[Federal Register Volume 68, Number 43 (Wednesday, March 5, 2003)]
[Notices]
[Pages 10563-10574]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-5138]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary


Transportation Equity Act Model (TEAM) 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 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. This office is responsible for 
implementing and monitoring DOT's goals for small, women-owned and 
disadvantaged businesses. DOT's Small and Disadvantaged Business 
Program is designed to ensure that small businesses have an equitable 
opportunity to participate in the DOT's procurement programs, and that 
they receive a fair and equitable share of the resulting contract 
awards.
    OSDBU establishes a local presence by entering into Cooperative 
Agreements with Chambers of Commerce, Trade Associations, Business 
Organizations and For-Profit Entities to increase awareness of DOT's 
procurement opportunities and financial assistance programs for small, 
minority, women-owned and disadvantaged business enterprises (DBEs). 
This request solicits competitive proposals from organizations and 
entities classified above for participation under OSDBU's 
Transportation Equity Act Model (TEAM) program. OSDBU will enter into 
Cooperative Agreements with these organizations and entities to provide 
liaison services between the DOT, its grantees, recipients, 
contractors, subcontractors, and minority, women-

[[Page 10564]]

owned, small and disadvantaged business enterprises. This Request for 
Proposal 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 U.S. Department of Transportation, 
Office of Small and Disadvantaged Business Utilization, 400 7th Street, 
SW., Room 9414, Washington, DC 20590, by March 24, 2003, 4 p.m., 
eastern standard time. Proposals received after the deadline will be 
considered non-responsive and will not be reviewed. Due to security 
concerns, proposals should be submitted via overnight courier.

FOR FURTHER INFORMATION CONTACT: Mr. Arthur D. 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, ext 6-2852.

SUPPLEMENTARY INFORMATION: Send proposals to Arthur Jackson, Office of 
Small and Disadvantaged Business Utilization, U.S. Department of 
Transportation, 400 7th Street, SW., Room 9414, Washington, DC 20590.

    Dated: February 26, 2003.
Sean M. Moss,
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
    Application Form for Proposals--Appendix A
    Attachments

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, 
women-owned and disadvantaged businesses 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 the participation of small, women-owned and 
disadvantaged businesses in the contracts and programs that it funds 
during FY 2002, awards to small businesses totaled $2.5 billion in 
DOT's direct procurement.
    The mission of OSDBU is to promote customer satisfaction through 
successful partnerships that result in an inclusive and effective 
small business procurement process. To accomplish this mission, 
OSDBU has organized its responsibilities, programs and activities 
under four lines of business: Advocacy, Outreach, Financial 
Services, and Organizational Management. DOT/OSDBU has a strong 
commitment to the small business community and offers advocacy, 
outreach and financial programs to small businesses.
    The 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 small, 
disadvantaged businesses 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 small business 
participation in the Department's direct procurement and Federal 
financial assistance activities. The OSDBU monitors all DOT 
procurement activities that involve the participation of small, 
minority, women-owned and disadvantaged businesses, 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 responsible for developing and 
administering programs to encourage, stimulate, promote and assist 
small businesses 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 that provide assistance in 
obtaining short-term working capital and surety bonding on 
transportation-related projects. Under the STLP, guarantees of lines 
of credit up to $500,000 are available at prime plus 1% 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. The fee 
for performance and payment bonds is 2.5%.

1.2 Program Description and Goals

    An area where the OSDBU has focused considerable efforts has 
been that of increasing small, minority, women-owned and 
disadvantaged businesses access to DOT financial assistance programs 
and contracting opportunities through the Transportation Equity Act 
Model (TEAM) program. This initiative utilizes Cooperative 
Agreements to provide liaison services between DOT, its grantees, 
recipients, contractors, subcontractors and small businesses. The 
TEAM 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), 
Procurement Technical Assistance Contractors (PTACs) and State DOT 
highway supportive services contractors) which offer management and 
technical assistance in financial assistance, marketing and other 
business areas. In addition, the TEAM provides one-on-one business 
counseling to small firms to increase their participation in mega 
projects emanating from the DOT, its grantees/recipients and to 
assist small businesses to participate in other agency initiatives 
such as Aviation, Security, and Surface Transportation Safety. 
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.
    The TEAM concept was established by the OSDBU in May 2000 in 
response to the continuing need to outreach to the small and 
disadvantaged business communities and increases their participation 
in DOT contracting and financial assistance programs. To address 
this need, the TEAM seeks (1) to increase the number of small and 
disadvantaged businesses that enter into transportation-related 
contracts; (2) to increase the participation of small, women-owned 
and disadvantaged businesses in mega projects funded largely from 
DOT Federal assistance; and (3) to increase the number of small, 
women-owned and disadvantaged businesses that receive DOT STLP lines 
of credit and bonding assistance.
    The TEAM will:
    (1) Work with prime contractors, Federal, State and local 
agencies, and DOT grantees and recipients to create opportunities 
for small, women-owned and disadvantaged businesses.
    (2) Establish a communications link between DOT, its grantees, 
recipients, contractors, subcontractors and the small, disadvantaged 
business community. Increase awareness of contracting opportunities 
with mega projects by developing an aggressive outreach initiative 
to identify and refer qualified candidates to service providers and 
contracting agencies.
    (3) Develop structured, consultative relationships with the 
private sector financial

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community and governmental agencies that can create a public/private 
partnership to provide specialized assistance to small, women-owned 
and disadvantaged businesses.
    (4) Disseminate DOT marketing materials and relevant information 
at design/build meetings, selected conferences/seminars, and other 
transportation-related events through the use of quarterly 
newsletter and mailings from the TEAM's office.
    (5) Develop and/or strengthen linkages with State DOTs, local 
Transit Agencies, Historically Black Colleges and Universities, 
Hispanic Serving Institutions, Associations of Minority and Women 
Contractors and Prime Contractors, to encourage small business 
participation in mega projects and other transportation-related 
opportunities.
    (6) Stimulate referrals of firms 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 approvals of surety 
bonds and working capital.
    (7) Establish business operations and procedures that are 
``results oriented'', and implement the principles set forth in the 
Government Performance and Results Act (GPRA) of 1993. This Act 
ensures that 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 applicant will put forth every effort 
in complying with the GPRA and report on achievements of 
performance.
    (8) Establish outreach and information dissemination activities 
to encourage partnerships with Federal, State and local governments, 
private sector organizations and businesses, including small and 
disadvantaged businesses, concerning the availability of contracts 
and other procurement opportunities.
    (9) Focus efforts on existing transportation programs, such as 
Educational Institutions that use innovative strategies to assist 
individuals and companies to make the transition from entry-level 
businesses to successful entrepreneurs in the field of 
transportation.
    (10) Focus on matching businesses with transportation-related 
procurement opportunities in mega projects where small, 
disadvantaged businesses can participate in DOT-assisted contracts. 
Techniques such as disseminating current information on procurement 
and contract opportunities; transmitting synopses of contract 
information by e-mail and/or electronic data transfers; and setting 
up one-to-one contacts between prime contractors and small 
businesses that will create a ``match'' between the two parties.
    (11) Employ a multidimensional approach to business. The 
applicants must have the capacity and organizational structure to 
effectively access and provide supportive services to the broad 
range of small business and disadvantaged clients within their 
geographical areas. The applicants must have the background to 
provide management and technical help to small and disadvantaged 
firms. Applicants must have demonstrated knowledge of the 
contracting process in their geographical area to ably assist small 
businesses in contract acquisition.

1.3 Description of Competition

    The purpose of this RFP is to solicit proposals from applicants, 
such as Chambers of Commerce, Trade Associations, Business 
Organizations and For-Profit Entities, to participate in the 
Transportation Equity Act Model (TEAM) program. The TEAM will enable 
the OSDBU to establish a local presence by assisting small 
businesses and DBEs in securing information on DOT procurement 
opportunities and DOT's Short-Term Lending and Bonding Assistance 
Programs in order to increase the number of small businesses that 
enter into transportation-related contracts. As the program 
requirements and selection criteria indicate, the OSDBU also intends 
that the TEAM is multidimensional; that is, the selected 
organizations and entities must have the capacity to effectively 
access contracts and other procurements for small businesses within 
their target areas. In addition, the TEAM must be able to coordinate 
and establish effective networks with DOT grant recipients and 
technical assistance agencies to maximize resources and avoid 
duplication of effort.
    It is OSDBU's intent to fund one agreement in each of the 
selected locations. However, OSDBU reserves the option to make 
multiple awards, if warranted.
    The geographical locations and Target Projects for each TEAM are 
as follows:

Eastern TEAM: New York, New York
Western TEAM: Oakland/San Francisco, California
Northern TEAM: Chicago, Illinois
Southern TEAM: Orlando, Florida
Midwest TEAM: Milwaukee, Wisconsin
Southeast TEAM: Atlanta, Georgia
Southwest TEAM: Alburquerque, New Mexico
Northwest TEAM: Seattle, Washington
Mid-Atlantic TEAM: DC/MD/VA

1.4 Duration of Agreements

    Cooperative agreements will be awarded for a period of 12 
months.

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 of small, women-owned and disadvantaged businesses to 
access transportation-related contracts.

1.6 Eligibility Requirements

    [sbull] An established Chamber of Commerce, Trade Association, 
Business Organization or For-Profit Entity which has the documented 
experience and capacity necessary to successfully operate and 
administer a coordinated TEAM effort within a specific location.
    [sbull] Documented and continuous experience prior to the date 
of application in areas such as advocacy for small businesses, 
management and marketing expertise, outreach referrals to technical 
assistance agencies, and government contracting within the 
jurisdiction of the TEAM service area in which proposed services 
will be provided; and
    [sbull] Physically headquartered within the TEAM service area.

2. Program Requirements

    In conducting the activities to achieve the goals of the TEAM, 
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) Develop structured, consultative relationships with key 
constituent groups within the TEAM area to help build and reinforce 
coordination and credibility. Such relationships will ensure that 
DOT non-minority and minority prime contractors, as well as 
organizations and associations, facilitate awareness and utilization 
of the TEAM program's services.
    (2) Conduct outreach to identify and refer qualified candidates 
to service providers and contracting entities to ensure that small, 
minority, women-owned and disadvantaged businesses are well prepared 
for access to contracting opportunities.
    (3) Disseminate information as a component of outreach by 
distributing DOT documents and materials, such as, DOT Bonding 
Assistance Program Fact Sheets and applications from bond agents; 
DOT Short-Term Lending Program Fact Sheets and applications; 
Procurement Forecasts; 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 guide that serves as a resource and reference tool.
    (4) Provide referrals to technical assistance agencies and 
educational institutions to receive assistance in areas such as, the 
completion of bonding and lending applications, bid and cost 
estimating, and management assistance. Technical assistance agencies 
include Minority Business Development Centers (MBDCs), Small 
Business Development Centers (SBDCs) and State DOT highway 
supportive services contractors, Minority Educational Institutions, 
and Procurement Technical Assistance Centers.
    (5) Complete a follow-up form for each referral made to the 
technical assistance agencies, educational institutions and 
financial institutions that documents the referrals, lists other 
services provided subsequent to the referral, identifies the outcome 
measurements that were achieved based upon the action taken. This 
information shall be reported in writing to OSDBU on a monthly basis 
and will identify the technical assistance agency and contact 
person.
    (6) Develop and maintain a database of transportation-related 
firms that have the capability to bid on mega projects and other 
transportation-related opportunities and have

[[Page 10566]]

the capacity to secure bonds and loans in support of contracts and 
subcontracts. The targeted database should consist of firms that 
will receive a comprehensive array of services, including 
counseling, technical assistance, bonding and lending approvals and 
regular follow-up services under the TEAM. Referrals of DBEs will be 
made to prime contractors and mega projects subsequent to matching 
companies by categories such as NAICS Codes, HUB Zone participants, 
location of firms, type of certifications held, and bonding and 
lending capacity.
    (7) Provide access to bonding and lending for certified firms to 
obtain bid, performance and payment bonds on transportation-related 
contracts up to $1,000,000 and guaranteed lines of credit up to 
$500,000 for accounts receivable financing. Also, firms certified by 
the Small Business Administration as 8(a), Hubzone, Small 
Disadvantaged Businesses (SDBs) and Service Disabled Veterans will 
qualify for the DOT Bonding and Lending Programs. DOT's bond agents 
and bankers shall work with the Project Director and OSDBU to 
present ``how-to-workshops'' on preparation and completion of bond 
and loan packages. The DOT partners will deliver the workshop 
presentations only when it is feasible for them to participate, or 
when a training session is scheduled in their locations. The OSDBU 
will participate in selective workshops at times when it is not 
feasible for the DOT bond agents or the DOT banks to be in 
attendance.
    (8) Develop procedures for submitting bond and loan applications 
to DOT's bond agents and banks, and develop procedures for securing 
necessary training from sources such as, educational institutions, 
technical assistance agencies, private entities available to work 
with the TEAM.
    (9) Provide access to contracts for businesses seeking to 
participate on mega or special projects by establishing a working 
knowledge of the projects and become familiar with the needs of 
prime contractors and other obligees. Electronic Commerce, 
Intelligent Transportation System (ITS), and Special Research & 
Demonstration Projects are additional areas where contract 
opportunities are available to small businesses.
    (10) Participate in conferences/seminars on behalf of OSDBU by 
attending specific sessions that are transportation-related.
    (11) Establish a toll free telephone line that is available to 
small businesses interested in securing information regarding the 
DOT in general and OSDBU's TEAM in particular. Callers should 
receive directions on how they can participate in DOT programs that 
will enhance their efforts in securing DOT contracts, especially 
mega projects.
    (12) Provide special assistance to small firms by utilizing the 
services of technical experts in various disciplines to increase the 
knowledge base of DBE firms.
    (13) Furnish all labor, facilities and equipment to perform the 
services described in this announcement.

2.2 Work Requirements

    Each TEAM must perform work in the following functional areas:

[sbull] Advocacy
[sbull] Outreach
[sbull] Financial Services
[sbull] Referral to Technical Assistance Providers
[sbull] Follow Up
[sbull] Success Stories
[sbull] Teleconferencing

(A) Advocacy

    The applicant shall serve in an advocacy role to small, women-
owned and disadvantaged businesses to encourage their participation 
in DOT financial programs and DOT assisted contracts and procurement 
opportunities. The TEAM shall coordinate its efforts with Federal, 
State and local agencies and the private sector, to promote the 
development and implementation of effective programs that assist 
small, women-owned and disadvantaged businesses.
    The TEAM shall counsel small, women-owned and disadvantaged 
businesses on the use of the Internet, with priority given to 
maximizing use of the DOT website at http://www.dot.gov and the 
OSDBU website at http://osdbuweb.dot.gov and encourage them to use 
this medium for marketing the U.S. DOT, the mega project(s) and 
other Federal, State and local agencies for procurement 
opportunities.
    The TEAM shall establish and implement business operations and 
procedures that are results oriented, and implement the principles 
set forth in the Government Performance and Results Act (GPRA) of 
1993. The TEAM will keep documentation as to achievements attained 
for reporting under the GPRA within its geographical area.

(B) Outreach

    The TEAM shall provide assistance to small, women-owned and DBE 
firms for registering their businesses with Federal, State and local 
databases to market their goods and services to governmental 
agencies.
    (1) Conferences. The TEAM shall participate in conferences/
seminars as a representative of the DOT OSDBU. The meetings must be 
transportation related in scope and designed to assist small, 
disadvantaged businesses to obtain contract opportunities and access 
to bonding and lending. A written request must be received by OSDBU 
at least five days in advance of the conference and written approval 
shall be received from OSDBU prior to attendance. Written reports 
will be transmitted to OSDBU within five workdays after the 
conference. An outline of the report format will be provided by 
OSDBU.
    The TEAM will work in conjunction with OSDBU's conference 
coordinator and serve as the local contact for logistical 
arrangements with hotel and/or other facilities where Transportation 
Marketplace Conferences are to be held. The TEAM will perform under 
the leadership of OSDBU's conference coordinator to ensure that 
local grantees/recipients and other Federal, State and local 
agencies are included in the planning and coordination of 
Transportation Marketplace Conferences.
    (2) Database Development. The TEAM must assist firms to register 
with primary databases which are accessible from the OSDBU website, 
namely;
    [sbull] Pro-Net--is an electronic gateway of procurement 
information, for and about small businesses, provided by the U.S. 
Small Business Administration (SBA). It is a search engine for 
contracting officers, a marketing tool for small firms and a link to 
procurement opportunities and important information. It is designed 
to be a virtual one-stop procurement shop.
    [sbull] Fed Biz Ops--is a web-based system for posting 
solicitations and other procurement-related documents on the 
Internet. All DOT procurement organizations currently posting 
requirements to the Internet are required to use EPS. Contract 
specialists post synopses and other procurement documents, such as 
solicitations, amendments, and award notifications to a common 
index, which allows firms to search databases concerning information 
from many of the Federal agencies.
    [sbull] News by E-Mail--is an automatic service afforded firms 
for registering on the OSDBU Web Site in order to subscribe and 
receive DBE Announcements, The Transportation Link Newsletter, OSDBU 
News and Outreach/Conference Announcements.
    The agency shall conduct an aggressive outreach effort that will 
provide a significant increase in the number of small and 
disadvantaged businesses registered in the TEAM's database in order 
to participate more effectively in other DOT procurement in general 
and their special projects (identified under ``Target Projects'') 
particular. Outreach to DBEs, HUBZone businesses, Service-Disabled 
Veterans, 8(a) firms, and Women-Owned businesses shall be conducted 
and representatives from these groups should be a significant part 
of the database. The TEAM shall conduct outreach and information 
dissemination regarding the OSDBU bonding and lending programs, and 
procurement opportunities, at specific events being held in the 
community, such as conferences, seminars, events that are 
transportation-related. Materials and documents such as, DOT Bonding 
Assistance Program Fact Sheets and Application; DOT Short Term 
Lending Program Fact Sheets and Applications; Procurement Forecasts; 
and Contracting with DOT Booklets are some of the literature that 
should be disseminated to DBEs.
    (3) Toll Free Line. The TEAM shall maintain a Toll Free 
telephone line to be made available to small, women-owned and 
disadvantaged businesses interested in securing information 
regarding the DOT. Reference should be made to the U.S. DOT TEAM 
when answering the line. Callers should receive directions on how 
they can participate in DOT programs, especially those related to 
mega projects, procurement and information on the application 
process for the Bonding and Short Term Lending Programs. In 
addition, information should be elicited from callers regarding 
their e-mail addresses. Inquiries should be made of callers as to 
their use, or lack of use of the DOT, OSDBU and TEAM web sites. TEAM 
staff must have sufficient knowledge of how to access and navigate 
through the web sites in order to provide guidance and assistance to 
the small businesses as good customer relations.

[[Page 10567]]

(C) Financial Services

    The TEAM will provide assistance to small and disadvantaged 
businesses, including women-owned in order to participate in OSDBU's 
financial assistance programs. Also, firms certified by the U.S. 
Small Business Administration's 8(a) program, Small Disadvantaged 
Businesses (SDBs), HubZone Empowerment Contracting Program and 
Service-Disabled Veterans are eligible to participate in the 
following financial assistance services.
    (1) Bonding Assistance. The TEAM will provide firms access to 
bonding information on the program to obtain bid, performance and 
payment bonds for transportation-related contracts up to $1,000,000.
    (a) Deliver at least five bonding workshops on package 
preparation and completion of applications. The DOT bond agents will 
participate in the workshop presentations only when it is feasible 
for them to attend, or when a training session is scheduled in their 
locations.
    (b) Provide a checklist of items and documents that each 
participant must bring to the work sessions and which must be 
approved by the TEAM prior to attendance.
    (c) Produce at least 10 complete bond packages from 10 separate 
firms for approval by the DOT bond agent.
    (d) Secure training and/or other assistance from technical 
assistance providers, educational institutions, and/or the private 
sector to ensure that firms will submit quality applications to the 
bond agents for approval.
    The proposed plan of action of how the above will be 
accomplished must receive approval from OSDBU's COTR prior to 
implementation.
    (2) Short-Term Lending. The TEAM will provide firms access to 
lending information on the program to obtain guaranteed lines of 
credit up to $500,000 for accounts receivable financing.
    (a) Deliver at least five workshops on package preparation and 
completion of applications. The DOT banks will participate in the 
workshop presentations only when it is feasible for them to attend, 
or when a training session is scheduled in their locations.
    (b) Provide a checklist of loan documentation required by the 
participants that should accompany firms to each work session. The 
TEAM will coordinate the checklist with the Lead Participating Bank 
and receive their input before proceeding with the work sessions.
    (c) Produce at least 10 complete loan packages from 10 separate 
firms in the for approval by the DOT banks.
    (d) Secure training and/or other assistance from technical 
assistance providers, educational institutions, and/or the private 
sector, to ensure that firms submit quality applications to the 
banks for approval.
    The proposed plan of action of how the above will be 
accomplished must receive approval from OSDBU's COTR prior to 
implementation.

(D) Referral to Technical Assistance Agencies

    The TEAM shall refer small and disadvantaged firms seeking 
contracts with mega projects to technical assistance providers from 
Federal, State and local agencies such as Minority Business 
Development Centers (MBDCs), Small Business Development Centers 
(SBDCs), and State DOT highway supportive services contractors, 
Minority Education Institutions, Procurement Technical Assistance 
Centers (PTACs), and private sources. Assistance shall include 
management and other business related information, including 
completion and submission of DOT Bonding Assistance and Short Term 
Lending Applications in order to qualify for financial help. 
Documentation of each referral must be reported on a referral form 
indicating to whom the referral was made, the organization and name 
of the contact person, and the reason(s) for the referral. The 
technical assistance agency must verify (counter sign the form) to 
document receipt of the referral, and return it to the TEAM.

(E) Follow Up

    The TEAM will track each firm's progress and report on any 
assistance provided by the TEAM, such as technical assistance 
referrals to service providers, referrals to financial institutions, 
counseling, and referrals to OSDBU's website. Also, report the 
number and type of contract awards received by clients as a result 
of TEAM's involvement, including the kind of assistance provided to 
the small business. Reports must be submitted to OSDBU using the 
monthly Reporting Form (to be provided). The numerical data on the 
form must be accompanied by narrative information regarding each 
activity and should highlight the problems, concerns and successes 
encountered by the small business person. Follow-up must be 
conducted on all referrals made by the TEAM.

(F) Success Stories

    The TEAM must develop a minimum of three success stories each 
quarter that highlights the accomplishments of DBEs who participate 
in the assigned mega project(s). The stories shall be submitted to 
OSDBU for review and approval by the Director, prior to publication 
in the TEAM's newsletter and/or on OSDBU's Website and the 
Transportation Link Newsletter.

(G) Teleconferencing

    Each TEAM will be responsible for teleconferencing calls with 
other team members and will document best practices that are derived 
from the interaction with peers. Each TEAM will be responsible for 
one teleconferencing call per month on a rotating basis during the 
course of this agreement. The purpose of the teleconference calls is 
to assist the TEAMS in working together as a cohesive unit, in 
exchanging ideas, in discussing on-going activities in respective 
regions and in sharing actions that are successful in one area, 
which may be replicated in another location. The TEAMS responsible 
for hosting the teleconferences are as follows:

1st month--Eastern TEAM
2nd month--Western TEAM
3rd month--Northern TEAM
4th month--Southern TEAM
5th month--Midwest TEAM
6th month--Southeast TEAM
7th month--Southwest TEAM
8th month--Northwest TEAM
9th--month Mid-Atlantic TEAM

    At the completion of the 9th month the schedule will rotate back 
to the first TEAM and the process will continue throughout the 
period of the Cooperative Agreements. The TEAM that is responsible 
for placing the call will develop an agenda and transmit it by e-
mail to each Project Director prior to teleconference. A written 
summary of the discussion will be submitted to OSDBU by the host 
TEAM and the report must include areas such as, discussion 
highlights, project accomplishments, problems or concerns, and 
recommendations for improvement.

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 the TEAM 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 as TEAMs.
    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 and recipients within geographical areas 
served.
    5. Facilitate the exchange and transfer of successful TEAM 
activities and program information among other TEAMs.

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 applicant (as defined in section 1.6 of this announcement) 
will submit only one proposal, not to exceed 35 single-sided pages, 
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. All documentation, attachments, or other information 
pertinent to the application must be included in a single 
submission. Proposals should be submitted to: Arthur D. Jackson, 
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 March 24, 
2003, 4 p.m., e.s.t. Due to security concerns, proposals should be 
submitted via overnight courier.

[[Page 10568]]

4. Selection Criteria

    DOT will use the following criteria to rate proposals received 
in response to this announcement for the specific location of the 
applicant. The following categories will constitute DOT's selection 
criteria:

[sbull] Approach
[sbull] Linkages
[sbull] Organizational Capability
[sbull] Staff Capabilities and Experience
[sbull] Cost

A. Approach

    The applicant must describe the activities proposed to be 
implemented under the cooperative agreement and how the work will be 
accomplished. DOT will consider the extent to which the proposed 
objectives are specific, measurable, time-phased, consistent with 
TEAM goals and the proposed activities are consistent with the 
applicant's overall mission. DOT will give priority consideration to 
applicants that demonstrate innovation and creativity of approach in 
increasing the ability of small, minority, women-owned, and 
disadvantaged businesses (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.

B. Linkages

    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 area. 
The applicant should describe support and intended collaboration on 
TEAM 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 service area. 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 small 
businesses within the applicant's 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.

C. Organizational Capability

    The applicant must have outreach resources and relevant 
experience in carrying out the purposes of the TEAM program. In 
rating this factor, DOT will consider the extent to which the 
applicant has recent, relevant and successful experience in 
advocating for and addressing the needs of small businesses in 
general. 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).

D. Staff Capability and Experience

    The applicant 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 and demonstrate the ability to deal 
effectively with the broad range of small, disadvantaged businesses 
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 100 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 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.

E. Cost

    The budget is the applicant's estimate of the total cost of 
establishing and administering its participation in the TEAM program 
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. Cost-sharing approaches, in-kind contributions 
(monetary and staff) are encouraged.

Appendix A--Application Form for Proposals for the Department of 
Transportation Transportation Equity Act Model (TEAM)

    Proposals for the DOT Transportation Equity Act Model (TEAM) 
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: Arthur D. Jackson, 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 March 24, 
2003, 4 p.m. e.s.t.
    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

    [sbull] Identify all parts, sections and attachments of the 
application.

2. Application Summary

    [sbull] Provide a summary overview of the following:

--The applicant's proposed TEAM, 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

    [sbull] Provide a narrative that contains specific project 
information as follows:
--The applicant will describe its understanding of the TEAM, program 
goals and the role of the applicant's proposed TEAM in advancing the 
applicant's goals.
--The applicant will describe specific outreach needs of 
transportation-related small businesses in the area to be served and 
how the TEAM will address the identified needs.

4. Approach/Methodology

    [sbull] Describe the applicant's methodology or plan of action 
for conducting the project in terms of the tasks to be performed.
    [sbull] Describe the specific services or activities to be 
performed and how these services/activities will be implemented.
    [sbull] Describe innovative and/or creative approaches to be 
implemented through the TEAM program to increase the ability of 
small businesses to access information on DOT contracting 
opportunities and financial assistance programs.

5. Linkages

    [sbull] Describe outreach activities and linkages to be 
implemented to ensure that small and disadvantaged businesses 
participate in TEAM activities.
    [sbull] 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

    [sbull] Describe recent, relevant and successful experience in 
advocating and addressing the needs of small and disadvantaged 
businesses.
    [sbull] 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.
    [sbull] Describe internal resources available to use in 
successfully performing/completing the work.

[[Page 10569]]

7. Staff Capabilities

    [sbull] Describe the qualifications and relevant experience, in 
relation to project requirements, of the key personnel to be used in 
the project.

8. Management Plan

    [sbull] 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

    [sbull] Outline proposed budget/cost information in detail.

10. Assurances Signature Form

    [sbull] Complete the attached form identified as Attachment 1.

11. Certification Signature Form

    [sbull] Complete the attached form identified as Attachment 2.

12. Standard Form 424

    [sbull] Request for Federal Assistance. Complete the attached 
Standard Form 424 identified as Attachment 3.
    Please be sure that all forms have been signed by an authorized 
official who can legally represent the applicant.
    Thank you for submitting an application to be a participant in 
the U.S. Department of Transportation's Transportation Equity Act 
Model (TEAM) Program.

Attachment 1

Assurances

    All recipients of Federal funding are required to assure that 
the recipient:
    [sbull] 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.
    [sbull] 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.
    [sbull] 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.
    [sbull] Will initiate and complete the work within the 
applicable time frame after receipt of approval of the awarding 
agency.
    [sbull] 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).
    [sbull] 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 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.
    [sbull] 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 Federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    [sbull] 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.
    [sbull] 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.
    [sbull] 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.
    [sbull] 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).
    [sbull] 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.
    [sbull] 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.).
    [sbull] 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.
    [sbull] 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.
    [sbull] Will comply with the Lead-Based Paint 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.
    [sbull] 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.
    [sbull] Will comply with all applicable requirements of all 
other Federal laws, executive orders, regulations, and policies 
governing this program.
    [sbull] In addition, all recipients of Corporation assistance 
under this application are required to assure that the recipient:
    [sbull] 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.
    [sbull] 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.
    [sbull] Will use the assistance only for a program that does not 
duplicate, and is in

[[Page 10570]]

addition to, an activity otherwise available in the locality of the 
program.
    [sbull] Will comply with the Notice, Hearing, and Grievance 
Procedures found in section 176 of the Act.
    [sbull] 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.

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.

-----------------------------------------------------------------------
Applicant Name

-----------------------------------------------------------------------
Project Name

-----------------------------------------------------------------------
Name and Title of Authorized Representative

-----------------------------------------------------------------------
Signature

-----------------------------------------------------------------------
Date

Attachment 2

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, 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 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

[[Page 10571]]

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 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 U.S. 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:

[sbull] Certification: Debarment, Suspension, and Other 
Responsibility Matters
[sbull] Certification: Drug-Free Workplace
[sbull] Certification: Lobbying Activities
-----------------------------------------------------------------------
Applicant Name

-----------------------------------------------------------------------
Project Name

-----------------------------------------------------------------------
Name and Title of Authorized Representative

-----------------------------------------------------------------------
Signature

-----------------------------------------------------------------------
Date

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[FR Doc. 03-5138 Filed 3-4-03; 8:45 am]
BILLING CODE 4910-62-C