does not receive requests from Commercial Cargo Carriers for allocation of all four (4) Regulated Class A Authorized Departures during any Plan Year, the Airport Director may, in accordance with, and subject to, all other conditions, limitations or requirements of this PLAN applicable to Commercial Air Carriers, allocate a maximum of two (2) of the four (4) Class A ADD cargo flights on a supplemental basis to Commercial Air Carriers for a period of up to one (1) Plan Year. (d) No person shall operate as a Commercial Cargo Carrier or Commuter Cargo Carrier at JWA unless it has received an allocation of aRegulated Class A ADD (or a specified number of Authorized Departures) or Class E ADD from the County. (e) Except as authorized by subparagraph (a) of this section, no person shall conduct Regularly Scheduled Air Service as a Commercial Cargo Carrier or Commuter Cargo Carrier from, or using, any physical facilities at JWA without the prior written consent of the Board of Supervisors. (f) Commercial Cargo Carriers may only use aircraft in operations at JWA which have been qualified by the Carrier under the requirements of Section 10. (g) No Commercial Cargo Carrier may conduct operations at JWA unless it has first submitted to the Airport Director a detailed operations plan and the Airport Director has given written approval of those operations. The request must be delivered to the Airport Director not less than thirty (30) days prior to the day on which the Cargo Air Carrier intends to commence Commercial Cargo Carrier operations, and each Commercial Cargo Carrier shall submit additional, updated, or revised operations forms at times during or prior to the commencement of any Plan Year which would otherwise be required of Air Carriers conducting operations at JWA under the provisions of this PLAN. The Airport Director may impose such conditions or limitations in granting any Commercial Cargo Carrier operations request which he believes necessary to ensure compliance with the terms, provisions, and limitations of this PLAN, and any other requirements which have been defined by the Board of Supervisors as County policy in respect of Commercial Cargo Carrier operations at JWA, including the conditions and limitations set forth in Section 3.6.3. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-24 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors 'certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This section was revised consistent with these amendments. June 2003 Amendments. This section has been revised to define all regulated passenger flights as Class A flights, to eliminate the Class AAIC/assA Aircraft definition/distinction, to provide reference to the four (4) permanent cargo Class A ADDS, and to provide reference to the ability of the Airport Director to allocate to the Passenger Commercial Carriers up to two (2) of the four (4) Class A ADD cargo flights on a supplemental basis for a period not to exceed one (1) Plan Yearif there is no demand for the cargo flights by the Cargo Air Carriers. Certain grammatical changes were also made to subsection (e) of this section. 3.6.3 LIMITATIONS AND CONDITIONS ON COMMERCIAL CARGO OPERATIONS (a) No more than a combined total of four (4) Regulated Class A Authorized Departures may be allocated to Commercial Cargo Carriers. (b) In the event the County does not receive requests from Commercial Cargo Carriers for allocation of all four (4) Regulated Class A Authorized Departures during any Plan Year, the Airport Director may, in accordance with, and subject to, all other conditions, limitations or requirements of this PLAN applicable to Commercial Air Carriers, allocate a maximum of two (2) of the four (4) Class A ADD cargo flights on a supplemental basis to Commercial Air Carriers for a period of up to one (1) Plan Year. (c) Except as may expressly be authorized by the Airport Director in a specific instance due to emergency, mechanical, weather, air traffic control, or other delays substantially beyond the control of the operator, no Commercial Cargo Carrier shall operate any aircraft or conduct cargo load/unload operations atJWA at any times other than the Permitted Cargo Operations Hours. (d) Except as may be expressly authorized in writing by the Airport Director, or as may expressly be authorized by the Airport Director (or his designee) in a specific instance due to emergency, mechanical, weather, air traffic control, or other circumstances substantially beyond the control of the operator, each JOHN WAYNE AIRPORT (As Amended Throughctobe , 2015) PHASE 2 ACCESS PLAN Page 3-25 SECTION 3 - REGULAR ALLOCATIONS Commercial Cargo Carrier shall position its aircraft while parked at JWA, and shall conduct all load and unload operations, in the Commercial Cargo Carrier Ground Operations Position assigned to that Carrier by the Airport Director. (e) No Qualified Commercial Cargo Operator shall store any Ground Service Equipment at JWA except in a Ground Service Equipment Storage Area designated for use by that Carrier by the Airport Director. (f) Each Commercial Cargo Carrier conducting ground operations at JWA shall conduct those operations in full compliance with the requirements of the AIR CARGO GROUND OPERATIONS PLAN as it may be amended from time to time upon a determination by the Airport Director or the Board of Supervisors, in the exercise of the sole and exclusive discretion of the County, that any amendment is necessary to provide an appropriate level of airfield operations safety, or as necessary to reduce or eliminate any unnecessary impacts of air cargo operations on the use of JWA by other airport users. HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board of Supervisors' certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This section was added consistent with these amendments. Section (g) of this section reflects the Commercial Cargo Carriers' lease term through March 31, 1997. The Board has approved two (2) subsequent lease renewals, the most recent for a period effective through March 31, 2000. June 2003 Amendments. This section has been revised to define all regulated passenger flights as Class A flights, to eliminate the Class AAIC/assA Aircraft definition/distinction, to provide reference to the four (4) permanent cargo Class A ADDS, and to provide reference to the ability of the Airport Director to allocate to the Passenger Commercial Carriers up to two (2) of the four (4) Class A ADD cargo flights on a supplemental basis for a period not to exceed one (1) Plan Year if there is no demand for the cargo flights by the Cargo Air Carriers. Certain grammatical changes were also made to subsection (e) of this section. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-26 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS 3.7 WAITING LIST PROCEDURES 3.7.1 COMMERCIAL AIR CARRIERS The Airport Director shall maintain a separate "waiting list" of persons desiring to commence Commercial Air Carrier operations at JWA in the order in which they gave written notice to the Airport Director of their desire to commence service after November 1, 1989. If the Airport Director determines that capacity is available for a new entrant Commercial Air Carrier, the Airport Director may, in accordance with, and subject to, all other conditions, limitations and requirements of this PLAN applicable to new entrant Commercial Air Carriers, allocate three (3) Regular ADDS and a corresponding level of allocated Seat Capacity, to the new entrant Commercial Air Carrier. HISTORICAL NOTE July 2015 Amendments. This section has been revised to provide reference to the number of Regular ADDS and the corresponding level of Seat Capacity that is allocated to a new entrant Commercial Air Carrier at JWA. 3.7.2 COMMUTER AIR CARRIERS The Airport Director shall maintain a separate "waiting list" of persons desiring to commence Commuter -Air Carrier operations atJWA in the order in which they gave written notice to the Airport Director of their desire to commence service after November 1, 1989. 3.8 OPERATIONS REPORTING REQUIREMENTS The effective implementation of this PLAN requires that the County acquire certain information on a consistent and predictable basis from Regularly Scheduled Commercial Users operating at JWA. As a condition of its receipt and utilization of Regular ADDS, Seat Capacity or Passenger Capacity Allocations, each Qualified Air Carrier, and each Qualified Commuter Carrier, shall comply fully, completely, and in a timely manner with each of the following reporting requirements: 3.8.1 CARRIER OPERATIONS PROJECTION FORMS Not later than thirty (30) days prior to each calendar quarter, each Qualified Air Carrier and each Qualified Commuter Carrier shall submit through the dedicated JWA website a CARRIER OPERATIONS PROJECTION FORM (APPENDI% F-1) to the Airport Director describing each carrier's projected operations at JWA for that quarter. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-27 SECTION 3 - REGULAR ALLOCATIONS HISTORICAL NOTE February 2005 Amendments. The February 2005 amendments to this section of the PLAN extended the period of time from forty-five (45) days to ninety (90) days prior to each quarter that each Qualified Air Carrier and each Qualified Commuter Carrier must deliver a CARRIER OPERATIONS PROJECTION FORM (APPENDIX F-1) to the Airport Director describing each carrier's projected operations at JWA for that quarter. September 2010 Amendments. The September 2010 amendments to this section of the PLAN reduced the period of time from ninety (90) days to forty-five (45) days prior to each quarter that each Qualified Air Carrier and each Qualified Commuter Carrier must deliver a Carrier Operations Projection Form (Appendix F-1) to the Airport Director describing each Carriers projected operations at JWA for that quarter. This time period amendment accommodates concerns voiced by the Carriers that it is difficult to submit an accurate Carrier Operations Projection Form ninety (90) days prior to each quarter and that a forty-five (45) day time period is more reasonable. July 2015 Amendments. This section was revised to reduce the period of time from forty-five (45) days to thirty (30) days prior to each quarter that each Qualified Air Carrier and each Qualified Commuter Carrier must deliver a Carrier Operations Projection Form (Appendix F-1) to the Airport Director. This time period adjustment further accommodates continuing concerns voiced by the Carriers that it is difficult to submit an accurate Carrier Operations Projection Form forty-five (45) days prior to each quarter. This section was also revised to require the submittal of the Form through the dedicated JWA website. 3.8.2 OPERATIONS PROJECTION FORM AMENDMENTS Whenever a Qualified Air Carrier or Qualified Commuter Carrier implements a schedule change or other modification to its operations which would make its current CARRIER OPERATIONS PROJECTION FORM inaccurate or incomplete, then, not less than ten (10) days prior to implementation of the modification or change, that carrier shall submit to the Airport Director an AMENDED CARRIER OPERATIONS PROJECTION FORM (APPENDIX F-9). (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-28 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments added the word "Carrier" to the titles of the APPENDIX F-1 and APPENDIX F-9 Forms for purposes of consistency. 3.8.3 DAILY OPERATIONS REPORTS For each day on which it conducts operations at JWA, each Qualified Air Carrier and each Qualified Commuter Carrier shall submit to the Airport Director through the dedicated JWA website a DAILY OPERATIONS REPORT FORM (APPENDIx F-2). The DAILY OPERATIONS REPORT FORM shall be submitted to the Airport Director not later than 0900 hours (local time) on the first working day following the day for which the report has been prepared. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments added "an original" to the first sentence of this section, and "0900 hours (local time) on" to the second sentence of this section. These were clarifying amendments to resolve problems encountered by airport staff in obtaining compliance from some operators with the purpose and intent of this section. June 2003 Amendments. Certain grammatical changes were made to this section. July 2015 Amendments. The July 2015 amendments require the submittal of the Daily Operations Report Forms through the dedicated JWA website. 3.8.4 CORRECTIVE ACTION REPORTS (a) Whenever the Airport Director concludes that any person regulated by this PLAN is engaged in activity which violates or threatens to violate the limitations or prohibitions of this PLAN, or is failing to take action necessary to avoid a violation of the PLAN, he may submit to that person a CORRECTIVE ACTION REPORT FORM (APPENDIx F-10) for completion and submission to the Airport Director by a specified date. The Airport Director's use of this procedure is discretionary and not mandatory. (b) Any person who receives a CORRECTIVE ACTION REPORT FORM from the Airport Director shall, within the time designated by the Airport Director, JOHN WAYNE AIRPORT (As Amended Throughctobe , 2015) PHASE 2 ACCESS PLAN Page 3-29 SECTION 3 - REGULAR ALLOCATIONS submit to him a completed CORRECTIVE ACTION REPORT FORM, together with any other information as the Airport Director may request. 3.9 OPERATIONS BY ASSOCIATED OPERATING GROUPS hi 1994, the Board of Supervisors adopted certain amendments to this PLAN, including the provisions of this section, which were intended to increase the flexibility and discretion of Commercial Air Carriers and Commuter Carriers in structuring their operations at JWA in the use of ADDS and related operating capacity allocated to them by permitting the formation and operation of Associated Operating Groups at JWA. It was not the purpose of these amendments, and it is not the intent of the County, that these provisions be interpreted or applied in a manner which circumvents, or is inconsistent with, the basic premise of capacity allocation fairness, or the environmentally based limitations of this PLAN. It is not the intent of the County that the provisions of this PLAN be interpreted or applied in a manner which unfairly prejudices other authorized Commercial Air Carriers or Commuter Carriers in the capacity allocation processes of this PLAN. Those provisions of this PLAN which relate to allocations to, and operations by, Associated Operating Groups will be interpreted and applied by the Airport Director and the County in a manner which ensures that the provisions of this PLAN will be implemented in afair and reasonable manner, consistent with the County's assurances to the United States of America under Airport Improvement Program grant agreements, and consistent with the basic objectives of the County to ensure fair and reasonable operational opportunities to all Qualified Air Carriers and Qualified Commuter Carriers serving JWA. If the Airport Director determines that any person or persons are attempting to use the Associated Operating Group provisions of this PLAN in a manner inconsistent with the County's contractual obligations to the United States, or the basic objectives of the County in the fair and efficient administration of this PLAN, the Airport Director shall promptly notify the Board of such activities and recommend appropriate action by the County. It is also not the intent of the Associated Operating Group provisions of this PLAN to encourage illegal anti-competitive conduct by any Regularly Scheduled Commercial User of JWA. The principle antitrust enforcement authority over commercial aviation activities rests with the United States Departments of Justice and Transportation. If the County or the Airport Director is advised by any appropriate federal authority that it believes that operations by any Associated Operating Group at JWA are occurring in a manner inconsistent with any antitrust law or policy of the United States, the Airport Director shall promptly advise the Board of the law or policy of the United States and of the relevant facts and circumstances and shall make a recommendation to the Board regarding appropriate action by the County to cooperate with the relevant federal authorities. The County reserves the right to modify, condition or withdraw its approval of any operations by, or allocations of operating capacity in any form to, any Associated Operating Group in the event that the County is advised by appropriate federal authorities that such operations are occurring in a manner inconsistent with any federal antitrust law or policy. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-30 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS 3.9.1 FORMATION OF ASSOCIATED OPERATING GROUPS (a) Subject to the limitations of Section 3.10 and of all requirements of this section, any two (2) or more Qualified Air Carriers, any two (2) or more Qualified Commuter Carriers, or any combination of Qualified Air Carriers and Qualified Commuter Carriers (other than a combination of one (1) Qualified Air Carrier and one (1) Qualified Commuter Carrier), may declare the existence of an Associated Operating Group by filing with the Airport Director a fully completed and executed DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP (APPENDIx F-21) ("FORM F-21") not later than forty-five (45) days prior to the date on which any operations are conducted under the authority of this section. The Airport Director shall review the FORM F-21. Ifthe FORM F-21 has been fully completed and executed, and if it appears that the proposed Associated Operating Group operations as disclosed on the FORM F-21 will otherwise be conducted in full compliance with this PLAN and all other applicable County rules, regulations, and contractual requirements, the Airport Director shall advise the Qualified Air Carriers within thirty (30) days after the Airport Director's receipt of the FORM F-21 that the County has approved operations by the Associated Operating Group. (b) Any (i) two (2) or more Affiliated Air Carriers, (ii) two (2) or more Affiliated Commuter Carriers, or (iii) two (2) or more Commuter Carriers simultaneously Affiliated with the same Air Carrier operating at JWA, shall be deemed by the County and the Airport Director to be an Associated Operating Group for all purposes under this PLAN. No such Air Carrier or Commuter Carrier may operate other than its Regular ADD or Authorized Seat Capacity allocation unless it has first complied fully with the requirements of Section 3.9 and Section 8.2.4 of this PLAN. Whether or not such an Associated Operating Group conducts operations under a FORM F-21 operations proposal, it shall be treated as an Associated Operating Group for purposes of the Section 3.10 and all reallocation provisions of this PLAN, including the allocation of RON positions, any and all allocations of supplemental operating capacity, and any reallocation of operating capacity under Section 7 of this PLAN. (c) No Qualified Air Carrier or Qualified Commuter Carrier which has requested and been authorized to conduct operations at JWA as part of an Associated Operating Group shall conduct its operations in any manner inconsistent with the operations proposal specified in the then -current approved FORM F-21 on file with the Airport Director, or under a subsequent approved FORM F-22 filed under subparagraph (d) of this subsection. (d) AnyAssociated Operating Group may amend or modify its FORM F-21 operating proposal by submitting to the Airport Director for approval under this section at JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 3-31 SECTION 3 - REGULAR ALLOCATIONS any time during the Plan Year an AMENDED DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP (APPENDIx F-22) ("FORM F-22"). Any FORM F-22 must be filed with the AirportDirector not less than thirty (30) days prior to the first date on which any change in operations by the Associated Operating Group are made or effected by any member operator of the Associated Operating Group. The Airport Director shall review and, if appropriate, approve any amended or modified FORM F-22 under the criteria and procedures, and within the time specified in subparagraph (a) of this section. (e) Each Associated Operating Group must file a Form F-21 at least once during each Plan Year. No Form F-21 or Form F-22 may be effective or approved for more than one (1) Plan Year, and no such approval may carry forward to succeeding Plan Years. Nothing in this section prohibits any Qualified Air Carrier or Associated Operating Group from submitting subsequent requests under subparagraph (a) of this section for one (1) or more successive Plan Years. HISTORICAL NOTE July 2015 Amendments. This section was revised to reduce the period of time from forty-five (45) days to thirty (30) days that any Associated Operating Group must deliver an Amended Declaration of Formation of Associated Operating Group Form (Appendix F-22) to the Airport Director. This time period adjustment accommodates concerns voiced by the Air Carriers that it is sometimes difficult to submit an Amended Declaration of Formation of Associated Operating Group Form forty-five (45) days prior to changes to the Associated Operating Group. 3.9.2 AIR CARRIER OPERATIONS UNDER ASSOCIATED OPERATING GROUPS — REGULAR ADDS AND ASSOCIATED SECTION 3.3.2 SEAT CAPACITY Qualified Air Carriers operating as an approved Associated Operating Group may conduct operations using their combined Regular ADD allocations, and any Supplemental ADD or Supplemental Authorized Departure allocation made to the Associated Operating Group during any Plan Year, in any manner consistent with the currently effective and approved FORM F-21 for that group. So long as the combined operations of the member Air Carriers of an approved Associated Operating Group do not exceed the limitations of this PLAN, including, but not limited to, the minimum and maximum use, maximum permitted noise levels, and any other provision or limitation of the PLAN otherwise applicable to a Qualified Air Carrier, the member Air Carriers may define their respective level of use, their combined ADD and Authorized Departure allocation, and any Class E Departure operations conducted under the authority of allocations made to any member Air Carrier pursuant to Section 3.4 of this PLAN. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-32 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS 3.9.3 LIMITATIONS ON TOTAL OPERATING CAPACITY AVAILABLE FOR USE BY ANY ASSOCIATED OPERATING GROUP The Airport Director may not approve, and no group of Air Carriers shall conduct operations as anAssociated Operating Group, ifthe proposed Associated Operating Group would utilize more than fifty percent (50%) of the authorized operating capacity under this PLAN in any Plan Year. To the extent that an Associated Operating Group would be in violation of the limitation of this subsection only as a result of the allocation of supplemental operating capacity under Section 4 of this PLAN, or the reallocation of Regular operating capacity under Section 7 of this PLAN, the Airport Director will not allocate any such operating capacity to the Associated Operating Group or any of its member Air Carriers or Commuter Carriers to the extent that the allocation would cause a violation of the limitations of this subsection. HISTORICAL NOTE October 1994 Amendments. On October4, 1994, the Orange County Board of Supervisors approved a series of amendments to the affiliate policy provisions of the ACCESS PLAN. These amendments include a number of regulations which apply to the formation of, allocations to, and general operation of Associated Operating Groups. This section was added consistent with these approved amendments. 3.10 ASSOCIATED OPERATING GROUP COMPLIANCE WITH OTHER ALLOCATION PROVISIONS OF THE PLAN Regularly Scheduled Commercial Users conducting operations at JWA as members of an authorized Associated Operating Group shall be permitted to exercise the same discretion as other Qualified Air Carriers and Qualified Commuter Carriers with respect to provisions of the PLAN affording discretion with respect to the use of the allocated operating capacity, including the "voluntary reduction" provisions of Sections 3.3.5, 3.5.4, and 5.11 of the PLAN. Air Carriers and Commuter Carriers conducting operations as anAssociated Operating Group shall be treated as a single Air Carrier or a single Commuter Carrier (as appropriate) for purposes of. (i) calculating RON allocations under Section 5 of the PLAN; (ii) making allocations of supplemental operating capacity under Section 4 of the PLAN; and (iii) for purposes of any reallocations of capacity to incumbent operators under Section 7 of the PLAN. 3.10.1 RON ALLOCATIONS (a) Member carriers of any Associated Operating Group wishing to receive aRON allocation under Section 5 of this PLAN shall submit a single combined RON JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 3-33 SECTION 3 - REGULAR ALLOCATIONS ALLOCATION REQUEST FORM (AIR CARRIER) (APPENDIx F-14), and DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP FORM (APPENDIx F-21). The member carriers, however, shall specify on the APPENDIx F-14 and APPENDIx F-21 forms the total number of loading bridge (i.e., gate or hard -stand) RON positions requested by each member carrier. Subject to the limitations set forth below, in any calculation of allocations of RON positions under Sections 5.3, 5.4 and 5.5 of this PLAN, all Air Carrier members of an Associated Operating Group which actually declare their intentto use a RON position on the APPENDIx F-14 and APPENDIx F-21 form filed by the Associated Operating Group shall be considered as a single Air Carrier, and their relevant Regular ADD allocations shall be combined for purposes of the calculation of the RON positions to be allocated to the Associated Operating Group. Regular ADDS of Air Carriers which are members of an Associated Operating Group, but which do not intend, or which do not in fact, use at least one (1) RON position during the Plan Year for which the RON is allocated, shall not be included in calculating the RON positions to be allocated to the Associated Operating Group. (b) Associated Operating Group agreements shall be disregarded for the limited purpose of the one (1) loading bridge allocation guarantee provided in Section 5.3 of the ACCESS PLAN. Therefore, each requesting Qualified Air Carrier shall receive an allocation of at least one (1) loading bridge RON position. (c) In the event any Air Carrier which is allocated one (1) loading bridge RON position consistent with the requirements of Section 5.3 does not meet the minimum utilization of RON allocation requirements specified in Section 8.3.9 for the loading bridge RON position allocated, the Air Carrier loading bridge RON position shall be terminated immediately, consistent with the requirements specified in Section 8.7.1 of the ACCESS PLAN, and the loading bridge RON position shall be reallocated in accordance with Section 5.5 of this PLAN. (d) If any Associated Operating Group is formed during aPlan Year, the Plan Year allocation of RON positions shall be recalculated by the Airport Director under this subsection, and as if the Associated Operating Group existed at the time the RON allocations were first made. It is the intent of this subparagraph that carriers not be permitted to manipulate the RON allocation process by forming Associated Operating Groups during a Plan Year, and after the annual RON allocation has been made, in order to obtain an advantage over otherAir Carriers in the application of the mathematical formula used under Section 5 of this PLAN for purposes of allocating RON positions. The Airport Director shall make any adjusted allocation required as aresult of the provisions of this subparagraph and shall reallocate any excess RON position(s) resulting from application of this subparagraph in accordance with the provisions of Section 5.5 of this PLAN. (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page 3-34 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS (e) If any member of anAssociated Operating Group whose RegularADD allocation was used for purposes of making the initial Plan Year allocation of RON positions abandons its use of all RON positions allocated to it during any Plan Year, the abandonment shall be deemed an abandonment by the Associated Operating Group, and the abandoned RON positions shall be reallocated in accordance with Section 5.5 of this PLAN. (f) Subject to the provisions of this subsection, members of anAssociated Operating Group may, after compliance with Section 5.2.2 of the PLAN, use RON positions allocated to the Group as they may determine to be appropriate from time to time during any Plan Year (or other period for which the RON position(s) has been allocated). HISTORICAL NOTE January 2004 Amendments. This section was revised to provide a one (1) loading bridge allocation guarantee, as provided in Section 5.3 of the ACCESS PLAN, subject to certain specific requirements. 3.10.2 ALLOCATIONS OF SUPPLEMENTAL OPERATING CAPACITY In any allocation of supplemental operating capacity under Section 4 of this PLAN (or otherwise), all members of an Associated Operating Group shall be treated as a single Air Carrier or a single Commuter Carrier (as appropriate) for purposes of making such allocations. 3.10.3 REALLOCATIONS OF REGULAR ADDS (a) In any reallocation ofRegularADDs under Section 7 of this PLAN (or otherwise), all Air Carrier members of an Associated Operating Group shall be treated as a single Air Carrier for purposes of making such allocations. (b) In making an allocation of RegularADD(s) to any Associated Operating Group under the authority of this subsection and Section 7 of this PLAN, the ADD(s) shall be deemed to have been made to the member Air Carrier(s) in accordance with the following priorities: (i) If an allocation of one or more Regular ADDS from an incumbent operator to a "new entrant' member of an Associated Operating Group has been made under Section 3.3.6, the incumbent operator(s) will be deemed to have priority within the Associated Operating Group (i.e., as between the incumbent operator and the "new entrant') to receive the JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 3-35 SECTION 3 - REGULAR ALLOCATIONS reallocated ADD of the same class originally reallocated to the new entrant operator under Section 3.3.6 until the incumbent operator has been allocated the same number ofADD(s) which were reallocated from it to the new entrant member of the Group. (ii) In all other circumstances, the reallocated ADD will be deemed to have been allocated as a Regular ADD to the member Air Carrier of the Associated Operating Group with the fewest number of RegularADDs in the class ofADD which is available for reallocation. In the event two (2) or more memberAir Carriers of an Associated Operating Group have an equal number ofRegularADDs in the class ofADD being reallocated, the Airport Director shall follow the "tie -breaking" procedures of Section 5.4(ii) of the PLAN. HISTORICAL NOTE November 2008 Amendment. On November 18, 2008, the Orange County Board of Supervisors approved amendments to Section 3.10.3 of the ACCESS PLAN to clarify that the reallocation priority relates only to the reallocation priority within an Associated Operating Group. 3.10.4 EFFECT OF FORMATION OF ASSOCIATED OPERATING GROUP ON WITHDRAWAL PRIORITIES UNDER SECTION 6 OF THE PLAN In the event of a reallocation ofRegularADDs (and any associated Seat Capacity) under Section 3.3.6 of this PLAN, the Airport Director shall adjust the Class A and Class E ADD withdrawal priority lists, and the Seat Block withdrawal priority list, in accordance with Section 7.4 of this PLAN. HISTORICAL NOTE October 1994 Amendments. On October4, 1994, the Orange County Board of Supervisors approved a series of amendments to the affiliate policy provisions of the ACCESS PLAN. These amendments included a number of regulations which apply to the formation of, allocations to, and general operation of Associated Operating Groups. This section has been added consistent with these amendments. June 2003 Amendments. This section has been revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. This section has also been revised to reference permanent Class E ADDS. These (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-36 PHASE 2 ACCESS PLAN SECTION 3 - REGULAR ALLOCATIONS revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the Access PLAN. 07 JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 3-37 SECTION 3 - REGULAR ALLOCATIONS This page left intentionally blank (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 3-38 PHASE 2 ACCESS PLAN SECTION 4 SUPPLEMENTAL ALLOCATIONS 4.1 COUNTY POLICY AND DISCRETION Because of the current shortfall of airport capacity in Orange County to serve the full level of County -generated air passenger demand, and because the extent of this capacity shortfall is expected to increase consistently and substantially during the term of this PLAN, it is the policy of the County, within the Map Limitation, Regulated ADD Limitation, and other environmental, operational, and safety limitations applicable to operations at JWA, to serve the maximum feasible number of Commercial Passengers at JWA during each Plan Year. The County reserves to itself the right, and the sole and exclusive discretion, to make allocations of supplemental operational capacity, whether by means of supplemental Authorized Departures, supplemental Seat Capacity, supplemental Commuter Passenger Capacity, or otherwise, in such a manner, to such an extent, to such persons, and on such terms and conditions as it may deem appropriate and as best serving, in the sole and exclusive judgment of the Board of Supervisors, the goals, policies, and regulations of the County in its management, operation, and development of JWA. 4.2 SUPPLEMENTAL ALLOCATIONS OF CLASS A AND CLASS E DEPARTURES 4.2.1 AIRPORT DIRECTOR RECOMMENDATIONS Not less than forty-five (45) days prior to the commencement of any Supplemental Allocation Period, the Airport Director may make a recommendation to the Board of Supervisors, for its consideration on a regular agenda, regarding the number and class of supplemental departures to be allocated for use during the Plan Year or the Supplemental Allocation Period. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to this section. June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment, and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 4-1 SECTION 4 - SUPPLEMENTAL ALLOCATIONS 4.2.2 SUPPLEMENTAL DEPARTURE ALLOCATION REQUESTS (a) Prior to submitting his recommendations to the Board of Supervisors under Section 4.2.1, the Airport Director shall notify each Qualified Air Carrier of his intended recommendations, and invite each Qualified Air Carrier to submit written requests for supplemental departure allocations by a date specified in the Airport Director's notice. (b) Each request for an allocation of supplemental departures shall be submitted on a SUPPLEMENTAL AUTHORIZED DEPARTURE REQUEST FORM (AIR CARRIER) (APPENDIR F -11(S)). 4.2.3 SUPPLEMENTAL DEPARTURE ALLOCATION PRIORITIES Subject to the discretion of the County set forth in Section 4.1, in the event any supplemental Authorized Departures are authorized for distribution by the Board of Supervisors during any Supplemental Allocation Period, they normally will be allocated in accordance with the following priorities: (a) Class A and Class E supplemental departures will be allocated equally among all requesting Qualified Air Carriers which, at the beginning of the quarter for which the supplemental allocation is to be made, have fully qualified Class A or Class E Aircraft (as necessary for allocations in each class) for use at JWA in accordance with all provisions of Section 10; (b) If any Qualified Air Carrier requests less than its prorata share of any supplemental allocation (as determined by the number of Qualified Air Carriers requesting supplemental departure allocations in each class), it shall receive the number of departures requested, and the remainder shall be divided equally among the remaining requesting Qualified Air Carriers; and (c) To the extent that the Board of Supervisors has authorized supplemental departure allocations for use during any Plan Year or Supplemental Allocation Period, and the supplemental departures are not fully allocated under this section, the Airport Director may make additional allocations of the previously authorized but unallocated supplemental departures to requesting Qualified Air Carriers during the remainder of the Plan Year or Supplemental Allocation Period on a first-come/first-served basis. (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page 4-2 PHASE 2 ACCESS PLAN SECTION 4 - SUPPLEMENTAL ALLOCATIONS HISTORICAL NOTE December 1990 Amendments. The word "equally" was added to subsection (b) on the request of United Airlines and the concurring recommendation of the Airport Commission. This was a clarifying amendment, since subsection (b), as amended, describes a procedure used in past access plans and is consistent with the staff interpretation of the original language. June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment, and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. 4.2.4 SUPPLEMENTAL DEPARTURE SEAT CAPACITY LIMITATIONS Whenever the Airport Director advises a Qualified Air Carrier that it has received a supplemental departure allocation in any class, he shall designate a specific Seat Capacity limitation applicable to the allocation. To the extent practicable, the Seat Capacity allocation made with each supplemental departure allocation shall be equal to the number of Seat Capacity necessary for operations by the aircraft type(s) which the requesting carrier has designated on its SUPPLEMENTAL AUTHORIZED DEPARTURE REQUEST FORM (AIR CARRIER) (APPENDIx F -11(S)) as being the aircraft type(s) it intends to use in connection with the supplemental departure allocation. 4.3 SUPPLEMENTAL SEAT CAPACITY ALLOCATIONS TO AIR CARRIERS Regardless of whether the County makes an allocation of supplemental departures during any Supplemental Allocation Period, the County may, in the exercise of its sole and exclusive discretion, and in furtherance of the policies and considerations set forth in Section 4.1 and other relevant provisions of this PLAN, make an allocation to Qualified Air Carriers of supplemental Seat Capacity to be used during the Plan Year, or during a specific Supplemental Allocation Period. 4.3.1 AIRPORT DIRECTOR RECOMMENDATIONS Not less than forty-five (45) days prior to the commencement of any Supplemental Allocation Period, the Airport Director may make a recommendation to the Board of Supervisors for their consideration on a regular agenda regarding the amount of supplemental Seat Capacity to be allocated for the Supplemental Allocation Period, or for the remainder of any Plan Year. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 4-3 SECTION 4 - SUPPLEMENTAL ALLOCATIONS 4.3.2 SUPPLEMENTAL SEAT CAPACITY ALLOCATION REQUESTS (a) Prior to submitting his recommendations to the Board of Supervisors under Section 4.3.1, the Airport Director shall notify each Qualified Air Carrier of his intended recommendations, and invite each Qualified Air Carrier to submit written requests for supplemental Seat Capacity allocations by a date specified in the Airport Director's notice. (b) Each request for an allocation of supplemental Seat Capacity shall be submitted on a SUPPLEMENTAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) (APPENDIx F -12(S)). 4.3.3 SUPPLEMENTAL SEAT CAPACITY ALLOCATION PRIORITIES Subject to the discretion of the County set forth in Section 4.1, in the event any supplemental Seat Capacity is authorized for distribution by the Board of Supervisors during any Supplemental Allocation Period, it normally will be allocated in accordance with the following priorities: (a) Supplemental Seat Capacity will be allocated equally among all requesting Qualified Air Carriers; (b) If any Qualified Air Carrier requests less than its prorata share of the supplemental allocation (as determined by the number of Qualified Air Carriers requesting supplemental Seat Capacity allocations), the carrier shall receive the supplemental Seat Capacity requested, and the remainder shall be divided equally among the remaining requesting Qualified Air Carriers; and (c) To the extent that the Board of Supervisors has authorized supplemental Seat Capacity allocations for use during any Plan Year, and the authorized supplemental Seat Capacity is not fully allocated under this section, the Airport Director may allocate the previously authorized but unallocated supplemental Seat Capacity to requesting Qualified Air Carriers during the remainder of the Plan Year on a first-come/first-served basis. 4.4 SUPPLEMENTAL PASSENGER CAPACITY ALLOCATIONS TO COMMUTER CARRIERS Regardless of whether the County makes an allocation of supplemental departures or supplemental Seat Capacityto Commercial Air Carriers during any Supplemental Allocation Period, the County may, in the exercise of its sole and exclusive discretion, and in furtherance of the policies and considerations set forth in Section 4.1 and other relevant provisions of this PLAN, make supplemental Passenger Capacity Allocations to Qualified Commuter Carriers to be used during a specific Plan Year. (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page 4-4 PHASE 2 ACCESS PLAN SECTION 4 - SUPPLEMENTAL ALLOCATIONS 4.4.1 AIRPORT DIRECTOR RECOMMENDATIONS Not less than forty-five (45) days prior to the commencement of any Supplemental Allocation Period, the Airport Director may make a recommendation to the Board of Supervisors for their consideration on a regular agenda regarding the amount of supplemental Passenger Capacity to be allocated for use during the Plan Year. 4.4.2 SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION REQUESTS (a) Prior to submitting his recommendations to the Board of Supervisors under Section 4.4.1, the AirportDirector shall notify each Qualified Commuter Carrier of his intended recommendations, and invite each Qualified Commuter Carrier to submit written requests for supplemental Passenger Capacity Allocations by a date specified in the Airport Director's notice. (b) Each request for a supplemental Passenger Capacity Allocation shall be submitted on a SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION REQUEST FORM (COMMUTER CARRIER) (APPENDI% F -13(S)). 4.4.3 SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION PRIORITIES Subject to the discretion of the County set forth in Section 4. 1, in the event supplemental Passenger Capacity Allocations are authorized for distribution by the Board of Supervisors during any Plan Year, the allocation normally will be made in accordance with the following priorities: (a) All Supplemental Passenger Capacity Allocations will be made equally to all requesting Qualified Commuter Carriers; (b) If any Qualified Commuter Carrier requests less than its prorata share of any such supplemental allocation (as determined by the number of Qualified Commuter Carriers requesting supplemental Passenger Capacity Allocations), it shall receive the supplemental Passenger Capacity Allocation requested, and the remainder shall be divided equally among the remaining requesting Qualified Commuter Carriers; and (c) To the extent that the Board of Supervisors has authorized supplemental Passenger Capacity Allocations for use during anyPlan Year, and the authorized supplemental Passenger Capacity is not fully allocated under this section, the Airport Director may allocate the previously authorized but unallocated supplemental Passenger Capacity to requesting Qualified Commuter Carriers during the remainder of the Plan Year on a first-come/first-served basis. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 4-5 SECTION 4 - SUPPLEMENTAL ALLOCATIONS 4.5 CONDITIONS ON SUPPLEMENTAL ALLOCATIONS 4.5.1 BOARD OF SUPERVISORS CONDITIONS All supplemental allocations made under this Section 4 shall be made on, and subject to, such conditions as the Board of Supervisors may determine at the time it authorizes the allocation, and shall become effective only upon receipt by the Airport Director of an executed addendum to the lease or operating agreement of each Qualified Air Carrier or Qualified Commuter Carrier receiving any of the allocation which: (i) incorporates the Board required conditions; and (ii) which is in a form acceptable to the Airport Director and to the County Counsel. HISTORICAL NOTE July 1999 Amendments. The July 1999 amendments made grammatical changes to Section 4.5.1 by adding the word "of." 4.5.2 AIRPORT DIRECTOR CONDITIONS In addition, any supplemental allocations made under the authority of Sections 4.2.3(c), 4.3.3(c), or 4.4.3(c) shall also be made on, and subject to, whatever additional conditions the Airport Director may determine to be appropriate at the time he actually makes the allocation. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to this section. 4.5.3 AIR CARRIER LIMITS No Air Carrier may receive an allocation of supplemental departures during any Supplemental Allocation Period which is greater than the prorata number of departures which the Air Carrier would be authorized to operate during the period as a result of its Regular ADD allocation(s) made under Section 3. 1.1 and Section 3.1.2, plus the prorata number of Class E Departures previously authorized for use by the Air Carrier during that period by the Airport Director under Section 3.4. 4.5.4 COMMUTER CARRIER LIMITS No Commuter Carrier may receive an allocation of supplemental Passenger Capacity during any Supplemental Allocation Period in an amount greater than the prorata amount of Passenger (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 4-6 PHASE 2 ACCESS PLAN SECTION 4 - SUPPLEMENTAL ALLOCATIONS Capacity allocated to the Commuter Carrier for use during that Supplemental Allocation Period under Section 3.5. 4.5.5 NO CAPACITY CARRYFORWARDS No supplemental allocation made under this Section 4 may be carried forward to a subsequent Plan Year, and all supplemental allocations of Authorized Departures, Seat Capacity, and Passenger Capacity shall expire completely, and without further action of the County or the Board of Supervisors, at the close of business on the last day of the Plan Year for which the allocations were made. If any supplemental capacity allocation is made expressly applicable to any Supplemental Allocation Period, then the allocation will expire completely, and without further action of the County, at the close of business on the last day of the Supplemental Allocation Period. 4.5.6 CLASS E DEPARTURES TO COMMUTER CARRIER AFFILIATES Any allocation of supplemental Class E Departures with Class E Aircraft configured with more than seventy (70) passenger seats, or regularly operating at gross takeoff weights of more than ninety thousand (90,000) pounds, may be requested by any Qualified Air Carrier for use by a Qualified Commuter Carrier Affiliate in accordance with the provisions and limitations of Section 3.4.2. HISTORICAL NOTE June 2003 Amendments. The definition of Commuter Air Carrier was revised to include Class EAircraft regularly configured with not more than seventy (70) passenger seats, instead of fifty (50) passenger seats, and operating at a gross takeoff weight of not more than ninety thousand (90,000) pounds, instead of sixty thousand (60,000) pounds, consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement. 4.6 REPORTING OBLIGATIONS AS A CONDITION TO ANY SUPPLEMENTAL ALLOCATION No Qualified Air Carrier or Qualified Commuter Carrier shall be eligible for any supplemental allocation under this section unless, at the time it submits the request for a supplemental allocation required by Section 4.2.2(b), Section 4.3.2(b), or Section 4.4.2(b), it is in full and current compliance with all reporting obligations and requirements of this PLAN, including (but not limited to) the requirements of Section 8.2.4 and Section 10.3.3. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 4-7 SECTION 4 - SUPPLEMENTAL ALLOCATIONS 4.7 COMPLIANCE WITH MAP LIMITATION AND REGULATED ADD LIMITATION No allocation of supplemental Authorized Departures, Seat Capacity, or Passenger Capacity may be made which will cause the MAP Limitation or the Regulated ADD Limitation to be exceeded during any Plan Year. Any supplemental allocation of Authorized Departures, Seat Capacity, or Passenger Capacity is subject to immediate modification or revocation by the Airport Director if he deems that action is necessary in order to remain within the MAP Limitation or the Regulated ADD Limitation. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 4-8 PHASE 2 ACCESS PLAN SECTION 5 RON ALLOCATIONS The limited physical facilities available at JWA during the period of this PLAN for parking Air Carrier and Commuter Carrier aircraft requires that the County, in the interests of safe and efficient operations at JWA, and in support of an appropriate mix of uses of the airport, limit the number of Air Carrier and Commuter Carrier RON positions, control the location and use of Air Carrier and Commuter Carrier RON positions, and place certain other restrictions on RON activity at the airport. 5.1 AIR CARRIER RON LIMITATIONS It is the present policy of the County to assign and, if necessary, allocate RON positions to Qualified Air Carriers for periods of one (1) Plan Year. 5.1.1 LIMIT ON NUMBER OF RON AIRCRAFT Except for such emergency circumstances as the Airport Director may determine reasonably requires authorizing a temporary RON to a specific Qualified Air Carrier, on any day during the period of this PLAN, there shall not be more than twenty-seven (27) Air Carrier aircraft which are permitted to RON at JWA. HISTORICAL NOTE September 1993 Amendments. In September 1993, the Airport Director revised the number of available RON positions from twenty-two (22) positions to twenty-seven (27) positions. 5.1.2 RON ALLOCATION REQUIRED Except as the Airport Director may specifically direct in an emergency situation, no Air Carrier shall cause any aircraft to RON at JWA unless the Air Carrier has received for the current Plan Year aRON position allocation from the Airport Director. 5.1.3 PROHIBITION AGAINST EXCESS RON AIRCRAFT Except as the Airport Director may specifically direct in an emergency situation, no Air Carrier shall, at any time, cause more aircraft to RON at JWA than the number of RON positions which have been allocated to it for the current Plan Year by the Airport Director. JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 5-1 SECTION 5 - RON ALLOCATIONS 5.1.4 USE OF SPECIFIC RON POSITION REQUIRED Except as the Airport Director may specifically direct in an emergency situation, no Air Carrier shall cause any aircraft to RON at JWA at anyplace other than the specific RON position assigned to that aircraft by the Airport Director. 5.1.5 USE OF AIR CARRIER APRON MANDATORY Except as the Airport Director may specifically direct in an emergency situation, no Air Carrier shall, at any time, operate, park, or cause any aircraft to: (i) RON on the leased premises of any Fixed Base Operator at JWA; or (ii) operate or park on any other pavement surface at JWA where the aircraft has a gross weight in excess of the Maximum Permitted Ground Operations Weight for that pavement surface. It is the intent of this section that Air Carriers will park their aircraft, for RON or any other purpose, only on the air carrier apron adjacent to the airline passenger terminal. 5.2 AIR CARRIER RON ALLOCATION REQUESTS 5.2.1 TIMELY RON REQUEST FORM REQUIRED Not later than one hundred fifty (150) days prior to the beginning of each Plan Year, each Qualified Air Carrier wishing to receive an allocation of RON position(s) for that Plan Year shall submit a completed request to the Airport Director on a RON ALLOCATION REQUEST FORM (AIR CARRIER) (APPENDIx F-14). Each Qualified Air Carrier requesting an allocation of RON positions for that Plan Year must specify both the total number of loading bridge RON positions requested (i. e., hard -stand and gate positions) and the total number of apron RON positions requested. HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. July 2015 Amendments. This section was revised to increase the period of time from ninety (90) days to one hundred fifty (150) days prior to each Plan Yearthat each Qualified Air Carrier must submit a completed RON Allocation Request Form (Appendix F-14) to the Airport Director. This time period adjustment provides the necessary time for the Airport to process and allocate RON capacity prior to each Plan Year. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 5-2 PHASE 2 ACCESS PLAN SECTION 5 - RON ALLOCATIONS 5.2.2 AMENDED RON REQUEST FORM At any time an Air Carrier which has received a RON allocation for the current Plan Year proposes to change its scheduled operations at JWA in any manner which would make any information contained in the Air Carrier's current RON ALLOCATION REQUEST FORM (AIR CARRIER) inaccurate, the Air Carrier shall submit an AMENDED RON INFORMATION FORM (APPENDIx F-15) to the Airport Director not less than thirty (30) days prior to the implementation of any such schedule or other operational change. HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 5.3 RON ALLOCATION PROCEDURES If the RON ALLOCATION REQUEST FORMS (AIR CARRIER) submitted to the Airport Director indicate that more than twenty-seven (27)Air CarrierRON spaces have been requested for the following Plan Year, he shall allocate the Air Carrier RON spaces in accordance with the following priorities and procedures: (i) Any RON request for a period less than the full Plan Year shall be denied; if further allocation is necessary, then (ii) Any RON request intended for use for less than six (6) days per week shall be denied; if further allocation is necessary, then (iii) Any RON request for an aircraft scheduled to depart after 0900 hours shall be denied; if further allocation is necessary, then (iv) RON spaces shall be allocated to the requesting Qualified Air Carriers in the proportion that their Regular Class A and permanent Class E ADDS (less any ADDS not actively assigned to the carrier at the time of the allocation [see, e.g., Section 3.1.4]) bears to the total number of Regular Class A and Class E ADDS allocated to all requesting Air Carriers, except that the RON allocation formula shall be modified to consider any permanent Class EADDs allocated on atwo-for-one (2:1) basis as compared to Class A allocations, and except that each requesting Qualified Air Carrier shall receive an allocation of at least one (1) loading bridge RON position (i.e., gate or hardstand position). If a loading bridge RON is not requested, each requesting Qualified Air Carrier shall receive an allocation of at least one (1) RON apron position. Fractional allocations shall be rounded to the nearest whole number, except that the total Air Carrier RON allocation shall not exceed twenty-seven (27) RON positions. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 5-3 SECTION 5 - RON ALLOCATIONS (v) The Air Carriers shall make specific loading bridge and apron RON position assignments by consensus within thirty (30) days from the date when the loading bridge and apron RON allocations are made. If the Air Carriers fail to reach a consensus regarding the specific loading bridge and apron RON position assignments within that time period, the Airport Director shall make specific loading bridge and apron RON position assignments in the manner, and within the timeframe, he determines is appropriate. In exercising his discretion, the Airport Director may take into account such factors as which Air Carriers have been required to utilize the hard -stand position(s) over the past Plan Year(s). (vi) The Airport Director reserves to himself the right, and the sole and exclusive discretion, to make allocations of gate and other RONs in a manner, to such an extent, to such persons, and on such terms and conditions as he may deem appropriate and as best serving, in his sole and exclusive judgment, the goals, policies, and regulations of the County in its management and development of JWA. Preference for loading bridge RON assignments (i. e., gate or hardstand positions) shall be given to an aircraft scheduled to depart on or before 0730 hours (local time). (vii) All aircraft using a loading bridge RON position (i.e., gate or hardstand) for departures scheduled at or before 0900 hours (local time) shall occupy the loading bridge RON position for a period of not more than forty-five (45) minutes, beginning at 0645 hours (local time), Monday through Saturday, and beginning at 0745 hours (local time) on Sunday. This requirement may also be imposed by the Airport Director on aircraft occupying remote RON positions not at Loading Bridge RON positions during the early morning departure time period, at or before 0900 hours (local time). HISTORICAL NOTE September 1993 Amendments. In September 1993, the Airport Director revised the number of available RON positions from twenty-two (22) positions to twenty-seven (27) positions. June 2003 Amendments. This section was revised to modify the RON allocation procedures to provide the Airport Director with the discretion to allocate gate and other RONs and to impose a turn -around time -limit rule for gate RON positions. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. February 2005 Amendments. This section was revised to imposed a preference for loading bridge RON assignments (Le., gate or hard -stand positions) to aircraft scheduled to depart on or before (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 5-4 PHASE 2 ACCESS PLAN SECTION 5 - RON ALLOCATIONS 0730 hours (local time), to impose a forty-five (45) minute turn -around time limit, and to require the Air Carriers to make specific loading bridge and apron RON position assignments by consensus within thirty (30) days from the date when the loading bridge and apron RON allocations are made by the Airport Director. 5.4 "TIE -BREAKING" RON ALLOCATION PROCEDURES In the event application of the allocation formulas of Section 5.3 results in two (2) or more requesting Qualified Air Carriers having an equal mathematical "remainder" interest in one (1) or more available RON positions, and if meeting all such allocation requests would result in an allocation of more than twenty-seven (27) Air Carrier RON positions, then the Airport Director shall apply the following "tie -breaking" procedures: (i) The "remainder" RON position(s) shall be allocated to the Air Carrier(s): (A) with the lowest number of allocated RON positions before use of the tie -breaking procedures; and (B) which received fewer RON position allocations than they originally requested. If further allocation is necessary, then (ii) The Airport Director shall conduct a coin toss which affords each of the affected Air Carriers an equal chance to be selected for the allocation. The Airport Director shall give at least seventy-two (72) hours verbal notice to the local station manager or other local official of each affected airline of the time and place where the coin toss will be held and allow such representatives, if they so desire, to be present at the time of the coin toss. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments changed the notice period required by this section from twenty-four (24) hours to seventy-two (72) hours. The amendment was requested by airline commentators. September 1993 Amendments. In September 1993, the Airport Director revised the number of available RON positions from twenty-two (22) positions to twenty-seven (27) positions. June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 5.5 AIR CARRIER RON WAITING LIST For each Plan Year in which the number of allocated Air Carrier RON positions is less thanthe total number of requested RON positions, the Airport Director shall maintain a list of Air Carrier RON JOHN WAYNE AIRPORT (As Amended Throughctobe , 2015) PHASE 2 ACCESS PLAN Page 5-5 SECTION 5 - RON ALLOCATIONS requests which have been denied, prioritizing them by reference to the fractional share of one (1) RON space to which each requesting Qualified Air Carrier would otherwise have been entitled at the time of its request ("the RON waiting list"). The eligible Air Carriers shall be listed beginning with the Air Carrier with the most negative fraction to the Air Carrier with the most positive fraction (as calculated by subtracting the number of RON positions allocated to the carrier from the unrounded calculation required by Section 5.3(iv)). In the event any Air Carrier thereafter abandons or forfeits an allocated RON position, the Airport Director may reallocate the available RON position for the remainder of the Plan Year by offering allocation of the position to the Air Carrier(s) in the order in which they appear on the RON waiting list. Any Air Carrier which receives a reallocated RON position under this section shall then be placed at the end of the RON waiting list. HISTORICAL NOTE July 1999 Amendments. In July 1999, the term "largest' was replaced with the term "most' in order to accurately reflect the meaning of this section. 5.6 COMMUTER CARRIER RON LIMITATIONS It is the present policy of the County to assign and, if necessary, to allocate RON positions to Qualified Commuter Carriers for periods of one (1) Plan Year. 5.6.1 LIMIT ON NUMBER OF RON AIRCRAFT Except for such emergency circumstances as the Airport Director may determine reasonably requires authorizing aRONposition to a specific Qualified Commuter Carrier, and except for RON positions authorized under Section 5.12, on any day during the period of this PLAN there shall not be more than six (6) Commuter Carrier aircraft which are permitted to RON at JWA. Although not subject to the numerical limits of this section, any RON positions authorized under Section 5.12 are subject to the provisions of Sections 5.6.2 through 5.6.4. 5.6.2 RON ALLOCATION REQUIRED Except as the Airport Director may specifically direct in an emergency situation, no Commuter Carrier shall cause any aircraft to RON at JWA unless the Commuter Carrier has received for the current Plan Year aRON position allocation or approval from the Airport Director under Section 5.8 or Section 5.12. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 5-6 PHASE 2 ACCESS PLAN SECTION 5 - RON ALLOCATIONS 5.6.3 PROHIBITION AGAINST EXCESS RON AIRCRAFT Except as the Airport Director may specifically direct in an emergency situation, no Commuter Carrier shall, at any time, cause more aircraft to RON at JWA than the total number of RON positions currently: (i) allocated to it under Section 5.8; and (ii) approved by the Airport Director under Section 5.12. 5.6.4 USE OF SPECIFIC RON POSITION REQUIRED Except as the Airport Director may specifically direct in an emergency situation, no Commuter Carrier shall cause any aircraft to RON at JWA at any place other than the specific RON position assigned to that aircraft (or approved under Section 5.12) by the Airport Director. 5.6.5 USE OF AIR CARRIER APRON MANDATORY Except as the Airport Director may specifically direct in an emergency situation, and except as provided in Section 5.12, no Commuter Carrier shall, at any time, operate, park, or cause any aircraft to: (i) RON on the leased premises of any Fixed Base Operator at JWA; or (ii) operate or park on any other pavement surface at JWA where the aircraft has a gross weight in excess of the Maximum Permitted Ground Operations Weight for that pavement surface. It is the intent of this section that, except as permitted by Section 5.12, Commuter Carriers will park their aircraft, for RON or any other purpose, only on the air carrier apron adjacent to the airline passenger terminal. 5.7 COMMUTER CARRIER RON ALLOCATION REQUESTS Not later than one hundred fifty (150) days prior to the beginning of each Plan Year, each Qualified Commuter Carrier wishing to receive an allocation of RON position(s) for that Plan Year shall submit a request to the Airport Director on a RON ALLOCATION REQUEST FORM (COMMUTER CARRIER) (APPENDIx F-16). HISTORICAL NOTES June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. July 2015 Amendments. The July 2015 amendments revised this section to increase the period of time from one hundred twenty (120) days to one hundred fifty (150) days prior to beginning of each Plan Year that each Qualified Commuter Carrier must deliver a RON Allocation Request Form (Appendix F-16) to the Airport Director. This time period adjustment provides the necessary time for the Airport to process and allocate RON capacity prior to each Plan Year. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 5-7 SECTION 5 - RON ALLOCATIONS 5.8 COMMUTER CARRIER RON ALLOCATION PROCEDURES The Airport Director shall allocate RON positions to the requesting Qualified Commuter Carriers in increments of one (1) RON position, beginning with the Commuter Carrier with the largest Passenger Capacity Allocation made under Section 3.5 for the Plan Year for which the RON allocation is made, and proceeding sequentially to the requesting Commuter Carrier with the smallest Passenger Capacity Allocation. The Airport Director shall continue the allocation to requesting Qualified Commuter Carriers using the same "top-down" order of allocation until all requesting Qualified Commuter Carriers have received their requested RON position allocations, or until six (6) Commuter Carrier RON positions have been allocated, which ever first occurs. 5.9 COMMUTER CARRIER RON WAITING LIST For each Plan Year in which the number of allocated Commuter Carrier RON positions is less than the total number of requested Commuter Carrier RON positions, the Airport Director shall maintain a list of Qualified Commuter Carrier RON requests which have been denied, prioritizing them by use of the Section 5.8 allocation order list ("the Commuter Carrier RON waiting list"). The eligible Commuter Carriers shall be listed beginning with the first requesting Qualified Commuter Carrier which did not receive a requested RON position (using and assuming the sequential allocation process of Section 5.8). In the event any Commuter Carrier thereafter abandons or forfeits an allocated RON position, the Airport Director may reallocate the available space for the remainder of the Plan Year by offering allocation of the abandoned or forfeited RON position to the Commuter Carrier(s) in the order in which they appear on the RON waiting list. Any Commuter Carrier which receives a reallocated RON position under this section shall then be placed at the end of the Commuter Carrier RON waiting list. 5.10 NOTIFICATION TO CARRIERS In the event an allocation of RON positions is required under Section 5.3 or Section 5.8, the Airport Director shall notify the affected Air Carriers or Commuter Carriers in writing of the results of his RON position allocation as soon as reasonably practicable. The Airport Director shall make reasonable efforts to give the notice not less than sixty (60) days prior to the beginning of the Plan Year for which the allocation is made. 5.11 VOLUNTARY ABANDONMENT OF RON ALLOCATION Any Air Carrier or Commuter Carrier which has received an allocation of aRON position may voluntarily abandon the allocation by giving written notice to the Airport Director of its intent to cease using the allocation for the remainder of the Plan Year not less than forty-five (45) days prior to the date on which the allocation will be abandoned. If notice of a voluntary abandonment is given within the time permitted by this section, the provisions of Sections 8.3.9 and 8.7.1 shall not apply to the abandonment. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 5-8 PHASE 2 ACCESS PLAN SECTION 5 - RON ALLOCATIONS HISTORICAL NOTES December 1990 Amendments. The December 1990 amendments added the phrase "for the remainder of the Plan Year," and substituted "ninety (90)" days for "thirty (30)" days. The first change was a clarifying amendment. The second change was recommended by staff to allow a sufficient period of time to reallocate the RON position in a manner which will maximize achievement of the County's objective of maximizing use of allocated RON positions. July 2015 Amendments. The July 2015 amendments revised this section to decrease the period of time from ninety (90) days to forty-five (45) days for any Air Carrieror Commuter Carrierto provide the Airport Director with notice of its intent to cease using a RON position. 5.12 SUPPLEMENTAL COMMUTER CARRIER RON POSITIONS Because aircraft typically used by Commuter Carriers are relatively small in size, and because, during the term of this PLAN, the demand for Commuter Carrier RON positions may significantly exceed the space available to accommodate such aircraft, the County may permit (in its sole and exclusive discretion), in individual cases, Qualified Commuter Carrier aircraft to RON at locations other than the air carrier ramp. All such allocations are subject to the additional conditions of the following subsections: 5.12.1 WRITTEN AUTHORIZATION REQUIRED No Commuter Carrier shall RON any aircraft at JWA unless it has first received: (a) a RON position allocation under Section 5.8; or (b) written authorization from the Airport Director under the authority of this section which specifies: (i) the exact location of the authorized RON position; and (ii) the duration of the authorization, which shall not be greater than one (1) Plan Year. HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 5.12.2 COMMUTER CARRIER SUPPLEMENTAL RON POSITION REQUESTS Any Commuter Carrier wishing to cause any aircraft to RON at JWA at locations other than the air carrier ramp shall submit a RON ALLOCATION REQUEST FORM (COMMUTER CARRIER) (APPENDix F-16) to the Airport Director together with all additional information and documents requested by that form. JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 5-9 SECTION 5 - RON ALLOCATIONS HISTORICAL NOTES June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. July 2015 Amendments. This section was revised to delete reference to Section B of Form F-16 as that Section is no longer required to be submitted to the Airport Director. 5.12.3 AIRPORT DIRECTOR AUTHORIZATION In reviewing any request made under Section 5.12.2, the Airport Director shall consider: (i) the size of the aircraft proposed for use of the requested RON position and its impact on the design strength of the pavement surface at the intended RON position; (ii) the impact use of the requested RON position would have on the safe and efficient operation of JWA; (iii) the potential impact of the request, if any, on general aviation facilities, operations at, and use of, JWA; and (iv) the JWA passenger service goals of the County. If he finds that use of the requested RON position would not jeopardize the pavement surfaces, the ability of general aviation to use and operate at JWA at a level, and in a manner, consistent with declared County policy on general aviation use of JWA, or interfere with the safe and efficient operation of JWA; and if he finds that use of the requested RON position would enhance the ability of the County to realize its JWA passenger service level goals, the Airport Director may give written authorization for use of the RON position for a period of time not greater than one (1) Plan Year, subject to such conditions as the Airport Director may impose. The provisions of this section do not preclude subsequent or sequential RON requests. 5.12.4 USE OF AUTHORIZED RON POSITION MANDATORY Except as specifically directed by the Airport Director in an emergency situation, no Commuter Carrier which has received authorization to cause an aircraft to RON at JWA under Section 5.12.3 shall cause any aircraft to RON at any location other than the exact location specified in the Airport Director's written authorization. 5.12.5 PROHIBITION AGAINST LARGE AIRCRAFT RON Except as the Airport Director may specifically direct in an emergency situation, no Commuter Carrier operating `Air Carrier" Class E Aircraft under the provisions of Section 3.4.2 shall cause any such aircraft to RON at JWA, unless, and only to the extent that: (i) the Air Carrier affiliate has received aRON allocation; (ii) the Air Carrier Affiliate has consented in writing to the use of one (1) or more of its allocated RON positions to its Commuter Carrier Affiliate; and (iii) the Airport Director has consented in writing to the use of the RONposition(s) by the Commuter Carrier Affiliate. Any approval (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 5-10 PHASE 2 ACCESS PLAN SECTION 5 - RON ALLOCATIONS for Commuter Carrier Affiliate use ofAir Carrier RON position allocations made under this section may be made on such terms, and subject to such conditions, as the AirportDirector may determine to be in the best interests of the County in its management and regulation of JWA. HISTORICAL NOTE December 1990 Amendments. All language after "JWA" on the third line of this section was added on recommendation of the Airport Commission, and at the request of WestAir, the United Express affiliate at JWA. This was a liberalizing amendment, permitting Commuter Carriers to RON large aircraft at JWA under the specified circumstances. a JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 5-11 SECTION 5 - RON ALLOCATIONS This page left intentionally blank (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 5-12 PHASE 2 ACCESS PLAN SECTION 6 CAPACITY WITHDRAWALS 6.1 GENERAL WITHDRAWAL AUTHORITY The County reserves the right to withdraw previously allocated operational capacity at such times, on such conditions, and for such reasons as the County, in its sole and exclusive discretion, determines are appropriate to ensure that the MAP Limitation and the RegulatedADD Limitation are not exceeded during any Plan Year, or for any other reason. To the extent practical, and absent emergency circumstances (as determined in the sole and exclusive discretion of the Board), it is the present intent of the County to conduct such capacity withdrawals in accordance with the terms of this section. Nothing in this section is intended to limit the discretion or actions of the County in effecting or implementing capacity withdrawals: Rather, this section is intended to provide guidance to the Regularly Scheduled Commercial Users of JWA and to County staff regarding the probable capacity withdrawal procedures and policies of the County in non -emergency situations. 6.2 WITHDRAWAL PROCEDURES 6.2.1 MONITORING OF REGULATED DEPARTURES AND PASSENGERS During each Plan Year, the AirportDirector shall monitor continuously the actual extent of commercial departures in each aircraft noise class conducted at JWA, and the actual number of Commercial Passengers served at JWA by all Regularly Scheduled Commercial Users. The Airport Director shall adopt procedures intended to predict (to the extent reasonably feasible), at the end of any month during any Plan Year, the Plan Year level of Commercial Passengers served at JWA, and the number of Class A, permanent Class E, and other Class E Departures which will be operated during the Plan Year. HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights, to eliminate the Class AA/Class A Aircraft definition/distinction, and to reference the new permanent Class E ADDS. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 6-1 SECTION 6 - CAPACITY WITHDRAWALS 6.2.2 RECOMMENDATIONS FOR CAPACITY WITHDRAWAL Whenever the Airport Director determines that there is a substantial risk that Regularly Scheduled Commercial Users operating at JWA will exceed the MAP Limitation or Regulated ADD Limitation during any Plan Year for any reason other than the violation of this PLAN by any specific Air Carrier(s) or Commuter Carrier(s), he shall promptly take the following actions: (a) The Airport Director shall prepare and submit to the Board of Supervisors a report for its consideration on a regular Board of Supervisors agenda which, at a minimum: (i) describes the specific circumstances leading to preparation of his report; and which (ii) makes specific recommendations regarding capacity withdrawals necessary to ensure that the MAP Limitation and Regulated ADD Limitation are not exceeded; and (b) The Airport Director shall advise all Qualified Air Carriers and Qualified Commuter Carriers of his recommendations for capacity withdrawals, and the date on which the Board of Supervisors will consider the matter. In formulating and presenting his recommendations for capacity withdrawals, the Airport Director shall attempt to formulate recommendations which, to the extent practical and feasible: (i) maintain an appropriate level of equity and fairness among all approved users of JWA; (ii) will best serve the interests of the air traveling public using JWA; and (iii) which are consistent with the policies and objectives of the County in its management and operation of JWA. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to the first and last paragraphs of this section. 6.2.3 WITHDRAWAL PRIORITIES AND POLICIES The County retains and reaffirms its sole and exclusive discretion to require mandatory withdrawals of operational capacity in any form if the County determines such action to be appropriate to ensure continued compliance with the MAP Limitation or the Regulated ADD Limitation, or for any other reason. There is no capacity withdrawal priority as among the operational capacity categories set forth below. However, in many circumstances, the County presently expects that it generally will prefer capacity withdrawals in the following order: (i) Seat Blocks; (ii) supplemental Authorized Departures; (iii) supplemental Passenger Capacity; (iv) Regulated ADDS; and then (v) Passenger Capacity. However, if capacity withdrawals are required by the County, the withdrawal will be structured in a manner which best serves the interests of the County, local communities, and the air traveling public; and (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 6-2 PHASE 2 ACCESS PLAN SECTION 6 - CAPACITY WITHDRAWALS the withdrawal will be structured in light of then -existing circumstances, facts, and commercial operations patterns atJWA. HISTORICAL NOTE July 1999 Amendments. The July 1999 amendments changed the second subsection (iv) to (v). 6.3 AIR CARRIER CAPACITY WITHDRAWALS In accordance with action approved by the Board of Supervisors on November 14, 1989, the County conducted a preliminary lottery to establish a withdrawal priority for certain of the RegularADDs allocated under Sections 3. 1.1 and 3.1.2, and to establish a withdrawal priority for certain SeatBlocks of the Seat Capacity tentatively allocated to the Qualified Air Carriers under Section 3.3.1. These lotteries were conducted subject to ratification by the Board of Supervisors. By adoption and approval of this PLAN, the Board of Supervisors ratified those lotteries. The protocol under which the initial lotteries were conducted is reflected in APPENDIX A. On May 28, 2003, the County tentatively allocated the new operating capacity authorized by the Settlement Amendment approved by the Orange County Board of Supervisors on June 25, 2002, and December 10, 2002, regarding the development and use of JWA. In light of the new of additional capacity and the allocation of permanent Class E ADDS, the Air Carrier capacity withdrawal priorities were required to be reestablished. In accordance with actions approved by the Board of Supervisors on June 3, 2003, authorizing implementing amendments to the ACCESS PLAN and the allocation of new capacity, the County conducted a new lottery on June 5, 2003, to establish a new withdrawal priority for certain of the RegularADDs and to establish a new withdrawal priority for certain Seat Blocks of the Seat Capacity tentatively allocated to the Qualified Air Carriers. This lottery was once again conducted subject to ratification by the Board of Supervisors. By adoption and approval of amendments to this PLAN, the Board of Supervisors ratifies the results of the lottery. The protocol under which the lottery was conducted is reflected in APPENDIX G. APPENDIX C reflects the results of the withdrawal lottery for Regulated ADDS subject to priority withdrawal. APPENDIX D reflects the results and order of the withdrawal lottery for Seat Blocks subject to priority withdrawal. On July 21, 2015, the County approved the re -allocation of existing capacity authorized by the Settlement Amendment and approved by the Orange County Board of Supervisors on September 30, 2014, and July 21, 2015 and approved the allocation of additional permanent Class EADDs. In light of the re -allocation of existing capacity and the allocation of additional permanent Class EADDs, the Air Carrier capacity withdrawal priorities were required to be reestablished. In accordance with actions approved by the Board of Supervisors on July 21, 2015, authorizing implementing amendments to the ACCESS PLAN and the re -allocation of capacity, the County conducted a new lottery to establish a new withdrawal priority for certain of the RegularADDs and to establish anew withdrawal priority for certain JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 6-3 SECTION 6 - CAPACITY WITHDRAWALS Seat Blocks of the Seat Capacity tentatively allocated to the Qualified Air Carriers. This lottery was once again conducted subject to ratification by the Board of Supervisors. APPENDIX C reflects the results of the withdrawal lottery for Regulated ADDS subject to priority withdrawal. APPENDIX D reflects the results and order of the withdrawal lottery for Seat Blocks subject to priority withdrawal. If the Board of Supervisors authorizes a mandatory withdrawal of Air Carrier operational capacity in any form, the following procedures will normally be followed by the County with respect to capacity withdrawals in individual categories. HISTORICAL NOTE June 2003 Amendments. This section was revised to reference the new lottery that was conducted on June 5, 2003, to establish new withdrawal priorities for certain of the Regular ADDS and certain of the Seat Blocks of Seat Capacity allocated to the Qualified Air Carriers. July 2015 Amendments. This section was revised to reference the new lottery that was conducted in 2015 to establish new withdrawal priorities for certain of the Regular ADDS and certain of the Seat Blocks of Seat Capacity allocated to the Qualified Air Carriers. 6.3.1 SEAT BLOCKS The County will withdraw Seat Blocks in the order reflected in APPENDIX D, beginning with the Seat Block identified as Seat Block "Withdrawal Priority 1," and proceeding sequentially until the required number of Seat Blocks has been withdrawn. In any subsequent Seat Block withdrawal during the term of this PLAN, whether or not in the same Plan Year as the original withdrawal, the withdrawal order will begin with the neat Seat Block in order after the last Seat Block withdrawn. The Airport Director shall keep appropriate records of the withdrawal of Seat Blocks to ensure that subsequent withdrawals are appropriately sequential in accordance with the intent of this section. 6.3.2 SUPPLEMENTAL DEPARTURES Whenever the County determines that it is necessary to withdraw previously allocated authority to conduct supplemental departures in any aircraft classification, the County would, absent unusual circumstances, intend to withdraw an equal number of departures from all Qualified Air Carriers which received an allocation of the supplemental departures. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 6-4 PHASE 2 ACCESS PLAN SECTION 6 - CAPACITY WITHDRAWALS 6.3.3 REGULATED ADDS If the County determines that it is necessary to withdraw Regulated ADDS for purposes of reallocation, or for any other purpose, and regardless of the period of time for which the ADD will be withdrawn, the County will normally withdraw Regulated ADDS, or portions of Regulated ADDS, in the order reflected in APPENDIX C, beginning with the Class A or permanent Class EADD (as appropriate) identified as ADD "Withdrawal Priority I," and proceeding sequentially until the required number of Class A and/or permanent Class E ADDS have been withdrawn. In any subsequent Regulated ADD withdrawal during the term of this PLAN, whether or not in the same Plan Year as the original withdrawal, the withdrawal order will begin with the neat Class A or permanent Class E ADD in order after the last Regulated ADD withdrawn. The Airport Director shall keep appropriate records of the withdrawal of Regulated ADDS to ensure that subsequent withdrawals are appropriately sequential in accordance with the intent of this section. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made a grammatical change to this section, deleting the word "such" before "Regulated ADD withdrawn" in the next to the last sentence of this section. June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights, to eliminate the Class AA/Class A Aircraft definition/distinction, and to reference the new permanent Class E ADDS. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. 6.4 COMMUTER CARRIER CAPACITY WITHDRAWAL Wheneverthe County determines that it is necessaryto withdraw previously allocated Passenger Capacity, the County would, absent unusual circumstances, intend: (i) to first withdraw any supplemental Passenger Capacity allocated during the Plan Year by withdrawing the capacity prorata from the Qualified Commuter Carriers who have received any such supplemental allocation during the current Plan Year, as determined by the amount of supplemental Passenger Capacity allocated to each of the carriers; and then, if necessary, (ii) to withdraw non -supplemental Passenger Capacity authority prorata from all Qualified Commuter Carriers, as determined by the non -supplemental Passenger Capacity allocation made to them under Section 3.5 at the beginning of the Plan Year. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 6-5 SECTION 6 - CAPACITY WITHDRAWALS 6.5 NOTICE TO AFFECTED COMMERCIAL OPERATORS Whenever the Board of Supervisors authorizes any operational capacity withdrawal under the terms of this PLAN, the Airport Director shall give written notice of the Board action to all Regularly Scheduled Commercial Users affected by the Board action as promptly as possible, specifying what capacity reductions must be made by each such person. 6.6 COMMERCIAL OPERATOR ADJUSTMENT PLAN Not later than fifteen (15) days after the Airport Director's notice under Section 6.5, each person receiving and affected by such a notice shall submit to the Airport Director: (i) an OPERATIONS ADJUSTMENT PLAN (APPENDIx F-19) which provides, in detail satisfactory to the Airport Director, a description of the precise operational adjustments which the affected carrier intends to implement in order to comply with the mandated capacity reduction, including the dates on which the affected carrier intends to implement the adjustments; and (ii) an AMENDED CARRIER OPERATIONS PROJECTION FORM (APPENDIx F-9), as necessary to properly reflect those operations adjustments. a (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page 6-6 PHASE 2 ACCESS PLAN SECTION 7 DISQUALIFICATION AND REALLOCATIONS 7.1 DISQUALIFICATION OF REGULARLY SCHEDULED COMMERCIAL USER(S) In addition (and without prejudice) to any and all other provisions of this PLAN, contractual rights and remedies of the County, and enforcement of County ordinances and regulations, a Regularly Scheduled Commercial User will cease to be a Qualified Air Carrier or Qualified Commuter Carrier upon any of the following events: 7.1.1 BREACH OF AGREEMENT The carrier breaches or defaults under any provision of its lease, operating agreement, or any other written agreement with the County. If the breach or default is capable of cure, then the operator will cease to be a Qualified Air Carrier or Qualified Commuter Carrier if, within ten (10) days after delivery of a written notice of default to the operator from the County, the operator has failed to effect a complete cure of its breach or default. 7.1.2 VIOLATION OF RULE, REGULATION, OR ORDINANCE The carrier violates any rule, regulation, or ordinance of the County in its operations at JWA, including (but not limited to) any provision of this PLAN. 7.1.3 LOSS OF OPERATIONAL CAPACITY The carrier disposes, or otherwise ceases to have operational control for a period of more than thirty (30) days, of sufficient operational Class A or Class E Aircraft (as appropriate for its allocations or operations) necessary to operate a regular schedule at JWA with its allocated Regular ADDS, or its Passenger Capacity Allocation; except that: If this section applies only in part to an Air Carrier (if for example, it has both ClassA and Class EADD allocations and disposes of its Class E but not its Class A equipment), it shall cease to be a Qualified Air Carrier only to the extent which, in the sole judgment of the Airport Director, it is necessary to achieve a balance between its qualified operational equipment available for immediate use at JWA and its Regular ADD or Passenger Capacity Allocations, and the carrier's RegularADD, Seat Capacity, and Passenger Capacity Allocations will be adjusted accordingly. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 7-1 SECTION 7 - DISQUALIFICATION AND REALLOCATIONS HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. 7.1.4 CESSATION OF OPERATIONS (a) An Air Carrier: (i) ceases or abandons flight operations at JWA; or (ii) fails to conduct flight operations at JWA at a prorata level of at least fifty percent (50%) of its total authorized Regular ADD level (of all classes) for any thirty (30) day period. (b) A Commuter Carrier: (i) ceases or abandons flight operations at JWA; or (ii) fails to conduct flight operations at JWA during any thirty (30) day period at a prorata level of aircraft seat availability of at least fifty percent (50%) of the aircraft seat availability projected in connection with the Commuter Carrier's Passenger Capacity Allocation under Section 3.5. 7.2 DISQUALIFIED OPERATORS 7.2.1 TERMINATION OF OPERATIONS CAPACITY ALLOCATIONS In the event any Regularly Scheduled Commercial User ceases to be a Qualified Air Carrier or aQualified Commuter Carrier, its then existing Regular ADD, Passenger Capacity, RON and Seat Capacity allocations, and any supplemental allocations of operational capacity, shall be terminated immediately. 7.2.2 NOTICE TO DISQUALIFIED OPERATOR In addition to any and all other remedies which may be available to the County under this PLAN, or otherwise, the County may give written notice to any disqualified Regularly Scheduled Commercial User operating at JWA that it is no longer a Qualified Air Carrier, or Qualified Commuter Carrier, and such disqualification shall be effective: (i) ten (10) days after the delivery of the notice; or (ii) if a different disqualification date is specified in the notice, then at the close of business on the specified date. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 7-2 PHASE 2 ACCESS PLAN SECTION 7 - DISQUALIFICATION AND REALLOCATIONS 7.2.3 DUTY TO TERMINATE OPERATIONS Not later than the first working day following the date on which it is deemed to have received any notice given under Section 7.2.2 (see, Section 11.2.3), the person receiving the notice shall: (i) take all steps necessary to advise all computer databases listing that person's flights from JWA that such flights have been canceled effective not later than ten (10) days after delivery of the Section 7.2.2 notice (or, if the notice specifies a different date, the specified date); (ii) take all reasonable steps necessary to personally advise persons holding reservations on such canceled flights of the cancellation; and (iii) take all reasonable steps available to assist persons holding reservations on canceled flights to make alternative air travel arrangements. Not more than ten (10) days after delivery of a written notice issued under Section 7.2.2 (or, if the notice specifies a different date, at the close of business on the specified date), the operator receiving the notice shall cease all operations at JWA. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments corrected a cross-referencing error in this section. The original references to "Section 7.1.2" were changed to "Section 7.2.2." 7.3 REALLOCATION OF DISQUALIFIED CARRIER'S OPERATING PRIVILEGES 7.3.1 REAFFIRMATION OF REALLOCATION AUTHORITY In the event any Regularly Scheduled Commercial User ceases to be a Qualified Air Carrier or Qualified Commuter Carrier at JWA for any reason, or if, for any other reason, previously allocated operational capacity becomes available for reallocation, the County reserves the right to transfer or reallocate operational capacity immediately, including any and all supplemental Authorized Departures, Regular ADDS, Seat Capacity, RON positions, or Passenger Capacity Allocations. The available operations capacity may be reallocated to other persons in such a manner, and under such terms and conditions, as the County deems appropriate to minimize the adverse effects on the local community and the air traveling public of any disqualification, abandonment or reduction in service. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to the last sentence of this section. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 7-3 SECTION 7 - DISQUALIFICATION AND REALLOCATIONS 7.3.2 REALLOCATION PRIORITIES — POTENTIAL NEW ENTRANT CARRIER In the event of a disqualification of an Air Carrier, or if, for any other reason, Regular ADDS become available for reallocation, the County reserves the right, in its sole and exclusive discretion: (i) to retain the Regular ADD capacity under direct County control for any reason; (ii) to reallocate the RegularADDs; (iii) to authorize negotiations for the entry of an additional Air Carrier into service at JWA; or, (iv) to implement any combination of those actions. If a "new entrant" carrier is authorized to commence Regularly Scheduled Air Service at JWA at any time, its operational capacity allocation shall be subject to the following priorities and limitations: (a) Notwithstanding any other provision of this PLAN, including the order in which the waiting list required by Section 3.7.1 is maintained by the Airport Director, the County will give preference for any allocation of Regulated ADDS to any operation(s) who will use the capacity with: (i) in the case of Commercial Air Carriers carrying Commercial Passengers, aircraft regularly configured with more than seventy (70) passenger seats; or (ii) in the case of Commercial Cargo Carriers, and to the extent of the maximum permitted number of Regulated Authorized Departures which may be allocated to Commercial Cargo Carriers underthe relevant provisions of Section 3 of this PLAN, aircraft with a certificated Commercial Cargo payload capacity of more than ninety thousand (90,000) pounds, over any operator(s) proposing to use the capacity with aircraft configured with seventy (70) or fewer Passenger Seats or ninety thousand (90,000) or fewer pounds of cargo carrying capacity; and (b) Notwithstanding any other provision of this PLAN, including the order in which the Air Carrier waiting list is maintained by the Airport Director under Section 3.7.1, no new entrant Air Carrier will be allocated more Regular ADDs of any class, or more Seat Capacity, than had previously been allocated to the disqualified Air Carrier. HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board's certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This section was added consistent with these series of amendments. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 7-4 PHASE 2 ACCESS PLAN SECTION 7 - DISQUALIFICATION AND REALLOCATIONS June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. September 2010 Amendments. This Section was revised to accurately reflect the distinction between a Commuter Air Carrier and a Commercial Air Carrier at JWA. See, Section 2.18 which provides the definition of a Commuter Air Carrier. 7.3.3 REALLOCATION PRIORITIES - INCUMBENT OPERATORS If, for any reason, any Air Carrier operational capacity is available for reallocation to incumbent carriers, then, subjectto the full, sole, and exclusive discretion of the County, RegularADDs available for reallocation (and the associated Seat Capacity) will normally be reallocated, if at all, in whole ADD increments, based upon the "reallocation order" of the then -incumbent Air Carriers (as determined for Class A Aircraft in accordance with the procedures of Section 7.3.4), subject to the following priorities and limitations: (a) Notwithstanding any other provision of this PLAN, including the order in which the waiting list required by Section 3.7.1 is maintained by the Airport Director, the County will give preference for any reallocation of Regular Class AADDs to any operator(s) who will use the capacity with aircraft regularly configured with more than seventy (70) Passenger Seats, over any operator(s) proposing to use the capacity with aircraft regularly configured with seventy (70) or fewer Passenger Seats; (b) The County may, in the sole and exclusive exercise of its discretion, allocate the capacity for a period(s) less than the then -remaining term of this PLAN; and (c) The County may, in the sole and exclusive exercise of its discretion, "convert" the operational capacity, and then allocate the capacity temporarily (or for the then -remaining term of this PLAN) as Class EADDs or Authorized Departures. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 7-5 SECTION 7 - DISQUALIFICATION AND REALLOCATIONS HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AAIC/assAAircraft definition/distinction. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. September 2010 Amendments. This Section was revised to accurately reflect the distinction between a Commuter Air Carrier and a Commercial Air Carrier at JWA. See, Section 2.18 which provides the definition of a Commuter Air Carrier. 7.3.4 DETERMINATION OF AIR CARRIER "REALLOCATION ORDER" In conducting the preliminary allocation ofRegulatedADDs referenced in Section 3 (see also, APPENDix A), the County allocated certain Class AADDs based upon a "bottom-up" prioritization which was determined by the number of Regular Class A ADDS tentatively allocated to each Air Carrier immediately prior to the "bottom-up" allocation. In conducting the allocation of the new Regulated ADDS also referenced in Section 3 (see also, APPENDICES G and H), the County allocated certain Class AADDs based upon a new "bottom-up" prioritization, which was determined by the number of Regular Class A ADDS allocated to each Air Carrier immediately prior to the "bottom-up" allocation. It is the present intent of the County to maintain the new Class A reallocation priority list as a continuation of the "reallocation" process, subject to the provisions and limitations of this section. APPENDix B (INCUMBENT AIR CARRIER REALLOCATION PRIORITY LIST) reflects this reallocation priority order for Class AADDs. Where two (2) or more carriers have identical allocations of Class AADDs, the "ties" in list priority have been resolved based upon each carrier's date of commencement of service at JWA (as determined by the date of formal action by the Board of Supervisors approving a lease or operating agreement with that carrier for service at JWA, except where a successor carrier not previously operating at JWA acquired a 100% equity interest in an incumbent airline and the successor carrier subsequently received County consent to an assignment of the acquired carrier's existing lease or operating agreement with the County, and the acquiring carrier was on the County air carrier "waiting list" at the time of the acquisition, in which case the priority determination date shall be the date on which the acquisition was completed), with those carriers whose date of commencement of service is first in time receiving the first priority. (a) Whenever any incumbent Air Carrier receives any reallocation of a Class A ADD, that Air Carrier shall then be placed at the bottom of the INCUMBENT AIR CARRIER REALLOCATION PRIORITY LIST, and all other Ail" Carriers on the list shall be moved up one (1) position in the listed priority order. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 7-6 PHASE 2 ACCESS PLAN SECTION 7 - DISQUALIFICATION AND REALLOCATIONS (b) As and if reallocations of Regulated ADDS are made to the then incumbent Air Carriers, the Airport Director shall make appropriate notations or amendments to APPENnix B, as necessary to reflect the then -current order of each reallocation priority list. (c) Upon action of the Board of Supervisors formally authorizing the commencement of service at JWA by a "new entrant" Air Carrier, then that Air Carrier shall be placed last on the then -current incumbent Air Carrier reallocation priority lists. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made two changes to this section. First, the qualification clause was added to the first paragraph of this section (Le., "except where a successor carrier ... on which the acquisition was completed"). The second change was to amend subsection (b) of this section to require that, under the circumstances contemplated by subsection (b), the carrier acquiring and qualifying Class AA aircraft which did not have qualified Class AA aircraft at the time of the original determination of reallocation priorities under this section would be added to the reallocation priority list in the appropriate "bottom-up" order rather than being added to the reallocation priority list as the last carrier on the list. Both changes were requested by Alaska Airlines. The requirement that the "acquiring carrier" be on the County Air Carrier "waiting list" was added on recommendation of the Airport Commission and approved by the Board of Supervisors. June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights, to eliminate the Class AA/Class A Aircraft definition/distinction, and to reference the allocation of new operating capacity at the Airport and the corresponding designation of a new Incumbent Air Carrier Reallocation Priority List These revisions are consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement on June 25, 2002, and December 10, 2002, and actions of the Board on June 3, 2003, and June 24, 2003, approving implementing amendments to the ACCESS PLAN and authorizing the allocation of new capacity at the Airport. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 7-7 SECTION 7 - DISQUALIFICATION AND REALLOCATIONS 7.3.5 AIRPORT DIRECTOR RECOMMENDATIONS In the event of a disqualification of an Air Carrier or Commuter Carrier, or if previously allocated Regular ADDS become available for reallocation for any other reason, the Airport Director shall, as soon as practicable: (a) Advise the Board of Supervisors of: (i) the disqualification or availability of Regular ADDS for reallocation; (ii) the then -current status of the Air Carrier or Commuter Carrier waiting lists maintained under Section 3.7, as appropriate; and (iii) his recommendations regarding reallocation of any affected Regular ADDS, Seat Capacity, supplemental Authorized Departure allocations, or Passenger Capacity Allocations, as appropriate. (b) In making his recommendations to the Board of Supervisors under paragraph (a), if the Air Carrier waiting list contains the name of a certificated Air Carrier whose proposed operations would meet the priority requirements of Section 7.3.2(b), he shall assume that that operator will be permitted to become a new entrant Air Carrier with an allocation of three (3) Regular ADDS and a corresponding level of allocated Seat Capacity, and he shall make a separate recommendation regarding reallocation of any additional RegularADDs (and the corresponding Seat Capacity) which may be available for reallocation. HISTORICAL NOTE September 2010 Amendments. This section was revised to reflect policy revisions with respect to the number of Class A ADDS that are allocated to a new entrant AirCarrier(the number was revised from two (2) to three (3) Class A ADDS). These revisions are consistent with the Orange County Board of Supervisors' actions on November 18, 2008, authorizing and approving implementing amendments to the ACCESS PLAN. 7.4 EFFECT OF REALLOCATION ON CAPACITY WITHDRAWAL PRIORITIES 7.4.1 COMMUTER CARRIERS In the event of any reallocation under this section of a disqualified Commuter Carrier's Passenger Capacity Allocation, the priorities and procedures for mandatory withdrawal of Passenger Capacity Allocations under Section 6.4 shall be applicable to the withdrawal. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 7-8 PHASE 2 ACCESS PLAN SECTION 7 - DISQUALIFICATION AND REALLOCATIONS 7.4.2 AIR CARRIERS In the event of any reallocation under this section of Regulated ADDS or Seat Capacity, the County will make adjustments to the priorities for withdrawal ofRegulatedADDs and Seat Capacity (as referenced and specified in Section 6.3 and APPENDICES C AND D) which, in the sole and exclusive legislative discretion of the County, are appropriate, and which maintain fairness as between operators at JWA. In making any recommendations under Section 7.3.5(a), the Airport Director shall present his recommendations regarding adjustments to Air Carrier withdrawal priorities. 7.4.3 PRESUMED AIR CARRIER WITHDRAWAL PRIORITY ADJUSTMENTS Generally, it will be the position of the County that: (i) All Air Carriers should continue to have amaximum of five (5) RegulatedADDs exempt from priority withdrawal; (ii) that all SeatBlocks for tentative Seat Capacity allocations above 711,750 Passenger Seats shall be (or remain) prioritized for withdrawal; and (iii) the actual withdrawal priority positions for Regulated ADDS and Seat Blocks reallocated under this section or any other relevant provision of this PLAN, and which do not become exempt from priority withdrawal by reallocation to Air Carriers whose total allocations do not, after the reallocation, exceed the thresholds referred to in this paragraph, shall remain the same as they were before reallocation. HISTORICAL NOTE December 1990 Amendments. All of Section 7.4 was added by the December 1990 amendments. The section addresses an issue overlooked in the original plan text, which is the effect of a Section 7 reallocation on withdrawal priorities previously established for the reallocated ADDS or Seat Blocks. Although the County retains significant discretion under this section, the section is intended to continue the basic withdrawal priority processes and premises used to establish the withdrawal priorities in the first instance in most cases. June 2003 Amendments. This section was revised to eliminate the distinction between Class AA/Class A ADDS. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 7-9 SECTION 7 - DISQUALIFICATION AND REALLOCATIONS This page left intentionally blank (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 7-10 PHASE 2 ACCESS PLAN SECTION 8 PENALTIES AND PROHIBITIONS In addition to all other prohibitions and restrictions contained in this PLAN, and in any and all regulations, ordinances, policies, leases, and agreements of the County adopted or entered into in its capacity as the proprietor and certificated operator of JWA, the following prohibitions and penalties shall be applicable to all actual or potential Regularly Scheduled Commercial Users conducting (or proposing to conduct) operations at JWA. 8.1 GENERAL PROHIBITIONS 8.1.1 REGULARLY SCHEDULED AIR SERVICE No person shall conduct aircraft flight operations at JWA in support of Regularly Scheduled Air Service, or otherwise permit any Commercial Passenger or any Commercial Cargo to be boarded upon, or deplaned from, any aircraft operated by the person, unless the person is a Qualified Air Carrier or Qualified Commuter Carrier. HISTORICAL NOTE December 1990 Amendments. The word "flight' was added to the first line of this section on recommendation of the Airport Commission, and the request of Air/Lyon, the owner of certain FBO operations at JWA. This was a clarifying amendment, and was consistent with the staff interpretation of the section prior to the amendment. 8.1.2 COMMERCIAL AIR CARRIERS - ADDS REQUIRED No person shall operate at JWA as a Commercial Air Carrier unless: (i) that person conducts its operations with ADDS or other Authorized Departures directly and formally allocated to that person by action of the Board of Supervisors; (ii) the person conducts all of its operations with aircraft which have been qualified and certified as Class A or Class E Aircraft under Section 10; and (iii) the person has met, and continues to meet at all times, all other requirements of the County which are conditions to conducting Regularly Scheduled Air Service at JWA, including the approval by the County and the execution of appropriate written agreements which are a necessary precondition to conducting commercial activities at JWA. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-1 SECTION 8 - PENALTIES AND PROHIBITIONS HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. 8.1.3 COMMUTER CARRIERS -PASSENGER CAPACITY ALLOCATION REQUIRED No person shall operate at JWA as a Commuter Air Carrier unless: (i) that person has received a Passenger Capacity Allocation under Section 3.5 for the Plan Year during which the operations are conducted; (ii) the person conducts all of its operations with aircraft which have been qualified and certified as Class E Aircraft under Section 10; and (iii) the person has met all other requirements of the County which are a condition to conducting Regularly Scheduled Air Service at JWA, including the approval by the County and the execution of appropriate written agreements which are a necessary precondition to conducting commercial activities at JWA. 8.1.4 NO SIMULTANEOUS OPERATIONS IN TWO OR MORE USER CATEGORIES Except as expressly permitted by the County under the authority of Section 3.4.2, no person shall conduct operations at JWA both as an Air Carrier and as a Commuter Carrier. 8.1.5 REPORTING REQUIREMENTS AS A CONDITION OF OPERATION No person shall engage in Regularly Scheduled Air Service at JWA unless that person is in full compliance with all requirements of the following sections of this PLAN: Section 3.8.1 Section 3.8.2 Section 3.8.3 Section 3.8.4 Section 8.2.4 Section 10.3.3 8.1.6 NO ASSISTANCE IN VIOLATION OF THE PLAN No person shall assist any other person in violating any term or provision of this PLAN. Any person who takes action assisting another person to commit aviolation of this PLAN shall be deemed to have committed the same violation, and shall be subject to the same penalties and sanctions. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-2 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS 8.1.7 USE OF AIR TERMINAL FOR PASSENGERS OR BAGGAGE REQUIRED (a) Except as may be allowed under the authority of subsection (b), no Air Carrier or Commuter Carrier shall provide services or engage in activities related to the service of air passengers and their baggage except through and in facilities designated for that purpose by the County in the THOMAS F. RILEY TERMINAL. (b) Any Qualified Commuter Carrier may apply to the Airport Director, in writing, for permission to conduct passenger or related operations at the location of a Fixed Base Operator ("FBO") which is a tenant of the County. The application shall provide such information as may be required or requested by the Airport Director. If the Airport Director or the Board of Supervisors authorizes Commuter Carrier operations at a FBO location, the authority of the applicant to conduct such operations shall be subject to such conditions as the Airport Director or the Board may impose on such operations. HISTORICAL NOTE December 1990 Amendments. This section was added by the December 1990 amendments, although it is simply a restatement of preexisting policy of the County (and existing limitations on the carriers through their leases and otherwise). This limitation on use is an element of the City of Newport Beach "settlement agreement," and amending the PLAN to include this restatement of existing limitations is intended principally to make the PLAN itself a more complete and self-contained statement of County regulation of commercial use of JWA. 8.2 AFFILIATE OPERATIONS - PROHIBITION Except as expressly permitted by this section, and except as permitted by Sections 3.9 and 3.10 of this PLAN and any other relevant provisions of the PLAN relative to the operation of Associated Operating Groups, Affiliated Carriers shall not simultaneously conduct Regularly Scheduled Air Service at JWA. HISTORICAL NOTE October 1994 Amendments. On October 4, 1994, the Orange County Board of Supervisors approved a series of amendments to the affiliate policy provisions of the ACCESS PLAN. These amendments included a number of regulations which apply to the formation of, allocations to, and general operation of Associated Operating Groups. This section was revised consistent with these approved amendments. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-3 SECTION 8 - PENALTIES AND PROHIBITIONS 8.2.1 OPERATIONS BY AFFILIATED CARRIERS - PERMITTED EXCEPTION During the term of this PLAN, one (1) Air Carrier and one (1) Commuter Carrier of any group of Affiliated Carriers may, during any Plan Year, simultaneously engage in Regularly Scheduled Air Service at JWA, except that, nothing in this subsection prohibits Affiliated Carriers from conducting operations as members of an Associated Operating Group under, and in compliance with, Sections 3.9 and 3.10 of this PLAN, and all other sections of this PLAN relevant to the operation of Associated Operating Groups at JWA. 8.2.2 DESIGNATION OF AUTHORIZED AFFILIATED OPERATORS AT JWA In the event more than one (1) Air Carrier or more than one (1) Commuter Carrier of any group of Affiliated Carriers desires to provide Regularly Scheduled Air Service at JWA, the operators which will be authorized to provide the service will be determined as follows: (a) If all members of the Affiliated Group who desire to serve JWA execute and submit a written election to the Airport Director identifying which of the Affiliated Carriers will actually serve JWA, then the County will, under normal circumstances, accept the joint designation. However, (b) If an election is not made under paragraph (a), the Air Carrier and Commuter Carrier of the Affiliated Group with seniority at JWA shall be the carrier(s) authorized to provide Regularly Scheduled Air Service at JWA. For purposes of this section, "seniority" among Regularly Scheduled Commercial Users or other carriers shall be determined first: (i) by reference to the date on which the operator was first authorized by official action of the Board of Supervisors to conduct Regularly Scheduled Air Service at JWA; and, second, (ii) by reference to the order in which the person(s) is listed on the Section 3.7 waiting list(s). HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 8.2.3 FORMATION OF AFFILIATE RELATIONSHIP DURING A PLAN YEAR (a) If any Qualified Air Carrier(s) and/or Qualified Commuter Carrier(s) form an Affiliate relationship during any Plan Year which would otherwise result in a violation of Section 8.2, and if those person(s) have complied fully, completely, and in a timely manner with the reporting requirements of Section 8.2.4, then, by reference to the provisions of Section 8.2.2, all operators whose operations at (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-4 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS JWA have caused the Affiliate Group to be in violation of Section 8.2 shall automatically cease to be Qualified Air Carrier(s) or Qualified Commuter Carrier(s) (as necessary to restore the Affiliate Group to full compliance with Section 8.2.1), without further action of the County, at the close of business on the last day of the Plan Year during which the Affiliate relationship was created. (b) If any member of the Affiliate Group conducting operations at JWA fails to comply fully, completely, and in atimely manner with the reporting requirements of Section 8.2.4, then the operator(s) to be disqualified under this section shall, automatically, and without further action of the County, cease to be qualified operator(s) at the end of the tenth (10th) day following the day on which the Section 8.2.4 report was required to be filed with the Airport Director. 8.2.4 NOTICE OF FORMATION OF AFFILIATE RELATIONSHIP (a) Not later than September 30, 1990, eachAir Carrier and each Commuter Carrier intending to conduct operations at JWA at the commencement of the term of this PLAN shall file with the Airport Director a NOTICE OF AFFILIATE RELATIONSHIP FORM (APPENDI% F-17). (b) Not later than five (5) days after any Qualified Air Carrier or Qualified Commuter Carrier initiates, approves, or is the subject of, any transaction which would create an Affiliate relationship, whether or not the relationship is with (directly or indirectly) another person conducting Regularly Scheduled Air Service at JWA, each such Qualified Air Carrier or Qualified Commuter Carrier shall complete and submit to the Airport Director a NOTICE OF AFFILIATE RELATIONSHIP FORM (APPENDIR F-17). (c) No person who has approved, or who is negotiating or actively implementing the formation or possible formation of an Affiliate relationship, whether or not the relationship is with (directly or indirectly) another person conducting Regularly Scheduled Air Service at JWA, shall submit any request for any allocation of operational capacity under this PLAN, whether for an allocation of ADDS, supplemental Authorized Departures, Allocated Seat Capacity (supplemental or otherwise), RON positions, or Passenger Capacity Allocations, unless that person has first submitted to the Airport Director a NOTICE OF AFFILIATE RELATIONSHIP FORM (APPENDIR F-17) describing the transaction or contemplated transaction. 8.3 SPECIFIC OPERATIONS PROHIBITIONS Because of the unique historical, environmental, and regulatory history of JWA, the agreement of each person engaging in Regularly Scheduled Air Service at JWA to operate at JWA within defined JOHN WAYNE AIRPORT (As Amended Through ctober , 2015) PHASE 2 ACCESS PLAN Page 8-5 SECTION 8 - PENALTIES AND PROHIBITIONS minimum and maximum parameters is an essential and irreplaceable element of the consideration for which the County has consented to permit any person to become a Qualified Air Carrier or Qualified Commuter Carrier for, and during, the term of this PLAN. The ability of the County to meet its environmental and service level goals for JWA is dependent upon strict compliance by each Air Carrier and each Commuter Carrier with the provisions of the following sections: 8.3.1 EXCESS REGULATED OPERATIONS No person requiring an allocation ofADDs for operations at JWA shall operate more than its total Authorized Departures (including any supplemental Authorized Departures allocated under Section 4) during any Plan Year. This prohibition applies separately to Class A, permanent Class E, and other Class E allocations. HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights, to eliminate the Class AA/Class A Aircraft definition/distinction, and to reference permanent Class E allocations. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. 8.3.2 OPERATIONS RESULTING IN EXCESS USE OF SEAT CAPACITY No Qualified Air Carrier shall conduct operations at JWA during any Plan Year in a manner which results in a total Seat Capacity for all of its operations which exceeds the sum of: (i) the Seat Capacity allocated to the carrier under Section 3.3.2; (ii) any Seat Capacity reallocated to the carrier under the authority of Section 7; and (iii) any supplemental Seat Capacity allocated to the carrier under Sections 4.2 or 4.3 for use during the Plan Year. 8.3.3 OPERATIONS RESULTING IN EXCESS USE OF PASSENGER CAPACITY ALLOCATIONS No Qualified Commuter Carrier shall conduct operations at JWA during any Plan Year in a manner which results in service to a number of Commercial Passengers which exceeds the sum of: (i) the Passenger Capacity Allocation made to the Commuter Carrier under Section 3.5 for that Plan Year, and (ii) any supplemental Passenger Capacity allocated to the Commuter Carrier under Section 4.4 for use during the Plan Year. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-6 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS 8.3.4 OPERATIONS WITH UNQUALIFIED AIRCRAFT No person conducting Regularly Scheduled Air Service at JWA shall: (a) Operate any aircraft at JWA other than an aircraft previously qualified and certified by the Airport Director under Section 10, or an aircraft previously qualified and certified by the Airport Director under a previously effective County adopted "access plan;" nor shall any such person (b) Operate any aircraft in connection with any allocation made under this PLAN for any specific aircraft noise "class" unless that aircraft has previously been qualified and certified by the Airport Director under Section 10 (or under a previously effective County adopted "access plan") as authorized for use in that specific aircraft noise "class." 8.3.5 MAXIMUM CALENDAR QUARTER PRORATA OPERATIONS LEVELS Unless it has received special written authority from the Airport Director under Section 8.3.8, no person receiving an allocation ofADDs, Seat Capacity, or Passenger Capacity (including any supplemental capacity allocations) shall conduct its operations in a manner which causes the person to operate more than the following percentages of its calendar quarter prorata operational capacity allocation(s) for any Plan Year (calculated by reference to the number of days in each relevant calendar quarter): DURING ANY MAXIMUM PERCENTAGE Calendar Quarter: 115% Three Consecutive Calendar Quarters: 105% HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments revised this section to replace the word "minimum" with the word "maximum" on the first line of the table. This was a clarifying amendment, and was consistent with the staff interpretation of the section prior to the amendment. July 2015 Amendments. This section was revised to delete the maximum percentage requirement for two consecutive calendar quarters because the requirement was identical to each calendar quarter requirement. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-7 SECTION 8 - PENALTIES AND PROHIBITIONS 8.3.6 MINIMUM MONTHLY, QUARTERLY, AND PLAN YEAR OPERATIONS LEVELS - AIR CARRIERS Unless it has received special written authority from the Airport Director under Section 8.3.8, no Qualified Air Carrier shall conduct its operations in a manner which causes the person to operate less than the following percentages of its calendar month, quarter, and Plan Year prorata proportion of: (i) its Regular ADD and any supplemental Authorized Departure allocation; or (ii) its Allocated Seat Capacity and any supplemental Seat Capacity allocation(s) for anyPlan Year (calculated by reference to the number of days in each relevant calendar quarter): DURING ANY MINIMUM PERCENTAGE Calendar Month: 50% Calendar Quarter: 70% Plan Year: 90% In computing this minimum use requirement with respect to allocations of Regular ADDS and supplemental Class A and Class E Authorized Departures, the requirement shall apply separately to each ADD noise class. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments changed the minimum use percentage requirement for the Plan Year to ninety percent (90%) from ninety-five percent (95%). This was a liberalizing amendment requested by the Air Carriers. July 1999 Amendments. The July 1999 amendments revised this section to reference monthly, quarterly, and Plan Year operations levels consistent with the application of this section to operations levels. June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AAIC/assAAircraft definition/distinction. These revisions are consistent with the Orange County Board of Supervisors' actions on June 25, 2002, and December 10, 2002, certifying EIR 582 and approving the Settlement Amendment; and actions on June 3, 2003, and June 24, 2003, authorizing and approving implementing amendments to the ACCESS PLAN. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-8 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS 8.3.7 MINIMUM MONTHLY, QUARTERLY, AND PLAN YEAR OPERATIONS LEVELS — COMMUTER CARRIERS Unless it has received prior written authority from the Airport Director under Section 8.3.8, no Qualified Commuter Carrier shall conduct its operations in a manner which causes the person to operate less than the following percentages of its calendar month, quarter, and Plan Year prorata proportion of its Plan Year Passenger Capacity Allocation, and any supplemental allocations of Passenger Capacity (calculated by reference to the number of days in each relevant calendar quarter): DURING ANY MINIMUM PERCENTAGE Calendar Month: 50% Calendar Quarter: 70% Plan Year: 90% HISTORICAL NOTE July 1999 Amendments. The July 1999 amendments revised this section to reference monthly, quarterly, and Plan Year operations levels consistent with the application of this section to operations levels. 8.3.8 REQUEST FOR MODIFICATION OF MINIMUM/MAXIMUM USE PERCENTAGES Any Qualified Air Carrier or Qualified Commuter Carrier may submit a written request to the Airport Director for modifications to the maximum and minimum use requirements of Sections 8.3.5, 8.3.6, 8.3.7, and 8.3.9 subject to the following limitations and conditions: (a) The Airport Director may not permit or authorize modifications of the minimum full Plan Year requirements of Sections 8.3.6 or 8.3.7; (b) No request may be made or granted for any period of time greater than one (1) Plan Year; (c) A request must be submitted to the Airport Director on a MODIFICATION OF MINIMUM/MAXIMUM USE PERCENTAGE REQUEST FORM (APPENDIX F-18) not later than forty-five (45) days prior to the last day of the calendar month or calendar quarter for which the request is intended to be effective; and (d) If the request is granted in whole or in part, the Airport Director shall specify the modified minimum or maximum use requirements authorized by him, and the JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 8-9 SECTION 8 - PENALTIES AND PROHIBITIONS percentage values will then be binding on the applicant operator for the period for which the request has been granted as if contained in Sections 8.3.5, 8.3.6, 8.3.7, or 8.3.9 as appropriate. The Airport Director may deny, grant, or grant with conditions the requested modification. In considering any request made under this section, the Airport Director shall consider the following factors: (i) the reasonableness of the request under the relevant circumstances; (ii) the interests of the air traveling public and the impact of the request, if any, on the ability of the County to realize its JWA passenger service level goals and policies during any Plan Year, and (iii) the effect of the request, if any, on the environmental goals, policies, and regulations of the County in its management and operation of JWA. HISTORICAL NOTE July 2015 Amendments. This section was revised to reference both minimum and maximum use percentage requirements in Form F-18. In addition, this section was revised to reduce the requirement for submittal of the F-18 form from sixty (60) days prior to the first day of the Plan Year to forty-five (45) days prior to the last day of the calendar month or calendar quarter for which the request is intended to be effective. In addition, the prohibition against submitting a request for modifications to the maximum/minimum use requirements during the last quarter of any Plan Year was eliminated. 8.3.9 MINIMUM UTILIZATION OF RON ALLOCATION AND SCHEDULED DEPARTURE TIMES During any calendar month no Commercial Air Carrier or Commuter Carrier shall use an allocated RON position for less than eighty percent (80%) of the days for which the RON position was scheduled for use at the time of its allocation under Section 5. In addition, during any Plan Year, no Commercial Air Carrier shall publish or advertise a Scheduled Departure Time for any flight originating from JWA utilizing an RON position at the Airport which is after 0900 hours (local time), Monday through Sunday. These prohibitions are not applicable to RON positions authorized under Section 5.12. HISTORICAL NOTE June 2003 Amendments. This section has been revised to clarify existing Airport policy provided in Section 5.3 of the PLAN with respect to mandatory compliance with the RON preference for departures scheduled at or before 0900 hours (local time). (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-10 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS 8.4 PROHIBITIONS AGAINST EXCESS NOISE 8.4.1 AIR CARRIERS No person requiring an allocation ofADDs for operations at JWA shall operate its aircraft during any Noise Compliance Period at energy averaged SENEL levels which exceed those permitted for the specific class of ADD being utilized for the operations by those aircraft. If any person is authorized to operate more than one (1) aircraft type in connection with his use of any class ofADD, the prohibitions of this section apply separately to each aircraft type. 8.4.2 COMMUTER CARRIERS No person requiring aPassenger Capacity Allocation for operations atJWA shall operate its aircraft during any Noise Compliance Period at energy averaged SENEL levels which exceed those permitted for Class EAircraft. If any person is authorized to operate more than one (1) aircraft type in connection with his operations at JWA, the prohibitions of this section apply separately to each aircraft type. 8.5 OTHER PROHIBITIONS AND REQUIREMENTS 8.5.1 AIRCRAFT WEIGHTS (a) No person shall operate any aircraft type at JWA at weights which exceed the Maximum Permitted Gross Takeoff Weight for that aircraft type. (b) No person shall operate any aircraft at JWA on any pavement surface at JWA at weights which exceed the Maximum Permitted Ground Operations Weight for that pavement surface (as reflected and defined in Appendix E), except as expressly permitted by the Airport Director. HISTORICAL NOTE July 2015 Amendments. This section was revised to provide the Airport Director with the discretion relating to the maximum permitted ground operations weight of aircraft at JWA, to the extent necessary. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-11 SECTION 8 - PENALTIES AND PROHIBITIONS 8.5.2 PERMITTED COMMERCIAL AND CARGO OPERATIONS HOURS (a) Except as expressly authorized by this section, no Air Carrier, Commuter Carrier, nor Commercial Cargo Carrier shall operate any aircraft at JWA at any other times other than the Permitted Commercial Operations Hours and Permitted Cargo Operations Hours. The Airport Director or senior County operations representative then on duty may (but is not required to) authorize a departure or landing outside of the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours, as applicable to a specific commercial operation, only under the following conditions and limitations, and only upon his determination that the specific operation is not being performed under circumstances inconsistent with the basic intent of the County in establishing the Permitted Commercial Operations Hours and Permitted Cargo Operations Hours, respectively in the first instance: (b) The flight was scheduled to arrive or depart during the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours and was delayed by not more than one-half hour beyond the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours by emergency, mechanical, air traffic control, or weather delays substantially beyond the control of the operator; and (c) If any person is granted permission under this section to conduct a departure or arrival outside of the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours and was delayed by not more than one-half hour beyond the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours by air traffic control or weather delays substantially beyond the control of the operator; and (d) If any person is granted permission under this section to conduct a departure or arrival outside of the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours, that person must file a written report with the Airport Director within forty-eight (48) hours after the arrival or departure which describes in detail the specific circumstances which caused the person to make the request. Any failure to file the written report within the time permitted by this paragraph will render the Airport Director's authorization invalid and void. Nothing in this section establishes a `right" or privilege of any person to conduct air operations outside of the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours. No person may conduct operations outside the Permitted Commercial Operations Hours or Permitted Cargo Operations Hours under the authority of this section unless that person has first received express approval for the specific operation from the Airport Director or senior County operations officer on duty at the time the operation is conducted. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-12 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments: (i) added the parenthetical statement in the second paragraph of this section; (ii) added the requirement that the Airport Director make a determination that the authorized operation occur only under circumstances consistent with the basic intent of the County in establishing the airport time of day restrictions; (iii) added the reference in subsection (a) to CALIFORNIA PUBLIC UTILITIES CODE §21662.4; (iv) changed the time reference in subsection (b) to one-half (1h) hour; and (v) added the last paragraph of this section. These were, for the most part, clarifying amendments. The added reference to the newly enacted PUBLIC UTILITIES CODE §21662.4 made the section consistent with the terms of that section, as adopted by the state legislature by the passage of AB 2630 (1990) (La Follette). December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board's certification and approval of COUNTY NVIRONMENTAL IMPACT REPORT NO. 552. This section was revised consistent with these series of approved amendments. 8.5.3 SCHEDULED DEPARTURE TIMES No Air Carrier or Commuter Carrier shall publish or advertise a Scheduled Departure Time for any flight originating from JWA which is: (i) prior to 0645 hours, local time, or after 2145 hours, local time, Monday through Saturday; or (ii) prior to 0745 hours, local time, or after 2145 hours, local time, on Sundays. Nothing in this section authorizes any person to conduct air operations at JWA at times other than the Permitted Commercial Operations Hours. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments liberalized the restrictions of this section by changing the permitted scheduled departure times from 0650 and 0750 hours, local time, to 0645 and 0745 hours, local time. This amendment was requested by American Airlines and supported by other Air Carriers. JOHN WAYNE AIRPORT PHASE 2 ACCESS PLAN (As Amended Through "October 1, 2015) Page 8-13 SECTION 8 - PENALTIES AND PROHIBITIONS 8.5.4 USE OF LOADING BRIDGES MANDATORY Except as may specifically be authorized in writing by the Airport Director: (i) no Air Carrier shall cause or allow any member of the public to board any aircraft from the departure level of the passenger terminal by any means other than a loading bridge (i.e. gate or hard -stand), the use of which has been assigned to that carrier; and (ii) except in an emergency threatening life or property, no Air Carrier shall permit any member of the public to deplane an aircraft except through a loading bridge (i. e., gate or hard -stand), the use of which has been assigned to that carrier. It is the intent and purpose of this section that Air Carriers will not cause or allow their passengers to use the Air Carrier apron or other operational areas of the airfield for the purpose of boarding or deplaning any Air Carrier aircraft, unless that area has been assigned to that Air Carrier. 8.5.5 UNEXECUTED OR INCOMPLETE FORMS Whenever any person submits to the Airport Director any mandatory or discretionary form under the terms of this PLAN, the form shall be executed by a responsible officer or other responsible person employed by the operator, and the form shall contain all requested information available to the person on whose behalf the form is submitted. For purposes of this PLAN, the person actually signing the form will be deemed to have the authority to make the representations of fact contained in the completed form on behalf of the person submitting the form. HISTORICAL NOTE July 1999 Amendments. The July 1999 amendments added the word "person" between the words "the" and "on." 8.6 PENALTIES - REPORTING REQUIREMENTS Any person violating the reporting requirements of this PLAN shall be subject to the sanctions set forth in the following sections: 8.6.1 MANDATORY REPORTS Any failure to file required reports within (and at) the times required by this PLAN, and which are in full compliance with Section 8.5.5, shall result in the following administrative penalties: (a) For each of the first fifteen (15) calendar days during which the required form is late, an administrative penalty of $500 per day. (b) For each of the next fifteen (15) calendar days during which the required form is late, an administrative penalty of $1,000 per day. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-14 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS (c) If, within the first fifteen (15) calendar days during which the report is late, the Airport Director delivers a written demand for the required form to the person failing to file the form, then, after the expiration of the period set forth in subparagraph (b) above, the person failing to file the required form shall immediately cease to be a Qualified Air Carrier or Qualified Commuter Carrier. (d) If the AirportDirector does not deliver a demand under subparagraph (c) above, then for each day the required form is late after the expiration of the period set forth in subparagraph (b) above, an administrative penalty of $2,500 per day. (e) If the AirportDirector does not deliver awritten demand within the time set forth in subparagraph (c) above, but later delivers such a demand; and if the person required to file the form does not then deliver the form in full compliance with Section 8.5.5 within fifteen (15) days after the date of the Airport Director's demand, then the person shall immediately cease to be a Qualified Air Carrier or Qualified Commuter Carrier. Nothing in this section requires the AirportDirector to make a demand under subparagraphs (c) or (e) above. Those forms contained in appendices to this PLAN which, for purposes of this section, are "required" or "mandatory" forms are: APPENDIX E-1 APPENDIX E-% APPENDIX E-11 APPENDIX E-19 APPENDIX E-2 APPENDIX E-9 APPENDIX E-15 HISTORICAL NOTE APPENDIX E-4 APPENDIX E-10 APPENDIX E-17 June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. July 2015 Amendments. The July 2015 amendments added reference to Appendix F-11. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-15 SECTION 8 - PENALTIES AND PROHIBITIONS 8.6.2 DISCRETIONARY REPORTS For purposes of this section, "discretionary reports (or forms)" are reports which are only required if the applicant carrier wishes to be allocated special or supplemental allocations, or which are required only in connection with discretionary activity to be initiated by the carrier under this PLAN. For purposes of this section, the forms contained in the appendices to this PLAN which are "discretionary" are: APPENDIX F-3 APPENDIX F-8 APPENDIX F -13(S) APPENDIX F-18 APPENDIX F-22 APPENDIX F-5 APPENDIX F -11(S) APPENDIX F-14 APPENDIX F-20 APPENDIX F-6 APPENDIX F -12(S) APPENDIX F-16 APPENDIX F-21 If any person submits a "discretionary report (or form)" to the Airport Director which does not comply with Section 8.5.5, or which is not submitted within the time permitted by this PLAN, the form may be deemed not to have been received by the County or the Airport Director, and it shall be ineffective for purposes of requesting any allocations or other operating privileges under this PLAN. HISTORICAL NOTE October 1994 Amendments. On October 4, 1994, the Orange County Board of Supervisors approved a series of amendments to the "affiliate policy" provisions of the ACCESS PLAN. These amendments included adding APPENDIX F-21 and APPENDIX F-22 regarding the Declaration and Amended Declaration of Formation of an Associated Operating Group as "discretionary reports." July 2015 Amendments. The July 2015 amendments added an (S) to Forms F-11, F-12, and F-13. 8.6.3 UNEXECUTED OR INCOMPLETE FORMS - EFFECT OF NON-COMPLIANCE (a) Whenever any person submits a required or discretionary form to the Airport Director under the terms of this PLAN which is unexecuted, or which omits requested information available to the person submitting the form, or which otherwise violates Section 8.5.5, then, in addition to the other remedies available to the County, including the penalties set forth in Section 8.6.1, the County may deem the report or form not to have been received by the County or the Airport Director for any purpose related to this PLAN. (b) In the event the Airport Director receives a mandatory or discretionary form or report which has, as its only defect, a failure to meet the signature requirements (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-16 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS of Section 8.5.5, he shall, within fifteen (15) days of his receipt of the form, give written notice to the person submitting the form of the deficiency. If no such notice is given within fifteen (15) days, the form will be deemed to be in compliance with the signature requirements of Section 8.5.5 on the date the form was originally submitted to the Airport Director (see, Section 11.2.4). HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments expanded the title of this section for clarification. 8.7 PENALTIES - UNDER -UTILIZATION OF OPERATIONS CAPACITY 8.7.1 UNDER -UTILIZATION OF RON ALLOCATIONS AND VIOLATION OF SCHEDULED DEPARTURE TIMES Any Air Carrier or Commuter Carrier which violates Section 8.3.9 with respect to the use of its RON position allocations may be subject to the following penalties: (a) In the event a Commercial Air Carrier or Commuter Carrier violates Section 8.3.9, the Airport Director may declare that its allocation of the under-utilized or misused RON position has been terminated immediately, or terminated effective on such other date as the Airport Director may declare. Written notice of any such termination will be effective immediately upon delivery of any such notice by the Airport Director, unless a different termination effective date is specified in the Airport Director's notice. (b) If, during the term of this PLAN, the termination provisions of paragraph (a) have been applied to any Commercial Air Carrier or Commuter Carrier on three (3) separate occasions, that Air Carrier or Commuter Carrier shall be disqualified from eligibility to receive any allocation of RON positions during the Plan Year immediately following the Plan Year during which the third unauthorized under -utilization occurred. Thereafter, every application of subparagraph (a) above to the same Commercial Air Carrier shall disqualify the Air Carrier from eligibility to receive any allocation of RON positions during the neat succeeding Plan Year. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-17 SECTION 8 - PENALTIES AND PROHIBITIONS HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments revised this section to insert the word "misused" in subparagraph (a). This was a clarifying amendment and was consistent with the staff interpretation of the section prior to the amendment. Certain grammatical changes were also made to subparagraph (b) of this section. 8.7.2 UNDER -UTILIZATION OF AUTHORIZED DEPARTURES OR SEAT CAPACITY Any Commercial Air Carrier which violates Section 8.3.6 with respect to the use of its Authorized Departures or Seat Capacity may be subject to the following penalties: (a) If the violation is afailure to serve fifty percent (50%) oftheAir Carrier's prorata RegularADD or Seat Capacity allocation during any month, the Airport Director may recommend to the Board of Supervisors: (i) immediate disqualification of the Air Carrier, or (ii) a reduction in the Air Carrier's remaining unused Regular ADD, supplemental Authorized Departure, and Seat Capacity allocations for the Plan Year, or for some other, longer, period of time. The Airport Director shall base any recommendations made under this paragraph upon all relevant circumstances under which the carrier failed to meet the fifty percent (50%) requirement. Violations of Section 8.3.6, other than failing to meet the fifty percent (50%) requirement, are subject to the following penalties: (b) If the Air Carrier violates Section 8.3.6 solely as a result of its allocation of supplemental Authorized Departures, but the Air Carrier would not have violated Section 8.3.6 if the percentage requirement of that section were applied only to the Air Carrier's Regular ADD allocation, then the Air Carrier shall be disqualified from receiving any supplemental Authorized Departure allocations of any class for the Plan Year following the Plan Year during which the violation occurred. (c) If the disqualification provisions of subparagraph (b) of this section are applied to any Commercial Air Carrier on three (3) separate occasions during the term of this PLAN, the Air Carrier shall be disqualified from receiving any supplemental Authorized Departure allocations for the two (2) Plan Years neat following the Plan Year during which the third violation of subparagraph (b) above occurred. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-18 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS (d) If the Commercial Air Carrier violates Section 8.3.6 with respect to its allocation of any class ofRegularADDs, then: (i) for the remainder of the term of this PLAN, that Air Carrier's Regular ADD allocation in the ADD class for which the violation occurred shall be reduced to the ADD level actually operated by the Air Carrier during the period when the violation occurred, rounded to the nearest one-half (5) ADD; and (ii) the Air Carrier shall be disqualified from receiving any supplemental allocations of Authorized Departures in any class for the Plan Year following the Plan Year during which the violation occurred. HISTORICAL NOTE July 1999 Amendments. The July 1999 amendments expanded the title of this section for clarification. June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 8.7.3 UNDER -UTILIZATION OF PASSENGER CAPACITY ALLOCATIONS Any Commuter Carrier which violates the provisions of Section 8.3.7 may be subject to the following penalties: (a) If the violation is afailure to serve fifty percent (50%) of the Commuter Carrier's prorata Passenger Capacity Allocation during any month, the Airport Director may recommend to the Board of Supervisors: (i) immediate disqualification of the Commuter Carrier, or (ii) a reduction in the Commuter Carrier's remaining unused Passenger Capacity Allocation for the Plan Year, or for some other, longer, period of time. The Airport Director shall base any recommendations made under this paragraph upon all relevant circumstances under which the carrier failed to meet the fifty percent (50%) requirement. (b) If the violation is a failure to serve seventy percent (70%) of the Commuter Carrier's prorata Passenger Capacity Allocation during a calendar quarter, then that Commuter Carrier's Passenger Capacity Allocation for each calendar quarter during the remainder of the Plan Year shall be reduced to a level equal to the passenger level actually served by the Commuter Carrier operator during the quarter in which the violation occurred. (c) If the violation is a failure to serve ninety percent (90%) of the Commuter Carrier's Passenger Capacity Allocation during a Plan Year, then that Commuter Carrier's Passenger Capacity Allocation for the succeeding Plan JOHN WAYNE AIRPORT (As Amended Through "Iy 24 , 2015) PHASE 2 ACCESS PLAN Page 8-19 SECTION 8 - PENALTIES AND PROHIBITIONS Year may not exceed the passenger level actually served by the Commuter Carrier during the Plan Year in which the violation occurred. 8.8 PENALTIES - EXCESS UTILIZATION OF OPERATIONS CAPACITY 8.8.1 COMMERCIAL AIR CARRIERS Any Commercial Air Carrier which violates Sections 8.3.1, 8.3.2, or 8.3.5 shall be subject to the following penalties: (a) If the violation is a violation of any of the percentage limitations of Section 8.3.5, then the Air Carrier shall reduce its level of operations during the succeeding calendar quarter(s) of the remainder of the Plan Year to levels specified by the Airport Director. (b) If the violation is: (i) a violation of Sections 8.3.1 or 8.3.2; or (ii) a failure to comply with subparagraph (a) of this section during any calendar quarter for which the Airport Director has given a notice under the authority of subparagraph (a); the Air Carrier shall immediately cease to be a Qualified Air Carrier, and the Airport Director may immediately terminate any tenancy and operating privileges of the Air Carrier at JWA. HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 8.8.2 COMMUTER CARRIERS Any Commuter Carrier which violates Section 8.3.3 or 8.3.5 of this PLAN shall be subject to the following penalties: (a) If the violation is a violation of any of the percentage limitations of Section 8.3.5, then the Commuter Carrier shall reduce its level of operations and passenger service levels during the succeeding calendar quarter(s) of the remainder of the Plan Year to levels specified by the Airport Director. (b) If the violation is: (i) aviolation of Sections 8.3.3; or (ii) afailure to comply with paragraph (a) of this section during any calendar quarter for which the Airport Director has given a notice under the authority of subparagraph (a) above; the Commuter Carrier shall immediately cease to be a Qualified Commuter Carrier, (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-20 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS and the Airport Director may immediately terminate any tenancy and operating privileges of the Commuter Carrier at JWA. HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 8.9 PENALTIES - NOISE LEVEL VIOLATIONS 8.9.1 DISQUALIFICATION OF AIRCRAFT TYPE In the event any person violates Section 8.4.1 or Section 8.4.2 with any aircraft type previously qualified and certified under Section 10, the Airport Director shall immediately disqualify that aircraft type from further service at JWA by that operator, in the ADD noise classification for which the violation occurred. 8.9.2 EFFECT OF DISQUALIFICATION ON CONTINUED JWA SERVICE In the event the Airport Director disqualifies any aircraft type under the authority of Section 8.9.1, then: (a) If the disqualified aircraft type is the only aircraft type qualified by the Air Carrier or Commuter Carrier under Section 10, that person shall immediately cease to be a Qualified Air Carrier or Qualified Commuter Carrier. (b) If the disqualified aircraft type is the only aircraft type qualified by anAir Carrier under Section 10 for use with a specific noise class of Regular ADD (or supplemental Authorized Departure allocations), the Air Carrier shall immediately cease all operations at JWA undertaken in reliance upon ADD or Authorized Departure allocations in that class, and any Regular ADDS or Authorized Departures of that class previously allocated to the Air Carrier shall immediately be available for reallocation by the County under Section 4.2 or Section 7.3, at the sole and exclusive discretion of the County. 8.9.3 REQUALIFICATION OF DISQUALIFIED AIRCRAFT If any aircraft type as operated at JWA by any Air Carrier or Commuter Carrier is disqualified under the authority of Section 8.9.1, the disqualified aircraft type may not be requalified by the Air Carrier or Commuter Carrier under Section 10, except as follows: JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-21 SECTION 8 - PENALTIES AND PROHIBITIONS (a) The aircraft may not have been disqualified under Section 8.9.1 on more than one (1) occasion during the term of this PLAN; (b) The requalification may not occur during the first two (2) Noise Compliance Periods following the Noise Compliance Period for which the violation occurred; (c) The person requesting requalification must establish to the satisfaction of the Airport Director that it has identified the reason(s) for the excessive noise levels previously generated by that aircraft type at JWA; and (d) If the applicant meets the requirements of subparagraphs (a) and (b) above, and if he successfully requalifies the aircraft type under Section 10, the Airport Director, in connection with his Section 10 certification of the aircraft type, may impose such conditions on the applicant's use of the requalified aircraft type at JWA as he deems necessary or appropriate to ensure subsequent and continued compliance with the prohibitions of Section 8.4. HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 8.9.4 OPERATIONS OUTSIDE OF THE PERMITTED COMMERCIAL OPERATIONS HOURS penalties: Any person who violates Section 8.5.2 shall be subject to the following administrative (a) For each of the first five (5) violations occurring during the term of this PLAN, $2,500 per violation; (b) For each of the next five (5) violations occurring during the term of this PLAN, not less than $3,500 or more than $5,000 per violation; and (c) For each violation after ten (10) violations during the term of this PLAN, an administrative penalty of not less than $5,000 or more than $10,000 per violation. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-22 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments removed references to reductions in RON positions from subsection (c) of this section, which had been included inadvertently. June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 8.9.5 MONETARY PENALTIES In addition (and without prejudice) to any and all other sanctions and penalties applicable under this section, or any other relevant provision of this PLAN, any person who violates Section 8.4.1 or Section 8.4.2 may be subject to an administrative penalty in an amount not to exceed $500,000. 8.9.6 OPERATIONS OUTSIDE OF THE PERMITTED CARGO OPERATIONS HOURS Any Commercial Cargo Carrier who violates Section 8.5.2 shall be subject to the following administrative penalties: (a) For each of the first five (5) violations occurring during the term of this PLAN, an administrative penalty of $2,500 per violation; (b) For each of the next five (5) violations occurring during the term of this PLAN, an administrative penalty of not less than $3,500 or more than $5,000 per violation; and (c) For each violation after ten (10) violations during the term of this PLAN, an administrative penalty of not less than $5,000 or more than $10,000 per violation. HISTORICAL NOTE September 2010 Amendment. This section was revised to tie the monetary penalties to the term of the ACCESS PLAN rather than the term of the Commercial Cargo Carrier's lease or operating agreement with the County consistent with other monetary penalty provisions of the ACCESS PLAN. Total cumulative violation occurrences beyond ten (10) violations will, at the sole and exclusive discretion of the County, be a material event of default under the Commercial Cargo Carrier's lease or operating agreement with the County, and will subject the Commercial Cargo Carrier to immediate disqualification and termination of its operating privileges at JWA. JOHN WAYNE AIRPORT (As Amended Throughctobe , 2015) PHASE 2 ACCESS PLAN Page 8-23 SECTION 8 - PENALTIES AND PROHIBITIONS For purposes of this section, multiple violations of the Permitted Cargo Operations Hours provisions made in respect of a single operation will be deemed a single violation for purposes of calculating the applicable enforcement remedy and sanction. HISTORICAL NOTE December 1994 Amendments. On December 6, 1994, the Orange County Board of Supervisors approved a series of amendments to the PHASE 2 ACCESS PLAN in order to provide the Airport Directorwith the discretion to allocate Regulated (Class A or Class AA) ADDS to Commercial Cargo Carriers consistent with the findings made in connection with the Board's certification and approval of COUNTY ENVIRONMENTAL IMPACT REPORT NO. 552. This section was added consistent with these series of approved amendments. 8.10 PENALTIES — OTHER VIOLATIONS 8.10.1 RON PROHIBITIONS Any person who violates any provision of Sections 5.1.2, 5.1.3, 5.1.4, 5.1.5, 5.1.6, 5.2.1, 5.6.2, 5.6.3, 5.6.4, 5.6.5, 5.12.1, or 5.12.4 shall be subject to the following administrative penalties: (a) For each of the first five (5) violations occurring during the term of this PLAN, $1,000 per violation; (b) For each of the neat five (5) violations occurring during the term of this PLAN, $2,500 per violation; (c) For each violation after ten (10) violations during the term of this PLAN, a reduction of one (1) RON position in each future RON allocation period for which the carrier requests a RON position and an administrative penalty of $5,000 per violation. For purposes of this section, each occurrence of an event or activity which, independently, would constitute a violation for which a penalty could be imposed under this section, will be deemed to be a separate violation. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-24 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments added the words "each" and "separate" to the last sentence of this section for purposes of clarification and consistency with other related sections of the PLAN. 8.10.2 CONDUCTING CLASS E OPERATIONS WITHOUT PRIOR APPROVAL Any person who violates Section 3.4.2 shall be subject to an administrative penalty of $5,000 for each departure conducted in violation of that section. 8.10.3 OPERATIONS WITH UNQUALIFIED AIRCRAFT Any person who violates Section 8.3.4 or Section 10.2 shall be subject to the following administrative penalties: (a) For each of the first five (5) violations occurring during the term of this PLAN, $1,000 per violation; (b) For each of the neat five (5) violations occurring during the term of this PLAN, $5,000 per violation; (c) For each violation after ten (10) violations during the term of this PLAN, an administrative penalty of $10,000 per violation. For purposes of this section, each occurrence of an event or activity which, independently, would constitute a violation for which a penalty could be imposed under this section, will be deemed to be a separate violation. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments added the word "separate" to the last sentence of this section for purposes of clarification and consistency with other related sections of the PLAN. The amendments also removed the inadvertent and inappropriate reference to RON position allocations. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-25 SECTION 8 - PENALTIES AND PROHIBITIONS 8.10.4 VIOLATION OF ALLOCATION CONDITIONS (a) Each person who violates any condition imposed by the County or the Airport Director in respect of any special or supplemental allocation under the terms of this PLAN shall be subject to an administrative penalty of $5,000 per violation, in addition (and without prejudice) to any other applicable penalty or sanction under any other provision of this PLAN. (b) Each person who continues to violate any such condition after receiving a notice to cease and desist from the Airport Director shall be subject to an administrative penalty of $25,000 per violation, and shall immediately cease to be a Qualified Air Carrier or Qualified Commuter Carrier, in addition (and without prejudice) to any other applicable penalty or sanction under any other provision of this PLAN. For purposes of this section, each occurrence of an event or activity which, independently, would constitute a violation for which a penalty could be imposed under this section, will be deemed to be a separate violation. 8.10.5 FAILURE TO FILE ADJUSTMENT PLAN In addition (and without prejudice) to all other sanctions available under this PLAN, each person who fails to file the OPERATIONS ADJUSTMENT PLAN (APPENDI% F-19) within the time permitted, and as required by, Section 6.6, shall be subject to the following administrative penalties: (a) For each day after the day on which the OPERATIONS ADJUSTMENT PLAN was due, an administrative penalty of $2,500; (b) For each day after the first day on which the Airport Director has delivered a written demand for the late OPERATIONS ADJUSTMENT PLAN, an administrative penalty of $10,000. 8.10.6 FAILURE TO FILE NOTICE OF AFFILIATION For any violation of the requirements of Section 8.2.4, the person failing to make the required filing shall be subject to the following administrative penalties: (a) If the violation is a violation of Section 8.2.4(a), the person failing to make the required filing shall not conduct any operations at JWA during the term of this PLAN until the filing has been made. (b) If the violation is a violation of Section 8.2.4(b), the person(s) failing to make the required filing in a timely manner shall each: (i) be subject to an administrative (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page 8-26 PHASE 2 ACCESS PLAN SECTION 8 - PENALTIES AND PROHIBITIONS penalty of $5,000 per day for each day the required report(s) is late; and (ii) any allocations made to any such person at a time when the report was required to be filed may be rescinded, revoked, or modified as determined in the sole and exclusive discretion of the Board of Supervisors. 8.10.7 FAILURE TO TERMINATE Any person who fails to meet any requirement of Section 7.2.3 shall be subject to an administrative penalty of $25,000 per day for each day during which the person has failed to meet any Section 7.2.3 obligation. 8.10.8 FAILURE TO FILE REVISED DEPARTURE PROCEDURES Any person who fails to comply with the requirements of Section 10.3.3 shall be subject to an administrative penalty of $500 per day for every day the required filing is late. 8.10.9 OTHERYIOLATIONS Any person who violates any provision of this PLAN, other than those sections specifically referenced in Sections 8.7, 8.8, 8.9, and 8. 10, shall, in addition (and without prejudice to) all other remedies and sanctions available under this PLAN, be subject to an administrative penalty of $1,000 per violation. For purposes of this section, each occurrence of an event or activity which, independently, would constitute a violation for which a penalty could be imposed under this section, will be deemed to be a separate violation. 8.11 NOTICE TO PENALIZED OPERATORS Whenever the Board of Supervisors or the Airport Director take enforcement action under the authority of this Section 8, or any other relevant provision of this PLAN, the County shall give written notice of the enforcement action as soon as practicable in accordance with the provisions of Section 11.2. The notice shall state the nature of the violation and summarize the basis for imposition of the penalty or sanction. 8.12 CUMULATIVE SANCTIONS OR PENALTIES The sanctions and penalties provided for in this PLAN are cumulative. Whenever this PLAN identifies or provides for more than one (1) possible sanction or penalty with respect to any violation of this PLAN, the person(s) committing the violation may be subject to each of the possible penalties or sanctions, or any combination of penalties or sanctions. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 8-27 SECTION 8 - PENALTIES AND PROHIBITIONS 8.13 PAYMENT OF MONETARY PENALTIES Whenever the Airport Director or the County impose any monetary penalties under the terms of this PLAN, the penalties shall be paid not later than thirty (30) days after the date of the Airport Director's written notice under Section 8.11. Any person who fails to make payment of the penalty within the thirty (30) day period permitted by this section shall be subject to an additional administrative penalty of $1,000 per day for each day the penalty payment is late. 8.14 ENFORCEMENT AND SANCTIONS IN RESPECT OF OPERATIONS BY MEMBERS OF AN AUTHORIZED ASSOCIATED OPERATING GROUP Each memberAir Carrier, and member Commuter Carrier, of anyAssociated Operating Group shall have compliance responsibility, and shall be subject to any and all sanctions under this PLAN, in respect of its use, operation, non-use, or other obligations under this PLAN in respect of any and all Regular or supplemental ADDS, Authorized Departures, Seat Capacity, RON allocations, Passenger Capacity, or any other capacity allocation identified for use by that operator on any approved PCAR submitted under Section 3.5.5, or FORM F-21 or FORM F-22 submitted under Section 3.9. If, and to the extent, withdrawal or other capacity limitation sanctions are applied against any such carrier in respect of capacity which otherwise would be deemed to be Passenger Capacity, Regular ADD, related Seat Capacity, or any supplemental operating capacity allocated to another Air Carrier member of the Associated Operating Group, that second Air Carrier will be deemed to have consented to the imposition of the sanction at the time it consents to, and participates in, the filing of the relevant PCAR, FORM F-21 or FORM F-22 by the Associated Operating Group. HISTORICAL NOTE October 1994 Amendments. On October 4, 1994, the Orange County Board of Supervisors approved a series of amendments to the affiliate policy provisions of the ACCESS PLAN. These amendments included a number of regulations which apply to the formation of, allocations to, and general operation of Associated Operating Groups. This section was added consistent with these approved amendments. a (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 8-28 PHASE 2 ACCESS PLAN SECTION 9 REVIEW OF SANCTIONS 9.1 APPEAL OF PENALTY OR SANCTION Any person who is assessed any penalty or other sanction imposed by the Airport Director under the terms of this PLAN may request County administrative review of the initial decision to impose the penalty or sanction in accordance with the terms of this section. The relief sought in connection with any such request for review may be: (i) a determination that the penalty or sanction should not be imposed, or should be rescinded, in whole or in part (ii) a modification of the penalty or sanction; or (iii) the imposition of some other penalty or sanction under the terms of this PLAN. 9.2 COUNTY POLICY It is the basic purpose of these rules to provide a reasonable, fair, constitutionally appropriate, and expeditious means by which persons contesting penalties or sanctions imposed by the Airport Director can obtain review of the penalty or sanction decision by administrative means. It is not in the best interests of the citizens of Orange County, the air traveling public, or other users of JWA, and it is not the intent of these rules, to provide a procedure by which persons can create or cause extended delays in the assessment, collection, or enforcement of any penalty or sanction imposed under this PLAN; nor is it the intent of these rules to create or authorize a procedure by which persons subject to penalties or sanctions under this PLAN can contest the penalty or sanction by unmeritorious or unsupportable claims or assertions. As stated in Section 1.5 (and see, Section 1.8 and Section 1.9), operating capacity allocations under this PLAN are privileges and do not, at any time, become "vested" rights or "vested property rights." To the extent this Section 9 provides procedural processes and safeguards in excess of the minimum requirements of the United States and California Constitutions, those procedures are a courtesy to the users of JWA only, and not an acknowledgment of any claim that this PLAN creates any "vested" rights. 9.3 REQUEST FOR REVIEW 9.3.1 INFORMAL REQUEST FOR REVIEW Not later than seven (7) days after the effective date (see, Section 11.2.3) of the Airport Director's notice of penalty or sanction delivered under Section 8. 11, or any other section of this PLAN, the person subject to the penalty or sanction described in the notice may request and receive an JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 9-1 SECTION 9 - REVIEW OF SANCTIONS opportunity to meet informally with the Airport Director to discuss, and request reconsideration of, the penalty or sanction. 9.3.2 FORMAL REQUEST FOR REVIEW Not later than thirty (30) days after the effective date (see, Section 11. 2.3) of the Airport Director's notice of penalty or sanction delivered under Section 8. 11, or any other section of this PLAN, the person subject to the penalty or sanction described in the notice may submit an original and nine (9) copies of a written "Request for Review of Sanction or Penalty" ("REQUEST FOR REVIEW") to the Airport Director. A REQUEST FOR REVIEW maybe submitted only bythe person subject to the penalty or sanction for which review is sought. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments added the words "of Sanction or Penalty" to the first sentence of this section for purposes of consistency. July 2015 Amendments. The July 2015 amendments revised the time period within which a person may make a formal request for review from fifteen (15) days to thirty (30) days after the effective date of the notice of penalty or sanction. 9.4 PROHIBITION AGAINST UNMERITORIOUS OR SHAM REQUESTS FOR REVIEW No person shall submit any REQUEST FOR REVIEW for the sole or principal purpose of causing a delay in the implementation or enforcement of any penalty or sanction imposed under this PLAN, or which is otherwise submitted, in whole or in significant part, in "bad faith." (a) For purposes of this section, a REQUEST FOR REVIEW is not submitted in "bad faith" if the factual and legal issues raised by the REQUEST FOR REVIEW identify legal or factual issues which a reasonable man would conclude, under all relevant circumstances, present a fair and colorable dispute over whether the challenged penalty or other sanction should be rescinded or modified. (b) For purposes of this section, each factual and legal issue raised by the REQUEST FOR REVIEW must separately meet the "bad faith" test of this section, and nothing in this section precludes the County from determining that some, but not all, of the issues raised by the REQUEST FOR REVIEW have been presented in "bad faith." (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 9-2 PHASE 2 ACCESS PLAN SECTION 9 - REVIEW OF SANCTIONS 9.5 REQUIRED CONTENTS OF REQUEST FOR REVIEW Any written REQUEST FOR REVIEW delivered under Section 9.3 must comply with each of the following requirements: 9.5.1 STATEMENT OF DISPUTED ISSUES The REQUEST FOR REVIEW shall contain a "Statement of Disputed Issues" which shall be a concise statement of: (i) each factual issue; and (ii) each legal issue, relevant to the penalty or sanction which is contested by the person submitting the request. In addition, the "Statement of Disputed Issues" shall begin with a summary of the basic contentions of the party seeking review as to why the penalty or sanction should not be imposed, or why it should be modified. 9.5.2 DOCUMENTARY EVIDENCE The REQUEST FOR REVIEW shall also contain true and correct copies, authenticated by affidavit or declaration made under penalty of perjury, of all documents which the person seeking review believes to be relevant to the factual or legal issues raised by its "Statement of Disputed Issues." Each such document shall be separately numbered, beginning with document number 1, and proceeding in numerical sequence to the last document. The REQUEST FOR REVIEW shall contain an index to the documents. 9.5.3 PERSONAL TESTIMONY - AFFIDAVITS The REQUEST FOR REVIEW shall also contain any and all personal testimony by persons other than County employees, officers, or officials, which the person requesting review believes relevant to the issues raised by its REQUEST FOR REVIEW. The testimony shall be presented in affidavit or declaration form, made under penalty of perjury, and in full compliance with the requirements of CALIFORNIA CODE OF CIVIL PROCEDURE §2015.5. The affidavits or declarations shall: (i) be prepared in narrative format, as if offered as "direct" testimony; (ii) establish the qualifications of the witness to make the testimony contained in the affidavit or declaration, including his personal knowledge of the facts stated; and (iii) identify in the first paragraph of the declaration or affidavit the specific issues as to which the testimony is offered. 9.5.4 STATEMENT OF RELIEF REQUESTED The REQUEST FOR REVIEW shall also contain a concise statement of the relief sought by the person requesting review. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 9-3 SECTION 9 - REVIEW OF SANCTIONS 9.5.5 CITATIONS TO LEGAL AUTHORITIES The REQUEST FOR REVIEW shall also contain appropriate and full citations to any legal authorities relied on by the person requesting review, and a separate table which lists the authorities. If the authorities cited include any case or statutory authorities other than the: (i) constitutions, statutes, or regulations of the United States or the State of California, or (ii) decisions of any courts other than the courts of the United States or the State of California, then full copies of all other authorities shall be submitted with the REQUEST FOR REVIEW. 9.6 AIRPORT DIRECTOR REVIEW AND ACTION 9.6.1 INITIAL REVIEW AND PRELIMINARY DETERMINATIONS Upon his receipt of any REQUEST FOR REVIEW, the Airport Director shall promptly take the following actions: (a) The Airport Director shall provide one (1) copy of the REQUEST FOR REVIEW to County Counsel and one (1) copy of the REQUEST FOR REVIEW to each member of the Airport Commission; (b) The Airport Director, in consultation with County Counsel, shall review the REQUEST FOR REVIEW and its contents and determine whether to: (i) grant the requested relief administratively, and without further proceedings under this section; (ii) make an "offer of compromise" to the person requesting review; or (iii) contest the REQUEST FOR REVIEW by referral to the Airport Commission; (c) The Airport Director, in consultation with County Counsel, shall determine whether any of the legal or factual issues raised by the REQUEST FOR REVIEW are being presented in "bad faith" within the meaning of Section 9.4; (d) The Airport Director, in consultation with County Counsel, shall determine whether any of the legal or factual issues raised by the REQUEST FOR REVIEW directly implicate or affect the legal rights or interests of any other person ("interested parties"). (e) The Airport Director shall give written notice to the person requesting review of his decisions and determinations under subparagraphs (b), (c), and (d) of this section not later than fourteen (14) days after his receipt of the REQUEST FOR REVIEW. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 9-4 PHASE 2 ACCESS PLAN SECTION 9 - REVIEW OF SANCTIONS HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 9.6.2 NOTICE OF PRELIMINARY DETERMINATION OF "BAD FAITH" FILING If the Airport Director determines under Section 9.6.1(c) that some or all of the issues raised by the REQUEST FOR REVIEW are made in "bad faith" (within the meaning of Section 9.4), his written notice under Section 9.6.1(e) shall identify each of those issues and afford the person requesting review to withdraw or modify the REQUEST FOR REVIEW accordingly. Withdrawal or modification may be made without penalty within ten (10) days after the Airport Director's notice under Section 9.6.1(e). If the Airport Director does not give notice of his Section 9.6.1(c) determination within fourteen (14) days after his receipt of the REQUEST FOR REVIEW, the County will not thereafter assert or allege that any portion of the REQUEST FOR REVIEW was made in "bad faith" within the meaning of Section 9.4. 9.6.3 NOTICE OF "INTERESTED PARTIES" If the Airport Director determines under Section 9.6.1(d) that there are any "interested parties" to the proceeding, he shall give written notice of that fact to the person requesting review and to each "interested party;" and the party requesting review shall immediately serve upon each "interested party" a complete copy of the REQUEST FOR REVIEW, and copies of any other documents previously filed or presented to the Airport Director or the County regarding the issues raised by the REQUEST FOR REVIEW. Thereafter, both the County and the person requesting review shall serve each "interested party" with copies of all documents prepared or filed by them with the Airport Commission or the Airport Director, unless the "interested party" states in writing to the Airport Director that he does not wish to participate further in the County's consideration of the REQUEST FOR REVIEW. 9.6.4 REFERRAL TO AIRPORT COMMISSION If the Airport Director determines under Section 9.6.1(b)(iii) that the County should contest the REQUEST FOR REVIEW, in whole or in part, then, within fourteen (14) days of his receipt of the REQUEST FOR REVIEW, he shall give written notice to the party requesting review, any "interested party," and to the members of the Airport Commission, of his determination and of the date of the Airport Commission meeting at which the matter will be heard. In selecting the date for the hearing by the Airport Commission, the Airport Director shall seek to obtain the most expeditious review of the issues possible, taking into consideration the times for filing various documents set forth in Section 9.7, and the rights of the parties to a fair adjudication of the issues. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 9-5 SECTION 9 - REVIEW OF SANCTIONS 9.7 RESPONSES TO REQUEST FOR REVIEW Responses to the REQUEST FOR REVIEW by the Airport Director and any "interested party," and a reply by the person requesting review, must be made within the time, and under the procedures, set forth in this section. 9.7.1 RESPONSE BY "INTERESTED PARTIES" Within fifteen (15) days after the Airport Director's notice under Section 9.6.1(e), any person designated by the Airport Director as an "interested party" under Section 9.6.1(d) may submit a written response to the REQUEST FOR REVIEW (or any contested part thereof) which is organized in a manner substantially similar to the format requirements of Section 9.5, except that: (i) in addition to providing such documentary evidence, testimony, or written argument which the "interested party" believes to be relevant to the contested issues, the "interested party's" response may also address and respond specifically to the evidence, testimony, or contentions raised by, or in connection with, the REQUEST FOR REVIEW; and (ii) the documentary exhibits submitted by the "interested party" shall be designated by numbers preceded by a two (2) letter code which is representative of the identity of the "interested party." 9.7.2 AIRPORT DIRECTOR'S RESPONSE If the Airport Director determines under Section 9.6.1(b)(iii) to contest the REQUEST FOR REVIEW, in whole or in part, then, within thirty (30) days after the date of his notice given under Section 9.6.1(e), the Airport Director shall present to the Airport Commission, and serve one (1) copy on the person requesting review and each of the "interested parties," a written response to the REQUEST FOR REVIEW (or any contested part thereof), which is organized and presented in a manner substantially similar to the format and content requirements of Section 9.5, except that: (i) in addition to providing whatever documentary evidence, testimony, or written argument which the Airport Director believes to be relevant to the contested issues, the Airport Director's response may also address and respond specifically to the evidence, testimony, or contentions raised by, or in connection with, the REQUEST FOR REVIEW; (ii) the Airport Director may comment upon or respond to any evidence or contentions made by any "interested party" who files a response to the REQUEST FOR REVIEW under Section 9.7.1; and (iii) the documentary exhibits submitted by the Airport Director shall be designated by letters instead of numbers. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments corrected the cross-reference in the last clause of this section from a reference to Section 9.7.2 to Section 9.7.1. (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page 9-6 PHASE 2 ACCESS PLAN SECTION 9 - REVIEW OF SANCTIONS 9.7.3 WRITTEN REPLY Within ten (10) days after the date of the Airport Director's response to the REQUEST FOR REVIEW, the party requesting review may file with the Airport Director an original and nine (9) copies, and serve one (1) copy on each "interested party," of a written reply to the issues or evidence presented by the Airport Director, or any "interested party." The reply shall be limited to a direct response to new matters raised by the Airport Director or any "interested party" in the responses filed by them under Section 9.7.1 or Section 9.7.2, and shall not introduce new issues into the proceeding. 9.7.4 "WITNESS REQUESTS" When the Airport Director or any "interested party" files a response to the REQUEST FOR REVIEW under Section 9.7.1 or Section 9.7.2, and when the party requesting review files his reply under Section 9.7.3, they may simultaneously file and serve a request for an opportunity to present oral testimony or to cross-examine witnesses (a "Witness Request"). Any such "Witness Request" shall: (i) identify each person desired to be examined; and (ii) state why written testimony could not be presented, or why the proposed witness' written testimony, if previously presented, is not sufficient for Airport Commission consideration and resolution of the disputed issues. 9.8 AIRPORT COMMISSION CONSIDERATION OF PENALTIES OR SANCTIONS Because the County has assigned review responsibilities to the Airport Commission under this section, and notwithstanding any County policies or directives to the contrary, the Airport Director shall not communicate to the Airport Commission for their information or consideration the fact of, or any issues directly relating to, his intended penalty or sanction assessment against any person regulated by this PLAN prior to the expiration of the period set forth in Section 9.3.2. Prior to the expiration of the period set forth in Section 9.3.2 or Section 9.13, which ever is later, and so long as any proceedings or potential proceedings under Section 9 are pending, no person shall make any ex parte contact regarding the subject matter of, or any issue in the proceeding with any member of the Airport Commission or the Board of Supervisors; and any and all communications during that time with the Airport Commission or the Board of Supervisors, or any of their members, regarding the subject matter of, or any issue in the proceeding, shall be made only in writing. 9.9 AIRPORT COMMISSION DETERMINATION Unless the Airport Commission acts to direct further proceedings (i.e., Section 9.10.1, etc.), or to otherwise continue the proceedings to a date certain, on the date noticed for consideration of the REQUEST FOR REVIEW by the Airport Director under Section 9.6.4, the Airport Commission shall, after a review of the materials and information submitted by the parties, make a determination by a majority vote of those members present of whether there is a substantial basis for imposition of the penalty or sanction contested by the REQUEST FOR REVIEW. If the vote of the Airport Commission is tied, the JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 9-7 SECTION 9 - REVIEW OF SANCTIONS decision of the Airport Commission shall be deemed to be a decision that there is a substantial basis for imposition of the Airport Director's penalty or sanction. If the Airport Commission determines that there is a substantial basis for imposition of the penalty or sanction, the REQUEST FOR REVIEW shall be denied. If the Airport Commission determines that there is not a substantial basis for imposition of the contested penalty or sanction, it may: (i) grant the relief requested by the REQUEST FOR REVIEW, in whole or in part (ii) modify the penalty or sanction; or (iii) impose some other greater or lesser penalty or sanction which the Airport Commission deems more appropriate within the terms and policies of this PLAN for the act or activity which resulted in the imposition of the penalty or sanction. 9.10 AIRPORT COMMISSION PROCEEDINGS 9.10.1 PROCEDURAL ACTIONS In connection with its review and consideration of the REQUEST FOR REVIEW, the Airport Commission may take any of the following actions: (a) The Airport Commission may determine whether to grant, in whole or in part, and subject to any conditions imposed by the Airport Commission, any "Witness Request;" (b) The Airport Commission may direct any party to produce additional information or testimony if it finds the information to be reasonably necessary to permit afair adjudication of the issues raised by the parties; (c) The Airport Commission may continue the proceedings to some future date certain if it determines that a continuance is in the best interests of justice and reasonably necessary for a fair adjudication of the issues; (d) The Airport Commission may set a reasonable limit on oral argument by representatives of the party requesting review or the County regarding the evidence or issues in the proceeding; and (e) The Airport Commission may determine whether to permit any "interested party" to participate directly in the proceedings of the Airport Commission, or to present any oral argument during the proceeding, after consideration of: (i) the interests of justice; (ii) the actual potential effects of the proceedings on the rights or interests of the "interested party;" and (iii) the policy objectives reflected in Section 9.2. If the Airport Commission determines to allow any direct "interested party" participation under this paragraph, it may impose whatever conditions it deems necessary to meet the policies reflected in Section 9.2. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 9-8 PHASE 2 ACCESS PLAN SECTION 9 - REVIEW OF SANCTIONS HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 9.10.2 DISPUTED ISSUES OF FACT - AUTHORITY TO APPOINT MASTER If the Airport Commission determines that there are material disputed issues of fact, it shall, whenever possible, resolve the factual issue(s) based upon the relevant documents and written testimony offered by the parties. If resolution of the factual issue(s) cannot feasibly be accomplished by reference to the documentary evidence and written testimony offered by the parties, and if the disputed factual issue(s) may be determinative of the results of the Airport Commission's review, the Airport Commission may take any of the following actions: (a) The Airport Commission may sit as a body of the whole to take testimony or evidence on such issues; (b) The Airport Commission may appoint one of its members as a special master to take testimony or evidence on factual issues specified by the Airport Commission, andto prepare awritten report to the full Airport Commission of his findings on each such issue; or (c) The Airport Commission may designate party witnesses who may be deposed under oath by the parties on specific factual issues specified by the Airport Commission. Any such depositions shall be taken under such terms, procedures, and conditions as the Airport Commission may determine to be appropriate. The transcript of each deposition shall be submitted to the Airport Commission by a time designated by them. 9.10.3 COSTS OF SPECIAL PROCEEDINGS In the event the Airport Commission determines to proceed to resolve material factual disputes under Section 9.10.2(c), and if afee or cost is associated with the procedure, the party requesting the opportunity to further examine the deponent shall pay all such fees and costs, except for the cost of a copy of any deposition transcript ordered by any other party, which shall be paid directly by them. At the conclusion of its proceedings, the Airport Commission may direct a different allocation of such fees and costs among all parties participating in the proceeding, including the County, if it determines that reallocation of those costs would be in the interests of justice. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 9-9 SECTION 9 - REVIEW OF SANCTIONS 9.11 AIRPORT COMMISSION FINDINGS AND RESOLUTION OF APPEAL At the conclusion of its proceedings, the Airport Commission shall make written findings regarding the factual and legal issues raised by the parties, and shall make a final determination, within its authority under this section, of the REQUEST FOR REVIEW. The Airport Commission may direct either the Airport Director or the person seeking review to prepare and serve draft proposed findings for review and final action by the Airport Commission. Except as provided in Section 9.13, the decision of the Airport Commission shall be the final decision and action of the County in respect of the REQUEST FOR REVIEW, and the Airport Commission decision shall be binding upon each of the parties, including the County. 9.12 NOTICE TO PARTIES OF RESOLUTION OF PROCEEDINGS Whenever the Airport Commission adopts final findings under Section 9.11, it shall promptly provide a copy of its findings and decisions to each party to the review proceeding. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made a grammatical correction to this section. 9.13 NOTICE TO BOARD OF SUPERVISORS OF RESOLUTION OF PROCEEDINGS Whenever the Airport Commission adopts final findings and a final decision under Section 9.11, it shall promptly provide a copy of its findings and its decision to each member of the Board of Supervisors. Within twenty (20) days after the date of the service on the Board, any member of the Board may request that the Board of Supervisors vote on whether to undertake a full review of the REQUEST FOR REVIEW and the decision of the Airport Commission. If a majority of the Board of Supervisors votes to undertake an independent review of the REQUEST FOR REVIEW and the issues considered by, or the decision of, the Airport Commission, the Board may: (i) conduct its review on terms, at times, and under procedures deemed by the Board to be appropriate under the circumstances and as affording, at least, the minimum due process guarantees of the United States and California Constitutions; (ii) waive the penalty or sanction in the interests of justice, or in the interests of County policies regarding the operation of JWA, without addressing the merits of the issues disputed by the parties; or (iii) remand the matter to the Airport Commission for further proceedings as specifically directed by the Board of Supervisors. Nothing in this section obligates the Board of Supervisors, or any member, to conduct a review of the proceedings or decision of the Airport Commission. Nothing in this section permits any person, other than a member of the Board of Supervisors, to formally move or require a vote of the Board with (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 9-10 PHASE 2 ACCESS PLAN SECTION 9 - REVIEW OF SANCTIONS respect to any such review. Neither the Airport Director nor any other party to the proceedings of the Airport Commission shall communicate orally with any member of the Board of Supervisors, directly or indirectly, regarding the decision or proceedings of the Airport Commission, except at a duly noticed public hearing of the Board. Any communications in writing to the Board regarding possible Board review of the decision or proceedings of the Airport Commission shall be delivered at least forty-eight (48) hours in advance of the time of the Board consideration of the request of any member for Board review, and copies of all such written communications shall be served on all parties to the proceeding. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments made grammatical changes to the first paragraph of this section, and added the words "on the Board" to the second sentence of the first paragraph of this section. 9.14 REQUESTS FOR EXTENSIONS OF TIME Any party may request an extension of any of the deadlines specified in this section. Any such request is subject to the following requirements and conditions: (a) The request must be made in writing to the Airport Commission, with copies served on the Airport Director and each "interested party." (b) The request must state clearly the basis for the person's inability to comply with the original deadline, and must state the period of time for which an extension is being requested. (c) The Airport Commission may not extend any deadline imposed by this section by more than a cumulative total of thirty (30) days. 9.15 EFFECT OF PENDENCY OF APPEAL PROCEEDINGS ON ENFORCEMENT OF PENALTY OR SANCTION 9.15.1 NO "AUTOMATIC STAY" Nothing in this Section 9 shall be deemed to stay, suspend, or modify automatically any obligation of any party to take any action, or to pay any penalty, within the time otherwise permitted by this PLAN. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 9-11 SECTION 9 - REVIEW OF SANCTIONS 9.15.2 REQUEST FOR STAY OF PENALTY OR SANCTION Not later than the time it files its REQUEST FOR REVIEW with the Airport Director, the party requesting review may request the Airport Director to concur in a stay of the penalty or sanction at issue during the pendency of proceedings under this section. (a) If the Airport Director agrees to the stay, he shall so advise the party requesting review and each "interested party" in writing within seven (7) days after his receipt of the request for a stay of the penalty or sanction. (b) If the Airport Director declines to agree to a stay, he shall forward the written request for stay to the Airport Commission for consideration at its neat regularly scheduled meeting. The Airport Director may submit a written response to the "request for stay" prior to the Airport Commission's consideration of the request. (c) The Airport Commission shall decide the request for stay after consideration of the written documents filed with it by the parties, and any other documents which the Airport Commission, in its discretion, may choose to receive or consider at the time of its hearing. In considering any request for a stay of any sanction or penalty, the Airport Commission shall consider and balance: (i) the potential harm to the person requesting the stay if the stay is not granted; (ii) the potential harm to the County, other airport users, the air traveling public, or the general public, if the stay is granted; and (iii) the effective implementation of this PLAN and the policies reflected in Section 9.2. If it grants a stay under this section, the Airport Commission may impose such conditions as it deems necessary or appropriate to maintain fairness and equity between the parties and the other persons referred to in paragraph (c). 9.16 AIRPORT COMMISSION AUTHORITY TO ADOPT RULES OF PROCEDURE The Airport Commission may adopt rules of procedure for proceedings before it under this section if it finds such rules to be consistent with the purpose of this section, and reasonably necessary for the efficient administration and completion of its proceedings. Any such rules, or amendments to rules, shall be provided to the Board of Supervisors prior to their implementation by the Airport Commission, and the rules or amendments shall not become effective sooner than thirty (30) days after they are provided to the Board. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 9-12 PHASE 2 ACCESS PLAN SECTION 9 - REVIEW OF SANCTIONS 9.17 AIRPORT COMMISSION DETERMINATION OF "BAD FAITH" AND SANCTIONS 9.17.1 DETERMINATION If the Airport Director gives a notice under Section 9.6.1(e) that he has made a preliminary determination of "bad faith" under Section 9.6.1(c), and if the Airport Director raises the "bad faith" issue(s) at the time he files his response to the REQUEST FOR REVIEW under Section 9.7.1, the Airport Commission shall make a determination of, and resolve, any contentions of "bad faith" at the time it makes its final findings under Section 9.11. 9.17.2 SANCTIONS FOR "BAD FAITH" PROCEEDINGS If the Airport Commission determines that any person requesting review has raised or pursued issues in "bad faith" within the meaning of Section 9.4, it may impose any or all of the following sanctions, in addition to any and all other sanctions or penalties imposed or affirmed by the Airport Commission: (a) The Airport Commission may dismiss the REQUEST FOR REVIEW; (b) The Airport Commission may require the party requesting review to reimburse the County and any "interested party" for attorneys fees and reasonable expenses incurred by them in opposing any issue raised or pursued in "bad faith;" or (c) The Airport Commission may impose amonetary penalty, not to exceed $25,000, to reimburse the County for the costs and expenses of conducting review proceedings with respect to any issue raised or pursued in "bad faith." The Airport Commission may conduct supplemental proceedings with respect to the possible imposition of sanctions under this section if it determines that such proceedings are necessary to fairly determine the sanction(s) to be imposed under this section. 9.18 SANCTIONS FOR E%PARTE COMMUNICATIONS Any person who violates the ex parte communication prohibitions of Section 9.8 may be subject to any, or all, of the following sanctions and penalties: (a) If the person violating Section 9.8 is the person requesting review, or an attorney, agent, employee, officer, or other person acting on his behalf, the Airport Commission may dismiss the REQUEST FOR REVIEW, on the merits, and terminate the proceeding. (b) If the person violating Section 9.8 is the person requesting review, the County, an interested party, or an attorney, agent, employee, officer, or other person acting on behalf of any of the parties, the Airport Commission may: (i) preclude or limit that person's JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 9-13 SECTION 9 - REVIEW OF SANCTIONS further participation in the proceeding; (ii) deem one (1) or more issues in the proceeding to have been resolved in favor of a party other than the party committing the violation if the issue relates to the subject or substance of the ex parte communication; or (iii) impose other limits or conditions on further party participation in the proceeding. (c) In addition, the Airport Commission may impose an administrative penalty on each person committing the Section 9.8 violation, other than an employee or officer of the County, in an amount not to exceed $5,000 for any individual natural person, and not to exceed $50,000 for any other person. (d) If the person committing the Section 9.8 violation is an employee or officer of the County, then, in addition to any sanctions imposed under paragraph (b), the Airport Commission shall submit a written report regarding the violation to the Board of Supervisors. 9.19 REIMBURSEMENT OF MONETARY PENALTY If a person requesting review has paid a monetary penalty, and if the Airport Commission subsequently finds that no monetary penalty should have been imposed, then the Airport Commission shall also direct the Airport Director to reimburse the monetary penalty, plus simple interest at the rate of eight percent (8%) per year, from the date the penalty was paid to the date of reimbursement. 9.20 RIGHT TO REPRESENTATION BY COUNSEL Any person initiating or participating in any proceeding under this Section 9, including the County, may be represented by counsel of their choice at all stages of the proceeding. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 9-14 PHASE 2 ACCESS PLAN SECTION 10 AIRCRAFT QUALIFICATION TESTS 10.1 PROHIBITION AGAINST UNAUTHORIZED AIRCRAFT TESTING No person shall utilize any of the facilities at JWA, including, but not limited to, the runways, taxiways, buildings, services of airport tenants, or the noise monitoring system, for the purpose of conducting any aircraft noise, operations, or performance tests without first receiving written authorization from the Airport Director. 10.2 AIRCRAFT QUALIFICATION AND CERTIFICATION REQUIREMENT No person shall operate any aircraft in Regularly Scheduled Air Service at JWA unless and until that aircraft type has been certified and qualified for operation by that person in accordance with the provisions and procedures of this section. This section applies to all Regularly Scheduled Commercial Users. Other persons desiring to perform noise tests at JWA for any purpose, including aircraft manufacturers, general aviation operators, or any person other than the United States of America, shall also comply with the procedures of this section. 10.3 AIRCRAFT QUALIFICATION AND CERTIFICATION PROCEDURES Every person required to qualify and certify an aircraft for operation at JWA shall meet the requirements of this section. In addition, the Airport Director may establish additional requirements or procedures in order to insure compliance with this PLAN and other regulations for JWA, and with the established goals and policies of the Board of Supervisors in respect of the operation and management of JWA. 10.3.1 INFORMATION REQUIREMENTS Any person proposing to qualify an aircraft as a Class A or Class E Aircraft shall first submit to the Airport Director an AIRCRAFT NOISE QUALIFICATION TEST REQUEST FORM (APPENDIX F-20), together with all documents required as attachments to the form. If he exercises his authority under Section 11.3 with respect to this form, the AirportDirector shall ensure that any substitute form for the AIRCRAFT NOISE QUALIFICATION TEST REQUEST FORM requires the following information: (a) All information and material available to applicant substantiating its belief that the proposed aircraft can operate as a Class A or Class EAircraft at JWA; (b) The aircraft model number and type, and the engine model number(s) and type(s); JOHN WAYNE AIRPORT (As Amended Through "Iy 24 ctobeil, 2015) PHASE 2 ACCESS PLAN Page 10-1 SECTION 10 - AIRCRAFT QUALIFICATION TESTS (c) All operator, manufacturer and aircraft manuals which reflect or relate to the maximum operational gross weight of the aircraft in service at JWA; (d) A statement of the applicant's projected typical operational weight range of the aircraft in service at JWA, based upon representative fuel and passenger loads, and a statement of what assumptions the applicant has used in projecting the typical operating weight range; (e) A complete description, together with all applicable descriptions from manufacturer and airline manuals, of the specific departure procedures the applicant intends to use in operating the aircraft at JWA and, if the applicant believes that the departure procedure is in regular use at JWA by another operator using the same aircraft model with the same engine types, a statement of the identity of such other operator(s); and (f) Any applicant airline shall also provide a statement in writing from the Air Carrier stating: (i) that FAA has reviewed the particular operational procedure(s) proposed by the qualifying airline in connection with its use of the aircraft in operations at JWA; (ii) that the procedure complies with all applicable rules and regulations of FAA, and meets all FAA requirements for safety of aircraft in flight; and (iii) that the qualifying airline may lawfully use the procedure in Regularly Scheduled Air Service at JWA. In addition, the Air Carrier must provide the airlines' current operating certificate and a copy of the standard instrument departure procedure(s) ("SID") that the aircraft will operate at the Airport. HISTORICAL NOTE December 1990 Amendments. The December 1990 amendments specified the FAA officials required to provide the departure procedure review and approvals under subsection (f) of this section. June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. This revision is consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement on June 25, 2002, and December 10, 2002. November 2008 Amendments. On November 18, 2008 the Orange County Board of Supervisors approved modifications to the information requirements for qualifying an aircraft for operation at JWA in order to avoid unnecessary delay in the qualification (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 10-2 PHASE 2 ACCESS PLAN SECTION 10 - AIRCRAFT QUALIFICATION TESTS process while still ensuring that the FAA has reviewed and approved the operational procedure(s) proposed by the qualifying airline. 10.3.2 FLIGHT TEST PROCEDURE If the applicant has fully met the requirements of Section 10.3.1, the Airport Director may permit a flight qualification test of the aircraft at JWA on terms, and subject to conditions, which the Airport Director may impose in furtherance of the goals and policies of the County in its operation of JWA. At a minimum, however, aircraft qualification tests must include: (i) not less than five (5) separate departures on Runway 19R using all FAA mandated flight procedures then in effect at JWA; and (ii) the test flights must be operated at not less than representative operational weights for service with that aircraft by the applicant airline (or other person, if appropriate) at JWA. Determination of the results of the flight qualification test shall be made based upon the energy averaged SENEL values of the test flights at each Noise Monitoring Station. 10.3.3 SUBSEQUENT MODIFICATION OF DEPARTURE PROCEDURES If, at any time after qualification of any aircraft under this section, any person proposes to implement a departure procedure for the previously qualified aircraft in operations at JWA other than the procedure previously described by that person under Section 10.3.l(e) and (f), (or the procedure previously described by that person under the requirements of this section), that person shall resubmit to the Airport Director the information required by Section 10.3.1(e) and (f) for the new departure procedure not later than ten (10) days prior to the day the new departure is first implemented. 10.4 NOTIFICATION OF RESULTS OF NOISE TEST AND CERTIFICATION Within ten (10) working days after completion of the noise qualification test procedure under Section 10.3, the Airport Director shall notify the qualification test applicant in writing of the results of the noise qualification test, and shall advise the applicant of whether the proposed aircraft type has been qualified as a Class A or Class EAircraft. If the noise qualification test performed under Section 10.3.2 was at less than the design Maximum Permitted Gross Takeoff Weight of the aircraft, or if he deems it necessary for any other purpose related to the implementation and enforcement of County policy in respect of the operation of JWA, the Airport Director may qualify or impose conditions upon his certification of the aircraft and its use in Regularly Scheduled Air Service at JWA. HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. This revision is consistent with the Orange County Board of Supervisors' approval JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page 10-3 SECTION 10 - AIRCRAFT QUALIFICATION TESTS of amendments to the 1985 Settlement Agreement on June 25, 2002, and December 10, 2002. 10.5 POST -QUALIFICATION COMPLIANCE Following qualification of an aircraft under this section, in all subsequent Noise Compliance Periods, the determination of whether or not the aircraft is operated in compliance with the Class A or Class E requirements shall be determined by reference to the actual operational configuration and actual monitored SENEL values of the aircraft (or aircraft type) as used at JWA. HISTORICAL NOTE June 2003 Amendments. This section was revised to define all regulated passenger flights as Class A flights and to eliminate the Class AA/Class A Aircraft definition/distinction. This revision is consistent with the Orange County Board of Supervisors' approval of amendments to the 1985 Settlement Agreement on June 25, 2002, and December 10, 2002. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 10-4 PHASE 2 ACCESS PLAN SECTION 11 ADMINISTRATIVE PROVISIONS 11.1 AIRPORT DIRECTOR - INFORMATION REQUESTS In addition to all other authority granted to the Airport Director, he shall have the authority to require from each Qualified Commercial Air Carrier, from each Qualified Commuter Air Carrier, and from any potential new entrant carrier, any information, reports, applications, or other related documents, in whatever form or format he may require, which he deems useful in the implementation or enforcement of the provisions of this PLAN, or any other policies, regulations, or procedures of the County in its management, regulation, and operation ofJWA. 11.2 NOTICES 11.2.1 CARRIER DESIGNATION OF PERSONS TO RECEIVE NOTICE Not later than September 30, 1990, each Qualified Air Carrier and each Qualified Commuter Carrier shall designate in writing (addressed to the Airport Director) not less than one (1), and not more than two (2) employees, officers, or other representatives who are authorized to receive notices regarding actions taken under the authority of this PLAN, or for any other purpose related to the implementation and enforcement of this PLAN. The notice shall also provide a mailing address and work telephone number, and a telecopier/facsimile telephone number, for each designated person. If a carrier designates two (2) persons to receive notices, one (1) of those persons must be the SNA station manager of the carrier, or a local employee of the carrier with equivalent responsibilities. The Airport Director shall maintain a current and active "notice list" reflecting the names, addresses, telephone numbers, and telecopier/facsimile numbers of the persons selected by each Qualified Air Carrier and each Qualified Commuter Carrier to receive notices under this PLAN. 11.2.2 DELIVERY OF COUNTY NOTICES Whenever the Airport Director gives written notice under this PLAN to any person who has designated two (2) individuals to receive notice, he shall, whenever practical, attempt to have the copy of the notice addressed to the local Station Manager delivered personally. All other notices shall be mailed by the Airport Director by first class mail, or by a neat -day package delivery service, or delivered by telecopier/facsimile. 11.2.3 EFFECTIVE DATE OF NOTICES DELIVERED BY THE COUNTY Whenever the County gives written notice under or concerning this PLAN by personal delivery, telecopier/facsimile, or neat -day package delivery service, the notice shall be deemed to have JOHN WAYNE AIRPORT (As Amended Throughctober 1, 2015) PHASE 2 ACCESS PLAN Page 11-1 SECTION 11- ADMINISTRATIVE PROVISIONS been received on the day it was transmitted by telecopier or facsimile, or, if given only by next -day package delivery service, on the day following the day on which the notice was delivered or given to a next -day package service for delivery. If the County gives notice only by depositing a copy of the notice in first class mail, the notice shall be deemed to have been received three (3) days after the date on which it was deposited in the United States mail. HISTORICAL NOTE June 2003 Amendments. The June 2003 amendments made grammatical changes to this section. 11.2.4 EFFECTIVE DATE OF CARRIER NOTICES OR FILINGS Whenever this PLAN requires any person to file or submit any document to the County or the Airport Director, that notice or document will be deemed to have been delivered on the first working day when it is actually received by the Airport Director. Any documents or forms which are ten (10) pages or less in length may be delivered by facsimile, before 1630 hours, on any working day to (949) 252-5178. 11.3 MODIFICATION OF FORMS OR REPORTING PROCEDURES 11.3.1 AUTHORITY The Airport Director may modify or augment any form required to be filed under this PLAN, or may require the filing of additional forms not otherwise referenced in this PLAN, if he determines that the action would facilitate the implementation and enforcement of this PLAN, or any other County ordinances, rules, regulations, or policies regarding or regulating Regularly Scheduled Air Service atJWA. 11.3.2 REQUIRING DATA IN ELECTRONIC FORM The Airport Director may, at any time, require that any of the information to be delivered to the County under the terms of this PLAN be delivered in an electronic/computer disk form compatible with hardware and software specified by him; except that if the probable cost per user of purchasing any hardware or software necessary to prepare the information electronically exceeds $50,000, the Airport Director shall present his recommended action to, and for final action by, the Board of Supervisors. 11.3.3 NOTICE TO CARRIERS Whenever the Airport Director exercises his authority under Sections 11.3.1 or 11.3.2, he shall promptly give notice to all persons using JWA who are required or permitted to use those forms (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 11-2 PHASE 2 ACCESS PLAN SECTION 11- ADMINISTRATIVE PROVISIONS of the changed requirements, and he shall specify the date upon which use of the new or modified form, or the delivery of information in electronic form, is required. 11.3.4 USE OF NEW OR MODIFIED FORMS REQUIRED Any person receiving a notice from the Airport Director under Sections 11.3.2 or 11.3.3 shall use the new or modified forms, or comply with the requirement for delivery in electronic form, effective on the date specified in the Airport Director's notice. 11.4 LABOR STRIKES Notwithstanding any provision in this PLAN which imposes a penalty upon, or requires a forfeiture of ADDS, Passenger Capacity Allocations, RON allocations, other operating privileges, or status as a Qualified Air Carrier or Qualified Commuter Carrier, a labor strike directed against the operations of an Air Carrier or Commuter Carrier by it employees, which is intended to disrupt the operations of the carrier, may constitute good cause for waiver by the County of any such provision of this PLAN for such period of time, and subject to such conditions, as the County, in its sole and exclusive discretion, may determine. 0 JOHN WAYNE AIRPORT PHASE 2 ACCESS PLAN ❑ ❑ (As Amended Through "October 1, 2015) Page 11-3 SECTION 11- ADMINISTRATIVE PROVISIONS This page left intentionally blank. (As Amended Through dA310ctober 1, 2015) JOHN WAYNE AIRPORT Page 11-4 PHASE 2 ACCESS PLAN JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) TABLE OF CONTENTS (APPENDICES) TABLE OF APPENDICES INFORMATION APPENDICES APPENDIX A 1989 PHASE 2 ALLOCATION PROTOCOL AND SUMMARY APPENDIX B INCUMBENT AIR CARRIER REALLOCATION PRIORITY LIST APPENDIX C REGULAR ADD WITHDRAWAL ORDER APPENDIX D SEAT BLOCK WITHDRAWAL ORDER APPENDIX E PAVEMENT DESIGN STRENGTH DIAGRAM APPENDIX F FORMS APPENDICES APPENDIX G 2003 PHASE 2 ALLOCATION PROTOCOL APPENDIX H MAY 28, 2003, ALLOCATION PROCESS AND SUMMARY APPENDIX I NOISE MONITORING STATIONS FORMS APPENDICES APPENDIX F-1 CARRIER OPERATIONS PROJECTION FORM APPENDIX F-2 DAILY OPERATIONS REPORT FORM APPENDIX F-3 CLASS E OPERATIONS REQUEST FORM (AIR CARRIER) APPENDIX F-4 ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) APPENDIX F-5 VOLUNTARY REDUCTION OF ADD ALLOCATION FORM (AIR CARRIER) APPENDIX F-6 VOLUNTARY REDUCTION OF SEAT CAPACITY ALLOCATION FORM (AIR CARRIER) APPENDIX F-% PASSENGER CAPACITY ALLOCATION REQUEST FORM (COMMUTER CARRIER) ("PCAR") JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page xv TABLE OF APPENDICES (Continued) FORMS APPENDICES (cont) APPENDIX F -g VOLUNTARY REDUCTION OF PASSENGER CAPACITY ALLOCATION FORM (COMMUTER CARRIER) APPENDIx F-9 AMENDED CARRIER OPERATIONS PROJECTION FORM APPENDIx F-10 CORRECTIVE ACTION REPORT FORM APPENDIx F-11 AUTHORIZED DEPARTURE REQUEST FORM (AIR CARRIER) APPENDIx F -11(S) SUPPLEMENTAL AUTHORIZED DEPARTURE REQUEST FORM (AIR CARRIER) APPENDIx F -12(S) SUPPLEMENTAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) APPENDIx F -13(S) SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION REQUEST FORM (COMMUTER CARRIER) APPENDIx F-14 RON ALLOCATION REQUEST FORM (AIR CARRIER) APPENDIX F-15 AMENDED RON INFORMATION FORM APPENDIx F-16 RON ALLOCATION REQUEST FORM (COMMUTER CARRIER) APPENDIX F-17 NOTICE OF AFFILIATE RELATIONSHIP APPENDIx F-18 MODIFICATION OF MINIMUM/MAXIMUM USE PERCENTAGE REQUEST FORM APPENDIX F-19 OPERATIONS ADJUSTMENT PLAN APPENDIX F-20 AIRCRAFT NOISE QUALIFICATION TEST REQUEST FORM APPENDIX F-21 DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP APPENDIX F-22 AMENDED DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP (As Amended Through dA34October 1, 2015) JOHN WAYNE AIRPORT Page xvi PHASE 2 ACCESS PLAN ALS]I101ktkvll •d►1WR1N01:71Y (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX A REGULATED ADDS INITIAL 1989 ALLOCATION PROTOCOL AND ALLOCATION SUMMARY PHASE 2 ACCESS PLAN REGULATED ADDS INITIAL 1989 ALLOCATION PROTOCOL November 20, 1989 APPENDIX A — Regulated ADDS — Initial 1989 Allocation Protocol 1.0 INTRODUCTION American Airlines has suggested that it would be helpful to the air carriers participating in the PHASE 2 Regulated ADD allocation process on November 20, 1989, if the County would provide a "protocol" outlining the procedures which will be followed during the allocation process. County staff agrees with this suggestion, and this document is intended to provide an outline of the conditions and procedures of the allocation process. 2.0 CONDITIONS The allocation of regulated ADDS will occur under the following conditions: 2.1 BOARD RATIFICATION All allocations will be conditional and subject to final ratification by the Board of Supervisors. Staff anticipates that this ratification will occur at the time the Board approves the full text of the PHASE 2 ACCESS PLAN, which is currently being prepared and will be submitted to the Board shortly. American Airlines has asked for a staff commitment on the action the County will take "if less than nine tradeouts are made after the completion of two rounds of trading." Staff does not believe that it is necessary or appropriate to make such pre -commitments at this time. The staff has previously indicated that if the tradeout process fails to achieve its essential purposes, staff may recommend that the Board not ratify the allocation process, and that it adopt instead some other allocation process. 2.2 COMPLIANCE WITH OTHER PRE -ALLOCATION CONDITIONS Only those carriers which have previously complied with all pre -conditions to the allocation process will be eligible to participate in the allocation. This includes the aircraft qualification requirement and the new entrant deposit requirement, both of which were discussed in the Second Staff Report. All incumbent carriers have qualified Class AA equipment for operations at JWA - and are therefore eligible to participate in the tradeout process - except Alaska Airlines and TWA. Qualification of Class EAircraft is not necessary to the allocation of Regulated ADDS. 2.3 PRESENCE OF AUTHORIZED AIRLINE REPRESENTATIVE Each airline wishing to receive an allocation of PHASE 2 Regulated ADDS must be represented by a company official with authority to make a binding commitment on tradeout opportunities and the acceptance of Regulated ADD allocations. At the beginning of the allocation process, each airline will be asked to confirm its presence, and to confirm that it is being represented by an official with such binding authority. Page A-1 APPENDIX A — Regulated ADDS — Initial 1989 Allocation Protocol 2.4 TIME AND PLACE OF THE ALLOCATION As previously announced, the allocation process will commence at 9:30 a.m. on Monday, November 20, 1989. The allocation will take place in the Board of Supervisors' Hearing Room, 10 Civic Center Plaza, Santa Ana, California 3.0 ALLOCATION PROCESS The allocation process will follow the following procedures and requirements: 3.1 INITIAL ALLOCATIONS allocations: 3.1.1 The eligible airlines will initially be offered the following Regulated ADD INITIAL REGULATED ADD ALLOCATIONS Airline Class A ADDS Class AA ADDS Alaska Airlines 2 0 America West Airlines 1 4 American Airlines 12 6 Continental Airlines 5 0 Delta Airlines 3 0 Northwest Airlines 5 0 United Air Lines 2 0 USAir 3 6 3.1.2 Each airline will be asked to confirm that it will accept this initial allocation of ADDS. AnyADDs not accepted at this stage of the process will be deemed to be "County" ADDS. 3.2 CLASS A/AA TRADEOUT After the initial allocation is confirmed by each carrier, the tradeout process will begin. 3.2.1 All incumbent carriers except TWA and Alaska will be eligible for the tradeout process. 3.2.2 Each carrier will be given the sequential opportunity to tradeout one Class A ADD for two Class AAADDs. The sequence will continue until 18 Class AAADDs have been allocated through the tradeout process, or until all eligible carriers have "passed" twice. 3.2.3 The carriers will be prioritized for sequential exercise of tradeout opportunities by a "top-down" order based upon their initial allocation of Class AADDs only. Any "ties" in eligibility Page A-2 APPENDIX A — Regulated ADDS — Initial 1989 Allocation Protocol have been broken by reference to each carrier's Class AA ADDS (after the initial allocation set forth above) and then, as necessary, by the date of their commencement of service at JWA. The "top-down" order will be as follows: + American Airlines + Continental Airlines + Northwest Airlines + USAir + Delta Air Lines + United Air Lines + America West Airlines 3.2.4 Each carrier will be polled in sequence as to whether it wishes to exercise a trade -out opportunity. Each carrier will have a maximum of three (3) minutes to respond. If a carrier does not respond within the three (3) minute period, it shall be deemed to have "passed." 3.2.5 At the conclusion of the tradeout allocation, each air carrier will be provided with a sheet reflecting the status of the allocation process at this stage, and will be asked to confirm the accuracy of that allocation summary before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the air carrier. 3.3 "REDISTRIBUTION" OF CLASS A ADDS Following completion of the tradeout process, the County will "redistribute" the Class A ADDS "received" by it during the tradeout process, and the two Class AADDs not allocated as part of the initial allocation, pursuant to the following procedures: 3.3.1 The Class A ADDS will be allocated sequentially among the incumbent carriers, in one ADD increments, based upon a "bottom-up" sequence determined by reference to each air carrier's Class A ADD allocation at the end of the tradeout process. All "ties" in sequence eligibility will be resolved first by reference to each affected carrier's Class AA ADD allocation and then, if necessary, by reference to each carrier's date of commencement ofJWA service. Since this order cannot be determined until after completion of the tradeout, the sequence order cannot be listed here. However, prior to the commencement of the allocation of "redistributed" Class AADDs, staff will announce its understanding of the relevant "bottom-up" order. Any carrier contesting that understanding must express its protest immediately, and the protest will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the air carrier. 3.3.2 The "redistribution" of Class A ADDS will be deemed to have started with America West's receipt of a Class A ADD in the "initial" allocation (Paragraph 3.1.1, above). The first "redistributed" Class A ADD to be allocated under this Paragraph 3.3 will be allocated to the first air carrier in the selection order after America West. Page A-3 APPENDIX A — Regulated ADDS — Initial 1989 Allocation Protocol 3.3.3 The allocation process will continue until these Class A ADDS have been allocated, or until each eligible air carrier has declined to accept additional Class AADD allocations. 3.3.4 Each air carrier will be polled sequentially and will have a maximum of three (3) minutes to acceptor refuse the Class AADD. A failure to respond within the three (3) minute period will be deemed to be a "pass" (or, a refusal to accept the offered allocation). 3.3.5 At the conclusion of the "redistributed" Class A ADD allocation, each air carrier will be provided with a sheet reflecting the status of the final allocations, and will be asked to confirm the accuracy of that allocation summary. Any disputes or protests will immediately be resolved by staff. 4.0 ADD AND SEAT ALLOCATION WITHDRAWAL LOTTERIES Following completion of the Regulated ADD allocation process, the County will immediately conduct separate withdrawal lotteries, as outlined in the Second Staff Report, for certain (i) Class A ADDS, (ii) Class AA ADDS and (iii) "seat blocks." This lottery will occur under the following general rules and procedures: 4.1 DETERMINATION OF ADD WITHDRAWAL LOTTERY ELIGIBILITY 4.1.1 The County will advise the carriers of the number of Class A and Class AA ADDS of each carrier which it believes to be eligible for the withdrawal lottery. 4.1.2 Each air carrier will be asked to confirm the accuracy of that eligibility before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the air carrier. 4.2 ADD WITHDRAWAL LOTTERY 4.2.1 The County will then, by a random lottery process, assign withdrawal priorities separately to eligible Class A ADDS, and then to eligible Class AA ADDS. 4.2.2 Each air carrier will be provided with a summary of the withdrawal priority lottery results, and will again be asked to confirm the accuracy of that summary before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 4.3 SEAT CAPACITY WITHDRAWAL LOTTERY 4.3.1 The County will advise the carriers of the number of "passenger seats" allocated to each carrier based upon each carrier's final Regulated ADD allocations. The County will then announce how many of each carrier's "Seat Blocks" (in increments of 13,000 seats) it believes to be eligible for the withdrawal lottery. Page A-4 APPENDIX A — Regulated ADDS — Initial 1989 Allocation Protocol 4.3.2 Each Air Carrier will be asked to confirm the accuracy of that seat allocation and "Seat Block" withdrawal lottery eligibility before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 4.4 "SEAT BLOCK" WITHDRAWAL LOTTERY 4.4.1 The County will then, by a random lottery process, assign withdrawal priorities separately to each eligible "Seat Block." 4.4.2 Each Air Carrier will be provided with a summary of the "Seat Block" withdrawal lottery results, and will again be asked to confirm the accuracy of that summary before the process concludes. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 5.0 SUBSEQUENT AIRLINE "TRADES" As approved by the Board of Supervisors, the County will permit an opportunity for a one-time "trade" of Regulated ADDS among the Qualified Air Carriers, subject to specific conditions and limitations. These "trades" must be completed and confirmed in writing to the Airport Director not later than 5:00 p.m. on November 28, 1989, and are subject to acceptance and ratification by the Airport Director and the Board of Supervisors. The written confirmation of any such trades will be subject to certain requirements and limitations which will be announced and discussed at the completion of the allocation process. Page A-5 APPENDIX A — Regulated ADDS — Initial 1989 Allocation Protocol Page A-6 1989 PHASE 2 ALLOCATIONS REGULATED ADDS Initial "New" Class Final Selection Order Tradeouts Allocation A ADDS Allocation Top B ft m Airline A AA A AA A AA Down Up Alaska 4 2 N/A 1 3 0 American West 7 9 1 4 -1 2 1 1 6 American 1 8 12 6 -2 4 1 11 10 Continental 2 6 5 -1 2 1 5 2 Delta 5 2 3 -2 4 2 3 4 Northwest 3 7 5 -1 2 1 5 2 TWA 3 2 N/A 1 3 0 United 6 1 2 -2 4 2 2 4 USAir 4 5 3 6 N/A 1 4 6 SUBTOTAL: 35 16 -9 18 11 37 34 [County] 2 18 0 0 Midway 2 2 TOTAL: 39 34 39 34 Page A-6 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX B INCUMBENT AIR CARRIER REALLOCATION PRIORITY LIST APPENDIX B — Incumbent Air Carrier Prioritv List INCUMBENT AIR CARRIER REALLOCATION PRIORITY LIST* CLASS A ADDS Reallocation Priority Air Carrier 1 Alaska Air Group 2 Delta Air Lines 3 United Airlines 4 WestJet 5 US Airways 6 American Airlines 7 Frontier Airlines 8 Southwest Airlines * The Incumbent Air Carrier Reallocation Priority List has been revised to take into account the 2015 Plan Year allocations. Revised: July 21, 2015 Page B-1 ALS] I101ktkvll •d►19I_\ 1 N 01:71 Y (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX C PHASE 2 ALLOCATIONS CLASS A/PERMANENT E ADD WITHDRAWAL PRIORITIES PHASE 2 ALLOCATIONS CLASS A/PERMANENT E ADD WITHDRAWAL PRIORITIES CLASS A/PERMANENT E ADDS Withdrawal Priority Airline Withdrawal Priority Airline 1 Continental Airlines 18 America West Airlines 2 American Airlines 19 American Airlines 3 American Airlines 20 Delta Air Lines 4 Delta Air Lines 21 United Airlines 5 United Airlines 22 American Airlines 6 Continental Airlines 23 American Airlines 7 Alaska Airlines 24 Southwest Airlines 8 America West Airlines 25 Continental Airlines 9 American Airlines 26 American Airlines 10 American Airlines 27 American Airlines 11 Alaska Airlines 28 Continental Airlines 12 American Airlines 29 United Airlines 13 American Airlines 30 American Airlines 14 American Airlines 31 America West Airlines 15 Northwest Airlines 32 Continental Airlines 16 Alaska Airlines 33 Delta Air Lines 17 America West Airlines 34 American Airlines JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX D PHASE 2 ALLOCATIONS SEAT BLOCK WITHDRAWAL PRIORITIES APPENDIX D — Seat Block Withdrawal Priorities Withdrawal Withdrawal Withdrawal Withdrawal 1 AS 40 AA 79 AW 118 NW 2 DL 41 AW 80 AW 119 UA 3 AA 42 AW 81 AA 120 AA 4 AA 43 UA 82 UA 121 AA 5 AA 44 CO 83 AA 122 AS 6 AA 45 CO 84 CO 123 UA 7 NW 46 AA 85 CO 124 UA 8 AS 47 DL 86 CO 125 AW 9 AA 48 AA 87 UA 126 DL 10 DL 49 AA 88 AA 127 AS 11 AA 50 AA 89 CO 128 AA 12 AA 51 AA 90 AA 129 AW 13 AA 52 AA 91 AA 130 NW 14 AW 53 AA 92 UA 131 CO 15 CO 54 CO 93 DL 132 AA 16 AA 55 AW 94 NW 133 AA 17 AA 56 UA 95 AW 134 UA 18 DL 57 DL 96 CO 135 AA 19 AW 58 AA 97 AA 136 AW 20 AW 59 DL 98 AS 137 AA 21 AA 60 AA 99 UA 138 AA 22 AA 61 AS 100 WN 139 AW 23 AA 62 AA 101 AA 140 AW 24 AA 63 UA 102 UA 141 AW 25 AA 64 UA 103 CO 142 AA 26 AA 65 CO 104 DL 143 AA 27 DL 66 AA 105 AA 144 AA 28 CO 67 AA 106 DL 145 AS 29 AS 68 NW 107 AS 146 DL 30 AS 69 CO 108 DL 147 AA 31 AA 70 NW 109 AA 148 UA 32 AA 71 CO 110 AS 149 DL 33 UA 72 AA 111 UA 150 AS 34 AS 73 AA 112 AA 151 AA 35 UA 74 AW 113 AS 152 AW 36 AA 75 AA 114 UA 153 CO 37 DL 76 CO 115 AS 154 CO 38 AA 77 CO 116 AS 155 AA 39 AW 78 AA 117 AW 156 UA Page D-1 APPENDIX D — Seat Block Withdrawal Priorities Withdrawal Withdrawal Withdrawal Withdrawal 157 UA 196 WN 235 AA 274 CO 158 AA 197 AS 236 AA 275 DL 159 CO 198 AA 237 CO 276 AS 160 DL 199 AA 238 UA 277 AA 161 UA 200 AA 239 AA 278 DL 162 DL 201 AA 240 AA 279 DL 163 UA 202 AA 241 AA 280 CO 164 CO 203 AA 242 AA 281 CO 165 WN 204 DL 243 AA 282 CO 166 AS 205 AA 244 AW 283 AW 167 CO 206 AS 245 AW 284 AS 168 DL 207 AA 246 AA 285 DL 169 AA 208 AA 247 AW 286 UA 170 AW 209 WN 248 AS 287 AA 171 DL 210 DL 249 CO 288 AA 172 AS 211 CO 250 AA 289 AA 173 AA 212 CO 251 AS 290 UA 174 AA 213 AA 252 AA 291 AA 175 AW 214 AA 253 AA 292 AA 176 AW 215 AA 254 AA 293 CO 177 AW 216 AA 255 AA 294 AA 178 AS 217 CO 256 AA 295 AA 179 NW 218 AA 257 WN 296 NW 180 AA 219 AA 258 AA 297 AA 181 AW 220 AW 259 AW 298 AA 182 DL 221 CO 260 AA 299 NW 183 AW 222 AW 261 AA 300 CO 184 DL 223 AA 262 AS 301 AA 185 AA 224 AW 263 AA 302 UA 186 WN 225 AA 264 AA 303 AA 187 AA 226 DL 265 AA 304 UA 188 AA 227 CO 266 AW 305 AA 189 DL 228 AA 267 WN 306 AA 190 CO 229 AA 268 AA 307 AA 191 CO 230 UA 269 CO 308 AA 192 CO 231 CO 270 AA 309 AS 193 UA 232 AA 271 CO 310 AA 194 AA 233 AA 272 AA 311 CO 195 AS 234 CO 273 UA 312 UA Page D-2 APPENDIX D — Seat Block Withdrawal Priorities Withdrawal Withdrawal Withdrawal Withdrawal Priority Priority Priority Priority 313 CO 333 AS 353 AA 314 AA 334 DL 354 AW 315 CO 335 CO 355 AA 316 AW 336 AW 356 AA 317 AS 337 CO 357 AW 318 CO 338 AA 358 AA 319 AA 339 CO 359 WN 320 AA 340 AW 360 AW 321 CO 341 AW 361 CO 322 AA 342 CO 362 AA 323 NW 343 AW 363 AA 324 DL 344 UA 364 AA 325 AW 345 AA 365 CO 326 DL 346 AA 366 AA 327 UA 347 AA 367 AA 328 AA 348 WN 368 NW 329 CO 349 AA 369 AA 330 CO 350 WN 370 AS 331 AW 351 AS 371 AS 332 AA 352 AA 372 WN Page D-3 Page D-4 ALS]I101ktkvll •d►1WR1N01:71Y (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX E PAVEMENT DESIGN STRENGTH DIAGRAM LEGEND Revised 5/11/2011 % These pavement strengths are based on the pavement condition evaluation done in January 2002. The Pavement Strength Map may be obtained 12,500 SINGLE through the Airport Engineer's Office, JWA. The pavement strengths in areas under lease to fixed base operator were provided by the lessee and are not guarantied 60,000 DUAL as to strength or condition. The individual lessees are responsible for maintaining the airfield pavement within their lease hold. Any lessee pavement which is not in conformance with these 100,000 DUAL strengths should be reported to the Airport Engineer, JWA. 1 300,000 DUAL TANDEM /200,000 DUAL/70,000 SINGLE CodProjects/PMS/pms1-revised 5-2011.dgn \pms1-revised 5-2011.dgn 5/19/2011 10:01:33 AM ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX F FORM APPENDICES F -I THROUGH F-22 Y 4t1 AIRPORT 0AAAoa COUN7Ir COPS Access,/ANO Access Plan / General Aviation Noise Ordinance Exit Bluesheets This form must be submitted to John Wayne Airport through a secured website. Please contact the Airport at (949) 252-5185. Foam F-1 APPENDIX F -I AIRPORr 4iAfIM4l C4�1NfiY COPS Access/GANG Access Plan / General Aviation Noise Ordnance Bluesheets This form must be submitted to John Wayne Airport through a secured website. Please contact the Airport at (949) 252-5185. FORM F-2 APPENDIx F-2 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) CLASS E OPERATIONS REQUEST FORM (AIR CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of Aircraft Type # of Depart. Frequency Total # of Days Scheduled Time Arrival/ Depart. # Seats on Aircraft # Class E Seats Requested JWA USE ONLY: Date Completed: Date Received: Staff: Total Number of Seats Allocated: TOTAL NUMBER OF SEATS REQUESTED: ACCESS PLAN REFERENCE: §3.4.3 - Request for Class E Operations Approval FoRM F-3 [7/21/15] APPENDix F-3 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) ANNUAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of 1 2 3 4 5 6 7 8 9 10 Class Aircraft Type Seat Confi . Reg. Daily Dep. Special Daily Dep. Freq. Dep. Das Total Number Days Total Arr./Dep. OPS Total Seats O 0 CALCULATION: MULTIPLY COLUMNS 3 AND 9 TOTAL REGULAR ALLOCATION REQUESTED: TOTAL ADDITIONAL ALLOCATION REQUESTED: TOTAL ALLOCATION REQUESTED: JWA USE ONLY: Date Completed: Date Received: Staff: Total Seat Capacity Allocation: FORM F-4 [7/21/15] ACCESS PLAN REFERENCE: §3.3.2 - Requirement of Annual Seat Capacity APPENDIX F-4 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) VOLUNTARY REDUCTION OF ADD ALLOCATION Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of _ Number of voluntary reductions (previous): _months _days Number of voluntary reductions (this request): _months days (No more than 24 months between January 1, 2016 and December 31, 2030) Total reductions: months days FORM F-5 [7/21/15] TOTAL ADDS RETURNED: ( PREVIOUS ADD ALLOCATION: REMAINING ADD ALLOCATION: ACCESS'PLAN REFERENCE: §3.1.3 - VoluntaryReduction of ADD Allocation APPENDIX F-5 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) VOLUNTARY REDUCTION OF SEAT CAPACITY ALLOCATION (AIR CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of _ Compliance: Have you returned seat capacity within the previous two (2) Plan Years? ❑Yes []No ADD Type of Number of Seats Number of Seats Class Aircraft on Aircraft Returned FoRM F-6 [7/21/15] TOTAL SEATS RETURNED: PREVIOUS SEAT ALLOCATION: REMAINING SEAT ALLOCATION: ACCESS PLAN REFERENCE: §3.3.5 - Voluntary Reduction of Seat Capacity. Allocation APPENDIX F-6 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PASSENGER CAPACITY ALLOCATION REQUEST FORM (COMMUTER CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page _ of 1 2 3 4 5 6 7 8 Aircraft Type Arrival/ Departure Freq. # of Seats In Aircraft Est. Total # of Annual Operations Projected Load Factors o Total Seats # of Passengers e Requested O CALCULATION: MULTIPLY COLUMNS 4 AND 5 = TOTAL SEATS TOTAL SEATS: © CALCULATION: MULTIPLY COLUMNS 6 AND 7 = PASSENGER REQUEST JWA USE ONLY: Date Completed: Date Received: Staff: Total Passenger Allocation Granted: TOTAL PASSENGER ALLOCATION REQUESTED: ACCESS PLAN REFERENCE: §3.5.2 - Commuter Passenger Capacity Allocation Procedures Foam F-7 [7/21/15] APPENDIX F-7 Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of _ Cumulative period of time for previous voluntary reduction requests: _months _days Cumulative period of time for this voluntary reduction request: _months _days (No more than twenty-four (24) months between January 1, 2016, and December 31, 2030) Total voluntary reductions: _months _days CURRENT REGULAR PASSENGER CAPACITY ALLOCATION: CURRENT SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION: TOTAL PASSENGER CAPACITY ALLOCATION FOR CURRENT PLAN YEAR: NUMBER OF PASSENGER CAPACITY ALLOCATIONS RETURNED: (MAY NOT EXCEED 30% OF TOTAL AND SUPPLEMENTAL ALLOCATIONS_) CURRENT REMAINING PASSENGER CAPACITY ALLOCATION: FoRm F-8 [7/21/15] ACGEss PLAN REFERENCE: §3.5.4. VoluntaryReduction of Passenger Capacity Allocation APPENDIX F-8 V/////A AIRPOU 004449 CCUMTV Access/GANG Access Plan / General Aviation Noise Ordinance Exit Biuesheets This form must be submitted to John Wayne Airport through a secured website. Please contact the Airport at (949) 252-5185. FORM F-9 APPErm[x F-9 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) CORRECTIVE ACTION REPORT Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of _ STATEMENT OF VIOLATION OR POTENTIAL VIOLATION: INFORMATION REQUESTED: PROPOSED CORRECTIVE ACTIONS (use additional sheets if necessary): JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: §3.,8.4 - Corrective Action Report FORM F-10 [7/21/15] APPENDIX F-10 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) AUTHORIZED DEPARTURE REQUEST FORM (AIR CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of _ ADD Class Type of Aircraft Number of Seats per Aircraft Number of Departures Frequency Number of ADDs Requested TOTAL ADDS REQUESTED: TOTAL PREVIOUS ADDS ALLOCATED: JWA USE ONLY: Date Completed: Date Received: Staff: Total ADDs Allocated: Total ADD Allocation: FORM F-11 [7/21/15] APPENDIX F-11 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) SUPPLEMENTAL AUTHORIZED DEPARTURE REQUEST FORM (AIR CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page _ of ADD Class Type of Aircraft Number of Seats per Aircraft Number of Departures Frequency Number of Supplemental ADDs Requested JWA USE ONLY: Date Completed: Date Received: Staff: Supplemental ADDs Allocated: Total ADD Allocation: TOTAL SUPPLEMENTAL ADDS REQUESTED: TOTAL PREVIOUS ADDS ALLOCATED: ACCESS PLAN REFERENCE: §4.2.2 - Supplemental Departure Allocation Request FORM F -11(S) [7/21/15] APPENDIX F-1I(S) JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) SUPPLEMENTAL SEAT CAPACITY ALLOCATION REQUEST FORM (AIR CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page _ of 1 2 3 4 5 6 7 8 9 10 Class Aircraft Type Seat Confi . Reg. Daily Dep. Special Daily Dep. Freg. Dep. Das Total Number Das Total Arr./Dep. OPS Total Seats ° © CALCULATION: MULTIPLY COLUMNS 3 AND 9 TOTAL SUPPLEMENTAL SEAT ALLOCATION REQUESTED: TOTAL PREVIOUS SEAT ALLOCATION: JWA USE ONLY: Date Completed: Date Received: Staff: Supplemental Seats Allocated: Total Seat Allocation: FORM F -12(S) [7/21/15] ACCESS PLAN REFERENCE: §4.3.2 - Supplemental Seat Capacity Allocation Requests APPENDIX F -12(S) JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION REQUEST FORM (COMMUTER CARRIER) Air Carrier: Affiliate: Signature:_ 1 2 3 4 Date Submitted: For Period (Date): From: To: Page 1 of 5 6 7 8 Aircraft Type Arrival/ Departure Freq. # of Seats in Aircraft Number of Operations Projected Load Factors Total Seats 4 # of Passengers Requested O CALCULATION: MULTIPLY COLUMNS 4 AND 5 = TOTAL SEATS TOTAL SEATS: © CALCULATION: MULTIPLY COLUMNS 6 AND 7 = PASSENGER REQUEST Date Received: Staff: Supplemental Passenger Capacity Allocated: Total Passenger Capacity Allocation: FORM F -13(S) [7/21/15] SUPPLEMENTAL PASSENGER ALLOCATION REQUESTED: TOTAL PREVIOUS PASSENGER CAPACITY ALLOCATION: ACCESS PLAN REFERENCE: §4.4.2 - Supplemental Passenger Capacity Allocation Requests APPENDIX F-I3(S) JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) RON ALLOCATION REQUEST FORM (AIR CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page _ of Aircraft Type Aircraft Maximum GTOW Dep' Class p' Arr./De Time Position Requested Days of the Week to be Used Loading Apron Bridge JWA USE ONLY: Date Completed: Date Received: Staff: Total RON Loading Bridges Allocated: Total RON Aprons Allocated: Total RON Allocation: FoRm F-14 [7/21/15] TOTAL RON APRON ALLOCATIONS REQUESTED TOTAL RON LOADING BRIDGE ALLOCATIONS REQUESTED ACCESS PLAN REFERENCE: §5.2 - Air Carrier RON Requests APPENDIX F-14 Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of RONs Add/or Return Aircraft Type Aircraft Max GTOW Dep Class Arr/Dep Time Position Requested Days of the Week to be Used Apron Loading` Bridge PREvIoUs RON ALLOCATION: ADDITIONAL RON ALLOCATIONS REQUESTED: RON ALLOCATIONS RETURNED: ( FORM F-15 [7/21/15] ACCESS PLAN REFERENCE: §5.212 -Amended RON Request Form` APPENDIX F-15 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) RON POSITION ALLOCATION REQUEST FORM (COMMUTER CARRIER) Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page 1 of Aircraft Type Aircraft Maximum GTOW Dep Class Arr/Dep Time Position Requested Days of the Week to be Used Apron FBO JWA USE ONLY: Date Completed: Date Received: Staff: Total RON Allocation: TOTAL RON ALLOCATIONS REQUESTED: ACCESS PLAN REFERENCE: §5.7 - Commuter Carrier RON Allocation Requests FORM F-16 [7/21/15] APPENDIX F-16 Air Carrier: Date Submitted: Affiliate: Date of Formation of Affiliate Relationship: Signature: Page 1 of Compliance: Are you in full compliance with the following sections? 8.2.1: ❑ Yes ❑ No 8.2.2: ❑ Yes ❑ No 8.2.3: ❑ Yes ❑ No 8.2.4: ❑Yes ❑No NATURE OF AFFILIATE RELATIONSHIP (SEE SECTION 2.2(A) THROUGH (C), SPECIFY APPLICABLE SUBSECTION AND THE DETAILS): (use additional sheets if necessary) JWA USE ONLY:Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE:. §8.2.4 - Notice of Formation of Affiliate Relationship FORM F-17 [7/21/15] APPENDLx F-17 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) MODIFICATION OF MINIMUM/MAXIMUM USE PERCENTAGE REQUEST FORM Air Carrier: Date Submitted: Affiliate: For Period (Date): From: To: Signature: Page _ of REQUEST FOR: Calendar Calendar 71 3 Consecutive Plan Month Quarter Calendar Quarters Year ADDs Seats 71 Passengers RONs Current Maximum Use % Proposed Maximum Use % Modified Maximum Use % (JWA USE ONLY) Current Minimum Use % Proposed Minimum Use % Modified Minimum Use % (JWA USE ONLY) JWA USE ONLY: Date Completed: Date Received: Staff: FORM F-18 [7/21/15] ACCESS PLAN REFERENCE: §8.3.8 - Request for Modification of Minimum/MAX Use Percentaqes APPENDIX F-18 Air Carrier: For Period (Date): From: To: Signature: Page 1 of Is Form F-9 (§3.5.4 and §6.6) being filed concurrently with this form: ❑ Yes ❑ No DESCRIPTION OF OPERATIONAL ADJUSTMENTS REQUIRED BY COUNTY: (See Access Plan §6) DESCRIPTION OF OPERATIONAL ADJUSTMENTS TO BE MADE BY AIR CARRIER: (use additional sheets if necessary) JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: §6.6 -Commercial Operator Adjustment Plan FoRM F-19 [6/24/03] APPENDIX F-19 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) AIRCRAFT NOISE QUALIFICATION TEST REQUEST FORM Air Carrier: Date: Signature: Test Date: Aircraft Type Aircraft Model # Dep Class Number of Seats Engine Type Engine Model # Max.Opr. Gross Wt. Projected Typical Opr. Wt. IS THE FOLLOWING INFORMATION ATTACHED: 1. INFORMATION/MATERIAL SUBSTANTIATING BELIEF THAT PROPOSED AIRCRAFT CAN OPERATE AS CLASS A OR CLASS E AIRCRAFT AT JWA: 2. STATEMENT OF ASSUMPTIONS USED IN PROJECTING TYPICAL OPERATIONS WEIGHT RANGE: 3. OPERATOR, MANUFACTURER, AND CERTIFIED AIRCRAFT MANUAL PAGES REFLECTING OR RELATING TO THE MAXIMUM OPERATIONAL GROSS WEIGHT OF AIRCRAFT IN SERVICE AT JWA: 4. MANUFACTURER INFORMATION/MANUALS: 5. SPECIFIC DEPARTURE PROCEDURE TO BE USED AT JWA: 6. LIST OF OTHER OPERATORS USING SAME PROCEDURE AT JWA WITH SAME AIRCRAFT AND ENGINE TYPES: 7. WRITTEN STATEMENT FROM THE AIR CARRIER: JWA USE ONLY: Date Completed: Date Received: Staff: YES ❑ No ❑ YES ❑ NO ❑ YES ❑ No ❑ YES ❑ No ❑ YES ❑ NO ❑ YES ❑ No ❑ YES ❑ No ❑ ACCESS PLAN REFERENCE: §10.3.1- Information Requirements FORM F-20 [11/18/08] APPENDIX F-20 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 - FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-21 [7/21/15] Page 1 of 2 Appendix F-21 ASSOCIATED OPERATING GROUP MEMBERS 1. Carrier Name: Are you in full compliance with the following 3. Carrier Name: 1. Commercial Carrier: or Commuter Carrier: 3. Commercial Carrier: or Commuter Carrier: 1. Signature: 3.9.2: Yes ❑ No ❑ 3. Signature: 2. Carrier Name: 4. Carrier Name: 2. Commercial Carrier: or Commuter Carrier: 4. Commercial Carrier: or Commuter Carrier: 2. Signature: 4. Signature: JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 - FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-21 [7/21/15] Page 1 of 2 Appendix F-21 COMPLIANCE Date Submitted: For Period From: Are you in full compliance with the following sections? 3.5.5: Yes ❑ No ❑ 3.9.3: Yes ❑ No ❑ 8.14: Yes ❑ No ❑ 3.9.1: Yes ❑ No ❑ 3.10.1: Yes ❑ No ❑ For Period To: 3.9.2: Yes ❑ No ❑ 8.2: Yes ❑ No ❑ JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 - FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-21 [7/21/15] Page 1 of 2 Appendix F-21 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP INDIVIDUAL CARRIER ALLOCATION (`Default" Allocation with NO Associated Operating Group) ASSOCIATED OPERATING GROUP CARRIER OPERATIONS PROPOSAL Capacity Carrier 1 Carrier 2 Carrier 3 Carrier 4 TOTAL Carrier 1 Carrier 2 Carrier 3 Carrier 4 TOTAL Regular ADDs: - Class A Departures - Class A ADD Allocation - Class PE Departures - Class PE ADD Allocation Supplemental Departures: - Class A Departures - Class A ADD Allocation Authorized Seat Capacity: - Regular Seats - Supplemental Seats Total Seat Capacity Passenger Capacity: RON Positions: - Commercial Carrier - Commuter Carrier JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 — FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-21 [7/21/15] Page 2 of 2 Appendix F-21 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) AMENDED DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 — FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-22 [7/21/15] Page 1 of 2 Appendix F-22 ASSOCIATED OPERATING GROUP MEMBERS 1. Carrier Name: Are you in full compliance with the following 3. Carrier Name: 1. Commercial Carrier: or Commuter Carrier: 3. Commercial Carrier: or Commuter Carrier: 1. Signature: 3. Signature: 2. Carrier Name: 4. Carrier Name: 2. Commercial Carrier: or Commuter Carrier: 4. Commercial Carrier: or Commuter Carrier: 2. Signature: 1 4. Signature: JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 — FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-22 [7/21/15] Page 1 of 2 Appendix F-22 COMPLIANCE Date Submitted: For Period From: Are you in full compliance with the following sections? 3.5.5: Yes ❑ No ❑ 3.9.3: Yes ❑ No ❑ 8.14: Yes ❑ No ❑ For Period To: 3.9.1: Yes ❑ No ❑ 3.10.1: Yes ❑ No ❑ 3.9.2: Yes ❑ No ❑ 8.2: Yes ❑ No ❑ JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 — FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-22 [7/21/15] Page 1 of 2 Appendix F-22 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) AMENDED DECLARATION OF FORMATION OF ASSOCIATED OPERATING GROUP INDIVIDUAL CARRIER ALLOCATION ("Default" Allocation with NO Associated Operating Group) ASSOCIATED OPERATING GROUP CARRIER OPERATIONS PROPOSAL Capacity Carrier 1 Carrier 2 Carrier 3 Carrier 4 TOTAL Carrier 1 Carrier 2 Carrier 3 Carrier 4 TOTAL Regular ADDS: - Class A Departures - Class A ADD Allocation - Class PE Departures - Class PE ADD Allocation Supplemental Departures: - Class A Departures - Class A ADD Allocation Authorized Seat Capacity: - Regular Seats - Supplemental Seats Total Seat Capacity Passenger Capacity: RON Positions: - Commercial Carrier - Commuter Carrier JWA USE ONLY: Date Completed: Date Received: Staff: ACCESS PLAN REFERENCE: § 3.9.1 - FORMATION OF ASSOCIATED OPERATING GROUPS FORM F-22 [7/21/15] Page 2 of 2 Appendix F-22 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX G 2003 PHASE 2 ALLOCATION PROTOCOL APPENDIX G — 2003 Phase 2 Allocation Protocol 1.0 INTRODUCTION This document is intended to provide an outline of the conditions and procedures of the May 28, 2003, allocation process. 2.0 CONDITIONS The allocation of Regulated ClassAADDs and permanent Class EADDs will occur on May 28, 2003, under the following conditions: 2.1 BOARD RATIFICATION All allocations will be conditional and subject to final ratification by the Board of Supervisors on June 17, 2003. This ratification will occur at the time the Board accepts amendments to the PHASE 2 ACCESS PLAN, which will be prepared consistent with Board direction on May 20, 2003, and will be submitted to the Board for acceptance at its June 17, 2003, meeting. 2.2 COMPLIANCE WITH OTHER PRE -ALLOCATION CONDITIONS Only those carriers which have previously complied with all pre -conditions to the allocation process will be eligible to participate in the allocation. This includes the aircraft qualification requirement and the new entrant deposit requirement, both of which were discussed in the First Staff Report, dated March 11, 2003. All incumbent carriers and the two (2) new entrant carriers have qualified Class A and/or Class E equipment for operations at JWA - and are therefore eligible to participate in the allocation process. 2.3 PRESENCE OF AUTHORIZED AIRLINE REPRESENTATIVE Each airline wishing to receive an allocation of new PHASE 2 Regulated ADDS must be represented by a company official with authority to make a binding commitment on trade -out opportunities and the acceptance of Regulated ADD allocations. At the beginning of the allocation process, each airline will be asked to confirm its presence, and to confirm that it is being represented by an official with such binding authority. 2.4 TIME AND PLACE OF THE ALLOCATION As previously announced, the allocation process will commence at 10:00 a.m. (local time) on Wednesday, May 28, 2003. The allocation will take place at the at the Airport Commission Hearing Room, John Wayne Airport Administration Building, 3160 Airway Avenue, Costa Mesa, California. Page G-1 APPENDIX G — 2003 Phase 2 Allocation Protocol 3.0 ALLOCATION PROCESS The allocation process will follow the following procedures and requirements: 3.1 INITIAL ALLOCATIONS 3.1.1 The eligible airlines will initially be offered the following new Regulated ADD allocations. These allocations are in addition to the eligible airlines' existing allocations: Airline Class A ADDS Incumbent Air Carriers Alaska Airlines Aloha Airlines America West Airlines American Airlines Continental Airlines Delta Airlines Northwest Airlines Southwest Airlines United Air Lines US Airways 1 2 1 0 1 1 1 1 1 2 New Entrant Air Carriers Frontier Airlines, Inc. 3 ATA Airlines 2* * ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list 3.1.2 Each airline will be asked to confirm that it will accept this initial allocation of ADDS. AnyADDs not accepted at this stage of the process will be deemed to be "County" ADDS. 3.2 CLASS E TRADE -OUT After the initial allocation is confirmed by each carrier, the trade -out process will begin. 3.2.1 All incumbent carriers and new entrant air carriers will be eligible for the trade -out process. Page G-2 APPENDIX G — 2003 Phase 2 Allocation Protocol 3.2.2 Each carrier will be given the sequential opportunity to trade -out one (1) Class A ADD for two (2) Class E ADDS. The sequence will continue until twelve (12) permanent Class E ADDS have been allocated through the trade -out process, or until all eligible carriers have "passed" twice. 3.2.3 The carriers will be prioritized for sequential exercise of trade -out opportunities by a "top-down" order based upon their initial allocation of new Class A ADDS, in addition to their currentADD allocation as follows: Airline Class A ADDS Incumbent Air Carriers Alaska Airlines 7 Aloha Airlines 4 America West Airlines 9 American Airlines 19 Continental Airlines 10 Delta Airlines 8 Northwest Airlines 6 Southwest Airlines 5 United Air Lines 8 US Airways 4 New Entrant Air Carriers Frontier Airlines, Inc. 3 ATA Airlines 2* * ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list Any "ties" in eligibility have been broken by the date of their commencement of service at JWA. The "top-down" order will be as follows: • American Airlines • Continental Airlines • America West Airlines • Delta Airlines • United Airlines • Alaska Airlines • Northwest Airlines • Southwest Airlines • US Airways • Aloha Airlines • Frontier Airlines • New Entrant Carrier Page G-3 APPENDIX G — 2003 Phase 2 Allocation Protocol 3.2.4 Each carrier will be polled in sequence as to whether it wishes to exercise a trade -out opportunity. Each carrier will have a maximum of three (3) minutes to respond. If a carrier does not respond within the three (3) minute period, it shall be deemed to have "passed." 3.2.5 At the conclusion of the trade -out allocation, each Air Carrier will be provided with a sheet reflecting the status of the allocation process at this stage, and will be asked to confirm the accuracy of that allocation summary before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 3.3 "REDISTRIBUTION" OF CLASS A ADDS Following completion of the trade -out process, the County will "redistribute" the Class A ADDS "received" by it during the trade -out process, pursuant to the following procedures: 3.3.1 The Class A ADDS will be allocated sequentially among the incumbent carriers, in one (1) ADD increments, based upon a "bottom-up" sequence determined by reference to each Air Carrier's Class A ADD allocation at the end of the trade -out process. All "ties" in sequence eligibility will be resolved first by reference to each carrier's date of commencement ofJWA service. 3.3.2 The "redistribution" of Class A ADDS will be deemed to have started with Frontier Airlines' receipt of a Class AADD in the "initial" allocation (Paragraph 3.1.1, above). The first "redistributed" Class A ADD to be allocated under this Paragraph 3.3 will be allocated to the first Air Carrier in the selection order after Frontier Airlines. 3.3.3 The allocation process will continue until all but two (2) of these Class A ADDS have been allocated, or until each eligible Air Carrier has declined to accept additional Class A ADD allocations. The remaining two (2) Class AADDs will be allocated supplementally. 3.3.4 Each Air Carrier will be polled sequentially and will have a maximum of three (3) minutes to accept or refuse the Class AADD. A failure to respond within the three (3) minute period will be deemed to be a "pass" (or, a refusal to accept the offered allocation). 3.3.5 At the conclusion of the "redistributed" Class AADD allocation, each Air Carrier will be provided with a sheet reflecting the status of the final allocations, and will be asked to confirm the accuracy of that allocation summary. Any disputes or protests will immediately be resolved by staff. 4.0 ADD AND SEAT ALLOCATION WITHDRAWAL LOTTERIES Following completion of the Regulated ADD allocation process, the County will immediately conduct a separate withdrawal lottery, as outlined in the Second Staff Report, for certain permanent Class EADDs. This lottery will occur under the following general rules and procedures. Page G-4 APPENDIX G — 2003 Phase 2 Allocation Protocol 4.1 ADD WITHDRAWAL LOTTERY 4.1.1 The County will, by a random lottery process, assign withdrawal priorities separately to permanent Class EADDs. 4.1.2 Each Air Carrier will be provided with a summary of the withdrawal priority lottery results, and will again be asked to confirm the accuracy of that summary before the process con- tinues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 4.3 SEAT CAPACITY WITHDRAWAL LOTTERY 4.2.1 The County will advise the carriers of the number of "passenger seats" allocated to each carrier based upon each carrier's final Regulated ADD allocations. The County will then announce how many of each carrier's "Seat Blocks" (in increments of 13,000 seats) it believes to be eligible for the withdrawal lottery. 4.2.2 Each Air Carrier will be asked to confirm the accuracy of that seat allocation and "Seat Block" withdrawal lottery eligibility before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 4.3 "SEAT BLOCK" WITHDRAWAL LOTTERY 4.3.1 The County will then, by a random lottery process, assign withdrawal priorities separately to each eligible "Seat Block." 4.3.2 Each Air Carrier will be provided with a summary of the "Seat Block" withdrawal lottery results, and will again be asked to confirm the accuracy of that summary before the process concludes. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 5.0 SUBSEQUENT AIRLINE "TRADES" The County will permit an opportunity for a one-time "trade" of new Regulated Class A and Class E ADDS among the Qualified Air Carriers, subject to specific conditions and limitations. These "trades" must be completed and confirmed in writing to the Airport Director not later than 5:00 p.m. (local time) on Tuesday, June 3, 2003, and are subject to acceptance and ratification by the Airport Director and the Board of Supervisors. The written confirmation of any such trades will be subject to certain requirements and limitations which will be announced and discussed at the completion of the allocation process. Page G-5 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX H MAY 28, 2003, ALLOCATION PROCESS AND SUMMARY APPENDIX H—Allocation Process, Mav 28, 2003, And Summary STEP ONE: CONFIRMATION OF EXISTING ALLOCATIONS - CONVERSION OF CLASS AA ADDS TO CLASS A ADDS Table 1, below, provides the existing Regulated ADD allocations. Each airline will be asked to confirm these existing Regulated ADD allocations. All of the Class AA ADDS will automatically be converted to Class AADDs. TABLE 1 EXISTING REGULATED ADD ALLOCATIONS Carrier Present Allocation Class Total Class A ADDS after conversion AF Alaska 4 2 6 Aloha 2 0 2 America West 1 7 8 American- 11 8 19 Continental 5 4 9 Delta 3 4 7 Northwest 5 0 5 Southwest 2 2 4 United 2 5 7 US Airways 1 2 1 0 2 County 1 2 1 2 1 4 The four (4) County Class A ADDS include two (2) Class A ADDS that the County has been allocating as supplemental capacity for use by commercial passenger carriers during the past several Plan Years. This was the only unallocated capacity available to accommodate continued operations by the two (2) all -cargo carriers at the Airport if the Airport was unsuccessful in negotiating with the City and others to obtain the necessary capacity for cargo operations at the Airport. This capacity is no longer required as a "safety valve" in light of the Settlement Amendment provision for four (4) permanent Class ADDS for cargo carriers. The other two (2) Class ADDS that the County currently holds are the two (2) Class AA ADDS that American returned to the County, effective April 6, 2003. Page H-1 APPENDIX H - Allocation Process, May 28, 2003 STEP TWO: ALLOCATION OF FOUR (4) COUNTY CLASS A ADDS TO TWO NEw ENTRANT AIR CARRIERS - FRONTIER AIRLINES AND ATA AIRLINES The first two eligible new entrant air carriers currently on the new entrant air carrier waiting list will be provided two (2) Class A ADDS each of the existing four (4) County Class A ADDS. Each of the new entrant airlines (Frontier and ATA Airlines) will be asked to confirm that it will accept this initial allocation ofADDs. AnyADDs not accepted at this stage of the process will be deemed to be "County" ADDS. STEP THREE: RESTRUCTURING OF THE ALLOCATION PRIORITY LIST The carriers will then be prioritized for the sequential distribution of the twelve (12) new Class A ADDS based upon a bottom-up allocation priority list. Table 2, below, provides the new bottom up incumbent air carrier allocation priority list based upon the existing Regulated ADD allocations, and the allocations to two (2) new entrant air carriers. All ties are broken based upon the date of commencement of service of eachAir Carrier on the list. Therefore, US Airways has been placed before Aloha, and Delta has been placed before United on the list. In addition, Frontier has been placed before ATA because Frontier requested to be placed on the new entrant air carrier wait list on May 15, 2000, and ATA Airlines requested to be placed on the new entrant air carrier wait list on January 19, 2001. Each airline will be asked to confirm its placement on this new Air Carrier reallocation priority list based upon its existing Regulated ADD allocations. ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list 2 APPENDIX H—Allocation Process, Mav 28, 2003, And Summary * Aloha, US Airways, Frontier Airlines, and ATA Airlines are each tied with two (2) ClassA ADDS. ** Delta and United are tied with seven (7) Class A, however, Delta commenced service atJWA prior to United. *** ATA originally accepted the allocation of two (2) ClassAADDs. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list. STEP FOUR: ALLOCATION OF TWELVE (12) NEW CLASS A ADDS The airlines will each be offered new Class AADDs in one (1) Class AADD increments based upon the order that each airline is placed on the allocation priority list, as reflected in Table 2, above. For purposes of the "first round" of allocations, Frontier Airlines and ATA Airlines will be excluded from the allocation process. However, for purposes of the "second round" of allocations (i.e., after each incumbent air carrier has been offered one [1] of the new Class AADDs), the new entrants will be included in the allocation process. ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list. Page H-3 TABLE 2 NEW AIR CARRIER REALLOCATION PRIORITY LIST 1. US Airways - 2. Aloha - 3. Frontier Airlines - 4. ATA Airlines••• 5. Southwest 6. Northwest 7. Alaska 8. Delta -- 9. United -- 10. America West 11. Continental 12. American Airlines * Aloha, US Airways, Frontier Airlines, and ATA Airlines are each tied with two (2) ClassA ADDS. ** Delta and United are tied with seven (7) Class A, however, Delta commenced service atJWA prior to United. *** ATA originally accepted the allocation of two (2) ClassAADDs. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list. STEP FOUR: ALLOCATION OF TWELVE (12) NEW CLASS A ADDS The airlines will each be offered new Class AADDs in one (1) Class AADD increments based upon the order that each airline is placed on the allocation priority list, as reflected in Table 2, above. For purposes of the "first round" of allocations, Frontier Airlines and ATA Airlines will be excluded from the allocation process. However, for purposes of the "second round" of allocations (i.e., after each incumbent air carrier has been offered one [1] of the new Class AADDs), the new entrants will be included in the allocation process. ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list. Page H-3 APPENDIX H — Allocation Process, Mav 28, 2003, And Summary The airlines will initially be offered the following new Regulated ADD allocations as reflected in Table 3, below. These allocations are in addition to the eligible airlines' existing allocations. These allocations reflect information previously received from American Airlines that it is not interested in receiving any new capacity at this time. TABLE 3 INITIAL ALLOCATION Equal Allocation of Carrier Existing Class A Allocations Initial New Class A Allocations Total Class A Allocations Incumbent Airlines Alaska 6 1 7 Aloha 2 2 4 America West 8 1 9 American 19 0 19 Continental 9 1 10 Delta 7 1 8 Northwest 5 1 6 Southwest 4 1 5 United 7 1 8 US Airways 2 2 4 County 0 0 New Entrant Airlines Frontier Airlines 2 1 3 ATA Airlines 2 0 2• ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list Page H-4 APPENDIX H—Allocation Process, Mav 28, 2003, And Summary Each airline will be asked to confirm that it will accept this initial allocation of ADDS. AnyADDs not accepted at this stage of the process will be deemed to be "County" ADDS. The County will continue to allocate the new Class AADDs based upon the bottom up allocation priority list until all of the twelve (12) new Class AADDs have been allocated. STEP FIVE: CLASS E TRADE -OUT After the initial allocation is confirmed by each carrier, the trade -out process will begin. All incumbent carriers and new entrant air carriers will be eligible for the trade -out process. Each carrier will be given the sequential opportunity to trade -out one (1) Class A ADD for two (2) Class EADDs. The sequence will continue until twelve (12) permanent Class EADDs have been allocated through the trade -out process, or until all eligible carriers have "passed" twice. The carriers will be prioritized for sequential exercise of trade -out opportunities by a "top-down" order based upon their initial allocation of new Class A ADDS, in addition to their current ADD allocation. Any "ties" in eligibility have been broken by the date of their commencement of service at JWA. The "top-down" order will be as follows: • American Airlines • Continental Airlines • America West Airlines • Delta Airlines • United Airlines • Alaska Airlines • Northwest Airlines • Southwest Airlines • US Airways • Aloha Airlines • Frontier Airlines • ATA Airlines Each carrier will be polled in sequence as to whether it wishes to exercise a trade -out opportunity. Each carrier will have a maximum of three (3) minutes to respond. If a carrier does not respond within the three (3) minute period, it shall be deemed to have "passed." The trade -out process will continue until all of the Class E ADDS have been allocated, or until each eligible Air Carrier has declined to accept additional trade -out opportunities. At the conclusion of the trade -out allocation, each Air Carrier will be provided with a sheet reflecting the status of the allocation process at this stage, and will be asked to confirm the accuracy of that allocation summary before the process continues. Any disputes or protests will immediately be ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned toreturn the tentative allocation. ATA'sallocation will beprovided tothe next Air Carrier on the new entrant waiting list. Page H-5 APPENDIX H — Allocation Process, Mav 28, 2003, And Summary resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. STEP SIX: "REDISTRIBUTION" OF CLASS A ADDS Following completion of the trade -out process, the County will "redistribute" the Class A ADDS "received" by it during the trade -out process, pursuant to the following procedures: (i) The Class AADDs will be allocated sequentially among the incumbent carriers, in one (1)ADD increments, based upon a "bottom-up" sequence. (ii) The "redistribution" of Class AADDs will be deemed to have started with Frontier Airlines' receipt of a Class A ADD in the "initial" allocation. The first "redistributed" Class AADD to be allocated under this Paragraph will be allocated to the first Air Carrier in the selection order after Frontier Airlines. (iii) The allocation process will continue until all but two (2) of these Class A ADDS have been allocated, or until each eligible Air Carrier has declined to accept additional Class A ADD allocations. The remaining two (2) Class A ADDS will be allocated supplementally. (iv) EachAir Carrier will be polled sequentially and will have a maximum of three (3) minutes to acceptor refuse the Class AADD. A failure to respond within the three (3) minute period will be deemed to be a "pass" (or, a refusal to accept the offered allocation). (v) At the conclusion of the "redistributed" Class AADD allocation, eachAir Carrier will be provided with a sheet reflecting the status of the final allocations, and will be asked to confirm the accuracy of that allocation summary. Any disputes or protests will immediately be resolved by staff. STEP SEVEN: ADD AND SEAT ALLOCATION WITHDRAWAL LOTTERIES Following completion of the Regulated ADD allocation process, the County will immediately conduct a separate withdrawal lottery, as outlined in the Second Staff Report, for certain eligible Class AADDs and permanent Class EADDs. This lottery will occur under the following general rules and procedures. ADD Withdrawal Lottery (a) The County will, by a random lottery process, assign withdrawal priorities separately to eligible Class A ADDS and permanent Class EADDs. Page H-6 APPENDIX H—Allocation Process, Mav 28, 2003, And Summary (b) Each Air Carrier will be provided with a summary of the withdrawal priority lottery results, and will again be asked to confirm the accuracy of that summary before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 2. Seat Capacity Withdrawal Lottery (a) The County will advise the carriers of the number of "passenger seats" allocated to each carrier based upon each carrier's final Regulated ADD allocations. The County will then announce how many of each carrier's "Seat Blocks" (in increments of 13,000 seats) it believes to be eligible for the withdrawal lottery. (b) Each Air Carrier will be asked to confirm the accuracy of that seat allocation and "Seat Block" withdrawal lottery eligibility before the process continues. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. 3. "Seat Block" Withdrawal Lottery (a) The County will then, by a random lottery process, assign withdrawal priorities separately to each eligible "Seat Block." (b) Each Air Carrier will be provided with a summary of the "Seat Block" withdrawal lottery results, and will again be asked to confirm the accuracy of that summary before the process concludes. Any disputes or protests will immediately be resolved by staff. Any failure to immediately express such a protest will be deemed by the County to be a waiver of the protest by the Air Carrier. STEP EIGHT: SUBSEQUENT AIRLINE "TRADES" The County will permit an opportunity for a one-time "trade" of new Regulated Class A and Class E ADDS among the Qualified Air Carriers, subject to specific conditions and limitations. These "trades" must be completed and confirmed in writing to the Airport Director not later than 5:00 p.m. (local time) on Monday, June 2, 2003, and are subject to acceptance and ratification by the Airport Director and the Board of Supervisors. The written confirmation of any such trades will be subject to certain requirements and limitations which will be announced and discussed at the completion of the allocation process. Page H-7 APPENDIX H — Allocation Process, Mav 28, 2003, And Summary PHASE 2 ALLOCATIONS REGULATED ADDS Selection Order Existing Initial Tradeouts Redistribution Class E Final Allocation Allocation ADDS Allocation Airline Top Bottom A A A A E Down Up Alaska 6 7 6 7 -1 1** 2 7 2 Aloha 9 4 2 4 4 America West 3 10 8 9 9 American 1 12 19 19 19 ATA 12 1 0 2 2*** Continental 2 11 9 10 10 Delta 5 8 7 8 1* 8 Frontier 11 2 0 3 3 Northwest 7 6 5 6 1** 7 Southwest 8 5 4 5 -1 1* 2 5 2 United 4 9 7 8 8 US Airways 10 3 2 4 4 [County] 4 0 0 TOTAL: 73 85 -2 4 4 87 4 * One (1) Class A ADD allocated on a supplemental basis through December 31, 2005. ** One (1) Cargo Class A ADD allocated on a supplemental basis through March 31, 2004. *** ATA originally accepted the allocation of two (2) Class A ADDS. However, by letter dated June 10, 2003, ATA informed the Airport that it planned to return the tentative allocation. ATA's allocation will be provided to the next Air Carrier on the new entrant waiting list Page H-8 JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) APPENDIX I NOISE MONITORING STATIONS • • ( SANTA ANA COSTA MESA Scele In miles U NEWPORT BEACH TUSTIN IRVINE JOHN WAYNE AIRPORT PERMANENT NOISE MONITORING STATIONS NMS SITE LOCATIONS AND NUMBERING DISTANCE (FEET) MICROPHONE HEIGHT AGE ARLN ARLS LATITUDE AND LONGITUDE REMARKS: 1. Length of Runway 20R/2L 5700.04 Feet 2. Runway Elevation. North End, 20R, GPS1409EL=+39.23 Feet MSL 3. Runway Elevation. South End, 2L, GPS1410EL=+53.79 Feet MSL 4.AUL = Above Ground Level 5.ARLN= Above Runway Level, North End 6. ARE S -Above Runway Level, South End 7 Lat &Long of Ends of Runway 20R/2L North End (20R) 33040' 53.92311" 11"F 51' 54.20806" South End (2L) 3340' 04.09333" (GPS1410) 1170 52' 25.78055" FROM NORTH END ENT. CL RNWY20R2L 90 DEGREE TO EXTENDED C/L20R2L NMS Golf Course 1S 3100 Irvine Ave. NewportBewh 8,799.7' S'LY 939.1' W'LY 23.1' +27.1' +12.5' 33o 39' 41.34315"N 1170 52' 52.76360" W NMS 20162 Birch St 2S Newport Beach 8,752.0' S'LY 1,184.1' E'LY 34.6' +48.7' +34.1' 33o 39' 31.92912" N 1170 52' 30.30179" W NMS 2139 Anniversary Ln. 3S Newport Beach 10,799.2' S'LY 168.7'ELY 23.2' +5.3' -9.3' 33o 39' 18.73355" N 1170 52' 52.25295"W NMS 2338 Tustin Avenue 4S Newport Beach 14,155.7' S'LY 1,998.9' W'LY 23.2' +57.1' +42.5' 33o 38' 59.42269" N 117053'33.49379"W NMS 324 % Vista Madera 5S Newport Beach 14,938.7' S'LY 1,945.0' E'LY 24.6' +47.8' +33.3' 330 38' 34.31939" N 1170 52' 56.60114" W NMS 1912 Santiago 6S Newport Beach 17,559.7' S'LY 241.7' E'LY 24.1' +86.8' +722' 330 38' 19.28931" N 1170 53' 28.91310" W NMS 1311 Back Bay Dr. 7S NewportBeach 23,960.9' S'LY 3,292.6' E'LY 28.8' +39.8' +25.3' 330 37' 09.19975" N 1170 53' 32.44970" W NMS 17372 Eastman St. 8N Irvine 6,533.1' ELY 58.1'ELY 38.0' +36.1' +21.5' 330 41' 50.76324" N 1170 51' 17.40197" W(GPS1409) NMS 1300 S. Grand Ave. 9N Santa Ana 18,052.4' N'LY 5,113.0' W'LY 57.5' +109.9' +95.3' 330 43' 55.40983" N 1170 51' 07.63734" W NMS 17952 Benem Way ION Tustin 28,781.8' N'LY I 631.3' E'LY 25.0' +126.5' +111.9' 330 45' 02.57051" N 1170 49' 08.02769" W SURVEYORS NOTES: 1. Horizontal datum for this project is: CCS83, ZONE VI, 1991.35 EPOCH OCS, GPS ADJUSTMENT 2. Vertical Datum: NGVD29, 1995 OCS ADJUSTMENT 3. Distances shown are ground distances. To obtain grid distance multiply ground by CF=0.99997483 4. Coordinates are per "JWA RUNWAY'S & TAXIWAY'S CENTER LINES ALIGNMENT MAP" dated September 2002, File #JW A684, on file with John Wayne Airport Facilities, Translated to NAD83 GeogmpMc Coordinates. THIS REPORT WAS PREPARED BY ME OR UNDER MY SUPERVISION AND IS BASED ON A FIELD SURVEY PERFORMED IN OCTOBER 2014. 09oe DONALD R. RESER, LS 5727 SENIOR LAND SURVEYOR, JWA 10-9-2014 R. DATE ya"oo�Qy" RfJFP��P EXP. 9/30/16 iPr Ro. 5727 SPL ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) TABLE OF REQUIRED DATES TABLE OF REQUIRED FILING DATES The following tables summarize the filing due dates of various forms required by the PHASE 2 ACCESS PLAN (see, PHASE 2 AccEss PLAN, §§8.6.1 and 8.6.2). Where the filing indicates the use of a specific "form" (i.e., "F -{x}"), the reference is to the forms attached as APPENDICES F-1 through F-22 of the PHASE 2 ACCESS PLAN. References to "ACCESS PLAN Section[s]" are references to the section of the PHASE 2 ACCESS PLAN which specifically require the filing of the form. In some cases, there are other provisions of the PLAN which reference, or are material to, the required filing or form. (See, the REQUIRED FoRms CRoss-REFERENCE TABLE which follows this table for other references.) The summary contained in this table is for convenience only, and it does not supersede or replace the full text and relevant provisions of the PHASE 2 ACCESS PLAN, which should always be reviewed in connection with any required filing. If you have questions regarding the required filings, contact the JWA Noise Abatement Center. The deadline for filing certain of the forms is specified in the PHASE 2 ACCESS PLAN as being a specific number of days in advance of defined time periods, including each Plan Year, Calendar Quarter, or Supplemental Allocation Period. Other forms may be filed at any time during a Plan Year, but, in many cases, must be filed a specified number of days before the applicant may engage in certain activity at the airport. Again, any questions should be resolved first by reference to the PHASE 2 ACCESS PLAN itself and then, if necessary, by calling the JWA Access and Noise Office at (949) 252-5185. AIR CARRIER/ ACCESS FORM COMMUTER PLAN 1W # (AC/C) SECTION F-1 AC & C Carrier Operations Projection Form 3.8.1 30 Days prior to each calendar quarter F-2 AC & C Daily Operations Report 3.8.3 Next Working Day F-3 AC Class E Operations Request 3.4.3 30 Days prior to operation F-4 AC Annual Seat Capacity Allocation 3.3.2(a) 150 Days prior to the beginning of each Plan Year F-5 AC Voluntary Reduction of ADD 3.1.3 45 Days prior to effective date Allocation of reduction* Voluntary Reduction of Seat Capacity 45 Days prior to effective date F-6 AC Allocation 3.3.5 of reduction* F-7 C Passenger Capacity Allocation (PCAR) 3.5.2(a) 150 Days prior to the beginning of each Plan Year F-8 C Voluntary Reduction of Passenger 3.5.4 45 Days prior to effective date Capacity Allocation of reduction* Amended Carrier Operations Projection 10 Days before operations F-9 AC & C orm 3.8.2 ge F-10 AC & C Corrective Action Report 3.8.4 As specified by Airport Director F-11 AC Authorized Departure Allocation 150 Days prior to the beginning Request of each Plan Year F -11(S) AC Supplemental Authorized Departure 4.2.2 As Specified** Allocation Request JOHN WAYNE AIRPORT (As Amended "October 1, 2015) PHASE 2 ACCESS PLAN Page i F -12(S) AC Supplemental Seat Capacity Allocation 4.3.2 AC & C 10.3.1 Anytime Request Request F -13(S) C Supplemental Passenger Capacity 4.4.2 F-21 AC & C 3.9.1 Allocation Request F-14 AC RON Allocation Request 5.2.1 F-15 AC Amended RON Information Form 5.2.2 F-16 C F-17 AC & C F-18 AC & C F-19 AC & C RON Allocation Request (Commuter 5.7, 5.12.2 Carrier) Notice of Affiliate Relationship 8.2.4 Modification of Min/Max Use Percentage Request 83.8 Operations Adjustment Plan 6.6 As Specified** As Specified** 150 Days prior to the beginning of each Plan Year 30 Days prior to operations change 150 Days before each Plan Year; supplemental requests: anytime Prior to 9/30/90, and 5 Days after initiation of transaction (See section) 45 Days prior to the last day of the calendar month or calendar quarter for which the request is effective* 15 Days after notice from Airport Director JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page ii .aircraft Noise Qualification Test F-20 AC & C 10.3.1 Anytime Request Declaration of Formation of Associated 45 Days prior to date on which F-21 AC & C 3.9.1 Operating Group any operations are conducted 30 Days prior to the first date on which any change in operations Amended Declaration of Formation of F-22 AC & C 3.9.1 by the AOG are made or ,associated Operating Group effected by any member of the AOG NOTES: * This form may not be used for the last calendar quarter of anyPlan Year for purposes of determining compliance with Sections 8.3.5, 8.36, or 8.3.7. There are limitations on the number of times any person may use this form and procedure during the term of the PHASE 2 ACCESS PLAN. **The deadline for filing this form is a date specified by the Airport Direetor in paragraph (a) of the referenced section. JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page ii OTHER REQUIRED FILINGS There are certain other filings required by the PHASE 2 ACCESS PLAN in the event of certain occurrences, and for which there are no mandatory forms. Those include: VOLUNTARY ABANDONMENT OF RON POSITION Section 5.11 WRITTEN REPORT OF CURFEW OPERATION Section 8.5.2 CHANGES IN NOISE ABATEMENT DEPARTURE PROCEDURES Section 10.3.3 DESIGNATION OF PERSON(S) TO RECEIVE NOTICES Section 11.2 REQUEST FOR REVIEW OF SANCTION OR PENALTY Section 9 Consult the PLAN teat directly for a description of the circumstances requiring any of these filings and when these filings must or may be made. JOHN WAYNE AIRPORT (As Amended "October 1, 2015) PHASE 2 ACCESS PLAN Page iii II$]I101ktkvll •d►1WR1N01:71Y (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) REQUIRED FORMS CROSS-REFERENCE REQUIRED FORMS CROSS-REFERENCE This table lists in order the twenty (20) forms included in APPENDIx F of the PHASE 2 ACCESS PLAN. For each form, the table identifies the section of the ACCESS PLAN which requires use of the form, followed by the number of the PHASE 2 ACCESS PLAN where that section appears, in the format: "Section Number [Number]." The table then lists other sections of the PHASE 2 ACCESS PLAN which reference, or which are related to, the required form and its use. This table is presented for convenience only, and is not intended to be an exhaustive index of all possible ACCESS PLAN references or related sections. This table is not a substitute for full compliance with all requirements of the PLAN FORM # FORM NAME REQUIRED BY REFERENCED BY F-1 CARRIER OPERATIONS PROJECTION FORM 3.8.1 [38] 3.4.1(c) [30]; 3.8.2 [38]; 8.6.1 [84] F-2 DAILY OPERATIONS REPORT 3.8.3 [39] 8.6.1 [84] F-3 CLASS E OPERATIONS REQUEST FORM (AIR 3.4.1 [31] 3.4.2 [31]; 4.5.6 [47]; CARRIER) 8.6.2 [86] F-4 ANNUAL SEAT CAPACITY ALLOCATION REQUEST 3.3.2(a) [27] 3.3.2(b) -(d) [27]; 8.6.1 FORM (AIR CARRIER) [84] F-5 VOLUNTARY REDUCTION OF ADD ALLOCATION 3.1.3 [25] 8.6.2 [86] FORM (AIR CARRIER) F-6 VOLUNTARY REDUCTION OF SEAT CAPACITY 3.3.5 [29] 8.6.2 [86] ALLOCATION (AIR CARRIER) F-7 PASSENGER CAPACITY ALLOCATION REQUEST FORM 3.5.2(a) [33] 3.5.2(b) -(c) [33]; 3.5.3 (COMMUTER CARRiER)(`PCAR') [34]; 8.6.1 [84] F-8 VOLUNTARY REDUCTION OF PASSENGER CAPACITY 3.5.4 [35]6.6 [62] 8.6.2 [86] ALLOCATION FORM (COMMUTER CARRIER) F-9 AMENDED CARRIER OPERATIONS PROJECTIONS 3.8.2 [38] 8.6.1 [84] FORM F-10 CORRECTIVE ACTION REPORT FORM 3.8.4 [39] 8.6.1 [84] F-11 AUTHORIZED DEPARTURE REQUEST FORM (AIR 4.2.2(b) [42] 4.2.4 4.2.3 [42]; 8.6.1; 8.6.2 [86] CARRIER) [43] F -11(S) SUPPLEMENTAL AUTHORIZED DEPARTURE REQUEST 4.2.2(b) [42] 4.2.4 4.2.3 [42]; 8.6.2 [86] FORM (AIR CARRIER) [43] F -12(S) SUPPLEMENTAL SEAT CAPACITY ALLOCATION 4.3.2(b) [43] 4.3.3 [44]; 8.6.2 [86] REQUEST FORM (AIR CARRIER) F -13(S) SUPPLEMENTAL PASSENGER CAPACITY ALLOCATION 4.4.2(b) [45] 4.4.3 [45]; 8.6.2 [86] REQUEST FORM (COMMUTER CARRIER) (As Amended Through ctober 2015) JOHN WAYNE AIRPORT Page i PHASE 2 ACCESS PLAN FORM # FORM NAME REQUIRED BY REFERENCED BY F-14 RON ALLOCATION REQUEST FORM (AIR CARRIER) F-15 AMENDED RON INFORMATION FORM F-16 RON POSITION ALLOCATION REQUEST FORM (COMMUTER CARRIER) F-17 NOTICE OF AFFILIATE RELATIONSHIP F-18 MODIFICATION OF MIMMUM/MAXIMUM USE PERCENTAGE REQUEST FORM F-19 OPERATIONS ADJUSTMENT PLAN F-20 AIRCRAFTNOISE QUALIFICATION TEST REQUEST FORM F-21 DECLARATION OF FORMATION OF ASSOCIATED OPERATING AGREEMENT F-22 AMENDED DECLARATION OF FORMATION OF ASSOCIATED OPERATING AGREEMENT 5.2 [50] 5.2.2 [50], 5.3 [50], 5.4 [51], 5.5 [52], 8.6.2 [86] 5.2.2 [50] 8.6.1 [84] 5.7 [53] 5.12.2 [55] 5.9 [54]; 8.6.2 [86] 8.2.4 [77] 4.6 [41]; 8.1.5 [74]; 8.2.3 [76], 8.6.1 [84], 8.10.6 [95] 8.3.8 [80] 8.3.5 [79]; 8.3.6 [79], 8.3.7 [80]; 8.6.2 [86] 6.6 [62] 8.6.1 [84]; 8.10.5 [94] 10.3.1 [113] 8.6.2 [86] 3.9.1 3.9.1 3.9.1 3.9.1 JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page ii JOHN WAYNE AIRPORT ORANGE COUNTY (SNA) PHASE 2 COMMERCIAL AIRLINE ACCESS PLAN AND REGULATION (OCTOBER 1, 1990 -DECEMBER 31, 2030) INDEX INDEX Note: This index is not intended to be a complete index to the terms and provisions of the PHASE 2 ACCESS PLAN. Rather, it is offered as a convenience to the reader. Use of this index is not a substitute for familiarity with, and reference to, the full text and requirements of the PHASE 2 ACCESS PLAN. Page(s) ADD(s).............................................................. 1-4,1-5, 1-6,2-1, 2-3, 2-4-6,2-4,2-11, - 2-15, 2-17,2-18, 2-19,3-1-8, 3-11-15, 3-21-27, 3-30-32, 3-34-36, 4-1, 4-6, 4-8, 5-3, 6-1-5, 7-1-9, 8-1, 8-5-8, 8-11, 8-13, 8-17, 8-18, 8-19, 8-21, 8-23, 8-24, 8-28, 11-3 Affiliate .................................................. 2-2, 2-4, 3-13, 3-15, 3-16, 3-31, 3-33, 3-36, 4-7, 5-10, 5-11, 8-3-5, 8-16, 8-27, 8-28 Affiliate(d) Group...................................................................................................................................................2-3, 8-4, 8-5 AffiliateRelationship.............................................................................................................................................. 2-2, 8-4, 8-5 AffiliatedCarriers............................................................................................................................................2-2, 2-3, 8-3, 8-4 Air Carrier(s)............................................................... 1-2, 1-4, 2-1, 2-2, 2-3, 2-8-11, 2-17, 2-19, 3-1, 3-3-21, 3-22-36, 4-2-4, 4-6, 4-7, 5-1-10, 6-2-4, 7-1, 7-2-9, 8-1-6, 8-8-10, 8-12-15, 8-17-21, 8-26, 8-28, 10-2, 11-1, 11-3 Airport Commission............................................................................................................1-3, 2-3, 4-3, 5-11, 7-7, 8-1, 9-4-13 Airport Director.............................1-5, 1-8, 2-1, 2-3, 2-8, 2-9, 2-11, 2-12, 2-15, Q-4-8-2-19, - 3-4, 3-6, 3-9-21, 3-23-34, 3-36, 4-1-6, 4-8, 5-1-11, 6-1, 6-2, 6-4-6, 7-1, 7-4-8, 8-3-5, 8-7-21, 8-22, 8-26-27, 9-1, 9-2, 9-4-7, 9-8-14, 10-1, 10-3, 11-1-3 Allocated Seat Capacity..................................................................2-3, 2-20, 3-2, 3-7-9, 3-11, 3-14, 3-16, 3-27, 7-8, 8-5, 8-8 Appendix F-1..................................................................................................................................3-14, 3-27, 3-28, 3-29, 8-15 AppendixF-2............................................................................................................................................................. 3-29,8-15 AppendixF-3............................................................................................................................................................. 3-15,8-16 AppendixF-4...................................................................................................................................................... 3-9, 3-10, 8-15 AppendixF-5............................................................................................................................................................... 3-6,8-16 AppendixF-6.......................................................................................................................................................................3-11 AppendixF-7................................................................................................................................................... 3-18, 3-19, 8-15 AppendixF-8............................................................................................................................................................. 3-20,8-16 AppendixF-9.............................................................................................................................................3-28, 3-29, 6-6, 8-15 AppendixF-10........................................................................................................................................................... 3-29,8-15 AppendixF-11.....................................................................................................................................................................8-15 AppendixF-11(S)................................................................................................................................................. 4-2, 4-3, 8-16 AppendixF-12(S)........................................................................................................................................................ 4-4,8-16 AppendixF-13(S)........................................................................................................................................................ 4-5,8-16 AppendixF-14.................................................................................................................................................... 3-34, 5-2, 8-16 AppendixF-15............................................................................................................................................................. 5-3,8-15 AppendixF-16..................................................................................................................................................... 5-7, 5-9, 8-16 AppendixF-17............................................................................................................................................................. 8-5,8-15 AppendixF-18............................................................................................................................................................. 8-9,8-16 AppendixF-19.................................................................................................................................................... 6-6, 8-15, 8-26 AppendixF-20........................................................................................................................................................... 8-16, 10-1 AppendixF-21.................................................................................................................................................. 3-31, 3-34, 8-16 AppendixF-22........................................................................................................................................................... 3-32,8-16 Associated Operating Group(s)...........................................................2-3, 2-4, 3-12, 3-13, 3-21, 3-30-36, 8-3, 8-4, 8-16, 8-28 JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page i INDEX (Continued) Page(s) Authorized Departure(s).............................................................1-4, 1-6, 2-1, 2-4, 2-18, 3-3, 3-5, 3-7, 3-14, 3-22, 3-24, 3-25, 3-32, 4-1-3, 4-7, 4-8, 6-2, 7-3-5, 7-8, 8-1, 8-5, 8-6, 8-8, 8-18, 8-19, 8-21, 8-28 Board of Supervisors ....................................................................... p 1-1-7, , 2-2-4 2-6 , 2-10 , 2-15-20, 3-1-5, 3-7, 3-9, 3-11-19, 3-21-26, 3-30, 3-33, 3-36, 3-37, 4-1-7, 5-4, 6-1-3, 6-4-6, 7-2, 7-4-8, 8-1-4, 8-6, 8-8, 8-13, 8-16, 8-18, 8-19, 8-24, 8-27, 8-28, 9-7, 9-10-14, 10-1-4, 11-2 Class A ADD(s)...................................... 2-4, 2-6, 2-18, 2-19, 3-1, 3-3, 3-4, 3-6, 3-11, 3-13, 3-15, 3-22-25, 7-5, 7-6, 7-8, 7-9 Class A Aircraft.............................................................................................. 2-4-6, 3-23, 3-25, 3-26, 3-36, 4-1, 4-3, 6-1, 6-5, 7-2, 7-5, 7-6, 7-7, 8-2, -6, 8-8, 10-2-4 ClassA Departure(s)............................................................................................................................................................. 2-4 Class E ADD(s).........................................................................................2-1, 2-5, 2-18, 2-19, 3-1, 3-2, 3-4-5, 3-11, 3-13-15, 3-21, 3-24, 3-36, 5-3, 6-1, 6-3-5, 7-1, 7-5 Class E Aircraft.............................................................2-4-6, 2-7, 2-9, 2-10, 3-5, 3-10, 3-13-16, 4-2, 4-7, 5-10, 7-1, 8-1, 8-2, 8-11, 10-1, 10-3 Class E Departure(s)....................................................................2-1, 2-4, 2-5, 3-10, 3-13, 3-15, 3-16, 3-32, 4-1, 4-6, 4-7, 6-1 Commercial Air Carrier(s)..............................................................1-2, 1-4, 2-1, 2-2, 2-8, -2-17, = 3-1, 3-3, 3-5, 3-24, 3-25, 3-27, 3-30, 4-4, 7-4, 7-5, 7-6, 8-1, 8-10, 8-17-20, 11-1 Commercial Cargo.............................................................................................2-8, 2-10, -2-7-, 3-22, 3-23, 3-24, 7-4, 8-1 Commercial Cargo Air Carrier(s).............................................................................................................................. 3-23,3-24 Commercial Cargo Carrier(s)...........................................................................2-8, 2-9, 2-11, 2-12, 2-15, 2-17, 2-18, 3-3, 3-4, 3-21-26, 7-4, 8-12, 8-13, 8-24 Commercial Cargo Operations....................................................................................................................................... 3-22-25 Commercial Passenger(s)............................................................moo, 2-9, 2-12, 2-14, 2-20, 3-22, 3-23, 4-1, 6-1, 7-4, 8-1, 8-6 Commuter Air Carrier(s)............................................................ 1-4, 2-2, 2-8-10, 2-17, 3-16-20, 3-27, 4-7, 7-5, 7-6, 8-2, 11-1 Commuter Cargo Carrier(s)......................................................................................................... 2-8, 2-10, 2-17, 3-4, 3-23-24 Commuter Carrier(s)...........................................................................................2-3, 2-8, 2-9, 2-11, 2-14, 2-17, 2-19, 3-15-21, 3-27-31, 3-33, 3-35, 4-4-7, 5-1, 5-6-11, 6-2, 6-5, 7-1-3, 7-8, 8-1-6, 8-9-13, 8-15, 8-17, 8-19-22, 8-26, 8-28 Commuter Passenger Capacity................................................................................................................1-6, 2-14, 3-17-19, 4-1 County..........................................................................1-1-8, 2-2-4, 2-6-13, 2-15-20, 3-1-7, 3-9, 3-11-27, 3-27, 3-30, 3-31, 4-1-7, 5-1, 5-4, 5-6, 5-9-11, 6-1-5, 7-1-8, 7-9, 8-1-8, 8-10-13, 8-16, 8-21, 8-23, 8-24, 8-26-28, 9-1-5, 9-7-10, 9-12-14, 10-2-4, 11-1-3 CriterionMonitoring Stations............................................................................................................................... 2-5, dBSENEL............................................................................................................................................................ 2-5, 2-7, 2-11 Federal Aviation Administration...............................................................................................................1-2, 2-3, 2-6, 2-7, 2-9 GroundService Equipment........................................................................................................................................ 2-11,3-25 GroundStorage Equipment................................................................................................................................................. 2-11 John Wayne Airport ............................................................................................................... 1-1, 1-5, 2-3, -2-1-1-, 3-2, 3-21 JWA...............................................................................1-1, 1-3-7, 2-1, 2-3, 2-5 '� 2; !;!-20, 3-4, 3-5, 3-7-10, 3-12, 3-14-18, 3-22-31, 3-33, 4-1, 4-2, 5-1, 5-2-4, 5-6, 5-7, 5-9-11, 6-1-3, 7-1-7, 7-9, 8-1-7, 8-10, 8-11, 8-13, 8-20-23, 8-26, 9-1, 9-10, 10-1-4, 11-1-2 MAP Limitation............................................................................................. 1-5, 2-12, - 3-7, 3-9, 3-17, 4-1, 4-8, 6-1, 6-2 Maximum Permitted Gross Takeoff Weight............................................................................ 2-5, 2-6, 2-13, 3-15, 8-11, 10-3 Maximum Permitted Ground Operations Weight..................................................................................2- 3 , 5-2, 5-7, 8-11 Noise Compliance Period(s)......................................................................................................... 2-4-6, 2-13, 8-11, 8-22, 10-4 Noise Monitoring Station(s)...........................................................................................2-5-8, 4 -WW, 2-4414-16, 3-2, 10-3 JOHN WAYNE AIRPORT (As Amended Through "October 1, 2015) PHASE 2 ACCESS PLAN Page ii INDEX (Continued) Page(s) Passenger Capacity..............................................................................1-6, 2-14, 3-16, 3-17, 3-19, 3-20, 3-21, 4-5-8, 6-2, 6-5, 7-1, 7-2, 8-6, 8-7, 8-9, 8-27, 8-28 Passenger Capacity Allocation(s).................................................................1-4, 2-14, 3-16-21, 3-27, 4-4, 4-5, 5-8, 7-1-3, 7-8, 8-2, 8-5, 8-6, 8-9, 8-11, 8-19, 11-3 Passenger Seats......................................................................... 2-3, 2-8, 2-10, - 2-20, 3-7, 3-11, 3-15, 3-16, 7-4, 7-5, 7-9 Permitted Cargo Operations Hours................................................................................................ 2-14, 3-25, 8-12, 8-23, 8-24 Permitted Commercial Operations Hours............................................................................................... 2-15, 8-12, 8-13, 8-22 Plan.............................................................................................1-1-8, 2-1-2, �, 2-4, 2-8, n 9 1�, 9 1C, � 19, 3-1-7, 3-11-37, 4-1, 4-3, 4-4, 4-7, 5-1, 5-6, 5-9, 6-1, 6-2-5, 7-1, 7-2, 7-4, 7-5, 7-8, 8-1-7, 8-10, 8-13-27, 9-1, 9-2, 9-7, 9-11, 9-12, 10-1, 11-1-3 Plan Year(s).................................................. 2-1-3, 2-12-,-g-14, 2-16, -, 4-1-8-, 2-20, 3-4, 3-6-11, 3-14, 3-15, 3-17-20, 3-24-26, 3-32-35, 4-1-5, 4-7, 4-8, 5-1-10, 6-1, 6-2, 6-4, 6-5, 8-2, 8-4-10, 8-17-20, Qualified Air Carrier(s).............................................................2-3, 2-11, 2-17, 2-19, 3-1, 3-6, 3-7, 3-9-15, 3-27-29-34, 4-2-4 4-6, 4-7, 5-1-3, 5-5, 5-6, 6-3-4, 7-1-3, 8-1, 8-4-6, 8-8 8-9, 8-15, 8-20, 8-26, 11-1, 11-3 Qualified Commercial Air Carrier(s)...................................................................................................................................11-1 Qualified Commercial Cargo Carrier(s)...............................................................................................................................2-11 Qualified Commercial Cargo Operator(s)............................................................................................................................3-26 Qualified Commuter Air Carrier(s)......................................................................................................................................11-1 Qualified Commuter Carrier(s).....................................................2-11, 2-14, 2-17, 2-19, 3-15-19, 3-27, 3-28-31, 3-33, 4-4-7, 5-6-9, 6-2, 6-5, 7-1-3, 7-8, 8-1, 8-3-6, 8-9, 8-15, 8-20, 8-21, 8-26, 11-1, 11-3 Qualified Commuter Carrier Affiliate(s)................................................................................................................................4-7 Regular ADD(s).................................................................. 2-4, 2-17, 3-1, 3-2, 3-6, 3-8, 3-12, 3-27, 3-31, 3-32, 3-34-36, 4-6, 6-3, 6-4, 7-1-5, 7-8, 8-8, 8-18, 8-19, 8-21, 8-28 Regularly Scheduled Air Service.................................................................... 1-6, 2-8, -2-411, 2-17, 3-5, 3-14, 3-22-24, 7-4, 8-1-5, 8-7, 10-1-3, 11-2 Regularly Scheduled Commercial User(s)................................................... 1-5, 1-6, 2-12, 2-17, 2-18, k -M, 3-27, 3-30, 3-33, 6-1, 6-2, 6-6, 7-1-3, 8-1, 8-4, 10-1 Regulated ADD(s)........................................................................................................................ 2-18, 6-2-5, 7-4, 7-6, 7-7, 7-9 Regulated ADD Limitation(s)......................................................................................................... 1-5, 2-18, 4-1, 4-8, 6-1, 6-2 RON...................................................................................................................... 1-4, 2-19, 3-31, 3-33-35, 5-1-10, 7-2-4, 8-5, 8-10, 8-17, 8-23, 8-25, 8-28, 11-3 Scheduled Departure Time(s)...........................................................................................................44- 27q, 8-10, 8-13, 8-17 Seat Block(s)..................................................................................................................................... 2-20, 3-2, 3-36, 6-2-4, 7-9 Seat Capacity......................................................................................................... 1-4, 1-6, 2-3, 2-20, 3-1, 3-6-12, 3-15, 3-27, 3-32, 3-36, 4-1, 4-3, 4-4, 4-7, 4-8, 6-3, 6-4, 7-1-5, 7-8, 7-9, 8-5-8, 8-17, 8-28 SENEL.......................................................................................................................................... 2-5-7, 2-11, 8-11, 10-3, 10-4 SupplementalADD(s)................................................................................................................................................3-32, 8-28 Supplemental Allocation Period(s)........................................................................................................................... 2-20,4-1-7 (As Amended Through dA31October 1, 2015) JOHN WAYNE AIRPORT Page iii PHASE 2 ACCESS PLAN