[Federal Register Volume 61, Number 2 (Wednesday, January 3, 1996)]
[Notices]
[Pages 214-223]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-69]



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DEPARTMENT OF TRANSPORTATION
Office of the Secretary


Transportation Marketplace Conferences and Seminars Announcement 
of Request for Proposals

AGENCY: Office of Small and Disadvantaged Business Utilization 
(O.S.D.B.U.), Department of Transportation.

ACTION: Notice of Request for Proposals (RFP).

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SUMMARY: The Department of Transportation's Office of Small and 
Disadvantaged Business Utilization (O.S.D.B.U.) is responsible for the 
Department's implementation and execution of the functions and duties 
under sections eight (8) and fifteen (15) of the Small Business Act (15 
U.S.C. 637) for developing policies and procedures consistent with 
Federal statutes to provide policy direction for small, minority, 
women-owned, and small disadvantaged business (S/DBE) participation in 
the Department's procurement and Federal financial assistance 
activities. The office is also responsible for assisting small, 
minority, women-owned and small disadvantaged businesses to participate 
in opportunities of the Department by establishing Transportation 
Marketplace Conferences and Seminars (TMC'S) at which DOT contract 
opportunities are advertised, relevant DOT information and materials 
are disseminated and workshops are available on bonding, lending, 
procurement, marketing, and business management are conducted by staff 
and outside experts. The Secretary of Transportation has encouraged DOT 
operating administrations to attend these conferences as his 
representative(s) and to provide opportunities for small entrepreneurs 
to participate fully in all DOT-funded procurements and DOT assisted 
programs. This request solicits competitive proposals from diverse 
organizations that can serve as OSDBU's Conference Cooordinator for 
OSDBU's Transportation Marketplace Conferences and Seminars. Eligible 
applicants must be registered with the Internal Revenue Service (IRS) 
as tax-exempt organizations classified under the IRS Code as a 501(c)6 
trade association. OSDBU will enter into a Cooperative Agreement with 
one organization to provide conference coordination services between 
the DOT, its grantees, recipients, contractors, subcontractors, and 
small, minority, women-owned and disadvantaged business enterprises. 
This Announcement of Request for Proposal (RFP) contains information 

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concerning: (1) The principal objectives of the competition, eligible 
applicants, activities and factors for award; (2) the application 
process, including how to apply and the criteria used for selection; 
and (3) a checklist of application submission requirements.

FOR GENERAL AND SPECIFIC INFORMATION CONTACT: Mr. Arthur Jackson , 
Office of Small and Disadvantaged Business Utilization, U.S. Department 
of Transportation, 400 7th Street SW, Room 9410, Washington, DC, 20590, 
Tel. 202-366-2852 or 800-532-1169.

SEND PROPOSALS TO: Mr. Arthur D. Jackson, Office of Small and 
Disadvantaged Business Utilization (S-40), U.S. Department of 
Transportation, 400 7th Street, S.W., Room 9410, Washington, D.C. 
20590.

DATES: Proposals must be received at the above location by February 
2nd, 1996, 4:00 p.m., Eastern Standard Time. Proposals received after 
the deadline will be considered non-responsive and not reviewed. DOT 
plans to give notice of awards on all applications by March 4th, 1996.

    Dated: December 21, 1995.
Joseph A. Capuano,
Associate Director, Office of Small and Disadvantaged Business 
Utilization.

Table of Contents

1. Introduction
    1.1  Background
    1.2  Program Description and Goals
    1.3  Description of Competition
    1.4  Duration of Agreements
    1.5  Authority
    1.6  Eligibility Requirements
2. Program Requirements
    2.1  Recipient Responsibilities
    2.2  Work Requirements
    2.3  Office of Small and Disadvantaged Business Utilization 
Responsibilities
3. Submission of Proposals
    3.1  Content and Format for Proposals
    3.2  Address, Number of Copies, Deadline for Submission
4. Selection Criteria
    4.1  General Criteria
    4.2  Scoring of Applications Application Form for Proposals--
Appendix A Attachments

SUPPLEMENTARY INFORMATION:

1. Introduction

1.1 Background

    The United States Department of Transportation (DOT) established 
the Office of Small and Disadvantaged Business Utilization (OSDBU) in 
accordance with Public Law 95-507, an amendment to the Small Business 
Act and the Small Business Investment Act of 1958. The OSDBU 
administers the Department's Small and Disadvantaged Business 
Enterprise (DBE) Program which is designed to ensure that small 
businesses, including small disadvantaged and minority firms, have an 
equitable opportunity to participate in DOT's procurement and Federal 
financial assistance programs and that they receive a fair share of the 
resulting contract awards. Because DOT's policy is to encourage and 
increase DBE participation in the contracts and programs that it funds, 
during FY 1994, DBEs received over $2.6 billion or 14.4 percent of 
highway, transit, air and rail contracts from DOT-assisted State and 
local transportation agencies.
    OSDBU developes Department wide policy and administers a number of 
programs and activities to implement the OSDBU's Congressional mandate 
of increasing the level of participation of SDBs in the Federal 
financial assistance and direct contracting programs of all modal 
administrations of DOT. OSDBU is responsible for the development and 
implementation of an effective program of activities directed at 
ensuring SBE participation in the Department's direct procurement and 
Federal financial assistance activities.
    OSDBU monitors all DOT procurement activities that involve the 
participation of DBEs, including the goal settings and procurement 
practices of DOT financial assistance recipients, namely, State and 
local transportation agencies. OSDBU also serves an important function 
in assisting firms in their marketing of the Department and all of its 
operating administrations. OSDBU is also responsible for developing and 
administering programs to encourage, stimulate, promote and assist SDBs 
to obtain and manage transportation-related contracts, subcontracts and 
projects. The OSDBU administers the Short Term Lending Program (STLP) 
and the Bonding Assistance Program (BAP), two financial assistance 
efforts which provide assistance in obtaining short-term working 
capital and surety bonding for DBEs. Under the STLP, lines of credit up 
to $500,000 are available at prime interest rates to finance accounts 
receivable for transportation-related contracts. The Bonding Assistance 
Program enables DBEs to apply for bid, performance and payment bonds on 
contracts up to $1,000,000.

1.2 Program Description and Goals

    OSDBU has focused considerable time and resources to increasing 
SDBE access to DOT financial assistance programs and contracting 
opportunities through the use of Transportation Marketplace Conferences 
and Seminars. This effort is accomplished through the use of a 
Cooperative Agreement with a Minority Trade Association to provide 
liaison services between DOT, its grantees, recipients, contractors, 
subcontractors small and disadvantaged business enterprises. The 
Agreement includes activities such as the identification of local and 
regional officials who work directly with small businesses, information 
dissemination, outreach services to the small business community (such 
as SBDCs, State DOTs, etc), conference and seminar preparation and 
logistical planning with hotels and other conference sites. In 
addition, the trade association and/or Chamber of Commerce provides for 
the advertisement of each conference/seminar in monthly or quarterly 
newsletters of local organizations and provides for a follow-up 
evaluation of each conference subsequent to the completion of the DOT 
sponsored event.
    The Transportation Marketplace includes the participation of other 
Federal, state and local agencies and private contractors seeking the 
involvement of small and minority firms in public and/or private 
solicitations. The Transportation Marketplace provides for a plenary 
session comprised of major dignitaries offering brief remarks, followed 
by a ``business fair'' where buyers and sellers of goods and services 
open lines of communications and match opportunities with a firm's 
capabilities.
    Also, during the Marketplace Conferences, information is 
disseminated and distribution of DOT materials is provided to 
attendees, such as; DOT Bonding Assistance Program Brochures; DOT 
Bonding Assistance Fact Sheets; DOT Short-Term Lending Program 
Brochures; DOT Short-Term Lending Fact Sheets; Procurement Forecasts; 
DOT Small Business Subcontracting Opportunities Directory; Contracting 
with the United States Department of Transportation Booklets; DOT 
Bonding Assistance Program Applications; and DOT Short-Term Lending 
Program Applications. A compilation of these materials is available in 
the DOT's Marketing Information Package, a comprehensive document which 
serves as a resource and reference tool. The Transportation Marketplace 
Conferences were established by the OSDBU in October 1992 to provide a 
mechanism for the small, minority and women business communities to 
have current information from National DOT regarding contract 
opportunities being advertised and awarded by the DOT 10 modal 
administrations. Also, the Conferences were seen as an opportunity for 
small firms to have direct contact with staff from OSDBU, 

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the Secretary's representatives, the DBE Liaison Officers and 
contracting officers from the Department. Because of the expense of 
traveling to Washington, D.C. to market their products, many SDBs were 
financially unable to spend quality time in the national offices of 
DOT. The Marketplace Conferences provide information relative to all 
modes of transportation and to potential contract possibilities. Also, 
the OSDBU's Minority Business Resource Center's regulations require 
that this office work with Trade Associations and/or Chambers of 
Commerce to serve our constituency. The goal is accomplished by the 
OSDBU working closely with Chambers of Commerce and trade associations 
to:
    (1) Establish a communications link between DOT, its grantees, 
recipients, contractors, subcontractors and the small and disadvantaged 
business community.
    (2) Increase awareness of DOT contracting opportunities and 
financial assistance programs by disseminating DOT marketing materials 
and relevant information at selected conferences, seminars and 
marketplace events.
    (3) Identify local and regional official who work directly with 
small businesses and ensure their attendance and participation at the 
Marketplace Conferences which reinforces their commitment to the small, 
minority and women business community for potential contracting 
opportunities.
    (4) Increase awareness of programs by providing DOT representation 
at selected conferences, seminars and marketplace events and by 
providing DOT ads and articles in organizations' newsletters.
    (5) Develop and maintain databases of transportation-related DBEs 
as potential participants in DOT procurement and/or financial 
assistance programs that register and attend the Transportation 
Marketplace Conferences.
    (6) Have responsibility for logistics involved in each conference, 
including hotel arrangements and securing facilities replete with 
sizeable rooms and quality sound systems.
    (7) Complete a Customer-Service follow-up activity after each 
conference in order to receive feed-back from participants after 
session has ended.

1.3 Description of Competition

    The purpose of this RFP is to solicit proposals from eligible 
Chambers of Commerce and trade associations for consideration as the 
Coordinator for DOT's Transportation Marketplace Conferences and 
Seminars. This effort shall enable the OSDBU to increase the number of 
small, minority and women businesses that enter into transportation-
related contracts, and provide small firms with procurement information 
and access to the DOT Short Term Lending and Bonding Assistance 
Programs.
    In order to have regular dialogue and direct contact with the 
Conference Coordinator, the selected organization must by headquartered 
geographically within the Washington, D.C./Baltimore, MD metropolitan 
area. Any personnel assigned to the project must be housed within the 
organization's headquarters and/or should not be over 60 miles one-way 
in commuting distance.

1.4 Duration of Agreement

    The Cooperative Agreement will be awarded for a period of 12 months 
(one year) with a one year renewable option. Subsequent funding will be 
contingent upon satisfactory performance and the availability of funds 
in subsequent fiscal years.

1.5 Authority

    DOT is authorized under 49 U.S.C. 322 (P.L. 97-449), to provide 
conferences and seminars OSDBU utilizes Cooperative Agreements with 
Trade Associations and Chambers of Commerce as its mechanism to deliver 
services to small businesses and DBEs in order to partake of 
transportation-related contracts.

1.6 Eligibility Requirements

    An eligible applicant organization will be:
    An established, non-profit, Chamber of Commerce or trade 
association which has the documented experience and capacity necessary 
to successfully operate and administer and coordinate Transportation 
Marketplace Conferences and Seminars nationally with minimum 
supervision from the OSDBU. In addition, to be eligible, a Chamber of 
Commerce or trade association must:
    (a) Be an established 501 C(6) tax-exempt organization (provide 
documentation as verification);
    (b) Have at least two years of documented and continuous experience 
prior to the date of application in providing conference and seminar 
planning, setting up exhibits for marketplaces or trade fairs, 
management and marketing assistance services and referral to technical 
assistance agencies of DBEs within the LOSP regional service area in 
which proposed services will be provided.
    (c) Have an office physically located within the Washington, D.C./
Baltimore metropolitan service area; and

2. Program Requirements

    In conducting the activities to achieve the goals of the 
Transportation Marketplace Conferences and Seminars, the recipient 
shall be responsible for implementing the activities under 2.1 and 2.2 
below. The OSDBU shall be responsible for conducting activities under 
2.3.

2.1 Recipient Responsibilities

    1. Each participant shall:
    (a) Establish a toll free telephone line to be made available to 
small business interested in securing information regarding 
Transportation Marketplace Conferences in their areas and how they can 
participate in various workshops and seminars on procurement, 
certification, bonding and lending program.
    (b) Identify hotels and other facilities where the conferences/
seminars will be held and provide costs associated with these events.
    (c) Whenever and wherever possible, the Contractor shall retain the 
services of local small, minority or women-owned businesses or non-
profit organizations to assist with local in-put and involvement to 
make the events more acceptable to the general community. The local 
representative should have credibility with the community and have 
demonstrated expertise in working with conferences.
    (d) Identify and contact individual businesses and business 
representative groups in the area and vicinity utilizing mailing lists 
provided by OSDBU's National Information Clearinghouse (NIC) as well as 
the Contractor's own mailing list.
    (e) Coordinate with hotel management to insure that all 
arrangements for conferences are completed (block of guest rooms, 
conference rooms, etc).
    (f) Handle set up and break-down of DOT OSDBU exhibit booths; 
handle details for planned luncheons; and assemble conference materials 
and brochures using information supplied by DOT/OSDBU.
    (g) Idenfity Federal, State and local transportation and other 
agencies, in consultation with OSDBU, to be invited to participate in 
each conference. Also prepare tentative and final conference agendas 
and prepare all letters for the OSDBU Director's signature, inviting 
agencies and individuals to participate.
    (h) Make follow-up phone calls with top agency officials to confirm 
their participation.
    (i) Secure media, both print and broadcast, regarding the 
conferences and provide for a photographer throughout the entire 
conference 

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shedule. Advertisements should be published in local newspapers and in 
minority periodicals no later than two (2) weeks prior to the scheduled 
date.
    (j) Set up registration, both pre and at the door, and prepare 
identification badges and distribut informational kits provided by DOT/
OSDBU.
    (k) Make a survey of the proposed conference site and the 
surrounding metropolitan area to ensure that there are no major small 
or minority or women business conferences being held that would 
conflict with the scheduled OSDBU conference.
    (l) Provide a weekly status report on the conference preparations 
and submit two (2) copies of a final report and one version on diskette 
in MS word or compatible format for WINDOWS on each conference no later 
than 30 days after the conference. The report should include, but not 
limited to, specific procedures utilized to implement the conference, a 
complete listing of participants, recommendations regarding 
improvements, and results from conference evaluations completed by 
participants.
    (m) Develop and implement an on-going evaluation plan for 
activities under the Cooperative Agreement that will provide 
qualitative and quantative data for effective monitoring the program.
    (n) Furnish all labor, facilities and equipment to perform the 
services described in this announcement.

2.2 Office of Small and Disadvantaged Business Utilization (OSDBU) 
Responsibilities

    The OSDBU shall perform the following roles as its contribution to 
the attainment of Program objectives:
    1. Provide orientation and training to applicant awarded funding 
for participation in the Transportation Marketplace Conference and 
Seminar project.
    2. Monitor performance of successful applicant's activities and 
program compliance.
    3. Provide for DOT materials and other information to be 
disseminated to small, minority and women-owned businesses that 
participate in one or more of the Transportation Marketplace 
Conferences.
    4. Facilitate the exchange and transfer of successful conference 
activities and program information among Federal, state, local and 
private business officials.

3. Submission of Proposals

3.1 Content and Format for Proposals

    Each proposal submitted to DOT must be in the format and must 
contain the information set forth in the application form attached as 
Appendix A to this announcement.

3.2 Address; Number of Copies; Deadlines for Submission

    Any eligible organization (as defined in Section 1.6 of this 
announcement) shall submit only one proposal for consideration by DOT.
    As specified in Appendix A, applications should be double spaced, 
and printed in a font size not smaller than 12 points. One unbound copy 
of the proposal with original signatures suitable for reproduction, 
plus five bound copies, should be submitted. All pages should be 
numbered at the top of each page. ALL DOCUMENTS, ATTACHMENTS, OR OTHER 
INFORMATION PERTINENT TO THE APPLICATION MUST BE INCLUDED IN A SINGLE 
SUBMISSION, NOT TO EXCEED 35 PAGES.
    Proposals should be submitted to: Arthur D. Jackson, Office of 
Small and Disadvantaged, Business Utilization, S-40, Department of 
Transportation, 400 7th Street, S.W., Room 9410, Washington, D.C. 
20590.
    Proposals must be received by DOT/OSDBU no later than February 2, 
1996, 4:00 p.m., EST.

4. Selection Criteria

4.1 General Criteria

    DOT will use the following criteria to rate and rank applications 
received in response to this announcement. Applications will be 
evaluated on a point system (maximum number of points = 100). The 
following five (5) maximum weighted categories will constitute DOT's 
selection criteria:
    A. Approach (20 points)
    B. Linkages (15 points)
    C. Organizational Capability (20 points)
    D. Staff Capabilities and Experience (30 points)
    E. Costs (15 points)

1. Approach (20 points)

    The application must describe the activities proposed to be 
implemented under the cooperative agreement and how the work will be 
accomplished throughout the year. Present a well-constructed plan of 
action. DOT will consider the extent to which the proposed objectives 
are specific, measurable, time-phased, consistent with OSDBU goals and 
the proposed activities are consistent with the applicant 
organization's overall mission. DOT will give priority consideration to 
applicants that demonstrate innovation and creativity of approach in 
increasing the ability of small, minority and women businesses to 
access information on DOT contracting opportunities and financial 
assistance programs as a result of the Transportation Marketplace 
Conference and Seminars. DOT will also rate the quality of the 
applicant's plan for conducting program activities and the likelihood 
that the proposed methods will be successful in achieving proposed 
objectives.

2. Linkages (15 points)

    DOT will consider innovative aspects of the applicant's approach 
which build upon the applicant's strength(s) and facilitate and 
encourage linkages to existing resources available within the 
geographical area for the Transportation Marketplace Conferences. The 
applicant should describe support and intended collaboration on 
conference activities from DOT grantees, prime contractors, 
subcontractors, State DOTs, State highway supportive services 
contractors, SBDCs, MBDCs. In areas where colleges and universities 
such as; Historically black Colleges and Universities (HBCUs), Hispanic 
Association of Colleges and Universities' affiliations (HACUs) and 
Tribal-Affiliated Colleges and Universities (TACUs) are located, 
linkages should be established with these entities. DOT will also rate 
the effectiveness of the applicant's strategy to outreach to a 
substantial number of small businesses that can participate in DOT 
conferences. In rating this factor, DOT will consider the extent to 
which the applicant demonstrates ability to effectively access small 
and minority business networks that produce a broad and diverse range 
of small firms that can benefit from a transportation-related 
conference and/or seminar.

B. Organizational Capability (20 Points)

    The applicant organization must have outreach resources and 
relevant experience in carrying out the purposes of the Transportation 
Marketplace Conferences and Seminars. In rating this factor, DOT will 
consider the extent to which the applicant's organization has recent, 
relevant and successful experience in coordinating and managing a 
transportation-related conference(s) and/or seminar for small, minority 
and women-owned business, either locally or nationally. The applicant 
must also describe technical and administrative resources it plans to 
use in achieving proposed objectives (i.e., computer facilities, 
voluntary staff time, space and financial resources). 

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C. Staff Capability and Experience (30 Points)

    The applicant organization should provide a list of proposed 
personnel for the project with salaries, educational levels and 
previous experience delineated. The applicant's project team must be 
well-qualified and knowledgeable (ensuring diversity) which shows 
evidence of the ability to deal effectively with the broad range of 
small and small DBE clients to be served. Resumes must be submitted for 
all proposed key personnel, outside consultants and subcontractors. 
Experience of key personnel in providing services similar in scope and 
nature to the proposed effort must be presented in detail. The Project 
Director will serve as the responsible individual for the project. He/
she must be designated in the proposal and his/her resume must reflect 
appropriate knowledge of the industry and must have supervisory 
experience. DOT will consider the extent to which (a) the applicant's 
proposed management plan clearly delineates staff responsibilities and 
accountability for all work required and presents a work plan with a 
clear and feasible schedule for conducting all project tasks.

D. Cost (15 Points)

    The budget is the applicant's estimate of the total cost of 
establishing and administering its participation in the Transportation 
Marketplace Conferences and Seminars. At this time, the OSDBU has not 
finalized its location for conferences during 1996, however it is 
anticipated that a total of four (4) will be held during the year. The 
tentative locations are New Orleans, San Francisco, North Carolina and 
Minneapolis. The applicant's budget should reflect direct costs since 
the conference locations are subject to change for support of 
personnel. However costs directly related to each conference, i.e. 
costs of hotel facilities, travel and per diem, will be added to the 
agreement on a cost incurred basis and should not be included as part 
of the applicant's proposal. Applicants are encouraged to provide in-
kind costs and other innovative cost approaches.

4.2 Scoring of Applications

    A review panel will score each application based upon the 
evaluation criteria listed above. Points will be given for each 
evaluation criteria category not to exceed the maximum number of points 
allowed for each category. Applications which are not responsive to the 
established criteria above will be disqualified.

Appendix A--Application Form for Proposals for the Department of 
Transportation; Transportation Marketplace Conferences and Seminars

    Proposals for the DOT Transportation Marketplace Conferences and 
Seminars should contain all of the following information and should be 
submitted in the following format.
    Applications should be double spaced and printed in a font size not 
smaller than 12 points. One unbound copy of the proposal with original 
signatures suitable for reproduction, plus five bound copies, should be 
submitted. Applications, including attachments, will be limited to 35 
pages. All pages should be numbered at the top of each page. All 
documentation, attachments, or other information pertinent to the 
application should be included in a single submission, forwarded 
directly to the address listed below. Proposals should be submitted to: 
Arthur D. Jackson, Office of Small and Disadvantaged Business 
Utilization, Department of Transportation, 400 7th Street, S.W., Room 
9410, Washington, D.C. 20590.
    Proposals Must Be Received by DOT/OSDBU No Later Than February 2, 
1996, 4:00 P.M. EST.
    All applications must contain the following sections in the 
following order.

1. Table of Contents
--Identify all parts, sections and attachments of the application.

2. Application Summary Page
--Provide a one page overview of the following:
--The applicant's proposed activities including key elements of the 
plan of action/methodology to achieve project objectives.
--The applicant's relevant organizational experience and capabilities.

3. Understanding of the Work
--Provide a narrative which contains specific project information as 
follows:
--The applicant will describe its understanding of the goals for the 
Transportation Marketplace Conferences and Seminars and the role of the 
applicant's proposal in advancing the applicant's goals.

4. Approach/Methodology
--Describe the applicant's methodology or plan of action for conducting 
the project in terms of the tasks to be performed.
--Describe the specific services or activities to be performed and how 
these services/activities will be implemented.
--Describe innovative and/or creative approaches to be implemented to 
increase the ability of small , and small DBES to access information on 
DOT contracting opportunities and financial assistance programs.

5. Linkages
--Describe or indicate evidence of linkages or collaborations developed 
or to be developed with State DOTs, DOT grantees, DOT prime 
contractors, Chambers of Commerce as well as trade associations and 
technical assistance agencies including DOT/FHWA supportive services 
contractors, MBDCs and SBDCs and minority institutions including HBCUs, 
HACUs and TACUs.

6. Organizational Capabilities
--Describe recent, relevant and successful experience in coordinating 
and managing a transportation-related conference(s) and/or seminar for 
small, minority and women businesses either locally or nationally.
--Describe technical and administrative resources it plans to use in 
achieving proposed objectives (i.e. computer facilities, voluntary 
staff time, space and financial resources).

7. Staff Capabilities
--Describe the qualifications and relevant experience, in relation to 
project requirements, of the key personnel to be used in the project.

8. Management Plan
--Describe how personnel are to be organized in the project and how 
they will be used to accomplish project objectives. Outline staff 
responsibilities, accountability and a schedule for conducting all 
project tasks.

9. Budget Narrative
--Outline all proposed budget/cost information in detail.

10. Assurances Signature Form
--Complete the attached form identified as Attachment 2.

11. Certification Signature Form
--Complete the attached form identified as Attachment 3.
12. Standard Form 424
--(Request for Federal Assistance). Complete the attached Standard Form 
424 identified as Attachment 4.
    Please be sure that all forms have been signed by an authorized 
official who can legally represent the organization.

Attachment 2--Assurances

    All recipients of Federal funding are required to assure that 
the recipient:
     Has the legal authority to apply for Federal 
assistance, and the institutional, 

[[Page 219]]

managerial, and financial capability (including funds sufficient to 
pay the non-Federal share of project costs) to ensure proper 
planning, management, and completion of the project described in 
this application.
     Will give the awarding agency, the Comptroller General 
of the United States, and, if appropriate, the State, through any 
authorized representative, access to and the right to examine all 
records, books, papers, or documents related to the award; and will 
establish a proper accounting system in accordance with generally 
accepted accounting standards or agency directives.
     Will establish safeguards to prohibit employees from 
using their position for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
     Will initiate and complete the work within the 
applicable time frame after receipt of approval of the awarding 
agency.
     Will comply with the Intergovernmental Personnel Act of 
1970 (42 U.S.C. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 CFR 900; Subpart F).
     Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color, or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
1681-1683, and 1685-1686), which prohibits discrimination on the 
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as 
amended (29 U.S.C. 794), which prohibits discrimination on the basis 
of disability; (d) The Age Discrimination Act of 1975, as amended 
(42 U.S.C. 6101-6107), which prohibits discrimination on the basis 
of age; (e) The Drug Abuse Office and Treatment Act of 1972 (P.L. 
92-255), as amended, relating to nondiscrimination on the basis of 
drug abuse; (f) The Comprehensive Alcohol Abuse and Alcoholism 
Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), 
as amended, relating to nondiscrimination on the basis of alcohol 
abuse or alcoholism; (g) 523 and 527 of the Public Health Service 
Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3), as amended, relating to 
confidentiality of alcohol and drug abuse patient records; (h) Title 
VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601 et seq.), as 
amended, relating to nondiscrimination in the sale, rental or 
financing of housing; (i) any other nondiscrimination provisions in 
the National and Community Service Act of 1990, as amended; and (j) 
the requirements of any other nondiscrimination statute(s) which may 
apply to the application.
     Will comply, or has already complied, with the 
requirements of Titles II and III of the Uniform Relocation 
Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 
91-646) which provide for fair and equitable treatment of persons 
displaced or whose property is acquired as a result of Federal or 
Federally assisted programs. These requirements apply to all 
interests in real property acquired for project purposes regardless 
of Federal participation in purchases.
     Will comply with the provisions of the Hatch Act (5 
U.S.C. 1501-1508 and 7324-7328) which limit the political activities 
of employees whose principal employment activities are funded in 
whole or in part with Federal funds.
     Will comply, as applicable, with the provisions of the 
Davis-Bacon Act (40 U.S.C. 276a and 276a-77), the Copeland Act (40 
U.S.C. 276c and 18 U.S.C. 874), and the Contract Work Hours and 
Safety Standards Act (40 U.S.C. 327-333), regarding labor standards 
for Federally assisted construction sub-agreements.
     Will comply, if applicable, with flood insurance 
purchase requirements of Section 102(a) of the Flood Disaster 
Protection Act of 1973 (P.L. 93-234) which requires the recipients 
in a special flood hazard area to participate in the program and to 
purchase flood insurance if the total cost of insurable construction 
and acquisition is $10,000 or more.
     Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved state 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. 1451 et seq.); (f) conformity of Federal actions 
to State (Clean Air) Implementation Plans under Section 176(c) of 
the Clean Air Act of 1955, as amended (42 U.S.C. 7401 et seq.); (g) 
protection of underground sources of drinking water under the Safe 
Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) 
protection of endangered species under the Endangered Species Act of 
1973, as amended (P.L. 93-205).
     Will comply with the Wild and Scenic Rivers Act of 1968 
(16 U.S.C. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
     Will assist the awarding agency in assuring compliance 
with Section 106 of the National Historic Preservation Act of 1966, 
as amended (16 U.S.C. 470), EO 11593 (identification and protection 
of historic properties), and the Archaeological and Historic 
preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
     Will comply with P.L. 93-348 regarding the protection 
of human subjects involved in research, development, and related 
activities supported by this award of assistance.
     Will comply with the Laboratory Animal Welfare Act of 
1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to 
the care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
     Will comply with the Lead-Based Paint Poisoning 
Prevention Act (42 U.S.C. Secs.  4801 et seq.) which prohibits the 
use of lead based paint in construction or rehabilitation of 
residence structures.
     Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984 or 
OMB Circular A-133. Audits of Institutions of Higher Learning and 
other Non-profit Institutions.
     Will comply with all applicable requirements of all 
other Federal laws, executive orders, regulations, and policies 
governing this program.
    In addition, all recipients of Corporation assistance under this 
application are required to assure that the recipient:
     Will keep such records and provide such information to 
the Corporation with respect to the program as may be required for 
fiscal audits and program evaluation.
     Will not use the assistance to replace State and local 
funding streams that had been used to support programs of the type 
eligible to receive Corporation support. For any given program, this 
condition will be satisfied if the aggregate non-Federal expenditure 
for that program in the fiscal year that support is to be provided 
is not less than the previous fiscal year.
     Will use the assistance only for a program that does 
not duplicate, and is in addition to, an activity otherwise 
available in the locality of the program.
     Will comply with the Notice, Hearing, and Grievance 
Procedures found in Sec.  176 of the Act.
     Will comply with the nondisplacement rules found in 
Sec.  177(b) of the Act. Specifically, an employer shall not 
displace an employee or position, including partial displacement 
such as reduction in hours, wages, or employment benefits, as a 
result of the employer using an AmeriCorps participant; a service 
opportunity shall not be created that will infringe on the 
promotional opportunity of an employed individual; an AmeriCorps 
participants shall not perform any services or duties or engage in 
activities that (1) would otherwise be performed by an employee as 
part of the employee's assigned duties, (2) will supplant the hiring 
of employed workers, (3) are services or duties with respect to 
which an individual has recall rights pursuant to a collective 
bargaining; agreement or applicable personnel procedures; or (4) 
have been performed by or were assigned to any presently employed 
worker, an employee who recently resigned or was discharged, an 
employee who is on leave, an employee who is on strike or is being 
locked out, or an employee who is subject to a reduction in force or 
has recall rights subject to a collective bargaining agreement or 
applicable personnel procedure.

Assurances--Signature

    By signing this assurances page, the applicant certifies that it 
will agree to perform all actions and support all intentions stated 
in the attached Assurances.
    NOTE: This form must be signed and included in the application.

Organization Name
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Project Name


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Name and Title of Authorized Representative

----------------------------------------------------------------------
Signature

----------------------------------------------------------------------
Date

.----------------------------------------------------------------------

ATTACHMENT 3--Certifications

    Before completing certification, please read Certification 
Instructions on the following page.
    Certification--Debarment, Suspension, and Other Responsibility 
Matters. This certification is required by the regulations 
implementing Executive Order 12549, Debarment and Suspension, 34 CFR 
Part 85, Section 85.510, Participants' responsibilities. The 
regulations were published as Part VII of the May 26, 1988 Federal 
Register (pages 19160-19211).
    (1) The applicant certifies to the best of its knowledge and 
belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal department or agency.
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State anti-trust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property,
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification, and
    (d) Have not within a three-year period preceding this 
application proposal had one or more public transactions (Federal, 
State or local) terminated for cause or default;
    (2) Where the applicant is unable to certify to any of the 
statements in this certification, such applicant shall attach an 
explanation to this application.
    Certification--Drug-Free Workplace. This certification is 
required by the regulations implementing the Drug-Free Workplace Act 
of 1988, 34 CFR Part 85, Subpart F. The regulations, published in 
the January 31, 1989 Federal Register, require certification by 
grantees, prior to award, that they will maintain a drug-free 
workplace. The certification set out below is a material 
representation of fact upon which reliance will be placed when the 
agency determines to award the grant. False certification or 
violation of the certification shall be grounds for suspension of 
payments, suspension or termination of grants, or government-wide 
suspension or debarment (see 34 CFR Part 85, Section 85.615 and 
85.620). The grantee certifies that it will provide a drug-free 
workplace by:
    (1) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (2) Establishing a drug-free awareness program to inform 
employees about--
    (a) the dangers of drug abuse in the workplace,
    (b) the grantee's policy of maintaining a drug-free workplace,
    (c) any available drug counseling, rehabilitation, and employee 
assistance programs, and
    (d) the penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (3) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (1);
    (4) Notifying the employee in the statement required by 
paragraph (1) that, as a condition of employment under the grant, 
the employee will
    (a) abide by the terms of the statement, and
    (b) notify the employer of any criminal drug statute conviction 
for a violation occurring in the workplace no later than five days 
after such conviction;
    (5) Notifying the Corporation within ten days after receiving 
notice under subparagraph (4)(b) from an employee or otherwise 
receiving actual notice of such conviction;
    (6) Taking one of the following actions, within 30 days of 
receiving notice under subparagraph (4)(b) with respect to any 
employee who is so convicted--
    (a) Taking appropriate personnel action against such an 
employee, up to and including termination; or
    (b) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (7) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (1), (2), (3), 
(4), (5), and (6).

Certification--Lobbying Activities

    As required by Section 1352, Title 31, of the US Code, the 
applicant certifies that:
    A. No Federal appropriated funds have been paid or will be paid, 
by or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of any agency, a 
Member of Congress, an officer of Congress in connection with the 
awarding of any Federal contract, the making of any Federal loan, 
the entering into of any cooperative agreement, or modification of 
any Federal contract, grant, loan, or cooperative agreement;
    B. If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan, or cooperative agreement, the undersigned shall complete and 
submit Standard Form-LLL. ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions;
    C. The undersigned shall require that the language of this 
certification be included in the award documents for all 
subcontracts at all tiers (including subcontracts, subgrants, and 
contracts under grants, loans and cooperative agreements) and that 
all subrecipients shall certify and disclose accordingly.

Certification--Signature

    Before You Start. Before completing certification, please read 
Certification Instructions.

    Note: This form must be signed and included in the application.
    Signature. By signing this Certification page, the applicant 
certifies that it will agree to perform all actions and support all 
intentions stated in the Certifications set forth above. The three 
Certifications are:
     Certification: Debarment, Suspension, and Other 
Responsibility Matters
     Certification: Drug-Free Workplace
     Certification: Lobbying Activities
Organization Name

----------------------------------------------------------------------
Project Name

----------------------------------------------------------------------
Name and Titled of Authorized Representative

----------------------------------------------------------------------
Signature

----------------------------------------------------------------------
Date

----------------------------------------------------------------------

Certification Instructions

    By signing the Certification Signature Page on the previous 
page, the applicant certified that it will agree to perform all 
actions and support all intentions stated in the Certifications.

Signing the Certification Page

    1. Inability to Certify. The inability of a person to provide 
the certification required below will not necessarily result in 
denial of a grant. The applicant shall submit an explanation of why 
it cannot provide the certification set out below. The certification 
or explanation will be considered in connection with the Corporation 
determination whether to enter into this transaction. However, 
failure of the applicant to furnish a certification or an 
explanation shall disqualify such applicant for a grant.
    2. Erroneous Certification. The certification in this clause is 
a material representation of fact upon which reliance was placed 
when the Corporation determined to enter into this transaction. If 
it is later determined that the applicant knowingly rendered an 
erroneous certification, in addition to other remedies available to 
the Federal Government, the Corporation may terminate this 
transaction for cause or default.
    3. Notice of Error in Certification. The applicant shall provide 
immediate written notice to the Corporation to whom this proposal is 
submitted if at any time the applicant learns that its certification 
was erroneous when submitted or has become 

[[Page 221]]
erroneous by reason of changed circumstances.
    4. Definitions. The terms ``covered transactions,'' 
``debarred,'' ``suspended,'' ``ineligible,'' ``lower tier covered 
transaction,'' ``participant,'' ``person,'' ``primary covered 
transaction,'' ``principal,'' `` proposal,'' and ``voluntarily 
excluded,'' as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. An applicant shall be considered a 
``prospective primary participant in a covered transaction'' as 
defined in the rules implementing Executive Order 12549. You may 
contact the Corporation for assistance in obtaining a copy of those 
regulations.
    5. Certification Requirement for Subgrant Agreements. The 
applicant agrees by submitting this proposal that, should the 
proposed covered transaction be entered into, it shall not knowingly 
enter into any lower tier covered transaction with a person who is 
debarred, suspended, declared ineligible, or voluntarily excluded 
from participation in this covered transaction, unless authorized by 
the Corporation.
    6. Certification Inclusion in Subgrant Agreements. The applicant 
further agrees by submitting this proposal that it will include the 
clause titled ``Certification Regarding Debarment, Suspension, 
Ineligibility, and Voluntary Exclusion-Lower Tier Covered 
Transactions,'' provided by the Corporation, without modification, 
in all lower tier covered transactions and in all solicitations for 
lower tier covered transactions.
    7. Certification of Subgrant Principals. A grantee may rely upon 
a certification of a prospective participant in a lower-tier covered 
transaction that it is not debarred, suspended, ineligible, or 
voluntarily excluded from the covered transaction, unless it knows 
that the certification is erroneous. A grantee may decide the method 
and frequency by which it determines the eligibility of its 
principals. Each grantee may, but is not required to, check the 
Nonprocurement List.
    8. Prudent Person Standard. Nothing contained in the foregoing 
shall be construed to require establishment of a system of records 
in order to render in good faith the certification required by this 
clause. The knowledge and information of a grantee is not required 
to exceed that which is normally possessed by a prudent person in 
the ordinary course of business dealings.
    9. Non-Certification in Subgrant Agreements. Except for 
transactions authorized under paragraph 6 of these instructions, if 
a grantee knowingly enters into a lower-tier covered transaction 
with a person who is suspended, debarred, ineligible, or voluntarily 
excluded from participation in this transaction, in addition to 
other remedies available to the Federal Government, the department 
or agency may terminate this transaction for cause or default.

BILLING CODE 4910-62-P

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ATTACHMENT 4
[GRAPHIC] [TIFF OMITTED] TN03JA96.000


BILLING CODE 4910-62-C

[[Page 223]]


Instructions for the SF 424

    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State if 
applicable) & applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.
    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project, if more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities).
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit disallowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.)
[FR Doc. 96-69 Filed 1-2-96; 8:45 am]
BILLING CODE 4910-62-P