[Federal Register Volume 62, Number 148 (Friday, August 1, 1997)]
[Notices]
[Pages 41463-41474]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-20376]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
Regional Liaison Outreach and Services Program (LOSP)
Announcement of Request for Proposals
AGENCY: Office of the Secretary, (DOT).
ACTION: Notice of request for proposals.
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SUMMARY: The Department of Transportation's Office of Small and
Disadvantaged Business Utilization (OSDBU) 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 minority, women-owned,
small and disadvantaged business (S/DBE) participation in the
Department's procurement and Federal financial assistance activities.
The office is also responsible for implementing and monitoring the
Department's goals for minority, women-owned and small and
disadvantaged businesses. The Secretary of Transportation has
encouraged DOT operating administrations to expand opportunities for
these entrepreneurs to participate fully in all DOT-funded procurements
and assisted programs. This request solicits competitive proposals from
organizations classified as trade associations and/or Chambers of
Commerce for participation under OSDBU's Liaison Outreach and Services
Program (LOSP). Eligible applicants must be registered with the
Internal Revenue Service as 501 C(6) tax-exempt organizations. OSDBU
will enter into Cooperative Agreements with these organizations to
provide liaison services between the DOT, its grantees, recipients,
contractors, subcontractors, and minority, women-owned, small and
disadvantaged business enterprises. This Announcement of Requests for
Proposals contains information concerning: (1) The principal objectives
of the competition, eligible applicants, activities and factors for an
award; (2) the application process, including how to apply and the
criteria used for selection; and (3) a checklist of application
submission requirements.
DATES: Proposals must be received at the above location by August 29,
1997, 4 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 September 26, 1997.
FOR FURTHER INFORMATION CONTACT: Mrs. Marie Hendricks or Mr. Art
Jackson, Office of Small and Disadvantaged Business Utilization, U.S.
Department of Transportation, 400 7th Street, SW., Room 9414,
Washington, DC, 20590, Tel. 202-366-2852 or 800-532-1169.
SUPPLEMENTARY INFORMATION: Send proposals to Mrs. Marie Hendricks,
Office of Small and Disadvantaged Business Utilization, U.S. Department
of Transportation, 400 7th Street, SW., Room 9414, Washington, DC
20590.
Dated: July 23, 1997.
Luz A. Hopewell,
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
(OSDBU) 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
[[Page 41464]]
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 S/DBE participation in the contracts and programs that it
funds, during FY 1996, S/DBEs received $1.8 billion of DOT's direct
procurements and DBEs received over $2.9 billion or 15 percent of
highway, transit, air and rail contracts from DOT-assisted State and
local transportation agencies.
OSDBU develops Department-wide policy and administers a number of
programs and activities to implement the OSDBU's Congressional mandate
expanding the level of participation of S/DBEs in the Federal financial
assistance and direct contracting programs of all modal administrations
of DOT and DOT-assisted State and local transportation agencies. The
OSDBU is responsible for the development and implementation of an
effective program of activities directed at ensuring S/DBE
participation in the Department's direct procurement and Federal
financial assistance activities. The OSDBU monitors all DOT procurement
activities that involve the participation of S/DBEs, including the goal
settings and procurement practices of DOT financial assistance
recipients, namely, State and local transportation agencies. The OSDBU
also serves an important role in assisting firms in their marketing of
the Department and all of its operating administrations. The OSDBU is
also responsible for developing and administering programs to
encourage, stimulate, promote and assist S/DBEs to obtain and manage
transportation-related contracts, subcontracts and projects. The OSDBU
administers the Short Term Lending Program (STLP) and the Bonding
Assistance Program, two financial assistance efforts which provide
assistance in obtaining short-term working capital and bonding for S/
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
An area where the OSDBU has focused considerable efforts has been
that of increasing S/DBE access to DOT financial assistance programs
and contracting opportunities through the Liaison Outreach and Services
Program (LOSP). This nation-wide program utilizes Cooperative
Agreements with a number of Chambers of Commerce and trade associations
to provide liaison services between DOT, its grantees, recipients,
contractors, subcontractors and S/DBEs. The LOSP includes activities
such as information dissemination, outreach services, conference and
seminar participation and referrals to technical assistance agencies
(i.e., Minority Business Development Centers (MBDCs), Small Business
Development Centers (SBDCs) and State DOT highway supportive services
contractors) which offer management and technical assistance in
financial assistance, marketing and other business areas. In addition,
the LOSP participants include DOT and other transportation-related
information in their monthly or quarterly newsletters and provide one-
on-one business counseling to S/DBEs currently doing business or that
has the potential for doing business with DOT at the Federal, State or
local levels.
Information dissemination and outreach include the distribution of
the following DOT marketing materials: DOT Bonding Assistance Program
information; DOT Short-Term Lending Program information; Procurement
Forecasts; DOT Small Business Subcontracting Opportunities Directory;
and Contracting with the United States Department of Transportation
Booklets. 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.
Participating LOSP organizations make referrals to technical
assistance agencies offering assistance to DBEs in the completion and
submission of Short-Term Lending and Bonding Assistance Program
applications.
The LOSP was established by the OSDBU in May 1992 in response to
the continuing need to outreach to the small and disadvantaged business
community and increases their participation in DOT contracting and
financial assistance programs. To address this need, the LOSP seeks to
increase the number of small businesses and DBEs that enter into
transportation-related contracts and that receive DOT STLP lines of
credit and bonding assistance. This goal is accomplished by the OSDBU
working closely with LOSP participating 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) Develop and/or strengthen linkages with State DOTs, local
transportation agencies, transportation prime contractors, State
highway's supportive services contractors, MBDCs, SBDCs and other
Chambers of Commerce and trade associations to encourage S/DBE
participation in DOT programs.
(4) Stimulate referrals of S/DBEs to obtain technical assistance
from Federal, State and local agencies such as MBDCs, SBDCs and State
DOT highway supportive services contractors for management and other
business-related assistance including completion and submission of DOT
Short-Term Lending Program and Bonding Assistance Program application
packages.
(5) Increase awareness of DOT programs by providing DOT
representation at selected conferences, seminars and marketplace events
and by providing DOT ads and articles in organizations' newsletters.
(6) Develop and maintain databases of transportation-related S/DBEs
as potential participants in DOT procurement and/or financial
assistance programs.
(7) Establish business operations and procedures which are results
oriented, and implement the principles set forth in the Government
Performance and Results Act (GPRA) of 1993. This Act focuses on
ensuring programs and budget decisions are linked with program
performance. GPRA establishes a framework for results-oriented
management and promotes a new way of doing business, a common sense
approach that focuses on getting results through performance-based
goals and accountability. Each organization will put forth every effort
in complying with the GPRA and report on achievements of performance.
[[Page 41465]]
(8) Each participant will establish outreach and information
dissemination activities which provide information to and encourages
partnerships with Federal, state and local government, private sector
organizations and businesses, including small and disadvantaged
businesses, concerning the Welfare to Work Initiative and the Garrett
A. Morgan Technology and Transportation Futures Program. Such efforts
should focus on existing transportation programs that use innovative
strategies to assist individuals make the transition from welfare to
work and on working with partners in the educational community to
strengthen transportation-related learning and educational initiatives.
(9) Each organization will increase awareness of matching small
businesses and S/DBEs with contracting opportunities from major prime
contractors and DOT-assisted state and local transportation agencies.
This awareness will be through dissemination of procurement
opportunities through synopses in the mail or by electronic data
transfers.
1.3 Description of Competition
The purpose of this RFP is to solicit proposals from eligible
national and regional Chambers of Commerce and trade associations to
participate in the Liaison and Outreach Services Program (LOSP). The
LOSP will enable the OSDBU to establish a regional presence by
assisting small businesses and DBEs in securing information on DOT
procurement opportunities, Financial Assistance Programs and the Short-
Term Lending and Bonding Assistance Programs to increase the number of
DBEs that enter into transportation-related contracts. The LOSP is
intended to increase collaboration between OSDBU, Chambers of Commerce
and trade associations to strengthen and enhance their ability to
provide liaison services between DOT, its grantees, recipients,
contractors, subcontractors and DBEs. As the program requirements and
selection criteria indicate, the OSDBU also intends that the LOSP is
multidimensional; that is, the selected organizations must have the
capacity to effectively access and provide supportive services to the
broad range of small business and DBE clients within their respective
geographical areas and must be able to coordinate and establish
effective networks with DOT grant recipients and local/regional
technical assistance agencies to maximize resources and avoid
duplication of effort.
Cooperative agreement awards will be up to $100,000.00. It is
OSDBU's intent to fund one agreement in each of ten (10) regions, and
one agreement for the following State: Texas. However, OSDBU reserves
the option to make multiple awards, if warranted. The geographical
distribution of DOT regions is shown, in map form, in Attachment 1. The
DOT regions, with states and territories comprising each, are listed
below:
Region 1: Connecticut, Maine, New Hampshire, Rhode Island, Vermont,
Massachusetts
Region 2: New Jersey, New York, Puerto Rico, Virgin Islands
Region 3: Delaware, District of Columbia, Maryland, Pennsylvania,
Virginia, West Virginia
Region 4: Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, Tennessee
Region 5: Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Region 6: Arkansas, Louisiana, New Mexico, Oklahoma
Region 7: Iowa, Kansas, Missouri, Nebraska
Region 8: Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming
Region 9: Arizona, Guam, Hawaii, Nevada
Region 10: Alaska, Idaho, Oregon, Washington
Along with the State Texas.
1.4 Duration of Agreements
Cooperative agreements will be awarded for a period of 12 months
(one year) with an option for four (4) additional years. Continuation
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 (Pub.L. 97-449), to develop
by Cooperative Agreements, support mechanisms including liaison and
assistance programs, that will increase the opportunities for small
businesses and DBEs to access transportation-related contracts.
1.6 Eligibility Requirements
An eligible applicant organization will be:
An established, nonprofit, Chamber of Commerce or trade association
which has the documented experience and capacity necessary to
successfully operate and administer a coordinated, regional liaison
outreach effort within a region of the United States.
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 one year of documented and continuous experience
prior to the date of application in providing advocacy, management and
marketing assistance services and referrals to technical assistance
agencies to S/DBEs within the LOSP regional service area or State in
which proposed services will be provided; and
(C) Has an office physically located within the LOSP regional
service area.
No application will be accepted without proof of tax-exempt status.
An eligible applicant organization can submit not more than two (2)
proposals. If two (2) proposals are submitted, each proposal must be
for a different regional area and each proposal submitted will be
reviewed and evaluated on its own merits and with the other proposals
submitted for the same region. If an eligible applicant submits two (2)
proposals, the second proposal must be submitted for a regional area
where at least one of the states located in that regional area
physically adjoins the regional area where the eligible applicant has
an office physically located as specified in 1.6(c). For example, if an
eligible applicant has an office physically located in Oregon and
submits a proposal for Region 10 and a second proposal for Region 8,
the second proposal would be considered because the state of Idaho
which is in Region 10 physically adjoins the state of Utah which is in
Region 8. If, however, an eligible applicant with an office located in
Texas, submits an application for the state of Texas and also submits a
second application for Region 1, the application submitted for Region 1
would not be considered as acceptable because the state of Texas does
not physically adjoin any of the states comprising Region 1.
2. Program Requirements
In conducting the activities to achieve the goals of the LOSP, the
recipient will be responsible for implementing the activities under 2.1
and 2.2 below. The OSDBU will be responsible for conducting activities
under 2.3.
2.1 Recipient Responsibilities
1. Each LOSP participant will:
(A) Collaborate with and coordinate on programs, activities,
services and technical assistance with other Federal, State and local
organizations and agencies serving transportation-related small
businesses and DBEs, particularly State DOTs and DOT grantees.
(B) Initiate, develop and maintain interagency referral
arrangements with agencies offering specialized management and
technical assistance including DOT/state supportive services
[[Page 41466]]
contractors, MBDCs, SBDCs and other appropriate programs.
(C) Establish a transportation advisory committee comprising of
members who have demonstrated expertise in the serving of S/DBE
community and the preparation of financial statements and bid/proposal
development to advise on the development and implementation of LOSP
activities.
(D) Develop structured, consultative relationships with key
constituent groups within the region to help build and reinforce
collaboration. Such relationships will ensure that DOT non-minority and
minority prime contractors as well as Chambers of Commerce and trade
associations facilitate awareness and utilization of LOSP services.
(E) Implement information dissemination and education activities
and strategies to maximize outreach regarding DOT procurement
opportunities and the Short-Term Lending and Bonding Assistance
Programs.
(F) Conduct an ongoing evaluation of activities funded through this
cooperative agreement. Evaluation will quantitatively and qualitatively
describe LOSP activities, the services and the recipients of services.
Each applicant must develop and implement an ongoing evaluation plan
which incorporates the privileges of GPRA.
(G) Develop structured, consultative relationships with the private
sector financial community and Federal, State, regional and local
agencies which provide specialized financial technical assistance
services to S/DBEs.
(H) Establish and maintain an 800-toll free line to be made
available to S/DBEs interested in transportation-related procurements
and information on the application process for the DOT Short Term
Lending and Bonding Assistance Programs. Referral services to technical
assistance providers will be provided, as appropriate.
(I) Furnish all labor, facilities and equipment to perform the
services described in this announcement.
(J) Establish criteria to be used in calculating the results of
achievements accomplished for reporting under the Government
Performance and Results Act (GPRA). These results will link program
performance with the LOSP budget submittal.
(K) Establish outreach and information dissemination activities
which provide information to and encourages partnerships with Federal,
state and local governments, private sector organizations and
businesses, including small and disadvantaged businesses, concerning
the Welfare to Work Initiative and the Garrett A. Morgan Technology and
Transportation Futures Program. Such efforts should focus on existing
transportation programs that use innovative strategies to assist
individuals make the transition from welfare to work and on working
with partners in the educational community to strengthen
transportation-related learning and educational initiatives.
(L) Implement a bid matching mechanism whereby synopses would be
sent to qualified small businesses and DBEs regarding contracting
opportunities from major DOT prime contractors and DOT-assisted state
and local transportation agencies.
2.2 Work Requirements
Each LOSP participant must perform work in the following functional
areas:
(a) Information Dissemination and Outreach.
(b) Conference and Seminar Participation.
(c) Referrals to Technical Assistance Agencies.
(d) Database Development.
(e) Government Performance and Results Act (GPRA).
(f) Welfare-to-Work and Garrett A. Morgan Technology and
Transportation Futures Program.
(g) Bid Matching Services.
a. Information Dissemination and Outreach
Each LOSP program director will meet with OSDBU officials to become
familiar with DOT materials and literature to disseminate appropriate
documents to S/DBEs at conferences, seminars, workshops, and to those
interested in and have the capacity to perform transportation-related
projects. This LOSP ``core service'' includes distribution of general
information on DOT's overall S/DBE program, specific information on
DOT's Short-Term Lending and Bonding Assistance Programs; and
information and assistance on DOT's procurement opportunities.
Materials to be disseminated will include, but are not limited to, fact
sheets, Short-Term Lending and Bonding Assistance program applications,
and reports and advertisements which are directed toward the S/DBE
communities in each region.
The LOSP participant will publish stories/articles and features in
the recipient's newsletter which contain information regarding the
accessibility to procurement opportunities within DOT, and the Short-
Term Lending and Bonding Assistance programs. The Director, OSDBU, will
approve all stories, articles, and special features prior to their
publication in the recipient's monthly or quarterly newsletter.
b. Conference and Seminar Participation
The LOSP participant will participate in regional, state and local
procurement conferences on behalf of the OSDBU and disseminate DOT
procurement information, Short-Term Lending and Bonding Assistance
program literature and other materials. The conferences/seminars will
be transportation-related and each will be approved by the Director,
OSDBU, prior to participation. The LOSP participant will identify
regional, state and local conferences where a significant number of S/
DBEs with transportation-related capabilities are expected to be in
attendance. The LOSP participant will maintain the DOT booth at
transportation-related conferences/seminars. A conference report will
be submitted to OSDBU no later than 30 days after participation at the
conference. A list of proposed S/DBE conferences and seminars being
considered for participation under the Cooperative Agreement will be
forwarded to OSDBU for review and approval. A conference report will be
submitted to OSDBU no later than 30 days after participation at the
conference.
c. Referrals to Technical Assistance Agencies
Each LOSP participant will provide technical assistance services by
referring S/DBEs to agencies that offer assistance in the preparation
of DOT procurement documents and applications for loans and bonds for
submission on transportation-related projects. In addition, specific
referrals will be made to agencies that certify DBEs using DOT
guidelines.
d. Database Development
Each LOSP participant will develop a comprehensive data base of
firms within its regional service area that have the capability to
perform transportation-related contracts.
e. Government Performance and Results Act
Each LOSP participant will keep documentation as to achievements
attained for reporting under the GPRA within their respective region.
f. Welfare-to-Work Initiative and the U.S. Department of Transportation
Garrett A. Morgan Technology and Transportation Futures Program
Each LOSP participant will establish outreach and information
dissemination activities which provide information to
[[Page 41467]]
and encourages partnerships with Federal, state and local governments,
private sector organizations and businesses, including small and
disadvantaged businesses, concerning the Welfare to Work Initiative and
the Garrett A. Morgan Technology and Transportation Futures Program.
Such efforts should focus on existing transportation programs that use
innovative strategies to assist individuals to make the transition from
welfare to work and on working with partners in the educational
community to strengthen transportation-related learning and educational
initiatives.
g. Bid Matching Services
Each LOSP participant will provide bid matching services to
qualified small businesses and DBEs. These services will provide them
with a synopsis of contracting opportunities available to them from
major DOT prime contractors and DOT-assisted state and local
transportation agencies.
2.3 Office of Small and Disadvantaged Business Utilization (OSDBU)
Responsibilities
The OSDBU will perform the following roles as its contribution to
the attainment of LOSP objectives:
1. Provide consultation and technical assistance in planning,
implementing and evaluating activities under this announcement.
2. Provide orientation and training, as appropriate, to applicants
awarded funding for participation in the LOSP.
3. Systematically monitor the performance of successful applicants'
activities and program compliance.
4. Assist successful applicants in collaborating and developing or
strengthening linkages with State DOTs, technical assistance agencies
and DOT grantees within regional geographical areas served.
5. Facilitate the exchange and transfer of successful LOSP
activities and program information among regional LOSP participants.
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) will submit only one proposal for consideration by DOT.
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, and four bound copies,
should be submitted.
All pages should be numbered at the top of each page. All
documentation, attachments, or other information pertinent to the
application must be included in a single submission.
Proposals should be submitted to: Mrs. Marie A. Hendricks, Office
of Small and Disadvantaged Business Utilization (S-40), Department of
Transportation, 400 7th Street, SW., (Rm. 9414), Washington, DC 20590.
Proposals must be received by DOT/OSDBU no later than August 29,
1997, 4 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 for the applicant's region.
Applications will be evaluated for each region on a point system
(maximum number of points = 100).
The following five (5) maximum weighted categories will constitute
DOT's selection criteria:
--Approach (25 points)
--Linkages (25 points)
--Organizational Capability (25 points)
--Staff Capabilities and Experience (15 points)
--Cost (10 points)
A. Approach and Linkages (50 Points)
1. Approach (25 Points)
The applicant must describe the activities proposed to be
implemented under the cooperative agreement and how the work will be
accomplished across the LOSP regional area. DOT will consider the
extent to which the proposed objectives are specific, measurable, time-
phased, consistent with LOSP 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 S/DBEs to
access information on DOT contracting opportunities and financial
assistance programs. DOT will also consider 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 (25 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 region.
The applicant's structure for linking urban and rural S/DBEs to the
LOSP should be outlined. The applicant should describe support and
intended collaboration on LOSP activities from DOT grantees, prime
contractors, subcontractors, State DOTs, State highway supportive
services contractors, SBDCs, MBDCs and colleges and universities
including Minority Educational Institutions (Historically Black
Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs)
and Tribal-Affiliated Colleges and Universities (TACUs)). DOT will also
rate the effectiveness of the applicant's strategy to provide outreach,
networking and liaison activities to the regional area to be served. In
rating this factor, DOT will consider the extent to which the applicant
demonstrates ability to effectively access and network supportive
services to the broad and diverse range of S/DBEs within the
applicant's regional service area. Emphasis will also be placed on the
extent to which the applicant identifies a clear outreach strategy
related to identified needs that can be successfully carried out within
the period of this agreement and a plan for forming and involving an
internal transportation advisory committee in the execution of that
strategy.
B. Organizational Capability (25 Points)
The applicant organization must have outreach resources and
relevant experience in carrying out the purposes of the LOSP. In rating
this factor, DOT will consider the extent to which the applicant's
organization has recent, relevant and successful experience in
advocating for and addressing the needs of small and DBE businesses in
general, and transportation-related S/DBEs in particular. 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).
C. Staff Capability and Experience (15 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, knowledgeable
[[Page 41468]]
and diverse which shows evidence of the ability to deal effectively
with the broad range of S/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 a minimum of 50 percent of his/her time. The resume of
the proposed Project Director must be included in the applications
submitted and his/her resume must reflect appropriate knowledge of the
regional area and customer-service related experience.
DOT will consider the extent to which the applicant's proposed
management plan (a) clearly delineates staff responsibilities and
accountability for all work required and (b) 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 LOSP for a 12
month period. The applicant's budget must be adequate to support the
project and costs must be reasonable in relation to project objectives.
The budget submitted can not include more than $100,000.00 which is
DOT/OSDBU funding. The recipient's overhead should not exceed 15
percent. 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 Submission of Proposals for
Department of Transportation Regional Liaison Outreach and Services
Program (LOSP)
Proposals for the DOT Regional Liaison Outreach and Services
Program (LOSP) 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, and four bound
copies, should be submitted. Applications will not exceed 35 single-
sided 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: Mr. Marie A. Hendricks, Office of Small and Disadvantaged
Business Utilization (S-40), Department of Transportation, 400 7th
Street, SW., Room 9414, Washington, DC 20590.
Proposals must be received by DOT/OSDBU no later than August 29,
1997, 4 p.m. EST.
Applications submitted must contain the following 12 sections
and be organized in the following order and cannot exceed 35 single-
sided pages.
1. Table of Contents
--Identify all parts, sections and attachments of the application.
2. Application Summary
--Provide a summary overview of the following:
--The applicant's proposed LOSP, its related 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 LOSP, program
goals and the role of the applicant's proposed LOSP in advancing the
applicant's goals.
--The applicant will describe specific outreach needs of
transportation-related S/DBEs in the region or state to be served
and how the LOSP will address the identified needs.
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
through the LOSP to increase the ability of S/DBES to access
information on DOT contracting opportunities and financial
assistance programs.
5. Linkages
--Describe outreach activities and linkages to be implemented to
ensure that rural small and disadvantaged businesses participate in
LOSP activities.
--Describe or indicate evidence of linkages or collaborations
developed or to be developed with State DOTs, DOT grantees, DOT
prime contractors, other Chambers of Commerce and trade associations
and technical assistance agencies including DOT/FHWA supportive
services contractors, MBDCs and SBDCs and educational institutions
including HBCUs, HSIs and TACUs.
6. Organizational Capabilities
--Describe recent, relevant and successful experience in advocating
for and addressing the needs of small and disadvantaged businesses
in general and transportation-related S/DBEs in particular.
--Describe relevant experience in working or collaborating with
Chambers of Commerce and trade associations, DOT grantees, State
DOTs, technical assistance agencies including DOT/FHWA supportive
services contractors, MBDCs, SBDCs and educational institutions
including HBCUs, HSIs and TACUs.
--Describe internal resources available to use in successfully
performing/completing the work.
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
project tasks.
9. Budget Narrative
--Outline 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 whom can legally represent the organization.
Thank you for submitting an application to be a participant in
the U. S. Department of Transportation's Liaison Outreach and
Services (LOSP) Program.
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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, 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 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 (Pub. 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 (Pub. 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 (Pub. 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 390ee-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 (Pub.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 David-Bacon
Act (40 U.S.C. 276a and 276a-77), the Copeland Act (40 U.S.C. 276c
and 28 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 constructions subagreements.
--Will comply, if applicable, with flood insurance purchase
requirements of Section 201(a) of the Flood Disaster Protection Act
of 1973 (Pub. L. 93-234) which required 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
(Pub.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
flood plains 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 (Pub. L. 93-523); and (h) protection of
endangered species under the Endangered Species Act of 1973, as
amended (Pub. 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 Pub. 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 (Pub.
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 Pain Poisoning Prevention Act (42
U.S.C. 4301 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 section 176 of the Act.
--Will comply with the nondisplacement rules found in section 177(b)
of the Act;. Specifically, an employer shall not displace an
employee or position, including partial displacement such as
reduction 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.
[[Page 41471]]
Assurances--Signature
By signing this assurances page, the applicant certifies that it
will agree to perform all actions and support all intention stated
in the attached Assurances.
Note: This form must be signed and included in the application.
----------------------------------------------------------------------
Organization Name
----------------------------------------------------------------------
Project Name
----------------------------------------------------------------------
Name and Title of Authorized Representative
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Date
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ATTACHMENT 3--CERTIFICATIONS
Before completing certification, please read Certification
Instructions.
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,
Sec. 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 of 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 of 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 Instructions
By signing the Certification Signature Page on the previous
page, the applicant certifies 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 erroneous by reason of
changes circumstances.
4. Definitions. The terms ``covered transaction,'' ``debarred,''
``suspended.'' ``ineligible,'' ``lower tier covered transaction,''
``participant,'' ``person,'' ``primary covered transaction,''
``principal,'' ``proposal,'' and ``voluntarily excluded,'' as used
in this clause, have the meanings set out in the Definitions and
Coverage sections of the rules implementing Executive Order 12549.
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 Agreement. 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
[[Page 41472]]
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.
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 of 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
BILLING CODE 4910-62-U
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[FR Doc. 97-20376 Filed 7-31-97; 8:45 am]
BILLING CODE 4910-62-C